FY 2009 

Performance Evaluation Report 

Lawrence Berkeley National Laboratory 

Prepared by: 

U.S. Department of Energy 

Office of Science 

Berkeley Site Office

December 2009 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

DOE Office of Science 

FY 2009 

Performance Evaluation of 

The Regents of the University of California

for the 

Management and Operations of the 

Ernest Orlando Lawrence Berkeley National 

Laboratory

December 2009 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

i 

CONTRACTING OFFICER’S EVALUATION 

The Department of Energy, Office of Science and Berkeley Site Office Senior Management 

reviewed and discussed the recommendations of functional managers and staff concerning the 

appropriate numeric scores and grades with which to rate the University of California’s 

performance in the management and operation of the Lawrence Berkeley National Laboratory. 

Based upon this process, an overall score of 3.6 with a grade of “A-“ is recommended for the 

science and technology component of the evaluation. An overall score of 3.3 with a grade of 

“B+” is recommended for the Management and Operation component of the evaluation. These 

recommendations have been forwarded to and considered by the Office of Science and approved. 

This report, entitled FY 2009 Performance Evaluation of the Regents of the University of 

California for the Management and Operations of the Ernest Orlando Lawrence Berkeley 

National Laboratory provides the basis for my determination, and is hereby endorsed and 

approved. 

Recommendation: 

__________________________________ Date: ___December 8, 2009_____

Charles W. Marshall, Contracting Officer 

Department of Energy 

Berkeley Site Office 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

ii 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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Table of Contents 

I. OVERALL SUMMARY RATING/FEE ............................................................................................................... 1

II. PERFORMANCE GOALS, OBJECTIVES, AND MEASURES/TARGETS .................................................. 5

1.0 PROVIDE FOR EFFICIENT AND EFFECTIVE MISSION ACCOMPLISHMENT (QUALITY, 

PRODUCTIVITY, LEADERSHIP, & TIMELINESS OF RESEARCH AND DEVELOPMENT) ..................... 5

1.1 SCIENCE AND TECHNOLOGY RESULTS PROVIDE MEANINGFUL IMPACT ON THE FIELD ........................................ 5

1.2 PROVIDE QUALITY LEADERSHIP IN SCIENCE AND TECHNOLOGY ......................................................................... 5

1.3 PROVIDE AND SUSTAIN SCIENCE AND TECHNOLOGY OUTPUTS THAT ADVANCE PROGRAM OBJECTIVES AND 

GOALS .............................................................................................................................................................. 6

1.4 PROVIDE FOR EFFECTIVE DELIVERY OF SCIENCE AND TECHNOLOGY ............................................................... 6

2.0 PROVIDE FOR EFFICIENT AND EFFECTIVE DESIGN, FABRICATION, CONSTRUCTION AND 

OPERATIONS OF FACILITIES .............................................................................................................................. 9

2.1 PROVIDE EFFECTIVE FACILITY DESIGN(S) AS REQUIRED TO SUPPORT LABORATORY PROGRAMS .................... 9

2.2 PROVIDE FOR THE EFFECTIVE AND EFFICIENT CONSTRUCTION OF FACILITIES AND/OR FABRICATION OF 

COMPONENTS ................................................................................................................................................... 9

2.3 PROVIDE EFFICIENT AND EFFECTIVE OPERATION OF FACILITIES ......................................................................... 9

2.4 UTILIZATION OF FACILITY TO GROW AND SUPPORT LAB’S RESEARCH BASE AND EXTERNAL USER 

COMMUNITY. .................................................................................................................................................... 9

3.0 PROVIDE EFFECTIVE AND EFFICIENT SCIENCE AND TECHNOLOGY RESEARCH 

PROJECT/PROGRAM MANAGEMENT ............................................................................................................. 12

3.1 PROVIDE EFFECTIVE AND EFFICIENT STEWARDSHIP OF SCIENTIFIC CAPABILITIES AND PROGRAM VISION ....... 12

3.2 PROVIDE EFFECTIVE AND EFFICIENT SCIENCE AND TECHNOLOGY PROJECT/PROGRAM PLANNING AND 

MANAGEMENT ............................................................................................................................................... 12

3.3 PROVIDE EFFICIENT AND EFFECTIVE COMMUNICATIONS AND RESPONSIVENESS TO CUSTOMER NEEDS ........... 12

4.0 PROVIDE SOUND AND COMPETENT LEADERSHIP AND STEWARDSHIP OF THE 

LABORATORY ........................................................................................................................................................ 15

4.1 PROVIDE A DISTINCTIVE VISION FOR THE LABORATORY AND AN EFFECTIVE PLAN FOR ACCOMPLISHMENT OF 

THE VISION TO INCLUDE STRONG PARTNERSHIPS REQUIRED TO CARRY OUT THOSE PLANS .......................... 15

4.2 PROVIDE FOR RESPONSIVE AND ACCOUNTABLE LEADERSHIP THROUGHOUT THE ORGANIZATION ................. 17

4.3 PROVIDE EFFICIENT AND EFFECTIVE CORPORATE OFFICE SUPPORT AS APPROPRIATE ................................... 18

5.0 SUSTAIN EXCELLENCE AND ENHANCE EFFECTIVENESS OF INTEGRATED SAFETY, 

HEALTH AND ENVIRONMENTAL PROTECTION .......................................................................................... 20

5.1 PROVIDE A WORK ENVIRONMENT THAT PROTECTS WORKERS AND THE ENVIRONMENT ............................... 20

5.2 PROVIDE EFFICIENT AND EFFECTIVE IMPLEMENTATION OF INTEGRATED SAFETY, HEALTH AND 

ENVIRONMENT MANAGEMENT ....................................................................................................................... 22

5.3 PROVIDE EFFICIENT AND EFFECTIVE WASTE MANAGEMENT, MINIMIZATION, AND POLLUTION 

PREVENTION... ............................................................................................................................................... 23

6.0 DELIVER EFFICIENT, EFFECTIVE, AND RESPONSIVE BUSINESS SYSTEMS AND 

RESOURCES THAT ENABLE THE SUCCESSFUL ACHIEVEMENT OF THE LABORATORY 

MISSION(S) ............................................................................................................................................................... 25

6.1 PROVIDE AN EFFICIENT, EFFECTIVE, AND RESPONSIVE FINANCIAL MANAGEMENT SYSTEM(S) ..................... 25

6.2 PROVIDE AN EFFICIENT, EFFECTIVE, AND RESPONSIVE ACQUISITION MANAGEMENT SYSTEM ...................... 26

6.3 PROVIDE AN EFFICIENT, EFFECTIVE, AND RESPONSIVE PROPERTY MANAGEMENT SYSTEM .......................... 27

6.4 PROVIDE AN EFFICIENT, EFFECTIVE, AND RESPONSIVE HUMAN RESOURCES MANAGEMENT SYSTEM AND 

DIVERSITY PROGRAM ..................................................................................................................................... 27
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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6.5 PROVIDE EFFICIENT, EFFECTIVE, AND RESPONSIVE MANAGEMENT SYSTEMS FOR INTERNAL AUDIT AND 

OVERSIGHT; QUALITY; INFORMATION MANAGEMENT; AND OTHER ADMINISTRATIVE SUPPORT SERVICES AS 

APPROPRIATE ................................................................................................................................................. 28

6.6 DEMONSTRATE EFFECTIVE TRANSFER OF TECHNOLOGY AND COMMERCIALIZATION OF INTELLECTUAL 

ASSETS ........................................................................................................................................................... 29

7.0 SUSTAIN EXCELLENCE IN OPERATING, MAINTAINING, AND RENEWING THE FACILITY 

AND INFRASTRUCTURE PORTFOLIO TO MEET LABORATORY NEEDS .............................................. 31

7.1 MANAGE FACILITIES AND INFRASTRUCTURE IN AN EFFICIENT AND EFFECTIVE MANNER THAT OPTIMIZES 

USAGE AND MINIMIZES LIFE CYCLE COSTS ................................................................................................... 31

7.2 PROVIDE PLANNING FOR AND ACQUIRE THE FACILITIES AND INFRASTRUCTURE REQUIRED TO SUPPORT 

FUTURE LABORATORY PROGRAMS ................................................................................................................. 32

8.0 SUSTAIN AND ENHANCE THE EFFECTIVENESS OF INTEGRATED SAFEGUARDS AND 

SECURITY MANAGEMENT (ISSM) AND EMERGENCY MANAGEMENT SYSTEMS ............................. 34

8.1 PROVIDE AN EFFICIENT AND EFFECTIVE EMERGENCY MANAGEMENT SYSTEM ............................................. 34

8.2 PROVIDE AN EFFICIENT AND EFFECTIVE SYSTEM FOR CYBER-SECURITY ....................................................... 35

8.3 PROVIDE AN EFFICIENT AND EFFECTIVE SYSTEM FOR THE PROTECTION OF SPECIAL NUCLEAR MATERIALS,

CLASSIFIED MATTER, AND PROPERTY ............................................................................................................ 35

8.4 PROVIDE AN EFFICIENT AND EFFECTIVE SYSTEM FOR THE PROTECTION OF CLASSIFIED AND SENSITIVE 

INFORMATION ................................................................................................................................................. 35

APPENDIX A - OFFICE OF SCIENCE FY 2009 SCIENCE AND TECHNOLOGY EVALUATION 

OF LAWRENCE BERKELEY NATIONAL LABORATORY ...................................A-1 

APPENDIX B – NON- OFFICE OF SCIENCE FY 2009 SCIENCE AND TECHNOLOGY EVALUATION 

OF LAWRENCE BERKELEY NATIONAL LABORATORY .............................................B-1
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 1 

I. OVERALL SUMMARY RATING/FEE 

Performance-Based Score and Adjectival Rating: 

The basis for the evaluation of The Regents of the University of California (the Contractor) for the management and 

operations of the Ernest Orlando Lawrence Berkeley National Laboratory (the Laboratory) during FY2009 centered 

on the Objectives found within the following Performance Goals: 

1.0 Provide for Efficient and Effective Mission Accomplishment (Quality, Productivity, Leadership, & Timeliness 

of Research and Development) 

2.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operations of Facilities 

3.0 Provide Effective and Efficient Science and Technology Research Project/Program Management 

4.0 Provide Sound and Competent Leadership and Stewardship of the Laboratory 

5.0 Sustain Excellence and Enhance Effectiveness of Integrated Safety, Health, and Environmental Protection 

6.0 Deliver Efficient, Effective, and Responsive Business Systems and Resources that Enable the Successful 

Achievement of the Laboratory Mission(s) 

7.0 Sustain Excellence in Operating, Maintaining, and Renewing the Facility and Infrastructure Portfolio to Meet 

Laboratory Needs 

8.0 Sustain and Enhance the Effectiveness of Integrated Safeguards and Security Management (ISSM) and 

Emergency Management Systems 

Each Performance Goal was composed of two or more weighted Objectives and most Objectives had a set of 

performance measures, which assisted in determining the Contractor’s overall performance in meeting that 

Objective. Each of the performance measures identified significant activities, requirements, and/or milestones 

important to the success of the corresponding Objective. The following describes the methodology utilized in 

determining the Contractor performance rating. 

Each Objective within a Goal was assigned a numerical score by the evaluating office. Each evaluation measured 

the degree of effectiveness and performance of the Contractor in meeting the Objective and was based on the 

Contractor’s success in meeting the set of Performance Measures/Targets identified for each Objective as well as 

other performance information available to the evaluating office from other sources to include, but not limited to, the 

Contractor’s self-evaluation report, operational awareness (daily oversight) activities; “For Cause” reviews (if any); 

other outside agency reviews (OIG, GAO, DCAA, etc.), and the annual 2-week review (if needed). If no 

performance measures/targets were utilized the description of the general expectations for the success of the 

objective was utilized as the baseline of the effectiveness and performance of the Contractor in meeting the 

corresponding Objective and in determining the score assigned. The Goal score was then computed by multiplying 

the numerical score by the weight of each Objective within a Goal. These values were then added together to 

develop an overall score for each Goal. This score was then compared to Table A to determine the overall grade for 

each Goal. A set of tables is provided at the end of each Performance Goal section of this document to assist in the 

calculation of Objective scores to the Goal score. The raw score (rounded to the nearest hundredth) from each 

calculation was carried through to the next stage of the calculation process. The raw score for Science and 

Technology and Management and Operations was rounded to the nearest tenth of a point for utilization in 

determining fee as discussed below. A standard rounding convention of x.44 and less rounds down to the nearest 

tenth (here, x.4), while x.45 and greater rounds up to the nearest tenth (here, x.50). 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 2 

Table A. FY2009 Contractor Letter Grade Scale 

Based on the evaluation of The Regents of the University of California’s performance against the Goals and 

Objectives contained within the FY2009 Performance Evaluation and Measurement Plan (PEMP) the scores and 

corresponding grades awarded for each are provided within Table B below. Specific information regarding the 

Contractor’s performance in meeting each of the Goals and their corresponding Objectives is provided within 

Section II of this report. 

Table B. FY2009 Contractor Evaluation Score Calculation

Performance-Based Fee Earned: 

Utilizing Table B, above, the scores for each of the Science and Technology (S&T) Goals and Management and 

Operations (M&O) Goals were multiplied by the weight assigned and these were summed to provide an overall 

score for each. The percentage of the available performance-based fee that was earned by the Contractor was 

determined based on the overall weighted score for the S&T Goals (see Table B.) and then compared to Table C. 

below. The overall numerical score of the M&O Goals from Table B. was then utilized to determine the final fee 

multiplier (see Table C.), which was utilized to determine the overall amount of performance-based fee earned for 

FY2009 as calculated within Table D. Based on the overall performance within the S&T and M&O Goals the 

Final 

Grade A+ A A- B+ B B- C+ C C- D F 

Total 

Score 4.3-4.1 4.0-3.8 3.7-3.5 3.4-3.1 3.0-2.8 2.7-2.5 2.4-2.1 2.0-1.8 1.7-1.1 1.0-0.8 0.7-0 

S&T Performance Goal Numerical 

Score 

Letter 

Grade Weight Weighted Score 

Total 

Score 

1.0 Mission Accomplishment 3.7 A- 35.9% 1.33 

2.0 Design, Fabrication, Construction 

and Operations of Facilities 3.6 A- 39.6% 1.43 

3.0 Science and Technology Research 

Project/Program Management 3.4 B+ 24.5% 0.83 

Total Score 3.6 

M&O Performance Goal Numerical 

Score 

Letter 

Grade Weight Weighted Score 

Total 

Score 

4.0 Leadership and Stewardship of the 

Laboratory 3.3 B+ 25% 0.83 

5.0 Integrated Safety, Health, and 

Environmental Protection 3.0 B 27% 0.81 

6.0 Business Systems 3.6 A- 20% 0.72 

7.0 Operating, Maintaining, and 

Renewing Facility and Infrastructure 

Portfolio 

3.1 B+ 20% 0.62 

8.0 Integrated Safeguards and Security 

Management and Emergency 

Management Systems 

3.6 A- 8% 0.29 

Total Score 3.3 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 3 

Contractor is awarded $4,230,000 in performance based fee for FY2009. 

Overall Weighted Score 

from Table A. 

Percent S&T 

Fee Earned 

M&O Fee 

Multiplier 

4.3 

4.2 100% 100% 

4.1 

4.0 

3.9 97% 100% 

3.8 

3.7 

3.6 94% 100% 

3.5 

3.4 

91% 100% 3.3 

3.2 

3.1 

3.0 

2.9 88% 95% 

2.8 

2.7 

2.6 85% 90% 

2.5 

2.4 

75% 85% 2.3 

2.2 

2.1 

2.0 

1.9 50% 75% 

1.8 

1.7 

0% 60% 

1.6 

1.5 

1.4 

1.3 

1.2 

1.1 

1.0 to 0.8 0% 0% 

0.7 to 0.0 0% 0% 

Table C. – Performance-Based Fee Earned Scale 

Overall Fee Determination 

Percent S&T Fee Earned from Table C. 94% 

M&O Fee Multiplier from Table C. 100% 

Overall Earned Performance-Based Fee 94% 

Table D. – Final Percentage of Performance-Based 

Fee Earned Determination 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 4 

Performance Fee and Rating Adjustment Factor: 

There was no performance fee and adjustment factor utilized for the FY2009 rating period. 

Performance Adjustment Determination 

Percent Fee Earned from Table D. 94% 

Percentage of Performance Adjustment 0 

Final Percentage of Fee Earned 94% 

Final Performance Grade Awarded A- / B+ 

Table E. Performance Adjustment Factor Calculation 

Based on the performance determination the Contractor is awarded $4,230,000 in performance based fee for 

FY2009. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 5 

II. PERFORMANCE GOALS, OBJECTIVES, AND MEASURES/TARGETS

For Science and Technology the format used by the program offices did not compute overall scores for all programs 

at the objective level, only at the goal level. Therefore no overall score and rating is identified at the objective level. 

1.0 Provide for Efficient and Effective Mission Accomplishment (Quality, Productivity, Leadership, & 

Timeliness of Research and Development) 

The Contractor produces high-quality, original, and creative results that advance science and technology; 

demonstrates sustained scientific progress and impact; receives appropriate external recognition of 

accomplishments; and contributes to overall research and development goals of the Department and its customers. 

The weight of this Goal is 35.9%. 

The performance evaluation narrative for goal 1.0 and its objectives is found at Appendix A and B of this report. 

1.1 Science and Technology Results Provide Meaningful Impact on the Field 

Program Page # 

ASCR A-2

BER A-10

BES A-17

FES A-23

HEP A-26

NP A-30

WDTS A-37

EERE B-7

FE B-26

1.2 Provide Quality Leadership in Science and Technology 

Program Page # 

ASCR A-3

BER A-11

BES A-18

FES A-23

HEP A-26

NP A-32

WDTS A-37

EERE B-7

FE B-27
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 6 

1.3 Provide and sustain Science and Technology Outputs that Advance Program Objectives and Goals 

Program Page # 

ASCR A-3

BER A-12

BES A-19

FES A-24

HEP A-27

NP A-33

WDTS A-38

EERE B-8

FE B-27

 

1.4 Provide for Effective Delivery of Science and Technology 

Program Page # 

ASCR A-4

BER A-13

BES A-19

FES A-24

HEP A-27

NP A-33

WDTS A-38

EERE B-8

FE B-28
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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Science Program Office Letter Numerical Objective Weighted Overall 

 Grade Score Weight Score Score 

Office of Advanced Scientific Computing 

Research 

1.1 Impact A- 3.6 40% 1.44 

1.2 Leadership A- 3.5 30% 1.05 

1.3 Output A- 3.5 15% 0.53 

1.4 Delivery B+ 3.4 15% 0.51 

 Total 3.53 

Office of Basic Energy Sciences 

1.1 Impact A 3.9 50% 1.95 

1.2 Leadership A+ 4.1 20% 0.82 

1.3 Output A 3.9 15% 0.59 

1.4 Delivery A 3.8 15% 0.57 

 Total 3.93 

Office of Biological and Environmental 

Research 

1.1 Impact A 3.8 30% 1.14 

1.2 Leadership A 3.8 20% 0.76 

1.3 Output A 3.8 20% 0.76 

1.4 Delivery A- 3.6 30% 1.08 

 Total 3.74 

Office of Fusion Energy Sciences 

1.1 Impact B+ 3.1 30% 0.93 

1.2 Leadership B+ 3.4 20% 0.68 

1.3 Output B+ 3.4 25% 0.85 

1.4 Delivery B+ 3.1 25% 0.78 

 Total 3.24 

Office of High Energy Physics 

1.1 Impact A 3.8 30% 1.14 

1.2 Leadership A 3.8 30% 1.14 

1.3 Output A- 3.6 30% 1.08 

1.4 Delivery A 3.8 10% 0.38 

 Total 3.74 

Office of Nuclear Physics 

1.1 Impact A 3.8 35% 1.33 

1.2 Leadership A- 3.7 25% 0.93 

1.3 Output A- 3.7 25% 0.93 

1.4 Delivery A- 3.6 15% 0.54 

 Total 3.72 

Office of Workforce Development 

1.1 Impact B+ 3.1 25% 0.78 

1.2 Leadership B+ 3.1 30% 0.93 

1.3 Output B+ 3.1 30% 0.93 

1.4 Delivery B+ 3.1 15% 0.47 

 Total 3.10 

Table 1.1 - 1.0 SC Program Office Performance Goal Score Development 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 8 

Science Program Office Letter Numerical BA Weighted Overall 

 Grade Score Weight Score Score 

Office of Advanced Scientific Computing 

Research A- 3.53 28.6% 1.01 

Office of Basic Energy Sciences A 3.93 27.8% 1.09 

Office of Biological and Environmental 

Research A- 3.74 19.5% 0.73 

Office of Fusion Energy Sciences B+ 3.24 1.9% 0.06 

Office of High Energy Physics A- 3.74 15.0% 0.56 

Office of Nuclear Physics A- 3.72 7.0% 0.26 

Office of Workforce Development B+ 3.10 0.3% 0.01 

 Performance Goal 1 Total 3.72 

 

Table 1.2 - SC Program Office Overall Performance Goal Score Development 

HQ Program Office Letter Numerical Objective Weighted Overall 

 Grade Score Weight Score Score 

Energy Efficiency and Renewable Energy 

1.1 Impact A- 3.7 35% 1.31 

1.2 Leadership A- 3.7 35% 1.31 

1.3 Output A- 3.7 15% 0.56 

1.4 Delivery A- 3.7 15% 0.56 

 Overall EERE Total 3.73 

Fossil Energy 

1.1 Impact A+ 4.09 25% 1.02 

1.2 Leadership A+ 4.09 25% 1.02 

1.3 Output A+ 4.09 25% 1.02 

1.4 Delivery A+ 4.09 25% 1.02 

 Overall FE Total 4.09 

 

Table 1.3 - Other Program Office Performance Goal Score Development 

HQ Program Office Letter Numerical BA Weighted Overall 

 Grade Score Weight Score Score 

Office of Science A- 3.72 87.2% 3.24 

Energy Efficiency and Renewable Energy A- 3.71 9.4% 0.35 

Fossil Energy A+ 4.10 3.4% 0.14 

 Performance Goal 1.0 Total 3.73 

 

Table 1.4 - Overall Performance Goal Score Development 

Table 1.5 – 1.0 Goal Final Letter Grade 

Total 

Score 4.3-4.1 4.0-3.8 3.7-3.5 3.4-3.1 3.0-2.8 2.7-2.5 2.4-2.1 2.0-1.8 1.7-1.1 1.0-0.8 0.7-0 

Final 

Grade A+ A A- B+ B B- C+ C C- D F 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 9 

2.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operations of Facilities 

The Contractor provides effective and efficient strategic planning; fabrication, construction and/or 

operations of Laboratory facilities; and is responsive to the user community. 

The weight of this Goal is 39.6% 

The performance evaluation narrative for goal 2.0 and its objectives is found at Appendix A and B of this 

report. 

Objectives: 

2.1 Provide Effective Facility Design(s) as Required to Support Laboratory Programs 

Program Page # 

ASCR A-5

BER A-13

BES A-20

FES A-24

HEP A-27

NP A-34

WDTS A-38

2.2 Provide for the Effective and Efficient Construction of Facilities and/or Fabrication of Components 

Program Page # 

ASCR A-5

BER A-13

BES A-20

FES A-24

HEP A-28

NP A-34

WDTS A-38

2.3 Provide Efficient and Effective Operation of Facilities 

Program Page # 

ASCR A-6

BER A-13

BES A-20

FES A-24

HEP A-28

NP A-34

WDTS A-38

2.4 Utilization of Facility to Grow and Support Lab’s Research Base and External User Community 

Program Page # 

ASCR A-7

BER A-14
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 10 

BES A-21

FES A-24

HEP A-28

NP A-35

WDTS A-39

Science Program Office Letter Numerical Objective Weighted Overall 

 Grade Score Weight Score Score 

Office of Advanced Scientific Computing 

Research 

2.1 Effective Facility Designs A- 3.7 10% 0.37 

2.2 Construction/Fabrication B+ 3.4 10% 0.34 

2.3 Operation of Facilities A- 3.6 70% 2.52 

2.4 Support Research Base B+ 3.4 10% 0.34 

 Total 3.57 

Office of Basic Energy Sciences 

2.1 Effective Facility Designs A 4.0 20% 0.80 

2.2 Construction/Fabrication A 4.0 15% 0.60 

2.3 Operation of Facilities A 4.0 50% 2.00 

2.4 Support Research Base A 4.0 15% 0.60 

 Total 4.00 

Office of Biological and Environmental 

Research 

2.1 Effective Facility Designs 0% 0.00 

2.2 Construction/Fabrication 0% 0.00 

2.3 Operation of Facilities A 3.9 90% 3.51 

2.4 Support Research Base A- 3.6 10% 0.36 

 Total 3.87 

Office of High Energy Physics 

2.1 Effective Facility Designs A- 3.6 50% 1.80 

2.2 Construction/Fabrication B+ 3.4 50% 1.70 

2.3 Operation of Facilities 0% 0.00 

2.4 Support Research Base 0% 0.00 

 Total 3.50 

Office of Nuclear Physics 

2.1 Effective Facility Designs 0% 0.00 

2.2 Construction/Fabrication 0% 0.00 

2.3 Operation of Facilities A- 3.7 85% 3.15 

2.4 Support Research Base A- 3.6 15% 0.54 

 Total 3.69 

 

Table 2.1 - 2.0 SC Program Office Performance Goal Score Development 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 11 

Science Program Office Letter Numerical BA Weighted Overall 

 Grade Score Weight Score Score 

Office of Advanced Scientific Computing 

Research A- 3.57 21.9% 0.78 

Office of Basic Energy Sciences A 4.00 35.5% 1.42 

Office of Biological and Environmental 

Research A 3.87 29.9% 1.16 

Office of High Energy Physics A- 3.50 8.7% 0.30 

Office of Nuclear Physics A- 3.69 4.0% 0.15 

 Performance Goal 2 Total 3.81 

 

Table 2.2 - SC Program Office Overall Performance Goal Score Development 

HQ Program Office Letter Numerical Objective Weighted Overall 

 Grade Score Weight Score Score 

Energy Efficiency and Renewable Energy 

2.1 Effective Facility Designs 0% 0.00 

2.2 Construction/Fabrication 0% 0.00 

2.3 Operation of Facilities A- 3.7 100% 3.71 

2.4 Support Research Base 0% 0.00 

 Total 3.71 

 

Table 2.3 - HQ Program Office Performance Goal Score Development 

HQ Program Office Letter Numerical BA Weighted Overall 

 Grade Score Weight Score Score 

Office of Science A 3.81 98.6% 3.76 

Energy Efficiency and Renewable Energy A- 3.71 1.4% 0.05 

 Performance Goal 2 Total 3.81 

 

Table 2.4 - Overall Program Office Performance Goal Score Development 

Table 2.5 – 2.0 Goal Final Letter Grade 

Total 

Score 4.3-4.1 4.0-3.8 3.7-3.5 3.4-3.1 3.0-2.8 2.7-2.5 2.4-2.1 2.0-1.8 1.7-1.1 1.0-0.8 0.7-0 

Final 

Grade A+ A A- B+ B B- C+ C C- D F 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 12 

3.0 Provide Effective and Efficient Science and Technology Research Project/Program Management 

The Contractor provides effective program vision and leadership; strategic planning and development of 

initiatives; recruits and retains a quality scientific workforce; and provides outstanding research 

processes, which improve research productivity. 

The weight of this Goal is 24.5% 

The performance evaluation narrative for goal 3.0 and its objectives is found at Appendix A and B of this 

report. 

Objectives: 

3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and Program Vision 

Program Page # 

ASCR A-7

BER A-15

BES A-21

FES A-25

HEP A-28

NP A-35

WDTS A-39

EERE B-8

FE B-29

3.2 Provide Effective and Efficient Science and Technology Project/Program Planning and Management 

Program Page # 

ASCR A-8

BER A-15

BES A-22

FES A-25

HEP A-28

NP A-35

WDTS A-39

EERE B-8

FE B-29

3.3 Provide Efficient and Effective Communications and Responsiveness to Customer Needs 

Program Page # 

ASCR A-8

BER A-15

BES A-22

FES A-25

HEP A-28

NP A-36

WDTS A-40

EERE B-9

FE B-29
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 13 

Science Program Office Letter Numerical Objective Weighted Overall 

 Grade Score Weight Score Score 

Office of Advanced Scientific Computing 

Research 

3.1 Effective/Efficient Stewardship B+ 3.3 30% 0.99 

3.2 Project/Program Planning & Management B 2.8 40% 1.12 

3.3 Communications and Responsiveness B 3.0 30% 0.90 

 Total 3.01 

Office of Basic Energy Sciences 

3.1 Effective/Efficient Stewardship A- 3.7 40% 1.48 

3.2 Project/Program Planning & Management A- 3.5 30% 1.05 

3.3 Communications and Responsiveness B+ 3.2 30% 0.96 

 Total 3.49 

Office of Biological and Environmental 

Research 

3.1 Effective/Efficient Stewardship A 3.9 20% 0.78 

3.2 Project/Program Planning & Management A 3.8 30% 1.14 

3.3 Communications and Responsiveness B+ 3.1 50% 1.55 

 Total 3.47 

Office of Fusion Energy Sciences 

3.1 Effective/Efficient Stewardship B+ 3.1 35% 1.09 

3.2 Project/Program Planning & Management B+ 3.1 30% 0.93 

3.3 Communications and Responsiveness B+ 3.1 35% 1.09 

 Total 3.10 

Office of High Energy Physics 

3.1 Effective/Efficient Stewardship A- 3.6 40% 1.44 

3.2 Project/Program Planning & Management B+ 3.1 40% 1.24 

3.3 Communications and Responsiveness B 3.0 20% 0.60 

 Total 3.28 

Office of Nuclear Physics 

3.1 Effective/Efficient Stewardship A 3.9 40% 1.56 

3.2 Project/Program Planning & Management A- 3.7 40% 1.48 

3.3 Communications and Responsiveness B+ 3.4 20% 0.68 

 Total 3.72 

Office of Workforce Development 

3.1 Effective/Efficient Stewardship B+ 3.2 20% 0.64 

3.2 Project/Program Planning & Management B+ 3.2 40% 1.28 

3.3 Communications and Responsiveness B+ 3.4 40% 1.36 

 Total 3.28 

Table 3.1 – 3.0 SC Program Office Performance Goal Score Development 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 14 

Science Program Office Letter Numerical BA Weighted Overall 

 Grade Score Weight Score Score 

Office of Advanced Scientific Computing 

Research B 3.01 20.3% 0.61 

Office of Basic Energy Sciences A- 3.49 26.3% 0.92 

Office of Biological and Environmental 

Research A- 3.47 27.6% 0.96 

Office of Fusion Energy Sciences B+ 3.10 2.2% 0.07 

Office of High Energy Physics B+ 3.28 16.0% 0.52 

Office of Nuclear Physics A- 3.72 7.4% 0.28 

Office of Workforce Development B+ 3.28 0.2% 0.01 

 Performance Goal 3 Total 3.36 

Table 3.2 – SC Program Office Overall Performance Goal Score Development 

HQ Program Office Letter Numerical Objective Weighted Overall 

 Grade Score Weight Score Score 

Energy Efficiency and Renewable Energy 

3.1 Effective/Efficient Stewardship A- 3.7 50% 1.85 

3.2 Project/Program Planning & 

Management A- 3.7 25% 0.93 

3.3 Communications and Responsiveness A- 3.7 25% 0.93 

 Total 3.71 

Fossil Energy 

3.1 Effective/Efficient Stewardship A 4.0 40% 1.60 

3.2 Project/Program Planning & 

Management A 4.0 30% 1.20 

3.3 Communications and Responsiveness A 4.0 30% 1.20 

 Total 4.00 

Table 3.3 – 3.0 HQ Program Office Performance Goal Score Development 

HQ Program Office Letter Numerical BA Weighted Overall 

 Grade Score Weight Score Score 

Office of Science B+ 3.36 90.9% 3.05 

Energy Efficiency and Renewable Energy A 3.71 6.9% 0.26 

Fossil Energy A 4.00 2.1% 0.09 

 Performance Goal 3.0 Total 3.40 

 

Table 3.4 - Overall Performance Goal Score Development 

Table 3.5 – 3.0 Goal Final Letter Grade 

Total 

Score 4.3-4.1 4.0-3.8 3.7-3.5 3.4-3.1 3.0-2.8 2.7-2.5 2.4-2.1 2.0-1.8 1.7-1.1 1.0-0.8 0.7-0 

Final 

Grade A+ A A- B+ B B- C+ C C- D F 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 15 

4.0 Provide Sound and Competent Leadership and Stewardship of the Laboratory 

The Contractor’s Leadership provides effective and efficient direction in strategic planning to meet the 

mission and vision of the overall Laboratory; is accountable and responsive to specific issues and needs 

when required; and corporate office leadership provides appropriate levels of resources and support for 

the overall success of the Laboratory. 

The weight of this Goal is 25%.

The Provide Sound and Competent Leadership and Stewardship of the Laboratory Goal measured the 

Contractor’s Leadership capabilities in leading the direction of the overall Laboratory. It also measured the 

responsiveness of the Contractor to issues and opportunities for continuous improvement and corporate office 

involvement/commitment to the overall success of the Laboratory. 

For Goal 4.0, Lawrence Berkeley National Laboratory (LBNL) achieved a numerical score of 3.3, the 

equivalent of a grade of B+. Goal 4.0 has three objectives with 11 measures. 

FY2009 was a year of transition for the laboratory’s leadership. After former LBNL Director Steven Chu was 

confirmed as Secretary of Energy in January 2009, Deputy Director Paul Alivisatos was named Interim Director 

and Physical Biosciences Division Director was named Acting Deputy Director. The Department sees great 

potential for performance that could exceed expectations in the coming years. 

4.1 Provide a Distinctive Vision for the Laboratory and an Effective Plan for Accomplishment of the Vision 

to Include Strong Partnerships Required to Carry Out those Plans 

 

The Laboratory’s score for FY2009 under this performance objective is 3.3, the equivalent of a grade of B+.

Performance Objective 4.1 has five measures, each with associated target(s). 

The Annual Laboratory Plan provides all required data in a clear and concise manner and is completed 

within established guidelines and schedules. The Laboratory Mission included in the plan provides a 

clear understanding of the distinctive characteristics of the Laboratory. 

LBNL updated its Annual Laboratory Plan (ALP) in FY2009 according to SC’s guidance. It integrates the 

Laboratory’s core capabilities and science mission strategies with financial expectations and facilities and 

infrastructure (F&I) plans. An overview of the Plan was presented to SC leadership in HQ on April 28, 2009. 

LBNL’s distinctive characteristics are delineated in fourteen core capabilities and seven science strategy areas 

with twenty initiatives applicable to a broad spectrum of DOE missions. The science strategy areas are: 1) Soft 

X-Ray Science for Energy Research, 2) Nanosystems for Solar Fuels and Energy Storage, 3) Dark Matter and 

Dark Energy R&D, 4) Computational Science at the Extreme, 5) Systems and Materials for Energy Efficiency, 

6) Biological and Environmental Strategies for Energy Research, and 7) Accelerator Science and Engineering 

for Energy Research. As an indicator of both the quality and breadth of its research, LBNL won four R&D 100 

Awards in 2009: cost-competitive solar cells, more computer memory at less cost, atomic scale matter in 3-D, 

and a more powerful analytical way to find geologic energy sources. 

Strategic site investments totaling over $1.2B over the next decade are included in the ALP to seismically 

upgrade or replace deficient buildings, demolish outdated buildings, construct new office and laboratory space, 

and modernize facilities and infrastructure to improve the condition of site assets and ensure mission readiness. 

A combination of DOE program, SC Science Laboratory Infrastructure (SLI), LBNL indirect, and UC 

contractor resources are included to support this ambitious plan. While the planning process is inherently 

dynamic, DOE is concerned that the Laboratory’s F&I plans were in a state of considerable flux during the year, 

especially the multi-facility SLI Seismic Phase 2 & 3 projects. 

Strategic partnerships are developed that demonstrate the Laboratory’s leadership, leverage DOE 

resources, and support collaborative programs with other DOE laboratories and academic, and industry 

groups. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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LBNL continued to expand a broad and diverse portfolio of research partnerships and collaborations with other 

DOE national laboratories, federal research agencies, universities, and the private-sector. Over a dozen new 

MOUs with international institutions for collaborative research were also developed during the year. 

Collectively, these demonstrate the Laboratory’s leadership and leverage its capabilities to advance DOE 

missions. Highlights of notable accomplishments in FY2009 follow. LBNL continued to provide technical 

and management leadership of the NSF-sponsored Deep Underground Science and Engineering Laboratory 

(DUSEL) at the Homestake mine in Lead, S.D. The Project submitted a proposal to NSF for the design phase 

of the facility that will integrate experimental efforts into the design, including long baseline neutrino 

experiments. 

LBNL led the four SC laboratories with synchrotron light sources (LBNL, SLAC, ANL, BNL) in developing a 

plan and report for “Science and Technology of Future Light Sources.” A key part of this is the Laboratory’s 

planned Next-Generation Light Source based on a superconducting RF accelerator, high-rep rate soft X-ray free 

electron laser facility for ultrafast science. LBNL also successfully led a five institution partnership (with ANL, 

BNL, ORNL and UIll-UC) to develop an install the Transmission Aberration-corrected Microscope (TEAM) at 

the National Center for Electron Microscopy (NCEM). TEAM 1.0 was completed on schedule and on budget in 

September 2009, and it is now the world’s most powerful electron microscope. In its third year of operations, 

the Molecular Foundry user base continued to grow and now includes industrial partnerships on 22 active 

projects and an internship program with three European institutes. Building on its successful Energy Frontier 

Research Center (EFRC) award for the Nanoscale Control of Geologic CO2, LBNL has developed new 

partnerships in carbon sequestration research, including several with China. 

LBNL’s Center for Integrated Earth System Modeling (CIESM) established four new multi-laboratory 

collaborations with ANL, BNL, LANL, LLNL, ORNL, and PNNL on the projection and mitigation of climate 

change which will be shared with the international scientific community through the joint DOE-NSF 

Community Climate System Model. The Joint Bioenergy Institute (JBEI), an LBNL-led collaboration with 

SNLL, LLNL, UC Berkeley, UC Davis, and the Carnegie Institute for Science, had a productive second year of 

R&D into cellulosic biofuels, with expanding invention disclosures, patents filed, and industry interactions. 

LBNL continued to lead the Joint Genome Institute (JGI), a national user facility and genomic science 

collaboration that includes LLNL, LANL, ORNL, PNNL, and the Hudson Alpha Institute for Biotechnology. 

Following up on recommendations from a science and operations review in Dec. 2008, the JGI initiated the 

production transition to a new generation of higher-capacity DNA sequencers, prioritized support to the three 

Bioenergy Research Centers, and established contractual funding agreements and performance metrics with the 

partner institutions. Although the JGI has began to strengthen its Informatics and genomic analytical 

capabilities, DOE remains concerned about continued leadership turnover in this increasingly important area of 

the facility. 

Effectiveness of the Work-for-Others (WFO), planning, management, and reporting that serves the needs 

of both LBNL and DOE, facilitates the project approval process. 

LBNL met expectations in its planning and management of the Work For Others (WFO) program, and 

supported the BSO’s review of the activity in March 2009. DOE is pleased by LBNL’s decision to invest in a 

new information technology system to support its sponsored projects and industrial partnerships program, and 

encourages the development of a plan to fully implement the new system by the end of FY2011. 

Effectiveness in developing and implementing communications and community relations strategies that 

enhance the reputation of LBNL, the Office of Science, and DOE. 

