U.S. Department Of Energy

Office of Science

Fiscal Year 2009

Performance Evaluation of

Brookhaven Science Associates

for the

Management and Operations of the

Brookhaven National Laboratory

December 15, 2009
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

ii

Table of Contents

I. OVERALL SUMMARY RATING/FEE 1

1.0 PROVIDE FOR EFFICIENT AND EFFECTIVE MISSION ACCOMPLISHMENT

1.1 SCIENCE AND TECHNOLOGY RESULTS PROVIDE MEANINGFUL IMPACT ON 

THE FIELD

4

4

1.2 PROVIDE QUALITY LEADERSHIP IN SCIENCE AND TECHNOLOGY

1.3 PROVIDE AND SUSTAIN OUTPUTS THAT ADVANCE PROGRAM OBJECTIVES &

GOALS

4

4

1.4 PROVIDE FOR EFFECTIVE DELIVERY OF PRODUCTS 4

2.0 PROVIDE FOR EFFICIENT AND EFFECTIVE DESIGN, FABRICATION,

CONSTRUCTION AND OPERATIONS OF RESEARCH FACILITIES

9

2.1 PROVIDE EFFECTIVE FACILITY DESIGN(S) AS REQUIRED TO SUPPORT 

LABORATORY PROGRAMS (I.E., ACTIVITIES LEADING UP TO CD-2)

9

2.2 PROVIDE FOR THE EFFECTIVE AND EFFICIENT CONSTRUCTION OF 

FACILITIES AND/OR FABRICATION OF COMPONENTS (EXECUTION PHASE,

POST CD-2 TO CD-4)

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

3.0 PROVIDE EFFECTIVE AND EFFICIENT SCIENCE AND TECHNOLOGY PROGRAM 

MANAGEMENT

9

12

3.1 PROVIDE EFFECTIVE AND EFFICIENT STEWARDSHIP OF SCIENTIFIC 

CAPABILITIES AND PROGRAM VISION

3.2 PROVIDE EFFECTIVE AND EFFICIENT SCIENCE AND TECHNOLOGY 

PROJECT/PROGRAM PLANNING AND MANAGEMENT

12

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

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

16

16

4.2 PROVIDE FOR RESPONSIVE AND ACCOUNTABLE LEADERSHIP THROUGHOUT

THE ORGANIZATION

4.3 PROVIDE EFFICIENT AND EFFECTIVE CORPORATE OFFICE SUPPORT AS 

APPROPRIATE

16

16

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

17

17

5.2 PROVIDE EFFICIENT AND EFFECTIVE IMPLEMENTATION OF INTEGRATED 

SAFETY, HEALTH AND ENVIRONMENT MANAGEMENT

5.3 PROVIDE EFFICIENT AND EFFECTIVE WASTE MANAGEMENT,

MINIMIZATION, AND POLLUTION PREVENTION

17

18

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)

20

20

6.2 PROVIDE AN EFFICIENT, EFFECTIVE, AND RESPONSIVE ACQUISITION 

MANAGEMENT SYSTEM

6.3 PROVIDE AN EFFICIENT, EFFECTIVE, AND RESPONSIVE PROPERTY 

MANAGEMENT SYSTEM
FY 2009 Performance Evaluation Report

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6.4 PROVIDE AN EFFICIENT, EFFECTIVE, AND RESPONSIVE HUMAN RESOURCES 

MANAGEMENT SYSTEM AND DIVERSITY PROGRAM

21

22

6.5 PROVIDE EFFICIENT, EFFECTIVE, AND RESPONSIVE MANAGEMENT 

SYSTEMS FOR INTERNAL AUDIT AND OVERSIGHT; QUALITY; INFORMATION 

MANAGEMENT; AND OTHER ADMINISTRATIVE SUPPORT SERVICES AS 

APPROPRIATE

6.6 DEMONSTRATE EFFECTIVE TRANSFER OF TECHNOLOGY AND 

COMMERCIALIZATION OF INTELLECTUAL ASSETS

7.0 SUSTAIN EXCELLENCE IN OPERATING, MAINTAINING, AND RENEWING THE 

FACILITY AND INFRASTRUCTURE PORTFOLIO TO MEET LABORATORY NEEDS

22

22

24

7.1 MANAGE FACILITIES AND INFRASTRUCTURE IN AN EFFICIENT AND 

EFFECTIVE MANNER THAT OPTIMIZES USAGE, MINIMIZES LIFE CYCLE 

COSTS, AND ENSURES SITE CAPABILITY TO MEET MISSION NEEDS

7.2 PROVIDE PLANNING FOR AND ACQUIRE THE FACILITIES AND 

INFRASTRUCTURE REQUIRED TO SUPPORT THE CONTINUATION AND 

GROWTH OF LABORATORY MISSIONS AND PROGRAMS

24

24

8.0 SUSTAIN AND ENHANCE THE EFFECTIVENESS OF INTEGRATED SAFEGUARDS AND 

SECURITY MANAGEMENT (ISSM) AND EMERGENCY MANAGEMENT SYSTEMS

26

8.1 PROVIDE AN EFFICIENT AND EFFECTIVE EMERGENCY MANAGEMENT 

SYSTEM

8.2 PROVIDE AN EFFICIENT AND EFFECTIVE SYSTEM FOR CYBER-SECURITY

26

26

8.3 PROVIDE AN EFFICIENT AND EFFECTIVE SYSTEM FOR THE PROTECTION OF 

SPECIAL NUCLEAR MATERIALS, CLASSIFIED MATTER, AND PROPERTY

26

8.4 PROVIDE AN EFFICIENT AND EFFECTIVE SYSTEM FOR THE PROTECTION OF 

CLASSIFIED AND SENSITIVE INFORMATION 

27

APPENDIX 1 28
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

1

I. OVERALL SUMMARY RATING/FEE

Performance-Based Score and Adjectival Rating:

The basis for the evaluation of Brookhaven Science Associates (the Contractor) management and 

operations of the Brookhaven National Laboratory (the Laboratory) during FY 2009 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 Report

Of Brookhaven National Laboratory

2

Table A. FY 2009 Contractor Letter Grade Scale

Based on the evaluation of Brookhaven Science Associates performance against the Goals and 

Objectives contained within the FY 2009 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. 

S&T Performance Goal Numerical 

Score

Letter 

Grade Weight Weighted Score

Total 

Score

1.0 Mission Accomplishment 3.5 A- 35% 1.25

2.0 Design, Fabrication, Construction 

and Operations of Facilities 3.4 B+ 42% 1.40

3.0 Science and Technology Research 

Project/Program Management 3.5 A- 23% 0.80

Total Score 3.4

M&O Performance Goal Numerical 

Score

Letter 

Grade Weight Weighted Score

Total 

Score

4.0 Leadership and Stewardship of the 

Laboratory 3.5 A- 25% 0.88

5.0 Integrated Safety, Health, and 

Environmental Protection 3.2 B+ 20% 0.64

6.0 Business Systems 3.5 A- 20% 0.70

7.0 Operating, Maintaining, and 

Renewing Facility and Infrastructure 

Portfolio

3.5 A- 15% 0.53

8.0 Integrated Safeguards and Security 

Management and Emergency 

Management Systems

3.5 A- 20% 0.70

Total Score 3.4

Table B. FY 2009 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 FY 2009 as calculated 

within Table D. Based on the overall performance within the S&T and M&O Goals the Contractor is 

awarded $6,734,000 in performance based fee for FY 2009.

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
FY 2009 Performance Evaluation Report

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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. 91%

M&O Fee Multiplier from Table C. X 100%

Overall Earned Performance-Based Fee 91%

Table D. – Final Percentage of Performance-Based 

Fee Earned Determination 

Earned Fee Calculation

Available Fee $7,400,000

Overall Earned Performance -Base Fee (Table D) X 91%

Earned Fee $6,734,000

Table E. – Earned Fee Calculation
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

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II. PERFORMANCE GOALS, OBJECTIVES, AND MEASURES/TARGETS

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%.

The Provide for Efficient and Effective Mission Accomplishment Goal measured the overall 

effectiveness and performance of the Contractor in delivering science and technology results 

which contributed to and enhanced the DOE’s mission of protecting our national and economic 

security by providing world-class scientific research capacity and advancing scientific knowledge 

by supporting world-class, peer-reviewed scientific results, which were recognized by others.

Objectives:

1.1 Science and Technology Results Provide Meaningful Impact on the Field

1.2 Provide Quality Leadership in Science and Technology

1.3 Provide and sustain Outputs that Advance Program Objectives & Goals

1.4 Provide for Effective Delivery of Products

SC’s assessments of the Goal and related Objectives are summarized below. See Appendix 1 for 

the Program Offices’ detailed evaluations.

Advanced Scientific Computing Research (ASCR)

BNL continues to have very narrow participation in the ASCR program. BNL participates in only 

two SciDAC projects and one of those is completed in FY 2009. However, BNL added two new 

networking projects that received strong reviews. 

Basic Energy Sciences (BES)

The BES supported materials sciences programs at BNL continued to demonstrate scientific 

excellence and productivity in key core competencies in materials science. The programs have 

demonstrated world leadership and sustained impact in superconductivity, photoemission 

spectroscopy, x-ray scattering, synthesis, and electron microscopy. The BES supported chemical 

sciences, geosciences, and biosciences programs are generally quite strong and continued to make 

excellent progress. 

The Thermal, Photo-, and Radiation-Induced Chemistry program was site reviewed; 

reviewers were very positive and pointed out the impact of new, early-career researchers in 

the program and the leadership that they are providing. This program integrates research in 

solar photoconversion with novel techniques using ionizing radiation. 

The Physical Biosciences program was site reviewed; reviewers were quite positive and noted 

the substantial impact of research conducted by John Shanklin. 

BNL’s success in the highly competitive Energy Frontier Research Center (EFRC) funding 

opportunity and the Single-Investigator and Small-Group (SISGR) solicitation demonstrates 

scientific leadership and presents an outstanding opportunity to significantly enhance grandchallenge and use-inspired basic energy research in the laboratory.
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

5

Biological and Environmental Research (BER)

BNL plays a lead role in BER's Atmospheric Radiation Measurement and Atmospheric Research 

Programs, and its scientists are internationally recognized.

BNL's radiochemistry and instrumentation research program scientists are world leaders, and their 

scientific contributions continue to make seminal advances in the field. This program is currently 

undergoing a difficult transition to focus on DOE relevant energy and environmental needs.

BNL's protein crystallography program has a high impact on its field, serving a large number of 

prominent biological scientists, especially in the Northeastern U.S.

BNL has a relatively small, high quality BER research portfolio spread across several program 

elements. BNL scientists in these programs are recognized nationally and internationally and 

conduct high impact research in climate, radiochemistry and instrumentation, and structural 

biology. The scientific results have a high impact in their respective fields and are regularly 

recognized for their high quality. Research results are completed in a timely manner.

High Energy Physics (HEP)

The BNL HEP program has some strong efforts in proton-accelerator physics, accelerator R&D, 

and theory. 

They have been very effective at leveraging their detector R&D funding from HEP with their 

Instrumentation Division to deliver outstanding work in electronics, silicon detectors, and liquid 

argon detectors.

Nuclear Physics (NP)

The BNL nuclear physics group performs at a high level in all areas in mission accomplishment:

Impact of the RHIC in the area of research into hot, dense nuclear matter is deemed 

outstanding, as demonstrated by an impressive number of scientific measurements 

and refereed publications..

Significant contributions have been made to the STAR and PHENIX experiments 

that included continuing leadership responsibilities in maintaining detector and 

technical infrastructure and detector upgrades (e.g. Time-of-Flight and the Hadron 

Blind Detector). 

DOE and RHIC goals and milestones are largely met on time and within prevailing 

budgets

The Nuclear Theory Group has determined spin-dependent parton distribution 

functions at next-to-leading order. They have predicted a novel “quarkyonic” phase 

at high baryon density. 

The LQCD Group has calculated the QCD equation of state with almost realistic 

quark masses, and proposed a new approach to identify evidence of a first-order 

phase transition in a canonical framework.

The isotope program staff are conducting important research in the development of 

new isotope production and processing techniques.

Workforce Development for Teachers and Scientists (WDTS)
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

6

The Brookhaven National Laboratory's Office of Educational Programs is best in class 

managing the WDTS programs. Their strength lies in the fact that the staff is singularly 

committed to ensuring that all WTDS participants have a quality laboratory research 

experience. 

The education office offers a full continuum of science education opportunities and fully 

leverages many program elements from a number of different funding sources to provide an 

outstanding research experience. 

Brookhaven has established an excellent peer to peer support environment where participants 

(undergraduate, graduate and educators alike) work as partners to help facilitate the learning 

of technical and scientific content as well as collaborate on the production of program 

deliverables i.e. abstracts, full length research papers, posters, teaching material and etc. All 

participants are fully integrated into the BNL laboratory culture and become part of the BNL 

"family" where success is collaboration and thinking inquisitively.

Science Program Office Letter Numerical Objective Weighted Overall

Grade Score Weight Score Score

Office of Advanced Scientific Computing 

Research

1.1 Impact B+ 3.4 40% 1.36

1.2 Leadership B+ 3.1 30% 0.93

1.3 Output B+ 3.4 15% 0.51

1.4 Delivery B+ 3.3 15% 0.50

Total 3.30

Office of Basic Energy Sciences

1.1 Impact A- 3.6 50% 1.80

1.2 Leadership A- 3.5 20% 0.70

1.3 Output B+ 3.4 15% 0.51

1.4 Delivery B+ 3.4 15% 0.51

Total 3.52

Office of Biological and Environmental 

Research

1.1 Impact B+ 3.3 30% 0.99

1.2 Leadership B+ 3.3 20% 0.66

1.3 Output B+ 3.3 20% 0.66

1.4 Delivery B+ 3.3 30% 0.99

Total 3.30

Office of High Energy Physics

1.1 Impact A- 3.6 30% 1.08

1.2 Leadership A- 3.6 30% 1.08

1.3 Output B+ 3.3 20% 0.66

1.4 Delivery B+ 3.3 20% 0.66

Total 3.48

Office of Nuclear Physics

1.1 Impact A 3.8 35% 1.33

1.2 Leadership A 3.8 25% 0.95

1.3 Output A- 3.6 25% 0.90

1.4 Delivery B+ 3.4 15% 0.51

Total 3.69

Office of Workforce Development

1.1 Impact A- 3.6 25% 0.90
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Of Brookhaven National Laboratory

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1.2 Leadership A 3.8 30% 1.14

1.3 Output A 3.8 30% 1.14

1.4 Delivery A 3.8 15% 0.57

Total 3.75

Table 1.1 – 1.0 SC Program Office Performance Goal Score Development

Science Program Office Letter Numerical Weighted Overall

Grade Score Weight Score Score

Office of Advanced Scientific Computing 

Research B+ 3.30 0.4% 0.01

Office of Basic Energy Sciences A- 3.52 49.8% 1.75

Office of Biological and Environmental 

Research B+ 3.30 5.0% 0.17

Office of High Energy Physics A- 3.48 9.9% 0.34

Office of Nuclear Physics A- 3.69 34.7% 1.28

Office of Workforce Development A 3.75 0.3% 0.01

Performance Goal 1 Total 3.56

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 3.8 25% 0.95

1.2 Leadership A 3.8 25% 0.95

1.3 Output A 3.9 25% 0.98

1.4 Delivery A 3.9 25% 0.98

Total 3.85

National Nuclear Security Administration

1.1 Impact B+ 3.1 15% 0.47

1.2 Leadership B+ 3.1 15% 0.47

1.3 Output B+ 3.2 35% 1.12

1.4 Delivery B+ 3.2 35% 1.12

Total 3.17

Department of Homeland Security

1.1 Impact A+ 4.1 55% 2.26

1.2 Leadership A+ 4.2 15% 0.63

1.3 Output A 3.9 15% 0.59

1.4 Delivery A 4.0 15% 0.60

Total 4.07

Table 1.3 - Other Program Office Performance Goal Score Development

HQ Program Office Letter Numerical Weighted Overall

Grade Score Weight Score Score

Office of Science A- 3.56 90.4% 3.22

Energy Efficiency and Renewable Energy A 3.85 1.4% 0.05

National Nuclear Security Administration B+ 3.17 7.7% 0.24

Fossil Energy F 0.00 0.0% 0.00

Department of Homeland Security A+ 4.07 0.5% 0.02

Performance Goal 1.0 Total 3.54

Table 1.4 – Overall Performance Goal Score Development
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

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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 Report

Of Brookhaven National Laboratory

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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 research facilities; and are responsive to the user 

community.

