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United States Government Accountability Office: 
GAO: 

Report to Congressional Requesters: 

August 2012: 

Solar Energy: 

Federal Initiatives Overlap but Take Measures to Avoid Duplication: 

GAO-12-843: 

GAO Highlights: 

Highlights of GAO-12-843, a report to congressional requesters. 

Why GAO Did This Study: 

The United States has abundant solar energy resources and solar, along 
with wind, offers the greatest energy and power potential among all 
currently available domestic renewable resources. In February 2012, 
GAO reported that 23 federal agencies had implemented nearly 700 
renewable energy initiatives in fiscal year 2010—including initiatives 
that supported solar energy technologies (GAO-12-260). The existence 
of such initiatives at multiple agencies raised questions about the 
potential for duplication, which can occur when multiple initiatives 
support the same technology advancement activities and technologies, 
direct funding to the same recipients, and have the same goals. 

GAO was asked to identify (1) solar-related initiatives supported by 
federal agencies in fiscal years 2010 and 2011 and key characteristics 
of those initiatives and (2) the extent of fragmentation, overlap, and 
duplication, if any, of federal solar-related initiatives, as well as 
the extent of any coordination among these initiatives. GAO reviewed 
its previous work and interviewed officials at each of the agencies 
identified as having federal solar initiatives active in fiscal years 
2010 and 2011. GAO developed a questionnaire and administered it to 
officials involved in each initiative to collect information on: 
initiative goals, technology advancement activities, funding 
obligations, number of projects, and coordination activities. 

What GAO Found: 

Sixty-five solar-related initiatives with a variety of key 
characteristics were supported by six federal agencies (see table). 
Over half of these 65 initiatives supported solar projects 
exclusively; the remaining initiatives supported solar and other 
renewable energy technologies. The 65 initiatives exhibited a variety 
of key characteristics, including multiple technology advancement 
activities ranging from basic research to commercialization by 
providing funding to various types of recipients including 
universities, industry, and federal laboratories and researchers, 
primarily through grants and contracts. Agency officials reported that 
they obligated about $2.6 billion for the solar projects in these 
initiatives in fiscal years 2010 and 2011, an amount higher than in 
previous years, in part, because of additional funding from the 2009 
American Recovery and Reinvestment Act. 

Table: Number of Federal Initiatives That Supported Solar Energy 
Technology in Fiscal Years 2010 and 2011, by Agency and Total 
Obligations: 

Agency: Department of Energy (DOE); 
Number of solar initiatives: 20; 
Total obligations: $2,342,765,827 

Agency: Department of Defense (DOD); 
Number of solar initiatives: 27; 
Total obligations: $154,637,296 

Agency: National Science Foundation (NSF); 
Number of solar initiatives: 7; 
Total obligations: $48,761,556 

Agency: National Aeronautics and Space Administration (NASA); 
Number of solar initiatives: 7; 
Total obligations: $34,818,345 

Agency: U.S. Department of Agriculture (USDA); 
Number of solar initiatives: 3; 
Total obligations: $577,247 

Agency: Environmental Protection Agency (EPA); 
Number of solar initiatives: 1; 
Total obligations: $200,000 

Agency: Total; 
Number of solar initiatives: 65; 
Total obligations: $2,581,760,271 

Source: GAO analysis of agency-provided data. 

[End of table] 

The 65 solar-related initiatives are fragmented across six agencies 
and overlap to some degree in their key characteristics, but most 
agency officials reported coordination efforts to avoid duplication. 
The initiatives are fragmented in that they are implemented by various 
offices across the six agencies and address the same broad areas of 
national need. However, the agencies tailor their initiatives to meet 
their specific missions, such as DOD’s energy security mission and NASA’
s space exploration mission. Many of the initiatives overlapped with 
at least one other initiative in the technology advancement activity, 
technology type, funding recipient, or goal. However, GAO found no 
clear instances of duplicative initiatives. Furthermore, officials at 
57 of the 65 initiatives (88 percent) indicated that they coordinated 
in some way with other solar-related initiatives, including both 
within their own agencies and with other agencies. Such coordination 
may reduce the risk of duplication. Moreover, 59 of the 65 initiatives 
(91 percent) require applicants to disclose other federal sources of 
funding on their applications to help ensure that they do not receive 
duplicative funding. 

What GAO Recommends: 

This report contains no recommendations. In response to the draft 
report, USDA generally agreed with the findings, while the other 
agencies had no comments. 

View [hyperlink, http://www.gao.gov/products/GAO-12-843]. For more 
information, contact Frank Rusco at (202) 512-3841 or ruscof@gao.gov. 

[End of section] 

Contents: 

Letter: 

Background: 

Six Agencies Supported Sixty-Five Solar-Related Initiatives with a 
Variety of Key Characteristics: 

Initiatives Are Fragmented across Agencies and Sometimes Overlap, but 
Agency Officials Reported Coordination to Avoid Duplication: 

Agency Comments and Our Evaluation: 

Appendix I: Scope and Methodology: 

Appendix II: Solar-Related Initiatives at Six Federal Agencies, 
Descriptions and Fiscal Years 2010 and 2011 Obligations: 

Appendix III: GAO's Questionnaire for Federal Agencies with 
Initiatives Supporting Solar Energy Technologies: 

Appendix IV: GAO Contact and Staff Acknowledgments: 

Tables: 

Table 1: Initiatives and Projects by Agency, Fiscal Years 2010 and 
2011: 

Table 2: Number of Federal Initiatives That Supported Solar Energy 
Technology for Fiscal Years 2010 and 2011, by Agency and Total Actual 
and Estimated Obligations: 

Table 3: Number of Initiatives Supporting Technology Advancement 
Activities and Eligible Funding Recipients: 

Table 4: Department of Defense Solar-Related Initiatives: 

Table 5: Department of Energy Solar-Related Initiatives: 

Table 6: Environmental Protection Agency Solar-Related Initiatives: 

Table 7: National Aeronautics and Space Administration Solar-Related 
Initiatives: 

Table 8: National Science Foundation Solar-Related Initiatives: 

Table 9: U.S. Department of Agriculture Solar-Related Initiatives: 

Figures: 

Figure 1: Number of Agencies' Solar-Related Initiatives That Supported 
Technology Advancement Activities: 

Figure 2: Number of Agencies' Solar-Related Initiatives That Supported 
Various Recipient Types: 

Figure 3: Number of Agencies' Solar-Related Initiatives Employing 
Various Funding Mechanisms: 

Abbreviations: 

ARPA-E: Advanced Research Projects Agency-Energy: 

DARPA: Defense Advanced Research Projects Agency: 

DOD: Department of Defense: 

DOE: Department of Energy: 

EERE: Office of Energy Efficiency and Renewable Energy: 

EIA: Energy Information Administration: 

EPA: Environmental Protection Agency: 

IAPG: Interagency Advanced Power Group: 

NASA: National Aeronautics and Space Administration: 

NNI: National Nanotechnology Initiative: 

NSF: National Science Foundation: 

OMB: Office of Management and Budget: 

R&D: research and development: 

Recovery Act: American Recovery and Reinvestment Act of 2009: 

SETP: Solar Energy Technologies Program: 

TRL: technology readiness level: 

USDA: United States Department of Agriculture: 

[End of section] 

United States Government Accountability Office: 
Washington, DC 20548: 

August 30, 2012: 

The Honorable Ralph M. Hall:
Chairman:
Committee on Science, Space, and Technology:
House of Representatives: 

The Honorable Andy Harris:
Chairman:
Subcommittee on Energy and Environment:
Committee on Science, Space, and Technology:
House of Representatives: 

The United States has abundant solar energy resources and solar, along 
with wind, offers the greatest energy and power potential among all 
commercial domestic renewable resources currently available, according 
to the National Academies of Science. While helping meet the nation's 
energy needs, solar sources of electricity could also offer 
substantial environmental benefits, such as a reduction in greenhouse 
gas emissions, over conventional electricity generation. However, 
solar and wind energy as sources of electricity at the utility scale 
also face numerous challenges related to their intermittent 
availability and higher costs compared with traditional energy 
sources. The Department of Energy's (DOE) Energy Information 
Administration, an independent statistical and analytical agency, 
reports that although solar energy accounted for only 1 percent of all 
renewable energy electricity consumed in the United States in 2010, 
solar energy use increased by about 60 percent from 2006 to 2010. DOE 
has also embarked on a comprehensive effort to reduce the cost of 
generating electricity using solar power. 

Beyond supplying electricity to the existing infrastructure or grid 
(i.e., the electricity networks that carry electricity from the plants 
where it is generated to consumers, including wires, substations, and 
transformers), solar energy technologies have extensive defense and 
space applications. For example, the Department of Defense (DOD) has 
undertaken efforts to develop technologies that allow it to use solar 
energy in operational environments, such as the conflicts in Iraq and 
Afghanistan, to help reduce its reliance on conventional fuel, which 
is very difficult and costly to deliver and store. In addition, the 
National Aeronautics and Space Administration (NASA) is working to 
develop high-power solar electric propulsion systems to provide low-
cost abundant power for deep-space missions. As the availability and 
utilization of solar energy technologies have increased, so too has 
federal support to some of the agencies addressing challenges 
associated with further expansion of solar energy as an electricity 
source and to meet other mission-specific goals. 

In February 2012, we reported that 23 federal agencies had implemented 
nearly 700 renewable energy initiatives in fiscal year 2010--and a 
number of these initiatives supported solar energy technologies. 
[Footnote 1] The existence of such initiatives at multiple agencies 
has raised questions about the potential for duplication that, in this 
context, occurs when multiple initiatives support the same technology 
advancement activities and technologies, direct funding to the same 
recipients, and have the same goals. As we have previously reported, 
unnecessary duplication can potentially result from fragmentation and 
overlap among government programs.[Footnote 2] Fragmentation occurs 
when more than one federal agency, or more than one organization 
within an agency, is involved in the same broad area of national need. 
For the purposes of this report, overlap occurs when multiple 
initiatives support similar technology advancement activities, similar 
technologies, similar funding recipients, or have similar goals. 

In this context, you asked us to review federal initiatives that 
supported solar energy technology--which we termed "solar-related 
initiatives." Our objectives were to identify (1) solar-related 
initiatives supported by federal agencies in fiscal years 2010 and 
2011 and key characteristics of those initiatives and (2) the extent 
of fragmentation, overlap, and duplication, if any, among federal 
solar-related initiatives, as well as the extent of coordination among 
these initiatives. 

To address these objectives, we collected and analyzed information 
from our previous work and conducted new work. More specifically, to 
identify federal solar-related initiatives and to assess the extent of 
fragmentation, overlap, and duplication among these initiatives, we 
relied on data from our February 2012 report on renewable energy, 
[Footnote 3] which identified and collected information from solar-
related initiatives active[Footnote 4] in fiscal year 2010, as well as 
other renewable energy initiatives. For the purposes of this report, 
we defined an initiative as a program or group of agency activities 
serving a similar purpose or function that involved solar energy 
technologies through a specific emphasis or focus, even if solar 
energy was only one part of a broader effort. We restricted our 
analysis to those initiatives that supported research and development 
(R&D) on, or commercialization of, innovative solar energy 
technologies. 

Because initiatives often supported more than one type of technology 
advancement activity, some of the initiatives included in this report 
may also support deployment activities. We eliminated initiatives that 
focused solely on the deployment of readily available solar energy 
technologies. Although not covered in this report, a range of federal, 
state, and other initiatives support such deployment activities. These 
federal deployment activities facilitate or achieve widespread use of 
technologies--for example, by federal agencies' procurement of solar 
energy technologies or by federal tax or other incentives that 
encourage households and businesses to adopt these technologies. We 
have ongoing work that looks at some of these deployment activities, 
including DOE's Loan Guarantee and Advanced Technology Vehicles 
Manufacturing Loan Programs, and a review of wind energy technology 
initiatives, including those that support deployment activities. We 
also recently issued reports on tax incentives for residential energy 
efficiency[Footnote 5] and on renewable energy deployment activities. 
[Footnote 6] 

After using our February 2012 report to identify solar-related 
initiatives that supported R&D and commercialization, we developed a 
questionnaire and surveyed cognizant officials at each of the six 
agencies that had such initiatives to collect additional information 
on the initiatives' scope and key characteristics--DOD, DOE, the 
Environmental Protection Agency (EPA), NASA, the National Science 
Foundation (NSF), and the U.S. Department of Agriculture (USDA). 
Specifically, we asked questions to ascertain the number of projects, 
funds obligated, type of technology advancement activities supported, 
recipients funded, funding mechanisms, initiative goals, and efforts 
to coordinate across other solar-related initiatives. To determine the 
extent to which agencies coordinated their initiatives, we used survey 
responses and interviews to identify coordination activities within 
and among the six agencies. We also asked the agencies to provide us 
with any additional relevant initiatives that were implemented in 
fiscal year 2011 that were not on our initial list, and we sent a copy 
of the questionnaire to officials representing those initiatives as 
well. (For further information on our questionnaire, see appendix I. 
For a copy of our questionnaire, see appendix III.) We then analyzed 
the information collected for the February 2012 report and from our 
questionnaire for this report to determine the extent to which we 
could identify fragmentation, overlap, and duplication of solar-
related initiatives. In addition, we interviewed agency officials 
responsible for solar-related initiatives for follow-up information as 
needed. 

We conducted this performance audit from September 2011 to August 2012 
in accordance with generally accepted government auditing standards. 
Those standards require that we plan and perform the audit to obtain 
sufficient, appropriate evidence to provide a reasonable basis for our 
findings and conclusions based on our audit objectives. We believe 
that the evidence obtained provides a reasonable basis for our 
findings and conclusions based on our audit objectives. 

Background: 

Solar energy can be used to heat, cool, and power homes and businesses 
with a variety of technologies that convert sunlight into usable 
energy. Examples of solar energy technologies include photovoltaics, 
concentrated solar power, and solar hot water. Solar cells, also known 
as photovoltaic cells, convert sunlight directly into electricity. 
Photovoltaic technologies are used in a variety of applications. They 
can be found on residential and commercial rooftops to power homes and 
businesses; utility companies use them for large power stations, and 
they power space satellites, calculators, and watches. Concentrated 
solar power uses mirrors or lenses to concentrate sunlight and produce 
intense heat, which is used to generate electricity via a thermal 
energy conversion process; for example, by using concentrated sunlight 
to heat a fluid, boil water with the heated fluid, and channel the 
resulting steam through a turbine to produce electricity. Most 
concentrated solar power technologies are designed for utility-scale 
operations and are connected to the electricity-transmission system. 
Solar hot water technologies use a collector to absorb and transfer 
heat from the sun to water, which is stored in a tank until needed. 
Solar hot water systems can be found in residential and industrial 
buildings. 

Innovation in solar energy technology takes place across a spectrum of 
activities, which we refer to as technology advancement activities, 
and which include basic research, applied research, demonstration, and 
commercialization.[Footnote 7] For purposes of this report, we defined 
basic research to include efforts to explore and define scientific or 
engineering concepts or is conducted to investigate the nature of a 
subject without targeting any specific technology; applied research 
includes efforts to develop new scientific or engineering knowledge to 
create new and improved technologies; demonstration activities include 
efforts to operate new or improved technologies to collect information 
on their performance and assess readiness for widespread use; and 
commercialization efforts transition technologies to commercial 
applications by bridging the gap between research and demonstration 
activities and venture capital funding and marketing activities. 

