Fusion Energy Sciences
Overview
The mission of the Fusion Energy Sciences (FES) program is to expand the fundamental understanding of matter at very hightemperatures and densities and to build the scientific foundation needed to develop a fusion energy source. This isaccomplished through the study of plasma, the fourth state of matter, and how it interacts with its surroundings.
Plasma science is wide-ranging, with various types comprising 99 percent of the visible universe. It is the state of matter inthe sun’s center, corona, and solar flares. Plasma dynamics are at the heart of the formation of galactic jets and accretion ofstellar material around black holes. On Earth it is the substance of lightning and flames. Plasma physics describes theprocesses giving rise to the aurora that illuminates the far northern and southern nighttime skies. Practical applications ofplasmas are found in various forms of lighting and semiconductor manufacturing. High-temperature fusion plasmas at
hundreds of millions of degrees occur in national security applications, albeit for very short times. The same fusion plasmas
may be exploited in the laboratory in a controlled fashion to become the basis for a future clean nuclear power source,which could provide domestic energy independence and security. This is a large driver for the FES subprograms focused on
the scientific study of “burning plasma.” In the burning plasma state of matter, the nuclear fusion process itself provides thedominant heat source for sustaining the plasma temperature. Such a self-heated plasma can continue to undergo fusion
reactions that produce energy without requiring the input of heating power from the outside, and thus resulting in a large
net energy yield.
In the FES program, foundational science for burning plasmas is obtained by investigating the behavior of laboratory fusion
plasmas confined with strong magnetic fields. The DIII-D National Fusion Facility and the National Spherical Torus
Experiment-Upgrade (NSTX-U), the latter of which is currently down for recovery and repair, are world-leading Office of
Science (SC) user facilities for experimental research, available to and used by scientists from national laboratories,
universities, and industry research groups.
Complementing these experimental activities is a significant effort in fusion theory and simulation to predict and interpretthe complex behavior of plasmas as self-organized systems. As part of this effort, FES supports several Scientific Discovery
through Advanced Computing (SciDAC) centers, in partnership with the Advanced Scientific Computing Research (ASCR)
program. FES also investigates the behavior of plasmas that are confined near steady state. U.S. scientists take advantage ofinternational partnerships to conduct research on superconducting tokamaks and stellarators with long-duration
capabilities. In addition, the development of novel materials, a research area of high interest to many scientific fields, isespecially important for fusion energy sciences since fusion plasmas create an environment of high-energy neutrons andhuge heat fluxes that impinge on and damage the material structures containing the plasmas.
The frontier scientific area of the actual creation of strongly self-heated fusion burning plasmas, which will be enabled by
the ITER facility, will allow the discovery and study of new scientific phenomena relevant to fusion as a future energy
source.
The FES program also supports discovery plasma science in research areas such as plasma astrophysics, high-energy-density
laboratory plasmas (HEDLP), and low-temperature plasmas. Some of this research is carried out through partnerships with
the National Science Foundation (NSF) and the National Nuclear Security Administration (NNSA). Also, U.S. scientists areworld leaders in the invention and development of new high-resolution plasma measurement techniques. Advances inplasma science have led to many spinoff applications and enabling technologies with considerable economic and societal
impact for the American quality of life.
The FES program addresses several of the Administration’s research and development (R&D) budget prioritiesa. Research infusion has the potential to contribute to American energy dominance by making a clean energy technology that relies on
widely available and virtually inexhaustible fuel sources available to the American people. Research in plasma science,
within and beyond fusion, will contribute to American prosperity through the tremendous potential for spinoff applicationsahttps://www.whitehouse.gov/wp-content/uploads/2018/07/M-18-22.pdf

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(described in a report by the Fusion Energy Sciences Advisory Committee [FESAC]a ) as well as targeted investments (e.g., inearly-stage low temperature plasma research) that can lead to the development of transformative technologies.
Investments in SC’s major fusion facilities and smaller-scale experiments will help maintain and modernize the research
infrastructure necessary to conduct world-leading research. Established partnerships within and outside DOE maximize,leverage, and increase the cost effectiveness of FES research activities. Also, FES partnerships with industry through theInnovation Network for Fusion Energy (INFUSE) program will propagate scientific discoveries that could transition into theprivate sector. Investments in transformational technologies such as artificial intelligence and machine learning (AI/ML),
quantum information science (QIS), microelectronics, and high-performance strategic computing could accelerate progressin several mission areas. Finally, the unique scientific challenges and rigor of fusion and plasma physics research lead to thedevelopment of a well-trained STEM workforce, which will contribute to maintaining and advancing U.S. competitivenessand world-leadership in key areas of future technological and economic importance, as well as national security.
Highlights of the FY 2021 Request
The FY 2021 Request is $425,151,000. The priorities described in “The Office of Science’s Fusion Energy Sciences Program: A
Ten-Year Perspective,”b the research opportunities identified in a series of community engagement workshops held in2015,c and the FY 2017 FESAC report on the potential for transformative developments in fusion science and technologyd
informed the strategic choices in this Request. Priorities include keeping SC fusion user facilities world-leading, investing in
high-performance computing and preparing for exascale, exploring the potential of QIS and machine learning, supporting
high-impact research in fusion materials, strengthening partnerships for access to international facilities with uniquecapabilities, learning how to predict and control transient events in fusion plasmas, continuing stewardship of discovery
plasma science (e.g., via intermediate-scale facilities), and continuing to seek opportunities with private-public
partnerships. Furthermore, the 2018 reporte of the National Academies of Sciences, Engineering, and Medicine burning
plasma study commissioned by FES also informs the research priorities for burning plasma science.
Key elements in the FY 2021 Request include:
Research
 DIII-D research: DIII-D research will focus on assessing the reactor potential of current-drive systems to inform thedesign of next-step devices, integrating core and edge plasma solutions that extrapolate to future fusion reactors, andadvancing the understanding of power exhaust strategies.
 NSTX-U research: The NSTX-U research budget will fund a focused effort on physics topics that directly support therecovery of robust NSTX-U plasma operations, as well as collaborative research at other facilities to support NSTX-U
research program priorities.
 Partnerships with private fusion efforts: Private-public collaborations through the INFUSE program will leverage
opportunities in critical fusion research areas (e.g., diagnostics, theory and simulation, materials science, and magnet
technology).
 Enabling technology, fusion nuclear science, and materials: Research will continue on high-temperature
superconductors and additive manufacturing. FES will continue to explore options for a neutron source that will test
materials in fusion-relevant environments.
 Scientific Discovery through Advanced Computing: SciDAC projects will continue development of an integrated wholedevice modeling capability, in partnership with the ASCR program, and pursue transformative approaches such asmachine learning and QIS.
 Long-pulse tokamak and stellarator research: Long-pulse tokamak research enables U.S. scientists to work onsuperconducting tokamaks with world-leading capabilities. Long-pulse stellarator research will allow U.S. teams to takefull advantage of U.S. hardware investments on the Wendelstein 7-X (W7-X) stellarator and enhance the scientificoutput on this device.
https://science.osti.gov/~/media/fes/fesac/pdf/2015/2101507/FINAL_FES_NonFusionAppReport_090215.pdf
https://science.osti.gov/-/media/fes/pdf/workshop-reports/2016/FES_A_Ten-Year_Perspective_2015-2025.pdf
c https://science.osti.gov/fes/Community-Resources/Workshop-Reports
d https://science.osti.gov/-/media/fes/fesac/pdf/2018/TEC_Report_15Feb2018.pdf
e https://www.nap.edu/catalog/25331/final-report-of-the-committee-on-a-strategic-plan-for-us-burning-plasma-researchabScience/Fusion Energy Sciences180

FY 2021 Congressional Budget JustificationDiscovery plasma science: Research continues to support small- and intermediate scale basic plasma science and
HEDLP facilities, and also future fusion design studies. FES will partner with ASCR, Basic Energy Sciences (BES), and HighEnergy Physics (HEP) to support multi-disciplinary microelectronics research that will promote basic research toaccelerate the advancement of microelectronic technologies in a co-design innovation ecosystem in which materials,
chemistries, devices, systems, architectures, algorithms, and software are developed in a closely integrated fashion.
QIS: In support of the National Quantum Initiative, the Request continues support for the SC QIS Center(s) establishedin FY 2020. These centers constitute an interdisciplinary partnership among SC Program Offices. This partnershipcomplements a robust core research portfolio stewarded by the individual SC programs to create the ecosystem acrossuniversities, national laboratories, and industry that is needed to advance developments in QIS and related technology.

Facility Operations
 DIII-D operations: The funding will allow 13 weeks of facility operations, along with machine and infrastructure
refurbishments and improvements for new research capabilities.
 NSTX-U recovery activities: The NSTX-U facility is down for recovery and repair, which will continue through FY 2021.
The NSTX-U Operations budget will support high-priority activities to implement repairs and corrective actions required
to achieve research operations, as well as to increase machine reliability.
Projects
 Continued U.S. hardware development and delivery to ITER: The FY 2021 Request will support the continued design
and fabrication of the highest-priority in-kind hardware systems. This includes continued fabrication of the Central
Solenoid magnet system, which consists of seven superconducting modules, structural components, and assembly
tooling. The U.S. will also continue design and fabrication efforts for other hardware systems.
 High energy density laboratory plasmas: FES will support design activities for a significant upgrade to the MEC
instrument on the LCLS facility at SLAC.
 Major Item of Equipment (MIE) project for world-leading fusion materials research: The Materials Plasma Exposure
eXperiment (MPEX) MIE project will be a world-leading facility for steady-state, high-heat-flux testing of fusionmaterials. The project is expected to achieve Critical Decision (CD) 1 in FY 2020. FY 2021 funding will maintain required
detailed design and R&D activities, develop the performance baseline, and allow for initiation of long-lead major
procurements for the device.
Other GPP/GPE: Funding is provided for General Plant Projects/General Purpose Equipment, to support Princeton Plasma
Physics Laboratory (PPPL) infrastructure improvements and repairs.
FY 2021 Research Initiatives
Fusion Energy Sciences supports the following FY 2021 Research Initiatives
FY 2019
EnactedOngoing Research Initiatives
Artificial Intelligence and Machine Learning
Microelectronics Innovation
Quantum Information Science
U.S. Fusion Program Acceleration programab
Total, Ongoing Research Initiatives

—
4,000
—
2,000
6,000

(dollars in thousands)
FY 2020
FY 2021
EnactedRequest
7,000
—
7,520
4,000
18,520

7,000
5,000
9,520
5,000
26,520FY 2021 Request vsFY 2020 Enacted—+5,000+2,000+1,000+8,000In FY 2021, the U.S. Fusion Program Acceleration initiative focuses on strengthening fusion research within the United States. This initiative includes the
INFUSE program ($4 million) and a study to determine the needs for a future fusion facility ($1 million).
b In FY 2019, INFUSE funding was included under Science Discovery through Advanced Computing (SciDAC) and High Energy Density Laboratory Plasmas(HEDLP) activities. Starting in FY 2020, INFUSE is identified as a separate activity.
a

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Fusion Energy Sciences
Funding(dollars in thousands)
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

Burning Plasma Science: Foundations
Advanced Tokamak
Spherical Tokamak
Theory & Simulation
GPE/GPP/Infrastructure
Innovation Network for Fusion Energy (INFUSE) programa
Total, Burning Plasma Science: Foundations

130,500
96,00050,000
10,204—
286,704

123,500
101,000
44,0007,000
4,000
279,500

92,50072,50051,0001,000
4,000
221,000-31,000-28,500+7,000-6,000—-58,500

Burning Plasma Science: Long Pulse
Long Pulse: Tokamak
Long Pulse: Stellarators
Materials & Fusion Nuclear Science
Total, Burning Plasma Science: Long Pulse

14,0008,500
38,746
61,246

14,0008,500
47,50070,0008,000
7,500
33,50049,000-6,000-1,000-14,000-21,000

Discovery Plasma Science
Plasma Science Frontiers
Measurement Innovation
SBIR/STTR & Other
Total, Discovery Plasma Science
Subtotal, Fusion Energy Sciences

52,0508,000
24,00084,050432,000

42,5003,000
19,00064,500414,000

25,0003,000
15,151
43,151
313,151-17,500—-3,849-21,349-100,849

In FY 2019, INFUSE funding was included under Science Discovery through Advanced Computing (SciDAC) and High Energy Density Laboratory Plasmas (HEDLP) activities. Starting in FY 2020, INFUSE is identified
as a separate activity.
a

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(dollars in thousands)

Construction
20-SC-61, Matter in Extreme Conditions Petawatt Upgrade
14-SC-60, U.S. Contributions to ITER
Total, Construction
Total, Fusion Energy Sciences

FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted—
132,000
132,000
564,000

15,000242,000
257,000
671,000

5,000
107,000
112,000
425,151-10,000-135,000-145,000-245,849

SBIR/STTR funding: FY 2019 Enacted: SBIR $12,992,000 and STTR $1,827,000
 FY 2020 Enacted: SBIR $12,348,000 and STTR $1,737,000
 FY 2021 Request: SBIR $8,469,000 and STTR $1,191,000

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Fusion Energy Sciences
Explanation of Major Changes

Burning Plasma Science: Foundations
The Request for DIII-D supports the transition to extended shift operations to allow increased utilization of the facility, with 13 weeks ofresearch operations, as well as some continued facility enhancements to ensure the world-leading status of the facility. Funding for the NSTX-U
program will support the completion of the NSTX-U Recovery project and initiation of machine commissioning, and maintain collaborative
research at other facilities to support NSTX-U research program priorities. SciDAC continues to make progress toward whole-device modeling;
this subprogram will also continue exploring transformative approaches to fusion science, such as machine learning and QIS. Enabling R&D will
focus attention on high-temperature superconductor development. Funding is provided for General Plant Projects/General Purpose Equipment(GPP/GPE) to support critical infrastructure improvements and repairs at PPPL and other DOE laboratories where fusion research is conducted.
Private-public partnership collaborations through the INFUSE program will continue.

