Guide to FY2016 Research Funding at the Department of Energy (DOE) Executive Summary and Index Descriptive of DOE basic research funding modalities

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1 Guide to FY2016 Research Funding at the Department of Energy (DOE) Contact: James Murday, DC Office of Research Advancement , Executive Summary and Index This document provides succinct insights into the various DOE funding opportunities for University research, with special attention to changes anticipated in FY2016. The mission of the Energy Department is to ensure America s security and prosperity by addressing its energy, environmental and nuclear challenges through transformative science and technology solutions. Basic research is funded through the Office of Science (SC). Applied research is funded through Electricity Delivery and Energy Reliability (EDER), Energy Efficiency and Renewable Energy (EERE), Fossil Energy (FE), Nuclear Energy (NE), ARPA E, and the National Nuclear Security Administration (NNSA). Innovation Hubs, Clean Energy Manufacturing Innovation Institutes (Advanced Manufacturing) and BioEnergy Centers are large scale Center opportunities. Descriptive of DOE basic research funding modalities page(s) Brief descriptions of the DOE agencies and funding mechanisms pertinent to USC 3 5 Resources for additional basic research information 6 Table 1: FY11/13 DOE basic and applied research funding at Univ. (~$1B/yr) 7 Table 2: DOE requested basic research funding pertinent to Universities 8 9 Descriptive of DOE applied research funding modalities An overview of the DOE agencies and funding mechanisms pertinent to USC Table 3: DOE requested applied research funding pertinent to Universities 12 Appendix 1: FY2016 DOE Basic Research New Programs and/or Program Change Essentially level funded expect for the Energy Frontier Research Center (EFRC), Computational Material Sciences, and Climate and Earth System Modeling programs. $M growth from FY15 page(s) Basic Energy Sciences (BES) Materials Sciences and Engineering from 364 to Chemical Sciences, Geosciences, and Biosciences from 314 to Biological and Environmental Research (BER) Climate and Earth System Modeling from 71 to Appendix 2: FY2016 DOE Applied Research New Programs and/or Program Change There is significant growth requested in the many applied research and development lines; but in recent years Congress has frequently not appropriated the requested amounts. Of particular note is the plan to solicit two new centers under the Clean Energy Manufacturing Initiative. $M growth from FY15 page(s) Energy Efficiency and Renewable Energy (EERE) Batteries and Electric Drive Technologies from 104 to

2 Vehicle Systems from 40 to Advanced Combustion Engine R&D from 49 to Materials Technology from 36 to Fuel and Lubricant Technologies from 20 to Bioenergy Conversion Technologies from 96 to Fuel Cell R&D from 33 to Hydrogen Fuel R&D from 35 to Photovoltaic R&D from 35 to Systems Integration (solar) from 44 to Enhanced Geothermal Systems from 32 to Hydrothermal from 13 to Advanced Manufacturing Projects: from 84 to Advanced Manufacturing R&D Facilities from 93 to Emerging Building Technologies from 56 to Strategic Priorities and Impact Analysis from 7 to 6 17 Electricity Delivery and Energy Reliability (EDER) Advanced Modeling Grid Research from 11 to Smart Grid Research and Development from 15 to Cybersecurity for Energy Delivery Systems from 46 to ARPA E Stationary Power Systems from 126 to /12/2015 page(s) Appendix 3: Illustration of a DOE program manager data sheet 19 Appendix 4: Acronym glossary Agency Specific 20 General 21 2

3 3 3/12/2015 Overview The mission of the Energy Department is to ensure America s security and prosperity by addressing its energy, environmental and nuclear challenges through transformative science and technology solutions. This includes funding for priority areas such as clean energy, research and development to spur innovation, and advanced manufacturing. DOE improves the competitiveness of U.S. industries by research and development on advanced manufacturing processes and advanced industrial materials, enabling companies to cut costs by using less energy while improving product quality. Its efforts span basic research, applied research, development, demonstration and deployment (RDD&D). It also houses the National Nuclear Security Administration (NNSA) that addresses nuclear weapon and Naval reactor issues. A summary of DOE basic and applied research funding levels at universities for 2013 (most recent data) is shown in Table 1. However, from discussions with DOE program managers, I suspect the applied research amounts in the NSF report (NSF ), the source of this data, are not accurate. Innovation Hubs Major multidisciplinary, multi investigator, and multi institutional integrated research centers, the Hubs are modeled after the centralized scientific management characteristics of the Manhattan Project. There are currently five funded Hubs (at ~$25M/yr each), two by Office of Science Fuels from Sunlight, and Energy Storage; two by the Office of Electricity Efficiency and Renewable Energy Consortium for Building Energy Innovation, and Critical Materials; and one by the Office of Nuclear Energy Nuclear Energy Modeling and Simulation. Basic Research Programs Office of Science The Department of Energy (DOE) is the single largest federal government supporter of basic research in the physical sciences in the United States, providing more than 40% of the total federal funding. In particular, DOE oversees and is the principal federal funding agency of the nation s research programs in high energy physics, nuclear physics, and fusion energy sciences. The DOE Office of Science (SC) invests in basic research to achieve transformational discoveries. For those basic research programs more available to University participation, the requested FY2016 funding is listed in Table 2. About 15% of the SC basic research funding went to Universities/Colleges in the budget years. The several Office of Science programs include: Advanced Scientific Computing Research Program (ASCR) (http://science.energy.gov/ascr/) Focus: Computational and networking capabilities to analyze, model, simulate, and predict complex phenomena; exoscale computing. See MAPS DOE charts Basic Energy Sciences Program (BES) (http://science.energy.gov/bes/) Focus: To understand and ultimately control matter/energy at the electronic, atomic, and molecular levels that are important to new energy technologies. See MAPS DOE charts Biological and Environmental Research Program (BER) (http://science.energy.gov/ber/) Focus: Exploring genome enabled biology; discovering the physical, chemical, and biological drivers of climate change; and seeking the biological, geochem and hydrological molecular determinants of environmental sustainability and stewardship. See MAPS DOE charts Fusion Energy Science Program (FES) (http://science.energy.gov/hep/)