Solar energy technology advancement activities are financed through 
both public and private investment. According to a Congressional 
Budget Office report, without public investment, the private sector's 
investment in technology advancement activities is likely to be 
inefficiently low from society's perspective because firms cannot 
easily capture the "spillover benefits" that result, particularly at 
the early stages of developing a technology.[Footnote 8] In these 
stages, technology advancement activities can create fundamental 
knowledge leading to numerous benefits for society as a whole but not 
necessarily for the firms that invested in the activities. For 
example, basic research can create general scientific knowledge that 
is not itself subject to commercialization but that can lead to 
multiple applications that private companies can produce and sell. As 
activities get closer to the commercialization stage, the private 
sector may increase its support because its return on investment 
increases. 

Six Agencies Supported Sixty-Five Solar-Related Initiatives with a 
Variety of Key Characteristics: 

We identified 65 solar-related initiatives with a variety of key 
characteristics at six federal agencies.[Footnote 9] Over half of the 
65 initiatives supported solar projects exclusively; the remaining 
initiatives supported solar energy technologies in addition to other 
renewable energy technologies. The initiatives demonstrated a variety 
of key characteristics, including focusing on different types of solar 
technologies and supporting a range of technology advancement 
activities from basic research to commercialization, with an emphasis 
on applied research and demonstration activities. Additionally, the 
initiatives supported several types of funding recipients including 
universities, industry, nonprofit organizations, and federal labs and 
researchers, primarily through grants and contracts. Agency officials 
reported that they obligated around $2.6 billion for the solar 
projects in these initiatives in fiscal years 2010 and 2011. 

Over Half of the Agencies' Initiatives Exclusively Supported Solar 
Energy Technology: 

In fiscal years 2010 and 2011, six federal agencies--DOD, DOE, EPA, 
NASA, NSF, and USDA--undertook 65 initiatives that supported solar 
energy technology, at least in part. (See appendix II for a full list 
of the initiatives). Of these initiatives, 35 of 65 (54 percent) 
supported solar projects exclusively and 30 (46 percent) also 
supported projects that were not solar. For example, in fiscal years 
2010 and 2011, DOE's Solar Energy Technologies Program--Photovoltaic 
Research and Development initiative, had 263 projects, all of which 
focused on solar energy. In contrast, in fiscal years 2010 and 2011, 
DOE's Hydrogen and Fuel Research and Development initiative--which 
supports wind[Footnote 10] and other renewable sources that could be 
used to produce hydrogen--had 209 projects, 26 of which were solar 
projects. Although initiatives support solar energy technologies, in a 
given year, they might not support any solar projects. For example, 
NSF officials noted that the agency funds research across all fields 
and disciplines of science and engineering and that individual 
initiatives invite proposals for projects across a broad field of 
research, which includes solar-related research in addition to other 
renewable energy research. However, in any given year, NSF may not 
fund proposals that address solar energy because either no solar 
proposals were submitted or the submitted solar-related proposals were 
not deemed meritorious for funding based upon competitive, merit-based 
reviews. 

Although more than half of the agencies' initiatives supported solar 
energy projects exclusively, the majority of projects supported by all 
65 initiatives were not focused on solar. As shown in table 1, of the 
4,996 total projects active in fiscal years 2010 and 2011 under the 65 
initiatives, 1,506 (30 percent) were solar projects, and 3,490 (70 
percent) were not solar projects. 

Table 1: Initiatives and Projects by Agency, Fiscal Years 2010 and 
2011: 

Agency: DOD; 
Number of initiatives: 27; 
Total projects supported: 623; 
Total solar projects supported: 293; 
Percentage of projects that were solar: 47%. 

Agency: DOE; 
Number of initiatives: 20; 
Total projects supported: 1,736; 
Total solar projects supported: 906; 
Percentage of projects that were solar: 52%. 

Agency: EPA; 
Number of initiatives: 1; 
Total projects supported: 239; 
Total solar projects supported: 14; 
Percentage of projects that were solar: 6%. 

Agency: NASA; 
Number of initiatives: 7; 
Total projects supported: 1,326; 
Total solar projects supported: 202; 
Percentage of projects that were solar: 15%. 

Agency: NSF; 
Number of initiatives: 7; 
Total projects supported: 349; 
Total solar projects supported: 86; 
Percentage of projects that were solar: 25%. 

Agency: USDA; 
Number of initiatives: 3; 
Total projects supported: 723; 
Total solar projects supported: 5; 
Percentage of projects that were solar: .7%. 

Agency: Total; 
Number of initiatives: 65; 
Total projects supported: 4,996; 
Total solar projects supported: 1,506; 
Percentage of projects that were solar: 30%. 

Source: GAO analysis of agency-provided data. 

[End of table] 

Key Characteristics of Solar-Related Initiatives Include Supporting 
Different Solar Technologies, Technology Advancement Activities, and 
Types of Funding Recipients: 

Agencies' solar-related initiatives supported different types of solar 
energy technologies. According to agency officials responding to our 
questionnaire, 47 of the 65 initiatives supported photovoltaic 
technologies, and 18 supported concentrated solar power; some 
initiatives supported both of these technologies or other solar 
technologies.[Footnote 11] For example, NSF's CHE-DMR-DMS Solar Energy 
Initiative (SOLAR)[Footnote 12] supports both photovoltaic and 
concentrated solar power technologies, including a project that is 
developing hybrid organic/inorganic materials to create ultra-low-cost 
photovoltaic devices and to advance solar concentrating technologies. 

These initiatives supported solar energy technologies through multiple 
technology advancement activities, ranging from basic research to 
commercialization. As shown in figure 1, five of the six agencies 
supported at least three of the four technology advancement activities 
we examined, and four of the six supported all four. 

Figure 1: Number of Agencies' Solar-Related Initiatives That Supported 
Technology Advancement Activities: 

[Refer to PDF for image: horizontal bar graph] 

Agency: DOD; 
Basic research: 11; 
Applied research: 19; 
Demonstration activities: 22; 
Commercialization: 4. 

Agency: DOE; 
Basic research: 5; 
Applied research: 14; 
Demonstration activities: 9; 
Commercialization: 10. 

Agency: EPA; 
Basic research: 1; 
Applied research: 1; 
Demonstration activities: 1; 
Commercialization: 0. 

Agency: NASA; 
Basic research: 3; 
Applied research: 6; 
Demonstration activities: 4; 
Commercialization: 2. 

Agency: NSF; 
Basic research: 7; 
Applied research: 4; 
Demonstration activities: 3; 
Commercialization: 1. 

Agency: USDA; 
Basic research: 0; 
Applied research: 3; 
Demonstration activities: 2; 
Commercialization: 0. 

Source: GAO analysis of agency-provided data. 

Note: Because agency initiatives often supported more than one 
technology advancement activity, the sum of initiatives across the 
agencies in this figure will not total 65, the number of initiatives 
in our review. 

[End of figure] 

Our analysis showed that of the 65 initiatives, 20 initiatives (31 
percent) supported a single type of technology advancement activity; 
45 of the initiatives (69 percent) supported more than one type of 
technology advancement activity; and 4 of those 45 initiatives (6 
percent) supported all four. For example, NASA's Solar Probe Plus 
Technology Development initiative--which tests the performance of 
solar cells in elevated temperature and radiation environments such as 
near the sun--supported applied research exclusively. In contrast, 
NASA's Small Business Innovations Research/Small Business Technology 
Transfer Research initiative--which seeks high-technology companies to 
participate in government-sponsored research and development efforts 
critical to NASA's mission--supported all four technology advancement 
activities. The technology advancement activities supported by the 
initiatives were: 

* applied research (47 initiatives), 

* demonstration (41 initiatives), 

* basic research (27 initiatives), and: 

* commercialization (17 initiatives). 

The initiatives supported these technology advancement activities by 
providing funding to four types of recipients: universities, industry, 
nonprofit organizations, and federal laboratories and researchers. The 
initiatives most often supported universities and industry. In many 
cases, initiatives provided funding to more than one type of 
recipient. Specifically, our analysis showed that of the 65 
initiatives, 23 of the initiatives (35 percent) supported one type of 
recipient; 21 of the initiatives (32 percent) provided funding to at 
least two types of recipients; 17 initiatives (26 percent) supported 
three types; and 4 initiatives (6 percent) supported all four. In two 
cases, agency officials reported that their initiatives supported 
"other" types of recipients, which included college students and 
military installations. 

Initiatives often supported a variety of recipient types, but 
individual agencies more often supported one or two types. As shown in 
figure 2, DOE's initiatives most often supported federal laboratories 
and researchers; DOD's most often supported industry recipients; 
NASA's supported federal laboratories and industry equally; NSF's 
supported universities exclusively. For example, NASA's Small Business 
Innovations Research/Small Business Technology Transfer Research 
initiative provided contracts to industry to participate in government-
sponsored research and development for advanced photovoltaic 
technologies to improve efficiency and reliability of solar power for 
space exploration missions. NSF's Emerging Frontiers in Research and 
Innovation initiative provided grants to universities for, among other 
purposes, promoting breakthroughs in computational tools and 
intelligent systems for large-scale energy storage suitable for 
renewable energy sources such as solar energy. 

Figure 2: Number of Agencies' Solar-Related Initiatives That Supported 
Various Recipient Types: 

[Refer to PDF for image: horizontal bar graph] 

Agency: DOD; 
Industry: 27; 
Universities: 19; 
Federal labs/research: 12; 
Non-profits: 0; 
Other[A]: 1 

Agency: DOE; 
Industry: 13; 
Universities: 15; 
Federal labs/research: 18; 
Non-profits: 3; 
Other[A]: 0. 

Agency: EPA; 
Industry: 0; 
Universities: 0; 
Federal labs/research: 0; 
Non-profits: 0; 
Other[A]: 1 

Agency: NASA; 
Industry: 4; 
Universities: 2; 
Federal labs/research: 4; 
Non-profits: 1; 
Other[A]: 0. 

Agency: NSF; 
Industry: 0; 
Universities: 7; 
Federal labs/research: 0; 
Non-profits: 0; 
Other[A]: 0. 

Agency: USDA; 
Industry: 1; 
Universities: 2; 
Federal labs/research: 1; 
Non-profits: 1; 
Other[A]: 0. 

Source: GAO analysis of agency-provided data. 

Note: Agency initiatives often supported more than one recipient type; 
therefore, the sum of initiatives across the agencies in this figure 
will not total 65, the number of initiatives in our review. 

[A] EPA's P3: People, Prosperity & the Planet Student Design 
Competition for Sustainability initiative supports teams of college 
students who participate in a competitive grants program in which they 
propose the research and development of sustainable designs related to 
water, energy, agriculture, the built environment, or materials and 
chemicals. DOD's Smart Power Infrastructure Demonstration for Energy 
Reliability and Security (SPIDERS) Joint Capability Technology 
Demonstration supports military installations to integrate renewable 
energy and storage in order to reduce the risk of extended electric 
grid outages. 

[End of figure] 

Federal solar-related initiatives provided funding to these recipients 
through multiple mechanisms, often using more than one mechanism per 
initiative. As shown in figure 3, the initiatives primarily used 
grants and contracts. Of the 65 initiatives, 27 awarded grants, and 36 
awarded contracts;[Footnote 13] many awarded both. Agency officials 
also reported funding solar projects via cooperative 
agreements,[Footnote 14] loans, and other mechanisms.[Footnote 15] 

Figure 3: Number of Agencies' Solar-Related Initiatives Employing 
Various Funding Mechanisms: 

[Refer to PDF for image: vertical bar graph] 

Funding mechanism: Contracts; 
Number of initiatives: 36. 

Funding mechanism: Grants; 
Number of initiatives: 27. 

Funding mechanism: Cooperative agreements; 
Number of initiatives: 11. 

Funding mechanism: Other[A]; 
Number of initiatives: 8. 

Funding mechanism: Loans; 
Number of initiatives: 2. 

Source: GAO analysis of agency-provided data. 

Note: Agency initiatives often used more than one funding mechanism, 
therefore the sum of initiatives across the agencies in this figure 
will not total 65, the number of initiatives in our review. 

[A] Officials from eight initiatives at three agencies reported that 
their initiative supported "other" funding mechanisms including 
administrative costs, cash prizes to competition winners, and 
laboratory work authorizations. 

[End of figure] 

Agency officials reported that the 65 initiatives as a group used 
multiple funding mechanisms, but we found that individual agencies 
tended to use primarily one or two funding mechanisms. For example, 
USDA exclusively used grants, while DOD tended to use contracts. DOE 
reported using grants and cooperative agreements almost equally. For 
example, DOE's Solar ADEPT initiative, an acronym for "Solar Agile 
Delivery of Electrical Power Technology," awards cooperative 
agreements to universities, industry, nonprofit organizations, and 
federal laboratories and researchers. Through a cooperative agreement, 
the initiative supported a project at the University of Colorado at 
Boulder that is developing advanced power conversion components that 
can be integrated into individual solar panels to improve energy 
yields. According to the project description, the power conversion 
devices will be designed for use on any type of solar panel. The 
University of Colorado at Boulder is partnering with industry and 
DOE's National Renewable Energy Laboratory on this project. 

In responding to our questionnaire, officials from the six agencies 
reported that they obligated around $2.6 billion for the 1,506 solar 
projects in fiscal years 2010 and 2011. These obligations data 
represented a mix of actual obligations and estimates. Actual 
obligations were provided for both years for 51 of 65 initiatives. 
Officials provided estimated obligations for 12 initiatives for at 
least 1 of the 2 years, and officials from another 2 initiatives were 
unable to provide any obligations data.[Footnote 16] Those officials 
who provided estimates or were unable to provide obligations data 
noted that the accuracy or the availability of the obligations data 
was limited because isolating the solar activities from the overall 
initiative obligations can be difficult. (See appendix II for a full 
list of the initiatives and their related obligations.) As shown in 
table 2, over 90 percent of the funds (about $2.3 billion of $2.6 
billion) were obligated by DOE. The majority of DOE's obligations 
(approximately $1.7 billion) were obligated as credit subsidy costs--
the government's estimated net long-term cost, in present value terms, 
of the loans--as part of Title XVII Section 1705 Loan Guarantee 
Program from funds appropriated by Congress under the American 
Recovery and Reinvestment Act (Recovery Act).[Footnote 17] Even 
excluding the Loan Guarantee Program funds, DOE obligated $661 
million, which is more than was obligated by the other five agencies 
combined. 

Table 2: Number of Federal Initiatives That Supported Solar Energy 
Technology for Fiscal Years 2010 and 2011, by Agency and Total Actual 
and Estimated Obligations: 

Agency: DOE; 
Number of initiatives for which data were provided: 18; 
Actual obligations: $2,338,765,827[A]; 
Estimated obligations: $4,000,000; 
Total obligations: $2,342,765,827[B]. 

Agency: DOD; 
Number of initiatives for which data were provided: 27; 
Actual obligations: $131,923,296; 
Estimated obligations: $22,714,000; 
Total obligations: $154,637,296. 

