Detailed Information on the
Generation IV Nuclear Energy Systems Initiative Assessment

Develop improved performance measures that are more meaningful, measurable, and outcome based. Ensure annual measures demonstrate comparable year-to-year progress. Program currently relies upon more process-oriented, output-based metrics that do not adequately indicate whether the program is successful or demonstrating meaningful progress.

Developing guidance that specifies a consistent framework for analyzing the costs and benefits of research and development investments, and using this information to guide budget decisions.

Will closely monitor the efficacy of the six reactor concepts under study to downselect for further investigation the most promising, in terms of key performance parameters, as soon as indicative research results are available.

Will provide $30.546 million to support the Gen IV R&D program in 2005.

The Department of Energy's (DOE) Office of Nuclear Energy (NE) will commission the National Academy of Sciences (NAS) to undertake a comprehensive, independent evaluation of NE program's goals and plans, and process for establishing program priorities and oversight (including the method for determining the relative distribution of budgetary resources). The evaluation will result in a comprehensive and detailed set of policy and research recommendations and associated priorities (including performance targets and metrics) for an integrated agenda of research activities within the scope of available resources that can best advance NE's fundamental mission of securing nuclear energy as a viable, long-term commercial energy option to provide diversity in energy supply. The report will provide alternative strategies, models, and recommendations for how the R&D programs can be restructured to advance more efficiently and effectively NE's fundamental mission, goals, and objectives. The review will also evaluate the management and integration of NE's R&D programs and the Idaho Facilities Management program (including the Ten Year Site Plan), as well as the role of the Nuclear Energy Research Advisory Committee (NERAC) in the process. The final report will include findings, conclusions, and recommendations for the NE program.

Measure: Develop a fast-spectrum Generation IV nuclear energy system for deployment by 2030 that meets or exceeds the safety, reliability, and proliferation resistance standards achieved by Generation III thermal spectrum systems while improving on their economic and sustainability performance by at least 20 percent.

Explanation:The long-term goal of the Generation IV program is to develop next-generation nuclear energy systems for deployment before 2030, which provide significant improvements in four performance areas: sustainability, proliferation resistance and security, safety and reliability, and economics. Each performance area has one or more associated performance measures as described in the Generation IV Roadmap where they are called "technology goals." The program's outcome is measured by how well the system(s) developed under this program advance the performance measures.

Measure: In accordance with EPAct 2005, develop a very-high-temperature gas reactor and demonstrate its performance by 2021. This reactor technology, when commercialized, will provide cost-competitive greenhouse-gas-free energy to a wide variety of energy end-users and meet or exceed the safety and reliability standards achieved by light water reactors.

Explanation:Three concepts are in development for deployment before 2030. Viability assessments will be complete and a down selection to just one or two concepts will occur in 2014.

Measure: Maintain total administrative overhead costs in relation to total R&D program costs of less than 8 percent.

Explanation:The program is still developing a baseline for this measure.

Measure: Issue the Generation IV Technology Roadmap to develop the most promising next generation nuclear energy system concepts.

Explanation:

Measure: Develop preliminary functional requirements for the Generation IV Very-High-Temperature Reactor.

Explanation:

Measure: Complete the draft Generation IV Technology Roadmap for development of the next generation nuclear energy systems.

Explanation:

Measure: Formally establish the Generation IV International Forum to assist in identifying and conducting cooperative R&D. Initiate development of a Generation IV Technology Roadmap for development of next generation nuclear energy systems.

Explanation:

Is the program purpose clear?

Explanation: The purpose of the program is to expand U.S. nuclear power generation to meet economic and environmental needs with next-generation reactor technologies.

Evidence: National Energy Policy; Appropriation Language; Secretary Abraham statements; A Technology Roadmap for Generation IV Nuclear Energy Systems, FY 2004 Budget Request, Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program; Generation IV Nuclear Energy Systems Initiative Program Plan

Does the program address a specific and existing problem, interest, or need?

