DOCSLIB.ORG

Advanced Research Projects Agency- Energy Could Benefit from Information on Applicants’ Prior Funding

Total Page：16

File Type：pdf, Size：1020Kb

Download full-text PDF Read full-text
Advanced Research Projects Agency- Energy Could Benefit from Information on Applicants’ Prior Funding United States Government Accountability Office Report to Congressional Requesters GAO January 2012 DEPARTMENT OF ENERGY Advanced Research Projects Agency- Energy Could Benefit from Information on Applicants’ Prior Funding GAO-12-112 January 2012 DEPARTMENT OF ENERGY Advanced Research Projects Agency-Energy Could Benefit from Information on Applicants' Prior Funding Highlights of GAO-12-112, a report to congressional requesters Why GAO Did This Study What GAO Found The Department of Energy’s (DOE) ARPA-E uses four selection criteria, such as the potential impact of the proposed Advanced Research Projects Agency- technology relative to the state of the art, and other considerations in awarding Energy's (ARPA-E) purpose is to funds. Other considerations include balancing a variety of technology overcome long-term and high-risk approaches and the likelihood the technology would be brought to market. GAO technological barriers in the identified 18 out of 121 award winners through ARPA-E’s first three funding development of energy technologies. rounds that had received some prior private sector investment, and ARPA-E took Since 2009, ARPA-E has awarded steps to identify and understand how this funding was related to proposed $521.7 million to universities, public projects. Beginning with the third funding round, ARPA-E began requiring that and private companies, and national applicants explain why private investors were not willing to fund proposed laboratories to fund energy research projects. However, ARPA-E did not provide applicants with guidance, such as a projects. sample response, to assist them in completing this requirement, and responses GAO was asked to examine were generally limited. Some applicants provided general information about prior (1) ARPA-E’s use of criteria and other research but did not specifically explain why private investors would not support considerations for making awards and their projects. When applicants provided little prior funding information, ARPA-E’s the extent to which applicants identify program directors spent time and resources to determine the extent of such and explain other private funding funding for proposed ARPA-E projects. One applicant included a letter from its information, (2) the extent to which venture capital investor to explain why the investor was not willing to fund the ARPA-E-type projects could have been work proposed to ARPA-E, an approach the National Institute of Standards and funded through the private sector, and Technology uses as a check in its funding applications for advanced research but (3) the extent to which ARPA-E that ARPA-E currently does not use. Also, ARPA-E officials said that they have coordinates with other DOE program considered but have not used venture capital data to identify applicants with prior offices to avoid duplicating efforts. private investors. Examining such data allowed GAO to quickly cross-check GAO interviewed ARPA-E program applicants’ prior private funding. directors, award winners, and nonwinners with characteristics similar GAO’s review suggests that most ARPA-E projects could not have been funded to those of award winners. GAO also solely by private investors. Private venture capital firms told GAO that, among analyzed private venture capital other considerations, they generally do not fund projects that rely on unproven funding data and spoke with venture technologies and tend to invest in projects that can be commercialized in less capital firms. than 3 years. Data from ARPA-E on award winners show that 91 out of 121 What GAO Recommends ARPA-E projects from the first three funding rounds had technological concepts that had not yet been proven in a laboratory setting. Also, nearly all of the ARPA- GAO recommends that ARPA-E E award winners and applicants GAO spoke with estimated that their projects consider providing applicants guidance were at least 3 years away from potential commercialization. In addition, GAO with a sample response explaining found that few eligible applicants that were not selected for an award later prior sources of funding, requiring secured private funding. applicants to provide letters from investors explaining why they are not ARPA -E officials have taken steps to coordinate with other DOE offices to avoid willing to fund proposed projects, and duplication. For example, ARPA-E program directors told GAO they engage in using third-party venture capital data to outreach with officials from related DOE offices in advance of funding identify applicants' prior funding. announcements to identify funding gaps in research. In addition, program ARPA-E commented on a draft of this directors have recruited officials from other DOE offices and the Department of report and concurred with key findings Defense (DOD) to review ARPA-E applications. This cross-agency interaction and recommendations. may also reduce the potential for overlap in funding. View GAO-12-112 or key components. For more information, contact Frank Rusco at (202) 512-3841 or [email protected]. United States Government Accountability Office Contents Letter 1 Background 5 In Addition to Its Selection Criteria, ARPA-E Also Considers Applicants’ Prior Sources of Private Funding; However, Most Award Winners We Reviewed Did Not Explain This Information 10 Most ARPA-E Projects Likely Could Not Have Been Funded Solely by Private Investors 14 ARPA-E Officials Have Taken Steps to Coordinate with Other Department of Energy Offices in Advance of Awarding Funds 19 Conclusions 21 Recommendations for Executive