Agency: NSF; 
Number of initiatives for which data were provided: 7; 
Actual obligations: $47,485,645; 
Estimated obligations: $1,275,911; 
Total obligations: $48,761,556. 

Agency: NASA; 
Number of initiatives for which data were provided: 7; 
Actual obligations: $34,412,352; 
Estimated obligations: $405,993; 
Total obligations: $34,818,345. 

Agency: USDA; 
Number of initiatives for which data were provided: 3; 
Actual obligations: $577,247; 
Estimated obligations: 0; 
Total obligations: $577,247. 

Agency: EPA; 
Number of initiatives for which data were provided: 1; 
Actual obligations: $200,000; 
Estimated obligations: 0; 
Total obligations: $200,000. 

Agency: Total; 
Number of initiatives for which data were provided: 63; 
Actual obligations: $2,553,364,367; 
Estimated obligations: $28,395,904; 
Total obligations: $2,581,760,271. 

Source: GAO analysis of agency-provided data. 

[A] Of the more than $2.3 billion obligated by DOE in 2010 and 2011 
for solar projects, about $1.7 billion was obligated for credit 
subsidy costs for loan guarantees. 

[B] Does not include two agency initiatives for which DOE did not 
provide obligations data. 

[End of table] 

Initiatives Are Fragmented across Agencies and Sometimes Overlap, but 
Agency Officials Reported Coordination to Avoid Duplication: 

The 65 solar-related initiatives are fragmented across six agencies 
and many overlap to some degree, but agency officials reported a 
number of coordination activities to avoid duplication. We found that 
many initiatives overlapped in the key characteristics of technology 
advancement activities, types of technologies, types of funding 
recipients, or broad goals; however, these areas of overlap do not 
necessarily lead to duplication of efforts because the initiatives 
sometimes differ in meaningful ways or leverage the efforts of other 
initiatives, and we did not find clear evidence of duplication among 
initiatives. Officials from most initiatives reported that they engage 
in a variety of coordination activities with other solar-related 
initiatives, at times specifically to avoid duplication. 

Fragmented Initiatives Overlapped in Their Technology Advancement 
Activities, Types of Technologies, Funding Recipients, and Goals: 

The 65 solar-related initiatives are fragmented in that they are 
implemented by various offices across six agencies and address the 
same broad area of national need. In March 2011, we reported that 
fragmentation has the potential to result in duplication of resources. 
[Footnote 18] However, such fragmentation is, by itself, not an 
indication that unnecessary duplication of efforts or activities 
exists. For example, in our March 2011 report, we stated that there 
can be advantages to having multiple federal agencies involved in a 
broad area of national need--agencies can tailor initiatives to suit 
their specific missions and needs, among other things. In particular, 
DOD is able to focus its efforts on solar energy technologies that 
serve its energy security mission, among other things, and NASA is 
able to focus its efforts on solar energy technologies that aid in 
aeronautics and space exploration, among other things. 

As table 3 illustrates, we found that many initiatives overlap because 
they support similar technology advancement activities and types of 
funding recipients. For example, initiatives that support basic and 
applied research most often fund universities, and those initiatives 
that support demonstration and commercialization activities most often 
fund industry. 

Table 3: Number of Initiatives Supporting Technology Advancement 
Activities and Eligible Funding Recipients: 

Eligible funding recipient: Federal laboratories/researchers; 
Technology advancement activities: 
Basic research: 12; 
Applied research: 27; 
Demonstration activities: 18; 
Commercialization: 9. 

Eligible funding recipient: Industry; 
Technology advancement activities: 
Basic research: 14; 
Applied research: 33; 
Demonstration activities: 32; 
Commercialization: 15. 

Eligible funding recipient: Nonprofit organizations; 
Technology advancement activities: 
Basic research: 2; 
Applied research: 4; 
Demonstration activities: 1; 
Commercialization: 2. 

Eligible funding recipient: Universities; 
Technology advancement activities: 
Basic research: 23; 
Applied research: 36; 
Demonstration activities: 27; 
Commercialization: 11. 

Eligible funding recipient: Other[A]; 
Technology advancement activities: 
Basic research: 1; 
Applied research: 1; 
Demonstration activities: 2; 
Commercialization: 1. 

Source: GAO analysis of agency-provided data. 

Note: Many solar-related initiatives support multiple technology 
advancement activities and multiple eligible funding recipients. 
Therefore, the totals in table 3 will not total 65, the number of 
initiatives in our review. 

[A] Two initiatives supported other types of recipients: EPA's P3: 
People, Prosperity & the Planet Student Design Competition for 
Sustainability initiative supports teams of college students who 
participate in a competitive grants program in which they propose the 
research and development of sustainable designs related to water, 
energy, agriculture, the built environment, or materials and 
chemicals. DOD's Smart Power Infrastructure Demonstration for Energy 
Reliability and Security (SPIDERS) Joint Capability Technology 
Demonstration supports military installations to integrate renewable 
energy and storage in order to reduce the risk of extended electric 
grid outages. 

[End of table] 

Almost all of the initiatives overlapped to some degree with at least 
one other initiative in that they support broadly similar technology 
advancement activities, types of technologies, and eligible funding 
recipients. 

* Twenty-seven initiatives support applied research for photovoltaic 
technologies by universities. For example, NSF's Engineering Research 
Center for Quantum Energy and Sustainable Solar Technologies at 
Arizona State University pursues cost-competitive photovoltaic 
technologies with sustained market growth. The Air Force's Space 
Propulsion and Power Generation Research initiative partners with 
various universities to develop improved methods for powering 
spacecraft, including solar cell technologies. 

* Sixteen initiatives support demonstration activities focused on 
photovoltaic technologies by federal laboratories and researchers. For 
example, NASA's High-Efficiency Space Power Systems initiative 
conducts activities at NASA's Glenn Research Center to develop 
technologies to provide low cost and abundant power for deep space 
missions, such as highly reliable solar arrays, to enable a crewed 
mission to explore a near Earth asteroid. DOE's Solar Energy 
Technologies Program (SETP), which includes the Photovoltaic Research 
and Development initiative, works with national laboratories such as 
the National Renewable Energy Laboratory, Sandia National 
Laboratories, Brookhaven National Laboratory, and Oak Ridge Laboratory 
to advance a variety of photovoltaic technologies to enable solar 
energy to be as cost competitive as traditional energy sources by 
2015.[Footnote 19] 

* Seven initiatives supported applied research on concentrated solar 
power technologies by industry. For example, DOE's SETP Concentrated 
Solar Power subprogram, which focuses on reducing the cost of and 
increasing the use of solar power in the United States, funded a 
company to develop the hard coat on reflective mirrors that is now 
being used in concentrated solar power applications. In addition, 
DOD's Fast Access Spacecraft Testbed Program, which concluded in March 
2011, funded industry to demonstrate a suite of critical technologies 
including high-efficiency solar cells, sunlight concentrating arrays, 
large deployable structures, and ultra-lightweight solar arrays. 

Additionally, 40 of the 65 initiatives overlap with at least one other 
initiative in that they supported similar broad goals, types of 
technologies, and technology advancement activities. 

* Providing lightweight, portable energy sources. Officials from 
several initiatives within DOD reported that their initiatives 
supported demonstration activities with the broad goal of providing 
lightweight, portable energy sources for military applications. For 
example, the goal of the Department of the Army's Basic Solar Power 
Generation Research initiative is to determine the feasibility and 
applicability of lightweight flexible, foldable solar panels for 
remote site power generation in tactical battlefield applications. 
Similarly, the goal of the Office of the Secretary of Defense's 
Engineered Bio-Molecular Nano-Devices and Systems initiative is to 
provide a low-cost, lightweight, portable photovoltaic device to 
reduce the footprint and logistical burden on the warfighter. 

* Artificial photosynthesis. Several initiatives at DOE and NSF 
reported having the broad goal of supporting artificial 
photosynthesis, which converts sunlight, carbon dioxide, and water 
into a fuel, such as hydrogen. For example, one of DOE's Energy 
Innovation Hubs, the Fuels from Sunlight Hub, supports basic research 
to develop an artificial photosynthesis system with the specific goals 
of (1) understanding and designing catalytic complexes or solids that 
generate chemical fuel from carbon dioxide and/or water; (2) 
integrating all essential elements, from light capture to fuel 
formation components, into an effective system; and (3) providing a 
pragmatic evaluation of the system under development. NSF's Catalysis 
and Biocatalysis initiative has a specific goal of developing new 
materials that will be catalysts for converting sunlight into usable 
energy for direct use, or for conversion into electricity, or into 
fuel for use in fuel cell applications. 

* Integrating solar energy into the grid. Officials from several 
initiatives reported focusing on demonstration activities for 
technologies with the broad goal of integrating solar or renewable 
energies into the grid or onto military bases. For example, DOE's 
Smart Grid Research and Development initiative has a goal of 
developing smart grid technologies,[Footnote 20] particularly those 
that help match supply and demand in real time, to enable the 
integration of renewable energies, including solar energy, into the 
grid by helping stabilize variability and facilitate the safe and cost-
effective operation by utilities and consumers. The goal of this 
initiative is to achieve a 20 percent improvement in the ratio of the 
average power supplied to the maximum demand for power during a 
specified period by 2020. DOD's Installation Energy Research 
initiative has a goal of developing better ways to integrate solar 
energy into a grid system, thereby optimizing the benefit of renewable 
energy sources. 

Some initiatives may overlap on key characteristics such as technology 
advancement activities, types of technologies, types of recipients, or 
broad goals, but they also differ in meaningful ways that could result 
in specific and complementary research efforts, which may not be 
apparent when analyzing the characteristics. For example, an Army 
official told us that both the Army and Marine Corps were interested 
in developing a flexible solar substrate, which is a photovoltaic 
panel laminated onto fabric that can be rolled up and carried in a 
backpack. The Army developed technology that included a battery 
through its initiative, while the Marine Corps, through a separate 
initiative, altered the Army's technology to create a flexible solar 
substrate without a battery. Other initiatives may also overlap on key 
characteristics, but the efforts undertaken by their respective 
projects may complement each other rather than result in duplication. 
For example, DOE officials told us that one solar company may receive 
funding from multiple federal initiatives for different components of 
a larger project, thus simultaneously supporting a common goal without 
providing duplicative support. 

While we did not find clear instances of duplicative initiatives, it 
is possible that there are duplicative activities among the 
initiatives that could be consolidated or resolved through enhanced 
coordination across agencies and at the initiative level. Also, it is 
possible that there are instances in which recipients receive funding 
from more than one federal source or that initiatives may fund some 
activities that would have otherwise sought and received private 
funding. Because it was beyond the scope of this work to look at the 
vast number of activities and individual awards that are encompassed 
in the initiatives we evaluated, we were unable to rule out the 
existence of any such duplication of activities or funding. 

To Avoid Duplication, Agencies Coordinate and Verify That Recipients 
Did Not Receive Duplicative Funding: 

Officials from 57 of the 65 initiatives (88 percent) reported 
coordinating with other solar-related initiatives.[Footnote 21] 
Coordination is important because, as we have previously reported, a 
lack of coordination can waste scarce funds and limit the overall 
effectiveness of the federal effort.[Footnote 22] We have also 
previously reported that coordination across programs may help address 
fragmentation, overlap, and duplication.[Footnote 23] Officials from 
nearly all initiatives that we identified as overlapping in their 
broad goals, types of technologies, and technology advancement 
activities, reported coordinating with other solar-related 
initiatives. In October 2005, we identified key practices that can 
help enhance and sustain federal agency coordination, such as (1) 
establishing joint strategies, which help align activities, core 
processes, and resources to accomplish a common outcome; (2) 
developing mechanisms to evaluate and report on the progress of 
achieving results, which allow agencies to identify areas for 
improvement; (3) leveraging resources, which helps obtain additional 
benefits that would not be available if agencies or offices were 
working separately; and (4) defining a common outcome, which helps 
overcome differences in missions, cultures, and established ways of 
doing business.[Footnote 24] Agency officials at solar-related 
initiatives reported coordination activities that are consistent with 
these key practices, as described below. 

Some agency officials reported undertaking formal activities within 
their own agency to coordinate the efforts of multiple initiatives. 
For example: 

* Establishing a joint strategy. NSF initiatives reported 
participating in an Energy Working Group, which includes initiatives 
in the agency's Directorates for Mathematical and Physical Sciences 
and for Engineering. Officials from initiatives we identified as 
overlapping reported participating in the Energy Working Group. NSF 
formed this group to initiate coordination of energy-related efforts 
between the two directorates, including solar efforts, and tasked it 
with establishing a uniform clean, sustainable energy strategy and 
implementation plan for the agency. 

* Developing mechanisms to monitor, evaluate, and report results. DOD 
officials from initiatives in the Army, Marine Corps, and Navy that we 
identified as overlapping reported they participated in the agency's 
Energy and Power Community of Interest.[Footnote 25] The goal of this 
group is to coordinate the R&D activities within DOD. The group is 
scheduled to meet every quarter, but an Army official told us the 
group has been meeting every 3 to 4 weeks recently to produce R&D road 
maps and to identify any gaps in energy and power R&D efforts that 
need to be addressed. Because of the information sharing that occurs 
during these meetings, the official said the risk of such duplication 
of efforts across initiatives within DOD is minimized. 

In responding to our questionnaire, agency officials also reported 
engaging in formal activities across agencies to coordinate the 
efforts of multiple initiatives. For example: 

* Leveraging resources. The Interagency Advanced Power Group (IAPG), 
which includes the Central Intelligence Agency, DOD, DOE, NASA, and 
the National Institute of Standards and Technology, is a federal 
membership organization that was established in the 1950s to 
streamline energy efforts across the government and to avoid 
duplicating research efforts. A number of smaller working groups were 
formed as part of this effort, including the Renewable Energy 
Conversion Working Group, which includes the coordination of solar 
efforts. The working groups are to meet at least once each year, but 
according to a DOD official, working group members often meet more 
often than that in conjunction with outside conferences and workshops. 
The purpose of the meetings is to present each agency's portfolio of 
research efforts and to inform and ultimately leverage resources 
across the participating agencies. According to IAPG documents, group 
activities allow agencies to identify and avoid duplication of 
efforts. Several of the initiatives that we identified as overlapping 
also reported participating in the IAPG. 

* Leveraging resources and defining a common outcome. DOE's SETP in 
the Office of Energy Efficiency and Renewable Energy (EERE) 
coordinates with DOE's Office of Science and the Advanced Research 
Projects Agency-Energy (ARPA-E) through the SunShot Initiative, which 
according to SunShot officials, was established expressly to prevent 
duplication of efforts while maximizing agencywide impact on solar 
energy technologies. The goal of the SunShot Initiative is to reduce 
the total installed cost of solar energy systems by 75 percent. 
SunShot officials said program managers from all three offices 
participate on the SunShot management team, which holds "brain-
storming" meetings to discuss ideas for upcoming funding announcements 
and subsequently vote on proposed funding announcements. Officials 
from other DOE offices and other federal agencies are invited to 
participate, with coordination occurring as funding opportunities 
arise in order to leverage resources. Officials said meetings may 
include as few as 25 or as many as 85 attendees, depending on the type 
of project and the expertise required of the attending officials. 
Additionally, DOE and NSF coordinate through the SunShot Initiative on 
the Foundational Program to Advance Cell Efficiency (F-PACE), which 
identifies and funds solar device physics and photovoltaic technology 
research and development that will improve photovoltaic cell 
performance and reduce module cost for grid-scale commercial 
applications. The initiatives that reported participating in SunShot 
activities also included many that we found to be overlapping. 

