DOE/CF-0154
Volume 4

Department of Energy
FY 2020 Congressional
Budget Request

Science

March 2019

Office of Chief Financial Officer

Volume 4

DOE/CF-0154
Volume 4

Department of Energy
FY 2020 Congressional
Budget Request

Science

March 2019

Office of Chief Financial Officer
Printed with soy ink on recycled paper

Volume 4

FY 2020 Congressional Budget
Science
Table of Contents
Page
Appropriation Account Summary ............................................................................................................................................ 1
Appropriation Language .......................................................................................................................................................... 5
Overview .................................................................................................................................................................................. 7
Advanced Scientific Computing Research.............................................................................................................................. 17
Basic Energy Sciences ............................................................................................................................................................ 47
Biological and Environmental Research............................................................................................................................... 131
Fusion Energy Sciences ........................................................................................................................................................ 157
High Energy Physics ............................................................................................................................................................. 205
Nuclear Physics .................................................................................................................................................................... 269
Workforce Development for Teachers and Scientists ......................................................................................................... 327
Science Laboratories Infrastructure..................................................................................................................................... 335
Safeguards and Security ...................................................................................................................................................... 421
Program Direction................................................................................................................................................................ 427
Isotope Production and Distribution Program Funds .......................................................................................................... 439
Funding by Appropriation by Site ........................................................................................................................................ 443
General Provisions ............................................................................................................................................................... 455

FUNDING BY APPROPRIATION($K)
FY 2018
EnactedDepartment of Energy Budget by Appropriation
Energy and Water Development, and Related Agencies
Energy Programs
Energy Efficiency and Renewable Energy
Electricity Delivery and Energy Reliability
Electricity
Cybersecurity, Energy Security, and Emergency Response
Nuclear Energy

FY 2019
EnactedFY 2020 Request vsFY 2019 Enacted$%

FY 2020
Request2,321,778
261,329001,205,056

2,379,0000
156,000
120,000
1,326,090

343,000
0
182,500
156,500
824,000-2,036,000
0+26,500+36,500-502,090-85.6%
N/A+17.0%+30.4%-37.9%

Fossil Energy Programs
Fossil Energy Research and Development
Naval Petroleum and Oil Shale Reserves
Strategic Petroleum Reserve
Strategic Petroleum AccountNortheast Home Heating Oil Reserve
Total, Fossil Energy Programs

726,8174,900
260,716
8,400
6,500
1,007,333

740,000
10,000235,000
10,00010,0001,005,000

562,000
14,000174,000
27,0000
777,000-178,000+4,000-61,000+17,000-10,000-228,000-24.1%+40.0%-26.0%+170.0%-100.0%-22.7%Uranium Enrichment Decontamination and Decommissioning (D&D) Fund
Energy Information Administration
Non-Defense Environmental Cleanup
Science
Advanced Research Projects Agency - Energy
Nuclear Waste Disposal (26M in DNWF 050)
Departmental Administration
Indian Energy Policy and Programs
Inspector General
International Affairs
Title 17 - Innovative Technology Loan Guarantee Program
Advanced Technology Vehicles Manufacturing Loan Program
Tribal Energy Loan Guarantee Program
Total, Energy Programs

840,000
125,000
298,400
6,259,903
353,3140
189,652049,000030,8925,000
1,000
12,947,657

841,129
125,000
310,000
6,585,000
366,000
0
165,858
18,00051,3300
13,0005,000
1,000
13,467,407

715,112118,000
247,480
5,545,972-287,000
90,000117,545
8,000
54,215
36,100-160,659
0-8,5008,759,265-126,017-7,000-62,520-1,039,028-653,000+90,000-48,313-10,000+2,885+36,100-173,659-5,000-9,500-4,708,142-15.0%-5.6%-20.2%-15.8%-178.4%
N/A-29.1%-55.6%+5.6%
N/A-1,335.8%-100.0%-950.0%-35.0%

Atomic Energy Defense Activities
National Nuclear Security Administration
Federal Salaries and Expenses
Weapons Activities
Defense Nuclear Nonproliferation
Naval Reactors
Total, National Nuclear Security Administration

407,595
10,642,138
1,999,219
1,620,000
14,668,952

410,000
11,100,000
1,930,000
1,788,618
15,228,618

434,699
12,408,603
1,993,302
1,648,396
16,485,000+24,699+1,308,603+63,302-140,222+1,256,382+6.0%+11.8%
+3.3%
-7.8%
+8.3%

Environmental and Other Defense Activities
Defense Environmental Cleanup
Other Defense Activities
Defense Nuclear Waste Disposal (90M in 270 Energy)
Total, Environmental and Other Defense Activities
Total, Atomic Energy Defense Activities

5,988,048
840,000
0
6,828,048
21,497,000

6,024,000
860,292
06,884,292
22,112,910

5,506,501
1,035,339
26,0006,567,840
23,052,840-517,499+175,047+26,000-316,452+939,930-8.6%+20.3%
N/A
-4.6%
+4.3%

Power Marketing Administrations
Southeastern Power Administration
Southwestern Power Administration
Western Area Power Administration
Falcon and Amistad Operating and Maintenance Fund
Colorado River Basins Power Marketing Fund
Total, Power Marketing Administrations

0
11,40093,372
228-23,000
82,0000
10,40089,372
228-23,000
77,0000
10,40089,196
228-21,400
78,42400-176
0+1,600+1,424

N/A
N/A
-0.2%
N/A
+7.0%
+1.8%

0

0

0

0

N/A

Subtotal, Energy and Water Development, and Related Agencies

Federal Energy Regulatory Commission (FERC)

34,526,657

35,657,317

31,890,529-3,766,788-10.6%

Excess Fees and Recoveries, FERC
Title XVII Loan Guarantee Program Section 1703 Negative Credit Subsidy Receipt
Sale of Northeast Gas Reserve
Sale of Northeast Home Heating Oil Reserve
Total, Funding by Appropriation-9,00000034,517,657-16,000-107,0000035,534,317-16,000-15,000-130,000-27,000
31,702,529

0+92,000-130,000-27,000-3,831,788

N/A+86.0%
N/A
N/A-10.8%

Funding by Appropriation

1

FY 2020 Congressional Budget Justification

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Science

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Proposed Appropriation Language
For Department of Energy expenses including the purchase, construction, and acquisition of plant and capital
equipment, and other expenses necessary for science activities in carrying out the purposes of the Department ofEnergy Organization Act (42 U.S.C. 7101 et seq.), including the acquisition or condemnation of any real property or
facility or for plant or facility acquisition, construction, or expansion, and purchase of not more than [16] 33 passenger
motor vehicles, including one bus, [and one airplane for replacement only, $6,585,000,000] $5,545,972,000 to remain
available until expended: Provided, That of such amount, $183,000,000, shall be available until September 30,[2020]2021, for program direction. (Energy and Water Development and Related Agencies Appropriations Act, 2019.)
Explanation of Change
Proposed appropriation language updates reflect the funding and replacement of passenger motor vehicle levels andremoves the airplane replacement.
Public Law Authorizations
Science: Public Law 95-91, “Department of Energy Organization Act”, 1977
 Public Law 102-486, “Energy Policy Act of 1992”
 Public Law 108-153, “21st Century Nanotechnology Research and Development Act 2003”
 Public Law 108-423, “ Department of Energy High-End Computing Revitalization Act of 2004”
 Public Law 109-58, “Energy Policy Act of 2005”
 Public Law 110-69, “America COMPETES Act of 2007”
 Public Law 111-358, “America COMPETES Reauthorization Act of 2010”
 Public Law 115-246, “American Super Computing Leadership Act of 2017”
 Public Law 115-246, “Department of Energy Research and Innovation Act”, 2018
 Public Law 115-368, “National Quantum Initiative Act”, 2018
Nuclear Physics:
 Public Law 101-101, “1990 Energy and Water Development Appropriations Act,” establishing the Isotope Production
and Distribution Program Fund
 Public Law 103-316, “1995 Energy and Water Development Appropriations Act,” amending the Isotope Production andDistribution Program Fund to provide flexibility in pricing without regard to full-cost recovery
Workforce Development for Teachers and Scientists: Public Law 101-510, “DOE Science Education Enhancement Act of 1991”
 Public Law 103-382, “The Albert Einstein Distinguished Educator Fellowship Act of 1994”

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FY 2020 Congressional Budget Justification

6

Science($K)
FY 2018 Enacted
6,259,903

FY 2019 Enacted
6,585,000

FY 2020 Request
5,545,972

FY 2020 Request vsFY 2019 Enacted-1,039,028

Overview
The Office of Science’s (SC) mission is to deliver scientific discoveries and major scientific tools to transform ourunderstanding of nature and advance the energy, economic and national security of the United States. SC is the Nation’slargest Federal sponsor of basic research in the physical sciences and the lead Federal agency supporting fundamental
scientific research for our Nation’s energy future.
SC accomplishes its mission and advances national goals by supporting:The frontiers of science—exploring nature’s mysteries from the study of fundamental subatomic particles, atoms, andmolecules that are the building blocks of the materials of our universe and everything in it to the DNA, proteins, andcells that are the building blocks of life. Each of the programs in SC supports research probing the most fundamental
disciplinary questions.
The 21st Century tools of science—providing the nation’s researchers with 27 state-of-the-art national scientific user
facilities - the most advanced tools of modern science - propelling the U.S. to the forefront of science, technology
development, and deployment through innovation.
Science for energy and the environment―paving the knowledge foundation to spur discoveries and innovations foradvancing the Department’s mission in energy and environment. SC supports a wide range of funding modalities fromsingle principal investigators to large team-based activities to engage in fundamental research on energy production,
conversion, storage, transmission, and use, and on our understanding of the earth systems.

SC is an established leader of the U.S. scientific discovery and innovation enterprise. Over the decades, SC investments andaccomplishments in basic research and enabling research capabilities have provided the foundations for new technologies,
businesses, and industries, making significant contributions to our nation’s economy, national security, and quality of life.
Select scientific accomplishments in FY 2018 enabled by the SC programs are described in the program budget narratives.
Additional descriptions of recent science discoveries can be found at http://science.energy.gov/news/highlights.
Highlights and Major Changes in the FY 2020 Request
The FY 2020 Request for SC is $5,546 million, a decrease of 15.8 percent, below the FY 2019 Enacted level, to implement theAdministration’s objectives for advancing U.S. science and technology and making the Nation prosperous and strong a. The
FY 2020 Request supports a balanced research portfolio of basic scientific research probing some of the most fundamental
questions in areas such as: high energy, nuclear, and plasma physics; materials and chemistry; biological and environmental
systems; applied mathematics; next generation high-performance computing and simulation capabilities; and basic research
for advancement in new energy technologies. The Request includes investments in a coordinated, multidisciplinary research
effort in quantum information sciences (QIS) in support of the National Quantum Initiative, data-driven science enabled byartificial intelligence (AI) and machine learning (ML), next-generation microelectronics, genomic sciences to inform
biosecurity research, and critical scientific infrastructure needs at DOE laboratories. The Request supports SC’s basic
research portfolio, which includes extramural grants and contracts supporting over 22,000 researchers located at over 300
institutions and the 17 DOE national laboratories, spanning all fifty states and the District of Columbia. In FY 2020, SC’s suiteof 27 scientific user facilities will continue to provide unmatched tools and capabilities for over 32,000 users per year fromuniversities, national laboratories, industry, and international partners. The Request will also support the construction of
new user facilities and the R&D necessary for future facilities and facility upgrades to continue to provide world classresearch capabilities to U.S. researchers. SC allocates Working Capital Fund charges for common administrative services tothe research programs and the Program Direction account.

a M-18-22, OMB/OSTP Memo: FY 2020 Administration R&D Budget Priorities (American Leadership in Artificial Intelligence, Quantum Information Sciences,and Strategic Computing, American Energy Dominance, Security of the American People, Managing and Modernizing R&D Infrastructure, and Training a
Workforce for the 21st Century.)

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FY 2020 Congressional Budget Justification

Highlights of the FY 2020 Request by Program Office include:Advanced Scientific Computing Research (ASCR) supports research to discover, develop, and deploy computational andnetworking capabilities to analyze, model, simulate, and predict complex phenomena important to the DOE and theUnited States. The ASCR Request of $920.9 million, is a decrease of $14.6 million, or 1.6 percent, below the FY 2019
Enacted level. The Request supports the Department’s Exascale Computing Initiative (ECI) and will enable delivery of atleast one exascale-capable system in calendar year 2021―reasserting U.S. leadership in this critical area. Within ASCR,ECI consists of two components, Office of Science Exascale Computing Project (SC-ECP), which supports the researchand development focused on addressing the challenges of exascale and the second component, preparations for the
deployment of at least one exascale system at an ASCR Leadership Computing Facility (LCF) in calendar year 2021. To
ensure continued progress during and after the ECI, this Request prioritizes basic research for ML/AI with a focus on
foundational research and data intensive science and on future computing technologies. The Request maintains
support for ASCR’s Computational Partnerships with a focus on developing strategic partnerships in quantum
computing. ASCR will partner with the Offices of Basic Energy Sciences and High Energy Physics to establish at least one
multi-disciplinary QIS center to promote basic research and early stage development to accelerate the advancement of
QIS through vertical integration between systems and theory and hardware and software. The Request also provides
strong support for ASCR user facilities operations to ensure the availability of high performance computing andnetworking to the scientific community and upgrades to maintain U.S. leadership in these essential areas. Funding for
the LCF’s is increased to continue site preparations and non-recurring engineering activities to deploy an exascale
system at the Argonne Leadership Computing Facility (ALCF) in calendar year 2021 and for a second architecturally
distinct exascale system at the Oak Ridge Leadership Computing Facility (OLCF) to be deployed in the calendar year
2021–2022 timeframe. Both facilities will provide testbed resources to the SC-ECP to test and scale application codesand continuously test and deploy software technologies. The FY 2020 Request also supports the operations of the 200
petaflop (pf) Summit system at OLCF, and the 8.5 pf Theta system at the ALCF for existing users while the ALCF upgrade
project continues. The National Energy Research Scientific Computing Center (NERSC) will operate the 30 pf Corisupercomputer, and funding will support the final site and early application preparations for NERSC-9. Increased funds
will support continued operations of the Energy Sciences Network (ESnet) and the ESnet-6 upgrade to address the
rapidly growing volume of scientific data transmission.

Basic Energy Sciences (BES) supports fundamental research to understand, predict, and ultimately control matter andenergy at the electronic, atomic, and molecular levels to provide foundations for new energy technologies. The BES
Request of $1,858.3 million is a decrease of $307.7 million, or 14.2 percent, below the FY 2019 Enacted level. The
FY 2020 Request focuses resources toward early-stage fundamental research, the operation and maintenance of acomplementary suite of scientific user facilities, and the highest priority facility upgrades. The highest priorities in coreresearch are QIS, next-generation microelectronics, and data analytics and machine learning for data-driven science.
BES will partner with the ASCR and High Energy Physics programs to establish at least one multi-disciplinary QIS centerto promote basic research and early stage development to accelerate the advancement of QIS through vertical
integration between systems and theory and hardware and software. The Request increases funding for the Energy
Frontier Research Centers (EFRCs) with a planned solicitation in FY 2020 to expand the EFRC portfolio in topical areas of
the highest priority to the Department, including QIS and microelectronics, and recompeting funding for science
relevant to the Department’s environmental management mission. The Request continues support for computational
materials and chemical sciences to deliver shared software infrastructure to the research communities as part of the
ECI, and supports the Batteries and Energy Storage Energy Innovation Hub. The Fuels from Sunlight Energy Innovation
Hub will complete its second five-year term with FY 2019 funding. FY 2020 funding is requested for continued supportof early-stage fundamental research on solar fuels generation that builds on the Hub’s unique capabilities andaccomplishments to date. An open competition will solicit research to address emerging new directions as well as longstanding challenges in this transformational area of energy science. The Request also provides funds for the DOE
Established Program to Stimulate Competitive Research (EPSCoR). BES maintains a balanced suite of complementary
tools, including supporting Linac Coherent Light Source (LCLS) operations, which will resume in the second quarter of
FY 2020 after completion of installation of LCLS-II accelerator components. The Request supports about 87 percent of
optimal operations in FY 2020 at the four remaining x-ray facilities, both BES-supported neutron sources, and fivenanoscale science research centers (NSRC). Funding for the Advanced Photon Source Upgrade project continues per the
project plan. The Request includes funds for the Advanced Light Source Upgrade project, the Linac Coherent Light
Source-II High Energy (LCLS-II-HE) project, and the Proton Power Upgrade and the Second Target Station projects at theSpallation Neutron Source. The FY 2020 Request includes two new Major Item of Equipment projects: the NSLS-II
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FY 2020 Congressional Budget Justification8

Experimental Tools-II (NEXT-II) project to continue the phased build-out of beamlines at NSLS-II and the NSRC
Recapitalization project.
Biological and Environmental Research (BER) supports transformative science and scientific user facilities to achieve a
predictive understanding of complex biological, earth, and environmental systems for energy and infrastructure
security, independence, and prosperity. The BER Request of $494.4 million is a decrease of $210.6 million, or 29.9
percent, below the FY 2019 Enacted level. The FY 2020 Request implements Administration priorities for early-stage
fundamental research focused on biological and earth and environmental systems that will contribute to a future ofstable, reliable, and secure sources of American energy and advance transformative science for economic prosperity.
The FY 2020 Request for Biological Systems Science supports core research areas of Genomic Sciences, including new
efforts in secure biosystems design, particularly genome-scale engineering tools, ongoing activities in systems biology
and environmental genomics, and fully supports the third year of the recompeted four DOE Bioenergy Research Centers(BRCs). The BRCs continue to perform new fundamental research underpinning the production of fuels and chemicals
from sustainable biomass resources and the building blocks of new technological advances for translation of basic
research results to industry. Extended secure biosystems design activities will test the fundamental engineering
principles that control plant and microbial systems, with a specific goal of enhancing the stability, resilience, andcontrolled performance of engineered biological systems. Biomolecular Characterization and Imaging Science research
will continue to support structural, spatial, and temporal understanding of functional biomolecules and processes
occurring within living cells. New efforts in QIS imaging and sensing approaches will expand experimental observation
capabilities to advance systems-level predictive understanding of biological processes. In the Earth and Environmental
Systems Sciences subprogram, the Request focuses on continuing to prioritize development of the DOE high-resolution
earth system model and for model diagnostics and intercomparisons and associated data management. The Request
supports operations of BER’s three scientific user facilities: the DOE Joint Genome Institute (JGI), the Environmental
Molecular Sciences Laboratory, and the Atmospheric Radiation Measurement Research Facility (ARM). JGI operations
are reduced to accommodate the FY 2020 move into the Integrative Genomics Building on the Lawrence Berkeley
National Laboratory campus. The ARM user facility will continue to develop the aerial capability acquired in FY 2019.



Fusion Energy Sciences (FES) supports research 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. The FES
FY 2020 Request of $402.8 million is a decrease of $161.3 million, or 28.6 percent, below the FY 2019 Enacted level. The
FY 2020 Request prioritizes keeping SC fusion user facilities world-leading, investing in FES related high performancecomputing and preparing for exascale, exploring the potential of QIS and ML, supporting high-impact research in fusionmaterials, strengthening collaborations that enable access to international facilities with unique capabilities, learning
how to predict and control transient events in fusion plasmas, continuing stewardship of discovery plasma science, andincreasing partnership opportunities with the private sector. FES investments in DIII-D facility operations focus on
utilizing the facility enhancements implemented during the FY 2018 – FY 2019 Long Torus Opening; the Request
supports 13 weeks of research operations, which is 65 percent of optimal operations, along with machine
improvements needed for new research capabilities. In FY 2020, the NSTX-U facility is down for recovery and repair; theRequest for NSTX-U Operations will support high-priority activities to implement repairs and corrective actions required
to achieve research operations, as well as to increase machine reliability. In addition, the Request includes funding forenhanced collaborative research at other facilities to support NSTX-U research program priorities. In FY 2020, the FES
SciDAC portfolio, in partnership with ASCR, will continue to address challenges in burning plasma science, withemphasis on integration and whole-device modeling capability, as well as strengthening readiness for the Exascale era.
In addition, research efforts focusing on emerging technologies with transformational potential, such as ML/AI andcomputing aspects of QIS, will be enhanced. The FY 2020 Request will continue support for leveraged research
opportunities by U.S. scientists on international superconducting tokamaks, stellarators, and other facilities with uniquecapabilities, and core discovery plasma science experiments on intermediate-scale collaborative facilities. Funding isrequested for the Materials-Plasma Exposure eXperiment MIE project, which is expected to be baselined in FY 2020 andwill be a world-leading facility for steady-state, high-heat-flux testing of fusion materials. The Request supports theinitiation of a line-item construction project for a significant upgrade to the Matter in Extreme Conditions instrument at
the LCLS facility at SLAC National Accelerator Laboratory to support research in high energy density laboratory plasmas.
The Request also supports research conducted on medium-scale laser facilities through the new LaserNetUS network,and explores research opportunities of high energy density science for QIS. The FY 2020 Request includes funding forcontinued design and fabrication of the highest priority “in-kind” hardware systems for ITER.

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FY 2020 Congressional Budget Justification

High Energy Physics (HEP) supports research to understand how the universe works at its most fundamental level by
discovering the most elementary constituents of matter and energy, probing the interactions among them, andexploring the basic nature of space and time itself. The FY 2020 Request of $768.0 million is a decrease of $212 million,or 21.6 percent, below the FY 2019 Enacted level. The FY 2020 Request will focus support on the highest priority
elements identified in the 2014 High Energy Physics Advisory Panel Particle Physics Project Prioritization Panel (P5)
Report. Support for Research will prioritize efforts that address the science drivers of particle physics, as identified in
the P5 report, and enable early and visible science results from HEP project investments. R&D that requires long-term
investments, including Advanced Technology R&D, Accelerator Stewardship, and cross-cutting efforts in QIS and AI/ML
to accelerate discovery in particle physics, will also be given higher priority in order to sustain world-leading efforts andsupport Office of Science priorities. HEP will partner with ASCR and BES to establish at least one multi-disciplinary QIS
center to promote basic research and early stage development to accelerate the advancement of QIS through vertical
integration between systems and theory and hardware and software. The P5 report identified the High-Luminosity
Large Hadron Collider (HL-LHC) accelerator and A Toroidal LHC Apparatus (ATLAS) and Compact Muon Solenoid (CMS)
Detector Upgrade Projects as the highest priority in the near-term, and Long-Baseline Neutrino Facility and Deep
Underground Neutrino Experiment (LBNF/DUNE) as the highest-priority large project in its timeframe. To continue ourstrong international partnership with CERN, the FY 2020 Request will support these high-priority projects. The Request
continues support for LBNF/DUNE, including upgrades to the Sanford Underground Research Facility (SURF) to meet
DOE expectations of reliable, efficient, and safe operations during the construction of LBNF/DUNE and its subsequentdata-taking phase. The Request supports R&D to reduce technical risk for the planned Proton Improvement Plan II (PIPII) construction project. Eight HEP projects will be completely funded by FY 2020: the Dark Energy Spectrographic
Instrument (DESI), Facility for Advanced Accelerator Experimental Tests II (FACET-II), LHC ATLAS Detector Upgrade, LHC
CMS Detector Upgrade, Large Synoptic Survey Telescope camera (LSSTcam), Large Underground Xenon (LUX)-ZonEd
Proportional scintillation in LIquid Noble gases (ZEPLIN) experiment (LZ), Muon to Electron Conversion Experiment(Mu2e), and the Super Cryogenic Dark Matter Search at Sudbury Neutrino Observatory Laboratory (SuperCDMSSNOLAB). DESI, FACET-II, LZ, Mu2e, and SuperCDMS-SNOLAB projects received final project funds in FY 2019. The
FY 2020 Request will support technology R&D and pre-conceptual design studies for the next generation Cosmic
Microwave Background (CMB-S4) experiment, recommended by P5. The Request will also support the operation of the
Fermi National Accelerator Laboratory Accelerator Complex at 88 percent of optimal, and will support the new Fermilab
Kautz Road Sub-Station Radial Feed Electrical Upgrade General Plant Project, which will upgrade or replace existing
electrical feeders to improve reliability, increase system capacity, and bring the service up to modern standards.