The weight of this Goal is 42%.

The Provide for Efficient and Effective Design, Fabrication, Construction and Operations of 

Research Facilities Goal shall measure the overall effectiveness and performance of the 

Contractor in planning for and delivering leading-edge specialty research and/or user facilities to 

ensure the required capabilities are present to meet today’s and tomorrow’s complex challenges. 

It also measures the Contractor’s innovative operational and programmatic means for 

implementation of systems that ensures the availability, reliability, and efficiency of these 

facilities; and the appropriate balance between R&D and user support.

Objectives:

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

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

Components

2.3 Provide Efficient and Effective Operation of Facilities

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

Community

SC’s assessments of the Goal and related Objectives are summarized below. See Appendix 1 for 

the Program Offices’ detailed evaluations.

Basic Energy Sciences (BES)

BNL made significant progress on the NSLS-II Project, while the NSLS continued to be a key 

facility for BNL researchers and the Center for Functional Nanomaterials -- in its first full year of 

full operations -- indicated effective and efficient operations and significant involvement in 

outreach and other aspects of user facility activity 

The NSLS-II Project was very successful in responding to changing funding guidance. 

The project received advanced funding of $150M from the American Recovery and 

Reinvestment Act of 2009, and required re-planning in reduction in project risk issues. 

NSLS-II Project safety performance was good; however, a significant accident occurred 

on the last day of FY 2009. The impact of that accident is yet to be evaluated. 

Biological and Environmental Research (BER)

The protein crystallography program at the NSLS serves a large community of users, making use 

of a novel and efficient sample mail-in program that provides an especially noteworthy way to 

maximize use of the NSLS. 

The protein crystallography program at the NSLS has attracted an outstanding external user 

community. However, this outstanding program has had only modest effect on the biological 

research base at the laboratory.

High Energy Physics (HEP)
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Of Brookhaven National Laboratory

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The lab is taking on major parts of the Accelerator Project for the Upgrade of the LHC and the 

Daya Bay Reactor Neutrino Experiment, which are the responsibility of other labs. They are 

providing much needed technical expertise for carrying out these projects. 

Nuclear Physics (NP)

The BNL nuclear physics group generally performs at a high level in all areas of design, 

fabrication, and operation of research facilities: 

Delivery of RHIC proton ion beams to experiments did not meet expectations. 

CA-D staff continues to improve beams for the future heavy ion and spin research 

programs. 

Research and development of stochastic cooling and electron lenses should lead to a cost 

effective luminosity upgrade.

Science Program Office Letter Numerical Objective Weighted Overall

Grade Score Weight Score Score

Office of Basic Energy Sciences

2.1 Effective Facility Designs A- 3.5 20% 0.70

2.2 Construction/Fabrication A- 3.6 30% 1.08

2.3 Operation of Facilities B+ 3.3 40% 1.32

2.4 Support Research Base B+ 3.3 10% 0.33

Total 3.43

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 B+ 3.1 90% 2.79

2.4 Support Research Base B 2.9 10% 0.29

Total 3.08

Office of High Energy Physics

2.1 Effective Facility Designs B+ 3.4 40% 1.36

2.2 Construction/Fabrication B+ 3.2 60% 1.92

2.3 Operation of Facilities 0% 0.00

2.4 Support Research Base 0% 0.00

Total 3.28

Office of Nuclear Physics

2.1 Effective Facility Designs 0% 0.00

2.2 Construction/Fabrication 0% 0.00

2.3 Operation of Facilities B+ 3.2 85% 2.72

2.4 Support Research Base A- 3.5 15% 0.53

Total 3.25

Table 2.1 – 2.0 SC Program Office Performance Goal Score Development

Science Program Office Letter Numerical Weighted Overall

Grade Score Weight Score Score

Office of Basic Energy Sciences B+ 3.43 63.8% 2.19

Office of Biological and Environmental 

Research B+ 3.08 1.9% 0.06

Office of High Energy Physics B+ 3.28 7.6% 0.25
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

11

Office of Nuclear Physics B+ 3.25 26.7% 0.87

Performance Goal 2 Total 3.36

Table 2.2 – SC Program Office Overall Performance Goal Score Development

HQ Program Office Letter Numerical Weighted Overall

Grade Score Weight Score Score

Office of Science B+ 3.36 100.0% 3.36

Performance Goal 2 Total 3.36

Table 2.3 – Overall Performance Goal Score Development

Table 2.4 – 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 Report

Of Brookhaven National Laboratory

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3.0 Provide Effective and Efficient Science and Technology 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 23%.

The Provide Effective and Efficient Science and Technology Program Management Goal shall 

measure the Contractor’s overall management in executing S&T programs. Dimensions of 

program management covered include: 1) providing key competencies to support research 

programs to include key staffing requirements; 2) providing quality research plans that take into 

account technical risks, identify actions to mitigate risks; and 3) maintaining effective 

communications with customers to include providing quality responses to customer needs.

Objectives:

3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and Program 

Vision

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

Management

3.3 Provide Efficient and Effective Communications and Responsiveness to Customer Needs

SC’s assessments of the Goal and related Objectives are summarized below. See Appendix 1 for 

the Program Offices’ detailed evaluations.

Advanced Scientific Computing Research (ASCR)

BNL has slipped back a bit in FY 2009. ASCR attempts to pull BNL into cross-lab efforts 

planning for the future took some effort to get BNL to respond. However, research reports have 

been on time and useful and BNL reviewed well in the SciDAC mid-term reviews.

BNL does not have a compelling vision for research of interest to ASCR. However, progress was 

seen in networking research.

Progress reports and FWPs are delivered in a timely fashion and are generally complete and 

accurate.

Basic Energy Sciences (BES)

BNL has effectively used core strengths to respond to BES solicitations and delivered high quality 

scientific programs that fulfill the DOE mission needs. 

Merit reviews of the Thermal, Photo-, and Radiation-Induced Chemistry and Biosciences 

programs noted important contributions to BES-supported programs.

BNL has a clear vision for their materials sciences program, emphasizing materials for 

energy, superconductivity and nanoscience. Synthesis science is a major component of 

their research program. 
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

13

Biological and Environmental Research (BER)

BNL exhibited inconsistent and mixed vision, planning and communication across the BER 

portfolio. In some areas they have made excellent progress and in others significant attention is 

needed. A significant concern is the lack of high level vision for the role of BER in NSLS-II.

High Energy Physics (HEP)

BNL is playing important roles at the Energy and Intensity Frontiers, and in supporting technology 

R&D, that make good use of their expertise and unique capabilities, however the lab's detailed 

programmatic plans often seem to be ill-matched to actual resources.

Nuclear Physics (NP)

The Associate Laboratory Director has established an Electron Ion Collider (EIC) 

scientific taskforce. 

The C-AD has developed a world-class competency in a broad portfolio of accelerator 

R&D. 

Staffing levels at the C-AD has decreased in 2009 by ~ 20 FTE’s with a movement of 

staff to the National Synchrotron Light Source II (NSLS II) project. 

BNL management taking steps to strengthen its management of upgrade projects and to 

document a methodology for tracking current and future RHIC projects. 

The Heavy Flavor Tracker (HFT) project did pass a DOE CD0 scientific review. 

Feasibility of the HFT proposal’s broad scientific goals was not demonstrated. These 

weaknesses need to be addressed by BNL management. Future proposals submitted by 

BNL to DOE must be vetted rigorously. 

The laboratory internally restructured the isotope program in response to the transfer of 

the DOE Isotope Program to NP. 

The laboratory proposed two accelerator improvement projects that were selected for 

support with ARRA funds.

Workforce Development for Teachers and Scientists (WDTS)

BNL's Educational Office Program is a highly motivated extremely well managed team 

that works continually to integrate science education and workforce development into the 

research mission of the laboratory. Their effectiveness comes from the example set by 

and extensive management skill of the program director. The team members support one 

another at every opportunity and operate with a single focus of providing the quality 

laboratory experience for individuals that will get the maximum benefit. 

BNL has advanced the education culture within the laboratory by supplying a well 

prepared, diverse, dedicated pool of undergraduate interns and educators. Research 

interns are expected and supported in their effort to complete high quality deliverables in 

a peer to peer supportive environment. 

The education office is recognized across the laboratory as a resource for providing 

talented, well prepared interns fully capable of contributing to research. 

BNL leverages resources from different sciences agencies to maximize the laboratories 

opportunities to provide research experience. Funding from NSF and DHS are used to put interns 

and educators in research collaborations where their talents complement one another, leverage 

knowledge and build durable relationships.
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

14

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+ 3.1 30% 0.93

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

3.3 Communications and Responsiveness B+ 3.1 30% 0.93

Total 3.10

Office of Basic Energy Sciences

3.1 Effective/Efficient Stewardship B+ 3.4 40% 1.36

3.2 Project/Program Planning & Management A- 3.7 30% 1.11

3.3 Communications and Responsiveness A- 3.7 30% 1.11

Total 3.58

Office of Biological and Environmental 

Research

3.1 Effective/Efficient Stewardship B 2.9 20% 0.58

3.2 Project/Program Planning & Management B 2.9 30% 0.87

3.3 Communications and Responsiveness B 2.9 50% 1.45

Total 2.90

Office of High Energy Physics

3.1 Effective/Efficient Stewardship B+ 3.4 40% 1.36

3.2 Project/Program Planning & Management B 2.9 40% 1.16

3.3 Communications and Responsiveness B+ 3.2 20% 0.64

Total 3.16

Office of Nuclear Physics

3.1 Effective/Efficient Stewardship A- 3.7 40% 1.48

3.2 Project/Program Planning & Management B+ 3.4 40% 1.36

3.3 Communications and Responsiveness B+ 3.3 20% 0.66

Total 3.50

Office of Workforce Development

3.1 Effective/Efficient Stewardship A 3.8 20% 0.76

3.2 Project/Program Planning & Management A 3.8 40% 1.52

3.3 Communications and Responsiveness A- 3.7 40% 1.48

Total 3.76

Table 3.1 – 3.0 SC Program Office Performance Goal Score Development

Science Program Office Letter Numerical Weighted Overall

Grade Score Weight Score Score

Office of Advanced Scientific Computing 

Research B+ 3.10 0.1% 0.00

Office of Basic Energy Sciences A- 3.58 53.7% 1.92

Office of Biological and Environmental 

Research B 2.90 4.1% 0.12

Office of High Energy Physics B+ 3.16 13.7% 0.43

Office of Nuclear Physics A- 3.50 28.1% 0.98

Office of Workforce Development A 3.76 0.2% 0.01

Performance Goal 3 Total 3.47

Table 3.2 – SC Program Office Overall Performance Goal Score Development
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

15

HQ Program Office Letter Numerical Objective Weighted Overall

Grade Score Weight Score Score

Energy Efficiency and Renewable Energy

3.1 Effective/Efficient Stewardship A 3.9 34% 1.33

3.2 Project/Program Planning & 

Management A 3.9 33% 1.29

3.3 Communications and Responsiveness A 4.0 33% 1.32

Total 3.93

National Nuclear Security Administration

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+ 3.2 40% 1.28

Total 3.20

Department of Homeland Security

3.1 Effective/Efficient Stewardship A+ 4.1 30% 1.23

3.2 Project/Program Planning & 

Management A 4.0 20% 0.80

3.3 Communications and Responsiveness A+ 4.2 50% 2.10

Total 4.13

Table 3.3 – 3.0 Other Program Office & Customer Performance Goal Score Development

HQ Program Office Letter Numerical Weighted Overall

Grade Score Weight Score Score

Office of Science A- 3.47 85.6% 2.97

Energy Efficiency and Renewable Energy A 3.93 2.2% 0.09

National Nuclear Security Administration B+ 3.20 11.8% 0.38

Department of Homeland Security A+ 4.13 0.4% 0.02

Performance Goal 3.0 Total 3.45

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 Report

Of Brookhaven National Laboratory

16

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.

SC’s assessment of the Goal is noted in the respective Objectives.

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

Vision and Plan –While BSA’s overall performance meets SC expectations, pockets of the 

Laboratory, particularly biology, energy, and medical areas, are not well aligned with SC’s 

programmatic vision and focus. SC recognizes, as has the Laboratory’s leadership, that BSA 

efforts to integrate BNL programs in these areas with the rest of the Laboratory are not fully 

mature. BSA’s continued focus on more consistent implementation of the Laboratory’s 

Business Planning process across organizations can help improve this alignment. BSA 

leadership can also focus on improving the effectiveness of communication with SC regarding 

the distinguishing characteristics and world-leading strengths of BNL’s major facilities.

Blueprint Project – BSA initiated an aggressive improvement project to better implement the 

Lab Plan, position BNL for future energy initiatives and a greater impact in 

climate/environmental science and applied technology. 

Strategic Partnerships – In addition to strong partnerships with New York State (NYPA, 

LIPA, Empire State Development Corp.), BSA is advancing its core scientific capabilities by 

establishing Centers and Consortiums with Universities and private industry: Advanced 

Energy Research & Technology; Bio-Imaging; Photon Sciences; Smart-Grid; Utility Scale 

Renewables; and Computational Sciences. Partners include IBM, BP Solar, Stony Brook, 

Cold Spring Harbor Laboratory, Columbia and MIT.