Explanation: The need to expand U.S. power sources, including the development of nuclear energy, is defined in the National Energy Policy.

Evidence: National Energy Policy; A Technology Roadmap for Generation IV Nuclear Energy Systems, Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program; Generation IV Nuclear Energy Systems Initiative Program Plan

Is the program designed so that it is not redundant or duplicative of any Federal, state, local or private effort?

Explanation: The program has been designed with extensive government-industry-academia and international collaboration. Nuclear Energy Programs have discrete objectives. The near term deployment of existing technologies falls under the Nuclear Power 2010 initiative. The deployment of next-generation technologies from 2015-2030 falls under Generation IV.

Evidence: A Technology Roadmap for Generation IV Nuclear Energy Systems, FY 2004/2005 Budget Request, Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program; Generation IV Nuclear Energy Systems Initiative Program Plan

Is the program design free of major flaws that would limit the program's effectiveness or efficiency?

Explanation: Extensive interactions with other government programs, international partners, and external review groups have minimized the potential for flaws. No flaws presently known.

Evidence: National Energy Policy; Secretary Abraham statements; A Technology Roadmap for Generation IV Nuclear Energy Systems, Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program

Is the program effectively targeted, so program resources reach intended beneficiaries and/or otherwise address the program's purpose directly?

Explanation: Funded R&D directly contributes to program goals. Funding is allocated to R&D performers based on prioritization of program objectives and past performance.

Evidence: National Energy Policy; Generation IV Nuclear Energy Systems Initiative Program Plan; A Technology Roadmap for Generation IV Nuclear Energy Systems, FY 2004 Budget Request, Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program

Does the program effectively articulate potential public benefits?

Explanation:  

Evidence:  

If an industry-related problem, can the program explain how the market fails to motivate private investment?

Explanation:  

Evidence:  

Does the program have a limited number of specific long-term performance measures that focus on outcomes and meaningfully reflect the purpose of the program?

Explanation: The long-term goal of the Generation IV program is to develop next-generation nuclear energy systems for deployment before 2030, which provide significant improvements in four performance areas: sustainability, proliferation resistance and security, safety and reliability, and economics. Each performance area has one or more associated performance measures as described in both the Generation IV Roadmap and the Generation IV Program Plan, where they are called 'technology goals.' In the long term, the program's outcome is measured by how well the system(s) developed under this program advance the performance measures.

Evidence: A Technology Roadmap for Generation IV Nuclear Energy Systems ; FY 2004 Budget Request; Generation IV Nuclear Energy Systems Initiative Program Plan, Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program. Goal 4.1 of the FY 2004 Annual Performance Plan; FY 2003 Joule.

Does the program have ambitious targets and timeframes for its long-term measures?

Explanation: DOE has developed both long-term and intermediate outcome measures that are supported by annual output measures to support ambitious program goals and schedules. One ambitious long term goal is the demonstration of economic hydrogen production with nuclear energy by 2015. This will require completeion of supporting R&D, design, construction and startup of an advanced reactor within 12 years. Supporting annual goals include the development of the reactor point design, pre-conceptual design, conceptual design, preliminary design and then final design.

Evidence: A Technology Roadmap for Generation IV Nuclear Energy Systems ; FY 2004 Budget Request; FY 2004 Annual Performance Plan, FY 2003 Joule, Generation IV Nuclear Energy Systems Initiative Program Plan, Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program

Does the program have a limited number of specific annual performance measures that demonstrate progress toward achieving the program's long-term measures?

Explanation: The linkage between annual performance measures and long-term goals is established in the Gen IV Program Plan. Sustainability, proliferation resistance and security, safety and reliability, and economics can be evaluated with any degree of confidence only at a level of system definition provided by a well-developed preconceptual or even a conceptual design, the target for FY 2005. With the conceptual design in hand, broader and more quantitative evaluation criteria and metrics will be developed to evaluate Generation IV designs.

