oversight

Department of Energy: Solar and Renewable Resources Technologies Program

Published by the Government Accountability Office on 1997-07-11.

Below is a raw (and likely hideous) rendition of the original report. (PDF)

                  United States General Accounting Office

GAO               Report to the Chairman, Subcommittee
                  on Energy and Water Development,
                  Committee on Appropriations,
                  House of Representatives

July 1997
                  DEPARTMENT OF
                  ENERGY
                  Solar and Renewable
                  Resources
                  Technologies Program




GAO/RCED-97-188
                   United States
GAO                General Accounting Office
                   Washington, D.C. 20548

                   Resources, Community, and
                   Economic Development Division

                   B-277079

                   July 11, 1997

                   The Honorable Joseph M. McDade
                   Chairman, Subcommittee on Energy
                     and Water Development
                   Committee on Appropriations
                   House of Representatives

                   Dear Mr. Chairman:

                   The Department of Energy’s (DOE) fiscal year 1998 budget request for the
                   Solar and Renewable Resources Technologies Program is $330 million,1 an
                   increase of almost $79 million from fiscal year 1997 appropriations. The
                   program is managed primarily by the Office of Utility Technologies to
                   advance clean, reliable, and affordable power through cost-shared
                   research partnerships with industry and laboratories.2 As agreed with your
                   office, this report provides program information on (1) the level of funding
                   committed to research and development (R&D) and other activities in fiscal
                   year 1998, (2) the extent to which DOE’s costs have been shared with
                   private industry and the type of cost-share arrangements, and (3) the
                   extent to which the funds have been competitively awarded.

                   We categorized R&D activities as basic research, applied research and
                   exploratory development, advanced development/engineering
                   development, and operational tests/field validations. Appendix I provides
                   the definitions used in this report for these R&D phases.


                   In fiscal year 1998, DOE proposes to spend $311 million of the $345 million
Results in Brief   Solar and Renewable Resources Technologies Program’s budget for solar
                   and renewable energy R&D projects and $34 million for non-R&D activities.3
                   The R&D projects range from experiments for increasing knowledge and
                   understanding to full-scale engineering development. Because many of the
                   renewable energy technologies already exist and are being improved to
                   increase their efficiency and reduce cost, $55 million will be spent for
                   operational tests/field validations—the phase of R&D that is closest to
                   commercialization. Almost $16 million of the non-R&D funds will be used

                   1
                    In fiscal year 1998, DOE also proposes using $15 million in funds carried over from fiscal year 1997 for
                   a total of $345 million.
                   2
                    DOE’s Office of Transportation Technologies manages the Biofuels Energy Systems activity.
                   3
                    Comprehensive data by R&D activity for actual fiscal year 1996 and estimated fiscal years 1997 and
                   1998 funding are included in appendix II.



                   Page 1               GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
             B-277079




             for program direction, including salaries, travel, and administrative
             services. The remaining non-R&D activities include information
             dissemination, incentive payments to public power entities, and laboratory
             maintenance and construction.

             DOE  leverages federal funds and encourages commercialization of
             renewable energy technologies by requiring industry and other partners to
             share the R&D costs. During fiscal years 1996 and 1997, private industry and
             other groups’ cost-sharing ranged between 3 and 84 percent of the cost of
             the research projects, depending on the renewable energy subprogram, the
             size of the firms involved, and the phase of R&D. The cost-shares were in
             the form of cash or in-kind contributions, such as salary or equipment
             costs or a combination of both.

             Most of the funding agreements entered into by the Solar and Renewable
             Resources Technologies Program were awarded on a competitive basis
             during fiscal years 1996 and 1997.4 The percentage of competitive awards
             ranged from none for some subprogram activities to 100 percent for
             others. Most of the subprograms awarded at least 50 percent of the funds
             competitively. According to DOE program officials, the contract funds
             awarded noncompetitively met allowable exceptions to competition.


             Renewable energy technologies generate electricity, fuels, and/or heat
Background   through the use of resources that are continually replenished, such as
             sunlight (photovoltaics), heat from the sun (solar thermal), wind, naturally
             occurring underground steam and heat (geothermal), plant and animal
             waste (biomass), and water (hydropower). The Solar and Renewable
             Resources Technologies Program funds research on renewable energy for
             utilities, transportation systems, industry, and buildings and for advanced
             utility system technologies. In addition, the program provides support for
             solar and renewable energy technologies in domestic and international
             markets through incentive programs to public power entities and through
             mechanisms established to increase commercial financing resources for
             major foreign purchases of U.S. technologies.

             Most new product and process development is not initiated by new
             science but instead is an attempt to meet perceived market needs by
             drawing on existing technologies and on the pool of scientific knowledge.
             R&D can proceed sequentially from basic research to the operational


             4
              Funding agreements include contracts, subcontracts, grants, cooperative agreements, and cooperative
             research and development agreements.



             Page 2              GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                       B-277079




                       tests/field validations phase. These various phases can proceed
                       sequentially in that basic research serves as the source of innovation. In
                       these situations, new scientific knowledge initiates a chain of events
                       culminating in the development and sale of a new product, process, or
                       service. In other situations, the activities may not proceed in such a linear
                       fashion, as changes to existing products often arise from the recognition of
                       new market opportunities, advances in manufacturing capabilities, or
                       advances in technology independent of progress in the underlying science.

                       Commercialization is an attempt by a firm to profit by incorporating new
                       technology into products, processes, and services used or sold in the
                       marketplace. For many new technologies, commercialization implies
                       scaling up from prototype to volume manufacturing and committing
                       greater resources to marketing and sales activities. Research projects in
                       the operational tests/field validations phase are closest to the marketplace
                       in terms of commercialization. An October 1995 report by the Office of
                       Technology Assessment found that many factors other than scientific
                       understanding strongly influence commercial success: the nature and
                       composition of markets; competition from older technologies; choices of
                       design and implementation; the availability of financing, standards, and
                       complementary assets or infrastructure; and the ability to link with
                       strategic partners.5

                       In DOE’s fiscal year 1998 congressional budget request, the term
                       “deployment” is used in different ways. At times, deployment is used in the
                       context of deploying an emerging technology in a field validation or
                       operational test, which is a precommercialization activity. At other times,
                       deployment is used in the context of the deployment of commercial
                       products in cost-effective applications. An example would be the state
                       energy grant programs, which facilitate the implementation of energy
                       efficiency measures and renewable energy systems.


                       In fiscal year 1998, DOE plans to spend 90 percent of its solar and
Proposed Fiscal Year   renewable energy program funds on R&D to promote the commercial
1998 Funding for       viability of renewable energy technologies. The remaining funds will be
DOE’s Solar and        spent on non-R&D activities for program direction, such as salaries, travel,
                       and administrative services and to support the deployment of solar and
Renewable Resources    renewable energy technologies into domestic and international markets.
Technologies
                       5
                         Innovation and Commercialization of Emerging Technologies, Office of Technology Assessment
                       (Oct. 1995).



                       Page 3              GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                B-277079




Fiscal Year 1998 Funding        For fiscal year 1998, DOE proposes to spend $311 million (or 90 percent) of
for R&D Projects                the Solar and Renewable Resources Technologies Program budget for R&D
                                projects. Most of the research conducted will be in the applied research
                                phase. (See table 1.) About $55 million (or 18 percent) of those funds will
                                be spent for operational tests and field validations of integrated
                                technologies in a realistic operating environment. Projects in this phase
                                are closest to the marketplace in terms of eventual commercialization.
                                Activities include concept development, market and technical feasibility
                                studies, prototype construction, and scale-up demonstrations.

Table 1: Proposed Funding by
Research Phase for Solar and    Dollars in thousands
Renewable Energy Subprograms,                                                     Applied          Advanced
Fiscal Year 1998                                                                research/       development/           Operational
                                                                              exploratory        engineering            tests/field
                                Subprogram            Basic research         development        development            validations
                                Solar Building                         0            $1,350               $1,125              $1,525
                                Technology
                                Photovoltaic                   $11,000              28,000               28,400                  9,600
                                Energy Systems
                                Solar Thermal                          0              4,260               8,790                  6,750
                                Energy Systems
                                Biopower/                              0            27,805               17,272              31,463
                                Biofuels
                                Energy
                                Systems
                                Wind Energy                            0            13,400               29,458                     0
                                Systems
                                Geothermal                        2,600             15,482                9,418                  2,500
                                Hydrogen                               0              5,958               6,114                  2,928
                                Hydropower                             0              1,000                    0                    0
                                Electric Energy                 15,620              25,230                3,130                   520
                                Systems &
                                Storagea
                                Totals                         $29,220            $122,485            $103,707             $55,286
                                a
                                 The Electric Energy Systems and Storage subprogram figures do not include the Climate
                                Challenge (see table 2 for description of this activity), which has been categorized by DOE as
                                non-R&D.



                                Source: Developed by GAO from DOE’s data.


                                According to DOE officials in the Office of Utility Technologies, none of
                                these projects fund the commercialization of the technologies. However,




                                Page 4               GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
B-277079




some of these technologies may already be commercially viable in specific
niche applications or geographical regions. And with additional R&D, these
technologies may have further commercial potential in a larger range of
markets and applications and at less cost. For example, the mission of the
wind energy subprogram is to establish wind energy as a regionally
diversified, cost-effective power generation technology. To date, wind
turbine technology development in the United States has been viable only
at sites with high average wind speeds.6 However, wind may have
commercial potential as an energy source in areas of the country where
winds are of moderate velocity, such as the midwestern United States
from the Canadian border to Mexico. The additional applied research is
needed to develop a next generation wind turbine that will be competitive
at lower average wind speeds.

In other cases, DOE is supporting the test and demonstration of
first-of-a-kind technologies. For example, the biofuels energy systems
activity is funding the development of cost-competitive processes to
produce ethanol from low-cost agricultural and forestry wastes, such as
rice straw and sawdust. According to a DOE official in the Office of Fuels
Development, the technology to produce ethanol from such wastes has not
been demonstrated anywhere in the world. The program strategy is to
demonstrate the technology in an industry-owned facility and share the
cost.

According to DOE program officials, without DOE’s assistance, the
technologies might not reach commercialization. If the technologies have
not been demonstrated to be cost-competitive, industry may not be willing
to invest the funds needed to achieve market penetration. To reduce the
perceived risk, DOE is helping to test and document the performance
because performance cannot always be accurately predicted through
modeling. For example, a technology close to commercialization is the
geothermal heat pump. In fiscal year 1998, DOE plans to work with an
industry consortium to further test and document the performance of this
technology to accelerate widespread consumer acceptance. To date, DOE
has invested $17 million in this program. In fiscal year 1998, the budget
request was reduced by almost one-half compared with fiscal year 1997 by
eliminating the funding for new large demonstration projects.

Appendix II has a comprehensive listing of R&D funding by phase of
research for each solar and renewable energy subprogram and activity for
fiscal years 1996 through 1998.

6
 Wind turbines are machines that generate electricity by using the kinetic energy of the wind.



Page 5               GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                      B-277079




Fiscal Year 1998 Funding              DOE  plans to use the remaining $34 million of the proposed budget to fund
for Non-R&D Activities                non-R&D initiatives and activities that support the deployment of solar and
                                      renewable energy technologies into domestic and international markets.
                                      (See table 2.) The amount represents over an 80-percent increase from the
                                      fiscal year 1997 appropriation for non-R&D activities. Almost one-half of the
                                      non-R&D funds in the fiscal year 1998 budget will be used for program
                                      direction. Program direction includes funding for federal salaries and
                                      benefits, travel, administrative services, and other related activities. From
                                      the $34 million, $5 million will be spent on maintenance and expansion of
                                      the National Renewable Energy Laboratory. Other non-R&D funds will be
                                      used to provide incentives for renewable energy production to new
                                      facilities owned by public power entities as provided by section 1212 of
                                      the Energy Policy Act of 1992; provide support for voluntary actions by
                                      electric utilities to reduce, avoid, or sequester greenhouse gas emissions;
                                      and disseminate information on renewable energy technologies. A
                                      description of each of the non-R&D activities is included in appendix III.

Table 2: Proposed Funding for Solar
and Renewable Energy Non-R&D          Dollars in thousands
Programs, Fiscal Year 1998            Subprogram                                                                    Fiscal year 1998
                                      Program Direction                                                                         $15,642
                                      National Renewable Energy Laboratory                                                        5,000
                                      Renewable Energy Production Incentive                                                       4,000
                                      Committee on Renewable Energy                                                               2,000
                                      Commerce and Trade
                                      The America’s 21st Century Program                                                          2,500
                                      The U.S. Initiative on Joint Implementation                                                 2,500
                                      Solar Technology Transfer                                                                   1,360
                                                          a
                                      Climate Challenge                                                                           1,000
                                      Totals                                                                                    $34,002
                                      a
                                      Climate Challenge is an activity in the Electric Energy Systems and Storage subprogram.



                                      Source: Developed by GAO from DOE’s data.




                                      DOE uses cost-sharing of renewable energy projects to leverage federal
DOE’s Research Is                     funds. Through partnerships with DOE, partners from private industry and
Cost-Shared With                      other groups provide cost-share amounts that range from as little as
Private Industry and                  3 percent to as much as 84 percent of the research costs for renewable
                                      energy projects. DOE program officials told us that cost-sharing from
Other Partners

                                      Page 6              GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
B-277079




industry and other partners ensures effective use of federal funds and
helps to expedite the development and eventual commercialization of
technologies because the partners have a vested interest in them.

According to DOE officials from the Office of Utility Technologies and the
Office of Transportation Technologies, the cost-share contributions by
partners from private industry are generally higher for projects in the later
phases of R&D. For example, the industry’s cost-share percentages for the
photovoltaic program are 24 percent for the basic and applied R&D phases
and 92 percent for technology development.

The cost-share requirements for specific projects are generally established
during the initial solicitation for partners and are met by cash, in-kind
contributions, or a combination of both. In-kind contributions may consist
of employees’ time and salary costs, use of partners’ facilities and
equipment, and/or the cost of purchasing facilities or equipment.

DOE  provided us with information on typical cost-share percentages for
each of its renewable energy subprograms by activity. The information
shows that the cost-share contributed by private sector partners and other
partners varies by subprogram and activities. The range of cost-share
percentages by subprogram and the type of partners, which include
utilities, universities, industry, and trade associations, is summarized in
table 3.