Action 22 Agency Comments and Our Evaluation 22 Appendix I Scope and Methodology 24 Appendix II ARPA-E Program Technology Areas 28 Appendix III Description of ARPA-E Award Winners with Prior Private Investment 31 Appendix IV Comments from ARPA-E 34 Appendix V GAO Contact and Staff Acknowledgments 36 Table Table 1: ARPA-E Funding Announcement Program Technology Areas 9 Figures Figure 1: ARPA-E’s Described Role within DOE and the Private Sector 6 Figure 2: Current Battery Range for Electric Vehicles and Goals of ARPA-E Research 7 Page i GAO-12-112 ARPA-E Abbreviations ADEPT Agile Delivery of Electrical Power Technology America America Creating Opportunities to COMPETES Meaningfully Promote Excellence in Act Technology, Education, and Science Act ARPA-E Advanced Research Projects Agency-Energy BEEST Batteries for Electrical Energy Storage in Transportation BEETIT Building Energy Efficiency Through Innovative Thermodevices DARPA Defense Advanced Research Projects Agency DOD Department of Defense DOE Department of Energy EERE Office of Energy Efficiency and Renewable Energy GENI Green Electricity Network Integration GRIDS Grid-Scale Rampable Intermittent Dispatchable Storage HEATS High Energy Advanced Thermal Storage HVAC heating, ventilating, and air conditioning IMPACCT Innovative Materials and Processes for Advanced Carbon Capture Technologies NIST National Institute of Standards and Technology NVCA National Venture Capital Association PASTA Panel of Senior Technical Advisors PETRO Plants Engineered To Replace Oil REACT Rare Earth Alternatives in Critical Technologies for Energy PHEV plug-in hybrid electric vehicle SBIR Small Business Innovation Research TRL technology readiness level This is a work of the U.S. government and is not subject to copyright protection in the United States. The published product may be reproduced and distributed in its entirety without further permission from GAO. However, because this work may contain copyrighted images or other material, permission from the copyright holder may be necessary if you wish to reproduce this material separately. Page ii GAO-12-112 ARPA-E United States Government Accountability Office Washington, DC 20548 January 13, 2012 The Honorable Ralph M. Hall Chairman Committee on Science, Space, and Technology House of Representatives The Honorable Paul Broun, M.D. Chairman Subcommittee on Investigations and Oversight Committee on Science, Space, and Technology House of Representatives U.S. energy consumption has increased by 20 percent over the past 20 years and is projected to continue to grow.1 Volatile prices, global supply disruptions, and the impacts of energy use on climate and the environment have driven interest in reducing energy demand, improving energy efficiency, and expanding supplies with both renewable and traditional energy sources. In 2005, members of Congress asked the National Academies what actions federal policymakers could take to enhance the nation’s science and technology enterprise so that the United States could successfully compete, prosper, and be secure in the global community of the 21st century.2 The National Academies compiled their findings and recommendations in a report that identified two key challenges: (1) creating high-quality jobs for Americans, and (2) responding to the nation’s need for clean, affordable, and reliable energy.3 The report also highlighted the idea that scientific and technical innovations are key drivers of economic growth in the United States. Among the report’s recommendations was the creation of an organization within DOE to sponsor energy research that industry by itself cannot or 1U.S. Energy Information Administration, Annual Energy Review 2009. (Washington, D.C.: 2009). 2The National Academies comprise four organizations: the National Academy of Sciences, the National Academy of Engineering, the Institute of Medicine, and the National Research Council; they advise policymakers on scientific and technical matters. 3The National Academies,
Load more

Recommended publications
  • A Bold New Approach for Space Exploration and Discovery
    Office of Science and Technology Policy National Aeronautics and Space Administration FACT SHEET A Bold New Approach for Space Exploration and Discovery • Adds $6 billion to NASA’s budget over five years and draws upon American ingenuity to enable us to embark on an ambitious 21st century program of human space exploration and observation of the Earth and the Universe. • Ends NASA’s Constellation program, which was planning to use an approach similar to the Apollo program to return astronauts to the Moon 50 years after that program’s triumphs. An independent panel found that Constellation was years behind schedule and would require large budget increases to land even a handful of astronauts back on the Moon before 2030. Instead, we are launching a bold new effort that invests in American ingenuity to develop more capable and innovative technologies for future space exploration. • In consultation with our partners, extends operation of the International Space Station likely to 2020 or beyond and enhances its utilization, bringing nations together in a common pursuit of discovery in space. • Initiates several new programs to transform the state of the art in space technologies, including flagship exploration technology development and demonstration programs, investments in early-stage advanced concepts, potential “game-changing” technologies, and new propulsion technologies – all intended to increase the reach and reduce the costs of future human space exploration as well as other NASA, government, and commercial space activities. • Enhances the Nation’s global climate change research and monitoring system, accelerating decadal survey missions and re-flying a satellite that will identify global carbon sources and sinks.