(dollars in thousands)
FY 2021 Request vsFY 2020 Enacted-58,500

Burning Plasma Science: Long Pulse
The Request will continue to provide support for high-priority international collaboration activities, both for tokamaks and stellarators.
Materials research and fusion nuclear science research programs are focused on high priorities, such as advanced plasma-facing and structural
materials. The Request supports design and R&D activities for the MPEX MIE project, expected to be baselined in FY 2021, and initiates longlead major procurements.

-21,000

Discovery Plasma Science
For General Plasma Science, the Request emphasizes user research on collaborative research facilities at universities and national laboratories
and participation in the NSF-DOE Partnership. For High Energy Density Laboratory Plasmas, the focus remains on supporting research utilizing
the Matter in Extreme Conditions (MEC) instrument of the LCLS user facility at SLAC, supporting research on medium-scale laser facilities
through the LaserNetUS network, and exploring research opportunities of QIS.

-21,349

Construction
FES will support design activities for a significant upgrade to the MEC instrument. The U.S. Contributions to ITER project will continue design,
fabrication, and delivery of highest-priority First Plasma hardware.

-145,000

Total, Fusion Energy Sciences-245,849

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Basic and Applied R&D Coordination
FES participates in coordinated intra- and inter-agency initiatives within DOE and with other federal agencies on science andtechnology issues related to fusion and plasma science. Within SC, FES operates the MEC instrument at the SLAC LCLS user
facility operated by BES, and supports high-performance computing research with ASCR. Within DOE, FES operates a joint
program with NNSA in HEDLP physics and, in FY 2020, conducted joint solicitations with the Advanced Research Projects
Agency-Energy (ARPA-E). FESAC provides technical and programmatic advice to FES and NNSA for the joint HEDLP program.
Outside DOE, FES carries out a discovery-driven plasma science research program in partnership with NSF. Researchsupported through this joint program extends to a wide range of natural phenomena, including the origin of magnetic fields
in the universe and the nature of plasma turbulence. The joint programs with NNSA and NSF involve coordination ofsolicitations, peer reviews, and workshops.
Program Accomplishments
The need for a new fusion materials irradiation capability.
The FES sponsored U.S. Virtual Laboratory for Technology (VLT) organized a workshop to discuss the need for a fusion
prototypic neutron source (FPNS) and to determine the parameters required to fill this need. The workshop reached theunanimous conclusion that a near term, moderate cost FPNS would significantly advance the scientific understanding ofmaterials degradation in the intense fusion neutron environment and would be a major asset to the U.S. fusion program. A
FPNS is a potential intermediate step to next generation sources such as the International Fusion Materials Irradiation
Facility (IFMIF) being pursued by the EU and Japan if it becomes available near-term. Achieving this role requires start ofconstruction within about three years.
The Innovation Network for Fusion Energy (INFUSE) pilot program.
Recognizing the surge in interest and investments by the private sector in the development of fusion energy, FES launched apilot program to accelerate progress in fusion energy by establishing research partnerships with the private sector. These
private-public research partnerships enable applicants to access and leverage the world-class expertise and capabilities infusion science available at the DOE national laboratories. This new FES program is modeled after the successful Gateway for
Accelerated Innovation in Nuclear (GAIN) Nuclear Energy Voucher program established by the Office of Nuclear Energy.
Machine learning allows NSTX-U to accurately model external heating during plasma discharges.
Neutral beam injectors are an effective source of heating for fusion experimental plasmas, but understanding this power
tends to be a slow, analysis intensive process requiring many discharges. Recently, researchers at the Princeton Plasma
Physics Laboratory (PPPL) were able to develop a new model of neutral beam injection that is fast and accurate enough to
be useful in controlling discharges as they evolve. The scientists used neural networks and trained the model using a
database of NSTX-U discharges. If this new model is used to control the plasma, it is expected that the optimization ofplasma performance scenarios could be achieved many times faster than is typical.
Establishment of LaserNetUS.
FES established a network of laser facilities in the U.S. that includes nine institutions: the University of Texas at Austin, The
Ohio State University, Colorado State University, The University of Michigan, University of Nebraska- Lincoln, University ofRochester, SLAC National Accelerator Laboratory, Lawrence Berkeley National Laboratory, and Lawrence Livermore
National Laboratory. LaserNetUS will provide scientists with access to these facilities, promote networking andcollaboration, develop next generation workforce for DOE laboratories, and help the U.S. regain the recently lost leadershipin high intensity laser science.
U.S. diagnostic is key to Wendelstein 7-X (W7-X) stellarator world record.
W7-X attained the stellarator world record for the fusion triple product of ion temperature, plasma density, and energy
confinement. This represents further progress towards achieving the reactor values needed to ignite a plasma. This value ofthe fusion triple product is excellent for a device of this size, achieved under realistic conditions, i.e. at a high temperatureof the plasma ions. The temperature was measured by the x-ray imaging crystal spectrometer, built and operated by PPPL.
The record could not have been confirmed without the crucial spectrometer measurement.

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Never-before-seen Parker spiral created in the Laboratory.
The Sun is a spinning ball of plasma that generates its own magnetic field. Fueled by the nuclear fusion in its core, the Sun
spews plasma out into the solar system forming the solar wind. The solar wind sweeps away the Sun’s magnetic field. As
the Sun rotates, the magnetic field bends into a spiral structure known as the Parker spiral. For the very first time,
researchers recreated the Parker spiral in the laboratory by forcing a helium plasma to rotate in the plasma confinement
vessel. Once the plasma spun fast enough, its magnetic field formed a spiral. Although the Parker spiral is far more complex
and expansive than its laboratory equivalent, this laboratory plasma model accurately reproduces the structure of the Sun’smagnetic field. The results can be used to further examine the origin and evolution of the solar wind.
Plasma syntheses of nanoparticles.
Exact mechanisms of nanoparticle growth in an arc discharge are not fully understood because it is difficult to make in situ
measurements of nanoparticles. For the first time, spatially-resolved measurements with a planar laser-induced
incandescence technique, and simulations were performed to identify the plasma parameters and location where
nanoparticles form and grow in an atmospheric pressure carbon arc. The measurements revealed that large clouds ofnanoparticles have formed in the arc periphery bordering the region with a high density of diatomic carbon molecules.
Two-dimensional fluid simulations of the arc combined with thermodynamic modeling show that the nanoparticle cloudshape is determined by the convection flow pattern, and nanoparticle size is determined by the rate of the condensation ofcarbon molecular species and particle agglomeration. These results will contribute to the development of more accurate
models for the growth of nanoparticles and nanotubes in plasma environments.
Several key DIII-D facility enhancements completed.
In May, 2018, the DIII-D National Fusion Facility began an extended shutdown period in order to implement several major
facility enhancements that could not be completed while the facility was operating. This work was completed on schedulein April 2019, and research operations resumed as planned in June. The enhancements to the facility will give DIII-D
researchers several new world-unique tools to investigate the physics of advanced tokamak fusion plasmas. The newheating and current drive capabilities, as well as improvements to DIII-D’s interior structure and diagnostic systems, havealready been commissioned and are being used in experiments. These new resources will help DIII-D scientists to further
optimize the advanced tokamak as a fusion energy source.
Building the world’s largest pulsed electromagnet.
ITER’s giant central solenoid was designed to induce a powerful current in the ITER plasma and maintain it during longpulses. The ITER project intends to demonstrate that through magnetically confined super-hot plasma, more energy will begiven off than what it took to make the fusion reaction for a sustained period of time. The implications of a successful
demonstration are world changing and may eventually lead to fusion energy power plants. One of the critical systems the
U.S. is providing is the central solenoid (CS), which serves as the backbone of the ITER Magnet System. The CS consists of six
independent coil modules held together by a vertical pre-compression structure. The U.S. is responsible for the six modules,
an additional spare module, the structure that connects them together, and the required assembly tooling. When installed,
the CS will be able to generate 6.4 Gigajoules of stored magnetic energy. The manufacturing process takes approximately
22 to 24 months per module plus an additional five to six months of testing. In April 2019, the first of seven modules
successfully passed the first round of extensive testing. Six modules are currently in various stages of production and thefirst will be ready in early 2020 for shipment.

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Fusion Energy Sciences
Burning Plasma Science: Foundations
Description
The Burning Plasma Science: Foundations subprogram advances the predictive understanding of plasma confinement,
dynamics, and interactions with surrounding materials.
Among the activities supported by this subprogram are:







Research at major experimental facilities aimed at resolving fundamental advanced tokamak and spherical tokamak
science issues.
Research on small-scale magnetic confinement experiments to elucidate physics principles underlying toroidal
confinement and to validate theoretical models and simulation codes.
Theoretical work on the fundamental description of magnetically confined plasmas and the development of advanced
simulation codes on current and emerging high-performance computers.
Research on technologies needed to support the continued improvement of the experimental program and facilities.
Support for infrastructure improvements at Princeton Plasma Physics Laboratory (PPPL) and other DOE laboratories
where fusion research is ongoing.
Support for private-public partnerships through the INFUSE program.

Research in the Burning Plasma Science: Foundations area in FY 2021 will focus on high-priority scientific issues andopportunities in the areas of transients in tokamaks, plasma-material interactions, and whole-device modeling, as identified
by basic research needs workshops and other community-led studies. It will also support new transformational approaches,such as machine learning, QIS, and other SC-wide initiatives.
Advanced Tokamak
The DIII-D user facility at General Atomics in San Diego, California, is the largest magnetic fusion research experiment in the
U.S. It can magnetically confine plasmas at temperatures relevant to burning plasma conditions. Its extensive set ofadvanced diagnostic systems and extraordinary flexibility to explore various operating regimes make it a world-leading
tokamak research facility. Researchers from the U.S. and abroad perform experiments on DIII-D for studying stability,
confinement, and other properties of fusion-grade plasmas under a wide variety of conditions. The DIII-D research goal is toestablish the broad scientific basis to optimize the tokamak approach to magnetic confinement fusion. Much of thisresearch concentrates on developing the advanced tokamak concept, in which active control techniques are used tomanipulate and optimize the plasma to obtain conditions scalable to robust operating points and high fusion gain for futureenergy-producing fusion reactors.
The Enabling Research and Development (R&D) element develops the technology to enhance the capabilities for existingand next-generation fusion research facilities, enabling these facilities to achieve higher levels of performance and flexibility
needed to explore new science regimes.
Versatile, university-led, small-scale advanced tokamak research is complementary to the efforts at the major user facilities,
providing rapid and cost-effective development of new techniques and exploration of new concepts. These activities areoften the first step in a multi-stage approach toward the extension of the scientific basis for advanced tokamaks. Recent
efforts are focused on improving fusion plasma control physics for advanced tokamaks through application of modern
digital tokamak control theory and validation of fundamental plasma stability theory.
Spherical Tokamak
The NSTX-U user facility at PPPL is designed to explore the physics of plasmas confined in a spherical tokamak (ST)
configuration, characterized by a compact (apple-like) shape. If the predicted ST energy confinement improvements areexperimentally realized in NSTX-U, then the ST might provide a more compact fusion reactor than other plasma
confinement geometries. In FY 2021, NSTX-U recovery activities will continue with component fabrication and installation,
as well as addressing corrective actions that will ensure reliable plasma operations.
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Small-scale ST plasma research involves focused experiments to provide data in regimes of relevance to the ST magnetic
confinement program. These efforts can help confirm theoretical models and simulation codes in support of the FES goal todevelop an experimentally validated predictive capability for magnetically confined fusion plasmas. This activity also
involves high-risk, but high-payoff, experimental efforts useful to advancing ST science.
Theory and Simulation
The Theory and Simulation activity is a key component of the FES program’s strategy to develop the predictive capability
needed for a sustainable fusion energy source. It also represents a world-leading U.S. strength and competitive advantage
in fusion research. Its long-term goal is to enable a transformation in predictive power based on fundamental science andhigh-performance computing to minimize risk in future development steps and shorten the path toward the realization offusion energy. This activity includes two main interrelated but distinct elements: Theory and SciDAC.
The Theory element is focused on advancing the scientific understanding of the fundamental physical processes governing
the behavior of magnetically confined plasmas. The research ranges from foundational analytic theory to mid- and largescale computational work with the use of high-performance computing resources. In addition to its scientific discovery
mission, the Theory element provides the scientific grounding for the physics models implemented in the advanced
simulation codes developed under the SciDAC activity described below and also supports validation efforts at major
experiments.
The FES SciDAC element, a component of the SC-wide SciDAC program, is aimed at accelerating scientific discovery in fusion
plasma science by capitalizing on SC investments in leadership-class computing systems and associated advances incomputational science. The portfolio that emerged from the FY 2017 SC-wide SciDAC-4 re-competition and follow-up
targeted reviews in FY 2018 consists of nine multi-institutional interdisciplinary partnerships, seven of which are jointly
supported by FES and ASCR, and addresses the high-priority research directions identified in recent community workshops.
The current portfolio emphasizes increased integration and whole-device modeling, as well as synergy with the fusionrelevant projects of the SC Exascale Computing Project (SC-ECP) to increase the readiness of the fusion community for theupcoming Exascale era.
Additional objectives of this element include the support of emerging computational approaches, such as ML and otherdata-centric technologies and the support of longer-term transformative research opportunities such as computing aspects
of QIS, as identified in the 2018 FES Roundtable on QISa.
GPE/GPP/InfrastructureThis activity supports critical general infrastructure (e.g., utilities, roofs, roads, facilities, environmental monitoring, andequipment) at the PPPL site and other DOE laboratories where fusion research is ongoing.
Innovation Network for Fusion Energy Program
The Innovation Network for Fusion Energy (INFUSE) program provides private-sector fusion companies with access to theexpertise and facilities of DOE’s national laboratories to overcome critical scientific and technological hurdles in pursuingdevelopment of fusion energy systems. Initiated in FY 2019, this private-public research partnership program, the first of its
kind in SC, is modeled after the successful Gateway for Accelerated Innovation in Nuclear (GAIN) Nuclear Energy Voucher
program. The INFUSE program does not provide funding directly to the private companies, but instead provides support to
DOE laboratories to enable them to collaborate with their industrial partners. Among the areas supported by INFUSE are
the development of fusion technologies, such as new and improved magnets; materials science, including engineeredmaterials, testing and qualification; plasma diagnostic development; modeling and simulation; and access to magnetic
fusion experimental capabilities.

