BES Merit Review

All research projects supported by the Office of Basic Energy Sciences (BES) undergo regular peer review* and merit evaluation based on procedures set down in 10 CFR Part 605 for the extramural grant program and in an analogous process for the laboratory programs and scientific user facilities. The BES peer review process evaluates the following four criteria, which are listed in order of decreasing importance:

1)	Scientific and/or technical merit of the project;
	- for example, the influence that the results might have on the direction, progress, and thinking in relevant scientific fields of research; the likelihood of achieving valuable results; and the scientific innovation and originality indicated in the proposed research.
2)	Appropriateness of the proposed method or approach;
	- for example, the logic and feasibility of the research approaches and the soundness of the conduct of the research.
3)	Competency of the personnel and adequacy of proposed resources; and
	- for example, the background, past performance, and potential of the investigator(s); and the research environment and facilities for performing the research.
4)	Reasonableness and appropriateness of the proposed budget.

The criteria for a review may also include other appropriate factors established and announced by the Office of Basic Energy Sciences.

The BES peer review and merit evaluation procedures are described within the following documents:

   Office of Science (SC) Merit Review System
       •  SC Grant Application Guide
       • 10 CFR Part 605
   BES Merit Review Procedures for Projects at DOE Laboratories
       •  BES Guide for Preparation of Review Documents (June 10, 2003*)
       • DOE Order 412.1, “Work Authorization System”

For more information about SC's merit review system, please browse the Grants and Contracts Division homepage.

* The only change from the November 19, 2002 version is the addition of a requirement that all appended material must be submitted as PDF files that are separate from the Review Document PDF file.

The Construction Management Support Division within the Office of Science (SC) conducts independent technical, cost, schedule, and management peer reviews of SC construction projects and large experimental equipment. These reviews are known as “Lehman Reviews” after the Division Director, Dan Lehman. Lehman Reviews are widely known in DOE, other agencies, and abroad. Dan Lehman has briefed OMB and other agencies on the process, which has been adopted by other parts of DOE.

A primary responsibility for the Division is conducting reviews of major construction projects, which are typically held two times per year. The reviews may include 30-40 independent technical experts, who are divided into 6-8 subpanels during the review to investigate all aspects of the project. Reviews can result in modifications to the project, work stoppage, and management changes.

* Peer Reviews are independent assessments of the scientific merit of research by experts having knowledge of the research area equal to that of the performers of the work.

The purpose of peer reviewing Basic Energy Sciences (BES) projects is to provide BES program managers with independent technical evaluations.

The above definition* of peer review is consistent with that of the Office of Science and Technology Policy as given in the General Accounting Office (GAO) report, "Federal Research -- Peer Review Practices at Federal Science Agencies Vary" (GAO/RCED-99-99), 17 pages plus 13 appendices 54 pages; March 17, 1999; page 2 (217kb PDF file).

After receiving the above GAO report, the House Committee on Science requested that the GAO conduct a follow-up study, which included an audit of the peer review procedures of the Office of Basic Energy Sciences. The resulting GAO report, "Federal Research: DOE Is Providing Independent Review of the Scientific Merit of Its Research" (GAO/RCED-00-109), 36 pages, April 2000 (400kb PDF file) found that, "On the basis of our review of available documentation from program and project files for fiscal years 1998 and 1999, the Office of Basic Energy Sciences ... [followed] the merit review procedures they have established...[and] are performing merit reviews on projects or programs, are selecting reviewers with the requisite knowledge of the research, are requiring those reviewers to apply appropriate criteria in making their evaluations, and are using the merit review evaluations in making award decisions" (page 15).