    [Show full text]
  • The U.S. Department of Energy's Ten-Year-Plans for the Office Of
    U.S. DEPARTMENT OF ENERGY The U.S. Department of Energy’s Ten-Year-Plans for the Office of Science National Laboratories FY 2019 FY 2019 Annual Laboratory Plans for the Office of Science National Laboratories i Table of Contents Introduction ................................................................................................................................................................1 Ames Laboratory ........................................................................................................................................................3 Lab-at-a-Glance ......................................................................................................................................................3 Mission and Overview ............................................................................................................................................3 Core Capabilities .....................................................................................................................................................4 Science Strategy for the Future ..............................................................................................................................8 Infrastructure .........................................................................................................................................................8 Argonne National Laboratory .................................................................................................................................
    [Show full text]
  • Agency Information
    Quadrennial Technology Review 2015 Chapter 1: Energy Challenges Supplemental Information Additional Information on Energy Challenges Agency Information Representative DOE Science and Energy Program Workshops U.S. DEPARTMENT OF ENERGY Quadrennial Technology Review 2015 Agency Information Chapter 1: Supplemental Information Agency Information Many Federal Departments and Agencies conduct research, development, demonstration, and deployment (RDD&D) activities, policy and regulatory activities, and other actions related to clean energy technologies, as do many State Agencies. The following websites provide a starting point for examining some of the excellent work done by these Federal Agencies—with a primary focus on RDD&D activities, as well as those providing data and information helpful for informing those activities. State and local activities are not covered here. This is not a complete list across agencies or within agencies, only a starting point. For all of these agencies, searching their websites for the energy-related topics of interest is the best way to get up-to-date information. For regulatory and policy issues, the work done by the Quadrennial Energy Review provides a useful overview and framework.1 AGENCY/DIVISION and URL: Executive Office of the President (EOP) https://www.whitehouse.gov/administration/eop Council on Environmental Quality (CEQ) https://www.whitehouse.gov/administration/eop/ceq National Security Council (NSC) https://www.whitehouse.gov/administration/eop/nsc Office of Management and Budget (OMB) https://www.whitehouse.gov/omb Office of Science and Technology Policy (OSTP) https://www.whitehouse.gov/administration/eop/ostp U.S. Department of Agriculture (USDA) http://www.usda.gov/wps/portal/usda/usdahome http://www.usda.gov/wps/portal/usda/usdahome?navid=ENERGY http://www.usda.gov/oce/energy/ http://www.ars.usda.gov/research/programs/programs.htm?NP_CODE=307 http://www.usda.gov/oce/reports/index.htm#renewable http://www.rd.usda.gov/about-rd/agencies/rural-utilities-service U.S.