Nuclear Physics (NP) supports experimental and theoretical research to discover, explore, and understand all forms of
nuclear matter. The FY 2020 Request of $624.9 million is a decrease of $65.1 million, or 9.4 percent, below the FY 2019
Enacted level. The FY 2020 Request will support the highest priority research and scientific user facilities to maintain
U.S. leadership in nuclear science. The FY 2020 Request supports operations of the Relativistic Heavy Ion Collider (RHIC)
to confirm the origin of intriguing new phenomena observed in quark gluon plasma formation, and continues support
for the Strongly Pioneering High Energy Nuclear Interaction eXperiment (sPHENIX) MIE, which will further explore theproperties of the quark gluon plasma. Operations support for the recently updated 12 GeV Continuous Electron Beam
Accelerator Facility (CEBAF) will enable the highly anticipated science program to make progress towards unraveling themechanism of quark confinement. The Request supports a new General Purpose Plant project to build and install thecritically needed End Station Refrigerator to mitigate end-of-life risk of current equipment and provide required
additional capacity for future experiments. At Argonne National Lab, the Request also supports the operations of the
Argonne Tandem Linac Accelerator System (ATLAS) to provide opportunities for research in nuclear structure andnuclear astrophysics. The Request will support the continued construction of the Facility for Rare Isotope Beams (FRIB)
according to the performance baseline profile, and continues support for the Gamma-Ray Energy Tracking Array(GRETA) detector for FRIB. In FY 2020, three additional MIEs are initiated: the High Rigidity Spectrometer (HRS) for FRIB,
which will maximize FRIB’s ability to study heavy, neutron-rich nuclei through to be central to the production of heavy
elements in the cosmos, the Measurement of a Lepton-Lepton Electroweak Reaction (MOLLER) experiment, which will
search for physics beyond our present understanding by measuring parity-violation in electron-electron scattering withthe 12 GeV CEBAF machine; and the Ton-Scale Neutrino-less Double Beta Decay (NLDBD) Experiment, which will
determine whether the neutrino is its own antiparticle. Funding is requested in FY 2020 for the start of R&D andconceptual design for a proposed U.S.-based Electron Ion Collider. The FY 2020 Request increases support for the DOE
Isotope Program to produce, and develop cutting-edge approaches for producing, critical isotopes in short supply. The
Request also continues the Stable Isotope Production Facility (SIPF) MIE project and initiates an AIP project for the
harvesting of isotopes at FRIB. The FY 2020 Request initiates a new construction project for the U.S. Stable Isotope
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FY 2020 Congressional Budget Justification
10
Production and Research Center to produce critical enriched stable isotopes in short supply and mitigate U.S.
dependence on foreign supply. The Request for Research supports university and laboratory researchers to nurture
critical core competencies and enable the highest priority theoretical and experimental activities to target compellingscientific opportunities at the frontier of nuclear science, including investments in QIS efforts in collaboration withother SC programs, the development of quantum sensors based on atomic-nuclear interactions and quantum control
techniques, and the production of stable isotopes for next generation quantum information systems.
Reorganization and Restructure Initiative
SC continues to review its functions and the organizational structure to maximize efficiencies across all programs in an
attempt to reduce and streamline the Federal footprint. Through workforce analysis and restructuring, we will continue toreview, analyze and prioritize mission requirements and identify those organizations and functions most in line with the
Administration and Department program objectives and SC strategic goals. SC has begun the implementation of a
restructuring of the Field and mission support components following approval by the Secretary of Energy in November
2018. This restructuring merges two geographical separate service centers (Chicago and Oak Ridge) into a functionallyconsolidated center and consolidates corporate functions to improve consistency in operations, and pilots the merging of
two SC federal site offices at national laboratories in the same geographic area (Lawrence Berkeley National Laboratory Site
Office and the SLAC Site Office), both located in the San Francisco Bay area. This reorganization maximizes efficiencies acrossall SC field components programs and will reduce and streamline the Federal footprint. Through workforce analysis andrestructuring, SC reviewed, analyzed and prioritized mission requirements and identified those organizations and functions
most in line with the Administration and Department program objectives and SC strategic goals. Using available humancapital workforce reshaping tools, SC has focused on functional consolidation, elimination of positions, and hiring limitations
to achieve necessary results.
Basic and Applied R&D Coordination
Coordination between the Department’s basic research and applied technology programs is a high priority within DOE and isfacilitated through joint planning meetings, technical community workshops, annual contractor/awardee meetings, joint
research solicitations, focused DOE program office working groups in targeted research areas, and collaborative program
management of DOE’s Small Business Innovation Research and Small Business Technology Transfer programs. Co-funding ofresearch activities and facilities at the DOE National Laboratories and partnership/collaboration-encouraging funding
mechanisms facilitate research integration within the basic and applied research communities. SC’s R&D coordination also
occurs at the interagency level. Specific collaborative activities are highlighted in the “Basic and Applied R&D Coordination”
sections of each individual SC program budget justification narrative.
High-Risk, High-Reward Research a
SC incorporates high-risk, high-reward, basic research elements in all of its research portfolios; each SC research program
considers a significant proportion of its supported research as high-risk, high-reward. Because advancing the frontiers ofscience also depends on the continued availability of state-of-the-art scientific facilities, SC constructs and operates national
scientific facilities and instruments that comprise the world’s most sophisticated suite of research capabilities. SC’s basic
research is integrated within program portfolios, projects, and individual awards; as such, it is not possible to quantitatively
separate the funding contributions of particular experiments or theoretical studies that are high-risk, high-reward fromother mission-driven research in a manner that is credible and auditable. SC incorporates high-risk, high-reward basic
research elements in its research portfolios to drive innovation and challenge current thinking, using a variety ofmechanisms to develop topics: Federal advisory committees, triennial Committees of Visitors, program and topical
workshops, interagency working groups, National Academies’ studies, and special SC program solicitations. Many of these
topics are captured in formal reports, e.g., Basic Research Needs for Microelectronics, joint BES, ASCR, and HEP workshop(2018); Basic Research Needs for Scientific Machine Learning; Core Technologies for Artificial Intelligence, ASCR workshop(2018) b; Building for Discovery: Strategic Plan for U.S. Particle Physics in the Global Context, by the High Energy Physics
Advisory Panel (2014) c; Quantum Computing Testbed for Science, ASCR workshop report (2017) d; Basic Energy Science
Roundtable: Opportunities for Basic Research for Quantum Computing in Chemical and Materials Sciences, Basic Energy
Sciences workshop report (2017); Basic Energy Science Roundtable: Opportunities for Basic Research for Next-Generationa In compliance with the reporting requirements in the America COMPETES Act of 2007 (P.L. 110-69, section 1008)b

https://science.energy.gov/ascr/community-resources/program-documents/c http://science.energy.gov/~/media/hep/hepap/pdf/May%202014/FINAL_P5_Report_Interactive_060214.pdf
d https://science.energy.gov/~/media/ascr/pdf/programdocuments/docs/2017/QTSWReport.pdf

Science11

FY 2020 Congressional Budget Justification

Quantum Systems, Basic Energy Sciences workshop report (2017) a; Challenges at the Frontiers of Matter and Energy:
Transformative Opportunities for Discovery Science, by BES Advisory Committee (2015) b; Basic Research Needs Workshop on
Quantum Materials for Energy Relevant Technology, BES workshop report (2016) c; Grand Challenges for Biological andEnvironmental Research: Progress and Future Vision, by the BER Advisory Committee (2017) d; Technologies for
Characterizing Molecular and Cellular Systems, BER workshop report (2016) e; Plasma: at the Frontier of Scientific Discovery,
FES workshop report (2017) f; Isotope Research and Production Opportunities and Priorities, by the Nuclear Science Advisory
Committee (NSAC) (2015) g; and Nuclear Physics Long Range Plan, by the NSAC (2015) h
Scientific Workforce
For more than 60 years SC and its predecessors have fostered the training of a highly skilled scientific workforce. In addition
to the undergraduate and graduate research opportunities provided through SC’s Office of Workforce Development for
Teachers and Scientists, the six SC research program offices train undergraduates, graduate students, and postdoctoral
researchers through sponsored research awards at universities and the DOE National Laboratories. The research program
offices also support targeted undergraduate and graduate-level experimental training in areas associated with scientific user
facilities and not readily available in university academic departments, such as particle accelerator and detector physics,
neutron and x-ray scattering, nuclear chemistry, and computational sciences at the leadership computing level. To help
attract critical talent, SC supports the Early Career Research Program, which funds individual research programs by
outstanding Ph.D. scientists early in their careers in the disciplines supported by SC i. To retain highly skilled researchers by
rewarding scientific excellence and leadership, SC initiated the Distinguished Scientist Fellows opportunity to recognize
innovative and accomplished DOE laboratory staff and sponsoring their efforts to develop, sustain, and promote scientificand academic excellence in SC research through collaborations between institutions of higher education and national
laboratories. SC coordinates with other DOE offices and other agencies on best practices for training programs and program
evaluation through internal DOE working groups and active participation in the National Science and Technology Council’s
Committee on Science, Technology, Engineering, and Mathematics Education. SC also participates in the American
Association for the Advancement of Science’s Science & Technology Policy Fellowships program and the Presidential
Management Fellows Program to bring highly qualified scientists and professionals to DOE headquarters for a maximum
term of two years.
Cybersecurity
DOE is engaged in two categories of cyber-related activities: protecting the DOE enterprise from a range of cyber threatsthat can adversely impact mission capabilities and improving cybersecurity in the electric power subsector and the oil andnatural gas subsector. SC supports the Cybersecurity Departmental Crosscut, which includes central coordination of thestrategic and operational aspects of cybersecurity and facilitates cooperative efforts such as the Joint Cybersecurity
Coordination Center for incident response, and the implementation of Department-wide Identity, Credentials, and Access
Management.

a https://science.energy.gov/~/media/bes/pdf/reports/2018/Quantum_computing.pdf;

https://science.energy.gov/~/media/bes/pdf/reports/2018/Quantum_systems.pdf
http://science.energy.gov/~/media/bes/besac/pdf/Reports/CFME_rpt_print.pdf
c https://science.energy.gov/~/media/bes/pdf/reports/2016/BRNQM_rpt_Final_12-09-2016.pdf
d https://science.energy.gov/~/media/ber/berac/pdf/Reports/BERAC-2017-Grand-Challenges-Report.pdf
e http://science.energy.gov/~/media/ber/pdf/workshop%20reports/VirtualEcosystems.pdf
fhttps://science.energy.gov/~/media/fes/pdf/program-news/Frontiers_of_Plasma_Science_Final_Report.pdf
g https://science.energy.gov/~/media/ber/pdf/community-resources/Technologies_for_Characterizing_Molecular_and_Cellular_Systems.pdf
h https://science.energy.gov/np/nsac/reports/i https://science.energy.gov/early-career/b

Science12

FY 2020 Congressional Budget Justification

Science
Funding by Congressional Control (K)(dollars in thousands)
Advanced Scientific Computing Research
Research
17-SC-20, Office of Science Exascale Computing Project (SC-ECP)
Total, Advanced Scientific Computing Research
Basic Energy Sciences
Research
Construction
19-SC-14, Second Target Station (STS), ORNL
18-SC-10, Advanced Photon Source Upgrade (APS-U), ANL
18-SC-11, Spallation Neutron Source Proton Power Upgrade (PPU), ORNL
18-SC-12, Advanced Light Source Upgrade (ALS-U), LBNL (19-SC-10)
18-SC-13, Linac Coherent Light Source-II-High Energy (LCLS-II-HE), SLAC (19-SC-11)
13-SC-10, Linac Coherent Light Source-II (LCLS-II), SLAC
Total, Construction
Total, Basic Energy Sciences
Biological and Environmental Research
Fusion Energy Sciences
Research
Construction
20-SC-61, Matter in Extreme Conditions (MEC) Petawatt Upgrade
14-SC-60, U.S. Contributions to ITER
Total, Construction
Total, Fusion Energy Sciences
High Energy Physics
Research
Construction
18-SC-42, Proton Improvement Plan II (PIP-II), FNAL
11-SC-40, Long Baseline Neutrino Facility/Deep Underground Neutrino Experiment(LBNF/DUNE), FNAL
11-SC-41, Muon to Electron Conversion Experiment, FNAL
Total, Construction
Total, High Energy Physics

Science/Funding by Congressional Control

13

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

605,000
205,000
810,000

702,794
232,706
935,500

732,153
188,735
920,888+29,359-43,971-14,612

1,744,900

1,757,700

1,675,285-82,415—
93,00036,00016,0008,000
192,100
345,100
2,090,000

1,000
130,000
60,00060,00028,000129,300
408,300
2,166,000

1,000
150,000
5,000
13,00014,000—183,000
1,858,285—+20,000-55,000-47,000-14,000-129,300-225,300-307,715

673,000

705,000

494,434-210,566

410,111432,000

294,750-137,250—
122,000
122,000
532,111—132,000
132,000
564,000

1,000
107,000
108,000
402,750+1,000-25,000-24,000-161,250

767,600

800,000

648,038-151,962

1,000

20,00020,000—95,000130,000

100,000-30,000

44,400140,400
908,000

30,000180,000
980,000—
120,000
768,038-30,000-60,000-211,962

FY 2020 Congressional Budget Justification

(dollars in thousands)
FY 2020 Request vsFY 2019 Enacted

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

586,800

615,000

579,854-35,146—
97,20097,200684,000—
75,00075,000690,000

5,000
40,00045,000624,854+5,000-35,000-30,000-65,146

19,50022,50019,500-3,0001,713
6,382
70,34726,000104,442

1,713
6,434
45,54326,00079,6904,540
5,610
25,05010,00045,200+2,827-824-20,493-16,000-35,490

—
—
—
—
—
—
—
—
—
20,00020,00030,00044,50038,350152,850
257,292

—
—
—
—
—
7,000
30,00025,0005,000
24,00020,00042,200——153,200
232,890

12,0005,000
2,000
20,0003,000
6,400
30,00015,000
6,000
9,000
10,000———118,400
163,600+12,000+5,000+2,000+20,000+3,000-600—-10,000+1,000-15,000-10,000-42,200——-34,800-69,290

Safeguards and Security

103,000

106,110

110,623+4,513

Program Direction

183,000

183,000

183,000—

6,259,903
825

6,585,000
810

5,545,972
797-1,039,028-13

Nuclear Physics
Operation and MaintenanceConstruction
20-SC-51, U.S. Stable Isotope Production and Research Center, ORNL
14-SC-50, Facility for Rare Isotope Beams, MSU
Total, Construction
Total, Nuclear Physics
Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure
Infrastructure Support
Payment in Lieu of Taxes
Oak Ridge Landlord
Facilities and Infrastructure
Oak Ridge Nuclear Operations
Total, Infrastructure Support
Construction
20-SC-71, Critical Utilities Rehabilitation Project, BNL
20-SC-72, Seismic and Safety Modernization, LBNL
20-SC-75, CEBAF Renovation and Expansion, TJNAF (19-SC-75)
20-SC-76, Craft Resources Support Facility, ORNL (19-SC-76)
20-SC-77, Large Scale Collaboration Center, SLAC (19-SC-77)
19-SC-71, Science User Support Center, BNL
19-SC-72, Electrical Capacity and Distribution Capability, ANL
19-SC-73, Translational Research Capacity, ORNL
19-SC-74, BioEPIC, LBNL
18-SC-71, Energy Sciences Capability, PNNL
17-SC-71, Integrated Engineering Research Center, FNAL
17-SC-73, Core Facility Revitalization, BNL
15-SC-76, Materials Design Laboratory, ANL
15-SC-78, Integrative Genomics Building, LBNL
Total, Construction
Total, Science Laboratories Infrastructure

Total, Science
Federal FTEs

Science/Funding by Congressional Control

14

FY 2020 Congressional Budget Justification

SBIR/STTR funding: FY 2018 Enacted: SBIR $143,935,000 and STTR $20,240,000 (SC only) FY 2019 Enacted: SBIR $148,264,000 and STTR $20,851,000 (SC only) FY 2020 Request: SBIR $132,747,000 and STTR $18,667,000 (SC only)

Science/Funding by Congressional Control

15

FY 2020 Congressional Budget Justification

16

Advanced Scientific Computing Research
Overview
The Advanced Scientific Computing Research (ASCR) program’s mission is to advance applied mathematics and computerscience; deliver the most sophisticated computational scientific applications in partnership with disciplinary science;advance computing and networking capabilities; and develop future generations of computing hardware and software tools
for science and engineering, in partnership with the research community, including U.S. industry. ASCR supports state-ofthe-art capabilities that enable scientific discovery through computation. The Computer Science and Applied Mathematics
activities in ASCR provide the foundation for increasing the capability of the national high performance computing (HPC)
ecosystem by focusing on long-term research to develop software, algorithms, and methods that anticipate future hardware
challenges and opportunities as well as science application needs. ASCR’s partnerships and coordination with industry are
essential to these efforts. At the same time, ASCR partners with disciplinary sciences to deliver some of the most advanced
scientific computing applications in areas of strategic importance to the Office of Science (SC) and the Department of Energy(DOE). ASCR also supports world-class, open access high performance computing facilities and high performance networks
for scientific research.
For over half a century, the U.S. has maintained world-leading computing capabilities through sustained investments inresearch, development, and deployment of new computing systems along with the applied mathematics and software
technologies to effectively use the leading edge systems. The benefits of U.S. computational leadership have beenenormous – huge gains in increasing workforce productivity, accelerated progress in both science and engineering,
advanced manufacturing techniques and rapid prototyping, stockpile stewardship without testing, and the ability to explore,
understand and harness natural and engineered systems, which are too large, too complex, too dangerous, too small, or too
fleeting to explore experimentally. Leadership in HPC has also played a crucial role in sustaining America’s competitivenessinternationally. As the Council on Competitiveness noted and documented in a series of case studies, "A country that wishes
to out-compete in any market must also be able to out-compute its rivals." a While this continues to be true, there is also a
growing recognition that the nation that leads in machine learning (ML) and artificial intelligence (AI) will lead the world indeveloping new technologies, medicines, industries, and military capabilities. Most of the modeling and prediction
necessary to produce the next generation of breakthroughs in science, energy, medicine, and national security will come notfrom applying traditional theory, but from employing data-driven methods at extreme scale. Today, significant investments
in Asia and Europe are challenging U.S. dominance in computing and nations around the globe are enthusiastically investingin AI. The U.S. must invest in these fields that are critical to American prosperity. Public-private partnerships remain vital as
we push our state-of-the-art fabrication techniques to their limit to develop an exascale-capable (one billion billion
operations per second) system while simultaneously preparing for the artificial intelligence-big data surge and what follows
at the end of the current technology roadmap. Maximizing the benefits of U.S. leadership in computing in the coming
decades will require an effective national response to increasing demands for computing capabilities and performance,
emerging technological challenges and opportunities, and competition with other nations. DOE has a long history of making
fundamental contributions to applied mathematics and computer science associated with strategic computing and a similar
set of contributions is foreseen for ML and AI in the science domain and related investments in advanced architectures andhardware. ASCR’s proposed activities are in line with the Nation’s Research and Development (R&D) priority for American
Leadership in AI, Quantum Information Science (QIS), and Strategic Computing.
ASCR-supported activities are entering a new paradigm driven by sharp increases in the heterogeneity and complexity ofcomputing systems and the need to seamlessly and intelligently integrate simulation, AI, data analysis, and other tasks into
coherent and usable workflows. HPC has become an essential tool for understanding complex systems in unprecedented
detail; exploring systems of systems through ensembles of simulations; learning from extreme scale, complex data; andcarrying out data analyses, especially when time is of the essence. These changes are being driven by enormous increases inthe volume and complexity of data generated by SC user facilities–from simulations, experiments, and observations–andthese new opportunities are propelled by advances already achieved through the DOE Exascale Computing Initiative (ECI).
The convergence of AI technologies with these existing investments creates a powerful accelerator for progress and gives
the U.S. a distinct advantage over nations with less integrated investments.
AI and ML are critical technologies in this new paradigm that are expected to be deployed at multiple stages of the scientificprocess using a variety of techniques. Many popular machine learning methods lack mathematical approaches to provide
a Final report from the High Performance Computing Users Conference: Supercharging U.S. Innovation & Competitiveness, held in July 2004.

Science/Advanced Scientific Computing Research

17

FY 2020 Congressional Budget Justification

robustness, reliability, and transparency and so require significant domain knowledge to be effectively applied. In addition,
ML/AI applications and tools are needed to extract knowledge and discovery of patterns and classification in data from large
scientific datasets that span SC programs, for example, automate data collection and advanced control and supervision ofexperiments at light sources, neutron sources, microscopes and telescopes; predict and avoid plasma disruptions in fusion
reactors; control and optimize particle accelerators and improve the detection of events; and predict bio-design and thedesign of complex communities. Due to its tradition of partnering with other SC programs, its history of supporting worldleading mathematics and computer science for computation and data analysis, and its support of open access HPC facilities,
which are now powerful tools for data analysis, ML, as well as simulation, ASCR is uniquely positioned to support long-term
research for scientific AI and ML.
Moore’s Law—the historical pace of microchip innovation whereby feature sizes reduce by a factor of two approximately
every two years—is nearing an end due to limits imposed by fundamental physics; feature sizes cannot shrink smaller than
the size of atoms. The emerging fields of QIS—the ability to exploit intricate quantum mechanical phenomena to create
fundamentally new ways of obtaining and processing information—are opening new vistas of science discovery andtechnology innovation. QIS is currently at the threshold of a revolution, creating opportunities and challenges for the
Nation, as growing international interest and investments are starting a global quantum race. DOE envisions a future inwhich the cross-cutting field of QIS increasingly drives scientific frontiers and innovations toward realizing the full potentialof quantum-based applications, from computing, to communication, to sensing. This will require a detailed understanding of
how quantum systems behave, accurate knowledge of how to integrate the components into complex systems, and precise
control of the structures and functionalities. The traditional linear model of discovery science leading to design
development and commercial deployment will not meet these goals alone within an acceptable time, due to the urgency
and scale of our mission. Rather, there is a need for bold approaches that better couple all elements of the technology
innovation chain and combine the talents of the program offices in SC, universities, national labs, and the private sector inconcerted efforts to define and construct an internationally competitive U.S. economy. In support of the National Quantum
Initiative, one or more SC QIS Centers, a coupled with a robust core research portfolio stewarded by the individual SC
programs including ASCR, will create the ecosystem across universities, national labs, and industry that is needed to foster
these developments with benefits in national security, economic competitiveness, and leadership in scientific discovery.
SC and the DOE National Nuclear Security Administration (NNSA) continue to partner on the Department’s ECI to overcome
key exascale challenges in parallelism, energy efficiency, and reliability, leading to deployment of a diverse set of exascale
systems in the calendar year 2021-2022 timeframe. The ECI’s goal for an exascale-capable system is a five-fold increase insustained performance over the Summit HPC system at Oak Ridge National Laboratory (ORNL), with applications that
address next-generation science, engineering, and data problems. The ECI focuses on delivering advanced simulation
through an exascale-capable computing program, emphasizing sustained performance in science and national security
mission applications and increased convergence between exascale and large-data analytic computing.
Highlights of the FY 2020 Request
The FY 2020 Request of $920,888,000 for ASCR will strengthen U.S. leadership in strategic computing, the foundations of AI,
and QIS. To ensure ASCR is meeting the HPC mission needs of the Office of Science during and after the exascale project,
this Request prioritizes basic research for data intensive science, including ML/AI, and future computing technologies, andmaintains support for ASCR’s Computational Partnerships with a focus on developing strategic partnerships in quantum
computing and data intensive applications. The Request also provides strong support for ASCR user facilities operations toensure the availability of high performance computing and networking to the scientific community and upgrades tomaintain U.S. leadership in these essential areas. Increased funding supports upgrades at the Oak Ridge Leadership
Computing Facility (OLCF), the Argonne Leadership Computing Facility (ALCF), the National Energy Research Scientific
Computing Center (NERSC), and the Energy Sciences Network (ESnet). The Request provides robust support for ECI which
includes the SC-Exascale Computing Project (SC-ECP) and site preparations, testbeds, and non-recurring engineering (NRE)
activities at the LCFs in support of the delivery of at least one exascale computing system in calendar year 2021.
The Request provides funding to meet the baseline schedules for the OLCF-5, NERSC-9 and ALCF-3 upgrades. In addition, toensure the rapid and agile adoption of Big Data and AI solutions, ASCR will also support the seamless integration of data andcomputing resources through the ESnet-6 upgrade.

a Recently authorized by Section 402 of the National Quantum Initiative Act, PL 115-368.

Science/Advanced Scientific Computing Research18

FY 2020 Congressional Budget Justification

Mathematical, Computational, and Computer Sciences Research
When combined with the advances of exascale computing, ML/AI can significantly improve productivity by managing
complex simulations and augmenting first principle simulations with data driven predictive models. The FY 2020 Request
supports foundational research to improve the robustness, reliability, and transparency of Big Data and AI technologies,
uncertainty quantification, and development of software tools to tightly couple simulation, data analysis, and AI for DOE
mission applications. Investments focus on areas unique to science such as the transparency and interpretability of AI andML, uncertainty quantification, and the computer science and software infrastructure for AI and ML applications, including
tools for data management. The Request also supports partnerships among computer scientists, applied mathematicians,and domain scientists to develop hybrid models where current DOE applications, which are characterized by complex, multiscale physics as well as large-scale, multi-faceted data, are merged with AI and ML techniques - providing the combined
benefits of both techniques.
Recognizing the limits of Moore’s Law, ASCR began activities in FY 2017 to explore future computing technologies, such as
quantum information science (QIS) and neuromorphic computing, that are not based on silicon microelectronics. In the
FY 2020 Request, QIS remains a principal emphasis. ASCR will partner with SC’s Basic Energy Sciences (BES) and High Energy
Physics (HEP) programs to establish at least one multi-disciplinary QIS Center to promote basic research and early stage
development to accelerate the advancement of QIS through vertical integration between systems and theory and hardware
and software. ASCR’s Quantum Testbeds activities, which provide researchers with access to novel, early-stage quantum
computing resources and services, will be expanded to support partnerships with the BES Nanoscale Science ResearchCenters. In addition, research in quantum information networks focuses on the opportunities and challenges of transportingand storing quantum information over interconnects and networks.
The Computer Science and Applied Mathematics activities in ASCR provide the foundation for increasing the capability of
the national HPC ecosystem by focusing on long-term research to develop software, algorithms, and methods that
anticipate future hardware challenges and opportunities as well as science application needs. In FY 2020, these activities
will continue to address the combined challenges of increasingly heterogeneous computer architectures, and the changing
ways in which HPC systems are used—incorporating more data-intensive applications and greater connectivity with
distributed systems and resources, such as other SC user facilities. AI and ML are key technologies in this portfolio.
The Computational Partnerships activity is primarily focused on the Scientific Discovery through Advanced Computing(SciDAC) computational partnerships, which were re-competed in FY 2017, and use the software, tools, and methods
developed by these core research efforts. This allows the other scientific programs in SC to more effectively use the current
and immediate next-generation HPC facilities. The SciDAC portfolio will continue to focus on advancing the mission criticalapplications of the other SC programs. The research results emerging from the ECI inform SciDAC investments, which will,
whenever possible, incorporate the software, methods, and tools developed by that initiative.
The current and predicted computing needs for DOE research and applications aggregate to a need for ubiquitous
computing. Computational Partnerships also supports partnerships with other SC programs to ensure the seamlessintegration of Big Data and AI with computing resources to support the large-scale computing and data requirements fromSC user facilities as well as to prepare for future technology through investments in QIS algorithms and applications.
High Performance Computing and Network Facilities
In FY 2020, ASCR’s high performance computing and high performance networking user facilities will continue to advancescientific discovery through optimal operations. The Leadership Computing Facilities (LCFs) will continue to deliver HPC
capabilities for large-scale applications to ensure that the U.S. research community and DOE’s industry partners continue tohave access to the most capable supercomputing resources in the world. NERSC will provide an innovative platform toadvance SC mission research. ESnet will continue to expand capacity to meet the Department’s exponential growth inscientific data traffic while executing a major upgrade to the core network.
In 2020, the ALCF will finalize site preparations and complete NRE investments with the vendor in preparations for thedelivery of an exascale system (the ALCF-3 upgrade) in calendar year 2021. In addition, the ALCF will continue to operate the
Theta system and provide additional testbeds for testing SC-ECP applications and software technologies at scale.
The OLCF Summit system became the world’s fastest supercomputer in June 2018 and will be in full operation in FY 2020. In
addition to scientific modeling and simulation, Summit offers unparalleled opportunities for the integration of AI and
Science/Advanced Scientific Computing Research
FY 2020 Congressional Budget Justification19

scientific discovery, enabling researchers to apply techniques like machine learning and deep learning to problems in highenergy physics, materials discovery, and other areas. ORNL will continue site preparations, such as increased power andcooling capacity, testbeds, and NRE investments for an exascale upgrade (OLCF-5) in the calendar year 2021-2022 timeframethat will be architecturally diverse from the ALCF-3 system.
NERSC will continue operations of the 30 petaflop (pf) NERSC-8 supercomputer, named Cori. To address growing demand forcapacity computing to meet mission needs, the FY 2020 Request supports activities for the delivery of NERSC-9, which will
have approximately three times the capacity of NERSC-8, in late calendar year 2020. The Request also supports completionof site preparation activities for the NERSC-9 upgrade, such as increased power and cooling capacity, and investments toensure that the diverse NERSC user community is prepared to fully utilize the new computing system.
In FY 2020, ESnet will continue to provide networking connectivity for large-scale scientific data flows while modernizing the
network to meet the future needs of the DOE community. The last significant upgrade of the ESnet was in calendar year
2010, and the current optical and routing equipment is at or near the end of its operational effectiveness. The forthcoming
delivery of exascale machines and the dramatically accelerating data rates from many SC user facilities and research projects
demand not only ever-greater network capacity and security but also new flexibility to deliver on-demand data movement.
The ESnet-6 upgrade is designed to achieve these capabilities and provide DOE with a fully integrated network backbone
completely under DOE control with enhanced cyber resiliency. Funding for the upgrade continues in FY 2020.
The Department recognizes the significant and sustained competition among employers for trained computational
data/network professionals, and the impact of workforce needs on achievement of the accelerated timeline for the deliveryof an exascale system. The Research and Evaluation Prototypes (REP) activity will continue to support, in partnership with
the NNSA, the Computational Sciences Graduate Fellowship at $10,000,000. Experienced computational scientists who
assist a wide range of users in taking effective advantage of DOE’s advanced computing resources are critical assets at boththe LCFs and NERSC. To address this DOE mission need, ASCR continues to support the post-doctoral training program at the
ASCR user facilities for high end computational science and engineering through facilities operations funding. In addition,
the three ASCR HPC user facilities will continue to prepare their users for future architectures through the deployment ofexperimental testbeds.
Exascale Computing
Exascale computing is a central component of a long-term collaboration between the SC’s ASCR program and the NNSA’s
Advanced Simulation and Computing Campaign (ASC) program to maximize the benefits of the Department’s investments,
avoid duplication, and leverage the significant expertise across the DOE complex. The ASCR FY 2020 Request includes$463,735,000 towards SC’s contribution to DOE’s ECI to support the development of an exascale computing software
ecosystem, prepare mission critical applications to address the challenges of exascale, and deploy at least one exascale
system in calendar year 2021 to meet national needs.
Exascale computing systems, capable of at least one billion billion (1 x 1018) calculations per second, are needed to advancescience objectives in the physical sciences, such as materials and chemical sciences, high-energy and nuclear physics,
weather and energy modeling, genomics and systems biology, as well as to support national security objectives and energy
technology advances in DOE. Exascale systems’ computational capabilities are also needed for increasing data-analytic anddata-intense applications across the DOE science and engineering programs and other Federal organizations that rely onlarge-scale simulations, e.g., the Department of Defense and the National Institutes of Health. The importance of exascalecomputing to the DOE science programs is documented in individual requirements reviews for each SC program office.
Because DOE partners with HPC vendors to accelerate and influence the development of commodity parts, the investments
in ECI will impact computing at all scales, ranging from the largest scientific computers and data centers to Departmentscale computing to home computers and laptops and help sustain U.S. leadership in information technology.
The results of Exascale’s previous investments with vendors in the Hardware and Integration focus area were evident in thevendor’s responses to the CORAL (Collaboration of Oak Ridge, Argonne and Livermore) II request for proposals for thesecond and third exascale systems to be sited at Oak Ridge and Lawrence Livermore National Laboratories respectively.
Once the exascale system vendors have been selected, the LCFs will fund NRE activities to fully realize the potential of
Exascale’s vendor investments.
Science/Advanced Scientific Computing Research20

FY 2020 Congressional Budget Justification

Investments in ECI follow the project funding plan and will help to maintain U.S. leadership in HPC into the next generationof exascale computing, which is of critical strategic importance to science, engineering, and national security. The ASCRFY 2020 Request funds two components of the ECI: planning, site preparations, and NRE at the Leadership Computing
Facilities (LCF) to prepare for deployment of at least one exascale system in calendar year 2021, and the ASCR-supported
Office of Science Exascale Computing Project (SC-ECP), first proposed in the FY 2017 Request, which includes the related
R&D activities required to develop exascale-capable computers. The SC-ECP focuses on three areas aimed at increasing theconvergence of big compute and big data, which then creates a holistic exascale HPC ecosystem:

Hardware and Integration: The goal of the Hardware and Integration focus area is to integrate the delivery of SC-ECP
products on targeted systems at leading DOE computing facilities.
Software Technology: The goal of the Software Technology focus area is to produce a vertically integrated software
stack to achieve the full potential of exascale computing, including the software infrastructure to support large data
management and data science for DOE at exascale; andApplication Development: The goal of the Application Development focus area is to develop and enhance the predictive
capability of applications critical to the mission of DOE, which involves working with scientific and data-intensive grandchallenge application areas to address the challenges of extreme parallelism, reliability and resiliency, deep hierarchiesof hardware processors and memory, and scaling to larger systems.