LBNL reorganized and redirected its public affairs activities toward six communications goals: 1) creating a 

consistent branding framework for the varied research activities at Berkeley Lab in order to unify the image of 

the Labs scientific research for more general audiences, 2) developing programs and opportunities for 

communicating that brand externally in order to raise LBNL’s visibility, 3) redesigning and promoting lbl.gov

as the primary source of timely information about Berkeley Lab, 4) building and nurturing a creative presence 

in social media, 5) improving and upgrading media relations to leverage good news coming from Berkeley 

Lab, and 6) securing improved relationships with primary stakeholders at DOE and UCOP. Following are 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 17 

highlights from FY09 communication efforts. A lay-audience brochure was created titled “21 Berkeley Lab 

Breakthroughs that Improved the World - and Our Lives" to highlight LBNL’s historical science achievements 

and their benefits to society. LBNL redesigned its website (www.lbl.gov) resulting in a 50% increase in usage. 

New additions include a video glossary to educate the general public on scientific terms and Laboratory 

research, a webpage for easy access to information on LBNL's ARRA activities, and a news blog for easy 

access to articles that feature LBNL news. The “Science at the Theater” program was also redesigned using a 

panel format moderated by a local newscaster, which increased attendance and interest in the science programs 

and activities at LBNL. 

LBNL initiated a Community Advisory Group to increase communication efforts with the Lab’s stakeholders. 

LBNL has worked proactively with the City of Berkeley regarding demolition of the Bevatron, particularly 

planning for truck shipments of shielding blocks and steel through the community. LBNL is a founding 

member in the East Bay Green Corridor partnership which is seeking to create a regional environmental hub 

and promote the East Bay as a nucleus of green research and manufacturing. In 2009, this partnership expanded 

from four to eight East Bay cities, and also added three local colleges. To assist the needed demolition and 

remediation of LBNL’s “Old Town” area, which is essential to create new building space on the site, LBNL 

secured letters of support from local elected officials to DOE-EM signed by Governor Schwarzenegger, 

Congresswoman Lee, Berkeley Mayor Bates, and Oakland Mayor Dellums. EM funding for this work is 

anticipated in FY2010. 

Analysis of the cost baseline developed during FY08 to evaluate strengths and weaknesses of baseline 

costs in meeting mission needs and recommend areas where cost savings could be realized and additional 

resources would enhance mission accomplishment. 

LBNL also met expectations in developing a study for understanding drivers and trends in its indirect costs, and 

presenting it to SC leadership. Expansion of categories in the eBuy supply chain initiative continue to provide 

cost savings relative to past practices. 

4.2 Provide for Responsive and Accountable Leadership throughout the Organization 

LBNL’s score for FY2009 under this performance objective is 3.3, the equivalent of a grade of B+. Objective 

4.2 has four measures, each with associated target(s). 

Leadership maintains an effective assurance function with cognizance of robust feedback and continuous 

improvement. Laboratory risks are managed commensurate with the level of significance and severity. 

During FY2009, LBNL conducted or updated Assurance Gap analyses of eight key Operations systems. Below 

is a brief summary of the findings and follow-up actions in each of the functional areas: 

 ES&H – 4 risk areas with “limited” assurance. These are being addressed through the HSS Review 

Corrective Action Plan (CAP), and will be closed in FY10. 

 Capital Projects - 2 risk areas were identified. They were addressed in FY09 by internally restructuring 

the management of Small and Capital Projects. 

 Information Technology – no significant risks were identified. 

 Financial Management – 7 gaps were identified. LBNL’s Internal Audit Services is helping to address 

findings. 

 Procurement – no significant risks were identified. 

 Property Management – 4 risk areas were identified. They are being addressed by implementation of a 

new Property Management Strategic Plan. 

 Emergency Management – 7 risks were identified. Three gaps were closed in FY09, and the remaining 

four are scheduled for completion in FY10. 

 Physical Security – 1 gap was identified. It was closed during FY09. 

During FY09, LBNL received over $220 million in American Reinvestment and Recovery Act (ARRA) 

funding from across all major SC programs, with more expected in FY10 from the DOE applied energy 

program offices. LBNL was proactive in planning for ARRA activities and establishing the need internal 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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controls and reporting protocols. It established an ARRA Project Management Plan, and a governing Stimulus 

Steering Committee to provide decision-making and oversight. ARRA training for management, business, 

financial, and other affected staff was internally developed and implemented. LBNL also provided good 

communications and access to LBNL ARRA-related information through its webpage at www.recovery.lbl.gov. 

Leadership is committed to a pervasive safety culture, and strives for continuous safety performance 

improvement. 

A site-wide Integrated Safety Management (ISM) review was conducted by the DOE Office of Health, Safety 

and Security (HSS) in early FY2009. LBNL prepared extensively for the review, and overall HSS found a 

strong leadership commitment to ISM and a generally good safety culture at LBNL. Still, the review had nearly 

100 findings indicating that while the LBNL has pockets of ISM excellence, it is not uniform across the entire 

laboratory. LBNL did a credible job of causal analysis on the findings, and submitted a Corrective Action Plan 

(CAP) that was approved by DOE in June 2009. Although LBNL again did not achieve the TRC and DART 

goals for injury rates in FY09 (1.62/0.56 vs. targets 0.65/0.25, respectively), overall safety performance has 

improved since last year. The majority of work-related injuries were ergonomic, and LBNL is implementing an 

aggressive ergonomic evaluation program for ~4000 employees and guests that identified ~80 “high risk” 

positions for preventative mitigations. Despite a significant increase in construction work on-site over the past 

several years, FY09 marks the fourth consecutive year without a single construction lost-time injury, 

significantly better than industry standards. 

The Contractor will demonstrate that its Senior Managers are kept informed about evolving cyber 

security risks and threats. 

LBNL met expectations in providing risk-focused cyber-security communications to LBNL senior management. 

The CIO provided the leadership team timely threat updates, and briefed them on cyber-security policy 

developments, particularly as they related to the Secretary’s review of DOE’s Cyber-Security program. 

Leadership will improve internal communications on scientific, operational, and administrative issues.

LBNL also met expectations in enhancing internal communications with staff. New efforts in FY09 included: 

video messages from the Interim Director, usually through a “Today at Berkeley Lab” (TABL) weblink, the 

addition of “Our Safety” webpage linked to the homepage, frequent safety notices in TABL and via all-hands 

emails, and the open brown-bag lunches with senior leadership around specific topics (UC salaries & pensions, 

union contracts, shuttle bus services, workplace survey results). 

 

4.3 Provide Efficient and Effective Corporate Office Support as Appropriate 

LBNL’s score for FY2009 under this performance objective is 3.3, the equivalent of a grade of B+. Objective 

4.3 has two measures, each with associated target(s). 

University support of programs, business and other operations, including administration, finance, human 

resources, and facilities, and process and procedure improvements. 

The University of California (UC) completed the Berkeley Guest House at LBNL in FY09. This $10M, 57 

room facility is providing onsite lodging for User facility users and visitors to LBNL. This completes a 

commitment made in UC’s 2005 proposal to DOE to continue managing and operating LBNL. UC reinvested 

$3.144M (~75%) of its FY08 earned fee back into Contractor Supported Research at LBNL. UC senior 

managers have increased their interactions with senior DOE and SC officials regarding LBNL including 

participating in visits to LBNL by senior DOE and other officials. The UC Office of the President (UCOP) 

participated throughout the LBNL ISM review by DOE-HSS in FY09, and also provided support in the 

corrective action process. UCOP continued to provide a variety of human resources-related support to LBNL 

including: leadership continuity/new Director search, recruitment and retention, labor relations agreements/new 

union contracts, pension and retirement resources, business continuity planning, training, diversity planning, et 

al. UC also worked closely with DOE during the California fiscal crisis to ensure that University cost savings 

measures were executed in a manner that did not adversely impact the LBNL contract. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 19 

The demonstrated accomplishment of the Contractor to conduct appropriate corporate oversight and 

assurance. 

The executive-level LBNL Advisory Board (LAB) met in March 2009 and June 2009 and reviewed a range of 

LBNL science and operations topics including the leadership transition, science programs and initiatives, 

stimulus/ARRA funding, space and site planning including Old Town, the HSS ISM review, recruitment and 

retention, Operations climate and Post-Doc surveys, et al. The Board’s reports advise the UC President, UCOP 

and LBNL leadership, and copies are made available to DOE. The UC Contract Assurance Council (CAC) 

meets monthly with LBNL Operations leadership, and the BSO Site Manager periodically attends. The CAC 

works to ensure that the terms of the LBNL contract and UC bylaws are met, and it advises the UCOP 

Executive VP for Laboratory Management on issues needing management attention. Key CAC focus areas in 

FY09 included: the HSS ISM review and associated CAP, conflict of interest, ARRA funding management and 

related systems, LBNL’s assurance program and the gap analyses performed for Operations systems, and 

Internal Audit Services. During FY09, UCOP, LBNL, and BSO updated a set of Operating Principles to 

promote mutual partnership objectives. 

ELEMENT Letter 

Grade 

Numerical 

Score 

Objective 

Weight 

Total 

Points 

Total 

Points 

4.0 Effectiveness and Efficiency of 

Contractor Leadership and 

Stewardship 

4.1 Provide a Distinctive Vision for the 

Laboratory and an Effective Plan for 

Accomplishment of the Vision to 

Include Strong Partnerships Required 

to Carry Out those Plans 

B+ 3.3 40% 1.32 

4.2 Provide for Responsive and 

Accountable Leadership throughout 

the Organization

B+ 3.3 40% 1.32 

4.3 Provide Efficient and Effective 

Corporate Office Support as 

Appropriate 

B+ 3.3 20% 0.66 

Performance Goal 4.0 Total 3.3 

Table 4.1 – 4.0 Goal Performance Rating Development

Table 4.2 – 4.0 Goal Final Letter Grade 

Total 

Score 

4.3-

4.1 

4.0-

3.8 

3.7-

3.5 

3.4-

3.1 

3.0-

2.8 

2.7-

2.5 

2.4-

2.1 

2.0-

1.8 

1.7-

1.1 1.0-0.8 0.7-0 

Final 

Grade A+ A A- B+ B B- C+ C C- D F 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 20 

5.0 Sustain Excellence and Enhance Effectiveness of Integrated Safety, Health and Environmental Protection 

The weight of this goal is 27 percent. 

The Sustain Excellence and Enhance Effectiveness of Integrated Safety, Health, and Environmental Protection 

Goal measured the Contractor’s overall success in preventing worker injury and illness; implementation of 

ISM down through and across the organization; and providing effective and efficient waste management, 

minimization, and pollution prevention. 

For FY 2009, Goal 5.0, LBNL earned a numerical score of 3.0, the equivalent of a grade of B based on the 

targets and measures of the PEMP. Goal 5.0 has three objectives with a total of 14 measures. However, as 

stated in the PEMP the measures and targets are to be the primary though not exclusive source for performance 

information. 

During this rating period LBNL continued to improve their institutional ISM Program. LBNL management 

demonstrated a commitment to safety through increased ES&H resources, development of new safety 

programs and continued improvement in incident reporting. It is very apparent that a major improvement in 

the safety culture at LBNL has taken hold, with increasing awareness of safety related issues and increased 

depth of commitment to safety throughout the lab. LBNL’s concentrated effort to prepare for, respond to and 

develop corrective actions for the DOE HSS Office of Independent Oversight evaluation of ISM 

implementation at LBNL was exemplary. However, notable weaknesses continued to be evident as 

documented in the HSS inspection report dated, April 16, 2009. DOE-SC’s final assessment of LBNL 

performance took into account systemic safety deficiencies and incidents that have occurred over the past three 

rating periods. During this rating period LBNL demonstrated a strong desire for safety excellence and 

prepared an excellent roadmap to achieve “Best in Class” status. LBNL must now demonstrate sustainability 

through solid implementation of their HSS corrective action plan. 

5.1 Provide a Work Environment that Protects Workers and the Environment 

LBNL’s score for FY2009 under this performance objective is 3.1, the equivalent of a grade of B+. Objective 

5.1 has six measures, each with associated targets. 

Demonstrate effective implementation of the 10 CFR 851 program 

BSO and LBNL continued to meet weekly to discuss new issues entered into the lab's internal tracking system 

and review issues that have potential for noncompliance with 10 CFR 851. LBNL appropriately analyzed 

external and internal information to make thoughtful determinations on compliance reporting. The annual 

update of the LBNL Worker Safety and Health (WSH) Program Description was submitted and approved as 

expected. While some specific programs under the WSH Program Description are under construction as a 

result of deficiencies noted in the HSS review, LBNL has met their target for this measure.

Demonstrate effective management of the 10 CFR 830 and 10 CFR 835 program for nuclear safety and 

quality assurance. 

Nuclear Safety 

LBNL did continue to make good progress on completing scheduled corrective actions for the facility hazard 

categorization review as demonstrated in BSO verification of completed corrective actions in May 2009. 

LBNL’s management of the CAP under the ISM CAP Project provides a useful mechanism for tracking and 

documenting progress, and demonstrates LBNL’s management commitment to resolving these issues. 

However, several corrective actions were completed after the target date and many corrective actions had to be 

rescheduled due to lack of resources, or redefined because they were poorly understood. 

LBNL points to no 10 CFR 830 non-compliances being identified as an indicator of good performance. This is 

misleading: no non-compliance identification could be due to a failure to report non-compliances or not 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 21 

knowing when non-compliance has occurred. No non-compliance reporting does not equal demonstration of 

improved nuclear safety compliance. 

Radiation Protection 

LBNL’s self-assessment bases their performance rating in part due to only a single 10 CFR 835 PAAA 

violation being reported to NTS for FY09 for “Programmatic Deficiencies in the Sealed Source Program” 

(NTS—BSO-LBN-EHS-2008-0010). This fails to recognize that NTS—BSO-LBL-EHS-2009-0003, “HSS 

Assessment – Hazard ID & Assessment Need Improvement” identifies four non-compliances with 10 CFR 835. 

NTS Report 2009-0003 addresses the ten findings from the HSS ES&H Assessment Report (April 2009), one of 

which pertained specifically to 10 CFR 835: 

“LBNL has not established and implemented sufficient radiation protection requirements in the areas 

of radiological work authorizations, contamination control, radiological postings and boundary 

control, technical basis documentation, and training, as needed to ensure adequate radiological safety 

consistent with all applicable requirements of 10 CFR835, Occupational Radiation Protection.” 

The fact that LBNL’s Radiation Protection Program was found in the HSS ES&H Assessment to be deficient 

should reasonably lead to the conclusion that LBNL’s performance requires significant improvement. 

Demonstrate progress toward full compliance with DOE facility safety requirements. 

Facility Hazard Categorization CAP: 

As noted in the above measure, LBNL continues to make good progress on the completion of the Facility 

Hazard Categorization CAP, and LBNL senior management has demonstrated its commitment to development 

and implementation of a nuclear safety program. BSO is encouraged that additional resources have been 

allocated to the Radiation Protection Group and several new hires have been made this fiscal year. However, 

key aspects of the CAP have been delayed due to competing priorities and a less than complete understanding 

of how to achieve identified corrective actions. For example completion of the site wide confirmatory 

inventory, issuing the institutional policy for 10 CFR 830, acquisition of allocated resources, and issuing a new 

institutional procedure for safety basis requirements all had their target dates extended because of competing 

priorities or simply requiring additional time to complete. Six corrective actions of the thirteen scheduled for 

completion in FY09 in the NTS report were completed after the target date (3) or are still shown as open (3). 

While there are demonstrated improvements in inventory control for radiological materials and increased 

assurance that facilities are maintained below Hazard Category 3 inventories, the development of a 

methodology for performing hazards analysis for radiological facilities and its implementation continues to lag. 

Accelerator Safety Documentation: 

LBNL successfully submitted Safety Assessment Documents (SAD) and their associated Accelerator Safety 

Envelopes (ASE) for both the 88 Inch Cyclotron and Advanced Light Source (ALS) in FY2009 although BSO 

revised the deadlines for submittal at LBNL’s request. LBNL senior management demonstrated their support of 

achieving compliance with the Accelerator Safety Order, DOE O 420.2B, through securing resources from 

LLNL to assist in performing the hazard analyses for these accelerator facilities. RPG has been given the 

approval to hire a full-time safety analyst to support the development and maintenance of SADs and ASEs, and 

interviews are ongoing. RPG and accelerator facility personnel worked closely with BSO in support of the 

review and approval process. 

In the course of the SAD/ASE review and approval process, BSO identified systemic issues within LBNL’s 

institutional accelerator safety program. On September 2, 2009, LBNL issued a revised procedure for 

compliance with DOE O 420.2B (EHS 703) in an effort to address the BSO identified issues. An oversight 

assessment will be scheduled in FY2010 to evaluate the new institutional accelerator safety program.

The Contractor’s progress in achieving and maintaining “best-in-class” ES&H program performance, as 

measured by the days away, restricted or transferred (DART) case rate and total recordable (TRC) case 

rate. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 22 

LBNL continued to aggressively pursue the largest contributor of recordable injury. Significant ES&H 

resources were provided to assist employees and prevent injury. Nevertheless, LBNL failed to meet the SC 

goals for recordable injuries. 

Demonstrate progress in inspecting existing electrical equipment not Nationally Recognized Testing 

Laboratory listed. 

The approach taken to this project was well thought out and executed. A comprehensive training program was 

developed and implemented to help employees complete the surveys, and additional assistance and resources 

were provided by the lab when needed to help the divisions be successful. 

Starting in March, 2009 there was steady progress made in the number of surveys completed. Database reports 

were analyzed to determine that most divisions participated and completed an appropriate number of surveys. 

A few divisions seem to either have not fully completed the surveys or have a significantly small inventory of 

electrical equipment. An example is PBD, which performed 122 surveys while LSD performed1531surveys. 

As of September 16, 2009, almost 17,000 pieces of equipment have been surveyed, above the 15,000 estimate 

that was predicted at the beginning of the program. Overall, the lab was successful in exceeding the target for 

this measure.

5.2 Provide Efficient and Effective Implementation of Integrated Safety, Health and Environment 

Management 

LBNL’s score for FY2009 under this performance objective is 2.8, the equivalent of a grade of B. Objective 

5.2 has six measures, each with associated targets. While performance against the measures would have 

suggested a higher grade should be given, the BSO had to consider the impact of several safety incidents and 

information that evolved from these events regarding LBNL’s ability to safely plan and control work. While 

there is notable improvement in work control across all laboratory divisions, and the ESH Division has made 

tremendous progress developing good safety programs, there still appears to be ambiguous direction within the 

Facilities Division regarding implementation of safety regulations. This concern is particularly critical given 

the large increase in facilities work from ARRA funded projects. These concerns were conveyed in multiple 

letters to UCOP throughout the performance year. 

Validation of effective ISM implementation within each Laboratory Division 

Each of LBNL’s 17 divisions assessed their activities and operations. EH&S Division subject 

matter experts performed technical reviews of over 20 ES&H programs. LBNL also performed independent 

assessments of laser safety and fall protection. Using methodology similar to the HSS reviewers, LBNL 

independently assessment the remaining 6 scientific division that had not been reviewed during the audit. 

Institutional processes effectively report events/incidents and conditions promoting continuous 

improvement and lessons learned. 

In February of 2009, the HSS Independent Oversight Team identified deficiencies in LBNL’s processes and in 

the accuracy of LBNL’s documentation of discovery dates and times that resulted in categorization and 

notification that did not meet the requirements of DOE Manual 231.1-2. A review of ORPS reports after March 

of 2009 revealed that, although many of the ORPS reports do not meet the requirements of DOE Manual 231.1-

2, the process of categorizing and notifying DOE was improving. For example, a review of the BSO Duty 

Officer log-book revealed that although there have been 16 reportable events leading to ORPS reports, there 

were well over 25 calls to the Duty Officer about incidents that were potentially reportable in FY09. This 

demonstrates a commitment to identifying and reporting incidents and potential ORPS reports to BSO in an 

expeditious manner. All indications are that LBNL is following their internal procedures for the analysis for 

recurring cases and the identification of corrective actions and lessons learned in order to initiate 

process/program improvements. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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Implementation of the JHA processes will be verified and validated as part of the work authorization 

process. 

A document review was performed using the LBNL internal criteria for active and accurate JHAs. This review 

concluded that LBNL had met their target for active and accurate JHAs, containing a description of work, 

identifying tasks and hazards, and implementing controls such as training completion. In addition, BSO 

performed a field review of representative JHAs to determine if the documents reflected the actual work being 

performed. This review also concluded that the JHA program is improving and that adequate progress has been 

made this year toward a fully implemented system. 

Opportunities for improvement: Continued enhancement of the “description of work” fields and the specificity 

of tasks and controls are suggested areas for improvement, and LBNL is addressing these concerns through 

corrective actions developed for the HSS CAP. Another suggested improvement for document control is having 

a watermark appear on hard copy JHAs stating that the official copy is found online and that this document is 

uncontrolled when printed. Several people produced hard copy JHAs during the review that were not active, 

however the official online version was active.

Implementation of the Technical Assurance Program (TAP) will be completed per the 3-year schedule. 

Systemic safety program issues will be identified and their causes analyzed per appropriate causal 

analysis methodology. 

While still not fully mature, the TAP did continue to evolve. The HSS review noted that: “The LBNL technical 

assurance program (TAP) has the potential to be a highly effective tool for subject matter experts to assess the 

adequacy of safety programs and implementation. Although in its early stages of implementation, the TAP 

concept – including the comprehensive approach to evaluating compliance, performance, and program 

adequacy defined in the program manual; the formal assessment plans; and the reporting and trending 

requirements – constitute an effective self-assessment program element.” 

One area of the TAP that demonstrated sustained improvement over the past three years and was validated 

effective in FY2009 was the Laser Safety Program. After significant weaknesses in the Laser Safety Program 

were identified in reviews in 2005 and 2006, LBNL hired a well qualified laser safety officer and developed a 

robust laser safety program. LBNL’s TAP conducted a programmatic assessment and BSO verified the 

effectiveness of the program and TAP assessment. 

Complete required safety-related training identified through the Job Hazard Analysis program. 

This measure was added at midyear, with data collected for the months of June through September, 2009. For 

three of the four months, all divisions met the target of 90%. At the end of June, two divisions fell under 90% 

for all required training (physics at 89% and public affairs at 88%), which includes other training such as 

hosting foreign nationals and cyber-security. In addition, the public affairs number was determined to be low 

due to a large number of recent hires that hadn't had the opportunity to attend training yet. 90% of the safety 

related training was completed, therefore the lab met their performance target for this measure.

Install safety training-dependent access control system to key LBNL locations requiring restricted access. 

LBNL implemented a new policy to link General Employee Radiological Training (GERT) and card-access 

entrance to the Lab. Employees without valid GERT will have all their badge access authorizations revoked. 

LBNL completed an analysis of expanding physical access controls and cost of implementation. 

5.3 Provide Efficient and Effective Waste Management, Minimization, and Pollution Prevention 

LBNL’s score for FY2009 under this performance objective is 3.5, the equivalent of a grade of A-. Objective 

5.3 has two measures, each with associated targets. 

The Contractor shall develop, implement, and maintain an Environmental Management System (EMS) 

that reflects the EMS elements and framework found in the International Organization for 

Standardization’s (ISO) 14001-2004 (E) International Standard or equivalent. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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LBNL commissioned an independent assessment of their revised Environmental Program (EMS). The review 

found no nonconformances and three strong points. As a result of the assessment BSO was able to declare their 

Environmental Management System fully implemented by the deadline established by DOE Order 450.1A. 

The Contractor shall complete the EMS Projects designed to minimize waste, reduce emissions and/or 

conserve resources.

LBNL completed 18 projects for implementation of in-house energy conservation measures; updating the 

subcontract terms to specify sustainable acquisition measures in applicable subcontracts; reducing petroleum 

fuel use by 2%; renewal of the R&D test site authorization with CARB for E85 fuel dispensing; installing diesel 

abatement devices on two stationary generators; performing detailed energy study by energy service contractor 

(NORESCO); and completing phases I and II of the nanoparticle study. 

ELEMENT Letter 

Grade 

Numerical 

Score 

Objective 

Weight 

Weighted 

Score 

Total 

Points 

5.0 Sustain Excellence and Enhance 

Effectiveness of Integrated Safety, 

Health and Environmental 

Protection 

5.1 Provide a Work Environment that 

Protects Workers and the 

Environment. 

B+ 3.1 30% 0.93 

5.2 Provide Efficient and Effective 

Implementation of Integrated Safety, 

Health and Environment Management

B 2.8 50% 1.40 

5.3 Provide Efficient and Effective Waste 

Management, Minimization, and 

Pollution Prevention. 

A- 3.5 20% 0.70 

Performance Goal 5.0 Total 3.0 

Table 5.1 – Goal 5.0 Performance Rating Development

Final 

Grade A+ A A- B+ B B- C+ C C- D F 

Total 

Score 4.3-4.1 4.0-3.8 3.7-3.5 3.4-3.1 3.0-2.8 2.7-2.5 2.4-2.1 2.0-1.8 1.7-1.1 1.0-0.8 0.7-0 

Table 5.2 – Goal 5.0 Final Letter Grade 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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6.0 Deliver Efficient, Effective, and Responsive Business Systems and Resources that Enable the Successful 

Achievement of the Laboratory Mission(s) 

The Contractor sustains and enhances core business systems that provide efficient and effective support to 

Laboratory programs and its mission(s). 

The weight of this Goal is 20 percent. 

The Deliver Efficient, Effective, and Responsive Business Systems and Resources that Enable the Successful 

Achievement of the Laboratory Mission(s) Goal measured the Contractor’s overall success in deploying, 

implementing, and improving integrated business system that efficiently and effectively support the mission(s) 

of LBNL. 

For FY2009, LBNL achieved the target for Goal 6.0 by successfully demonstrating there are efficient and 

effective business systems in place to ensure meeting the mission of the Laboratory. For the six systems 

evaluated: financial management; acquisition management; property management; human resource 

management; internal audit and information management; and, technology transfer and commercialization of 

intellectual assets, each objective score was given a weighting. 

For FY2009 the combined numeric score is 3.6 which translates to a grade of A- and is based on the following 

accomplishments for each management system. 

6.1 Provide an Efficient, Effective, and Responsive Financial Management System(s) 

LBNL’s score for FY2009 under this performance objective is 3.8, the equivalent of a grade of A. 

Objective 6.1 is a measure of the effectiveness of the financial management systems of the Laboratory. A 

balanced scorecard model is used to measure performance in four activities: the ethics/governance/compliance 

activities; financial activities; people activities; and internal business activities. 

Financial Management was evaluated under one measure focused on achievement of seven Balanced Scorecard 

Plan activities reflective of an effective Financial Management System. In evaluating the overall objective of 

the measure, BSO considered LBNL performance against the Balanced Scorecard, along with all other factors 

that ensure that LBNL has an efficient, effective and robust Financial Management System. 

LBNL achieved the “expected performance criteria” by meeting all of the Balanced Scorecard measures and 

obtaining 100 of 100 possible points. LBNL continues to demonstrate effective accounting practices by 

providing required submissions timely and accurate, as well as reconciling all of their balance sheet accounts. 

LBNL's resolution of audit findings and recommendations showed that corrective actions were completed on or 

ahead of schedule. 

The Office of the Chief Financial Officer (OCFO) continued its efforts to review existing financial policies and 

procedures for the lab. The OFCO reviewed 27 policies to ensure each policy is compliant with Contract 31, 

applicable laws and regulations and Laboratory business practices. The Self-Assessment program was 

developed to assess practices, mitigate risk, provide assurance and identify opportunities for improvement. This 

year, the Conference Travel Expense and the Divisional Financial Management Practices were selected and 

assessed. The self assessments produced final summary reports, identifying suggested improvements and any 

resulting corrective actions. 

The OCFO continues to support the DOE system priorities and initiatives, by being diligent in supporting 

Standard Accounting and Reporting System (STARS), continuing to work through reconciliation issues, and 

maintaining financial integrity. 

Notable achievements: The Laboratory attained significant notable accomplishments with their American 

Recovery & Reinvestment Act (ARRA) planning, preparation and performance. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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 From the inception of ARRA, LBNL was at the forefront developing a strategy and approach for effective 

funds management. 

 Established a Stimulus Steering Committee to provide high level oversight, strategic direction and 

operational support. 

 Developed and provided ARRA training for all those that are impacted by ARRA funds. 

 Have been able to adjust to the many ARRA requirement changes requested by DOE and OMB. 

 Worked closely with the BSO to become a leader in planning and managing ARRA funds and expenditures 

across the DOE complex. 

6.2 Provide an Efficient, Effective, and Responsive Acquisition Management System 

The FY 2009 Procurement Balanced Scorecard (BSC) indicates that the Procurement Department successfully 

supported the Laboratory mission, complied with statutes and regulations, and met or exceeded a majority of the 

targets. Performance indicates LBNL has earned a score of 3.7 which equates to an A-. The Procurement 

organization was evaluated against measures detailed in the Procurement System Evaluation Plan and the four 

perspectives of the Balanced Score Card (BSC). These four perspectives are (1) Customer Satisfaction, (2) 

Internal Business Processes, (3) Learning and Growth, (4) Financial Aspects. The Target for this year was for 

LBNL to meet at least 10 of 10 targets in the BSC or meet at least a combination of BSC measures and stretch 

goals to total 10. The purpose of the stretch goals is for LBNL to strive for a higher level of performance while 

managing key measures. For this rating period LBNL met all 10 targets and five stretch goals for a total of 15. 

From the 3 key elements identified, LBNL achieved 1 stretch goal. During the past rating periods to Laboratory 

was only striving to meet the 10 targets. 

Notable achievements: LBNL has a comprehensive strategic sourcing program. It now has eight commodities 

through an eCommerce process called eBuy. This process enables Laboratory employees to procure items 

without the use of the traditional credit card or purchase order process. The number of transactions placed 

through the system is up from 24,821in FY 2008 to 31,089 in FY 2009. This process is producing cost savings 

for LBNL in the areas of pricing and overhead. End users are able to place orders directly, and thus avoiding 

the full procurement burden for a lower cost to programs. 

In the small business area, the obligations through September indicate LBNL has exceeded FY 2008 obligations 

in the following four categories: Small Business, Women Owned Small Business, Service Disabled Veteran 

Owned Small Business, and Veteran Owned. 

 Goal Achievement Projected Dollars 

without Recovery 

Dollars 

Actual Dollars 

Small Business 46.4% 55.9% $95,120,000 $164,956,310 * 

Small Disadvantaged Business 6.0% 5.4% $12,300,000 $ 15,946,825 

Women-owned Small Business 5.0% 4.7% $10,250,000 $ 13,810,748 

HubZone Small Business 3.0% 1.2% $ 6,150,000 $ 3,607,598 

Veteran Owned 1.0% 11.4% $ 2,050,000 $ 33,571,655 * 

Service Disabled Veteran 

Owned Small Business 

3.0% 8.9% $ 6,150,000 $ 26,372,336 * 

*The exceptional performance in three categories is attributed to the dollars obligated through the American 

Recovery and Reinvestment Act (Recovery Act). This level of performance is not anticipated in the future. 

One of the key aspects of the Recovery Act is to award to Small Business. Clearly LBNL has achieved this 

goal. In the upcoming year, the focus will be on the actual reporting and validation of payments. 

The Procurement Department continued to maintain a high level of customer satisfaction, cost efficiency and 

effectiveness, and adhered to accepted best business practices. The self-assessments performed during this 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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rating period, complied with the Procurement System Evaluation Plan, and showed no evidence of system 

deficiencies. 

6.3 Provide an Efficient, Effective, and Responsive Property Management System 

The FY 2009 Property Balanced Scorecard (BSC) indicates that the Property System is adequately operating to 

meet the mission of the Laboratory. Overall assessment for LBNL in this area is 92 points. The PEMP score is 

3.4 which equates to a B+. The Property System was evaluated this year by the Organizational Property 

Management Officer (OPMO). The assessment uncovered 2 findings and several recommendations. The 

findings were corrected and an effectiveness review will be conducted next year. 

Additionally, the Balanced Score Card (BSC) for property continued to monitor the health of the system. The 

four perspectives of the BSC include: (1) Customer Satisfaction; (2) Internal Business Processes; (3) Learning 

and Growth; and (4) Financial Aspects. Measures under each perspective were assigned points based upon the 

weight given each measure in terms of importance. LBNL achieved 92 points out of a possible 100. 

LBNL has implemented a highly successful inventory program, which is uncovering not necessarily inventory 

issues but institutional issues. 

Opportunities for improvement: 

1) There is a difference in how equipment is viewed within LBNL vs. on the University of California 

Campus. During the precious metal validation, the BSO reviewer identified weaknesses in the 

protection of the asset and providing evidence of record keeping. 

2) The equipment held for future use, measure 20 in the BSC, is not managed. LBNL conducted a review 

but did not adequately ensure that the equipment is retained in accordance with Department of Energy 

requirements, and needs to execute its plan to correct the issue. The points will be reduced from 4 to 2. 

3) LBNL has disclosed weaknesses in the control of laptop losses, and is planning to institute a plan to 

mitigate the issue. 

6.4 Provide an Efficient, Effective, and Responsive Human Resources Management System and Diversity 

Program 

LBNL’s score for FY2009 under this performance objective is 3.4, the equivalent of a grade of B+. Objective 

6.4 has two measures, each with associated targets. 

Operate an efficient, effective, and responsive Human Resources System and maintain National Academy 

of Public Administrators (NAPA) certification in three standards: HR Operations and Program 

Assurance, Total Compensation and Benefits, and Work Environment and Employee/Labor Relations. 

Overarching objective 6.4.1: BSO is concerned by the fact that nowhere in their self-assessment did the Lab 

address whether they are maintaining NAPA certification in the three standards. They have scrapped the entire 

NAPA re-certification effort due to money but they invested a great deal in this to begin with. They have 

indicated verbally now that they will do a peer review instead. If this was going to be the case, they should 

have formally gotten CO approval to change the wording of this measure beforehand. 

The targets of the measure have satisfactorily been completed and warrant an overall grade of B+. Three HR 

policies have been reviewed and revised, a total rewards brochure has been developed and published, salary 

planning process continues to be tweaked, benefits statistics and employee satisfaction has been recorded, a 

supervisory course was deployed and internal and external complaints were tracked. 

LBNL asserts that above and beyond the 6 targets completed, the Lab has undertaken accomplishments in three 

areas warranting an A grade; work place environment, leadership development and operational efficiency. We 

applaud the Lab in undertaking efforts to improve select employees' work environments and develop their 

senior management leadership skills. These objectives are not technically overarching creating significant 

impact lab-wide. Two employee populations were chosen for the work place environment survey and feedback 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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and those were the operations sector and Postdocs. Leadership development was conducted for the highest 

management of the Lab but not the lower tier managers. However, the surveys were comprehensive and 

management has taken initiative to act upon the areas that need improvement to make for a better work 

environment. In addition, the Lab can only benefit from developing more enhanced leadership qualities in the 

highest management. DOE was impressed to see that managers took their staffs' input and discussed with them 

the results in an honest and open fashion. The operational efficiencies while good are not that large of an effort. 

The e-verify program is a federally mandated program so this is not an initiative the Lab did on it's own without 

a requirement to do so. And the I-9 process goes hand-in-hand with the e-verify program. And while it is good 

to make the personnel program electronic, it is not a highly overarching significant impact on the Lab. 

These extra initiatives conducted by LBNL are impressive and beneficial to the Lab. However, the Human 

Resources division has had more than a few major problems this fiscal year that need to be addressed. 

Opportunities for Improvement: First, proposed salary increases for the Laboratory Director for the past two 

years were not submitted until the Director was out of the position for some time. These were untimely and the 

Lab was denied a higher reimbursement level from DOE. Second, the benefit-value study is a requirement 

every two years. The last study was conducted in FY05 with the requirement to submit a new study in FY08. 

The Lab commissioned the study and it was finished in FY08 although the study was never submitted to DOE. 

The study was sent to DOE towards the end of FY09 at the prompting of DOE. This was extremely untimely. 

Third, in the Lab's submission of the introduction of a minimal amount of stipend for scientific managers, it was 

brought to DOE's attention that the Lab has been giving base increases to managers and not removing them 

when managers step out of their role. This practice is not in line with Appendix A authorizations. Finally, the 

Lab, for the second year in a row had to ask for an increased Compensation Increase Plan amount at the end of 

the fiscal year due to depleted funds. This suggests either continued poor planning of resources, or execution of 

the plan throughout the fiscal year. 

Recruit and retain the most qualified and most diverse personnel available.

LBNL met the performance expectations in terms of diversity by completing all three initiatives in the 

Performance Evaluation and Measurement Plan. LBNL completed a single comprehensive web-based 

Recruitment Resource Guide of applicant sources for specific positions (within high priority job groups). 

LBNL prepared an Affirmative Action Plan which was approved by UCOP and posted on the LBNL web site. 

LBNL also posted an online compendium of each division’s diversity practices and programs. 

6.5 Provide Efficient, Effective, and Responsive Management Systems for Internal Audit and Oversight; 

Quality; Information Management; and Other Administrative Support Services as Appropriate 

LBNL’s score for FY2009 under this performance objective is 3.5, the equivalent of a grade of A-. Objective 

6.5 has two measures, each with associated targets. 

The Laboratory will present data and analysis demonstrating the Laboratory's success in meeting 

Internal Audit goals and expectations using the Laboratory’s Balanced Scorecard Model Index. 

The Internal Audit Services has met expectation with an overall score of 96.5 of 100 possible points, which 

were established in the IAS Scorecard. There were no deficiencies identified. 

Notable achievements: 

• IAS was incorporated into the American Recovery and Reinvestment Act (ARRA) Steering Committee, as 

requested by the CFO, Contract Assurance Council and by Berkeley Site Office. In addition, IAS performed an 

“ARRA Controls" advisory service that continues to provide critical input to stakeholders on the ability of the 

Lab to ensure transparency and oversight over ARRA funds, as well as its ability to utilize these funds in 

compliance. We have also included a "Transparency and Oversight over Recovery Acts Fund" audit on next 

year's audit plan, this way ensuring continued diligence in maintaining controls over ARRA expenditure. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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• In conjunction with an OCFO PEMP measure, IAS conducted comprehensive business process reviews of two 

selected Science Divisions (Physical Biosciences and Materials Sciences). This is the first time in at least 10 

years that IAS has performed audits or advisories from within the Science business offices, and by doing this, 

the intent is to set a new standard of reviewing other program divisions in the future, beginning with FY10. This 

new approach was very effective at identifying opportunities that could not have occurred without the 

committed interest and joint efforts of OCFO, COO, Office of Contract Assurance, and management of 

divisions involved. 

Information Management: The Laboratory will achieve a score of 85 points or above on the IT Scorecard 

which includes measures of customer service, system availability, network availability, and efficiency. 

LBNL met the goal of 85 points or above by obtaining 93 points. Although this goal was met, they failed to 

meet the targets of two of components (Efficiency and Availability for Business) which are comprised in the 

total score. 

• Efficiency: LBNL’s telephony time spent per service call was 1.06 hrs, which was equivalent to FY08. This 

was below the target of being more than 1% below FY08. 

• Availability for Science: LBNL’s network availability was 99.993%, which exceeded 99.99%. 

• Availability for Business: LBNL’s availability was 99.82%. This was below the expected rate, which was to 

exceed 99.9%. 

• Customer Service: LBNL’s performance for the year was over 9.7, which exceeded the expectation of 9.5. 

• Efficiency: LBNL’s telephony time spent per service call was 1.06 hrs, which was equivalent to FY08. This 

was below the target of being more than 1% below FY08. 

• Availability for Science: LBNL’s network availability was 99.993%, which exceeded 99.99%. 

• Availability for Business: LBNL’s availability was 99.82%. This was below the expected rate, which was to 

exceed 99.9%. 

• Customer Service: LBNL’s performance for the year was over 9.7, which exceeded the expectation of 9.5. 

6.6 Demonstrate Effective Transfer of Technology and Commercialization of Intellectual Assets 

LBNL’s score for FY2009 under this performance objective is 3.6, the equivalent of a grade of A-. Objective 

6.6 has two measures, each with associated targets. 

The Contractor will write non-confidential descriptions of Laboratory inventions and post them on the 

Contractor’s Technology Transfer website. 

LBNL has far exceeded the goal of 30 – 34 technology announcements by posting 81 announcements during the 

rating period. The primary reason for this was that LBNL leveraged its capabilities by using writers in the 

Creative Services Organization on a cost-recharge basis. 

