GAO-12-410R DOE Science Priorities

United States Government Accountability Office

Washington, DC 20548

February 24, 2012

The Honorable Lamar Alexander

Ranking Member

Subcommittee on Energy and Water Development

Committee on Appropriations

United States Senate

Subject: The Department of Energy’s Office of Science Uses a Multilayered Process for 

Prioritizing Research 

Dear Senator Alexander:

Scientific and technological innovation is critical to the long-term economic competitiveness 

and prosperity of the United States. In 2006, the President introduced the American 

Competitiveness Initiative to address the nation’s position as a global leader in scientific 

discovery and innovation. Shortly thereafter, Congress passed the America Creating 

Opportunities to Meaningfully Promote Excellence in Technology, Education, and Science 

Act (America COMPETES Act) of 2007 with the overall goal of increasing federal investment 

in scientific research.1 Congress reauthorized this legislation on January 4, 2011.2

With a budget of nearly $5 billion in fiscal year 2011, the Department of Energy’s (DOE) 

Office of Science (Science) has historically been the nation’s single largest funding source 

for basic research in the physical sciences, energy sciences, advanced scientific computing, 

and other fields.3

In his fiscal year 2007 budget proposal, the President requested an increase in Science’s 

annual appropriation, which was part of an effort to double Science’s funding in 10 years 

under the goals of the American Competitiveness Initiative and the America COMPETES 

Science and its predecessor agency, the Office of Energy Research, have 

long served the nation in the quest for scientific knowledge and innovation. From the 

construction of particle accelerators—long tunnels where subatomic particles collide with 

targets at nearly the speed of light—to the design and launch of a satellite telescope that 

reveals stellar explosions in the deepest parts of space, projects overseen by Science have 

broadened our understanding of the cosmos and of the fundamental components of life on 

Earth. 

 

1

Pub. L. No. 110-69, 121 Stat. 572 (Aug. 9, 2007).

2

Pub. L. No. 111-358, 124 Stat. 3982 (Jan. 4, 2011).

3

Pub. L. No. 112-10, div. B, title IV, § 1445, 123 Stat. 38, 129 (Apr. 15, 2011) (“Notwithstanding section 1101, the 

level for ‘Department of Energy, Energy Programs, Science’ shall be $4,884,000,000.”).
Page 2 GAO-12-410R DOE Science Priorities

Act.4

You asked us to review how Science determines what research to pursue. Our objectives 

were to describe (1) Science’s research priorities and how those priorities were established 

and (2) how, if at all, Science coordinates with other federal agencies to identify and mitigate 

potential areas of duplication, overlap, and fragmentation in establishing and implementing 

research efforts.

However, policy decisions made in response to the current budget environment have 

since shifted Science’s funding trajectory away from the target of doubling funding by fiscal 

year 2016. As a result, Science will be confronted with complex decisions in selecting 

research activities that are most worthy of resources. 

To identify Science’s research priorities, we reviewed key planning and budget 

documentation, including DOE’s 2011 strategic plan and Science’s fiscal year 2012 

congressional budget justification. In addition, we examined, as applicable, reports Science 

produced in response to federal advisory committees.5 We interviewed Science’s Deputy 

Director for Science Programs and the Associate Directors of Science’s research programs 

to discuss how these documents, as well as other information from both internal and 

external sources, inform how Science makes decisions on its research priorities. In addition, 

we selected a nonprobability sample of 2 of the 10 Office of Science national laboratories to 

visit—Brookhaven National Laboratory and Oak Ridge National Laboratory—to understand 

how these decisions affect Science’s operations.6

To address our second objective, we interviewed Science program officials regarding the 

steps they take to coordinate with other DOE program offices and other federal agencies 

that fund basic research to identify and mitigate potential duplication, overlap, and 

fragmentation. We analyzed agency documentation to corroborate information provided by 

the officials. However, the scope of this request did not involve evaluating the extent to 

which Science’s tools for coordination are effective in identifying or mitigating duplication, 

overlap, or fragmentation. Duplication may occur when two or more agencies or programs 

are engaged in the same activities or provide the same services to the same beneficiaries. 