4 Focus: understanding of matter at very high temperatures and densities, and to develop the scientific foundations needed for a fusion energy source. See MAPS DOE charts High Energy Physics Program (HEP) (http://science.energy.gov/hep/) Focus: discovering the elementary constituents of matter/energy; probing the interactions between them; and exploring the basic nature of space/time. See MAPS DOE charts Nuclear Physics Program (NP) (http://science.energy.gov/np/) Focus: To discover and understand nuclear matter and understand how fundamental particles interact to create different types of matter. See MAPS DOE charts Workforce Development for Teachers and Scientists (http://science.energy.gov/wdts/) Focus: a sustained pipeline of highly trained science, technology, engineering, and mathematics (STEM) individuals for the workforce. See MAPS DOE charts Scientific User Facilities (http://science.energy.gov/user facilities/) Focus: state of the art facilities shared with the science community worldwide. Generic Broad Agency Announcement: Single Investigator Efforts The Office of Science annually releases a Continuation of Solicitation for the Office of Science Financial Assistance Program for all Office of Science programs (http://science.doe.gov/grants/announcements.asp). Discussion with the appropriate DOE program manager is recommended to ascertain their interest in your ideas and the availability of funds. One can find current Office of Science awards to Universities at opportunities/award search/. This can be useful for understanding a program managers interests. Guidance on proposal preparation and submission can be found at: There are no submission deadlines, however, it is recommended that a full application be sent between June 1 st and November 30 th. Three to four years is the usual grant duration. Matching funds are usually not required for basic research. The Office of Science requires the submission of all financial assistance applications through Grants.gov. DOE will perform an initial review to determine that (1) the applicant is eligible for the award; (2) the information required by the Federal Opportunity Announcement (FOA) has been submitted; (3) all mandatory requirements are satisfied; and (4) the proposed project is responsive to the objectives of the funding opportunity announcement. Those accepted will be subjected to scientific merit review (peer review) and will be evaluated against the following evaluation criteria, which are listed in descending order of importance: 1. Scientific and/or Technical Merit of the Project; 2. Appropriateness of the Proposed Method or Approach; 3. Competency of Applicant's Personnel and Adequacy of Proposed Resources; and 4. Reasonableness and Appropriateness of the Proposed Budget. The evaluation process will include program policy factors such as the relevance of the proposed research to the terms of the FOA and the agencies' programmatic needs. External peer reviewers are selected with regard to both their scientific expertise and the absence of conflict of interest issues. Both Federal and non Federal reviewers may be used. Early Career career/ The Office of Science (SC) supports an Early Career Research Program in projects of interest to SC; a typical award is $750K over 5 years. The Principal Investigator must be an untenured 4

5 Assistant Professor or Associate Professor on tenure track at a U.S. academic institution as of the deadline for the application. No more than ten years can have passed between the year the PI s Ph.D. was awarded and the year of the deadline for the application. No citizenship requirement. Preapplications are required. See MAPS DOE chart 17; a list of prior Early Career awardees/topics is available from the DC office. Energy Frontier Research Centers (EFRC) (http://science.energy.gov/bes/efrc/) These integrated, multi investigator Centers conduct fundamental research focusing on one or more of several grand challenges and use inspired basic research needs identified in major strategic planning efforts. The Centers integrate the talents and expertise of leading scientists to accelerate research toward meeting our critical energy challenges. Funded at ~$3M/yr for five years. EFRC competitions will be biennial starting in FY2016. See MAPS DOE chart 18. Bioenergy Centers To focus the most advanced biotechnology based resources on the biological challenges of biofuel production, DOE established three Bioenergy Research Centers (BRCs BioEnergy Science, Great Lakes Bioenergy Research, and Joint BioEnergy Institute) in September 2007 and renewed them in Each center is pursuing the basic research underlying a range of highrisk, high return biological solutions for bioenergy applications. Advances resulting from the BRCs will provide the knowledge needed to develop new biobased products, methods, and tools that the emerging biofuel industry can use. They are funded by the Office of Science at ~$25M/yr each. See MAPS DOE chart 34. High End Computing The National Energy Research Scientific Computing Center (NERSC) annually serves researchers at DOE laboratories, universities, industrial laboratories and other Federal agencies. The ASCR Leadership Computing Challenge (ALCC) program allocates up to 30% of the computational resources at NERSC and the Leadership Computing Facilities at Argonne and Oak Ridge for special situations of interest to the Department with an emphasis on high risk, high payoff simulations in areas directly related to the Department s energy mission. Allocations of computer time and archival storage at NERSC are awarded to research groups based on a review of submitted proposals. (http://science.energy.gov/ascr/facilities/alcc/) The Innovative and Novel Computational Impact on Theory and Experiment (INCITE) program invites proposals for large scale, computationally intensive, research projects to run at America's premier leadership computing facility (LCF) centers. The INCITE program awards sizeable allocations (typically, millions of processor hours per project) on some of the world's most powerful supercomputers to address grand challenges in science and engineering. In 2013, INCITE awarded 61 projects totaling approximately 2.8 billion processor hours. (http://www.doeleadershipcomputing.org/) 5