The Contractor will require companies that execute exclusive license agreements for Berkeley Lab 

technologies to contractually agree to multiple technology development milestones as part of the license 

agreement to ensure diligent progress toward commercialization. 

 

During the rating period LBNL executed eight exclusive licenses and all of them had multiple development 

milestones thus exceeding the 80% goal of the measure. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 30 

ELEMENT Letter 

Grade 

Numerical 

Score 

Objective 

Weight 

Total 

Points 

Total 

Points 

6.0 Deliver Efficient, Effective, and 

Responsive Business Systems and 

Resources that Enable the 

Successful Achievement of the 

Laboratory Mission(s) 

6.1 Provide an Efficient, Effective, and 

Responsive Financial Management 

System(s) 

A 3.8 30% 1.14 

6.2 Provide an Efficient, Effective, and 

Responsive Acquisition Management 

System

A- 3.7 20% 0.74 

6.3 Provide an Efficient, Effective, and 

Responsive Property Management 

System 

B+ 3.4 15% 0.51 

6.4 Provide an Efficient, Effective, and 

Responsive Human Resources 

Management System and Diversity 

Program 

B+ 3.4 15% 0.51 

6.5 Provide Efficient, Effective, and 

Responsive Management Systems for 

Internal Audit and Oversight; Quality; 

Information Management; and Other 

Administrative Support Services as 

Appropriate 

A- 3.5 10% 0.35 

6.6 Demonstrate Effective Transfer of 

Technology and Commercialization of 

Intellectual Assets 

A- 3.6 10% 0.36 

Performance Goal 6.0 Total 3.61 

Table 6.1 – 6.0 Goal Performance Rating Development 

Table 6.2 – 6.0 Goal Final Letter Grade 

Total 

Score 4.3-4.1 4.0-3.8 3.7-3.5 3.4-3.1 3.0-2.8 2.7-2.5 2.4-2.1 2.0-1.8 1.7-1.1 1.0-0.8 0.7-0 

Final 

Grade A+ A A- B+ B B- C+ C C- D F 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 31 

7.0 Sustain Excellence in Operating, Maintaining, and Renewing the Facility and Infrastructure Portfolio to 

Meet Laboratory Needs 

The Contractor provides appropriate planning for, construction and management of Laboratory 

facilities and infrastructures required to efficiently and effectively carry out current and future S&T 

programs. 

The weight of this Goal is 20%.

The Sustain Excellence in Operating, Maintaining, and Renewing the Facility and Infrastructure Portfolio to 

Meet Laboratory Needs Goal measured the overall effectiveness and performance of the Contractor in planning 

for, delivering, and operations of Laboratory facilities and equipment needed to ensure required capabilities are 

present to meet today’s and tomorrow’s complex challenges. 

The rating for Goal 7.0 is 3.1(B+). Objective 7.1 is rated 3.2 (B+) and Objective 7.2 is rated 3.0 (B). 

7.1 Manage Facilities and Infrastructure in an Efficient and Effective Manner that Optimizes Usage and 

Minimizes Life Cycle Costs 

 

The rating for Objective 7.1 is 3.2, which is based on the performance against three measures: 

Maintenance Management- Effectiveness and efficiency of maintenance activities to maximize the 

operational life of facility systems, structure and Components. 

Notable achievements: The Maintenance Management Program submitted in July 2009 addressed all issues 

raised by the December 2008 ORNL assessment of Facility Operations. The Lab self-identified areas for 

improvement in the March 2009 Extent of Condition review. Operational Department staff has increased by 

forty percent. 

Opportunities for Improvement: Reduce potential unsafe conditions and incidents. Address legacy maintenance 

issues, e.g., power failure in B46, 46A, 47, 53, 58, 58A and water leaks in B70 & B90. 

Finalize, approve and fully implement the Maintenance Management Program. Integrate Mission Readiness into 

institutional processes. Provide resources for management, quality assurance and oversight of the increasing 

amount and complexity of maintenance, operations and repair/restoration work. Implement a robust contractor 

assurance system. 

Although maintenance procedures are more fully documented in the Maintenance Management Program than 

before, there are still areas to be clarified and fleshed out. The relationships and interactions between the 

Operations and Construction Projects departments are not yet well defined and the fire protection processes are 

not yet fully covered. 

LBNL Site Executable Plan for Environmental Energy and Transportation Management-LBNL 

demonstrates the application of proactive sustainable/renewable energy, transportation, and 

environmental management practices and requirements as defined in DOE O 430.2B, Attachment 1, 

Contractor Requirements Document (CRD). 

Notable achievements: The Lab’s response to the non-productive (cancelled) ESCP included renewed 

commitment to meet the 2015 targets. The Lab implemented almost all of the FY09 and some of the FY10 

measures and made advanced equipment purchases for future-year implementation. 

Real Property Management Space/Facility Utilization - Effectively managed consistent with mission, 

requirements, and DOE direction. 

FIMS data entered, validated, used and reported. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 32 

Opportunities for Improvement: FIMS source documents require improvements, i.e., the Key Plans need to be 

updated. 

7.2 Provide Planning for and Acquire the Facilities and Infrastructure Required to support Future 

Laboratory Programs 

The rating for Objective 7.2 is 3.0 based on the performance against two measures. 

Integrated Site Planning - The Laboratory develops, documents, and maintains an integrated site 

planning process that is aligned with DOE mission needs and the Laboratory strategic/business plan. 

Intent is to measure the effectiveness of integrated site planning activities using any related site 

development planning documents. 

Notable achievements: The Lab’s Mission Readiness Implementation Plan was the centerpiece of a successful 

peer review which included SC-wide participation. The peer review and LBNL “UniCall” prioritization process 

demonstrated strong participation of the scientists and Lab leadership in the Mission Readiness process. The 

Annual Laboratory Plan addresses LBNL strategic goals and SC's guidance. The Lab took the initiative to 

develop a site-wide Massing Study to collocate related sciences and activities. Over 1200 NEPA actions were 

completed, double last year’s workload. 

Opportunities for Improvement: Incorporate an integrated set of projects and actions into the Annual Plan to 

address identified mission needs over the next 3 – 5 years. Develop and execute robust, comprehensive, fullyvetted and integrated plans for 413.3A and small projects. 

Revising the UniCall process, a seven-month undertaking, to incorporate the steps described in the Mission 

Readiness Implementation Plan, a year-round endeavor, is critical for Lab-wide participation in and adherence 

to the Mission Readiness precepts.

Construction/Project Management - Activities and requirements related to Line Item projects are 

complete within preliminary performance baselines for scope, schedule and cost (established at CD-1) or 

performance baselines (established at CD-2). 

Notable achievements: The Bevatron Demolition is well managed; project issues are resolved thoroughly and 

quickly. The ALS USB responded well to CR-delayed then ARRA-accelerated funding. CD-0 was approved for 

LBNL Seismic Upgrades, Modernization & Replacement of General Purpose Buildings, Phase 3 Line Item 

projects with a TPC of approximately $93 M. 

Opportunities for Improvement: Address and mitigate recurring safety issues. Proactively complete, document 

and properly close corrective actions in CATS and implement compensatory measures for those not yet 

completed. Provide resources for management, quality assurance and oversight of the increasing amount and 

complexity of facilities work. Implement a robust contractor assurance system. 

Seismic Phase I is on schedule and at cost; however, there were two safety incidents in FY 09. At Building 50, a 

drill rig operator ran over his foot requiring three stitches. Although there was minimal impact to the project 

cost/schedule, this was a safety issue of concern. Additionally, the line penetration at B-74 caused a significant 

delay in activities and additional expense. Review of the causal factors identified in LBNL's root causal 

analysis implied that with additional planning, the line penetration could have been avoided. Several cost and 

schedule delays occurred on the project as a result of not knowing the exact location of subsurface 

utilities. Improvement in identifying the location of utilities during the project planning phase appears to be an 

opportunity for improvement in safety as well as cost and schedule planning. 

Seismic Phase 2: General Purpose Laboratory location is being revisited post CD1. Executable plans for DOE 

projects should be developed which include appropriate risk analysis and mitigation for NEPA/CEQA 

constraints. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 33 

ARRA GPP Projects Building 62 and Building 66: After ARRA WAS/Contract modification was issued, work 

to be accomplished was modified from what had been proposed and accepted. A portion of the design work 

prior to the change was not used. 

GPP Project, B67 Clean Room, did not receive BSO approval prior to the start of work and the budget was 

approximately $300-400K short (~50%) of anticipated cost. The funding request for ARRA GPP Project, 

Upgrade Building 66, was approximately $3 million (~75%) short of requirements. 

A new document, the Small Projects Manual, was issued with nine of the 13 chapters still in development. The 

Small Projects Manual should be fully developed and implemented. 

ELEMENT Letter 

Grade 

Numerical 

Score 

Objective 

Weight 

Total 

Points 

Total 

Points 

7.0 Sustain Excellence in Operating, 

Maintaining, and Renewing the 

Facility and Infrastructure Portfolio 

to Meet Laboratory Needs 

7.1 Manage Facilities and Infrastructure in 

an Efficient and Effective Manner that 

Optimizes Usage and Minimizes Life 

Cycle Costs 

B+ 3.2 50% 1.60 

7.2 Provide Planning for and Acquire the 

Facilities and Infrastructure Required 

to support Future Laboratory 

Programs

B 3.0 50% 1.50 

Performance Goal 7.0 Total 3.1 

Table 7.1 – 7.0 Goal Performance Rating Development 

Table 7.2 – 7.0 Goal Final Letter Grade 

Total 

Score 4.3-4.1 4.0-3.8 3.7-3.5 3.4-3.1 3.0-2.8 2.7-2.5 2.4-2.1 2.0-1.8 1.7-1.1 1.0-0.8 0.7-0 

Final 

Grade A+ A A- B+ B B- C+ C C- D F 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 34 

8.0 Sustain and Enhance the Effectiveness of Integrated Safeguards and Security Management (ISSM) and 

Emergency Management Systems

The Contractor sustains and enhances the effectiveness of integrated safeguards and security and emergency 

management through a strong and well deployed system. 

The weight of this Goal is 8 percent. 

The Sustain and Enhance the Effectiveness of Integrated Safeguards and Security Management (ISSM) and 

Emergency Management Systems Goal measured the Contractor’s overall success in safeguarding and securing 

Laboratory assets that supports the mission(s) of the Laboratory in an efficient and effective manner and 

provides an effective emergency management program. 

For Goal 8.0, Lawrence Berkeley National Laboratory (LBNL) achieved a numerical score of 3.6, the 

equivalent of a letter grade of A-. Goal 8.0 has four objectives. 

8.1 Provide an Efficient and Effective Emergency Management System 

For FY2009, performance objective 8.1, LBNL achieved a numerical score of 2.4, the equivalent of a grade of 

C+ and is based on two measures. 

The Contractor will demonstrate Emergency Management commitment through developing a long term 

Emergency Operations Center (EOC) improvement plan for the improvement of emergency operations. 

LBNL has made significant progress in its development of a long term Emergency Operations Center (EOC) 

improvement plan. In FY09, LBNL has procured, received, and implemented all of their stipulated 14 EOC 

improvement items. 

Opportunities for Improvement: Performance of the MC&A peer review was successfully completed on time 

and no corrective actions have been identified. BSO has noted that the annual peer review has been performed 

by the same individual for several years now and recommends that LBNL consider how to demonstrate that 

such a review continues to be “independent”. 

Another opportunity for improvement exists in the timely submittal of requests for termination of safeguards for 

material that has been declared as waste. Two requests were received by BSO in FY2009, and in both cases, 

LBNL provided only a few days for BSO to complete the approval process which requires coordination with the 

Oak Ridge Integrated Service Center. LBNL could improve performance in this area simply by preparing these 

requests well in advance of their needed approval date since shipments of LLW are scheduled well in advance. 

The Contractor will demonstrate Emergency Management commitment through its development, 

execution, and maintenance of emergency management activities to achieve full implementation of DOE 

O 151.1C. 

LBNL also has made significant progress towards achieving and maintaining compliance with DOE Order 

151.1C, Comprehensive Emergency Management System. LBNL has achieved a 47% completion rate by 

completing 8 of 17 of the Implementation Plan action elements. Despite these creditable achievements, 

complete or full compliance with DOE Order 151.1C was not obtained this year. It must be noted that LBNL is 

allocating additional resources (e.g., hiring another FTE) in FY2010 to address some of the gaps. 

Opportunities for Improvement: 

#1: Development of a robust emergency management training program. 

 Applying resources to the formation of a training program aimed at increasing the knowledge base of EOC 

and ERO staff. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 35 

 Identify ERO staff positions, develop positions descriptions, and identify required training for each ERO 

staff position. 

 Increased number of drills and exercises to allow ERO staff practical application of knowledge obtained in 

training classes. 

#2: Formation of a strong readiness assurance program aimed at continual improvement of the LBNL 

emergency management program. 

 Increased usage of the CATS system to document the identification and progress made on issues identified 

during internal/external assessments and other drills and exercises. 

 Develop and implement an Emergency Management Assurance Plan (EMAP) that addresses the feedback 

and improvement processes. 

 Validate the effectiveness of the EMAP through a formal assessment. 

#3: Completion of corrective actions associated with the ORO/BSO Review of the LBNL Emergency 

Management Program in July of 2009, per the approved Lawrence Berkeley National Laboratory Emergency 

Services Program Assessment Corrective Action Plan. 

8.2 Provide an Efficient and Effective System for Cyber-Security 

LBNL’s score for FY2009 under this performance objective is 4.0, the equivalent of a letter grade of A. 

LBNL continues to perform exceptionally well as a leader in Cyber Security and IT Management in the SC 

Complex. During this fiscal year, LBNL not only met their Cyber Security Scorecard goal of 85 points but well 

exceeded it by scoring a perfect score of 100. This was achieved a number of ways. During the year, LBNL 

have had several reviews, risk assessments, and self assessments (including ORO 2009 Security Survey) that 

were all satisfactory and had very minimal findings if none. These reviews included an ongoing review by 

OIG, a peer review (which involved DOE, Higher Education, Defense, and ESNET), Security Survey (ORO), 

and LBNL’s self assessment. LBNL successfully completed its annual risk assessment for all enclaves within 

the performance period. This assessment was turned in to BSO. Additionally, LBNL have incorporated new 

tools to reflect the ever changing threats and vulnerabilities. These tools include items such as the PII Search 

Tool that provide additional assurance for the protection of Personal Identifiable Information (PII). Other tools 

developed were monitoring tools to detect credential stealing, detection systems, email filters, and the Bro 

Cluster. As a notable, the Bro Cluster, which is an Intrusion Detection System, is a major project with 

implications for the entire Science community. In regards to training, Personal Identifiable Information (PII) 

training well exceeded the target expectation of 90% employees trained (95%). Lastly, LBNL completed this 

year without having to develop or track any serious corrective actions through Plans of Actions and Milestones 

(POA&Ms), thus there were no correction actions not completed on target. Earlier during the year, there were 

three ARRA POA&Ms, however, they were removed being ARRA Cyber funding was eliminated. Although 

stolen credentials and phishing attacks has been the biggest problems in the past, they have maintained them at 

an acceptable risk level by the training of employees and protective measures such as BRO monitoring and 

vulnerability scans. LBNL continues to exceed expectations in both Cyber Security and IT Management. 

8.3 Provide an Efficient and Effective System for the Protection of Special Nuclear Materials, Classified 

Matter, and Property 

LBNL’s score for FY2009 under this performance objective is 4.0, the equivalent of a letter grade of A. 

LBNL has continued to be very effective and efficient in the protection SNM and property. This year, there 

were no incidents or handling incidents in accordance with MC&A procedure during FY09. Along with this, 

the MC&A peer review was completed in May 2009 with no findings noted. 

8.4 Provide an Efficient and Effective System for the Protection of Classified and Sensitive Information 

LBNL’s score for FY2009 under this performance objective is 2.9, the equivalent of a letter grade of B. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 36 

In the protection of Classified and Sensitive Information, during the fiscal year, LBNL did not provide a final 

Site Security Plan (SSP) by the required date of 7-20-09. They did submit a draft revision by that date. Their 

overall performance was not indicative of the performance under the measure and target because they did 

complete all five Facility Security Plans (FSP) and the Physical Security Assurance Plan by 9-30-09 and so the 

grade provided considered this additional performance. 

 

ELEMENT Letter 

Grade 

Numerical 

Score 

Objective 

Weight 

Total 

Points 

Total 

Points 

8.0 Sustain and Enhance the 

Effectiveness of Integrated 

Safeguards and Security 

Management (ISSM) 

8.1 Provide an Efficient and Effective 

Emergency Management System B+ 2.4 20% 0.48 

8.2 Provide an Efficient and Effective

System for Cyber-Security A 4.0 65% 2.60 

8.3 Provide an Efficient and Effective

System for the Protection of Special 

Nuclear Materials, Classified Matter, 

and Property 

A 4.0 10% 0.40 

8.4 Provide an Efficient and Effective

System for the Protection of Classified 

and Sensitive Information 

B 2.9 5% 0.15 

Performance Goal 8.0 Total 3.6 

Table 8.1 – 8.0 Goal Performance Rating Development

Table 8.2 – 8.0 Goal Final Letter Grade 

Total 

Score 

4.3-

4.1 

4.0-

3.8 

3.7-

3.5 

3.4-

3.1 

3.0-

2.8 

2.7-

2.5 

2.4-

2.1 

2.0-

1.8 

1.7-

1.1 1.0-0.8 0.7-0 

Final 

Grade A+ A A- B+ B B- C+ C C- D F 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-1 

APPENDIX A 

OFFICE OF SCIENCE 

FY 2009 

SCIENCE AND TECHNOLOGY EVALUATION 

OF 

LAWRENCE BERKELEY NATIONAL LABORATORY 

Program Area Page 

Advanced Scientific Computing Research (ASCR) A-2 

Biological and Environmental Research (BER) A-10 

Basic Energy Sciences (BES) A-18 

Fusion Energy Sciences (FES) A-24 

High Energy Physics (HEP) A-27 

Nuclear Physics (NP) A-32 

Workforce Development for Teachers and Scientists (WDTS) A-37 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-2 

Laboratory Year-End Performance Assessment Report 

Date:10/14/20 09 

Headquarters Program Office Fiscal Year 2009 Evaluation of The Regents of the University of 

California for Management and Operation of the Lawrence Berkeley National Laboratory 

Agency: 

U.S. Department of Energy 

Program Office: 

Office of Science - Advanced Scientific Computing Research 

FY Funding Level: (Budget Authority) 

Goal 1.0 Provide for Efficient and Effective Mission Accomplishment 

Goal Score: 3.44 Goal Grade: B+ 

Goal 1.0 Performance Summary Statement: 

LBNL research continues to have a broad impact, producing numerous publications, posters, invited talks, and open 

source software packages. Many years of excellent work have raised ASCR expectation for LBNL research to a 

very high standard. LBNL had several standout results in FY09 - notably the role of LBNL in ASCR Recovery Act 

projects, 2009 awards to LBNL projects and researchers (including a Gordon Bell prize and PECASE award), and 

LBNL contributions to ASCR workshops and working groups. 

Objective 1.1 Science and Technology Results Provide Meaningful Impact on the Field Score: 3.5

 Grade: A- Weighting: 40 

Objective 1,1 Performance Summary Statement: 

LBNL leads two Recovery Act projects for ASCR and participates in two others. These projects have the 

potential to have a dramatic impact on the conduct of science. 

- LBNL is leading the Advanced Networking Initiative with a goal to realize a 10 fold improvement in 

throughput over the lOGbps currently available in the commercial market place. LBNL technical expertise and leadership 

will be critical to the success of this effort. 

- LBNL is co-lead in the Magellan project,in partnership with ANL, with a goal to demonstrate a cost effective and 

efficient solution to the mid-range computing needs of scientific research institutions. LBNL technical expertise and 

leadership will be critical to the success of this effort. 

In FY09 LBNL continues to have a broad and significant impact in Applied Math, Computer Science and 

Computational Science. A few highlights: 

 A team of LBNL researchers developed the Linear Scaling Three Dimensional Fragment (LS3DF). 

LS3DF offers a more efficient method for calculating energy potential because it is based on the observation 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-3 

that the total energy of a large (10,000 or more) nanostructure system can be broken down into two 

component parts: electrostatic energy and quantum mechanic energy. The developers of LS3DF won the 

Association for Computing Machinery's (ACM) Gordon Bell Prize at SC08. 

 perfSONAR, an LBNL network performance monitoring and diagnostic system, was open sourced 

to assist network engineers with identifying bottlenecks, which allow them to make relatively small 

adjustments to gain significant increases in network throughput. 

Objective 1.2 Provide Quality Leadership in Science and Technology 

Score: 3.4 Grade: B+ Weighting: 30 

Objective 1.2 Performance Summary Statement: 

LBNL has, in FY2009, maintained its status an international powerhouse in computer science and applied 

mathematics and advanced networking. LBNL visionary leadership in areas of this research directly related 

to high performance computing was internationally and nationally recognized in FY09. 

A SciDAC team of computational scientists from Lawrence Berkeley National Laboratory (Berkeley 

Lab) won a prestigious Gordon Bell Prize, sponsored by the Association for Computing Machinery (ACM), 

for special achievement in high performance computing for their research into the energy harnessing potential 

of nanostructures. Their method, which was used to predict the efficiency of a new solar cell material, 

achieved impressive performance and scalability. 

Juan Meza has received several important awards this year for his leadership at LBNL including the 2008 

Blackwell-Tapia Prize and Hispanic Business magazine's annual list of 100 influential Hispanics. 

Five LBNL mathematicians-John Bell, Alexandre Chorin, Phillip Colella, James Demmel and James 

Sethian-were among the first group of Fellows announced May 1 by the Society for Industrial and Applied 

Mathematics (SIAM). Berkeley Lab's group of SIAM fellows was the largest of the DOE labs. 

Cecilia Aragon, staff scientist in the Computational Research Division, was honored in July 2009 with the 

Presidential Early Career Award for Scientists and Engineers (PECASE), the U. S. government's most 

prestigious award for early-career scientists. 

At the S l st Cray User Group (CUG) annual m~eting, held May 4-7 in A~anta a framework developed by 

Berkeley Lab computer scientists for speeding up the performance of scientific computing applications on 

multicore processors was recognized as the best paper presented at the multiplication on emerging 

multicore platforms," co-authored by five LBNL researchers.conference. 

Science Direct's Top 25 Hottest Articles (most downloaded) for the January to March issues of the journal 

Parallel Computing cited number one on the list "Optimization of sparse matrix-vector multiplication on 

emerging multicore platforms," co-authored by five LBNL researchers. 

Berkeley Lab hosted the 2009 SciDAC Conference held June 14-18, 2009, in San Diego. In addition to 

Horst Simon serving as general conference chair, LBNL staff served on the organizing committee, and 

provided logistical and communications support. The conference was the largest in the five-year history of 

the series, with more than 400 computational science experts registering. Additionally, after several years of 

co-location, the 2009 meeting marked the first time the SciDAC meeting had formal interactions with the 

DoD HPC Users Group Meeting, consisting of a joint plenary session and a joint poster session. 

LBNL staff also gave many invited talks and "best paper" awards. 

Objective 1.3 Provide and Sustain Outputs that Advance Program Objectives and Goals 

Score: 3.4 Grade: B+ Weighting: 15 

Objective 1.3 Performance Summary Statement: 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-4 

LBNL work in all of the ASCR core research areas provide sustained efforts and world leading groups that 

are important to the continued success of our program. 

The quality and quantity of projects and researchers and pace of progress in FY09 again exceeded ASCR's 

very high expectations for LBNL. 

 There was a large number of highly cited and best papers awards in FY09. 

 Publication rates in CRD at LBNL were higher than at our other top performing labs. 

 CRD staff authored approximately 250 papers. 

According to Web of Science, three senior Applied Mathematics Researchers published 15 articles in 

peer-reviewed journals such as Proceedings of the National Academies Of Science and Journal of 

Computing Physics. 

Researchers from LBNL made significant contributions to the SC08 Conference Technical Program and to 

the SIAM Conference on Computational Science and Engineering. 

Objective 1.4 Provide for Effective Delivery of Products 

Score: 3.4 Grade: B+ Weighting: 15 

Objective 1.4 Performance Summary Statement: 

The quantity and quality of the LBNL program in ASCR core research is especially strong in key areas 

both in terms of publications and continued progress but this is in accord with our very high expectations for 

LBNL. 

LBNL researcher peer reviews are generally very strong and participation in ASCR projects is very high - 

as would be expected of such an outstanding program. LBNL Software is made available via open source in 

a timely manner with documentation and support. 

Goal 2.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operation of 

Research Facilities 

Goal Score : 3.50 Goal grade: AGoal 2.0 Performance Summary Statement: 

Years of excellent work have raised ASCR expectations for LBNL facilities to a very high standard of 

planning, delivery and user support. However, especially good external reviews and awards and new 

activities have resulted in LBNL improving over FY08's excellent performance 

The National Energy Research Scientific Computing (NERSC) Facility at LBNL is a critical facility for the 

Office of Science. As the keystone production supercomputer center for the Office of Science (SC), it offers 

exemplary, "gold standard" (according to the Lehman review team) computing and data storage resources to 

the SC community, while successfully upgrading its resources to meet ever-growing SC Programs' needs. 

NERSC supports 3100 users and 400 projects. NERSC advances ASCR's plans for the Leadership 

Computing Facilities (LCF) by nurturing computational and application scientists to scale their work that 

will take advantage of the LCF's capability computing. New activities in FY09 included implementation of 

the ASCR Leadership Computing Challenge and NERSC began to collect requirements from the Office of 

Science programs through workshops to better meet program needs. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-5 

LBNL's ESnet is widely regarded as the best facility of its type in the world and received two prestigious 

awards in FY09 to further bolster that reputation. ESnet also plays a critical role in supporting data 

transaction needs of the SC community and its research collaborators in the United States and around the 

world in this era of peta-scale data. To name just one example, ESnet is critical in support of the start up of 

the international Large Hadron Collider (LHC) collaboration. ESnet ensures that LHC's peta-bytes of data 

can be transacted to desired member facilities securely and in a timely manner for data analysis that might 

make unprecedented scientific discoveries. 

Objective 2.1 Provide Effective Facility Design(s) as Required to Support Laboratory Programs (i.e., 

activities leading up to CD-2) 

Score: 3.4 Grade: B+ Weighting: 10 

Objective 2.1 Performance Summary Statement: 

NERSC conducted a successful NERSC-6 CD2b/3 Mini Lehman Review in April 2009, with two 

objectives: review (1) NERSC's responses to the 2008 NERSC-6 CD1/2a Lehman Review 

recommendations and (2) documentations on their vendor selection and how their proposed contract 

would help the Office of Science's science communities to make scientific discoveries. The Review 

Committee recommendation to the Acquisition Executive was to approve CD-2B/3 and to proceed with the contract 

award. 

The NERSC-6 RFP is designed to procure a system in 2009 that will boost NERSC high performance computing 

capability by five to seven times over the existing dual-core Franklin system currently in production at the NERSC 

facility. 

The evaluation process of proposals was based on a NERSC's own Best Value Source Selection (BVSS) process that 

allows the evaluation committee to balance various proposed detailed system characteristics against the delivered SSP-6 

performance, cost, schedule, and risk. This process is well recognized for its effectiveness, and has been adopted by the 

Argonne Leadership Computing Facility in their ALCF-2 procurement. 

NERSC has demonstrated their excellent responsiveness to DOE's needs for accurate and timely 

management information (e.g., budget exercises, OMB 300) without fail. 

NERSC has scored "Green" on the new OMB IT Dashboard monthly score card (29 out of 30 points). 

Objective 2.2 Provide for the Effective and Efficient Construction of Facilities and/or Fabrication of 

Components (execution phase, Post CD-2 to CD-4) 

Score: 3.1 Grade: B+ Weighting: 10 

Objective 2.2 Performance Summary Statement: 

NERSC conducted a very successful NERSC-5 (Franklin) quad-core chip upgrade operation as part of its 

steady-state operation. Since Franklin is the main production system, a very careful chip replacement plan 

was designed and executed flawlessly without affecting the availability of Franklin to the users. 

The NERSC Team, when upgrading software to go with the hardware upgrade, also employed best 

practices in software upgrades. However, events unforeseeable occurred and the system became unstable. 

The team immediately came up with a Get-Well Plan, which led to a very successful conclusion and 

acceptance of the quad-core system software and hardware upgrade contract. 

Franklin experienced an unforeseeable setback during software upgrades following a flawless chip upgrade. A 2009 

NERSC operational assessment Peer Reviewer states: "NERSC quickly recognized that Franklin's uptime was a problem 

for users and quickly devised strategies to improve the stability of the platform. The situation has stabilized and 

improved." Scheduled Availability on Franklin was 95.53%, and other resources (Bassi, Jacquard, DaVinci, HPSS, ad 

Global Filesystem) all scored over 99%. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-6 

Objective 2.3 Provide Efficient and Effective Operation of Facilities 

Score: 3.6 Grade: A- Weighting: 70 

Objective 2.3 Performance Summary Statement: 

NERSC continued to receive excellent review on its operations in 2009 NERSC Operational Assessment 

(OA) Peer Review. NERSC Customer Satisfaction is measured by the "Users rate satisfaction on a 7-point 

scale where 1 means very dissatisfied and 7 means very satisfied. NERSC received 6.21. 

NERSC has achieved many "innovations." Especially when addressing the Franklin instability problem, 

NERSC came up with a number of novel approaches to solve the problem. A 2009 OA Reviewer states: 

"stabilization of Franklin; improvements to Franklin I/O; quad-core upgrade to Franklin; implementing 

science gateways; adding 60PB of HPSS storage; providing leadership for the Lustre monitoring 

framework; increasing the bandwidth for the global filesystem; assisting Cray with the development and 

testing of the data virtualization service software; improving data transfer speeds between DOE faculties; 

porting and improving VisIt scaling on Franklin; analyzing and optimizing HDF5 I/O performance; 

collaborating with Lightwave Research Center on network-on-chip energy efficiency; researching and 

reporting on development of a logical prototype supercomputer that would cost less to building and require 

less electricity to operate." 

ASCR has many examples of outstanding science results enabled by NERSC. 

ESnet continues to receive excellent reviews on its operations in 2009 ESnet Operational Assessment 

(OA) peer review. ESnet customer satisfaction is rated through a thirteen-part customer survey. On a 

scale of 1 to 5, ESnet overall average rating came to 4.86, an improvement over the previous year. 

This year also marked an expansion in soliciting customer feedback through the introduction of a new 

seven-part satisfaction survey tailored to the laboratory CIOs. On a scale of 1 to 5, ESnet overall 

average rating came to 4.46 for the laboratory CIO responses. 

Regarding availability, a quote from one of the reviewers is as follows, "ESnet is effectively 

maximizing the quantity and quality of delivered services in line with its mission. The metrics 

on site availability are particularly impressive. The accepted traffic has continued to rise 

consistent with the historical expectation of around 80% per year." 

Further, "ESnet presented evident of significant improvements to operational performance .... In the 

Technology Transfer section, perfSONAR represents an important collaborative effort that will yield 

increasing returns in the rapid detection and understanding of intercontinental and US network 

problems. The OSCRS service places ESnet in a leadership role in the separation of major science flows 

from general-purpose traffic, providing clear gains for network-intensive science and for more general 

ESnet use." 

ESnet Honored as One of Top 10 Government IT Innovators - Once a year, Information Week 

magazine honors the most innovative players in the field of information technology, including the 

top 10 government agency innovators. And on Sept. 14, the DOE's Energy Sciences Network 

(ESnet) was recognized as a member of this select group for its work helping thousands of researchers 

worldwide manage the massive amounts of scientific data stemming from the application of petascale 

supercomputers and high-precision instruments to cutting-edge disciplines such as climate science, 

high energy physics, astrophysics and genomics. 

ESnet Wins Excellence.Gov Award - DOE's Energy Sciences Network (ESnet), a high-speed 

network linking tens of thousands of researchers around the nation, was honored April 14 with an 

Excellence.Gov award for its excellence in leveraging technology. The Excellence.Gov awards 

are sponsored by the Industry Advisory Council's (IAC) Collaboration and Transformation Shared 

Interest Group and recognize the federal government's best information technology (IT) projects. A 

panel of 25 judges-federal government and industry executives-reviewed the nominations and 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-7 

selected ESnet as the winner in the area of "Excellence in Leveraging Technology," one of five 

award categories. The winners were recognized at a ceremony in Washington, D.C. ESnet was 

honored for ESnet4, a recently completed network infrastructure providing highly reliable, highbandwidth connectivity to support and advance the United States' scientific competitiveness and 

capabilities by linking scientists at national laboratories and universities across the country. 

Objective 2.4 Utilization of Facilities to Grow and Support Lab's Research Base and External User 

Community 

Score: 3.3 Grade: B+ Weighting: 10 

Objective 2.4 Performance Summary Statement: 

NERSC excelled in user utilization by responding to their problems within three working days. In 2009, 91.4% of 

the trouble tickets were responded within three working days (baseline: 80%). 

NERSC scientific consultants helped science users accomplish their scientific goals. The consultants' efforts are 

measured in terms of "Key HPC consulting metrics, such as timely initial response, quality of technical advice, 

follow up to initial consulting questions, and amount of time to resolve user's issue. The overall score was 6.56 out 

of 7. 

NERSC collaborated with Lightwave Research Center on network-on-chip energy efficiency, which can benefit 

other facilities; 

NERSC conducted research on development of a logical prototype supercomputer that would cost less to building 

and require less electricity to operate." The results will also benefit LBNL and other facilities. 

NERSC encourages staff to excel. For example, the Best Overall Value system for vendor selection has 

been well recognized as a best practice, and was adopted by ALCF-2 procurement. 

NERSC hosted a Best Practices Workshop for the HPC Community. This year's topic: software lifecycle for HPC 

centers. 

Goal 3.0 Provide Effective and Efficient Science and Technology Program Management 

Goal Score: 3.14 Goal Grade: B+ 

Goal 3.0 Performance Summary Statement: 

LBNL has improved in this area over FY08 but ASCR continues to has a few concerns for Lab management 

to consider - primarily the future home of NERSC and senior management attention. 

Objective 3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and Program 

Vision 

Score: 3.1 Grade: B+ Weighting: 30 

Objective 3.1 Performance Summary Statement: 

Efficiency and Effectiveness of joint planning (e.g., workshops) with outside community; 

• LBNL has improved its performance in joint planning with the outside community to be more 

commiserate with the labs standing with regard to ASCR research and facilities. 

Articulation of scientific vision; 

 LBNL staff has articulated a facilities vision but remains less clear with regard to the research vision. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-8 

Development of core competencies, ideas for new facilities and research programs; 

 LBNL has yet to provide a viable plan for the future of NERSC. 

Ability to attract and retain highly qualified staff. 

 LBNL continues to attract and retain some of the best researchers from around the world. 

However, LBNL participation in the ASCR Recovery Act projects has exceeded expectations and offset 

continuing concerns in this area. 

Objective 3.2 Provide Effective and Efficient Science and Technology Project/Program Planning and 

Management 

Score: 3.2 Grade: B+ Weighting: 40 

Objective 3.2 Performance Summary Statement: 

Quality of R&D and/or user facility strategic plans 

• Here LBNL is among the very best internationally. NERSC and ESnet performance and the high 

quality of the research at LBNL is the most meaningful metric. 

Adequacy in considering technical risks and success in identifying/avoiding technical problems; 

• Here there have been some examples in FY09 where LBNL has failed to anticipate technical and 

organizational obstacles - notably, during the NERSC upgrade and with regard to the power and space 

needs of NERSC. 

Effectiveness in leveraging (synergy with) other areas of research; and 

• In ASCR space, LBNL is among the very best at integrating the core research areas and rapidly deploying 

research results in facilities and infrastructure. FY09 efforts such as the best practices workshop demonstrate 

improvement in exporting LBNL success. 

Demonstration of willingness to make tough decisions (i.e., cut programs with sub-critical mass of 

expertise, divert resources to more promising areas, etc.). 

• Ever rising LBNL overhead rates are the most important metric that LBNL needs to improve in this area. 

However, LBNL planning for the ASCR Recovery Act projects has exceeded expectations and off-set 

continuing concerns in this area. 

Objective 3.3 Provide Efficient and Effective Communications and Responsiveness to Customer 

Needs 

Score: 3.1 Grade: B+ Weighting: 30 

Objective 3.3 Performance Summary Statement: 

The quality, accuracy and timeliness of response to customer requests for information; 

In facilities, LBNL is meeting ASCR's very high expectations but this standard is not carried throughout 

LBNL leadership. For example, LBNL failed to notify ASCR of an OMB visit. The interim Deputy 

Director has not made ASCR a priority customer. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-9 

The extent to which the Contractor keeps the customer informed of both positive and negative events at 

LBNL so that the customer can deal effectively with both internal and external constituencies; 

In general, LBNL meets ASCR's very high expectations in this area and LBNL communications staff are 

among the best in the DOE system. However, this standard is not carried throughout LBNL leadership. 

The ease of determining the appropriate contact (who is on-point for what). 

In general, LBNL meets expectations in its clear communication of roles and responsibilities. This is 

especially true for the ASCR Recovery Act projects. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-10 

Laboratory Year-End Performance Assessment Report 

Date:10/13/2009 

Headquarters Program Office Fiscal Year 2009 Evaluation of The Regents of the University of California 

for Management and Operation of the Lawrence Berkeley National Laboratory 

Agency: 

U.S. Department of Energy 

Program Office: 

Office of Science - Biological and Environmental Research 

FY Funding Level: (Budget Authority) 

Goal 1.0 Provide for Efficient and Effective Mission Accomplishment 

Goal Score: 3.80 Goal Grade: A 

Goal 1.0 Performance Summary Statement: 

LBNL has a broad range of research across the Biological and Environmental Research (BER) program 

with a principal focus on the life sciences. 

LBNL continues to exhibit exceptional scientific leadership and innovation in its management of the Joint 

BioEnergy Institute. 

Biological scientists at the laboratory continue to be highly recognized, international leaders in many 

fields. As one of the parent laboratories for the DOE Joint Genome Institute and Production Genomics 

Facility, LBNL enables genome-based scientific progress in the scientific community especially as it 

relates to DOE's energy and environmental missions. LBNL scientists are developing new approaches to 

assess the sustainability of remediation strategies deployed at DOE sites, and they are productive scientific 

leaders in climate research. 

Objective 1.1 Science and Technology Results Provide Meaningful Impact on the Field 

Score: 3.9 Grade: A Weighting: 30 

Objective 1,1 Performance Summary Statement: 

The structural biology beamlines at the Advanced Light Source (ALS) have published several noteworthy 

papers on the development and application of new technologies in the leading crossdisciplinary journals, 

particularly from the small-angle x-ray scattering (SAXS) and FTIR spectromicroscopy stations funded by 

BER. The high-throughput technology developed for SAXS has had a high impact worldwide, with the 

Nature Methods paper being among the most often read articles in that journal. The FTIR structural biology 

program has also received significant recognition for papers in PNAS and Analytical Chemistry that 

describe new sample management technologies and their application.

Overall the laboratory is recognized as a leading authority in biological systems sciences and genomic 

sequencing, and key researchers have been recognized in their fields. The laboratory is developing an 

integrated research framework, but it is still fragmented. The laboratory has done an excellent job in 

mentoring younger scientists. 

The Joint Genome Institute (JGI), transitioning to complete oversight and management by the LBNL, 

continues to produce extraordinarily impactful publications grounded in the high throughput and high 

quality genomic sequencing of projects submitted by hundreds of scientific users and the three major BERfunded Bioenergy Research Centers. In FY2009, JGI-affiliated projects generated 108 total publications, 20 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-11 

in high-impact, high-profile peer-reviewed journals such as Nature, Science, and PNAS. Critical recent 

(FY2009) results include the complete genome sequences of 56 previously unsequenced microbes from 

largely unexplored branches of the microbial tree of life providing new genes for novel enzymes 

(cellulases) available to the Bioenergy Research Centers for their work. Additionally, six major plant 

genomes are in various stages of completion (with sorghum recently published and the soybean manuscript 

under review.) JGI science is pioneering environmental metagenomics at DOE Free-Air Carbon Dioxide 

Enrichment (FACE) sites as well as Hanford subsurface and Colorado bioremediation field sites. JGI 

generates almost 800 billion base pairs of DNA sequence and is transitioning to a user facility capable of 

more than simply sequencing DNA but providing high throughput "added value" through development and 

application of tools and resources for genomic analysis. 