Funding for ECI ($463,735,000) continues application, software, and hardware development in SC-ECP and the site
preparations and NRE activities at the LCFs to support the deployment of an exascale computing system in calendar year
2021 at ANL, followed by a second exascale system with a different advanced architecture at ORNL:

A total of $188,735,000 for the ECP project for the continued preparation of applications, to develop a software stackfor both exascale platforms, and to support co-design centers in preparation for exascale system deployment incalendar year 2021. The final PathForward milestones were funded in FY 2019.
A total of $275,000,000 in LCFs activity to support operations of the ALCF’s Theta system and testbeds, NRE and site
preparation investments at both LCFs to prepare for the deployment of an exascale system. The first exascale system
will be delivered to the ALCF in calendar year 2021 and an additional exascale system, with a different architecture, will
be delivered to the OLCF in the calendar year 2021-2022 timeframe. The deployment of exascale systems to these two
LCFs will occur as part of their usual upgrade processes.

This approach will reduce the project risk.
ASCR supports the following FY 2020 Administration priorities.
FY 2020 Administration Priorities ($K)(dollars in thousands)

Advanced Scientific Computing Research

Science/Advanced Scientific Computing Research

Exascale Computing
Initiative (ECI)

Artificial Intelligence(AI)463,735

36,00021

Quantum
Information Science(QIS)
51,161

FY 2020 Congressional Budget Justification

Advanced Scientific Computing Research
Funding ($K)(dollars in thousands)
FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

Mathematical, Computational, and Computer Sciences Research
Applied Mathematics
Computer Science
Computational Partnerships
SBIR/STTR
Total, Mathematical, Computational, and Computer Sciences Research

34,10429,50849,9104,301
117,823

28,20622,00075,667
4,768
130,641

41,50038,70060,9595,347
146,506+13,294+16,700-14,708+579+15,865

High Performance Computing and Network Facilities
High Performance Production Computing
Leadership Computing Facilities
Research and Evaluation Prototypes
High Performance Network Facilities and Testbeds
SBIR/STTR
Total, High Performance Computing and Network Facilities
Subtotal, Advanced Scientific Computing Research

94,000272,500
24,26079,00017,417487,177
605,000

104,000
339,000
24,45284,00020,701
572,153
702,794

85,000360,000
39,45380,00021,194
585,647
732,153-19,000+21,000+15,001-4,000+493+13,494+29,359

Exascale Computing
17-SC-20 Office of Science Exascale Computing Project (SC-ECP)
Total, Advanced Scientific Computing Research

205,000
810,000

232,706
935,500

188,735
920,888-43,971-14,612SBIR/STTR funding: FY 2018 Enacted: SBIR $19,040,000 and STTR $2,678,000
 FY 2019 Enacted: SBIR $22,329,000 and STTR $3,140,000
 FY 2020 Request: SBIR $23,269,000 and STTR $3,272,000

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FY 2020 Congressional Budget Justification

Advanced Scientific Computing Research
Explanation of Major Changes ($K)

Mathematical, Computational, and Computer Sciences Research
The Computer Science and Applied Mathematics activities will continue to increase their emphasis on the combined challenges ofincreasingly heterogeneous architectures, and the changing ways in which HPC systems are used—incorporating machine learning (ML) andartificial intelligence (AI) into simulations and data intensive applications while increasing greater connectivity with distributed systems andresources including other SC user facilities. The Computational Partnerships activity will continue to infuse the latest developments inapplied math and computer science, particularly in the areas of AI and ML, into the strategic applications of the SC to get the most out of theleadership computing systems. These efforts will be forward funded for two years in FY 2019. In addition, the Computational Partnerships
activity will continue investments in new algorithms and applications focused on both artificial intelligence and on future computing
technologies such as QIS, in partnership with BES, Biological and Environmental Research (BER), High Energy Physics (HEP), and Nuclear
Physics (NP). Increases in Computer Science for quantum information networks will focus on addressing new opportunities and challenges oftransporting and storing quantum information.

(dollars in thousands)
FY 2020 Request vsFY 2019 Enacted+15,865

High Performance Computing and Network Facilities
Increased facilities funding continues site preparations and NRE activities to deploy an exascale system at the ALCF in calendar year 2021 andfor an exascale system at the OLCF, that is architecturally distinct from the ALCF system, to be deployed in the calendar year 2021-2022
timeframe. Both facilities will provide testbed resources to the SC-ECP to test and scale application codes and continuously test and deploy
software technologies. In addition, funding supports the final site and early application preparations for NERSC-9 and supports the ESnet-6
upgrade to significantly increase capacity and security at all DOE sites. Funding also supports operations, including increased power costs,
equipment, staffing, planning, and long lead site preparations at ASCR’s facilities.

+13,494

Exascale Computing
The FY 2020 Request will support efforts in the SC-ECP for the continuation of co-design efforts in application and software development for
both planned exascale architectures and partnerships with the ASCR facilities that are providing resources for continuous integration andtesting of exascale-ready software. The decrease represents completion of ASCR supported vendor partnerships with the six computer
vendors to develop critical technologies, such as interconnects, processors and memory, needed for the exascale system.

-43,971

Total, Advanced Scientific Computing Research-14,612

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FY 2020 Congressional Budget Justification

Basic and Applied R&D Coordination
Coordination across disciplines and programs is a cornerstone of the ASCR program. Partnerships within SC are mature andcontinue to advance the use of HPC and scientific networks for science. New partnerships with other SC Programs havebeen established in QIS; and the DOE activities in AI and QIS are coordinated with other agencies through the National
Science and Technology Council (NSTC). There are growing areas of collaboration in the area of data-intensive science, AI,
and readying applications for exascale. ASCR continues to have a strong partnership with NNSA for achieving the
Department’s goals for exascale computing. In April 2011, ASCR and NNSA strengthened this partnership by signing amemorandum of understanding for collaboration and coordination of exascale research within the Department. Throughthe National Information Technology R&D Subcommittee of the NSTC Committee on Technology, the interagency
networking and information technology R&D coordination effort, ASCR also coordinates with programs across the Federal
Government. In FY 2020, cross-agency interactions and collaborations will continue in coordination with the Office of
Science and Technology Policy.
Program Accomplishments
Re-establishing U.S. pre-eminence in High Performance Computing. In June 2018, the Oak Ridge Leadership Computing
Facility’s Summit system reclaimed the top spot for the U.S. in the global “Top 500” list of high performance computing
systems and held the top spot in the November list, which included five DOE systems among the top ten. Two DOE teams
shared the prestigious Gordon Bell prize in 2018 for outstanding achievement in high-performance computing using theSummit system—a seven-member team affiliated with ORNL was recognized for their paper “Attacking the Opioid Epidemic:
Determining the Epistatic and Pleiotropic Genetic Architectures for Chronic Pain and Opioid Addiction,” and a 12-member
team affiliated with the LBNL was recognized for their paper “Exascale Deep Learning for Climate Analytics.”
ECP PathForward Element Drives Translational U.S. HPC Vendor Research into Exascale Platform Offerings. As evidenced by
CORAL II vendor platform offerings, ECP is successfully influencing leading U.S. computing companies to maintain focus on
designing and building far more powerful and balanced computers for DOE simulation workloads in spite of a strong market
pull away from serving simulation workloads. This was achieved through sustained investments and management by DOE
through a partnership between NNSA/ASC and SC/ASCR in processor, memory system, and interconnect R&D (FastForward,
DesignForward, and now ECP’s PathForward). ECP provides a path for continued American leadership in simulation even in
the face of substantial market and technical challenges.
Launching the Exascale area. ORNL researchers broke the Exascale barrier, achieving a peak throughput of 1.88 exaops with
mixed precision—faster than any previously reported science application—while analyzing genomic data on the recently
launched Summit supercomputer. The ORNL team achieved the feat, the equivalent to carrying out nearly two billion
calculations per second, by using a mixture of numerical precisions. Traditionally, scientific computing has relied on doubleprecision floating point operations. However, interest in reduced numerical precision has grown in recent years due to
breakthroughs in artificial intelligence and machine learning. The ORNL researchers were able to implement high-speed
single- and half-precision operations with the comparative genomics application Combinatorial Metrics (CoMet) on
Summit’s state-of-the-art architecture. Doing so allowed the team to achieve more than a 25-fold code speedup comparedto runs conducted on the OLCF’s previous leadership-class supercomputer Titan. Exascale-level performance allowed theresearchers to analyze datasets composed of millions of genomes—a size that was previously impossible—and study
variations between all possible combinations of two or three alleles at a time. Scientists can use this information to uncoverhidden networks of genes in plants and animals that contribute to observable traits, such as biomarkers for droughtresistance in plants or disease in humans. In this demonstration, the ORNL team was able to discover key regulatory genes
in plant cell walls that could be manipulated to enhance biofuels and other bioproducts. This team is also contributing to ahuman health application, in partnership with Department of Veteran Affairs (VA) researchers, which is a finalist for the2018 Gordon Bell prize.
Leveraging HPCs to advance Scientific Machine Learning. Scientific data often looks very different from the data used in
artificial intelligence applications. Developing the right artificial neural network can take months of handcrafting for experts
and can feel like an impossible guessing game for non-experts. To expand the benefits of deep learning for science,researchers need new tools to build high-performing neural networks that don’t require specialized knowledge. Byleveraging the GPU computing power of the OLCF, an ORNL team has developed an evolutionary algorithm capable of autogenerating networks quickly, in a matter of hours as opposed to the months needed using conventional methods. The
research team’s algorithm, called MENNDL (Multinode Evolutionary Neural Networks for Deep Learning), is designed toevaluate, evolve, and optimize neural networks for unique datasets. Scaled across the OLCF Titan’s 18,688 GPUs, MENNDL
Science/Advanced Scientific Computing Research
FY 2020 Congressional Budget Justification24

can test and train thousands of potential networks for a science problem simultaneously, eliminating poor performers andaveraging high performers until an optimal network emerges. The process eliminates much of the time-intensive, trial-anderror tuning traditionally required of machine learning experts. One science domain in which MENNDL is already proving its
value is neutrino physics. Neutrinos, ghost-like particles that pass through your body at a rate of trillions per second, could
play a major role in explaining the formation of the early universe and the nature of matter—if only scientists knew more
about them. The MENNDL team is working with scientists from DOE’s Fermi National Accelerator Laboratory (Fermilab) tointegrate neural networks into the classification and analysis of detector data. The work could improve the efficiency ofsome measurements, help physicists understand how certain they can be about their analyses, and lead to new avenues ofinquiry. In addition to improved physics measurements, the results could provide insight into how and why machines learn–
accelerating the pace of progress in scientific applications of artificial intelligence.
First simulation of an atomic nucleus using a quantum computer. Quantum computing, in which computations are carriedout using uniquely quantum mechanical properties of matter, has great promise for simulating physical systems that are notaccessible to conventional supercomputers. A multidisciplinary team led by scientists at ORNL took a significant step
towards realizing that promise by performing the first successful simulation of an atomic nucleus using a quantum
computer. The team developed a new quantum algorithm to simulate the deuteron–a proton bound to a neutron –and ran
the algorithm on two different quantum computers, performing over 700,000 quantum measurements in the process. The
algorithm is expected to scale up to larger and more complex atomic nuclei. This exciting new result was achieved by acollaboration between the Quantum Algorithms and Quantum Testbeds teams funded by ASCR in FY 2017 as well as the
NUCLEI Scientific Discovery through Advanced Computing (SciDAC)-4 team, and leverages decades of built-up expertise innuclear physics at ORNL and the University of Washington.
Accelerating Discovery of New Materials for dye-sensitized solar cells. Buildings consume an estimated 40 percent of energy
used in the United States—a burden that also represents a renewable energy opportunity. Solar-powered windows,
equipped with dye-sensitized solar cells, provide an innovative technology for generating electricity in a sustainable,
environmentally friendly fashion. This type of solar cell is a promising alternative to today’s solar cells made with rare earth
metals that are scarce, cost prohibitive, and not environmentally sustainable. A research team from the University ofCambridge and Argonne National Laboratory is using supercomputers at the Argonne Leadership Computing Facility to
combine advanced data mining techniques with machine learning and computational modeling to identify new materials
with optimal properties for dye-sensitized solar cells. This approach has allowed the researchers to narrow a list of 9,000
potential materials down to six promising candidates. The team has collaborated with chemists from around the world tosynthesize the six dye materials. The researchers are now working to optimize experimental conditions for solar cell device
fabrication and testing. Initial experiments with the synthesized materials have yielded promising photovoltaic properties.
Convergence of big data with big compute to understand how the universe operates. NOvA, the world’s longest-baseline
neutrino experiment, was designed to discover more about neutrinos, ghostly yet abundant particles that travel throughmatter mostly without leaving a trace, to answer questions about how the universe operates. NOvA, in partnership with
SciDAC, HEPcloud, and the National Energy Research Scientific Computing Center (NERSC) used over 35 million computing
cores, or CPUs over approximately 54 hours to conduct the largest-scale analysis ever to support the recent evidence ofantineutrino oscillation, a phenomenon that may hold clues to how our universe evolved. Although NERSC is located over
2,000 miles away from the NOvA experimental facility, researchers were able to enable near-real time analysis of timesensitive science at rates 50 times faster than what was previously possible. Without the NERSC resources and SciDAC
partnership, the NOvA collaboration could not have turned around results as quickly.
Data-driven visualization of large power grids. Driven by the emerging industry needs, electric utilities and grid coordination
organizations are eager to seek advanced tools to assist grid operators and analysts to perform mission-critical tasks andenable them to make quick and accurate decisions. Traditionally, visualization of power grids heavily relies on humandesigners. Building and maintaining the visualization displays, however, is a very labor-intensive and error-prone process.
Furthermore, the legacy approach restricts the visualization process to follow a limited number of pre-defined patterns
created by human designers, thus hindering users’ ability to discover. To overcome these shortcomings, researchers at
Power Info LLC have developed a data-driven approach for visualization of large power grids with funding provided throughthe Small Business Innovation Research (SBIR) program. The developed data-driven visualization algorithm uses empiricallyor mathematically derived data to formulate visualizations on-the-fly. The resulting visual presentations emphasize what thedata is rather than how the data should be presented, thus fostering comprehension and discovery. The software tool
resulting from this research is now being leveraged by more than 70 utility organizations in North America and Europe. For
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FY 2020 Congressional Budget Justification25

example, Dominion Virginia Power used the tool, combining artificial intelligence and human’s natural intelligence, to autogenerate a large number of high-quality visualization displays at a fraction of the traditional cost. Work that used toconsume more than six months for two full-time employees was completed by a college intern within a month with noerrors. The end-users concluded that the delivered solution saved operational costs and reduced human errors.
Most Detailed 3-D Map of Earth’s Interior. Using advanced modeling and simulation, seismic data generated by earthquakes,
and OLCF’s Titan, a team led by Princeton University has created the most detailed 3-D picture of Earth’s interior showing
the entire globe from the surface to the core–mantle boundary, a depth of 1,800 miles. This first global seismic model
where no approximations were used to simulate how seismic waves travel through the Earth marked a milestone for theseismology community. The model was created using seismic tomography, which is based on combining many seismograms.
In the past, seismic tomography techniques have been limited in the amount of seismic data they could use. Traditional
methods forced researchers to make approximations in their wave simulations and restrict observational data. The novel
approach used in this study allowed researchers to use the entire dataset. Getting the most out of this data required arobust automated workflow. To improve data movement and flexibility on large-scale parallel computing resources, incollaboration with the OLCF staff, the team developed a superior file format called the Adaptable Seismic Data Format(ASDF) that leverages the Adaptable I/O System (ADIOS) parallel library, long supported by ASCR’s computer science andSciDAC programs. As part of the OLCF’s Center for Accelerated Application Readiness, the team is currently preparing to run
further simulations on Summit to be able to image the entire globe from crust all the way down to Earth’s center, including
the core.

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Advanced Scientific Computing Research
Mathematical, Computational, and Computer Sciences Research
Description
The Mathematical, Computational, and Computer Sciences Research subprogram supports research activities to effectively
meet the Office of Science high performance computing (HPC) mission needs, including both data intensive andcomputationally intensive science. Computational science is central to progress at the frontiers of science and to our mostchallenging engineering problems. The Computer Science and Applied Mathematics activities in ASCR provide thefoundation for increasing the capability of the national HPC ecosystem by focusing on long-term research to develop
software, algorithms, and methods that anticipate future hardware challenges and opportunities as well as science
application needs. ASCR partnerships and coordination with industry are essential to these efforts. ASCR partnerships withdisciplinary science deliver some of the most advanced scientific computing applications in areas of strategic importance to
SC. Scientific software often has a lifecycle that spans decades—much longer than the average HPC system. Research efforts
must therefore anticipate changes in hardware as well as application needs over the long term. ASCR’s partnerships withvendors and discipline sciences are critical to these efforts. Accordingly, the subprogram delivers:







new mathematics and algorithms required to more accurately model systems involving processes taking placeacross a wide range of time and length scales and incorporate machine learning techniques into computational
simulations;the software needed to support DOE mission applications, including new paradigms of data-intensive applications
and machine learning, on current and increasingly more heterogeneous future systems;
insights about computing systems and workflow performance and usability leading to more efficient andproductive use of computing, storage and networking resources;
collaboration tools and partnerships to make scientific resources readily available to scientists in university,
national laboratory, and industrial settings; andlong-term, basic research on future computing technologies with relevance to the DOE mission.

Applied Mathematics
The Applied Mathematics activity supports basic research leading to fundamental mathematical advances andcomputational breakthroughs across DOE and SC missions. Basic research in scalable algorithms, multiscale modeling,artificial intelligence, and efficient data analysis underpin all of DOE’s computational and data-intensive science efforts.
More broadly, this activity includes support for foundational research in problem formulation, multiscale modeling andcoupling, mesh discretization, time integration, advanced solvers for large-scale linear and nonlinear systems of equations,
methods that use asynchrony or randomness, uncertainty quantification, and optimization. Forward-looking efforts by thisactivity anticipate DOE mission needs from the closer coupling and integration of scientific data with advanced computing
and machine learning, and for enabling greater capabilities for scientific discovery, design, and decision-support.
Computer Science
The Computer Science research program supports basic research that enables computing and networking at extreme scales
and the understanding of extreme scale, or complex data from both simulations and experiments. Through thedevelopment of adaptive software tools, it aims to make high performance scientific computers and networks highly
productive and efficient to solve scientific challenges while attempting to reduce domain science application complexity asmuch as possible. ASCR-supported activities are entering a new paradigm driven by sharp increases in the heterogeneityand complexity of computing systems and the need to seamlessly and intelligently integrate simulation, data analysis, andother tasks into coherent and usable workflows.
The Computer Science activity supports long-term, basic research on the software infrastructure that is essential for theeffective use of the most powerful high performance computing systems in the country, tools to manage and analyze data at
scale, and cybersecurity innovation that can enable the scientific integrity of extreme scale computation, networks, andscientific data. ASCR Computer Science plays the role of reducing risk when industry does not invest in the specialized
software required for future Leadership Computers. Supercomputer vendors often take software developed with ASCR
Computer Science investments and integrate it with their own software.

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FY 2020 Congressional Budget Justification

Computational Partnerships
The Computational Partnerships activity primarily supports the SciDAC program, which accelerates progress in scientificcomputing through partnerships among applied mathematicians, computer scientists, and scientists in other disciplines.
SciDAC focuses on the high-end of high-performance computational science and engineering and addresses two challenges:
to broaden the community and thus the impact of HPC, particularly to address the Department’s missions, and to ensurethat progress at the frontiers of science is enhanced by advances in computational technology, most pressingly, theemergence of the hybrid and many-core architectures and machine learning techniques. SciDAC partnerships enable
scientists to conduct complex scientific and engineering computations on leadership-class and high-end computing systems
at a level of fidelity needed to simulate real-world conditions. The SciDAC institutes bridge core research efforts inalgorithms, methods, software, and tools with the need of the SciDAC applications supported in partnership with the other
SC programs.
The Computational Partnerships activity also supports critical partnerships in the areas of data analysis and futurecomputing. Collaboratory and data analysis partnerships enable large distributed research teams to share data and develop
tools for real-time analysis of the massive data flows from SC scientific user facilities, as well as the R&D of software to
support a distributed data and computing environment. Interdisciplinary teams in partnership with BES, BER, HEP, and NP
enable development of new algorithms and applications targeted for future computing platforms, including quantum
information systems.

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FY 2020 Congressional Budget Justification

Advanced Scientific Computing Research
Mathematical, Computational, and Computer Sciences Research
Activities and Explanation of Changes
Explanation of Changes
FY 2020 Request vs FY 2019 Enacted

FY 2019 Enacted

FY 2020 Request

Mathematical, Computational, andComputer Sciences Research$130,641,000
Applied Mathematics$28,206,000
Applied Mathematics continues its core programs in
new algorithmic techniques and strategies that extractscientific advances and engineering insights frommassive data for DOE missions. Applied Mathematics
also continues to focus on the development ofadaptive algorithms and machine learning inrecognition of the increased interest in thesetechnologies across SC application areas.

$146,506,000$41,500,000
Applied Mathematics will continue its core programsin new algorithmic techniques and strategies thatextract scientific advances and engineering insightsfrom massive data for DOE missions. Applied
Mathematics will increase investments in research todevelop foundational capabilities in scientific AI andML.

+$15,865,000+$13,294,000
Support for the core programs continues with anincreased focus on investments in the mathematicalfoundational of AI, such as uncertainty quantificationand optimization needed to develop reliablepredictive models.

Computer Science$22,000,000
Computer Science continues efforts to develop
software, new programming models, new operating
systems, and continued efforts to promote ease ofuse. In addition, efforts in quantum networking,transferred from the Next Generation Networking for
Science activity, continue, sustained at FY 2018 levels.
In addition, there is also an emphasis on preparing forthe “extremely heterogeneous” post-exascale era.

$38,700,000
Computer Science will continue to address the
combined challenges of increasingly heterogeneousarchitecture, and the changing ways in which HPC
systems are used—incorporating more data intensive
applications and greater connectivity with distributed
systems and resources including other Office of
Science user facilities. The Request expands efforts inquantum networking.

+$16,700,000
Support for the core program continues with anincreased focus on incorporating AI and ML learning
into data analytics software from networking to
HPCs. Increases also support expansion of thequantum networking activity.

Computational Partnerships$75,667,000
In addition to continued support for the SciDAC
institutes and partnerships awarded in FY 2017FY 2018, this activity increases efforts in QIS in
partnership with the other SC programs, and efforts tobring the power of HPC to data intensive science.

$60,959,000
In addition to continued support for the SciDAC
institutes and partnerships awarded in FY 2017-18,
this activity will maintain efforts in QIS in partnershipwith the other SC programs, and efforts to bring thepower of HPC to data intensive science.

-$14,708,000
Two year AI partnerships with other Office of Science
programs were forward funded in FY 2019; therefore,
funding is not needed for this effort in FY 2020. The
SciDAC Institutes will be recompeted and refocusedon introducing new AI and ML algorithms and tools.
Quantum algorithm partnerships will be re-competed
as part of the proposed QIS Centers.