Evidence: A Technology Roadmap for Generation IV Nuclear Energy Systems ; FY 2005 Budget Request; Generation IV Nuclear Energy Systems Initiative Program Plan, Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program

Does the program have baselines and ambitious targets and timeframes for its annual measures?

Explanation: Annual program performance baselines and targets have been established to measure performance in attaining the annual targets. The targets include extending scientific knowledge of materials and chemistry into high termperature regions not previously explored on a schedule to support early deployment of Generation IV technologies. Efforts are underway to refine performance measures as preconceptual designs are completed.

Evidence: A Technology Roadmap for Generation IV Nuclear Energy Systems ; FY 2005 Budget Request; Generation IV Nuclear Energy Systems Initiative Program Plan, Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program

Do all partners (including grantees, sub-grantees, contractors, cost-sharing partners, etc.) commit to and work toward the annual and/or long-term goals of the program?

Explanation: Several international agreements hav been signed in the past year, and the Internatinal Nuclear Energy Research Initiative (I-NERI) has made five bi-lateral project awards.

Evidence: A Technology Roadmap for Generation IV Nuclear Energy Systems ; FY 2005 Budget Request; Generation IV Nuclear Energy Systems Initiative Program Plan, Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program, program guidance letters and associated statements of work for DOE contractors. Monthly Performance Reports.

Are independent and quality evaluations of sufficient scope and quality conducted on a regular basis or as needed to support program improvements and evaluate effectiveness and relevance to the problem, interest, or need?

Explanation: A comprehensive program evaluation is planned for February 2004.

Evidence: Charter for the Nuclear Energy Research Advisory Committee (NERAC) Generation IV Technology Planning Subcommittee and associated meeting reports, A Technology Roadmap for Generation IV Nuclear Energy Systems ; FY 2005 Budget Request; Generation IV Nuclear Energy Systems Initiative Program Plan

Are Budget requests explicitly tied to accomplishment of the annual and long-term performance goals, and are the resource needs presented in a complete and transparent manner in the program's budget?

Explanation: Beginning with the FY 2005 OMB and Congressional Budget submissions, the Department will utilize a unique format to link budget and performance data; however, such linkages were not established in prior year budgets. Departmental deficiencies notwithstanding, however, the Generation IV program maintains a detailed program plan, initially developed in 2003, that is updated on an as-needed basis to accommodate budget changes. This document makes fully transparent the adjustments in program priorities, costs, schedules, and achievement of long- and short-term performance measures to meet budget requirements. It is also the document used to set priorities on which future budget requests are based.

Evidence: A Technology Roadmap for Generation IV Nuclear Energy Systems ; FY 2004 Budget Request; Generation IV Nuclear Energy Systems Initiative Program Plan, Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program, draft 17 of DOE Strategic Plan General Goals

Has the program taken meaningful steps to correct its strategic planning deficiencies?

Explanation: Instituted a new plan for external reviews, instituted earned value accounting and reporting, wrote new program planning documents, FY 2005 budget is outcome and output driven in support of National goals. No management deficiencies have been identified.

Evidence: Annual DOE Performance Plan and Performance Appraisal Form; DOE/NE Program Guidance Letters and associated Statements of Work, detailed and executive level program plans written for Gen IV, Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program

If applicable, does the program assess and compare the potential benefits of efforts within the program to other efforts that have similar goals?

Explanation: The program has continually re-examined, analyzed and assessed its potential benefits, most recently in the U.S. Generation IV Implementation Plan to be submitted to Congress in July 2003. Quantitative benefits depend on the success of the program and the degree of deployment of Generation IV reactors; they will be assessed in later years using tools developed by the program. Qualitative benefits include new commercial options for generating economic electricity and hydrogen without harmful air emissions.