* Developing joint strategies; developing mechanisms to monitor, 
evaluate, and report results; and defining a common outcome. The 
National Nanotechnology Initiative (NNI) an interagency program, which 
includes DOD, DOE, NASA, NSF, and USDA, among others, was established 
to coordinate the nanotechnology-related activities across federal 
agencies that fund nanoscale research or have a stake in the outcome 
of this research. The NNI is directed to (1) establish goals, 
priorities, and metrics for evaluation for federal nanotechnology 
research, development, and other activities; (2) invest in federal R&D 
programs in nanotechnology and related sciences to achieve these 
goals; and (3) provide for interagency coordination of federal 
nanotechnology research, development, and other activities. The NNI 
implementation plan states that the NNI will maximize the federal 
investment in nanotechnology and avoid unnecessary duplication of 
efforts. NNI includes a subgroup that focuses on nanotechnology for 
solar energy collection and conversion. Specifically, this subgroup is 
to (1) improve photovoltaic solar electricity generation with 
nanotechnology, (2) improve solar thermal energy generation and 
conversion with nanotechnology, and (3) improve solar-to-fuel 
conversions with nanotechnology. 

In addition to the coordination efforts above, officials reported 
through our questionnaire that their agencies coordinate through 
discussions with other agency officials or as part of the program and 
project management and review processes. Some officials said such 
discussions and reviews among officials occur explicitly to determine 
whether there is duplication of funding occurring. For example, SETP 
projects include technical merit reviews, which include peer reviewers 
from outside of the federal government, as well as a federal review 
panel composed of officials from several agencies. Officials from SETP 
also participate in the technical merit reviews of other DOE offices' 
projects. ARPA-E initiatives also go through a review process that 
includes federal officials and independent experts. DOE officials told 
us that an ARPA-E High Energy Advanced Thermal Storage review meeting, 
an instance of potential duplicative funding was found with an SETP 
project. Funding of the project through SETP was subsequently removed 
because of the ARPA-E review process, and no duplicative funds were 
expended. 

In addition to coordinating to avoid duplication, officials from 59 of 
the 65 initiatives (91 percent) reported that they determine whether 
applicants have received other sources of federal funding for the 
project for which they are applying. Twenty-one of the 65 initiatives 
(32 percent) further reported that they have policies that either 
prohibit or permit recipients from receiving other sources of federal 
funding for projects. Some respondents to our questionnaire said it is 
part of their project management process to follow up with funding 
recipients on a regular basis to determine whether they have 
subsequently received other sources of funding. For example, DOE's 
ARPA-E prohibits recipients from receiving duplicative funding from 
either public or private sources, and requires disclosure of other 
sources of funding both at the time of application, as well as on a 
quarterly basis throughout the performance of the award. Even if an 
agency requires that such funding information be disclosed on 
applications, applicants may choose not to disclose it. In fact, it 
was recently discovered that a university researcher did not identify 
other sources of funding on his federal applications as was required 
and accepted funding for the same research on solar conversion of 
carbon dioxide into hydrocarbons from both NSF and DOE. Ultimately, 
the professor was charged with and pleaded guilty to wire fraud, false 
statements, and money laundering in connection with the federal 
research grant. 

Agency Comments and Our Evaluation: 

We provided DOD, DOE, EPA, NASA, NSF, and USDA with a draft of this 
report for review and comment. USDA generally agreed with the overall 
findings of the report. NASA and NSF provided technical or clarifying 
comments, which we incorporated as appropriate. DOD, DOE, and EPA 
indicated that they had no comments on the report. 

As agreed with your offices, unless you publicly announce the contents 
of this report earlier, we plan no further distribution until 30 days 
from the report date. At that time, we will send copies to the 
Secretaries of Agriculture, Defense, and Energy; the Administrators of 
EPA and NASA; the Director of NSF; the appropriate congressional 
committees; and other interested parties. In addition, the report will 
be available at no charge on the GAO website at [hyperlink, 
http://www.gao.gov]. 

If you or your staff members have any questions about this report, 
please contact me at (202) 512-3841 or ruscof@gao.gov. Contact points 
for our Offices of Congressional Relations and Public Affairs may be 
found on the last page of this report. GAO staff who made key 
contributions to this report are listed in appendix IV. 

Signed by: 

Frank Rusco: 
Director: 
Natural Resources and Environment: 

[End of section] 

Appendix I: Scope and Methodology: 

The objectives of our report were to identify (1) solar-related 
initiatives supported by federal agencies in fiscal years 2010 and 
2011 and key characteristics of those initiatives and (2) the extent 
of fragmentation, overlap, and duplication, if any, among federal 
solar-related initiatives, as well as the extent of coordination among 
these initiatives. 

To inform our objectives, we reviewed a February 2012 GAO report that 
was conducted to identify federal agencies' renewable energy 
initiatives, which included solar-related initiatives, and examine the 
federal roles the agencies' initiatives support.[Footnote 26] The GAO 
report on renewable energy-related initiatives identified nearly 700 
initiatives[Footnote 27] that were implemented in fiscal year 2010 
across the federal government, of which 345 initiatives supported 
solar energy. For purposes of this report, we only included those 
solar-related initiatives that we determined were focused on research 
and development (R&D), and commercialization, which we defined as 
follows: 

* Research and development. Efforts ranging from defining scientific 
concepts to those applying and demonstrating new and improved 
technologies. 

* Commercialization. Efforts to bridge the gap between research and 
development activities and the marketplace by transitioning 
technologies to commercial applications. 

We did not include those initiatives that focused solely on deployment 
activities, which include efforts to facilitate or achieve widespread 
use of existing technologies either in the commercial market or for 
nonmarket uses such as defense, through their construction, operation, 
or use. Initiatives that focus on deployment activities include a 
variety of tax incentives. We also narrowed our list to only those 
initiatives that focused research on advancing or developing new and 
innovative solar technologies. 

Next, we shared our list with agency officials and provided our 
definitions of R&D and commercialization. We asked officials to 
determine whether the list was complete and accurate for fiscal year 
2010 initiatives that met our criteria, whether those initiatives were 
still active in fiscal year 2011, and whether there were any new 
initiatives in fiscal year 2011. If officials wanted to remove an 
initiative from our list, we asked for additional information to 
support the removal. In total, we determined that there were 65 
initiatives that met our criteria. 

To identify and describe the key characteristics of solar-related 
initiatives implemented by federal agencies, we developed a 
questionnaire to collect information from officials of those 65 
federal solar energy-related initiatives. The questionnaire was 
prepopulated with information that was obtained from the agencies for 
GAO's renewable energy report including program descriptions, type of 
solar technology supported, funding mechanisms, and type of funding 
recipients. Questions included the type of technology advancement 
activities, obligations for solar activities in fiscal years 2010 and 
2011, initiative-wide and solar-specific goals, and coordination 
efforts with other solar-related initiatives. We conducted pretests 
with officials of three different initiatives at three different 
agencies to check that (1) the questions were clear and unambiguous, 
(2) terminology was used correctly, (3) the questionnaire did not 
place an undue burden on agency officials, (4) the information could 
feasibly be obtained, and (5) the questionnaire was comprehensive and 
unbiased. An independent GAO reviewer also reviewed a draft of the 
questionnaire prior to its administration. On the basis of feedback 
from these pretests and independent review, we revised the survey in 
order to improve its clarity. 

After completing the pretests, we administered the questionnaire. We 
sent questionnaires to the appropriate agency liaisons in an attached 
Microsoft Word form, who in turn sent the questionnaires to the 
appropriate officials. We received questionnaire responses for each 
initiative and, thus, had a response rate of 100 percent. After 
reviewing the responses, we conducted follow-up e-mail exchanges or 
telephone discussions with agency officials when responses were 
unclear or conflicting. When necessary, we used the clarifying 
information provided by agency officials to update answers to 
questions to improve the accuracy and completeness of the data. 

Because this effort was not a sample survey, it has no sampling 
errors. However, the practical difficulties of conducting any survey 
may introduce errors, commonly referred to as nonsampling errors. For 
example, difficulties in interpreting a particular question, sources 
of information available to respondents, or entering data into a 
database or analyzing them can introduce unwanted variability into the 
survey results. However, we took steps to minimize such nonsampling 
errors in developing the questionnaire--including using a social 
science survey specialist for design and pretesting the questionnaire. 
We also minimized the nonsampling errors when collecting and analyzing 
the data, including using a computer program for analysis, and using 
an independent analyst to review the computer program. Finally, we 
verified the accuracy of a small sample of keypunched records by 
comparing them with their corresponding questionnaires, and we 
corrected the errors we found. Less than 0.5 percent of the data items 
we checked had random keypunch errors that would not have been 
corrected during data processing. To conduct our analysis, a 
technologist compared all of the initiatives and identified 
overlapping initiatives as those sharing at least one common 
technology advancement activity, one common technology, and having 
similar goals. A second technologist then completed the same analysis, 
and the two then compared their findings and, where they differed, 
came to a joint decision as to which initiatives broadly overlapped on 
their technology advancement activities, technologies, and broad 
goals. If the two technologists could not come to an agreement, a 
third technologist determined whether there was overlap. To assess the 
reliability of obligations data, we asked officials of initiatives 
that comprised over 90 percent of the total obligations follow-up 
questions on the data systems used to generate that data. While we did 
not verify all responses, on the basis of our application of 
recognized survey design practices and follow-up procedures, we 
determined that the data used in this report were of sufficient 
quality for our purposes. 

We conducted this performance audit from September 2011 to August 2012 
in accordance with generally accepted government auditing standards. 
Those standards require that we plan and perform the audit to obtain 
sufficient, appropriate evidence to provide a reasonable basis for our 
findings and conclusions based on our audit objectives. We believe 
that the evidence obtained provides a reasonable basis for our 
findings and conclusions based on our audit objectives. 

[End of section] 

Appendix II: Solar-Related Initiatives at Six Federal Agencies, 
Descriptions and Fiscal Years 2010 and 2011 Obligations: 

Tables 4, 5, 6, 7, 8, and 9 provide descriptions, by agency, of the 65 
initiatives that support solar energy technologies and the obligations 
for those initiatives' solar activities in fiscal years 2010 and 2011. 

Table 4: Department of Defense Solar-Related Initiatives: 

Initiative name and implementing organization: Air Force: Aviation 
Propulsion/Power Generation Research; 
Description: Renewable fuels evaluation is conducted as part of 
component testing for new propulsion and power systems. The 
initiative's goals are to carry out research, development, and 
demonstration efforts to integrate high-efficiency, lightweight, and 
flexible solar cells into operational small unmanned air systems in 
order to extend flight endurance. The Air Force also conducts 
congressional or committee-directed work; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$7,086,000. 

Initiative name and implementing organization: Air Force: Other Power 
Generation Research; 
Description: This initiative comprises several basic research efforts 
related to improving materials to be used in producing renewable 
energy. Renewable energy-related research under this program includes, 
for example, efforts to design organic solar cells and to design new 
nanostructures for conversion of solar energy to electricity. Solar-
related research includes developing the capability to produce low-
cost, lightweight, flexible, and efficient solar cells with numerous 
military applications including powering of autonomous unmanned air 
vehicles, remote sensors, and deployed systems. A variety of next-
generation, advanced solar cell technologies are being pursued 
including both polymer-based and nanoparticle-based devices; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$8,100,000[A]. 

Initiative name and implementing organization: Air Force: Other 
Research and Development Efforts; 
Description: This area includes several Air Force research efforts, 
most of which are congressional or committee-directed, that involve 
renewable energy. For example, as part of the Support Systems 
Development Program's Logistics Systems Development Project, Air Force 
efforts include alternate energy research and integration, and 
demonstration and validation of renewable energy technology. Specific 
projects will validate that on-base or near-base deployment of thin-
film solar photovoltaic arrays and concentrated solar designs are a 
cost effective solution that will allow the Air Force installations at-
large to achieve renewable energy mandates, while also providing a 
secure clean and reliable back-up source of energy; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$6,290,643. 

Initiative name and implementing organization: Air Force: Power 
Generation Research for Facilities and Deployed Locations; 
Description: This area of Air Force research includes activities to 
reduce costs and improve the performance and sustainability of Air 
Force operations. Renewable energy-related research in this area 
includes specific efforts to develop higher efficiency solar power 
technologies for deployed applications. Also, as part of programs 
under this area, the Air Force is charged with administering some 
congressional or committee-directed work that, in some instances, 
includes a renewable energy-related focus. The goal for the Solar 
Integrated Power Shelter System is to generate 3kW power and reduce 
demands by 50% to allow cooling two shelters with a single 
environmental control unit. In this project, deployable shelters are 
retrofit with improved or emerging shelter liner (insulation), shelter 
fly, and/or thin photovoltaic modules and evaluated for their 
effectiveness to improve efficiency and reduce energy consumption; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$2,270,000[A]. 

Initiative name and implementing organization: Air Force: Space 
Propulsion/Power Generation Research; 
Description: This area of Air Force research includes several programs 
with work that includes developing improved methods for powering 
spacecraft. Renewable energy-related research under this area is 
focused on the use of solar power with the goal of developing solar 
cells that are higher in efficiency and lower in mass while providing 
flexibility for integration into novel array structures. For example, 
under the Space Technology and Advanced Spacecraft Technology 
Programs, the Air Force is working to develop and improve solar cell 
technologies for space applications. Also, as part of this area of 
research, the Air Force is charged with administering some 
congressional or committee-directed work that, in some instances, 
includes a renewable energy-related focus; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$17,517,562. 

Initiative name and implementing organization: Army: Basic Solar Power 
Generation Research; 
Description: Army research efforts in this area involve two programs 
that fund applied research on technologies in areas such as electronic 
and power components, as well as demonstration of more advanced 
military engineering technologies. Renewable energy-related research 
activities in this area include investigating the use of solar energy 
technologies for various Army applications. These efforts are funded 
as part of congressional or committee-directed work that the Army is 
charged with administering. For example, in fiscal year 2010, the Army 
funded research on advanced flexible solar photovoltaic technologies, 
among other projects related to solar energy; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$5,770,928. 

Initiative name and implementing organization: Army: Installation 
Energy Research; 
Description: This area of Army research includes programs that develop 
and demonstrate military engineering technologies, among other 
efforts. Renewable energy-related research activities in this area 
involve developing energy technology solutions, including renewable 
energy, for fixed installations and enduring forward operating bases. 
For example, as part of the Military Engineering Technology Program, 
the Army researches technologies necessary for secure, energy 
efficient, sustainable military installations, including developing 
methods to optimize sustainable energy generation and integrate 
renewable energy resources. Also, as part of these programs, the Army 
is charged with administering some congressional or committed-directed 
work that, in some instances, includes a renewable energy-related 
focus. Specific solar goals for this initiative include developing 
better ways to integrate solar energy into a grid system and improving 
the conversion efficiency of solar photovoltaic devices for creating 
novel photovoltaic configurations allowing flexible mounting of solar 
cells onto Army systems; 
FY 2010 and FY 2011 total (actual and estimated) obligations: $850,500. 