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FY 2020 Congressional Budget Justification

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted
SBIR/STTR$4,768,000$5,347,000+$579,000
In FY 2019, SBIR/STTR funding is set at 3.65% of nonIn FY 2020, SBIR/STTR funding is set at 3.65% of non- Funding changes are the direct result of increases incapital funding.
capital funding.
the non-capital budget request.
FY 2019 Enacted

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FY 2020 Request

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FY 2020 Congressional Budget Justification

Advanced Scientific Computing ResearchHigh Performance Computing and Network Facilities
Description
The High Performance Computing and Network Facilities subprogram supports the operations of forefront computationaland networking user facilities to meet critical mission needs. ASCR operates three high performance computing (HPC) user
facilities: the National Energy Research Scientific Computing Center (NERSC) at Lawrence Berkeley National Laboratory(LBNL) provides high performance computing resources and large-scale storage to a broad range of SC researchers; and thetwo Leadership Computing Facilities (LCFs) at ORNL and ANL provide leading-edge high performance computing capability
to the U.S. research and industrial communities. ASCR’s high performance network user facility, ESnet, delivers highly
reliable data transport capabilities optimized for the requirements of large-scale science. Finally, operations of thesefacilities also includes investments in upgrades, including electrical and mechanical system enhancements, to ensure eachremains state-of-the-art and can install future systems.
The Research and Evaluation Prototypes (REP) activity investigates next-generation computing systems. By actively
partnering with the research community, including industry and other Federal agencies, to explore next-generation
computing platforms, ASCR ensures they will serve the needs of the scientific community. Conversely, the REP activity
prepares researchers to effectively use future computing platforms. Through these efforts the REP activity mitigatesstrategic risk. In addition, the REP activity supports DOE workforce needs through the Computational Sciences Graduate
Fellowship, which prepares the next generation of computational scientists and engineers to work on advanced computing
systems.
ASCR regularly gathers requirements from the other SC research programs through formal processes to inform upgradeplans. These requirements activities are also vital to planning for SciDAC and other ASCR research efforts to prioritize
research directions and inform the community of new computing trends, especially as the computing industry moves
toward exascale computing. Allocation of computer time at ASCR facilities follows the peer-reviewed and public-accessmodel used by other SC scientific user facilities. To help address the workforce issues at the ASCR facilities, each facility
established a postdoctoral training program in FY 2015 for high-end computational science and engineering. These
programs teach PhD scientists with limited experience in HPC the skills to be computational scientists adept at using highperformance production and leadership systems.
High Performance Production ComputingThis activity supports NERSC at LBNL to deliver high-end production computing services for the SC research community.
Approximately 7,000 computational scientists conducting about 700 projects use NERSC annually to perform scientificresearch across a wide range of disciplines including astrophysics, chemistry, earth systems modeling, materials, high energy
and nuclear physics, fusion energy, and biology. NERSC users come from nearly every state in the U.S., with about 49%
based in universities, 46% in DOE laboratories, and 5% in other government laboratories and industry. NERSC’s large anddiverse user population ranges from experienced to neophyte. NERSC aids users entering the HPC arena for the first time, as
well as those preparing leading-edge codes that harness the full potential of the machine.
NERSC currently operates the 30 pf Intel/Cray system (Cori). NERSC is a vital resource for the SC research community and isconsistently oversubscribed, with requests exceeding capacity by a factor of 3–10. This gap between demand and capacity
exists despite upgrades to the primary computing systems approximately every three to five years.
Leadership Computing Facilities
The LCFs enable open scientific applications, including industry applications, to harness the potential of leadershipcomputing to advance science and engineering. The success of this effort is built on the gains made in REP and ASCR
research efforts. Another LCF strength is the staff, who operate and maintain the forefront computing resources and provide
support to Innovative and Novel Computational Impact on Theory and Experiment (INCITE) projects, ASCR Leadership
Computing Challenge (ALCC) projects, scaling tests, early science applications, and tool and library developers. LCF staff
experience is critical to the success of industry partnerships to address the challenges of next-generation computing.
The Oak Ridge Leadership Computing Facility (OLCF) at ORNL currently operates testbeds in support of ECI and the 200 pf
IBM/NVIDIA system (Summit), which achieved the global number one ranking as the world’s fastest system in June 2018.
Early science applications at Summit include: large eddy simulation of turbulent combustion in complex geometries,
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FY 2020 Congressional Budget Justification31

quantum Monte Carlo simulations for the study and prediction of materials properties, heavy element chemistry, models of
astrophysical explosions, dynamical simulations of magnetic fields in high-energy-density plasmas, molecular design of nextgeneration nanochemistry for atomically precise manufacturing, simulation of cellular and neural signaling, simulations ofneutron transport in fast-fission reactor cores, and earthquake simulations. OLCF staff shares its expertise with industry to
broaden the benefits of petascale computing for the nation. For example, OLCF works with industry to reduce the need forcostly physical prototypes and physical tests in the development of high-technology products. These efforts often result in
upgrades to in-house computing resources at U.S. companies. Also, the OLCF is preparing to deploy an exascale system inthe calendar year 2021-2022 timeframe.
The Argonne Leadership Computing Facility (ALCF) at ANL operates an 8.5 pf Intel/Cray system (Theta) and testbeds toprepare their users and SC-ECP applications and software technology for the ALCF-3 upgrade in calendar year 2021. The
ALCF-3 system, which will be the Department’s first exascale system when deployed in calendar year 2021, is being designed
to support the largest-scale computational simulations possible as well as large-scale analytics and machine learning. The
ALCF and OLCF systems are architecturally distinct, consistent with DOE’s strategy to foster diverse capabilities that provide
the Nation’s HPC user community with the most effective resources. ALCF supports many applications, including molecular
dynamics and materials, for which it is better suited than OLCF or NERSC. Through INCITE, ALCF also transfers its expertise toindustry, for example, helping scientists and engineers to understand the fundamental physics of turbulent mixing totransform product design and to achieve improved performance, lifespan, and efficiency of aircraft engines. The demand for2018 INCITE allocations at the LCFs outpaced the available resources by more than a factor of two.
Research and Evaluation Prototypes
REP has a long history of partnering with U.S. vendors to develop future computing technologies and testbeds that push thestate-of-the-art and enabled DOE researchers to better understand the challenges and capabilities of emerging
technologies. This activity supports testbeds for next-generation systems and for future computing technologies beyond
Moore’s law, specifically in the area of quantum computing testbeds and emulators.
In addition, this activity partners with the NNSA on the Computational Sciences Graduate Fellowship (CSGF).
High Performance Network Facilities and Testbeds
The Energy Sciences Network (ESnet) is the Office of Science’s high performance network user facility, delivering highly
reliable data transport capabilities optimized for the requirements of large-scale science. In essence, ESnet is the circulatory
system that enables the DOE science mission. ESnet currently maintains one of the fastest and most reliable science
networks in the world with a 100 gigabit per second (Gbps) “backbone” network that spans the continental United States
and the Atlantic Ocean. ESnet interconnects DOE’s national laboratory system, dozens of other DOE sites, and approximately
200 research and commercial networks around the world—enabling tens of thousands of scientists at DOE laboratories andacademic institutions across the country to transfer vast data streams and access remote research resources in realtime. ESnet also supports the data transport requirements of all SC user facilities. ESnet’s traffic continues to growexponentially—roughly 66% each year since 1990—a rate more than double the commercial internet. Costs for ESnet are
dominated by operations and maintenance, including continual efforts to maintain dozens of external connections,benchmark future needs, expand capacity, and respond to new requests for site access and specialized services. As a user
facility, ESnet engages directly in efforts to improve end-to-end network performance between DOE facilities and U.S.
universities. ESnet is recognized as a global leader in innovative network design and operations, and is heavily engaged inplanning a complete upgrade of its backbone network (the ESnet-6 upgrade).

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32

FY 2020 Congressional Budget Justification

Advanced Scientific Computing ResearchHigh Performance Computing and Network Facilities
Activities and Explanation of Changes
FY 2019 Enacted
High Performance Computing and
Network Facilities$572,153,000
High Performance Production
Computing$104,000,000
Support continues for operations and user support at
the NERSC facility–including power, space, leases andstaff. Funding also supports site preparation activities
for the NERSC-9 upgrade, such as increased powerand cooling capacity, and NRE efforts to ensure the
new computing system meets the needs of thediverse NERSC user community.

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted

FY 2020 Request$585,647,000+$13,494,000$85,000,000-$19,000,000
Support will continue operations and user support at Decrease reflects the completion of many site
the NERSC facility–including power, space, leases and preparation activities for deployment of NERSC-9 instaff. Funding will also support site preparation
early FY 2021.
activities for the NERSC-9 upgrade, such as increased
power and cooling capacity.

Leadership Computing Facilities$339,000,000
ANL Leadership Computing Facility$140,000,000
ORNL Leadership Computing Facility$199,000,000
Support continues for operations and user support at
the LCF facilities–including power, space, leases, andstaff. Long-lead site preparations for planned
upgrades, such as increased power and cooling
capacity and significant NRE efforts, are supported.

$360,000,000+$21,000,000$150,000,000+$10,000,000$210,000,000+$11,000,000
Support will continue operations and user support at Support is increased for final site preparations inside
the LCF facilities–including power, space, leases, andthe computer facilities for the planned deployment ofstaff. Long-lead site preparations for plannedexascale systems and for the final NRE efforts.
upgrades, such as increased power and cooling
capacity and significant NRE efforts and testbeds, will
also be supported.

The OLCF continues the operation and allocation of
Summit while decommissioning Titan. In support of
ECP, the OLCF provides access to Summit for theapplication and software projects to scale and test
their codes. The OLCF also continues activities toenable deployment of an exascale system in thecalendar year 2021-2022 timeframe under the CORALII.

The OLCF will continue operation and allocation of
Summit. In support of ECP, the OLCF will provide
access to Summit and other testbeds for theapplication and software projects to scale and test
their codes. The OLCF will also continue activities toenable deployment of an exascale system in thecalendar year 2021-2022 timeframe under the CORAL
II.

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33

FY 2020 Congressional Budget Justification

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted

FY 2019 Enacted

FY 2020 Request

The ALCF continues the operation of Theta. The ALCF
continues site preparations and significant NRE efforts
to deploy a novel architecture capable of delivering
more than an exaflop of computing capability in the2021 timeframe as part of ECI. In addition, the ALCF is
procuring a large developmental testbed to test
activities from NRE investments and to provide ECP
applications and software technology projects to test
their codes.

The ALCF will continue operation of Theta andtestbeds that will be deployed in FY 2019 to support
SC-ECP. The ALCF will continue site preparations andsignificant NRE efforts to deploy a novel architecture
capable of delivering more than an exaflop ofcomputing capability in the calendar year 2021
timeframe as part of ECI, while decommissioning
MIRA.

Research and Evaluation Prototypes$24,452,000
The Enacted budget provides continued support for
the CSGF fellowship at $10,000,000 in partnershipwith the NNSA to increase availability of a trained
workforce for exascale and beyond Moore’s Law
capabilities. In addition, funding provides continued
support for quantum testbed efforts to provide
resources for the researchers supported through thequantum information science partnerships with theother SC programs.

$39,453,000+$15,001,000
The Request will maintain support for the CSGF
Increase supports new at least one new QIS center in
fellowship at $10,000,000 in partnership with thepartnership with BES and HEP.
NNSA to increase availability of a trained workforce
for exascale and beyond Moore’s Law capabilities. In
addition, funding will provide continued support forquantum testbed efforts to provide resources for the
researchers supported through the quantum
information science partnerships with the other SC
programs.

High Performance Network Facilities
and Testbeds (ESnet)$84,000,000
The Enacted budget supports operations of the ESnet
at 99.999% reliability. In addition, funding supports
the ESnet-6 upgrade to increase network capacity andmodernize the network architecture.

$80,000,000
The Request will support operations of the ESnet at
99.999% reliability. In addition, funding will support
the ESnet-6 upgrade to increase network capacity andmodernize the network architecture.

-$4,000,000
The decrease reflects the execution of several
significant long-lead procurement contracts for the
ESnet-6 upgrade in FY 2019 and therefore fewer
funding requirements in FY 2020.

SBIR/STTR$20,701,000$21,194,000+$493,000
In FY 2019, SBIR/STTR funding is set at 3.65% of non- In FY 2020, SBIR/STTR funding is set at 3.65% of non- Funding changes are the direct result of increases incapital funding.
capital funding.
the non-capital budget request.

Science/Advanced Scientific Computing Research34

FY 2020 Congressional Budget Justification

Advanced Scientific Computing Research
Exascale Computing
Description
SC and NNSA will continue to execute the Exascale Computing Initiative (ECI), which is an effort to develop and deploy an
exascale-capable computing system with an emphasis on sustained performance for relevant applications and analytic
computing to support DOE missions.
The Office of Science Exascale Computing Project (SC-ECP) captures the research aspects of ASCR’s participation in the ECI,
to ensure the hardware and software R&D, including applications software, for an exascale system is completed in time tomeet the scientific and national security mission needs of DOE in calendar year 2021. The deployment of these systems,
funded under ECI, includes necessary site preparations and NRE at the Leadership Computing Facilities that will ultimately
house and operate the exascale systems. The ECI will execute a program, jointly between SC and NNSA, to develop anddeploy an exascale-capable computing system with an emphasis on sustained performance for relevant applications andanalytic computing to support DOE missions.
The SC-ECP is managed following the principles of DOE Order 413.3B, tailored for this fast-paced research effort and similar
to that which has been used by SC for the planning, design, and construction of all of its major computing projects, including
the LCFs at ANL and ORNL and NERSC at LBNL.
Overall project management for the SC-ECP is conducted via a Project Office established at ORNL because of its considerable
expertise in developing computational science and engineering applications; in managing HPC facilities, both for the
Department and for other federal agencies; and experience in managing distributed, large-scale projects, such as theSpallation Neutron Source project. A Memorandum of Agreement is in place between the six DOE national laboratories
participating in the SC-ECP: LBNL, ORNL, ANL, Lawrence Livermore National Laboratory (LLNL), Los Alamos National
Laboratory (LANL) and Sandia National Laboratories (SNL). The Project Office at ORNL is executing the project andcoordinating among partners.
The FY 2020 Request includes $188,735,000 for the SC-ECP. These funds will support the preparation of mission criticalapplications and the development of a software stack for exascale platforms. Funding will also support additional co-design
centers. Funding for the final vendor PathForward milestones ended in FY 2019. The results of the PathForward investments
were evident in the vendor’s responses to the CORAL II request for proposals. Once the exascale system vendors have been
selected, the LCFs will increase investments through NRE funding to fully realize the potential of the PathForward
investments. Thus, the PathForward investments will no longer be needed. Deployment of exascale systems will be throughthe LCFs as part of their usual upgrade processes.

Science/Advanced Scientific Computing Research

35

FY 2020 Congressional Budget Justification

Advanced Scientific Computing Research
Exascale Computing
Activities and Explanation of Changes
FY 2019 Enacted

FY 2020 Request

Construction$232,706,000 a$188,735,000
17-SC-20 Office of Science ExascaleComputing Project (SC-ECP)$232,706,000$188,735,000
Funding continues the acceleration of application and The Request will provide funding for the acceleration
software stack development in preparation for delivery of application and software stack development inof an exascale system in 2021.
preparation for delivery of the first exascale system incalendar year 2021.

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted-$43,971,000-$43,971,000
Decreases in funding represent completion of ASCR
supported vendor partnerships while continuing
investments in applications and partnerships with
ASCR’s facilities to continuously develop, integrate
and test the ECI software stack in preparation for thedelivery of the two exascale systems in the calendar
year 2021–2022 timeframe.

a In addition, $240,000,000 of ECI funding is provided within the Leadership Computing Facilities activity in FY 2019 and $275,000,000 is requested in FY 2020 to begin planning, non-recurring engineering, andsite preparations for at least one exascale system to be delivered in calendar year 2021.

Science/Advanced Scientific Computing Research

36

FY 2020 Congressional Budget Justification

Advanced Scientific Computing Research
Capital Summary ($K)

Capital Operating Expenses Summary
Capital equipment
Total, Capital Operating Expenses

Total

Prior Years

N/A
N/A

N/A
N/A

(dollars in thousands)
FY 2018
FY 2019
EnactedEnactedFY 2020
RequestFY 2020 Request vsFY 2019 Enacted

5,000
5,000

5,000
5,000

—
—

(dollars in thousands)
FY 2018
FY 2019
EnactedEnactedFY 2020
RequestFY 2020 Request vsFY 2019 Enacted

5,000
5,000

—
—

10,00010,000Capital Equipment ($K)

Capital Equipment
Total, Non-MIE Capital Equipment
Total, Capital Equipment

Total

Prior Years

N/A
N/A

N/A
N/A

10,00010,000

5,000
5,000

Funding Summary ($K)(dollars in thousands)

Research
Facility operations
Total, Advanced Scientific Computing Research

Science/Advanced Scientific Computing Research

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

364,500
445,500
810,000

408,500
527,000
935,500

395,888525,000
920,888

37

FY 2020 Request vsFY 2019 Enacted-12,612-2,000-14,612FY 2020 Congressional Budget Justification

Advanced Scientific Computing Research
Scientific User Facility Operations ($K)
The treatment of user facilities is distinguished between two types: TYPE A facilities offer users resources dependent on a single, large-scale machine;
TYPE B facilities 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 FACILITIESNERSC
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours

FY 2018 Enacted

FY 2018 Current

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted$94,000
6,000
N/A
8,585
8,585
99%
1%

$94,000
7,449
8,485
8,585
8,585
99%
1%

$104,000
7,500
N/A
8,585
8,585
N/A
N/A

$85,000
7,500
N/A
8,585
8,585
N/A
N/A

-$19,000
—
N/A
—
—
N/A
N/A

Science/Advanced Scientific Computing Research

38

FY 2020 Congressional Budget Justification

(dollars in thousands)
FY 2018 Enacted

FY 2018 Current

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

OLCF
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$162,500
1,064
N/A
7,008
7,008
>99%
<1%

$162,500
1,444
6,896
7,008
7,008
98%
2%

$199,000
1,450
N/A
7,008
7,008
N/A
N/A

$210,000
1,450
N/A
7,008
7,008
N/A
N/A

+$11,000
—
N/A
—
—
N/A
N/A

ALCF
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$110,000
1,434
N/A
7,008
7,008
>99%
<1%

$110,000
954
6,980
7,008
7,008
99%
1%

$140,000
950
N/A
7,008
7,008
N/A
N/A

$150,000
950
N/A
7,008
7,008
N/A
N/A

+$10,000
—
N/A
—
—
N/A
N/A

ESnet
Number of users aAchieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$79,000
N/A
N/A
8,760
8,760
100%
0%

$79,000
N/A
N/A
8,760
8,760
100%
0%

$84,000
N/A
N/A
8,760
8,760
N/A
N/A

$80,000
N/A
N/A
8,760
8,760
N/A
N/A

-$4,000
N/A
N/A
—
—
N/A
N/A

Total Facilities
Number of Users b
Achieved operating hours
Planned operating hours
Optimal hours
Percent of optimal hours cUnscheduled downtime hours$445,500
8,498
N/A
31,361
31,36199%
1%$445,500
9,847
31,121
31,361
31,36199%
1%$527,000
9,900
N/A
31,361
31,361
N/A
N/A$525,000
9,900
N/A
31,361
31,361
N/A
N/A-$2,000
—
N/A
—
—
N/A
N/A

Science/Advanced Scientific Computing Research

39

FY 2020 Congressional Budget Justification

Advanced Scientific Computing Research
Scientific Employment
FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

620
205
516
268

611
198
487
256

615
202
495
263

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

ESnet is a high performance scientific network connecting DOE facilities to researchers around the world; user statistics are not collected.

b Total users only for NERSC, OLCF, and ALCF.
c

FY 2020 Request vsFY 2019 Enacted
+4
+4
+8
+7

For total facilities only, this is a “funding weighted” calculation FOR ONLY TYPE A facilities:

d Includes technicians, engineers, computer professionals and other support staff.

Science/Advanced Scientific Computing Research∑𝑛𝑛
1 [(%𝑂𝑂𝑂𝑂 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛)×(𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜)]
𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑎𝑎𝑎𝑎𝑎𝑎 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑡𝑡𝑦𝑦 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜

40

FY 2020 Congressional Budget Justification

17-SC-20 Office of Science Exascale Computing Project (SC-ECP)
1.

Summary, Significant Changes, and Schedule and Cost History

SummaryIn FY 2016, the Budget Request included funding to initiate research, development, and computer-system procurements todeliver an exascale (1018 operations per second) computing capability by the mid-2020s. This activity, referred to as the
Exascale Computing Initiative (ECI), is a partnership between the Office of Science (SC) and the National Nuclear Security
Administration (NNSA) and addresses Department of Energy’s (DOE) science and national security mission requirements.
In FY 2017, SC initiated the Office of Science Exascale Computing Project (SC-ECP) within Advanced Scientific Computing
Research (ASCR) to support a large research and development (R&D) co-design project between domain scientists,
application and system software developers, and hardware vendors to develop an exascale ecosystem as part of the ECI.
Other activities included in the ECI but not the SC-ECP include $275,000,000 in FY 2020 to support the initiation of planning,site preparations, and non-recurring engineering (NRE) at both the Argonne and Oak Ridge Leadership Computing Facilities(LCFs) where the exascale machines will be housed and operated. Moreover, the LCF ECI funding will accelerate delivery ofat least one exascale-capable system in the calendar year 2021 timeframe. Supporting parallel development at both LCFs
will reduce the overall risk of ECI and broaden the range of applications able to utilize this new capability. Procurement of
exascale systems, which is not included in the SC-ECP, will be funded within the ASCR facility budgets in the outyears. ThisPDS is for the SC-ECP only; prior-year activities related to the SC-ECP are also included.
In FY 2020, SC-ECP funding will support project management; co-design activities between application, software, andhardware technologies; investments on critical hardware technologies with vendors, R&D of exascale systems, software, andtools needed for exascale programming; increased engagement and integration between SC-ECP and the LCF’s upgrades toprovide continuous integration and testing of the ECP funded applications and software; and completion of the milestonesof the vendor partnerships which received final funding in FY 2019.
Significant Changes
This Project Data Sheet (PDS) is an update of the FY 2019 PDS and does not include a new start for FY 2020.
The FY 2020 Request for SC-ECP is $188,735,000 and is a decrease of $43,971,000 from the FY 2019 Enacted. The FY 2020
Request supports investments in application development, software technology and hardware and integration focus areas
to create an exascale eco-system that supports the delivery of the first exascale-capable system in the calendar year 2021
timeframe. The project is expected to achieve CD-2 in early FY 2020 and the decrease is a result of ASCR funding in FY 2019its share of the vendor partnerships to initiate their final milestones
Following the Independent Project Review in January 2018, a Baseline Change Proposal (BCP) was executed and approved in
March 2018, to officially move the responsibility for the exascale systems’ NRE and development testbeds from ECP scope tothe Exascale Computing Initiative (ECI) through the DOE high performance computing facilities. This effectively eliminatedthe need for CD-3A.
The current preliminary estimate for the SC-ECP total project cost was revised from $1,233,965 to $1,256,385, an increase of$22,420, which is based on updated cost information from the remaining application, software, and hardware activities
selected to participate in the project. The most recent DOE Order 413.3B approved Critical Decision (CD) is CD-1/3A,
Approve Alternative Selection and Cost Range and Approve Phase One Funding of Hardware and Software Research Projects
and Application Development, which was approved on January 3, 2017. Even with the BCP, the estimated Total Project Cost
(TPC) range of the SC-ECP is $1.0 billion to $2.7 billion.
A Federal Project Director with the appropriate certification level was assigned to this project.

Science/Advanced Scientific Computing Research/
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FY 2020 Congressional Budget Justification

Critical Milestone History
FiscalYear

CD-0

Conceptual
DesignCompleteCD-1/3A

CD-2

Final Design
Complete

CD-3B

D&D
Complete

CD-4

FY 2017
FY 2018
FY 2019
FY 2020

3Q FY 201607/28/2016
07/28/2016
07/28/2016

TBD
2Q FY 2019
2Q FY 2019
2Q FY 2019

TBD
01/03/2017
01/03/2017
01/03/2017

TBD
4Q FY 2019
4Q FY 2019
1Q FY 2020

TBD
3Q FY 2019
3Q FY 2019
3Q FY 2019

TBD
4Q FY 2019
4Q FY 2019
1Q FY 2020

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

TBD
4Q FY 2023
4Q FY 2023
4Q FY 2023

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 or will be 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-3A – Approve Long Lead Time Procurements
CD-3B– Approve Start of Construction
D&D Complete – Completion of D&D workCD-4 – Approve Start of Operations or Project Closeout

FiscalYear
FY 2017
FY 2018
FY 2019
FY 2020

Performance
Baseline
Validation
TBD
4Q FY 2019
4Q FY 2019
1Q FY 2020

Project Cost History
The preliminary cost range for the SC-ECP is estimated to be between $1.0 billion and $2.7 billion. The cost range will be
updated and a project baseline (scope, schedule, and cost) will be established at CD-2.
FiscalYear
FY 2017
FY 2018
FY 2019
FY 20202.

TEC, Design
N/A
N/A
N/A
N/A

TEC,
Construction
TBD
390,000
426,735
426,735(dollars in thousands)
OPC, Except
TEC, Total
D&D
TBD
TBD
390,000
763,524
426,735
807,230
426,735
829,650

OPC, D&D

OPC, Total

Total

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

TBD
763,524807,230
829,650

TBD
1,153,524
1,233,965
1,256,385

Project Scope and Justification

Scope
Four well-known challenges a determine the requirements of the SC-ECP. These challenges are:

Parallelism: Systems must exploit the extreme levels of parallelism that will be incorporated in an exascale-capable
computer;
Resilience: Systems must be resilient to permanent and transient faults;
Energy Consumption: System power requirements must be no greater than 20-30 MW; andMemory and Storage Challenge: Memory and storage architectures must be able to access and store information at
anticipated computational rates.

a http://science.energy.gov/ascr/research/scidac/exascale-challenges

Science/Advanced Scientific Computing Research/
17-SC-20, Office of Science Exascale Computing Project42

FY 2020 Congressional Budget Justification

The realization of an exascale-capable system that addresses parallelism, resilience, energy consumption, andmemory/storage will involve tradeoffs among hardware (processors, memory, energy efficiency, reliability,interconnectivity); software (programming models, scalability, data management, productivity); and algorithms. To address
this, the scope of the SC-ECP has three focus areas:Hardware and Integration: The Hardware and Integration focus area supports vendor-based research and theintegrated deployment of specific ECP application milestones and software products on targeted systems at computing
facilities, including the completion of PathForward projects transitioning to facility non-recurring engineering (whereappropriate), and the integration of software and applications on pre-exascale and exascale system resources atfacilities.
Software Technology: The Software Technology focus area spans low-level operational software to programming
environments for high-level applications software development, including the software infrastructure to support large
data management and data science for the DOE at exascale and will deliver a high quality, sustainable product suite.
Application Development: The Application Development focus area supports co-design activities between DOE mission
critical applications and the software and hardware technology focus areas to address the exascale challenges: extreme
parallelism, reliability and resiliency, deep hierarchies of hardware processors and memory, scaling to larger systems,
and data-intensive science. As a result of these efforts, a wide range of applications will be ready to effectively use theexascale systems deployed in the 2021 calendar year timeframe under ECI.

Justification
The SC-ECP will be managed in accordance with the principles of DOE Order 413.3B, Program and Project Management for
the Acquisition of Capital Assets, which SC uses for the planning, design, and construction of all of its major projects,
including the LCFs at Argonne and Oak Ridge National Laboratories and the National Energy Research Scientific Computing
Center (NERSC) at Lawrence Berkeley National Laboratory. Computer acquisitions use a tailored version of Order 413.3B.
The first four years of SC-ECP will be focused on research in software (new algorithms and methods to support applicationand system software development) and hardware (node and system design), and these costs will be reported as Other
Project Costs. Once the project is baselined in FY 2020, project activities will focus on hardening the application and thesystem stack software, and on additional hardware technologies investments, and these costs will be included in the Total
Estimated Costs for the project.
Key Performance Parameters (KPPs)
The Threshold KPPs represent the minimum acceptable performance that the project must achieve. Achievement of theThreshold KPPs will be a prerequisite for approval of CD-4, Project Completion. The Objective KPPs represent the desired
project performance.
Performance MeasureThreshold
Performance on scientific and national Greater than 50x improvement insecurity applications relative to today’s performance a by at least 50% of theperformance
subset of ECP applications selected formeasurement under KPP-1.
Broaden the reach of exascale science 50% of the subset of ECP applications
and mission capability
selected for measurement under KPP-2
s can execute their exascale challenge
problem b

Objective
Greater than 50x improvement in
performance by 100% of subset of ECP
applications selected for measurement
under KPP-1.
100% of the subset of ECP applications
selected for measurement under KPP-2
can execute their exascale challenge
problema Performance is measured by a Figure of Metric that represents the rate of ”science work” defined specific to each scientific application and takes into

consideration the increased complexity and precision in addition to the speed of solution.
This KPP assesses the successful creation of new exascale science and mission capability. An exascale challenge problem is deﬁned for every scientificapplication in the project. The challenge problem is reviewed annually to ensure it remains both scientiﬁcally impactful to the nation and requires exascalelevel resources to execute.
b

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FY 2020 Congressional Budget Justification

Performance Measure
Productive and Sustainable HighPerformance Computing (HPC)
software ecosystem
Enrich the HPC Hardware Ecosystem

3.