ahttps://science.osti.gov/~/media/fes/pdf/workshop-reports/FES-QIS_report_final-2018-Sept14.pdf

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Fusion Energy Sciences
Burning Plasma Science: Foundations
Activities and Explanation of Changes(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Burning Plasma Science: Foundations$279,500
Advanced Tokamak$123,500
DIII-D Research$56,000
DIII-D Operations$60,500
Funding supports 20 weeks of research at the DIII-D facility.
The facility begins a transition to an extended shift mode ofoperation to support optimal facility operations levels for
DIII-D. Facility improvements to increase auxiliary heating
power, current drive, and 3D magnetic field shaping
capabilities are supported. Research utilizes new heating
and current drive systems to access steady-state tokamak
plasma scenarios at high pressure and low rotation, further
refine techniques to avoid and mitigate transients intokamaks, and exploits new diagnostics to improve theunderstanding of divertor material erosion and transport.
Specific research goals aim at resolution of predictive
burning plasma physics, validation of impurity transportmodels, and integration of core and edge plasma solutions
that extrapolate to future fusion reactors.

$221,000$92,500$40,500$49,000
The Request will support 13 weeks of operations at
the DIII-D facility. Research will utilize newly installedcapabilities including innovative current drive
systems, tungsten tiles to study the transport ofmetal impurities, and new diagnostics to study
pedestal and power exhaust physics. A new helium
liquifier system will be installed and operated to
improve availability of the facility. Specific researchgoals will aim at assessing the reactor potential of
current-drive systems to inform the design of nextstep devices, integrating core and edge plasma
solutions that extrapolate to future fusion reactors,
and advancing the understanding of power exhaust
strategies.

Science/Fusion Energy Sciences

189

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted-$58,500-$31,000-$15,500-$11,500
Funding will support research and operations.
Progress will continue on several high-priority
facility enhancement projects aimed at ensuring
the world-leading status of the facility.

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted
Enabling R&D$6,000Funding supports research in high-temperature
superconducting magnet technology and plasma fueling andheating technologies. Developing high-field magnet cable
testing capabilities, in collaboration with the HEP continues.

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted$2,000-$4,000
The Request will support continuing research in
Funding will focus on high-temperature
high-temperature superconducting magnet
superconducting magnet technology andtechnology and plasma fueling and heating
heating and fueling technologies.
technologies.

Small-scale Experimental Research$1,000$1,000$—Funding supports university-led experiments in developing
The Request will continue university-led experiments Support for research activities will continue atinnovative strategies to improve the performance ofto develop new optical-based tokamak control
the same level of effort.
advanced tokamaks.
schemes, measure boundary and wall current
dynamics during plasma disruptions, and refine
scrape-off layer current control methods.
Spherical Tokamak$101,000
NSTX-U Research$30,000
NSTX-U Operations$68,000
Funding supports continual recovery procurements andfabrication activities that are necessary to realize robust
research operations. Research supports analysis andmodeling efforts at other facilities that support NSTX-U
research program priorities and the installation of highpriority diagnostic instruments on the device continues.

Science/Fusion Energy Sciences$72,500$27,000$43,500
The Request for operations funding will continue tosupport recovery procurements, fabrication, andmachine reassembly activities that are necessary toresume robust research operations. Research efforts
will focus on analysis and modeling activities at otherfacilities that support NSTX-U program priorities.

190-$28,500-$3,000-$24,500
Operations funding will continue to support the
NSTX-U Recovery activity as PPPL continues
machine reassembly activities and prepares formachine commissioning and plasma start-up.
Research funding will be dedicated to thehighest-priority scientific objectives of NSTX-U.

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

Small-scale Experimental Research$3,000Funding supports studies and experiments focus on
exploring operational scenarios without a central solenoid
and model validation and detailed core turbulent transportmechanisms that elucidate experimental observations ofimproved confinement when the plasma is surrounded byliquid lithium.

$2,000-$1,000
The Request will continue to support studies andResearch efforts will focus on the highestexperiments focused on exploring operational
priority activities.
scenarios without a central solenoid, model
validation, and detailed core turbulent transportmechanisms observed in plasmas with low recycling
liquid lithium walls.

Theory & Simulation$44,000
Theory$19,000
Funding supports the foundational problems in the scienceof magnetic confinement. Emphasis is placed on researchthat maximizes synergy with large-scale simulation efforts
and addresses recommendations from community
workshops.

$51,000+$7,000$21,000+$2,000
The Request will continue to support theory and
The increase in funding will strengthen efforts
modeling efforts focusing on advancing the scientific that address the needs of large-scale simulation
understanding of the fundamental physicalprojects.
processes governing the behavior of magneticallyconfined plasmas. The activity will emphasize
research that addresses critical burning plasmachallenges, including plasma disruptions, runaway
electrons, three-dimensional and non-axisymmetriceffects, and the physics of the plasma boundary.

SciDAC$25,000
Funding supports nine FES SciDAC partnerships to address
challenges in burning plasma science, with emphasis on
integration and whole-device modeling, as well as Exascalereadiness. Progress in plasma disruptions accelerates
following the addition of a partnership focusing on runaway
electron physics in FY 2018. Validation of the simulation
codes against experimental data is also emphasized.
Research efforts focusing on emerging technologies withtransformational potential, such as machine learning andcomputing aspects of QIS, continues.

$30,000
The Request will continue to support the nine FES
SciDAC partnerships, now in their fifth and final year.
Emphasis on whole-device modeling and Exascalereadiness will continue. The Request will also
support research on fusion-relevant quantum
computing, machine learning, and artificial
intelligence.

Science/Fusion Energy Sciences

191+$5,000
SciDAC partnerships will continue at the samelevel of effort. Additional funding will support
new efforts in QIS and fusion-relevant AI/ML
applications.

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

GPE/GPP/Infrastructure$7,000$1,000-$6,000
Funding supports PPPL infrastructure improvements, repair, The Request will support PPPL infrastructure
Funding efforts will focus on the highest-priority
maintenance and environmental monitoring. In addition, a
improvements, repair, maintenance andactivities.
study of FES infrastructure needs at ORNL continues.
environmental monitoring.
Innovation Network for Fusion Energy(INFUSE) program$4,000Funding enables more awards, allows the participation of
additional DOE laboratories in the program, and expands theeligibility requirements to include foreign companies,
provided their participation in this activity is in the economic
interest of the U.S.

Science/Fusion Energy Sciences$4,000—
The Request will enable the INFUSE program to
The INFUSE program will continue at the same
continue to provide funding opportunities forlevel of effort.
partnerships with the private sector through DOE
laboratories in multiple research areas.

192

FY 2021 Congressional Budget Justification

Fusion Energy Sciences
Burning Plasma Science: Long Pulse
Description
The Burning Plasma Science: Long Pulse subprogram explores new and unique scientific regimes that can be achieved
primarily with long-duration superconducting international machines, and addresses the development of the materials andtechnologies required to withstand and sustain a burning plasma. The key objectives of this area are to utilize these newcapabilities to accelerate our scientific understanding of how to control and operate a burning plasma, as well as to develop
the basis for a future nuclear device. This subprogram includes long-pulse international tokamak and stellarator research,and fusion nuclear science and materials research.
Long Pulse: Tokamak
This program supports interdisciplinary teams from multiple U.S. institutions for collaborative research aimed at advancing
the scientific and technology basis for sustained long-pulse burning plasma operation in tokamaks. Bilateral research oninternational facilities with capabilities not available in the U.S. targets critical topical areas identified in recent FESAC
reports and detailed community workshop reports, including prediction and avoidance of transient events in fusion
reactors, advanced algorithms such as AI/ML, plasma-material interactions, and integrated simulations. Research on
overseas superconducting tokamaks, conducted onsite and also via fully remote facility operation, leverages progress madein domestic experimental facilities and provides access to model validation platforms for mission critical applications
supported through the FES/ASCR partnership within the SciDAC portfolio. Efforts are augmented by research on nonsuperconducting tokamaks with access to burning plasma scenarios and mature diagnostic suites.
Long Pulse: Stellarator
Stellarators offer the promise of steady-state confinement regimes without transient events such as harmful disruptions.
The three-dimensional (3D) shaping of the plasma in a stellarator provides for a broader range in design flexibility than isachievable in a 2D system. The participation of U.S. researchers on W7-X in Germany provides an opportunity to develop
and assess 3D divertor configurations for long-pulse, high-performance stellarators, including the provision of a pellet
fueling injector for quasi-steady-state plasma experiments. The U.S. plans to develop control schemes to maintain plasmas
with stable operational boundaries, including the challenges of control with superconducting coils and issues of thediagnosis-control cycle in long-pulse conditions. U.S. researchers will play key roles in developing the operational scenariosand hardware configuration for high-power, steady-state operation, an accomplishment that will advance theperformance/pulse length frontier for fusion. The strong U.S. contributions during the W7-X construction phase haveearned the U.S. formal partnership status. Accordingly, the U.S. is participating fully in W7-X research and access to data.
U.S. domestic compact stellarator research is focused on improvement of the stellarator magnetic confinement concept
through quasi-symmetric shaping of the toroidal magnetic field. Quasi-symmetric shaping, invented in the U.S., offers an
improved solution for stable, well confined, steady-state stellarator plasmas.
Materials and Fusion Nuclear Science
The Materials and Fusion Nuclear Science activity seeks to address the large scientific and technical gaps that exist between
current-generation fusion experiments and future fusion reactors. Traditional materials used in present-day experiments
will not be acceptable in an intense fusion nuclear environment, and the development of new materials and components
suitable for fusion power plants is necessary in order to adequately provide the multiple functions of heat extraction,
tritium breeding, and particle control. The scientific challenge is understanding the complex fusion environment, which
combines extreme nuclear heating and damage, high temperatures, fluid-solid interactions, high tritium concentrations,and strong magnetic fields, as well as large variations of these parameters from the first wall to the vacuum vessel, and theimpact of this extreme environment on materials and component performance. Developing solutions for this complex
scientific challenge requires new experimental capabilities along with game-changing types of research. Facilities with theseexperimental capabilities will need to replicate or effectively simulate various aspects of the harsh fusion environment.
These experimental capabilities will lead to an increased understanding of materials and could aid in the development of
new materials for use in fusion as well as other extreme environments.