Fragmentation refers to those circumstances in which more than one federal agency, or 

more than one organization within an agency, is involved in the same broad area of national 

need. Overlap occurs when fragmented agencies or programs have similar goals, engage in 

similar activities or strategies to achieve them, or target similar beneficiaries. 

To examine how Science’s research 

priorities are established, we interviewed Science’s Director of the Office of Budget, as well 

as Science program management. We corroborated the officials’ statements by examining 

supporting documentation provided by Science’s Office of Budget. This documentation 

included, for example, budget formulation guidance issued to program management and 

budget tool templates, such as program and project data worksheets. In addition, we 

reviewed funding history data from fiscal year 2002 to fiscal year 2011.

We conducted this performance audit from June 2011 to February 2012 in accordance with 

generally accepted government auditing standards. Those standards require that we plan 

and perform the audit to obtain sufficient, appropriate evidence to provide a reasonable 

 

4

Budget of the United States Government Fiscal Year 2007, Department of Energy (Washington, D.C.: Feb. 6, 

2006) at 90, accessed January 18, 2012, http://www.gpo.gov/fdsys/pkg/BUDGET-2007-BUD/pdf/BUDGET-2007-

BUD-13.pdf. 

5

Each of the Office of Science’s six research programs has a federal advisory committee that provides 

independent advice to the Department of Energy and the programs regarding scientific and technical issues that 

arise in the planning, management, and implementation of the programs. 

6

Because it was a nonprobability sample, the information we collected from our visits is not generalizeable to the 

other eight national laboratories but serves as an example of how prioritization decisions at these laboratories 

affect Science’s operations. 
Page 3 GAO-12-410R DOE Science Priorities

basis for our findings and conclusions based on our audit objectives. We believe that the 

evidence obtained provides a reasonable basis for our findings and conclusions based on 

our audit objectives.

Summary

Science establishes research priorities within and across its six core interdisciplinary 

research programs, which include a wide variety of research ranging from biology to particle 

physics. However, Science does not explicitly rank these programs in terms of priority. The 

office currently prioritizes research that aligns with the Secretary of Energy’s interest in 

fostering the development of clean energy technologies. For example, Science supports 

research in materials sciences, which informs technology development of batteries and fuels 

cells. According to Science’s Deputy Director for Science Programs, the office remains 

committed to all of its research programs and, in the case of stable or declining budgets, 

does not intend to limit funding reductions to certain programs. Science formalizes priorities 

annually through the budget formulation process. 

With input from program management, the Director of the Office of Science reconciles 

priorities across programs and develops a Science-wide budget request that culminates in 

the President’s budget request to Congress each February. The budget formulation process 

provides an annual opportunity for formalizing priorities, but Science develops priorities on 

an ongoing basis through the continuous evaluation of evolving scientific knowledge and 

other contextual factors. These factors include the current priorities of Congress and the 

administration, the extended time frames associated with conducting basic research, the 

need to ensure that existing and planned facilities meet current and future research needs, 

and past and current project performance. 

Science uses a variety of formal and informal mechanisms to coordinate with other DOE 

entities and other agencies that fund basic research, including the National Science 

Foundation (NSF), the National Aeronautics and Space Administration (NASA), the National 

Institutes of Health (NIH), and the Department of Defense (DOD), according to DOE 

officials. For example, formal mechanisms include partnerships and joint projects with other 

agencies, while informal mechanisms include interaction among program managers and 

their counterparts within and outside of DOE. These formal and informal mechanisms are 

used by DOE officials to identify and mitigate areas of duplication, overlap, and 

fragmentation in establishing and implementing research efforts.

Background

DOE’s mission is to ensure America’s security and prosperity by addressing its energy, 

environmental, and nuclear challenges through transformative science and technology 

solutions. The following four goals underpin DOE’s mission.

Goal 1: Catalyze the timely, material, and efficient transformation of the nation’s 

energy system and secure U.S. leadership in clean energy technologies.