4.2 Provide for Responsive and Accountable Leadership throughout the Organization

Relationship – The Laboratory Leadership team has established relationships/collaborations 

in NYS and the region leading to initiatives such as NY Smart Grid. The Laboratory Director 

and the Deputy Director for Science and Technology have taken leadership roles in the 

National Laboratory Directors’ Council that has helped drive improved communication across 

Laboratory contractors. Significant contributions include leading Nanomaterial safety efforts 

and the support of DOE’s reform initiatives. 

Mission Readiness – BSA Leadership has demonstrated very proactive stewardship of DOE 

assets through strong engagement in the Mission Readiness initiative and the prioritization of 

infrastructure investments. The BNL Mission Readiness peer review was highly successful.

ARRA Scope & Funding – BSA successfully managed $260M in ARRA funding, equivalent 

to a 50% increase in Laboratory budget. Major accomplishments include scientific facility 
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

17

upgrades, acceleration of NSLS II, ISB, and EM projects, and significant investments in 

critical infrastructure upgrades under the GPP program.

Energy Frontier Research Centers – BNL was awarded the EFRC in superconductivity and 

is contributing to two other EFRCs led by Stony Brook University, Columbia, and MIT.

Project Management – Strong Laboratory leadership is evident in the management of line, 

SLI, IGPP/GPP, and MIE projects such as NSLS II, ISB-l, RSL-I and II, RHIC/STAR HFT, 

and LHC APUL. Partnering of IGPP and NSLS II to upgrade the Chilled Water capacity is 

notable. Project management attention for EM scope has improved, supported by significant 

management changes. Improvements resulted in the successful shipment of the High Flux 

Beam Reactor (HFBR) Control Rod Blades and Beam Plugs thus reducing the HFBR’s and 

the site’s source term. 

Leadership Positions – BSA has filled several important leadership positions including the 

Life Sciences ALD, NSLS Chair, Global & Regional Solutions ALD, Environmental 

Restoration Director, Counsel, and Human Resources.

Communications – BSA exceeded expectations in the management of stakeholder relations, 

strategic partnerships, VIP visits and special events. Activities promoted awareness and 

appreciation of DOE science mission and BNL accomplishments.

Energy Management – Laboratory management’s planning efforts to site a utility-scale solar 

array at BNL and the investment in and siting of an alternative fuel station are commendable. 

BSA’s progress against overall DOE Energy Management goals was mixed and requires a 

greater focus from senior management in FY 2010.

Contractor Assurance Systems – BSA has continued their emphasis on improving 

Contractor Assurance processes by strengthening the self-assessment and feedback elements 

in their institutional and business planning. Business plans are being used more effectively to 

hold managers accountable for performance. Contractor Assurance Systems are still maturing 

and need to be enhanced to be fully in line with SC expectations.

Injury Rates – BSA failed to meet SC DART/TRC goals. Management has placed attention 

in this area through the Human Performance Initiative, work observations, and enhancements 

in event/issues management. However, continued senior leadership emphasis is required to 

ensure full implementation resulting in injury reduction. 

Litigation Costs - BSA incurred an inordinate amount of litigation and claims costs in 2009. 

More prudent management of contracts and project activities, such as non-acceptance of 

faulty equipment and better contract administration and management practices, could have 

avoided the incurrence of these costs. While several steps have been taken to reduce costs, 

management attention is needed to resolve issues before they reach litigation.

Cost Saving Opportunities – Cost savings opportunities are being pursued and have shown

some results, but a coordinated management-led effort was not evident in the institutional 

Cost Savings Plan submitted to BHSO.

4.3 Provide Efficient and Effective Corporate Office Support as Appropriate

Individual efforts by the BSA corporate partners added significant value to BNL:

Stony Brook University (SBU) facilitated visits by senior New York State and Corporate 

officials to help resolve issues and address BNL needs: the Governor of NY visited BNL to 

announce allocation of low-cost hydro power to BNL; IBM's Vice President for research 

visited to explore research opportunities SmartGrid, nanoscale materials, and BNL and IBM 

facilities linkages.
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

18

SBU increased its involvement in BNL affairs. The new SBU president has shown great 

interest in BNL initiatives; a VP and associate VP for BNL affairs were appointed and are 

planning joint scientific initiatives, including: the New York State Advanced Energy Center 

at Stony Brook; Joint Photon Sciences Institute; Center for Accelerator Science and 

Education; Bio-Imaging Center.

Battelle Memorial Institute (BMI) provided Subject Matter Experts for key assessment teams 

to address BNL issues.

BMI transferred a key corporate commercialization executive to BSA's newly created Global 

and Regional Solutions Directorate.

The four BSA Board risk committees have significantly increased their activity and 

engagement in BNL issues. BHSO is routinely given opportunities to provide input to each of 

the Risk Committee Chairs. Results of risk committee evaluations are used by Laboratory 

Management in the Strategic Planning process.

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 30% .99

4.2 Provide for Responsive and 

Accountable Leadership throughout 

the Organization

A- 3.6 40% 1.44

4.3 Provide Efficient and Effective 

Corporate Office Support as 

Appropriate

A- 3.6 30% 1.08

Performance Goal 4.0 Total 3.5

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 Report

Of Brookhaven National Laboratory

19

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

Environmental Protection

The Contractor sustains and enhances the effectiveness of integrated safety, health and 

environmental protection through a strong and well deployed system. 

The weight of this Goal is 20%.

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.

BHSO’s assessment of the Goal is noted in the respective Objectives.

5.1 Provide a Work Environment that Protects Workers and the Environment

BSA’s performance in Days Away, Restricted, or Transferred (DART) and Total Recordable 

Case (TRC) rates has shown an upswing in both rates for FY 2009. BSA’s DART and TRC 

rates are four times the SC goal. Improvements realized in FY 2008 were not sustained in 

FY09. An increased level of attention toward injury investigation and causal analysis 

associated with these injuries is warranted as is a trending analysis of the injury causes. 

For the most part, BHSO concurs with BSA’s assessment for ORPS Categorization that 

progress was made in driving awareness and accountability for reporting events as well as 

recognizing the need for improvement on timely notifications. There have been very few 

instances of categorizations below expectations since BSA has added Laboratory specific 

criteria to the management concern category for SCBNL events.

BHSO has provided positive feedback to BSA on the rigor of their Event/Issues Management 

Program at the institutional level; however, there have been weaknesses noted in 

implementation at the line level. Upon completing the mutually developed checklist for 

issues/events, BHSO has utilized the checklist while observing several investigations’ causal 

analyses. Weaknesses in the causal analysis and development of effective corrective actions 

has been noted when the investigation was led by an inexperienced mediator.

Although EM projects have had one recordable injury and an ORPS event, the actions taken 

with regard to each were correct.

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

Environment Management

The mutually developed Work Planning and Controls checklist was completed and has been 

utilized by BHSO. The BSA Work Planning and Controls Program is well developed and 

considered by BHSO to be effective at the institutional level. All necessary requirement are 

in place; however, during BHSO surveillances weaknesses in all three tiers have been noted. 

Specifically, weakness in the quality of Work Permit development and review, document 

control (procedural revisions and maintenance) and screening at the worker planned level for 

hazards and controls. BSA is on the right path to correcting the weaknesses and should 

consider performing line management surveillances of the process similar to or in conjunction 

with BHSO.

An impressive number of fire safety improvement projects were implemented using the FY 

2008 Fire Safety Strategic Plan as a guide. The Fire Safety Strategic Plan proved to be an 

excellent tool to quickly identify projects for funding when ARRA funds became available. 

An increase in the emphasis for operational fire safety would further improve the program. 
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

20

BSA continued its leadership in the area of Environmental Management System 

implementation. 

The BSA Management Safety Observation Program is not being effectively implemented in 

its current form. Although the targets for the measure associated with this program were 

changed to accommodate the level of performance, the quarterly target was established to 

create consistency throughout the year. BSA has identified several deficiencies related to this 

program and BHSO is looking forward to seeing revisions implemented.

The Effectiveness Review of the10 CFR 851 Gap Analyses Corrective Action Plan was 

conducted by BHSO during July of 2009. Overall, the results of the effectiveness review 

identified that BSA was effective in implementing the corrective actions from the 10 CFR 851 

Gap Analysis Corrective Action Plan. Some areas reviewed were only partially effective and 

require additional work. These areas were Industrial Hygiene, Motor Vehicle Safety and 

Electrical Safety.

Although the risk based project plan for chemical management was not fully completed and 

ready for implementation by end of FY 2009, BHSO feels BSA is on the right path to 

developing an effective chemical management system.

The Well House 12 explosion was considered a serious event that demonstrated a number of 

institutional failures. The Laboratory’s initial response to this event was not desirable. The 

original due date for the completion of the causal analysis was missed by over a month and,

when supplied, the causal analysis conducted by the Laboratory was not adequate. This 

resulted in several months delay in the development of an effective corrective action plan. 

The use of an independent party to champion the Well House re- investigation allowed the 

Laboratory to recognize its own shortcomings with the original causal analysis. The revised 

causal analysis effectively detailed the extent of the cause and condition leading to the event. 

The Laboratory later conducted its own self assessment of the design and maintenance of the 

Well House and implemented changes. Additionally, the Laboratory evaluated other well 

houses whose designs were similar to Well House 12. The Laboratory’s acceptance of the use 

of a third party created an objective environment where all avenues could be fully explored. 

Corrective action associated with this event was exemplary.

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

Prevention

BHSO recognizes the notable effort and results for the study to reduce waste disposal costs 

and management of legacy materials. BHSO identified midyear delays in the implementation 

of improvement to BSA’s Environmentally Preferred Purchasing (EPP) program; however, 

BHSO noted a subsequent increase in BSA's efforts to bring about necessary improvements 

on schedule.

BSA met the target for removing waste from building 801 vaults, and disposed additional 

inventories of legacy material. In addition, the High Flux Beam Reactor Control Rod Blades 

and Beam Plugs were shipped successfully, significantly reducing the BNL nuclear foot print. 

This required effective coordination with state and local agencies and among several BNL 

organizations.

BSA received DOE recognition for two Environmental Sustainability projects. These projects 

were the BNL Energy Challenge (50 buildings, $60k energy savings in 6 months) and Total 

Nitrogen Reduction at the Sewage Treatment Plant.
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

21

ELEMENT Letter 

Grade

Numerical 

Score

Objective 

Weight

Total 

Points

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 C+ 2.3 20% .46

5.2 Provide Efficient and Effective 

Implementation of Integrated Safety, 

Health and Environment Management

 B+ 3.3 60% 1.98

5.3 Provide Efficient and Effective Waste 

Management, Minimization, and 

Pollution Prevention

A- 3.7 20% .74

Performance Goal 5.0 Total 3.2

Table 5.1 – 5.0 Goal Performance Rating Development

Table 5.2 – 5.0 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 Report

Of Brookhaven National Laboratory

22

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%.

The Provide Business Systems that Efficiently and Effectively Support the Overall Mission of the 

Laboratory Goal measured the Contractor’s overall success in deploying, implementing, and 

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

Laboratory.

BHSO’s assessment of the Goal is noted in the respective Objectives.

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

BNL was one of the largest recipients of ARRA (American Reinvestment and Recovery Act) 

funds for SC Laboratories. DOE commends BSA for quickly adapting it’s systems to ensure 

that ARRA funding is adequately separated from base funding. Throughout SC, BHSO is 

viewed as a leader, and in the forefront of ARRA implementation and reporting. BSA has 

contributed significantly to this perception, by not only consistently meeting BHSO’s 

expectations, but also by identifying ARRA issues and guidance-gaps that hinder effective 

implementation. Because of the importance of the ARRA program to the Nation’s economic 

well being, BSA’s management of the program will continue to receive internal and external 

attention and will continue to require strong financial controls and transparency. 

The bi-monthly budget meetings continue to serve as a useful tool to keep BHSO informed of 

BNL’s financial and budget activities. The meetings have also provided insight into BSA 

efforts to reduce the cost of doing business and ongoing ARRA issues and activities.

The Laboratory culture has not fully embraced or recognized the importance of cost 

efficiency. This was made apparent when DOE conducted a review of BSA’s 2008 Travel 

Account. The review disclosed charges in excess of $800 for BSA reimbursed airport parking 

fees that were deemed unreasonable in amount and in non-compliance with Laboratory 

regulations. This expense could have been avoided or mitigated at several points in the 

process. A positive result of the review was a renewed interest by BSA management in 

recognizing the importance of developing a working environment that pursues cost savings 

measures and avoidance. BHSO expects BSA management to continue and document its 

effort to pursue cost savings measures and avoidance and drive the message of cost 

effectiveness throughout the organization.

External oversight of the Laboratory financial system and business operations has been 

stepped up in comparison to previous years. The OIG and GAO have increased their audit 

effort at the Laboratory. Oversight from BHSO and the Chicago Office has increased as well. 

While there have been recommendations for process improvements in most of the OIG 

reviews, BHSO is particularly concerned about the OIG audit of the FY 2006 Isotope 

Program. That audit noted a potential non-compliance with OMB Circular A-123. The report 

indicated that internal controls were not in place to ensure that BNL maintains adequate 

supporting documentation for all accounting transactions. BSA indicated that they have 

corrected the weakness. The OIG is expected to release their audit report of the FY 2007 

Isotope Program in the near future. 

A BHSO follow-up review of the DOE-IG audit of Proprietary User Facilities noted instances 

of non-compliance in the areas of requesting and maintaining cash advances. While the 

identification of a continued weakness is disconcerting, BHSO is encouraged that BSA has 
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

23

taken actions to enforce the requirement by monitoring proprietary requirements on a monthly 

basis. 

While an Internal Audit of Subcontract Payments concluded that the system of internal 

controls is adequate to ensure that costs are reasonable and allowable, the audit did identify 

weaknesses in the requisitioning, award and contract administration phases of the process.

6.2 Provide an Efficient, Effective, and Responsive Acquisition Management System(s)

Throughout the year, the procurement organization effectively increased the staffing levels for 

both the NSLS-II Project and Central Procurement in order to meet increased customer 

demands due to the influx of ARRA funding. The stability in staffing levels was instrumental 

in the improved results noted in the BSC data. The challenge for FY10 will be to maintain the 

staffing levels and expertise within Central Procurement as the planned staffing increases in

the NSLS-II project are accomplished. At the beginning of June, the PPM manager 

forwarded a completed self assessment that mirrored the format and content of the PERT 

reviews. This thorough review of internal processes was instrumental in extending the 

approval of the procurement system. All year significant effort was spent in planning and 

establishing schedules for items requiring BHSO review. As a result, procurement packages 

and their accompanying Acquisition Plans showed a marked improvement from prior years.

At the beginning of the fiscal year, a central filing system and an expediting program were 

identified as the two areas targeted for process improvements. Although the requirement was 

an implementation plan by the end of the fiscal year, the PPM manger not only developed the 

plan but successfully implemented it. Both the central filing system and the expediting 

program have been established and are serving the department well. The effective 

implementation of both process improvements exceeded expectations.