Science/Fusion Energy Sciences

193

FY 2021 Congressional Budget Justification

The highest-priority objective for the fusion materials science effort is to continue pursuing the design and fabrication of
the new world-leading experimental device, the Materials Plasma Exposure eXperiment (MPEX) facility at ORNL, which will
enable dedicated studies of reactor-relevant heat and particle loads on neutron-irradiated materials. The overall motivation
is to gain entry into a new class of fusion materials science wherein the combined effects of fusion-relevant heat andparticle fluxes on materials can be studied for the first time anywhere in the world.

Science/Fusion Energy Sciences

194

FY 2021 Congressional Budget Justification

Fusion Energy Sciences
Burning Plasma Science: Long Pulse
Activities and Explanation of Changes(dollars in thousands)
Explanation of Changes
FY 2021 Request vs FY 2020 Enacted
Burning Plasma Science: Long Pulse$70,000$49,000-$21,000
Long Pulse: Tokamak$14,000$8,000-$6,000
Funding supports research on overseas
The Request will support U.S. teams to develop
Research efforts will focus on high-priority topics
superconducting tokamaks to integrate newprediction, avoidance, and mitigation strategies for
aimed at resolving critical design issues for large longdiagnostics and control tools to improve thepotentially damaging transient events in large
pulse tokamaks such as ITER, and validation of
performance and duration of a wide-range of steady- tokamaks, validate computational tools for integrated predictive models that support facility and plasmastate, long-pulse plasma scenarios in collaboration
simulation of burning plasmas, and assess thecontrol design frameworks.
with international partners. Research goals support
potential of solid metal walls as the main plasma
the pursuit of robust disruption and runaway
facing material in long-pulse tokamak facilities.
mitigation solutions, validation of theoretical tools forplasma scenario development and optimization, andrefinement of power exhaust control solutions thatare consistent with transient-free plasma operation.
FY 2020 EnactedLong Pulse: Stellarators$8,500Superconducting Stellarator
Research$6,000Funding supports U.S. scientist to complete
fabrication and installation of a continuous highspeed pellet system to provide fueling for quasisteady-state plasma experiments; develop a complete
set of powder droppers for boron powder injection to
enable steady-state wall conditioning; examine theeffect of plasma turbulence and coherent modes onenergy and particle transport; and explore edge
radiative cooling with an island divertor, including 3D
equilibrium effects.

Science/Fusion Energy Sciences

FY 2021 Request$7,500-$1,000$5,000-$1,000
The Request will support U.S. scientists to utilize the
Research efforts will focus on the highest-priority
continuous pellet fueling system, which was installed activities.
on W7-X, to understand optimum profiles forturbulence suppression. This U.S.-built system, whichis critical for long-pulse operation, will help address anumber of scientific issues involved with quasisteady-state operation for the stellarator
configuration.

195

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

Compact Stellarator Research$2,500Funding supports research on experiments that areproviding data in regimes relevant to mainline
stellarator confinement and experimental validationof models and codes.

$2,500$—
The Request will support experiments in regimes
Research efforts will continue at the same level of
relevant to the mainline stellarator magnetic
support.
confinement efforts and help confirm theoreticalmodels and simulation codes to support thedevelopment of an experimentally-validated
predictive capability for magnetically-confined fusion
plasmas.

Materials & Fusion Nuclear Science$47,500
Fusion Nuclear Science$11,000
Funding supports research to focus on the core areasof plasma-facing components, safety, tritium fuelcycle, and breeder blanket technologies.
Opportunities are pursued for expansion into othernovel technologies as identified by the FESAC reporton Transformative Enabling Capabilities. In addition,
FES continues to evaluate options for a near-term
fusion-relevant neutron source.

$33,500$8,500
The Request will continue to focus on the coreresearch areas of tritium fuel cycle, breeder blanket
technologies, safety, and plasma-facing components.
The program will continue expanding efforts into theareas of novel fusion blanket and tritium fuel cycle
research. In addition, FES will continue to evaluate
options for a near-term neutron source to test
materials in fusion-relevant environments.

Materials Research$15,500
Funding supports research efforts to focus on thedevelopment of materials that can withstand theextreme fusion environment. Working toward
opportunities for expansion into high-priority
research in advanced materials and manufacturing.

$13,000-$2,500
The Request will continue to focus research on the
Research efforts will focus on high-priority activities indevelopment of materials that can withstand thefusion materials research.
extreme fusion environment, including further
expansion into the high impact topics of advanced
materials and manufacturing.

Projects$21,000$12,000
Funding supports the MPEX MIE project and enables The Request will continue to support the MPEX MIE
engineering design activities and preparation for
project. Activities will include the establishment ofbaseline approval and long-lead procurements.
the project performance baseline and the initiation of
long-lead procurement items.

Science/Fusion Energy Sciences

196-$14,000-$2,500
Research efforts will focus on the highest-priority
areas across the entire fusion nuclear science
technology portfolio to balance the core programsand expansion into new areas.

-$9,000
Funding will continue to support critical activities
required to develop a cost, schedule, and scopebaseline and initiate long-lead procurements for the
MPEX MIE project.

FY 2021 Congressional Budget Justification

Fusion Energy Sciences
Discovery Plasma Science
Description
The Discovery Plasma Science subprogram supports research that explores the fundamental properties and complex
behavior of matter in the plasma state to improve the understanding required to control and manipulate plasmas for abroad range of applications. Plasma science is not only fundamental to understanding the nature of visible matter
throughout the universe, but also to achieving the eventual production and control of fusion energy. Discoveries in plasma
science are leading to an ever-increasing array of practical applications, such as synthesis of nanomaterials and artificial
diamonds, fabrication of microelectronics and opto-electronic devices, energy-efficient lighting, low-heat chemical-freesterilization processes, tissue healing, combustion enhancement, and satellite communication.
The Discovery Plasma Science subprogram is organized into two principal activities: Plasma Science Frontiers, andMeasurement Innovation.
Plasma Science Frontiers
The Plasma Science Frontiers (PSF) activities involve research in largely unexplored areas of plasma science, with a
combination of theory, computer modeling, and experimentation. These frontiers encompass extremes of the plasma state,
ranging from the very small (several atom systems) to the extremely large (plasma structure spanning light years in length),from the very fast (attosecond processes) to the very slow (hours), from the diffuse (interstellar medium) to the extremely
dense (diamond compressed to tens of gigabar pressures), and from the ultra-cold (tens of micro-kelvin degrees) to theextremely hot (stellar core). Advancing the science of these unexplored areas creates opportunities for new andunexpected discoveries with potential to be translated into practical applications. These activities are carried out on smalland mid-scale experimental collaborative research facilities.
The PSF portfolio includes coordinated research activities in the following three areas:General Plasma Science: Research at the frontiers of basic and low temperature plasma science, including dynamical
processes in laboratory, space, and astrophysical plasmas, such as magnetic reconnection, dynamo, shocks, turbulence
cascade, structures, waves, flows and their interactions; behavior of dusty plasmas, non-neutral, single-component
matter or antimatter plasmas, and ultra-cold neutral plasmas; plasma chemistry and processes in low-temperatureplasma, interfacial plasma, synthesis of nanomaterials, and interaction of plasma with surfaces, materials orbiomaterials. In addition, this portfolio supports microelectronics and QIS research opportunities.
High Energy Density Laboratory Plasmas: Research directed at exploring the behavior of matter at extreme conditionsof temperature, density, and pressure, including laboratory astrophysics and planetary science, structure and dynamicof matter at the atomic scale, laser-plasma interactions and relativistic optics, magnetohydrodynamics and magnetizedplasmas, and plasma atomic physics and radiation transport. In addition, this portfolio supports QIS research
opportunities.
Exploratory Magnetized Plasma: Basic research involving the creation, control, and manipulation of magneticallyconfined plasmas to increase the understanding of terrestrial, space, and astrophysical phenomena or applications.

The PSF activity stewards world-class plasma science experiments and collaborative research facilities at small andintermediate scales. These platforms not only facilitate addressing frontier plasma science questions but also provide
critical data for the verification and validation of plasma science simulation codes, and comparisons with spaceobservations. This effort maintains strong partnerships with NSF and NNSA.
Measurement Innovation
The Measurement Innovation activity supports the development of world-leading transformative and innovative diagnostic
techniques and their application to new, unexplored, or unfamiliar plasma regimes or scenarios. The challenge is to develop
diagnostics with the high spatial, spectral, and temporal resolution necessary to validate plasma physics models used to
predict the behavior of fusion plasmas. Advanced diagnostic capabilities successfully developed through this activity are
migrated to domestic and international facilities as part of the Burning Plasma Science: Foundations and Burning Plasma
Science: Long Pulse subprograms. The utilization of mature diagnostics systems is then supported via the research
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FY 2021 Congressional Budget Justification

programs at major fusion facilities. In addition, this portfolio supports new QIS research opportunities on fusion-relevant
quantum sensing applications.
SBIR/STTR & Other
Funding for SBIR/STTR and future fusion design studies are included in this activity. Other items that are supported include
research at Historically Black Colleges and Universities (HBCUs); the U.S. Burning Plasma Organization (USBPO), a nationalorganization that coordinates research in burning plasma science; peer reviews for solicitations across the program;outreach programs; and support for FESAC.

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FY 2021 Congressional Budget Justification

Fusion Energy Sciences
Discovery Plasma Science
Activities and Explanation of Changes(dollars in thousands)
Explanation of Changes
FY 2021 Request vs FY 2020 Enacted
Discovery Plasma Science$64,500$43,151-$21,349
Plasma Science Frontiers$42,500$25,000-$17,500
General Plasma Science$18,000$13,000-$5,000
Funding supports core research areas focused on
The Request supports core research activities in basic Research efforts will focus on highest-priority sciencebasic plasma science and low-temperature plasma
and low temperature plasma science focused on
issues in both basic and low temperature plasmas.
collaborative research facilities, including support for supporting user research on collaborative researchusers of these facilities.
facilities at universities and national laboratories.
FY 2020 Enacted

FY 2021 Request

High Energy Density Laboratory$20,000$12,000-$8,000
PlasmasFunding supports research with an emphasis on
The Request will emphasize research utilizing the
Research efforts will focus on the highest-priority
utilization of the Matter in Extreme Conditions (MEC) MEC, LaserNetUS, and QIS.
science issues.
instrument at the LCLS at SLAC. Support continues for
the MEC beam-line science team and the LaserNetUS
initiative. Application of HEDLP to advance QIS is
supported.
Projects$4,500Funding continues to support the conceptual design
No funding is requested.
of the MEC Petawatt Upgrade.
Measurement Innovation$3,000Funding supports the development of transformativeand innovative diagnostics for plasma transient
instabilities, plasma-materials interactions, modelingvalidation, and basic plasma science identified in thecommunity workshops as well as for partnership
opportunities with the private sector.

Science/Fusion Energy Sciences$—-$4,500
No funding is requested.

$3,000
The Request will continue to support thedevelopment of transformative and innovative
diagnostics for plasma transient instabilities, plasmamaterial interactions, modeling validation, QIS
research activities, and basic plasma science
identified in the community engagement workshops.

199$—
Research efforts will focus on highest-priority
activities.

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

SBIR/STTR & Other$19,000
Funding supports USBPO activities, HBCUs, peer
reviews for solicitations, outreach programs, and
FESAC. SBIR/STTR funding is statutorily set at 3.65
percent of noncapital funding in FY 2020.

$15,151
The Request will continue to support USBPO
activities, HBCUs, peer reviews for solicitations,outreach programs, and FESAC. In addition, theRequest will support the initiation of a study for a
future fusion facility complex that will support bothpublic and private activities. SBIR/STTR is statutorily
set at 3.65 percent of noncapital funding in FY 2021.

Science/Fusion Energy Sciences

200

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted-$3,849
The study effort on a future fusion facility complex isa new activity for this program element. The
SBIR/STTR funding will be consistent with the FES
total budget.