Threshold
Software teams meet 75% of theirimpact goals a

Objective
Software teams meet 100% of theirimpact goals

Vendors meet 80% of all the
PathForward milestones

Vendors meet 100% of all the
PathForward milestones

Financial Schedule(dollars in thousands)
BudgetAuthority(Appropriations)
Total Estimated Cost (TEC)(Hardening of Applications
Development System Software
Technology, Hardware Technology)
FY 2020
Outyears
Total, TEC
Other Project Costs (OPC)(Research for Application
Development, System Software
Technology, and Hardware
Technology)
FY 2016 b
FY 2017
FY 2018
FY 2019
FY 2020
Outyears
Total, OPC
Total Project Costs (TPC)FY 2016b
FY 2017
FY 2018
FY 2019
FY 2020
Outyears
Total, TPC

Obligations

Costs

174,735
252,000
426,735

174,735
252,000
426,735

174,735
252,000
426,735

157,944
164,000
205,000
232,706
14,00056,000829,650

157,944
164,000
205,000
232,706
14,00056,000829,650

8,338
89,058
180,453
230,066
250,000
71,735
829,650

157,944
164,000
205,000
232,706
188,735
308,000
1,256,385

157,944
164,000
205,000
232,706
188,735
308,000
1,256,385

8,338
89,058
180,453
230,066
424,735
323,735
1,256,385

a This KPP measures progress on the goal to develop a software ecosystem where high-performance applications can be efficiently and effectively designed,
developed, tuned, and executed on exascale systems. Each software effort in the project defines 2-4 impact goals, which must be measurable and provide
tangible value to the HPC ecosystem.
b Funding was provided to ASCR in FY 2016 to support the Department’s ECP efforts. For completeness, that information is shown here.

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FY 2020 Congressional Budget Justification

4.

Details of Project Cost Estimate

The SC-ECP will be baselined at CD-2. The estimated Total Project Cost for the SC-ECP is represented in the table below.
(dollars in thousands)

Total Estimated Cost (TEC)
Application Development
Production Ready Software
Hardware Partnerships
Total, TEC
Other Project Costs (OPC) (Research)
Planning/Project Mgmt
Application Development
Software Research
Hardware Research
Total, OPC
Total Project Cost (TPC)
5.

Previous Total
Estimate

Original
Validated
Baseline

211,800
147,190
67,745426,735

255,125
157,870
13,740426,735

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

123,715
298,824
167,970
239,141
829,650
1,256,385

109,715
295,062
179,303
223,150807,230
1,233,965

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

Schedule of Appropriation Requests
RequestYear
FY 2017

FY 2018

a

FY 2019

FY 2020
6.

Current Total
Estimate(dollars in thousands)
Typea

FY 2016

FY 2017

FY 2018

FY 2019

FY 2020

Outyears

Total

TEC
OPC
TPC
TEC
OPC
TPC
TEC
OPC
TPC
TEC
OPC
TPC

—
157,894
157,894—
157,944
157,944—
157,944
157,944—
157,944
157,944—
154,000
154,000—
164,000
164,000—
164,000
164,000—
164,000
164,000

TBD
TBD
TBD
—
196,580
196,580—
196,580
196,580—
205,000
205,000

TBD
TBD
TBD
—
189,000
189,000—
232,706
232,706—
232,706
232,706

TBD
TBD
TBD
175,000
14,000
189,000
174,735
14,000188,735
174,735
14,000188,735

TBD
TBD
TBD
215,000
42,000257,000
252,000
42,000294,000
252,000
56,000308,000

TBD
TBD
TBD
390,000
763,524
1,153,524
426,735
807,230
1,233,965
426,735
829,650
1,256,385

Related Operations and Maintenance Funding Requirements

System procurement activities for the exascale-capable computers are not part of the SC-ECP. The exascale-capable
computers will become part of existing facilities and operations and maintenance funds and will be included in the ASCR
facilities’ operations or research program’s budget. A BCP was executed in March, 2018 to reflect this change. In the FY 2020
Budget Request, $275,000,000 is included in the LCF’s at Argonne and Oak Ridge National Laboratories facilities’ budgets tobegin planning non-recurring engineering and site preparations for the delivery and deployment for the exascale systems.
These funds are included in ECI but not in SC-ECP.

a Funding was provided to ASCR in FY 2016 to support the Department’s ECI efforts. For completeness, that information is shown here.

Science/Advanced Scientific Computing Research/
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FY 2020 Congressional Budget Justification

Start of Operation (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future start of D&D for new construction (fiscal quarter)
7.

2022
5
4Q 2030

D&D Information

N/A, no construction.
8.

Acquisition Approach

The early years of the SC-ECP, approximately four years in duration, will support R&D directed at achieving system
performance targets for parallelism, resilience, energy consumption, and memory and storage. The second phase of
approximately three years duration will support finalizing applications and system software.

Science/Advanced Scientific Computing Research/
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FY 2020 Congressional Budget Justification

Basic Energy Sciences
Overview
The mission of the Basic Energy Sciences (BES) program is to support fundamental research to understand, predict, andultimately control matter and energy at the electronic, atomic, and molecular levels in order to provide the foundations for
new energy technologies and to support Department of Energy (DOE) missions in energy, environment, and national
security. BES accomplishes its mission through excellence in scientific discovery in the energy sciences, and throughstewardship of world-class scientific user facilities that enable cutting-edge research and development.
The research disciplines that BES supports—condensed matter and materials physics, chemistry, geosciences, and aspects ofbiosciences—touch virtually every important aspect of energy resources, production, conversion, transmission, storage,
efficiency, and waste mitigation, providing a knowledge base for achieving a secure and sustainable energy future. The 2018
Basic Energy Sciences Advisory Committee (BESAC) report, “A Remarkable Return on Investment in Fundamental Research”, aprovides key examples of major technological, commercial, and national security impacts directly traceable to BESsupported basic research. This mission-relevance of BES research results from a long-standing established strategic planning
process, which encompasses BESAC reports, topical in-depth community workshops and reports, and rigorous program
reviews.
BES scientific user facilities consist of a complementary set of intense x-ray sources, neutron sources, and research centers
for nanoscale science. Capabilities at BES facilities probe materials and chemical systems with ultrahigh spatial, temporal,
and energy resolutions to investigate the critical functions of matter—transport, reactivity, fields, excitations, and motion—
and answer some of the most challenging science questions. The above-noted BESAC report recounts the central role ofthese shared resources as a key to U.S. scientific and industrial leadership. BES has a long history of delivering major
construction projects on time and on budget, and of providing reliable availability and support to users for operating
facilities. This record follows from rigorous community-based processes for conceptualization, planning, and execution ofprojects, and from performance assessment of operating facilities.
Key to exploiting scientific discoveries for future energy systems is the ability to create new materials using sophisticatedsynthesis and processing techniques, to precisely define the atomic arrangements in matter, and to design chemical
processes, which will enable control of physical and chemical transformations and conversions of energy from one form toanother. Such materials will need to be more functional than today’s energy materials. These new chemical processes will
require ever-increasing control to the levels of electrons. These advances are not found in nature; they must be designed
and fabricated to exacting standards using principles revealed by basic science. Today, BES-supported activities are enteringa new era in which materials can be built with atom-by-atom precision, chemical processes at the molecular scale can becontrolled with increasing accuracy, and computational models can predict the behavior of materials and chemical
processes before they exist. Collectively, these new tools and capabilities convey a significant strategic advantage for the
Nation to advance the scientific frontiers while laying the foundation for future innovations and economic prosperity.
DOE envisions a future in which the cross-cutting field of quantum information science (QIS) increasingly drives thesescientific frontiers and innovations toward realizing the full potential of quantum-based applications, from computing, tocommunication, to sensing. This will require precise control at the atomic and molecular levels for the understanding,design, prediction, synthesis, fabrication, and integration of quantum systems. In support of the National Quantum
Initiative b, SC QIS Centers, coupled with a robust core research portfolio stewarded by the individual Office of Science (SC)programs including BES, will create the ecosystem across universities, national labs, and industry that is needed to foster
these developments.
The Office of Science has been an important facilitator and sponsor of research at the cutting edge of microelectronics. Its
programs have made major contributions to the scientific understanding and advanced instrumentation that enabled
Moore’s law scaling, and have driven transformative advances in microelectronics in response to the challenging demandsof DOE’s high performance computing and science facilities. Sustained and rapid progress in microelectronics science anda All reports are available at https://science.energy.gov/bes/community-resources/reports/.
b Section 402 of the National Quantum Initiative Act, PL 115-368

Science/Basic Energy Sciences47

FY 2020 Congressional Budget Justification

technology is essential if DOE is to continue pushing the boundaries of science and, more significantly, continue to lead theglobal information technology revolution.
Highlights of the FY 2020 Request
The BES FY 2020 Request of $1,858,285,000 focuses resources toward the highest priorities in early-stage fundamental
research, in operation and maintenance of scientific user facilities, and in facility upgrades.
Key elements in the FY 2020 Request include:
Research
Core research priorities in the FY 2020 Request include QIS, next-generation microelectronics, and data analytics andmachine learning for data-driven science. BES will partner with SC’s Offices of Advanced Scientific Computing Research(ASCR) and High Energy Physics (HEP) to establish at least one multi-disciplinary QIS center to promote basic research andearly stage development to accelerate the advancement of QIS through vertical integration between systems and theory
and hardware and software. The Request increases funding for the Energy Frontier Research Centers (EFRCs) with a planned
solicitation in FY 2020 to expand the EFRC portfolio in topical areas of the highest priority to the Department, including QIS,
microelectronics, and other program priorities. This EFRC solicitation will also recompete funding for science relevant to the
Department’s environmental management mission. The Request continues support for computational materials andchemical sciences to deliver shared software infrastructure to the research communities as part of the Exascale Computing
Initiative. The BES-supported Batteries and Energy Storage Energy Innovation Hub continues. The Fuels from Sunlight Energy
Innovation Hub will complete its second five-year term with FY 2019 funding. FY 2020 funding is requested to continue
support of early-stage fundamental research on solar fuels generation that builds on the Hub’s unique capabilities andaccomplishments to date. BES will issue an open competition in FY 2020 for new multi-investigator, cross-disciplinary solar
fuels research to address emerging new directions as well as long-standing challenges in this transformational area ofenergy science.
Facility Operations
In the Scientific User Facilities subprogram, BES maintains a balanced suite of complementary tools. Linac Coherent Light
Source (LCLS) operations will resume in the second quarter of FY 2020 on completion of installation of LCLS-II accelerator
components. The Advanced Light Source (ALS), Advanced Photon Source (APS), National Synchrotron Light Source-II (NSLSII), and the Stanford Synchrotron Radiation Lightsource (SSRL) will continue operations and are supported at approximately
87% of optimum. Both BES-supported neutron sources, the Spallation Neutron Source (SNS) and the High Flux Isotope
Reactor (HFIR), will be operational in FY 2020 and funded at approximately 87% of optimum. All five Nanoscale Science
Research Centers (NSRCs) will be supported with funding designated for nanoscience as well as QIS research and related
tools development.
Projects
In the Construction subprogram, the LCLS-II project received its last year of funding in FY 2019, per the project plan. The
FY 2020 Request provides continued support for the Advanced Photon Source Upgrade (APS-U) project, the Advanced Light
Source Upgrade (ALS-U) project, the Linac Coherent Light Source-II High Energy (LCLS-II-HE) project, the Proton Power
Upgrade (PPU) project, and the Second Target Station (STS) project at SNS. The FY 2020 Request includes two new Major
Item of Equipment projects: the NSLS-II Experimental Tools-II (NEXT-II) project to continue the phased build-out of
beamlines at NSLS-II, and the NSRC Recapitalization project.
The Basic Energy Sciences program supports the following FY 2020 Administration Priorities:
FY 2020 Administration Priorities ($K)

Exascale Computing
Initiative (ECI)
Basic Energy Sciences
Science/Basic Energy Sciences

26,000(dollars in thousands)
Quantum
Artificial Intelligence
Information Science
(AI)
(QIS)
10,00052,50348

Microelectronics
25,000FY 2020 Congressional Budget Justification

Basic Energy Sciences
Funding ($K)(dollars in thousands)
FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

Materials Sciences and Engineering
Scattering and Instrumentation Sciences Research
Condensed Matter and Materials Physics ResearchMaterials Discovery, Design, and Synthesis Research
Established Program to Stimulate Competitive Research (EPSCoR)
Energy Frontier Research Centers (EFRCs)
Energy Innovation Hubs—Batteries and Energy Storage
Computational Materials Sciences
SBIR/STTR
Total, Materials Sciences and Engineering

73,569127,984
67,58819,27055,80024,08813,00014,445395,744

71,235
132,463
65,443
19,27055,80024,08813,00014,445395,744

65,205
140,625
59,9897,323
65,00024,08813,00014,215
389,445-6,030+8,162-5,454-11,947+9,200——-230-6,299Chemical Sciences, Geosciences, and Biosciences
Fundamental Interactions Research
Chemical Transformations Research
Photochemistry and Biochemistry Research
Energy Frontier Research Centers (EFRCs)
Energy Innovation Hubs—Fuels from Sunlight
Computational Chemical Sciences (CCS)
General Plant Projects (GPP)
SBIR/STTR
Total, Chemical Sciences, Geosciences, and Biosciences

86,053
99,886
76,68854,20015,00013,0001,000
13,063358,890

89,067
97,83675,72454,20015,00013,0001,000
13,063358,890

84,111
83,63564,16365,00020,00013,0001,000
12,498343,407-4,956-14,201-11,561+10,800+5,000——-565-15,483

488,903279,768
129,926
23,900—34,08033,689990,266
1,744,900

505,000
282,000
135,000
19,100—29,45732,5091,003,066
1,757,700

484,514254,665
127,229
6,000
2,000
36,11831,907
942,433
1,675,285-20,486-27,335-7,771-13,100+2,000+6,661-602-60,633-82,415

Scientific User Facilities
X-Ray Light Sources
High-Flux Neutron Sources
Nanoscale Science Research Centers (NSRCs)
Other Project Costs
Major Items of Equipment
Research
SBIR/STTR
Total, Scientific User Facilities
Subtotal, Basic Energy Sciences
Science/Basic Energy Sciences49

FY 2020 Congressional Budget Justification

(dollars in thousands)
FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted—
93,00036,0001,000
130,000
60,0001,000
150,000
5,000—+20,000-55,000

16,00060,00013,000-47,000

8,000
192,100
345,100
2,090,000

28,000129,300
408,300
2,166,000

14,000—183,000
1,858,285-14,000-129,300-225,300-307,715

FY 2018 Enacted

Construction
19-SC-14 Second Target Station (STS), ORNL
18-SC-10 Advanced Photon Source Upgrade (APS-U), ANL
18-SC-11 Spallation Neutron Source Proton Power Upgrade (PPU), ORNL
18-SC-12 Advanced Light Source Upgrade (ALS-U), LBNL
(19-SC-10 in FY 2019 President's Request)
18-SC-13 Linac Coherent Light Source-II-High Energy (LCLS-II-HE), SLAC
(19-SC-11 in FY 2019 President's Request)
13-SC-10 Linac Coherent Light Source-II (LCLS-II), SLAC
Total, Construction
Total, Basic Energy Sciences
SBIR/STTR Funding: FY 2018 Enacted: SBIR $53,652,000 and STTR $7,545,000
 FY 2019 Enacted: SBIR $52,617,000 and STTR $7,400,000
 FY 2020 Request: SBIR $51,393,000 and STTR $7,227,000

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FY 2020 Congressional Budget Justification

Basic Energy Sciences
Explanation of Major Changes ($K)

Materials Sciences and Engineering
Research will continue to support fundamental scientific opportunities, including those identified as high priorities in recent BESAC and Basic
Research Needs workshop reports. Research priorities include increased support for novel materials and theory for QIS and next-generation
microelectronics, continued emphasis on materials science theory for computational applications that take full advantage of exascalecomputing, and new directions in the use of data analytics and machine learning for data-driven materials science. The Request increases
funding for the EFRCs with a planned solicitation in FY 2020 to expand the EFRC portfolio in topical areas of the highest priority to the
Department and to recompete funding for science relevant to the Department’s environmental management mission. The Request also
includes funding for continued support of the Batteries and Energy Storage Energy Innovation Hub.

(dollars in thousands)
FY 2020 Request vsFY 2019 Enacted-6,299Chemical Sciences, Geosciences, and Biosciences
Research will continue to support fundamental science, including grand challenge science and opportunities identified in recent BESAC and
Basic Research Needs workshop reports. Priority research areas include QIS research to understand the quantum nature of atomic andmolecular systems and to exploit advances in quantum computing for solutions to currently intractable problems; next-generation
microelectronics; chemical science theory for computational applications that take full advantage of exascale computing; chemical conversionof increasingly complex chemical systems such as polymers; and the use of data analytics and machine learning for data-driven science. The
Request increases funding for the EFRCs with a planned solicitation in FY 2020 to expand the EFRC portfolio in topical areas of the highest
priority to the Department and to recompete funding for science relevant to the Department’s environmental management mission. The Fuels
from Sunlight Energy Innovation Hub will complete its second five-year term with FY 2019 funding. An open competition in FY 2020 will solicit
early-stage fundamental research on solar fuels generation that builds on the Hub’s unique capabilities and accomplishments to date.

-15,483

Scientific User Facilities
Linac Coherent Light Source (LCLS) operations will resume in the second quarter of FY 2020 on completion of installation activities for the LCLSII construction project. All remaining scientific user facilities will operate at a reduced level, approximately 87% of optimum. Funding for the
Nanoscale Science Research Centers will include support for nanoscience and QIS research and related tools development. Research priorities
include applications of artificial intelligence methods and machine learning techniques to accelerator optimization, control, prognostics, anddata analysis. The Request includes funds to initiate two major items of equipment: the NEXT-II beamline project for NSLS-II and the NSRC
recapitalization project.

-60,633

Construction
The Request continues support for the Advanced Photon Source-Upgrade (APS-U) project, the Advanced Light Source Upgrade (ALS-U) project,
the Linac Coherent Light Source-II High Energy (LCLS-II-HE) project, the Proton Power Upgrade (PPU) project at the Spallation Neutron Source(SNS), and the Second Target Station (STS) project at SNS.

-225,300

Science/Basic Energy Sciences51

FY 2020 Congressional Budget Justification

(dollars in thousands)
FY 2020 Request vsFY 2019 Enacted-6,299-307,715

Materials Sciences and Engineering
Total, Basic Energy Sciences

Science/Basic Energy Sciences

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FY 2020 Congressional Budget Justification

Basic and Applied R&D Coordination
As a program that supports fundamental scientific research relevant to many DOE mission areas, BES strives to build andmaintain close connections with other DOE program offices. BES coordinates with DOE R&D programs through a variety of
Departmental activities, including joint participation in research workshops, strategic planning activities, solicitation
development, and program review meetings. BES also coordinates with DOE technology offices in the Small Business
Innovation Research (SBIR) and Small Business Technology Transfer (STTR) program, including topical area planning,
solicitations, reviews, and award recommendations.
BES program managers regularly participate in intra-departmental meetings for information exchange and coordination on
solicitations, program reviews, and project selections in the research areas of biofuels derived from biomass; solar energy
utilization, including solar fuels; building technologies, including solid-state lighting; advanced nuclear energy systems andadvanced fuel cycle technologies; vehicle technologies; improving efficiencies in industrial processes; and superconductivity
for grid applications. These activities facilitate cooperation and coordination between BES and the DOE technology offices
and defense programs. DOE program managers from basic and applied programs have also established formal technicalcoordination working groups that meet on a regular basis to discuss R&D activities with wide applications. Additionally, DOE
technology office personnel participate in reviews of BES research, and BES personnel participate in reviews of research
funded by the technology offices.
Co-funding and co-siting of research by BES and DOE technology programs at the same institutions has proven to be avaluable approach to facilitate close integration of basic and applied research. In these cases, teams of researchers benefit
by sharing expertise and knowledge of research breakthroughs and program needs. The Department’s national laboratory
system plays a crucial role in achieving integration of basic and applied research.
Program Accomplishments
Control of Chemical Reaction Pathways. Catalytic conversion of feedstocks to fuels; extraction of energy from fuels such as
in combustion; and capture, conversion, and storage of energy in biological organisms involve complex, multistep chemical
reaction mechanisms. The specific reaction pathways determine what is produced and vary widely depending on thereaction environment. New computational tools and experimental approaches allow understanding of how diverse reaction
environments provide control of chemical reaction pathways.


Plants and algae adjust photosynthetic rates to prevent damage under environmental stresses like cold and limited
nutrients. Researchers discovered that, when exposed to environmental stress, an algal enzyme was activated andreduced the amount of a major lipid in the membranes that house the photosynthetic machinery. This structuralchange altered the arrangement of photosynthetic proteins in the membranes and contributed to regulating theamount of sunlight captured and used for photosynthesis to mitigate damage.
A mechanistic understanding of the electrochemical reduction of CO2 is needed to enable efficient production of solar
fuels and other chemicals. Using sophisticated X-ray spectroscopy and high-resolution microscopy, researchers analyzed
the oxidation state and surface structure of metal catalysts under reaction conditions. Building on these molecular-level
details, multiscale computational techniques were developed to understand the complex influence of electrolytecomposition on catalyst surface chemistry.
The dry reforming of propane, derived from shale gas, with CO2 may follow two pathways leading to valuable products,
one that produces propylene and another yielding CO and H2 (syngas). Both pathways are catalyzed by nickel alloys.
Researchers predicted the mechanisms and successfully showed, via experiments, the atomic-level detail of thestructures, compositions, and oxidation states of the iron-nickel alloy that exclusively produces propylene and theplatinum-nickel alloy that produces syngas.

Energy Storage. Advances in energy storage are essential for a wide range of energy technologies, notably improvements tothe stability of the electrical grid and increased lifetimes and safety for future batteries. Understanding the fundamentals ofelectrochemistry and the interactions of the materials used in batteries are key enablers for next generation technologies.
Batteries could dramatically increase their capacity, the amount of energy they can deliver, if they could use twoelectrons, rather than just the one electron in current devices. For the first time, researchers reversibly inserted andextracted two lithium ions from a multi-electron lithium ion battery cathode (ε-VOPO4), with full recovery upon

Science/Basic Energy Sciences

53

FY 2020 Congressional Budget Justification

recharging. The key was low temperature synthesis of nanoparticles, which preserved their crystallinity, and a
conductive graphene coating.
Lithium metal electrodes hold great promise for next-generation battery systems due to its superior energy density, but
dendrites can form during charging and short circuit the battery, leading to premature failure. Researchers added very
high molecular weight polymers that suppressed localized instabilities near the electrode surfaces, which reduced theformation of dendrites and also extended the range of operating voltages. This advance opens a new approach forutilizing high-energy metal anodes such as lithium and aluminum without forming dendrites.
Lithium-sulfur (Li-S) batteries are one of the most promising alternatives to today’s lithium ion batteries; however, thesluggish and partially irreversible formation of new phases when the batteries discharge during use has been identiﬁed
as a critical hurdle for attaining high energy capacity and long cycle life. A new discharge pathway has been discoveredthat forms stable and inherently self-healing phases (Li2S2) in micropores, opening the door to the design of higher
capacity, more reversible Li-S batteries.

Computational Materials and Chemical Sciences. BES supports basic research to develop open-source, experimentally
validated software and the associated databases required to predictively design materials and chemical processes andassemblies with specific functionality. Software is targeted for today’s leadership class computing facilities but is broadly
applicable on smaller machines. Software is also being developed for exascale computing facilities as these become
available.
The Materials Project provides a unique collection of computed properties of materials for more than 80,000
compounds plus downloadable software for data analysis. The site has more than 38,000 registered users. Online
properties include electrochemical and electronic structure, mechanical properties, phase stability and corrosion
resistance. Data has been used to explore performance of novel battery designs, among other energy applications.
A new mechanism has been discovered for generation of current in organic photovoltaic materials that could lead togreatly improved performance and lower cost solar cell technology. Software developed for these studies has
performed well on pre-exascale computers with up to 500,000 processor cores.
Understanding charge transfer processes in complex molecular systems is challenging because they depend on multiple
factors including local environment and molecular structure. Computational chemical scientists employed a multiscale
approach to a photosynthetic reaction center mimic to show how the solvent environment modifies the propensity of amolecule to bend, causing the quantum analog of an electrical short circuit. These insights will enhance knowledge of
Nature’s light-harvesting systems that, in turn, will enable predictions of novel artificial solar energy systems.

Science for Environmental Management. The cleanup and long term storage of large quantities of highly complex nuclear
waste remains one of DOE’s greatest challenges. Studies of the fundamental chemical and physical properties of radioactive
and other elements present in the waste, as well as the creation of novel storage materials, will enable more efficient, costeffective, and safer solutions.
Dissolution and precipitation of gibbsite (an aluminum-based compound) is important in radioactive waste treatment
and industrial aluminum production. Real-time experiments revealed that the aluminum does not transition between a
4-coordinate species in solution to a 6-coordinate species as a solid, but involves an intermediate 5-coordinate species
that depends on the composition of the solution. Such studies support the development of new methods for processing
high level radioactive wastes at Hanford and Savannah River, and provide potentially less energy-intensive routes foraluminum production.
Cerium is often used as an analog for plutonium in experiments that explore the selective binding of actinides forrecycling used nuclear fuels. Experiments showed that both plutonium and cerium complexes exhibit the same
coordination and structure, but the plutonium complex was more stable and only the plutonium complex exhibited
quasi-reversible redox behavior. This work exposes the limits of using cerium as a surrogate for plutonium in future
research.
Separating cesium and chlorine from liquid waste streams is important, the former for its radioactivity and the latter for
its incompatibility with borosilicate glasses, the leading nuclear waste form. Researchers showed that spark plasma
sintering can be used to form dense pellets of a perovskite material with 23% mass cesium and 38% mass chlorine
without decomposition. The leading alternate waste form only incorporates about 11% chlorine. This work could enablea simpler and more efficient treatment of nuclear waste streams that contain chlorine.

Science/Basic Energy Sciences54

FY 2020 Congressional Budget Justification

BES user facilities contribute to world leading science. Researchers from U.S. industries and academia use the uniquecapabilities at the BES scientific user facilities to advance science and technology frontiers.
Intense x-rays delivered from the newly developed helical superconducting undulator at the Advanced Photon Source
can image the fuel spray process from an injector with unprecedented resolution without x-ray optics. The auto
industry can use this information to gain detailed insights into the relationship between the fuel distribution andmechanical movement of the fuel injector inside a combustion engine. This knowledge will help the industry to develop
cleaner and more fuel-efficient engines.
Center for Integrated Nanotechnologies researchers successfully integrated donor atoms and quantum dots to create
quantum bits, or qubits, for quantum computers. For almost two decades, scientists have created theoretical proposals
of such a hybrid qubit architecture. Researchers have now made an important step toward the practical realization ofsilicon qubits. Silicon matters because the qubit manufacturing process could fit within today’s manufacturing andcomputing technologies.
The VULCAN instrument at the Spallation Neutron Source can measure atomic level details of defects in large
engineered components at extreme conditions. Its ability to spatially resolve residual stress enabled researchers fromthe United States Steel Corporation to perform experiments on how lightweight advanced high-strength steels formedby hydroforming behave at realistic operating conditions. These unique experimental capabilities enable U.S. industries
to design and engineer automotive and other components that are lighter, stronger, and more durable.