6 Resources for Basic Research Website showing the Office of Science solicitations: Website providing search engine for current SC awards: opportunities/award search/ Website showing the EERE solicitations: https://eere exchange.energy.gov/ Mission Agency Program Summaries (MAPS) The DC Office of Research Advancement has created the Federal Mission Agency Program Summaries website to: 1. connect PIs with appropriate funding agency programs/program officers 2. assist in development of white papers/charts/elevator speeches The website (http://web app.usc.edu/web/ra_maps) can be accessed using one s USC NetID and Password. MAPS will have the following resources: 1. Search Tab for a searchable database of programs/program officers One can do keyword searches to locate many of the associated mission agency (DHS, DOD, DOE, DOT, ED, EPA, NASA, NIST, NOAA and USDA) programs and program officers. 2. Mission Agency Tab (DHS, DHHS, DOD, DOE, DOJ, DOT, ED, EPA, INTEL, NASA, NIST, NOAA, and USDA) Guide to Agency Funding for FYXX Agency Research Program Charts Agency Planning Documents Chart numbers in the Guides to Funding reference the Agency Research Program Chart file. 3. Presentation Tab for charts from recent USC Center of Excellence in Research workshops 4. Proposal Tab for reports / guides on writing proposals 5. Alerts Tab for URLs at which one can arrange for automatic solicitation updates 6. Grantee Tab for URLs at which one can find previous agency/program officer awardees 7. Visiting DC Tab for information about DC Office services Chart numbers in the text above reference the Agency Research Program Chart file in MAPS. Assistance in Locating Funding and Preparing Proposals Dr. James S. Murday DC Office of Research Advancement Tel:

7 Table 1: 2011 / 2013 DOE funding ($M) for Basic and Applied Research at Universities and Colleges Basic Applied Basic Applied Total for DOE Total at Universities Physical Sciences Astronomy Chemistry 98 9 Physics Other - 1 Environmental Sciences Atmospheric 37 Geological 13 Oceanology Other 8 Mathematics and Computer Computer Sciences 15 1 Mathematics 28 1 Other 0 4 Engineering Aeronautical Astronautical Chemical 10 Civil 10 Electrical 24 Mechanical 9 Metal/Materials Other 35 Life Sciences Agriculture 18 Biological 111 Environmental Medical Other Psychological Social Sciences Other Sciences From NSF Federal Funds for Research and Development: FY NSF , July 2014 Basic 2011 Tables 30, 77 and Applied Research 2011 Tables 44, 88 and Basic 2013 Table 32 and 79 Applied Research 2013 Table 46 and /12/2015

8 Table 2: DOE Basic Research Budget Pertinent to USC Office Division Budget Line FY14 FY15 FY16 Actual ($M) PBR ($M) PBR ($M) Advanced Scientific Computation Research Program (~25% to Universities) Math, Computational, and Computer Sciences Research Applied Mathematics Computer Science Computational Partnerships (SciDAC) Next Generation Networking for Science High Performance Computing and Networking Facilities Research and Evaluation Prototypes FY14 FY15 FY16 Actual ($M) Enacted ($M) PBR ($M) Basic Energy Sciences Program Materials Sciences and Engineering Research Division Condensed Matter and Materials Physics Experimental Condensed Matter Physics Theoretical Condensed Matter Physics Mechanical Behavior and Radiation Effects Physical Behavior of Materials Scattering and Instrumentation Sciences Neutron and Xray Scattering Neutron and Xray Scattering Electron and Scanning Probe Microscopies Materials Discovery Design and Synthesis Synthesis and Processing Science Materials Chemistry and Biomolecular Materials Materials Chemistry and Biomolecular Materials Computational / Materials Sciences Energy Frontier Research Centers Energy Innovation Hub - Batteries and Energy Storage Chemical Sci, Geosci, and Energy Biosci Research Divison Fundamental Interactions Atomic, Molecular, and Optical Science Chemical Physics Research - Gas Phase Condensed Phase and Interfacial Molecular Computational and Theoretical Chemistry Photochemistry and Biochemistry Solar Photochemistry Photosynthetic Systems Physical Biosciences Chemical Transformations Catalysis Science Separations and Analysis Heavy Element Chemistry Geosciences Research Energy Frontier Research Centers Energy Innovation Hub - Fuels from Sunlight Scientific User Facilities