FY 2021 Congressional Budget Justification

Fusion Energy Sciences
Construction
Description
This subprogram supports all line-item construction projects for the entire FES program. All Total Estimated Costs (TEC) are
funded in this subprogram.
Matter in Extreme Conditions (MEC) Petawatt Upgrade
The National Academies of Sciences, Engineering, and Medicine (NAS) 2017 report “Opportunities in Intense Ultrafast
Lasers: Reaching for the Brightest Lighta” recommended that “The Department of Energy should plan for at least one largescale open-access high-intensity laser facility that leverages other major science infrastructure in the Department of Energy
complex”. The MEC Petawatt Upgrade project was a new start in FY 2020 and is an upgrade to the existing MEC facility. This
project is aimed at providing an experimental collaborative National User Facility for High-Energy-Density Science that willaddress this NAS recommendation as well as maintain U.S. leadership in this important field of study. MEC is anexperimental research end-station that utilizes SLAC’s Linac Coherent Light Source. The project received CD-0, “Approve
Mission Need” on January, 4, 2019. The FY 2021 Request of $5,000,000 will support conceptual design of the MEC Petawatt
Upgrade. The estimated total project cost is $50,000,000 to $200,000,000.
ITER
The ITER facility, currently under construction in St. Paul-lez-Durance, France, and more than 65 percent complete for First
Plasma, is designed to provide fusion power output approaching reactor levels of hundreds of megawatts, for hundreds of
seconds. Construction of ITER is a collaboration among the United States, European Union, Russia, Japan, India, Republic ofKorea, and China, governed by an international agreement (the “ITER Joint Implementing Agreement”), through which the
U.S. contributes in-kind-hardware components, personnel, and also a financial contribution, e.g. for the installation andassembly of the components provided by the U.S. and other Members to the ITER Organization (IO). An independent review
of CD-2, “Approve Performance Baseline” for the First Plasma subproject was completed in November 2016 and thensubsequently approved by the Project Management Executive (PME) on January 13, 2017, with a total project cost of$2.5 billion. The FY 2021 Request of $107,000,000 will support the highest priority activities. The estimated total project
cost is $4,700,000,000 to $6,500,000,000.
The U.S. in-kind contribution represents 9 percent of the overall cost, but will allow access to 100 percent of the scienceand engineering associated with what will be the largest magnetically confined burning plasma experiment ever created.
Recent advances in validated theory indicate that ITER will outperform its currently stated performance, including higher
fusion power gain, longer plasma duration, demonstration of advanced operating scenarios, and improvements in divertor
power handling.

ahttps://www.nap.edu/read/24939/chapter/1

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Fusion Energy Sciences
Construction
Activities and Explanation of Changes(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted-$145,000

Construction$257,000$112,000
Matter in Extreme Conditions (MEC)
Petawatt Upgrade$15,000$5,000-$10,000
Funding supports design activities for this project to
The Request will support design activities, preparation Funding will support critical activities required toachieve CD-1.
for developing a project baseline, and long-leaddevelop a cost, schedule, and scope baseline andprocurements for an upgrade to MEC.
initiate long-lead procurements for the MEC upgrade
project.
U.S. Contributions to ITER
$242,000$107,000-$135,000
Funding supports continuing design and fabrication of The Request will support continued design andFunding will continue to focus on the highest-priority
the highest priority “in-kind” hardware systems.
fabrication of in-kind hardware systems for the First
SP-1 activities.
Plasma subproject (SP-1).

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FY 2021 Congressional Budget Justification

Fusion Energy Sciences
Capital Summary

Total
Capital Operating Expenses
Capital Equipment
Minor Construction Activities
General Plant Projects (GPP)
Total, Capital Operating Expenses

Prior Years(dollars in thousands)
FY 2019
FY 2020
EnactedEnactedFY 2021
RequestFY 2021 Request vsFY 2020 Enacted

N/A

N/A

16,874

21,76048,112+26,352

N/A
N/A

N/A
N/A

9,134
26,0086,350
28,110380
48,492-5,970+20,382(dollars in thousands)
FY 2019
FY 2020
EnactedEnactedFY 2021
RequestCapital Equipment

Total
Capital Equipment
Major Items of Equipmenta
Burning Plasma Science: Long Pulse
Materials Plasma Exposure eXperiment (MPEX)
Total, Non-MIE Capital Equipment
Total, Capital Equipment

Prior Years

86,000-175,000
N/A
N/A

—
N/A
N/A

14,746
2,128
16,87421,000760
21,76012,00036,112
48,112(dollars in thousands)
FY 2019
FY 2020
EnactedEnactedFY 2021
RequestFY 2021 Request vsFY 2020 Enacted-9,000+35,352+26,352

Minor Construction Activities

Total
General Plant Projects (GPP)
Total GPPs less than $5Mbab

Prior Years
N/A

N/A

9,134

6,350

FY 2021 Request vsFY 2020 Enacted

380-5,970Each MIE located at a DOE facility Total Estimated Cost (TEC) >$5M and each MIE not located at a DOE facility TEC >$2M.
GPP activities less than $5M include design and construction for additions and/or improvements to land, buildings, replacements or additions to roads, and general area improvements.

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FY 2021 Congressional Budget Justification

Fusion Energy Sciences
Major Items of Equipment Description(s)Burning Plasma Science: Long Pulse MIE:
Materials Plasma Exposure eXperiment (MPEX)FES has conducted substantial research and development over the past five years to identify and develop an innovative,
linear, high-intensity plasma source capable of producing the extreme plasma parameters required to simulate a burning
plasma environment. FES is now building on this research to develop a first-of-a-kind, world-leading experimental capability
that will be used to explore solutions to the plasma-materials interactions challenge. MPEX, which will be located at ORNL,
will allow dedicated studies of reactor-relevant heat and particle loads on neutron-irradiated materials. The overallmotivation is to gain entry into a new class of fusion materials science wherein the combined effects of fusion-relevant
heat, particle, and neutron fluxes can be studied for the first time anywhere in the world. The project is expected to bebaselined in FY 2021. The proposed funding will allow for the project to obtain baseline performance approval in FY 2021
and initiate long-lead time procurements for the device. Following conceptual design completion, the preliminary cost
range is between $86,000,000 –$175,000,000.

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FY 2021 Congressional Budget Justification

Fusion Energy Sciences
Construction Projects Summary

Total

Prior Years(dollars in thousands)
FY 2019
FY 2020
EnactedEnactedFY 2021
RequestFY 2021 Request vsFY 2020 Enacted

20-SC-61, Matter in Extreme Conditions (MEC)
Petawatt Upgrade
TEC
OPC
TPC

TBD
TBD
TBD

—
—
—

—
1,600
1,600

15,0004,500
19,500

5,000
—
5,000

-10,000-4,500-14,500

14-SC-60, U.S. Contributions to ITER
TEC
OPC
TPC

TBD
TBD
TBD

1,239,617
70,302
1,309,919

132,000—
132,000

242,000—
242,000

107,000—
107,000-135,000—-135,000

Total, Construction
TEC
OPC
TPC

TBD
TBD
TBD

1,239,617
70,302
1,309,919

132,000
1,600
133,600

257,000
4,500
261,500

112,000—
112,000-145,000-4,500-149,500

Fusion Energy Sciences
Funding Summary(dollars in thousands)
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

261,950
143,500

253,000
128,500

207,651
92,500FY 2021 Request vsFY 2020 Enacted-45,349-36,000

14,746
133,600
148,346
10,204564,000

21,000261,500
282,500
7,000
671,000

12,000112,000
124,000
1,000
425,151-9,000-149,500-158,500-6,000-245,849

Research
Facility Operations
Projects
Major Items of Equipment
Construction
Total, Projects
Other
Total, Fusion Energy Sciences

Science/Fusion Energy Sciences

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Fusion Energy Sciences
Scientific User Facility Operations
The treatment of user facilities is distinguished between two types: TYPE A facilities that offer users resources dependent on a single, large-scale machine; TYPE B
facilities that offer users a suite of resources that is not dependent on a single, large-scale machine.
Definitions for TYPE A facilities:
Achieved Operating Hours – The amount of time (in hours) the facility was available for users.
Planned Operating Hours – For Past Fiscal Year (PY), the amount of time (in hours) the facility was planned to be available for users.
 For Current Fiscal Year (CY), the amount of time (in hours) the facility is planned to be available for users.
 For the Budget Fiscal Year (BY), based on the proposed Budget Request the amount of time (in hours) the facility is anticipated to be available for users.
Optimal Hours – The amount of time (in hours) a facility would be available to satisfy the needs of the user community if unconstrained by funding levels.
Percent of Optimal Hours – An indication of utilization effectiveness in the context of available funding; it is not a direct indication of scientific or facility productivity.
 For BY and CY, Planned Operating Hours divided by Optimal Hours expressed as a percentage.
 For PY, Achieved Operating Hours divided by Optimal Hours.
Unscheduled Downtime Hours - The amount of time (in hours) the facility was unavailable to users due to unscheduled events. NOTE: For type “A” facilities, zero
Unscheduled Downtime Hours indicates Achieved Operating Hours equals Planned Operating Hours.
(dollars in thousands)

TYPE A FACILITIESDIII-D National Fusion Facility
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours

Science/Fusion Energy Sciences

FY 2019 Enacted

FY 2019 Current

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted$121,500
673
N/A
480
480
100%
N/A

$121,443
718
480
480
480
100%
N/A

$116,500
718
N/A
800
960
83%
N/A

$89,500
600
N/A
520
960
54%
N/A

-27,000
-118
N/A
-280
—
-29.2%N/A

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FY 2021 Congressional Budget Justification

(dollars in thousands)

National Spherical Tours Experimental—
UpgradeNumber of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours
Total Facilities
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hoursa
Unscheduled downtime hours

FY 2019 Enacted

FY 2019 Current

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted$93,000$92,250$98,000$70,500-27,500

385
N/A
—
—
N/A
N/A

308
N/A
—
—
N/A
N/A

326
N/A
—
—
N/A
N/A

320
N/A
—
—
N/A
N/A

-6
N/A
—
—
N/A
N/A

$214,500
1,058
N/A
480
480
100%
N/A

$213,693
1,026
480
480
480
100%
N/A

$214,500
1,044
N/A
800
960
83%
N/A

160,000
920
N/A
520
960
54%
N/A

-54,500
-124
N/A
-280
—
-29.2%
N/A

Fusion Energy Sciences
Scientific Employment

Number of permanent Ph.D.’s (FTEs)
Number of postdoctoral associates (FTEs)
Number of graduate students (FTEs)
Other scientific employment (FTEs)b

FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

932
114
310
1,390

859
106
287
1,284

646
79
216
964

-213
-27
-71
-320

n

For total facilities only, this is a “funding weighted” calculation FOR ONLY TYPE A facilities:b Includes technicians, engineers, computer professionals and other support staff.
aScience/Fusion Energy Sciences∑1[(%OH for facility n) × (funding for facility n operations)]
Total funding for all facility operations

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208

20-SC-61, Matter in Extreme Conditions (MEC) Petawatt Upgrade
SLAC National Accelerator Laboratory
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Matter in Extreme Conditions (MEC) Petawatt Upgrade project is $5,000,000. The MEC is anexperimental research end-station that utilizes the Linac Coherent Light Source (LCLS) SC User Facility at the SLAC National
Accelerator Laboratory. The preliminary estimated Total Project Cost (TPC) range for the MEC Petawatt Upgrade is$50,000,000 to $200,000,000. SC plans for the project to achieve Critical Decision-1 (CD-1), “Approve Alternative Selection
and Cost Range” in FY 2020.
SLAC is developing options with wide-ranging cost and schedule implications. In the 2nd quarter of FY 2020, FES will selectthe option that considers how best to achieve and maintain world leading fusion discovery science. The best option will
include a large-scale, open-access, high-intensity laser facility that is co-located with hard X-ray laser-probing capabilities(i.e., with an X-ray wavelength that allows atomic resolution).
Significant Changes
The project achieved CD-0, “Approve Mission Need” on January, 4, 2019. Other Project Costs funding in FY 2020 will
support preliminary design of the civil infrastructure and technical hardware. When the project achieves CD-1, “Approve
Alternative Selection and Cost Range”, which is planned for FY 2020, SC will then initiate TEC design efforts. A Federal
Project Director has been assigned to the MEC Petawatt Upgrade project.
Critical Milestone History
Conceptual
Final Design
D&D
Design
CD-1
CD-2
CD-3
Complete
Complete
Complete
FY 2020 1/04/19
3Q FY 2019 1Q FY 2020
TBD
TBD
TBD
TBD
a
a
a
FY 2021 1/04/19
4Q FY 2020 4Q FY 2020 3Q FY 2022 4Q FY 2021 3Q FY 2023
FY 2040aCD-0 – Approve Mission Need for a construction project with a conceptual scope and cost range
Conceptual Design Complete – Actual date the conceptual design was completed (if applicable)
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
Final Design Complete – Estimated/Actual date the project design will be/was complete (d)CD-3 – Approve Start of Construction
D&D Complete – Completion of D&D workCD-4 – Approve Start of Operations or Project Closeout
Fiscal
Year

CD-0

CD-4
TBD
1Q FY 2028a

Project Cost History
FiscalYear
FY 2020
FY 2021a

TEC, Design
1,000
20,000TEC,
Construction—
170,400(dollars in thousands)
OPC, Except
TEC, Total
D&D
1,000
1,600
190,400
9,600

OPC, D&D

OPC, Total

—
—

1,600
9,600

TPC
2,600
200,000a

This project is pre-CD-2; therefore, funding and schedule estimates are preliminary.