Page 7          GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                       B-277079




Table 3: Range of Typical Cost-Share
Percentages, Typical Types of                                                                    Primary types of cost-share
Partners, and Primary Types of                            Cost-share Typical                           contributionb
Contributions by Renewable Energy      Subprogram       percentagesa partners            Cash             In-kind         Mixed
Subprograms                                                                              b                                b
                                       Solar Building            15-40 Industry,                          x
                                       Technology                      utilities,
                                                                       universities,
                                                                       and trade
                                                                       groups
                                                                                                          b               b
                                       Photovoltaic              13-70 Industry,         x
                                       Energy                          utilities,
                                       Systems                         universities,
                                                                       and trade
                                                                       groups
                                                                                                          b               b
                                       Solar Thermal              3-80 Industry and      x
                                       Energy                          utilities
                                       Systems
                                                                                         b                                b
                                       Biopower/                 24-80 Industry,                          x
                                       Biofuels                        utilities, and
                                       Energy                          universities
                                       Systems
                                                                                                          b               b
                                       Wind Energy               21-30 Industry and      x
                                       Systems                         universities
                                                                                         b                b
                                                                 15-84 Industry and                                       x
                                       Geothermal                      utilities
                                                                                         b                b
                                                                  5-50 Industry and                                       x
                                       Hydrogen                        trade groups
                                                                                                          b               b
                                       Hydropower                30-62 Industry          x
                                                                                                          b               b
                                       Electric                  15-50 Industry          x
                                       Energy
                                       Systems and
                                       Storagec
                                       a
                                        Some of DOE’s R&D projects such as those performed by some national laboratories and some
                                       universities are not cost-shared. The cost-share percentages represent those projects that are
                                       cost-shared.
                                       b
                                        Cost-share requirements may have been met by cash, in-kind contributions, or a combination of
                                       both. This table presents the primary type of contribution.
                                       c
                                        The Electric Energy Systems and Storage subprogram figures do not include the Climate
                                       Challenge activity, which has been categorized by DOE as non-R&D.



                                       Source: Developed by GAO from DOE’s data.


                                       See appendix IV for detailed information on typical cost-shares for specific
                                       renewable energy activities. Appendix V has information on DOE’s funding
                                       to trade associations.




                                       Page 8              GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                   B-277079




                   Of the funds awarded through funding agreements, five of the nine
Most Renewable     subprograms awarded at least 50 percent of their funds on a competitive
Energy R&D Funds   basis. However, the extent of competition varied by subprogram. Some
Are Awarded        subprogram activities awarded none of the funds competitively; some
                   awarded 100 percent of the funds competitively. Table 4 shows the range
Competitively      of competition by subprogram.

                   DOE awards contracts, subcontracts, grants, cooperative agreements, and
                   cooperative research and development agreements (CRADA) through its
                   laboratories, field offices, and headquarters. All contract awards are
                   subject to the requirements of the Competition in Contracting Act and the
                   Federal Acquisition Regulation. The grant and cooperative agreement
                   awards are subject to DOE’s Financial Assistance Regulations.

                   Some of the funding agreements were awarded without competition.
                   According to program officials, the noncompetitively awarded contracts
                   met allowable exceptions to procurement rules. The federal rules require
                   specific written justification for contract awards made without
                   competition. Allowable exceptions include awards made in the public’s
                   interest or to a unique source.

                   Detailed information on the extent of competition by budget subprogram
                   and activity is shown in appendix VI.




                   Page 9         GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                       B-277079




Table 4: Range of Competitive Awards
for Renewable Energy Subprograms                                        Primary procurement
                                       Subprogram                       mechanism                            Percent of competition
                                       Solar Building Technology        Grant                                                   50-100
                                       Photovoltaic Energy Systems      Subcontract                                             79-100
                                       Solar Thermal Energy             Subcontract                                             18-100
                                       Systems
                                       Biopower/Biofuels Energy         Contract, cooperative                                   34-100
                                       Systems                          agreement, and subcontract
                                       Wind Energy Systems              Subcontract                                              0-100
                                       Geothermal                       Grant and contract                                        0-95
                                       Hydrogen                         Contract                                                85-100
                                       Hydropower                       Contract                                                 84-97
                                       Electric Energy Systems &        Contract, grant, CRADA,                                 75-100
                                       Storagea                         and cooperative agreement
                                       a
                                        The Electric Energy Systems and Storage subprogram figures do not include the Climate
                                       Challenge activity, which has been categorized by DOE as non-R&D.



                                       Source: Developed by GAO from DOE’s data.




                                       We provided copies of a draft of this report to DOE for review and
Agency Comments                        comment. We discussed the draft with DOE officials, including the Acting
                                       Assistant Secretary for Energy Efficiency and Renewable Energy, who
                                       agreed with the report’s findings. DOE provided us with technical
                                       corrections and clarifications that we incorporated where appropriate.


                                       To determine the level of funding committed to R&D and other activities,
Scope and                              we obtained data from DOE for each solar and renewable energy
Methodology                            subprogram and activity by R&D phase. We obtained actual funding data for
                                       fiscal year 1996 and projected funding for fiscal years 1997 and 1998. We
                                       used DOE’s definitions for the R&D phases. To determine the extent that
                                       project costs are shared with private industry, we obtained information on
                                       typical cost-sharing arrangements for each subprogram and activity for
                                       projects that were funded during fiscal years 1996 and 1997 and specific
                                       funding data for trade associations. To identify the extent to which funds
                                       are competitively awarded, we obtained DOE’s estimate of the percentage
                                       of competitive awards for each subprogram and activity. Our analyses
                                       were based on data provided by DOE. We did not independently verify or
                                       validate the data provided to us.




                                       Page 10             GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
B-277079




We reviewed DOE’s fiscal year 1998 budget request, our prior reports, and
various DOE program documents. We also discussed the renewable energy
programs, the fiscal year 1998 budget request, cost-sharing, and
competition with officials in DOE’s Office of Utility Technologies and Office
of Transportation Technologies. Our review was performed from May
through June 1997 in accordance with generally accepted government
auditing standards.


As arranged with your office, unless you publicly announce its contents
earlier, we plan no further distribution of this report until 30 days after the
date of this letter. At that time, we will send copies to the Secretary of
Energy and make copies available to others on request.

Please call me at (202) 512-3841 if you or your staff have any questions
about this report. Major contributors to this report include Susan Kladiva,
Robin Nazzaro, and Carrie Stevens.

Sincerely yours,




Victor S. Rezendes
Director, Energy, Resources,
  and Science Issues




Page 11         GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Contents



Letter                                                                                            1


Appendix I                                                                                       18

Research and
Development
Definitions
Appendix II                                                                                      19

Solar and Renewable
Energy Research and
Development
Funding, Fiscal Years
1996 Through 1998
Appendix III                                                                                     36

DOE’s Description of
Non-R&D Solar and
Renewable Energy
Programs
Appendix IV                                                                                      37

Typical Cost-Share
Partnerships for the
Solar and Renewable
Energy Program,
Fiscal Years 1996 and
1997




                        Page 12   GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                        Contents




Appendix V                                                                                           50

Solar Renewable
Energy Funding to
Trade Associations
Appendix VI                                                                                          51

Competition for Solar
and Renewable
Energy Program
Procurements, Fiscal
Years 1996 and 1997
Tables                  Table 1: Proposed Funding by Research Phase for Solar and                     4
                         Renewable Energy Subprograms, Fiscal Year 1998
                        Table 2: Proposed Funding for Solar and Renewable Energy                      6
                         Non-R&D Programs, Fiscal Year 1998
                        Table 3: Range of Typical Cost-Share Percentages, Typical Types               8
                         of Partners, and Primary Types of Contributions by Renewable
                         Energy Subprograms
                        Table 4: Range of Competitive Awards for Renewable Energy                    10
                         Subprograms
                        Table II.1: Solar Buildings Technology Activity Funding, Fiscal              19
                         Year 1996
                        Table II.2: Solar Buildings Technology Activity Funding, Fiscal              19
                         Year 1997
                        Table II.3: Solar Buildings Technology Activity Funding, Fiscal              19
                         Year 1998
                        Table II.4: Photovoltaic Energy Systems Activity Funding, Fiscal             20
                         Year 1996
                        Table II.5: Photovoltaic Energy Systems Activity Funding, Fiscal             21
                         Year 1997
                        Table II.6: Photovoltaic Energy Systems Activity Funding, Fiscal             22
                         Year 1998
                        Table II.7: Solar Thermal Energy Systems Activity Funding,                   23
                         Fiscal Year 1996
                        Table II.8: Solar Thermal Energy Systems Activity Funding,                   23
                         Fiscal Year 1997




                        Page 13       GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Contents




Table II.9: Solar Thermal Energy Systems Activity Funding,                   24
 Fiscal Year 1998
Table II.10: Biopower/Biofuels Energy Systems Activity Funding,              25
 Fiscal Year 1996
Table II.11: Biopower/Biofuels Energy Systems Activity Funding,              26
 Fiscal Year 1997
Table II.12: Biopower/Biofuels Energy Systems Activity Funding,              27
 Fiscal Year 1998
Table II.13: Wind Energy Systems Activity Funding, Fiscal Year               28
 1996
Table II.14: Wind Energy Systems Activity Funding, Fiscal Year               29
 1997
Table II.15: Wind Energy Systems Activity Funding, Fiscal Year               30
 1998
Table II.16: Geothermal Activity Funding, Fiscal Year 1996                   31
Table II.17: Geothermal Activity Funding, Fiscal Year 1997                   31
Table II.18: Geothermal Activity Funding, Fiscal Year 1998                   32
Table II.19: Hydrogen Activity Funding, Fiscal Year 1996                     32
Table II.20: Hydrogen Activity Funding, Fiscal Year 1997                     33
Table II.21: Hydrogen Activity Funding, Fiscal Year 1998                     33
Table II.22: Hydropower Activity Funding, Fiscal Year 1996                   33
Table II.23: Hydropower Activity Funding, Fiscal Year 1997                   34
Table II.24: Hydropower Activity Funding, Fiscal Year 1998                   34
Table II.25: Electric Energy Systems and Storage Activity                    34
 Funding, Fiscal Year 1996
Table II.26: Electric Energy Systems and Storage Activity                    35
 Funding, Fiscal Year 1997
Table II.27: Electric Energy Systems and Storage Activity                    35
 Funding, Fiscal Year 1998
Table IV.1: Solar Buildings Technology Program, Fiscal Year                  37
 1996
Table IV.2: Solar Buildings Technology Program, Fiscal Year                  37
 1997
Table IV.3: Photovoltaic Energy Systems Program, Fiscal Year                 38
 1996
Table IV.4: Photovoltaic Energy Systems Program, Fiscal Year                 39
 1997
Table IV.5: Solar Thermal Energy Systems Program, Fiscal Year                40
 1996
Table IV.6: Solar Thermal Energy Systems Program, Fiscal Year                40
 1997




Page 14       GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Contents




Table IV.7: Biopower/Biofuels Energy Systems Program, Fiscal                 41
 Year 1996
Table IV.8: Biopower/Biofuels Energy Systems Program, Fiscal                 42
 Year 1997
Table IV.9: Wind Energy Systems Program, Fiscal Year 1996                    43
Table IV.10: Wind Energy Systems Program, Fiscal Year 1997                   44
Table IV.11: Geothermal Program, Fiscal Year 1996                            45
Table IV.12: Geothermal Program, Fiscal Year 1997                            46
Table IV.13: Hydrogen Program, Fiscal Year 1996                              47
Table IV.14: Hydrogen Program, Fiscal Year 1997                              47
Table IV.15: Hydropower Program, Fiscal Year 1996                            48
Table IV.16: Hydropower Program, Fiscal Year 1997                            48
Table IV.17: Electric Energy Systems & Storage Program, Fiscal               48
 Year 1996
Table IV.18: Electric Energy Systems & Storage Program, Fiscal               49
 year 1997
Table V.1: Funding to Trade Associations, Fiscal Years 1996 and              50
 1997
Table VI.1: Solar Buildings Technology Program, Fiscal Year                  51
 1996
Table VI.2: Solar Buildings Technology Program, Fiscal Year                  52
 1997
Table VI.3: Photovoltaic Energy Systems Program, Fiscal Year                 53
 1996
Table VI.4: Photovoltaic Energy Systems Program, Fiscal Year                 54
 1997
Table VI.5: Solar Thermal Energy Systems Program, Fiscal Year                55
 1996
Table VI.6: Solar Thermal Energy Systems Program, Fiscal Year                56
 1997
Table VI.7: Biopower/Biofuels Energy Systems Program, Fiscal                 57
 Year 1996
Table VI.8: Biopower/Biofuels Energy Systems Program, Fiscal                 58
 Year 1997
Table VI.9: Wind Energy Systems Program, Fiscal Year 1996                    59
Table VI.10: Wind Energy Systems Program, Fiscal Year 1997                   60
Table VI.11: Geothermal Program, Fiscal Year 1996                            61
Table VI.12: Geothermal Program, Fiscal Year 1997                            62
Table VI.13: Hydrogen Program, Fiscal Year 1996                              62
Table VI.14: Hydrogen Program, Fiscal Year 1997                              63
Table VI.15: Hydropower Program, Fiscal Year 1996                            63




Page 15       GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Contents




Table VI.16: Hydropower Program, Fiscal Year 1997                              63
Table VI.17: Electric Energy Systems and Storage Program,                      64
 Fiscal Year 1996
Table VI.18: Electric Energy Systems and Storage Program,                      65
 Fiscal Year 1997




Abbreviations

DOE        Department of Energy
R&D        research and development
CRADA      cooperative research and development agreement


Page 16         GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Page 17   GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix I

Research and Development Definitions


              The following definitions for the phases of research and development
              (R&D) are based on definitions used by the Department of Defense. The
              definitions have been modified by the Department of Energy to reflect
              non-Defense R&D efforts.

              Basic Research includes all scientific effort and experimentation directed
              toward increasing knowledge and understanding in those fields of
              physical, engineering, environmental, social, and life sciences related to
              long-term national needs. It requires fundamental knowledge ultimately
              required for the solutions of social, economic, political, physical, or
              military problems. It forms a part of the base for subsequent applied
              research and exploratory and advanced development in the various
              disciplines and new or improved functional capabilities.