    [Show full text]
  • Direct Federal Financial Interventions and Subsidies in Energy in Fiscal Year 2016
    Direct Federal Financial Interventions and Subsidies in Energy in Fiscal Year 2016 April 2018 Independent Statistics & Analysis U.S. Department of Energy www.eia.gov Washington, DC 20585 This report was prepared by the U.S. Energy Information Administration (EIA), the statistical and analytical agency within the U.S. Department of Energy. By law, EIA’s data, analyses, and forecasts are independent of approval by any other officer or employee of the United States Government. The views in this report therefore should not be construed as representing those of the U.S. Department of Energy or other federal agencies. U.S. Energy Information Administration | Financial Interventions and Subsidies i April 2018 Contacts This report, Direct Federal Financial Interventions and Subsidies in Energy in Fiscal Year 2016, was prepared under the general guidance of Ian Mead, Assistant Administrator for Energy Analysis; Jim Turnure at 202/586-1762 (email, [email protected]), Director, Office of Energy Consumption and Efficiency Analysis; and Shirley Neff, Senior Advisor, EIA. Technical information concerning the content of the report also may be obtained from Mark Schipper at 202/586-1136 (email, [email protected]) and technical information on the subsidies and support to the electric power industry may be obtained from Chris Namovicz at 202/586-7120 (email, [email protected]). Contributing authors, by fuel or technology subsidy and support issue areas, are as follows • Richard Bowers and Fred Mayes–renewables (electricity) subsidies and support
    [Show full text]
  • Agricultural Research: Background and Issues
    Agricultural Research: Background and Issues Updated October 2, 2020 Congressional Research Service https://crsreports.congress.gov R40819 SUMMARY R40819 Agricultural Research: Background and Issues October 2, 2020 The U.S. Department of Agriculture (USDA) Research, Education, and Economics (REE) mission area funds billions of dollars annually for biological, physical, and social Genevieve K. Croft science research that is related to agriculture, food, and natural resources. Four agencies Analyst in Agricultural carry out REE responsibilities: the Agricultural Research Service (ARS), the National Policy Institute of Food and Agriculture (NIFA), the National Agricultural Statistics Service (NASS), and the Economic Research Service (ERS). The Under Secretary for REE, who oversees the REE agencies, holds the title of USDA Chief Scientist and is responsible for coordinating research, education, and extension activities across the entire department. The Office of the Chief Scientist (OCS)—a staff office within the Office of the Under Secretary for REE—supports this coordination role. Discretionary funding for the REE mission area totaled approximately $3.4 billion in FY2020, and mandatory funding from the 2018 farm bill adds another $177 million per year on average. USDA administers federal funding to states and local partners through its extramural research agency: NIFA. NIFA administers this extramural funding through capacity grants (allocated to the states based on formulas in statute) and competitive grants (awarded based on a peer-review process). USDA also conducts its own research at its intramural research agencies: ARS, NASS, and ERS. Debates over the direction of public agricultural research and the nature of how it is funded continue. Ongoing issues include whether federal funding is sufficient to support agricultural research, education, and extension activities; the different roles of extramural versus intramural research; and the implications of allocating extramural funds via capacity grants versus competitive grants.
    [Show full text]
  • PCAST Report
    INDUSTRIES OF THE FUTURE INSTITUTES: A NEW MODEL FOR AMERICAN SCIENCE AND TECHNOLOGY LEADERSHIP A Report to the President of the United States of America The President’s Council of Advisors on Science and Technology January 2021 INDUSTRIES OF THE FUTURE INSTITUTES: A NEW MODEL FOR AMERICAN SCIENCE AND TECHNOLOGY LEADERSHIP About the President’s Council of Advisors on Science and Technology Created by Executive Order in 2019, PCAST advises the President on matters involving science, technology, education, and innovation policy. The Council also provides the President with scientific and technical information that is needed to inform public policy relating to the American economy, the American worker, national and homeland security, and other topics. Members include distinguished individuals from sectors outside of the Federal Government having diverse perspectives and expertise in science, technology, education, and innovation. More information is available at https://science.osti.gov/About/PCAST. About this Document This document follows up on a recommendation from PCAST’s report, released June 30, 2020, involving the formation of a new type of multi-sector research and development organization: Industries of the Future Institutes (IotFIs). This document provides a framework to inform the design of IotFIs and thus should be used as preliminary guidance by funders and as a starting point for discussion among those considering participation. The features described here are not intended to be a comprehensive list, nor is it necessary that each IotFI have every feature detailed here. Month 2020 – i – INDUSTRIES OF THE FUTURE INSTITUTES: A NEW MODEL FOR AMERICAN SCIENCE AND TECHNOLOGY LEADERSHIP The President’s Council of Advisors on Science and Technology Chair Kelvin K.