Initiative name and implementing organization: Army: Intelligent Power 
Distribution System Research; 
Description: Army research efforts in this area span several programs 
that focus on technology development and demonstration to meet a 
variety of military needs. Renewable energy-related research 
activities in this area focus on developing power distribution systems 
that can accept inputs from a variety of energy sources, including 
alternative/renewable energy sources. For example, as part of the 
Army's work on the Transportable Hybrid Electric Power Station 
project, the Army is demonstrating intelligent power management 
technology that helps incorporate renewable energy sources to reduce 
the use of fossil fuel generators. Also, as part of these programs, 
the Army is charged with administering some congressional or committed-
directed work that, in some instances, includes a renewable energy-
related focus. For example, in fiscal year 2010, this work included an 
effort to build and demonstrate a microgrid with plug-in electric 
vehicles to determine the technical readiness of microgrids to accept 
power from various inputs while charging the selected vehicles and 
providing power to other applications; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$1,372,000[A]. 

Initiative name and implementing organization: Army: National Defense 
Center for Energy and Environment; 
Description: This Army research effort includes funding for the 
National Defense Center for Energy and Environment, which was 
established in 1990 to address high-priority environmental problems 
for DOD, other government agencies, and the industrial community. The 
center is used to demonstrate and validate environmentally acceptable 
technologies and assist in the training of potential users as part of 
the technology transfer process. The center is managed by the Army on 
behalf of the Office of the Deputy Under Secretary of Defense for 
Installations and Environment. The center conducts work at the request 
of multiple stakeholders, including, among other topics, research 
related to alternative fuels and renewable energy. While not 
specifically focused or directly related to solar energy research 
and/or technology, the goal of this program in terms of solar energy 
is to demonstrate renewable energy solutions (that include solar 
technology) and capture technology performance and cost-related data 
that can be used by the customer as a basis for determining if the 
technology is viable for their installation or operational needs; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$1,775,000[A]. 

Initiative name and implementing organization: Army: Other Power 
Generation Research; 
Description: Army research efforts in this area encompass two programs; 
one that focuses on fundamental research to provide new concepts and 
technologies to meet the Army's future needs, and another that 
supports advanced development of technologies to reduce the logistics 
burden. Renewable energy-related research activities in this area 
focus on using renewable energy sources for power generation. However, 
unlike Army renewable energy-related research in other areas, research 
in this area examines renewable energy sources in general and is not 
specifically targeted to certain renewable energy sources. For 
example, under the Defense Research Sciences Program, the Army funds 
the investigation of a variety of approaches for novel energy 
harvesting (e.g., from light, heat, vibration, isotope, and biological 
energy sources). Alternatively, under the Soldier Support and 
Survivability Program, the Army has funded demonstrations of 
improvements to combat feeding equipment to improve the energy 
efficiency of refrigeration equipment to allow the equipment to be 
powered by renewable energy sources (e.g., solar power). Current solar-
related activities include efforts to improve the energy conversion 
efficiency of photovoltaic devices to create novel photovoltaic 
configurations allowing flexible and conformal mounting of solar cells 
onto Army systems. Thermophotovoltaic energy sources are also being 
examined; 
FY 2010 and FY 2011 total (actual and estimated) obligations: $389,000. 

Initiative name and implementing organization: Army: Other Vehicle 
Energy Storage Research; 
Description: Army research in this area involves the Combat Vehicle 
and Automotive Technology Program, which funds development of 
automotive technologies through various efforts, including, for 
example, the National Automotive Center--a shared government and 
industry program to leverage commercial investments in automotive 
technology research for Army ground combat and tactical vehicle 
applications. Renewable energy-related research in this area focuses 
on advancing vehicle energy storage technologies that will allow 
vehicles to incorporate alternative/renewable energy into hybrid 
electric vehicles; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$3,526,831. 

Initiative name and implementing organization: Army: Tactical Electric 
Power Research; 
Description: Army efforts in this area span several research programs 
that develop, mature, and accelerate technologies to meet a variety of 
military needs. Renewable energy-related research activities in this 
area focus on incorporating renewable energy technologies into 
tactical electric power generation. For example, the Combating 
Terrorism-Technology Development Program includes an effort to develop 
a Transportable Hybrid Electric Power Station that incorporates solar 
and wind energy technologies to reduce use of fossil fuel generators. 
As part of these programs, the Army is charged with administering some 
congressional or committee-directed work that, in some instances, 
includes a renewable energy-related focus. For example, in fiscal year 
2010, this work included developing a flexible solar cell for a man 
portable power generator; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
3,100,000. 

Initiative name and implementing organization: Marine Corps: Enhanced 
Company Operations Small Unit Power and Logistics Demand Reduction; 
Description: This initiative represents a series of Marine Corps 
efforts to examine the training, tactics, equipment, and other aspects 
of the operations of a Marine Corps infantry company in order to 
identify ways to improve the ability of the company to operate 
independently. In fiscal year 2010, these efforts included assessment 
of renewable energy options to include the use of a reformed methanol 
fuel cell to support a small unit electrical power system that could 
reduce the number, weight, and types of replacement batteries carried 
by the Marine Corps. Another renewable energy-related effort under 
this initiative involves examining ways to reduce the logistics demand 
of a company-sized unit in a variety of ways, including the use of 
renewable energy technologies. Solar energy is one of several areas 
explored for the Logistics Demand Reduction initiative. All of these 
efforts support the goal identified in the Marine Corps Expeditionary 
Energy Strategy of meeting operational demand with renewable energy; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$18,790,000. 

Initiative name and implementing organization: Marine Corps: 
Experimental Forward Operating Base; 
Description: This initiative is a Marine Corps process that brings 
together stakeholders from across the Marine Corps' requirements, 
acquisitions, and technology development communities to quickly 
evaluate and deploy technologies to reduce the need for battlefield 
"liquid logistics" (fuel and water) and to inform requirements 
development. For example, in August 2010, a Marine unit tested three 
renewable technologies--the Ground Renewable Expeditionary Energy 
System, the Solar Portable Alternative Communications Energy System, 
and the Zerobase Solar Regenerator; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$1,886,000. 

Initiative name and implementing organization: Navy: Future Naval 
Capabilities Program; 
Description: The Future Naval Capabilities Program represents the 
requirements-driven, delivery oriented portion of the Navy's Science 
and Technology portfolio. Future Naval Capabilities investments 
respond to Naval Science and Technology Gaps that are generated by the 
Navy and Marine Corps after receiving input from Naval Research 
Enterprise stakeholders. The Future Naval Capabilities Program focuses 
on high-priority capabilities and transitioning developed products to 
naval acquisition and naval forces. This program focuses on taking 
technologies that have reached the applied or advanced technology 
development research stages, and maturing them for transition to Naval 
acquisition programs. Two areas of focus under the program include (1) 
"Lightening the Load" and (2) "Battlefield Power." In fiscal years 
2010 and 2011, the Advanced Power Generation product did have one 
solar-related initiative: the Ground Renewable Expeditionary Energy 
System (GREENS). This portable hybrid photovoltaic/battery power 
system was developed and demonstrated for the Marine Corps and was 
subsequently deployed forward as part of Operation Enduring Freedom. 
The solar research goal under this initiative was to develop and 
demonstrate a photovoltaic energy system capable of providing 300 
watts of power continuously for 24 hours per day/7 days per week and 
suitable for fielding by the Marine Corps; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$700,000[A]. 

Initiative name and implementing organization: Navy: Other Power 
Generation Research; 
Description: This initiative has a goal of discovering and developing 
new power generation materials, devices and systems, maturing power 
generation concepts capable of meeting application specific metrics 
and constraints to Technology Readiness Level (TRL) 6, and 
transitioning those new energy storage technology capabilities to Navy 
and Marine Corps acquisition program offices for final maturation and 
fielding (TRL 7-9). The goal for this solar initiative is to develop 
low cost, lightweight, rollable, and easily deployable solar cells 
that can greatly reduce the logistics burden of supplying power to the 
Marine Corps and could also power remote sensors for the Navy. These 
goals include the development of new active materials by computation, 
organic synthesis, and characterization, as well as materials and 
technology scale-up and development of devices with improved stability; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$6,825,000[A]. 

Initiative name and implementing organization: Office of the Secretary 
of Defense: Engineered Bio-Molecular Nano-Devices and Systems; 
Description: This initiative is part of the Materials Processing 
Technology project under Alternate Power Sources which includes the 
Defense Advanced Research Projects Agency (DARPA) Portable 
Photovoltaic Program. Other programs in the Alternate Power Sources 
heading are not solar-related. The overall goal of DARPA's Portable 
Photovoltaic Program is to provide a low-cost, lightweight, portable 
photovoltaic device that has high-power conversion efficiency in a 
form factor amenable to low-cost production on flexible substrates for 
widespread use by DOD forces to reduce the footprint and logistical 
burden on the warfighter; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$3,256,201. 

Initiative name and implementing organization: Office of the Secretary 
of Defense: Environmental Security Technology Certification Program - 
Energy and Water Program; 
Description: This initiative is a DOD demonstration/validation 
program, under which DOD provides funding to take environmental and 
energy technologies that are ready to be demonstrated and places them 
at DOD facilities for the purpose of collecting data on cost and 
performance to see if the technologies should be brought to scale and 
used. Demonstration projects are selected from across the federal 
government and the private sector using a competitive solicitation 
process. There are five program areas under the initiative, including 
an Energy and Water Program, which provides funding for demonstrations 
of renewable energy technologies, among other types of energy and 
water projects. The demonstrations help increase the speed and scale 
of commercialization of emerging renewable energy technologies by 
helping to build acceptance of the technologies through partnerships 
between technology developers and DOD. Solar energy, including 
technologies such as solar thermal technologies for hot water and HVAC 
applications, is a subset of efforts to find cost competitive 
distributed energy generation that will improve DOD installation 
energy security; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$10,400,000. 

Initiative name and implementing organization: Office of the Secretary 
of Defense: Fast Access Spacecraft Testbed Program; 
Description: The Fast Access Spacecraft Testbed (FAST) Program was 
part of the Space Programs and Technology project. Its goal was to 
demonstrate a suite of critical technologies, including high-
efficiency solar cells, sunlight concentrating arrays, and ultra 
lightweight solar arrays. Combined with electric propulsion, these 
technologies would enable fast-transfer roaming satellites with nearly 
five times the fuel efficiency of conventional chemical propulsion; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$3,060,000. 

Initiative name and implementing organization: Office of the Secretary 
of Defense: Mobile Smart Power Initiative; 
Description: This initiative was started to demonstrate alternative 
power generation options for small forward operating bases. These 
efforts included assessing the performance, safety, reliability, and 
maintainability of a hybrid photovoltaic battery system. Special 
Operations Command evaluated several different systems as part of this 
initiative under two programs: one that provides funding to 
demonstrate and evaluate emerging/advanced technologies for Special 
Operations Forces; 
and another that provides funding to develop and deploy special 
capabilities for Special Operations Forces to perform intelligence 
surveillance and reconnaissance. Special Operations Command sought to 
demonstrate that larger scale solar power (28kW - 56kW) systems could 
save fuel and lives at forward operating bases in austere locations 
such as Afghanistan; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$1,650,000. 

Initiative name and implementing organization: Office of the Secretary 
of Defense: Net Zero Plus Joint Capability Technology Demonstration 
Program; 
Description: This program has demonstrated various technologies to 
reduce fuel use at forward operating bases. It leverages research and 
development from federal and private labs and available technologies 
in, for example, alternative fuels, novel power storage, and 
innovative power generation. Technologies ranged from energy efficient 
structures to smart power management. The renewable energy 
technologies consisted of solar panels built into tent structures and 
200 kW solar panel arrays integrated with the microgrid to reduce fuel 
usage. The program is part of the Joint Capability Technology 
Demonstration Program, which demonstrates joint solutions to 
prioritized combatant commander capability gaps and speeds solutions 
to warfighters in 18 to 36 months. The Joint Capability Technology 
Demonstration Program goal for solar energy technology included 
incorporation of flexible photovoltaic panels to utilize solar energy 
as a renewable energy source to provide electricity that would 
normally be supplied by conventional generators; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$2,442,000. 

Initiative name and implementing organization: Office of the Secretary 
of Defense: Novel Power Sources; 
Description: This initiative is part of the Materials Processing 
Technology project, which seeks to develop materials that will lower 
the cost, increase the performance, or enable new missions for 
military platforms and systems. Under this initiative, DARPA explores 
new materials and processes to efficiently generate and control power, 
with a focus on energy sources that are compatible with military 
fuels. Renewable energy efforts under this initiative include 
developing and integrating new processes to convert carbon dioxide and 
water into syngas and cellulosic biomass into synthetic fuel for use 
in fuels cells, biomass conversion systems, and solar fuel systems; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$16,511,706. 

Initiative name and implementing organization: Office of the Secretary 
of Defense: Photovoltaic Power Supply; 
Description: As part of the work under its Advanced Technology 
Development Program, Special Operations Command is charged with 
administering some congressional or committee-directed work. In some 
instances, this work includes a renewable energy-related focus. For 
example, in fiscal year 2010, this work included conducting research 
and development of technologies to improve the efficiency of solar 
photovoltaic panels for small scale charging systems. The goal of this 
project is to develop increased efficiency in photovoltaic cell 
technology for Special Operations Command applications, including 
developing various photovoltaic compositions to increase solar cell 
conversion efficiency and to assess their ability to power autonomous 
sensors; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$1,970,851. 

Initiative name and implementing organization: Office of the Secretary 
of Defense: Photovoltaic Ribbon Solar Cell Technology Project; 
Description: As part of the work under its Materials Processing 
Technology project, the Defense Advanced Research Projects Agency is 
charged with administering some congressional or committee-directed 
work. In some instances, this work includes a renewable energy-related 
focus. For example, in fiscal year 2010, this work included conducting 
research into photovoltaic ribbon solar cell technology. The goal of 
this project is to create a new process for synthesis of thin, 
flexible, high-quality solar cells. The solar cells will be 
appropriate for coupling with prismatic holographic films for the 
purpose of creating lightweight, flexible modules; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$2,869,963. 

Initiative name and implementing organization: Office of the Secretary 
of Defense: Smart Power Infrastructure Demonstration for Energy 
Reliability and Security (SPIDERS) Joint Capability Technology 
Demonstration; 
Description: SPIDERS will demonstrate cyber-secure "smart" microgrids 
with demand side management and integration of renewable energy and 
storage on military installations, in partnership with Department of 
Homeland Security and Department of Energy. SPIDERS will reduce the 
"unacceptably high risk" of extended electric grid outages by 
developing the capability to "island" installations while maintaining 
operational surety and security. SPIDERS will protect task critical 
assets from loss of power due to cyber attack, integrate renewable 
(solar, wind) and other distributed energy generation concepts to 
power task critical assets in times of emergency, sustain critical 
operations during prolonged power outages, and manage installation 
electrical power and consumption efficiency to reduce petroleum demand 
and carbon "bootprint"; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$4,421,000. 