The Radiochemistry SFA researchers are developing novel and highly innovative tools that will allow 

radiotracer techniques normally found in nuclear medical imaging to be applied to DOE mission needs 

including biofuels and environmental remediation. Specifically, they are developing techniques to use G11 

imaging to elucidate biosynthetic pathways to enhance biofuel production, and to image the flow rates of 

heavy metal contaminants (Tc and Cr) through subsurface aquifers. 

The Joint BioEnergy Institute (JBEI) has demonstrated excellent productivity during its second year of 

operation, with 34 research manuscripts submitted or published and 13 patent applications filed. They were 

highly responsive to budgetary redirections at the beginning of the fiscal year, and have met or surpassed 

most milestones for FY2009. JBEI researchers have demonstrated scientific leadership and merit in a 

variety of areas, with impacts ranging from development of improved bioenergy crops, engineering of 

improved deconstruction enzymes, optimization of ionic liquid pretreatment methods, and development of 

microorganisms producing advanced biofuels. 

LBNL program leaders and many of the junior scientists are scientific leaders or emerging young leaders in 

the fields of systems biology, bioinformatics, cryo-EM, X-ray tomography, SAXS, mass spectrometry 

applied to metabolomics, three dimensional tracking single particle and Synchrotron FTIR based 

technology development. This group includes researchers who are members of the National Academy of 

Science and the National Academy of Engineering, are Fellows of professional societies, and winners of an 

R&D 100 award. 

LBNL staff and their scientific discoveries are highly impactful. Through their Sustainable Systems SFA 

and their key role in the Old Rifle Integrated Field Research Challenge project LBNL researchers are 

helping to establish a more holistic and improved approach to subsurface environmental science. In 

recognition for her lead role in this effort Susan Hubbard was chosen to serve at the 2010 Geological 

Society of America Birdsall-Dreiss Lecturer (the first from a National Laboratory). LBNL's subsurface 

science program is also contributing fundamental knowledge to the cleanup of DOE sites - their novel 

approach to bioremediation/immobilization of chromium has been implemented at the Hanford site as a 

remediation strategy. The LBNL developed Phylochip, which won an R&D 100 award in 2008, has 

recently been recognized by the Wall Street Journal and Pollution Engineering Magazine for its scientific 

and technological impact in the area of environmental science. 

Objective 1.2 Provide Quality Leadership in Science and Technology 

Score: 3.9 Grade: A Weighting: 20 Objective 

1.2 Performance Summary Statement: 

The structural biology programs at the ALS have developed new technologies that are unique and will be 

adopted at other light sources. 

The JGI continues to be a world leader in the sequencing of microbes and plants of importance to energy and 

the environment. JGI has also initiated "grand challenge" scale projects in metagenomics of microbial 

communities in soils, the shipworm gut, and other complex cellulose-degrading communities. This also 

entails leading the way in technological developments (sample handling, analysis, etc.) to manage the 

demands of such projects. JGI scientists serve on 11 journal Editorial Boards, 15 Advisory Panels, and 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-12 

serve on 8 Federal agency peer review panels. In 2009, JGI scientists gave over 100 invited lectures and 

seminars. 

The five radiochemistry program scientists are world-renowned leaders in the fields of radiotracer 

development, imaging instrumentation, and data analysis. This group includes researchers who are 

members of the National Academy of Science and the National Academy of Engineering, are Fellows of 

professional societies, and four awards for technical excellence have been presented to members of this 

program in FY09. Two serve as Associate Editors of peer-reviewer journals, and program members serve 

on numerous review panels both within and outside of DOE (8 in FY2009). 

LBNL Leadership and Recognition has been outstanding in radiation biology and cancer research. Drs. 

Bissell, Gray, Campisi, Cooper, Kohwi-Shigematsu, Kronenberg, and Wyrobek have all been recognized 

by their peers for leadership. Particularly impressive this year is Dr. Mina Bissell, whose awards include 

the American Cancer Society Medal of Honor for Basic Research, the newly-minted Mina J Bissell Award 

from the University of Porto, the Rothschild-Mayent Fellowship Institute Curie, and the Department of 

Defense Innovator Award. 

LBNL scientists have provided exceptional leadership in the biological sciences through high profile 

presentations at conferences, professional service on numerous editorial boards and advisory panels, and 

outreach to both the general public and policymakers. 

PI Collins has been providing scientific leadership for the recently initiated DOE Abrupt Climate Change 

modeling effort; he organized a kick-off session at the Fall AGU for the DOE project. He has also been an 

active participant at the Gordon Research Conference on Radiation and Climate. The LBNL Subsurface 

Science SFA is composed of three interdisciplinary challenges that span from Molecular to Field Scales. 

The challenges fully engage the LBNL team in collaborative research efforts that are highly impactful and 

uniquely leverage the organizational structure and research infrastructure at the National Laboratories. 

Thirteen LBNL staff serve as Editor or Associated Editor on nine high impact journals and five staff serve 

on scientific advisory panels. LBNL staff helped to organize two international and two national workshops. 

Objective 1.3 Provide and Sustain Outputs that Advance Program Objectives and Goals 

Score: 3.7 Grade: A- Weighting: 20 

Objective 1.3 Performance Summary Statement: 

The structural biology programs at the ALS generally receive excellent peer reviews. An exception in FY 

2009 was the x-ray tomography program which received only moderately supportive reviews and was 

given a one-year extension. The amended application for this program will be reviewed in FY 2010. 

The JGI Scientific Programs in Microbes, Metagenomes, Fungi and Eukaryotes, and Plants continue to 

provide absolutely foundational sequence data for subsequent science for both DOE missions and wider 

scientific advance. 

LBL radiochemistry research is widely disseminated. In FY09, they published or submitted 33 articles in 

peer-reviewed journals, 10 articles in conference publications, and made over 36 presentations at scientific 

meetings, of which 26 were invited presentations. A number of these were very high profile presentations, 

such as the conference summary at SCINT09 (an international conference on radiation detector 

development). 

LBNL produced 90 scientific publications in plant and microbial systems biology, many in high impact 

journals. In particular, LBNL research has enabled a number of key technical breakthroughs by effectively 

utilizing its unique analytical resources to produce findings that would have been extremely difficult, if not 

impossible, to accomplish at other institutions. 

PI Wehner participated in the development of several Synthesis and Assessment Reports, including the 

USGCRP Report "Global Climate Change Impacts in the United States." The LBNL ERSP SFA team 

continues to be very productive with 25 published articles in high-impact journals, 7 book chapters, two 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-13 

patents and 74 invited presentations during this performance period. 

Objective 1.4 Provide for Effective Delivery of Products 

Score: 3.7 Grade: A- Weighting: 30 Objective 

1.4 Performance Summary Statement: 

The JGI has developed successive iterations of its successful Integrated Microbial Genomes webbased 

utility The IMG system contains genomes from all three domains of life: as of April 2009, IMG included 1,284 

bacterial, 59 archaeal, 49 eukaryotic genomes, as well as 2,524 viruses and 924 plasmids. IMG and its 

companion metagenome system, IMG/M, have been cited in over 200 publications and have been used in 

the analysis of dozen of genomes and metagenomes. Over the past FY, the JGI has consistently exceeded 

its quarterly milestones for sequence production and in fact exceeded its annual goal in the third quarter and 

its total FY09 production is expected to exceed the goal by a factor of three. 

P.Is s funded by radiobiology and cancer biology gave 120 invited presentations, including 16 Keynote 

and 5 distinguished lectures, and organized 11 meetings. 

PI Collins is working towards getting the Rapid Radiative Transfer Method into the Community Atmospheric 

Model. This would be a step in the direction of representing radiative processes more accurately in a 

climate model that is widely used by researchers. LBNL's ERSP SFA has demonstrated through their 

monthly updates, annual report and presentations to BER management that they are achieving the 

ambitious goals and milestones specified in their SFA Science Plan that was peer reviewed and approved 

last year by BER. 

Goal 2.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operation of 

Research Facilities 

Goal Score: 3.14 Goal Grade: B+ 

Goal 2.0 Performance Summary Statement: 

The JGI continues to be one of the world's leading and most cost effective DNA sequencing centers. In terms 

of sequence throughput, the JGI continues to perform beyond expectations; however, the JGI does need to 

resolve some downstream problems and develop more proactive project management practices. 

Objective 2.1 Provide Effective Facility Design(s) as Required to Support Laboratory Programs (i.e., 

activities leading up to CD-2) 

Score: NA Grade: NA Weighting: 0 

Objective 2.1 Performance Summary Statement: 

Objective 2.2 Provide for the Effective and Efficient Construction of Facilities and/or Fabrication of 

Components (execution phase, Post CD-2 to CD-4) 

Score: NA Grade: NA Weighting: 0 

Objective 2.2 Performance Summary Statement: 

Objective 2.3 Provide Efficient and Effective Operation of Facilities 

Score: 3.1 Grade: B+ Weighting: 90 

Objective 2.3 Performance Summary Statement: 

To meet the demands of vastly increased sequence production, the JGI has been aggressively upgrading 

and adding to its infrastructure for information technology and analysis. Data storage capacity has doubled 

and its central computing cluster has tripled. ESNet access has been upgraded. New sequencing machines 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-14 

(Illumina FLX) have been added and ABI3730 devices removed from the production line, all designed to 

optimize the cost-efficiency of sequence production. Resulting from the FY2008 month-long cessation of 

sequencing operations to address and correct ergonomic injuries, the JGI's FY2009 safety record was 

exemplary. 

In terms of sequence throughput, the JGI continues to exceed expectations; however, the JGI moved too 

rapidly into new technologies, resulting in some downstream problems that are now being dealt with. The JGI 

was slow to recognize and address related significant challenges in project tracking; therefore, more 

proactive project management is desired for FY2010. 

Objective 2.4 Utilization of Facilities to Grow and Support Lab's Research Base and External User 

Community 

Score: 3.5 Grade: A- Weighting: 10 

Objective 2.4 Performance Summary Statement: 

The structural biology beamlines supported by BER at the Advanced Light Source provide unique 

capabilities for applying soft x-ray and infrared beams to life science problems and are supporting growing 

internal and external communities. 

The JGI has almost 1800 users around the world and maintains active linkages through conducting numerous 

workshops and participating in topical sessions at major scientific meetings. The annual user meeting was 

attended by close to 500 scientists, and the facility hosted hundreds of visitors. The JGI is actively used by 

researchers at LBNL involved in all three major BER mission areas, bioenergy, carbon cycling, and 

biogeochemistry research programs. The JGI actively engages with other large scale genome sequencing 

centers with broader mission goals. 

Goal 3.0 Provide Effective and Efficient Science and Technology Program Management 

Goal Score: 3.60 Goal Grade: A 

Goal 3.0 Performance Summary Statement: 

LBNL has done an outstanding job in the management and development of its research programs across the 

BER portfolio including JBEI, the JGI, the low dose radiation research program, the ERSP activities, and 

climate research. Laboratory management is to be congratulated for the continued success of JBEI. The 

Laboratory is also commended for its broad-based planning for the future of the JGI and is encouraged to 

continue its inclusive approach to planning and management. 

Objective 3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and Program 

Vision 

Score: 3.7 Grade: A- Weighting: 20 

Objective 3.1 Performance Summary Statement: 

The JGI recently recruited a Deputy Director for Production, Informatics and Operations to focus on JGI 

operations. New dashboards have been designed and implemented to begin monitoring internal processes 

and reporting to DOE BER management. In December, 2008, a major Science and Operations review was 

carried out leading to structural changes in the way JGI is operated and supported. A new Strategic Plan has 

been written that articulates the JGI's scientific vision and its importance for BER missions. 

Collins participated in and presented a keynote presentation to the BER Climate Concept (modeling) group 

meeting. LBNL staff helped to lead several scientific planning activities for the ERSP and the DOE. This 

included an ERSP workshop on Subsurface Complex System Science, a report on "Scientific 

Opportunities to Reduce Risk in Groundwater and Soil Remediation," and an EM led initiative on 

"Advanced Subsurface Computing for Environmental Management." 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-15 

Objective 3.2 Provide Effective and Efficient Science and Technology Project/Program Planning and 

Management 

Score: 3.7 Grade: A- Weighting: 30 

Objective 3.2 Performance Summary Statement: 

As part of the BER directed reconfiguration of funding to the overall JGI, as well as alterations in the 

profile of sequencing technologies to carry out JGI missions, a modest number of reassignments and 

layoffs became necessary. The JGI carried out this difficult program effectively and humanely, at a time of 

general economic difficulties across the nation. The new centralized funding structure makes redirection of 

resources administratively easier to do and allows more rapid adaptation to changing circumstances. 

The project leaders and staff have developed successful experimental research approaches that are 

extensive and challenging across a spectrum of R&D related to such topics as characterization of biological 

complexes. The work requires attention to effective deployment of resources both on site and off site in 

order to address DOE/SC missions. 

LBNL radiochemistry researchers are very effective in delivering their research to the public, with active 

collaborations with 6 public sector companies, ranging from small businesses (RMD, Inc., NewAbilities, 

Inc., and SensL) to large, multi-national corporations (GE, Philips, and Siemens). The LBNL Technology 

Transfer Department has been highly effective in translating research to the public. In the past year, the 

radiochemistry program has submitted or been awarded six patents. 

Management is able to attract and retain world class scientist and technologists. They are have developed 

and initiated efforts in areas such as multiscale imaging that have long term value to the laboratory, DOE 

programs and the larger biological community. 

LBNL has been highly effective in developing opportunities for commercializing research findings and 

new technologies. During its second year of operation, the Joint Bioenergy Institute (JBEI) has actively 

pursued partnerships with industry and applied research endeavors to facilitate commercialization of JBEI 

research outputs. 

Although individual divisions within LBNL have been highly effective in strategic planning and program 

management, it less clear whether there is sufficient coordination across divisions necessary to facilitate 

multidisciplinary research endeavors. 

LBNL provides effective and efficient management of their ERSP funded science programs. In response to 

the SFA process, LBNL reorganized a collection of individual research projects into a coherent 

interdisciplinary research effort focused on three broad themes. To support this change of focus, LBNL 

terminated several areas of research that were not well aligned with the new research direction and hired 

four new staff members (one senior and three junior scientists). This research program has been supported 

with LDRD investments from the Laboratory and leveraged strengths at LBNL (e.g., GTL science 

programs, the ALS), forged strong partnerships with other National Laboratories and University researchers, 

and contributed to important ERSP initiatives such as the Old Rifle and Oak Ridge Integrated Filed Research 

Challenge Projects. 

Objective 3.3 Provide Efficient and Effective Communications and Responsiveness to Customer 

Needs 

Score: 3.5 Grade: A- Weighting: 50 

Objective 3.3 Performance Summary Statement: 

A major first step towards improving both communications and management was achieved by the redesign 

of JGI science programs into four themes: microbes, metagenomes, fungi, and plants. These correspond to 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-16 

JGI science directions and make financial accountability and transparency easier. The JGI communicates 

closely with BER management and representatives of the various JGI partner organizations. JGI managers 

have been responsive to BER requests for information and generally visit quarterly to keep BER apprised of 

activities and developments. Improvements in tracking user satisfaction and JGI responsiveness to project 

status inquiries are necessary. 

LBNL radiochemistry researchers communicate frequently with DOE program managers and consistently 

provide rapid response to their short-term inquiries. LBNL radiochemistry program researchers have 

assisted in developing new strategic directions by taking a leadership role in organizing the scientific 

content and writing the summary report from the Workshop on New Frontiers of Science in 

Radiochemistry and Instrumentation for Radionuclide Imaging. They have also been responsive in changing 

their program direction in response to DOE requests. 

JBEI has been effective in publicizing the BRCs and reaching out to a broad community. They contribute 

high quality presentations at conferences and help coordinate BRC presence. JBEI has hosted many visitors 

and organized a successful summer research program for minority and disadvantaged students. 

Management of the LBNL Physical Biosciences Division has been exceptionally responsive to DOE 

program staff and has played an active and effective role in facilitating the transition to the Science Focus 

Area funding structure. 

JGI and JBEI have supplied the ARRA reporting and project management process with timely and careful 

documentation. LBNL ERSP staff clearly and efficiently communicate with BER management through 

monthly progress reports, frequent phone calls, and personal briefings at DOE headquarters, BERAC and 

other scientific meetings. LBNL management and staff respond in a timely manner to BER management 

requests with quality information and reports. This year the LBNL Environmental Geophysics Group 

authored ERSP's FY09 Quarterly PART Reports. All reports were of high quality and delivered ahead of 

schedule. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-17 

Laboratory Year-End Performance Assessment Report 

Date: 

10/14/2009 

Headquarters Program Office Fiscal Year 2009 Evaluation of The Regents of the University of California 

for Management and Operation of the Lawrence Berkeley National Laboratory 

Agency: 

U.S. Department of Energy 

Program Office: 

Office of Science - Basic Energy Sciences 

FY Funding Level: (Budget Authority) 

Goal 1.0 Provide for Efficient and Effective Mission Accomplishment 

Goal Score: 3.90 Goal Grade: A 

Goal 1.0 Performance Summary Statement: 

The BES supported research programs in chemical sciences, geosciences, biosciences, and materials 

sciences at LBNL continued to demonstrate scientific excellence and productivity. LBNL's success in the 

highly competitive EFRC funding opportunity and SISGR solicitation demonstrated scientific leadership 

and presents an excellent opportunity to enhance grand-challenge and use-inspired basic energy research in 

the laboratory. 

The Gas Phase Chemical Physics (GPCP), Condensed Phase and Interfacial Molecular Science (CPIMS), 

and Chemical Dynamics Beamline programs were reviewed. The GPCP and CPIMS efforts were strongly 

praised for their world-leading quality, relevance, and scientific impact. The productivity of the GPCP and 

CPIMS activities were prodigious, with 65 and 52 publications in the review period, respectively; the 

work performed and planned is propelling the state of the art in these fields. 

An early operations review of the LBNL Helios Solar Energy Research Center (SERC) provided a critical 

assessment of the center's strategic vision, management, resource allocations, and research objectives and 

approaches. The review demonstrated the basic soundness of the integrated systems approach toward solar 

fuel generation being taken by the SERC and confirmed that the science was of high quality. But the review 

identified gaps in leadership and expertise in key research areas, such as catalysis/electro-catalysis, that 

need to be addressed by successful recruiting. 

LBNL received one EFRC award made by BES in FY 2009 and will be the lead institution on the EFRC: 

"Center for Nanoscale Control of Geologic CO2." In addition, LBNL is participating as a partner 

institution in five EFRCs led by other institutions. LBNL also received three Single-Investigator and 

Small-Group Research (SISGR) solicitation awards made by BES. 

The Condensed Matter and Materials Physics programs supported by the BES Materials Sciences and 

Engineering (MSE) Division were reviewed; overall, the reviewers were impressed by the outstanding 

science that was presented and by the accomplishments of many of the principal investigators. 

Objective 1.1 Science and Technology Results Provide Meaningful Impact on the Field 

Score: 4.0 Grade: A Weighting: 50 

Objective 1,1 Performance Summary Statement: 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-18 

Three programs supported by the BES Chemical Sciences, Geosciences, and Biosciences (CSGB) Division 

in Chemical Physics at Lawrence Berkeley National Laboratory (LBNL) were reviewed on site in May 

2009. These were the Gas Phase Chemical Physics (GPCP), Condensed Phase and Interfacial Molecular 

Science (CPIMS), and Chemical Dynamics Beamline (CDB) programs. The GPCP and CPIMS efforts 

were strongly praised for their world-leading quality, relevance, and scientific impact. Reviewers 

applauded the strong synergistic collaborations and the interaction of theory and experiment in these two 

programs. This is all the more notable because they had previously been managed under seven separate 

Field Work Proposals. The productivity of the GPCP and CPIMS activities were prodigious, with 65 and 

52 publications in the review period, respectively; the work performed and planned is propelling the state 

of the art in these fields. 

The CDB program provides an invaluable capability to the research community, and the personnel 

associated with the beam line are to be commended for their excellence and tireless commitment. The 

CBD program is a unique resource that enables cutting-edge research at the ALS that would be extremely 

difficult to perform with other types of light sources. With recent innovations and upgrades the CBD 

program has allowed the U. S. to remain at the forefront of VLTV research in chemical physics and chemical 

dynamics, with many applications having a direct relevance to energy, and with a significant output of 67 

publications during the review period. 

Ongoing CSGB Division-supported programs in Atomic, Molecular, and Optical Science; Ultrafast XRay 

Science; Catalysis Science; Heavy Element Chemistry; Geosciences; and Photo- and Biochemistry were not 

reviewed in FY 2009. The programs continued to be very productive and demonstrated sustained scientific 

progress. 

An early operations review of the LBNL Helios Solar Energy Research Center (SERC) was conducted onsite in May 2009. The Center received operational funding at the level of $5M annually in late FY 2008 

from both BES research divisions. Reviewers provided a critical assessment of the center's strategic 

vision, management, resource allocations, and research objectives and approaches. The review 

demonstrated the basic soundness of the integrated systems approach toward solar fuel generation being 

taken by the SERC and confirmed that the science was of high quality. But the review identified gaps in 

leadership and expertise in key research areas, such as catalysis/electrocatalysis, that need to be addressed 

by successful recruiting. 

The Condensed Matter and Materials Physics programs supported by the BES Materials Sciences and 

Engineering (MSE) Division were reviewed in FY 2009. Overall, the reviewers were impressed by the 

outstanding science that was presented and by the accomplishments of many of the principal investigators. 

However, one part of a project (Superconductivity -SQUID research) was discontinued as a consequence of 

the review which found it to be not well-aligned with the BES mission. Scientifically, the balance of the 

reviewed projects were exceptionally strong, productive, and generally well-aligned with the BES goals 

and mission. The laboratory successfully responded to reviewer concerns on these projects. 

The LBNL Accelerator and Fusion Research Division was successful in receiving BES Scientific User 

Facility Division accelerator research funding to develop a low emittance room temperature RF gun for Free 

Electron Lasers. 

Objective 1.2 Provide Quality Leadership in Science and Technology 

Score: 3.8 Grade: A Weighting: 20 

Objective 1.2 Performance Summary Statement: 

The Chemical Physics program on-site review in FY 2009 affirmed its high quality of scientific leadership. 

The program's group continued to develop innovative experimental and theoretical methods in chemical 

physics. Two of many examples are innovations to overcome limitations of the Density Functional Theory 

and probing ultrafast molecular dynamics using x-ray pulses produced by high harmonic generation. 

Through solid records of such progress, all of the senior investigators have earned international 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-19 

reputations as leaders in the field. Similarly, CSGB Division-supported programs not reviewed in FY 2009 

contain many world-class investigators, who continue to receive honors, accolades, and prizes from their 

peers in recognition of their scientific leadership. 

LBNL received one of the forty-six Energy Frontier Research Center (EFRC) awards made by BES in FY 

2009 and will be the lead institution on the EFRC: "Center for Nanoscale Control of Geologic CO2." In 

addition, LBNL is participating as a partner institution in five EFRCs led by other institutions. LBNL 

received three of the ninety-five awards in the Single-Investigator and Small-Group Research (SISGR) 

solicitation made by BES in FY 2009. LBNL's success in the highly competitive EFRC funding 

opportunity and SISGR solicitation demonstrated scientific leadership and presents an excellent 

opportunity to enhance grand-challenge and use-inspired basic energy research in the laboratory. 

The LBNL materials science program has strong leadership in superconductivity, advanced NMR 

instrumentation development, nanomaterials synthesis, surface and interface science, and x-ray scattering 

and imaging of magnetic materials. LBNL has successfully established a large, interdisciplinary research 

program focused on effective and economic solar-produced fuel. LBNL provided leadership in developing 

new accelerator concepts and instrumentation. 

Objective 1.3 Provide and Sustain Outputs that Advance Program Objectives and Goals 

Score: 3.8 Grade: A Weighting: 15 

Objective 1.3 Performance Summary Statement: 

The quantity and quality of CSGB Division-supported research outputs in peer-reviewed journals were 

excellent. In particular, the on-site review of LBNL Chemical Physics programs in FY 2009 revealed 184 

publications in peer-reviewed journals during the previous three-year funding cycle. 

The quantity and quality of MSE Division-supported research outputs in peer-reviewed journals were 

excellent. In particular, the on-site review of LBNL Condensed Matter Physics programs in FY 2009 

revealed impressive, impactful scientific output during the previous three-year funding cycle. 

Objective 1.4 Provide for Effective Delivery of Products 

Score: 3.8 Grade: A Weighting: 15 

Objective 1.4 Performance Summary Statement: 

CSGB Division-supported research programs were effective and efficient in meeting scientific objectives 

and milestones; the programs were responsive to requests from BES for information and research highlights. 

Goal 2.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operation of 

Research Facilities 

Goal Score: 4.14 Goal Grade: A+ 

Goal 2.0 Performance Summary Statement: 

The BES supported scientific user facilities at LBNL continued to perform as worldwide leaders in their 

respective fields. Facility construction projects continued with steady progress, successfully responding to 

changing funding guidance in FY 2009. 

The LBNL Advanced Light Source (ALS) operated at a reliability of 97 percent. The successful 

implementation of top-off storage ring operation allowed the ALS to increase scheduled user hours from 

5000 hours to 5471 hours because of the increased efficiency and reliability of top-off operation. ALS was 

able to secure Recovery Act funding for sextupole magnets which will lead to a significant enhancement in 

ALS beam brightness. 

The TEAM project continued with steady progress throughout FY 2009, culminating in successful 

completion of the project within cost and time baselines. Performance exceeded technical baselines. Due 

to savings in other areas, detectors were able to be included in the project, providing unprecedented 

sensitivity and recording speed. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-20 

The USB project was negatively impacted by the extended Continuing Resolution. However, it received 

Recovery Act funding of $14.7M, and additional re-planning resulted in reductions in cost and schedule. 

The project is planned to achieve LEED `Silver' certification and is evaluating the potential to achieve 

LEED `Gold' certification. 

Objective 2.1 Provide Effective Facility Design(s) as Required to Support Laboratory Programs (i.e., 

activities leading up to CD-2) 

Score: NA Grade: NA Weighting: 0 

Objective 2.1 Performance Summary Statement: No BES efforts. 

Objective 2.2 Provide for the Effective and Efficient Construction of Facilities and/or Fabrication of 

Components (execution phase, Post CD-2 to CD-4) 

Score: 4.2 Grade: A+ Weighting: 19 

Objective 2.2 Performance Summary Statement: 

The TEAM project continued with steady progress throughout FY 2009, culminating in successful 

completion of the project within cost and time baselines. Performance exceeded technical baselines. Due 

to savings in other areas, detectors were able to be included in the project, providing unprecedented sensitivity 

and recording speed. The TEAM stage, winner of an R&D- 100 award, was installed on TEAM I, 

continuing the tomographic capability demonstrated on the development column. TEAM achieved key 

performance specifications of 0.1 eV energy resolution, and 0.5resolution in both TEM and STEM 

modes, making it the world's highest-resolution electron microscope. TEAM I has a 5 mm pole piece gap, 

and chromatic aberration (Cc) image corrector in addition to the spherical aberration (Cs) probe corrector. 

Remote operation of TEAM over ESnet was demonstrated. Critical Decision 4b, Approve Full Operations, 

was approved on September 16, 2009, allowing user operations on the TEAM I microscope. 

The USB project was very successful in responding to changing funding guidance in FY 2009. The 

project was negatively impacted by the extended Continuing Resolution beyond the 3 months planned, and 

re-planning was required, which would have increased project cost and duration. In addition, the project 

received advance funding of $14.7M from the American Recovery and Reinvestment Act (ARRA) of 2009, 

and additional re-planning was required resulting in reduction in cost and schedule. The project team was 

very responsive and proactive in working with the construction subcontractor to mitigate negative impacts 

on the project and to negotiate favorable terms where possible. Phase 1 of the project was completed in FY 

2008, including demolition of Building 10 and construction of building foundations, embedded steel 

columns and concrete slab on-grade. Phase 2 was begun and the project is 44 percent complete; structural 

steel, lst, 2nd and 3rd floor decking and concrete infill complete, metal decking at roof level complete, interior 

wall framing on 1 st and 2nd floors complete. Installation of exterior framing and above ceiling rough 

HVAC, plumbing, and electrical systems are in progress. Installation of the building exterior is on track to 

have the building weather tight in FY 2010. The project is planned to achieve LEED `Silver' certification 

and is evaluating the potential to achieve LEED `Gold' certification. 

Objective 2.3 Provide Efficient and Effective Operation of Facilities 

Score: 4.2 Grade: A+ Weighting: 62 

Objective 2.3 Performance Summary Statement: 

The LBNL Advanced Light Source (ALS) operated at a reliability of 97 percent. The successful 

implementation of top-off storage ring operation allowed the ALS to increase scheduled user hours from 

5000 hours to 5471 hours because of the increased efficiency and reliability of top-off operation. 

As a result of receiving excellent ratings on a review of its ARRA proposals, ALS was able to secure 

funding for sextupole magnets which will lead to a significant enhancement in ALS beam brightness. The 

ALS also received funding for a new undulator for the femtosecond slicing beamline, beamline detectors, 

and a high field vector magnet for new soft x-ray magnetic dichroism experiments. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-21 

Both the Molecular Foundry and the National Center for Electron Microscopy (NCEM) user facilities 

operated efficiently and effectively with minimal downtime. NCEM continued to experience some staff 

turnover; in itself this is not a problem, but vacancies need to be rapidly addressed via aggressive and 

creative recruiting in order to maintain effective operation of the facility. 

Objective 2.4 Utilization of Facilities to Grow and Support Lab's Research Base and External User 

Community 

Score: 3.9 Grade: A Weighting: 19 

Objective 2.4 Performance Summary Statement: 

The ALS was used by many research programs at LBNL. The Molecular Foundry staff and users were 

taking advantage of the ALS. The Molecular Foundry continued to carry out and facilitate a strong 

scientific program in FY 2009, and aggressively addressed BES recommendations from the initial 

operations review in FY 2007. Through leadership of the TEAM project, now brought to a very successful 

conclusion, the National Center for Electron Microscopy (NCEM) has substantially enhanced the 

laboratory's programs and visibility. 

Goal 3.0 Provide Effective and Efficient Science and Technology Program Management 

Goal Score: 3.35 Goal Grade: B+ 

Goal 3.0 Performance Summary Statement: 

Overall, LBNL provides program vision and effective stewardship of the chemical sciences, geosciences, 

biosciences, and materials sciences research supported by BES. LBNL has also shown considerable 

scientific vision in projecting the future of the scientific facilities at the laboratory. 

Strategic Plans were developed for the ALS with input from advisory groups and users. 

The newly appointed Materials Sciences Division leader has brought new vision and is expected to provide 

effective leadership for the program. He has been proactive in initial interactions with BES management. 

Prioritization of new directions for the program is in progress. 

LBNL presentations at the Review of BES-supported materials sciences programs were not well managed 

or organized by the laboratory. In addition, several reviewers commented that sections of the review 

documents were poorly written and disorganized, making it challenging to assess the progress and proposed 

work. 

Objective 3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and Program 

Vision 

Score: 3.8 Grade: A Weighting: 40 

Objective 3.1 Performance Summary Statement: 

Overall, LBNL provides compelling program vision and effective stewardship of the BES CSGB Division 

supported research. The Director of the LBNL Chemical Sciences Division is an effective leader of the 

CSGB research programs. The FY 2009 Chemical Physics on-site review demonstrated notable progress in 

aligning and coordinating efforts. 

Overall, LBNL provides programmatic vision and effective stewardship of the BES MSE Divisionsupported research. In late FY 2009, the Director of the LBNL Materials Sciences Division was appointed 

as the LBNL Laboratory Director. The new Director of the LBNL Materials Sciences Division is expected 

to be a good steward and an effective leader of the BES MSE Division supported research programs. 

The LBNL management has shown considerable scientific vision in projecting the future of the scientific 

facilities at the laboratory. The stewardship of the LBNL facilities is in excellent shape and a good model to 

follow. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-22 

Objective 3.2 Provide Effective and Efficient Science and Technology Project/Program Planning and 

Management 

Score: 3.1 Grade: B+ Weighting: 30 

Objective 3.2 Performance Summary Statement: 

LBNL management presents clear descriptions of the CSGB Division-supported programs, synergies 

between them, and the context of those programs in the larger strategic vision of the laboratory. 

Despite active recruiting efforts by LBNL, key scientific positions in the SERC remain unfilled. 

It is expected that the newly appointed Materials Sciences Division leader will provide effective leadership 

for the program. He has been proactive in initial interactions with BES management. Prioritization of new 

directions for the program is in progress. 

Objective 3.3 Provide Efficient and Effective Communications and Responsiveness to Customer 

Needs 

Score: 3.0 Grade: B Weighting: 30 

Objective 3.3 Performance Summary Statement: 

Communications between the CSGB Division and LBNL management in the Chemical Sciences, Earth 

Sciences, and Physical Biosciences Divisions were thorough and timely in FY 2009. 

LBNL presentations at the Review of MSE Division-supported programs were not well managed or 

organized by the laboratory. In addition, several reviewers commented that sections of the review 

documents were poorly written and disorganized, making it challenging to assess the progress and proposed 

work. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-23 

Laboratory Year-End Performance Assessment Report 

Date: 

10/19/2009 

Headquarters Program Office Fiscal Year 2009 Evaluation of The Regents of the University of California 

for Management and Operation of the Lawrence Berkeley National Laboratory 

Agency: 

U.S. Department of Energy 

Program Office: 

Office of Science - Fusion Energy Sciences 

FY Funding Level: (Budget Authority) 

$4.941M 

Goal 1.0 Provide for Efficient and Effective Mission Accomplishment 

Goal Score: 3.51 Goal Grade: A 

Goal 1.0 Performance Summary Statement: 

The mission of the Heavy Ion Fusion Science Virtual National Laboratory (HIFS-VNL ) is to carry out 

research on Heavy Ion Fusion Science (HIFS), including studies of Warm Dense Matter (WDM). This 

mission was advanced significantly in FY09 with the first measurements of the properties of ion beam 

heated WDM targets, which were reported in the 4th quarter of FY09. LBNL has operated the current 

experimental facility for HIF/WDM experiments, the Neutralized Drift Compression Experiment-I 

(NDCX-I), in a safe and efficient manner. 

Objective 1.1 Science and Technology Results Provide Meaningful Impact on the Field 

Score: 3.7 Grade: A- Weighting: 30 

Objective 1,1 Performance Summary Statement: 

LBNL made the first measurements of WDM target temperature versus time on the nanosecond time scale 

by developing and using the world's fastest optical pyrometer. LBNL also reported new results using a 

state of the art inertial fusion code (HYDRA-3D) at the International Inertial Fusion Science and 

Applications conference in September 2009. These results show DT fuel capsules the same size as NIF can 

be driven to several times higher gain using less overall beam energy (500 kJ of heavy ions) versus 1.3 MJ 

for NIF lasers. 

Objective 1.2 Provide Quality Leadership in Science and Technology 

Score: 3.5 Grade: A- Weighting: 20 

Objective 1.2 Performance Summary Statement: 

LBNL continues to be the lead lab managing the US Heavy Ion Fusion Science Virtual Laboratory, a 

research collaboration with LLNL, and PPPL. The current Memorandum of Agreement covering this 

collaboration was renewed in 2005 by then LBNL Director Steven Chu. 

Objective 1.3 Provide and Sustain Outputs that Advance Program Objectives and Goals 

Score: 3.5 Grade: A- Weighting: 25 

Objective 1.3 Performance Summary Statement: 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-24 

The product of the HIFS-VNL is science for its mission, the science underlying the basis for heavy ion fusion 

and warm dense matter. The science was pursued in an optimal fashion by carrying out a coordinated set of 

experiments, theory and simulations, as documented in the 44 publications in refereed journals and 16 

invited talks. The HIFS-VNL led and managed by LBNL has an even larger total for referred journal 

publications and invited papers. 

Objective 1.4 Provide for Effective Delivery of Products 

Score: 3.3 Grade: B+ Weighting: 25 

Objective 1.4 Performance Summary Statement: 

LBNL met all milestones on time. For example, a new and larger induction bunching module was 

completed and installed on NDCX-I during FY2009, which doubled the beam charge and energy delivered 

to the WDM target experiments, resulting in higher target temperatures using carbon targets. 

The NDCX-II construction project, as an ARRA-funded new facility, commenced in July 2009. 

A very good initial design basis for NDCX-II had been advanced in the first half of FY2009 based on 

using available Advanced Test Accelerator (ATA) induction accelerator modules from LLNL. 

Goal 2.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operation of 

Research Facilities 

Score: 0.00 Grade: N/A Weighting: 0 

Goal 2.0 Performance Summary Statement: 

Objective 2.1 Provide Effective Facility Design(s) as Required to Support Laboratory Programs (i.e., 

activities leading up to CD-2) 

Score: NA Grade: NA Weighting: 0 Objective 

2.1 Performance Summary Statement: 

Objective 2.2 Provide for the Effective and Efficient Construction of Facilities and/or Fabrication of 

Components (execution phase, Post CD-2 to CD-4) 

Score: NA Grade: NA Weighting: 0 

Objective 2.2 Performance Summary Statement: 

Objective 2.3 Provide Efficient and Effective Operation of Facilities 

Score: NA Grade: NA Weighting: 0 

Objective 2.3 Performance Summary Statement:

Objective 2.4 Utilization of Facilities to Grow and Support Lab's Research Base and External User 

Community 

Score: NA Grade: NA Weighting: 0 

Objective 2.4 Performance Summary Statement: 

Goal 3.0 Provide Effective and Efficient Science and Technology Program Management 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-25 

Goal Score: 3.36 Goal Grade: B+ 

Goal 3.0 Performance Summary Statement: 

LBNL quickly established an effective project team as soon as OFES decided to select NDCX-II as an 

ARRA project. The new project team briefed OFES in April 2009 on the status of design for NDCX-II and 

readiness to proceed once ARRA funding arrived. LBNL completed performance tests on a test stand to 

verify the NDCX-II requirements could be met by ATA modules. 

Objective 3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and Program 

Vision 

Score: 3.4 Grade: B+ Weighting: 35 

Objective 3.1 Performance Summary Statement: 

LBNL, along with its partners LLNL and PPPL, participated in the FESAC panel on HEDLP. As a result of 

persuasive representation of research opportunities on intense beam physics and ion beam driven WDM 

physics using NDCX I and II, these research opportunities were subsequently endorsed by FESAC in 

January 2009. As one of the consequences, the organization of the HIFS-VNL was broadened in FY09 to 

include new work on heavy-ion beam driven target physics, responding to the recommendations of the 

FESAC report. 

Objective 3.2 Provide Effective and Efficient Science and Technology Project/Program Planning and 

Management 

Score: 3.4 Grade: B+ Weighting: 30 

Objective 3.2 Performance Summary Statement: 

The VNL has developed a long range plan for research in WDM. In addition, a complete management 

plan and Work Breakdown Structure has been established as shown in the 4th QTR FY09) ARRA report 

for NDCX-II. 

Objective 3.3 Provide Efficient and Effective Communications and Responsiveness to Customer 

Needs 

Score: 3.3 Grade: B+ Weighting: 35 

Objective 3.3 Performance Summary Statement: 

Several white papers were written and sent as input to OFES during FY09, in preparation to the upcoming 

HEDLP ReNeW Workshop, explaining how both the current NDCX-I and how the new facility NDCX-II, 

can be used to advance goals for HIF science and WDM. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-26 

Laboratory Year-End Performance Assessment Report 

 Date:10/20/2009 

Headquarters Program Office Fiscal Year 2009 Evaluation of The Regents of the University of California 

for Management and Operation of the Lawrence Berkeley National Laboratory 

Agency: U.S. Department of Energy 

Program Office: Office of Science - High Energy Physics 

FY Funding Level: (Budget Authority) 

Goal 1.0 Provide for Efficient and Effective Mission Accomplishment 

Goal Score: 3.65 Goal Grade: A 

Goal 1.0 Performance Summary Statement: 

The HEP program at LBNL has strong components in proton-accelerator based research, nonaccelerator 

research and detector R&D, which are all based on strong technical capabilities. 