Evidence: A Technology Roadmap for Generation IV Nuclear Energy Systems ; FY 2005 Budget Request; Generation IV Nuclear Energy Systems Initiative Program Plan, Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program, U.S. Generation IV Implementation Plan

Does the program use a prioritization process to guide budget requests and funding decisions?

Explanation: R&D priorities are established in the Technology Roadmap for Generation IV Nuclear Energy Systems and in the U.S. Generation IV Implementation Plan.

Evidence: A Technology Roadmap for Generation IV Nuclear Energy Systems ; FY 2004 Budget Request; Generation IV Nuclear Energy Systems Initiative Program Plan, Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program, The U.S. Generation IV Implementation Plan.

Does the agency regularly collect timely and credible performance information, including information from key program partners, and use it to manage the program and improve performance?

Explanation: The Department monitors program performance and uses the information to manage the program, improve performance, and determine future funding requirements. In FY 2003, monthly earned value reporting was instituted.

Evidence: Annual DOE Performance Plan and Performance Appraisal Form; Quarterly updates to the Annual Performance Plan, Monthly Earned Value Reporting.

Are Federal managers and program partners (grantees, subgrantees, contractors, cost-sharing partners, etc.) held accountable for cost, schedule and performance results?

Explanation: Program performance goals are incorporated into the annual performance plans for the Federal senior manager and Federal program manager. Program performance goals are also incorporated into the contractor's annual performance plan.

Evidence: Annual DOE Performance Plan and Performance Appraisal Form; DOE/NE Program Guidance Letters and associated Statements of Work, Monthly Earned Value Reporting. Performance Based Incentives in M&O contracts.

Are all funds (Federal and partners') obligated in a timely manner and spent for the intended purpose?

Explanation: Funds are obligated in a timely manner and program is executed in conformance with Congressional language and established program plan.

Evidence: DOE/NE Program Guidance Letters and associated Statements of Work; DOE/NE's Monthly Obligation and Cost and Performance Tracking Report; Generation IV Nuclear Energy Systems Initiative Program Plan

Does the program have procedures (e.g., competitive sourcing/cost comparisons, IT improvements, approporaite incentives) to measure and achieve efficiencies and cost effectiveness in program execution?

Explanation: DOE contractor performance is judged against project costs, schedule and technical baselines. Decisions to continue funding are based on these evaluations. Incentives are included in participants contracts but not on a program-specific basis. Additionally, starting in June, 2003, efficiency will be monitored on a monthly basis via earned value reporting.

Evidence: A Technology Roadmap for Generation IV Nuclear Energy Systems; DOE/NE Program Guidance Letters and associated Statements of Work; DOE/NE's Monthly Obligation and Cost and Performance Tracking Report; Generation IV Nuclear Energy Systems Initiative Program Plan, Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program. Contracts and Award Fee Determinations for program participants, Monthly status of work packages and earned value reports.

Does the program collaborate and coordinate effectively with related programs?

Explanation: The program is coordinated with other DOE nuclear energy R&D programs including the Nuclear Power 2010 program, the Nuclear Hydrogen Initiative, and the Advanced Fuel Cycle Initiative to capitalize on existing synergies and to ensure no duplication of effort. In addition, the program is coordinated with the NRC and the State Department.

Evidence: FY 2005 Budget Request; A Technology Roadmap for Generation IV Nuclear Energy Systems, Generation IV Nuclear Energy Systems Initiative Program Plan, Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program

Does the program use strong financial management practices?

Explanation: Internal controls are used in the execution of the program. The Department monitors program performance and uses the information to manage the program, improve performance, and determine future funding requirements. In FY 2003, monthly earned value reporting was instituted.

Evidence: Annual Reporting for Federal Managers Financial Integrity Act. Annual DOE Performance Plan and Performance Appraisal Form; Quarterly updates to the Annual Performance Plan, Monthly Earned Value Reporting.

Has the program taken meaningful steps to address its management deficiencies?

