1. Committee of Visitors Review of the BES Materials Sciences and Engineering Division Update for BESAC February 24, 2012 Linda L. Horton Director, Materials Sciences and Engineering Division

2. The first SC-BES COV was in 2002 This will be the fourth review for MSE and the eleventh COV review in BES All previous COV reports and BES responses can be found at: http://science.energy.gov/bes/besac/bes-cov/http://science.energy.gov/bes/besac/bes-cov/ COVs are now a standard part of BES practice COV recommendations are taken very seriously by BES and have resulted in substantive changes History of COVs in SC/BES

3. Committee of Visitor Charge (Standard) 1. For both the DOE laboratory projects and the university projects, assess the efficacy and quality of the processes used to: (a) solicit, review, recommend, and document proposal actions and (b) monitor active projects and programs. 2. Within the boundaries defined by DOE missions and available funding, comment on how the award process has affected: (a) the breadth and depth of portfolio elements, and (b) the national and international standing of the portfolio elements.

4. Committee of Visitor Coverage: FY 2009-2011 Covered: Core research programs, including:  Base program awards to universities and DOE labs  Single-Investigator and Small-Group Research (SISGR) program in FY 2009  Renewals of awards made in earlier BES solicitations: Hydrogen Fuel Initiative (HFI)  DOE EPSCoR Program  Computational Materials (and Chemical) Sciences Network (CMCSN/CMSN) in FY 2010 and FY 2011 Not covered  Energy Frontier Research Centers (FY 2009)  SC Early Career Awards (FY 2009-2011)  SC Graduate Fellowship Program (FY 2010)  BES Equipment Supplement Program (FY 2010)

5. COV will focus on the Materials Sciences and Engineering Research Teams plus EPSCoR Control and understanding of materials behavior and discovery of new emergent phenomena Study of photon, neutron, and electron interactions with matter for characterization of materials structures and excitation. Scattering and Instrumentation Sciences Materials Discovery, Design and Synthesis Condensed Matter and Materials Physics Rational design and synthesis of new materials via physical, chemical, and bio- molecular routes Division-wide themes: strongly correlated electron systems; materials synthesis; nanoscale science; theory, modeling, & simulation

6. Twenty-seven states, the Commonwealth of Puerto Rico, and the U.S. Virgin Islands are eligible to participate in the DOE EPSCoR program. Authorized by Congress at the NSF in 1979 to broaden the geographical distribution of federal funding for academic research and development. Agency programs participating (FY2011 budget) include: NIH (IDeA), NSF, NASA, DOE BES-MSE manages the DOE EPSCoR Program 6 o The DOE EPSCoR Program has three main objectives:  Enhance the research capabilities of designated states  Support competitive energy-related research  Develop S&T manpower to meet current and future needs in energy-related areas o EPSCoR projects cover a wide range of DOE programmatic areas o Types of Grants:  Implementation Grant  Laboratory-State Partnerships  Participates in the Early Career Program o Current Annual DOE Budget approx. $8.5M

7. FY 2012 Committee of Visitors Matthew Tirrell, University of Chicago/Argonne National Lab, chair May 22-24, 2012 at DOE Germantown 33 COV panelists organized into 4 panels (3 Teams and EPSCoR) to review the core programs within the division Panelist statistics: Academia: 25Funded by BES: 22 DOE Lab: 4Not funded: 11 Industry: 3 International: 1Male: 26 Female: 7 6 served on 2009 MSE COV 3 are on BESAC (Bare, Hall, Lagally)

8. Panel Structure and Membership Panel 1: Scattering and Instrumentation Margaret Murnane, University of Colorado (Lead) Simon Bare, UOP – Honeywell (BESAC, COV 2009 Chair) Collin Broholm, Johns Hopkins University Tom Devereaux, SLAC Ernie Hall, GE Global Research (BESAC) Chris Hammel, Ohio State University Alamgir Karim, University of Akron John Sarrao, LANL Oleg Shpyrko, University of California, San Diego Susanne Stemmer, University of California, Santa Barbara Panel 2: Materials Discovery, Design and Synthesis Juan de Pablo, University of Wisconsin, (Lead) Mike Aziz, Harvard University Jeff Brinker, SNL Bruce Chase, DuPont – retired Vinayak Dravid, Northwestern University Kim Dunbar, Texas A&M Mustafa El-Sayed, Georgia Tech (prior BESAC) Arunava Gupta, University of Alabama Yves Idzerda, Montana State University Monica Olvera de la Cruz, Northwestern University Elsa Reichmanis, Georgia Tech