9 Table 2: DOE Basic Research Budget Pertinent to USC (continued) Office Division Budget Line FY14 FY15 FY16 Actual ($M) PBR ($M) PBR ($M) Biological and Environmental Research Program (~35% to Universities) 234 Biological Systems Science Division Genomic Science Mesoscale to Molecules Radiological Sciences Facilities and Infrastructure Climate and Environmental Sciences Division Atmospheric System Research Environmental System Science Terrestrial Ecosystem Science Subsurface Biogeochemical Climate Model Development and Validation Regional and Global Climate Modeling Earth System Modeling Integrated Assessment Office Division Budget Line FY14 FY15 FY16 Actual ($M) PBR ($M) PBR ($M) High Energy Physics Program (~40% to Universities, except for Adv Tech R&D) Energy Frontier Experimental Physics Intensity Frontier Experimental Physics Cosmic Frontier Experimental Theoretical and Computational Physics Advanced Technology R&D Office Division Budget Line FY14 FY15 FY16 Actual ($M) PBR ($M) PBR ($M) Nuclear Physics Program (~40% to Universities) Medium Energy Nuclear Physics Research Heavy Ion Nuclear Physics Research Low Energy Nuclear Physics Research Nuclear Theory Research Office Division Budget Line FY14 FY15 FY16 Actual ($M) PBR ($M) PBR ($M) Fusion Energy Sciences Program (~35% to Universities) Burning Plasma Science: Foundations Burning Plasam Science: Long Pulse Discovery Plasma Science Plasma Science Frontiers Office Division Budget Line FY14 FY15 FY16 Actual ($M) PBR ($M) PBR ($M) Workforce Development for Teachers and Scientists

10 10 3/12/2015 Applied Research Programs The DOE applied research, development, demonstration and deployment programs will frequently require some form of matching funds and industrial participation. Selected funding data on applied research and development is presented in Table 3. The DOE offices that fund applied research grants at Universities are: Office of Energy Efficiency & Renewable Energy (EERE) Focus: RDD&D in clean energy technologies Office of Electricity Delivery and Energy Reliability (EDER) Focus: RDD&D in reliable, efficient energy Office of Fossil Energy (FE) Focus: RDD&D in energy from fossil resources Office of Nuclear Energy (NE) Focus: RDD&D in nuclear energy Advanced Research Projects Agency Energy (ARPA E) Focus: Out of the box, transformational energy RD&D National Nuclear Security Administration (NNSA) Focus: management and security of nuclear weapons / Naval reactors Office of Energy Efficiency & Renewable Energy (EERE) The mission of EERE is to strengthen America's energy security, environmental quality, and economic vitality in public private partnerships that: enhance energy efficiency and productivity; and bring clean, reliable and affordable energy technologies to the marketplace. The Research Development and Demonstration (RD&D) programs include: Transportation o vehicles o bioenergy o hydrogen and fuel cell Renewable Power o solar o wind o water power o geothermal Energy Efficiency o advanced manufacturing o buildings o sustainability performance and weatherization See Table 3 and MAPS DOE charts The Advanced Manufacturing Program (AMP, previously the Industrial Technology Program) energy manufacturing initiative AMP has a Clean Energy Manufacturing Initiative (CEMI). This initiative brings together a wide array of relevant EERE and Department of Energy offices, federal agencies, research institutions, and private sector partners to map out and implement a strategy to ensure that U.S. manufacturers are competitive in the global marketplace. Examples include Solar Manufacturing Technology and the National Network for Manufacturing Innovation.

11 Office of Electrical Delivery and Energy Reliability (EDER or OE) energy.gov/oe/office electricity delivery and energy reliability The mission of EDER is to lead national efforts to modernize the electric grid; enhance security and reliability of the energy infrastructure; and facilitate recovery from disruptions to energy supply. The areas of focus include: energy assurance (clean energy transmission and reliability) smart grid research and development cybersecurity for energy delivery systems See Table 3 and MAPS DOE charts Office of Fossil Energy (FE) The primary mission is ensuring that the U.S. can continue to rely on clean, affordable energy from our traditional fuel resources coal, oil and natural gas. The RD&D programs include: Clean Coal Technologies, Oil and Natural Gas Technologies, Carbon Capture, Utilization and Storage, and Hydrogen & Other Clean Fuels. See MAPS DOE charts Office of Nuclear Energy (NE) reactor technologies/nuclear energy university program NE promotes nuclear power as a resource capable of meeting the Nation's energy, environmental and national security needs by resolving technical and regulatory barriers through research, development and demonstration. The RD&D programs include: advanced modeling and simulation, fuel cycle, and Generation IV Nuclear Energy Systems. The university support is consolidated into the Nuclear Energy University Programs (NEUP). See MAPS DOE charts ARPA E e.energy.gov/ The focus is on creative out of the box transformational energy research that industry by itself cannot or will not support due to its high risk but where success would provide dramatic benefits for the nation. In addition to topic specific solicitations, there is also a solicitation for idea development that might lead to revolutionary ARPA E applied energy research programs. See MAPS DOE charts National Nuclear Security Admin (NNSA): nnsa.energy.gov/aboutus/ourprograms/defenseprograms/defensescienceuniversityprograms 0 There is a Stewardship Science Academic Alliances (SSAA) Program. SSAA funds university research in unique scientific fields of relevance to stockpile stewardship. These include: materials under dynamic conditions and in extreme environments; hydrodynamics; low energy nuclear science and radiochemistry; and high energy density science. See MAPS DOE charts