Objective 1.1 Science and Technology Results Provide Meaningful Impact on the Field 

Score: 3.8 Grade: A Weighting: 30 

Objective 1.1 Performance Summary Statement: 

The programs in proton-based accelerator research, non-accelerator research and detector R&D are the 

dominant HEP-supported programs at LBNL in both size and impact. One typical comment from the recent 

OHEP proton program review: "LBNL has one of the premier particle physics groups in the world and by 

many measures, is an outstanding HEP laboratory facility." Similarly the work on cosmology has been 

very important. They have added a strong program in baryon acoustic oscillations to their long standing 

and world class program in using supernovae to study dark energy. Reviewers on the panel of the July 2009 

Laboratory Detector R&D review felt that the scientific CCDs designed, developed, and fabricated by the 

LBNL Microsystems Laboratory has made an outstanding contribution to current particle astrophysics 

experiment instrumentation. In addition the program in laser plasma-wakefield particle accelerators 

continues to be a world leading effort. However, the overall rating of the small LBNL theory group in the 

recent peer review was middling. 

Objective 1.2 Provide Quality Leadership in Science and Technology 

Score: 3.7 Grade: A- Weighting: 30 

Objective 1.2 Performance Summary Statement: 

The laboratory staff leads important areas including design, fabrication, installation, and operation of large 

detector components for the ATLAS detector. In addition, they have played and continue to play leading 

roles in physics analysis and computing in support of ATLAS. The laboratory plays a pivotal role in the 

U.S. ATLAS collaboration and has exercised strong leadership in a number of technical and scientific 

areas, but in particular in the ATLAS pixel and silicon detectors. LBNL regularly attracts outstanding 

junior researchers and students. One reviewer commented "LBNL has an outstanding record of training and 

developing young scientists." It is expected that LBNL will play an important role in Phase II upgrades of 

the ATLAS detector. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-27 

The group has led several successful BaBar analysis efforts and has a small part in the growing US Super-B 

collaboration. The theory group has leaders in flavor physics, Soft Colinear Effective Theory. The 

accelerator group has played a strong role in understanding and mitigating electron cloud effects in high 

intensity accelerators. 

Objective 1.3 Provide and Sustain Outputs that Advance Program Objectives and Goals 

Score: 3.7 Grade: A- Weighting: 20 

Objective 1.3 Performance Summary Statement: 

The recent review of proton accelerator-based research at LBNL yielded an evaluation of outstanding. The technical, 

scientific and leadership output of the staff regularly exceeds the expectations. One reviewer observed: "The past track 

record of scientific output from LBNL is really outstanding and I would expect it to continue." The laboratory staff is 

very responsive to review recommendations and headquarters guidance. 

The progress in the laser plasma-wakefield program has been consistent with new ideas being implemented each year to 

advance the program. The LARP magnet program has consistently produced world-leading results, and the LARP 

accelerator systems also produced impressive productivity during this grading period. 

Objective 1.4 Provide for Effective Delivery of Products 

Score: 3.3 Grade: B+ Weighting: 20 

Objective 1.4 Performance Summary Statement: 

Program goals are primarily met on budget and on schedule and in accordance to the priorities of the 

national program. The LBNL program is fully responsive to Headquarters guidance. 

Goal 2.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operation of 

Research Facilities 

Goal Score: 3.20 Goal Grade: B+ 

Goal 2.0 Performance Summary Statement: 

LBNL leads two projects for HEP, BELLA and the Daya Bay Reactor Experiment. Progress on BELLA has 

been good, but some problems with their foreign partners on Daya Bay were not addressed quickly enough. 

Objective 2.1 Provide Effective Facility Design(s) as Required to Support Laboratory Programs (i.e., 

activities leading up to CD-2) 

Score: 3.5 Grade: A- Weighting: 40 

Objective 2.1 Performance Summary Statement: 

The BELLA Project had CD-0 during FY 2009 and received CD-1 in September 2009. The project is 

funded in part with Recovery Act funds. This has required additional effort on the part of the lab to comply 

with Recovery Act requirements in addition to the usual DOE project management requirements. Work on 

the project has been satisfactory and, the project was reviewed by the Office of Project Assessment prior to 

CD-1. 

Objective 2.2 Provide for the Effective and Efficient Construction of Facilities and/or Fabrication of 

Components (execution phase, Post CD-2 to CD-4) 

Score: 3.0 Grade: B Weighting: 60 

Objective 2.2 Performance Summary Statement: 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-28 

LBNL has one project that is funded by HEP and is past CD-2, the Daya Bay Reactor Neutrino Experiment. 

LBNL is the laboratory for project management and works with BNL on the fabrication of the experiment. 

The Daya Bay Project saw delays this year due to problems with the civil construction being done in China 

by the Chinese members of the collaboration. Lab management did not proactively take steps to address this 

problem, but waited until it became necessary to rebaseline the project. 

Objective 2.3 Provide Efficient and Effective Operation of Facilities 

Score: NA Grade: NA Weighting: 0 

Objective 2.3 Performance Summary Statement: 

Objective 2.4 Utilization of Facilities to Grow and Support Lab's Research Base and External User 

Community 

Score: NA Grade: NA Weighting: 0 

Objective 2.4 Performance Summary Statement: 

Goal 3.0 Provide Effective and Efficient Science and Technology Program Management 

Goal Score: 3.36 Goal Grade: B+ 

Goal 3.0 Performance Summary Statement: 

Lab management has a strong vision of how to enable good science, but is not always as strong on 

implementing that vision transparently and efficiently. 

Objective 3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and Program 

Vision 

Score: 3.6 Grade: A- Weighting: 40 

Objective 3.1 Performance Summary Statement: 

Lab management continues to maintain and advance its core competencies in detector design and 

development and apply them to high-priority physics missions, as recognized by the outstanding peer 

reviews of the detector R&D and proton research efforts. Lab management also continues to deal 

effectively with an ever-changing landscape in dark energy research where it has a leadership role, and is 

positioning LBNL to continue as a leader in the field regardless of whether JDEM is eventually successful. 

Objective 3.2 Provide Effective and Efficient Science and Technology Project/Program Planning and 

Management 

Score: 3.3 Grade: B+ Weighting: 40 Objective 3.2 

Performance Summary Statement: 

The LBNL research and technology programs are effectively managed and issues are usually dealt with 

proactively. 

Objective 3.3 Provide Efficient and Effective Communications and Responsiveness to Customer 

Needs 

Score: 3.0 Grade: B Weighting: 20 Objective 3.3 

Performance Summary Statement: 

LBNL management communicates regularly with OHEP and responds promptly to requests for 

information. However there are still instances where the lab did not present clear or consistent budget or 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-29 

program plans for some efforts, including Theory and Non-accelerator physics. In the former case this 

contributed to a relatively poor peer review outcome. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-30 

Laboratory Year-End Performance Assessment Report 

Date:10/15/2009 

Headquarters Program Office Fiscal Year 2009 Evaluation of The Regents of the University of California 

for Management and Operation of the Lawrence Berkeley National Laboratory 

Agency: 

U.S. Department of Energy 

Program Office: 

Office of Science - Nuclear Physics 

FY Funding Level: (Budget Authority) 

30,981,000 

Goal 1.0 Provide for Efficient and Effective Mission Accomplishment 

Goal Score: 3.56 Goal Grade: A 

Goal 1.0 Performance Summary Statement: 

The LBNL nuclear physics group performs at a high level in all areas in mission accomplishment and 

merits a grade of A-: 

 Leadership roles in the national neutrino program with high impact in the field world-wide. 

 Significant accomplishments in studies of heavy element physics and chemistry, including 

confirmation of synthesis of element 114. 

 Leadership in Electron Cyclotron Resonance ion source and related technologies, important for 

advanced accelerator facilities. 

Strong contributions to the study of hot, dense nuclear matter at the Relativistic Heavy Ion Collider. 

 Strong contributions to the theory of hot and dense QCD matter (viscosity, flow, parton energy 

loss, equation of state) and the QCD structure of the nucleon (transverse structure, single spin asymmetries 

 Effective leadership in detector technology and fabrication aimed at the areas of nuclear structure, 

neutrino physics, and heavy ion collisions. 

 Strong publication record. 

The scores and grades for Goals 1-3 are based on the communication to NP at the February Laboratory 

Managers' Briefings, joint Agency Review of the 88-Inch Cyclotron operations, Laboratory Theory Groups 

review (peer review), the LBNL Nuclear Science Division's self assessment, numerous Project Reviews (peer 

review), quarterly reports by project contract managers, NP program managers' site visits, observations at 

national meetings, and their judgments. 

Objective 1.1 Science and Technology Results Provide Meaningful Impact on the Field 

Score: 3.7 Grade: A- Weighting: 35 

Objective 1.1 Performance Summary Statement: 

LBNL researchers carry out high priority research addressing national NP performance goals and milestones 

in relativistic heavy ion physics, neutrino physics, heavy element physics and chemistry, fundamental 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-31 

interactions, nuclear structure and reactions, and nuclear theory. The nuclear data program compiles and 

evaluates experimental information on selected mass chains. 

Nuclear chemists have used calcium-48 beam from the 88-Inch Cyclotron, a plutonium-244 target, and the 

Berkeley Gas-Filled Separator to produce two isotopes of element 114. This element was first produced 

by the Dubna group in Russia ten years ago, but has remained unconfirmed until now. This confirmation is 

essential for the chemistry community to determine that a new element has been discovered, and establishes 

that "hot fusion" is an effective mechanism to study superheavy elements. 

LBNL scientists have scientific and management leadership roles in the international CUORE project in Italy 

to search for neutrino-less double beta decay, the international KamLAND experiment in Japan to measure 

neutrino mixing parameters with reactor antineutrinos and detection of lower energy solar neutrinos, 

analysis of data from the SNO experiment in Canada to determine neutrino mixing parameters with solar 

neutrinos, and R&D for the Maj orana experiment to search for neutrino-less double beta decay of 

germanium-68. Combined results from the SNO and KamLAND experiments provide the most stringent 

constrains on neutrino mass differences and some of the mixing coefficients in the neutrino mixing matrix. 

A controversial claim has been made that the electron-capture decay probability of promethium-142 

oscillates with time; a proposed explanation is neutrino mass state mixing in the final state of the emitted 

neutrino. If this result is confirmed, and the explanation is correct, that neutrino oscillations could be 

studied with far cheaper, simpler experiments. Researchers produced promethium-142 at the 88-Inch 

Cyclotron and followed its decay by measuring emitted x-rays. The result is consistent with exponential 

decay, and any oscillating terms are 30 times smaller than previously reported results. Thus the decay 

oscillation of promethium-142 is not confirmed. 

LBNL scientists are leaders in ECR based ion sources and continue to improve the design and performance of 

these sources. The ECR source group at LBNL is responsible for design and construction of a high intensity 

ECR source for the planned Facility for Rare Isotope Facility at Michigan State University (FRIB). The 

LBNL accelerator and ion source group has taken the lead in a collaboration formed to propose the 

development of an accelerator for the Deep Underground Science and Technology Laboratory DUSEL. 

The 2009 DOE Science and Technology (S&T) panel review evaluated the Relativistic Heavy Ion Collider 

(RHIC) STAR experiment as being high-quality as demonstrated by many scientific measurements and 

numerous publications that have appeared in refereed journals. The Relativistic Nuclear Collisions (RNC) 

group has a vital presence in STAR collaboration and its publications continue to have an important impact 

on the field. 

LBNL nuclear theorists have had significant impact in relativistic heavy ion physics, providing interpretations 

for RHIC data, especially in jet physics. 

The nuclear theory group continues to provide meaningful insights into the properties of hot and dense QCD 

matter. Theorists have recently used a general measure of "fluidity," which affords a more realistic 

comparison of fluid systems than earlier approaches. Progress was made in modeling the phase transition 

dynamics of baryon-dense matter via the inclusion of a density gradient term in the equation of state. This 

will impact the description of phase equilibrium. Jet transport and energy loss in medium was examined 

and connected to shear viscosity. The usefulness of photon jet correlations as tomographic tools was 

demonstrated. 

LBNL theory researchers increased their contributions to the study of the QCD structure of the nucleon. 

Single spin asymmetries were investigated in heavy flavor production and they were found to be sensitive 

to the mechanism of heavy quarkonium production. It was demonstrated (in collaboration with non-LBNL 

theorists) that tri-gluon correlations are accessible in the nucleon via single-spin asymmetry in open-charm 

production. These accomplishments will impact experimental efforts directed toward the spin structure of 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-32 

the nucleon. 

The LBNL nuclear data group makes a consistent and effective contribution to the national nuclear data 

program, particularly in the traditional area of evaluation of nuclear mass chains. 

Objective 1.2 Provide Quality Leadership in Science and Technology 

Score: 3.6 Grade: A- Weighting: 25 

Objective 1.2 Performance Summary Statement: 

LBNL researchers have leadership roles for a number of projects for low energy nuclear physics including 

the GRETINA gamma-ray detector array, the U.S. involvement in the CUORE experiment, and the U. S. 

involvement in KamLAND. They have played significant roles in the SNO data analysis, and research and 

development for the Majorana experiment. 

Scientists at the 88-Inch Cyclotron continue to play a national role in developing best practice standards for 

dosimetry for electronics testing in radiation environments. 

The RNC group is regarded has been successful in producing forefront physics and taking-on the leadership 

role in the development of the STAR Heavy Flavor Track (HFT) detector upgrade which is now advancing 

towards Critical Decision -1. While, the Heavy Flavor Tracker (HFT) project did pass a DOE CDO 

scientific review, the feasibility of the HFT proposal's broad scientific goals was not successfully 

demonstrated and has yet to be addressed by LBNL management. 

The RNC group is a founding member of the ALICE-USA collaboration and provides strong scientific 

leadership. However, the ALICE-USA collaboration and the RNC group are significantly late in 

responding to the recommendations of the DOE ALICE-USA Science Review. The RNC group also plays 

the leading role in the management of the CERN ALICE Electromagnetic Calorimeter (EMCAL) project 

which is below cost and ahead of schedule. Some technical and engineering aspects of the RNC program 

are world-class. 

NSD personnel work closely with the National Nuclear Data Center to provide leadership for the Nuclear 

Data Program and, with Recovery Act funds, are developing young talent for the field. They participate in 

workshops to train new evaluators, particularly internationally. 

Daniela Leitner and Claude Lyneis shared the International Ion Source Prize "Brightness Award" in September 

2009. 

The Nuclear Science Division organized seven various conference, meetings, and workshops in Fiscal Year 

2009, covering topics such as research with rare isotope beams, heavy ion physics, nucleon spin physics, 

and instrumentation. 

Objective 1.3 Provide and Sustain Outputs that Advance Program Objectives and Goals 

Score: 3.6 Grade: A- Weighting: 25 

Objective 1.3 Performance Summary Statement: 

The Nuclear Science Division (NSD) scientists produced a significant body of work published in peerreviewed journals, with a total of 107 publications in heavy ions, low energy nuclear physics, neutrino 

astrophysics, nuclear theory, and accelerator physics. A total of 160 invited talks were presented by staff 

members. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-33 

A total of 8 theses were awarded for research performed under mentorship of NSD scientists or as a result 

of work done at the facility. 

The NSD researchers for nuclear data provide evaluated data for a suite of mass chains on a regular rotating 

basis. 

Objective 1.4 Provide for Effective Delivery of Products 

Score: 3.1 Grade: B+ Weighting: 15 

Objective 1.4 Performance Summary Statement: 

The NSD-led GRETINA project is largely on schedule and is within budget. Although some schedule 

delays were beyond the control of the laboratory, some activities that have slipped were the sole 

responsibility of LBNL. GRETINA electronics modules are being adopted as standards or starting points 

for modern gamma-ray spectroscopy electronics. 

The ALICE EMCaI project is proceeding ahead of schedule and below cost. The laboratory has done an 

outstanding job in meeting its commitments to date on this project. 

The CUORE project is experiencing a delay in establishing its cost and schedule performance baseline. 

Delivery of requested project documentation is slow. The laboratory was asked to strengthen its project 

management oversight of this effort. 

The researchers and personnel of the 88-Inch Cyclotron provide highly effective support of the applied 

programs that use the facility, particularly the irradiation of microelectronics for space applications. The 

National Reconnaissance Office and the U.S. Air Force, substantial users of beam time for testing, are 

renewing the DOE/NRO/USAF Memorandum of Agreement through 2015. 

The 88-Inch Cyclotron staff proposed two accelerator upgrades for the facility utilizing Recovery Act 

funds: A High Voltage Injector Upgrade, and the Radio Frequency Amplifier Upgrade. The staff is 

effectively beginning the planning and design of these upgrades. 

The RNC group has developed plans for the STAR Heavy Flavor Detector that have yet to be reviewed in 

preparation for a Critical Decision-1 review. The development of these project plans took longer than 

anticipated. 

The NSD nuclear data program regularly publishes evaluations through the NNDC's on-line services. 

Goal 2.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operation of 

Research Facilities 

Goal Score: 3.40 Goal Grade: B+ 

Goal 2.0 Performance Summary Statement: 

The LBNL nuclear physics group performs at a high level in the design, fabrication, construction and 

operation of research facilities and merits a grade of B+: 

 88-Inch Cyclotron provided approximately 4000 hours of beam time with high reliability for basic research 

and applications 

 Highly effective and efficient operations of the 88-Inch Cyclotron for both applied and basic 

research programs. 

 Leadership for a number of important detector fabrication projects in nuclear structure, neutrino 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-34 

physics, and heavy ion collisions for the national program. 

 Leading competency in the development of Electron Cyclotron Resonance ion sources for 

accelerator applications. 

Objective 2.1 Provide Effective Facility Design(s) as Required to Support Laboratory Programs (i.e.., 

activities leading up to CD-2) 

Score: NA Grade: NA Weighting: 0 

Objective 2.1 Performance Summary Statement: NA 

Objective 2.2 Provide for the Effective and Efficient Construction of Facilities and/or Fabrication of 

Components (execution phase, Post CD-2 to CD-4) 

Score: NA Grade: NA Weighting: 0 

Objective 2.2 Performance Summary Statement: NA 

Objective 2.3 Provide Efficient and Effective Operation of Facilities 

Score: 3.4 Grade: B+ Weighting: 85 

Objective 2.3 Performance Summary Statement: 

The 88-Inch Cyclotron operated for approximately 5000 hours in FY 2009 with 94% availability. The 

National Reconnaissance Office (NRO) and the U. S. Air Force (USAF) utilized approximately 2000 hours of 

beam time for their applied programs. 

Experiments include 87 using the BASE facility for radiation effects experiments, 31 for nuclear science runs, 

and 3 for beam studies. The 16 MeV/nucleon cocktail beam is being using increasingly and results from its 

use were featured in several talks at the 2008 Nuclear Space Radiation Effects Conference. 

Objective 2.4 Utilization of Facilities to Grow and Support Lab's Research Base and External User 

Community 

Score: 3.4 Grade: B+ Weighting: 15 

Objective 2.4 Performance Summary Statement: 

The 88-Inch Cyclotron is used effectively as a base facility and infrastructure to develop capabilities for 

applied programs including those of the NRO and USAF. The accelerator capabilities enable the 

development of surrogate reaction techniques of interest to applied programs such as national security and 

advanced fuel cycles for reactors. One research area is devoted to the production and utilization of 

neutrons, which was enhanced in 2009 to provide more intense beams. 

The 88-Inch Cyclotron staff exploits it competency in forefront Electron Cyclotron Resonance (ECR) ion 

sources to develop, test and utilize advanced ECR sources such as VENUS. VENUS is expected to be the 

prototype ECR source for the Facility for Rare Isotope Beams. 

The accelerator physics staff members have utilized their expertise to be part of collaboration that has 

successfully applied for funding under the NSF S4 solicitation to develop a low-energy accelerator facility 

for nuclear astrophysics research at the Deep Underground Science and Engineering Laboratory. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-35 

Goal Score: 3.38 Goal Grade: B+ 

 Goal 3.0 Performance Summary Statement: 

The LBNL nuclear physics group performs at a high level in all areas in science and technology program 

management and merits a grade of B+: 

 Highly active and well-recognized for involvement and leadership in national and 

international neutrino experiments. 

 Internationally recognized expertise, competency and leadership in the physics and 

chemistry of the heaviest elements. 

 Recognized for stewardship of detector technologies for gamma rays, neutrinos, and 

high-energy particles and photons. 

 Effectively manages the joint operations of the 88-Inch Cyclotron by the DOE, NRO, and 

USAF. 

 Addition of joint faculty with the University of California (Berkeley) in an area that 

strengthens the NSD staff. 

 Does a generally good job in the management of projects. 

Objective 3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and Program 

Vision 

Score: 3.5 Grade: A- Weighting: 40 

Objective 3.1 Performance Summary Statement: 

The NSD is recognized for its strengths in all aspects of the design, development and fabrication of detector 

systems such as GRETINA, ALICE EMCaI, CUORE and STAR HFT. However, the NSD has been 

showing weaknesses in the management of some of these project: GRETINA has been experiencing 

schedule challenges and CUORE experienced substantial slippage in preparing for Critical Decision -2. 

The NSD staff members continue to build on present efforts on the GRETINA project to plan for a full 47r 

gamma-ray detector array, GRETA. 

The NSD staff members with nuclear chemistry expertise continue to nurture that small but vital field, 

while producing highly significant scientific results. 

Staff members play a national leadership role in many aspects of non-accelerator neutrino physics, 

including a vision for the field, and are leaders or among the leaders of several experiments and R&D efforts. 

The NSD has made a joint appointment with the University of California (Berkeley) for a prominent 

nuclear theorist with broad expertise in nuclear structure and nuclear astrophysics. 

The NSD has developed a program plan for research and investment at the 88-Inch Cyclotron. The 

execution of this plan has been hampered by constraints on funding. 

Objective 3.2 Provide Effective and Efficient Science and Technology Project/Program Planning and 

Management 

Score: 3.3 Grade: B+ Weighting: 40 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-36 

Objective 3.2 Performance Summary Statement: 

The NSD manages the joint operations of the 88-Inch Cyclotron with the DOE, NRO, and USAF in a very 

effective manner, providing excellent capabilities for a spectrum of users. 

The superconducting the VENUS ECR ion source suffered a significant failure two years ago. Management 

has devoted substantial non-DOE resources to the diagnosis, successful repair and improvement of the 

VENUS, recognizing the importance of this technology for not only the local program, but also the national 

program with the future FRIB. 

The NSD has effectively managed the neutrino program transition from a program dominated by SNO and 

KamLAND to the new experiments, CUORE and Maj orana R&D, as well as taking a lead role in the 

management of DUSEL planning. NSD is nurturing a potential interest in KATRIN by LBNL staff. 

The NSD and the laboratory provide effective management for the GRETINA and ALICE EMCaI MIE 

projects. The DOE has concerns about the project management of CUORE, and the Associate Laboratory 

Director for General Sciences at LBNL has created a Project Oversight Group consisting of senior 

scientists and engineers drawn from multiple divisions in order to provide additional monitoring of, and 

management support for, General Sciences projects. 

The DOE has concern that the feasibility of the HFT proposal's broad scientific goals was not demonstrated 

and the ALICE-USA collaboration and the RNC group is significantly late in responding to the DOE 

recommendations of the ALICE-USA Science Review. 

The DOE has concern on the effective management of the CUORE project and has asked LBNL 

management to improve its oversight of the project. 

Objective 3.3 Provide Efficient and Effective Communications and Responsiveness to Customer 

Needs 

Score: 3.3 Grade: B+ Weighting: 20 

Objective 3.3 Performance Summary Statement: 

The 88-Inch Cyclotron Staff organize a joint agency review of the operations of the facility each year to 

inform the agencies of status and progress and solicit input and guidance. It is clear that the 88-Inch staff 

members communicate effectively with the space security community who are users of its capabilities for 

applications. 

NSD staff members take part in the NP February Laboratory Program Manager's briefings, and the 

Division Leader makes telephone calls from time-to-time to the Physics Research Division Director. He has 

expressed the desire for an annual review of NSD programs by the Office of Nuclear Physics. 

The NSD effectively communicates through numerous heavy-ion and low-energy project reviews. 

The NSD leadership is responsive to requests for information by the Office of Nuclear Physics. The project 

management team of CUORE is often slow in responding to requests. The project documentation for CD-2 

was submitted at a late date and led to a delay in the approval of CD-2 and CD-3. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-37 

Laboratory Year-End Performance Assessment Report 

Date:10/13/2009 

Headquarters Program Office Fiscal Year 2009 Evaluation of The Regents of the University of California 

for Management and Operation of the Lawrence Berkeley National Laboratory 

Agency: 

U.S. Department of Energy 

Program Office: 

Office of Science - Workforce Development for Teachers and Scientists 

FY Funding Level: (Budget Authority) 

Goal 1.0 Provide for Efficient and Effective Mission Accomplishment 

Goal Score: 3.45 Goal Grade: A 

Goal 1.0 Performance Summary Statement: 

The science education office at Berkeley is very successful in managing the WDTS sponsored programs. They do not 

report resource leveraging to the extent of other laboratories but are excellent in offering a continuum of science 

education opportunities and do transition participants through this suite of opportunities and graduate them through 

rigorous internships/fellowships. 

The education office has developed a cooperative learning environment at the laboratory by designing 

programs that collaborative learning and facilitates interaction among participants from different programs. 

The education office uses the internships/fellowships sponsored by WDTS as an opportunity to refresh the 

importance of safety and health. WDTS interns are immersed in the importance of safety are expected to 

advocate for it as agents improving the culture. 

LBNL's office of science education is fully integrated into to the laboratory operation. The 

education office is used as an outreach mechanism providing many excellent recourses for `informal 

education" via the laboratory web page which tries to bridge the relationships among frontier science, 

technology, and society. 

Objective 1.1 Science and Technology Results Provide Meaningful Impact on the Field 

Score: 3.6 Grade: A- Weighting: 25 

Objective 1,1 Performance Summary Statement: 

The corner stone of success in the education office is the careful attention given to pairing interns and educators 

with mentor researcher were their talents and science knowledge base can be developed while contributing to the 

research and be productive resource to their mentor. 

Objective 1.2 Provide Quality Leadership in Science and Technology 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-38 

Score: 3.3 Grade: B+ Weighting: 30 

Objective 1.2 Performance Summary Statement: 

The education office is very effective in providing resources required to ensure that the intern and the PI equally 

benefit from the mentor/mentee relationship. The ed staff are a very interactive participant in the intern 

experience monitoring success and progress as viewed by both intern and PI and are quick mediate potential 

difficulties. Mentors are very willing to host intern/educators as a result of the reputation and dependability of the 

intern talent provided by the education office. 

Objective 1.3 Provide and Sustain Outputs that Advance Program Objectives and Goals 

Score: 3.4 Grade: B+ Weighting: 30 

Objective 1.3 Performance Summary Statement: 

Research interns and educators are paired with PIs who are funded by the Office of Science (SC) and are thus 

contributing the mission of SC. 

The education office is good in ensuring that program deliverables are complete and are continually working to 

improve the quality of the participant deliverables i.e. research abstracts, electronic portfolios, and participation 

in SERCh poster competition. 

Objective 1.4 Provide for Effective Delivery of Products 

Objective 1.4 Performance Summary Statement: 

The large majority of WTDS supported interns/educators report through participant surveys a rewarding, but very 

challenging laboratory experience. Participants are involved in a demanding program where PI expect 30 hours 

of work per week contributed to their collaborative research. Quality contributions to research are validated 

through peer review abstract. Interns produce full length paper or poster presentation, in addition to attending 

research seminars, facilities training and other enrichment activities. 

Goal 2.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operation of 

Research Facilities 

Goal Score: 0.00 Goal Grade: NA 

Goal 2.0 Performance Summary Statement: 

Objective 2.1 Provide Effective Facility Design(s) as Required to Support Laboratory Programs (i.e., 

activities leading up to CD-2) 

Score: NA Grade: NA Weighting: 0 

Objective 2.1 Performance Summary Statement: 

Objective 2.2 Provide for the Effective and Efficient Construction of Facilities and/or Fabrication of 

Components (execution phase, Post CD-2 to CD-4) 

Score: NA Grade: NA Weighting: 0 

Objective 2.2 Performance Summary Statement: 

Objective 2.3 Provide Efficient and Effective Operation of Facilities 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-39 

Score: NA Grade: NA Weighting: 0 

Objective 2.3 Performance Summary Statement: 

Objective 2.4 Utilization of Facilities to Grow and Support Lab's Research Base and External User 

Community 

Score: NA Grade: NA Weighting: 0 

Objective 2.4 Performance Summary Statement: 

Goal 3.0 Provide Effective and Efficient Science and Technology Program Management 

Goal Score: 3.48 Goal Grade: A 

Goal 3.0 Performance Summary Statement: 

Participants' survey data validated that the research experiences were in keeping with their expectations, that the 

mentor/mentee relationships were managed effectively to the advantage of both, and that the laboratory ran a 

well managed program. All participants were fully informed in advance of their internship what the expectations 

and required deliverables. 

The education office is fully integrated in to the operation of the laboratory. Research divisions are fully 

confident that the office will provide well prepared, industrious students that are capable of quality contribution 

to the research. 

The education office ensures that each host PI has a work plan suitable for the research intern prior to their arrival. 

The interns reported the mentor/mentee relationships were good, the research experience exceeded 

expectations, and the overall laboratory experience has strengthened commitments to pursue 

science/math/engineering degrees. 

Objective 3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and 

Program Vision 

Score: 3.6 Grade: A- Weighting: 40 

Objective 3.1 Performance Summary Statement: 

Participants are exposed to the research throughout the laboratory through enrichment activities, science 

seminars, and collaborations with other interns, graduate students and post does. LBNL has a created a very 

positive science education culture across the laboratory and the entire community is very proud of its 

commitment to science education and the benefits derived inspiring the next generation of scientist and engineers. 

Objective 3.2 Provide Effective and Efficient Science and Technology Project/Program 

Planning and Management 

Score: 3.4 Grade: B+ Weighting: 40 

Objective 3.2 Performance Summary Statement: 

Interns/educators are given opportunities to see science career that are available to them and provided direction 

and encouragement to pursue them. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

 A-40 

The education office is fully aware of DOE and SC's future research thrusts and manages placements that are of 

mutual benefit to the laboratory, and future research. 

Objective 3.3 Provide Efficient and Effective Communications and Responsiveness to Customer 

Needs 

Score: 3.4 Grade: B+ Weighting: 20 

Objective 3.3 Performance Summary Statement: 

The science education office is responsive to customer needs and do effectively communicate and complete 

program deliverables. 

The management of the education office has been instrumental in gaining visibility for WDIS's model of 

experiential learning for pre-service teachers and has leveraged that into collaboration with California State 

University with corporate funding. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-1 

APPENDIX B 

NON-OFFICE OF SCIENCE 

FY 2009 

SCIENCE AND TECHNOLOGY EVALUATION 

OF 

LAWRENCE BERKELEY NATIONAL LABORATORY 

Program Area Page 

 Office of Energy Efficiency and Renewable Energy (EERE) B-2 

Building Technologies Program (BTP) B-7 

Federal Energy Management Program (FEMP) B-10 

Geothermal Technologies Program (GTP) B-12 

Hydrogen, Fuel Cells and Infrastructure Technologies Program (HT) B-16 

Industrial Technologies Program (ITP) B-19 

Vehicle Technologies Program (VTP) B-21

Office of Fossil Energy (FE) B-25 

These narratives have been converted using optical character reading software. While reasonable attempts 

were made to correct any errors resultant from the conversion process some errors may exist and we 

apologize in advance for them. Original documents obtained by the Berkeley Site Office are available 

upon request. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-2 

U.S. Department of Energy 

Office of Energy Efficiency and Renewable Energy 

Performance Evaluation Report of the 

University of California for 

Management and Operations of Science and Technology at the 

Lawrence Berkeley National Laboratory

For the period October 1, 2008, to September 30, 2009 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-3 

EXECUTIVE SUMMARY

The Office of Energy Efficiency and Renewable Energy (EERE) participates in the award-fee evaluation 

process to assess the performance of a National Laboratory in the area of science and technology. This 

requirement originates from the annual "Standards of Performance-based Fee" clauses negotiated between 

the U. S. Department of Energy (DOE) and a contractor managing and operating (M&O) a National 

Laboratory. Existing contracts call for annual evaluations. The result of the evaluation — the overall 

weighted score for the science and technology goals awarded by all DOE programs — determines the 

percentage of the available performance-based fee that the M&O contractor earns. EERE prepared this 

evaluation as its input to the DOE award-fee evaluation of the University of California’s performance for 

the management and operation of science and technology at the Lawrence Berkeley National Laboratory 

(LBNL). It assesses LBNL'S performance of work for programs in EERE from October 1, 2008, to 

September 30, 2009. 

Each reporting EERE program, having obligated $1.0 million or more to LBNL during the performance 

period, evaluated the Laboratory's performance using the Performance Goals and Objectives specified by 

DOE. The overall rating for each Performance Goal represents a weighted average grade of ratings 

received from EERE program offices. The computation uses each program's year-to-date obligations at 

LBNL as of August 31, 2009, as the weighting factor. 

The following EERE programs submitted evaluations: Building Technologies Program (BTP), Federal 

Energy Management Program (FEMP), Geothermal Technologies Program (GTP), Hydrogen, Fuel Cells 

and Infrastructure Technologies Program (HT), Industrial Technologies Program (ITP), and Vehicle 

Technologies Program (VTP). 

EERE rated the LBNL's performance for fiscal year 2009 with a score of 3.7 for Goal 1: Provide for 

Efficient and Effective Mission Accomplishment, and 3.7 for Goal 3: Provide Effective and Efficient 

Science and Technology Program Management. The Office of Science asked EERE not to review Goal 2 

because it addresses the construction and operation of facilities, which is under the purview of the Office of 

Science. LBNL's total score for fiscal year 2009 is 3.7. 

Numerical Grades by 

Performances Goal

Goal 1: Provide for Efficient 

and Effective Mission 

Accomplishment.

Goal 3: Provide Effective and 

Efficient Science and 

Technology Program 

Management.

Building Technologies Program 3.5 3.4 

Federal Energy Management 

Program 

3.8 3.8 

Geothermal Technologies 

Program 

3.6 3.8 

Hydrogen, Fuel Cells and 

Infrastructure Technologies 

Program 

3.2 3.4 

Industrial Technologies Program 3.5 3.5 

Vehicle Technologies Program 4.1 4.0 

Weighted Average Grade 3.7 3.7

Final Numerical Score 3.7

Grades of 3.3 or higher signify that LBNL's work toward a goal translates to substantive performance and 

results for the program. The following chart illustrates how numerical scores translate into letter grades. 

Score 0.1-

0.7

0.8-

1.0

1.1-

1.7

1.8-

2.0

2.1-

2.4

2.5-

2.7

2.8-

3.0

3.1-

3.4

3.5-

3.7

3.8-

4.0

4.1-

4.3

Grade F D C- C C+ B- B B+ A- A A+
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-4 

INTRODUCTION

This evaluation has been prepared as part of the DOE contractual obligation to assess the University of 

California’s performance for the management and operation of science and technology at LBNL. 

Specifically, it assesses LBNL’S support of EERE program offices in science and technology and its ability 

to assist these program offices in maintaining the overall EERE mission: to strengthen America’s energy 

security, environmental quality and economic vitality through public-private partnerships. 

PERFORMANCE GOALS, OBJECTIVES, AND MEASURES

This evaluation focuses on grading the contractor’s performance against Performance Goals as described 

below. Each evaluator measures progress against these Performance Goals using a set of Performance 

Objectives and Performance Measures, defined as follows: 

 Performance Goal: This is a general overarching statement of the desired outcome for each major 

performance area. 

 Performance Objective: An objective is a statement of desired results for an organization or 

activity within a major performance area. 

 Performance Measure: A performance measure provides a reviewer a quantitative or qualitative 

method for characterizing performance to assist in assessing achievement of the corresponding 

Performance Objective. 

The Performance Goals and Performance Objectives used by EERE, for the most part, adopt the 

standardized versions of goals and objectives defined by the Office of Science, as stated in the following: 

 Goal 1: Provide for Efficient and Effective Mission Accomplishment. 

 Objective 1.1: Science and Technology Results Provide Meaningful Impact on the Field. 

 Objective 1.2: Provide Quality Leadership in Science and Technology. 

 Objective 1.3: Provide and sustain Science and Technology Outputs that Advance 

Program Objectives and Goals. 

 Objective 1.4: Provide for Effective Delivery of Products. 

 Goal 3: Provide Effective and Efficient Science and Technology Program Management. 

 Objective 3.1: Provide Effective and Efficient Stewardship of Scientific Capabilities and 

Program Vision. 

 Objective 3.2: Provide Effective and Efficient Science and Technology Project/Program 

Planning and Management. 

 Objective 3.3: Provide Efficient and Effective Communications and Responsiveness to 

Customer Needs. 

EERE also adjusted the Performance Measures under Goal 1 to include success in meeting program 

milestones and other criteria appropriate to applied research. 

EVALUATION PROCESSES: NUMERICAL SCORES AND AVERAGING

After collecting the scores, EERE weighted them against specific program obligations for fiscal year 2009 

at LBNL, as reported in the DOE Standard Accounting and Reporting System as of August 31, 2009. The 

following table lists the total funding obligated by each program. 

Program Office Year-To-Date Obligations at LBNL as of August 

31, 2009

Building Technologies Program $9,424,993.00

Federal Energy Management Program $3,415,000.00

Geothermal Technologies Program $5,807,709.00

Hydrogen, Fuel Cells and Infrastructure 

Technologies Program

$4,251,686.00

Industrial Technologies Program $2,362,294.00
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-5 

Vehicle Technologies Program $11,175,293.00

Total $36,436,975.00

EERE then computed a weighted average score for each Performance Goal. 

OUTCOME BY PERFORMANCE GOAL

EERE rated the LBNL's performance for fiscal year 2009 with a score of 3.7 for Goal 1: Provide for 

Efficient and Effective Mission Accomplishment, and 3.7 for Goal 3: Provide Effective and Efficient 

Science and Technology Program Management. The Office of Science asked EERE not to review Goal 2 

because it addresses the operation of facilities, which is under the purview of the Office of Science. 

LBNL's total score for fiscal year 2009 is 3.7. 

The following table highlights the numerical equivalent of the grade issued by each of the program offices 

by Performance Goal and the overall grade for EERE: 

Numerical Grades by 

Performances Goal

Goal 1: Provide for Efficient 

and Effective Mission 

Accomplishment.

Goal 3: Provide Effective and 

Efficient Science and 

Technology Program 

Management.

Building Technologies Program 3.5 3.4 

Federal Energy Management 

Program 

3.8 3.8 

Geothermal Technologies 

Program 

3.6 3.8 

Hydrogen, Fuel Cells and 

Infrastructure Technologies 

Program 

3.2 3.4 

Industrial Technologies Program 3.5 3.5 

Vehicle Technologies Program 4.1 4.0 

Weighted Average Grade 3.7 3.7

Based upon the scores assigned by each program office for each Performance Goal and Objective, LBNL's 

overall final numeric score is 3.7, as calculated below: 

Goal Weight Weighted Numerical 

Score (All Programs)

Portion of Final Score

Goal 1: Provide for 

Efficient and Effective 

Mission 

Accomplishment.

70.00% 3.7 2.59 

Goal 3: Provide 

Effective and Efficient 

Science and 

Technology Program 

Management.

30.00% 3.7 1.11 

Final Numerical Score 3.7

The following chart illustrates how numerical scores translate into letter grades. 