Goal 2: Maintain a vibrant U.S. effort in science and engineering as a cornerstone of 

our economic prosperity with clear leadership in strategic areas. 

Goal 3: Enhance nuclear security through defense, nonproliferation, and 

environmental efforts. 

Goal 4: Establish an operational and adaptable framework that combines the best 

wisdom of all department stakeholders to maximize mission success.
Page 4 GAO-12-410R DOE Science Priorities

The Office of Science directly contributes to goals 1 and 2 by supporting fundamental 

research through six core interdisciplinary research programs: 

(1) Advanced Scientific Computing Research, which aims to discover, develop, and 

deploy computational and networking capabilities to analyze, model, simulate, and 

predict complex phenomena; 

(2) Basic Energy Sciences, which supports fundamental research to understand and 

ultimately control matter and energy at the atomic, molecular, and electronic scales 

in order to provide the foundations for new energy technologies; 

(3) Biological and Environmental Research, which seeks to understand complex 

biological, climatic, and environmental systems across spatial and temporal scales, 

ranging from submicron to global, from individual molecules to ecosystems, and from 

a fraction of a second to millennia;

7

(4) Fusion Energy Sciences, which aims to expand the fundamental understanding of 

matter at very high temperatures and densities and to develop the scientific 

foundations needed to develop a fusion energy source; 

(5) High Energy Physics, which aims to understand how the universe works at its most 

fundamental level by discovering the elementary constituents of matter and energy, 

probing the interactions between them, and exploring the basic nature of space and 

time; and

(6) Nuclear Physics, which supports research to discover, explore, and understand all 

forms of nuclear matter through experimental and theoretical research that creates, 

detects, and describes different forms and complexities of that matter, including 

those forms that are no longer commonly found in our universe.8

As a result of the continued national emphasis on scientific discovery and innovation over 

the last decade, increasing appropriations have generally resulted in increased allocations 

for all core research programs (see figure 1). 

 

 

7

A submicron is less than a micron, which is equivalent to one millionth of a meter. 

8

Science manages and supports programs in addition to its six core research programs, including Workforce 

Development for Teachers and Scientists, Science Laboratories Infrastructure, Safeguards and Security, and 

Science Program Direction. This correspondence only discusses the six core research programs. 
Page 5 GAO-12-410R DOE Science Priorities

Figure 1: Office of Science Program Allocations, Fiscal Years 2002 through 2011 

(dollars in millions)

Note: Values not adjusted for inflation. 

Each of the six programs supports fundamental research to address questions within its field 

that affect DOE’s missions. Some programs’ portfolios are diverse, while others are more 

homogenous. For instance, the Biological and Environmental Research program’s portfolio 

consists of three broad elements—biology, climate science, and environmental science—

while the High Energy Physics program’s portfolio is specifically focused on particle physics 

research, much of which relies on the use of particle accelerators and detectors.9

In addition to its research programs, Science is the steward of 10 national laboratories, 

which include large-scale scientific facilities and equipment.

 An 

associate director oversees each program, and activities are managed by program 

managers. 

10 Additionally, Science 

manages 46 Energy Frontier Research Centers (EFRC) and the Fuels from Sunlight Energy 

Innovation Hub.11

Further, Science’s research programs fund, plan, construct, and operate “scientific user 

facilities,” which provide unique research capabilities to researchers from universities, 

Science’s facilities aim to provide scientific capabilities beyond the 

traditional scope of academic and commercial institutions in order to facilitate the 

advancement of the nation’s scientific knowledge.

 

9

A particle accelerator is an apparatus for imparting high velocities to charged particles. There are protonaccelerators, such as the Large Hadron Collider, and electron-accelerators, such as the PEP-II. 

10Science is responsible for and partially funds 10 national laboratories: Ames National Laboratory, Argonne 

National Laboratory, Brookhaven National Laboratory, Fermi National Accelerator Laboratory, Lawrence 

Berkeley National Laboratory, Oak Ridge National Laboratory, Pacific Northwest National Laboratory, Princeton 

Plasma Physics Laboratory, SLAC National Accelerator Laboratory, and Thomas Jefferson National Accelerator 

Facility.