12 Table 3: DOE Applied Research Budgets pertinent to Universities FY14 FY15 FY16 Actual ($M) Enacted ($M) PBR ($M) Energy Efficiency and Renewable Energy (EERE) Vehicles Batteries and Electric Drive Technology Advanced Combustion Engine Vehicle Systems Advanced Combustion Materials Technology Fuels and Lubricants Bioenergy Technologies Feedstocks Conversion (thermo-/bio-chemical) Hydrogen and Fuel Cells Fuel Cell F&D Hydrogen Fuel F&D Manufacturing R&D Solar Concentrating Solar Power Photovoltaic R&D Systems Integration Wind Energy Water Power Geothermal Enhanced Geothermal Systems Hydrothermal Advanced Manufacturing Next Generation Manufacturing R&D Advanced Manufacturing R&D Facilities Building Technologies Emerging Technologies Electricity Delivery and Energy Reliability (EDER) Clean Energy Transmission and Reliability Smart Grid Research and Development Cybersecurity for Energy Delivery Systems Energy Storage Fossil Energy Coal and Carbon Capture and Storage (CCS) Carbon Capture Carbon Storage Advanced Energy Systems Cross-cutting Research Supercritical Carbon Dioxide Technology Natural Gas Unconventional Fossil Energy Technologies ARPA-E Transportation Systems Stationary Power Systems

13 Appendix 1: Growth/Change in FY2016 DOE Basic Research Programs ASCR HPC and Network Facilities: R&E Prototypes from $57M in FY2015 to $142M Significantly expand efforts to support the initiation of R&D partnerships with U.S. vendors for the design and development of exascale node and systems prototypes building on the previous investments in critical technologies and conceptual designs; lease costs; increased power costs; the National Energy Research Scientific Computing (NERSC) upgrade, which will expand the capacity of the facility by petaflop to address emerging scientific needs; ESnet efforts, in coordination with NSF, to develop next generation optical networking and global networking architectures for future upgrades. The Computational Science Graduate Fellowships increases from $3M to $10M BES Materials Sciences and Engineering from $364 in FY2015 to $375M Additional funds ($5M) are requested for the Energy Frontier Research Centers to support new centers in strategic areas of material science research that are not represented or are underrepresented in the current EFRC portfolio. The Computational Materials Sciences activity will increase (from $8M to $12M) to support additional research that will enable predictive design of functional materials. Well developed research topics in molecular and particle spectroscopy may be redirected to evolving forefront areas, such as energy transfer in molecular systems, and the effects of solvation and interfaces on chemical structure and reactivity. Chemical Sciences, Geosciences, and Biosciences from $314M in FY2015 to $321M Additional funds ($5M) are requested for the Energy Frontier Research Centers to support new centers in strategic areas of chemical science, geoscience, and bioscience research that are not represented or are underrepresented in the current EFRC portfolio. BER Climate and Earth System Modeling from $71M in FY2015 to $102M The increased investment is to understand the interdependencies of the energy water land nexus, using a combination of integrated assessment and impacts, analysis, and vulnerability (IAV) that couple with Earth system models with spatial resolutions as low as 10 km. New multiensemble statistical methods will be incorporated into the analysis, and software interfaces will be improved to accommodate IAV coupling with IA and Earth system models. Climate and Earth System modeling increases with investments in new research to evaluate geographic regions complementary to existing efforts in the Arctic and the Tropics, that are cause for significant sources of prediction uncertainty. 13