Score 0.1-

0.7

0.8-

1.0

1.1-

1.7

1.8-

2.0

2.1-

2.4

2.5-

2.7

2.8-

3.0

3.1-

3.4

3.5-

3.7

3.8-

4.0

4.1-

4.3

Grade F D C- C C+ B- B B+ A- A A+
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-6 

APPENDIX

List of programs:

Building Technologies Program (BTP) 

Federal Energy Management Program (FEMP) 

Geothermal Technologies Program (GTP) 

Hydrogen, Fuel Cells and Infrastructure Technologies Program (HT) 

Industrial Technologies Program (ITP) 

Vehicle Technologies Program (VTP) 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-7 

Building Technologies Program

Lawrence Berkeley National Laboratory

Fiscal Year 2009 Performance Evaluation

Office of Energy Efficiency and Renewable Energy

Goal 1: Provide for Efficient and Effective Mission Accomplishment.

Weight: 70.00% Score: 3.5 Grade: AGoal Evaluation: 

LBNL has been highly supportive of the Buildings Program by achieving a windows-related major 

milestone two years early, by being very responsive in the appliance standards area, and by progress on 

analysis tools, to name a few accomplishments. 

Objective 1.1: Science and Technology Results Provide Meaningful Impact on the Field.

Weight: 35.00% Score: 3.7 Grade: AObjective Evaluation: 

 LBNL achieved a major milestone two years early. LBNL initiated a new R&D project in 

response to a formal DOE lab call for a reflective hydride dynamic window in FY 2005. 

LBNL licensed its technology to Soladigm and initiated a Cooperative Research and 

Development Agreement (CRADA). While LBNL support is still required, achieving a 

major manufacturer partner at this stage is a major accomplishment. LBNL continues to 

make a major industry impact with its sophisticated software design and performance 

tools. 

 LBNL’s progress on analysis tools is generally consistent with plans but program and 

project reviews are infrequent. 

 LBNL staff have been hard working supporting the appliance standards program and are 

very responsive to the fast changing needs of the appliance standards program. 

Objective 1.2: Provide Quality Leadership in Science and Technology.

Weight: 35.00% Score: 3.3 Grade: B+ 

Objective Evaluation: 

 

 In support of ORNL's advanced zero energy homes research project, LBNL provided 

excellent support and window integrated solutions. Modeling included fixed highly 

insulating, as well as dynamic window products. 

 LBNL’s work on developing analysis tools is recognized within the community for 

consistently high quality work and outputs. 

 LBNL is doing a good job working cooperatively with the appliance standards DOE staff 

to insure meeting deadlines through technical analysis. 

Objective 1.3: Provide and sustain Science and Technology Outputs that Advance Program 

Objectives and Goals.

Weight: 15.00% Score: 3.4 Grade: B+ 

Objective Evaluation: 

 

 LBNL investigated a fundamental new scientific approach to harvesting krypton from the 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-8 

air. Krypton, an inert gas, can offer significant window performance improvements. The 

new method if validated, could offer dramatic cost reduction to eliminate a major barrier to 

the implementation of krypton. While this was a fairly small activity, it demonstrates 

LBNL's scientific results. 

 Work developing analysis tools is consistently high quality in results and output. 

 Support on appliance standards has shown improvement over the prior year. 

Objective 1.4: Provide for Effective Delivery of Products.

Weight: 15.00% Score: 3.6 Grade: AObjective Evaluation: 

 LBNL provided a major technical support role in the design of the electrochromic window 

demonstration in the EE-1 conference room. 

 LBNL also is collecting energy data on the system and provided extensive input to fact 

sheet materials. 

 Analysis tools projects are on schedule and within budget with some exceptions. 

 With regards to appliance standards, the combination of simultaneous work on multiple 

rulemakings and endless edits to receive concurrence presents a real challenge. 

 LBNL staff has done an admiral job in turning around edits on very tight schedules. 

Goal 3: Provide Effective and Efficient Science and Technology Program Management.

Weight: 30.00% Score: 3.4 Grade: B+ 

Goal Evaluation: 

LBNL is highly recognized by outside parties as a major leader in the building science arena, and has a 

commendable spirit of collaboration with the Buildings Program and industry-related groups. 

Objective 3.1: Provide Effective and Efficient Stewardship of Scientific Capabilities and 

Program Vision.

Weight: 50.00% Score: 3.5 Grade: AObjective Evaluation: 

 

 LBNL is highly recognized by outside parties as a major leader in the building science 

arena. LBNL is routinely sought after as a major leader in cutting edge technology and 

their input is highly desired within various fora, such as the National Fenestration Rating 

Council and various trade associations. 

 Generally good at collaborating with others within California on developing analysis 

tools. 

 LBNL staff commits notable effort to supporting activities such as American Society of 

Heating, Refrigerating and Air-Conditioning Engineers’ committees and the American 

Council for an Energy-Efficient Economy summer study program to develop new 

knowledge on appliance codes and standards. The balance between gaining new 

knowledge through these activities versus jeopardizing project deadlines by over 

commitment is important. 

Objective 3.2: Provide Effective and Efficient Science and Technology Project/Program 

Planning and Management.

Weight: 25.00% Score: 3.4 Grade: B+ 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-9 

Objective Evaluation: 

 

 LBNL plans work schedules in an efficient manner and works to achieve key goals of 

DOE. Overall planning performance is excellent. However, fiscal year 2009 had several 

challenges with multiple requests for stimulus funding proposals. In addition, further work 

is needed to harmonize the component and systems integration programs. 

 Work scopes and analysis tool plans generally require several iterations to clarify specific 

deliverables. 

 Staff adapt their existing codes and standards knowledge very well to the potential future 

consequences of standards rulemakings. 

Objective 3.3: Provide Efficient and Effective Communications and Responsiveness to 

Customer Needs.

Weight: 25.00% Score: 3.2 Grade: B+ 

Objective Evaluation: 

 

 LBNL provides very good customer service to DOE and responds to requests in a timely 

manner. LBNL is highly cognizant of DOE priorities and works to achieve the Zero 

Energy Buildings mission. 

 Formal reporting on analysis tools projects is generally on time. Informal reporting and 

discussion of potential issues is frequent and useful. 

 Reporting on appliance standards is irregular, but improving. 

Guidance for the next performance year.

LBNL will have a significant challenge with a doubling of activity in fiscal year 2010. 

 Greater attention to integrated milestones and deliverables is expected. 

 LBNL is expected to fill its window R&D manager position and provide improved communication 

with DOE. 

 Analysis tools projects that have been delayed need to be completed in the next FY. 

 New National Accounts projects need to be carefully monitored and managed for budget and 

schedule. Need to focus more of CBI attention outside of California, particularly other National 

Laboratories. 

 Given the tight schedule of appliance standards rulemaking, LBNL needs to increase 

communication with headquarters to insure adequate time to consider LBNL inputs/analysis 

before briefings and issuance of rulemakings. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-10 

Federal Energy Management Program

Lawrence Berkeley National Laboratory

Fiscal Year 2009 Performance Evaluation

Office of Energy Efficiency and Renewable Energy

Goal 1: Provide for Efficient and Effective Mission Accomplishment.

Weight: 70.00% Score: 3.8 Grade: A 

Goal Evaluation: 

LBNL is very responsive providing timely quarterly reports and project reports as requested. 

Objective 1.1: Science and Technology Results Provide Meaningful Impact on the Field.

Weight: N/A Score: N/A Grade: N/A 

Objective Evaluation: 

N/A 

Objective 1.2: Provide Quality Leadership in Science and Technology.

Weight: 35.00% Score: 3.8 Grade: A 

Objective Evaluation: 

LBNL is very effective with technology transfer activities. The lab supports FEMP technology 

transfer program activities including: conducting technology evaluations and demonstrations, 

publishing Federal emerging technology awareness and education documents, and assessing 

emerging technologies for use by Federal sites. 

Objective 1.3: Provide and sustain Science and Technology Outputs that Advance Program 

Objectives and Goals.

Weight: N/A Score: N/A Grade: N/A 

Objective Evaluation: 

N/A 

Objective 1.4: Provide for Effective Delivery of Products.

Weight: 15.00% Score: 3.8 Grade: A 

Objective Evaluation: 

LBNL staff is very involved in GovEnergy, agency consultations, and FEMP sponsored workshops 

to support delivery of FEMP energy efficiency and renewable energy products to Federal agencies. 

Goal 3: Provide Effective and Efficient Science and Technology Program Management.

Weight: 30.00% Score: 3.8 Grade: A 

Goal Evaluation: 

LBNL provides high quality technical assessments, product guidelines and outreach materials in support of 

the FEMP Technology Transfer and Product Specifications programs. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-11 

Objective 3.1: Provide Effective and Efficient Stewardship of Scientific Capabilities and 

Program Vision.

Weight: N/A Score: N/A Grade: N/A 

Objective Evaluation: 

N/A 

Objective 3.2: Provide Effective and Efficient Science and Technology Project/Program 

Planning and Management.

Weight: N/A Score: N/A Grade: N/A 

Objective Evaluation: 

N/A 

Objective 3.3: Provide Efficient and Effective Communications and Responsiveness to 

Customer Needs.

Weight: 25.00% Score: 3.8 Grade: A 

Objective Evaluation: 

LBNL is highly responsive to Federal agency customer needs providing highly skilled technical 

support and coordinating effectively with Federal agencies. 

Guidance for the next performance year.

Continue to report quarterly and add FEMP Program Element Leads to the quarterly report distribution list. 

Also recommend meeting with Leads monthly to track progress. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-12 

Geothermal Technologies Program

Lawrence Berkeley National Laboratory

Fiscal Year 2009 Performance Evaluation

Office of Energy Efficiency and Renewable Energy

Goal 1: Provide for Efficient and Effective Mission Accomplishment.

Weight: 70.00% Score: 3.6 Grade: AGoal Evaluation: 

Lawrence Berkeley National Laboratory's geothermal research group focuses on the Geothermal 

Technologies Program vision and mission. The mission focus is Enhanced Geothermal Systems (EGS) and 

LBNL provides both scientific and management support. 

LBNL provides support to EGS field demonstration sites, the International Partnership for Geothermal 

Technology, risk analysis, and other areas as requested by the Geothermal Technologies Program. 

Objective 1.1: Science and Technology Results Provide Meaningful Impact on the Field.

Weight: 35.00% Score: 3.8 Grade: A 

Objective Evaluation: 

 LBNL investigated novel approaches for obtaining critical characterization data for EGS 

reservoirs. For the Desert Peak project, LBNL performed chemical stimulation 

modeling and published a paper in Geofluids on the modeling. LBNL has also 

incorporated tracer thermal decay into the reservoir model TOUGHREACT and wrote a 

paper titled "A computational technique for estimating the fracture surface area adjacent to 

a newly stimulated well within an engineered geothermal system." 

 Accurately estimating fracture surface area for EGS is important to the ultimate 

commercial application of EGS technology. LBNL also wrote an extended abstract 

submitted to the World Geothermal Congress describing a geochemical study of Krafla 

and Nesjavellir geothermal systems in Iceland. 

 In prior years, LBNL organized an international committee to evaluate induced seismicity 

at EGS sites leading to a published report and a set of protocols for mitigating the potential 

societal impact of induced seismicity. In 2009, LBNL expanded the protocol document 

and modified it to fit specific needs for the vast variety of geologic/social environments of 

planned EGS sites. 

 LBNL also is developing a comprehensive public access web site that will be easily read, 

accessed, and understood, containing all the microearthquake data and available 

analyses from all the DOE-funded EGS sites. 

Objective 1.2: Provide Quality Leadership in Science and Technology.

Weight: 35.00% Score: 3.5 Grade: AObjective Evaluation: 

 LBNL works collaboratively with the U.S. Geological Survey, Foulger Consulting, 

Massachusetts Institute of Technology, and the geothermal industry in the operation of 

seismic arrays at multiple Enhanced Geothermal Systems sites. The purpose is to gather 

high resolution microearthquake data before, during, and after stimulation activities. The 

seismic data are also provided to the research community in order to develop, test, and 

apply microearthquake analysis to EGS systems. High quality data are necessary to 

determine the success of stimulation activities as well as to obtain public acceptance of 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-13 

EGS. 

 LBNL also works collaboratively with the geothermal company Calpine at the 

Northwestern Geysers Geothermal Field to develop a three dimensional geological model 

of the proposed EGS site, to conduct geomechanical analysis of the proposed stimulation 

of two existing wells that penetrate the deep high temperature zone, and to review historic 

data of injection induced seismicity in the area. 

 Under the International Partnership for Geothermal Technology, LBNL worked 

collaboratively on the development of improved geochemical and isotopic exploration 

technologies for identifying supercritical zones in high temperature geothermal fields to 

guide drilling for either conventional or enhanced geothermal resources. 

 At the Desert Peak geothermal site in Nevada, LBNL works with the geothermal company 

Ormat to study the impact of fluid injection on natural isotopic systems, image the 

subsurface using active and passive seismic, develop a geological model of Desert Peak, 

and analyze synthetic aperture radar data of the area. 

 

Objective 1.3: Provide and sustain Science and Technology Outputs that Advance Program 

Objectives and Goals.

Weight: 15.00% Score: 3.0 Grade: B 

Objective Evaluation: 

 LBNL conducts innovative research on the source mechanisms of induced seismicity, the 

patterns of induced seismicity, and the use of seismic methods such as surface reflection 

and vertical seismic profiling to map permeable fracture controlling fluid flow. 

 LBNL also examines innovative ways to determine fracture surface area available for heat 

transfer using sorbing and reversibly sorbing tracers, and from non-isothermal, single well 

injection/backflow tests. The incorporation of tracer thermal decay kinetics into the 

TOUGHREACT reservoir model provides an innovative tool for modelers of geothermal 

reservoirs. New, seminal laboratory research is being conducted by LBNL on the seismic 

signatures of sheared fractures during fluid injections. 

Objective 1.4: Provide for Effective Delivery of Products.

Weight: 15.00% Score: 3.8 Grade: A 

Objective Evaluation: 

 Funding for Lawrence Berkeley National Laboratory (LBNL) was not completely received 

until the fourth quarter of fiscal year 2009. Despite this, LBNL completed nine technical 

reports. 

 LBNL consistently meets its deadlines unless field operations, over which LBNL has no 

control, delay LBNL research activities. 

Goal 3: Provide Effective and Efficient Science and Technology Program Management.

Weight: 30.00% Score: 3.8 Grade: A 

Goal Evaluation: 

 LBNL provided support to the Geothermal Technologies Program through technical management 

and monitoring of field demonstration sites at various locations in the western United States. 

 LBNL provided science and technology program management through support of the International 

Partnership for Geothermal Technology, which includes Iceland and Australia. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-14 

 LBNL also provided support for the 2009 Geothermal Risk analysis for exploration, reservoir 

engineering, drilling, and energy conversion. 

Objective 3.1: Provide Effective and Efficient Stewardship of Scientific Capabilities and 

Program Vision.

Weight: 50.00% Score: 3.8 Grade: A 

Objective Evaluation: 

 The LBNL geothermal research group is a highly trained and experienced research group. 

All principal investigators are PhDs with many years of experience in the geothermal field. 

The group shares the Office of Geothermal Technologies vision that geothermal energy 

will be a major source of clean, renewable, domestic baseload electricity and that 

Enhanced Geothermal Systems will be a major contributor for electricity generation. 

 LBNL successfully planned with the U.S. Geological Survey, Foulger Consulting, 

Massachusetts Institute of Technology, and the geothermal industry the operation of 

seismic arrays at multiple EGS sites. LBNL also planned successfully with the geothermal 

company Calpine at the Northwestern Geysers to develop a three dimensional geological 

model of the proposed EGS site, to conduct geomechanical analysis of the proposed 

stimulation of two existing wells that penetrate the deep high temperature zone, and to 

review historic data of injection induced seismicity in the area. 

 Under the International Partnership for Geothermal Technology, LBNL successfully 

planned with Icelandic researchers on the development of improved geochemical and 

isotopic exploration technologies for identifying supercritical zones in high temperature 

geothermal fields to guide drilling for either conventional or enhanced geothermal 

resources. 

 At the Desert Peak geothermal site in Nevada, LBNL successfully planned with the 

geothermal company Ormat to study the impact of fluid injection on natural isotopic 

systems, image the subsurface using active and passive seismic, develop a geological 

model of Desert Peak, and analyze synthetic aperture radar data of the area. 

Objective 3.2: Provide Effective and Efficient Science and Technology Project/Program 

Planning and Management.

Weight: 25.00% Score: 3.7 Grade: AObjective Evaluation: 

 LBNL is part of a committee to encourage the development of a U.S. Enhanced 

Geothermal Systems industry by providing support to DOE through planning, technical 

management, and monitoring of field enhanced geothermal systems demonstration projects 

and direct technical assistance in areas of geology, geochemistry, geophysics, hydrology, 

and evaluation of new technology. Cost-shared field projects are a major and critical 

component of the DOE’s efforts to demonstrate that EGS can provide a substantive 

contribution to the Nation’s future power generation needs. In order for the field projects 

to contribute to the realization of future U.S. EGS development, they are carefully planned 

and managed. 

 LBNL planning activities also include the development of go/no-go decision points to refocus or end research activities associated with field demonstration projects. 

 The LBNL geothermal research group works and interacts with LBNL's Advanced Light 

Source group, LBNL's Energy Environmental Technology Division, LBNL's Material 

Science Division, and strongly leverages with the research conducted for the DOE Office 

of Science. The geothermal research group also interacts with the University of California 

at Berkeley faculty. LBNL also interacts frequently with other national laboratories 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-15 

conducting geothermal research such as Sandia National Laboratories and the National 

Renewable Energy Laboratory. 

 LBNL's Field Work Proposals and Annual Operating Plans are submitted on time 

and rarely require revision. 

 LBNL also contributes to the geothermal risk assessment lead by the National Renewable 

Energy Laboratory. 

Objective 3.3: Provide Efficient and Effective Communications and Responsiveness to 

Customer Needs.

Weight: 25.00% Score: 3.8 Grade: A 

Objective Evaluation: 

 LBNL responds promptly to all requests for information. Their responses are of a 

consistent high quality and accuracy. 

 LBNL keeps HQ staff informed thorough teleconferences, site visits to HQ, visits by HQ 

personnel to LBNL, and joint meetings at the annual Stanford Workshop and the annual 

Geothermal Resources Council meeting. 

 In 2009, LBNL technical staff presented a technical briefing on induced seismicity to 

Under Secretary for Science Steven Koonin, and additional briefings with congressional 

committees and staffers are being scheduled. 

Guidance for the next performance year.

Headquarters Geothermal Technology Program staff enjoy working with the professionals at LBNL and 

look forward to a continued strong working partnership. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-16 

Hydrogen, Fuel Cells and Infrastructure Technologies Program

Lawrence Berkeley National Laboratory

Fiscal Year 2009 Performance Evaluation

Office of Energy Efficiency and Renewable Energy

Goal 1: Provide for Efficient and Effective Mission Accomplishment.

Weight: 70.00% Score: 3.2 Grade: B+ 

Goal Evaluation: 

LBNL conducts a portfolio of research activities for the Hydrogen Program. The research is classified into 

three primary categories related to hydrogen storage, fuel-cell component R&D, and manufacturing R&D. 

Below, each category is considered in turn. 

Objective 1.1: Science and Technology Results Provide Meaningful Impact on the Field.

Weight: 35.00% Score: 3.1 Grade: B+ 

Objective Evaluation: 

 Fuel Cell Component Studies: For fuel cell membranes, John Kerr has demonstrated 

phase-separated block copolymer structures for fuel cell membranes that can achieve 

practical conductivities (0.1 S/cm) with tethered heterocyclic bases such as imidazole to 

solvate the protons in place of water. Short side chain tethers for the heterocyclic bases 

facilitate fast proton transport by the Grotthuss mechanism. 

 Hydrogen Storage: By addition of 10 wt% magnesium fluoride, Richardson has 

demonstrated the utilization of 100% of the hydrogen content of magnesium hydride. The 

fluoride ions coat the surface of the magnesium particles and inhibit coarsening and 

sintering, which cause hydrogen capacity loss. 

 Fuel Cell R&D: Adam Weber has demonstrated the impact of cation contamination in fuel 

cells using mathematical modeling and concentrated solution theory. With the results the 

allowable concentration of cation contamination was determined. 

Objective 1.2: Provide Quality Leadership in Science and Technology.

Weight: 35.00% Score: 3.1 Grade: B+ 

Objective Evaluation: 

 LBNL led development of two project proposals that were awarded from the DOE fiscal 

year 2008 fuel cell solicitation. Partners included LANL, 3M, United Technologies 

Research Center, and Pennsylvania State University. 

 LBNL participates in the DOE high-temperature membrane working group and 

participated in the Fuel Cell Freeze Workshop at Nuvera Fuel Cells. 

 John Kerr is on the board of the Golden Gate Polymer Forum. Adam Weber served as 

Former Chair of the San Francisco section of the Electrochemical Society. Adam Weber 

also sat on the Executive Committee for both the Energy Technology and the Industrial 

Electrochemistry and Electrochemical Divisions and participated in the Electrochemical 

Society Fuel Cell subcommittee meetings. 

Objective 1.3: Provide and sustain Science and Technology Outputs that Advance Program 

Objectives and Goals.

Weight: 15.00% Score: 3.1 Grade: B+ 

Objective Evaluation: 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-17 

LBNL productivity is evidenced by the 10 fuel cell and storage publications and presentations 

written in fiscal year 2009, many of which are invited publications and lectures. 

Objective 1.4: Provide for Effective Delivery of Products.

Weight: 15.00% Score: 3.8 Grade: A 

Objective Evaluation: 

LBNL meets milestones in its projects. 

Goal 3: Provide Effective and Efficient Science and Technology Program Management.

Weight: 30.00% Score: 3.4 Grade: B+ 

Goal Evaluation: 

LBNL provides effective and efficient science and technology program management. 

Objective 3.1: Provide Effective and Efficient Stewardship of Scientific Capabilities and 

Program Vision.

Weight: 50.00% Score: 3.3 Grade: B+ 

Objective Evaluation: 

 In response to the DOE FOA: DE-PS36-08GO98010, LBNL was awarded two projects, 

and four projects as a subcontractor. 

 The LBNL efforts in hydrogen and fuel cell technologies map directly to EERE priorities, 

goals and objectives, and to the Hydrogen Program’s Multi-Year Program Plan. The effort 

has been reviewed and redirected as needed each year to match the highest priority needs 

of EERE. 

 LBNL has been involved with helping LANL with their modeling effort to compliment 

their experimental impacts on water transport knowledge. LBNL is also helping 3M with 

understanding their system through modeling. 

Objective 3.2: Provide Effective and Efficient Science and Technology Project/Program 

Planning and Management.

Weight: 25.00% Score: 3.1 Grade: B+ 

Objective Evaluation: 

 For the fuel-cell activities, Adam Weber is the manager and has responsibilities for 

specific projects and communication/reporting to specifically identified DOE technology 

managers. These responsibilities include overall project management, product delivery, 

reporting and sponsor interface which includes negotiations of scope and budget through 

AOPs. 

 LBNL has regular meetings with collaborators both within and outside LBNL to review 

results and plan work. LBNL has biweekly Electrochemistry-Group Principal Investigator 

planning and discussion meetings. 

 LBNL has effective management of intellectual property through patenting, invention 

disclosure, agreements, and license negotiations. 

 LBNL has effective implementation of documentation and procedures for multi-institution 

collaboration including non-disclosure, confidentiality, and intellectual property 

development agreements. 

Objective 3.3: Provide Efficient and Effective Communications and Responsiveness to 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-18 

Customer Needs.

Weight: 25.00% Score: 3.8 Grade: A 

Objective Evaluation: 

LBNL rapidly responds to feedback from DOE, Tech Teams and Annual Merit Review reviewers, 

including requests for documentation and information from EERE program staff. LBNL delivers 

reports, documents, AOPs, etc. as requested and on-time with edits being conducted quickly, often 

in direct communication with DOE program management. 

Guidance for the next performance year.

The membrane project needs to show some substantial progress next year. The proton conductivities of the 

current membranes and model compounds are not close to the DOE targets. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-19 

Industrial Technologies Program

Lawrence Berkeley National Laboratory

Fiscal Year 2009 Performance Evaluation

Office of Energy Efficiency and Renewable Energy

Goal 1: Provide for Efficient and Effective Mission Accomplishment.

Weight: 70.00% Score: 3.5 Grade: AGoal Evaluation: 

 

LBNL is a key player in developing ISO 50001 energy management standards, ANSI system standards and 

Superior Energy Performance (SEP) program strategy with the Superior Energy Performance steering 

committee (now the U.S. Council for Energy Efficient Manufacturing). 

Objective 1.1: Science and Technology Results Provide Meaningful Impact on the Field.

Weight: 35.00% Score: 3.5 Grade: AObjective Evaluation: 

LBNL produced draft measurement and verification (M&V) protocol to baseline and measure 

energy intensity performance improvement 

Objective 1.2: Provide Quality Leadership in Science and Technology.

Weight: 35.00% Score: 3.5 Grade: AObjective Evaluation: 

LBNL is a key participant in US/ANSI Technical Advisory Group and ISO PC 242 meetings to 

move toward the ISO 50001 Committee Draft. 

Objective 1.3: Provide and sustain Science and Technology Outputs that Advance Program 

Objectives and Goals.

Weight: 15.00% Score: 3.5 Grade: AObjective Evaluation: 

LBNL is a key leader in Superior Energy Performance pilot projects which have been instrumental 

in helping shape the SEP strategy-plan, M&V protocol and Best Practices scorecard. 

Objective 1.4: Provide for Effective Delivery of Products.

Weight: 15.00% Score: 3.5 Grade: AObjective Evaluation: 

LBNL and the Alliance to Save Energy have supported the System Assessment Standards. The 

work has included testing and revising four draft American Society of Mechanical Engineers’ 

standards (pump, steam, process heating and compressed air). 

Goal 3: Provide Effective and Efficient Science and Technology Program Management.

Weight: 30.00% Score: 3.5 Grade: A- 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-20 

Goal Evaluation: 

LBNL is a key leader in the Superior Energy Performance program strategy and management. 

Objective 3.1: Provide Effective and Efficient Stewardship of Scientific Capabilities and 

Program Vision.

Weight: 50.00% Score: 3.5 Grade: AObjective Evaluation: 

LBNL staff are part the team which developed the Superior Energy Performance program strategy 

with the SEP steering committee (now the U.S. Council for Energy Efficient Manufacturing). 

Objective 3.2: Provide Effective and Efficient Science and Technology Project/Program 

Planning and Management.

Weight: 25.00% Score: 3.5 Grade: AObjective Evaluation: 

LBNL staff are part the team which developed the Superior Energy Performance program strategy 

with the SEP steering committee. 

Objective 3.3: Provide Efficient and Effective Communications and Responsiveness to 

Customer Needs.

Weight: 25.00% Score: 3.5 Grade: AObjective Evaluation: 

LBNL kept key customers and the steering committee up to date on SEP Program Plan, M&V 

strategy/workshop findings, and Best Practices scorecard which LBNL either had lead 

responsibility to develop or significantly contributed to. 

Guidance for the next performance year.

Continue leadership on Superior Energy Performance work, SEP Program plan, measurement and 

verification (M&V) strategy/workshop, M&V protocols to baseline and measure energy intensity 

performance improvement. Participate in US/ANSI Technical Advisory Group and ISO PC 242 meetings 

to move toward ISO 50001 and ANSI standards. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-21 

Vehicle Technologies Program

Lawrence Berkeley National Laboratory

Fiscal Year 2009 Performance Evaluation

Office of Energy Efficiency and Renewable Energy

Goal 1: Provide for Efficient and Effective Mission Accomplishment.

Weight: 70.00% Score: 4.1 Grade: A+ 

Goal Evaluation: 

Thirteen LBNL researchers in the Batteries for Advanced Transportation Technologies (BATT) Program 

gave invited talks at international conferences in 2009. Several patents and licenses were finalized in 2009, 

including: 

 High-rated LiFePO4 (lithium ion phosphate) material has been licensed to two companies. 

 Tin-based anode materials has been licensed to one company. 

 Composite cathode materials has been licensed to one materials company and one battery 

company. 

Objective 1.1: Science and Technology Results Provide Meaningful Impact on the Field.

Weight: 35.00% Score: 4.1 Grade: A+ 

Objective Evaluation: 

 

Some notable examples of specific progress made in 2009 by BATT researchers include: 

 Electrolytes for Lithium-Ion Batteries: Researchers have been investigating the behavior 

of electrolytes which are rigorously dried with particular attention to interfacial impedance 

behavior, which has an influence on the power and energy density. Under study are 

electrolyte additives that are designed to allow the presence of some moisture in the 

battery components. The goal is to relax the stringent manufacturing conditions and 

thereby reduce manufacturing costs while also extending battery life. 

 Novel High-Capacity Reversible Anodes for Lithium-ion Batteries: Researchers at the 

University of Pittsburgh have been studying new silicon-based anodes that will provide 

gravimetric and volumetric energy density greater than those of graphite while exhibiting 

similar durability. 

 Computational Modeling and Design of New Electrode Materials: In a joint program with 

SUNY Stony Brook, MIT uses computational modeling to design electrode materials for 

lithium batteries. In a recent finding the MIT team established that some active battery 

materials can exchange lithium so rapidly that they could lead to batteries that can be 

charged extremely fast and deliver very high power. Charging times of 10 seconds were 

established. While significant engineering will be needed to design such extreme power 

rate batteries, this finding shows how the development of new materials can enable novel 

battery systems and battery applications. 

 Characterization of Phosphate Cathodes for Lithium-Ion Batteries: Although LiMnPO4

(lithium manganese phosphate) has the same crystal structure as LiFePO4, it exhibits 

poorer performance and lower utilization of the active lithium. By studying high-quality 

hydrothermally-prepared crystals of these materials, it has been found that localized strain 

at the phase boundaries between the lithiated and delithiated components impedes the 

charging and discharging, and results in decrepitation of the active particles. This behavior 

becomes substantially less problematic when a small portion of the manganese is 

substituted by magnesium or when the particle size is reduced. 

Objective 1.2: Provide Quality Leadership in Science and Technology.
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-22 

Weight: 35.00% Score: 4.1 Grade: A+ 

Objective Evaluation: 

 

 LBNL scientists, and BATT Principal Investigators (PIs) include some of the most 

recognized researchers in the energy storage field. PIs include Drs. Goodenough, 

Whittingham, Thackeray, and Newman – all leaders in electrochemistry in general, and 

lithium-ion battery technology in particular. 

 External recognition: A team with LBNL members, led by Dr. Thackeray of Argonne 

National Laboratory, won a 2009 R&D100 award. An Argonne/Envia Systems Team is 

working to commercialize this high voltage, high capacity cathode material, which 

provides more energy than any other lithium-ion cathode material, potentially improving 

the operation of plug-in hybrids and all-electric vehicles. 

 Collaborations: On average, each LBNL BATT PI has ongoing collaborations with 4-5 

other BATT PIs and numerous researchers at other U.S. and international research 

institutions. 

Objective 1.3: Provide and sustain Science and Technology Outputs that Advance Program 

Objectives and Goals.

Weight: 15.00% Score: 3.8 Grade: A 

Objective Evaluation: 

 

The LBNL BATT program funds most of the major contributors and leading researchers in the 

energy storage field. Those researchers are: 

 Commercializing a new electrolyte that may enable the use of lithium metal anodes and 

thus some extremely high energy batteries. 

 Developing a new first principles materials screening program that will be used to identify 

promising high energy and high power electrode materials. 

 Leading the effort to characterize and understand the conduction mechanism in the 

commercially important phosphate class of cathode materials. 

 Developing a simulation that is shedding light on the critical issue of Solid-Electroyt 

Interface formation and composition. 

Objective 1.4: Provide for Effective Delivery of Products.

Weight: 15.00% Score: 4.1 Grade: A+ 

Objective Evaluation: 

 

The LBNL BATT program has achieved a 92 percent rate of either Complete or On Schedule for 

project milestones in 2009. Detailed quarterly reports for battery research (including up to 29 R&D 

projects at six different laboratories and 12 universities) are completely on time and provide keen 

insight and understanding of the fundamental issues regarding advanced battery development. 

Goal 3: Provide Effective and Efficient Science and Technology Program Management.

Weight: 30.00% Score: 4.0 Grade: A 

Goal Evaluation: 

LBNL program management has consistently identified critical research directions and instituted new 

projects, often involving outside experts and non-LBNL national laboratories, to pursue them. They have 

awarded contracts in the BATT program to 19 non-LBNL researchers out of 29 projects total. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-23 

Objective 3.1: Provide Effective and Efficient Stewardship of Scientific Capabilities and 

Program Vision.

Weight: 50.00% Score: 4.1 Grade: A+ 

Objective Evaluation: 

 

 The managers at LBNL seek out the most qualified PIs for specific research tasks 

regardless of their organizational affiliation. In 2008-2009, they initiated five new 

research projects with PIs outside of the laboratory. Overall, 65 percent of the BATT 

projects are carried out by non-LBNL entities, including commercial organizations, 

universities, and other national laboratories. 

 In 2009, LBNL brought into the lab two new hires from leading research groups in the 

United States. Kristen Perrson’s project is “Predicting and Understanding New Li-ion 

Materials Using Ab Initio Atomistic Computational Methods” and Jordi Cabana’s project 

is “Positive and negative electrodes: novel and optimized materials.” 

Objective 3.2: Provide Effective and Efficient Science and Technology Project/Program 

Planning and Management.

Weight: 25.00% Score: 3.8 Grade: A 

Objective Evaluation: 

 

 LBNL is in the process of implementing a process to periodically solicit and evaluate 

proposals in each program area. Each year, LBNL will issue Request for Proposal Letter 

of Inquiries for white papers on new concepts in one of the major focus areas of the 

program: anodes, cathodes, electrolytes, cell analysis, and modeling/diagnostics. After an 

initial review, a subset of the respondents will be asked to submit full proposals in 

response to the RFP. 

 As part of the BATT program, LBNL oversees and/or directs the research of 29 principal 

investigators who come from LBNL, five other national labs, eleven universities, and one 

commercial institution. 

 LBNL meets with DOE management each summer to recommend and discuss new and 

promising research areas, to review and implement results of the annual merit review, and 

is able to implement changes including new work the following fiscal year. 

 LBNL BATT management has consistently sought out programmatic advice from DOE 

management, provided guidance and recommendations on new research directions, and 

has implemented program changes, new projects, and approaches in a timely and accurate 

manner. 

Objective 3.3: Provide Efficient and Effective Communications and Responsiveness to 

Customer Needs.

Weight: 25.00% Score: 3.8 Grade: A 

Objective Evaluation: 

 

 LBNL staff consistently informs HQ management of major scientific advances, staffing 

issues, and respond to requests for information on time or ahead of time consistently and 

accurately. 

 BATT management publishes a comprehensive (100+ page) progress report each quarter 

that contains updates on all projects under the program’s management. This progress 

report provides critical updates to EERE/VTP management, and has served as a model 

reporting mechanism that is being applied to the energy storage applied battery research 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-24 

program. 

Guidance for the next performance year.

 In the coming year, BATT cross-cutting research efforts should focus on size control for olivine 

cathodes and alloy anodes and on control of interfaces for the SEI on alloy anodes and at the 

cathode/electrolyte interface. 

 Intermediate term R&D should focus on developing high voltage electrolytes and on additives to 

promote stable SEI formation and provide overcharge protection. 

 Electrode research should focus on structured anodes and cathodes. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-25 

Department of Energy 

Washington, DC 20585 

October 13. 2009 

MEMORANDUM 

Attached are the reviews obtained from Office of Fossil Energy project managers regarding evaluation of 

Science and Technology Programs at the University of California Lawrence Berkeley National Laboratory 

for FY 2009. These reviews represent work actively being performed for and funded by the Office of Fossil 

Energy during this period. In soliciting input for this review, the only performance evaluations that were 

requested were for R&D-type projects, and of those only the ones that were valued at $50,000 or more in 

FY09. The individual evaluations that were received are attached and account for projects totaling over 

$5.7 million. 

No attempt was made to screen, blend or summarize any reviewer comments; they represent the verbatim 

remarks that were submitted by each contributor. Should you need any further information , please contact 

William Fernald at 301-903-9448 (william.femald@hg.doe.gov). 

Attachment 

cc: Aundra Richards, Site Manager Berkeley Site Office 

TO: Joseph Krupa 

Institutional Program Manager 

U.S. DOE Berkeley Site Office 

FROM: James J. Markowsky

Assistant Secretary 

Office of Fossil Energy 

SUBJECT: Department of Energy (DOE) Evaluation of Science and Technology 

Programs at the University of California Lawrence Berkeley National 

Laboratory for FY 2009. 

Objective 1.2 Provide Quality Leadership in Science and Technology 

Score: A Grade: 4.0 Weighting: 25 

Objective 1.2 Performance Summary Statement: 

Objective 1.2 Provide Quality Leadership in Science and Technology 

Score
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-26 

Laboratory Year-End Performance Assessment Report 

Date: 

9/30/09 

Headquarters Program Office Fiscal Year 2009 Evaluation of Science and Technology Program 

Performance at the Lawrence Berkeley National Laboratory 

Agency: U.S. Department of Energy 

Program Office: Assistant Secretary for Fossil Energy 

FY Funding Level: (Budget Authority) $300,000 

Goal l.O Provide for Efficient and Effective Mission Accomplishment 

Goal Score: 4.0 Goal Grade: A 

Goal l.O Performance Summary Statement: 

My experience with and evaluation of LBNL in FY09 is limited to a Field Work Proposal (FWP) project 

with Dr. Ted Chang, Principal Investigator: Project No. ED33EE for reducing the cost of CO2 removal 

from coal-fired flue gas with amine-and other aqueous-based scrubbing processes. As described in 

Objective 1.1 below, Ted has been an invited lecturer at international conferences. He submitted two 

articles in FY09 for publication in peer-reviewed scientific journals. In March 2009, Ted made a 

presentation on his FWP project at the 2009 DOE NETL CO2 Capture Technology Conference. 

LBNL received DOE funding in FY09 Quarter 2 to start their FY09 FWP for post-combustion CO2 capture 

technology. LBNL has targeted 90% removal at a cost not to exceed a 20% increase in the Cost of

Electricity compared to a power plant with no CO2 capture. Their R&D program is making good progress 

to develop a high capacity solvent for post-combustion removal ofCO2 and to reduce the cost of 

regenerating the solvent. They plan to finish the FY09 FWP scope within their proposed 12-month 

schedule, and are nearing the point of filing a patent application for their improvements in C02 capture 

solvents. 

Objective 1.1 Science and Technology Results Provide Meaningful Impact on the Field 

Score: 4.0 Grade: A Weighting: 25 

Objective 1.1 Performance Summary Statement: 

LBNL's current investigation on CO2 removal has targeted 90% removal at a cost not to exceed a 20% 

increase in the Cost of Electricity compared to a power plant with no CO2 capture. If successful, this will 

meet or exceed the Fossil Energy CO2 Capture Program goals for existing coal-fired power plants. Their 

R&D program is making good progress to develop a high capacity solvent for post-combustion removal 

ofCO2 from power plant flue gas and to reduce the cost of regenerating the solvent. This work is of 

national and global importance, because successful development of the technology could provide a high 

level of CO2 capture at an attractive cost, for potential application to most or all coal-fired power plants. 

Ted Chang reported that: 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-27 

1. LBNL has worked with industries (Bechtel, Parsons, and Dow Chemicals), and academics (Tokyo 

Institute of Technology, Japan; Academic Sinica, China; Peking University, China; Zhejian University, 

China; Shanghai Jiao Tong University, China; Cheng-KWlg University, Taiwan). 

2. Ted has been invited to present papers at International Conferences and Meetings. He was an invited 

lecturer on "Developing Technologies for the Control of Mercury Emissions from Coal Fired Power 

Plants," at Department of Environmental Engineering, National Taiwan ChengKWlg University, 

Tainan, Taiwan, Nov. 13-16,2006. Ted was also an invited lecturer on "The Role of Halides on Hg

O 

Removal from Coal-Fired Flue Gas by Carbonaceous Materials," at Department of Environmental 

Engineering, National Taiwan Cheng-KWlg University, Tainan, Taiwan, May 14, 2008. 