11Energy Frontier Research Centers are integrated centers supporting multiple researchers focused on 

accelerating discovery. The centers involve Science’s partnerships with universities, national laboratories, 

nonprofit organizations, and for-profit firms. Science has historically allocated between $2 million and $5 million 

for each center per year for a 5-year period. EFRCs are located in 35 states and the District of Columbia. 
Page 6 GAO-12-410R DOE Science Priorities

national laboratories, and private institutions.12

Science Establishes Research Priorities through Budget 

Formulation and Assessment of Scientific Knowledge

For example, the Advanced Scientific 

Computing Research program supports the operation of the Leadership Computing Facility 

at Oak Ridge National Laboratory that houses the Cray XT Jaguar, one of the world’s most 

powerful computers. In 2011, the Jaguar was used by such entities as Procter & Gamble, 

New York University, and University of California, Los Angeles.

Science has numerous research priorities that support DOE’s mission of addressing national 

challenges through transformative science and technology solutions. The office establishes 

priorities by having its associate directors and the Director of the Office make trade-off 

decisions during the annual budgeting process. These trade-off decisions are informed 

through assessing areas of evolving scientific knowledge and other contextual factors.

Science Has Numerous Research Priorities

Science is involved in conducting or supporting research projects across many and varied 

scientific disciplines, including genomics research and nuclear physics. Science’s 2012 

budget request reflects this. The Deputy Director for Science Programs told us that the 

office’s research priorities support DOE’s mission of addressing national challenges through 

transformative science and technology solutions.

Each of Science’s six core interdisciplinary research programs sets priorities for its portfolio. 

The following are examples of current research priorities for each program, according to the 

Deputy Director: 

• Advanced Scientific Computing Research’s focus is to sustain its current capabilities 

in mathematics and applied computing science, networking, and high-performance 

computer facilities while investing in the development of exascale computing—an 

effort aiming to create computers that operate a thousand times faster than the 

computers used today. 

• Basic Energy Sciences is currently emphasizing research on understanding 

inorganic structures and their functions at the atomic, molecular, and electronic 

scales. The Deputy Director said that these efforts could contribute to the 

development of new materials for the generation, storage, and use of energy. 

Additionally, the Deputy Director said that Basic Energy Sciences will continue to 

invest in user facilities, such as photon light sources that are necessary to study the 

atomic structure and functions of complex materials.13

• Biological and Environmental Research is currently focusing on understanding 

organic structures and their functions at the atomic, molecular, and electronic scales. 

The Deputy Director said that the program also plans to sustain its capabilities in 

climate modeling and atmospheric measurement.

 

12Each user facility administers a peer review process to evaluate scientific proposals for accessing that facility. 

The proposals are evaluated for scientific merit by independent proposal review committees or panels and for 

feasibility and safety by the facility, with those that are most compelling being accepted and allocated time. There 

is no charge for users who are doing nonproprietary work, with the understanding that they are expected to 

publish their results. Access is also available on a cost-recovery basis for proprietary research that is not 

intended for publication. 

13Photon light sources produce bright beams of X-rays, ultraviolet light, and infrared light for research in such 

fields as biology, medicine, chemistry, environmental sciences, physics, and materials science. 
Page 7 GAO-12-410R DOE Science Priorities

• Fusion Energy Sciences’ top priority is ITER,14 an international nuclear fusion 

research and engineering project intended to demonstrate commercial electricity 

production from fusion.15

• High Energy Physics is focusing on particle physics in which scientists investigate 

fundamental forces and particle interactions through the study of events that occur 

rarely in nature.

Fusion Energy Science may forgo funding increases or 

slightly reduce funding for efforts other than ITER because of the current budget 

environment, according to the Deputy Director.