    [Show full text]
  • Doe-Fy2021-Laboratory-Table 1.Pdf
    DOE/CF-0168 Department of Energy FY 2021 Congressional Budget Request Laboratory Tables Preliminary February 2020 Office of Chief Financial Officer DOE/CF-0168 Department of Energy FY 2021 Congressional Budget Request Laboratory Tables Preliminary The numbers depicted in this document represent the gross level of DOE budget authority for the years displayed. The figures include discretionary and supplemental funding. They do not consider revenues/receipts, use of prior year balances, deferrals, rescissions, or other adjustments appropriated as offsets to the DOE appropriations by the Congress. February 2020 Office of Chief Financial Officer Printed with soy ink on recycled paper Table of Contents Laboratory Table by Congressional Control Laboratory Table Summary......................................................................................................................................1 Laboratory Table by Congressional Control4 Ames Laboratory..................................................................................................................................................4 Ames Site Office...................................................................................................................................................5 Argonne National Laboratory...............................................................................................................................6 Argonne Site Office..............................................................................................................................................9
    [Show full text]
  • Undergraduate Internships
    Internship Programs https://internships.fnal.gov/ Undergraduate Internships Community College Internships (CCI) Summer technical training experience C for community college students. CCI is sponsored by the Department of Energy, Office of Science. Helen Edwards Summer Internship A ten-week summer internship for students majoring in physics and engineering at universities in Europe. Lee Teng Internship Accelerator science and engineering internship designed to attract undergraduate students to the exciting and challenging world of particle accelerator physics and technology. Summer Internships in Science and Technology (SIST) Undergraduate sophomores and juniors majoring in physics, engineering (mechanical, electrical and computer), materials science, mathematics and computer science conduct research with Fermilab scientists and engineers. Science Undergraduate Laboratory Internship (SULI) Sponsored by the Department of Energy Office of Science, undergraduate physics or engineering majors work with scientists or engineers on projects at the frontier of particle physics research. VetTech Internship Program Military veterans provide routine technical support for an assigned experiment or support group. The program assumes apprentices level expertise, general military experience and/or knowledge-based on academic study. Managed by Fermi Research Alliance, LLC for the U.S. Department of Energy Office of Science www.fnal.gov Graduate Internships Computational Science Graduate Fellowship (CSGF) CSGF provides outstanding benefits and opportunities
    [Show full text]
  • ARPA-E): Background, Status, and Selected Issues for Congress
    Order Code RL34497 Advanced Research Projects Agency - Energy (ARPA-E): Background, Status, and Selected Issues for Congress Updated August 12, 2008 Deborah D. Stine Specialist in Science and Technology Policy Resources, Science, and Industry Division Advanced Research Projects Agency - Energy (ARPA-E): Background, Status, and Selected Issues for Congress Summary In August 2007, Congress authorized the establishment of the Advanced Research Projects Agency - Energy (ARPA-E) within the Department of Energy (DOE) as part of the America COMPETES Act (P.L. 110-69). Modeled on the Defense Advanced Research Projects Agency (DARPA), ARPA-E would support transformational energy technology research projects with the goal of enhancing the nation’s economic and energy security. Proponents of ARPA-E contend that additional science and technology would help respond to the nation’s need for clean, affordable, and reliable energy. Opponents question whether ARPA-E is necessary to develop new technologies, when existing energy technologies are not fully utilized due to insufficient policies to encourage their implementation. ARPA-E proponents counter that ARPA-E is needed to catalyze the energy marketplace by accelerating research that will bridge the gap between basic research and industrial product development. The Bush Administration questions whether the DARPA model can be used for the energy sector and is concerned that it might redirect funds away from current DOE research activities, particularly the DOE Office of Science. Instead, the President’s FY2009 budget requests funding for six new technology transfer collaborations. ARPA-E proponents doubt that DOE can achieve ARPA-E’s goals with its existing structure and personnel, as opposed to the ARPA-E’s innovative R&D management design.