Explanation: No management deficiencies have been identified. Program performance goals are incorporated into staff and contractor annual performance plans and progress against these goals are monitored. The Department uses this information to evaluate contractor performance and resulting award fees. Weekly review meetings are held with the project management team, problems are highlighted, and corrective actions implemented.

Evidence: Annual DOE Performance Plan and Performance Appraisal Form; DOE/NE Program Guidance Letters and associated Statements of Work

Does the program allocate funds through a competitive, merit-based process, or, if not, does it justify funding methods and document how quality is maintained?

Explanation: The program incorporates both merit-based competitive awards and national laboratory-directed awards based on technical capabilities and facilities.

Evidence: FY 2005 budget; Generation IV Nuclear Energy Systems Initiative Program Plan; A Technology Roadmap for Generation IV Nuclear Energy Systems. Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program

Does competition encourage the participation of new/first-time performers through a fair and open application process?

Explanation:  

Evidence:  

Does the program adequately define appropriate termination points and other decision points?

Explanation:  

Evidence:  

If the program includes technology development or construction or operation of a facility, does the program clearly define deliverables and required capability/performance characteristics and appropriate, credible cost and schedule goals?

Explanation:  

Evidence:  

Has the program demonstrated adequate progress in achieving its long-term outcome performance goals?

Explanation: The program is on track to achieve its long-term performance goals. The program established overall goals in FY 2002 as documented in the final draft Generation IV Technology Roadmap (September 2002) The U.S. chose four specific technologies to fund with emphasis on VHTR beginning in FY 2003. Related programs are managed in a single organization. Earned value reporting was initiated in FY 2003. Detailed program plans have been written.

Evidence: Final Draft of A Technology Roadmap for Generation IV Nuclear Energy Systems (September 2002). FY 2004 Budget, Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program, Gen IV Program Plan [note: the September 2002 draft Roadmap is cited above rather than the final published Roadmap to show actual continuity in the development and execution of the program]

Does the program (including program partners) achieve its annual performance goals?

Explanation: All annual performance goals have been achieved. Annual measures and targets are tracked on a monthly basis.

Evidence: FY 2002 and FY 2003 Budgets; A Technology Roadmap for Generation IV Nuclear Energy Systems, Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program, FY 2002 Performance and Accountability Report, FY 2004 Annual Performance Plan, FY 2003 Joule

Does the program demonstrate improved efficiencies or cost effectiveness in achieving program performance goals each year?

Explanation: This new program has begun significant cost-sharing with foreign partners. Further, the Department has initiated collaboration web sites that limit foreign travel by allowing international committees to jointly draft documents, keep a calendar, chat, and otherwise manage committee business. DOE contracts do not reward program-specific efficiencies, but the program employs program controls that collect information on contractor performance and efficiency monthly, including an earned value management system beginning in 2003 (although detailed evidence for such efficiencies has not yet been presented). The program inputs the results of these reviews into the various contractors' award fee determinations at the Departmental level.

Evidence: A Technology Roadmap for Generation IV Nuclear Energy Systems, Program Planning Documents, FY 2004 Budget, Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program

Does the performance of this program compare favorably to other programs, including government, private, etc., that have similar purpose and goals?

Explanation: There are no comparable programs.

Evidence: R&D Portfolio Management Report, National Energy Policy, Generation IV Nuclear Energy Systems Initiative Program Plan; A Technology Roadmap for Generation IV Nuclear Energy Systems. FY 2004 Budget. Technical Program Plan for the Advanced Gas Reactor Fuel Development and Qualification Program

Do independent and quality evaluations of this program indicate that the program is effective and achieving results?

Explanation: A comprehensive evaluation is planned for February 2004.

Evidence: Charter for the NERAC Generation IV Technology Planning Subcommittee and associated meeting reports; Communiqu?? from GIF Tokyo Meeting (September 2002), Generation IV Program Plan

If the program includes construction of a facility, were program goals achieved within budgeted costs and established schedules?

Explanation:  

Evidence: