United States General Accounting Office

GAO Report to the Chairman, Subcommittee

on Energy and Water Development,

Committee on Appropriations,

House of Representatives

July 1997 DEPARTMENT OF

ENERGY

Solar and Renewable

Resources

Technologies Program

GAO/RCED-97-188

GAO United States

General Accounting Office

Washington, D.C. 20548

Resources, Community, and

Economic Development Division

B-277079 

July 11, 1997

The Honorable Joseph M. McDade

Chairman, Subcommittee on Energy

 and Water Development

Committee on Appropriations

House of Representatives

Dear Mr. Chairman:

The Department of Energy’s (DOE) fiscal year 1998 budget request for the

Solar and Renewable Resources Technologies Program is $330 million,1

 an

increase of almost $79 million from fiscal year 1997 appropriations. The

program is managed primarily by the Office of Utility Technologies to

advance clean, reliable, and affordable power through cost-shared

research partnerships with industry and laboratories.2

 As agreed with your

office, this report provides program information on (1) the level of funding

committed to research and development (R&D) and other activities in fiscal

year 1998, (2) the extent to which DOE’s costs have been shared with

private industry and the type of cost-share arrangements, and (3) the

extent to which the funds have been competitively awarded.

We categorized R&D activities as basic research, applied research and

exploratory development, advanced development/engineering

development, and operational tests/field validations. Appendix I provides

the definitions used in this report for these R&D phases.

Results in Brief In fiscal year 1998, DOE proposes to spend $311 million of the $345 million

Solar and Renewable Resources Technologies Program’s budget for solar

and renewable energy R&D projects and $34 million for non-R&D activities.3

The R&D projects range from experiments for increasing knowledge and

understanding to full-scale engineering development. Because many of the

renewable energy technologies already exist and are being improved to

increase their efficiency and reduce cost, $55 million will be spent for

operational tests/field validations—the phase of R&D that is closest to

commercialization. Almost $16 million of the non-R&D funds will be used

1

In fiscal year 1998, DOE also proposes using $15 million in funds carried over from fiscal year 1997 for

a total of $345 million.

2

DOE’s Office of Transportation Technologies manages the Biofuels Energy Systems activity.

3

Comprehensive data by R&D activity for actual fiscal year 1996 and estimated fiscal years 1997 and

1998 funding are included in appendix II.

Page 1 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
B-277079 

for program direction, including salaries, travel, and administrative

services. The remaining non-R&D activities include information

dissemination, incentive payments to public power entities, and laboratory

maintenance and construction.

DOE leverages federal funds and encourages commercialization of

renewable energy technologies by requiring industry and other partners to

share the R&D costs. During fiscal years 1996 and 1997, private industry and

other groups’ cost-sharing ranged between 3 and 84 percent of the cost of

the research projects, depending on the renewable energy subprogram, the

size of the firms involved, and the phase of R&D. The cost-shares were in

the form of cash or in-kind contributions, such as salary or equipment

costs or a combination of both.

Most of the funding agreements entered into by the Solar and Renewable

Resources Technologies Program were awarded on a competitive basis

during fiscal years 1996 and 1997.4

 The percentage of competitive awards

ranged from none for some subprogram activities to 100 percent for

others. Most of the subprograms awarded at least 50 percent of the funds

competitively. According to DOE program officials, the contract funds

awarded noncompetitively met allowable exceptions to competition.

Background Renewable energy technologies generate electricity, fuels, and/or heat

through the use of resources that are continually replenished, such as

sunlight (photovoltaics), heat from the sun (solar thermal), wind, naturally

occurring underground steam and heat (geothermal), plant and animal

waste (biomass), and water (hydropower). The Solar and Renewable

Resources Technologies Program funds research on renewable energy for

utilities, transportation systems, industry, and buildings and for advanced

utility system technologies. In addition, the program provides support for

solar and renewable energy technologies in domestic and international

markets through incentive programs to public power entities and through

mechanisms established to increase commercial financing resources for

major foreign purchases of U.S. technologies.

Most new product and process development is not initiated by new

science but instead is an attempt to meet perceived market needs by

drawing on existing technologies and on the pool of scientific knowledge.

R&D can proceed sequentially from basic research to the operational

4

Funding agreements include contracts, subcontracts, grants, cooperative agreements, and cooperative

research and development agreements.

Page 2 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
B-277079 

tests/field validations phase. These various phases can proceed

sequentially in that basic research serves as the source of innovation. In

these situations, new scientific knowledge initiates a chain of events

culminating in the development and sale of a new product, process, or

service. In other situations, the activities may not proceed in such a linear

fashion, as changes to existing products often arise from the recognition of

new market opportunities, advances in manufacturing capabilities, or

advances in technology independent of progress in the underlying science.

Commercialization is an attempt by a firm to profit by incorporating new

technology into products, processes, and services used or sold in the

marketplace. For many new technologies, commercialization implies

scaling up from prototype to volume manufacturing and committing

greater resources to marketing and sales activities. Research projects in

the operational tests/field validations phase are closest to the marketplace

in terms of commercialization. An October 1995 report by the Office of

Technology Assessment found that many factors other than scientific

understanding strongly influence commercial success: the nature and

composition of markets; competition from older technologies; choices of

design and implementation; the availability of financing, standards, and

complementary assets or infrastructure; and the ability to link with

strategic partners.5

In DOE’s fiscal year 1998 congressional budget request, the term

“deployment” is used in different ways. At times, deployment is used in the

context of deploying an emerging technology in a field validation or

operational test, which is a precommercialization activity. At other times,

deployment is used in the context of the deployment of commercial

products in cost-effective applications. An example would be the state

energy grant programs, which facilitate the implementation of energy

efficiency measures and renewable energy systems.

Proposed Fiscal Year

1998 Funding for

DOE’s Solar and

Renewable Resources

Technologies

In fiscal year 1998, DOE plans to spend 90 percent of its solar and

renewable energy program funds on R&D to promote the commercial

viability of renewable energy technologies. The remaining funds will be

spent on non-R&D activities for program direction, such as salaries, travel,

and administrative services and to support the deployment of solar and

renewable energy technologies into domestic and international markets.

5

Innovation and Commercialization of Emerging Technologies, Office of Technology Assessment

(Oct. 1995).

Page 3 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
B-277079 

Fiscal Year 1998 Funding

for R&D Projects

For fiscal year 1998, DOE proposes to spend $311 million (or 90 percent) of

the Solar and Renewable Resources Technologies Program budget for R&D

projects. Most of the research conducted will be in the applied research

phase. (See table 1.) About $55 million (or 18 percent) of those funds will

be spent for operational tests and field validations of integrated

technologies in a realistic operating environment. Projects in this phase

are closest to the marketplace in terms of eventual commercialization.

Activities include concept development, market and technical feasibility

studies, prototype construction, and scale-up demonstrations.

Table 1: Proposed Funding by

Research Phase for Solar and

Renewable Energy Subprograms,

Fiscal Year 1998

Dollars in thousands

Subprogram Basic research

Applied

research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field

validations

Solar Building

Technology

0 $1,350 $1,125 $1,525

Photovoltaic

Energy Systems

$11,000 28,000 28,400 9,600

Solar Thermal

Energy Systems

0 4,260 8,790 6,750

Biopower/

Biofuels

Energy 

Systems

0 27,805 17,272 31,463

Wind Energy

Systems

0 13,400 29,458 0

Geothermal 2,600 15,482 9,418 2,500

Hydrogen 0 5,958 6,114 2,928

Hydropower 0 1,000 0 0

Electric Energy

Systems &

Storagea

15,620 25,230 3,130 520

Totals $29,220 $122,485 $103,707 $55,286

aThe Electric Energy Systems and Storage subprogram figures do not include the Climate

Challenge (see table 2 for description of this activity), which has been categorized by DOE as

non-R&D.

Source: Developed by GAO from DOE’s data.

According to DOE officials in the Office of Utility Technologies, none of

these projects fund the commercialization of the technologies. However,

Page 4 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
B-277079 

some of these technologies may already be commercially viable in specific

niche applications or geographical regions. And with additional R&D, these

technologies may have further commercial potential in a larger range of

markets and applications and at less cost. For example, the mission of the

wind energy subprogram is to establish wind energy as a regionally

diversified, cost-effective power generation technology. To date, wind

turbine technology development in the United States has been viable only

at sites with high average wind speeds.6

 However, wind may have

commercial potential as an energy source in areas of the country where

winds are of moderate velocity, such as the midwestern United States

from the Canadian border to Mexico. The additional applied research is

needed to develop a next generation wind turbine that will be competitive

at lower average wind speeds.

In other cases, DOE is supporting the test and demonstration of

first-of-a-kind technologies. For example, the biofuels energy systems

activity is funding the development of cost-competitive processes to

produce ethanol from low-cost agricultural and forestry wastes, such as

rice straw and sawdust. According to a DOE official in the Office of Fuels

Development, the technology to produce ethanol from such wastes has not

been demonstrated anywhere in the world. The program strategy is to

demonstrate the technology in an industry-owned facility and share the

cost.

According to DOE program officials, without DOE’s assistance, the

technologies might not reach commercialization. If the technologies have

not been demonstrated to be cost-competitive, industry may not be willing

to invest the funds needed to achieve market penetration. To reduce the

perceived risk, DOE is helping to test and document the performance

because performance cannot always be accurately predicted through

modeling. For example, a technology close to commercialization is the

geothermal heat pump. In fiscal year 1998, DOE plans to work with an

industry consortium to further test and document the performance of this

technology to accelerate widespread consumer acceptance. To date, DOE

has invested $17 million in this program. In fiscal year 1998, the budget

request was reduced by almost one-half compared with fiscal year 1997 by

eliminating the funding for new large demonstration projects.

Appendix II has a comprehensive listing of R&D funding by phase of

research for each solar and renewable energy subprogram and activity for

fiscal years 1996 through 1998.

6

Wind turbines are machines that generate electricity by using the kinetic energy of the wind.

Page 5 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
B-277079 

Fiscal Year 1998 Funding

for Non-R&D Activities

DOE plans to use the remaining $34 million of the proposed budget to fund

non-R&D initiatives and activities that support the deployment of solar and

renewable energy technologies into domestic and international markets.

(See table 2.) The amount represents over an 80-percent increase from the

fiscal year 1997 appropriation for non-R&D activities. Almost one-half of the

non-R&D funds in the fiscal year 1998 budget will be used for program

direction. Program direction includes funding for federal salaries and

benefits, travel, administrative services, and other related activities. From

the $34 million, $5 million will be spent on maintenance and expansion of

the National Renewable Energy Laboratory. Other non-R&D funds will be

used to provide incentives for renewable energy production to new

facilities owned by public power entities as provided by section 1212 of

the Energy Policy Act of 1992; provide support for voluntary actions by

electric utilities to reduce, avoid, or sequester greenhouse gas emissions;

and disseminate information on renewable energy technologies. A

description of each of the non-R&D activities is included in appendix III.

Table 2: Proposed Funding for Solar

and Renewable Energy Non-R&D

Programs, Fiscal Year 1998

Dollars in thousands

Subprogram Fiscal year 1998

Program Direction $15,642

National Renewable Energy Laboratory 5,000

Renewable Energy Production Incentive 4,000

Committee on Renewable Energy

Commerce and Trade

2,000

The America’s 21st Century Program 2,500

The U.S. Initiative on Joint Implementation 2,500

Solar Technology Transfer 1,360

Climate Challengea 1,000

Totals $34,002

aClimate Challenge is an activity in the Electric Energy Systems and Storage subprogram.

Source: Developed by GAO from DOE’s data.