6.3 Provide an Efficient, Effective, and Responsive Property Management System(s)

BSA’s property management system continues to operate effectively and exceeds DOE’s

expectations. The overall rating for the FY2009 Property Management Balanced Score Card

(BSC) was an A-. BSA achieved approximately 95% of the BSC measures, as compared to 

a goal of 90%.

Overall, BSA has systems in place to detect property inventory shortfalls. In FY 2009 BSA 

increased the level of management awareness of lost and stolen property by adding 

Associate/Assistant Laboratory Director signature blocks to the official property Retirement 

Notices. BSA has also amended the Property Standard Operating Procedures (SOPs) to 

include personal liability for lost or stolen property caused by negligence and communicated 

this policy to the general Laboratory population. These two measures should aid in reducing 

property losses. 

BSA was among 18 top organizations nation-wide recognized at a White House Ceremony for 

their efforts in the reuse or recycling of electronic equipment.

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

System and Diversity Program

BSA achieved significant success in controlling employee benefit costs through reductions 

and cost avoidances which saved millions of dollars. The CIGNA indemnity medical plan was 

replaced with a PPO plan for employees and non-Medicare retirees, with an annual estimated 

savings of approximately $4,600,000.

BSA identified several newly created positions that were deemed critical to achieving BNL’s 

mission. The ALD position for Global and Regional Solutions was created and filled by a 
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

24

senior Battelle employee. A Senior Scientist to lead the RHIC Spin Group was hired and an 

offer was made to a Senior QCD theorist. 

BSA made excellent progress in retaining and hiring candidates from under-represented 

groups. The percentage of women scientists receiving tenure increased from 20% to 37% in 

FY 2009. Also, BSA increased workforce diversity in the engineering job group in FY 2009.

Promotions for minorities and women were at a rate of 13% and 11.5%, respectively, which 

represents an increase for both groups over the previous year.

BSA has made significant progress in moving the salaries of scientific staff closer to the 

market average. The progress should aid BSA in the retention and recruitment of scientific 

staff, particularly at the less experienced level. 

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

and Oversight; Quality; Information Management; and Other Administrative Support 

Services as Appropriate.

BNL effectively managed a significant increase in external audits in FY 2009. None of the 

reports identified material findings that could jeopardize BSA or DOE’s financial statements. 

The IG was complimentary of BSA's ARRA oversight.

BHSO performed a review of IA&O’s audit of Royalty Income and determined that the audit 

was not as effective as it should have been in both the depth and conclusion of the review.

BHSO was aware of the unexpected temporary loss of staff within IA&O during FY 2009 and 

the challenge such a loss presented in adhering to the Audit Work Plan. BHSO was also 

aware of the need to divert personnel to attend to unplanned urgent audits that were directed 

by DOE or BSA. However, IA&O did not submit modifications to the approved Annual Plan 

to account for the additional audit effort. In the upcoming year, BHSO expects IA&O to 

submit a formal modification for any deviation from the BHSO Approved Plan. The 

modifications will go through a formal change control process. 

BHSO agrees that Laboratory Counsel have instituted several measures this past fiscal year

that have lessened litigation costs. Laboratory Counsel has also taken steps to become more 

involved in Laboratory activities at the line level. In doing so, they are able to provide timely 

and proactive legal support to their clients, as well as potentially resolve issues before they 

turn into active litigation. The cost of litigation is exceedingly high, is taking away needed 

funds for research and hindering the overall effort to reduce the cost of doing business. 

Management attention will continue to be needed in this area. The search for a Deputy 

General Counsel with significant procurement-related experience is a step in the right 

direction.

6.6 Demonstrate Effective Transfer of Technology and Commercialization of Intellectual 

Assets

In FY 2009 BSA made several improvements resulting in BSA's Technology Transfer 

program operating more effectively. BSA continues to work with BHSO to improve the WFO 

processes. BSA has increased attention on greater use of agreements for which BSA has 

received delegation of authority from DOE. Increased use of these agreements will save a 

significant amount of effort and time.

Through an arrangement with SBU, BSA has re-established on-site Small Business 

counseling for scientists and other BNL personnel interested in establishing a business. BSA 

has also quickly re-filled the Chief Intellectual Property Counsel position and re-organized the 

IP Tech Transfer office. The creation of an Associate Laboratory Director for Global and 

Regional Solutions and the Office of Technology Commercialization and Partnerships will 
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

25

position BNL in a manner that is more likely to help achieve BSA’s goal of diversifying and 

increasing its WFO program.

BSA experienced growth in invention disclosures and patents filed. BSA continues to lead 

the DOE Laboratories with a licensing income in excess of $10M. BSA invested $700,000 in 

Technology Maturation projects. Seven new CRADAs and 16 new Work for Others (nonFederal) agreements were implemented.

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 

Laboratory Missions

6.1 Provide an Efficient, Effective, and 

Responsive Financial Management 

System(s)

A- 3.5 30% 1.05

6.2 Provide an Efficient, Effective, and 

Responsive Acquisition Management 

System.

 A- 3.5 12.5% .44

6.3 Provide an Efficient, Effective, and 

Responsive Property Management 

System

A- 3.5 12.5% .44

6.4 Provide an Efficient, Effective, and 

Responsive Human Resources 

Management System and Diversity 

Program

 A- 3.6 20% .72

6.5 Provide Efficient, Effective, and 

Responsive Management Systems for 

Internal Audit and Oversight; Quality; 

Information Management; and Other 

Administrative Support Services as 

Appropriate

 B+ 3.2 15% .48

6.6 Demonstrate Effective Transfer of 

Technology and Commercialization of 

Intellectual Assets

 A- 3.6 10% .36

Performance Goal 6.0 Total 3.5

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 Report

Of Brookhaven National Laboratory

26

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

Portfolio to Meet Laboratory Needs

The Contractor provides appropriate planning for laboratory facilities and infrastructure 

needs required to efficiently and effectively carry out current and future S&T programs, 

and manages DOE facilities and infrastructure in a cost effective manner that ensures their 

safe and reliable operation consistent with program missions needs and DOE stewardship 

requirements.

The weight of this Goal is 15%.

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.

BHSO’s assessment of the Goal is noted in the respective Objectives.

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

Usage, Minimizes Life Cycle Costs, and Ensures Site Capability to Meet Mission Needs

BSA continues to meet expectations for operation of facilities as measured by the infrastructure 

reliability index. Progress on Infrastructure General Plant Projects (IGPP), Deferred 

Maintenance Reduction (DMR) and maintenance is consistent with BSA commitments and 

mission readiness implementation. Notable areas of increased performance include BSA’s 

effective and timely response to the ARRA funding both involving definition and execution of 

the General Plant Projects (GPP); site clearing and preparation activities for the 

Interdisciplinary Science Building (ISB); relocation of personnel from building 185 into newly 

renovated space; and demolition of building 475 to provide offsetting space for the 

Interdisciplinary Science Building (ISB). 

Progress against the Transformational Energy Action Management (TEAM) initiative was 

mixed. Limited progress was made to initiate energy saving projects through the use of an 

Energy Service Company (ESCO). However, noteworthy efforts were made to initiate a solar 

array project with the Long Island Power Authority (LIPA) and to invest in and install 

alternative fuel dispensing infrastructure. 

Environmental Management project performance achieved the stated objective of a CPI and 

SPI greater than .90. However, this was the result of a DOE-EM directed re-baselining to 

bring cost and schedule performance at the beginning of the year back into acceptable ranges 

for both BGRR and HFBR. BSA successfully shipped the HFBR control rod blades and beam 

plugs.

7.2 Provide Planning for and Acquire the Facilities and Infrastructure Required to Support 

the Continuation and Growth of Laboratory Missions and Programs.

The BNL Mission Readiness Peer Review in August was a success and exceeded BHSO’s 

expectations. BSA has set a high standard for other reviews to follow. The planning study by 

FLAD Associates in support of the Site Master Plan will provide input to a multi-year 

implementation plan for the Site Master Plan and the Blue Print Project.

BSA has been instrumental in obtaining a commitment from the State of New York to continue 

to provide low-cost electric power to BNL. DOE and New York State entered into an 18 

month contract to extend the supply of below-market rate electricity to BNL and to provide 

sufficient time to develop a longer term agreement that will include 15 megawatts of 

inexpensive hydro-power to BNL
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

27

All SLI Line Item milestones were met on or ahead of schedule and BSA responded notably to 

accelerating activities on the ISB project with ARRA funding. The ISB project site was 

cleared; Building 185 demolished, and contaminated sanitary lines removed under an Early 

Activities authorization with ARRA funding. In addition, the Site Preparation contract was 

awarded after a successful CD-2A/3A Independent Project Review. 

Performance on the IGPP program was slightly under target in part due to delays in award of 

the Central Chilled Water Facility (CCWF) upgrade project. However, this is offset by BSA’s 

quick response and progress on the Recovery Act GPP program, which is considered 

noteworthy. A major portion of the ARRA funding was executed and construction started to 

replace roofs and upgrade various mechanical, electrical and fire protection systems. 

 

GPP – BSA’s ability to quickly implement the ARRA GPP program and award of the Central 

Chilled Water facility (CCWF) expansion contract are noteworthy. The CCWF adds much 

needed additional capacity to the site that supports future mission needs.

Several SLI subcontracts (i.e., the Renovation Science Laboratory construction and the ISB 

A/E contracts) took slightly longer than planned to award, however BSA is on track to fulfill 

Recovery Act commitments made to SC regarding the overall project execution.

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, Minimizes Life 

Cycle Costs, and Ensures Site 

Capability to Meet Mission Needs

B+ 3.4 50% 1.70

7.2 Provide Planning for and Acquire the 

Facilities and Infrastructure Required 

to Support the Continuation and 

Growth of Laboratory Missions and 

Programs

A- 3.6 50% 1.80

Performance Goal 7.0 Total 3.5

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 Report

Of Brookhaven National Laboratory

28

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. Commensurate, to 

the greatest degree possible, with an "open campus" philosophy, protect laboratory 

facilities, personnel, and classified and sensitive information from harm by implementing 

effective safeguards, security, and emergency management programs.

The weight of this Goal is 20%.

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.

BHSO’s assessment of the Goal is noted in the respective Objectives.

8.1 Provide an Efficient and Effective Emergency Management System

BHSO's assessment program and day-to-day interactions noted BSA's excellent progress in 

the development of a compliant Emergency Management Program. Efforts to reduce the 

number of facilities requiring hazard assessments has resulted in efficiency increases. One 

operational emergency was declared for the October 2008 Well House incident and was 

successfully mitigated by BSA with minimal environmental impact and no worker injuries.

8.2 Provide an Efficient and Effective System for Cyber-Security

BSA contributions to the DOE cyber community are notable and recognized by others. BSA 

actively offered assistance to other SC sites, including PNNL, with a peer review on 

information security. BNL fully participated in the Federated Model being coordinated by 

Argonne and a new initiative to develop better methods of detecting malware.

BSA has completed the first phase of implementation of the DOE National Security Systems 

(NSS) Manual. This effort will contribute to a much improved and streamlined program for 

management of the site NSS assets. 

BSA completed a study of USB/mobile device security and the impact that possible security 

solutions may have on its computer systems and users. This study was forwarded to DOE HQ 

and was well received by SC. BSA is to be commended on the breadth of this study.

BSA performed well during audits and assessments and has made progress on the closure of 

POAMs. However, additional effort and resources are still required to completely address 

open issues. ITD has permitted the use of partial encryption technologies that many users are 

opting for. Implementation of partial encryption will not permit closure of the POAM. 

Partial encryption is not expected to significantly contribute to improvements in computer 

security and the value of the effort/resources devoted to the solution is questionable.

8.3 Provide an Efficient and Effective System for the Protection of Special Nuclear 

Materials, Classified Matter, and Property

BSA's protection programs for Special Nuclear Materials, Classified Matter and Property 

performed notably during FY 2009. BSA demonstrated excellence in the program's 

effectiveness during several external assessments and reviews. Program efficiency is also 

noted in consideration of the demonstrated high level of performance during a period of flat 

funding. 
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

29

The BSA security organization exceeds expectations in timely and comprehensive 

communication with DOE including BHSO, ISC, and SC HQ. BSA actively participated in 

SC benchmarking to establish a S&S budget baseline

BSA successfully planned and hosted several visits and events involving notable dignitaries. 

BSA provided outstanding security support for several visits and events of dignitaries 

(Secretary Chu, Governor Patterson, Senator Schumer, Senator Gillibrand, and Congressman 

Bishop).

8.4 Provide an Efficient and Effective System for the Protection of Classified and Sensitive 

Information

BSA's program to protect classified and sensitive information performed at a highly effective 

level as demonstrated during a number of external reviews, which highlighted an exemplary 

level of performance. Program efficiency is also notable. Laboratory management, BHSO, 

and DOE Headquarters are kept adequately informed of CI issues and activities.

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) and 

Emergency Management Systems

8.1 Provide an Efficient and Effective 

Emergency Management System B 3.3 35% 1.16

8.2 Provide an Efficient and Effective 

System for Cyber-Security B+ 3.4 35% 1.19

8.3 Provide an Efficient and Effective 

System for the Protection of Special 

Nuclear Materials, Classified Matter, 

and Property

A 3.8 15% .57

8.4 Provide an Efficient and Effective 

System for the Protection of 

Classified and Sensitive Information

A 3.9 15% .59

Performance Goal 8.0 Total 3.5

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 Report

Of Brookhaven National Laboratory

30

APPENDIX 1

Order of Program Office evaluations in this Appendix:

DOE Program Offices

Advanced Scientific Computing Research

Basic Energy Sciences

Biological and Environmental Research

High Energy Physics

Nuclear Physics

Workforce Development for Teachers and Scientists

Other Customers

Department of Homeland Security

Defense Nuclear Programs

Office of Energy Efficiency and Renewable Energy (Attached)
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

31

Advanced Scientific Computing Research

Brookhaven National Laboratory

FY 2009 Performance Evaluation

Science and Technology

Goal 1.0: Provide for Efficient and Effective Mission Accomplishment.

Weight: 80%

Score: 3.30 Grade: B+

Goal Evaluation: 

BNL continues to have very narrow participation in the ASCR program. BNL participates in only two

SciDAC projects and one of those is completed in FY09. However, BNL added two new networking 

projects that received strong reviews. 

Objective 1.1: Science and Technology Results Provide Meaningful Impact on the Field.

Weight: 40%

Score: 3.4 Grade: B+

Objective Evaluation: 

BNL received two new networking research projects in FY09 and garnered strong reviews. 

BNL researchers are also members of two SciDAC teams, leading one Climate SAP and provide 

strong contributions to those efforts. However, BNL's contributions are modest to the overall 

SciDAC project (as is their funding) and one SAP ends in FY09.

Objective 1.2: Provide Quality Leadership in Science and Technology.

Weight: 30%

Score: 3.1 Grade: B+

Objective Evaluation: 

Individual PIs lead small focused efforts effectively but BNL is not a leader in any of the ASCR 

research areas.