Initiative name and implementing organization: Office of the Secretary 
of Defense: Very High Efficiency Solar Cell Program; 
Description: This program addresses a variety of issues with improving 
the efficiency of photovoltaic technologies, including the development 
of high-efficiency design concepts; 
new and innovative components, materials, and processes necessary to 
achieve these concepts; 
and scalable fabrication processes that allow industrial manufacturing 
of an affordable product. In particular, work under this program seeks 
to raise the efficiency of a new class of solar modules to 40 percent 
and deliver engineering prototypes. The technology would be used to 
power both permanent and mobile bases, as well as to reduce the 
logistical burden of supplying energy (e.g., batteries and fuel) in 
the field; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$4,753,111. 

Initiative name and implementing organization: Office of the Secretary 
of Defense: Vulture Program; 
Description: The objective of the Vulture program is to develop and 
demonstrate the technology to enable an airborne payload to remain 
persistently on-station, uninterrupted and unreplenished, for over 5 
years performing strategic and tactical communications, position/ 
navigation/timing and intelligence, surveillance, and reconnaissance 
missions over an area of interest. Vulture technology enables a 
retaskable, persistent pseudo-satellite capability, in an aircraft 
package. The program is pursuing technologies that advance the state 
of the art for a self-contained solar regenerative closed cycle energy 
system to be used to propel and provide prime power on long endurance 
air platforms. To this end, the program plans to integrate and test 
commercially available technologies that include solar and solid oxide 
fuel cells; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$17,053,000. 

Initiative name and implementing organization: Total; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$154,637,296. 

Source: GAO analysis of agency-provided data. 

[A] All or part of the agency-provided obligations are estimated. 

[End of table] 

Table 5: Department of Energy Solar-Related Initiatives: 

Initiative name and implementing office: Advanced Research Projects 
Agency-Energy: ARPA-E Funding Opportunity Announcement 1[A]; 
Description: Under this initiative, ARPA-E provides funding to support 
research on a variety of energy ideas and technologies. This research 
funding is focused on applicants with well-formed research and 
development plans for potentially high-impact concepts or new 
technologies, including renewable technologies; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$5,000,272. 

Initiative name and implementing office: Advanced Research Projects 
Agency-Energy: High Energy Advanced Thermal Storage (HEATS)[A]; 
Description: Through this initiative, ARPA-E seeks to develop 
revolutionary cost-effective thermal energy storage technologies in 
three focus areas: (1) high temperature storage systems to deliver 
solar electricity more efficiently around the clock and allow nuclear 
and fossil baseload resources the flexibility to meet peak demands, 
(2) fuel produced from the sun's heat, and (3) HVAC systems that use 
thermal storage to dramatically improve the driving range of electric 
vehicles; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 0. 

Initiative name and implementing office: Advanced Research Projects 
Agency-Energy: Solar Solar Agile Delivery of Electrical Power 
Technology (Solar ADEPT)[A]; 
Description: Solar ADEPT is ARPA-E's portion of the SunShot 
collaboration. SunShot leverages the unique strengths across DOE to 
reduce the total cost of utility-scale solar systems by 75 percent by 
2017. If successful, this collaboration would deliver solar 
electricity at roughly 6 cents a kW hour--a cost competitive with 
fossil fuels. Solar ADEPT focuses on integrating advanced power 
electronics into solar panels and solar farms to extract and deliver 
energy more efficiently. Specifically, ARPA-E aims to invest in key 
advances in magnetic, semiconductor switches, and charge storage, 
which could reduce power conversion costs by up to 50 percent for 
utilities and 80 percent for homeowners; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 0. 

Initiative name and implementing office: Energy Efficiency and 
Renewable Energy: Emerging Technologies; 
Description: Through this initiative, EERE works to develop cost-
effective technologies to meet the thermal energy needs of residential 
and commercial buildings, including through solar heating and cooling. 
Specific activities related to renewable energy include funding 
federal researchers and national labs to analyze technology 
advancement of solar domestic water heating, space heating, and space 
cooling, and determine future needs for creating marketable net zero 
energy designs--designs which allow buildings to produce as much 
energy as they use; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$5,195,000. 

Initiative name and implementing office: Energy Efficiency and 
Renewable Energy: Hydrogen Fuel R&D[B]; 
Description: This initiative focuses on R&D to develop hydrogen 
production, delivery, and storage technologies, including those from 
hydrogen produced using renewable energy sources such as biomass, 
solar, wind, etc; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$10,102,840. 

Initiative name and implementing office: Energy Efficiency and 
Renewable Energy: Hydrogen and Fuel Cell Technologies Crosscutting 
Activities[B]; 
Description: This initiative focuses on crosscutting functions for 
hydrogen and fuel cell technologies such as manufacturing, technology 
validation, safety codes and standards, and education. It also 
analyzes technologies to identify gaps and help direct future research 
and development; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 0. 

Initiative name and implementing office: Energy Efficiency and 
Renewable Energy: National Renewable Energy Laboratory's Laboratory 
Directed Research and Development; 
Description: Projects through this initiative serve as the basis for 
proposing new projects and/or programs to DOE by developing and 
demonstrating a new capability or establishing proof-of-principle at 
the forefront of science and technology. Projects, which must adhere 
to the laboratory-directed research and development policy, are 
selected based on technical merit and strategic alignment and are 
screened to assure they are not duplicative of program efforts; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$6,019,591. 

Initiative name and implementing office: Energy Efficiency and 
Renewable Energy: Solar Energy Technologies Program - Concentrated 
Solar Power; 
Description: This initiative focuses on concentrating solar power 
technologies, which use mirrors to reflect and concentrate sunlight 
onto receivers that collect the solar energy and convert it to heat. 
Goals include increasing the use of these technologies in the United 
States, making them competitive in the intermediate power market--
which operates between the continuously operating baseload market and 
the high demand only peak market--by 2015, and developing advanced 
technologies that will reduce systems and storage costs to make them 
competitive in the baseload power market by 2020. Efforts include 
contracts with industry, advanced research at its national 
laboratories, and collaboration with other government agencies to 
remove barriers to deploying the technology; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$78,722,511. 

Initiative name and implementing office: Energy Efficiency and 
Renewable Energy: Solar Energy Technologies Program - Photovoltaic R&D; 
Description: This initiative advances photovoltaic technology with a 
goal of achieving grid parity--the point at which alternative means of 
generating electricity are as cheap as traditional sources--by 2015. 
To that end, DOE is investing in approaches ranging from basic cell 
technologies to total system development that demonstrate progress 
toward minimizing the life cycle cost of solar energy. In conducting 
this work, DOE is partnering with its national laboratories, start-up 
companies, universities, and integrated industry teams; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$260,829,432. 

Initiative name and implementing office: Energy Efficiency and 
Renewable Energy: Solar Energy Technologies Program - Market 
Transformation; 
Description: This initiative identifies and addresses market barriers 
to make it possible for states, cities, and utilities to adopt solar 
energy programs. It develops specific activities and external 
partnerships to address those barriers--for example, opening the grid 
for electricity produced by solar power plants; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$39,608,824. 

Initiative name and implementing office: Energy Efficiency and 
Renewable Energy: Solar Energy Technologies Program - Systems 
Integration; 
Description: Under this initiative, DOE works with the solar industry, 
utilities, and national laboratories to address the barriers to large-
scale deployment of solar technologies. It focuses on understanding 
and removing the regulatory, technical, and economic barriers to 
integrating solar electricity into the electric grid; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$76,764,397. 

Initiative name and implementing office: Loan Programs Office: Title 
XVII Section 1703 Loan Guarantee Program; 
Description: Section 1703 of Title XVII of the Energy Policy Act of 
2005 authorized DOE to provide loans to support innovative clean 
energy technologies that are typically unable to obtain conventional 
private financing due to high technology risks. In addition, the 
technologies must avoid, reduce, or sequester air pollutants or 
emissions of greenhouse gases. Eligible technologies under this 
initiative included biomass, solar, wind, hydropower, and alternative 
fuel vehicles, among others. Under section 1703, borrowers were to pay 
DOE for the credit subsidy costs. However, DOE noted that, once the 
section 1705 Loan Guarantee Program was established under the Recovery 
Act specifically to support renewable energy and certain other 
projects, renewable energy projects have been supported under the 
section 1705 Loan Guarantee Program rather than the section 1703 Loan 
Guarantee Program; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 0. 

Initiative name and implementing office: Loan Programs Office: Title 
XVII Section 1705 Loan Guarantee Program[C]; 
Description: The Recovery Act added section 1705 to the Energy Policy 
Act of 2005. Section 1705 authorizes a temporary program to provide 
loan guarantees for certain renewable energy systems, electric power 
transmission systems and innovative biofuel projects that began 
construction no later than September 30, 2011. To implement this 
authority, DOE established the Financial Institution Partnership 
Program, a risk-sharing partnership between DOE and qualified finance 
organizations. Through this program, DOE pays the credit subsidy costs 
of loan guarantees using funds appropriated for this purpose and 
guarantees up to 80 percent of a loan provided for a renewable energy 
generation project by qualified financial institutions. In addition, 
DOE deployed the section 1705 authority to fund eligible innovative 
solar projects through the Federal Financing Bank; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$1,681,764,960. 

Initiative name and implementing office: Office of Electricity 
Delivery and Energy: Energy Storage; 
Description: This initiative focuses on storing electricity generated 
by renewable energy sources during periods of low demand and 
discharging it during periods of high demand. It also focuses on 
connecting renewable sources to the grid, allowing transmission lines 
to be more effectively utilized, and supporting demonstration 
projects. The Office of Electricity Delivery and Energy's efforts 
under this initiative also include communications, education, and 
outreach; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$4,000,000[A]. 

Initiative name and implementing office: Office of Electricity 
Delivery and Energy: Clean Energy Transmission and Reliability; 
Description: This initiative focuses on developing tools and 
techniques to address challenges that renewable energy sources--
particularly wind and solar power--pose to electricity grid operators, 
who need to incorporate these variable generation sources without 
compromising reliability. The Office of Electricity Delivery and 
Energy's efforts under this initiative also include communications, 
education, and outreach; 
FY 2010 and FY 2011 total (actual and estimated) obligations: Unable 
to provide. 

Initiative name and implementing office: Office of Electricity 
Delivery and Energy: Smart Grid Research and Development; 
Description: This initiative focuses on developing smart grid 
technologies, particularly those that help match supply and demand in 
real time. Such technologies enable the integration of renewable 
resources by reducing power disturbances, helping stabilize the 
variability of renewable energy sources, and facilitating their safe 
and cost-effective operation by utilities and consumers. The Office of 
Electricity Delivery and Energy's efforts under this initiative also 
include communications, education, and outreach; 
FY 2010 and FY 2011 total (actual and estimated) obligations: Unable 
to provide. 

Initiative name and implementing office: Office of Science: Office of 
Basic Energy Sciences - Chemical Sciences, Geosciences, and 
Biosciences Core Research; 
Description: The Office of Basic Energy Sciences supports fundamental 
research to understand, predict, and ultimately control matter and 
energy at the electronic, atomic, and molecular levels in order to 
provide the foundations for new energy technologies and to support DOE 
missions in energy, environment, and national security. The Chemical 
Sciences, Geosciences, and Biosciences Division supports experimental, 
theoretical, and computational research to provide fundamental 
understanding of chemical transformations and energy flow in systems 
relevant to DOE missions. This knowledge serves as a basis for the 
development of new processes for the generation, storage, and use of 
energy and for mitigation of the environmental impacts of energy use; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$71,913,000. 

Initiative name and implementing office: Office of Science: Office of 
Basic Energy Sciences - Materials Sciences and Engineering Division; 
Description: The Office of Basic Energy Sciences supports fundamental 
research to understand, predict, and ultimately control matter and 
energy at the electronic, atomic, and molecular levels in order to 
provide the foundations for new energy technologies and to support DOE 
missions in energy, environment, and national security. The Materials 
Sciences and Engineering Division supports fundamental experimental 
and theoretical research to provide the knowledge base for the 
discovery and design of new materials with novel structures, 
functions, and properties. This knowledge serves as a basis for the 
development of new materials for the generation, storage, and use of 
energy and for mitigation of the environmental impacts of energy use; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$22,645,000. 

Initiative name and implementing office: Office of Science: Energy 
Frontier Research Centers; 
Description: Under this initiative, the Office of Science funds 
centers that conduct basic and advanced discovery research to 
accelerate advanced energy technologies, including renewable energy 
technologies. The centers are overseen by program staff in the 
Materials Sciences and Engineering subprogram and the Chemical 
Sciences, Geosciences, and Biosciences subprogram; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$38,200,000. 

Initiative name and implementing office: Office of Science: Energy 
Innovation Hubs; 
Description: This initiative is part of a broad-based research 
strategy to help the United States meet energy and climate challenges. 
Under this initiative, DOE has launched three Energy Innovation Hubs 
modeled after its Bioenergy Research Centers. The hubs will help 
advance highly promising areas of energy science and engineering from 
the early stage of research to the point where the technology can be 
handed off to the private sector. The Fuels from Sunlight Hub in 
particular focuses on renewable energy, seeking to develop an 
effective solar energy to chemical fuel conversion system; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$42,000,000. 

Total: 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$2,342,765,827. 

Source: GAO analysis of agency-provided data. 

[A] The Advanced Research Projects Agency-Energy's authorizing 
legislation, the America Creating Opportunities to Meaningfully 
Promote Excellence in Technology, Education, and Science 
Reauthorization Act of 2007, (Pub. L. No. 110-69 (2007)) was 
reauthorized on January 4, 2011; and funding for the program was 
authorized through fiscal year 2013. 

[B] The Energy Policy Act of 2005 and the Energy Independence and 
Security Act of 2007 provide authorization for these activities 
through fiscal year 2015 or 2020 depending upon the activity. 

[C] The American Recovery and Reinvestment Act of 2009 added section 
1705 to the Energy Policy Act of 2005. This initiative had a sunset 
date of September 30, 2011. 

[End of table] 

Table 6: Environmental Protection Agency Solar-Related Initiatives: 

Initiative name and implementing office: Office of Research and 
Development: P3: People, Prosperity & the Planet Student Design 
Competition for Sustainability; 
Description: This initiative is a competitive grants program in which 
teams of college or university students propose the R&D of sustainable 
designs related to water, energy, agriculture, the built environment 
or materials and chemicals. Selected teams are awarded $15,000 grants 
to develop and demonstrate their ideas at the annual National 
Sustainable Design Expo in Washington, D.C., where they compete for a 
$90,000 grant to take their design to the next level or to deployment. 
Proposals related to the collection of solar energy and the use of 
solar energy for drinking water purification have been among those 
funded; 
FY 2010 and FY 2011 total (actual and estimated) obligations: $200,000. 

Total: 
FY 2010 and FY 2011 total (actual and estimated) obligations: $200,000. 

Source: GAO analysis of agency-provided data. 

[End of table] 

Table 7: National Aeronautics and Space Administration Solar-Related 
Initiatives: 

Initiative name and implementing office: Office of the Chief 
Technologist: High Efficiency Space Power Systems; 
Description: As part of the Exploration Technology Development 
Program's Enabling Technology Development and Demonstration projects, 
NASA will develop technologies to provide low-cost, abundant power for 
deep-space missions, including solar photovoltaic systems. The 
initiative will also demonstrate dual-use technologies for clean and 
renewable energy for terrestrial applications; 
FY 2010 and FY 2011 total (actual and estimated) obligations: $308,000. 