9. Panel Structure and Membership Panel 3: Condensed Matter and Materials Physics Max Lagally, University of Wisconsin (Lead, BESAC) Sam Bader, ANL Jim Fredericks, Georgetown University Giulia Galli, University of California, Davis Rachel Goldman, University of Michigan Robin Grimes, Imperial College Philip Kim, Columbia University Feng Liu, University of Utah Bill Nix, Stanford Simon Phillpot, University of Florida John Xiao, University of Delaware Stefan Zollner, New Mexico State University Panel 4: EPSCoR (2 nd day of COV – consists of members from other 3 panels) John Sarrao, LANL (Lead) Bruce Chase, DuPont – Retired Arunava Gupta, University of Alabama Yves Idzerda, Montana State University John Xiao, University of Delaware Stefan Zollner, New Mexico State University

10. Committee of Visitors Preparations  Chair will visit the division on March 16, 2012 Meet with division director, team leads, program managers Inform chair of division’s programs and discuss process for COV  Conference call – chair, panel leads, division director, and team leads Prior to COV to go over agenda, discuss process, and address concerns  COV Website: Provides read ahead materials for COV panelists

11. COV Website – Background Information

12. COV Agenda Tuesday, May 22, 2012 TimeActivity Committee Members Division StaffLocation 9:00AMWelcome and Charge to the CommitteeAll John Hemminger, Chair Basic Energy Sciences Advisory Committee A-410 9:15 AMOverview of Basic Energy SciencesAll Harriet Kung, Director Office of Basic Energy Sciences A-410 9:30 AM Overview of the Material s Sciences and Engineering Division All Linda Horton, Director Materials Sciences and Engineering Division A-410 10:15 AM Update on the SC Portfolio Analysis and Management System (PAMS) AllLinda Blevins, Office of ScienceA-410 10:30 AMInstructions, procedures and scheduleAllMatthew Tirrell, COV ChairA-410 11:00AMBreak and disperse to panel rooms 11:20 AMFirst Read Panels 1-3 First-Read Panel Members MSE Team Lead and Program Manager(s) A-410, E-301, E-401 12:30 PMWorking LunchAll A-410, E-301, E-401 4:30 PMCOV Executive Session COV Panel Leads and Chair G-426 5:00 PMCOV and BES General Discussion Panel Leads and Chair Harriet Kung, Linda HortonG-426 6:00PMDinnerCOV MembersBES StaffCarrabbas

13. COV Agenda, cont’d. Wednesday, May 23, 2012 TimeActivity Committee Members Division StaffLocation 8:30 AMScattering & Instrumentation Sciences TeamPanel 1Team Lead and Program ManagersE-301 8:30 AMMaterials Discovery, Design and Synthesis TeamPanel 2Team Lead and Program ManagersE-401 8:30 AMCondensed Matter & Materials Physics TeamPanel 3Team Lead and Program ManagersA-410 8:30AMEPSCoRPanel 4Team Lead and Program ManagerG-207 9:15 AMComplete First Read Panel ReportsPanels Panel Rooms 11:30AMWorking LunchAll A-410, E-301, E-401, G-207 12:30PMCOV Executive Session – Preliminary Panel Findings COV Panel Leads and Chair F-441 1:30Panel Report Preparation First Read Panels A-410, E-301, E-401, G-207 4:50Depart Germantown FacilityCOV MembersNorth Lobby 6:00Working Dinner COV Chair & Panel Leads On Your Own

14. COV Agenda, cont’d. Thursday, May 24, 2012 TimeActivity Committee Members Division StaffLocation 8:30 AMBreakout Panels – Final Wrap-Up COV Chair Panel Leads A-410 9:15 AMCOV Executive Session COV Chair Panel Leads Harriet Kung, Linda HortonA-410 10:00 AMCloseout Session with COV and BES Staff COV Chair Panel Leads BES StaffA-410 11:00 AMAdjourn – Thank You!

15. Back-Up Slides

16. 2009 COV Recommendations / MSE Response Recommendation 1: Average Grant Size and New Program Directions The influx of new money is an opportunity to implement ambitious new programs and directions, and to increase the average grant size. Both the money from the American Recovery and Reinvestment Act 2009 and the FY2009 Omnibus Appropriations Act 2009 provide a unique opportunity to be bold and steer the Division into new scientific directions and opportunities MSE Response: DMS&E has increased the average single investigator award over the last three years. It agrees that the recent initiatives and Recovery Act funding are real opportunities for growth into new research areas. The DMS&E has carefully assessed the portfolio in determining the emphasis areas for the initiatives and is pleased with the balance of the awards among the emphasis areas. We are cognizant of the award size concern and are working to address this in new awards. Update: Compared to FY 2006-2008, the average grant award has increased 8.3% with a current average grant size of $176k.