Objective 1.3: Provide and Sustain Outputs that Advance Program Objectives & Goals

Weight: 15%

Score: 3.4 Grade: B+

Objective Evaluation: 

McGraw leads a SciDAC SAP (aerosol dynamics) attached to a major SciDAC Climate project 

(Earth Systems Model). However, this three year SAP ends in FY09. Yu participates in two new 

multi-institutional networking projects that are BNLs first new ASCR awards since 2006.

Objective 1.4: Provide for Effective Delivery of Products.

Weight: 15%
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

32

Score: 3.3 Grade: B+

Objective Evaluation: 

BNL's activities continue to make steady progress. Contributions are approximately commiserate 

with funding.

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

Research Facilities

Weight: N/A

Score: N/A Grade: N/A

Goal Evaluation: 

N/A

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

Programs.

Weight: N/A

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Objective 2.2: Provide for the Effective and Efficient Construction of Facilities and/or 

Fabrication of Components.

Weight: N/A

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Objective 2.3: Provide Efficient and Effective Operation of Facilities.

Weight: N/A

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Objective 2.4: Utilization of Facility to Grow and Support Lab's Research Base and 

External User Community.

Weight: N/A

Score: N/A Grade: N/A
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

33

Objective Evaluation: 

N/A

Goal 3.0: Provide Effective and Efficient Science and Technology Program Management.

Weight: 20%

Score: 3.1 Grade: B+

Goal Evaluation: 

None Provided

Objective 3.1: Provide Effective and Efficient Stewardship of Scientific Capabilities and 

Program Vision.

Weight: 30%

Score: 3.1 Grade: B+

Objective Evaluation: 

BNL has slipped back a bit in FY09. ASCR attempts to pull BNL into cross-lab efforts planning 

for the future took some effort to get BNL to respond. However, research reports have been on 

time and useful and BNL reviewed well in the SciDAC mid-term reviews.

Objective 3.2: Provide Effective and Efficient Science and Technology Project/Program 

Planning and Management.

Weight: 40%

Score: 3.1 Grade: B+

Objective Evaluation: 

BNL does not have a compelling vision for research of interest to ASCR. However, progress was 

seen in networking research.

Objective 3.3: Provide Efficient and Effective Communications and Responsiveness to 

Customer Needs.

Weight: 30%

Score: 3.1 Grade: B+

Objective Evaluation: 

Progress reports and FWPs are delivered in a timely fashion and are generally complete and 

accurate.
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

34

Basic Energy Sciences

Brookhaven National Laboratory

FY 2009 Performance Evaluation

Science and Technology

Goal 1.0: Provide for Efficient and Effective Mission Accomplishment.

Weight: 30%

Score: 3.52 Grade: AGoal Evaluation: 

The BES supported materials sciences programs at BNL continued to demonstrate scientific excellence and 

productivity in key core competencies in materials science. The programs have demonstrated world 

leadership and sustained impact in superconductivity, photoemission spectroscopy, x-ray scattering, 

synthesis, and electron microscopy. The BES supported chemical sciences, geosciences, and biosciences 

programs are generally quite strong and continued to make excellent progress. 

The Thermal, Photo-, and Radiation-Induced Chemistry program was site reviewed; reviewers 

were very positive and pointed out the impact of new, early-career researchers in the program and 

the leadership that they are providing. This program integrates research in solar photoconversion 

with novel techniques using ionizing radiation. 

The Physical Biosciences program was site reviewed; reviewers were quite positive and noted the 

substantial impact of research conducted by John Shanklin. 

BNL’s success in the highly competitive Energy Frontier Research Center (EFRC) funding 

opportunity and the Single-Investigator and Small-Group (SISGR) solicitation demonstrates 

scientific leadership and presents an outstanding opportunity to significantly enhance grandchallenge and use-inspired basic energy research in the laboratory.

Objective 1.1: Science and Technology Results Provide Meaningful Impact on the Field.

Weight: 50%

Score: 3.6 Grade: AObjective Evaluation: 

The BES Chemical Sciences, Geosciences, and Biosciences (CSGB) Division-supported Thermal, 

Photo-, and Radiation-Induced Chemistry program at Brookhaven National Laboratory (BNL) was 

site reviewed in FY 2009. Reviewers were very positive and pointed out the impact of new, earlycareer researchers in the program and the leadership that they are providing. This program 

integrates research in solar photoconversion with novel techniques using ionizing radiation. The 

program has been enhanced in previous years through the addition of funding through several BES 

initiatives, and the program is in transition to a new structure that will accommodate the new, 

initiative-based goals while maintaining the high quality of research. 

The Physical Biosciences program was site reviewed in FY 2009. Reviewers were quite positive 

and noted the substantial impact of research conducted by John Shanklin. The program is 

composed of a number of new projects and investigators, who are coalescing into a synergistic 

team under the leadership of senior BNL staff. 

CSGB-supported programs in Chemical Physics and Catalysis were not reviewed in FY 2009. 

These programs are generally quite strong and continued to make excellent progress.
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

35

The BES Materials Sciences and Engineering (MSE) Division-funded programs were not 

reviewed in FY 2009. They continued to demonstrate scientific excellence and productivity in key 

core competencies in materials science. The BNL program has demonstrated world leadership and 

sustained impact in superconductivity, photoemission spectroscopy, x-ray scattering, synthesis, 

and electron microscopy.

Objective 1.2: Provide Quality Leadership in Science and Technology.

Weight: 20%

Score: 3.5 Grade: AObjective Evaluation: 

CSGB-supported programs in Chemical Physics and Catalysis have nationally and internationally 

recognized investigators.

The majority of the lead PIs supported by the MSE Division are recognized leaders in their 

respective fields as evidenced by the most recent program review in FY 2008. In the topical areas 

of superconductivity, magnetism, nano-materials synthesis, and instrumentation development, 

they are at the forefront. The scientific leadership of the program was strengthened by the recent 

hiring of highly regarded researchers through joint university appointments. 

BNL 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 Emergent 

Superconductivity.” BNL also received one of the ninety-five awards in the Single-Investigator 

and Small-Group Research (SISGR) solicitation made by BES in FY 2009. BNL’s success in the 

highly competitive EFRC funding opportunity and the SISGR solicitation demonstrates scientific 

leadership and presents an opportunity to enhance grand-challenge and use-inspired basic energy 

research in the laboratory.

Objective 1.3: Provide and sustain Outputs that Advance Program Objectives & Goals

Weight: 15%

Score: 3.4 Grade: B+

Objective Evaluation: 

Overall, the quantity and quality of research outputs in peer-reviewed journals for the programs 

supported by the CSGB Division were fully acceptable. 

The activities supported by the MSE Division continued to produce a large number of excellent 

quality, peer reviewed journal articles. The programs frequently reported research 

accomplishments. 

Objective 1.4: Provide for Effective Delivery of Products.

Weight: 15%

Score: 3.4 Grade: B+

Objective Evaluation: 

CSGB Division-supported research programs were effective and efficient in meeting scientific 

objectives and milestones, as measured by peer review. The programs were responsive to requests 

from BES for information and research highlights.
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

36

The research activities supported by the MSE Division were effective in transmitting the results to 

the community through publications in high quality peer-reviewed journals and highlights 

submitted to BES. BNL management for the materials research program was responsive to BES 

requests.

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

Research Facilities

Weight: 50%

Score: 3.43 Grade: B+

Goal Evaluation: 

BNL made significant progress on the NSLS-II Project, while the NSLS continued to be a key facility for 

BNL researchers and the Center for Functional Nanomaterials -- in its first full year of full operations --

indicated effective and efficient operations and significant involvement in outreach and other aspects of 

user facility activity 

The NSLS-II Project was very successful in responding to changing funding guidance. The project 

received advanced funding of $150M from the American Recovery and Reinvestment Act of 2009, and 

required re-planning resulted in reduction in project risk issues. 

NSLS-II Project safety performance was good; however, a significant accident occurred on the last day of 

FY 2009. The impact of that accident is yet to be evaluated. 

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

Programs.

Weight: 20%

Score: 3.5 Grade: AObjective Evaluation: 

Although the overall project is in construction, because of time phasing of activities, there are 

elements of the project that are in the design stage. These elements includes the Laboratory Office 

Buildings (LOBs) and the Experimental Facilities. Progress on the Experimental Facilities has 

been good. All six experimental leaders were hired. With input from the science community 

through various workshops held, concept designs were completed and preliminary design is 

underway. In addition, BSA was effective in initiating the concept design of the LOBs in 

FY2009. The NSLS-II project also received ARRA funding in FY2009. As a result, it enabled 

the Project to complete the final design as well during the fiscal year.

Objective 2.2: Provide for the Effective and Efficient Construction of Facilities and/or 

Fabrication of Components.

Weight: 30%

Score: 3.6 Grade: AObjective Evaluation: 

BNL made significant progress on the NSLS-II Project in FY 2008. The project was very 

successful in responding to changing funding guidance in this reporting period. The project 

received advanced funding of $150M from the American Recovery and Reinvestment Act of 

2009, and re-planning was required resulting in reduction in project risk issues. The project was 
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

37

very responsive and proactive in working with the conventional construction subcontractors to 

maximize advanced funding for the project. 

All prerequisites were completed and CD-3 was approved on schedule. Early site preparations 

were completed before CD-3, and contract award of the Ring Building contract was made on 

schedule and within baseline costs allowing early mobilization and construction start. With 

exception of the Laboratory Office Buildings, all other civil construction contracts were awarded. 

Collectively, these were within baseline costs. At the end of FY 2009, civil construction was well 

underway and slightly ahead of schedule. Safety performance was good; however, a significant 

accident occurred on the last day of FY 2009. The impact of that accident is yet to be evaluated. 

Technical and R&D challenges in the accelerator and experimental scopes remained on track for 

satisfactory resolution to allow successful CD-4. Design and procurement activities associated 

with the accelerator systems were slightly behind schedule but within contingency ranges. 

Corrective actions were underway by year’s end to maintain or regain accelerator schedule. The 

experimental scope was on schedule to deliver conceptual designs for the six beam lines at the end 

of the evaluation period. Integration of Recovery Act funds into the project was excellent..

Objective 2.3: Provide Efficient and Effective Operation of Facilities.

Weight: 40%

Score: 3.3 Grade: B+

Objective Evaluation: 

The National Synchrotron Light Source (NSLS) operated at an average reliability of greater than 

97 percent for its two storage rings (X-ray and VUV). There were 2214 unique on-site users. 

The Center for Functional Nanomaterials (CFN) was in its first full year of full operations in FY 

2009, with all indications of effective and efficient operations and significant involvement in 

outreach and other aspects of user facility activity. 

Objective 2.4: Utilization of Facility to Grow and Support Lab's Research Base and 

External User Community.

Weight: 10%

Score: 3.3 Grade: B+

Objective Evaluation: 

NSLS continued to be a key facility for BNL researchers, including researchers from the new 

CFN. 

NSLS management took steps to increase the participation of industrial users. These included 

development of a web page targeting industrial researchers, enhancing an access plan with the 

creation of additional beamline capacity for these users, and the participation of industrial 

researchers on proposal review panels.

The CFN was a key component of the laboratory's research base and supported a substantial and 

growing external user community, with a considerable increase in the total number of users in FY 

2009. Further attention to the recommendations from the April 2008 initial operations review is 

warranted.

Goal 3.0: Provide Effective and Efficient Science and Technology Program Management.
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

38

Weight: 20%

Score: 3.58 Grade: AGoal Evaluation: 

BNL has effectively used core strengths to respond to BES solicitations and delivered high quality 

scientific programs that fulfill the DOE mission needs. 

Merit reviews of the Thermal, Photo-, and Radiation-Induced Chemistry and Biosciences 

programs noted important contributions to BES-supported programs.

BNL has a clear vision for their materials sciences program, emphasizing materials for energy, 

superconductivity and nanoscience. Synthesis science is a major component of their research 

program. .

Objective 3.1: Provide Effective and Efficient Stewardship of Scientific Capabilities and 

Program Vision.

Weight: 40%

Score: 3.4 Grade: B+

Objective Evaluation: 

As noted in the merit reviews of the Thermal, Photo-, and Radiation-Induced Chemistry and 

Biosciences programs, early-career researchers in both the BNL Chemistry and Biology 

Departments were making important contributions to CSGB Division-supported programs.

BNL has a clear vision for their materials sciences program, emphasizing materials for energy, 

superconductivity and nanoscience. Synthesis science is a major component of their research 

program. 

Objective 3.2: Provide Effective and Efficient Science and Technology Project/Program 

Planning and Management

Weight: 30%

Score: 3.7 Grade: AObjective Evaluation: 

The management of the BNL Chemistry Department effectively defined clear and logical strategic 

plans for research programs within its purview and continued to communicate those plans clearly 

to the CSGB Division. Similarly, the management of the BNL Biology Department continued 

efforts to establish and implement a synergistic program in the developing biosciences portfolio of 

the CSGB Division. 

BNL has effective management of the programs funded by the MSE Division as exhibited by 

enhanced synergies and teaming among field work proposals and effective use and development 

of unique instrumentation and facilities.

Objective 3.3: Provide Efficient and Effective Communications and Responsiveness to 

Customer Needs.

Weight: 30%

Score: 3.7 Grade: A-
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

39

Objective Evaluation: 

Communications between the CSGB Division and the management of both the BNL Chemistry 

and Biology Departments remained thorough and timely in FY 2009. 

Management of the programs supported by the MSE Division was effective with frequent 

communications along properly defined management lines and responsiveness to BES 

management.
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

40

Biological and Environmental Research

Brookhaven National Laboratory

FY 2009 Performance Evaluation

Science and Technology

Goal 1.0: Provide for Efficient and Effective Mission Accomplishment.

Weight: 50%

Score: 3.30 Grade: B+

Goal Evaluation: 

BNL plays a lead role in BER's Atmospheric Radiation Measurement and Atmospheric Research Programs, 

and its scientists are internationally recognized.

BNL's radiochemistry and instrumentation research program scientists are world leaders, and their 

scientific contributions continue to make seminal advances in the field. This program is currently 

undergoing a difficult transition to focus on DOE relevant energy and environmental needs.

BNL's protein crystallography program has a high impact on its field, serving a large number of prominent 

biological scientists, especially in the Northeastern U.S.

BNL has a relatively small, high quality BER research portfolio spread across several program elements. 

BNL scientists in these programs are recognized nationally and internationally and conduct high impact 

research in climate, radiochemistry and instrumentation, and structural biology. The scientific results have 

a high impact in their respective fields and are regularly recognized for their high quality. Research results 

are completed in a timely manner.

Objective 1.1: Science and Technology Results Provide Meaningful Impact on the Field.

Weight: 30%

Score: 3.3 Grade: B+

Objective Evaluation: 

BNL has developed improved formulations to represent aerosol-radiation interactions and 

increased understanding of the aerosol effects on the radiation balance of climate. BNL has 

continued development of atmospheric measurement techniques that promise to provide advances

in fast particle size measurement and significant advances in fast ozone and aerosol absorption 

measurements vital for climate forcing studies. PI Liu is leading a multi-institutional climate 

modeling project that has just been initiated. 