              Applied Research and Exploratory Development includes all effort
              directed toward the solution of specific problems, short of major
              development projects. This type of effort may vary from fairly fundamental
              applied research to quite sophisticated bread-board hardware, study,
              programming, and planning efforts. It would thus include investigations
              and minor development effort. The dominant characteristic of this
              category of effort is that it be pointed toward specific problem areas with
              a view toward developing and evaluating the feasibility and practicability
              of proposed solutions and determining their parameters.

              Advanced Development/Engineering Development includes all effort
              directed toward projects which have moved into the development of
              hardware for field experiments and tests. This category includes proof of
              technological feasibility and assessment of operability and producibility. It
              also includes engineering and manufacturing technology development.

              Operational tests/field validations include the evaluation of integrated
              technologies in a realistic operating environment to assess the
              performance or cost reduction potential of advanced technology. Multiple
              validations may be required to assess different applications for different
              regions. This phase helps to expedite the technology transition from the
              laboratory to operational use.




              Page 18         GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix II

Solar and Renewable Energy Research and
Development Funding, Fiscal Years 1996
Through 1998

Table II.1: Solar Buildings Technology Activity Funding, Fiscal Year 1996
Dollars in thousands
                                                                                           Advanced
                                                           Applied research/            development/
                                                                 exploratory             engineering                Operational
Solar buildings activity             Basic research            development              development      tests/field validations
Quality Assurance                                    0                      0                    $475                         0
Technology Deployment                                0                      0                       0                     $425
Technology Development                               0                $1,025                        0                         0
Totals                                               0                $1,025                     $475                     $425



Table II.2: Solar Buildings Technology Activity Funding, Fiscal Year 1997
Dollars in thousands
                                                                                           Advanced
                                                           Applied research/            development/
                                                                 exploratory             engineering                Operational
Solar buildings activity             Basic research            development              development      tests/field validations
Quality Assurance                                    0                      0                    $350                         0
Technology Deployment                                0                      0                       0                    $1,050
Technology Development                               0                $1,100                        0                         0
Totals                                               0                $1,100                     $350                    $1,050



Table II.3: Solar Buildings Technology Activity Funding, Fiscal Year 1998
                                                                                           Advanced
                                                           Applied research/            development/
                                                                 exploratory             engineering                Operational
Solar buildings activity             Basic research            development              development      tests/field validations
Quality Assurance                                    0                      0                    $325                         0
Technology Deployment                                0                      0                       0                    $1,525
Technology Development                               0                $1,350                      800                         0
Totals                                               0                $1,350                   $1,125                    $1,525




                                           Page 19           GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                           Appendix II
                                           Solar and Renewable Energy Research and
                                           Development Funding, Fiscal Years 1996
                                           Through 1998




Table II.4: Photovoltaic Energy Systems Activity Funding, Fiscal Year 1996
Dollars in thousands
                                                                                          Advanced
                                                           Applied research/           development/
                                                                 exploratory            engineering                Operational
Photovoltaic activity               Basic research             development             development      tests/field validations
Fundamental Research
  Measurement &                              $4,945                          0                     0                         0
  Characterization
  Basic Research/                             5,000                          0                     0                         0
  University Programs
Advanced Materials & Devices
  Thin Film Partnerships                             0               $15,866                       0                         0
  Crystalline Silicon/High                           0                 8,000                       0                         0
  Efficiency Devices
Collector Research & Systems Development
  Manufacturing R&D                                  0                       0                $8,200                         0
  (PVMaT)
  System Engineering &                               0                       0                12,900                         0
  Reliability
  PV Integrated Building                             0                       0                 1,648                         0
  Opportunities
  (PV:BONUS)
  Climate Change Action                              0                       0                     0                    $5,000
  Plan (PV-COMPACT)
Totals                                       $9,945                  $23,866                 $22,748                    $5,000




                                           Page 20          GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                           Appendix II
                                           Solar and Renewable Energy Research and
                                           Development Funding, Fiscal Years 1996
                                           Through 1998




Table II.5: Photovoltaic Energy Systems Activity Funding, Fiscal Year 1997
Dollars in thousands
                                                                                          Advanced
                                                           Applied research/           development/
                                                                 exploratory            engineering                Operational
Photovoltaic activity               Basic research             development             development      tests/field validations
Fundamental Research
  Measurement &                              $5,000                          0                     0                         0
  Characterization
  Basic Research/                             5,000                          0                     0                         0
  University Programs
Advanced Materials & Devices
  Thin Film Partnerships                             0               $16,000                       0                         0
  Crystalline Silicon/High                           0                 8,000                       0                         0
  Efficiency Devices
Collector Research & Systems Development
  Manufacturing R&D                                  0                       0                $9,600                         0
  (PVMaT)
  Systems Engineering &                              0                       0                12,400                         0
  Reliability
  PV Integrated Building                             0                       0                 1,000                         0
  Opportunities
  (PV:BONUS)
  Climate Change Action                              0                       0                     0                    $3,000
  Plan (PV-COMPACT)
Totals                                      $10,000                  $24,000                 $23,000                    $3,000




                                           Page 21          GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                           Appendix II
                                           Solar and Renewable Energy Research and
                                           Development Funding, Fiscal Years 1996
                                           Through 1998




Table II.6: Photovoltaic Energy Systems Activity Funding, Fiscal Year 1998
Dollars in thousands
                                                                                          Advanced
                                                           Applied research/           development/
                                                                 exploratory            engineering                Operational
Photovoltaic activity               Basic research             development             development      tests/field validations
Fundamental Research
  Measurement &                              $5,500                          0                     0                         0
  Characterization
  Basic                                       5,500                          0                     0                         0
  Research/University
  Programs
Advanced Materials & Devices
  Thin Film Partnerships                             0               $20,000                       0                         0
  Crystalline Silicon/High                           0                 8,000                       0                         0
  Efficiency Devices
Collector Research & Systems Development
  Manufacturing R&D                                  0                       0               $10,000                         0
  (PVMaT)
  System Engineering &                               0                       0                14,400                         0
  Reliability
  PV Integrated Building                             0                       0                 4,000                         0
  Opportunities
  (PV:BONUS)
  Climate Change Action                              0                       0                     0                    $9,600
  Plan - (PV-COMPACT)
Totals                                      $11,000                  $28,000                 $28,400                    $9,600




                                           Page 22          GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                          Appendix II
                                          Solar and Renewable Energy Research and
                                          Development Funding, Fiscal Years 1996
                                          Through 1998




Table II.7: Solar Thermal Energy Systems Activity Funding, Fiscal Year 1996
Dollars in thousands
                                                                                          Advanced
                                                          Applied research/            development/
                                                                exploratory             engineering                Operational
Solar thermal R&D activity          Basic research            development              development      tests/field validations
Thermal Systems                                     0                $3,159                   $3,500                         0
Research/Thermal Systems
Research
Power Applications                                  0                         0                2,500                    $2,768
Research/Dish/
Engine Development
Power Applications                                  0                         0                    0                     4,640
Research/Power Tower
Development
Power Applications                                  0                         0                1,520                         0
Research/SolMaT Initiative
Power Applications                                  0                   450                      450                         0
Research/Systems &
Industrial Assistance
Totals                                              0                $3,609                   $7,970                    $7,408



Table II.8: Solar Thermal Energy Systems Activity Funding, Fiscal Year 1997
Dollars in thousands
                                                                                          Advanced
                                                          Applied research/            development/
                                                                exploratory             engineering                Operational
Solar thermal R&D activity          Basic research            development              development      tests/field validations
Thermal Systems                                     0                $3,800                   $4,650                         0
Research/Thermal Systems
Research
Power Applications                                  0                         0                1,100                    $3,200
Research/Dish/
Engine Development
Power Applications                                  0                         0                    0                     4,520
Research/Power Tower
Development
Power Applications                                  0                         0                1,930                         0
Research/SolMaT Initiative
Power Applications                                  0                  1,050                   2,000                         0
Research/Systems &
Industrial Assistance
Totals                                              0                $4,850                   $9,680                    $7,720




                                          Page 23           GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                          Appendix II
                                          Solar and Renewable Energy Research and
                                          Development Funding, Fiscal Years 1996
                                          Through 1998




Table II.9: Solar Thermal Energy Systems Activity Funding, Fiscal Year 1998
Dollars in thousands
                                                                                          Advanced
                                                          Applied research/            development/
Solar thermal                                                   exploratory             engineering                Operational
R&D activity                        Basic research            development              development      tests/field validations
Thermal Systems                                     0                $3,560                   $4,360                         0
Research/Thermal Systems
Research
Power Applications                                  0                         0                1,820                    $2,000
Research/Dish/
Engine Development
Power Applications                                  0                         0                    0                     4,550
Research/Power Tower
Development
Power Applications                                  0                         0                1,880                         0
Research/SolMaT Initiative
Power Applications                                  0                   700                      730                       200
Research/Systems &
Industrial Assistance
Totals                                              0                $4,260                   $8,790                    $6,750




                                          Page 24           GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                          Appendix II
                                          Solar and Renewable Energy Research and
                                          Development Funding, Fiscal Years 1996
                                          Through 1998




Table II.10: Biopower/Biofuels Energy Systems Activity Funding, Fiscal Year 1996
Dollars in thousands
                                                                                         Advanced
                                                          Applied research/           development/
Biopower/biofuels energy                                        exploratory            engineering                Operational
systems R&D activity                Basic research            development             development      tests/field validations
Biofuels Energy                                     0               $15,944                  $2,500                     $650
Systems/Ethanol Production
Biofuels Energy                                     0                   300                       0                         0
Systems/Biodiesel
Production
Biofuels Energy                                     0                 5,005                       0                         0
Systems/Feedstock
Production
Biofuels Energy                                     0                 3,806                       0                         0
Systems/Regional Biomass
Energy Program
Biofuels Energy Systems/                            0                 1,775                       0                         0
Thermochemical Conversion
Biopower Energy                                     0                 2,101                       0                         0
Systems/Utility/
Thermochemical Conversion
  Systems Development                               0                     0                   3,465                    14,762
  Biomass for Cogeneration                          0                     0                   1,130                         0
  Municipal Solid Waste                             0                     0                       0                     1,760
Totals                                              0               $28,931                  $7,095                  $17,172




                                          Page 25          GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                          Appendix II
                                          Solar and Renewable Energy Research and
                                          Development Funding, Fiscal Years 1996
                                          Through 1998




Table II.11: Biopower/Biofuels Energy Systems Activity Funding, Fiscal Year 1997
Dollars in thousands
                                                                                         Advanced
                                                          Applied research/           development/
Biopower/biofuels energy                                        exploratory            engineering                Operational
systems R&D activity                Basic research            development             development      tests/field validations
Biofuels Energy Systems/                            0               $16,320                  $1,430                    $5,000
Ethanol Production
Biofuels Energy                                     0                   750                       0                         0
Systems/Biodiesel
Production
Biofuels Energy                                     0                 2,500                       0                         0
Systems/Feedstock
Production
Biofuels Energy                                     0                 1,650                       0                         0
Systems/Regional Biomass
Energy Program
Biofuels Energy Systems/                            0                     0                       0                         0
Thermochemical Conversion
Biopower Energy                                     0                 1,435                       0                         0
Systems/Utility/
Thermochemical Conversion
  Systems Development                               0                     0                   4,096                    14,444
  Biomass for Cogeneration                          0                     0                   4,000                         0
  Feedstock Production                              0                     0                   2,100                         0
  Regional Program                                  0                     0                       0                     1,575
Totals                                              0               $22,655                 $11,626                  $21,019




                                          Page 26          GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                          Appendix II
                                          Solar and Renewable Energy Research and
                                          Development Funding, Fiscal Years 1996
                                          Through 1998




Table II.12: Biopower/Biofuels Energy Systems Activity Funding, Fiscal Year 1998
Dollars in thousands
                                                                                         Advanced
                                                          Applied research/           development/
Biopower/biofuels energy                                        exploratory            engineering                Operational
systems R&D activity                Basic research            development             development      tests/field validations
Biofuels Energy                                     0               $18,040                  $1,000                  $11,000
Systems/Ethanol Production
Biofuels Energy                                     0                 1,000                       0                         0
Systems/Biodiesel
Production
Biofuels Energy                                     0                 4,300                   1,700                         0
Systems/Feedstock
Production
Biofuels Energy                                     0                 1,650                   1,350                         0
Systems/Regional Biomass
Energy Program
Biofuels Energy Systems/                            0                     0                       0                         0
Thermochemical Conversion
Biopower Energy Systems/                            0                 2,815                       0                         0
Utility/Thermochemical
Conversion
  Systems Development                               0                     0                  10,222                    20,463
  Biomass for Cogeneration                          0                     0                   3,000                         0
Totals                                              0               $27,805                 $17,272                  $31,463




                                          Page 27          GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                          Appendix II
                                          Solar and Renewable Energy Research and
                                          Development Funding, Fiscal Years 1996
                                          Through 1998




Table II.13: Wind Energy Systems Activity Funding, Fiscal Year 1996
Dollars in thousands
                                                                                         Advanced
                                                          Applied research/           development/
Wind program R&D                                                exploratory            engineering                Operational
activity                            Basic research            development             development      tests/field validations
Applied Research/                                   0                 $5,850                      0                         0
Core Research
Applied Research/                                   0                  1,800                      0                         0
University Research
Applied Research/                                   0                   400                    $350                         0
Wind Hybrid Systems
Applied Research/                                   0                  1,500                      0                         0
Avian Research
Turbine Research/ Near                              0                     0                   1,000                         0
Term Research and Testing
Turbine Research/ Next                              0                     0                   5,840                         0
Generation Turbine Project
Turbine Research/                                   0                     0                       0                         0
Small Wind Turbine Project
Turbine Research/                                   0                     0                   8,480                         0
Supporting Research,
Testing, and Management
Cooperative Research and                            0                     0                   3,050                         0
Testing/Industry Support
Cooperative Research and                            0                     0                     700                         0
Testing/Certification and
Standards
Cooperative Research and                            0                     0                   1,200                         0
Testing/ Utility Analysis
Cooperative Research and                            0                   400                     850                         0
Testing/ National Wind
Technology Center
Operations
Totals                                              0                 $9,950                $21,470                         0




                                          Page 28          GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                          Appendix II
                                          Solar and Renewable Energy Research and
                                          Development Funding, Fiscal Years 1996
                                          Through 1998




Table II.14: Wind Energy Systems Activity Funding, Fiscal Year 1997
Dollars in thousands
                                                                                         Advanced
                                                          Applied research/           development/
Wind program R&D                                                exploratory            engineering                Operational
activity                            Basic research            development             development      tests/field validations
Applied Research/                                   0                  $9,340                     0                         0
Core Research
Applied Research/                                   0                   1,200                     0                         0
University Research
Applied Research/                                   0                    590                   $500                         0
Wind Hybrid Systems
Applied Research/                                   0                    570                      0                         0
Avian Research
Turbine Research/                                   0                      0                      0                         0
Near Term Research and
Testing
Turbine Research/ Next                              0                      0                      0                         0
Generation Turbine Project
Turbine Research/                                   0                      0                      0                         0
Small Wind Turbine Project
Turbine Research/                                   0                      0                  8,500                         0
Supporting Research,
Testing, and Management
Cooperative Research and                            0                      0                  3,850                         0
Testing/Industry Support
Cooperative Research and                            0                      0                  1,500                         0
Testing/Certification and
Standards
Cooperative Research and                            0                      0                  1,450                         0
Testing/Utility Analysis
Cooperative Research and                            0                    500                  1,000                         0
Testing/National Wind
Technology Center
Operations
Total                                               0                 $12,200               $16,800                         0




                                          Page 29          GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                          Appendix II
                                          Solar and Renewable Energy Research and
                                          Development Funding, Fiscal Years 1996
                                          Through 1998




Table II.15: Wind Energy Systems Activity Funding, Fiscal Year 1998
Dollars in thousands
                                                                                         Advanced
                                                          Applied research/           development/
Wind program R&D                                                exploratory            engineering                Operational
activity                            Basic research            development             development      tests/field validations
Applied Research/                                   0                 $10,000                     0                         0
Core Research
Applied Research/                                   0                   1,600                     0                         0
University Research
Applied Research/                                   0                   1,000                $1,000                         0
Wind Hybrid Systems
Applied Research/                                   0                    500                      0                         0
Avian Research
Turbine Research/ Near                              0                      0                  4,000                         0
Term Research and Testing
Turbine Research/ Next                              0                      0                  9,000                         0
Generation Turbine Project
Turbine Research/                                   0                      0                  1,460                         0
Small Wind Turbine Project
Turbine Research/                                   0                      0                  5,240                         0
Supporting Research,
Testing, and Management
Cooperative Research and                            0                      0                  4,358                         0
Testing/Industry Support
Cooperative Research and                            0                      0                  2,000                         0
Testing/Certification and
Standards
Cooperative Research and                            0                      0                  1,400                         0
Testing/Utility Analysis
Cooperative Research and                            0                    300                  1,000                         0
Testing/National Wind
Technology Center
Operations
Totals                                              0                 $13,400               $29,458                         0




                                          Page 30          GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                           Appendix II
                                           Solar and Renewable Energy Research and
                                           Development Funding, Fiscal Years 1996
                                           Through 1998




Table II.16: Geothermal Activity Funding, Fiscal Year 1996
Dollars in thousands
                                                                                            Advanced
                                                             Applied research/           development/
Budget category/                                                   exploratory            engineering                Operational
subcategory                          Basic research              development             development      tests/field validations
Geothermal Electric
  Exploration/                               $1,200                    $4,800                   $2,700                         0
  Production
  Technology
  Drilling Technology                           300                     3,500                    2,099                         0
  Hot Dry Rock Fenton Hill                           0                    700                    1,200                         0
  Experimental Site
  Energy Conversion                             300                     2,700                    2,200                         0
  Technology
  Site Development                                   0                    400                        0                    $2,000
  Activities
Geothermal Heat Pumps                           200                       300                    1,000                     3,800
Totals                                       $2,000                   $12,400                   $9,199                    $5,800



Table II.17: Geothermal Activity Funding, Fiscal Year 1997
Dollars in thousands
                                                                                            Advanced
                                                             Applied research/           development/
Budget category/                                                   exploratory            engineering                Operational
subcategory                          Basic research              development             development      tests/field validations
Geothermal Electric
  Exploration/                               $1,500                    $5,200                   $2,700                         0
  Production
  Technology
  Drilling Technology                           300                     3,818                    2,200                         0
  Hot Dry Rock Fenton Hill                           0                    400                        0                         0
  Experimental Site
  Energy Conversion                             300                     2,700                    2,400                         0
  Technology
  Site Development                                   0                      0                        0                    $2,000
  Activities
Geothermal Heat Pumps                           200                       482                    1,000                     4,800
Totals                                       $2,300                   $12,600                   $8,300                    $6,800




                                           Page 31            GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                           Appendix II
                                           Solar and Renewable Energy Research and
                                           Development Funding, Fiscal Years 1996
                                           Through 1998




Table II.18: Geothermal Activity Funding, Fiscal Year 1998
Dollars in thousands
                                                                                            Advanced
                                                             Applied research/           development/
Budget category/                                                   exploratory            engineering                Operational
subcategory                          Basic research              development             development      tests/field validations
Geothermal Electric
  Exploration/                               $1,800                    $6,200                   $3,200                         0
  Production
  Technology
  Drilling Technology                           300                     5,000                    3,018                         0
  Hot Dry Rock Fenton Hill                           0                      0                        0                         0
  Experimental Site
  Energy Conversion                             300                     4,000                    2,700                         0
  Technology
  Site Development                                   0                      0                        0                         0
  Activities
Geothermal Heat Pumps                           200                       282                      500                    $2,500
Totals                                       $2,600                   $15,482                   $9,418                    $2,500



Table II.19: Hydrogen Activity Funding, Fiscal Year 1996
Dollars in thousands
                                                                                            Advanced
                                                             Applied research/           development/
Budget category/                                                   exploratory            engineering                Operational
subcategory                          Basic research              development             development      tests/field validations
Research and Development
  Production                                         0                 $2,587                   $1,907                         0
  Storage                                            0                  1,333                      760                         0
  Utilization                                        0                    895                    1,079                         0
Systems Analysis                                     0                      0                    3,409                         0
Technology Validation                                0                      0                        0                    $2,361
Totals                                               0                 $4,815                   $7,155                    $2,361




                                           Page 32            GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                           Appendix II
                                           Solar and Renewable Energy Research and
                                           Development Funding, Fiscal Years 1996
                                           Through 1998




Table II.20: Hydrogen Activity Funding, Fiscal Year 1997
Dollars in thousands
                                                                                            Advanced
                                                             Applied research/           development/
Budget category/                                                   exploratory            engineering                Operational
subcategory                          Basic research              development             development      tests/field validations
Research and Development
  Production                                         0                 $3,713                   $1,411                         0
  Storage                                            0                  1,557                      485                         0
  Utilization                                        0                    688                    1,814                         0
Systems Analysis                                     0                      0                    2,404                         0
Technology Validation                                0                      0                        0                    $2,928
Totals                                               0                 $5,958                   $6,114                    $2,928



Table II.21: Hydrogen Activity Funding, Fiscal Year 1998
Dollars in thousands
                                                                                            Advanced
                                                             Applied research/           development/
Budget category/                                                   exploratory            engineering                Operational
subcategory                          Basic research              development             development      tests/field validations
Research and Development
  Production                                         0                 $3,712                   $1,411                         0
  Storage                                            0                  1,558                      485                         0
  Utilization                                        0                    688                    1,814                         0
Systems Analysis                                     0                      0                    2,404                         0
Technology Validation                                0                      0                        0                    $2,928
Totals                                               0                 $5,958                   $6,114                    $2,928



Table II.22: Hydropower Activity Funding, Fiscal Year 1996
Dollars in thousands
                                                                                            Advanced
                                                             Applied research/           development/
Budget category/                                                   exploratory            engineering                Operational
subcategory                          Basic research              development             development      tests/field validations
Hydropower Development                               0                 $1,483                        0                         0
Totals                                               0                 $1,483                        0                         0




                                           Page 33            GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                           Appendix II
                                           Solar and Renewable Energy Research and
                                           Development Funding, Fiscal Years 1996
                                           Through 1998




Table II.23: Hydropower Activity Funding, Fiscal Year 1997
Dollars in thousands
                                                                                            Advanced
                                                             Applied research/           development/
Budget category/                                                   exploratory            engineering                Operational
subcategory                         Basic research               development             development      tests/field validations
Hydropower development                               0                 $1,000                        0                         0
Totals                                               0                 $1,000                        0                         0



Table II.24: Hydropower Activity Funding, Fiscal Year 1998
Dollars in thousands
                                                                                            Advanced
                                                             Applied research/           development/
Budget category/                                                   exploratory            engineering                Operational
subcategory                         Basic research               development             development      tests/field validations
Hydropower Development                               0                 $1,000                        0                         0
Totals                                               0                 $1,000                        0                         0



Table II.25: Electric Energy Systems and Storage Activity Funding, Fiscal Year 1996
Dollars in thousands
                                                                                            Advanced
                                                             Applied research/           development/
Budget category/                                                   exploratory            engineering                Operational
subcategory                         Basic research               development             development      tests/field validations
High-Temperature Superconductivity Research & Development
  Superconductivity                                  0                 $8,000                        0                         0
  Partnership Initiative
  2nd Generation Wire                        $4,000                         0                        0                         0
  Initiative
  Strategic Research                          8,000                     2,280                        0                         0
Energy Storage Research & Development
  Integration                                        0                    312                     $220                     $225
  Components                                     65                       290                      365                         0
  Analysis                                           0                    500                        0                         0
Electric & Magnetic Fields                           0                  9,487                        0                         0
Research & Development
Totals                                      $12,065                   $20,869                     $585                     $225




                                           Page 34            GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                           Appendix II
                                           Solar and Renewable Energy Research and
                                           Development Funding, Fiscal Years 1996
                                           Through 1998




Table II.26: Electric Energy Systems and Storage Activity Funding, Fiscal Year 1997
Dollars in thousands
                                                                                                Advanced
                                                            Applied research/                development/
Budget category/                                                  exploratory                 engineering                   Operational
subcategory                         Basic research              development                  development         tests/field validations
High-Temperature Superconductivity Research & Development
  Superconductivity                                  0                   $9,500                            0                          0
  Partnership Initiative
  2nd Generation Wire                        $5,000                            0                           0                          0
  Initiative
  Strategic Research                          4,000                       1,250                            0                          0
Energy Storage Research & Development
  Integration                                        0                      680                        $385                       $385
  Components                                         0                      570                          430                          0
  Analysis                                           0                    1,550                            0                          0
Electric & Magnetic Fields                           0                    8,000                            0                          0
Research & Development
Totals                                       $9,000                     $21,550                        $815                       $385



Table II.27: Electric Energy Systems and Storage Activity Funding, Fiscal Year 1998
Dollars in thousands
                                                                                                Advanced
                                                            Applied research/                development/
Budget category/                                                  exploratory                 engineering                   Operational
subcategory                         Basic research              development                  development         tests/field validations
High-Temperature Superconductivity Research & Development
  Superconductivity                                  0                  $12,500                      $2,000                           0
  Partnership Initiative
  2nd Generation Wire                        $8,000                            0                           0                          0
  Initiative
  Strategic Research                          7,500                       2,500                            0                          0
Energy Storage Research & Development
  Integration                                        0                    1,020                          520                      $520
  Components                                    120                         710                          610                          0
  Analysis                                           0                      500                            0                          0
Electric & Magnetic Fields                           0                    8,000                            0                          0
Research & Development
Totals                                      $15,620                     $25,230                      $3,130                       $520

                                           Note: The tables in this appendix were developed by GAO from data provided by DOE.




                                           Page 35            GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix III

DOE’s Description of Non-R&D Solar and
Renewable Energy Programs

               Non-R&D programs pay for federal salaries and benefits, federal travel, the
               working capital fund for administrative services, and other related
               expenses.

               National Renewable Energy Laboratory (NREL): facility maintenance and
               the third and last phase of construction to modify the Field Test
               Laboratory Building.

               Renewable Energy Production Incentive (REPI): authorized by section 1212
               of the Energy Policy Act of 1992 to provide incentive payments, subject to
               the availability of appropriations, for electricity produced by new
               renewable energy facilities that are owned by public power entities. The
               incentive is intended to provide comparability with tax incentives that are
               available to private sector entities.

               Solar International: Committee on Renewable Energy Commerce and
               Trade (CORECT) is authorized by the Energy Policy and Cooperation Act, as
               amended by the Energy Policy Act of 1992, to reduce the barriers to the
               export of U.S. renewable energy technologies.

               The Americas’ 21st Century Program implements CORECT export strategies
               in Latin America and the Asia-Pacific regions to facilitate the use and
               incorporation of U.S. renewable energy technologies in grid and off-grid
               applications.

               The U.S. Initiative on Joint Implementation supports voluntary projects
               between two or more countries, leading to the implementation of projects
               that reduce, avoid, or sequester greenhouse gas emissions.

               Solar Tech Transfer: the Energy Efficiency and Renewable Energy
               Clearinghouse (EREC) and the Energy Efficiency and Renewable Energy
               Network (EREN) disseminate information to the general public and the
               business community through a toll free telephone service and the Internet.

               Climate Challenge: facilitates voluntary actions by electric utilities to
               reduce, avoid, or sequester greenhouse gas emissions.




               Page 36         GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix IV

Typical Cost-Share Partnerships for the
Solar and Renewable Energy Program,
Fiscal Years 1996 and 1997

Table IV.1: Solar Buildings Technology Program, Fiscal Year 1996
Amounts in percents
                                                                          Primary
Budget category/              Laboratory inhouse/             Cost-share: cost-share
subcategory                           outsourced             DOE/partners type            Typical partners (company names)
Quality Assurance                            0/100                   65/35 Cash           Solar Rating & Certification Corp.
Technology Deployment                        50/50                   70/30 In-kind        Sacramento Municipal Utility District
Technology Development                       60/40                   80/20 In-kind        National Renewable Energy
                                                                                          Laboratory,
                                                                                          University of Wisconsin



Table IV.2: Solar Buildings Technology Program, Fiscal Year 1997
Amounts in percents
                                                                          Primary
Budget category/              Laboratory inhouse/             Cost-share: cost-share
subcategory                           outsourced             DOE/partners type            Typical partners (company names)
Quality Assurance                            45/55                   85/15 Cash           Solar Rating & Certification Corp.
Technology Deployment                        25/75                   60/40 In-kind        National Association of
                                                                                          Homebuilders Research Center
Technology Development                       55/45                   80/20 In-kind        Energy Laboratory, Inc.




                                          Page 37          GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                            Appendix IV
                                            Typical Cost-Share Partnerships for the
                                            Solar and Renewable Energy Program,
                                            Fiscal Years 1996 and 1997




Table IV.3: Photovoltaic Energy Systems Program, Fiscal Year 1996
Amounts in percents
                                                                                 Primary
Budget category/                 Laboratory inhouse/                 Cost-share: cost-share
subcategory                              outsourced                 DOE/partners type           Typical partners (company names)
Fundamental Research
                                                                                      a
  Measurement and                               100/0                         100/0             National Renewable Energy
  Characterization                                                                              Laboratory
                                                                                      a
  Basic Research                                60/40                         100/0             University of Utah
  University Programs
Advanced Materials and Devices
  Thin Film Partnerships                        36/64                         70/30 Cash        Siemens Solar Industries

                                                                                      a
  Crystalline Silicon/High                      63/37                         100/0             Research Triangle Institute
  Efficiency Devices
Collector Research and Systems Development
  Manufacturing R&D                              8/92                         57/43 Cash        ASE Americas
  (PVMaT)

  System Engineering and                        68/32                         87/13 Cash        Southwest Technology Development
  Reliability                                                                                   Institute

  PV Integrated Building                        0/100                         50/50 Cash        Energy Conversion Devices, Inc.
  Opportunities (PV:
  BONUS)
  Climate Change Action                         0/100                         50/50 Cash        Utility Photovoltaic Group
  Plan (PV-COMPACT)
                                            a
                                             This activity was not cost-shared.




                                            Page 38              GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                          Appendix IV
                                          Typical Cost-Share Partnerships for the
                                          Solar and Renewable Energy Program,
                                          Fiscal Years 1996 and 1997




Table IV.4: Photovoltaic Energy Systems Program, Fiscal Year 1997
Amounts in percents
                                                                                 Primary
Budget category/               Laboratory inhouse/                   Cost-share: cost-share
subcategory                            outsourced                   DOE/partners type           Typical partners (company names)
Fundamental Research
                                                                                      a
  Measurement and                               100/0                         100/0             National Renewable Energy
  Characterization                                                                              Laboratory
                                                                                      a
  Basic Research                                60/40                         100/0             Johns Hopkins University
  University Programs
Advanced Materials & Devices
  Thin Film Partnerships                        35/65                         70/30 Cash        Solarex Corporation
                                                                                      a
  Crystalline Silicon/High                      60/40                         100/0             California Institute of Technology
  Efficiency Devices
Collector Research and Systems Development
  Manufacturing R&D                              7/93                         57/43 Cash        AstroPower, Inc.
  (PVMaT)
  System Engineering and                        68/32                         90/10 Cash        New Mexico State University
  Reliability
  PV Integrated Building                        0/100                         50/50 Cash        Solar Design Associates
  Opportunities (PV:
  BONUS)
  Climate Change Action                         0/100                         30/70 Cash        Interstate Renewable Energy Council
  Plan (PV-COMPACT)

                                          a
                                             This activity was not cost-shared.




                                          Page 39                GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                         Appendix IV
                                         Typical Cost-Share Partnerships for the
                                         Solar and Renewable Energy Program,
                                         Fiscal Years 1996 and 1997




Table IV.5: Solar Thermal Energy Systems Program, Fiscal Year 1996
Amounts in percents
                                                                              Primary
Budget category/              Laboratory inhouse/                 Cost-share: cost-share
subcategory                           outsourced                 DOE/partners type           Typical partners (company names)
Thermal Systems Research/                    68/32                           97/3 In-kind    3M, ELI
Thermal Systems Research
Power Applications                            9/91                         50/50 Cash        SAIC, Stirling Thermal Motors,
Research/ Dish/Engine                                                                        Arizona Public Service
Development
Power Applications                           18/82                         50/50 Cash        Southern California Edison,
Research/ Power Tower                                                                        Bechtel, Rockwell
Development
Power Applications                           12/88                         20/80 Cash        SAIC, Rockwell, McDonnell Douglas
Research/ SolMaT Initiative
Power Applications                           71/29                         40/60 Cash        Kramer Junction, Harper Lake,
Research/ Systems and                                                                        Daggett Leasing
Industrial Assistance



Table IV.6: Solar Thermal Energy Systems Program, Fiscal Year 1997
Amounts in percents
                                                                              Primary
Budget category/              Laboratory inhouse/                 Cost-share: cost-share
subcategory                           outsourced                 DOE/partners type           Typical partners (company names)
                                                                                    a
Thermal Systems Research/                    63/37                           97/3            3M, ELI
Thermal Systems Research
Power Applications                           11/89                         50/50 Cash        SAIC, Stirling Thermal Motors,
Research/Dish/Engine                                                                         Arizona Public Service
Development
Power Applications                           30/70                         50/50 Cash        Southern California Edison,
Research/ Power Tower                                                                        Bechtel, Rockwell
Development
Power Applications                           17/83                         25/75 Cash        SAIC, Rockwell, McDonnell Douglas
Research/ SolMaT Initiative
Power Applications                           61/39                         40/60 Cash        Kramer Junction, Harper Lake,
Research/ Systems and                                                                        Daggett Leasing
Industrial Assistance
                                         a
                                          DOE did not identify the type of cost-share.




                                         Page 40              GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                         Appendix IV
                                         Typical Cost-Share Partnerships for the
                                         Solar and Renewable Energy Program,
                                         Fiscal Years 1996 and 1997




Table IV.7: Biopower/Biofuels Energy Systems Program, Fiscal Year 1996
Amounts in percents
                                                                                 Primary
Budget category/              Laboratory inhouse/                    Cost-share: cost-share
subcategory                           outsourced                    DOE/partners type                  Typical partners (company names)
Biofuels Energy                                67/33                          76/24 In-kind            Arkenol
Systems/Ethanol Production
Biofuels Energy Systems/                       34/66                          69/31 Cash               USDA Office of Energy
Biodiesel Production
Biofuels Energy                                65/35                          67/33 In-kind            Oklahoma State University
Systems/Feedstock
Production
Biofuels Energy Systems/                         1/99                         30/70 Cash               Shirel Lumber Company
Regional Biomass Energy
Program
                                                                                      a                a
Biofuels Energy Systems/                       100/0         Closeout of program
Thermochemical Conversion
                                                                                      a                a
Thermochemical Conversion                      89/11                          100/0
Systems Development                              7/93                         56/44 Cash               Westinghouse, Hawaii Cane &Sugar,
                                                                                                       Niagra Mohawk, Minnesota Valley
                                                                                                       Alfalfa Producers
                                                                                    b b                b
Biomass for Cogeneration               OIT project
                                                                                    b b                b
Municipal Solid Waste                  OIT project
                                         a
                                          This activity was not cost-shared.
                                         b
                                             Office of Industrial Technologies project. DOE did not provide any cost-share information.




                                         Page 41                 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                         Appendix IV
                                         Typical Cost-Share Partnerships for the
                                         Solar and Renewable Energy Program,
                                         Fiscal Years 1996 and 1997




Table IV.8: Biopower/Biofuels Energy Systems Program, Fiscal Year 1997
Amounts in percents
                                                                                 Primary
Budget category/              Laboratory inhouse/                    Cost-share: cost-share
subcategory                           outsourced                    DOE/partners type                 Typical partners (company names)
Biofuels Energy Systems/                       60/40                          24/76 In-kind           BC International
Ethanol Production
Biofuels Energy Systems/                       14/86                          25/75 In-kind           Columbus Food, National Biodiesel
Biodiesel Production                                                                                  Board, American Sightseeing
                                                                                                      Company, Fats & Proteins Research
                                                                                                      Institute
Biofuels Energy Systems/                       50/50                          50/50 In-kind           U.S. Forest Service, Northcentral
Feedstock Production                                                                                  Forest Experiment Station
Biofuels Energy Systems/                         1/99                         20/80 In-kind           Applied Agricultural Technologies
Regional Biomass Energy
Program
                                                                                      a               a
Thermochemical Conversion                      100/0                          100/0
Systems Development                              9/91                         45/55 Cash              Westinghouse, Niagra Mohawk,
                                                                                                      Minnesota Valley Alfalfa Producers,
                                                                                                      Iowa Electric
                                                                                    b b               b
Biomass for Cogeneration              OIT program
                                                                                    c c               c
Feedstock Production                 OTT program
                                                                                    c c               c
Regional Program                     OTT program
                                         a
                                          This activity was not cost-shared.
                                         b
                                             Office of Industrial Technologies. DOE did not provide any cost-share information.
                                         c
                                          Office of Transportation Technologies. DOE did not provide any cost-share information.




                                         Page 42                 GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                         Appendix IV
                                         Typical Cost-Share Partnerships for the
                                         Solar and Renewable Energy Program,
                                         Fiscal Years 1996 and 1997




Table IV.9: Wind Energy Systems Program, Fiscal Year 1996
Amounts in percents
                                                                               Primary
Budget category/              Laboratory inhouse/                  Cost-share: cost-share
subcategory                           outsourced                  DOE/partners type               Typical partners (company names)
                                                                                   a
Applied Research/                              74/26                       100/0                  AWS Scientific, Embedded Systems,
Core Research                                                                                     Airfoils Inc.
                                                                                   a
Applied Research/                              43/57                       100/0                  North Carolina A&T, Georgia Tech
University Research                                                                               University, University of Illinois
                                                                                   a
Applied Research/                               93/7                       100/0                  University of Massachusetts
Wind Hybrid Systems
                                                                                   a
Applied Research/                              30/70                       100/0                  University of California, WEST, Inc.
Avian Research
Turbine Research/ Near                         0/100                       77/23 Cash             CannonWind Eagle, Zond, R Lynette
Term Research and Testing
Turbine Research/ Next                         0/100                       70/30 Cash             Wind Turbine Co., Zond
Generation Turbine Project
Turbine Research/                              0/100                       79/21 Cash             Windlite, CannonWind Eagle, World
Small Wind Turbine Project                                                                        Power Tech, Bergey Windpower
                                                                                   a
Turbine Research/                               97/3                       100/0                  Ohio State
Supporting Research,
Testing, and Management
                                                                                   a
Cooperative Research and                       36/64                       100/0                  American Wind Energy Association
Testing/Industry Support
                                                                                   a              a
Cooperative Research and                       100/0                       100/0
Testing/Certification and
Standards
                                                                                   a
Cooperative Research and                       57/43                       100/0                  Princeton Economic Research
Testing/Utility Analysis                                                                          Incorporated, Electrotek, AWS
                                                                                                  Scientific (U*WRAP)b
                                                                                   a
Cooperative Research and                       67/33                       100/0                  Mountain Valley Energy
Testing/National Wind
Technology Center
Operations
                                         a
                                         This activity was not cost-shared.
                                         b
                                             Utility Wind Resource Assessment Program (U*WRAP).




                                         Page 43               GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                         Appendix IV
                                         Typical Cost-Share Partnerships for the
                                         Solar and Renewable Energy Program,
                                         Fiscal Years 1996 and 1997




Table IV.10: Wind Energy Systems Program, Fiscal Year 1997
Amounts in percents
                                                                             Primary
Budget category/              Laboratory inhouse/                Cost-share: cost-share
subcategory                           outsourced                DOE/partners type                 Typical partners (company names)
                                                                                  a
Applied Research/                            53/47                        100/0                   AWS Scientific, NASA, Ames, Mech
Core Research                                                                                     Dynamics, Dynamic Designs
                                                                                  a
Applied Research/                            24/76                        100/0                   North Carolina A&T
University Research
                                                                                  a
Applied Research/                            63/37                        100/0                   University of Massachusetts
Wind Hybrid Systems
                                                                                  a
Applied Research/                            58/42                        100/0                   Boise State University
Avian Research
                                                   b                            b b               b
Turbine Research/ Near
Term Research and Testing
                                                   b                            b b               b
Turbine Research/ Next
Generation Turbine Project
                                                   b                            b b               b
Turbine Research/
Small Wind Turbine Project
                                                                                  a
Turbine Research/                            85/15                        100/0                   McNiff Light Industry
Supporting Research,
Testing, and Management
                                                                                  a
Cooperative Research and                     63/37                        100/0                   American Wind Energy Association
Testing/Industry Support
                                                                                  a
Cooperative Research and                     71/29                        100/0                   Underwriters Laboratory, American
Testing/Certification and                                                                         Wind Energy Association
Standards
                                                                                  a
Cooperative Research and                     37/63                        100/0                   Princeton Economic Research
Testing/Utility Analysis                                                                          Incorporated, Utility Wind Interest
                                                                                                  Group
                                                                                  a
Cooperative Research and                     85/15                        100/0                   Mountain Valley Energy
Testing/National Wind
Technology Center
Operations
                                         a
                                         This activity was not cost-shared.
                                         b
                                          DOE did not provide data for turbine research subcontracts funded from uncosted obligations
                                         balances in fiscal year 1997.




                                         Page 44             GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                         Appendix IV
                                         Typical Cost-Share Partnerships for the
                                         Solar and Renewable Energy Program,
                                         Fiscal Years 1996 and 1997




Table IV.11: Geothermal Program, Fiscal Year 1996
Amounts in percents
                                                                              Primary
Budget category/              Laboratory inhouse/                 Cost-share: cost-share
subcategory                           outsourced                 DOE/partners type           Typical partners (company names)
Geothermal Electric
  Exploration Production                     80/20                         70/30 Both        Oxbow, CalEnergy, Caithness, Far
  Technology                                                                                 West, Unocal
  Drilling Technology                        75/25                         75/25 Both        Halliburtton, AZ Grant, Baker
                                                                                             Hughes, INTEQ, Security Diamond
                                                                                             Products, Hughes Christensen,
                                                                                             Unocal, Tonto, Schlumberger,
                                                                                             International Logging
                                                                                   a
  Hot Dry Rock Fenton Hill                   35/65                         100/0             Project in closeout mode
  Experimental Site
  Energy Conversion                          80/20                         85/15 Both        CalEnergy, Pacific Gas & Electric,
  Technology                                                                                 Unocal, Douglas Energy
  Site Development                           0/100                         16/84 Cash        Unocal, Calpine Corp., Northern
  Activities                                                                                 California
                                                                                             Power Agency, Pacific Gas & Electric
Geothermal Heat Pumps                        15/85                         33/67 Cash        Geothermal Heat Pump
                                                                                             Consortium— over 100 member
                                                                                             companies, consisting of utilities and
                                                                                             service and equipment companies,
                                                                                             Oklahoma State University
                                         a
                                          This activity was not cost-shared.