New capabilities for users at BES facilities. Researchers developed new capabilities and instrumentation at the BES scientificuser facilities to enable cutting-edge user experiments.
A new beamline instrument at the Linac Coherent Light Source was used to split x-ray pulses, creating femtosecond tonanosecond time delays between the pulses. Using this new capability, scientists measured the nanosecond
equilibrium dynamics of nanoparticles, allowing the examination of heterogeneous dynamics associated with cooling aliquid. Such dynamics are important in complex synthesis and fabrication of energy-relevant materials.
The Full Field X-ray Imaging beamline, one of the newest beamlines at NSLS-II, can complete a 3D nanotomographymeasurement with unprecedented time and spatial resolution. This advanced scientific research tool provides theresearchers the ability to examine nanostructures in details and to study the reaction of forming new nanomaterials inreal time.
Center for Nanophase Materials Sciences researchers developed a technique that creates tiny, precise metallic shapes.
They rastered a beam from a helium-ion microscope through a liquid precursor to induce chemical reactions. The
reactions locally deposit high purity platinum in ribbons only 15 nanometers in diameter. The new high-precision,
additive direct ion beam writing capability opens nanofabrication opportunities to improve electronics, drug delivery,
chemical separations, and other applications.

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56

Basic Energy Sciences
Materials Sciences and Engineering
Description
Materials are critical to nearly every aspect of energy generation and end-use. Materials limitations are often a significant
barrier to improved energy efficiencies, longer lifetimes of infrastructure and devices, or the introduction of new energy
technologies. The BESAC report on transformative opportunities for discovery science, coupled with the Basic Research
Needs workshop reports on energy technologies and roundtable reports on quantum information and ultrafast science,
provide further documentation of the importance of materials sciences in forefront research for next generation scientificand technological advances.
The Materials Sciences and Engineering subprogram supports research to provide the fundamental understanding ofmaterials synthesis, behavior, and performance that will enable solutions to wide-ranging energy generation and end-use
challenges as well as opening new directions that are not foreseen based on existing knowledge. The research explores theorigin of macroscopic material behaviors; their fundamental connections to atomic, molecular, and electronic structures;and their evolution as materials move from nanoscale building blocks to mesoscale systems. At the core of the subprogramis experimental, theory/computational, and instrumentation research that will enable the predictive design and discovery of
new materials with novel structures, functions, and properties. A growing area for insight on materials behavior is theunderstanding of dynamic processes, especially those in the ultrafast regime that only recently has been accessible formaterials research. Such understanding and control are critical to science-guided design of highly efficient energy
conversion processes, multi-functional nanoporous and mesoporous structures for optimum ionic and electronic transport
in batteries and fuel cells, materials with longer lifetimes in extreme environments through better materials design and selfhealing processes, and new materials with novel, emergent properties that will open new avenues for technologicalinnovation.
To accomplish these goals, the portfolio includes three integrated research activities:

Scattering and Instrumentation Sciences—Advancing science using new tools and techniques to characterize materials
structure and dynamics across multiple length and time scales, including ultrafast science, and to correlate this datawith materials performance under real world conditions.
Condensed Matter and Materials Physics—Understanding the foundations of material functionality and behavior
including electronic, thermal, optical, and mechanical properties, and quantum materials whose properties arise fromthe effects of quantum mechanics.
Materials Discovery, Design, and Synthesis—Developing the knowledge base and synthesis strategies to design andprecisely assemble structures to control properties and enable discovery of new materials with unprecedented
functionalities, including rare earth and other critical materials.

The portfolio emphasizes understanding of how to direct and control energy flow in materials systems over multiple time(from femtoseconds to seconds) and length scales (from the nanoscale to mesoscale), and translation of this understanding
to prediction of material behavior, transformations, and processes in challenging real-world systems. An example of thisresearch is examination of the transformations that take place in materials with many atomic constituents, complex
structures, and a broad range of defects when these materials are exposed to extreme environments, including extremes intemperature, pressure, stress, photon and radiation flux, electromagnetic fields, and chemical exposures – such as thosefound in fossil energy, nuclear energy, and most industrial settings. To maintain leadership in materials discovery, theresearch explores new frontiers of unpredicted, emergent materials behavior; utilization of nanoscale control; and materials
systems that are metastable or far from equilibrium. The research includes investigation of the interfaces between physicaland biological sciences to explore new approaches to novel materials design. Also essential is development of advanced
characterization tools, instruments and techniques that can assess a wide range of space and time scales, especially in
combination and under dynamic operando conditions to analyze non-equilibrium materials, conditions, and excited-statephenomena. Growing research activities in quantum materials highlight the importance and challenges for materials sciencein understanding and guiding the development of systems that realize unique properties for QIS and can contribute to SC
QIS Centers. Materials science for next generation microelectronics will provide the needed advances for future computing,sensors, and detectors that are critical for national priorities in energy and for leadership in advanced research over a wide
range of fields. Research priorities in this field will be guided by a Basic Research Needs workshop and reports. Another
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increasingly important aspect of materials research is the growing use of data analytics and machine learning for datadriven science to enhance the utility of both theoretical and experimental data for predictive design and discovery ofmaterials.
In addition to single-investigator and small-group research, this subprogram supports Computational Materials Sciences,
EFRCs, and the Batteries and Energy Storage Hub, and in FY 2020 will become a partner in support of at least one SC QISCenter. These research modalities support multi-investigator, multidisciplinary research and focus on forefront scientificchallenges that relate to the DOE energy mission. The Computational Materials Sciences activity supports integrated,
multidisciplinary teams of theorists and experimentalists who focus on development of validated community codes and theassociated databases for predictive design of materials that will take advantage of advanced exascale computing platforms.
The EFRCs support teams of investigators to perform basic research to accelerate transformative scientific advances for themost challenging topics in materials sciences. Early stage research in the Batteries and Energy Storage Hub focuses ondeveloping the scientific understanding required to advance next generation energy storage for the grid, transportation, andother national priorities. In support of the National Quantum Initiative, SC QIS Centers will push the current state-of-the-art
science and technology toward realizing the full potential of quantum-based applications, from computing tocommunication to sensing.
The Materials Sciences and Engineering subprogram also includes the DOE Established Program to Stimulate Competitive
Research (EPSCoR). The DOE EPSCoR program strengthens investments in early stage energy research for states and U.S.
territories that do not historically have large federally-supported academic research programs.
Scattering and Instrumentation Sciences Research
Advanced characterization tools with very high precision in space and time are essential to understand, predict, andultimately control matter and energy at the electronic, atomic, and nanoscale levels. Research in Scattering andInstrumentation Science supports innovative techniques and instrumentation development for advanced materials science
research with scattering, spectroscopy, and imaging using electrons, neutrons, and x-rays, including development of science
to understand ultrafast dynamics. These techniques provide precise and complementary information on the relationshipamong structure, dynamics, and properties. The major advances in materials sciences from DOE’s world-leading electron,
neutron, and x-ray scattering facilities provide continuing evidence of the importance of this research field. In addition, the
BESAC report on transformative opportunities for discovery science identified imaging as one of the pillars for futuretransformational advances. The use of multimodal platforms to reveal the most critical features of a material was a major
finding of the June 2016 workshop “Basic Research Needs Workshop for Innovation and Discovery of Transformative
Experimental Tools: Solving Grand Challenges in the Energy Sciences.” a These tools and techniques are also critical inadvancing understanding and discovery of novel quantum materials, including materials for next generation systems toadvance QIS and support the work of SC QIS Centers.
The unique interactions of electrons, neutrons, and x-rays with matter enable a range of complementary tools with different
sensitivities and resolution for the characterization of materials at length- and time-scales spanning many orders ofmagnitude. A distinct aspect of this activity is the development of innovative instrumentation and techniques for scattering,
spectroscopy, and imaging needed to correlate the microscopic and macroscopic properties of energy materials. The use ofmultiscale and multimodal techniques to extract heretofore unattainable information on multiple length and time scales is a
growing aspect of this research. For example, to design transformational new materials for energy-related applications,operando experiments contribute to understanding the atomic and nanoscale changes that lead to materials failure in nonequilibrium and extreme environments (temperature, pressure, stress, radiation, magnetic fields, and electrochemical
potentials). Information from these characterization tools is the foundation for the creation of new materials that haveextraordinary tolerance and can function within an extreme environment without property degradation.
Condensed Matter and Materials Physics Research
Understanding and controlling the fundamental properties of materials are critical to improving their functionality on every
level and are essential to fulfilling DOE’s energy mission. The Condensed Matter and Materials Physics activity supports
experimental and theoretical research to advance the understanding of phenomena in condensed matter—solids witha https://science.energy.gov/bes/community-resources/reports/

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structures that vary in size from the nanoscale to the mesoscale. These materials make up the infrastructure for energy
technologies, including electronic, magnetic, optical, thermal, and structural materials.
A central focus of this research program is to characterize and understand materials whose properties are derived from theinteractions of electrons and related entities in their structure, such as unconventional superconductors and magnetic
materials. There is a growing emphasis on “quantum materials”—materials whose properties result from strong andcoherent interactions of the constituent electrons with each other, the atomic lattice, or light. This activity emphasizes
investigation of low-dimensional systems, including nanostructures and two-dimensional layered structures such asgraphene, multilayered structures of two-dimensional materials, and studies of the electronic properties of materials at
ultra-low temperatures and in high magnetic fields. The research advances the fundamental understanding of theelementary energy conversion steps related to photovoltaics, and the electron spin-phenomena and basic semiconductor
physics relevant to next generation electronics and quantum information technologies. Fundamental studies of thequantum mechanical behavior of electrons in materials will lead to an improved understanding of optical, electrical,
magnetic, and thermal properties for a wide range of material systems.
This activity also emphasizes research to understand how materials respond to their environments, including the influenceof temperature, electromagnetic fields, radiation, and corrosive chemicals. This research includes the defects in materials
and their effects on materials’ electronic properties, strength, structure, deformation, and failure over a wide range oflength and time scales that will enable the design of materials with superior properties and resistance to change under the
influence of radiation. There is a growing emphasis on extending knowledge of radiation effects to enable predictive
capabilities for the multiple extreme environments envisioned for future nuclear reactors.
There is a critical need to advance the theories that are being used to describe material properties across a broad range oflength and time scales, from the atomic scale to properties at the macroscale where the influence of size, shape, andcomposition is not adequately understood and the time evolution of these properties from femtoseconds to seconds tomuch longer times. Theoretical research also includes development of advanced computational and data-oriented
techniques and predictive theory and modeling for discovery of materials with targeted properties. New techniques for data
analytics and machine learning for data-driven science are seeing increasing applications in materials science research to
extract value from large databases of theoretical calculations and experimental measurements.
Quantum materials research as it relates to QIS is a priority with important connections to national security and energy,
including the development of the understanding to enable future generations of sensors, computers, and related
technologies. Research priorities are being established through community engagement in roundtable discussions,interactions with other SC program offices, and at the interagency level, to define a unique BES role in this critical field. The
research will couple materials expertise in quantum materials, theory for materials discovery, and prototypes of next
generation devices. These advances will be key components of the activities of SC QIS Centers. Related to quantum
materials is materials research for next-generation microelectronics, critical for competitiveness for future computers,
sensors, and related technologies.
This activity includes the SC QIS Centers which will promote basic research and early stage development to accelerate theadvancement of QIS through vertical integration between systems and theory and hardware and software. As identified by
BES strategic planning reports including the Basic Research Needs Workshop on Quantum Materials and the Roundtable on
Opportunities for Basic Research for Next-Generation Quantum Systems, key materials-related technical areas will include
fundamental theory of materials and molecular systems for quantum applications; research leading to materials andmolecular systems that meet quantum communication, computation, and sensor requirements; fundamental research on
device physics for next generation QIS systems, including interface science and modeling of materials performance; andsynthesis and fabrication research for quantum materials and processes, including integration in novel device architectures.
In FY 2020, BES will partner with ASCR and HEP to establish at least one multi-disciplinary multi-institutional QIS center,
which will be selected through a merit reviewed process conducted early in FY 2020. The scope of the SC QIS center will be
on a set of QIS applications or cross-cutting topics that collectively cover the development space that may impact ASCR, BES
and HEP and include work on sensors, quantum emulators/simulators and enabling technologies that will pave the path to
exploit quantum computing in the longer term.

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Materials Discovery, Design, and Synthesis Research
The discovery and development of new materials has long been recognized as the engine that drives science frontiers andtechnology innovations. Predictive design and discovery of new forms of matter with desired properties continues to be asignificant challenge for materials sciences. A strong, vibrant research enterprise in the discovery of new materials is criticalto world leadership—scientifically, technologically, and economically. One of the goals of this activity is to grow andmaintain U.S. leadership in materials discovery by investing in advanced synthesis capabilities and by coupling these withstate-of-the-art user facilities and advanced computational capabilities at DOE national laboratories.
The BESAC report on transformative opportunities for discovery science reinforced the importance of the continued growthof synthesis science, recognizing the transformational opportunity to realize targeted functionality in materials bycontrolling the synthesis and assembly of hierarchical architectures and beyond equilibrium matter. This program will beenhanced to expand the application of materials discovery and synthesis research to understand the unique properties ofrare earth and other critical materials, with the goal of reducing their use through development of substitutes, reducing thequantities required for specific properties, and developing novel synthesis techniques.
In addition to research on chemical and physical synthesis processes, an important element of this portfolio is research tounderstand how to use bio-mimetic and bio-inspired approaches to design and synthesize novel materials with some of theunique properties found in nature, e.g., self-repair and adaptability to the changing environment. Major research directions
include the controlled synthesis and assembly of nanoscale materials into functional materials with desired properties;
porous materials with customized porosities and reactivities; mimicking the low energy synthesis approaches of biology to
produce materials; bio-inspired materials that assemble autonomously and, in response to external stimuli, dynamicallyassemble and disassemble to form non-equilibrium structures; and adaptive and resilient materials that also possess selfrepairing and self-regulating capabilities. The portfolio also supports fundamental research in solid state chemistry to enablediscovery of new functional materials and the development of new crystal growth methods and thin film deposition
techniques to create complex materials with targeted structure and properties. An important element of this activity is
research to understand the progression of structure and properties as a material is formed, in order to understand theunderlying physical mechanisms and to gain atomic level control of material synthesis and processing, including theextraordinary challenges for synthesis of quantum materials.
Established Program to Stimulate Competitive Research (EPSCoR)
The DOE EPSCoR program funds early stage research that supports the agency’s energy mission in states and territories withhistorically lower levels of Federal research funding. Eligibility determination for the DOE EPSCoR program follows the
National Science Foundation (NSF) eligibility analysis.
The DOE EPSCoR program emphasizes research that will improve the capability of designated states and territories to
conduct sustainable and nationally competitive energy-related research; jumpstart research capabilities in designated states
and territories through training scientists and engineers in energy-related areas; and build beneficial relationships between
scientists and engineers in the designated jurisdictions with world-class laboratories managed by the DOE, leverage DOE
national user facilities, and take advantage of opportunities for intellectual collaboration across the DOE system. Throughbroadened participation, DOE EPSCoR seeks to augment the network of energy-related research performers across thenation.
Annual EPSCoR funding opportunities alternate between a focus on research performed in collaboration with the DOE
national laboratories and a focus on implementation awards that facilitate larger team awards for the development ofresearch infrastructure. The program supports a small cadre of early career scientists from EPSCoR jurisdictions on anannual basis and provides complementary support for research grants to eligible institutions.
Energy Frontier Research Centers (EFRCs)
The EFRC program is a unique research modality, bringing together the skills and talents of teams of investigators to perform
energy-relevant, basic research with a scope and complexity beyond what is possible in standard single-investigator or
small-group awards. These multi-investigator, multi-disciplinary centers foster, encourage, and enable transformative
scientific advances. They allow experts from a variety of disciplines to collaborate on shared challenges, combining theirstrengths to uncover new and innovative solutions to the most difficult problems in materials sciences. The EFRCs also
support numerous graduate students and postdoctoral researchers, educating and training a scientific workforce for the 21st
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FY 2020 Congressional Budget Justificationcentury economy. The EFRCs supported in this subprogram focus on the following topics: the design, discovery, synthesis,characterization, and understanding of novel, solid-state materials that convert energy into electricity; the understanding ofmaterials and processes that are foundational for electrical energy storage, gas separation, and defect evolution in radiation
environments; future nuclear energy; and quantum materials that can optimize the transmission, utilization, and control ofenergy and information. After nine years of research activity, the program has produced an impressive breadth of scientificaccomplishments, including over 10,500 peer-reviewed journal publications.
BES’s active management of the EFRCs continues to be an important feature of the program. The program uses a variety ofmethods to regularly assess the progress of the EFRCs, including annual progress reports, monthly phone calls with the EFRC
Directors, periodic Directors’ meetings, and on-site visits by program managers. BES also conducts in-person reviews by
outside experts. Each EFRC undergoes a review of its management structure and approach in the first year of the award anda midterm assessment of scientific progress compared to its scientific goals. To facilitate communication of results to other
EFRCs and DOE, BES holds meetings of the EFRC researchers biennially.
Energy Innovation Hubs—Batteries and Energy Storage
The Joint Center for Energy Storage Research (JCESR) focuses on early stage research to tackle forefront, basic scientificchallenges for next-generation electrochemical energy storage. JCESR is a multi-institutional research team led by Argonne
National Laboratory (ANL) in collaboration with four other national laboratories, eleven universities, the Army ResearchLaboratory, and industry. In the initial five-year award (2013-2018), JCESR created a library of fundamental scientificknowledge including: demonstration of a new class of membranes for anode protection and flow batteries; elucidation of
the characteristics required for multi-valent intercalation electrodes; understanding the chemical and physical processes
that must be controlled in lithium-sulfur batteries to greatly improve cycle life; and computational screening of over 16,000
potential electrolyte compounds using the Electrolyte Genome protocols.
For the current award (2018-2023, pending annual progress reviews and appropriations), JCESR used its past research toidentify a number of critical scientific gaps to serve as a foundation for the proposed research. The research directions are
consistent with the priorities established in the recent BES workshop report Basic Research Needs for Next Generation
Electrical Energy Storage, a including discovery science for exploration of new battery chemistries and materials with novel
functionality. It is anticipated that advances will elucidate cross-cutting scientific principles for electrochemical stability;
ionic and electronic transport at interfaces/interphases, in bulk materials or membranes; solvation structures and dynamics
in electrolytes; nucleation and growth of materials, new phases, or defects; coupling of electrochemical and mechanicalprocesses; and kinetic factors that govern reversible and irreversible reactions. Close coupling of theory, simulation, andexperimentation is expected to accelerate scientific progress; to unravel the complex, coupled phenomena ofelectrochemical energy storage; to bridge gaps in knowledge across length and temporal scales; and to enhance thepredictive capability of electrochemical models. In the current research, prototypes will be used to demonstrate the impact
of materials advances for specific battery architectures and designs.
Based on established best practices for managing large awards, BES will continue to require quarterly reports, frequent
teleconferences, and annual progress reports and peer reviews to communicate progress, provide input on the technicaldirections, and ensure high quality research.
Computational Materials Sciences
Major strides in materials synthesis, processing, and characterization, combined with concurrent advances in computational
science—enabled by enormous improvements in high-performance computing capabilities—have opened an
unprecedented opportunity to design new materials with specific functions and properties. The goal is to leap beyond
simple extensions of current theory and models of materials towards a paradigm shift in which specialized computational
codes and software enable the design, discovery, and development of new materials, and in turn, create new advanced,
innovative technologies. Given the importance of materials to virtually all technologies, computational materials sciences
are critical for American competitiveness and global leadership in innovation.
This paradigm shift will accelerate the design of revolutionary materials to meet the Nation’s energy security and enhance
economic competitiveness. Development of fundamentally new design principles could enable stand-alone research codesa https://science.energy.gov/bes/community-resources/reports/

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and integrated software packages to address multiple length and time scales for prediction of the total functionality ofmaterials over a lifetime of use. Examples include dynamics and strongly correlated matter, conversion of solar energy toelectricity, design of new catalysts for a wide range of industrial uses, and electrical and thermal transport in materials for
improved electronics. Success will require extensive R&D with the goal of creating experimentally validated, robust
community codes that will enable functional materials innovation.
Awards in this program focus on the creation of computational codes and associated experimental/computational databases
for the design of functional materials. This research is performed by fully integrated teams, combining the skills of experts inmaterials theory, modeling, computation, synthesis, characterization, and processing/fabrication. The research includes
development of new ab initio theory, mining the data from both experimental and theoretical databases, performing
advanced in situ/in operando characterization to generate the specific parameters needed to validate computationalmodels, and well-controlled synthesis to confirm the predictions of the codes. It uses the unique world leading tools andinstruments at DOE’s user facilities, from ultrafast free electron lasers to aberration-corrected electron microscopes andneutron and x-ray scattering and includes instrumentation for atomically controlled synthesis. The computational codes will
advance the predictive capability for functional materials, use DOE’s leadership class computational capabilities, and bepositioned to take advantage of today’s petascale and tomorrow’s exascale leadership class computers. This research will
result in publicly accessible databases of experimental/computational data, appropriate data analytics tools for materials
research, and open source, robust, validated, user friendly software that captures the essential physics and chemistry of
relevant materials systems. The ultimate goal is use of these codes/data by the broader research community and by industry
to dramatically accelerate the design of new functional materials.
Computational materials science research activities are managed using the approaches developed by BES for similar large
team modalities. Management reviews by a peer review panel are held in the first year of the award, followed by a midterm peer review to assess scientific progress, with regular teleconferences, annual progress reports, and active
management by BES throughout the performance period.

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Basic Energy Sciences
Materials Sciences and Engineering
Activities and Explanation of Changes
FY 2019 Enacted
Materials Sciences and Engineering$395,744,000
Scattering and Instrumentation
Sciences Research$71,235,000
The FY 2019 Enacted budget emphasizes thedevelopment and use of forefront characterization
tools to address challenges in materials science
including understanding of quantum phenomena, witha continued emphasis on ultrafast techniques. In
addition to high spatial resolution, the researchemphasizes dynamics – understanding how material
structures and phenomena evolve with time and inenvironments that reflect the challenges for energy
generation and use. Investments in x-ray scienceemphasizes hypothesis-driven research with x-ray freeelectron laser sources, tailored excitations withpumped laser control, and coherent x-ray imaging.
Neutron scattering research emphasizes research inemergent quantum phenomena, especially research
involving interfaces. Electron scattering research
focuses on innovative techniques to assess quantum
phenomena, especially with ultrafast techniques.
Condensed Matter and Materials
Physics Research$132,463,000
The FY 2019 Enacted budget continues to focus on
fundamental experimental and theoretical research on
the properties of materials, emphasizing quantum
phenomena, continues. Experimental and theoreticalcondensed matter physics research emphasizes
quantum materials, focusing on new and emergent
behavior for QIS, including spintronics, topologicalstates and novel 2D materials. Physical behavior
Science/Basic Energy Sciences

FY 2020 Request$389,445,000

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted-$6,299,000$65,205,000
The Request will continue to emphasize the development
and use of forefront characterization tools to address
challenges in materials science including understanding ofquantum phenomena. The research will explore dynamics
across many orders of magnitude in length and timescales to understand the evolution of emergent
phenomena and in materials and their properties.
Research includes complex quantum behavior andperformance in the environments experienced bymaterials used in energy generation and use. Investments
in x-ray science will emphasize hypothesis-driven researchusing x-ray free electron laser (XFEL) sources, exploiting
tailored excitations, and imaging with coherent x-rays.
Neutron scattering research will focus on emergent
quantum phenomena and soft materials, especially atinterfaces. Electron scattering research will focus on
innovative techniques to assess quantum phenomena.

-$6,030,000
Emphasis will be on characterization of quantum
phenomena using new developments in XFELs,
neutron instrumentation, and scanning probes;
and combining techniques to produce novel multimodal approaches to understanding structure andexcitations at the quantum level of matter. This
activity will de-emphasize conventional and heavy
fermion superconductivity, lower time resolution
dynamic electron scattering, and x-ray scatteringfor bulk material systems, steady state analysis,
and equilibrium systems. Conventional materials
systems and research focused on well-establishedtools and techniques will be phased out.

$140,625,000
The Request will continue to focus on forefront
experimental and theoretical condensed matter research,emphasizing quantum phenomena including new andemergent behavior for QIS such as spintronics, topologicalstates and novel 2D materials. Physical behavior research
will emphasize innovative science to understand coherent
light-matter interactions. Related activities will advancethe underlying physical science understanding for next+$8,162,000
Research on quantum materials will continue toincrease, including a focus on innovation for new
materials systems and use of quantum computing
platforms for materials science research.
Additionally, the increased funding will support
research to provide the scientific foundations for
future microelectronics. Also highlighted isdevelopment and use of advanced computational

63

FY 2020 Congressional Budget Justification

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted
research emphasizes innovative science to understand generation electronics. Mechanical behavior andtools for materials sciences, including data mining.
optical and electronic phenomena. Mechanicalradiation effects research will continue to focus on the
Radiation effects research to address the
behavior and radiation effects research continues tomechanisms of materials failure due to mechanical strain, challenges for next generation nuclear reactors
focus on the mechanisms of materials failure due tocorrosion, and radiation environments, including thewill be emphasized. Topics to be deemphasizedmechanical strain, corrosion, and radiation
coupled extremes envisioned for future nuclear reactors. include conventional superconductivity, fractional
environments, including the coupled extremes
BES will partner with ASCR and HEP to establish at least
quantum Hall physics, and theory of granularenvisioned for future nuclear reactors.
one multi-disciplinary multi-institutional QIS center,materials. Topics to be phased out include
which will be selected through a merit reviewed process
mechanics and theory of soft matter and ionic
conducted early in FY 2020. The scope of the SC QIS
liquids.
center will be on a set of QIS applications or cross-cutting
topics that collectively cover the development space that
may impact ASCR, BES and HEP and include work on
sensors, quantum emulators/ simulators and enabling
technologies that will pave the path to exploit quantum
computing in the longer term.
FY 2019 Enacted

FY 2020 Request

Materials Discovery, Design, andSynthesis Research$65,443,000
The FY 2019 Enacted budget continues to focus onunderstanding the fundamentals of predictive designand synthesis of materials using chemical, physical andbio-inspired techniques. Understanding the dynamics
and evolution of materials structure and chemistryduring the early stages of materials synthesis isemphasized, as is research that incorporates bothexperiment and theory with the goal of advancing
broad mechanistic insights. Fundamentals of growth
kinetics, self-assembly, directed assembly, and the roleof interfaces and defect management is stressed forcomplex materials including quantum materials,
organic systems, nanomaterials, electrochemicalmaterials, polymers, and high fidelity mesoscale
systems.

$59,989,000
The Request will continue to focus on understanding thefundamentals of predictive design and synthesis ofmaterials across multiple length scales using chemical,
physical and bio-inspired techniques. Development of
insights on the dynamics of materials structure andchemistry during the early stages of materials synthesis
will be stressed, as will research that incorporates bothexperiment and theory. For complex materials andmaterials systems, research will focus on thefundamentals of growth kinetics, self-assembly, directed
and dissipative assembly, and the role of interfaces anddefect management. Discovery of new functional
materials and new synthesis and computational
techniques to create complex materials with targeted
structure and properties will be emphasized.