16

• Nuclear Physics is currently following a path set forward in the 2007 report, The 

Frontiers of Nuclear Science,

A primary goal for this program is to develop an understanding of 

what lies beyond the Standard Model of particle physics. The Standard Model 

describes the behavior of particles, but is incomplete. 

17 developed by the Nuclear Science Advisory 

Committee, which advises DOE and NSF on basic nuclear science research.18 For 

example, the program is investing in research such as rare isotope development and 

facilities such as the Relativistic Heavy Ion Collider at Brookhaven.19

According to the Deputy Director, Science currently prioritizes research that aligns with the 

Secretary of Energy’s interest in fostering the development of clean energy technologies. 

Science does not explicitly rank order its six research programs, but many of its research 

priorities fall within the portfolios of three programs—Advanced Scientific Computing 

Research, Basic Energy Sciences, and Biological and Environmental Research. For 

example, Science supports research in materials sciences—which primarily falls into Basic 

Energy Sciences’ portfolio—that can inform the development of battery and fuel cell 

technology, among other things. The Deputy Director said that Science remains committed 

to all six of its research programs and that, in the case of stable or declining budgets, 

Science does not intend to limit funding reductions to certain programs. Additionally, the 

Deputy Director noted that advancements in one research program enable research in other 

programs. For example, Basic Energy Science supports research that relies upon the use of 

 

 

14The ITER Project (formerly known as the International Thermonuclear Experimental Reactor) is a sevenmember international collaboration to design, build, and operate a first-of-a-kind international research facility in 

Cadarache, France, aimed at demonstrating the scientific and technical feasibility of fusion energy. The ITER 

Members are China, the European Union, India, Japan, South Korea, the Russian Federation, and the United 

States.

15Fusion occurs when the nuclei of two light atoms—often hydrogen isotopes—collide and fuse together when 

heated at high temperatures. This reaction releases energy that may be captured to produce electricity. A 

challenge in producing fusion energy is to develop a device that can produce more energy than is required for 

achieving high temperatures. 

16Particle physics deals with the constitution, properties, and interactions of elementary particles especially as 

revealed in experiments using particle accelerators. Particle physics is also known as high energy physics. 

17The Nuclear Science Advisory Committee issued this report in response to a charge from DOE and NSF to 

conduct a study of the opportunities and priorities for U.S. nuclear physics research and recommend a longrange plan that will provide a framework for coordinated advancement of the nation's nuclear science research 

programs over the next decade.

18This advisory committee provides official advice to DOE and NSF on the national program for basic nuclear 

science research. The responsibility for appointing members and forming subcommittees is shared by the two 

agencies.

19Isotopes are used in energy, medical and national security applications, and for basic research. Nuclear 

Physics supports the production and the development of production techniques of radioactive and stable 

isotopes that are in short supply for research and other applications.
Page 8 GAO-12-410R DOE Science Priorities

high energy electron lasers, the first of which was developed at a High Energy Physics lab 

at SLAC National Accelerator Laboratory. 

Science Establishes Priorities through the Annual Budget Formulation 

Process

The budget formulation process provides an annual opportunity for Science to establish 

research priorities. During this process, decisions to emphasize one research project over 

another are made within each research program by the associate directors and across 

programs by the Director of the Office of Science. A description of this process, as detailed 

in internal Science documents and interviews with Science budget and program officials, 

follows. 

As part of the budget formulation process, the associate directors of the six research 

programs annually make proposals to the Science Director, Deputy Directors, and Science 

Budget Office about which research projects should receive increased, decreased, and 

maintained levels of funding. An overall target budget allocation, determined by the Science 

Director and the DOE’s Chief Financial Advisor, constrains these program proposals. 

Accordingly, associate directors must make trade-offs among research projects during this 

process. For example, in fiscal year 2012, Nuclear Physics decided to close its Holifield 

Radioactive Ion Beam Facility at Oak Ridge National Laboratory to accommodate higherpriority research. High Energy Physics ceased operations of the Tevatron at Fermi National 

Accelerator Laboratory and plans to continue to phase out electron accelerator-based 

research at SLAC as it transitions its focus toward other priorities, such as non-acceleratorbased projects.

To facilitate such trade-off decisions, the associate directors develop multiple budget 

scenarios that detail proposed project funding levels under the various scenarios. 

Specifically, the Science Budget Office, in alignment with OMB guidance and requirements, 

asks associate directors to submit a budget for a target scenario and may also request 

budgets for various other scenarios for specific levels of funding above or below the target. 

These scenarios allow the Director, Deputy Directors, and Science Budget Director to see 

the potential effects of various budget decisions at the project level. 

Additionally, associate directors make lists of specific projects recommended for funding 

increases in case funding is available and decreases in case funding is short. Associate 

directors are also required to submit narratives that describe the strategy behind any 

proposed increases or decreases in project funding. For example, Biological and 

Environmental Research requested decreased funding for fiscal year 2011 medical 

applications, citing the completion of an artificial retina project effort in its request.

Science’s director reconciles priorities across programs annually by aggregating program 

proposals into a Science-wide budget request. The Science-wide budget request is 

considered in the context of other DOE priorities and incorporated into the DOE budget 

request. The DOE budget request is then considered by OMB against other agency 

requests and incorporated into the President’s budget request to Congress.
Page 9 GAO-12-410R DOE Science Priorities

Science Determines Priorities by Assessing Scientific Knowledge and Other 

Contextual Factors

To inform decisions on research priorities, program and senior Science management gather 

information to identify those areas of science that warrant further research. According to 

senior program officials, Science gathers information about areas of evolving scientific 

knowledge through a variety of means, including: 

• Recent guidance from federal advisory committees. Each research program receives 

scientific and technical advice from a designated external federal advisory committee 

regarding the planning, management, and implementation of the program’s research, 

according to agency documents. Federal advisory committees respond to requests 

from the Science Director and may be charged to identify scientific opportunities. For 

instance, the Fusion Energy Sciences Advisory Committee issued a report in 2009 

identifying research needs in the area of high energy density laboratory plasmas, 

such as research on the influence of magnetic fields on these plasmas.20

• Current findings from the National Academy of Sciences.

As another 

example of Science’s information gathering efforts, in 2010, the Advanced Scientific 

Computing Advisory Committee reviewed the management processes for Advanced 

Scientific Computing Research’s Applied Mathematics program. The committee 

found that, for example, research program managers generally used effective 

mechanisms to monitor ongoing projects and recommended that Science issue 

explicit guidelines to researchers for drafting progress reports.

21

• Participation in interagency working groups and other partnerships. Science also 

collects information from international scientific partnerships that include projects 

such as Fusion Energy Sciences’ ITER; interagency working groups, such as Basic 

Energy Sciences’ participation in the National Science and Technology Council’s 

(NSTC) Subcommittee on Nanoscale Science, Engineering, and Technology; and 

joint research efforts with other federal agencies, such as NSF. 

Science’s programs 

utilize scientific findings from National Academy of Sciences in their planning, 

according to Science officials. For example, their 2009 report, A New Biology for the 

21st Century, advocates the systems-level study of biological systems using the 

latest interdisciplinary tools and approaches. This challenge is aligned with the 

Biological and Environmental Research program’s Genomic Science research

activities, in which researchers conduct explorations of microbes and plants at the 

molecular, cellular, and community levels with the goal of gaining insight about 

fundamental biological processes, ultimately leading to a predictive understanding of 

how living systems operate.

In addition to determining research priorities by assessing areas of evolving scientific 

knowledge, Science considers other contextual factors when making long-term priority 

decisions, including: 

 

20The High Energy Density Laboratory Plasmas (HEDLP) program within Fusion Energy Sciences supports 

studies of ionized matter, which is heated and compressed to a point where the stored energy reaches very high 

temperature and density. In nature, such conditions exist in the interior of the sun, in supernovae, in accretion 

disks around black holes, pulsars, and astrophysical jets, while on Earth, high energy density conditions can only 

be created transiently by using intense laser pulses, ion or electron ion beams, or pressure from pulsed magnetic 

fields.

21Congress chartered the National Academy of Sciences, a private, nonprofit society in 1863 to provide 

independent advice to the federal government on subjects of science and technology. 
Page 10 GAO-12-410R DOE Science Priorities

• Current priorities of Congress and the administration. Congress provides input to 

Science’s research priorities through legislation, such as appropriation acts and the 

Energy Policy Act of 2005.22 The administration provides input through coordination 

and oversight of government wide priorities. Congress and the administration make 

policy and budget decisions that establish parameters with which Science prioritizes 

research and develops the federal budget request, according to Science officials. 

Additionally, administration offices such as the Office of Science and Technology 

Policy (OSTP)23 and the NSTC24

• Long time frames associated with basic research. Science supports basic, 

fundamental research projects, which often require extended time frames—years or 

even decades. For example, Basic Energy Sciences’ neutron scattering efforts, 

which support basic research on the fundamental interactions of neutrons with 

matter, have evolved from the construction of nuclear power reactors in the early 

1940s to the current program, which encompasses multiple techniques and 

disciplines.

play a role in coordinating science policy across the 

federal government.

25

• Capability of facilities to meet research needs. Science also tries to ensure that it 

maintains the capability to meet current and future research needs through the 

planning, construction, and operation of facilities. These facilities can require several 

years of planning and construction and typically operate for 20 to 30 years. For 

example, the National Synchrotron Light Source (NSLS) began operations in 1982. 

As Science identified the future need to produce images of structures at the 

nanoscale—a very small scale where the properties of materials may change—

Science began planning the NSLS’s replacement. The NSLS II began construction in 

2009 and is scheduled to be operational in 2015, according to agency 

documentation.

Discoveries from these early activities motivated Science to construct 

the Spallation Neutron Source, which was completed in 2006. This tool is the most 

powerful neutron scattering device in the world, and neutrons are an effective tool for 

probing the structure of matter. Specifically, beams of neutrons are particularly wellsuited for measurement, which allows physicists to understand phenomena such as 

melting and superconductivity in a variety of materials. This knowledge can be 

applied to medical sciences, engineering, and biosciences, among other disciplines, 

according to agency documentation.

• Past and current project performance. Science uses internal information, such as 

individual project schedule data, project cost data, and procurement cost information, 

to inform the prioritization of individual projects. For example, all of Science’s 

research programs employ extensive peer reviews to determine what projects will 

continue to receive support, according to the Deputy Director of Science Programs. 

 

22Pub. L. No. 109-58, 119 Stat. 594 (Aug. 8, 2005). 

23The Office of Science and Technology Policy is charged with ensuring that the scientific and technical work of 

the Executive Branch is properly coordinated so as to provide the greatest benefit to society.

24The National Science and Technology Council is the principal means within the executive branch to coordinate 

science and technology policy across the diverse entities that make up the federal research and development 

enterprise.

25Neutron scattering allows scientists to count scattered neutrons, measure their energies and the angles at 

which they scatter, and map their final positions. Neutron scattering provides information on positions, motions, 

and magnetic properties of solids. Neutron scattering research is used to analyze materials for medicine, energy, 

electronics, and other products and technologies. 
Page 11 GAO-12-410R DOE Science Priorities

As contextual factors and scientific knowledge evolve, research priorities change both within 

and across Science’s programs. For example, the Basic Energy Sciences program phased 

out silicon research because it was proven unlikely to produce transformative energy 

technology discoveries.

Science Coordinates with Other Agencies and the Scientific 

Community 

Science coordinates its research efforts through formal and informal mechanisms with other 

DOE entities—such as the Office of Energy Efficiency and Renewable Energy and the 

National Nuclear Security Administration (NNSA)—and externally with other agencies that 

fund basic scientific research—including NSF, NASA, NIH, and DOD—to identify and 

mitigate potential areas of inappropriate duplication, overlap, and fragmentation in 

establishing and implementing research efforts. Program managers are responsible for 

informally coordinating with their counterpart program managers within and outside of DOE, 

according to Science officials. Officials in Nuclear Physics, for example, communicate with 

officials in NSF’s Nuclear Physics program, and they are partners in interacting with the 

nuclear physics community, according to an official in Science’s Nuclear Physics program. 