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2. Project Scope and Justification
Scope
The scope of the MEC Petawatt Facility project includes the development of a facility that couples high-energy and highintensity drive lasers, including a system with at least a range of 1 to 10 pettawatt (PW) peak power, to an X-ray source
capable of producing ultrafast, high-peak-brightness pulses. The laser will be placed in a dedicated MEC experimental hall(located at the end of the LCLS-II Far Experimental hall), comprised of a new access tunnel with a range of 100 to 500 feet inlength, a new cavern with 6,000 to 10,000 square feet, and associated safety systems and infrastructure.
Justification
The FES mission is to build the scientific foundations needed to develop a fusion energy source and to expand thefundamental understanding of matter at very high temperatures and densities. To meet this mission, there is a scientificneed for a petawatt or greater laser facility that is currently not available in the U.S. The National Academies of Science,
Engineering, and Medicine (NAS) 2017 study titled “Opportunities in Intense Ultrafast Lasers: Reaching for the Brightest
Lighta” found that about 80 percent to 90 percent of the high-intensity laser systems are overseas, and all of the highest
powered lasers currently in construction or already built are overseas as well. The report noted that the U.S. is losing
ground in a second laser revolution of highly-intense, ultrafast lasers that have broad applications in manufacturing,
medicine, and national security. The report makes five recommendations that would improve the nation’s position in thefield, including a recommendation for DOE to plan for at least one large-scale, open-access, high-intensity laser facility thatleverages other major science infrastructures in the DOE complex.
The NAS report focuses on highly-intense, pulsed petawatt-class lasers (1 petawatt is equal to 1 million billion watts). Suchlaser beams can drive nuclear reactions, heat and compress matter to mimic conditions found in stars, and create electronpositron plasmas. In addition to curiosity-driven science, petawatt-class lasers can generate particle beams with potential
applications in cancer radiation therapy, intense neutron and gamma ray beams for homeland security applications,directed energy for DOD applications, and extreme ultraviolet lithography (EUV) radiation.
Co-location of high-intensity lasers with existing infrastructure such as particle accelerators has been recognized as a key
advantage of the U.S. laboratories over the Extreme Light Infrastructure (ELI) concept in Europe. A laser facility with highpower, high-intensity beam parameters that is co-located with hard X-ray laser probing capabilities (i.e., with an X-ray
wavelength that allows atomic resolution) will provide the required diagnostic capabilities for fusion discovery science andrelated fields. This co-location enables novel pump-probe experiments with the potential to dramatically improveunderstanding of the ultrafast response of materials in extreme conditions, e.g., found in the environment of fusion
plasmas, astrophysical objects, and highly stressed engineering materials. Recent research on ultrafast pump-probe
experiments using the LCLS at the SLAC National Accelerator Laboratory has demonstrated exquisite ultrafast
measurements of the material structural response to radiation. Higher flux sources of deuterons, neutrons, and gamma
rays are needed however to properly emulate the environment and physics processes that occur in materials next to fusion
plasmas. This strategy holds the potential to validate inter-atomic potentials in molecular dynamics simulations of materials
to enable long-term predictions of the material behavior in fusion facilities.
FES is seeking to develop a new world-class petawatt laser capability to address the FES mission and the recommendations
from the NAS report.
The project will be conducted utilizing the project management principles described in DOE O 413.3B, Program and ProjectManagement for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the projecta

https://www.nap.edu/catalog/24939/opportunities-in-intense-ultrafast-lasers-reaching-for-the-brightest-light

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must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion. The project is in conceptual design phase and the KPPs reflect thetypes of parameters being considered and are notional at this stage; the preliminary KPPs will be developed in coordination
with FES and proposed for the Project Management Executive (PME) consideration and approval at CD-1.
Performance Measure
Radiation shielded experiment cavern

Threshold
0.5 PW at 1 Hertz (Hz)Objective
1.0 PW at 10 Hz

3. Financial Schedule(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)
Total Estimated Cost (TEC)
DesignFY 2020
FY 2021
Outyears
Total, Design
Construction

15,0005,000—
20,00015,0005,000—
20,00015,0005,000—
20,000FY 2020———

FY 2021———

170,400
170,400

170,400
170,400

170,400
170,400

FY 2020

15,00015,00015,000FY 2021

5,000

5,000

5,000

170,400
190,400

170,400
190,400

170,400
190,400

FY 2019

1,600

1,600

280

FY 2020

4,500

4,500

5,820

Outyears
Total, Construction
Total Estimated Cost (TEC)

Outyears
Total, TEC
Other Project Cost (OPC)

a

Costs

FY 2021———

Outyears
Total, OPC
Total Project Cost (TPC)

3,500
9,600

3,500
9,600

3,500
9,600

FY 2019

1,600

1,600

280

FY 2020

19,50019,50020,820FY 2021

5,000

5,000

5,000

Outyears
Total, TPC

173,900
200,000a

173,900
200,000

173,900
200,000

This project is pre-CD-2; therefore, funding and schedule estimates are preliminary.

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4. Details of Project Cost Estimate(dollars in thousands)
Current Total
Estimate

Previous Total
Estimate

Original
Validated
Baseline

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Site Work
Equipment

17,000
3,000

TBD
TBD

TBD
TBD

20,000

TBD

TBD—
60,80070,000—39,600

TBD
TBD
TBD
TBD
TBD

TBD
TBD
TBD
TBD
TBD

170,400

TBD

TBD

—
—

TBD
TBD

TBD
TBD

—
190,400
42,600

TBD
TBD
TBD

TBD
TBD
TBD

OPC except D&D
R&D
Conceptual Planning
Conceptual Design
Other OPC Costs
Contingency

350
850
1,900
3,500
3,000

TBD
TBD
TBD
TBD
TBD

TBD
TBD
TBD
TBD
TBD

Total, OPC

9,600

TBD

TBD

Contingency, OPC

3,000

TBD

TBD

Total Project Cost

200,000

TBD

TBD

Total, Contingency (TEC+OPC)

45,600TBD

TBD

Construction
Other, as needed
Contingency
Total, Construction
Other TEC
Cold Startup
Contingency
Total, Other TEC
Total, TEC
Contingency, TEC
Other Project Cost (OPC)

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5. Schedule of Appropriations Requests(dollars in thousands)
Request Year

FY 2020

FY 2021

Type

Prior
Years

TEC
OPC
TPC
TEC
OPC
TPC

N/A
N/A
N/A
N/A
N/A
N/A

FY 2019

FY 2020

—
1,600
1,600
—
1,600
1,600

FY 2021

1,000
—
1,000
15,0004,500
19,500Outyears

—
—
—
5,000
—
5,000

Total

TBD
TBD
TBD
170,400
3,500
173,900

TBD
TBD
TBD
190,400
9,600
200,000a

6. Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy
Expected Useful Life
Expected Future Start of D&D of this capital asset

1Q FY 2028
TBD
TBD

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
Operations and Maintenance

TBD

TBD

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
TBD

TBD

7. D&D Information
The new area being constructed for this project is under analysis at this time.

New area being constructed by this project at SLAC National Accelerator Laboratory.....................
Area of D&D in this project at SLAC National Accelerator Laboratory ...............................................
Area at SLAC National Accelerator Laboratory to be transferred, sold, and/or D&D outside theproject, including area previously “banked” ......................................................................................
Area of D&D in this project at other sites ..........................................................................................
Area at other sites to be transferred, sold, and/or D&D outside the project, including area
previously “banked” ...........................................................................................................................
Total area eliminated .........................................................................................................................

Square Feet
TBD
TBD
TBD
TBD
TBD
TBD

8. Acquisition Approach
As part of the DOE Order 413.3B CD-1 process, an Acquisition Strategy will be prepared for review and approval of the PME
at CD-1.

aThis project is pre-CD-2; therefore, funding and schedule estimates are preliminary.

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214

14-SC-60, U.S. Contributions to ITER (U.S. ITER)
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the U.S. ITER project is $107,000,000. ITER is a major fusion research facility being constructed inSaint-Paul-lez-Durance, France by an international partnership of seven Members or Domestic Agencies, specifically the
U.S., China, the European Union, India, the Republic of Korea, Japan, and the Russian Federation. These Members or
Domestic Agencies are comprised of 34 countries. Since it will not result in a facility owned by the U.S. or located in the
U.S., the U.S. ITER project is not classified as a Capital Asset Project but is classified as a Major System Project. U.S. ITER is a
DOE project to provide the U.S. share of ITER construction, classified as in-kind hardware (i.e., subsystems, equipment, andcomponents), as well as financial resources to support the ITER Organization (IO), as delineated in the Joint Implementation
Agreement (JIA). Sections of this Construction Project Data Sheet (CPDS) have been tailored accordingly to reflect theunique nature of the U.S. ITER project.
As outlined in the May 2016 Secretary of Energy’s Report to Congress, DOE was to baseline the “First Plasma” portion of the
U.S. ITER project. As such, DOE divided the U.S. ITER project hardware scope into two distinct subprojects, which represent
the two phases of the project: the First Plasma (FP) subproject (SP-1), and the Post-FP subproject (SP-2). An independent
review of CD-2, “Approve Performance Baseline” for the SP-1 was completed in November 2016 and then subsequently
approved by the PME on January 13, 2017, with a total project cost of $2.5 billion, and a CD-4, “Project Completion” date ofDecember 2027. In addition, the PME also approved CD-3, “Approve the Start of Construction” for the SP-1 on January 13,
2017. This CPDS focuses on the FP subproject (SP-1) activities.
SP-2 is the second element of the U.S. ITER project, and includes the remainder of U.S. hardware contributions for Post-FP
operations leading up to Deuterium-Tritium Operations. SP-2 is planned for baselining in the future.
The financial contributions to the IO operational costs during construction are shared among the seven Members, pursuant
to the ITER JIA, and is the third element of the U.S. ITER Total Project Cost.
The U.S. ITER project is managed as a DOE Office of Science (SC) project through the U.S. ITER Project Office (USIPO). The
USIPO is managed by Oak Ridge National Laboratory (ORNL), in partnership with Princeton Plasma Physics Laboratory(PPPL) and the Savannah River National Laboratory (SRNL). The project began as a Major Item of Equipment (MIE) in
FY 2006 and was changed to a Congressional control point Line-Item construction project in FY 2014. The principles andpractices of DOE Order 413.3B are applied in the effective management of the U.S. ITER project, including CD approvals,
establishment of Key Performance Parameters, and the application of Earned Value Management. SC applies therequirements for project documentation, monitoring and reporting, change control, and regular independent projectreviews (IPRs) with the same degree of rigor as other SC line-item projects. The USIPO regularly reports progress andperformance in monthly performance metrics and project status reports.
Significant Changes
This CPDS is an update of the FY 2020 CPDS and does not include a new start for FY 2021 SP-1, which includes fabricationand delivery of all hardware required for FP and the completion of design for all U.S. hardware contributions, is more than
60 percent complete.
The FY 2021 Request of $107,000,000 will support the continued design and fabrication of highest-priority “in-kind”
hardware systems. This includes continued fabrication of the Central Solenoid (CS) magnet system, which consists of sevensuperconducting magnet modules, structural components, and assembly tooling. In FY 2020, the U.S. will deliver the first CS
magnet module (Module 1) to the ITER site, as well as continue design and fabrication efforts associated with other “inkind” hardware systems. The U.S. ITER project has obligated $1.2 billion through the end of FY 2019 to U.S. industry,
universities, and DOE laboratories.
The U.S. ITER Federal Project Director with certification level 3 has been assigned to this Project.
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Critical Milestone History
FiscalYear

CD-0

FY 2006
FY 2007
FY 2008
FY 2009
FY 2010
FY 2011
FY 2012FY 2013
FY 2014
FY 2015
FY 2016k
FY 2017l

7/05/05
7/05/05
7/05/05
7/05/05
7/05/05
7/05/05
7/05/05
7/05/05
7/05/05
7/05/05
7/05/05
7/05/05

Conceptual
DesignComplete

9/30/09a
7/27/10b
5/30/11c
7/10/12e
12/11/12g

CD-1

CD-2

TBD
TBD
1/25/08
1/25/08
1/25/08
1/25/08
1/25/08
1/25/08
1/25/08
1/25/08
1/25/08
1/25/08

TBD
TBD
4Q FY 2008
4Q FY 2010
4Q FY 2011
4Q FY 2011
3Q FY 2012
TBDh
TBD
TBD
TBD
TBD

Final Design
Complete

4/12/11d
5/02/12f
4/10/13i
12/10/13j

CD-3

D&D
Complete

CD-4

TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD

N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A

TBD
2017
2017
2018
2019
2024
2028
2033
2034
2036
TBD
TBD

CD-0 – Approve Mission Need for a construction project with a conceptual scope and cost range
Conceptual Design Complete – Actual date the conceptual design was completed (if applicable)
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
Final Design Complete – Estimated/Actual date the project design will be/was complete (d)CD-3 – Approve Start of Construction
D&D Complete – Completion of D&D workCD-4 – Approve Start of Operations or Project Closeout