The Macromolecular Crystallography Center (MCC) continues to have a high impact on the life 

sciences. Many high profile publications include structural data obtained at this Center. 

Two new rapid radiosynthetic methods were introduced for generic radiolabeling of organic 

molecules with carbon-11. BNL also developed the highest resolution PET detector (CZT, 0.6 

microns). Both of these accomplishments were major advancements in the field of radiotracer 

imaging. BNL developed a simultaneous PET/MRI scanner for small animals based on ratCAP 

technology and a new tracer for the enzyme aromatase. BNL also initiated a new program in 

radiotracer development for epigenetics and developed important infrastructure by renovating and 

updating the Plant Science Laboratory for the performance of the reconfigured radiochemistry and 

instrumentation program aligned with BER mission.
FY 2009 Performance Evaluation Report

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41

Objective 1.2: Provide Quality Leadership in Science and Technology.

Weight: 20%

Score: 3.3 Grade: B+

Objective Evaluation: 

In 2009 BNL staff continued visible science leadership in Chief Scientist roles for the ARM 

Science and Atmospheric Science Programs.

The MCC staff work closely with the outside users, and many of the publications resulting from 

data collected there have MCC staff as co-authors, indicating a high level of true collaboration. 

Joanna Fowler, a leader in the field of radiotracer chemistry, was nominated to the Long Island 

Technology Hall of Fame in 2009; received the 2009 National Academy of Sciences Award in 

Chemical Sciences; and received the National Medal of Science award. Jacob Hooker received 

the Battelle Inventor of the Year award in 2009.

Objective 1.3: Provide and Sustain Outputs that Advance Program Objectives and Goals.

Weight: 20%

Score: 3.3 Grade: B+

Objective Evaluation: 

BNL publications and research outputs in climate research met high expectations.

More than 200 structures were deposited in the Protein Data Bank from the MCC's experimental 

stations in FY 2009. 

The BNL Radiochemistry researchers authored 37 publications in refereed journals, including 6 

publications in high impact scientific journals such as Angewandte Chemie International Edition 

English, Critical Reviews in Plant Science, Journal of American Medical Association (JAMA), 

and the Proceedings of the National Academy of Sciences of the United States of America 

(PNAS).

Objective 1.4: Provide for Effective Delivery of Products.

Weight: 30%

Score: 3.3 Grade: B+

Objective Evaluation: 

The MCC consistently meets program milestones and is highly efficient in the use of the budget 

provided by BER.

Goal 2.0: Provide for Efficient and Effective Design, Fabrication, Construction and Operation of 

Research Facilities

Weight: 25%

Score: 3.08 Grade: B+

Goal Evaluation: 

The protein crystallography program at the NSLS serves a large community of users, making use of a novel 

and efficient sample mail-in program that provides an especially noteworthy way to maximize use of the 

NSLS. 
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

42

The protein crystallography program at the NSLS has attracted an outstanding exter-nal user community. 

However, this outstanding program has had only modest effect on the biological research base at the 

laboratory.

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

Programs.

Weight: N/A

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Objective 2.2: Provide for the Effective and Efficient Construction of Facilities and/or 

Fabrication of Components.

Weight: N/A

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Objective 2.3: Provide Efficient and Effective Operation of Facilities.

Weight: 90%

Score: 3.1 Grade: B+

Objective Evaluation: 

The mail-in crystallography program continues to be a significant factor in enabling these 

scientists to make use of the Center’s beamlines.

Objective 2.4: Utilization of Facility to Grow and Support Lab's Research Base and 

External User Community.

Weight: 10%

Score: 2.9 Grade: B

Objective Evaluation: 

Many research scientists in the life sciences make use of the Macromolecular Crystallography 

Center; it makes a significant contribution to expanding the external community served by the 

laboratory. The laboratory has had only limited success in using the Center to build an internal 

research community. It is hoped that the biology research community at the laboratory will take a 

more active role in the development of the NSLS II, and that the laboratory will plan for new hires 

to make use of the unique capabilities of this facility in the life sciences.

Goal 3.0: Provide Effective and Efficient Science and Technology Program Management.

Weight: 25%
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

43

Score: 2.9 Grade: B

Goal Evaluation: 

BNL exhibited inconsistent and mixed vision, planning and communication across the BER portfolio. In 

some areas they have made excellent progress and in others significant attention is needed. A significant 

concern is the lack of high level vision for the role of BER in NSLS-II.

Objective 3.1: Provide Effective and Efficient Stewardship of Scientific Capabilities and 

Program Vision.

Weight: 20%

Score: 2.9 Grade: B

Objective Evaluation: 

BNL researchers have undertaken several major scientific challenges in radiochemistry and 

imaging instrumentation to accomplish the program vision in development of scientific tools to 

advance biological imaging in the context of energy and environment. 

BNL science program management has been inconsistent across the biological sciences research 

portfolio, with a lack of synergism and coordination between different departments. Thus, some 

programs (radiochemistry) have displayed excellent strategic vision while others (genomic 

sciences and low dose) have been far less successful in articulating a coherent research vision. 

Overall, there was little evidence of BNL senior management taking an active involvement in 

recruitment, retention, and mentoring of junior level scientists. This was especially evident in the 

genomic sciences and low dose SFAs, which clearly demonstrated a lack of senior management 

oversight and attention. There was also little evidence of teaming across the laboratory with 

complementary expertise funded by other parts of the Office of Science, resulting in lack of 

synergy with laboratory research resources (both human and capital).

The laboratory staff have actively participated in a wide variety of internal and external workshops 

in structural biology. The MCC has attracted excellent scientists, and they have created an 

excellent vision for their program. However, there has been a real lack of planning for the 

potential BER role in the NSLS II, which will provide the capabilities needed by the MCC when it 

opens. There is an urgent need for the laboratory to initiate at a high-level the development of a 

vision of the BER role at the NSLS II.

Objective 3.2: Provide Effective and Efficient Science and Technology Project/Program 

Planning and Management.

Weight: 30%

Score: 2.9 Grade: B

Objective Evaluation: 

Coordination of planning for life sciences at the NSLS II is only starting to be carried out across 

the laboratory and needs to be more proactive than it was in FY 2009.

BNL staff worked closely and diligently in a highly efficient and responsive manner with BER 

Program Managers to successfully realign its research focus and infrastructure in the 

Radiochemistry and Instrumentation Science Focus Area (SFA) structure responsive to BER 

mission specific needs. 

BNL has responded to BER SFA model with coordinated organization of efforts in atmospheric 

program research area.

Objective 3.3: Provide Efficient and Effective Communications and Responsiveness to 

Customer Needs.
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

44

Weight: 50%

Score: 2.9 Grade: B

Objective Evaluation: 

Communication does not consistently flow through established management channels for 

biological research, or across departmental lines within the laboratory.

Brookhaven continues to be recognized as a world leader in developing and applying imaging 

tools (radiotracers, imaging instruments, PET/MRI) to study dynamic biological processes 

noninvasively in real time. BNL is responsive to the BER mission needs and has been working 

toward evolving the imaging program toward plant and microbe sciences for applications in 

energy and environment.

BNL has initiated and almost completed the process for accreditation under the Association of the 

Accreditation for Human Research Protection Programs (AAHRPP), and they developed a model 

document for reporting incidental findings in medical research. Actively participated in Human 

Subjects Working Group workshops and in sharing of case studies, lessons learned, and resources 

with the community of DOE IRB Chairs and Administrators.

Climate staff values good communications and provides good responses to requests for 

information.
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

45

High Energy Physics

Brookhaven National Laboratory

FY 2009 Performance Evaluation

Science and Technology

Goal 1.0: Provide for Efficient and Effective Mission Accomplishment.

Weight: 35%

Score: 3.48 Grade: AGoal Evaluation: 

The BNL HEP program has some strong efforts in proton-accelerator physics, accelerator R&D, and 

theory. 

They have been very effective at leveraging their detector R&D funding from HEP with their 

Instrumentation Division to deliver outstanding work in electronics, silicon detectors, and liquid argon 

detectors.

Objective 1.1: Science and Technology Results Provide Meaningful Impact on the Field.

Weight: 30%

Score: 3.6 Grade: AObjective Evaluation: 

The BNL HEP program has some strong efforts in proton-accelerator physics, accelerator R&D, 

and theory, while the non-accelerator effort beyond the Daya Bay project is weaker. Their impact 

on proton accelerator-based research is commensurate with an effort of this size. One comment 

from recent OHEP proton program review: “In general, the quality of the BNL research program 

is extremely high, results in high impact to the US high energy physics program, and is conducted 

with a reasonable degree of cost-effectiveness.”

BNL's research effort on Daya Bay is good, however there are quite a few scientists working only 

a small fraction of their time on it. Their nascent research effort on dark energy experiments (as 

contrasted with the R&D for the LSST camera) has not yet resulted in significant impacts. 

The BNL Theory group conducts research primarily in the areas of lattice gauge theory with 

emphasis on QCD, phenomenology, and model building. They reviewed well in the lab-wide 

theory program review last year. Some of their work has lasting impact on the understanding of 

the Standard Model, and some provides guidance for future studies.

BNL has effectively leveraged its relatively low level of HEP detector R&D support with its 

Instrumentation Lab. Reviewers on the panel of the July 2009 Laboratory Detector R&D review 

felt that Brookhaven’s work on radiation hard silicon detectors, on electronics, and on liquid argon 

detector development was outstanding. 

The superconducting magnets developed under the LARP program is very high impact for high 

energy physics research, enabling improved performance in colliders. Review committee at the 

2009 LARP Program Review gave it very high marks.

Objective 1.2: Provide Quality Leadership in Science and Technology.
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

46

Weight: 30%

Score: 3.6 Grade: AObjective Evaluation: 

Brookhaven staff are responsible for the overall management of the US ILC R&D program and 

have guided the program through particularly turbulent and uncertain funding. The project is now 

progressing smoothly with clear goals through the duration of the project.

 

The laboratory staff also leads important areas including design, fabrication, installation, and 

operation of large detector components for accelerator-based detectors, physics analysis, and 

computing in support of the ATLAS experiment. Proton research program staff have central 

leadership roles in the U.S. ATLAS collaboration.

Brookhaven’s Instrumentation Laboratory has a long history of leadership in developing novel 

detectors for High Energy Physics experiments. 

The Accelerator Science program review recognized BNL team as highly influential in 

development of concepts for future neutrino factories and muon colliders.

Objective 1.3: Provide and sustain Outputs that Advance Program Objectives and Goals.

Weight: 20%

Score: 3.3 Grade: B+

Objective Evaluation: 

BNL is generally meeting expectations across its HEP research program. Efforts in acceleratorbased research, theory and technology R&D have consistently produced results that advance the 

HEP mission.

Objective 1.4: Provide for Effective Delivery of Products.

Weight: 20%

Score: 3.3 Grade: B+

Objective Evaluation: 

BNL is generally meeting expectations across it HEP research program. The ATLAS Tier 1 center 

demonstrated its readiness to accept data from CERN when the LHC turns on during a major data 

challenge conducted this summer.

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

Research Facilities

Weight: 35%

Score: 3.28 Grade: B+

Goal Evaluation: 

The lab is taking on major parts of the Accelerator Project for the Upgrade of the LHC and the Daya Bay 

Reactor Neutrino Experiment, which are the responsibility of other labs. They are providing much needed 

technical expertise for carrying out these projects. 
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

47

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

Programs.

Weight: 40%

Score: 3.4 Grade: B+

Objective Evaluation: 

The laboratory is working closely with Fermilab on the Accelerator Project for the Upgrade of the 

LHC. The project is making satisfactory progress and a CD-1 review is planned for December 

2009. 

The laboratory is also working closely with Fermilab on the planning for the Long Baseline 

Neutrino Experiment and has provided essential input to OHEP for the preparation of the Mission 

Need Statements. This input has included a work plan to develop the needed material for a CD-1 

review.

Objective 2.2: Provide for the Effective and Efficient Construction of Facilities and/or 

Fabrication of Components.

Weight: 60%

Score: 3.2 Grade: B+

Objective Evaluation: 

The laboratory works with LBNL on the Daya Bay Reactor Neutrino Experiment. LBNL is the 

lead laboratory for project management, but BNL is carrying out a significant fraction of the 

fabrication work. Their work on this has been satisfactory.

Objective 2.3: Provide Efficient and Effective Operation of Facilities.

Weight: N/A

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Objective 2.4: Utilization of Facility to Grow and Support Lab's Research Base and 

External User Community.

Weight: N/A

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Goal 3.0: Provide Effective and Efficient Science and Technology Program Management.

Weight: 30%

Score: 3.16 Grade: B+
FY 2009 Performance Evaluation Report

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48

Goal Evaluation: 

BNL is playing important roles at the Energy and Intensity Frontiers, and in supporting technology R&D, 

that make good use of their expertise and unique capabilities, however the lab's detailed programmatic 

plans often seem to be ill-matched to actual resources.

Objective 3.1: Provide Effective and Efficient Stewardship of Scientific Capabilities and 

Program Vision.

Weight: 40%

Score: 3.4 Grade: B+

Objective Evaluation: 

After the termination of HEP-supported operation at the BNL AGS in 2002, the lab struggled to 

define a scientific vision for the future of BNL HEP effort that was well-aligned with the national 

program. Today one can say this effort has been largely successful: BNL is playing important 

roles at the Energy and Intensity Frontiers, and in supporting technology R&D, that make good 

use of their expertise and unique capabilities. It remains to be seen whether they can secure a 

similar leadership role at the Cosmic Frontier.

Objective 3.2: Provide Effective and Efficient Science and Technology Project/Program 

Planning and Management.

Weight: 40%

Score: 2.9 Grade: B

Objective Evaluation: 

While the overall vision of the BNL HEP program is well-defined, the lab's detailed programmatic 

plans often seem to be ill-matched to actual resources. They have managed to maintain the current 

research program through a combination of external funds, LDRD, supplements, and other 

arrangements, but this appears unsustainable in the long-term. Lab managers seem to have only 

cursory understanding of their own budgets, and do not always deal with resource problems 

proactively.

Objective 3.3: Provide Efficient and Effective Communications and Responsiveness to 

Customer Needs.

Weight: 20%

Score: 3.2 Grade: B+

Objective Evaluation: 

The lab generally identifies issues, brings them to the attention of OHEP as appropriate, and 

responds promptly to requests for information.
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

49

Nuclear Physics

Brookhaven National Laboratory

FY 2009 Performance Evaluation

Science and Technology

Goal 1.0: Provide for Efficient and Effective Mission Accomplishment.

Weight: 40%

Score: 3.69 Grade: AGoal Evaluation: 

The BNL nuclear physics group performs at a high level in all areas in mission accomplishment and merits 

a grade of A-:

Impact of the RHIC in the area of research into hot, dense nuclear matter is deemed outstanding, as 

demonstrated by an impressive number of scientific measurements and refereed publications..