17. 2009 COV Recommendations / MSE Response, cont’d Recommendation #2: Portfolio Analysis and Management System The highest priority should be given to implement the proposed Portfolio Analysis and Management System (PAMS) information management system. This COV strongly endorses the single recommendation of the 2008 CSGB. The strength of this recommendation cannot be overstated. There are a plethora of examples from this COV where a reliable, efficient, usable information management system would greatly aid all involved. MSE Response: The Office of Science is working towards a common solution that will be implemented broadly. At the request of BESAC, a representative of the Office of the Deputy Director for Science Programs will provide an update on the status of this implementation at the next BESAC Meeting. BES continues to provide input to the Office of Science on the development of an information technology solution. Update: The PAMS system is being implemented in a phased approach. There will be a presentation on this topic for the COV.

18. 2009 COV Recommendations / MSE Response, cont’d Recommendation #3: Staffing Levels The staffing level should be reviewed to ensure that it is commensurate with increased workload as a result of increased funding and proposal pressure. An appropriate staffing level is critical to the efficiency and overall operation of the Division. MSE Response: BES agrees with this recommendation. DMS&E has begun this assessment with staffing planning for FY2010 and is planning to add additional staffing as funding is available and temporary detailees in high pressure areas. Especially noteworthy is the decision to add 2 new BES program managers specifically for the EFRCs. Update: Since the last COV, BES-MSE Division has added the following program managers: Linda Horton (Division Director); Jim Davenport (Condensed Matter Theory); Craig Henderson (EFRCs, Hub, and Materials Chemistry); Michael Sennett (Materials Chemistry). We continue to use detailees to supplement the program managers efforts for Experimental and Theoretical Condensed Matter and for EPSCoR.

19. 2009 COV Recommendations / MSE Response, cont’d Recommendation # 4: Communication The COV noted several examples where it appeared that the level of communication between DMS&E and the PIs was below what is optimal. This COV therefore recommends that there be an improvement in the communication methods to the research community. One suggested path forward is to drastically improve and keep current the BES website. The website should be the place where a PI can obtain complete information about all aspects of the DMS&E, including proposal submission guidelines and deadlines, new funding announcements and the research areas and directions that fall under the purview of DMS&E. MSE Response: BES agrees that the BES website is in need of revision and with the importance of communication with the community and PIs. This initiative is in progress and should be launched early in FY2010. DMS&E web content will be updated as part of this process and will be maintained with up-to-date content subsequently. Update: The entire Office of Science website has been updated. In addition, BES has published a Program Summary and has placed abstracts for all funded activities on the website.

20. 2009 COV Recommendations / MSE Response, cont’d Recommendations #5 and 6: Proposal Process and White Papers The entire proposal submission and award process should be more transparent. The increased use of white papers is encouraged. The COV believes that white papers are an effective means to hone or discourage full proposals as appropriate. However, it is noted that communicating to PIs the advantages of a white paper prior to a full proposal has been a challenge. BES Response: BES agrees that the proposal process should be clearly communicated and transparent. We have been using presentations at major professional society meetings to expand our communication on this process. These concerns will also be addressed with the improvements to the website. DMS&E agrees that white papers are effective in assisting PIs in appropriately focusing their proposals. These are used extensively for the national labs. We will continue to expand our use of white papers for the academic community. The DMS&E will establish a database of incoming white papers submitted by laboratory and university PIs to track progress in the review and communication with the PI on the evaluation of the white papers. Update: Presentations at major national meetings have continued as planned. We frequently include a “tour” of the enhanced website and always include information on strategic areas of interest and how to submit a white paper and application. Presentations at Principal Investigator meetings have also covered these topics, as well as the importance of delineation of research activities. Laboratory white papers are tracked by the division to ensure timely communication.

21. 2009 COV Recommendations / MSE Response, cont’d Recommendation #7: Travel Budgets The travel budget for PMs should be further increased to allow them to attend national and international meetings and to visit PIs on site. These are critical components for the information gathering that is needed by the PM. MSE Response: BES agrees with this recommendation and will request additional travel funding to the extent possible within allocated budgets. DMS&E specifically plans to assess the university portfolio and encourage expanded visits to major programs. Update: BES travel budgets are constrained by Congressional allocations for program direction in the Office of Science. Travel, in particular, has had additional scrutiny during the last two years. Within the travel budget that is available, DMS&E endeavors to send the program managers to at least one major meeting each year. In addition, visits to major university programs are supported as funding is available.

22. 2009 COV Recommendations / MSE Response, cont’d Recommendation #8: EPSCOR Following the last COV, a DOE EPSCoR Study Group was convened to make recommendations regarding the program. This COV recommends that the EPSCoR Study Group recommendations should be fully implemented. MSE Response: BES agrees with this recommendation. As was noted by the COV, significant progress has already been made in improving the processes for the EPSCoR program. In particular, in FY2010, site visits or reverse site visits will be implemented for the Implementation Award Proposals. In addition, site visits or reverse site visits to existing awardees have been initiated in the current fiscal year. The criteria for success/effectiveness of implementation award were included in the most recent Funding Opportunity Announcement. Update: Ten site visits, including five with external reviewers, occurred for selected implementation grants during FY 2009 – 2011.