Science/Basic Energy Sciences

64-$5,454,000
Emphasis will be on forefront research for thesynthesis of complex materials for novel
functionalities, especially for quantum materials
and systems in which interfaces are critical. Topics
to be de-emphasized include control of synthesis
to direct materials properties, molecular materials
chemistry, and aspects of biocentric/biohybrid
research approaches. Topics to be phased out
include traditional synthesis research forconventional materials systems and optimizationof synthetic processes.

FY 2020 Congressional Budget Justification

FY 2019 Enacted
Established Program to Stimulate
Competitive Research (EPSCoR)$19,270,000
The FY 2019 Enacted budget continues to span sciencein support of the DOE mission, with emphasis on earlystage science that underpins DOE energy technology
programs. Research emphasizes EPSCoR jurisdiction
implementation awards and investment in early
career research faculty from EPSCoR designatedjurisdictions.

FY 2020 Request$7,323,000
The Request will continue to span science in support of
the DOE mission, with emphasis on early stage sciencethat underpins DOE energy technology programs.
Following the prior year focus on implementation award
investments, the focus for this year will be on broadening
EPSCoR jurisdiction-laboratory partnerships, leveraging
the DOE national laboratory energy research expertiseand user facilities. Investment will continue in early
career research faculty from EPSCoR designatedjurisdictions and in co-investment with other programs
for awards to eligible institutions.

Energy Frontier Research Centers(EFRCs)$55,800,000$65,000,000
The FY 2019 Enacted budget continues to support
The Request will continue to support four-year EFRC
EFRC awards that were made in FY 2016 and FY 2018. awards that were made in FY 2018. In addition, FY 2020
funds will support a recompetition of the four-year EFRC
awards made in FY 2016, which focused on science
relevant to DOE’s environmental management mission.
Finally, the request will support a solicitation for new
EFRCs that are responsive to recent BES strategic planningworkshop reports, including use-inspired science relevant
to advanced microelectronics and QIS.
Energy Innovation Hubs—Batteries
and Energy Storage$24,088,000
The FY 2019 Enacted budget continues to focus onearly stage research to tackle forefront, basic scientificchallenges for next-generation electrochemical energy
storage. The research emphasizes discovery science,elucidation of cross-cutting scientific principles forelectrical energy storage, and integration of theory,
experiment, and computational approaches toaccelerate progress.
Science/Basic Energy Sciences$24,088,000
The Request will continue to focus on early stage research
for next generation electrical energy storage for the gridand vehicles. Research will emphasize understanding thefundamentals of electrochemistry (transport, solvation,
evolution of chemistries and materials during charge/
discharge) and discovery science, including close couplingof theory, simulation, and experimentation, to elucidate
the impact of coupled phenomena and for predictive
design of new materials for batteries.

65

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted-$11,947,000
FY 2020 funding will focus on research thatinvolves collaboration among researchers in
EPSCoR jurisdictions with the DOE national
laboratories.

+$9,200,000
Additional funds in FY 2020 will be used to expand
the EFRC portfolio in topical areas of the highest
priority to DOE, including microelectronics and
QIS.

$—
The funding continues at the same level. Annual
peer reviews will be used to fine tune research
directions based on annual progress, input fromthe JCESR team, and peer review.

FY 2020 Congressional Budget Justification

FY 2019 Enacted

FY 2020 Request

Computational Materials Sciences$13,000,000
The FY 2019 Enacted budget continues research on
the Computational Materials Sciences (CMS) awards,
with ongoing focus on basic science necessary todevelop research-oriented, open-source,
experimentally validated software and the associateddatabases required to predictively design materials
with specific functionality. Software is developed thatutilizes leadership class computers, and madeavailable to the broad research community. In
addition, the codes incorporate frameworks that aresuited for future exascale computer systems. Awards
that complete their fourth year of research areconsidered for renewal in a solicitation that also
considers new applications.

$13,000,000
The Request will continue research on current CMS
awards that focus on development of research-oriented,
open-source, experimentally validated software and theassociated databases required to predictively designmaterials with specific functionality. Software will utilize
leadership class computers, and be made available to thebroad research community. The codes will also
incorporate frameworks suited for future exascalecomputer systems. Awards that complete their fourthyear of research will be considered for renewal in asolicitation that also considers new applications.

SBIR/STTR$14,445,000
In FY 2019, SBIR/STTR funding is set at 3.65% of noncapital funding.

$14,215,000
In FY 2020, SBIR/STTR funding will be set at 3.65% of
non-capital funding.

Science/Basic Energy Sciences

66

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted$—
The FY 2020 solicitation will incorporate materials
science research priorities from the most recent
BES workshop and roundtable reports on basic
research needs related to specific energy
technologies, QIS, and next generation electronics,
as well as consideration of data analytics andmachine learning for data-driven science.

-$230,000
Funding changes are the direct result of
decreases in non-capital funding.

FY 2020 Congressional Budget Justification

Basic Energy Sciences
Chemical Sciences, Geosciences, and Biosciences
Description
Transformations of energy among forms, and rearrangements of matter at the atomic, molecular, and nano-scales, areessential in every energy technology. The Chemical Sciences, Geosciences, and Biosciences subprogram supports research
to discover fundamental knowledge of chemical reactivity and energy conversion that is the foundation for energy-relevant
chemical processes, such as catalysis, synthesis, and light-induced chemical transformation. Research addresses thechallenge of understanding how physical and chemical phenomena at the scales of electrons, atoms, and molecules control
complex and collective behavior of macro-scale energy conversion systems. At the most fundamental level, understanding of
the quantum mechanical behavior of electrons, atoms, and molecules is rapidly evolving into the ability to control and directsuch behavior to achieve desired outcomes. This subprogram seeks to extend the new era of control science to include thecapability to tailor chemical transformations with atomic and molecular precision. Here, the challenge is to achieve fully
predictive understanding of complex chemical, geochemical, and biochemical systems at the same level of detail now
known for simple molecular systems.
To address these challenges, the portfolio includes coordinated research activities in three areas:

Fundamental Interactions—Discover the factors controlling chemical reactivity and dynamics in the gas phase,
condensed phases and at interfaces, based upon a quantum description of the interactions among photons, electrons,
atoms, and molecules.
Chemical Transformations—Understand and control the mechanisms of chemical catalysis, synthesis, separation,
stabilization and transport in complex chemical systems, from atomic to geologic scales.
Photochemistry and Biochemistry—Elucidate the molecular mechanisms of the capture of light energy and its
conversion into electrical and chemical energy through biological and chemical pathways.

This portfolio encompasses five synergistic, fundamental research themes that are at the intersections of multiple research
focus areas. An important component of ultrafast science, Ultrafast Chemistry, develops and applies approaches to probe
the dynamics of electrons that control chemical bonding and reactivity; to understand energy flow underlying energy
conversions in molecular, condensed phase, and interfacial systems; and to elucidate structural dynamics accompanying
bond breaking and bond making in chemical transformations. Chemistry at Complex Interfaces addresses the challenge ofunderstanding how the complex environment created at interfaces influences chemical phenomena such as reactivity andtransport that are important in photochemical, catalytic, separation, biochemical and geochemical systems. These complex
interfaces are structurally and functionally disordered, exhibit complex dynamic behavior, and have disparate properties ineach phase. Charge Transport and Reactivity explores how the dynamics of charges contribute to energy flow andconversion and how charge transport and reactivity are coupled. Reaction Pathways in Diverse Environments discovers theinfluence of nonequilibrium, heterogeneous, nanoscale, and extreme environments on complex reaction mechanisms inchemical conversions. Research in this area increases understanding of the factors controlling chemical processes andprovides mechanistic insights into the efficiency, control, and selectivity of reaction pathways. Chemistry in Aqueous
Environments addresses the unique properties of water, particularly how they manifest in extreme environments such asconfinement (e.g., nanoscale pores) and multi-component, multi-phase solutions (e.g., concentrated electrolytes), and therole aqueous systems play in energy and chemical conversions. The advancement of characterization tools andinstrumentation with high spatial and temporal resolution and ability to study real-world systems under operating
conditions, as well as computational and theoretical tools that provide predictive capabilities for studies of progressively
more complex systems, are essential for advancing fundamental science in these areas.
In addition to single-investigator and small-group research, the subprogram supports multi-investigator, cross-disciplinary
teams—through EFRCs, the Energy Innovation Hub for solar fuels, and Computational Chemical Sciences—to focus onforefront scientific challenges that relate to the DOE energy mission. In FY 2020, the subprogram will become a partner insupport of at least one SC QIS Center.
The FY 2020 Request continues to focus resources toward the highest priorities in early-stage fundamental research. Highpriority areas include ultrafast science to probe the dynamics of electrons, atoms, and molecules that underlie
photochemical processes, chemical transformations, and energy flow; QIS research to understand the quantum nature of
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atomic and molecular systems and research to exploit recent advances in quantum computing to address scientificchallenges that are beyond the capabilities of classical computers; photo and electrochemical processes associated with thecapture of solar energy and conversion to fuels; chemical conversion of increasingly complex chemical systems such as
polymers; the use of data analytics and machine learning for data-driven science; and chemical processes in extreme
environments, in particular the extremes of radiation, temperature, stress, and chemical reactivity, to provide fundamental
knowledge needed to understand as well as advance nuclear energy systems.
Fundamental Interactions ResearchThis activity emphasizes structural and dynamical studies of atoms, molecules, and nanostructures, and the description of
their interactions in full quantum detail. The goal is to achieve a complete understanding of reactive chemistry in the gas
phase, condensed phase, and at interfaces. Using techniques and tools developed for Ultrafast Sciences, novel sources ofphotons, electrons, and ions are used to probe and control atoms and molecules. Ultrafast optical and x-ray sources aredeveloped and used to study and direct molecular dynamics and chemical reactions to increase basic understanding of
Charge Transport and Reactivity and Reaction Pathways in Diverse Environments, and to understand how the dynamics ofmolecular environments influence reactivity and transport that is important in Chemistry at Complex Interfaces andChemistry in Aqueous Environments. Research encompasses structural and dynamical studies of chemical systems in the gas
and liquid phases. New algorithms for computational chemistry are developed for an accurate and efficient description ofchemical processes to better understand Reaction Pathways in Diverse Environments, Charge Transport and Reactivity,
Chemistry at Complex Interfaces, and Ultrafast Chemistry. These theoretical and computational approaches are applied inclose coordination with experiment. The knowledge and techniques produced by Fundamental Interactions research form ascience base that underpins numerous aspects of the DOE mission.
The principal research thrusts in this activity are atomic, molecular, and optical sciences (AMOS) and three areas of chemical
physics: gas phase chemical physics, condensed phase and interfacial molecular science, and computational and theoreticalchemistry. AMOS research emphasizes the fundamental interactions of atoms and molecules with electrons and photons,
particularly intense, ultrafast x-ray pulses, to characterize and control. The goal, which will be fundamental to the work of SC
QIS Centers, is to develop accurate quantum mechanical descriptions of ultrafast dynamical processes such as chemicalbond breaking and forming, interactions in strong fields, and electron correlation. Novel attosecond sources and x-ray freeelectron laser sources such as the Linac Coherent Light Source (LCLS) are used to image the dynamics of electrons andcharge transport. Chemical physics research builds from the AMOS foundation by examining the reactive chemistry ofmolecules whose chemistry is profoundly affected by the environment, especially at complex interfaces. The transition frommolecular-scale chemistry to collective phenomena is explored at a molecular level in condensed phase systems, such as theeffects of solvation or interfaces on chemical structure and reactivity. The goal is to understand reactivity and dynamical
processes in liquid systems and at complex interfaces using model systems. Understanding of such collective behavior is
critical in a wide range of energy and environmental applications, including solar energy conversion, radiolytic effects, andcatalysis. In addition, unraveling complex mechanisms of chemical reactions at interfaces can inform the design andsynthesis of new materials relevant to microelectronics and QIS. Gas-phase chemical physics emphasizes experimental andtheoretical studies of the ultrafast dynamics and rates of chemical reactions, as well as the chemical and physical propertiesof key intermediates relevant to catalysis and combustion. Computational and theoretical research supports thedevelopment and integration of new and existing theoretical and computational approaches for accurate and efficientdescriptions of ultrafast processes relevant to catalysis and charge transport and to understand quantum effects, such as
coherence in molecular systems, which are the foundation for creating novel QIS systems. Of special interest is foundational
research on computational design of molecular- to meso-scale materials, and on next-generation simulation of complex
dynamical processes. Research in this area is crucial to utilize planned exascale computing facilities and to optimize use ofexisting petascale computers, leveraging U.S. leadership in the development of computational chemistry codes; in thecontext of SC QIS Centers, this research also lays groundwork for applications of future quantum computers tocomputational quantum chemistry. Additional emphasis will be placed on codes that contribute to a fundamental
understanding of how molecules might function as components of quantum computers.
This activity includes the SC QIS Centers which will promote basic research and early stage development to accelerate theadvancement of QIS through vertical integration between systems and theory and hardware and software. As identified by
BES strategic planning reports including the Roundtable on Opportunities for Quantum Computing in Chemical andMaterials Sciences and the Roundtable on Opportunities for Basic Research for Next-Generation Quantum Systems, key
technical areas will include fundamental theory of materials and molecular systems for quantum applications; research
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FY 2020 Congressional Budget Justification

leading to materials and molecular systems that meet quantum communication, computation, and sensor requirements;
fundamental research on device physics for next generation QIS systems, including interface science; and synthesis andfabrication research for quantum materials and processes, including integration in novel device architectures. In FY 2020,
BES will partner with ASCR and HEP to establish at least one multi-disciplinary multi-institutional QIS center, which will beselected through a merit reviewed process conducted early in FY 2020. The scope of the SC QIS center will be on a set of QIS
applications or cross-cutting topics that collectively cover the development space that may impact ASCR, BES and HEP and
include work on sensors, quantum emulators/simulators and enabling technologies that will pave the path to exploit
quantum computing in the longer term.
Chemical Transformations Research
Fundamentally, Chemical Transformations Research advances the knowledge of chemical reactivity, matter transport, andchemical separation and stabilization processes that will ultimately impact fuel science, separation science, heavy element
chemistry and geosciences. The research uses tools from Ultrafast Chemistry to identify transient species during reactions
and refine theories of reactivity; advances understanding of Charge Transport and Reactivity important in electrocatalytic
and geochemical redox processes; explores Chemistry at Complex Interfaces in catalytic, geochemical and separation
systems; and develops understanding of Chemistry in Aqueous Environments that play important roles in geochemicaltransformations and chemical separations, including heavy elements. This research breadth demands a broad coverage ofscientific disciplines, experimental tools, and theoretical, computational and data analytics approaches. Hence, Chemical
Transformations comprise four core areas: Catalysis Science, Separation Science, Heavy Element Chemistry andGeosciences.
Reaction Pathways in Diverse Environments represent a major fraction of the research in this activity, particularly focused onachieving predictability and control of catalytic conversions, which are dominated by correlated structural and electronic
dynamics under reaction conditions. This chemistry encompasses interfacial dynamics of catalytic particles, transient orreactive interfacial species, multifunctional membranes, nanostructured electrodes, and multiphase electrolytes. This
activity supports development and application of theoretical, computational and data analytics methods to achieve a
deeper understanding of reaction and separation pathways and processes; design new catalysts, membranes or separation
media; and predict transport and reaction processes in the Earth’s subsurface. This activity contains the largest single
program in non-biological Catalysis Science. The fundamental knowledge gained from this research activity provides thefoundation for replacing critical elements such as noble metals in catalytic processes, for enabling the beneficial chemical
conversion of complex materials, such as synthetic polymers, and for guiding synthesis mechanisms of novel molecularsystems for microelectronics.
This activity supports fundamental separation science to resolve complex organic or inorganic mixtures, extract actinides
from complex solutions, or recover targeted species from streams. Controlling the interaction of electric fields and matterallows for improved separations and controlled reactions. Controlling charge transport and reactivity is essential toefficiently control electroseparations as well as redox processes in fuel cells, electrocatalysts, reactive membranes ormineral interfaces. The fundamental knowledge gained from this research activity provides the foundations for extracting
and purifying critical elements from waste as well as new resources.
Foundational knowledge for future nuclear energy approaches is provided through fundamental studies of the structure andreactivity of actinide-containing molecules in extreme environments such as those in nuclear reactors and nuclear waste
containment. Radionuclides and heavy elements under extreme radiation environments exhibit unique dynamic and kinetic
behavior. The challenges are further compounded by the evolution of these chemical mixtures over time. The chemistry of
aqueous systems plays an important role in understanding the science of separations for these mixtures as well as theirevolution.
Geosciences research provides the fundamental scientific basis underlying the subsurface chemistry and physics of natural
substances under extreme conditions of pressure in solid or confined environments (e.g., porous media). Understanding
chemistry of aqueous solutions at mineral interfaces and in confined environments is a common theme for this research
activity, which advances knowledge of subsurface fracture, fluid flow and complex chemistry occurring over multiple scalesof time and space.

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FY 2020 Congressional Budget Justification

Photochemistry and Biochemistry ResearchThis activity supports research on the molecular mechanisms that capture light energy and convert it into electrical andchemical energy in both natural and man-made systems. An important component of this activity is its leadership role in the
support of basic research in both solar photochemistry and natural photosynthesis. The fundamental chemical and physicalconcepts resulting from studies of both natural systems (e.g. photosynthetic and affiliated downstream biological processes)
and man-made chemical systems provide crucial foundational knowledge on processes of energy capture, conversion, andstorage.
Supported research on the structural and chemical dynamics of energy absorption, transfer, conversion and storage acrossmultiple spatial and temporal scales provides fundamental knowledge of Charge Transport and Reactivity. Efforts target thebasic understanding of mechanisms and dynamics of chemical and biochemical processes including water oxidation, chargetransfer, and redox interconversion of small molecules (e.g. carbon dioxide/methane, nitrogen/ammonia, andprotons/hydrogen). A breadth of approaches and tools, such as those in Ultrafast Chemistry, are used to investigate
quantum phenomena in natural and artificial systems; studies of the potential role and manipulation of photodriven
quantum coherence in natural photosynthesis and artificial molecular systems could not only enhance fundamental
understanding of energy transfer but also inspire new methods for quantum information processing, potentially in theportfolio of SC QIS Centers. Crosscutting research underpins a fundamental understanding of the synthesis, dynamics, andfunction of natural and artificial membranes and nano- to meso-scale structures, increasing knowledge of Chemistry atComplex Interfaces as well as Chemistry in Aqueous Environments. To understand Reaction Pathways in Diverse
Environments, structural, functional and mechanistic properties of enzymes, enzyme systems, and energy-relevant biologicalreactions are studied, identifying principles important for catalyst function, selectivity, and stability. These cross-cutting
synergistic efforts are exemplified by studies of the water oxidation reaction and the nitrogen reduction reaction that arecatalyzed by complex and unique metalloclusters of the oxygen evolving complex in natural photosynthesis and thenitrogenase enzyme in microbial systems respectively.
Studies of natural photosynthesis provide an understanding of the dynamic mechanisms of solar energy capture andconversion in biological systems, from the atomic scale through the mesoscale. Research efforts encompass light harvesting,quantum coherent energy transfer, electron and proton transport, photosynthetic uptake and reduction of carbon dioxide,and mechanisms of self-assembly, self-regulation, and self-repair exhibited by the proteins, membranes and cellularcompartments that perform natural photosynthesis. The resulting mechanistic understanding of natural photosynthesis
provides inspiration in the development of bio-hybrid, biomimetic, and artificial photosynthetic systems for solar fuels
production and informs strategies to enhance photosynthetic efficiency in natural systems. Physical science tools are used
extensively to probe structural, functional, and mechanistic properties of enzymes, enzyme systems, and energy-relevant
biological reactions and pathways related to energy capture, conversion, and storage in natural systems, including complex
multielectron redox reactions, electron transfer and bifurcation, and processes beyond primary photosynthesis such as
nitrogen reduction and deposition of reduced carbon into energy-dense carbohydrates and lipids. This knowledge of energy
conversion and storage in natural systems will identify principles for the design of highly selective and efficient catalysts, forinstance, for ammonia synthesis or chemical conversion of polymers; the control of electron flow to achieve desired
metabolic products; and the design of next-generation energy conversion/storage technologies.
Complementary research on solar energy conversion in chemical and artificial systems focuses on the elementary steps oflight absorption, charge separation, and charge transport within a number of chemical systems. Supported research
incorporates organic and inorganic photochemistry, catalysis and photocatalysis, light-driven electron and energy transfer inthe condensed phase and across interfaces, photoelectrochemistry, photodriven generation of quantum coherence inartificial molecular systems, and artificial assemblies for charge separation and transport. These studies provide essential
foundational knowledge for the use of solar energy for fuel production and electricity generation.
This activity also supports radiation science, investigating fundamental physical and chemical effects produced by theabsorption of energy from ionizing radiation. A common theme is the exploration of radiolytic processes that occur acrosssolid-liquid and solid-gas interfaces, where surface chemistry can be activated and changed by radiolysis. These studies
increase fundamental knowledge of the chemical reactions that occur in radiation fields of nuclear reactors, including intheir fuel and coolants, and can provide insights for effective nuclear waste remediation, fuel-cycle separation and design of
nuclear reactors.
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Energy Frontier Research Centers (EFRCs)
The EFRC program is a unique research modality, bringing together the skills and talents of teams of investigators to perform
energy-relevant, basic research with a scope and complexity beyond what is possible in standard single-investigator or
small-group awards. These multi-investigator, multi-disciplinary centers foster, encourage, and accelerate basic research toenable transformative scientific advances. They allow experts from a variety of disciplines to collaborate on sharedchallenges, combining their strengths to uncover new and innovative solutions to the most difficult problems in chemical
sciences, geosciences, and biosciences. The EFRCs also support numerous graduate students and postdoctoral researchers,
educating and training a scientific workforce for the 21st century economy. The EFRCs supported in this subprogram focus on
the following topics: the design, discovery, characterization, and control of the chemical, biochemical, and geologicalmoieties and processes for the advanced conversion of solar energy into chemical fuels and for improved electrochemicalstorage of energy; the understanding of catalytic chemistry and biochemistry that are foundational for fuels, chemicals, andseparations; interdependent energy-water issues; future nuclear energy; and advanced interrogation and characterization of
the earth’s subsurface. After eight years of research activity, the program has produced an impressive breadth ofaccomplishments, including over 10,500 peer-reviewed journal publications.
BES’s active management of the EFRCs continues to be an important feature of the program. A variety of methods are used
to regularly assess the progress of the EFRCs, including annual progress reports, monthly phone calls with the EFRC
Directors, periodic Directors’ meetings, and on-site visits by program managers. BES also conducts in-person reviews by
outside experts. Each EFRC undergoes a review of its management structure and approach in the first year of the award anda midterm assessment of scientific progress compared to its scientific goals. To facilitate communication of results to other
EFRCs and DOE, BES holds meetings of the EFRC researchers biennially.
Energy Innovation Hubs—Fuels from Sunlight
Established in September 2010, the Fuels from Sunlight Hub, called the Joint Center for Artificial Photosynthesis (JCAP), is amulti-disciplinary, multi-investigator, multi-institutional effort to create the scientific foundation for transformative advancesin the development of artificial photosynthetic systems for the conversion of sunlight, water, and carbon dioxide into a
range of commercially useful fuels. JCAP was renewed by BES for a final five-year award term starting on September 30,
2015, at an annual funding level of $15M. JCAP is led by the California Institute of Technology (Caltech) in primarypartnership with Lawrence Berkeley National Laboratory (LBNL). Other partners include the SLAC National Accelerator
Laboratory and University of California institutions.
JCAP’s fundamental research enabled development of experimental artificial photosynthesis systems using earth-abundantcatalysts for efficient solar-to-hydrogen conversion, now up to 19%. Central to these systems is JCAP’s research leading to
the development of transparent electrically conductive coatings for semiconductors that protect against corrosion in the
aqueous electrolytes used for solar-fuels generation. JCAP research is also solving the critical and highly complex puzzle ofdirecting the selectivity of carbon dioxide reduction into specific products. Studies revealed that molecular-level
modifications to the reaction electrolyte of an electrocatalyst pre-activated carbon dioxide to promote formation of valuable
two- and three-carbon products. JCAP used high throughput experimentation and theory to identify unique light absorbers
with desired energetics; the combination of light absorbers and selective electrocatalysis is a crucial tool in defining
mechanisms of light-driven carbon dioxide reduction.
With the completion of the second five-year term of JCAP, FY 2020 funding is requested for continued support of early-stage
fundamental research on solar fuels generation that builds on JCAP’s unique capabilities and accomplishments to date. An
open competition will be held to solicit new awards of multi-investigator, cross-disciplinary solar fuels research to address
emerging new directions as well as long-standing challenges in this transformational area of energy science.
Computational Chemical Sciences
Software solutions and infrastructure provide the enabling tools for an effective scientific strategy to address the nation’senergy challenges. BES-supported activities are entering a new era in which chemical reactions can be controlled and mattercan be built with atom-by-atom precision. At the foundation of this new era are computational models that can accurately
predict the behavior of molecules and materials based on theoretical calculations prior to their experimental synthesis.
Open-source and commercial codes have established American dominance in computational chemistry. However, that
dominance is being challenged with the transition to predominantly massively-parallel high performance computing (HPC)
platforms, because most existing computational chemistry codes are unable to use efficiently more than one percent of the
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FY 2020 Congressional Budget Justification

processors available on existing leadership-class supercomputers. While recent breakthroughs in computational chemistry
provide a strong foundation for future success, a multidisciplinary team effort is critically needed to modify or replace
existing computational chemistry codes with codes that are well-adapted to current petascale and anticipated exascalearchitectures.
BES launched research awards in FY 2017 to perform computational chemical sciences research that focuses on the creationof computational codes and associated experimental/computational databases for the design of chemical processes andassemblies. Additional awards were initiated in FY 2018. These research efforts combine the skills of experts in theoreticalchemistry, modeling, computation, and applied mathematics. The research includes development of new ab initio theory,mining data from both experimental and theoretical databases, and experimental validation of the codes. The
computational codes will advance the predictive capability for chemical processes and assemblies, using DOE’s scientificuser facilities (including both advanced experimental as well as leadership class computational capabilities). This research
will result in publicly accessible databases of experimental/computational data and open source, robust, validated, user
friendly software that captures the essential physics and chemistry of relevant chemical systems. The ultimate goal is use of
these codes/data by the broader research community and by industry to dramatically accelerate chemical research in the
United States.
Computational chemical science research activities are managed using the approaches developed by BES for similar large
team modalities. Management reviews by a peer review panel are held in the first year of the award, followed by a midterm peer review to assess scientific progress, with monthly teleconferences, annual progress reports, and active
management by BES throughout the performance period.
General Plant Projects (GPP)
GPP funding provides for minor new construction, for other capital alterations and additions, and for improvements to land,buildings, and utility systems to maintain the productivity and usefulness of DOE-owned facilities and to meet requirements
for safe and reliable facilities operation.

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72

FY 2020 Congressional Budget Justification

Basic Energy Sciences
Chemical Sciences, Geosciences, and Biosciences
Activities and Explanation of Changes
FY 2019 Enacted
Chemical Sciences, Geosciences, andBiosciences$358,890,000
Fundamental Interactions Research$89,067,000
The FY 2019 Enacted budget continues to develop andapply forefront ultrafast x‐ray and optical probes ofmatter to study and control energy flow and bondrearrangements. Gas phase research continues todevelop and apply approaches to examine the structureand dynamics of reactive intermediates and how they
impact reaction pathways in heterogeneousenvironments. Research efforts are extended tounderstand and control chemical processes anddynamics, at the molecular level, in increasingly
complex aqueous and interfacial systems. Research
expands the use of ultrafast techniques to study gasphase, condensed phase and interfacial chemical
phenomena. The activity develops advanced
theoretical methods for electronic structure
calculations that can be scaled to operate on exascalecomputers. Research supports the development of newcomputational tools to calculate electronically excitedstates in molecules and extended mesoscale systems,
to guide and interpret ultrafast measurements, and todevelop new catalysts. The activity emphasizes efforts
to drive advances in the application of quantum
computing for molecular calculations.