DOE’s Research Is

Cost-Shared With

Private Industry and

Other Partners

DOE uses cost-sharing of renewable energy projects to leverage federal

funds. Through partnerships with DOE, partners from private industry and

other groups provide cost-share amounts that range from as little as

3 percent to as much as 84 percent of the research costs for renewable

energy projects. DOE program officials told us that cost-sharing from

Page 6 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
B-277079 

industry and other partners ensures effective use of federal funds and

helps to expedite the development and eventual commercialization of

technologies because the partners have a vested interest in them.

According to DOE officials from the Office of Utility Technologies and the

Office of Transportation Technologies, the cost-share contributions by

partners from private industry are generally higher for projects in the later

phases of R&D. For example, the industry’s cost-share percentages for the

photovoltaic program are 24 percent for the basic and applied R&D phases

and 92 percent for technology development.

The cost-share requirements for specific projects are generally established

during the initial solicitation for partners and are met by cash, in-kind

contributions, or a combination of both. In-kind contributions may consist

of employees’ time and salary costs, use of partners’ facilities and

equipment, and/or the cost of purchasing facilities or equipment.

DOE provided us with information on typical cost-share percentages for

each of its renewable energy subprograms by activity. The information

shows that the cost-share contributed by private sector partners and other

partners varies by subprogram and activities. The range of cost-share

percentages by subprogram and the type of partners, which include

utilities, universities, industry, and trade associations, is summarized in

table 3.

Page 7 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
B-277079 

Table 3: Range of Typical Cost-Share

Percentages, Typical Types of

Partners, and Primary Types of

Contributions by Renewable Energy

Subprograms

Primary types of cost-share

contributionb

Subprogram

Cost-share

percentagesa

Typical

partners Cash In-kind Mixed

Solar Building

Technology

15-40 Industry,

utilities,

universities,

and trade

groups

b x b

Photovoltaic

Energy

Systems

13-70 Industry,

utilities,

universities,

and trade

groups

x b b

Solar Thermal

Energy

Systems

3-80 Industry and

utilities

x b b

Biopower/

Biofuels

Energy

Systems

24-80 Industry,

utilities, and

universities

b x b

Wind Energy

Systems

21-30 Industry and

universities

x b b

Geothermal

15-84 Industry and

utilities

b b x

Hydrogen

5-50 Industry and

trade groups

b b x

Hydropower 30-62 Industry x b b

Electric

Energy

Systems and

Storagec

15-50 Industry x b b

aSome of DOE’s R&D projects such as those performed by some national laboratories and some

universities are not cost-shared. The cost-share percentages represent those projects that are

cost-shared.

bCost-share requirements may have been met by cash, in-kind contributions, or a combination of

both. This table presents the primary type of contribution.

cThe Electric Energy Systems and Storage subprogram figures do not include the Climate

Challenge activity, which has been categorized by DOE as non-R&D.

Source: Developed by GAO from DOE’s data.

See appendix IV for detailed information on typical cost-shares for specific

renewable energy activities. Appendix V has information on DOE’s funding

to trade associations.

Page 8 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
B-277079 

Most Renewable

Energy R&D Funds

Are Awarded

Competitively

Of the funds awarded through funding agreements, five of the nine

subprograms awarded at least 50 percent of their funds on a competitive

basis. However, the extent of competition varied by subprogram. Some

subprogram activities awarded none of the funds competitively; some

awarded 100 percent of the funds competitively. Table 4 shows the range

of competition by subprogram.

DOE awards contracts, subcontracts, grants, cooperative agreements, and

cooperative research and development agreements (CRADA) through its

laboratories, field offices, and headquarters. All contract awards are

subject to the requirements of the Competition in Contracting Act and the

Federal Acquisition Regulation. The grant and cooperative agreement

awards are subject to DOE’s Financial Assistance Regulations.

Some of the funding agreements were awarded without competition.

According to program officials, the noncompetitively awarded contracts

met allowable exceptions to procurement rules. The federal rules require

specific written justification for contract awards made without

competition. Allowable exceptions include awards made in the public’s

interest or to a unique source.

Detailed information on the extent of competition by budget subprogram

and activity is shown in appendix VI.

Page 9 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
B-277079 

Table 4: Range of Competitive Awards

for Renewable Energy Subprograms

Subprogram

Primary procurement

mechanism Percent of competition

Solar Building Technology Grant 50-100

Photovoltaic Energy Systems Subcontract 79-100

Solar Thermal Energy

Systems

Subcontract 18-100

Biopower/Biofuels Energy

Systems

Contract, cooperative

agreement, and subcontract

34-100

Wind Energy Systems Subcontract 0-100

Geothermal Grant and contract 0-95

Hydrogen Contract 85-100

Hydropower Contract 84-97

Electric Energy Systems &

Storagea

Contract, grant, CRADA,

and cooperative agreement

75-100

aThe Electric Energy Systems and Storage subprogram figures do not include the Climate

Challenge activity, which has been categorized by DOE as non-R&D.

Source: Developed by GAO from DOE’s data.

Agency Comments We provided copies of a draft of this report to DOE for review and

comment. We discussed the draft with DOE officials, including the Acting

Assistant Secretary for Energy Efficiency and Renewable Energy, who

agreed with the report’s findings. DOE provided us with technical

corrections and clarifications that we incorporated where appropriate.

Scope and

Methodology

To determine the level of funding committed to R&D and other activities,

we obtained data from DOE for each solar and renewable energy

subprogram and activity by R&D phase. We obtained actual funding data for

fiscal year 1996 and projected funding for fiscal years 1997 and 1998. We

used DOE’s definitions for the R&D phases. To determine the extent that

project costs are shared with private industry, we obtained information on

typical cost-sharing arrangements for each subprogram and activity for

projects that were funded during fiscal years 1996 and 1997 and specific

funding data for trade associations. To identify the extent to which funds

are competitively awarded, we obtained DOE’s estimate of the percentage

of competitive awards for each subprogram and activity. Our analyses

were based on data provided by DOE. We did not independently verify or

validate the data provided to us.

Page 10 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
B-277079 

We reviewed DOE’s fiscal year 1998 budget request, our prior reports, and

various DOE program documents. We also discussed the renewable energy

programs, the fiscal year 1998 budget request, cost-sharing, and

competition with officials in DOE’s Office of Utility Technologies and Office

of Transportation Technologies. Our review was performed from May

through June 1997 in accordance with generally accepted government

auditing standards.

As arranged with your office, unless you publicly announce its contents

earlier, we plan no further distribution of this report until 30 days after the

date of this letter. At that time, we will send copies to the Secretary of

Energy and make copies available to others on request.

Please call me at (202) 512-3841 if you or your staff have any questions

about this report. Major contributors to this report include Susan Kladiva,

Robin Nazzaro, and Carrie Stevens.