3. Because LBNL is nearing the point of filing a patent application for their improvements in CO2 

solvents, Ted Chang declined invitations in FY09 to present at internationally at the Pollution Control 

Conference at Wroclaw University of Technology in Poland, Zhejiang University in China, and the 

National Cheng-KWlg University in Taiwan. 

Objective 1.2 Provide Quality Leadership in Science and Technology 

Score: 4.0 Grade: A Weighting: 25 

Objective 1.2 Performance Summary Statement: 

LBNL has been a consistent contributor in the development ofilU10vative technology to control air 

emissions from coal-fired power plants. As Fossil Energy's R&D funding has shifted from mercury control 

to CO2 control, LBNL adapted and provided ilU10vative and meaningful bench-scale research to support 

changing R&D needs. 

Objective 1.3 Provide and Sustain Science and Technology Outputs that Advance Program Objectives and 

Goals 

Score: 4.0 Grade: A Weighting: 25 

Objective 1.3 Performance Summary Statement: 

Ted Chang has been a regular presenter at DOEINETL Innovations for Existing Plants Annual 

Technology Conferences, and contributed the following articles for publication in peer reviewed 

scientific journals: 

. Yan, Z. Qu, Y. Chi, S.H. Qiao, R. L. Dod, S.O. Chang, and C. Miller, "Enhanced Elemental Mercury 

Removal from Coal-fueled Flue Gas by Sulfur-chlorine Compounds," Environ. Sci. Technology, 43, 5410-

5415, 2009 (published July 15, 2009) 

. Qu, N.Q. Yan, J. 1. Chang, S.O. Chang, and C. Miller, "The Role of Halide on HgO Removal from 

Coal-fired Flue Gas by Carbonaceous Materials," submitted for publication, 2009 

These articles publicly reported the work performed under the DOE Fossil Energy Mercury Control 

Technology Program. 

Ted Chang previously won an LBNL's Technology Transfer Award. Following LBNL's patent application 

on a DOE-sponsored process for gaseous oxidation of power plant flue gas mercury with halides, LBNL 

partnered with Mobotec for field testing of this process with subsequent coremoval of oxidized mercury in 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-28 

wet Flue Gas Desulfurization systems. As stated above LBNL is nearing the point of filing a patent 

application for their current process to improve solvent-based post-combustion capture of C02 from power 

plant flue gas. 

Objective 1.4 Provide for Effective Delivery of Science and Technology 

Score: 4.0 Grade: A Weighting: 25 

Objective 1.4 Performance Summary Statement: 

As described in 3.0 below, LBNL completed their work on annual Field Work Proposals (FWP) within 

12 months of receiving DOE funding, and met planned milestones. Ted Chang, the PI, has willingly 

accommodated my requests and technical direction. Ted submitted his quarterly and final FWP reports 

to NETL in a timely manner. 

Goa12.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operation of Research 

Facilities (Not applicable to FE) 

Goa13.0 Provide Effective and Efficient Science and Technology Program Management 

Goal Score: 4.2 Goal Grade: A+ 

Goa13.0 Performance Summary Statement: 

Ted Chang offline effectively managed multiple Field Work Proposals (FWP) during the transition 

between mercury R&D and C02 capture R&D in FY08, and is currently performing and managing an 

FWP for post-combustion CO2 capture R&D. LBNL accomplished the work proposed in each annual 

Field Work Proposal within 12 months of receiving DOE funding. When DOEIIEP funding for mercury 

control research was eliminated, LBNL adapted well by submitting a Field Work Proposal and initiated 

bench-scale research in CO2 post-combustion capture. By not duplicating the work of others, they used 

DOE funding in a cost-effective way to broaden the emissions control options available to power plant 

owners. They independently developed and proposed an innovative idea for improvement of postcombustion CO2 capture technology. Ted Chang has effectively served as my single point of contact 

with LBNL, and responded to my customer needs in a timely manner. He has efficiently and effectively 

communicated with me via E-mail, telephone, face-to-face conversations, and written proposals and 

progress reports. 

Objective 3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and Program Vision 

Score: 4.0 Grade: A Weighting: 40 

Objective 3.1 Performance Summary Statement: 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-29 

LBNL proposed uniquely innovative technology for CO2 capture. By not duplicating the work of 

others, they used DOE funding in a cost-effective way to broaden the emissions control options 

available to power plant owners. They independently developed and proposed an innovative idea for 

improvement of post-combustion CO2 capture technology. 

Objective 3.2 Provide Effective and Efficient Science and Technology Project Program Planning and 

Management 

Score: 4.3 Grade: A+ Weighting: 30 

Objective 3.2 Performance Summary Statement: 

LBNL carefully planned their work and documented the plan in their Field Work Proposals. They 

proactively identified potential problems and risks, and dealt with unplanned occurrences as they 

developed. They accomplished the work proposed in each annual Field Work Proposal within 12 months 

of receiving DOE funding. When DOEIIEP funding for mercury control Research was eliminated, 

LBNL adapted well by submitting a Field Work Proposal and initiated innovative bench-scale research 

in CO2 post-combustion capture. 

Objective 3.3 Provide Efficient and Effective Communications and Responsiveness to Customer 

Needs 

Score: 4.3 Grade: A+ Weighting: 30 

Objective 3.3 Performance Summary Statement: 

Ted Chang of LBNL has effectively served as my single point of contact with LBNL, and responded to my 

customer needs in a timely manner. He has efficiently and effectively communicated with me via E-mail, 

telephone, face-to-face conversations, and written proposals and progress reports. Ted has proactively 

advised me of potential problems and the range of outcomes. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-30 

Laboratory Year-End Performance Assessment Report 

Date: 

9/28/2009 

Headquarters Program Office Fiscal Year 2009 Evaluation of Science and Technology Program 

Performance at the Lawrence Berkeley National Laboratory Agency: U.S.Department of Energy Program 

Office: Assistant Secretary for Fossil Energy 

FY Funding Level: (Budget Authority) $270,OOO;B&R AA3010000;C02SINK FWP ESD07-011 

Goal 1.0 Provide for Efficient and Effective Mission Accomplishment 

Goal Score: 4.0 Goal Grade: A 

Goal l.O Performance Summary Statement: 

LBNL has continued to produce high-quality, original, and creative results that advance science and 

technology; demonstrated sustained scientific progress and impact; received high external recognition of 

accomplishments; and have made step-change contributions to research and development goals of the 

Department and its customers. This is supported by the following. 

LBNL's research in the C02SINK project has produced science and technology results that have a high 

impact on the field. In this project, GeoForschungsZentrum, Potsdam (GFZ, the German federal geologic 

institute responsible for project coordination) along with LBNL have entered into an agreement for the 

acquisition and analysis of distributed thermal perturbation data at the Ketzin, Germany C02 injection site. 

More specifically GFZ has installed fiber-optic distributed temperature perturbation sensors (DTPS) in 

external casing centralizers in two C02 plume monitoring boreholes with the assistance offline. LBNL, 

which pioneered the use of active thermal perturbation sensing, has provided heating equipment necessary 

to incorporate DTPS monitoring into the C02SINK experiment to better W1derstand CO2plume 

emplacement. LBNL is also providing reservoir modeling necessary for interpretation of DTPS data as well 

as petrophysical property measurement of core obtained from the C02SINK site. CO2SINK is a highly 

integrated international demonstration project, supported W1der the FP/6 framework by the European 

Union commission. C02SINK has been endorsed by the Carbon Sequestration Leadership Forum, an 

initiative important to DOE. Further support is described in l.l, 1.2, 1.3, and 1.4. 

Objective 1.1 Science and Technology Results Provide Meaningful Impact 00 the Field 

Score: 4.0 Grade: A Weighting: 25 

Objective 1.1 Performance Summary Statement: LBNL's research in the C02SINK project has produced 

science and technology results that have a high impact on the field. In this project, GFZ, Potsdam along 

with LBNL have entered into an agreement for the acquisition and analysis of distributed thermal 

perturbation data at the Ketzin, Germany CO2 injection site. More specifically GFZ has installed fiberoptic distributed temperature perturbation sensors (DTPS) in external casing centralizers in two C02 

plume monitoring boreholes with the assistance of LBNL. LBNL, which pioneered the use of active 

thermal perturbation sensing, has provided heating equipment necessary to incorporate DTPS 

monitoring into the C02SINK experiment to better understand C02 plume emplacement. LBNL is also 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-31 

providing reservoir modeling necessary for interpretation of DTPS data as well as petrophysical 

property measurements of core obtained from the C02SINK site. C02SINK is a highly integrated 

international demonstration project, supported under the FP/6 framework by the European Union 

commission. C02SINK has been endorsed by the Carbon Sequestration Leadership Forum, an initiative 

important to DOE. 

• Tools and techniques developed in the project are becoming widely-used in the scientific community. 

An example is the use of the DTPS. The DTPS thermal monitoring technique was first developed for 

evaluating groundwater flow at the proposed High-Level radioactive waste repository site at Yucca 

Mountain, Nevada. The field system developed at C02SINK was subsequently used to process data 

collected from the NASA funded study at the High Lake Site in Nunuvut Territory Canada. 

• The impact to DOE for R&D undertaken/accomplished by LBNL is enormous and exemplified by the 

following. The thermal testing technique that was first applied to the CO2 storage project at Ketzin, 

Germany is going to be used at the SECARB Cranfield Project and also as part of the Australian C02CRC 

Otway Stage II testing in Victoria, Australia. 

Resulting publications for the project have had an impact on the field. The following are selected 

examples. 

Freifeld, B.M., Daley, T.M., Hovorka, S., Henninges, J., Underschultz, J., and Shanna, 

S.,(2008) Recent advances in well-based monitoring ofC02 sequestration. 9th 

International Conference on Greenhouse Gas Control Technologies (GHGT-9), 

Washington D.C" Nov 16,20. 

HelUlinges, J.; Freifeld, B. M.; Norden, B.; Huenges, E. (2009): Thermal 

perturbation sensing for monitoring subsurface C02 transport, General Assembly 

European Geosciences Union (Vienna, Austria 2009). 

Freifeld, B. M.; Kryder, L.; Gilmore, K.; Henninges, 1.; Onstott, T. C.; Lisa, P. 

(2007): The distributed thermal perturbation sensor: A new tool for in situ estimation 

of formation thermal properties and geothermal heat flux, AGU 2007 Fall Meeting 

(San Francisco 2007). 

Objective 1.2 Provide Quality Leadership in Science and Technology 

Score: 4.0 Grade: A Weighting: 25 

Objective 1.2 Performance Summary Statement: LBL provides quality leadership in science and 

technology as supported in the following. 

LBL's willingness to pursue novel approaches and demonstrate iJU10vative solutions to problems 

is exemplified by deploying the DTPS at the C02SINK field site. The DTPS thermal monitoring 

technique was first developed for evaluating groundwater flow at the proposed High-Level 

radioactive waste repository site at Yucca Mountain, Nevada. The field system developed at 

C02SINK was subsequently used to process data collected from the NASA funded study at the 

High Lake Site in Nunuvut Territory Canada. 

LBL's extensive collaborative efforts for the C02SINK project are demonstrated by their participation in 

this German-led CO2injection project. C02SINK is a highly integrated international demonstration 

project, supported under the FP/6 framework by the European Union commission. GFZ, Potsdam is the 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-32 

lead, with numerous other academic, industry, and other research entities collaborating. LBNL is 

providing DTPS monitoring support to better understand CO2plume emplacement. LBNL is also 

providing reservoir modeling necessary for interpretation of DTPS data as well as petrophysical property 

measurements of core obtained from the C02SINK site. 

The impact of the C02SINK research has a high impact on the DOE mission because of the international 

and collaborative nature of the German-led C02SINK project. C02SINK has also been endorsed by the 

Carbon Sequestration Leadership Forum, an initiative important to DOE. U.S. DOE world leadership in 

science and technology is showcased due to LBNL's participation. 

Objective 1.3 Provide and Sustain Science and Technology Outputs that Advance 

Program Objectives and Goals 

Score: 4.0 Grade: A Weighting: 25 

Objective 1.3 Performance Summary Statement: 

LBNL's research in C02SINK provides and sustains science and technology output that 

advances program objectives and goals as exemplified by peer-reviewed publications as noted 

in 1.1 above. 

Objective 1.4 Provide for Effective Delivery of Science and Technology 

Score: 4.0 Grade: A Weighting: 25 

Objective 1.4 Performance Summary Statement: 

LBNLs research in the C02SINK project provides for effective delivery of science and technology 

as supported by the following. 

LBNL is effective in meeting goals and milestones such as the FY09 FWP quarterly project milestones 

that are reported on by the program. 

LBNL is effective in FY09 FWP quarterly and annual reporting, and providing necessary DOE documents 

for strategic planning such as the annual FY FWP/proposal. 

LBNL is effective in delivering on promises; they provided field and modeling support for deployment of 

the DTPS in wellbores, as well as lab measurement of petrophysical properties of core from C02SINK. 

LBNL researchers have showcased U.S. and DOE scientific expertise in this international, German-led 

C02SINK project aimed at demonstrating CO2 storage in Germany. 

LBNL is effective in transmitting results to the scientific community as supported by numerous peerreviewed publications and extensive collaboration with peer-researchers in carbon sequestration (see \.I). 

LBNL is effective in getting instruments to work as promised. They provided field and modeling 

support for deployment of the DTPS in wellbores at C02SINK project. 

Goa12.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operation of Research 

Facilities (Not applicable to FE) 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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Goa13.0 Provide Effective and Efficient Science and Technology Program Management 

Goal Score: 4.0 Goal Grade: A 

Goa13.0 Performance Summary Statement: 

LBNL provides highly effective program vision and leadership; strategic planning and development of 

initiatives; and retains a high quality scientific workforce. The researchers provide a high degree of 

effective and efficient science and technology research project/program management. This is supported by 

the following. 

Highly efficient and effective joint planning with the outside scientific community is demonstrated by 

their participation in the German-led C02SINK project that is endorsed by the Carbon Sequestration 

Leadership Forum. 

The researchers have articulated scientific vision well with respect to their specialty of development and 

application of monitoring tools for geologic storage of carbon dioxide based on geophysics, geochemistry, 

and simulations. 

Additional support is provided in 3.1, 3.2, and 3.3. 

Objective 3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and Program Vision 

Score: 4.0 Grade: A Weighting: 40 

Objective 3.1 Performance Summary Statement: 

The researchers have provided effective and efficient stewardship of scientific capabilities and 

program vision. This is supported by the following achievements. 

• Efficiency and effectiveness of joint planning with outside community. 

• Articulation of scientific vision. 

• Development of core competencies. 

Highly efficient and effective joint planning with the outside scientific community is 

demonstrated by their participation in the international German-led C02SINK project as 

described in 1. 1. 

The researchers have articulated scientific vision well with respect to their specialty of development and 

application of monitoring tools for geologic storage of carbon dioxide based on geophysics, geochemistry, 

well bore engineering, and simulations. They are world leaders in this area as supported by their unique 

participation in this Carbon Sequestration Leadership Forum project, as well as the invitation to participate 

in similar geologic storage projects. Their articulation of the science is supported by the numerous 

publications as provided in 1.1. 

Core competencies have been developed in these research areas of applying geophysics, geochemistry, 

wellbore engineering, and simulations for monitoring geologic storage of carbon dioxide as a GHG 

mitigation technology. 

Objective 3.2 Provide Effective and Efficient Science and Technology Project Program Planning and 

Management 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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Score: 4.0 Grade: A Weighting: 30 

Objective 3.2 Performance Summary Statement: 

Highly effective and efficient science and technology project/program planning and management have 

been provided by the researchers. This is supported by the high quality Field Work Proposal submitted, 

the quarterly and annual reporting of project status, and the leveraging/synergy with other areas of 

research as described in 1.1. 

Objective 3.3 Provide Efficient and Effective Communications and Responsiveness to Customer Needs 

Score: 4.0 Grade: A Weighting: 30 

Objective 3.3 Performance Summary Statement:' 

LBNL provides highly efficient and effective commW1ications, as well as high responsiveness to the DOE 

customer. The researchers provide high quality, accurate, and timely responses to DOE and other 

stakeholder requests. Examples include timely and high quality responses to calls for annual Field Work 

Proposals and special requests for project status information. CommW1ications channels are well-defined 

and there is good interaction between researchers and the DOE Project Manager with respect to project 

status and project planning. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-35 

Laboratory Year-End Performance Assessment Report 

Date: 

10/5/2009 

Headquarters Program Office Fiscal Year 2009 Evaluation of Science and Technology Program 

Performance at the Lawrence Berkeley National Laboratory Agency: u.s.Department of Energy Program 

Office: Assistant Secretary for Fossil Energy FY Funding Level: (Budget Authority) AA3010 $750,000 

FWP: LBL-9-ESD09-030 

Science Needs for Risk Assessment of Large-Scale Geologic C02 Storage 

Goal 1.0 Provide for Efficient and Effective Mission Accomplishment Goal Score: 4 Goal Grade: A 

Goal1.0 Performance Summary Statement: 

Although this project on risk assessment only began towards the end of FY09. it builds on a continuing 

effort from over the last couple of years. In that context, LBNL has been one of the leaders for DOE in this 

field, helping to define how the community approaches risk assessment and helping to resolve critical 

issues. 

Objective 1.1 Science and Technology Results Provide Meaningful Impact on the Field Score: 4 Grade: 

A Weighting: 25 Objective 1.1 Performance Summary Statement: 

Although this project on risk assessment only began towards the end ofFY09, it builds on a 

continuing effort from over the last couple of years. In that context, LBNL has been one of the leaders 

for DOE in this field, helping to define how the community approaches risk assessment and helping to 

resolve critical issues. 

Objective 1.2 Provide Quality Leadership in Science and Technology Score: 4 

Grade: A Weighting: 25 

Objective 1.2 Performance Summary Statement: 

LBNL has been and continues to be a leader research institution in the science base for risk assessment 

(including MV A) for CCS, as reflected by its publications and visibility within the technical community. 

The research staff that LBNL has brought to this problem is broad and world class. 

Objective 1.3 Provide and Sustain Science and Technology Outputs that Advance Program Objectives and 

Goals Score: 4 Grade: A Weighting: 25 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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Objective 1.3 Performance Summary Statement: 

Because this project began recently, it is not possible to evaluate LBNL's outputs for this objective. The 

score reflects LBNL's related output from previous projects, in anticipation that it will continue for this 

project. LBNL has a long track record of publication of results in this field. 

Objective 1.4 Provide for Effective Delivery of Science and Technology Score: 4 Grade: A Weighting: 25 

Objective 1.4 Performance Summary Statement: 

Because this project began recently, it is not possible to evaluate LBNL' s outputs for this objective. The 

score reflects LBNL's related output from previous projects, in anticipation that it will continue for this 

project. 

Goa12.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operation of Research 

Facilities (Not applicable to FE) 

Goal 3.0 Provide Effective and Efficient Science and Technology Program Management Goal Score: 4 

Goal Grade: A 

Goa13.0 Performance Summary Statement: 

LBNL has been and continues to be a strong leader in this area and is demonstrating a strong 

willingness to work in the unique collaborative environment of this project. 

Objective 3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and Program Vision 

Score: 4 Grade: A Weighting: 40 

Objective 3.1 Performance Summary Statement: 

This project is part of a coordinated multi-lab collaboration, including LANL, LBNL, LLNL, NETL (lead), 

and PNNL. The collaboration has included workshops to define needs/goals and collaborative research as 

well as telecons. LBNL has been very active in this process and has demonstrated a strong willingness to 

work collaboratively. In addition, LBNL has contributed significantly to the development of joint white 

papers detailing research needs that will guide the effort. As noted, LBNL has brought a broad and 

technically strong team to support this project. 

Objective 3.2 Provide Effective and Efficient Science and Technology Project Program Planning and 

Management 

Score: 4 Grade: A Weighting: 30 

Objective 3.2 Performance Summary Statement: 

As lead of a DOE-SC EFRC related to sequestration, LBNL has been in a unique position to leverage its 

basic research with the needs of this applied research project. LBNL has been proactive in this context, 

including consideration of the applied effort from the beginning of the project. LBNL has also taken 

initiative in other areas to consider opportunities for effective leveraging (e.g., in an opportunity with 

DUSEC). 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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Objective 3.3 Provide Efficient and Effective Communications and Responsiveness to Customer Needs 

Score: 4 Grade: A Weighting: 30 

Objective 3.3 Performance Summary Statement: 

LBNL has been very responsive to communications on this project. There is a clear lead 

(Oldenburg) and clear points for technical responsibility within the LBNL team. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

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Laboratory Year-End Performance Assessment Report 

Date: 

9/28/2009 

Headquarters Program Office Fiscal Year 2009 Evaluation of Science and Technology Program 

Performance at the Lawrence Berkeley National Laboratory Agency: u.s. Department of Energy Program 

Office: Assistant Secretary for Fossil Energy FY Funding Level: (Budget Authority) $1,575,000; B&R 

3010000; GEO-SEQ FWP G204 

Goal1.0 Provide for Efficient and Effective Mission Accomplishment 

Goal Score: 4.3 Goal Grade: A+ 

Goal1.0 Performance Summary Statement: LBNL has continued to produce high-quality, original, and 

creative results that advance science and technology; demonstrated sustained scientific progress and 

impact; received high external recognition of accomplishments; and have made step-change contributions 

to research and development goals of the Department and its customers. The following achievements are 

provided as support. 

The science and technology results of the researchers have continued to provide high and meaningful 

impact on the field. The researchers continue to contribute to DOE's Carbon Sequestration Program that 

supports the Global Climate Change initiative by conducting studies that focus on the Greenhouse Gas 

(GHG) mitigation technology of geologic storage of carbon dioxide (C02). LBNL researchers are 

investigating carbon dioxide storage processes and mechanisms through: (1) developing field and 

computational methods to improve predictions of injectivity and capacity of saline formations and depleted 

gas reservoirs, and (2) developing and testing innovative high-resolution methods for monitoring carbon 

dioxide in the subsurface. In this project, LBNL leverages scientific understanding and technology 

development from three highly visible ongoing world-class geologic CO2 storage projects (all three are 

Carbon Sequestration Leadership Forum (CSLF)-recognized) through leadership and collaboration in the 

scientific and engineering objectives. The CSLF is a major international initiative for DOE, and LBNL is 

providing step-change contributions leading to the success of these CSLF-endorsed projects. 

The three CSLF-endorsed projects are the: (I) Frio, Texas Brine Pilot Tests; (2) Australian Otway Basin 

Pilot Project; and (3) In Salah, Algeria Industrial-Scale C02 Storage Project. Within these projects, LBNL 

has led the development of downhole fluid and gas sampling by Utube, downhole Continuous Active 

Source Seismic Monitoring (CASSM). Vertical Seismic Profiling (VSP). microseismic monitoring, 

satellite-based InSAR and other techniques, and development of reservoir simulation capabilities 

incorporating reactive geochemistry, multicomponent gas mixtures, and geomechanical coupling. 

Advances derived from LBNL's efforts also support the DOE Regional Partnership Projects through the 

involvement of the investigators, and will likely be used in commercial-scale C02 operations in the future. 

The impact on DOE and its mission for GHG mitigation has been enormous because LBNL researchers 

are developing new tools and methodologies for geologic storage, and successfully applying them. They 

are also representing the U.S. and DOE's science expertise in the above named international projects, and 

are fully engaged with international colleagues on the design, field testing, and analyses of results. 

The researchers are highly successful stewards in the research for geologic storage of carbon dioxide. Their 

work on numerous types of seismic monitoring, as well as development of U-tube for reservoir fluid 

sampling are just several examples. The development of these and other tools and techniques are likely to 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-39 

become standards and widely-used in the scientific community. In addition, they are resolving critical 

questions and moving the research area forward. For example, they are continuing to answer the question 

"can the injected carbon dioxide plume and reservoir be remotely monitored with adequate resolution" with 

techniques such as crosshole seismic tomography, VSP, and satellite-based InSAR. 

The results of their research have generated huge interest/enthusiasm in the field; the request for their 

continued participation in numerous international projects listed above is just one 

supportive achievement. 

Additional details of achievements are elaborated on in 1.1, 1.2, and 1.3. 

Objective 1.1 Science and Technology Results Provide Meaningful Impact on the Field 

Score: 4.3 Grade: A+ Weighting: 25 

Objective 1.1 Performance Summary Statement: 

I.l S&T Impact on Field The science and technology results of the researchers continue to provide high and 

meaningful impact on the field. The following achievements are noted as support . 

• The researchers continue to contribute to DOE's Carbon Sequestration Program that supports the 

Global Climate Change initiative by conducting studies that focus on the Greenhouse Gas (GHG) 

mitigation technology of geologic storage of carbon dioxide. LBNL researchers are investigating carbon 

dioxide (C02) storage processes and mechanisms through: (1) developing field and computational 

methods to improve predictions of injectivity and capacity of saline formations and depleted gas 

reservoirs, and (2) developing and testing innovative high-resolution methods for monitoring carbon 

dioxide in the subsurface. In this project, LBNL leverages scientific understanding and technology 

development from three highly visible ongoing world-class geologic CO2storage projects (all three are 

Carbon Sequestration Leadership Forum (CSLF)-recognized) through leadership and collaboration in the 

scientific and engineering objectives. The CSLF is also an important initiative for DOE, and LBNL is 

providing step-change contributions leading to the success of these CSLF-endorsed projects. 

The GEO-SEQ program has supported two international programs during FY09, the In Salah IndustrialScale CO, Storage Project, and the Australian C02CRC Otway Project, along with acquiring a final VSP 

survey at the Frio Pilot and concluding interpretation of Frio data The In Salah project represents one of 

only a handful of commercial scale CO2injection operations in the world, and the Otway Project is the 

first demonstration ofC02 storage in a depleted gas reservoir. The Frio Pilot, which concludes in FY09, 

successfully demonstrated numerous monitoring technologies -integrating hydrologic, geochemical, and 

geophysical monitoring techniques into a comprehensive MY A program. Within these projects, LBNL 

has led the development of downhole fluid and gas sampling by U-tube, downhole Continuous Active 

Source Seismic Monitoring (CASSM), Vertical Seismic Profiling, microseismic monitoring, satellitebased InSAR and other techniques, and development of reservoir simulation capabilities incorporating 

reactive geochemistry, multicomponent gas mixtures, and geomechanical coupling. Advances derived 

from LBNL's efforts also support the DOE Regional Partnership Projects through the involvement of the 

investigators, and will likely be used in commercial-scale CO2operations in the future. 

• The impact on DOE and its mission for GHG mitigation, has been enormous because LBNL 

researchers are developing new tools and methodologies for geologic storage, and successfully applying 

them. They are also representing the U.S. and DOE's science expertise in the above named international 

projects, and are fully engaged with international colleagues on the design, field testing, and analyses of 

results. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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• The researchers are highly successful stewards in the research for geologic storage of carbon dioxide. 

Their work on numerous types of seismic monitoring, development of U-tube for reservoir fluid 

sampling, and use of InSAR satellite-based data to monitor CO2 reservoirs are just several examples. 

The development of these and other tools and techniques are likely to become standards and widely-used 

in the scientific community. In addition, they are resolving critical questions and moving the research 

area forward. For example, they are answering the question "can the injected carbon dioxide plume be 

remotely monitored with adequate resolution" with techniques such as crosshole seismic tomography. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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• The results of their research have generated huge interest/enthusiasm in the field; the request for their 

continued participation in numerous international projects listed above is just one supportive 

achievement. LBNL excels in making high-quality data available to the scientific community. This 

achievement is supported by an extensive list of publications, invited talks, and other technology 

transfer. These have generated high impact on the field. Several supportive achievements follow. 

-Through extensive collaboration with the C02CRC team for the Otway. Australia injection project, the 

researchers continue monitoring and modeling support for the Naylor-l observation well bottom hole 

assembly and borehole monitoring instrumentation. A milestone for this project was reached in June 

2009 when over 57,000 tOIUles ofCO2 had been injected. A Phase II is now being planned at Otway and 

LBNL is actively involved in the design of the planned injection. 

-Through extensive collaboration with the InSalah, Algeria CO2 storage project industry operator, BP, 

the researchers have completed a study that uses satellite-based InSAR observations to monitor the 

reservoir and overburden. The results have been published in two benchmark papers in Geophysics. 

The study is likely to bring great interest to the scientific community for this monitoring tool. 

-Continued to complete an extensive list of publications and presentations that have had high impact 

on the field; a partial list includes the following: 

Dodds, K., Daley, T., Freifeld, B., Urosevic, M., Kepic, A. and Sharma, S., 2009, Developing a 

monitoring and verification plan with reference to the Australian Otway CO2 pilot project, The Leading 

Edge, v28, n7, 812-818, LBNL-231OE. 

Freifeld, B.M., Daley, T.M., Hovorka, S.D., Henninges, J., Underschultz, J., and Sharma S, 2009, 

Recent advances in well-based monitoring of C02 sequestration, Energy Procedia, Elsevier, Vol. I, 

Issue I, 2277 -2284. 

Daley, T.M., Sandeep Shanna, Aleksander Dzunic, Milovan Urosevic, Anton Kepic, Don Sherlock, 

2009, Borehole Seismic Monitoring at Otway Using the Naylor-l Instrument String, Lawrence Berkeley 

National Laboratory Report, LBNL-2337E. 

Freifeld, B. M., 2009, The U-tube: a new paradigm in borehole fluid sampling, Scientific 

Drilling, 8, doi:1O.2204/iodp.sd.8.07.2009 (in press) 

Freifeld, B. M., Perkins, E., Underschultz, J., Boreham, C., The U-tube Sampling Methodology and 

Real-Time Analysis of Geofluids, in Proceedings of the 24th International Applied Geochemistry 

Symposium. Fredericton, New Brunswick, Canada. 2009. 

Kirste, D, E. Perkins, C. Boreham, B. Freifeld, L. Stalker, U. Schacht, and J. Underschultz, 2009, 

Geochemical modeling and formation water monitoring at the C02CRC Otway Project, Victoria, Australia 

in Proceedings of the 24th International Applied Geochemistry Symposium, 14 June, 2009, Fredericton, 

N.B., Canada. 

Liu H.H. and Rutqvist J., Use of a Dual-Continuum Approach for Modeling Coupled Hydro 

mechanical Processes ofC02 Injection at In Salah, Algeria. 8th 

annual conference on carbon capture 

and sequestration, Pittsburgh, Pennsylvania, May 4 to 7, 2009. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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Rutqvist J. and Vasco D., Numerical Analysis of Deep Underground CO2 Injection and Ground 

8

th 

Surface Deformations at In Salah, Algeria. annual conference on carbon capture and sequestration, 

Pittsburgh, Pennsylvania, Paper# 1319, May 4 to 7, 2009. 

Rutqvist 1., Vasco D W, Myer L., Coupled reservoir-geomechanical analysis of CO2 injection and ground 

deformations at In Salah, Algeria. Submitted to International Journal of Greenhouse Gas Control. 

• There has been enormous impact of these publications on the field. This is exemplified by the 

following. 

BP had decided that from the early work on using InSAR to trace CO2 plume movement and 

growth, that it would be one of their primary monitoring tools. Berkeley's pioneering work has 

since been independently duplicated by T. Onuma, and S. Ohkawa from Japan Petroleum 

Exploration Company and they presented their results at the GHGT-9 Conference. 

There have been numerous outside requests to use OED-SEQ published results and 

presentations have been made by other scientists including: Craig Hartline, Conoco 

Phillips; Javier Ferrandis, Shell; Andy Chadwick, British Geologic Survey; Sue Hovorka, 

Texas Bureau of Economic Geology, Ali Oncel, University of Alberta; and the lEA OHO 

program prominently references work on the CASSM source and also the InSAR results 

on their web pages. 

• LBNL has published in journals outside the field indicating broad impact of research. An example 

includes: Freifeld, B. M., 2009, The U-tube: a new paradigm in borehole fluid sampling, Scientific Drilling, 

8, doi: I 0.2204/iodp.sd.8.07.2009 

• The impact to DOE for R&D undertaken/accomplished by LBNL is enormous and exemplified by the 

following. The techniques developed in GEO-SEQ, especially U-tube sampling and CASSM have been 

directly transferred to the DOE Sequestration Regional Partnership program via participation in 

WESTCARB and SECARB. Additionally, the CASSM technique is now planned for use in DOE ER 

program at Warren AFB. 

• Examples of invited talks, citations, and making high-quality data available to the scientific 

community include the following. 

Daley, T., 2009, Borehole Seismic Monitoring for Small Scale Sequestration Pilots, Society of Exploration 

Geophysicists' Summer Research Workshop, Banff, Canada, 

August 25, 2009. 

Ajo-Franklin, J.B., Daley, T., 2009, Using Optimal Experiment Design to Improve CO, 

Sequestration Monitoring Strategies, Society of Exploration Geophysicists' Summer 

Research Workshop, Banff, Canada, August 26, 2009. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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Daley. T.M., Shanna, S., Drunic, A., Vrosevic, V., Kepic, A., 2009, Otway Project Seismic 

Monitoring: V~teon use of multi-purpose borehole seismic sensors for CO2 injection 

monitoring, 8 Annual Conference on Carbon Capture and Sequestration, May 2009. 

Daley, T., 2009, Seismic Monitoring of Carbon Sequestration, Electric Power Research 

Institute (EPRI) Workshop on Costs of CO, Transport and Storage. 

Freifeld, B, 2009, Update on Otway Project Geochemistry Results, presented at the 12th 

C02SlNK General Assembly meeting, Feb 18 -19, 2009, Potsdam, Germany 

• Examples of the development of tools and techniques that become standards or widely-used in the 

scientific community include the following. The V-tube fluid sampler, which was initially developed 

during the Frio Project to overcome limitations of other sampling techniques, has since been copied and 

used at numerous other sites. For CO2 sequestration research programs, Vtubes have been installed or plan 

to be installed as part of the PennWest experiment in Canada, at the Otway Project in Australia, the 

SECARB Cranfield Experiment and for the WESTCARB California Pilot. For non-C02 related research Vtubes have been used at the High Lake astrobiology research site in Nunuvut Territory, Canada, and also by 

a team of Swedish and Finnish research as part of the Greenland Analogue Project in Kangerlussuaq, 

Greenland. 

Objective 1.2 Provide Quality Leadership in Science and Technology 

Score: 4.3 Grade: A+ Weighting: 25 

Objective 1.2 Performance Summary Statement: 

The researchers have continued to provide high quality leadership in science and technology. Research 

results have had high and meaningful impact on the field. The following achievements are provided as 

support. 

The LBNL scientific research pursued is unique and a challenge with respect to monitoring geologic 

storage as a GHG mitigation technology. The lab is a trendsetter in the field with respect to the scientific 

approach and application of geophysics, geochemistry, and simulations; these approaches are proving to 

be critical tools to verify safe and permanent storage in the subsurface. They are in a leadership role in 

these specialized studies and their excellence is demonstrated in numerous ways described in 1.1, 

including the following. The researchers have played instrumental roles in three CSLF-endorsed 

projects: (1) Frio, Texas Brine Pilot Tests; (2) Australian Otway Basin Pilot Project; and (3) In Salah, 

Algeria Industrial-Scale C02 Storage Project. Within these projects, LBNL has led the development of 

downhole fluid and gas sampling by V-tube, downhole Continuous Active Source Seismic Monitoring 

(CASSM), VSP, microseismic monitoring, tracer injection and reservoir monitoring, satellite-based 

InSAR observations, and other geophysical techniques, and reservoir simulation capabilities 

incorporating reactive geochemistry, multicomponent gas mixtures, and geomechanical coupling. 

Advances derived from LBNL's efforts also support the DOE Regional Partnership Projects through the 

involvement of the investigators, and will likely be used in commercial-scale CO2 operations in the 

future. 

As supported above and in 1.1, LBNL has achieved the following . 

• LBNL researchers have pursued novel approaches and demonstrated innovative solutions to problems. 

Examples of pursuing novel approaches and/or demonstration of innovative solutions to problems include 

the following. LBNL's development of a 'resonant bar' technique for C02ibrine mixtures is a novel 

approach to look at frequency dependent velocity effects -this has potential to improve our understanding 

of the quantitative measurement of CO2 saturation in brine reservoirs. Very few teams in the world have a 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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resonant bar apparatus and it is believed Berkeley Lab is the first group applying this technique to looking 

at the effects of C02 on seismic wave propagation. 

-LBNL researchers have addressed high-risk/high pay off long-term research problems. 

·LBNL is recognized for doing the best work in the field. The list of publications provided above in 

just one supportive example. 

·LBNL researchers have collaborated extensively with both U.S. and international colleagues working on 

geologic storage of carbon dioxide as described above. 

· LBNL have been very effective in driving the direction and setting the priorities of the research 

community. 

·LBNL is a trendsetter in the field. An example includes the following. The InSAR approach to imaging a 

deep subsurface plume was predicted at Berkeley Laboratory through geomechanical modeling. It was not 

seriously considered as a monitoring technique even by the other members of the In Salah project team 

until Berkeley Lab presented and published the definitive results. BP now presents InSAR as a primary 

monitoring technique for their MVA program. 

-The science pursued by LBNL is unique and a challenge. An example includes the following. 

Development of the piezo-tube source (patent pending) to allow subsurface crosswell monitoring during 

injection is unique. The patent search found no similar device, worldwide. 

·LBNL' s research pursued included extensive collaborative efforts. The Frio VSP data has been used 

for collaboration with LANL. Univ. of Alberta and Schlumberger. The Otway Project U-tube 

geochemistry data is used throughout the entire Otway collaborative team 

including researchers from Australia's CSIRO, Alberta Research Council, and Simon Fraser 

University . 

•LBNL's scientific staff is highly visible in leadership positions in the scientific community. Examples 

include the following. 

-Society of Exploration Geophysicists: 

Member: Research subcommittee on CO2 storage 

Co-organizer: 2009 Summer research workshop on C0 2 Sequestration Geophysics 

-Society of Petroleum Engineers: Co-organizer: 2009 International Conference on C02 Capture, Storage 

and Utilization 

-American Geophysical Union: Co-convener: 2009 Annual Meeting Special Session on Geophysical 

Monitoring, Verification, and Accounting for Geologic Carbon Sequestration 

-Dept. Of Energy: Member: Sequestration Regional Partnership MV A Working Group 

Member: Subsurface Monitoring Risk Assessment White Paper working group 

-Guest editor (Curt Oldenburg) for a special issue in Transport in Porous Media on Geologic Carbon 

Sequestration. There are approx. 16 papers in various stages of review/revision. 

Objective 1.3 Provide and Sustain Science and Technology Outputs that Advance Program 

Objectives and Goals 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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Score: 4.3 Grade: A+ Weighting: 25 

Objective 1.3 Performance Summary Statement: This research provides and sustains science and 

technology outputs that advance program objectives and goals. This is supported by: 

• The number of publications in peer-reviewed journals (see list provided in 1.1). 

• The quantity of output from applied field and computational research through their highly 

collaborative research endeavors including the following: 

-The LBNL researchers are part of the benchmark Frio, Texas pilot study that is a CSLF endorsed project 

and has international participation and recognition. Their expertise continues to be sought after for 

participation in other key carbon dioxide geologic storage projects. 

-The LBNL researchers are part of the Australian Otway pilot geologic storage project. This is 

CSLF-endorsed project and has international participation and recognition. -The LBNL 

researchers are part of the Algerian In Salah Joint Industry commercial-scale which is also a 

CSLF-endorsed project. 

• Demonstrated progress against peer reviewed recommendations. As part of the Frio, Texas pilot team, 

the researchers collaborated extensively with their peer researchers in the design and conduct of the 

fieldwork, analyses of the field data, and publications that resulted. As part of the Australian Otway project 

and the Algerian In Salah project, they have also collaborated extensively with their peer researchers on 

these teams. 