14 Appendix 2: Growth/Change in FY2016 DOE Applied Research Programs Energy Efficiency and Renewable Energy (EERE) 14 3/12/2015 Vehicle Technologies Batteries and Electric Drive Technologies from $104M in FY2015 to $144M Funding is increased for the EV Everywhere Grand Challenge, including advanced battery materials, advanced battery development, work with industry battery developers, and advanced processing focused on achieving cost reduction and performance goals; wide bandgap power electronics, rare earth free advanced motor technology designs, and integrated traction drive systems focused on achieving cost reduction and improved reliability and performance goals. Additional funding for Battery Technology R&D will support competitively awarded projects focused on (1) mitigating issues that impact performance and life of very high energy density lithium ion electrochemistries and (2) technologies that extend cycle life for high voltage cathodes and for alloy and lithium metal anodes. Additional funding for Electric Drive Technology Research will support new competitively awarded research activities focused on advanced high temperature lowcost materials, devices, and components, including next generation wide bandgap power electronics technology. Increased funding will also support new competitively awarded projects to develop advanced integrated electric drive components and systems, such as enhanced power semiconductor packaging and improved magnetics, with a focus on cost reduction, reliability, and high temperature operation and meeting system performance targets. Vehicle Systems from $40M in FY2015 to $88M The new subprogram title, Vehicle Systems, replaces Vehicle and Systems Simulation and Testing. Funding supports specific high priority activities in Vehicle Modeling and Simulation, Codes and Standards, and Vehicle Technology Evaluations. Emphasis is increased in Vehicle Systems Efficiency Improvements to support the development of enabling technologies and solutions to reduce vehicle energy requirements. The Vehicle Technologies Program will initiate SuperTruck II in FY 2016, partially supported out of this subprogram. SuperTruck II will continue dramatic improvements in the freight efficiency of heavy duty Class 8 long haul vehicles through system level improvements, such as hybridization and more efficient idling and high efficiency HVAC technologies, and by demonstrating applicability of these technologies to regional haul vehicles. Advanced Combustion Engine R&D from $49M in FY2015 to $65M Funding is increased to support the SuperTruck II program with industry to improve heavy duty engine efficiency by 30 percent and truck level freight hauling efficiency of heavy duty Class 8 long haul vehicles by 100 percent by 2020, with respect to comparable 2009 vehicles, as well as to demonstrate applicability of the developed SuperTruck II technologies to regional haul vehicles. Research and development of predictive computer models for fuel spray, combustion, and emissions formation using high performance computing will be pursued to optimize engines and fuels. Materials Technology from $36M in FY2015 to $71M Funds are increased to support efforts in the application of computational, high throughput

15 experimental, synthesis, and characterization tools for lightweight materials and manufacturing process R&D as a part of DOE s Clean Energy Manufacturing Initiative. The Program will award new, cost shared projects for advanced materials manufacturing R&D focused on the use of highperformance computing and high throughput materials development, to develop models capturing the effects of processing and end use performance, to dramatically reduce cost and improve U.S. manufacturing competitiveness in magnesium sheet alloys for lightweight vehicles. Fuel and Lubricant Technologies from $20M in FY2015 to $37M Increased funding for the New Fuels and Vehicle Systems Optima effort, including R&D on advanced/drop in renewable octane sources to be undertaken in cooperation with EERE s Bioenergy Technologies Program. Funding is also increased to support R&D on advanced natural gas storage technologies, to be coordinated, as appropriate, with related onboard vehicle storage activities in the Hydrogen and Fuel Cells Program. Bioenergy Technologies Conversion Technologies from $96M in FY2015 to $99M The increase reflects a greater emphasis on products through R&D to overcome barriers to additional pathways for the integrated production of fuels. The funding will help restore the MEGABIO FOA (6 8 selections of teams from National Laboratories, Academia and Industry) to its originally planned level and allow selection of an additional project targeting barriers to products that enable biofuels including functionally equivalent chemicals or integration with existing refinery infrastructure. Hydrogen and Fuel Cell Technologies Fuel Cell R&D from $33M in FY2015 to $36M The increase funds a next generation advanced materials manufacturing R&D effort focused on high throughput combinatorial approaches capturing the effects of processing and end use performance to develop non PGM (platinum group metals) catalysts and electrodes and interface and membrane electrode assembly (MEA) optimization. Hydrogen Fuel R&D from $35M in FY2015 to $41M Additional funds will accelerate R&D in hydrogen production from renewable resources including efforts in high temperature electrolysis and the development of novel hydrogen delivery methodologies. Initiate a joint R&D effort with the Vehicle Technologies Program to address common technical barriers to high energy density, onboard gaseous fuel storage for light duty vehicles Solar Energy Photovoltaic R&D from $35M in FY2015 to $62M The increase in funding is due to the coincidence of two cyclical funding programs that focus on long range research (Next Generation PV Technologies IV) as well as mid range translational research (Foundational Program to Advance Cell Efficiency III). The increase also reflects the shift of PV module reliability research at the National Laboratories and the Regional Test Centers from the Systems Integration subprogram to the PV subprogram. Issue Next Generation PV IV solicitation and competitively select 10 to 12 projects focused on investigating new concepts for PV cells and modules that have the potential to disrupt the PV market beyond the DOE SunShot Initiative goals. 15