                                         Page 45              GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                         Appendix IV
                                         Typical Cost-Share Partnerships for the
                                         Solar and Renewable Energy Program,
                                         Fiscal Years 1996 and 1997




Table IV.12: Geothermal Program, Fiscal Year 1997
Amounts in percents
                                                                              Primary
Budget category/              Laboratory inhouse/                 Cost-share: cost-share
subcategory                           outsourced                 DOE/partners type           Typical partners (company names)
Geothermal Electric
  Exploration Production                     80/20                       75/25 Both          Oxbow, CalEnergy, Caithness, Far
  Technology                                                                                 West, Unocal
  Drilling Technology                        70/30                       70/30 Both          Halliburtton, AZ Grant, Baker
                                                                                             Hughes INTEQ, Security Diamond
                                                                                             Products, Hughes Christensen,
                                                                                             Unocal, Tonto, Schlumberger,
                                                                                             International Logging
                                                                                 a           a
  Hot Dry Rock Fenton Hill                   100/0                       100/0
  Experimental Site
  Energy Conversion                          80/20                       85/15 Both          CalEnergy, Pacific Gas & Electric,
  Technology                                                                                 Unocal, Douglas Energy
  Site Development                           0/100                       16/84 Cash          Unocal, Calpine Corp., Northern
  Activities                                                                                 California
                                                                                             Power Agency, Pacific Gas & Electric
Geothermal Heat Pumps                        10/90                       33/67 Cash          Geothermal Heat Pump
                                                                                             Consortium— over 100 member
                                                                                             companies, consisting of utilities and
                                                                                             service and equipment companies,
                                                                                             Oklahoma State University
                                         a
                                          Project is being closed out.




                                         Page 46              GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                         Appendix IV
                                         Typical Cost-Share Partnerships for the
                                         Solar and Renewable Energy Program,
                                         Fiscal Years 1996 and 1997




Table IV.13: Hydrogen Program, Fiscal Year 1996
Amounts in percents
                                                                           Primary
Budget category/              Laboratory inhouse/              Cost-share: cost-share
subcategory                           outsourced              DOE/partners type            Typical partners (company names)
Research and Development
  Production                                66/34                      65/35 Cash          Texaco, Air Products, SRT Inc.,
                                                                                           Praxair
  Storage                                68.5/31.5                     65/35 In-kind and   A.D. Little, Energy Conversion
                                                                             cash          Devices, Inc., Materials &
                                                                                           Electrochemical Research Corp.,
                                                                                           Praxair
  Utilization                               61/39                      50/50 In-kind       International Fuel Cells Corp., DCH
                                                                                           Technology, Inc.
Systems Analysis                         32.6/67.4                     75/25 Cash and      National Hydrogen Association,
                                                                             in-kind       Sentech, Hydrogen Fuel Cell Letter,
                                                                                           Directed Technologies, 122 West
                                                                                           Longitude
Technology Validation                    38.5/61.5                     50/50 Cash          City of Palm Desert, Dupont,
                                                                                           Bluebird



Table IV.14: Hydrogen Program, Fiscal Year 1997
Amounts in percents
                                                                           Primary
Budget category/              Laboratory inhouse/              Cost-share: cost-share
subcategory                           outsourced              DOE/partners type            Typical partners (company names)
Research and Development
  Production                                55/45                      65/35 In-kind       Texaco, Air Products, SRT Group
                                                                                           Inc., Praxair
  Storage                                   53/47                      65/35 In-kind and   Energy Conversion Devices, Inc.,
                                                                             cash          A.D. Little, Materials &
                                                                                           Electrochemical Research Corp.,
                                                                                           Praxair
  Utilization                               47/53                       95/5 In-kind       International Fuel Cell Corp., DCH
                                                                                           Technology, Inc.
Systems Analysis                            30/70                      75/25 In-kind       National Hydrogen Association,
                                                                                           Sentech, Hydrogen Fuel Cell Letter,
                                                                                           Directed Technologies
Technology Validation                       25/75                      50/50 Cash and      Teledyne Brown, International Fuel
                                                                             in-kind       Cell Corp., MC Power, Energy
                                                                                           Conversion Devices, Inc.




                                         Page 47           GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                          Appendix IV
                                          Typical Cost-Share Partnerships for the
                                          Solar and Renewable Energy Program,
                                          Fiscal Years 1996 and 1997




Table IV.15: Hydropower Program, Fiscal Year 1996
Amounts in percents
                                                                               Primary
Budget category/              Laboratory inhouse/                  Cost-share: cost-share
subcategory                           outsourced                  DOE/partners type                  Typical partners (company names)
Hydropower Development                        67/33                         38/62 Cash               Voith Hydro, Inc.



Table IV.16: Hydropower Program, Fiscal Year 1997
Amounts in percents
                                                                               Primary
Budget category/              Laboratory inhouse/                  Cost-share: cost-share
subcategory                           outsourced                  DOE/partners type                  Typical partners (company names)
Hydropower Development                        45/55                         70/30 Cash               Alden Research Laboratory



Table IV.17: Electric Energy Systems & Storage Program, Fiscal Year 1996
Amounts in percents
                                                                               Primary
Budget category/              Laboratory inhouse/                  Cost-share: cost-share
subcategory                           outsourced                  DOE/partners type                  Typical partners (company names)
High-Temperature Superconductivity Research & Development
  Superconductivity                           100/0                         50/50 Cash               Electric Power Research Institute,
  Partnership Initiative                                                                             Reliance, Lockheed Martin
  2nd Generation Wire                         100/0                         50/50 Cash               Midwest Superconductivity
  Initiative
  Strategic Research                          90/10                         50/50 Cash               American Superconductor,
                                                                                                     Intermagnetics General, Southwire
Energy Storage Research & Development
  Integration                                 28/72                         50/50 50 - cash and GNB Technologies
                                                                                  50 - in-kind
  Components                                  62/38                         85/15 50 - cash          JCI, ZBB
                                                                                  and
                                                                                  50 - in-kind
                                                                                    a
  Analysis                                    69/31                         100/0                    Frost & Sullivan
Electric and Magnetic                         56/44                         73/27 Cash               The member companiesc of EEI,
Fields Research &                                                         (RAPIDb                    APPA, NRECA, and NEMA
Development                                                              is 50/50)
                                          a
                                          This activity was not cost-shared.
                                          b
                                           Represents the cost-share ratio for the Research and Public Information Dissemination portion of
                                          this activity.
                                          c
                                           Edison Electric Institute (EEI), American Public Power Association (APPA), National Rural Electric
                                          Cooperative Association (NRECA), and National Electrical Manufacturers Association (NEMA).




                                          Page 48              GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                          Appendix IV
                                          Typical Cost-Share Partnerships for the
                                          Solar and Renewable Energy Program,
                                          Fiscal Years 1996 and 1997




Table IV.18: Electric Energy Systems & Storage Program, Fiscal Year 1997
Amounts in percents
                                                                               Primary
Budget category/              Laboratory inhouse/                  Cost-share: cost-share
subcategory                           outsourced                  DOE/partners type                  Typical partners (company names)
High-temperature Superconductivity Research & Development
  Superconductivity                           100/0                         50/50 Cash               Electric Power Research Institute,
  Partnership Initiative                                                                             Reliance, Lockheed Martin
  2nd Generation Wire                         100/0                         50/50 Cash               3M, Midwest Superconductivity
  Initiative
  Strategic Research                           95/5                         50/50 Cash               American Superconductor,
                                                                                                     Intermagnetics General, Waukeshau
                                                                                                     Electric
Energy Storage Research & Development
  Integration                                 12/88                         50/50 50 - cash and AC Battery Corp., Virginia Power
                                                                                  50 - in kind
  Components                                  29/71                         85/15 50 - cash          JCI, ZBB
                                                                                  and
                                                                                  50 - in-kind
                                                                                    a
  Analysis                                    26/74                         100/0                    Energetics
Electric & Magnetic Fields                    48/52                         67/33 Cash               The member companiesc of EEI,
Research & Development                                                  (RAPIDb                      APPA, NRECA, and NEMA
                                                                         is 50/50)

                                          Note: The tables in this appendix were developed by GAO from data provided by DOE.


                                          a
                                          This activity was not cost-shared.
                                          b
                                           Represents the cost-share ratio for the Research and Public Information Dissemination portion of
                                          this activity.
                                          c
                                           Edison Electric Institute (EEI), American Public Power Association (APPA), National Rural Electric
                                          Cooperative Association (NRECA), and National Electrical Manufacturers Association (NEMA).




                                          Page 49              GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix V

Solar Renewable Energy Funding to Trade
Associations


Table V.1: Funding to Trade Associations, Fiscal Years 1996 and 1997
Dollars in thousands
Trade association                  1996              1997 Subprogram                                     Purpose of funding
Solar Energy Industries            $844a             $856a Solar Thermal and Photovoltaic                Sponsor conferences, print
Association                                                Energy Systems                                publications, promote use of
                                                                                                         photovoltaics, conduct market
                                                                                                         analyses, and coordinate industry
                                                                                                         activities.
Association of State Dam              0                 39 Hydropower                                    Assist DOE in conduct of state
Safety Officials                                                                                         hydropower resource assessments
                                                                                                         and coordinate with state agencies.
National Hydrogen                   339                247 Hydrogen                                      Evaluate new technology and
Association                                                                                              sponsor conferences on new
                                                                                                         processes and technology.
National Bioenergy                  238                275 Biopower/Biofuels Energy Systemsb             Promote the deployment of biomass
Industries Association                                                                                   power technology.
United Bioenergy                    175                  0 Biopower/Biofuels Energy Systemsb             Encourage the development of
Commercialization                                                                                        biomass resources.
Association
Biomass Energy Alliance              50                 50 Biopower/                                     Inform the public about biomass
                                                           Biofuels Energy Systemsb                      energy and disseminate information.
Geothermal Heat Pump              3,200              4,200 Geothermal                                    Provide deployment materials,
Consortium                                                                                               limited R&D, data collection, and
                                                                                                         pilot demonstration grants for utilities.
Geothermal Energy                   270                350 Geothermal                                    Foster communication, education,
Association                                                                                              and training among companies of
                                                                                                         the U.S. geothermal industry and
                                                                                                         facilitate exports.
Geothermal Resources                147                155 Geothermal                                    Develop and convene special
Council                                                                                                  meetings, workshops, conferences,
                                                                                                         and courses pertaining to
                                                                                                         geothermal exploration,
                                                                                                         development, and utilization.
Energy Storage Association            0                 40 Electric Energy Storage Systems               Prepare white papers on the use of
                                                                                                         energy storage in renewable
                                                                                                         systems.
American Wind Energy                656                661 Wind Energy Systems                           Disseminate information to the wind
Association                                                                                              industry and facilitate export of wind
                                                                                                         products and services.
Total                            $5,919            $6,873
                                           a
                                            The fiscal year 1996 amount is comprised of $256,000 from Solar Thermal and $588,000 from
                                           Photovoltaics; the fiscal year 1997 amount is comprised of $256,000 from Solar Thermal and
                                           $600,000 from Photovoltaics.
                                           b
                                               The services were performed for DOE’s Biomass activity.



                                           Source: Developed by GAO from DOE’s data.




                                           Page 50                GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Appendix VI

Competition for Solar and Renewable
Energy Program Procurements, Fiscal Years
1996 and 1997

Table VI.1: Solar Buildings Technology Program, Fiscal Year 1996
Amounts in percents
Budget category/              Laboratory inhouse/ Primary procurement                  Competitive/ Typical partners (company
subcategorya                         outsourcedb mechanism(s)                        noncompetitive names)
Quality Assurancec                            0/100 Grant                                         50/50 Solar Rating & Certification Corp.
Technology Deploymentd                        50/50 Grant                                         50/50 Sacramento Municipal Utility
                                                                                                        District
Technology Development                        60/40 Grant                                         100/0 National Renewable Energy
                                                                                                        Laboratory, University of
                                                                                                        Wisconsin
                                          a
                                           Information in this table is typical of work performed and may be based on a typical project for
                                          each category. Outsourced includes interagency fund transfers, procurements through DOE
                                          entities, and laboratory subcontracts. Contracts with entities that operate the national laboratories
                                          are competitive and are shown in the competitive/noncompetitive column. Fiscal year 1996 data
                                          represent actual program implementation; fiscal year 1997 data represent a mix of implemented
                                          and planned, since some work is in the procurement process.
                                          b
                                           Refers to funding agreements through contracts, subcontracts, grants, cooperative agreements,
                                          and CRADAs.
                                          c
                                           Quality Assurance: Rationale for major noncompetitive procurement: The Solar Rating &
                                          Certification Corp. is a nonprofit organization established by the solar industry to develop
                                          standards by which solar water and solar pool heating systems can be rated. DOE has supported
                                          the development of tests by which the systems can be certified as meeting minimum standards of
                                          durability, reliability, safety, and operation. One task was the development of a computer model
                                          that simulated the testing of a solar water heating system; which involves determining the thermal
                                          efficiency, operating characteristics, and required electrical power to drive the system.
                                          d
                                           Technology Deployment: Rationale for major noncompetitive procurement: The Sacramento
                                          Municipal Utility District initiated a program to sell solar water systems to their customers. DOE
                                          provided funds for technical assistance and instrumentation for a small number of those systems.