• Research accomplishments from experimental and theoretical research have importance outputs. An. 

example includes the following. The final Frio VSP was the first know long term (5 year) VSP monitoring 

of a CO2 injection in a brine aquifer. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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Objective 1.4 Provide for Effective Delivery of Science and Technology 

Score: 4.3 Grade: A+ Weighting: 25 

Objective 1.4 Performance Summary Statement: The researchers have been very effective and efficient in 

the delivery of the science. This has been demonstrated by the following achievements. 

• Effective in meeting goals and milestones such as the FY09 FWP quarterly project milestones that are 

reported on by the program. 

• Effective in FY09 FWP reporting and providing necessary DOE documents for strategic planning. 

Effective in delivering on promises; LBNL researchers have showcased U.S. and DOE scientific expertise 

in numerous international project including Frio, Australian Otway, and Algerian In Salah. 

• Effectively transmitting results to the scientific community as supported by numerous peer· reviewed 

publications and extensive collaboration with peer researchers in carbon sequestration (see 1.1). 

• LBNL is effective in getting instruments to work as promised. An example includes the following. 

Initial calibration of the resonant bar petrophysical apparatus was completed in 2009. Also, the U·tube 

sampling system installed at the Otway Project Site started having difficulty recovering samples because of 

naturally occurring waxes coating the sample tubes. Berkeley Lab and the C02CRC worked together to first 

analyze geochemistry data on the wax composition and devised a sequence of remediation approaches to 

overcome the wax problem. The final solution included a high pressure piston pump to dislodge the initial 

wax blockage followed by monthly solvent flushes to keep the U-tube operating. They have now been 

operating over 18 months since their initial installation. 

Goa12.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operation of Research 

Facilities (Not applicable to FE) 

Goa13.0 Provide Effective and Efficient Science and Technology Program Management Goal Score: 4.3 

Goal Grade: A+ Goa13.0 Performance Summary Statement: 

LBNL provides highly effective program vision and leadership; strategic planning and development of 

initiatives; and retains a high quality scientific workforce. The researchers provide a high degree of 

effective and efficient science and technology research project/program management. This is demonstrated 

by achievements in the following. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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Highly efficient and effective joint planning with the outside scientific community is demonstrated by 

their participation in the research teams for the Frio pilot project, the Australian Otway project, and the 

Algerian In Salah project. All three projects are endorsed as Carbon Sequestration Leadership Forum 

projects and have international participation and recognition; results are being provided to the U.S. and 

international community. Other supportive examples of joint planning are provided in 1.1. 

The researchers have articulated scientific vision well with respect to their specialty of development and 

application of monitoring tools for geologic storage of carbon dioxide based on geophysics, geochemistry, 

and simulations. They are world leaders in this area as supported by their unique participation in these 

CSLF projects, as well as the invitation to participate in similar geologic storage projects. Their articulation 

of the science is supported by the numerous publications as provided in 1.1. 

Highly effective and efficient science and technology project/program planning and management have been 

provided by the researchers. This is supported by the high quality Field Work Proposal submitted, the 

quarterly and annual reporting of project status, and the leveraging/synergy with other areas of research 

including the Frio injection pilot study, the Australian Otway project, and the Algerian In Salah project. 

Further details are elaborated on in 3.1, 3.2, and 3.3 

Objective 3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and Program 

Vision 

Score: 4.3 Grade: A+ Weighting: 40 

Objective 3.1 Performance Summary Statement: 

The researchers have provided effective and efficient stewardship of scientific capabilities and program 

vision. This is supported by the following achievements. 

• Efficiency and effectiveness of joint planning with outside community. 

• Articulation of scientific vision. 

• Development of core competencies. 

Highly efficient and effective joint planning with the outside scientific community is demonstrated by 

their participation in the research teams for the Frio pilot project, the Australian Otway project, and the 

Algerian In Salah project. All three projects are endorsed as Carbon Sequestration Leadership Forum 

projects and have international participation and recognition; results are being provided to the U.S. and 

international community. For example, Berkeley Laboratory typically sends scientists to participate in 

the Australian C02CRC Symposium for planning and review ofC02CRC research activities. In 2008 

Tom Daley and Barry Freifeld made presentations, and for 2009, Yingqi Zhang, Barry Freifeld, and Tom 

Daley will be traveling to Australia to make presentations and participate in planning for the Otway 

Stage II injection test. Also, Tom Daley is on the Society of Exploration Geophysicists research 

subcommittee for CO2 sequestration, and on the organizing committee for the SEG swruner research 

workshop on CO2 geophysics, and the SPE CO2 technical meeting and the AGU special session on 

MVA. Other supportive examples of joint planning are provided in 1.1. 

 

The researchers have articulated scientific vision well with respect to their specialty of development and 

application of monitoring tools for geologic storage of carbon dioxide based on geophysics, geochemistry, 

and simulations. They are world leaders in this area as supported by their unique participation in these 

CSLF projects, as well as the invitation to participate in similar geologic storage projects. Their articulation 

of the science is supported by the numerous publications as provided in 1.1. 

Core competencies have been developed in these research areas of applying geophysics, geochemistry, 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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wellbore engineering, and simulations for monitoring geologic storage of carbon dioxide as a GHG 

mitigation technology. 

Objective 3.2 Provide Effective and Efficient Science and Technology Project Program Planning and 

Management 

Score: 4.3 Grade: A+ Weighting: 30 

Objective 3.2 Performance Summary Statement: 

Highly effective and efficient science and technology project/program planning and 

management have been provided by the researchers. This is supported by the high quality 

Field Work Proposal submitted, the quarterly and annual reporting of project status, and the 

leveraging/synergy with other areas of research including the Frio injection pilot study, the 

Australian Otway project, and the Algerian In Salah project. 

LBNL's research is effective in considering technical risks. An example follows. For the 

resonant bar apparatus, they limited the pressure range of the proposed apparatus to increase 

the likelihood of success. They also have a process where engineers from Berkeley Lab's 

Engineering Division participate in the design review and analysis of the safety of the high 

pressure system. Working with outside professional engineers increases the chances for 

identifying problems early in the design phase and planning. 

LBNL's research is effective in identifying/avoiding technical problems. An example follows. 

The U-tube sampling system installed at the Otway Project Site monitoring borehole 

encountered difficulty recovering samples because of naturally occurring waxes coating the 

sample tubes. Berkeley Lab and the C02CRC worked together to first analyze geochemistry 

data on the wax composition and devised a sequence of remediation approaches to overcome 

the wax problem. The final solution included a high pressure piston pump to dislodge the 

initial wax blockage followed by monthly solvent flushes to keep the U-tube operating. They 

have now been operating over 18 months since their initial installation. 

LBNL's research is effective in leveraging (synergy with) other areas of research. Several examples 

follow. The CASSM technique is being applied in DOE ER program and in NSF funded work in 

monitoring stress near earthquake faults (SAFOD Project, Parkfield. California), and is proposed for 

monitoring of oil shale recovery. The resonant bar technique is being developed for use in microbially 

enhanced oil recovery. The U-tube has been used as part of a NASA funded study in Canada and also for 

hydrological research in Greenland. The development of a way to perform ultra pure biological sampling 

which was used in Greenland is now going to be applied to the SECARB Cranfield experiment for looking 

at the effect of C02 on existing microbial communities in the deep subsurface. 

Objective 3.3 Provide Efficient and Effective Communications and Responsiveness to Customer Needs 

Score: 4.3 Grade: A+ Weighting: 30 

Objective 3.3 Performance Summary Statement: 

LBNL provides highly efficient and effective communications, as well as high responsiveness to the DOE 

customer. The researchers provide high quality, accurate, and timely responses to DOE and other 

stakeholder requests. Examples include timely and high quality responses to calls for annual Field Work 

Proposals and special requests for project status information . Communications channels are well-defined 

and there is good interaction between researchers and the DOE Project Manager with respect to project 
FY 2009 Performance Evaluation of The Regents of the University of California, 

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status and project planning. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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Laboratory Year-End Performance Assessment Report 

Date: 

10/02/2009 

Headquarters Program Office Fiscal Year 2009 Evaluation of Science and Technology Program 

Performance at the Lawrence Berkeley National Laboratory 

Agency: U.S. Department of Energy 

Program Office: Assistant Secretary for Fossil Energy 

FY Funding Level: (Budget Authority) $1,470,082 

Goal 1.O Provide for Efficient and Effective Mission Accomplishment 

Goal Score: 4.25 Goal Grade: A+ 

Goal l.O Performance Summary Statement: 

LBNL is performing field activities for the WESTCARB Regional Partnership reporting to DOE in 

quarterly and monthly reports. Their quarterly reports show great progress in the field as well as any 

lessons learned from field activities. They have contributed to DOE's mission for Carbon Sequestration 

with this highly visible project. Their staff members are very visible in the Carbon Sequestration 

community and are regarded as experts in the technology area. 

Objective 1.1 Science and Technology Results Provide Meaningful Impact on the Field 

Score: 4.3 Grade: A+ Weighting: 25 

Objective 1.1 Performance Summary Statement: 

LBNL submits a variety ofpublications for the WESTCARB Regional Partnership including quarterly 

and monthly reports. Their quarterly reports show great progress in the field as well as any lessons 

learned from field activities. Their publications and results from field tests have a significant impact on 

DOE's Carbon Sequestration Program as well as their regional commWlity. Public outreach efforts on 

this project have been very successful. LBNL staff is very responsive to DOE requests and keeps DOE 

management informed of any successes or issues in the field. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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Objective 1.2 Provide Quality Leadership in Science and Technology Score: 4.3 Grade: A+ Weighting: 25 

Objective 1.2 Performance Summary Statement: LBNL staff is key for coordinating field activities for 

WESTCARB. They coordinate more than 80 project partners from both public and private entities for this 

project. LBNL staff members are regarded as experts in the Carbon Sequestration Technology area. 

Objective 1.3 Provide and Sustain Science and Technology Outputs that Advance Program Objectives and 

Goals 

Score: 4.3 Grade: A+ Weighting: 25 Objective 1.3 Performance Summary Statement: Quality of the reports 

received from LBNL is excellent. LBNL is repeatedly asked to represent 

the entire WESTCARB Partnership at various Carbon Sequestration events. They have demonstrated 

progress against peer reviewed recommendations and headquarter guidance. 

Objective 1.4 Provide for Effective Delivery of Science and Technology 

Score: 4.1 Grade: A+ Weighting: 25 

Objective 1.4 Performance Summary Statement: 

LBNL has demonstrated efficiency and effectiveness in meeting their goals and milestones. They also 

demonstrate excellent leadership skills and a true understanding ofissues related to Carbon Sequestration. 

Most milestones for FY2009 were met. One missed milestone was due to technical issues in the field and 

out of the control of LBNL staff. 

Goa12.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operation of Research 

Facilities (Not applicable to FE) 

Goa13.0 Provide Effective and Efficient Science and Technology Program Management Goal Score: 4.3 

Goal Grade: A+ Goa13.0 Performance Summary Statement: 

LBNL provides strong programmatic vision and they achieve superior scientific excellence in high-risk 

research that is vital to DOE's mission. They effectively manage their injection projects through a Project 

Management Plan and coordination with the COR. They express their concerns or issues about any part of 

the project to their COR and always respond to requests in a timely manner. 

Objective 3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and 

Program Vision 

Score: 4.3 Grade: A+ Weighting: 40 

Objective 3.1 Performance Summary Statement: 

LBNL provides strong programmatic vision and they achieve superior scientific excellence in high-
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-52 

risk research that is vital to DOE's mission. They effectively manage their injection projects through a 

Project Management Plan and coordination with the COR. During field operation communication 

between LBNL and DOE occurs daily. The technical expertise of the LBNL staff is evident in their 

field reports and is vital to successful field operations. 

Objective 3.2 Provide Effective and Efficient Science and Technology Project/Program 

Planning and Management 

Score: 4.3 Grade: A+ Weighting: 30 

Objective 3.2 Performance Summary Statement: 

LBNL's research plans are detailed in several documents they submitted to their COR and they plan 

against budget fluctuations. LBNL is responsible for project coordination on the field projects and track 

budget and progress on operations. 

Objective 3.3 Provide Efficient and Effective Communications and Responsiveness to 

Customer Needs 

Score: 4.3 Grade: A+ Weighting: 30 

Objective 3.3 Performance Summary Statement: 

LBNL's conununication channels are well defined. They express their concerns about their research and 

discuss all technical matters with DOE. In addition, they keep DOE informed of all decisions regarding 

the field projects. In addition, they respond to all requests in a timely manner. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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Laboratory Year-End Performance Assessment Report 

Date: 

10/02/2009 

Headquarters Program Office Fiscal Year 2009 Evaluation of Science and Technology Program 

Performance at the Lawrence Berkeley National Laboratory Agency: U.S. Department of Energy Program 

Office: Assistant Secretary for Fossil Energy FY Funding Level: (Budget Authority) I 610248/AA 2530000 

Goal1.0 Provide for Efficient and Effective Mission Accomplishment Goal Score: 3.10 Goal Grade: B+ 

Goal l.O Performance Summary Statement: 

Objective 1.1 Science and Technology Results Provide Meaningful Impact on the Field Score: 3.3 

Grade: B+ Weighting: 25 Objective 1.1 Performance Summary Statement: 

The LBNL research team, led by Dr. Lutgard De Jonghe, is a productive part of the SolidState 

Energy Conversion Alliance's (SECA) R&D program. The results ofLBNL's Field Work Proposal (FWP) 

do impact the field ofsolid-oxide fuel cell research, which is significant considering the FWP's limited 

budget (300k). In fiscal year 2009, LBNL's FWP resulted in the filing ofone patent disclosure, the 

publishing ofone peer-reviewed journal article, and delivery ofthree presentations. Overall, LBNL's 

performance is satisfactory. 

Objective 1.2 Provide Quality Leadership in Science and Technology 

Score: 3.3 Grade: B+ Weighting: 25 

Objective 1.2 Performance Summary Statement: The personnel who manage and implement LBNL's 

FWP are thoughtful and proactive. LBNL seems well-suited to produce and research innovative 

technologies to advance the state of the art in solid-oxide fuel cell component technology. As an 

example, in fiscal year 2009 LBNL developed an innovative solution to thermal management of solidoxide fuel cells. LBNL's propensity to produce such innovations demonstrates their quality leadership 

and exhibits their value in advancing technology. 

Objective 1.3 Provide and Sustain Science and Technology Outputs that Advance Program 

Objectives and Goals 

Score: 2.9 Grade: B Weighting: 25 

Objective 1.3 Performance Summary Statement: 

LBNL has a history of producing innovative solutions to address SECA R&D needs. From intercollect 

coatings, to catalyst infiltration, to SOFC thermal management solutions -LBNL does a good job of 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-54 

providing science and technology advances that further program objectives and goals. LBNL's research 

continues to generate SECA Industry Team interest. The research team publishes their results in highquality journals and presents those results at technical conferences, SECA workshops, and DOE-organized 

Peer Reviews. 

Objective 1.4 Provide for Effective Delivery of Science and Technology 

Score: 2.9 Grade: B Weighting: 25 

Objective 1.4 Performance Summary Statement: 

LBNL is effective in communicating their results to the DOE and larger research community. Given 

their high level of output and modest budget, there is little doubt that LBNL is efficient. A minor drawback 

is that LBNL is sometimes tardy in submitting their deliverables, but never to the point where it's 

significantly problematic. 

Goa12.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operation of Research 

Facilities (Not applicable to FE) 

Goa13.0 Provide Effective and Efficient Science and Technology Program Management Goal Score: 3.11 

Goal Grade: B+ Goa13.0 Performance Summary Statement: 

Overall, the LBNL effort lead by Dr. Lutgard De Jonghe is well-managed, and accomplishes planned 

technical objectives and milestones in an effective and efficient manner. 

Objective 3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and Program Vision 

Score: 3.2 Grade: B+ Weighting: 40 Objective 3.1 Performance Summary Statement: 

LBNL coherently articulates their scientific vision, while incorporating good ideas from external 

research communities. LBNL has no problem attracting high-quality staff whom are talented and 

motivated. 

Objective 3.2 Provide Effective and Efficient Science and Technology Project Program Planning and 

Management Score: 2.9 Grade: B Weighting: 30 Objective 3.2 Performance Summary Statement: 

LBNL produces high quality R&D and they are able to effectively consider and mitigate (or avoid) 

unreasonably large technical risks. The LBNL team always accomplishes what they set out to do, so their 

work definitely follows the Office of Fossil Energy's SOFe related objectives. 

Objective 3.3 Provide Efficient and Effective Communications and Responsiveness to Customer Needs 

Score: 3.2 Grade: B+ Weighting: 30 Objective 3.3 Performance Summary Statement: 

Deliverables received from LBNL are generally accurate, timely, and of satisfactory quality. The 

project lead ensures the DOE is informed of events (both positive and negative) occurring at the lab, 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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allowing us to develop contingency plans if necessary. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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Laboratory Year-End Performance Assessment Report 

Date: 09-

21-2009 

Headquarters Program Office Fiscal Year 2009 Evaluation of Science and Technology Program 

Performance at the Lawrence Berkeley National Laboratory 

Agency: U.S. Department of Energy 

Program Office: Assistant Secretary for Fossil Energy 

FY Funding Level: (Budget Authority) $375,000 

Goal1.0 Provide for Efficient and Effective Mission Accomplishment 

Goal Score: Goal Grade: 

Goal1.0 Performance Summary Statement: 

The project team is very well qualified to perform the research work with significant expertise in hydrate 

formation/decomposition processes performed in conjunction with CT X-ray scanning / analysis of the 

process. Coupling of these high quality measurements with the simulations being performed by George 

Moridis et al. at LBNL presents a very powerful method of assessing hydrate structure. 

Note: George Moridis is listed as PI and Tim Kneafsey as co-PI. Tim actually is the principal 

researcher on this FWP. 

Objective 1.1 Science and Technology Results Provide Meaningful Impact on the Field 

Score: A Grade: 4.0 Weighting: 25 

Objective 1.1 Performance Summary Statement: 

Kneafsey and his team continue to produce cutting edge work relative to understanding the formation I 

dissociation processes of methane hydrate and have also continued to push the envelope relative to the 

testing of geomechanical properties of hydrate bearing sediment through the design, build, testing and 

initial use of innovative lab testing equipment for this purpose. This team has published quality papers in 

conference proceedings and peer-reviewed journals. Their work has also been presented at appropriate 

meetings, drawing a lot of interest in their work and helping to lead discussions in the advancement of 

hydrate experimentation. Peer review results from late FY2008 were extremely positive, prompting the 

inclusion of additional funding under this FWP in FY2009 to expand the effort to include the 

investigation of a novel phenomenon of hydrate migration in samples noticed during other FWP activity. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-57 

Tim Kneafsey has presented his team's work at many, if not all, the principal US and international 

hydrate conferences. He has been involved in the analysis of sediment cores from nearly every hydrate 

program field excursion. This group is very visible in the hydrates community and is a national and 

international leader in the field of laboratory hydrate experiments. Tim continues to push the envelope 

in developing new techniques and approaches to hydrate formation that more closely resemble natural 

samples and in the testing of the geomechanical properties of hydrate bearing sediment. 

Objective 1.3 Provide and Sustain Science and Technology Outputs that Advance Program Objectives and 

Goals 

Score: B+ Grade: 3.4 Weighting: 25 

Objective 1.3 Performance Summary Statement: 

Work under the effort consistently receives extremely positive response through independent expert and 

peer review. The work produces extremely high quality publications in well respected peer reviewed 

technical scientific journals. The performers readily incorporate new ideas into their efforts resultant from 

valuable collaborations, peer reviews or DOE guidance I request. In FY2009, due to delays caused by 

implementation of lab safety audits and associated equipment testing, not all planned activities were 

completed on schedule, but plans are well in hand for assuring work is performed as the effort moves 

forward. 

Objective 1.4 Provide for Effective Delivery of Science and Technology 

Score: B+ Grade: 3.4 Weighting: 25 

Objective 1.4 Performance Summary Statement: 

The project team is making steady progress towards stated objectives for FY09 FWP. Most Milestones 

have been met on time. In one instances there are delays caused in part by lab wide safety audits and the 

certification of a new geomechanical test cell for use in the FWP. The team is responsive in providing 

information on status and results of the work, as well as justification of delays, in a timely manner. The 

team has shown exceptional flexibility to the needs of the program by taking on critical, timely analyses 

based on newly developing needs and! or for support of other projects being conducted under the program. 

TO: Joseph Krupa 

Institutional Program Manager 

U.S. DOE Berkeley Site Office 

FROM: James J. Markowsky

Assistant Secretary 

Office of Fossil Energy 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-58 

Goa1 2.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operation of 

Research Facilities (Not applicable to FE) 

Goal 3.0 Provide Effective and Efficient Science and Technology Program Management 

Goal Score: Goal Grade: 

Goa13.0 Performance Summary Statement: 

Currently provide strong scientific stewardship, core competency and excellent research and scientific 

personnel. Strength of personnel available under this FWP was enhanced in FY2009 through additional 

project support. LBNL continues to provide leadership in the area of hydrate formation / dissociation 

studies as well as study of the geomechanical properties of hydrate bearing sediment through work in this 

FWP. They also demonstrate continued improvement in the process by which the research is carried out, 

striving to improve both the efficiency and effectiveness of the activity. 

Objective 3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and Program Vision 

Score: A+ Grade: 4.1 Weighting: 40 

Objective 3.1 Performance Summary Statement: 

Tim Kneafsey continuously leads and participates in cutting edge collaborations in the areas of hydrate 

formation / dissociation and testing of geomechanical properties of hydrate bearing sediment. Dr. 

Kneafsey's participation in these collaborations helps provide programmatic vision beyond LBNL to help 

define the needs and future steps in the area of lab studies. The LBNL lab studies group continues to be 

recognized as a leader in this field of research for the hydrate scientific community. 

Objective 3.2 Provide Effective and Efficient Science and Technology Project Program Planning and 

Management 

Score: A Grade: 4.0 Weighting: 30 

Objective 3.2 Performance Summary Statement: 

Research plans proposed under this FWP continue to develop in response to results as well as program 

and scientific community needs. Work tends to be very well planned against budget fluctuations. The 

group has, on several occasions, proactively proposed new areas of cutting edge research based on new 

hypothesis or observed phenomena which occur as a part of planned performance of tasks. LBNL 

facilities, equipment and scientific approach continue to develop and are considered state-of-the-art for 

this specific area of research. Work is proposed along those areas where the strongest programmatic 

needs exist and where available resources are considered to be sufficient to make meaningful and timely 

contribution. It should also be noted that the coupling of this team's work with the simulation work being 

performed by Moridis (under separate FWP) is extremely critical to the DOE hydrate program goals and 

objectives, and presents a very powerful method of assessing hydrate structure and behavior in support of 

other program activities. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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Objective 3.3 Provide Efficient and Effective Communications and Responsiveness to Customer Needs 

Score: A Grade: 4.0 Weighting: 30 

Objective 3.3 Performance Summary Statement: 

The project team provides periodic detailed progress reports as well as intermittent updates upon request 

that are accurate, timely and succinct. Milestones are typically met on time and when they are not, the team 

provides good documentation as to why. Dr. Kneafsey is extremely good about reporting interesting results 

(both good and bad) or issues relative to performance of planned work to the program in real time. Any 

issues are presented with mitigation strategies and revised plans of action. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-60 

Laboratory Year-End Performance Assessment Report 

Date: 

09/23/09 

Headquarters Program Office Fiscal Year 2009 Evaluation of Science and Technology Program 

Performance at the Lawrence Berkeley National Laboratory Agency: u.s. Department of Energy Program 

Office: Assistant Secretary for Fossil Energy FY Funding Level: (Budget Authority) $50K 

Goal1.0 Provide for Efficient and Effective Mission Accomplishment 

Goal Score: A+ Goal Grade: 4.1 

Goall.O Performance Summary Statement: 

Lawrence Berkeley National Laboratory (LBNL) produces high quality, original and creative results which 

are helping to advance accelerometer technology specifically for seismic imaging applications. This 

research is key to meeting industry needs with its greatest impact being on the seismic exploration and 

monitoring industry for oil and gas applications. The PI, Ernest Majer, is well respected in his field and is 

recognized by other experts as making real and valuable scientific contributions. 

Objective 1.1 Science and Technology Results Provide Meaningful Impact on the Field 

Score: A+ Grade: 4.1 Weighting: 25 

Objective 1.1 Performance Summary Statement: 

LBNL research on advance accelerometer technology is cutting edge and clearly has the. potential to 

significantly move forward the field ofresearch in which the work is being performed. The project PI 

Ernest Majer has been heavily involved is this research area and is considered a leader in the scientific 

community. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-61 

Objective 1.2 Provide Quality Leadership in Science and Technology 

Score: A+ Grade: 4.2 Weighting: 25 

Objective 1.2 Performance Summary Statement: The project PI Ernest Majer and support personnel are 

strong leaders in this field. Dr. Majer holds multiple degrees with a Ph.D. in Geophysics and has many 

years of research experience in this area and is considered a leader in the scientific community. LBNL 

persormel work extensively to foster collaborations on work in their field. 

Objective 1.3 Provide and Sustain Science and Technology Outputs that Advance Program 

Objectives and Goals 

Score: A+ Grade: 4.1 Weighting: 25 

Objective 1.3 Performance Summary Statement: The scientists performing activities under this effort have 

received high commendation from Lwnedyne, the prime recipient of the NETL agreement which LBNL 

supports. 

Objective 1.4 Provide for Effective Delivery of Science and Technology 

Score: A+ Grade: 4.3 Weighting: 25 

Objective 1.4 Performance Summary Statement: The LBNL scientists performing research under this effort 

consistently meet or exceed planned goals and milestones. The project team has completed FY09 activities 

as described in the FWP and their effort has added value to the research. The contractor continues to 

support this research and they effectively transmit research results to both DOE and the greater scientific 

community. 

Goa12.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operation of Research 

Facilities (Not applicable to FE) 

Goa13.0 Provide Effective and Efficient Science and Technology Program Management Goal Score: A+ 

Goal Grade: 4.3 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-62 

Goa13.0 Performance Summary Statement: The LBNL provides strong scientific stewardship, core 

competency and excellent research and possesses scientific personnel. Personnel recruited and retained 

within this research area are highly qualified. 

Objective 3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and Program Vision 

Score: B+ Grade: 3.4 Weighting: 40 

Objective 3.1 Performance Summary Statement: LBNL exhibits coherent programmatic vision within the 

laboratory, holds strong core competency, and retains talented and valuable scientific personnel. 

Objective 3.2 Provide Effective and Efficient Science and Technology Project Program Planning and 

Management 

Score: B+ Grade: 3.4 Weighting: 30 

Objective 3.2 Performance Summary Statement: The LBNL research plan includes expert input, is 

consistent with known budgets, and is well aligned with the DOE interests. The activity conducted by 

LBNL follows the plan and scope defined by the FWP. 

Objective 3.3 Provide Efficient and Effective Communications and Responsiveness to Customer 

Needs 

Score: A+ Grade: 4.2 Weighting: 30 

Objective 3.3 Performance Summary Statement: LBNL personnel under this funded effort are extremely 

effective at maintaining communication channels with the customer. They also are efficient at conveying 

critical information in a timely manner and in a clear and concise fashion. They are very good at keeping 

the DOE NETL project manager well informed of how project activity is progressing as well as 

producing external communications of excellent quality for distribution to the wider scientific 

community. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-63 

Laboratory Year-End Performance Assessment Report 

Date: 

9/29/2009 

Headquarters Program Office Fiscal Year 2009 Evaluation of Science and Technology Program 

Performance at the Lawrence Berkeley National Laboratory Agency: u.s. Department of Energy Program 

Office: Assistant Secretary for Fossil Energy FY Funding Level: (Budget Authority) $155,000;B&R 

AA301 OOOO;Geochemical Assessment 

FWP ESD08-029 

Goal 1.0 Provide for Efficient and Effective Mission Accomplishment 

Goal Score: 3.8 Goal Grade: A 

Goal l.O Performance Summary Statement: 

LBNL has continued to produce high-quality, original, and creative results that advance science and 

technology; demonstrated sustained scientific progress and impact; received high external recognition of 

accomplishments; and have made valuable contributions to research and development goals of the 

Department and its customers. This is supported by the following. 

LBNL's research is providing the geochemical components of a methodology for assessing saline reservoirs 

and depleted oil reservoirs for large-scale CO2injection with respect to the permanence of sequestration 

over potentially long time periods and expanded Areas of Review. This assessment will be an integral part 

of any C02 accounting for credit for the owners and operators of sequestration operations. A secondary 

objective of this research is to address the need to assess the geochemical appropriateness of proposed 

commercial scale CO2injection sites in a time frame to allow rapid permitting of these sites. Objectives are 

being achieved using combined lab experiments, field studies/sampling, and reactive transport modeling 

approach. The geochemical components of a standard operating procedure for assessing CO2storage 

performance and reservoir chemistry to determine suitability for commercial scale operations in saline 

formations and depleted oil reservoirs will be a product of this research. 

Objective 1.1 Science and Technology Results Provide Meaningful Impact on the Field 

Score: 3.8 Grade: A Weighting: 25 

Objective 1.1 Performance Summary Statement: 

LBNL's research in this geochemical assessment for CO2 storage project has produced science and 

technology results that have an impact on the field. LBNL is providing the geochemical components of a 

methodology for assessing saline reservoirs and depleted oil reservoirs for large-scale CO2 injection with 

respect to the permanence of sequestration over potentially long time periods and expanded Areas of 

Review. This assessment will be an integral part of any CO2 accounting for credit for the owners and 

operators of sequestration operations. A secondary objective of this research is to address the need to assess 

the geochemical appropriateness of proposed commercial scale C02 injection sites in a time frame to allow 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-64 

rapid permitting of these sites. Objectives are being achieved using combined lab experiments, field 

studies/sampling, and reactive transport modeling approach. The geochemical components of a standard 

operating procedure for assessing CO2 storage performance and reservoir chemistry to determine 

suitability for commercial scale operations in saline formations and depleted oil reservoirs will be a product 

of this research. 

LBL provides quality leadership in science and technology as supported in the following. 

LBL's research demonstrates willingness to pursue novel approaches and demonstrate innovative solutions 

to problems. Their use of a novel, LBNL-built Hydrothermal Atomic Force Microscope to study carbonate 

mineral dissolution and growth at elevated temperatures and pressures over a wide range of solution 

composition is very unique. 

Staff members have visible leadership roles in the scientific community. In related research, LBL was 

awarded funds by DOE to establish the Center for Nanoscale Control of Geologic C02 (one of the Energy 

Frontier Research Centers -EFRC). Dr. Knauss is co-PI of this center. 

LBL's has built collaborative efforts from this project. Dr. Knauss was asked by Prof. Per Aagaard (Univ. 

Oslo) to collaborate on a research proposal to form the Norwegian Research Centre for Environmentallyfriendly Energy. 

Objective 1.3 Provide and Sustain Science and Technology Outputs that Advance Program Objectives and 

Goals 

Score: 3.8 Grade: A Weighting: 25 

Objective 1.3 Performance Summary Statement: 

LBNL's research in this project provides and sustains science and technology output that advances program 

objectives and goals as described in 1.1 and 1.2 above. 

Objective 1.4 Provide for Effective Delivery of Science and Technology 

Score: 3.8 Grade: A Weighting: 25 

Objective 1.4 Performance Summary Statement: LBNL's research in this project provides for effective 

delivery of science and technology as supported by the following. 

LBNL is effective in meeting goals and milestones such as the FY09 FWP quarterly project milestones 

that are reported on by the program. 

LBNL is effective in FY09 FWP quarterly and annual reporting, and providing necessary DOE documents 

for strategic planning such as the annual FY FWP/proposal. This was accomplished in FY09 even with the 

TO: Joseph Krupa 

Institutional Program Manager 

U.S. DOE Berkeley Site Office 

FROM: James J. Markowsky

Assistant Secretary 

Office of Fossil Energy 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-65 

delay of funding to the project in FY09. 

LBNL is effective in transmitting results to the scientific community as described in 1.1 and 

1.2 above. 

Goa12.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operation of Research 

Facilities (Not applicable to FE) 

Goa13.0 Provide Effective and Efficient Science and Technology Program Management 

Goal Score: 3.8 Goal Grade: A 

Goa13.0 Performance Summary Statement: LBNL provides highly effective program vision and 

leadership; strategic planning and development of initiatives; and retains a high quality scientific 

workforce. The researchers provide a high degree of effective and efficient science and technology research 

project/program management. This is supported by the following. 

The researchers have articulated scientific vision well with respect to providing the geochemical 

components of a methodology for assessing saline reservoirs and depleted oil reservoirs for large-scale 

CO2 injection with respect to the permanence of sequestration over potentially long time periods and 

expanded Areas of Review. This assessment will be an integral part of any CO2 accounting for credit for 

the owners and operators of sequestration operations. Additional support is provided in 3.1 , 3.2, and 3.3. 

Objective 3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and Program Vision 

Score: 3.8 Grade: A Weighting: 40 

Objective 3.1 Performance Summary Statement: The researchers have provided effective and efficient 

stewardship of scientific capabilities and program vision. This is supported by the following achievements. 

• Efficiency and effectiveness of joint planning with outside community. 

• Articulation of scientific vision. 

• Development of core competencies. 

Highly efficient and effective joint planning with the outside scientific community is 

demonstrated. One example is their association with Prof. Per Aagaard (Univ. Oslo) to collaborate 

on a research proposal to form the Norwegian Research Centre for Environmentally-friendly 

Energy as described in 1.1. 

The researchers have articulated scientific vision well with respect to their development of geochemical 

components of a methodology for assessing saline reservoirs and depleted oil reservoirs for large-scale 

CO2injection with respect to the permanence of sequestration over potentially long time periods and 

expanded Areas of Review. This assessment will be an integral part of any CO2 accounting for credit for 

the owners and operators of sequestration operations. 

Core competencies have been developed in these research areas of applying geochemistry, reservoir 

simulations, and field studies for development of geochemical components of a methodology for 

assessing saline reservoirs and depleted oil reservoirs for large-scale C02 injection with respect to the 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-66 

permanence of sequestration over potentially long time periods. 

Objective 3.2 Provide Effective and Efficient Science and Technology Project/Program Planning and 

Management 

Score: 3.8 Grade: A Weighting: 30 

Objective 3.2 Performance Summary Statement: 

Highly effective and efficient science and technology project/program planning and 

management have been provided by the researchers. This is supported by the high quality 

Field Work Proposal submitted, the quarterly and annual reporting of project status, and the 

leveraging/synergy with other areas of research as described in 1.1. This was accomplished in 

FY09 even with the delay of funding to the project in FY09. 

Objective 3.3 Provide Efficient and Effective Communications and Responsiveness to Customer Needs 

Score: 3.8 Grade: A Weighting: 30 

Objective 3.3 Performance Summary Statement: LBNL provides highly efficient and effective 

communications, as well as high responsiveness to the DOE customer. The researchers provide high 

quality, accurate, and timely responses to DOE and other stakeholder requests. Examples include timely 

and high quality responses to calls for annual Field Work Proposals and special requests for project status 

information . Communications channels are well-defined and there is good interaction between researchers 

and the DOE Project Manager with respect to project status and project planning. 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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Laboratory Year-End Performance Assessment Report 

Date: 

9/21/09 

Headquarters Program Office Fiscal Year 2009 Evaluation of Science and Technology Program 

Performance at the Lawrence Berkeley National Laboratory 

Agency: u.s. Department of Energy 

Program Office: Assistant Secretary for Fossil Energy 

FY Funding Level: (Budget Authority) $480,000 

Goal1.0 Provide for Efficient and Effective Mission Accomplishment 

Goal Score: Goal Grade: 

Goal1.0 Performance Summary Statement: 

The contractor produces high quality. original and creative results which are helping to truly advance 

hydrate science in key areas including simulation of both hydrate production and the geomechanics of 

hydrate bearing sediments. The researcher is well respected in his field and recognized by other 

experts as making real and valuable scientific contributions. 

Objective 1.1 Science and Technology Results Provide Meaningful Impact to the Field 

Score: 4.2 Grade: A+ Weighting: 25 

Objective 1.1 Performance Summary Statement: 

Work on the hydrate reservoir simulation activities is cutting edge and clearly has the potential to 

significantly move forward the field of research in which the work is being performed. Significant 

publications are produced from this work in reputable scientific / technical journals and serve to lead the 

scientific community in discussions about anticipated behavior of gas hydrate reservoirs. The project PI 

has been invited to participate as an SPE invited lecturer and frequently receives special recognition for 

his contributions to the field of hydrate science. 

Objective 1.2 Provide Quality Leadership in Science and Technology Score: 4.2 Grade: A+ Weighting: 

25 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

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Objective 1.2 Performance Summary Statement: 

The project PI George Moridis and support personnel are strong leaders in this field. Dr. Moridis is a 

trend setters in the hydrate scientific community and is performing work which is cutting edge. He is 

considered by experts in the field to be one of the best and most highly qualified scientists in the field of 

hydrate modeling. Dr. Moridis continues to push the envelope in evaluating production potential of 

different types of hydrate reservoirs and in FY2009 initiated efforts for simulating "challenging" hydrates 

where boundary conditions of the reservoir make numerical modeling extremely difficult. This effort is the 

first time simulation of this type of conditions have ever been attempted. The LBNL personnel work 

extensively to foster collaborations on work in their field including participation in hydrate simulation code 

comparison studies and collaboration with international hydrate programs with which DOE has research 

cooperation agreements. 

Objective 1.3 Provide and Sustain Science and Technology Outputs that Advance Program 

Objectives and Goals 

Score: 4.3 Grade: A+ Weighting: 25 

Objective 1.3 Performance Summary Statement: 

Both the specific work and the scientists performing work under this effort have received high 

commendation from executed peer review of their specific work. The level and quality of publication 

from their efforts is considered excellent for the work and level of funding. The effort produces a fairly 

prolific number of scientific and technical articles I presentations through appropriate publications and 

technical conferences. Based on the extremely positive feedback from a late FY2008 independent peer 

review of national lab and interagency efforts being carried out under the DOE Methane Hydrate Program 

this FWP was given additional FY09 funding to expand the work to be carried out. 

Objective 1.4 Provide for Effective Delivery of Science and Technology 

Score: 4.3 Grade: A+ Weighting: 25 

Objective 1.4 Performance Summary Statement: 

Scientists performing under this effort consistently meet or exceed planned goals and milestones within 

their work and are both effective and efficient in both performance of work and transmitting of results to 

both DOE and the greater scientific community. 

Goal 2.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operation of Research 

Facilities (Not applicable to FE) 
FY 2009 Performance Evaluation of The Regents of the University of California, 

Ernest Orlando Lawrence Berkeley National Laboratory

B-69 

Goal 3.0 Provide Effective and Efficient Science and Technology Program Management Goal Score: Goal 

Grade: Goa13.0 Performance Summary Statement: Currently provide strong scientific stewardship. core 

competency and excellent research and 

scientific personnel recruited and retained within this work are highly qualified. 

Objective 3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and Program Vision 

Score: 3.9 Grade: A Weighting: 40 Objective 3.1 Performance Summary Statement: Coherent 

programmatic vision within the laboratory. Strong core competency and currently 

retain talented and valuable scientific talent as it relates to this particular FWP. 

Objective 3.2 Provide Effective and Efficient Science and Technology Project Program Planning and 

Management Score: 3.4 Grade: B+ Weighting: 30 Objective 3.2 Performance Summary Statement: 

Research plans include broad based expert input and plans are consistent with budgets 

available and are well aligned with DOE interests. The work produced follows the plan. 

Objective 3.3 Provide Efficient and Effective Communications and Responsiveness to Customer Needs 

Score: 4.0 Grade: A Weighting: 30 Objective 3.3 Performance Summary Statement: 

The personnel under this funded effort are extremely effective at maintaining communication channels 

with the customer and critical information both good and bad are conveyed in timely manner and in a 

clear and concise fashion. They are very good at keeping the DOE -NETL project manager well aware of 

how things are progressing within the effort as well as producing external communications of excellent 

quality for distribution to the wider scientific community.