Significant contributions have been made to the STAR and PHENIX experiments that included continuing 

leadership responsibilities in maintaining detector and technical infrastructure and detector upgrades (e.g. 

Time-of-Flight and the Hadron Blind Detector). 

DOE and RHIC goals and milestones are largely met on time and within prevailing budgets

The Nuclear Theory Group has determined spin-dependent parton distribution functions at next-to-leading 

order. They have predicted a novel “quarkyonic” phase at high baryon density. 

The LQCD Group has calculated the QCD equation of state with almost realistic quark masses, and 

proposed a new approach to identify evidence of a first-order phase transition in a canonical framework.

The isotope program staff are conducting important research in the development of new isotope production 

and processing techniques.

The scores and grades for Goals 1-3 are based on the annual DOE S&T review (peer review), 

communication to NP at the Laboratory Managers’ Briefings, Project Reviews (peer review), quarterly 

reports by project contract managers, biweekly teleconferences, NP program manager’s observations at 

national meetings, and NP program manager’s judgment.

Objective 1.1: Science and Technology Results Provide Meaningful Impact on the Field.

Weight: 35%

Score: 3.8 Grade: A

Objective Evaluation: 

The 2009 DOE Science and Technology (S&T) panel review evaluated the RHIC experimental 

research programs as being high-quality and original as demonstrated by many impressive 

scientific measurements and numerous publications that have appeared in refereed journals. The 

impact of the RHIC research program was considered to be outstanding. 

The RHIC experiments have published 21 refereed papers (~237 papers to date) in scientific 

journals and awarded ~24 Ph.D.s. since the last review. Among RHIC publications is the most 

cited experimental nuclear physics paper of 2008, as well as 3 “renowned” and ten “famous’ 

publications, based on the number of citations received. 
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

50

Scientific achievements during the last year included:

A measurement by Pioneering High Energy Nuclear Interaction eXperiment (PHENIX) 

of the temperature of the dense medium at early times, derived from the enhancement of 

the virtual photon spectrum in Au+Au vs. p+p. A measurement of the Upsilon yield is 

suppressed in central Au+Au collisions, which is unexpected.

A measurement by Solenoidal Tracker at RHIC (STAR) provides intriguing speculations 

for the existence of local parity-violating domains in heavy ion collisions, which if 

confirmed, could have profound impact on the understanding of Quantum 

Chromodynamics.

The discovery by STAR of the anti-hypertriton.

The Nuclear Theory Group performed the first global QCD analysis of helicity parton 

distributions of the nucleon at next-to-leading order. This Group continues to suggest 

conceptually novel proposals for possible links between fundamental QCD and heavy-ion 

phenomenology (for example a new quarkyonic phase at high baryon density). The 

LQCD Group continues its systematic effort to decrease the pion mass in their 

calculations and the search for the possible existence of a critical point at nonzero 

chemical potential. The sensitivity of higher-order moments of charge fluctuations to the 

occurrence of a phase transition was demonstrated. 

Yttrium-86 is a short-lived isotope emitting positrons, which can be used for positron 

emission tomography (PET) imaging prior to cancer immunotherapy with yttrium-90. 

Currently this isotope is in short supply. BNL scientists have conducted research that will 

increase the reliable supply of yttrium for use in research, including investigations to 

improve product purity using very low energy protons and the development of a method 

to recover irradiated strontium-86 for reuse.

Objective 1.2: Provide Quality Leadership in Science and Technology.

Weight: 25%

Score: 3.8 Grade: A

Objective Evaluation: 

The contributions of the local BNL science groups on PHENIX and STAR experiments, is 

regarded as being vigorous and highly successful in producing forefront physics while taking on 

leading roles in the development of detector hardware, such as the Time-of-Flight detector and the 

Silicon Tracking detectors in the STAR and PHENIX experiment.

The leadership of the BNL LQCD group is playing a very visible role in the national and 

international effort on lattice QCD, and the associated planning for dedicated computer resources 

for finite temperature QCD studies.

The NNDC coordinates and leads the national nuclear data program, and plays an important role 

in the international activities such as interactions with the IAEA. Workshops are held to train and 

involve new talent as evaluators, especially internationally.

Objective 1.3: Provide and sustain Outputs that Advance Program Objectives and Goals.

Weight: 25%
FY 2009 Performance Evaluation Report

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Score: 3.6 Grade: AObjective Evaluation: 

Independent experts and/or peers commend the RHIC/BNL experimental results. Publications and 

citations exceed the amount and/or quality typically expected for an excellent body of work. Both 

the Nuclear Theory and Lattice Gauge Groups continue to be highly productive, as reflected in a 

large number of refereed publications and have a significant international impact, as demonstrated 

by the large number of citations.

The NNDC contributes to the sustained output of evaluated nuclear reaction and decay data by the 

national program. 

In the Isotope Program, Sr-82 production was below calculated yields for all batches and needs to 

be improved.

Publications by the SNO collaboration, including BNL co-authors, are highly cited.

Objective 1.4: Provide for Effective Delivery of Products.

Weight: 15%

Score: 3.4 Grade: B+

Objective Evaluation: 

Program/project goals and/or milestones are primarily met on schedule and within prevailing 

budgets. The RHIC research program objectives are well aligned to all NP heavy-ion and spinphysics milestones identified in the NSAC report on performance goals. NSAC milestones are 

generally met and RHIC management has effectively responded to all the 2008 DOE S&T review 

recommendations.

The STAR TOF project was completed on schedule and under budget.

A significant improvement in the polarized proton Figure of Merit (FOM) from RHIC facility will 

be required in order to meet future DOE NP milestones. 

The NNDC provides effective online services to provide evaluated nuclear data free of charge 

world-wide.

One delivery of Sr-82 was produced with lower than required activity.

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

Research Facilities

Weight: 40%

Score: 3.25 Grade: B+

Goal Evaluation: 

The BNL nuclear physics group generally performs at a high level in all areas of design, fabrication, and 

operation of research facilities and merits a grade of B+: 

Delivery of RHIC proton ion beams to experiments did not meet expectations. 

CA-D staff continues to improve beams for the future heavy ion and spin research programs. 
FY 2009 Performance Evaluation Report

Of Brookhaven National Laboratory

52

Research and development of stochastic cooling and electron lenses should lead to a cost effective 

luminosity upgrade.

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

Programs.

Weight: 0%

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Objective 2.2: Provide for the Effective and Efficient Construction of Facilities and/or 

Fabrication of Components.

Weight: 0%

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Objective 2.3: Provide Efficient and Effective Operation of Facilities.

Weight: 85%

Score: 3.2 Grade: B+

Objective Evaluation: 

The RHIC Collider-Accelerator Division’s (C-AD) provided twenty-two weeks of polarized

proton beams in FY 2009. The number of delivered hours was within 80% of planned hours. 

However, the integrated proton beam luminosity at 100 GeV was below expectations and thus 

missed the DOE Performance Assessment Rating Tool (PART) goal. The 2009 RHIC Science and 

Technology (S&T) review of accelerator operations did not reveal any fundamental operational 

weaknesses but concluded that the accelerator may have reached a technical limit. Six weeks of 

operations were also conducted at 250 GeV beam energy yielding 35% beam polarization, 

significantly below the goal of 60%. The C-AD needs to demonstrate a significant improvement in 

the polarized proton Figure of Merit (FOM) in order to meet future DOE NP milestones. 

The 2009 S&T review was particularly impressed by the breadth of the challenges that the RHIC 

staff confronts in operating a machine that functions in as many modes as the RHIC facility. 

The Division’s pursuit of innovative accelerator R&D is recognized by significant awards to its 

staff. The RHIC beam luminosity upgrade is now planned to be accomplished by stochastic beam 

cooling providing new capabilities five years earlier at significant cost saving. The C-AD staff is 

commended for its outstanding performance and leadership

The Electron Beam Ion Source (EBIS) upgrade project is on schedule to begin commissioning 

with beam in January 2010 with the intention of using it for RHIC injection for Run 11. The CAD is commended for their project management oversight.

The American Recovery and Reinvestment Act (ARRA) is providing funding for two RHIC 

accelerator luminosity upgrade projects (stochastic cooling and electron lens development). The 
FY 2009 Performance Evaluation Report

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53

2009 S&T review commended the use of ARRA funding to advance these projects by 

approximately two to three years. Plans to bring these projects to completion were considered to 

be feasible. The C-AD staff is commended for its outstanding performance and leadership. The 

Department's pursuit of innovative accelerator R&D is recognized by significant awards to its 

staff. 

The strong safety program at RHIC is commended, the success of which is supported by the low 

DART and TRC trends in the annual safety metrics. 

A new accelerator tune to reduce the BLIP facility beam energy from the maximum of 200 MeV 

to 66 MeV was developed in order to more effectively produce the Yttrium-86 isotope.

Objective 2.4: Utilization of Facility to Grow and Support Lab's Research Base and 

External User Community.

Weight: 15%

Score: 3.5 Grade: AObjective Evaluation: 

The utilization of the RHIC facility by external users remains steady. The number of foreign users 

may begin to decline with the advent of Large Hadron Collider operations.

Goal 3.0: Provide Effective and Efficient Science and Technology Program Management.

Weight: 20%

Score: 3.50 Grade: AGoal Evaluation: 

The Associate Laboratory Director has established an Electron Ion Collider (EIC) scientific 

taskforce. 

The C-AD has developed a world-class competency in a broad portfolio of accelerator R&D. 

Staffing levels at the C-AD has decreased in 2009 by ~ 20 FTE’s with a movement of staff to the 

National Synchrotron Light Source II (NSLS II) project. 

BNL management taking steps to strengthen its management of upgrade projects and to document 

a methodology for tracking current and future RHIC projects. 

The Heavy Flavor Tracker (HFT) project did pass a DOE CD0 scientific review. Feasibility of the 

HFT proposal’s broad scientific goals was not demonstrated. These weaknesses need to be 

addressed by BNL management. Future proposals submitted by BNL to DOE must be vetted 

rigorously. 

The laboratory internally restructured the isotope program in response to the transfer of the DOE 

Isotope Program to NP. 

The laboratory proposed two accelerator improvement projects that were selected for support with 

ARRA funds.

Objective 3.1: Provide Effective and Efficient Stewardship of Scientific Capabilities and 

Program Vision.

Weight: 40%

Score: 3.7 Grade: A-
FY 2009 Performance Evaluation Report

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Objective Evaluation: 

The Associate Laboratory Director has established an Electron Ion Collider (EIC) scientific 

taskforce and an EIC advisory committee to help guide the community in the technical and 

scientific development of a proposed EIC. 

The C-AD has developed a world-class competency in a broad portfolio of accelerator R&D 

which has advanced the RHIC performance and the development of a pre-conceptual design for 

BNL’s vision of the Electron Ion Collider, eRHIC, and the staged medium–energy EIC option 

called MeRHIC. These R&D efforts will be important to other next-generation machines being 

planned in the Office of Science, and other applications outside Nuclear Physics. 

Staffing levels at the C-AD has decreased in 2009 by ~ 20 FTE’s with a movement of staff to the 

National Synchrotron Light Source II (NSLS II) project. While the C-AD is vigorously hiring 

replacement staff, there is concern that unique skills could be lost (e.g., AGS accelerator 

physicists).

Objective 3.2: Provide Effective and Efficient Science and Technology Project/Program 

Planning and Management.

Weight: 40%

Score: 3.4 Grade: B+

Objective Evaluation: 

The effective management of detector upgrade projects was a principal concern at the 2008 DOE 

S&T review. BNL management has responded adequately to the DOE recommendations by taking 

steps to strengthen its management of upgrade projects and has documented a methodology for 

tracking current and future RHIC projects. 

The STAR TOF project was completed successfully, and the PHENIX silicon tracker upgrades

are currently proceeding on cost and on schedule.

The Heavy Flavor Tracker (HFT) project did pass a DOE CD0 scientific review. However, the 

realization of the proposal’s broad scientific goals was not apparent. These weaknesses need to be 

addressed by BNL management and the STAR collaboration. Future proposals submitted to DOE 

need to be vetted rigorously by BNL. 

Management should ensure the BNL spin group is adequately resourced to understand the high 

rate performance of the proton-carbon Coulomb Nuclear Interference (p-C CNI) polarimeters and 

to resolve their observed rate sensitivity issues within the next two years.

BNL management is appropriately maintaining and developing core competencies in support of 

the DOE Nuclear Physics Program goals.

The National Nuclear Data Center has appointed a new Director.

Objective 3.3: Provide Efficient and Effective Communications and Responsiveness to 

Customer Needs.

Weight: 20%

Score: 3.3 Grade: B+

Objective Evaluation: 

RHIC management provides efficient communications at many different levels, conferences and 

public meetings. 
FY 2009 Performance Evaluation Report

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The BNL User’s Center staff has greatly improved interactions between RHIC users and BNL, 

and has been especially effective in expediting user access.

RHIC management is responsive to requests for information by the Office of Nuclear Physics, and 

communicates effectively on project issues at regular monthly at quarterly teleconferences.

The NNDC leadership communicates with NP as necessary.

Feedback from isotope customers indicate that customer relations and communication could use 

improvement.

The laboratory is responsive to the reporting requirements of the Recovery Act projects.
FY 2009 Performance Evaluation Report

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Workforce Development for Teachers and Scientists

Brookhaven National Laboratory

FY 2009 Performance Evaluation

Science and Technology

Goal 1.0: Provide for Efficient and Effective Mission Accomplishment.

Weight: 65%

Score: 3.75 Grade: A

Goal Evaluation: 

The Brookhaven National Laboratory's Office of Educational Programs does a best in class 

managing the WDTS programs. Their strength lies in the fact that the staff is singularly 

committed to ensuring that all WTDS participants have a quality laboratory research experience. 

The education office offers a full continuum of science education opportunities and fully leverages 

many program elements from a number of different funding sources to provide an outstanding 

research experience. 

Brookhaven has established an excellent peer to peer support environment where participants 

(undergraduate, graduate and educators alike) work as partners to help facilitate the learning of 

technical and scientific content as well as collaborate on the production of program deliverables 

i.e. abstracts, full length research papers, posters, teaching material and etc. All participants are 

fully integrated into the BNL laboratory culture and become part of the BNL "family" where 

success is collaboration and thinking inquisitively.

Objective 1.1: Science and Technology Results Provide Meaningful Impact on the Field.

Weight: 25%

Score: 3.6 Grade: AObjective Evaluation: 

All program deliverables (research abstracts, full length papers, posters, portfolios) are of the 

highest quality and validate a significant achievement for research interns and educators. The 

education program office has positioned itself as a central contributor to the laboratory operation. 

Mentor researchers look to the education office for competent, much needed research support.

Objective 1.2: Provide Quality Leadership in Science and Technology.