FiscalYear

Performance
Baseline
Validation

CD-1 Cost
Range
UpdateFY 2018m
FY 2019

7/05/05
7/05/05

1/13/17
1/13/17

CD-2/3

CD-4

CD-3B

SP-2

SP-1

SP-2

1/13/17
1/13/172019
2019

1Q FY 2027
1Q FY 2027

2034-2038
2034-2038

Electron Cyclotron Heating (ECH) Transmission lines (TL) (06/22/2009); Tokamak Cooling Water System (07/21/2009); CS Modules, Structures, andAssembly Tooling (AT) (09/30/2009).
b Ion Cyclotron Heating Transmission Lines (ICH) (10/14/2009); Tokamak Exhaust Processing (TEP) (05/17/2010); Diagnostics: Residual Gas Analyzer (RGA)(07/14/2010), Upper Visible Infrared Cameras (VIR) (07/27/2010).
c Vacuum Auxiliary System (VAS) – Main Piping (12/13/2010); Diagnostics Low-Field-Side Reflectometer (LFS) (05/30/2011).
d Cooling Water Drain Tanks (04/12/2011).
e Diagnostics: Upper Port (10/03/2011), Electron Cyclotron Emission (ECE) (12/06/2011), Equatorial Port E-9 and Toroidal Interferometer Polarimeter (TIP)(01/02/2012), Equatorial Port E-3 (07/10/2012).
f Steady State Electrical Network (05/02/2012).
g VAS Supply (11/13/2012); Disruption Mitigation (12/11/2012); Pellet Injection (04/29/2013); Diagnostics: Motional Stark Effect Polarimeter (MSE)(05/29/2013), Core Imaging X-ray Spectrometer (CIXS) (06/01/2013).
h The CD-2 date will be determined upon acceptable resolution of issues related to development of a high-confidence ITER Project Schedule andestablishment of an approved funding profile.
i RGA Divertor Sampling Tube (07/28/14); CS AT, Early Items (09/17/14).
j CS Modules and Structures (11/18/2013); VAS Main Piping B-2, L-1, L-2 (12/10/2013).
k CS AT Remaining Items (12/02/2015).
l Roughing Pumps (03/2017); VAS 03 Supply (07/2017); Roughing Pumps I&C (04/2017); VAS 03 Supply I&C (07/2017); CS AT Bus Bar Alignment and Coaxial
Heater (04/2017); VAS Main Piping L3/L4 (03/2017); VAS 02 CGVS (&C Part 1 (06/2017).
m VAS 02 Supply Part 1 (05/2018); ICH RF Building and I&C (11/2017); TCWS Captive Piping and First Plasma (11/2017); ICH RF components supporting
INDA/IO testing (01/2018).
a

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FiscalYear

Performance
Baseline
Validation

CD-1 Cost
Range
UpdateFY 2020
FY 2021

7/05/05
7/05/05

1/13/17
1/13/17

CD-2/3

CD-4

CD-3B

SP-2

SP-1

SP-2

1/13/17
1/13/172021/2022
2021/2022

1Q FY 2028
1Q FY 2028

2034-2038
2034-2038

Project Cost History
At the time of CD-1 approval in January 2008, the preliminary cost range was $1.45 billion to $2.2 billion. Until 2016,
however, it was not possible to confidently baseline the project due to prior delays in the international ITER construction
schedule. Various factors (e.g., schedule delays, design and scope changes, funding constraints, regulatory requirements,
risk mitigation, and inadequate project management and leadership issues in the ITER Organization at that time) affected
the project cost and schedule. Shortly after Director General Bigot’s appointment in March 2015, the ITER Project wasbaselined for cost and schedule.
In response to a 2013 Congressional request, a DOE SC Independent Project Review (IPR) Committee assessed the projectand determined that the existing cost range estimate of $4.0 billion to $6.5 billion would likely encompass the final total
TPC. This range, recommended in 2013, was included in subsequent President’s Budget Requests. In May 2016, DOE
provided a “Report on the Continued U.S. Participation in the ITER Project” to Congress, which stated that the FP part of the
U.S. ITER project would be baselined in FY 2017. In preparation for baselining SP-1, based on the results of the IPR, theacting Director for the Office of Science updated the lower end of this range to reflect updated cost estimates resulting in
the current approved CD-1R range of $4.7 billion to $6.5 billion. This updated CD-1R range incorporates increases in the
projects hardware estimate that have occurred since August 2013. The SP-1 TPC is now baselined at $2.5 billion.

FiscalYear

TEC, Design

FY 2017a
FY 2018
FY 2019
FY 2020
FY 2021696,025
696,025
696,025
696,025
696,025

Subproject 1 (First Plasma Hardware for U.S. ITER)(dollars in thousands)
TEC,
OPC, Except
TEC, Total
OPC, D&D
Construction
D&D
1,723,334
1,723,334
1,723,334
1,733,673
1,733,673

2,419,359
2,419,359
2,419,359
2,429,698
2,429,698

80,64180,64180,64170,30270,302

N/A
N/A
N/A
N/A
N/A

OPC, Total

TPC

80,64180,64180,64170,30270,3022,500,000
2,500,000
2,500,000
2,500,000
2,500,000

2. Project Scope and Justification
Introduction
ITER is an international partnership among seven Members (China, the European Union, India, Japan, the Republic of Korea,
the Russian Federation, and the U.S.) designed to demonstrate the scientific and technological feasibility of fusion energy
for peaceful purposes. The Agreement on the Establishment of the ITER International Fusion Energy Organization for the
Joint Implementation of the ITER Project (ITER Agreement), signed on November 21, 2006, provides the legal framework forthe four phases of the program: construction, operation, deactivation, and decommissioning. Through participation in theAgreement, the European Union, as the host, will bear five-elevenths (45.45 percent) of the ITER facility’s construction cost,
while the other six Members, including the U.S., will each support one-eleventh (9.09 percent) of the ITER facilities cost.
Operation, deactivation, and decommissioning of the facility are to be funded through a different cost-sharing formula inwhich the U.S. and Japan will contribute a 13 percent share; the EU will provide 34 percent and the other Members will
each provide 10 percent. Operation, Deactivation, and Decommissioning are not part of the U.S. ITER project funding.
Prior to FY2017 the TPC for U.S. ITER was reported as “TBD”; estimates reported beginning in FY 2017 represent the validated baseline values for
Subproject 1 First Plasma Hardware. These values for the SP-1 baseline have not been updated to reflect impacts from FY 2017 and FY 2018 funding
reductions and allocations.
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Responsibility for ITER integration, management, design, licensing, installation, and operation rests with the IO, which is aninternational legal entity located in France.
Scope
U.S. Contributions to ITER – Construction Project Scope
The overall U.S. ITER project includes three major elements:
 Hardware components, built under the responsibility of the U.S., then shipped to the ITER site for IO assembly,
installation, and operation.
 Funding to the IO to support common expenses, including ITER research and development (R&D), IO staff andinfrastructure, IO-provided hardware, on-site assembly/installation/testing of all ITER components, and IO Central
Reserve.
 Other project costs, including R&D and conceptual design related activities.
The U.S. is to contribute the hardware to ITER, the technical components of which are split between SP-1 (FP) and SP-2
(Post-FP). The percentage of hardware components to be delivered in each system for SP-1 are indicated for each system:
 Tokamak Cooling Water System (TCWS): manages the thermal energy generated during the operation of the tokamak.
(58 percent of system for SP-1)
 15 percent of ITER Diagnostics: provides the measurements necessary to control, evaluate, and optimize plasma
performance and to further the understanding of plasma physics. (6 percent for SP-1)
 Disruption Mitigation (DM) Systems: limits the impact of plasma disruptions to the tokamak vacuum vessel, blankets,and other components. All of DM design is done in SP-1.
 Electron Cyclotron Heating (ECH) Transmission Lines: brings additional power to the plasma and deposits power in
specific areas of the plasma to minimize instabilities and optimize performance. (55 percent for SP-1)
 Tokamak Exhaust Processing (TEP) System: separates hydrogen isotopes from tokamak exhaust. (All of TEP design isdone in SP-1)
 Tokamak Fueling System (Pellet Injection): injects fusion fuels in the form of deuterium-tritium ice pellets into thevacuum chamber. (9 percent for SP-1)
 Ion Cyclotron Heating (ICH) Transmission Lines: bring additional power to the plasma. (15 percent for SP-1)
 Central Solenoid (CS) Magnet System: confines, shapes and controls the plasma inside the vacuum vessel. All CS
workscope is SP-1.
 8 percent of Toroidal Field (TF) Conductor: component of the TF magnet that confines, shapes, and controls theplasma. All TF work scope was completed in FY 2017.
 75 percent of the Steady-State Electrical Network (SSEN): supplies the electricity needed to operate the entire plant,
including offices and the operational facilities. All SSEN work scope was completed in FY 2017.
 Vacuum Auxiliary System (VAS): creates and maintains low gas densities in the vacuum vessel and connected vacuum
components. (85 percent for SP-1)
 Roughing Pumps: evacuate the tokamak, cryostat, and auxiliary vacuum chambers prior to and during operations. (56percent for SP-1)
Justification
The purpose of ITER is to investigate and conduct research in the “burning plasma” regime—a performance region thatexists beyond the current experimental state of the art. Creating a self-sustaining burning plasma will provide essential
scientific knowledge necessary for practical fusion power. There are two parts of this need that will be achieved by ITER.
The first part is to investigate the fusion process in the form of a "burning plasma," in which the heat generated by thefusion process exceeds that supplied from external sources (i.e., self-heating). The second part of this need is to sustain theburning plasma for a long duration (e.g., several hundred to a few thousand seconds), during which time equilibrium
conditions can be achieved within the plasma and adjacent structures. ITER is the necessary next step to establish theconfidence in proceeding with development of a demonstration fusion power plant.
Although not classified as a Capital Asset, the U.S. ITER project is being conducted in accordance with the project
management principles of DOE Order 413.3B, Program and Project Management for the Acquisition of Capital Assets.
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Key Performance Parameters (KPPs)
The U.S. ITER project will not deliver an integrated operating facility, but rather in-kind hardware contributions, which
represent a portion of the subsystems for the international ITER facility. Therefore, typical KPPs are not practical for thistype of project. The U.S. ITER project defines project completion as delivery and IO acceptance of the U.S. in-kind hardware.
For SP-1, in some cases (e.g., Tokamak Exhaust Processing and Disruption Mitigation), only the completion of the design isrequired, which requires IO approval of the final designs. Below is the list of SP-1 deliverables that were approved when the
SP-1 baseline was approved.
System/Subsystem

Table 1. SP-1 In-Kind Hardware Description
ThresholdCentral Solenoid Magnet System

Provide 7 (including spare) independent coil packs made of superconducting
niobium-tin providing 13 Tesla at 45 kilo Amps (kA), the vertical pre- compression
structure, and assembly tooling.
Toroidal Field Magnet Conductor
Provide 9 active lengths (~765m), 1 dummy length (~765m) for winding trials and 2
active lengths (~100m each) for superconducting qualification.
Steady State Electrical Network
Provide components for a large AC power distribution system (transformers,
switches, circuit breakers, etc.) at high-voltage (400kV) and medium-voltage (22kV)
levels.
Tokamak Cooling Water System
Provide Final Designs for major industrial components (heat exchangers, pumps,
valves, pressurizers, etc.) capable of removing 1 gigawatt (GW) of heat. Among
those components, also fabricate and deliver certain IO-designated items.
Diagnostics
Provide Final Designs for 4 diagnostic port plugs and 7 instrumentation systems(Core Imaging X-ray Spectrometer, Electron Cyclotron Emission Radiometer, Low
Field Side Reflectometer, Motional Stark Effect Polarimeter, Residual Gas Analyzer,
Toroidal Interferometer/Polarimeter, and Upper IR/Visible Cameras). Among thosecomponents, also fabricate and deliver certain IO-designated items.
Electron Cyclotron Heating
Provide Final Designs for approximately 4 kilometers (km) of aluminum waveguideTransmission Lineslines (24 lines) capable of transmitting up to 1.5 megawatts (MW) per line. Among
those components, also fabricate and deliver certain IO-designated items.
Ion Cyclotron Heating Transmission Provide Final Designs for approximately 1.5 km of coaxial transmission lines (8 lines)Linescapable of transmitting up to 6 MW per line. Among those components, alsofabricate and deliver certain IO-designated items.
Pellet Injection System
Provide Final Designs for injector system capable of delivering deuterium/tritium
fuel pellets up to 16 times per second. Among those components, also fabricate anddeliver certain IO-designated items.
Vacuum Roughing Pumps
Provide Final Designs for a matrix of pump trains consisting of approximately 400
vacuum pumps. Among those components, also fabricate and deliver certain IOdesignated items.
Vacuum Auxiliary Systems
Provide Final Designs for vacuum system components (valves, pipe manifolds,
auxiliary pumps, etc.) and approximately 6 km of vacuum piping. Among thosecomponents, also fabricate and deliver certain IO-designated items.
Tokamak Exhaust Processing
Provide Final Designs for an exhaust separation system for hydrogen isotopes andSystemnon-hydrogen gases.
Disruption Mitigation System
Provide design, and research and development (R&D) (up to a limit of $25,000,000a)
for a system to mitigate plasma disruptions that could cause damage to the tokamak
inner walls and components.

a

Any additional costs would be funded by the ITER organization.