16 Issue Foundational Program to Advance Cell Efficiency III solicitation and competitively select 4 to 7 projects focused on increasing efficiency and overcoming technological challenges with established PV technologies. Fund 4 to 6 emerging research leaders through SunShot Postdoctoral Research Awards who will pursue breakthrough PV technologies and publish impactful peer reviewed articles. Systems Integration from $44M in FY2015 to $77M The additional funds will support two FOAs (Solar HiPEN and Solar Dispatchability) for developing the transformative solutions that are critical to enabling high penetration of solar into the grid. Issue Solar Dispatchability solicitation and competitively select 5 to 10 projects focused on technologies that will enable utilities to integrate high levels (>100% of peak load on a line segment as defined by the Federal Energy Research Commission s Standard Interconnection Agreement and Procedures (FERC SGIP) of solar energy into the electric grid in a dispatchable manner. Issue Solar HiPen (High PENetration) solicitation and competitively fund 5 to 10 projects focused on technologies that will enable utilities to integrate high levels (>100% of peak load on a line segment as defined by FERC SGIP) of solar energy into the electric grid in a safe, reliable, and cost effective manner. Fund 2 to 3 emerging research leaders through the DOE SunShot Initiative Postdoctoral Research Awards who will pursue breakthrough solar integration technologies. Geothermal Technologies Enhanced Geothermal Systems (EGS) from $32M in FY2015 to $45M The increased funding reflects the commencement of Phase 3 of the Geothermal Technologies Program s highest priority, the Frontier Observatory for Research in Geothermal Energy (FORGE) initiative, which will focus on R&D and field operations at the single site. Phase 3 activities include further subsurface characterization, drilling of wells, and technology R&D and complementary EGS R&D funded through the National Laboratories Annual Operating Plan (AOP) process. Issue the first FORGE R&D solicitation, on research and technology testing related to site characterization technologies and other topics defined by the collaboratively developed FORGE multi year R&D strategy. Select projects, based on available funding. Hydrothermal from $13M in FY2015 to $37M Implement the Subsurface Engineering crosscut (SubTER) in coordination with the Office of Fossil Energy and Office of Nuclear Energy. The geothermal proposal focuses on geothermal specific R&D in Subsurface Stress and Induced Seismicity, Permeability Manipulation, and New Subsurface Signals, and the cross cutting nature of these topics aims to result in outcomes that are accretive across multiple DOE Offices. Advanced Manufacturing Advanced Manufacturing Projects: from $84M in FY2015 to $133M Up to six FOAs will be supported in FY 2016, potentially targeting specific topical opportunities in the following thrust areas: chemical process intensification, advanced materials manufacturing, smart manufacturing, grid and resource integration, next generation electric machines, sustainable manufacturing, and emergent topics. Each FOA will invest approximately 16

17 17 3/12/2015 $15 20 million to support R&D projects in that area. In addition, an Advanced Manufacturing Incubator for High Impact Foundational Technology FOA will supplement the individual targeted FOAs and is planned at approximately $20 million. Advanced Manufacturing R&D Facilities from $93M in FY2015 to $241M The FY 2016 funding will support the full funding of two new Clean Energy Manufacturing Innovation Institutes ($70 million each). The new institutes will be competitively selected in FY 2016 through an FOA. They will focus on one of the following priority technology thrust areas: (1) Advanced materials manufacturing; (2) Two dimensional roll to roll manufacturing; (3) High efficiency modular chemical processes; and (4) Other emergent topics in clean energy manufacturing. These were identified for consideration at the Design for Impact workshop, requests for information, and technical topic specific workshops. Additional workshops with industry, academia, and other government organizations will be held on each of these topics to refine their suitability for an institute FOA, including development of quantitative technical goals and metrics. Building Technologies Emerging Building Technologies from $56M in FY2105 to $113M Increased funding for the annual Buildings Energy Efficiency Frontier and Innovation Technologies (BENEFIT) FOA, which will focus on water heating, air sealing/roofs, dynamic windows/films and daylighting technologies, and sensor and controls. Emerging Technologies will undertake a new effort in building energy efficiency advanced materials R&D, which will focus on the investigation and design of advanced non vaporcompression refrigeration and building envelope materials, through the use of highperformance computing and high throughput experimental testing to develop validated models that capture the effects of processing and end use to accelerate material development from the point of discovery through qualification. A $2 million Buildings University Innovators and Leaders Development (BUILD) FOA targets universities as the lead institutions, and provides small seedling awards to multidisciplinary university teams to develop building energy efficiency technologies that emphasize engineering design, manufacturing, and commercialization. Strategic Programs Strategic Priorities and Impact Analysis from $7M in FY2015 to $6M There is decreased funding but the program will launch a new funding opportunity announcement (FOA) to partner with competitively selected cities to acquire data and perform analysis toward long term clean energy roadmaps. Energy Delivery and Energy Reliability Clean Energy and Transmission Advanced Modeling Grid Research from $11M in FY2015 to $15M Increase reflects expansion of university research in mathematics for power systems, and a competitive solicitation focused on maturing basic research into industrial applications to improve operational reliability and security. Expand mathematics and computational research