Weight: 30%

Score: 3.8 Grade: A

Objective Evaluation: 

BNL has aligned itself to many university systems throughout the northeast and seeks interns and 

educators that are positioned to become part of the BNL extended community. Through these 

alignments, BNL has created and leveraged multiple state and local science education 

collaborations and continues to sustain them through most effective and engaging management.

Objective 1.3: Provide and sustain Outputs that Advance Program Objectives and Goals.
FY 2009 Performance Evaluation Report

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Weight: 30%

Score: 3.8 Grade: A

Objective Evaluation: 

BNL matches research interns and educators with mentors who are funded by SC and are thus are 

in critical mission research, especially in the life sciences. Also, BNL has developed multiple 

"entry" programs that are pathways, particularly for under-represented populations, to longer term 

research experiences. They have dedicated staff to developing, recruiting, and hosting students and 

faculty from minority serving institutions (MSIs). They have as result raised the visibility, 

confidence, and level of expectation among the research divisions that there is now a demand pull 

for individuals from MSIs.

Objective 1.4: Provide for Effective Delivery of Products.

Weight: 15%

Score: 3.8 Grade: A

Objective Evaluation: 

BNL creatively matches educators and interns from different programs as collaborators where for 

example an educator can use his/her teaching skill along with their research experience to develop 

an educational module and have it “tested” real time for reliability by undergraduate interns and 

pre-service teachers. At BNL, DOE ACTS educators routinely work with a Pre-service teacher to 

develop classroom science experiments and then use them excite and make relevant laboratory 

science to middle and high school visitors.

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

Research Facilities

Weight: N/A

Score: N/A Grade: N/A

Goal Evaluation: 

N/A

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

Programs.

Weight: N/A

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Objective 2.2: Provide for the Effective and Efficient Construction of Facilities and/or 

Fabrication of Components.

Weight: N/A

Score: N/A Grade: N/A
FY 2009 Performance Evaluation Report

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Objective Evaluation: 

N/A

Objective 2.3: Provide Efficient and Effective Operation of Facilities.

Weight: N/A

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Objective 2.4: Utilization of Facility to Grow and Support Lab's Research Base and 

External User Community.

Weight: N/A

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Goal 3.0: Provide Effective and Efficient Science and Technology Program Management.

Weight: 35%

Score: 3.76 Grade: A

Goal Evaluation: 

BNL's Educational Office Program is a highly motivated extremely well managed team that works 

continually to integrate science education and workforce development into the research mission of 

the laboratory. Their effectiveness comes from the example set by and extensive management skill 

of the program director. The team members support one another at every opportunity and operate 

with a single focus of providing the quality laboratory experience for individuals that will get the 

maximum benefit. 

BNL has advanced the education culture within the laboratory by supplying a well prepared, 

diverse, dedicated pool of undergraduate interns and educators. Research interns are expected and 

supported in their effort to complete high quality deliverables in a peer to peer supportive 

environment. 

The education office is recognized across the laboratory as a resource for providing talented, well 

prepared interns fully capable of contributing to research. 

BNL leverages resources from different sciences agencies to maximize the laboratories opportunities to 

provide research experience. Funding from NSF and DHS are used to put interns and educators in research 

collaborations where their talents complement one another, leverage knowledge and build durable 

relationships

Objective 3.1: Provide Effective and Efficient Stewardship of Scientific Capabilities and 

Program Vision.

Weight: 20%
FY 2009 Performance Evaluation Report

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Score: 3.8 Grade: A

Objective Evaluation: 

The education program is committed to improving how they manage their programs by validating 

progress by longitudinal data, self assessment, “trusted partner” evaluation, and peer review of 

deliverables. .

Objective 3.2: Provide Effective and Efficient Science and Technology Project/Program 

Planning and Management.

Weight: 40%

Score: 3.8 Grade: A

Objective Evaluation: 

Students and educators learn to embrace the culture of collaboration and are guided to assist one 

other in understanding complex science as well as producing research abstracts and full papers. 

They work as teams to develop skills in poster presentations, power points, and others tools 

required to effectively communicate science accomplishments..

Objective 3.3: Provide Efficient and Effective Communications and Responsiveness to 

Customer Needs.

Weight: 40%

Score: 3.7 Grade: AObjective Evaluation: 

The educational office and its staff are excellent advisors and collaborators with WDTS. WDTS 

views the BNL education staff as “trusted partners” in the process of continual program 

improvement, and as an “advisor” in helping position WDTS as a resource for laboratory talent 

and collaborator in future workforce planning. The education office is a leader in managing 

WDTS programs and is a always willing to share best practices with other laboratories.
FY 2009 Performance Evaluation Report

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Other Customers

US Department of Homeland Security (DHS)

FY 2009 Performance Evaluation

Science and Technology

Goal 1.0: Provide for Efficient and Effective Mission Accomplishment.

Weight: 65%

Score: 4.07 Grade: A+

Goal Evaluation: 

Provides high quality value-added scientific studies and results

Objective 1.1: Science and Technology Results Provide Meaningful Impact on the Field.

Weight: 55%

Score: 4.1 Grade: A+

Objective Evaluation: 

Scientific data, results, tests, and experiments are on the leading edge in the field

Objective 1.2: Provide Quality Leadership in Science and Technology.

Weight: 15%

Score: 4.2 Grade: A+

Objective Evaluation: 

Constantly sought out for valuable input to programs to achieve their objectives and goals

Objective 1.3: Provide and sustain Outputs that Advance Program Objectives and Goals.

Weight: 15%

Score: 3.9 Grade: A

Objective Evaluation: 

Products continue to lead the field.

Objective 1.4: Provide for Effective Delivery of Products.

Weight: 15%

Score: 4.0 Grade: A

Objective Evaluation: 

BNL products are highly regarded
FY 2009 Performance Evaluation Report

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61

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

Research Facilities

Weight: N/A

Score: N/A Grade: N/A

Goal Evaluation: 

N/A

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

Programs.

Weight: N/A

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Objective 2.2: Provide for the Effective and Efficient Construction of Facilities and/or 

Fabrication of Components.

Weight: N/A

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Objective 2.3: Provide Efficient and Effective Operation of Facilities.

Weight: N/A

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Objective 2.4: Utilization of Facility to Grow and Support Lab's Research Base and 

External User Community.

Weight: N/A

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Goal 3.0: Provide Effective and Efficient Science and Technology Program Management.

Weight: 35%
FY 2009 Performance Evaluation Report

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Score: 4.13 Grade: A+

Goal Evaluation: 

I have always been impressed with the quality of BNL's Program Management practices.

Objective 3.1: Provide Effective and Efficient Stewardship of Scientific Capabilities and 

Program Vision.

Weight: 30%

Score: 4.1 Grade: A+

Objective Evaluation: 

New facilities at BNL provide unique and valuable assets for scientific inquiries and studies.

Objective 3.2: Provide Effective and Efficient Science and Technology Project/Program 

Planning and Management.

Weight: 20%

Score: 4.0 Grade: A

Objective Evaluation: 

In addition to being a leader in scientific fields, the project and program management at BNL is 

also outstanding and as a sponsor there is confidence that things will run smoothly

Objective 3.3: Provide Efficient and Effective Communications and Responsiveness to 

Customer Needs.

Weight: 50%

Score: 4.2 Grade: A+

Objective Evaluation: 

Is very responsive to customers' needs and articulates those needs to sponsors and stakeholders.
FY 2009 Performance Evaluation Report

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63

Office of Defense Nuclear Nonproliferation (DNN)

FY 2009 Performance Evaluation

Science and Technology

Goal 1.0: Provide for Efficient and Effective Mission Accomplishment.

Weight: 50%

Score: 3.17 Grade: B+

Goal Evaluation: 

Brookhaven National Laboratory generally provides quality work and solid project management support 

for the Office of Defense Nuclear Nonproliferation. BNL has consistently performed very well with the 

management of Global Initiatives for Proliferation Prevention (GIPP) scientist engagement projects, 

fulfilling all key program requirements with respect to institutes engaged, the number and type of FSU 

scientists, engineers and technicians engaged, the quality of science engineering, and effective planning and 

project management. BNL manages program funds and other resources effectively and responds to 

requests for information accurately and in a timely fashion. Additionally, the Laboratory provides 

significant support to MPC&A work at the Siberian Group of Chemical Enterprises (SGChE). For the 

Office of Nonproliferation and Verification Research and Development, BNL provides consistently high 

quality research that is cutting edge, creative and forward leaning. 

However, the Laboratory’s work with the Office of International Material Protection and Cooperation has 

fallen short. While BNL has provided effective SME and project management support for the Office of 

Material Consolidation and Civilian Sites, the Laboratory has not always paid for Russian contract 

deliverables on-time and has not regularly processed contracts and task orders in a timely fashion. Another 

concern is that BNL has removed administrative support from the MCC Project without a clearly 

articulated justification for this change. For the Office of National Infrastructure & Sustainability BNL has 

offered positive project management support; however, there have been some administrative difficulties 

concerning timely payment on deliverables, execution of contracts, and other administrative issues. 

Objective 1.1: Science and Technology Results Provide Meaningful Impact on the Field.

Weight: 15%

Score: 3.1 Grade: B+

Objective Evaluation: 

BNL has made a positive impact on the field, specifically with its work for the Office of 

Nonproliferation and International Security. The Laboratory’s principal investigators on GIPP 

projects have had a strong record on publications, invited talks, and U.S. and foreign counterpart 

patent applications. Of note, five of BNL's GIPP projects have reached the commercial phase, 

creating and sustaining over 300 jobs in the former Soviet Union (Russia and Kazakhstan).

Objective 1.2: Provide Quality Leadership in Science and Technology.

Weight: 15%

Score: 3.1 Grade: B+

Objective Evaluation: 

Brookhaven National Laboratory exhibits quality leadership, particularly with its work for the 

Office of Nonproliferation and International Security. Over the years, BNL has been a leader 

among the 11 DOE labs participating in NA-24 programs with respect to the scientific complexity 

of its projects as well as the results it has attained. 
FY 2009 Performance Evaluation Report

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Objective 1.3: Provide and sustain Outputs that Advance Program Objectives and Goals.

Weight: 35%

Score: 3.2 Grade: B+

Objective Evaluation: 

BNL has performed admirably in its work for the Office of Nonproliferation and International 

Security, where many of its projects are at FSU institutes of interest to the nonproliferation 

community within the U.S. government. The annual project reviews are consistently wellorganized, timely, and answer relevant questions. Additionally, BNL develops project statementsof-work that are thoughtfully constructed, with sensible objectives. BNL regularly provides high 

quality outputs to advance NA-24's Next Generation Safeguards Initiative (NGSI) goals in the 

areas of policy (e.g., IAEA legal authorities, IAEA budget, and NPT withdrawal) and Human 

Capital Development (e.g., recruiting qualified candidates for safeguards jobs at the IAEA). 

BNL’s work with the Office of International Material Protection and Cooperation (NA-25) has 

helped to advance the goals and objectives of MPC&A work at the Siberian Group of Chemical 

Enterprises (SGChE). Additionally, BNL members involved in the MPC&A Operations 

Monitoring (MOM), MPC&A Culture, and MC&A Measurements (MCAM) projects for NA-25 

performed effectively to support the program goals. 

That being said, we would like express concern about some shortcomings with the Laboratory’s 

work for NA-25. Specifically, the MPC&A Culture project experienced difficulties in terms of 

timely payment on deliverables, execution of contracts, and other administrative issues. For 

example, a problem occurred when funds were de-committed from Culture contracts and returned 

to the wrong accounts. The funding could not be located for nearly three months, which impacted 

the project’s ability to write new contracts and commit funds by the end of FY09. 

Objective 1.4: Provide for Effective Delivery of Products.

Weight: 35%

Score: 3.2 Grade: B+

Objective Evaluation: 

BNL generally delivers effective products on-schedule and under budget. With BNL’s work for 

the Office of Nonproliferation and International Security we have been pleased that the Laboratory 

has been willing to change the principal investigators for projects that were behind schedule or 

getting off-track. Additionally, BNL has effectively delivered written products to advance NGSI's 

goals. 

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

Research Facilities

Weight: N/A

Score: N/A Grade: N/A

Goal Evaluation: 

N/A
FY 2009 Performance Evaluation Report

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65

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

Programs.

Weight: N/A

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Objective 2.2: Provide for the Effective and Efficient Construction of Facilities and/or 

Fabrication of Components.

Weight: N/A

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Objective 2.3: Provide Efficient and Effective Operation of Facilities.

Weight: N/A

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Objective 2.4: Utilization of Facility to Grow and Support Lab's Research Base and 

External User Community.

Weight: N/A

Score: N/A Grade: N/A

Objective Evaluation: 

N/A

Goal 3.0: Provide Effective and Efficient Science and Technology Program Management.

Weight: 50%

Score: 3.20 Grade: B+

Goal Evaluation: 

BNL demonstrates effective planning, organization and implementation for most projects. We have been 

pleased with BNL program managers, who have served as good technical and management resources for 

headquarters. BNL exhibits excellent work for the Office of Nonproliferation and Verification Research 

and Development, which reports and that programs are executed on-time, on-budget and do not require rework. In fact, NA-22 increasingly looks to BNL for cutting edge research and has increased its proportion 

of funding for BNL due to its excellent work and high-quality staff.
FY 2009 Performance Evaluation Report

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Objective 3.1: Provide Effective and Efficient Stewardship of Scientific Capabilities and 

Program Vision.

Weight: 20%

Score: 3.2 Grade: B+

Objective Evaluation: 

Overall, we have been pleased with BNL’s dedication and support of the programmatic vision for 

the Office of Defense Nuclear Nonproliferation. BNL principal investigators and other program 

staff are well-qualified, and resources are used effectively to accomplish program goals.

Objective 3.2: Provide Effective and Efficient Science and Technology Project/Program 

Planning and Management.

Weight: 40%

Score: 3.2 Grade: B+

Objective Evaluation: 

We are pleased that BNL’s project leadership has not hesitated to change project goals when 

results suggest this is prudent. The BNL International Safeguards Project Office provides day-today project administration and task monitoring for the U.S. Support Program to IAEA Safeguards. 

In managing over 100 tasks this year, BNL has provided outstanding project management support, 

keeping most tasks on-schedule and on-budget and providing timely and detailed progress 

reporting to the Office of Nonproliferation and International Security. Additionally, BNL has 

provided effective support to the management of the Siberian Group of Chemical Enterprises 

(SGChE) MPC&A Project.

Objective 3.3: Provide Efficient and Effective Communications and Responsiveness to 

Customer Needs.

Weight: 40%

Score: 3.2 Grade: B+

Objective Evaluation: 

BNL has a successful track record of communicating with program offices. The Laboratory is 

prompt and effective in responding fully and accurately to requests from headquarters for 

program-related information. Specifically, the BNL members of the MPC&A Operations 

Monitoring (MOM) team and the MC&A Measurements (MCAM) team provide quick and 

effective communications, e-mails, and written reports. Furthermore, the Laboratory’s annual 

project reviews are consistently well-organized, thoughtful and well-presented. 
FY 2009 Performance Evaluation Report

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Attached