                                          Page 51              GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                          Appendix VI
                                          Competition for Solar and Renewable
                                          Energy Program Procurements, Fiscal Years
                                          1996 and 1997




Table VI.2: Solar Buildings Technology Program, Fiscal Year 1997
Amounts in percents
Budget category/              Laboratory inhouse/ Primary procurement                  Competitive/ Typical partners (company
subcategory                           outsourced mechanism(s)                        noncompetitive names)
Quality Assurancea                            45/55 Grant                                         60/40 Solar Rating & Certification Corp.
Technology Deploymentb                        25/75 Request for proposals                         70/30 National Association of
                                                                                                        Homebuilders Research Center
Technology Developmentc                       55/45 Request for proposals,                        80/20 Energy Laboratory, Inc.
                                                    grants, and CRADAs
                                          a
                                           Quality Assurance: Rationale for major noncompetitive procurement: The Solar Rating &
                                          Certification Corp. is a nonprofit organization established by the solar industry to develop a set of
                                          standards by which solar water and solar pool heating systems can be rated. DOE is supporting
                                          a task that will develop a methodology to determine the ability of solar water and solar pool
                                          heating systems installed on roofs to withstand hurricane winds.
                                          b
                                           Technology Deployment: Rationale for major noncompetitive procurement: DOE is working with
                                          industry associations (e.g., the National Association of Homebuilders Research Center, National
                                          Spa and Pool Institute, and Solar Energy Industries Association) to hold workshops, conduct
                                          surveys, and develop materials that will educate homebuilders, pool builders, and utilities about
                                          the benefits of solar energy. This is expected to lead to cooperative projects with several builders
                                          and utilities. DOE would then provide technical information and instrumentation for selected field
                                          projects and share the costs of field validation projects.
                                          c
                                           Technology Development: Rationale for major noncompetitive procurement: DOE has
                                          cooperative research and development agreements with companies developing a new
                                          selective-absorbing coating for solar collectors and a new low-cost solar water heating system.




                                          Page 52              GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                           Appendix VI
                                           Competition for Solar and Renewable
                                           Energy Program Procurements, Fiscal Years
                                           1996 and 1997




Table VI.3: Photovoltaic Energy Systems Program, Fiscal Year 1996
Amounts in percents
Budget category/               Laboratory inhouse/ Primary procurement                Competitive/ Typical partners (company
subcategory                            outsourced mechanism(s)                     noncompetitivea names)
Fundamental Research
                                                       b
  Measurement &                                100/0                                             100/0 National Renewable Energy
  Characterization                                                                                     Laboratory
  Basic Research/                              60/40 Competitive request for                     100/0 University of Utah
  University Programs                                proposal (RFP)
Advanced Materials & Devices
  Thin Film Partnerships                       36/64 Competitive RFP                              96/4 Siemens Solar Industries
  Crystalline Silicon/High                     63/37 Competitive RFP                              94/6 Research Triangle Institute
  Efficiency Devices
Collector Research & Systems Development
  Manufacturing R&D                             8/92 Competitive RFP                             100/0 ASE Americas
  (PVMaT)
  System Engineering &                         68/32 Competitive RFP                             84/16 Southwest Technology
  Reliability                                                                                          Development Institute
  PV Integrated Building                       0/100 Competitive RFP                             100/0 Energy Conversion Devices, Inc.
  Opportunities (PV:
  BONUS)
  Climate Change Action                        0/100 Competitive RFP                             80/20 Utility Photovoltaic Group
  Plan (PV- COMPACT)
                                           a
                                            Major noncompetitive procurements typically are unique or special projects initiated through
                                           unsolicited proposals or are unique projects specified through congressional appropriations.
                                           b
                                           The procurement mechanism was not identified by DOE.




                                           Page 53              GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                           Appendix VI
                                           Competition for Solar and Renewable
                                           Energy Program Procurements, Fiscal Years
                                           1996 and 1997




Table VI.4: Photovoltaic Energy Systems Program, Fiscal Year 1997
Amounts in percents
Budget category/               Laboratory inhouse/ Primary procurement                 Competitive/ Typical partners (company
subcategory                            outsourced mechanism(s)                      noncompetitivea names)
Fundamental Research
                                                       b
  Measurement &                                100/0                                             100/0 National Renewable Energy
  Characterization                                                                                     Laboratory
  Basic Research/                              60/40 Competitive request for                     100/0 Johns Hopkins University
  University Programs                                proposal (RFP)
Advanced Materials & Devices
  Thin Film Partnerships                       35/65 Competitive RFP                               96/4 Solarex Corporation
  Crystalline Silicon/High                     60/40 Competitive RFP                               94/6 California Institute of Technology
  Efficiency Devices
Collector Research & Systems Development
  Manufacturing R&D                             7/93 Competitive RFP                             100/0 AstroPower, Inc.
  (PVMaT)
  System Engineering &                         68/32 Competitive RFP                             79/21 New Mexico State University
  Reliability
  PV Integrated Building                       0/100 Competitive RFP                             100/0 Solar Design Associates
  Opportunities (PV:
  BONUS)
  Climate Change Action                        0/100 Competitive RFP                             80/20 Interstate Renewable Energy
  Plan (PV-COMPACT)                                                                                    Council
                                           a
                                            Major noncompetitive procurements are typically the result of unsolicited proposals for highly
                                           specialized or unique work or for unique projects specified in congressional appropriations.
                                           b
                                           The procurement mechanism was not identified by DOE.




                                           Page 54              GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                         Appendix VI
                                         Competition for Solar and Renewable
                                         Energy Program Procurements, Fiscal Years
                                         1996 and 1997




Table VI.5: Solar Thermal Energy Systems Program, Fiscal Year 1996
Amounts in percents
Budget category/              Laboratory inhouse/ Primary procurement                Competitive/ Typical partners (company
subcategory                           outsourced mechanism(s)                      noncompetitive names)
Thermal Systems                             68/32 Laboratory subcontracts,                       98/2 3M, ELI
Research/Thermal Systems                          CRADAs
Research
Power Applications                            9/91 Laboratory subcontracts                      100/0 SAIC, Stirling Thermal Motors,
Research/Dish/                                                                                        Arizona Public Service
Engine Development
Power Applications                          18/82 Cooperative agreement                         18/82 Southern California Edison,
Research/Power Tower                                                                                  Bechtel, Rockwell
Developmenta
Power Applications                          12/88 Laboratory subcontracts                       100/0 SAIC, Rockwell, McDonnell
Research/SolMaT Initiative                                                                            Douglas
Power Applications                          71/29 Laboratory subcontracts                       90/10 Kramer Junction, Harper Lake,
Research/Systems &                                                                                    Daggett Leasing
Industrial Assistance
                                         a
                                          Rationale for major noncompetitive procurements: The Solar Two Project (under Power Tower
                                         Development) was initiated by a consortium of U.S. utilities to retrofit the existing 10 MWe Solar
                                         One Power Tower Pilot Plant to add molten-salt storage capability. Although noncompetitive, the
                                         consortium actively solicited membership and no interested industry participant was excluded.
                                         The consortium members had unique resources and expertise and prior experience with Solar
                                         One.




                                         Page 55              GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                         Appendix VI
                                         Competition for Solar and Renewable
                                         Energy Program Procurements, Fiscal Years
                                         1996 and 1997




Table VI.6: Solar Thermal Energy Systems Program, Fiscal Year 1997
Amounts in percents
Budget category/              Laboratory inhouse/ Primary procurement                Competitive/ Typical partners (company
subcategory                           outsourced mechanism(s)                      noncompetitive names)
Thermal Systems                             63/37 Laboratory subcontracts,                       98/2 3M, ELI
Research/Thermal Systems                          CRADAs
Research
Power Applications                          11/89 Laboratory subcontracts                       100/0 SAIC, Stirling Thermal Motors,
Research/Dish/                                                                                        Arizona Public Service
Engine Development
Power Applications                          30/70 Cooperative agreement                         30/70 Southern California Edison,
Research/Power Tower                                                                                  Bechtel, Rockwell
Developmenta
Power Applications                          17/83 Laboratory subcontracts                       100/0 SAIC, Rockwell, McDonnell
Research/SolMaT Initiative                                                                            Douglas
Power Applications                          61/39 Laboratory subcontracts,                      88/12 Kramer Junction, Harper Lake,
Research/Systems &                                CRADAs                                              Daggett Leasing
Industrial Assistance
                                         a
                                          Rationale for major noncompetitive procurements: The Solar Two Project (under Power Tower
                                         Development) was initiated by a consortium of U.S. utilities to retrofit the existing 10 MWe Solar
                                         One Power Tower Pilot Plant to add molten-salt storage capability. Although noncompetitive, the
                                         consortium actively solicited membership and no interested industry participant was excluded.
                                         The consortium members had unique resources and expertise and prior experience with Solar
                                         One.




                                         Page 56              GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                         Appendix VI
                                         Competition for Solar and Renewable
                                         Energy Program Procurements, Fiscal Years
                                         1996 and 1997




Table VI.7: Biopower/Biofuels Energy Systems Program, Fiscal Year 1996
Amounts in percents
Budget category/              Laboratory inhouse/ Primary procurement                  Competitive/ Typical partners (company
subcategory                           outsourced mechanism(s)                        noncompetitive names)
Biofuels Energy                                67/33 Contract, cooperative                       70/30 Arkenol
Systems/Ethanol Production                           agreements
Biofuels Energy                                34/66 Contracts, cooperative                      34/66 USDA Office of Energy
Systems/Biodiesel                                    agreements
Productiona
Biofuels Energy                                65/35 Contracts/                                  85/15 Oklahoma State University
Systems/Feedstock                                    laboratory subcontracts
Production
Biofuels Energy                                  1/99 Interagency agreements,                    34/66 Shirel Lumber Company
Systems/Regional Biomass                              grants, contracts
Energy Programb
Biofuels Energy Systems/                       100/0 Contract                                    100/0 Closeout of program
Thermochemical Conversion
                                                                                                         d
Thermochemical Conversion                      89/11 Contract                                    100/0
Systems Developmentc                             7/93 Contract                                   51/49 Westinghouse, Hawaii Cane &
                                                                                                       Sugar, Niagra Mohawk,
                                                                                                       Minnesota Valley Alfalfa Producers
                                                       d                                                d d
Biomass for Cogeneration               OIT project
                                                       d                                                d d
Municipal Solid Waste                  OIT project
                                         a
                                          Major noncompetitive procurements in the Biofuels/Biodiesel subcategory were small projects
                                         involving companies with unique capabilities together with cost-share opportunities.
                                         b
                                          Major noncompetitive procurements for Regional Program, highly leveraged (cost-share)
                                         projects, addressing regional, state and local interests were identified and supported with state
                                         energy offices and the private sector involvement.
                                         c
                                          Major noncompetitive procurements for Hawaii Direct Gasifier and Vermont Indirect Gasifier
                                         projects were one of a kind opportunities to demonstrate technologies and were awarded
                                         noncompetitively.
                                         d
                                             Office of Industrial Technologies project. DOE did not provide any procurement information.




                                         Page 57                GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                         Appendix VI
                                         Competition for Solar and Renewable
                                         Energy Program Procurements, Fiscal Years
                                         1996 and 1997




Table VI.8: Biopower/Biofuels Energy Systems Program, Fiscal Year 1997
Amounts in percents
Budget category/              Laboratory inhouse/ Primary procurement                  Competitive/ Typical partners (company
subcategory                           outsourced mechanism(s)                        noncompetitive names)
Biofuels Energy                                60/40 Contracts, cooperative                      65/35 BC International
Systems/Ethanol Production                           agreements
Biofuels Energy                                14/86 Contract, laboratory                        40/60 Columbus Food, National
Systems/Biodiesel                                    subcontracts                                      Biodiesel Board, American
Productiona                                                                                            Sightseeing Company, Fats &
                                                                                                       Proteins Research Institute
Biofuels Energy                                50/50 Contract, laboratory                        85/15 U.S. Forest Service, Northcentral
Systems/Feedstock                                    subcontracts                                      Forest Experiment Station
Production
Biofuels Energy                                  1/99 Interagency agreements,                    35/65 Applied Agricultural Technologies
Systems/Regional Biomass                              contracts, cooperative
Energy Programb                                       agreements, grants
                                                                                                         c
Thermochemical Conversion                      100/0 Management &                                100/0
                                                     operating contract
Systems Developmentd                             9/91 Contract                                   50/50 Westinghouse, Niagra Mohawk,
                                                                                                       Minnesota Valley Alfalfa
                                                                                                       Producers, Iowa Electric
                                                       e                                               e e
Biomass for Cogeneration              OIT program
                                                       f                                               f f
Feedstock Production                 OTT program
                                                       f                                               f f
Regional Program                     OTT program
                                         a
                                          Major noncompetitive procurements for the Biodiesel subcategory supported projects in which
                                         the proposers had unique capabilities and there was cost-sharing needed by the program.
                                         b
                                          Major noncompetitive procurements for the Regional Biomass Energy Program focus on
                                         regional, state, and local opportunities, identified and co-funded with state and local agencies
                                         and the private sector.
                                         c
                                             The work was performed inhouse.
                                         d
                                          Major noncompetitive procurements for Hawaii Direct Gasifier and Vermont Indirect Gasifier
                                         projects were one of a kind opportunities to demonstrate technologies and were awarded
                                         noncompetitively.
                                         e
                                             Office of Industrial Technologies program. DOE did not provide any procurement information.
                                         f
                                         Office of Transportation Technologies. DOE did not provide any procurement information.




                                         Page 58                GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                         Appendix VI
                                         Competition for Solar and Renewable
                                         Energy Program Procurements, Fiscal Years
                                         1996 and 1997




Table VI.9: Wind Energy Systems Program, Fiscal Year 1996
Amounts in percents
Budget category/              Laboratory inhouse/ Primary procurement               Competitive/ Typical partners (company
subcategory                           outsourced mechanism(s)                     noncompetitive names)
Applied Research/                              74/26 Subcontract                             18/82 AWS Scientific, Embedded
Core Research                                                                                      Systems, Airfoils, Inc.
Applied Research/                              43/57 Subcontract                             100/0 North Carolina A&T, Georgia Tech
University Research                                                                                University, University of Illinois
Applied Research/                               93/7 Subcontract                             0/100 University of Massachusetts
Wind Hybrid Systems
Applied Research/                              30/70 Subcontract                             90/10 University of California, WEST, Inc.
Avian Research
Turbine Research/ Near                         0/100 Subcontract                             100/0 Cannon/Wind Eagle, Zond, R
Term Research and Testing                                                                          Lynette
Turbine Research/ Next                         0/100 Subcontract                             100/0 Wind Turbine Co, Zond
Generation Turbine Project
Turbine Research/                              0/100 Subcontract                             100/0 Windlite, Cannon/Wind Eagle,
Small Wind Turbine Project                                                                         World Power Tech, Bergey
                                                                                                   Windpower
Turbine Research/                               97/3 Subcontract                             100/0 Ohio State
Supporting Research,
Testing, and Management
Cooperative Research and                       36/64 Subcontract                             14/86 American Wind Energy
Testing/Industry Support                                                                           Association
                                                       a                                          a a
Cooperative Research and                       100/0
Testing/Certification and
Standards
Cooperative Research and                       57/43 Subcontract                             0/100 Princeton Economic Research
Testing/Utility Analysis                                                                           Incorporated, Electrotek, AWS
                                                                                                   Scientific (U*WRAP)b
Cooperative Research and                       67/33 Subcontract                             100/0 Mountain Valley Energy
Testing/National Wind
Technology Center
Operations
                                         a
                                         The work was performed inhouse.
                                         b
                                             Utility Wind Resource Assessment Program (U*WRAP).




