Each program office  and ARPA-E may fund R&D at any of the national laboratories. ARPA-E does not oversee a national laboratory. Figure 2 shows the locations of the 13 national laboratories that primarily  conduct civilian R&D under the oversight of the program offices we  reviewed. DOE Uses Various Activities to Oversee Investments in Civilian R&D at National Laboratories, Universities, and Industry

The three program offices we selected for detailed review—the offices of  Energy Efficiency and Renewable Energy, Nuclear Energy, and  Science—use various activities to oversee DOE civilian R&D investments  in national laboratories, universities, industry, and other entities: these  investments totaled $7.36 billion in obligations in fiscal year 2015. DOE Activities to Identify Research Priorities and Help Inform Investment Decisions

For all investments, including those in DOE’s national laboratories,  universities, industry, and other entities, the three selected program  offices engage in activities to obtain input from multiple sources to identify  research priorities and to help inform where DOE invests in R&D. For example, the Office of Nuclear Energy  sponsored a series of workshops in 2015 that sought to identify ideas for  advancing nuclear energy technologies. First, the three program offices conduct planning activities to help ensure  that DOE investments in the laboratories support national R&D priorities. Third, at the end of each fiscal year, program offices use a performance  evaluation and measurement plan to assess each laboratory contractor’s  scientific, technological, managerial, and operational performance. DOE Oversight Activities for R&D Investments in Universities, Industry, and Other Entities

The offices of Energy Efficiency and Renewable Energy, Nuclear Energy,  and Science use various processes to help oversee DOE’s civilian R&D  investments in universities, industry, and other entities ($2.22 billion in  obligations in fiscal year 2015). Research office staff in these three  program offices develop solicitations—also referred to as funding  opportunity announcements—for R&D proposals from universities,  industry, and other entities. According to data provided by DOE, research office staff in the five  program offices and ARPA-E conducted or managed more than 6,600  proposal reviews—with reviews consisting of as many as 3 or 4 individual  reviewers—to select 1,691 new financial assistance awards in fiscal year  2015. DOE officials indicated that financial assistance  awards that did not receive obligations also required support. DOE Staffing Levels to Oversee Civilian R&D Investments Declined from Fiscal Year 2011 to Fiscal Year 2015, and Staff Costs Increased Slightly

From fiscal year 2011 to fiscal year 2015, DOE staffing levels for  oversight of civilian R&D investments declined by 11.0 percent, while  obligations for the civilian R&D that the staff oversaw increased by 3.8  percent. Appendixes I and II present further data on  staffing levels in the five program offices and ARPA-E, as well as data on  staff costs and R&D obligations. Overall Obligations for Staff Costs of DOE Oversight of Civilian R&D Increased Slightly from Fiscal Year 2011 to 2015, and Varied among Program Offices and ARPA-E

Total obligations for staff costs to oversee DOE’s civilian R&D  investments increased from $632.9 million in fiscal year 2011 to $647.9  million in fiscal year 2015—an increase of 2.4 percent during the period  under review (a decrease of 4.0 percent when adjusted for inflation). The obligations for total staff costs as a percentage of total obligations  (R&D and non-R&D obligations) varied among the program offices and  ARPA-E (see fig. For example, in fiscal year 2015, the percentage  ranged from 3.6 percent in the Office of Science to 21.4 percent in the  Office of Electricity Delivery and Energy Reliability. Agency Comments and Our Evaluation

We provided a draft of this report to DOE for its review. Appendix II: Data on R&D Obligations, Staff Totals, and Obligations for Staff Costs for DOE Offices, Fiscal Years 2011-2015

To learn about staffing levels and costs associated with Department of  Energy’s (DOE) offices that oversee research and development (R&D)  investments, we developed a data collection instrument that we sent to  the five program offices and the Advanced Research Projects Agency- Energy (ARPA-E).
Why GAO Did This Study

In fiscal year 2015, five DOE program offices and ARPA-E invested $7.36 billion for civilian R&D in DOE national laboratories as well as in universities, industry, and other entities. These civilian R&D investments (investments not related to nuclear security) supported diverse science and energy research areas, including energy efficiency, renewable energy, and nuclear energy. The five program offices and ARPA-E also obligated funds for staff to oversee these R&D investments—referred to as staff costs in this report—and include federal staff salaries and benefits, travel, support services, and other costs.
GAO was asked to review DOE's oversight of its civilian R&D investments. This report discusses (1) the activities selected DOE offices use to oversee investments in civilian R&D, and (2) staffing levels and costs associated with DOE oversight of civilian R&D.
GAO obtained staffing and obligations data from the five DOE program offices and ARPA-E that funded civilian R&D for fiscal years 2011-2015, the most recent years for which data was available; examined DOE policies, plans, and guidance; and interviewed DOE officials. GAO selected three of the five program offices for detailed review because they oversee nearly 90 percent of DOE's civilian R&D investments and 12 of the 13 national laboratories that primarily conduct civilian R&D. GAO used a broad definition of oversight, including any activity that directly or indirectly supported DOE's R&D mission. In commenting on a draft of this report, DOE generally agreed with GAO's findings.

What GAO Found

Three Department of Energy (DOE) program offices that GAO selected for detailed review—the offices of Energy Efficiency and Renewable Energy, Nuclear Energy, and Science—use various activities to oversee civilian research and development (R&D) investments.
Activities to identify research priorities . The program offices obtain input from multiple sources to help determine the areas in which DOE invests in research at its national laboratories, as well as in universities and industry. For example, the Office of Nuclear Energy sponsored workshops in 2015 that sought to identify ideas for advancing nuclear energy technologies.
Activities to oversee investments at national laboratories . The program offices require that the laboratories they oversee develop strategic plans to help ensure DOE investments in these laboratories support national R&D priorities. They also monitor and review individual laboratory R&D projects. For example, in fiscal year 2015, the Office of Science oversaw over 1,600 new or ongoing laboratory projects that received $3.67 billion in obligations. Finally, the program offices annually assess each laboratory contractor's scientific, technological, managerial, and operational performance.
Activities to oversee investments in universities, industry, and other entities . To help determine where DOE invests in civilian R&D, the program offices review R&D proposals from universities, industry, and other entities. According to data provided by DOE, in fiscal year 2015 the three program offices conducted or managed more than 5,600 proposal reviews—with each review including as many as 3 to 4 individual reviewers—and selected 1,490 proposals for new financial assistance awards. The program offices then monitored and periodically reviewed the awarded proposals.
Staffing levels for oversight of civilian R&D decreased by 11.0 percent from fiscal year 2011 to fiscal year 2015 in five DOE program offices—those noted above, plus two others that oversee a smaller percentage of DOE's civilian R&D investments—and in the Advanced Research Projects Agency-Energy (ARPA-E). At the same time, obligations for staff costs and civilian R&D investments increased by 2.4 percent and 3.8 percent, respectively, without adjusting for inflation (obligations declined slightly when adjusted for inflation). Staffing levels and costs changed to varying degrees among the offices and ARPA-E. For example, staff costs increased in three of the offices and ARPA-E but decreased in the other two offices. Obligations for staff costs made up 7.6 percent of total obligations (R&D and non-R&D obligations) in fiscal year 2015; they also varied among program offices and ARPA-E, ranging from 3.6 percent to 21.4 percent.