Science also coordinates through formal mechanisms, specifically by sharing management 

of joint projects and funding. For example, Biological and Environmental Research and the 

United States Department of Agriculture recently issued a joint request for research 

proposals related to genomics of plants that might be used for bioenergy.26

Partnerships and working groups with agencies such as NSF provide other formal avenues 

for coordination. For example, Fusion Energy Sciences and NSF jointly sponsored the 

Partnership in Basic Plasma Science and Engineering to coordinate efforts and combine 

resources. Partnerships and working groups may also be organized by entities such as 

OSTP’s NSTC, or specified by legislation. For example, Science is involved in the 

Subcommittee on Global Change Research under the NSTC Committee on Environment, 

Natural Resources, and Sustainability. Science also participates in the Biomass Research 

and Development Board, which was established by the Biomass Research and 

Development Act of 2000.

Additionally, 

principal investigators who respond to any Science funding opportunity are required to list all 

of their current and potential funding sources. If an area of potential duplication is found, the 

recipient may no longer be eligible for Science funding, according to a Science official. 

27

 

26Genomics is a branch of biotechnology concerned with applying the techniques of genetics and molecular 

biology to the genetic mapping and DNA sequencing of sets of genes.

Furthermore, DOE and NSF jointly charter two of Science’s 

program advisory committees: the High Energy Physics Advisory Panel and the Nuclear 

Science Advisory Committee. Additionally, Science uses memorandums of understanding to 

coordinate formally with other agencies. For example, Advanced Scientific Computing 

Research recently signed a memorandum with the National Oceanic and Atmospheric 

Administration (NOAA) on the development of high performance computing. While we 

discussed Science’s coordination efforts with program officials, the scope of this request did 

not involve evaluating the extent to which Science’s tools for coordination are effective in 

identifying or mitigating duplication, overlap, or fragmentation.

27Pub. L. No. 106-224, title III, § 305, 114 Stat. 358, 431 (June 20, 2000), as amended. 
Page 12 GAO-12-410R DOE Science Priorities

Agency Comments and Our Evaluation

We provided a copy of our draft report to the Secretary of Energy for review. DOE provided 

written comments expressing agreement with GAO’s findings. DOE’s comments are 

reprinted in enclosure I of this report.

We are sending copies of this report to the appropriate congressional committees, the 

Secretary of Energy, and other interested parties. In addition, this report will be available at 

no charge on the GAO website at http://www.gao.gov. 

If you or your staff members have any questions about this report, please contact Frank 

Rusco at (202) 512-3841 or ruscof@gao.gov or Melissa Emrey-Arras at (202) 512-6806 or 

emreyarrasm@gao.gov

Sincerely yours,

. Contact points for our Offices of Congressional Relations and 

Public Affairs may be found on the last page of this report. GAO staff who made major 

contributions to this report are listed in enclosure II.

Frank Rusco

Director, Natural Resources

and Environment

Melissa Emrey-Arras 

Director, Strategic Issues

Enclosures—2 
Page 13 GAO-12-410R DOE Science Priorities

Enclosure I 

Comments from the Department of Energy
Page 14 GAO-12-410R DOE Science Priorities

Enclosure II 

GAO Contacts and Staff Acknowledgments

GAO Contacts 

Frank Rusco, (202) 512-3841 or ruscof@gao.gov; or Melissa Emrey-Arras, (202) 512-6806

or emreyarrasm@gao.gov

Staff Acknowledgments

Tim Minelli, Assistant Director; Carol Henn, Assistant Director; Nicole Dery; Cindy Gilbert; 

Lauren Grossman; Michael Kendix; Cheryl Peterson; Amy Spiehler; and Jeremy Williams. 

(361301)
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