    [Show full text]
  • Big Data and Computing Building a Vision for ARS Information Management
    Big Data and Computing Building a Vision for ARS Information Management Workshop Summary Feb. 5-6, 2013 USDA Agricultural Research Service TABLE OF CONTENTS TABLE OF CONTENTS ............................................................................................................................. 2 INTRODUCTION ....................................................................................................................................... 3 BIG DATA AND COMPUTING ................................................................................................................ 5 DEFINING RESEARCH NEEDS ............................................................................................................................................................... 5 STEPS TO ACHIEVE THE VISION: SPECIFIC RECOMMENDATIONS .................................................................................................... 6 CONCLUSIONS .......................................................................................................................................... 8 TABLE 1. SUMMARY OF RECOMMENDATIONS. ................................................................................................................................. 9 ACKNOWLEDGEMENTS...................................................................................................................................................................... 10 APPENDIX 1: EXAMPLES OF HOW IMPROVED BIG DATA CAPACITY WILL INCREASE ARS SCIENTIFIC CAPACITY .........................................................................................................................
    [Show full text]
  • De-Foa-0002449
    DEPARTMENT OF ENERGY OFFICE OF SCIENCE BASIC ENERGY SCIENCES MATERIALS AND CHEMICAL SCIENCES RESEARCH FOR QUANTUM INFORMATION SCIENCE FUNDING OPPORTUNITY ANNOUNCEMENT (FOA) NUMBER: DE-FOA-0002449 FOA TYPE: INITIAL CFDA NUMBER: 81.049 FOA Issue Date: December 17, 2020 Submission Deadline for Pre-Applications: January, 27, 2021 at 5:00 PM Eastern A Pre-Application is required Pre-Application Response Date: March 1, 2021 Submission Deadline for Applications: April 14, 2021 at 11:59 PM Eastern Table of Contents SECTION I – FUNDING OPPORTUNITY DESCRIPTION ...................................................... 1 SECTION II – AWARD INFORMATION ................................................................................. 5 A. TYPE OF AWARD INSTRUMENT .................................................................................. 5 B. ESTIMATED FUNDING ................................................................................................... 5 C. MAXIMUM AND MINIMUM AWARD SIZE .................................................................. 5 D. EXPECTED NUMBER OF AWARDS .............................................................................. 6 E. ANTICIPATED AWARD SIZE ......................................................................................... 6 F. PERIOD OF PERFORMANCE .......................................................................................... 6 G. TYPE OF APPLICATION ................................................................................................. 6 SECTION III – ELIGIBILITY
    [Show full text]
  • NRI Cmte Federal Ag & Energy Nov. Newsletter
    Energy & Agriculture Update January 2019 | Volume 8, Issue 1 Top Stories 1/25/19 – Congress and the president reached an agreement to impacted by retaliatory tariffs to apply for trade-relief payments. enact a three-week continuing resolution through Feb. 15, USDA Secretary Sonny Perdue stated that "using existing funding the nine federal agencies (departments of funds, [the agency was] able to keep [Farm Service Agency Transportation, Agriculture, Homeland Security, Treasury, (FSA)] offices open as long as possible, but unfortunately had Commerce, Housing and Urban Development, Justice, State to close them when funding ran out," and that "[the agency] will and Interior, as well as the IRS, National Science Foundation, therefore extend the application deadline for a period of time FDA and EPA) that had been closed for 36 days as part of the equal to the number of business days FSA offices were closed, partial federal government shutdown. It remains unclear if once the government shutdown ends." Producers eligible for Congress and the president will reach a formal agreement trade-relief money previously had until Jan. 15 to apply for concerning federal funds for a barrier on the southern border. direct aid payments, but the government shutdown closed local Stay tuned to NCSL for further details on fiscal year 2019 FSA offices on Dec. 28 preventing new signups. appropriations. 1/6/19 – The Supreme Court of the United States (SCOTUS) 1/18/19 – The U.S. District Court for the District of South declined to take up two challenges to controversial California Carolina ordered the Department of Interior (DOI) to freeze all laws—bans on foie gras and the prohibition of the sale of eggs permit work on seismic surveys of offshore oil and gas deposits from caged hens, in addition to a similar caged-hen law in off the Atlantic coast due to the lack of current appropriations Massachusetts.
    [Show full text]