Initiative name and implementing office: Office of the Chief 
Technologist: Space Technology Research Grants Program; 
Description: This is the coupling of activities within two Office of 
the Chief Technologist programs, the Space Technology Research Grants 
Program and the NASA Innovative Advance Concepts. The Space Technology 
Research Grants Program's objective is to accelerate the development 
of push technologies through innovative efforts with high-risk/high 
payoff through the execution. The NASA Innovative Advance Concepts 
program's objective is to provide an initial study of visionary 
technology concepts that are aerospace architecture, system or 
mission, exciting by exploring a potential breakthrough, far-term 
implementing design more than 10 years out and have scientific and 
engineering credibility; 
FY 2010 and FY 2011 total (actual and estimated) obligations: $265,275. 

Initiative name and implementing office: Office of the Chief 
Technologist: Solar Sail Demonstration; 
Description: The Solar Sail Demonstration will advance the state of 
the art of the use of solar radiation pressure for in-space propulsion 
(solar sailing). The demonstration of this technology will enable many 
high-energy space missions that are not feasible using conventional 
propulsion technologies; 
FY 2010 and FY 2011 total (actual and estimated) obligations: $55,993. 

Initiative name and implementing office: Office of the NASA Associate 
Administrator: Small Business Innovations Research/Small Business 
Technology Transfer Research; 
Description: In these programs, NASA seeks small, high-technology 
companies to participate in government-sponsored research and 
development efforts in technology areas critical to NASA's missions. 
One of the areas of focus is energy conversion, including the 
development of advanced solar photovoltaic technologies to improve 
efficiency and reliability of solar power for space exploration 
missions. Another area of focus is energy generation and the 
development of renewable sources of energy, including space-based 
solar power generation and other renewable energy technologies that 
enable operation over wide temperature ranges and harsh environmental 
conditions; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$31,889,077. 

Initiative name and implementing office: Science Mission Directorate: 
High Temperature Photovoltaics; 
Description: This initiative provides support to the Organometallic 
Vapor Phase Epitaxy Facility to develop solar cells for operation at 
elevated temperatures; 
FY 2010 and FY 2011 total (actual and estimated) obligations: $450,000. 

Initiative name and implementing office: Science Mission Directorate: 
Solar Probe Plus Technology Development; 
Description: This initiative provides performance testing of triple 
junction solar cells in elevated temperature and radiation 
environments like that seen near the sun; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$350,000[A]. 

Initiative name and implementing office: Space Technology Program 
Centennial Challenges; 
Description: The Centennial Challenges Program seeks innovative 
solutions to technical problems that can drive progress in aerospace 
technology of value to NASA's missions in space operations, science, 
exploration, and aeronautics. The initiative encourages the 
participation of independent teams, individual inventors, student 
groups, and private companies in aerospace research and development. 
Competition topics include solar and other renewable energy 
technologies; 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$1,500,000. 

Total: 
FY 2010 and FY 2011 total (actual and estimated) obligations: 
$34,818,345. 

Source: GAO analysis of agency-provided data. 

[A] All or part of the agency-provided obligations are estimated. 

[End of table] 

Table 8: National Science Foundation Solar-Related Initiatives: 

Initiative name and implementing office: Directorate for Engineering: 
Catalysis and Biocatalysis; 
Description: The program funds a variety of academic research grants, 
including those in a research area known as "Catalysts and Studies for 
Alternative Energy Systems, such as Electro-and Photocatalysis." To 
meet national needs, the program prioritizes proposals for conversion 
of biomass to fuels and chemicals, development of alternative energy 
sources, and transition to green products and processes; 
FY2010 and FY2011 total (actual and estimated) obligations: 
$1,269,911[A]. 

Initiative name and implementing office: Directorate for Engineering: 
Emerging Frontiers in Research and Innovation; 
Description: The initiative funds grants for interdisciplinary 
engineering research with the potential to create a significant impact 
or meet national needs. Under the program in fiscal year 2010, NSF 
coordinated with DOE to call for proposals that help address the need 
for solar and wind energy storage; 
FY2010 and FY2011 total (actual and estimated) obligations: $8,006,000. 

Initiative name and implementing office: Directorate for Engineering: 
Energy, Power, and Adaptive Systems; 
Description: The program provides grants for academic researchers to 
design and study intelligent and adaptive engineering networks with an 
emphasis on electric power electronics, networks and grids. This focus 
includes generation, distribution, transmission and integration of 
renewable energy systems and alternative energy technologies, 
including solar cells, ocean waves, wind, and hydropower. The program 
also supports laboratory and curriculum development to integrate 
research and education; 
FY2010 and FY2011 total (actual and estimated) obligations: $4,985,617. 

Initiative name and implementing office: Directorate for Engineering: 
Energy for Sustainability Program; 
Description: The program funds fundamental academic research and 
education activities through grants to enable innovative processes for 
the sustainable production of electricity and transportation fuels. 
The program emphasizes two primary fuel sources--biofuels/bioenergy 
and photovoltaic solar energy--and also supports research in wind and 
wave energy, sustainable energy technology assessment, and fuel cells; 
FY2010 and FY2011 total (actual and estimated) obligations: $7,160,607. 

Initiative name and implementing office: Directorate for Engineering: 
Engineering Research Centers; 
Description: Since 1985, the NSF Engineering Research Center program 
has funded interdisciplinary academic-led centers that create and 
sustain an integrated research environment to advance fundamental 
engineering knowledge and engineered systems. In fiscal year 2010, the 
program issued a solicitation that included a call for energy-related 
proposals. As a result of that call, two new renewable energy-related 
engineering research centers--one in solar photovoltaic systems and 
one in electrical energy transmission--will be started with co-funding 
from DOE. In addition in fiscal year 2010, of the 15 engineering 
research centers active at that time, there were two in the renewable 
energy area--one that conducted biofuel research and one that 
conducted "smart grid" electrical energy distribution research; 
FY2010 and FY2011 total (actual and estimated) obligations: $1,502,036. 

Initiative name and implementing office: Directorate for Mathematical 
and Physical Sciences: CHE-DMR-DMS Solar Energy Initiative (SOLAR); 
Description: The initiative provides grants to support 
interdisciplinary efforts by research groups--each of which includes a 
chemist, a materials researcher, and a mathematician or statistician--
to address the scientific challenges of highly efficient harvesting, 
conversion, and storage of solar energy; 
FY2010 and FY2011 total (actual and estimated) obligations: 
$22,165,125. 

Initiative name and implementing office: Directorate for Mathematical 
and Physical Sciences: Chemical Catalysis; 
Description: The program provides grants for experimental and 
theoretical academic research on chemical agents known as catalysts 
and pre-catalysts. Specifically, the program supports research on 
topics such as solar energy conversion, biomass conversion, and other 
energy-related processes; 
FY2010 and FY2011 total (actual and estimated) obligations: $3,672,260. 

Total: 
FY2010 and FY2011 total (actual and estimated) obligations: 
$48,761,556. 

Source: GAO analysis of agency-provided data. 

[A] All or part of the agency-provided obligations are estimated. 

[End of table] 

Table 9: U.S. Department of Agriculture Solar-Related Initiatives: 

Initiative name and implementing office: Agricultural Research 
Service: Bioenergy National Program; 
Description: The mission of this Agricultural Research Service 
research program is to develop technologies for the sustainable 
commercial production of biofuels by the agricultural sector in ways 
that enhance natural resources without disrupting existing food, feed, 
and fiber markets. Agricultural Research Service efforts under this 
initiative include research on new varieties and hybrids of bioenergy 
feedstocks, practices and systems that maximize the yield of bioenergy 
feedstocks, and commercially preferred biorefining technologies; 
FY2010 and FY2011 total (actual and estimated) obligations: $270,000. 

Initiative name and implementing office: National Institute of Food 
and Agriculture: Sustainable Agriculture Research and Education 
Program; 
Description: This regionally administered competitive grant program 
supports research and education projects related to sustainable 
agriculture. It also includes a professional development program to 
provide education and training on sustainable agriculture to 
agricultural professionals. It does not specifically call for 
renewable energy proposals but has funded projects that include 
renewable energy elements, such as alternative biomass production, on-
farm biomass conversion methods, and small-scale methane digesters; 
FY2010 and FY2011 total (actual and estimated) obligations: $107,247. 

Initiative name and implementing office: National Institute of Food 
and Agriculture: Tribal Colleges Research Grants Program; 
Description: This program is a competitive grant program supporting 
fundamental and/or applied agricultural research projects that address 
high-priority food and agricultural science concerns of tribal, 
national, or multistate significance. Its mission is to encourage the 
engagement and participation of Native American students in food and 
agricultural sciences research through experiential learning. Program 
priorities are based on National Institute of Food Agriculture's 
national critical needs areas, which include development of 
sustainable energy, among others; 
FY2010 and FY2011 total (actual and estimated) obligations: $200,000. 

Total: 
FY2010 and FY2011 total (actual and estimated) obligations: $577,247. 

Source: GAO analysis of agency-provided data. 

[End of table] 

[End of section] 

Appendix III: GAO's Questionnaire for Federal Agencies with 
Initiatives Supporting Solar Energy Technologies: 

United States Government Accountability Office: 

Questions About Federal Solar-Related Initiative: [Pre-Populated 
Information] 

Introduction: 

The United States Government Accountability Office (GAO), an 
independent, legislative branch agency, is examining how the federal 
government supports research and development, and commercialization of 
solar energy technologies through solar-related initiatives (GAO job 
code 361329). Solar-related initiatives are those that could or do 
support solar energy research and/or technology, either exclusively or 
as part of a broader initiative. GAO is undertaking this work at the 
request of the Chairman of the House Committee on Science, Space, and 
Technology. This work has three objectives: (1) identify the key 
characteristics of solar energy initiatives supported by federal 
agencies; (2) determine the extent of any potential fragmentation, 
overlap, or duplication in federal solar-related initiatives; and (3) 
examine the extent to which federal agencies coordinate to achieve 
common goals for their solar-related initiatives. 

In 2011, we asked your agency to provide us with information and data 
on the renewable energy initiatives that were ongoing at your agency 
in fiscal year 2010 (GAO job code 361185). Using that information, we 
have identified any initiatives that your agency indicated had a solar 
component. Through this supplemental questionnaire, we are asking you 
to provide additional information about the initiative that you 
identified for us. After we receive your response, we will follow up, 
to discuss and clarify any outstanding questions about the initiative 
as they relate to the objectives stated above. 

This questionnaire is divided into four sections and should be 
completed by agency officials involved with the [Pre-populated 
information]: 

1) Section I: General Information About Initiative; 
2) Section II: Funding for Initiative; 
3) Section III: Coordination; 
4) Section IV: Other Information. 

Please complete all four sections and return it to one of the 
individuals mentioned below by March xx, 2012. When returning the 
questionnaire, please attach any relevant supporting documentation to 
your email. 

If you have any questions or comments about this questionnaire, please 
call or e-mail Holly Sasso at (202) 512-4888 (sassoha,gao.gov) or 
Tanya Doriss at (202) 512-9546 (dorisst@gao.gov). Thank you very much 
for your assistance. 

Instructions: 
 
This questionnaire can be completed using MS-Word and returned via e-
mail to sassoh@gao.gov or dorisst@gao.gov. Please complete this 
questionnaire and return it by March xx, 2012. 

1) Use your mouse to navigate by clicking on the field or check box • 
you wish to answer. 

2) To select a check box or button, click on the center of the box, 
and an 'X' will appear. 

3) To deselect a check box response, click on the center of the box, 
and the 'X' will disappear. 

4) To answer a question that requires a comment, click on the answer 
box and begin typing. The box will expand to accommodate your answer. 

Section I: General Information About Initiative: 

In 2011, we compiled preliminary information provided by your agency 
for this solar-related initiative as part of our renewable energy 
initiatives report (GAO job code 361185). We define solar-related 
initiatives as those that could or do support solar energy research 
and/or technology, either exclusively or as part of a broader 
initiative. The initiative itself, may support solely, or in part, 
solar research and development—including efforts ranging from defining 
scientific concepts to those applying and demonstrating new and 
improved technologies. The initiative may also support solely, or in 
part, solar technology commercialization—such as, efforts that
bridge the gap between research and development activities and the 
marketplace by transitioning technologies to commercial applications. 
We have excluded from our review any solar-related initiatives that 
solely support deployment—for example, efforts to facilitate or 
achieve widespread use of technologies either in the commercial market 
or for nonmarket uses such as defense, through their construction, 
operation, or use. 

Your agency provided the following information about the initiative to 
a previous GAO job (job code 361185). 

Initiative Title: [Pre-populated information]. 
Implementing Agency: [Pre-populated information]. 
Implementing Office: [Pre-populated information]. 
Initiative Description: [Pre-populated information]. 
Type of Solar Technology Supported: [Pre-populated information]. 
Funding Mechanism: [Pre-populated information]. 
Recipient Type: [Pre-populated information]. 

1. Is the information provided above about the initiative correct and 
complete? We define an initiative as programmatic or mission-area 
activities, or a group of agency activities serving similar purposes 
or functions. We are not considering individual projects within an 
initiative—such as a specific grant award—to be initiatives in 
themselves.
Yes: 
No: 

If you answered No, what information is incorrect or incomplete, and 
what is the correct or complete information? Please use the space 
below. 

2. Your agency previously indicated to GAO that this initiative was 
active in fiscal year 2010. Please confirm that this initiative was 
active—-for either solar-related OR any other activities—-at your 
agency at any time during fiscal year 2010. We consider an initiative 
to be "active" if the initiative was planned or funded or implemented 
or authorized in the fiscal year described. We are interested in those 
initiatives for which funds were obligated in a previous fiscal year, 
and for which activities were still on-going in fiscal year 2010.  

Was this initiative active at your agency at any time during fiscal 
year 2010? 
Yes: 
No:  
If answered No, please explain in the space below.  

3. Was this initiative active—-for either solar OR any other 
activities—-at your agency at any time during fiscal year 2011? 
Yes: 
No: 
If you answered No, please explain in the space below. For example, if 
the initiative was defunded.  