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3. Financial Schedule(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costs

Total Estimated Cost (TEC) a
Hardware
FY 2006

13,754

13,754

6,169

FY 2007

36,58836,58824,238FY 2008

23,50023,50024,121

FY 200985,40185,401

26,278FY 201085,26685,26646,052

FY 201163,87563,87584,321

FY 2012b

91,45391,441

99,249FY 2013

107,635

107,669

110,074

FY 2014c

166,605

166,605

153,995

FY 2015

134,043

134,043

114,129

FY 2016d

115,000

115,000

106,519

FY 201750,00050,000123,117

FY 2018

122,000

122,000

98,185FY 2019

102,000

102,000

126,726

FY 2020

157,000

157,000

167,182

FY 2021

107,000

107,000

100,348

TBD
1,461,120
TBD

TBD
1,461,142
TBD

TBD
1,410,703
TBD

FY 2006

2,112

2,112

2,112

FY 2007

7,412

7,412

7,412

FY 2008

2,644

2,644

2,644

FY 2009

23,59923,59923,599FY 201029,73429,73429,734Outyears
Subtotal
Total, Hardware
Cash Contributionse

FY 2011

3,125

3,125

3,125

FY 2012f

13,214

13,214

13,214

FY 2013

13,80513,80513,805

Costs through FY 2019 reflect actual costs; costs for FY 2020 and the outyears are estimates.
Prior actuals adjusted to incorporate project funds utilized at PPPL and DOE. Obligation adjusted to reflect year-end PPPL settlement funding.
c Appropriations prior to FY 2014 reflect major item of equipment funding. Starting in FY 2014, this project is funded as a Congressional control point.
d FY 2016 funding for taxes and tax support is included in the FY 2017 Hardware funding amount.
e Includes cash payments, secondees, taxes and tax support.
f Prior actuals adjusted to incorporate project funds utilized at PPPL and DOE. Obligation adjusted to reflect year-end PPPL settlement funding.
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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)
FY 2014a

32,89532,89532,895FY 2015

15,957

15,957

15,957FY 2016———

FY 2017———

FY 2018———

FY 201930,00030,00030,000FY 202085,00085,00085,000FY 2021b

TBD
TBD
259,497
TBD

TBD
TBD
259,497
TBD

TBD
TBD
259,497
TBD

FY 2006

15,866

15,8668,281

FY 200744,00044,00031,650FY 2008

26,144

26,144

26,765FY 2009

109,000

109,000

49,877FY 2010

115,000

115,000

75,786

FY 201167,00067,00087,446

FY 2012c

104,667

104,655

112,463

FY 2013

121,440

121,474

123,879

FY 2014d

199,500

199,500

186,890

FY 2015150,000

150,000

130,086

FY 2016

115,000

115,000

106,519

FY 201750,00050,000123,117

FY 2018

122,000

122,000

98,185FY 2019

132,000

132,000

156,726

FY 2020

242,000

242,000

252,182

FY 2021

107,000

107,000

100,348

Outyears
Subtotal

TBD
1,720,617

TBD
1,720,639

TBD
1,670,200

TBD

TBD

TBD

Outyears
Subtotal
Total, Cash Contributions
Hardware and Cash
Contributions

Total, TEC

a

Costs

Appropriations prior to FY 2014 reflect major item of equipment funding. Starting in FY 2014, this project is funded as a Congressional control point.

b From within total ITER funding, in kind contribution and cash payment will be decided during the execution year.
c

Prior actuals adjusted to incorporate project funds utilized at PPPL and DOE. Obligation adjusted to reflect year-end PPPL settlement funding.

d Appropriations prior to FY 2014 reflect major item of equipment funding. Starting in FY 2014, this project is funded as a Congressional control point.

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costs

Other Project Cost (OPC)FY 2006

3,449

3,449

1,110

FY 2007

16,00016,0007,606

FY 2008

-74

-74

7,513

FY 200915,00015,0005,072

FY 2010

20,00020,0007,754

FY 201113,00013,00010,032

FY 2012a

333

311

22,302

FY 2013

2,560
—

2,560
—

5,984

FY 2014b
FY 2015——600

FY 2016

34

34—

FY 2017

—

-50

58

FY 2018——

2

FY 2019——

107

70,302
TBD

70,230TBD

70,230TBD

FY 2006

19,315

19,3159,391

FY 2007

60,00060,00039,256

FY 2008

26,07026,07034,278FY 2009

124,000

124,000

54,949FY 2010135,000

135,000

83,540FY 201180,00080,00097,478FY 2012a

105,000

104,966

134,765

FY 2013124,000

124,034

129,863

FY 2014d

199,500

199,500

188,980

FY 2015150,000

150,000

130,686

FY 2016

115,034

115,034

106,519

FY 201750,00049,950123,175

Subtotal
Total, OPC

2,090

Total Project Cost (TPC)c

Prior actuals adjusted to incorporate project funds utilized at PPPL and DOE. Obligation adjusted to reflect year-end PPPL settlement funding.
Appropriations prior to FY 2014 reflect major item of equipment funding. Starting in FY 2014, this project is funded as a Congressional control point.
c Costs through FY 2019 reflect actual costs; costs for FY 2020 and the outyears are estimates.
d Appropriations prior to FY 2014 reflect major item of equipment funding. Starting in FY 2014, this project is funded as a Congressional control point.
ab

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)Costs

FY 2018

122,000

122,000

98,187FY 2019

132,000

132,000

156,726

FY 2020

242,000

242,000

252,182

FY 2021
Outyears

107,000
TBD

107,000
TBD

100,348
TBD

Subtotal

1,790,919

1,790,869

1,740,323

Total, TPC

TBD

TBD

TBD

4. Details of Project Cost Estimate
The project has an approved updated CD-1 Cost Range, and DOE has chosen to divide the project hardware scope into two
distinct subprojects (FP SP-1, and Post-FP SP-2). The baseline for SP-1 was approved in January 2017. Baselining of SP-2 will
follow when the Administration has made a decision on the U.S. commitment to ITER. No procurements for SP-2 scope are
anticipated until FY 2022 at the earliest. An IPR of U.S. ITER was conducted on November 14–17, 2016, to consider the
project’s readiness for CD-2 (Performance Baseline) and CD-3 (Begin/Continue Fabrication) for SP-1, as well as for the
proposed updated CD-1 Cost Range. Outcomes from the IPR indicated that the project was ready for approval of SP-1 CD2/3 following a reassessment of contingency to account for risk in the areas of escalation and currency exchange. This
recommendation has been addressed. In addition, the IPR committee found no compelling reason to deviate from the cost
range identified in the May 2016 Report to Congress ($4.0 billion to $6.5 billion) and recommended that this range be
adopted and approved as the Updated CD-1 cost range. However, as noted above, in preparation for baselining SP-1 andbased on the outcome of the IPR, a decision was made to update the lower end of this range to reflect updated costestimates resulting in the current approved CD-1R range of $4.7 billion to $6.5 billion.
Subproject – 1 First Plasma Hardware Only
(dollars in thousands)
Current
Previous
Total
Total
Estimatea
Estimate

Original
Validated
Baseline

Total Estimated Cost (TEC)
DesignDesignContingency

573,660
122,365——

573,660
122,365

Total, Design

696,025—

696,025

Construction
Equipment
Contingency

1,362,521
371,152——

1,362,521
371,152

1,733,673—

1,733,673

2,429,698
493,517——2,429,698
493,517

Total, Construction
Total, TEC
Contingency, TECa

The estimate value reflected here has not been adjusted to reflect the FY 2017 and FY 2018 appropriations.

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Subproject – 1 First Plasma Hardware Only
(dollars in thousands)
Current
Previous
Total
Total
Estimatea
Estimate

Original
Validated
Baseline

Other Project Cost (OPC)
OPC except D&D
Other OPC Costs
Total, OPC

70,30270,302——70,30270,302

Total Project Costa

2,500,000—

2,500,000

493,517—493,517

FY 2021

Outyears

Total, Contingency (TEC+OPC)
5. Schedule of Appropriations Requests(dollars in thousands)
Request Year

FY 2006

FY 2007

FY 2008

FY 2009b

FY 2010

FY 2011

Type
TEC
OPC
TPC
TEC
OPC
TPC
TEC
OPC
TPC
TEC
OPC
TPC
TEC
OPC
TPC
TEC
OPC
TPC

Prior
Years
1,038,000
84,0001,122,000
1,077,051
44,9491,122,000
1,078,230
43,7701,122,000
266,366
38,075
304,441
294,366
70,019364,385
379,366
65,019444,385

FY 2019

FY 2020
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—

—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—

—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—

Total
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—

1,038,000
84,0001,122,000
1,077,051
44,9491,122,000
1,078,230
43,7701,122,000
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD

The TPC reported here is only for Subproject 1 (and does not include Subproject 2 or cash contributions estimates), prior to FY 2017 the Total Project Cost
for U.S. ITER was identified as “TBD”.
b The Prior Years column for FY 2009 through FY 2012 reflects the total of appropriations and funding requests only through the year of that row. Thus, forexample, in the FY 2010 row, it reflects only funding from FY 2006 to FY 2012.
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(dollars in thousands)
Request Year

FY 2012a

FY 2013b

FY 2014c

FY 2015

FY 2016

FY 2017

FY 2018

FY 2019

FY 2020

FY 2021

Type
TEC
OPC
TPC
TEC
OPC
TPC
TEC
OPC
TPC
TEC
OPC
TPC
TEC
OPC
TPC
TEC
OPC
TPC
TEC
OPC
TPC
TEC
OPC
TPC
TEC
OPC
TPC
TEC
OPC
TPC

Prior
Years
394,366
75,019469,385
617,261
82,124
699,385
806,868
73,159880,027
942,578
80,341
1,022,919
1,092,544
80,341
1,172,885
1,182,578
80,341
1,262,919
1,170,244
80,641
1,250,885
1,170,244
80,641
1,250,885
1,239,617
70,302
1,309,919
1,239,617
70,302
1,309,919

FY 2019

FY 2020

—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
75,000—75,000132,000—
132,000
132,000—
132,000

—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
107,000—
107,000
242,000—
242,000

FY 2021
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
107,000—
107,000

Outyears

Total
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—

TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD

The FY 2012 request was submitted before a full-year appropriation for FY 2011 was in place, and so FY 2011 was TBD at that time. Hence, the Prior Yearscolumn for FY 2012 reflects appropriations for FY 2006 through FY 2010 plus the FY 2012 request.
b The FY 2013 amount shown in the FY 2014 request reflected a short-term continuing resolution level annualized to a full year and based on the FY 2012
funding level for ITER.
c Prior to FY 2015, the requests were for a major item of equipment broken out by TEC, OPC, and TPC.
a

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6. Related Operations and Maintenance Funding Requirements
The U.S. Contributions to ITER operations is assumed to begin with initial integrated commissioning activities and continue
for a period of 15 to 25 years. The fiscal year in which commissioning activities begin depends on the international ITER
project schedule, which currently indicates 2025.
Start of Operation or Beneficial Occupancy
Expected Useful Life
Expected Future Start of D&D of this capital asset

12/2025
15–25 years
TBD

7. D&D Information
Since ITER is being constructed in France by a coalition of countries and will not be a DOE asset, the “one-for-one”
requirement is not applicable to this project.
The U.S. Contributions to ITER decommissioning are assumed to begin when operations commence and continue for aperiod of 20 years. The U.S. Contributions to ITER deactivation are assumed to begin 20 years after commissioning andcontinue for a period of 5 years. The U.S. is responsible for 13 percent of the total decommissioning and deactivation cost.
8. Acquisition Approach
The U.S. ITER Project Office (USIPO) at Oak Ridge National Laboratory, with its two partner laboratories (Princeton Plasma
Physics Laboratory and Savannah River National Laboratory), will procure and deliver in-kind hardware in accordance with
the Procurement Arrangements established with the international IO. The USIPO will subcontract with a variety of researchand industry sources for design and fabrication of its ITER components, ensuring that designs are developed that permit
fabrication, to the maximum extent possible, under fixed-price subcontracts (or fixed-price arrangement documents with
the IO) based on performance specifications, or more rarely, on build-to-print designs. USIPO will use cost-reimbursement
type subcontracts only when the work scope precludes accurate and reasonable cost contingencies being gauged andestablished beforehand. USIPO will utilize best value, competitive source selection procedures to the maximum extent
possible, including foreign firms on the tender/bid list where appropriate. Such procedures shall allow for cost and technicaltrade-offs during source selection. For the large-dollar-value subcontracts (and critical path subcontracts as appropriate),
USIPO will utilize unique subcontract provisions to incentivize cost control and schedule performance. In addition, where it
is cost effective and it reduces risk, the USIPO will participate in common procurements led by the IO, or request the IO toperform activities that are the responsibility of the U.S.

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