Sincerely yours,

Victor S. Rezendes

Director, Energy, Resources,

 and Science Issues

Page 11 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Contents

Letter 1

Appendix I 

Research and

Development

Definitions

18

Appendix II 

Solar and Renewable

Energy Research and

Development

Funding, Fiscal Years

1996 Through 1998

19

Appendix III 

DOE’s Description of

Non-R&D Solar and

Renewable Energy

Programs

36

Appendix IV 

Typical Cost-Share

Partnerships for the

Solar and Renewable

Energy Program,

Fiscal Years 1996 and

1997

37

Page 12 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Contents

Appendix V 

Solar Renewable

Energy Funding to

Trade Associations

50

Appendix VI 

Competition for Solar

and Renewable

Energy Program

Procurements, Fiscal

Years 1996 and 1997

51

Tables Table 1: Proposed Funding by Research Phase for Solar and

Renewable Energy Subprograms, Fiscal Year 1998

4

 Table 2: Proposed Funding for Solar and Renewable Energy

Non-R&D Programs, Fiscal Year 1998

6

 Table 3: Range of Typical Cost-Share Percentages, Typical Types

of Partners, and Primary Types of Contributions by Renewable

Energy Subprograms

8

 Table 4: Range of Competitive Awards for Renewable Energy

Subprograms

10

 Table II.1: Solar Buildings Technology Activity Funding, Fiscal

Year 1996

19

 Table II.2: Solar Buildings Technology Activity Funding, Fiscal

Year 1997

19

 Table II.3: Solar Buildings Technology Activity Funding, Fiscal

Year 1998

19

 Table II.4: Photovoltaic Energy Systems Activity Funding, Fiscal

Year 1996

20

 Table II.5: Photovoltaic Energy Systems Activity Funding, Fiscal

Year 1997

21

 Table II.6: Photovoltaic Energy Systems Activity Funding, Fiscal

Year 1998

22

 Table II.7: Solar Thermal Energy Systems Activity Funding,

Fiscal Year 1996

23

 Table II.8: Solar Thermal Energy Systems Activity Funding,

Fiscal Year 1997

23

Page 13 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Contents

 Table II.9: Solar Thermal Energy Systems Activity Funding,

Fiscal Year 1998

24

 Table II.10: Biopower/Biofuels Energy Systems Activity Funding,

Fiscal Year 1996

25

 Table II.11: Biopower/Biofuels Energy Systems Activity Funding,

Fiscal Year 1997

26

 Table II.12: Biopower/Biofuels Energy Systems Activity Funding,

Fiscal Year 1998

27

 Table II.13: Wind Energy Systems Activity Funding, Fiscal Year

1996

28

 Table II.14: Wind Energy Systems Activity Funding, Fiscal Year

1997

29

 Table II.15: Wind Energy Systems Activity Funding, Fiscal Year

1998

30

 Table II.16: Geothermal Activity Funding, Fiscal Year 1996 31

 Table II.17: Geothermal Activity Funding, Fiscal Year 1997 31

 Table II.18: Geothermal Activity Funding, Fiscal Year 1998 32

 Table II.19: Hydrogen Activity Funding, Fiscal Year 1996 32

 Table II.20: Hydrogen Activity Funding, Fiscal Year 1997 33

 Table II.21: Hydrogen Activity Funding, Fiscal Year 1998 33

 Table II.22: Hydropower Activity Funding, Fiscal Year 1996 33

 Table II.23: Hydropower Activity Funding, Fiscal Year 1997 34

 Table II.24: Hydropower Activity Funding, Fiscal Year 1998 34

 Table II.25: Electric Energy Systems and Storage Activity

Funding, Fiscal Year 1996

34

 Table II.26: Electric Energy Systems and Storage Activity

Funding, Fiscal Year 1997

35

 Table II.27: Electric Energy Systems and Storage Activity

Funding, Fiscal Year 1998

35

 Table IV.1: Solar Buildings Technology Program, Fiscal Year

1996

37

 Table IV.2: Solar Buildings Technology Program, Fiscal Year

1997

37

 Table IV.3: Photovoltaic Energy Systems Program, Fiscal Year

1996

38

 Table IV.4: Photovoltaic Energy Systems Program, Fiscal Year

1997

39

 Table IV.5: Solar Thermal Energy Systems Program, Fiscal Year

1996

40

 Table IV.6: Solar Thermal Energy Systems Program, Fiscal Year

1997

40

Page 14 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Contents

 Table IV.7: Biopower/Biofuels Energy Systems Program, Fiscal

Year 1996

41

 Table IV.8: Biopower/Biofuels Energy Systems Program, Fiscal

Year 1997

42

 Table IV.9: Wind Energy Systems Program, Fiscal Year 1996 43

 Table IV.10: Wind Energy Systems Program, Fiscal Year 1997 44

 Table IV.11: Geothermal Program, Fiscal Year 1996 45

 Table IV.12: Geothermal Program, Fiscal Year 1997 46

 Table IV.13: Hydrogen Program, Fiscal Year 1996 47

 Table IV.14: Hydrogen Program, Fiscal Year 1997 47

 Table IV.15: Hydropower Program, Fiscal Year 1996 48

 Table IV.16: Hydropower Program, Fiscal Year 1997 48

 Table IV.17: Electric Energy Systems & Storage Program, Fiscal

Year 1996

48

 Table IV.18: Electric Energy Systems & Storage Program, Fiscal

year 1997

49

 Table V.1: Funding to Trade Associations, Fiscal Years 1996 and

1997

50

 Table VI.1: Solar Buildings Technology Program, Fiscal Year

1996

51

 Table VI.2: Solar Buildings Technology Program, Fiscal Year

1997

52

 Table VI.3: Photovoltaic Energy Systems Program, Fiscal Year

1996

53

 Table VI.4: Photovoltaic Energy Systems Program, Fiscal Year

1997

54

 Table VI.5: Solar Thermal Energy Systems Program, Fiscal Year

1996

55

 Table VI.6: Solar Thermal Energy Systems Program, Fiscal Year

1997

56

 Table VI.7: Biopower/Biofuels Energy Systems Program, Fiscal

Year 1996

57

 Table VI.8: Biopower/Biofuels Energy Systems Program, Fiscal

Year 1997

58

 Table VI.9: Wind Energy Systems Program, Fiscal Year 1996 59

 Table VI.10: Wind Energy Systems Program, Fiscal Year 1997 60

 Table VI.11: Geothermal Program, Fiscal Year 1996 61

 Table VI.12: Geothermal Program, Fiscal Year 1997 62

 Table VI.13: Hydrogen Program, Fiscal Year 1996 62

 Table VI.14: Hydrogen Program, Fiscal Year 1997 63

 Table VI.15: Hydropower Program, Fiscal Year 1996 63

Page 15 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Contents

 Table VI.16: Hydropower Program, Fiscal Year 1997 63

 Table VI.17: Electric Energy Systems and Storage Program,

Fiscal Year 1996

64

 Table VI.18: Electric Energy Systems and Storage Program,

Fiscal Year 1997

65

Abbreviations

DOE Department of Energy

R&D research and development

CRADA cooperative research and development agreement

Page 16 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Page 17 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix I 

Research and Development Definitions

The following definitions for the phases of research and development

(R&D) are based on definitions used by the Department of Defense. The

definitions have been modified by the Department of Energy to reflect

non-Defense R&D efforts.

Basic Research includes all scientific effort and experimentation directed

toward increasing knowledge and understanding in those fields of

physical, engineering, environmental, social, and life sciences related to

long-term national needs. It requires fundamental knowledge ultimately

required for the solutions of social, economic, political, physical, or

military problems. It forms a part of the base for subsequent applied

research and exploratory and advanced development in the various

disciplines and new or improved functional capabilities.

Applied Research and Exploratory Development includes all effort

directed toward the solution of specific problems, short of major

development projects. This type of effort may vary from fairly fundamental

applied research to quite sophisticated bread-board hardware, study,

programming, and planning efforts. It would thus include investigations

and minor development effort. The dominant characteristic of this

category of effort is that it be pointed toward specific problem areas with

a view toward developing and evaluating the feasibility and practicability

of proposed solutions and determining their parameters.

Advanced Development/Engineering Development includes all effort

directed toward projects which have moved into the development of

hardware for field experiments and tests. This category includes proof of

technological feasibility and assessment of operability and producibility. It

also includes engineering and manufacturing technology development.

Operational tests/field validations include the evaluation of integrated

technologies in a realistic operating environment to assess the

performance or cost reduction potential of advanced technology. Multiple

validations may be required to assess different applications for different

regions. This phase helps to expedite the technology transition from the

laboratory to operational use.

Page 18 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix II 

Solar and Renewable Energy Research and

Development Funding, Fiscal Years 1996

Through 1998

Table II.1: Solar Buildings Technology Activity Funding, Fiscal Year 1996

Dollars in thousands

Solar buildings activity Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Quality Assurance 0 0 $475 0

Technology Deployment 0 0 0 $425

Technology Development 0 $1,025 0 0

Totals 0 $1,025 $475 $425

Table II.2: Solar Buildings Technology Activity Funding, Fiscal Year 1997

Dollars in thousands

Solar buildings activity Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Quality Assurance 0 0 $350 0

Technology Deployment 0 0 0 $1,050

Technology Development 0 $1,100 0 0

Totals 0 $1,100 $350 $1,050

Table II.3: Solar Buildings Technology Activity Funding, Fiscal Year 1998

Solar buildings activity Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Quality Assurance 0 0 $325 0

Technology Deployment 0 0 0 $1,525

Technology Development 0 $1,350 800 0

Totals 0 $1,350 $1,125 $1,525

Page 19 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix II 

Solar and Renewable Energy Research and

Development Funding, Fiscal Years 1996

Through 1998

Table II.4: Photovoltaic Energy Systems Activity Funding, Fiscal Year 1996

Dollars in thousands

Photovoltaic activity Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Fundamental Research

Measurement &

Characterization

$4,945 0 0 0

Basic Research/

University Programs

5,000 0 0 0

Advanced Materials & Devices

Thin Film Partnerships 0 $15,866 0 0

Crystalline Silicon/High

Efficiency Devices

0 8,000 0 0

Collector Research & Systems Development

Manufacturing R&D

(PVMaT)

0 0 $8,200 0

System Engineering &

Reliability

0 0 12,900 0

PV Integrated Building

Opportunities

(PV:BONUS)

0 0 1,648 0

Climate Change Action

Plan (PV-COMPACT)

0 0 0 $5,000

Totals $9,945 $23,866 $22,748 $5,000

Page 20 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix II 

Solar and Renewable Energy Research and

Development Funding, Fiscal Years 1996

Through 1998

Table II.5: Photovoltaic Energy Systems Activity Funding, Fiscal Year 1997

Dollars in thousands

Photovoltaic activity Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Fundamental Research

Measurement &

Characterization

$5,000 0 0 0

Basic Research/

University Programs

5,000 0 0 0

Advanced Materials & Devices

Thin Film Partnerships 0 $16,000 0 0

Crystalline Silicon/High

Efficiency Devices

0 8,000 0 0

Collector Research & Systems Development

Manufacturing R&D

(PVMaT)

0 0 $9,600 0

Systems Engineering &

Reliability

0 0 12,400 0

PV Integrated Building

Opportunities

(PV:BONUS)

0 0 1,000 0

Climate Change Action

Plan (PV-COMPACT)

0 0 0 $3,000

Totals $10,000 $24,000 $23,000 $3,000

Page 21 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix II 

Solar and Renewable Energy Research and

Development Funding, Fiscal Years 1996

Through 1998

Table II.6: Photovoltaic Energy Systems Activity Funding, Fiscal Year 1998

Dollars in thousands

Photovoltaic activity Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Fundamental Research

Measurement &

Characterization

$5,500 0 0 0

Basic

Research/University

Programs

5,500 0 0 0

Advanced Materials & Devices

Thin Film Partnerships 0 $20,000 0 0

Crystalline Silicon/High

Efficiency Devices

0 8,000 0 0

Collector Research & Systems Development

Manufacturing R&D

(PVMaT)

0 0 $10,000 0

System Engineering &

Reliability

0 0 14,400 0

PV Integrated Building

Opportunities

(PV:BONUS)

0 0 4,000 0

Climate Change Action

Plan - (PV-COMPACT)

0 0 0 $9,600

Totals $11,000 $28,000 $28,400 $9,600

Page 22 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix II 

Solar and Renewable Energy Research and

Development Funding, Fiscal Years 1996

Through 1998

Table II.7: Solar Thermal Energy Systems Activity Funding, Fiscal Year 1996

Dollars in thousands

Solar thermal R&D activity Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Thermal Systems

Research/Thermal Systems

Research

0 $3,159 $3,500 0

Power Applications

Research/Dish/

Engine Development

0 0 2,500 $2,768

Power Applications

Research/Power Tower

Development

0 0 0 4,640

Power Applications

Research/SolMaT Initiative

0 0 1,520 0

Power Applications

Research/Systems &

Industrial Assistance

0 450 450 0

Totals 0 $3,609 $7,970 $7,408

Table II.8: Solar Thermal Energy Systems Activity Funding, Fiscal Year 1997

Dollars in thousands

Solar thermal R&D activity Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Thermal Systems

Research/Thermal Systems

Research

0 $3,800 $4,650 0

Power Applications

Research/Dish/

Engine Development

0 0 1,100 $3,200

Power Applications

Research/Power Tower

Development

0 0 0 4,520

Power Applications

Research/SolMaT Initiative

0 0 1,930 0

Power Applications

Research/Systems &

Industrial Assistance

0 1,050 2,000 0

Totals 0 $4,850 $9,680 $7,720

Page 23 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix II 

Solar and Renewable Energy Research and

Development Funding, Fiscal Years 1996

Through 1998

Table II.9: Solar Thermal Energy Systems Activity Funding, Fiscal Year 1998

Dollars in thousands

Solar thermal

R&D activity Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Thermal Systems

Research/Thermal Systems

Research

0 $3,560 $4,360 0

Power Applications

Research/Dish/

Engine Development

0 0 1,820 $2,000

Power Applications

Research/Power Tower

Development

0 0 0 4,550

Power Applications

Research/SolMaT Initiative

0 0 1,880 0

Power Applications

Research/Systems &

Industrial Assistance

0 700 730 200

Totals 0 $4,260 $8,790 $6,750

Page 24 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix II 

Solar and Renewable Energy Research and

Development Funding, Fiscal Years 1996

Through 1998

Table II.10: Biopower/Biofuels Energy Systems Activity Funding, Fiscal Year 1996

Dollars in thousands

Biopower/biofuels energy

systems R&D activity Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Biofuels Energy

Systems/Ethanol Production

0 $15,944 $2,500 $650

Biofuels Energy

Systems/Biodiesel

Production

0 300 0 0

Biofuels Energy

Systems/Feedstock

Production

0 5,005 0 0

Biofuels Energy

Systems/Regional Biomass

Energy Program

0 3,806 0 0

Biofuels Energy Systems/

Thermochemical Conversion

0 1,775 0 0

Biopower Energy

Systems/Utility/

Thermochemical Conversion

0 2,101 0 0

Systems Development 0 0 3,465 14,762

Biomass for Cogeneration 0 0 1,130 0

Municipal Solid Waste 0 0 0 1,760

Totals 0 $28,931 $7,095 $17,172

Page 25 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix II 

Solar and Renewable Energy Research and

Development Funding, Fiscal Years 1996

Through 1998

Table II.11: Biopower/Biofuels Energy Systems Activity Funding, Fiscal Year 1997

Dollars in thousands

Biopower/biofuels energy

systems R&D activity Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Biofuels Energy Systems/

Ethanol Production

0 $16,320 $1,430 $5,000

Biofuels Energy

Systems/Biodiesel

Production

0 750 0 0

Biofuels Energy

Systems/Feedstock

Production

0 2,500 0 0

Biofuels Energy

Systems/Regional Biomass

Energy Program

0 1,650 0 0

Biofuels Energy Systems/ 

Thermochemical Conversion

0 0 0 0

Biopower Energy

Systems/Utility/

Thermochemical Conversion

0 1,435 0 0

Systems Development 0 0 4,096 14,444

Biomass for Cogeneration 0 0 4,000 0

Feedstock Production 0 0 2,100 0

Regional Program 0 0 0 1,575

Totals 0 $22,655 $11,626 $21,019

Page 26 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix II 

Solar and Renewable Energy Research and

Development Funding, Fiscal Years 1996

Through 1998

Table II.12: Biopower/Biofuels Energy Systems Activity Funding, Fiscal Year 1998

Dollars in thousands

Biopower/biofuels energy

systems R&D activity Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Biofuels Energy

Systems/Ethanol Production

0 $18,040 $1,000 $11,000

Biofuels Energy

Systems/Biodiesel

Production

0 1,000 0 0

Biofuels Energy

Systems/Feedstock

Production

0 4,300 1,700 0

Biofuels Energy

Systems/Regional Biomass

Energy Program

0 1,650 1,350 0

Biofuels Energy Systems/ 

Thermochemical Conversion

0 0 0 0

Biopower Energy Systems/

Utility/Thermochemical

Conversion

0 2,815 0 0

Systems Development 0 0 10,222 20,463

Biomass for Cogeneration 0 0 3,000 0

Totals 0 $27,805 $17,272 $31,463

Page 27 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix II 

Solar and Renewable Energy Research and

Development Funding, Fiscal Years 1996

Through 1998

Table II.13: Wind Energy Systems Activity Funding, Fiscal Year 1996

Dollars in thousands

Wind program R&D

activity Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Applied Research/ 

Core Research

0 $5,850 0 0

Applied Research/ 

University Research

0 1,800 0 0

Applied Research/ 

Wind Hybrid Systems

0 400 $350 0

Applied Research/ 

Avian Research

0 1,500 0 0

Turbine Research/ Near

Term Research and Testing

0 0 1,000 0

Turbine Research/ Next

Generation Turbine Project

0 0 5,840 0

Turbine Research/ 

Small Wind Turbine Project

0 0 0 0

Turbine Research/ 

Supporting Research,

Testing, and Management

0 0 8,480 0

Cooperative Research and

Testing/Industry Support

0 0 3,050 0

Cooperative Research and

Testing/Certification and

Standards

0 0 700 0

Cooperative Research and

Testing/ Utility Analysis

0 0 1,200 0

Cooperative Research and

Testing/ National Wind

Technology Center

Operations

0 400 850 0

Totals 0 $9,950 $21,470 0

Page 28 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix II 

Solar and Renewable Energy Research and

Development Funding, Fiscal Years 1996

Through 1998

Table II.14: Wind Energy Systems Activity Funding, Fiscal Year 1997

Dollars in thousands

Wind program R&D

activity Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Applied Research/

Core Research

0 $9,340 0 0

Applied Research/

University Research

0 1,200 0 0

Applied Research/

Wind Hybrid Systems

0 590 $500 0

Applied Research/

Avian Research

0 570 0 0

Turbine Research/

Near Term Research and

Testing

0 0 0 0

Turbine Research/ Next

Generation Turbine Project

0 0 0 0

Turbine Research/

Small Wind Turbine Project

0 0 0 0

Turbine Research/

Supporting Research,

Testing, and Management

0 0 8,500 0

Cooperative Research and

Testing/Industry Support

0 0 3,850 0

Cooperative Research and

Testing/Certification and

Standards

0 0 1,500 0

Cooperative Research and

Testing/Utility Analysis

0 0 1,450 0

Cooperative Research and

Testing/National Wind

Technology Center

Operations

0 500 1,000 0

Total 0 $12,200 $16,800 0

Page 29 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix II 

Solar and Renewable Energy Research and

Development Funding, Fiscal Years 1996

Through 1998

Table II.15: Wind Energy Systems Activity Funding, Fiscal Year 1998

Dollars in thousands

Wind program R&D

activity Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Applied Research/

Core Research

0 $10,000 0 0

Applied Research/

University Research

0 1,600 0 0

Applied Research/

Wind Hybrid Systems

0 1,000 $1,000 0

Applied Research/

Avian Research

0 500 0 0

Turbine Research/ Near

Term Research and Testing

0 0 4,000 0

Turbine Research/ Next

Generation Turbine Project

0 0 9,000 0

Turbine Research/

Small Wind Turbine Project

0 0 1,460 0

Turbine Research/

Supporting Research,

Testing, and Management

0 0 5,240 0

Cooperative Research and

Testing/Industry Support

0 0 4,358 0

Cooperative Research and

Testing/Certification and

Standards

0 0 2,000 0

Cooperative Research and

Testing/Utility Analysis

0 0 1,400 0

Cooperative Research and

Testing/National Wind

Technology Center

Operations

0 300 1,000 0

Totals 0 $13,400 $29,458 0

Page 30 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix II 

Solar and Renewable Energy Research and

Development Funding, Fiscal Years 1996

Through 1998

Table II.16: Geothermal Activity Funding, Fiscal Year 1996

Dollars in thousands

Budget category/

subcategory Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Geothermal Electric

Exploration/

Production

Technology

$1,200 $4,800 $2,700 0

Drilling Technology 300 3,500 2,099 0

Hot Dry Rock Fenton Hill

Experimental Site

0 700 1,200 0

Energy Conversion 

Technology

300 2,700 2,200 0

Site Development

Activities

0 400 0 $2,000

Geothermal Heat Pumps 200 300 1,000 3,800

Totals $2,000 $12,400 $9,199 $5,800

Table II.17: Geothermal Activity Funding, Fiscal Year 1997

Dollars in thousands

Budget category/

subcategory Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Geothermal Electric

Exploration/

Production

Technology

$1,500 $5,200 $2,700 0

Drilling Technology 300 3,818 2,200 0

Hot Dry Rock Fenton Hill

Experimental Site

0 400 0 0

Energy Conversion 

Technology

300 2,700 2,400 0

Site Development

Activities

0 0 0 $2,000

Geothermal Heat Pumps 200 482 1,000 4,800

Totals $2,300 $12,600 $8,300 $6,800

Page 31 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix II 

Solar and Renewable Energy Research and

Development Funding, Fiscal Years 1996

Through 1998

Table II.18: Geothermal Activity Funding, Fiscal Year 1998

Dollars in thousands

Budget category/

subcategory Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Geothermal Electric

Exploration/

Production

Technology

$1,800 $6,200 $3,200 0

Drilling Technology 300 5,000 3,018 0

Hot Dry Rock Fenton Hill

Experimental Site

0 0 0 0

Energy Conversion 

Technology

300 4,000 2,700 0

Site Development

Activities

0 0 0 0

Geothermal Heat Pumps 200 282 500 $2,500

Totals $2,600 $15,482 $9,418 $2,500

Table II.19: Hydrogen Activity Funding, Fiscal Year 1996

Dollars in thousands

Budget category/

subcategory Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Research and Development

Production 0 $2,587 $1,907 0

Storage 0 1,333 760 0

Utilization 0 895 1,079 0

Systems Analysis 0 0 3,409 0

Technology Validation 0 0 0 $2,361

Totals 0 $4,815 $7,155 $2,361

Page 32 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix II 

Solar and Renewable Energy Research and

Development Funding, Fiscal Years 1996

Through 1998

Table II.20: Hydrogen Activity Funding, Fiscal Year 1997

Dollars in thousands

Budget category/

subcategory Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Research and Development

Production 0 $3,713 $1,411 0

Storage 0 1,557 485 0

Utilization 0 688 1,814 0

Systems Analysis 0 0 2,404 0

Technology Validation 0 0 0 $2,928

Totals 0 $5,958 $6,114 $2,928

Table II.21: Hydrogen Activity Funding, Fiscal Year 1998

Dollars in thousands

Budget category/

subcategory Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Research and Development

Production 0 $3,712 $1,411 0

Storage 0 1,558 485 0

Utilization 0 688 1,814 0

Systems Analysis 0 0 2,404 0

Technology Validation 0 0 0 $2,928

Totals 0 $5,958 $6,114 $2,928

Table II.22: Hydropower Activity Funding, Fiscal Year 1996

Dollars in thousands

Budget category/

subcategory Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Hydropower Development 0 $1,483 0 0

Totals 0 $1,483 0 0

Page 33 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix II 

Solar and Renewable Energy Research and

Development Funding, Fiscal Years 1996

Through 1998

Table II.23: Hydropower Activity Funding, Fiscal Year 1997

Dollars in thousands

Budget category/

subcategory Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Hydropower development 0 $1,000 0 0

Totals 0 $1,000 0 0

Table II.24: Hydropower Activity Funding, Fiscal Year 1998

Dollars in thousands

Budget category/

subcategory Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

Hydropower Development 0 $1,000 0 0

Totals 0 $1,000 0 0

Table II.25: Electric Energy Systems and Storage Activity Funding, Fiscal Year 1996

Dollars in thousands

Budget category/

subcategory Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

High-Temperature Superconductivity Research & Development

Superconductivity

Partnership Initiative

0 $8,000 0 0

2nd Generation Wire

Initiative

$4,000 0 0 0

Strategic Research 8,000 2,280 0 0

Energy Storage Research & Development

Integration 0 312 $220 $225

Components 65 290 365 0

Analysis 0 500 0 0

Electric & Magnetic Fields

Research & Development

0 9,487 0 0

Totals $12,065 $20,869 $585 $225

Page 34 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix II 

Solar and Renewable Energy Research and

Development Funding, Fiscal Years 1996

Through 1998

Table II.26: Electric Energy Systems and Storage Activity Funding, Fiscal Year 1997

Dollars in thousands

Budget category/

subcategory Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

High-Temperature Superconductivity Research & Development

Superconductivity

Partnership Initiative

0 $9,500 0 0

2nd Generation Wire

Initiative

$5,000 0 0 0

Strategic Research 4,000 1,250 0 0

Energy Storage Research & Development

Integration 0 680 $385 $385

Components 0 570 430 0

Analysis 0 1,550 0 0

Electric & Magnetic Fields

Research & Development

0 8,000 0 0

Totals $9,000 $21,550 $815 $385

Table II.27: Electric Energy Systems and Storage Activity Funding, Fiscal Year 1998

Dollars in thousands

Budget category/

subcategory Basic research

Applied research/

exploratory

development

Advanced

development/

engineering

development

Operational

tests/field validations

High-Temperature Superconductivity Research & Development

Superconductivity

Partnership Initiative

0 $12,500 $2,000 0

2nd Generation Wire

Initiative

$8,000 0 0 0

Strategic Research 7,500 2,500 0 0

Energy Storage Research & Development

Integration 0 1,020 520 $520

Components 120 710 610 0

Analysis 0 500 0 0

Electric & Magnetic Fields

Research & Development

0 8,000 0 0

Totals $15,620 $25,230 $3,130 $520

Note: The tables in this appendix were developed by GAO from data provided by DOE.

Page 35 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix III 

DOE’s Description of Non-R&D Solar and

Renewable Energy Programs

Non-R&D programs pay for federal salaries and benefits, federal travel, the

working capital fund for administrative services, and other related

expenses.

National Renewable Energy Laboratory (NREL): facility maintenance and

the third and last phase of construction to modify the Field Test

Laboratory Building.

Renewable Energy Production Incentive (REPI): authorized by section 1212

of the Energy Policy Act of 1992 to provide incentive payments, subject to

the availability of appropriations, for electricity produced by new

renewable energy facilities that are owned by public power entities. The

incentive is intended to provide comparability with tax incentives that are

available to private sector entities.

Solar International: Committee on Renewable Energy Commerce and

Trade (CORECT) is authorized by the Energy Policy and Cooperation Act, as

amended by the Energy Policy Act of 1992, to reduce the barriers to the

export of U.S. renewable energy technologies.

The Americas’ 21st Century Program implements CORECT export strategies

in Latin America and the Asia-Pacific regions to facilitate the use and

incorporation of U.S. renewable energy technologies in grid and off-grid

applications.

The U.S. Initiative on Joint Implementation supports voluntary projects

between two or more countries, leading to the implementation of projects

that reduce, avoid, or sequester greenhouse gas emissions.

Solar Tech Transfer: the Energy Efficiency and Renewable Energy

Clearinghouse (EREC) and the Energy Efficiency and Renewable Energy

Network (EREN) disseminate information to the general public and the

business community through a toll free telephone service and the Internet.

Climate Challenge: facilitates voluntary actions by electric utilities to

reduce, avoid, or sequester greenhouse gas emissions.

Page 36 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix IV 

Typical Cost-Share Partnerships for the

Solar and Renewable Energy Program,

Fiscal Years 1996 and 1997

Table IV.1: Solar Buildings Technology Program, Fiscal Year 1996

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Cost-share:

DOE/partners

Primary

cost-share

type Typical partners (company names)

Quality Assurance 0/100 65/35 Cash Solar Rating & Certification Corp.

Technology Deployment 50/50 70/30 In-kind Sacramento Municipal Utility District

Technology Development 60/40 80/20 In-kind National Renewable Energy

Laboratory, 

University of Wisconsin

Table IV.2: Solar Buildings Technology Program, Fiscal Year 1997

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Cost-share:

DOE/partners

Primary

cost-share

type Typical partners (company names)

Quality Assurance 45/55 85/15 Cash Solar Rating & Certification Corp.

Technology Deployment 25/75 60/40 In-kind National Association of

Homebuilders Research Center

Technology Development 55/45 80/20 In-kind Energy Laboratory, Inc.

Page 37 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix IV 

Typical Cost-Share Partnerships for the

Solar and Renewable Energy Program,

Fiscal Years 1996 and 1997

Table IV.3: Photovoltaic Energy Systems Program, Fiscal Year 1996

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Cost-share:

DOE/partners

Primary

cost-share

type Typical partners (company names)

Fundamental Research

Measurement and

Characterization

100/0 100/0 a National Renewable Energy

Laboratory

Basic Research

University Programs

60/40 100/0 a University of Utah

Advanced Materials and Devices

Thin Film Partnerships 36/64 70/30 Cash Siemens Solar Industries

Crystalline Silicon/High

Efficiency Devices

63/37 100/0 a Research Triangle Institute

Collector Research and Systems Development

Manufacturing R&D

(PVMaT)

8/92 57/43 Cash ASE Americas

System Engineering and

Reliability

68/32 87/13 Cash Southwest Technology Development

Institute

PV Integrated Building

Opportunities (PV:

BONUS)

0/100 50/50 Cash Energy Conversion Devices, Inc.

Climate Change Action

Plan (PV-COMPACT)

0/100 50/50 Cash Utility Photovoltaic Group

aThis activity was not cost-shared.

Page 38 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix IV 

Typical Cost-Share Partnerships for the

Solar and Renewable Energy Program,

Fiscal Years 1996 and 1997

Table IV.4: Photovoltaic Energy Systems Program, Fiscal Year 1997

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Cost-share:

DOE/partners

Primary

cost-share

type Typical partners (company names)

Fundamental Research

Measurement and

Characterization

100/0 100/0 a National Renewable Energy

Laboratory

Basic Research

University Programs

60/40 100/0 a Johns Hopkins University

Advanced Materials & Devices

Thin Film Partnerships 35/65 70/30 Cash Solarex Corporation

Crystalline Silicon/High

Efficiency Devices

60/40 100/0 a California Institute of Technology

Collector Research and Systems Development

Manufacturing R&D

(PVMaT)

7/93 57/43 Cash AstroPower, Inc.

System Engineering and

Reliability

68/32 90/10 Cash New Mexico State University

PV Integrated Building

Opportunities (PV:

BONUS)

0/100 50/50 Cash Solar Design Associates

Climate Change Action

Plan (PV-COMPACT)

0/100 30/70 Cash Interstate Renewable Energy Council

aThis activity was not cost-shared.

Page 39 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix IV 

Typical Cost-Share Partnerships for the

Solar and Renewable Energy Program,

Fiscal Years 1996 and 1997

Table IV.5: Solar Thermal Energy Systems Program, Fiscal Year 1996

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Cost-share:

DOE/partners

Primary

cost-share

type Typical partners (company names)

Thermal Systems Research/

Thermal Systems Research

68/32 97/3 In-kind 3M, ELI

Power Applications

Research/ Dish/Engine

Development

9/91 50/50 Cash SAIC, Stirling Thermal Motors,

Arizona Public Service

Power Applications

Research/ Power Tower

Development

18/82 50/50 Cash Southern California Edison,

Bechtel, Rockwell

Power Applications

Research/ SolMaT Initiative

12/88 20/80 Cash SAIC, Rockwell, McDonnell Douglas

Power Applications

Research/ Systems and

Industrial Assistance

71/29 40/60 Cash Kramer Junction, Harper Lake,

Daggett Leasing

Table IV.6: Solar Thermal Energy Systems Program, Fiscal Year 1997

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Cost-share:

DOE/partners

Primary

cost-share

type Typical partners (company names)

Thermal Systems Research/

Thermal Systems Research

63/37 97/3 a 3M, ELI

Power Applications

Research/Dish/Engine

Development

11/89 50/50 Cash SAIC, Stirling Thermal Motors,

Arizona Public Service

Power Applications

Research/ Power Tower

Development

30/70 50/50 Cash Southern California Edison,

Bechtel, Rockwell

Power Applications

Research/ SolMaT Initiative

17/83 25/75 Cash SAIC, Rockwell, McDonnell Douglas

Power Applications

Research/ Systems and

Industrial Assistance

61/39 40/60 Cash Kramer Junction, Harper Lake,

Daggett Leasing

aDOE did not identify the type of cost-share.

Page 40 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix IV 

Typical Cost-Share Partnerships for the

Solar and Renewable Energy Program,

Fiscal Years 1996 and 1997

Table IV.7: Biopower/Biofuels Energy Systems Program, Fiscal Year 1996

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Cost-share:

DOE/partners

Primary

cost-share

type Typical partners (company names)

Biofuels Energy

Systems/Ethanol Production

67/33 76/24 In-kind Arkenol

Biofuels Energy Systems/

Biodiesel Production

34/66 69/31 Cash USDA Office of Energy

Biofuels Energy

Systems/Feedstock

Production

65/35 67/33 In-kind Oklahoma State University

Biofuels Energy Systems/

Regional Biomass Energy

Program

1/99 30/70 Cash Shirel Lumber Company

Biofuels Energy Systems/

Thermochemical Conversion

100/0 Closeout of program a a

Thermochemical Conversion 89/11 100/0 a a

Systems Development 7/93 56/44 Cash Westinghouse, Hawaii Cane &Sugar,

Niagra Mohawk, Minnesota Valley

Alfalfa Producers

Biomass for Cogeneration OIT project b b b

Municipal Solid Waste OIT project b b b

aThis activity was not cost-shared.

bOffice of Industrial Technologies project. DOE did not provide any cost-share information.

Page 41 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix IV 

Typical Cost-Share Partnerships for the

Solar and Renewable Energy Program,

Fiscal Years 1996 and 1997

Table IV.8: Biopower/Biofuels Energy Systems Program, Fiscal Year 1997

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Cost-share:

DOE/partners

Primary

cost-share

type Typical partners (company names)

Biofuels Energy Systems/

Ethanol Production

60/40 24/76 In-kind BC International

Biofuels Energy Systems/

Biodiesel Production

14/86 25/75 In-kind Columbus Food, National Biodiesel

Board, American Sightseeing

Company, Fats & Proteins Research

Institute

Biofuels Energy Systems/

Feedstock Production

50/50 50/50 In-kind U.S. Forest Service, Northcentral

Forest Experiment Station

Biofuels Energy Systems/

Regional Biomass Energy

Program

1/99 20/80 In-kind Applied Agricultural Technologies

Thermochemical Conversion 100/0 100/0 a a

Systems Development 9/91 45/55 Cash Westinghouse, Niagra Mohawk,

Minnesota Valley Alfalfa Producers,

Iowa Electric

Biomass for Cogeneration OIT program b b b

Feedstock Production OTT program c c c

Regional Program OTT program c c c

aThis activity was not cost-shared.

bOffice of Industrial Technologies. DOE did not provide any cost-share information.

cOffice of Transportation Technologies. DOE did not provide any cost-share information.

Page 42 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix IV 

Typical Cost-Share Partnerships for the

Solar and Renewable Energy Program,

Fiscal Years 1996 and 1997

Table IV.9: Wind Energy Systems Program, Fiscal Year 1996

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Cost-share:

DOE/partners

Primary

cost-share

type Typical partners (company names)

Applied Research/

Core Research

74/26 100/0 a AWS Scientific, Embedded Systems,

Airfoils Inc.

Applied Research/

University Research

43/57 100/0 a North Carolina A&T, Georgia Tech

University, University of Illinois

Applied Research/

Wind Hybrid Systems

93/7 100/0 a University of Massachusetts

Applied Research/

Avian Research

30/70 100/0 a University of California, WEST, Inc.

Turbine Research/ Near

Term Research and Testing

0/100 77/23 Cash CannonWind Eagle, Zond, R Lynette

Turbine Research/ Next

Generation Turbine Project

0/100 70/30 Cash Wind Turbine Co., Zond

Turbine Research/

Small Wind Turbine Project

0/100 79/21 Cash Windlite, CannonWind Eagle, World

Power Tech, Bergey Windpower

Turbine Research/

Supporting Research,

Testing, and Management

97/3 100/0 a Ohio State

Cooperative Research and

Testing/Industry Support

36/64 100/0 a American Wind Energy Association

Cooperative Research and

Testing/Certification and

Standards

100/0 100/0 a a

Cooperative Research and

Testing/Utility Analysis

57/43 100/0 a Princeton Economic Research

Incorporated, Electrotek, AWS

Scientific (U*WRAP)b

Cooperative Research and

Testing/National Wind

Technology Center

Operations

67/33 100/0 a Mountain Valley Energy

aThis activity was not cost-shared.

bUtility Wind Resource Assessment Program (U*WRAP).

Page 43 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix IV 

Typical Cost-Share Partnerships for the

Solar and Renewable Energy Program,

Fiscal Years 1996 and 1997

Table IV.10: Wind Energy Systems Program, Fiscal Year 1997

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Cost-share:

DOE/partners

Primary

cost-share

type Typical partners (company names)

Applied Research/

Core Research

53/47 100/0 a AWS Scientific, NASA, Ames, Mech

Dynamics, Dynamic Designs

Applied Research/

University Research

24/76 100/0 a North Carolina A&T

Applied Research/

Wind Hybrid Systems

63/37 100/0 a University of Massachusetts

Applied Research/

Avian Research

58/42 100/0 a Boise State University

Turbine Research/ Near

Term Research and Testing

b b b b

Turbine Research/ Next

Generation Turbine Project

b b b b

Turbine Research/

Small Wind Turbine Project

b b b b

Turbine Research/

Supporting Research,

Testing, and Management

85/15 100/0 a McNiff Light Industry

Cooperative Research and

Testing/Industry Support

63/37 100/0 a American Wind Energy Association

Cooperative Research and

Testing/Certification and

Standards

71/29 100/0 a Underwriters Laboratory, American

Wind Energy Association

Cooperative Research and

Testing/Utility Analysis

37/63 100/0 a Princeton Economic Research

Incorporated, Utility Wind Interest

Group

Cooperative Research and

Testing/National Wind

Technology Center

Operations

85/15 100/0 a Mountain Valley Energy

aThis activity was not cost-shared.

bDOE did not provide data for turbine research subcontracts funded from uncosted obligations

balances in fiscal year 1997.

Page 44 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix IV 

Typical Cost-Share Partnerships for the

Solar and Renewable Energy Program,

Fiscal Years 1996 and 1997

Table IV.11: Geothermal Program, Fiscal Year 1996

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Cost-share:

DOE/partners

Primary

cost-share

type Typical partners (company names)

Geothermal Electric

Exploration Production

Technology

80/20 70/30 Both Oxbow, CalEnergy, Caithness, Far

West, Unocal

Drilling Technology 75/25 75/25 Both Halliburtton, AZ Grant, Baker

Hughes, INTEQ, Security Diamond

Products, Hughes Christensen,

Unocal, Tonto, Schlumberger,

International Logging

Hot Dry Rock Fenton Hill

Experimental Site

35/65 100/0 a Project in closeout mode

Energy Conversion

Technology

80/20 85/15 Both CalEnergy, Pacific Gas & Electric,

Unocal, Douglas Energy

Site Development

Activities

0/100 16/84 Cash Unocal, Calpine Corp., Northern

California

Power Agency, Pacific Gas & Electric

Geothermal Heat Pumps 15/85 33/67 Cash Geothermal Heat Pump

Consortium— over 100 member

companies, consisting of utilities and

service and equipment companies,

Oklahoma State University

aThis activity was not cost-shared.

Page 45 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix IV 

Typical Cost-Share Partnerships for the

Solar and Renewable Energy Program,

Fiscal Years 1996 and 1997

Table IV.12: Geothermal Program, Fiscal Year 1997

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Cost-share:

DOE/partners

Primary

cost-share

type Typical partners (company names)

Geothermal Electric

Exploration Production

Technology

80/20 75/25 Both Oxbow, CalEnergy, Caithness, Far

West, Unocal

Drilling Technology 70/30 70/30 Both Halliburtton, AZ Grant, Baker

Hughes INTEQ, Security Diamond

Products, Hughes Christensen,

Unocal, Tonto, Schlumberger,

International Logging

Hot Dry Rock Fenton Hill

Experimental Site

100/0 100/0 a a

Energy Conversion

Technology

80/20 85/15 Both CalEnergy, Pacific Gas & Electric,

Unocal, Douglas Energy

Site Development

Activities

0/100 16/84 Cash Unocal, Calpine Corp., Northern

California

Power Agency, Pacific Gas & Electric

Geothermal Heat Pumps 10/90 33/67 Cash Geothermal Heat Pump

Consortium— over 100 member

companies, consisting of utilities and

service and equipment companies,

Oklahoma State University

aProject is being closed out.

Page 46 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix IV 

Typical Cost-Share Partnerships for the

Solar and Renewable Energy Program,

Fiscal Years 1996 and 1997

Table IV.13: Hydrogen Program, Fiscal Year 1996

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Cost-share:

DOE/partners

Primary

cost-share

type Typical partners (company names)

Research and Development

Production 66/34 65/35 Cash Texaco, Air Products, SRT Inc.,

Praxair

Storage 68.5/31.5 65/35 In-kind and

cash

A.D. Little, Energy Conversion

Devices, Inc., Materials &

Electrochemical Research Corp.,

Praxair

Utilization 61/39 50/50 In-kind International Fuel Cells Corp., DCH

Technology, Inc.

Systems Analysis 32.6/67.4 75/25 Cash and

in-kind

National Hydrogen Association,

Sentech, Hydrogen Fuel Cell Letter,

Directed Technologies, 122 West

Longitude

Technology Validation 38.5/61.5 50/50 Cash City of Palm Desert, Dupont,

Bluebird

Table IV.14: Hydrogen Program, Fiscal Year 1997

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Cost-share:

DOE/partners

Primary

cost-share

type Typical partners (company names)

Research and Development

Production 55/45 65/35 In-kind Texaco, Air Products, SRT Group

Inc., Praxair

Storage 53/47 65/35 In-kind and

cash

Energy Conversion Devices, Inc.,

A.D. Little, Materials &

Electrochemical Research Corp.,

Praxair

Utilization 47/53 95/5 In-kind International Fuel Cell Corp., DCH

Technology, Inc.

Systems Analysis 30/70 75/25 In-kind National Hydrogen Association,

Sentech, Hydrogen Fuel Cell Letter,

Directed Technologies

Technology Validation 25/75 50/50 Cash and

in-kind

Teledyne Brown, International Fuel

Cell Corp., MC Power, Energy

Conversion Devices, Inc.

Page 47 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix IV 

Typical Cost-Share Partnerships for the

Solar and Renewable Energy Program,

Fiscal Years 1996 and 1997

Table IV.15: Hydropower Program, Fiscal Year 1996

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Cost-share:

DOE/partners

Primary

cost-share

type Typical partners (company names)

Hydropower Development 67/33 38/62 Cash Voith Hydro, Inc.

Table IV.16: Hydropower Program, Fiscal Year 1997

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Cost-share:

DOE/partners

Primary

cost-share

type Typical partners (company names)

Hydropower Development 45/55 70/30 Cash Alden Research Laboratory

Table IV.17: Electric Energy Systems & Storage Program, Fiscal Year 1996

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Cost-share:

DOE/partners

Primary

cost-share

type Typical partners (company names)

High-Temperature Superconductivity Research & Development

Superconductivity

Partnership Initiative

100/0 50/50 Cash Electric Power Research Institute,

Reliance, Lockheed Martin

2nd Generation Wire

Initiative

100/0 50/50 Cash Midwest Superconductivity

Strategic Research 90/10 50/50 Cash American Superconductor,

Intermagnetics General, Southwire

Energy Storage Research & Development

Integration 28/72 50/50 50 - cash and

50 - in-kind

GNB Technologies

Components 62/38 85/15 50 - cash

and 

50 - in-kind

JCI, ZBB

Analysis 69/31 100/0 a Frost & Sullivan

Electric and Magnetic

Fields Research &

Development

56/44 73/27

(RAPIDb

is 50/50)

Cash The member companiesc of EEI,

APPA, NRECA, and NEMA

aThis activity was not cost-shared.

bRepresents the cost-share ratio for the Research and Public Information Dissemination portion of

this activity.

cEdison Electric Institute (EEI), American Public Power Association (APPA), National Rural Electric

Cooperative Association (NRECA), and National Electrical Manufacturers Association (NEMA).

Page 48 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix IV 

Typical Cost-Share Partnerships for the

Solar and Renewable Energy Program,

Fiscal Years 1996 and 1997

Table IV.18: Electric Energy Systems & Storage Program, Fiscal Year 1997

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Cost-share:

DOE/partners

Primary

cost-share

type Typical partners (company names)

High-temperature Superconductivity Research & Development

Superconductivity

Partnership Initiative

100/0 50/50 Cash Electric Power Research Institute,

Reliance, Lockheed Martin

2nd Generation Wire

Initiative

100/0 50/50 Cash 3M, Midwest Superconductivity

Strategic Research 95/5 50/50 Cash American Superconductor,

Intermagnetics General, Waukeshau

Electric

Energy Storage Research & Development

Integration 12/88 50/50 50 - cash and

50 - in kind

AC Battery Corp., Virginia Power

Components 29/71 85/15 50 - cash

and 

50 - in-kind

JCI, ZBB

Analysis 26/74 100/0 a Energetics

Electric & Magnetic Fields

Research & Development

48/52 67/33

(RAPIDb

is 50/50)

Cash The member companiesc of EEI,

APPA, NRECA, and NEMA

Note: The tables in this appendix were developed by GAO from data provided by DOE.

aThis activity was not cost-shared.

bRepresents the cost-share ratio for the Research and Public Information Dissemination portion of

this activity.

cEdison Electric Institute (EEI), American Public Power Association (APPA), National Rural Electric

Cooperative Association (NRECA), and National Electrical Manufacturers Association (NEMA).

Page 49 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix V 

Solar Renewable Energy Funding to Trade

Associations

Table V.1: Funding to Trade Associations, Fiscal Years 1996 and 1997

Dollars in thousands

Trade association 1996 1997 Subprogram Purpose of funding

Solar Energy Industries

Association

$844a $856a Solar Thermal and Photovoltaic

Energy Systems

Sponsor conferences, print

publications, promote use of

photovoltaics, conduct market

analyses, and coordinate industry

activities.

Association of State Dam

Safety Officials

0 39 Hydropower Assist DOE in conduct of state

hydropower resource assessments

and coordinate with state agencies.

National Hydrogen

Association

339 247 Hydrogen Evaluate new technology and

sponsor conferences on new

processes and technology.

National Bioenergy

Industries Association

238 275 Biopower/Biofuels Energy Systemsb Promote the deployment of biomass

power technology.

United Bioenergy

Commercialization

Association

175 0 Biopower/Biofuels Energy Systemsb Encourage the development of

biomass resources.

Biomass Energy Alliance 50 50 Biopower/

Biofuels Energy Systemsb

Inform the public about biomass

energy and disseminate information.

Geothermal Heat Pump

Consortium

3,200 4,200 Geothermal Provide deployment materials,

limited R&D, data collection, and

pilot demonstration grants for utilities.

Geothermal Energy

Association

270 350 Geothermal Foster communication, education,

and training among companies of

the U.S. geothermal industry and

facilitate exports.

Geothermal Resources

Council

147 155 Geothermal Develop and convene special

meetings, workshops, conferences,

and courses pertaining to

geothermal exploration,

development, and utilization.

Energy Storage Association 0 40 Electric Energy Storage Systems Prepare white papers on the use of

energy storage in renewable

systems.

American Wind Energy

Association

656 661 Wind Energy Systems Disseminate information to the wind

industry and facilitate export of wind

products and services.

Total $5,919 $6,873

aThe fiscal year 1996 amount is comprised of $256,000 from Solar Thermal and $588,000 from

Photovoltaics; the fiscal year 1997 amount is comprised of $256,000 from Solar Thermal and

$600,000 from Photovoltaics.

bThe services were performed for DOE’s Biomass activity.

Source: Developed by GAO from DOE’s data.

Page 50 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix VI 

Competition for Solar and Renewable

Energy Program Procurements, Fiscal Years

1996 and 1997

Table VI.1: Solar Buildings Technology Program, Fiscal Year 1996

Amounts in percents

Budget category/

subcategorya

Laboratory inhouse/

outsourcedb

Primary procurement

mechanism(s)

Competitive/

noncompetitive

Typical partners (company

names)

Quality Assurancec 0/100 Grant 50/50 Solar Rating & Certification Corp.

Technology Deploymentd 50/50 Grant 50/50 Sacramento Municipal Utility

District

Technology Development 60/40 Grant 100/0 National Renewable Energy

Laboratory, University of

Wisconsin

aInformation in this table is typical of work performed and may be based on a typical project for

each category. Outsourced includes interagency fund transfers, procurements through DOE

entities, and laboratory subcontracts. Contracts with entities that operate the national laboratories

are competitive and are shown in the competitive/noncompetitive column. Fiscal year 1996 data

represent actual program implementation; fiscal year 1997 data represent a mix of implemented

and planned, since some work is in the procurement process.

bRefers to funding agreements through contracts, subcontracts, grants, cooperative agreements,

and CRADAs.

cQuality Assurance: Rationale for major noncompetitive procurement: The Solar Rating &

Certification Corp. is a nonprofit organization established by the solar industry to develop

standards by which solar water and solar pool heating systems can be rated. DOE has supported

the development of tests by which the systems can be certified as meeting minimum standards of

durability, reliability, safety, and operation. One task was the development of a computer model

that simulated the testing of a solar water heating system; which involves determining the thermal

efficiency, operating characteristics, and required electrical power to drive the system.

dTechnology Deployment: Rationale for major noncompetitive procurement: The Sacramento

Municipal Utility District initiated a program to sell solar water systems to their customers. DOE

provided funds for technical assistance and instrumentation for a small number of those systems.

Page 51 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix VI 

Competition for Solar and Renewable

Energy Program Procurements, Fiscal Years

1996 and 1997

Table VI.2: Solar Buildings Technology Program, Fiscal Year 1997

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Primary procurement

mechanism(s)

Competitive/

noncompetitive

Typical partners (company

names)

Quality Assurancea 45/55 Grant 60/40 Solar Rating & Certification Corp.

Technology Deploymentb 25/75 Request for proposals 70/30 National Association of

Homebuilders Research Center

Technology Developmentc 55/45 Request for proposals,

grants, and CRADAs

80/20 Energy Laboratory, Inc.

aQuality Assurance: Rationale for major noncompetitive procurement: The Solar Rating &

Certification Corp. is a nonprofit organization established by the solar industry to develop a set of

standards by which solar water and solar pool heating systems can be rated. DOE is supporting

a task that will develop a methodology to determine the ability of solar water and solar pool

heating systems installed on roofs to withstand hurricane winds.

bTechnology Deployment: Rationale for major noncompetitive procurement: DOE is working with

industry associations (e.g., the National Association of Homebuilders Research Center, National

Spa and Pool Institute, and Solar Energy Industries Association) to hold workshops, conduct

surveys, and develop materials that will educate homebuilders, pool builders, and utilities about

the benefits of solar energy. This is expected to lead to cooperative projects with several builders

and utilities. DOE would then provide technical information and instrumentation for selected field

projects and share the costs of field validation projects.

cTechnology Development: Rationale for major noncompetitive procurement: DOE has

cooperative research and development agreements with companies developing a new

selective-absorbing coating for solar collectors and a new low-cost solar water heating system.

Page 52 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix VI 

Competition for Solar and Renewable

Energy Program Procurements, Fiscal Years

1996 and 1997

Table VI.3: Photovoltaic Energy Systems Program, Fiscal Year 1996

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Primary procurement

mechanism(s)

Competitive/

noncompetitivea

Typical partners (company

names)

Fundamental Research

Measurement &

Characterization

100/0 b 100/0 National Renewable Energy

Laboratory

Basic Research/

University Programs

60/40 Competitive request for

proposal (RFP)

100/0 University of Utah

Advanced Materials & Devices

Thin Film Partnerships 36/64 Competitive RFP 96/4 Siemens Solar Industries

Crystalline Silicon/High

Efficiency Devices

63/37 Competitive RFP 94/6 Research Triangle Institute

Collector Research & Systems Development

Manufacturing R&D

(PVMaT)

8/92 Competitive RFP 100/0 ASE Americas

System Engineering &

Reliability

68/32 Competitive RFP 84/16 Southwest Technology

Development Institute

PV Integrated Building

Opportunities (PV:

BONUS)

0/100 Competitive RFP 100/0 Energy Conversion Devices, Inc.

Climate Change Action

Plan (PV- COMPACT)

0/100 Competitive RFP 80/20 Utility Photovoltaic Group

aMajor noncompetitive procurements typically are unique or special projects initiated through

unsolicited proposals or are unique projects specified through congressional appropriations.

bThe procurement mechanism was not identified by DOE.

Page 53 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix VI 

Competition for Solar and Renewable

Energy Program Procurements, Fiscal Years

1996 and 1997

Table VI.4: Photovoltaic Energy Systems Program, Fiscal Year 1997

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Primary procurement

mechanism(s)

Competitive/

noncompetitivea

Typical partners (company

names)

Fundamental Research

Measurement &

Characterization

100/0 b 100/0 National Renewable Energy

Laboratory

Basic Research/

University Programs

60/40 Competitive request for

proposal (RFP)

100/0 Johns Hopkins University

Advanced Materials & Devices

Thin Film Partnerships 35/65 Competitive RFP 96/4 Solarex Corporation

Crystalline Silicon/High

Efficiency Devices

60/40 Competitive RFP 94/6 California Institute of Technology

Collector Research & Systems Development

Manufacturing R&D

(PVMaT)

7/93 Competitive RFP 100/0 AstroPower, Inc.

System Engineering &

Reliability

68/32 Competitive RFP 79/21 New Mexico State University

PV Integrated Building

Opportunities (PV:

BONUS)

0/100 Competitive RFP 100/0 Solar Design Associates

Climate Change Action

Plan (PV-COMPACT)

0/100 Competitive RFP 80/20 Interstate Renewable Energy

Council

aMajor noncompetitive procurements are typically the result of unsolicited proposals for highly

specialized or unique work or for unique projects specified in congressional appropriations.

bThe procurement mechanism was not identified by DOE.

Page 54 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix VI 

Competition for Solar and Renewable

Energy Program Procurements, Fiscal Years

1996 and 1997

Table VI.5: Solar Thermal Energy Systems Program, Fiscal Year 1996

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Primary procurement

mechanism(s)

Competitive/

noncompetitive

Typical partners (company

names)

Thermal Systems

Research/Thermal Systems

Research

68/32 Laboratory subcontracts,

CRADAs

98/2 3M, ELI

Power Applications

Research/Dish/

Engine Development

9/91 Laboratory subcontracts 100/0 SAIC, Stirling Thermal Motors,

Arizona Public Service

Power Applications

Research/Power Tower

Developmenta

18/82 Cooperative agreement 18/82 Southern California Edison,

Bechtel, Rockwell

Power Applications

Research/SolMaT Initiative

12/88 Laboratory subcontracts 100/0 SAIC, Rockwell, McDonnell

Douglas

Power Applications

Research/Systems &

Industrial Assistance

71/29 Laboratory subcontracts 90/10 Kramer Junction, Harper Lake,

Daggett Leasing

aRationale for major noncompetitive procurements: The Solar Two Project (under Power Tower

Development) was initiated by a consortium of U.S. utilities to retrofit the existing 10 MWe Solar

One Power Tower Pilot Plant to add molten-salt storage capability. Although noncompetitive, the

consortium actively solicited membership and no interested industry participant was excluded.

The consortium members had unique resources and expertise and prior experience with Solar

One.

Page 55 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix VI 

Competition for Solar and Renewable

Energy Program Procurements, Fiscal Years

1996 and 1997

Table VI.6: Solar Thermal Energy Systems Program, Fiscal Year 1997

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Primary procurement

mechanism(s)

Competitive/

noncompetitive

Typical partners (company

names)

Thermal Systems

Research/Thermal Systems

Research

63/37 Laboratory subcontracts,

CRADAs

98/2 3M, ELI

Power Applications

Research/Dish/

Engine Development

11/89 Laboratory subcontracts 100/0 SAIC, Stirling Thermal Motors,

Arizona Public Service

Power Applications

Research/Power Tower

Developmenta

30/70 Cooperative agreement 30/70 Southern California Edison,

Bechtel, Rockwell

Power Applications

Research/SolMaT Initiative

17/83 Laboratory subcontracts 100/0 SAIC, Rockwell, McDonnell

Douglas

Power Applications

Research/Systems &

Industrial Assistance

61/39 Laboratory subcontracts,

CRADAs

88/12 Kramer Junction, Harper Lake,

Daggett Leasing

aRationale for major noncompetitive procurements: The Solar Two Project (under Power Tower

Development) was initiated by a consortium of U.S. utilities to retrofit the existing 10 MWe Solar

One Power Tower Pilot Plant to add molten-salt storage capability. Although noncompetitive, the

consortium actively solicited membership and no interested industry participant was excluded.

The consortium members had unique resources and expertise and prior experience with Solar

One.

Page 56 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix VI 

Competition for Solar and Renewable

Energy Program Procurements, Fiscal Years

1996 and 1997

Table VI.7: Biopower/Biofuels Energy Systems Program, Fiscal Year 1996

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Primary procurement

mechanism(s)

Competitive/

noncompetitive

Typical partners (company

names)

Biofuels Energy

Systems/Ethanol Production

67/33 Contract, cooperative

agreements

70/30 Arkenol

Biofuels Energy

Systems/Biodiesel

Productiona

34/66 Contracts, cooperative

agreements

34/66 USDA Office of Energy

Biofuels Energy

Systems/Feedstock

Production

65/35 Contracts/

laboratory subcontracts

85/15 Oklahoma State University

Biofuels Energy

Systems/Regional Biomass

Energy Programb

1/99 Interagency agreements,

grants, contracts

34/66 Shirel Lumber Company

Biofuels Energy Systems/

Thermochemical Conversion

100/0 Contract 100/0 Closeout of program

Thermochemical Conversion 89/11 Contract 100/0 d

Systems Developmentc 7/93 Contract 51/49 Westinghouse, Hawaii Cane &

Sugar, Niagra Mohawk,

Minnesota Valley Alfalfa Producers

Biomass for Cogeneration OIT project d d d

Municipal Solid Waste OIT project d d d

aMajor noncompetitive procurements in the Biofuels/Biodiesel subcategory were small projects

involving companies with unique capabilities together with cost-share opportunities.

bMajor noncompetitive procurements for Regional Program, highly leveraged (cost-share)

projects, addressing regional, state and local interests were identified and supported with state

energy offices and the private sector involvement.

cMajor noncompetitive procurements for Hawaii Direct Gasifier and Vermont Indirect Gasifier

projects were one of a kind opportunities to demonstrate technologies and were awarded

noncompetitively.

dOffice of Industrial Technologies project. DOE did not provide any procurement information.

Page 57 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix VI 

Competition for Solar and Renewable

Energy Program Procurements, Fiscal Years

1996 and 1997

Table VI.8: Biopower/Biofuels Energy Systems Program, Fiscal Year 1997

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Primary procurement

mechanism(s)

Competitive/

noncompetitive

Typical partners (company

names)

Biofuels Energy

Systems/Ethanol Production

60/40 Contracts, cooperative

agreements

65/35 BC International

Biofuels Energy

Systems/Biodiesel

Productiona

14/86 Contract, laboratory

subcontracts

40/60 Columbus Food, National

Biodiesel Board, American

Sightseeing Company, Fats &

Proteins Research Institute

Biofuels Energy

Systems/Feedstock

Production

50/50 Contract, laboratory

subcontracts

85/15 U.S. Forest Service, Northcentral

Forest Experiment Station

Biofuels Energy

Systems/Regional Biomass

Energy Programb

1/99 Interagency agreements,

contracts, cooperative

agreements, grants

35/65 Applied Agricultural Technologies

Thermochemical Conversion 100/0 Management &

operating contract

100/0 c

Systems Developmentd 9/91 Contract 50/50 Westinghouse, Niagra Mohawk,

Minnesota Valley Alfalfa

Producers, Iowa Electric

Biomass for Cogeneration OIT program e e e

Feedstock Production OTT program f f f

Regional Program OTT program f f f

aMajor noncompetitive procurements for the Biodiesel subcategory supported projects in which

the proposers had unique capabilities and there was cost-sharing needed by the program.

bMajor noncompetitive procurements for the Regional Biomass Energy Program focus on

regional, state, and local opportunities, identified and co-funded with state and local agencies

and the private sector.

cThe work was performed inhouse.

dMajor noncompetitive procurements for Hawaii Direct Gasifier and Vermont Indirect Gasifier

projects were one of a kind opportunities to demonstrate technologies and were awarded

noncompetitively.

eOffice of Industrial Technologies program. DOE did not provide any procurement information.

f

Office of Transportation Technologies. DOE did not provide any procurement information.

Page 58 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix VI 

Competition for Solar and Renewable

Energy Program Procurements, Fiscal Years

1996 and 1997

Table VI.9: Wind Energy Systems Program, Fiscal Year 1996

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Primary procurement

mechanism(s)

Competitive/

noncompetitive

Typical partners (company

names)

Applied Research/

Core Research

74/26 Subcontract 18/82 AWS Scientific, Embedded

Systems, Airfoils, Inc.