                                         Page 59               GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                         Appendix VI
                                         Competition for Solar and Renewable
                                         Energy Program Procurements, Fiscal Years
                                         1996 and 1997




Table VI.10: Wind Energy Systems Program, Fiscal Year 1997
Amounts in percents
Budget category/              Laboratory inhouse/ Primary procurement            Competitive/   Typical partners (company
subcategory                           outsourced mechanism(s)                    noncompetitive names)
Applied Research/                           53/47 Subcontract                    13/87               AWS Scientific, NASA Ames,
Core Research                                                                                        Mech Dynamics, Dynamic
                                                                                                     Designs
Applied Research/                           24/76 Subcontract                    100/0               North Carolina A&T
University Research
Applied Research/                           63/37 Subcontract                    41/59               University of Massachusetts
Wind Hybrid Systems
Applied Research/                           58/42 Subcontract                    38/62               Boise State University
Avian Research
                                                   a a                           a                   a
Turbine Research/ Near
Term Research and Testing
                                                   a a                           a                   a
Turbine Research/ Next
Generation Turbine Project
                                                   a a                           a                   a
Turbine Research/
Small Wind Turbine Project
Turbine Research/                           85/15 Subcontract                    100/0               McNiff Light Industry
Supporting Research,
Testing, and Management
Cooperative Research and                    63/37 Subcontract                    12/88               American Wind Energy
Testing/Industry Support                                                                             Association
Cooperative Research and                    71/29 Subcontract                    33/67               Underwriters Laboratory,
Testing/Certification and                                                                            American Wind Energy
Standards                                                                                            Association
Cooperative Research and                    37/63 Subcontract                    45/55               Princeton Economic Research
Testing/Utility Analysis                                                                             Incorporated, Utility Wind Interest
                                                                                                     Group
Cooperative Research and                    85/15 Subcontract                    41/59               Mountain Valley Energy
Testing/National Wind
Technology Center
Operations
                                         a
                                          DOE did not provide procurement information for the turbine research subcontracts funded from
                                         uncosted obligations balances in fiscal year 1997.




                                         Page 60             GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                         Appendix VI
                                         Competition for Solar and Renewable
                                         Energy Program Procurements, Fiscal Years
                                         1996 and 1997




Table VI.11: Geothermal Program, Fiscal Year 1996
Amounts in percents
Budget category/              Laboratory inhouse/ Primary procurement         Competitive/ Typical partners (company
subcategory                           outsourced mechanism(s)               noncompetitive names)
Geothermal Electric
  Exploration/                               80/20 Grants,                             95/5 Oxbow, CalEnergy, Caithness,
  Production Technology                            contracts                                Far West, Unocal
  Drilling Technology                        80/20 Contracts                          85/15 Halliburtton, AZ Grant, Baker
                                                                                            Hughes INTEQ, Security Diamond
                                                                                            Products, Hughes Christensen,
                                                                                            Unocal, Tonto, Schlumberger,
                                                                                            International Logging
  Hot Dry Rock Fenton Hill                   50/50 Contracts                           95/5 Project in closeout mode.
  Experimental Site
  Energy Conversion                          80/20 Contract                            95/5 CalEnergy, Pacific Gas & Electric,
  Technology                                                                                Unocal, Douglas Energy
  Site Development                           0/100 Grants,                            0/100 Unocal, Calpine Corp., Northern
  Activities                                       cooperative agreements                   California Power Agency, Pacific
                                                                                            Gas & Electric
Geothermal Heat Pumps                        80/20 Grants,                             95/5 Geothermal Heat Pump
                                                   cooperative agreements                   Consortium—over 100 member
                                                                                            companies, consisting of utilities
                                                                                            and service and equipment
                                                                                            companies.




                                         Page 61           GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                         Appendix VI
                                         Competition for Solar and Renewable
                                         Energy Program Procurements, Fiscal Years
                                         1996 and 1997




Table VI.12: Geothermal Program, Fiscal Year 1997
Amounts in percents
Budget category/              Laboratory inhouse/ Primary procurement          Competitive/ Typical partners (company
subcategory                           outsourced mechanism(s)                noncompetitive names)
Geothermal Electric
  Exploration/                               80/20 Grants,                              95/5 Oxbow, CalEnergy, Caithness,
  Production Technology                            contracts                                 Far West, Unocal
  Drilling Technology                        80/20 Contracts                           90/10 Halliburtton, AZ Grant, Baker
                                                                                             Hughes INTEQ, Security Diamond
                                                                                             Products, Hughes Christensen,
                                                                                             Unocal, Tonto, Schlumberger,
                                                                                             International Logging
  Hot Dry Rock Fenton Hill                   50/50 Contracts                            95/5 Project in Closeout mode.
  Experimental Site
  Energy Conversion                          80/20 Contract                             95/5 CalEnergy, Pacific Gas & Electric,
  Technology                                                                                 Unocal, Douglas Energy
  Site Development                           0/100 Grant                               0/100 Unocal, Calpine Corp., Northern
  Activities                                                                                 California Power Agency, Pacific
                                                                                             Gas & Electric
Geothermal Heat Pumps                        80/20 Grant                                95/5 Geothermal Heat Pump
                                                                                             Consortium—over 100 member
                                                                                             companies, consisting of utilities
                                                                                             and service and equipment
                                                                                             companies.



Table VI.13: Hydrogen Program, Fiscal Year 1996
Amounts in percents
Budget category/              Laboratory inhouse/ Primary procurement          Competitive/ Typical partners (company
subcategory                           outsourced mechanism(s)                noncompetitive names)
Research and Development
  Production                                 66/34 Solicitation                         95/5 Texaco, Air Products, SRT Inc.,
                                                                                             Praxair
  Storage                                68.5/31.5 Solicitation                        100/0 A.D. Little, Energy Conversion
                                                                                             Devices, Inc., Materials &
                                                                                             Electrochemical Research Corp.,
                                                                                             Praxair
  Utilization                                61/39 Solicitation                        100/0 International Fuel Cells Corp.,
                                                                                             DCH Technology, Inc.
Systems Analysis                         32.6/67.4 Solicitation                        85/15 National Hydrogen Association,
                                                                                             Sentech, Hydrogen Fuel Cell
                                                                                             Letter, Directed Technologies,
                                                                                             122 West Longitude
Technology Validation                    38.5/61.5 Solicitation                        100/0 City of Palm Desert, Dupont,
                                                                                             Bluebird




                                         Page 62            GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                         Appendix VI
                                         Competition for Solar and Renewable
                                         Energy Program Procurements, Fiscal Years
                                         1996 and 1997




Table VI.14: Hydrogen Program, Fiscal Year 1997
Amounts in percents
                                      Laboratory
Budget                                  inhouse/ Primary procurement          Competitive/ Typical partners (company
category/subcategory                  outsourced mechanism(s)               noncompetitive names)
Research and Development
  Production                                55/45 Solicitation                         95/5 Texaco, Air Products, SRT Inc.,
                                                                                            Praxair
  Storage                                   53/47 Solicitation                        100/0 Energy Conversion Devices, Inc.,
                                                                                            A.D. Little, Materials &
                                                                                            Electrochemical Research Corp.,
                                                                                            Praxair
  Utilization                               47/53 Solicitation                         95/5 International Fuel Cell Corp., DCH
                                                                                            Technology Inc.
Systems Analysis                            30/70 Solicitation                        85/15 National Hydrogen Association,
                                                                                            Sentech, Hydrogen Fuel Cell
                                                                                            Letter, Directed Technologies
Technology Validation                       25/75 solicitation                        100/0 Teledyne Brown, International
                                                                                            Fuel Cell Corp., MC Power,
                                                                                            Energy Conversion Devices, Inc.



Table VI.15: Hydropower Program, Fiscal Year 1996
Amounts in percents
Budget category/              Laboratory inhouse/ Primary procurement         Competitive/ Typical partners (company
subcategory                           outsourced mechanism(s)               noncompetitive names)
Hydropower Development                      67/33 Competitive                          97/3 Voith Hydro, Inc.



Table VI.16: Hydropower Program, Fiscal Year 1997
Amounts in percents
Budget category/              Laboratory inhouse/ Primary procurement         Competitive/ Typical partners (company
subcategory                           outsourced mechanism(s)               noncompetitive names)
Hydropower Development                      45/55 Competitive                         84/16 Alden Research Laboratory




                                         Page 63           GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                          Appendix VI
                                          Competition for Solar and Renewable
                                          Energy Program Procurements, Fiscal Years
                                          1996 and 1997




Table VI.17: Electric Energy Systems and Storage Program, Fiscal Year 1996
Amounts in percents
Budget category/              Laboratory inhouse/ Primary procurement                 Competitive/ Typical partners (company
subcategory                           outsourced mechanism(s)                       noncompetitive names)
High-Temperature Superconductivity Research & Development
  Superconductivity                           80/20 Cooperative agreements                      100/0 Electric Power Research Institute,
  Partnershipa Initiative                                                                             Reliance, Lockheed Martin
  2nd Generation Wire                         100/0 CRADA                                       100/0 Midwest Superconductivity
  Initiativea
  Strategic Researcha                         90/10 CRADA                                       100/0 American Superconductor,
                                                                                                      Intermagnetics General, Southwire
Energy Storage Research & Development
  Integration                                 28/72 Competitive contract                        75/25 GNB Technologies
  Components                                  62/38 Competitive contract                        75/25 JCI, ZBB
  Analysis                                    69/31 Competitive contract                        75/25 Frost & Sullivan
Electric & Magnetic Fields                    56/44 Competitive contracts,                        98/2 The member companiesc of EEI,
Research & Developmentb                             grants                                             APPA, NRECA & NEMA
                                          a
                                           There are no major noncompetitive procurements. The outsourced funding is for small laboratory
                                          subcontracts ($100,000 or less) to universities to obtain unique expertise needed by the program.
                                          b
                                           Major noncompetitive procurement is the contract with the National Academy of Sciences (NAS)
                                          that is required by law (section 2118 of EPA Act). NAS provides scientific review of all completed
                                          research.
                                          c
                                           Edison Electric Institute (EEI), American Public Power Association (APPA), National Rural Electric
                                          Cooperative Association (NRECA), and National Electrical Manufacturers Association (NEMA).




                                          Page 64              GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
                                          Appendix VI
                                          Competition for Solar and Renewable
                                          Energy Program Procurements, Fiscal Years
                                          1996 and 1997




Table VI.18: Electric Energy Systems and Storage Program, Fiscal Year 1997
Amounts in percents
Budget category/              Laboratory inhouse/ Primary procurement                 Competitive/ Typical partners (company
subcategory                           outsourced mechanism(s)                       noncompetitive names)
High-Temperature Superconductivity Research & Development
  Superconductivity                           80/20 Cooperative agreements                      80/20 Electric Power Research Institute,
  Partnershipa Initiative                                                                             Reliance, Lockheed Martin
  2nd Generation Wire                         100/0 CRADA                                       100/0 3M, Midwest Superconductivity
  Initiativea
  Strategic Researcha                          95/5 CRADA                                       100/0 American Superconductor,
                                                                                                      Intermagnetics General,
                                                                                                      Waukeshau Electric
Energy Storage Research & Development
  Integration                                 12/88 Competitive contract                        75/25 AC Battery Corp., Virginia Power
  Components                                  29/71 Competitive contract                        75/25 JCI, ZBB
  Analysis                                    26/74 Competitive contract                        75/25 Energetics
Electric & Magnetic Fields                    48/52 Competitive contracts,                        98/2 The member companiesc of EEI,
Research & Developmentb                             grants                                             APPA, NRECA, and NEMA

                                          Note: The tables in this appendix were developed by GAO from data provided by DOE.


                                          a
                                           There are no major noncompetitive procurements. The outsourced funding is for small laboratory
                                          subcontracts ($100,000 or less) to universities to obtain unique expertise needed by the program.
                                          b
                                           Major noncompetitive procurement is the contract with the National Academy of Sciences (NAS)
                                          that is required by law (section 2118 of EPA Act). NAS provides scientific review of all completed
                                          research.
                                          c
                                           Edison Electric Institute (EEI), American Public Power Association (APPA), National Rural Electric
                                          Cooperative Association (NRECA), and National Electrical Manufacturers Association (NEMA).




(141059)                                  Page 65              GAO/RCED-97-188 Solar and Renewable Resources Technologies Program
Ordering Information

The first copy of each GAO report and testimony is free.
Additional copies are $2 each. Orders should be sent to the
following address, accompanied by a check or money order
made out to the Superintendent of Documents, when
necessary. VISA and MasterCard credit cards are accepted, also.
Orders for 100 or more copies to be mailed to a single address
are discounted 25 percent.

Orders by mail:

U.S. General Accounting Office
P.O. Box 6015
Gaithersburg, MD 20884-6015

or visit:

Room 1100
700 4th St. NW (corner of 4th and G Sts. NW)
U.S. General Accounting Office
Washington, DC

Orders may also be placed by calling (202) 512-6000
or by using fax number (301) 258-4066, or TDD (301) 413-0006.

Each day, GAO issues a list of newly available reports and
testimony. To receive facsimile copies of the daily list or any
list from the past 30 days, please call (202) 512-6000 using a
touchtone phone. A recorded menu will provide information on
how to obtain these lists.

For information on how to access GAO reports on the INTERNET,
send an e-mail message with "info" in the body to:

info@www.gao.gov

or visit GAO’s World Wide Web Home Page at:

http://www.gao.gov




PRINTED ON    RECYCLED PAPER
United States                       Bulk Rate
General Accounting Office      Postage & Fees Paid
Washington, D.C. 20548-0001           GAO
                                 Permit No. G100
Official Business
Penalty for Private Use $300

Address Correction Requested