4. Please describe your initiative's goals in the space below.  

5. Does your initiative have goals that are directly related to solar 
energy research and/or technology?
Yes: 
No: 
If you answered Yes, please describe the goals for solar energy 
research and/or technology in the space below. Please attach a copy 
of, or provide weblinks in the space below, to relevant documentation, 
such as strategic plans, annual reports, program plans, grant 
solicitations, funding opportunity announcements, or requests for 
proposals:  

6. We understand that each agency defines technology advancement 
activities in a unique manner; however, in order to compare activities 
across agencies, we have developed definitions that can be applied 
broadly and have listed them below. Please determine which 
definition(s) best fit your individual initiative and answer for all 
of the initiative's activities, if applicable, not only those that are 
solar-related.
Which technology advancement activity(ies) apply to this initiative? 
Please check Yes or No for each activity. 

a. Basic research? 
Basic research includes efforts to explore and define scientific or 
engineering concepts, or is conducted to investigate the nature of a 
subject without targeting any specific technology; 
Yes: 
No: 

b. Applied research? 
Applied research includes efforts to develop new scientific or 
engineering knowledge to create new and improved technologies; 
Yes: 
No: 

c. Demonstration activities? 
Demonstration activities include efforts to operate new or improved 
technologies to collect information on their performance and assess 
readiness for widespread use; 
Yes: 
No: 

d. Commercialization? 
Commercialization includes efforts to bridge the gap between research 
and demonstration activities, and venture capital funding and 
marketing activities, through transitioning technologies to commercial 
applications; 
Yes: 
No: 

e. Deployment? 
Deployment includes efforts to facilitate or achieve widespread use of 
technologies either in the commercial market or for nonmarket uses 
such as defense, through their construction, operation or use; 
Yes: 
No: 

f. Other? Please specify in space below; 
Yes: 
No: 

Section II: Funding For Initiative: 

We are interested in how much money goes toward the solar-related 
activities your initiative supports. We would like to be able to 
report obligations data across all federal initiatives for fiscal 
years 2010 and 2011. If necessary, please consult with staff in your 
agency's budget office to answer these funding-related questions.
Note: We may request copies of supporting documentation for the 
numbers you provide below. 

For questions in this section, please use the following definition: An 
obligation is a definite commitment that creates a legal liability of 
the government for the payment of goods and services ordered or 
received, or a legal duty on the part of the United States that could 
mature into a legal liability. Payment may be made immediately or in 
the future. An agency incurs an obligation, for example, when it 
places an order, signs a contract, awards a grant, purchases a 
service, or takes other actions that require the government to make 
payments to the public or from one government account to another. 

7. For fiscal years 2010 and 2011, please provide actual or estimated 
obligations data for [Pre-populated information] solar activities 
only. We understand that some agencies may not be able to provide 
actual or estimated obligations for solar-related activities. 

a. Fiscal year 2010?
Total obligations for initiative's solar activities: 
Check if the total is an estimate: 
Check if you are unable to provide obligations: 

b. Fiscal year 2011? 
Total obligations for initiative's solar activities: 
Check if the total is an estimate: 
Check if you are unable to provide obligations: 

c. If the total is an estimate, please describe how the estimate was 
determined and describe any limitations associated with this estimate. 
(If the total was not an estimate, check N/A and proceed to question 8)
FY 2010:
FY 2011:
N/A: 

d. If you were unable to provide actual or estimated obligations, 
please explain why, in the space below. (If you did provide 
obligations data, check N/A and proceed to question 8) 
FY 2010:
FY 2011:
N/A: 

Questions 8 through 10 ask about specific projects funded or supported 
by your initiative in fiscal years 2010 and 2011. 

8. How many total projects were active in this initiative in fiscal 
years 2010 and 2011? We consider individual projects to exist as part 
of an overall initiative—-for example, specific grant awards, or 
agreements, or contracts that are supported by your initiative. We 
consider an initiative to be "active" if the initiative was planned or 
funded or implemented or authorized in the fiscal year described.
FY 2010:
FY 2011: 

9. Were all projects listed in question 8 solar-related?
Yes: 
No: 
If you answered No, how many of the projects listed above were solar-
related in fiscal years 2010 and 2011?
FY 2010:
FY 2011: 

10. As part of our reporting to Congress, we'd like to provide a few 
examples of projects that have been funded. In 800 or fewer 
characters, please briefly describe two or three examples of specific 
solar-related projects funded or supported by this initiative in the 
space below:
a. Project #1: 
b. Project #2: 
c. Project #3: 

11. If needed, please use the space below to provide further details 
about your answers in Section II of this questionnaire. 

Section III: Coordination: 

The the Congress and GAO are interested in understanding how agencies 
coordinate either within agency or with other agencies on solar-
related initiatives. 

12. Do you or staff from this initiative coordinate with other solar-
related technology initiatives within your agency or with other 
agencies?   
Yes: 
No: 
If you answered Yes to the above question, please provide up to five 
examples in the table below of how you coordinate within your agency 
or with other agencies.  

Name/Title of Coordination Activities: 
Description of Coordination Activities: 
Does this Coordination Activity Involve Coordinating with Other 
Agencies? 
Yes: 
No: 

13. We are interested in the extent to which agencies make efforts to 
ensure that their initiatives do not overlap or duplicate efforts made 
by other agencies. Does your office or agency collect information on 
solar initiatives that are active in other offices or agencies in 
order to assess potential overlap or duplication?  
Yes: 
No: 
If you answered Yes, please explain how your office or agency collects 
the information and how our agency assesses the information.   

14. When reviewing recipient requests for funding, do you determine 
whether or not they have received other sources of federal funding for 
the project? 
Yes: 
No: 
If you answered Yes, please describe in the space below what 
information you review and how you determine whether or not they have 
received other sources of federal funding for the project. 

15. Does your initiative have any policies that either prohibit or 
permit recipients from receiving other sources of federal funding for 
the project your initiative supports?
Yes: 
No: 
If you answered Yes, please explain the policy in the space below. 
Please also attach a copy of the policy to this questionnaire or 
provide weblinks to the policy on your agency's website. 
If you answered No, and wish to provide further information, please do 
so in the space below. 

Section IV: Other Information: 

16. Are there any additional data, nuances, further sources of 
information, or comments not covered previously that would help us 
further understand and report on how this initiative is being 
implemented? If so, please describe and/or provide link(s) to the 
relevant website(s) in the space below. If you do not have additional 
information to provide, it is appropriate to leave this question 
blank. If applicable, please provide electronic copies of the relevant 
documents (e.g., strategic planning documents, performance metrics,
RFPs, regulatory provisions, etc.) when returning this questionnaire. 
Alternatively, you can suggest that further discussion about this 
initiative be conducted through follow-up conversations with GAO. 

17. Please provide the contact information for a representative from 
your agency for any follow-up questions we may have about this 
questionnaire:
Name: 
Title: 
Agency: 
Office/Division: 
Email: 
Phone: 

Please remember to attach any relevant supporting documentation when 
returning this questionnaire to either or sassoh@gao.gov or 
dorisst@gao.gov. 

Thank you for your time! 

[End of section] 

Appendix IV: GAO Contact and Staff Acknowledgments: 

GAO Contact: 

Frank Rusco, (202) 512-3841 or ruscof@gao.gov: 

Staff Acknowledgments: 

In addition to the individual named above, key contributors to this 
report included Karla Springer (Assistant Director), Tanya Doriss, 
Cindy Gilbert, Jessica Lemke, Cynthia Norris, Jerome Sandau, Holly 
Sasso, Maria Stattel, and Barbara Timmerman. 

[End of section] 

Footnotes: 

[1] GAO, Renewable Energy: Federal Agencies Implement Hundreds of 
Initiatives, [hyperlink, http://www.gao.gov/products/GAO-12-260] 
(Washington, D.C.: Feb. 27, 2012). 

[2] GAO, Managing for Results: Using the Results Act to Address 
Mission Fragmentation and Program Overlap, [hyperlink, 
http://www.gao.gov/products/GAO/AIMD-97-146] (Washington, D.C.: Aug. 
29, 1997). For more information on fragmentation, overlap, and 
duplication in federal programs see GAO, Opportunities to Reduce 
Potential Duplication in Government Programs, Save Tax Dollars, and 
Enhance Revenue, [hyperlink, http://www.gao.gov/products/GAO-11-318SP] 
(Washington, D.C.: Mar. 1, 2011). 

[3] [hyperlink, http://www.gao.gov/products/GAO-12-260]. 

[4] For the purposes of this report, we defined "active" initiatives 
as those that were planned or funded or implemented or authorized in 
the fiscal year described. 

[5] GAO, Energy Conservation and Climate Change: Factors to Consider 
in the Design of the Nonbusiness Energy Property Credit, [hyperlink, 
http://www.gao.gov/products/GAO-12-318] (Washington, D.C.: Apr. 2, 
2012). 

[6] [hyperlink, http://www.gao.gov/products/GAO-12-260]. 

[7] We developed definitions that could be applied broadly to make 
comparisons across agencies and that covered the full spectrum of 
advancement activities. Federal agencies use various definitions and 
categories for describing the stages of technology advancement. For 
example, NASA and DOE use technology readiness level (TRL) categories 
and definitions to measure and communicate technology readiness for 
first-of-a-kind technology applications. However, these agencies' TRL 
categories and definitions are not the same. In addition, the Office 
of Management and Budget (OMB) provides federal definitions for the 
terms basic research, applied research, and development in OMB 
Circular A-11, Section 84--Character Classification (Schedule C), but 
does not provide definitions for demonstration activities and 
commercialization activities. During pretests of our questionnaire, 
agency officials were able to fit their initiatives' activities within 
our categories and based on our definitions, which validated our use 
of them. 

[8] Congressional Budget Office, Federal Financial Support for the 
Development and Production of Fuels and Energy Technologies 
(Washington, D.C.: March 2012). 

[9] We identified as solar-related those initiatives that supported or 
could have supported solar technologies, either solely or as part of a 
larger suite of renewable energy technologies, such as wind or 
biofuels. For the purposes of this report, we defined an initiative as 
a program or group of agency activities serving a similar purpose or 
function that involved solar energy technologies through a specific 
emphasis or focus, even if solar energy was only one part of a broader 
effort. 

[10] Wind energy is energy produced by the movement of air. 

[11] Rather than specifying that the initiative specifically supported 
photovoltaic or concentrating solar power, some agency officials 
indicated that their initiative supported "solar" technology as a 
general category. Others indicated that they supported "other" solar 
technology, such as DOD's Novel Power Sources initiative, which 
supports solar fuels. 

[12] According to NSF, the purpose of the CHE-DMR-DMS Solar Energy 
Initiative is to support interdisciplinary efforts by groups of 
researchers to address the scientific challenges of highly efficient 
harvesting, conversion, and storage of solar energy. Such groups must 
include three or more co-Principal Investigators, of whom one must be 
a researcher in chemistry, a second in materials, and a third in 
mathematical sciences, in areas supported by the Divisions of 
Chemistry (CHE), Materials Research (DMR), and Mathematical Sciences 
(DMS), respectively. 

[13] "Contract" means a mutually binding legal relationship obligating 
the seller to furnish the supplies or services (including 
construction) and the buyer to pay for them. It includes all types of 
commitments that obligate the Government to an expenditure of 
appropriated funds and that, except as otherwise authorized, are in 
writing. In addition to bilateral instruments, contracts include (but 
are not limited to) awards and notices of awards; job orders or task 
letters issued under basic ordering agreements; letter contracts; 
orders, such as purchase orders, under which the contract becomes 
effective by written acceptance or performance; and bilateral contract 
modifications. Contracts do not include grants and cooperative 
agreements covered by 31 U.S.C. 6301, et seq. 

[14] Like grants, cooperative agreements involve the provision of 
financial or other support to accomplish a public purpose of support 
or stimulation authorized by federal statute. However, cooperative 
agreements differ from grants in terms of agency involvement, 
supervision, and intervention in the project. Whereas grants restrict 
government involvement to the minimum necessary to achieve program 
objectives, under cooperative agreements, the government and prime 
recipients share responsibility for the management, control, 
direction, and performance of projects. 

[15] Officials from eight initiatives at three agencies reported that 
their initiative supported "other" funding mechanisms including 
administrative costs, cash prizes to competition winners, and 
laboratory work authorizations. 

[16] Agency officials were asked to provide obligations data for 
fiscal years 2010 and 2011. In some cases, they provided estimated 
obligations for both years. In other cases, the officials were able to 
provide actual obligations data for 1 year and estimated obligations 
for the second. As a result, estimates were provided for 10 
initiatives in fiscal year 2010 and for 9 initiatives in 2011. These 
estimates were for 12 initiatives. 

[17] DOE's Loan Guarantee Program supports both commercialization and 
deployment technology advancement activities. The obligations provided 
by the agency and represented here do not distinguish between the 
commercialization and deployment technology advancement activities. In 
February 2009, the Recovery Act amended the Energy Policy Act of 2005, 
authorizing the Loan Guarantee Program to guarantee loans under 
section 1705. Funding was provided to pay credit subsidy costs for 
section 1705 projects--including those that support solar 
technologies--that began construction by September 30, 2011, and met 
other requirements. DOE estimated that the $2.5 billion in funding 
would be sufficient to provide about $18 billion in guarantees under 
section 1705. Section 1705 authorized guarantees for commercial energy 
projects that employ renewable energy systems, electric power 
transmission systems, or leading-edge biofuels that meet certain 
criteria. Credit subsidy costs exclude administrative costs and any 
incidental effects on governmental receipts or outlays. Present value 
is the worth of the future stream of returns or costs in terms of 
money paid immediately. In calculating present value, prevailing 
interest rates provide the basis for converting future amounts into 
their "money now" equivalents. 

[18] [hyperlink, http://www.gao.gov/products/GAO-11-318SP]. 

[19] In [hyperlink, http://www.gao.gov/products/GAO-12-260], we 
separated SETP into four initiatives: Concentrated Solar Power, 
Photovoltaic Research and Development, Market Transformation, and 
Systems Integration. 

[20] According to DOE, "smart grid" generally refers to a class of 
technology to bring utility electricity delivery systems into the 
twenty-first century, using computer-based remote control and 
automation. These systems are made possible by two-way communication 
technology and computer processing that has been used for decades in 
other industries. 

[21] Officials were asked to report up to five examples of 
coordination activities with other solar-related initiatives. See 
appendix III for questionnaire. 

[22] GAO, Results-Oriented Government: Practices That Can Help Enhance 
and Sustain Collaboration among Federal Agencies, [hyperlink, 
http://www.gao.gov/products/GAO-06-15] (Washington, D.C.: Oct. 21, 
2005). The following additional key practices were noted in this 
report: (1) agreeing on roles and responsibilities, which clarifies 
who will do what, organizes joint and individual efforts, and 
facilitates decision making; (2) establishing compatible policies, 
procedures, and other means to operate across agency boundaries, which 
facilitates collaboration; (3) reinforcing agency accountability for 
collaborative efforts through agency plans and reports, to ensure that 
goals are consistent; and (4) reinforcing individual accountability 
for collaborative efforts through performance management systems, 
which strengthens accountability for results. 

[23] [hyperlink, http://www.gao.gov/products/GAO-11-318SP] and GAO, 
Employment For People With Disabilities: Little Is Known About the 
Effectiveness of Fragmented And Overlapping Programs, [hyperlink, 
http://www.gao.gov/products/GAO-12-677] (Washington, D.C.: June 29, 
2012). 

[24] [hyperlink, http://www.gao.gov/products/GAO-06-15]. 

[25] Although it was not noted in the Air Force initiative's completed 
questionnaires, DOD officials told us the Air Force also participates 
in the Energy and Power Community of Interest. 

[26] [hyperlink, http://www.gao.gov/products/GAO-12-260]. 

[27] For purposes of GAO-12-260, and therefore this report as well, a 
renewable energy initiative is defined as a program or group of agency 
activities serving a similar purpose or function that involved 
renewable energy through a specific emphasis or focus, even if 
renewable energy was only one part of a broader effort. 

[End of section] 

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