Applied Research/

University Research

43/57 Subcontract 100/0 North Carolina A&T, Georgia Tech

University, University of Illinois

Applied Research/

Wind Hybrid Systems

93/7 Subcontract 0/100 University of Massachusetts

Applied Research/

Avian Research

30/70 Subcontract 90/10 University of California, WEST, Inc.

Turbine Research/ Near

Term Research and Testing

0/100 Subcontract 100/0 Cannon/Wind Eagle, Zond, R

Lynette

Turbine Research/ Next

Generation Turbine Project

0/100 Subcontract 100/0 Wind Turbine Co, Zond

Turbine Research/

Small Wind Turbine Project

0/100 Subcontract 100/0 Windlite, Cannon/Wind Eagle,

World Power Tech, Bergey

Windpower

Turbine Research/

Supporting Research,

Testing, and Management

97/3 Subcontract 100/0 Ohio State

Cooperative Research and

Testing/Industry Support

36/64 Subcontract 14/86 American Wind Energy

Association

Cooperative Research and

Testing/Certification and

Standards

100/0 a a a

Cooperative Research and

Testing/Utility Analysis

57/43 Subcontract 0/100 Princeton Economic Research

Incorporated, Electrotek, AWS

Scientific (U*WRAP)b

Cooperative Research and

Testing/National Wind

Technology Center

Operations

67/33 Subcontract 100/0 Mountain Valley Energy

aThe work was performed inhouse.

bUtility Wind Resource Assessment Program (U*WRAP).

Page 59 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix VI 

Competition for Solar and Renewable

Energy Program Procurements, Fiscal Years

1996 and 1997

Table VI.10: Wind Energy Systems Program, Fiscal Year 1997

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Primary procurement

mechanism(s)

Competitive/

noncompetitive

Typical partners (company

names)

Applied Research/

Core Research

53/47 Subcontract 13/87 AWS Scientific, NASA Ames,

Mech Dynamics, Dynamic

Designs

Applied Research/

University Research

24/76 Subcontract 100/0 North Carolina A&T

Applied Research/

Wind Hybrid Systems

63/37 Subcontract 41/59 University of Massachusetts

Applied Research/

Avian Research

58/42 Subcontract 38/62 Boise State University

Turbine Research/ Near

Term Research and Testing

a a a a

Turbine Research/ Next

Generation Turbine Project

a a a a

Turbine Research/

Small Wind Turbine Project

a a a a

Turbine Research/

Supporting Research,

Testing, and Management

85/15 Subcontract 100/0 McNiff Light Industry

Cooperative Research and

Testing/Industry Support

63/37 Subcontract 12/88 American Wind Energy

Association

Cooperative Research and

Testing/Certification and

Standards

71/29 Subcontract 33/67 Underwriters Laboratory,

American Wind Energy

Association

Cooperative Research and

Testing/Utility Analysis

37/63 Subcontract 45/55 Princeton Economic Research

Incorporated, Utility Wind Interest

Group

Cooperative Research and

Testing/National Wind

Technology Center

Operations

85/15 Subcontract 41/59 Mountain Valley Energy

aDOE did not provide procurement information for the turbine research subcontracts funded from

uncosted obligations balances in fiscal year 1997.

Page 60 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix VI 

Competition for Solar and Renewable

Energy Program Procurements, Fiscal Years

1996 and 1997

Table VI.11: Geothermal Program, Fiscal Year 1996

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Primary procurement

mechanism(s)

Competitive/

noncompetitive

Typical partners (company

names)

Geothermal Electric

Exploration/

Production Technology

80/20 Grants,

contracts

95/5 Oxbow, CalEnergy, Caithness,

Far West, Unocal

Drilling Technology 80/20 Contracts 85/15 Halliburtton, AZ Grant, Baker

Hughes INTEQ, Security Diamond

Products, Hughes Christensen,

Unocal, Tonto, Schlumberger,

International Logging

Hot Dry Rock Fenton Hill

Experimental Site

50/50 Contracts 95/5 Project in closeout mode.

Energy Conversion

Technology

80/20 Contract 95/5 CalEnergy, Pacific Gas & Electric,

Unocal, Douglas Energy

Site Development

Activities

0/100 Grants,

cooperative agreements

0/100 Unocal, Calpine Corp., Northern

California Power Agency, Pacific

Gas & Electric

Geothermal Heat Pumps 80/20 Grants,

cooperative agreements

95/5 Geothermal Heat Pump

Consortium—over 100 member

companies, consisting of utilities

and service and equipment

companies.

Page 61 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix VI 

Competition for Solar and Renewable

Energy Program Procurements, Fiscal Years

1996 and 1997

Table VI.12: Geothermal Program, Fiscal Year 1997

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Primary procurement

mechanism(s)

Competitive/

noncompetitive

Typical partners (company

names)

Geothermal Electric

Exploration/

Production Technology

80/20 Grants,

contracts

95/5 Oxbow, CalEnergy, Caithness,

Far West, Unocal

Drilling Technology 80/20 Contracts 90/10 Halliburtton, AZ Grant, Baker

Hughes INTEQ, Security Diamond

Products, Hughes Christensen,

Unocal, Tonto, Schlumberger,

International Logging

Hot Dry Rock Fenton Hill

Experimental Site

50/50 Contracts 95/5 Project in Closeout mode.

Energy Conversion

Technology

80/20 Contract 95/5 CalEnergy, Pacific Gas & Electric,

Unocal, Douglas Energy

Site Development

Activities

0/100 Grant 0/100 Unocal, Calpine Corp., Northern

California Power Agency, Pacific

Gas & Electric

Geothermal Heat Pumps 80/20 Grant 95/5 Geothermal Heat Pump

Consortium—over 100 member

companies, consisting of utilities

and service and equipment

companies.

Table VI.13: Hydrogen Program, Fiscal Year 1996

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Primary procurement

mechanism(s)

Competitive/

noncompetitive

Typical partners (company

names)

Research and Development

Production 66/34 Solicitation 95/5 Texaco, Air Products, SRT Inc.,

Praxair

Storage 68.5/31.5 Solicitation 100/0 A.D. Little, Energy Conversion

Devices, Inc., Materials &

Electrochemical Research Corp.,

Praxair

Utilization 61/39 Solicitation 100/0 International Fuel Cells Corp.,

DCH Technology, Inc.

Systems Analysis 32.6/67.4 Solicitation 85/15 National Hydrogen Association,

Sentech, Hydrogen Fuel Cell

Letter, Directed Technologies,

122 West Longitude

Technology Validation 38.5/61.5 Solicitation 100/0 City of Palm Desert, Dupont,

Bluebird

Page 62 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix VI 

Competition for Solar and Renewable

Energy Program Procurements, Fiscal Years

1996 and 1997

Table VI.14: Hydrogen Program, Fiscal Year 1997

Amounts in percents

Budget

category/subcategory

Laboratory

inhouse/

outsourced

Primary procurement

mechanism(s)

Competitive/

noncompetitive

Typical partners (company

names)

Research and Development

Production 55/45 Solicitation 95/5 Texaco, Air Products, SRT Inc.,

Praxair

Storage 53/47 Solicitation 100/0 Energy Conversion Devices, Inc.,

A.D. Little, Materials &

Electrochemical Research Corp.,

Praxair

Utilization 47/53 Solicitation 95/5 International Fuel Cell Corp., DCH

Technology Inc.

Systems Analysis 30/70 Solicitation 85/15 National Hydrogen Association,

Sentech, Hydrogen Fuel Cell

Letter, Directed Technologies

Technology Validation 25/75 solicitation 100/0 Teledyne Brown, International

Fuel Cell Corp., MC Power,

Energy Conversion Devices, Inc.

Table VI.15: Hydropower Program, Fiscal Year 1996

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Primary procurement

mechanism(s)

Competitive/

noncompetitive

Typical partners (company

names)

Hydropower Development 67/33 Competitive 97/3 Voith Hydro, Inc.

Table VI.16: Hydropower Program, Fiscal Year 1997

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Primary procurement

mechanism(s)

Competitive/

noncompetitive

Typical partners (company

names)

Hydropower Development 45/55 Competitive 84/16 Alden Research Laboratory

Page 63 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix VI 

Competition for Solar and Renewable

Energy Program Procurements, Fiscal Years

1996 and 1997

Table VI.17: Electric Energy Systems and Storage Program, Fiscal Year 1996

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Primary procurement

mechanism(s)

Competitive/

noncompetitive

Typical partners (company

names)

High-Temperature Superconductivity Research & Development

Superconductivity

Partnershipa Initiative

80/20 Cooperative agreements 100/0 Electric Power Research Institute,

Reliance, Lockheed Martin

2nd Generation Wire

Initiativea

100/0 CRADA 100/0 Midwest Superconductivity

Strategic Researcha 90/10 CRADA 100/0 American Superconductor,

Intermagnetics General, Southwire

Energy Storage Research & Development

Integration 28/72 Competitive contract 75/25 GNB Technologies

Components 62/38 Competitive contract 75/25 JCI, ZBB

Analysis 69/31 Competitive contract 75/25 Frost & Sullivan

Electric & Magnetic Fields

Research & Developmentb

56/44 Competitive contracts,

grants

98/2 The member companiesc of EEI,

APPA, NRECA & NEMA

aThere are no major noncompetitive procurements. The outsourced funding is for small laboratory

subcontracts ($100,000 or less) to universities to obtain unique expertise needed by the program.

bMajor noncompetitive procurement is the contract with the National Academy of Sciences (NAS)

that is required by law (section 2118 of EPA Act). NAS provides scientific review of all completed

research.

cEdison Electric Institute (EEI), American Public Power Association (APPA), National Rural Electric

Cooperative Association (NRECA), and National Electrical Manufacturers Association (NEMA).

Page 64 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix VI 

Competition for Solar and Renewable

Energy Program Procurements, Fiscal Years

1996 and 1997

Table VI.18: Electric Energy Systems and Storage Program, Fiscal Year 1997

Amounts in percents

Budget category/

subcategory

Laboratory inhouse/

outsourced

Primary procurement

mechanism(s)

Competitive/

noncompetitive

Typical partners (company

names)

High-Temperature Superconductivity Research & Development

Superconductivity

Partnershipa Initiative

80/20 Cooperative agreements 80/20 Electric Power Research Institute,

Reliance, Lockheed Martin

2nd Generation Wire

Initiativea

100/0 CRADA 100/0 3M, Midwest Superconductivity

Strategic Researcha 95/5 CRADA 100/0 American Superconductor,

Intermagnetics General,

Waukeshau Electric

Energy Storage Research & Development

Integration 12/88 Competitive contract 75/25 AC Battery Corp., Virginia Power

Components 29/71 Competitive contract 75/25 JCI, ZBB

Analysis 26/74 Competitive contract 75/25 Energetics

Electric & Magnetic Fields

Research & Developmentb

48/52 Competitive contracts,

grants

98/2 The member companiesc of EEI,

APPA, NRECA, and NEMA

Note: The tables in this appendix were developed by GAO from data provided by DOE.

aThere are no major noncompetitive procurements. The outsourced funding is for small laboratory

subcontracts ($100,000 or less) to universities to obtain unique expertise needed by the program.

bMajor noncompetitive procurement is the contract with the National Academy of Sciences (NAS)

that is required by law (section 2118 of EPA Act). NAS provides scientific review of all completed

research.

cEdison Electric Institute (EEI), American Public Power Association (APPA), National Rural Electric

Cooperative Association (NRECA), and National Electrical Manufacturers Association (NEMA).

(141059) Page 65 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
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