18 to include uncertainty quantification, model formulation and reduction, and controls. Continue efforts in architecture and data analytics. Assess performance of open source mathematical methods and solvers (from the software repository) in prototype power system application. Characterize system performance under dynamic and abnormal conditions. Release competitive solicitation focused on demonstrating the capability to forecast grid behavior under uncertainty thus improving the ability of operators to respond to changes in the system Smart Grid Research and Development from $15M in FY2015 to $30M Award new projects in networked microgrid R&D through a FOA to achieve full integration of a network of multiple microgrids with distribution systems. Cybersecurity for Energy Delivery Systems from $46M in FY2015 to $52M The FY 2016 request reflects the critical need to accelerate and expand efforts to strengthen the energy infrastructure against cyber threats. Working closely with the Energy Sector and government partners, the request includes a continued focus in the following areas: Issue a competitive solicitation for energy sector led R&D to advance cybersecurity for energy delivery systems to transition mid term R&D projects into real world cybersecurity capabilities that address the changing threat landscape. Enhance situational awareness with relevant local and Federal agencies and informational analysis centers through information sharing development and practicing regional cybersecurity incident response communications. Establish a Virtual Energy Sector Advanced Digital Forensics Analysis Platform through a competitive solicitation. ARPA E In FY 2016 ARPA E expects to release funding opportunity announcements (FOA) for 7 10 focused programs each funded at approximately $10 $40 million. Stationary Power Systems from $126M in FY2015 to $177M Based upon five years of experience in the development of focused technology programs and noting the distribution of applications to and awards made in the first two competitive OPEN solicitations in 2009 and

19 Appendix 3: Illustration of DOE program manager data sheet Dr. Mark R Pederson Office of Basic Energy Sciences (301) Biosketch: Dr. Pederson is the program manager for Theoretical and Computational Chemistry. From 1996 until joining DOE, he was the section head in the Theory of Molecules, Clusters and Nanoscale Devices section at the Naval Research Laboratory (NRL). He also spent one year at Max Planck Institute (1992) and one year at NSF (2002) as a program director in Theoretical and Computational Chemistry. In 1986, Dr. Pederson joined the NRL as a National Research Council (NRC) NRL postdoctoral researcher; he was hired as a permanent employee in Education Ph.D., Theoretical Physics, University of Wisconsin, 1986 B.S., Physics, University of Michigan, 1981 Program: Computational and Theoretical Chemistry areas/computational and theoretical chemistry/ Research in Computational and Theoretical Chemistry emphasizes integration and development of new and existing theoretical and computational approaches for the accurate and efficient description of processes relevant to the BES mission. Supported efforts are tightly integrated with the research and goals of the Condensed Phase and Interfacial Molecular Sciences and Gas Phase Chemical Physics programs which together comprise the Chemical Physics Research portfolio and many have wider crosscutting relevance, advancing goals of other BES chemistry, biochemistry and geochemistry programs. Illustrative Papers Reflecting Personal Research Interests: Photoelectron spectroscopic and computational studies of the ) and /2 ) anions Grubisic Andrej; Wang Haopeng; Li Xiang; et al. PROCEEDINGS OF THE NATIONAL ACADEMY OF SCIENCES OF THE UNITED STATES OF AMERICA 108(36), SEP Density functional based determination of vibrational polarizabilities in molecules within the double harmonic approximation: Derivation and application Pederson MR; Baruah T; Allen PB; et al. J OF CHEMICAL THEORY AND COMPUTATION 1(4), JUL AUG 2005 Vibrational signatures for low energy intermediate sized Si clusters Pederson MR; Jackson K; Porezag DV; et al. PHYSICAL REVIEW B 54(4), JUL

20 Appendix 4: Acronym and Abbreviation Glossary Agency Specific ALCC ASCR Leadership Computing challenge AOP Annual Operating Plan (for National Labs) AMP Advanced Manufacturing Program (in EERE) ARM Atmospheric Radiation Measurement ARPA E Advanced Research Project Agency Energy ASCR Advanced Scientific Computing Research Program (in SC) BER Biological and Environmental Research Program (in SC) BES Basic Energy Sciences Program, SC CEBAF Continuous Electron Beam Accelerator Facility CEMI Clean Energy Manufacturing Initiative (program in EERE s Adv Manuf) CRA Core Research Areas (for BES) CSP Concentrating Solar Power Defense Prog National Nuclear Security Administration Defense Programs EDER Office of Energy Delivery and Energy Reliability EERE Office of Energy Efficiency and Renewable Energy EFRC Energy Frontier Research Center EGS Enhanced Geothermal Systems ELSI Ethical, legal, social implications Envir Mgmt Office of Environmental Management EPAct Energy Policy Act ESC2M2 Electricity Subsector Cybersecurity Capability Maturity Model EV Electric Vehicle FE Office of Fusion Energy FERC Federal Energy Research Commision FES Fusion Energy Science Program (in SC) FOA Funding Opportunity Announcement FORGE Frontier Observatory for Research in Geothermal Energy (initiative). Fossil Office of Fossil Energy HEDLP High Energy Density Laboratory Plasma HEP High Energy Physics Program (in SC) HVAC Heating, Ventilation and Air Conditioning IAV Integrated assessment and impacts, analysis and vulnerability INCITE Innovative and Novel Computational Impact on Theory and Experiment LCF Leadership Computing Facility LED Light Emitting Diode LHC Large Hadron Collider LWR Light Water Reactor MDF Manufacturing Demonstration Facility MEA Membrane Electrode Assembly MRI Major Research Instrumentation NE Office of Nuclear Energy NERSC National Energy Research Scientific Computing Center NEUP Nuclear Energy University Program NNSA National Nuclear Security Administration (part of DOE) NP Nuclear Physics Program (in SC) 20

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