Science/Basic Energy Sciences

FY 2020 Request$343,407,000$84,111,000
The Request will continue to develop forefront
ultrafast approaches, with emphasis on the use of xray free electron lasers, to study and control energy
flow and bond rearrangements in gas-phase,
condensed phase and interfacial chemical
phenomena. Gas-phase research will continue
studies of how reactive intermediates inheterogeneous environments impact reaction
pathways and expand to examine quantum
phenomena such as coherence and entanglement intailored molecules. Research will extend efforts tounderstand and control chemical processes andquantum phenomena, at the molecular level, inincreasingly complex aqueous and interfacialsystems. Understanding interfacial chemical
reactions and their control will inform the design andsynthesis of new materials relevant tomicroelectronics. The activity will continue todevelop advanced theoretical and computational
approaches, including data science approaches suchas machine learning, that can be scaled to operate on
exascale computers and apply the approaches tocalculations on progressively complex systems toguide and interpret ultrafast measurements and todevelop understanding needed to advance catalysis
and solar energy research. The activity will continue
to emphasize efforts to drive advances in theapplication of quantum computing for molecular
calculations. BES will partner with ASCR and HEP to73

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted-$15,483,000-$4,956,000
Research will emphasize forefront efforts to image
molecular dynamics using, as well as developing,ultrafast capabilities at BES light sources, tounderstand increasingly complex interfacial systems,
and to advance exascale-ready computational tools
and data science approaches for molecular systems ofincreasing complexity. Continuing emphasis willremain on leading efforts to discover the factors
controlling chemical reactivity and dynamics in the gas
phase, condensed phases and at interfaces, based
upon fundamental knowledge of the interactions
among photons, electrons, atoms, and molecules.
Research will emphasize experimental andcomputational studies of tailored molecular systems
in the gas-phase, solutions, and interfacial systems tounderstand quantum phenomena underlying
quantum systems for QIS. Emphasis continues onunderstanding the molecular mechanisms of chargetransport. New efforts will develop an understandingof interfacial processes that inform the design andsynthesis of systems with advanced (opto)electronicand spin properties relevant to microelectronics. The
application of quantum computing to calculations ofmolecular structure and dynamics will continue to beemphasized. This activity will continue to deemphasize aspects of nanoscience and combustion
research.

FY 2020 Congressional Budget Justification

FY 2019 Enacted

FY 2020 Request

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted

establish at least one multi-disciplinary multiinstitutional QIS center, which will be selected
through a merit reviewed process conducted early in
FY 2020. The scope of the SC QIS center will be on aset of QIS applications or cross-cutting topics thatcollectively cover the development space that may
impact ASCR, BES and HEP and include work on
sensors, quantum emulators/ simulators andenabling technologies that will pave the path to
exploit quantum computing in the longer term.
Chemical Transformations Research$97,836,000
The FY 2019 Enacted budget continues to support
predictive fundamental research on the design andsynthesis of novel catalysts to efficiently convert
chemical feedstocks to high-value fuels and chemicals.
New routes to the efficient synthesis of high-energy
chemicals such as hydrogen, ammonia, methanol, andothers, continues to be pursued. Fundamental
separation science research continues on innovative
approaches for separating chemical mixtures.
Molecular recognition at complex interfaces, predictive
theory for transport and separation in confinedenvironments, and multiscale methods for bonding anddynamics continues to be supported, increasingly with
exascale capabilities. Geochemical and geophysicalmechanisms of reaction and transport processes in thesubsurface environments, such as nucleation, growthand mineralization, solvation in aqueous environments
at extreme conditions, and dynamics at mineral-waterinterfaces continues to be supported. Heavy element
research continues to expand the knowledge of thechemistry of actinide reactivity, bonding, synthesis, andseparation, and also support training in nuclear
chemistry. Theoretical methods continue to beadvanced to accurately describe the chemistry of felement compounds.
Science/Basic Energy Sciences$83,635,000
The Request will continue to support predictive
fundamental research on the design and synthesis ofnovel catalysts to efficiently convert chemical
feedstocks, including synthetic polymers, to highvalue fuels and chemicals. Fundamental studies will
also target the understanding and control of thesynthesis and reconstruction of molecular structureswith advanced (opto)electronic and spin properties.
Fundamental separation science research willcontinue on innovative approaches for separatingchemical mixtures. This activity will emphasize theuse of computational approaches, including data
science tools and multi-scale methods, to investigate
molecular recognition at complex interfaces, predict
transport and separation in confined environments,
and bonding and dynamics. Geochemical andgeophysical mechanisms of reaction and transport
processes in the subsurface environments, such as
nucleation, growth and mineralization, solvation inaqueous environments at extreme conditions, anddynamics at mineral-water interfaces will continue tobe supported. Heavy element research will continue
to expand the knowledge of the chemistry of actinide
reactivity, bonding, synthesis, and separation, andalso support training in nuclear chemistry.

74-$14,201,000
Research will emphasize efforts in ultrafast
spectroscopy for detailed studies of reaction
pathways, electronic structure calculations for
systems of increasing molecular and solid complexity,
and multiscale modeling, simulations, and data
science approaches for complex reaction andtransport processes. Research will continue to leadthe mechanistic understanding of chemical catalysis,
synthesis, separations, stabilization and transport
required to control chemical processes in diverse
environments created by complex atomicarchitectures, solvents, electric or mechanical field. It
will provide new knowledge of reaction processes that
integrate multiple steps, such as chemical conversion
and chemical separation steps of multiple sources ofenergy and feedstocks, including polymeric materials.
This activity will emphasize fundamental studies of thestructure, dynamics, and energetics of coolants andfuels in extreme nuclear environments, and thechemical and physical properties of interfaces andheavy elements in these environments. Efforts will
explore molecular mechanisms central to thesynthesis of novel molecular systems for
microelectronics. This activity will continue to deemphasize research on chemical analysis, synthesis of
FY 2020 Congressional Budget Justification

FY 2019 Enacted

FY 2020 Request
Theoretical methods will continue to be advanced toaccurately describe the chemistry of f-element
compounds.

Photochemistry and Biochemistry
Research$75,724,000
The FY 2019 Enacted budget continues to support
fundamental research on photon energy capture andconversion into chemical and electrical energy throughnon-biological (chemical) and biological(photosynthetic) pathways. Studies of light absorption,energy transfer, and charge transport and separation
continues to be emphasized in both natural andartificial systems. Research of the fundamental
mechanisms of photocatalysis and biocatalysis continue
to make use of innovative ultrafast methodologies aswell as computation and modeling. Efforts tounderstand processes and reactions on ultrafast
timescales for energy conversion in natural and artificial
systems continue to be supported and target afundamental understanding of ultrafast chemistry andof reactivity across complex interfaces, in aqueous
environments, and under dynamic conditions. Researchalso continues to examine how water drives formationof mesoscale structures for energy capture andconversion in natural systems and the chemistry andstructure of water and other molecules within the fieldof highly ionizing radiation.

$64,163,000
The Request will continue to support fundamental
research and innovative approaches to understandphysical, chemical, and biochemical processes of lightenergy capture and conversion in chemical andbiological systems. Studies of light absorption,energy transfer, charge transport and separation,and photocatalysis will continue to be emphasized inboth natural and artificial systems to advancefoundational knowledge of solar energy capture andconversion with an emphasis on solar fuels
generation. Understanding of molecular mechanismsof photon capture and electron transfer will advancesolar fuels research as well as provide insights intoquantum phenomena in energy transfer. Research on
biocatalysis will continue to focus on a mechanistic
understanding of enzyme structure and function witha particular emphasis on multi-electron redox
reactions, electron bifurcation, and co-factor tuning.
Efforts to understand processes and reactions on
ultrafast timescales for energy conversion in naturaland artificial systems will continue as will studies ofreactivity across complex interfaces, in aqueous
environments, and under dynamic conditions.

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted
nanomaterials, physics of fluids in rock systems, andbiocatalytic reactions.

-$11,561,000
Research will emphasize cutting-edge science of
charge transport, energy transfer, photo- and biocatalytic mechanisms, and excited-state dynamics ofprocesses important for energy capture andconversion in chemical and biological systems. Studies
will increase focus on quantum phenomena inphotochemical and biochemical processes, such as
quantum coherence in energy transfer. Studies of
biocatalysis and biological energy conversion willemphasize multi-electron reactions and control ofelectron flow to identify fundamental principles forcatalyst and pathway design, for example, for targetedchemical production or for chemical conversion ofcomplex materials such as polymers. Research infundamental radiation chemistry will continue to beemphasized to provide a foundation for prediction
and control of radiation-chemical transformations incomplex systems. Emphasis on light capture andcharge transfer will include fundamental phenomena
important for quantum information science. This
activity will continue to de-emphasize efforts in plant
cell wall biosynthesis and structure, light signaling inplant development, organismal level studies, andmolecular solar thermal energy storage.

Energy Frontier Research Centers(EFRCs)$54,200,000$65,000,000+$10,800,000
The FY 2019 Enacted budget continues to support EFRC The Request will continue to support four-year EFRC Additional funds in FY 2020 will be used to expand theawards that were made in FY 2016 and FY 2018.
awards that were made in FY 2018. In addition,
EFRC portfolio in topical areas of the highest priority
FY 2020 funds will support a recompetition of theto DOE, including microelectronics and QIS.
four-year EFRC awards made in FY 2016, which
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FY 2020 Congressional Budget Justification

FY 2019 Enacted

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted

FY 2020 Request
focused on science relevant to DOE’s environmental
management mission. Finally, the request will
support a solicitation for new EFRCs that are
responsive to recent BES strategic planning workshop
reports, including use-inspired science relevant toadvanced microelectronics and QIS.

Energy Innovation Hubs—Fuels from
Sunlight$15,000,000$20,000,000
The FY 2019 Enacted budget continues to support
The Request will support early-stage fundamental
JCAP’s fundamental research on the science of carbon
research on solar fuels generation that builds on
dioxide reduction.
JCAP’s unique capabilities and accomplishments todate. A competition will be held to solicit new awardsof multi-investigator, cross-disciplinary solar fuels
research to address emerging new directions as well
as long-standing challenges in this transformational
area of energy science. Research will focus on
tackling forefront, fundamental scientific challenges
for generating fuels using only sunlight, carbon
dioxide, and water as inputs. Advances in this area
will also benefit from consideration of photodriven
generation of fuels from molecules other than CO2.
The research will capitalize on unique capabilities andaccomplishments developed to date to elucidate
scientific principles for light energy capture andconversion into chemical bonds by integrating
experiment and theory, including coupling highthroughput experimentation with artificial
intelligence to accelerate progress.

+$5,000,000
The highest priorities in fundamental solar fuels
generation research will be supported, building on
capabilities and accomplishments developed by theformer Fuels from Sunlight Hub, JCAP. Additional
funding will expand fundamental research efforts inchallenging aspects of solar fuels generation with aparticular emphasis on photo-electrocatalysis for CO2.
The focus remains on use of only sunlight, carbon
dioxide, and water as inputs for fuel production;
however, new insights may be gained from studies ofphotodriven conversion of other molecules to fuels.

Computational Chemical Sciences$13,000,000$13,000,000
The FY 2019 Enacted budget continues to support
The Request will continue the CCS awards, with
No changes.
Computational Chemical Sciences (CCS) awards thatongoing focus on developing public, open source
were made in FY 2017 and any new awards incodes for future exascale computer platforms.
complementary research areas made in FY 2018.

$—

General Plant Projects$—

Science/Basic Energy Sciences$1,000,000$1,000,00076

FY 2020 Congressional Budget Justification

FY 2019 Enacted
The FY 2019 Enacted budget supports minor facility
improvements at Ames Laboratory.

FY 2020 Request
The Request will support minor facility
improvements at Ames Laboratory.

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted
No changes.

SBIR/STTR$13,063,000$12,498,000-$565,000
In FY 2019, SBIR/STTR funding is set at 3.65% of nonIn FY 2020, SBIR/STTR funding will be set at 3.65% of Funding changes are the direct result of decreases incapital funding.
non-capital funding.
non-capital funding.

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78

Basic Energy Sciences
Scientific User Facilities
Description
The Scientific User Facilities subprogram supports the operation of a geographically diverse suite of major research facilities
that provide thousands of researchers from universities, industry, and government laboratories unique tools to advance awide range of sciences. These user facilities are operated on an open access, competitive merit review basis, enabling
scientists from every state and many disciplines from academia, national laboratories, and industry to utilize the facilities’
unique capabilities and sophisticated instrumentation.
Studying matter at the level of atoms and molecules requires instruments that can probe structures that are one thousand
times smaller than those detectable by the most advanced light microscopes. Thus, to characterize structures with atomic
detail, we must use probes such as x-rays, electrons, and neutrons with wavelengths at least as small as the structures being
investigated. The BES user facilities portfolio consists of a complementary set of intense x-ray sources, neutron scattering
centers, and research centers for nanoscale science. These facilities allow researchers to probe materials in space, time, andenergy with the appropriate resolutions that can interrogate the inner workings of matter to answer some of the mostchallenging grand science questions. By taking advantage of the intrinsic charge, mass, and magnetic characteristics of
x-rays, neutrons, and electrons, these tools offer unique capabilities to help understand the fundamental aspects of thenatural world.
Advances in tools and instruments often drive scientific discovery. The continual development and upgrade of the
instrumental capabilities include new x-ray and neutron experimental stations, improved core facilities, and new standalone instruments. The subprogram also supports research in accelerator and detector development to explore technology
options for the next generations of x-ray and neutron sources.
The twelve BES scientific user facilities provide the nation with the most comprehensive and advanced x-ray, neutron, andelectron based experimental tools enabling fundamental discovery science. Hundreds of experiments are conductedsimultaneously around the clock generating vast quantities of raw experimental data that must be stored, transported, andthen analyzed to convert the raw data into information to unlock the answers to important scientific questions. Managing
the collection, transport and analysis of data at the BES facilities is a growing challenge as new facilities come on line withexpanded scientific capabilities coupled together with advances in detector technology. Over the next decade, the data
volume, and the computational power to process the data, is expected to grow by several orders of magnitude. Artificial
intelligence and machine learning will bring new software and hardware advances to help address these data andinformation challenges.
In FY 2018, the BES scientific facilities were used by more than 16,000 scientists and engineers in many fields of science andtechnology. These facilities provide unique capabilities to the scientific community and industry and are a criticalcomponent of maintaining U.S. leadership in the physical sciences. Collectively, these user facilities and enabling tools
contribute to important research results that span the continuum from basic to applied research and embrace the full rangeof scientific and technological endeavors, including chemistry, physics, geology, materials science, environmental science,
biology, and biomedical science. These capabilities enable scientific insights that can lead to the discovery and design ofadvanced materials and novel chemical processes with broad societal impacts, from energy applications to information
technologies and biopharmaceutical discoveries. The advances enabled by these facilities extend from energy-efficient
catalysts to spin-based electronics and new drugs for cancer therapy. For approved, peer-reviewed projects, operating time
is available at no cost to researchers who intend to publish their results in the open literature.
X-Ray Light Sources
X-rays are an essential tool for studying the structure of matter and have long been used to peer into material throughwhich visible light cannot penetrate. Today’s light source facilities produce x-rays that are billions of times brighter than
medical x-rays. Scientists use these highly focused, intense beams of x-rays to reveal the identity and arrangement of atoms
in a wide range of materials. The tiny wavelength of x-rays allows us to see things that visible light cannot resolve, such as
the arrangement of atoms in metals, semiconductors, biological molecules, and other materials. The fundamental tenet ofmaterials research is that structure determines function. The practical corollary that converts materials research from an
intellectual exercise into a foundation of our modern technology-driven economy is that structure can be manipulated to
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FY 2020 Congressional Budget Justificationconstruct materials with particular desired behaviors. To this end, x-rays have become a primary tool for probing the atomic
and electronic structure of materials internally and on their surfaces.
From its first systematic use as an experimental tool in the 1960s, large scale light source facilities have vastly enhanced theutility of pre-existing and contemporary techniques, such as x-ray diffraction, x-ray spectroscopy, and imaging and havegiven rise to scores of new ways to do experiments that would not otherwise be feasible with conventional x-ray machines.
Moreover, the wavelength can be selected over a broad range (from the infrared to hard x-rays) to match the needs ofparticular experiments. Together with additional features, such as controllable polarization, coherence, and ultrafast pulsed
time structure, these characteristics make x-ray light sources an important tool for a wide range of materials research. The
wavelengths of the emitted photons span a range of dimensions from the atom to biological cells, thereby providing incisiveprobes for advanced research in a wide range of areas, including materials science, physical and chemical sciences,metrology, geosciences, environmental sciences, biosciences, medical sciences, and pharmaceutical sciences. BES operates asuite of five light sources, including a free electron laser, the Linac Coherent Light Source (LCLS) at SLAC, and four storage
ring based light sources—the Advanced Light Source (ALS) at LBNL, the Advanced Photon Source (APS) at ANL, the Stanford
Synchrotron Radiation Lightsource (SSRL) at SLAC, and the National Synchrotron Light Source-II (NSLS-II) at BNL. BES also
provides funds to support facility operations, to enable cutting-edge research and technical support, and to administer theuser program at these facilities, which are made available to all researchers with access determined via peer review of user
proposals.
Since completing construction of NSLS-II in FY 2015, BES has invested in the scientific research capabilities at this advanced
light source facility by building specialized experimental stations or “beamlines.” The initial suite of 7 beamlines has
expanded to the current 28 beamlines with room for at least 30 more. In order to adopt the most up-to-date technologies
and to provide the most advanced capabilities, BES plans a phased approach to new beamlines at NSLS-II, as was done forthe other light sources in the BES portfolio. The NSLS-II Experimental Tools-II (NEXT-II) major item of equipment (MIE)project proposed in the FY 2020 request will provide three best-in-class beamlines to support the needs of the U.S. researchcommunity. These beamlines will focus on the techniques of coherent diffraction imaging, soft x-ray spectromicroscopy, andnanoscale probes of electronic excitations.
High Flux Neutron Sources
One of the goals of modern materials science is to understand the factors that determine the properties of matter on theatomic scale and to use this knowledge to optimize those properties or to develop new materials and functionality. This
process regularly involves the discovery of fascinating new physics, which itself may lead to previously unexpected
applications. Among the different probes used to investigate atomic-scale structure and dynamics, thermal neutrons haveunique advantages:








they have a wavelength similar to the spacing between atoms, allowing atomic resolution studies of structure, and havean energy similar to the elementary excitations of atoms and magnetic spins in materials, thus allowing an investigationof material dynamics;
they have no charge, allowing deep penetration into a bulk material;
they are scattered to a similar extent by both light and heavy atoms but differently by different isotopes of the sameelement, so that different chemical sites can be distinguished via isotope substitution experiments, for example inorganic and biological materials;
they have a magnetic moment, and thus can probe magnetism in condensed matter systems; andtheir scattering cross-section is precisely measurable on an absolute scale, facilitating straightforward comparison withtheory and computer modeling.

The High Flux Isotope Reactor (HFIR) at ORNL generates neutrons via fission in a research reactor. HFIR operates at 85
megawatts and provides state-of-the-art facilities for neutron scattering, materials irradiation, and neutron activation
analysis. It is the world’s leading production source of elements heavier than plutonium for medical, industrial, and research
applications. There are 12 instruments in the user program at HFIR and the adjacent cold neutron beam guide hall, which
include world-class inelastic scattering spectrometers, small angle scattering, powder and single crystal diffractometers,
neutron imaging, and an engineering diffraction machine.

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FY 2020 Congressional Budget Justification

The Spallation Neutron Source (SNS) at ORNL uses another approach for generating neutron beams where an accelerator
generates protons that strike a heavy-metal target. As a result of the impact, neutrons are produced in a process known as
spallation. The SNS is the world’s brightest pulsed neutron facility and presently includes 19 instruments. These instruments
include very high resolution inelastic and quasi-elastic scattering capabilities, powder and single crystal diffraction, polarized
and unpolarized beam reflectometry, and spin echo and small angle scattering spectrometers. A full suite of high and low
temperature, high magnetic field, and high pressure sample environment equipment is available on each instrument. All the
SNS instruments are in high demand by researchers world-wide in a range of disciplines from biology to materials sciences
and condensed matter physics.
Nanoscale Science Research Centers (NSRCs)
Nanoscience is the study of materials and their behaviors at the nanometer scale—probing and assembling single atoms,
clusters of atoms, and molecular structures. The scientific quest is to design new nanoscale materials and structures notfound in nature, and observe and understand how they function and interact with their environment. Developments at thenanoscale and mesoscale have the potential to make major contributions to delivering remarkable scientific discoveries thattransform our understanding of energy and matter and advance national, economic, and energy security.
The NSRCs focus on interdisciplinary research at the nanoscale, serving as the basis for a national program thatencompasses new science, new tools, and new computing capabilities. They are a different class of facility than the x-ray
and neutron sources, as NSRCs are comprised of a suite of smaller unique tools and expert scientific staff rather than basedon a large accelerator or reactor. The five NSRCs BES currently supports are the Center for Nanoscale Materials at ANL, theCenter for Functional Nanomaterials at BNL, the Molecular Foundry at LBNL, the Center for Nanophase Materials Sciences
at ORNL, and the Center for Integrated Nanotechnologies at SNL and LANL. Each center has particular expertise andcapabilities, such as nanomaterials synthesis and assembly; theory, modeling and simulation; imaging and spectroscopy
including electron microscopy; and nanostructure fabrication and integration. Selected thematic areas include catalysis,electronic materials, nanoscale photonics, and soft and biological materials. The centers are housed in custom-designed
laboratory buildings near one or more other major BES facilities for x-ray, neutron, electron scattering, or computation
which complement and leverage the capabilities of the NSRCs. These laboratories contain clean rooms, nanofabrication
resources, one-of-a-kind signature instruments, and other instruments not generally available except at major user facilities.
The NSRC electron microscopy capabilities provide superior atomic-scale spatial resolution and the ability to simultaneously
obtain structural, chemical, and other types of information from sub-nanometer regions at short time scales. Operating
funds enable cutting-edge research and technical support and to administer the user program at these facilities, which are
made available to academic, government, and industry researchers with access determined through external peer review ofuser proposals.
The emerging field of QIS exploits intricate quantum mechanical phenomena such as entanglement to create fundamentally
new ways of obtaining and processing information. Harnessing these counterintuitive properties of matter promises to yield
revolutionary new approaches to computing, sensing, communication, and metrology, as well as far-reaching advances in
our understanding of the world around us. The NSRCs will continue to develop nanoscience and QIS-related research
infrastructure and capabilities for materials synthesis, device fabrication, metrology, modeling and simulation. The goal is todevelop a flexible and enabling infrastructure so that U.S. institutions and industry can rapidly develop and commercialize
the new discoveries and innovations.
Other Project Costs
The total project cost (TPC) of DOE’s construction projects is comprised of two major components—the total estimated cost
(TEC) and other project costs (OPC). The TEC includes project costs incurred after Critical Decision-1, such as costs
associated with all engineering design and inspection; the acquisition of land and land rights; direct and indirect
construction/fabrication; the initial equipment necessary to place the facility or installation in operation; and facility
construction costs and other costs specifically related to those construction efforts. OPC represents all other costs related tothe projects that are not included in the TEC, such as costs that are incurred during the project’s initiation and definition
phase for planning, conceptual design, research, and development, and those incurred during the execution phase for R&D,
startup, and commissioning. OPC is always funded via operating funds.

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FY 2020 Congressional Budget Justification

Major Items of Equipment
BES supports major item of equipment (MIE) projects to ensure the continual development and upgrade of major scientificinstrument capabilities, including fabricating new x-ray and neutron experimental stations, improving core facilities, andproviding new stand-alone instruments and capabilities.
Research
This activity supports targeted basic research in accelerator physics, x-ray and neutron detectors, and developments ofadvanced x-ray optics. Accelerator research is the cornerstone for the development of new technologies that will improve
performance of accelerator-based light sources and neutron scattering facilities. Research areas include ultrashort pulse freeelectron lasers (FELs), new seeding techniques and other optical manipulation to reduce the cost and complexity andimprove performance of next generation FELs, and development of intense laser-based THz sources to study nonequilibrium behavior in complex materials. As the complexity of accelerators and the performance requirements continue togrow the need for more dynamic and adaptive control systems becomes essential. Particle accelerators are complicatedinterconnected machines and ideal for applications of artificial intelligence and machine learning algorithms to improve
performance optimization, rapid recovery of fault conditions and prognostics to anticipate problems. Detector research is a
crucial component to enable the optimal utilization of user facilities, together with the development of innovative optics
instrumentation to advance photon-based sciences, and data management techniques. The emphasis of the detector
activity is on research leading to new and more efficient photon and neutron detectors. X-ray optics research involves
development of systems for time-resolved x-ray science that preserve the spatial, temporal, and spectral properties of xrays. Research includes studies on creating, manipulating, transporting, and performing diagnostics of ultrahigh brightness
beams and developing ultrafast electron diffraction systems that complement the capabilities of x-ray FELs. This activity also
includes research in sophisticated data management tools to address the vastly accelerated pace and volume of data
generated by faster, higher resolution detectors and brighter light sources. This activity also supports training in the field ofparticle beams and their associated accelerator technologies.

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Basic Energy Sciences
Scientific User Facilities
Activities and Explanation of Changes
Explanation of Changes
FY 2020 Request vs FY 2019 Enacted
Scientific User Facilities$1,003,066,000$942,433,000-$60,633,000
X-Ray Light Sources$505,000,000$484,514,000-$20,486,000
The FY 2019 Enacted budget continues LCLSThe Request supports LCLS operations, which will
The funding will support operations at five BES light
operations in preparation for completion of the LCLS- resume in the second quarter of FY 2020 uponsources (LCLS, APS, ALS, NSLS-II, and SSRL).
II project and in support of the BES priority in ultrafast completion of installation of LCLS-II accelerator
science. To allow installation activities for the LCLS-II
components. The remaining light source facilities will
construction project to proceed, LCLS will be shut
operate at approximately 87% of optimal.
down for one year, starting around 2Q FY 2019.
During the shutdown, LCLS will continue to maintaincritical systems, advance linac remediation activities,
and develop new instruments and capabilities forexperiments. APS, ALS, NSLS-II and SSRL operations
continue at 100% of optimum.
FY 2019 Enacted

FY 2020 Request

High-Flux Neutron Sources$282,000,000$254,665,000-$27,335,000
The FY 2019 Enacted budget continues support for
The Request provides funding for SNS and HFIR. These The funding will support operations for SNS and HFIR.
SNS and HFIR operations at 100% of optimum.
facilities will operate at approximately 87% of optimal.
Nanoscale Science Research Centers$135,000,000$127,229,000-$7,771,000
The FY 2019 Enacted budget supports all five NSRCs,
The Request provides funding for five BES Nanoscale
The funding will support operations for the fivewith part of the funding designated for tool
Science Research Centers, with funding for
NSRCs.
development for QIS.
nanoscience, QIS research, and related developmentof synthesis and characterization tools.
Other Project Costs$19,100,000
The FY 2019 Enacted budget supports the LCLS-II
project at SLAC National Accelerator Laboratory, ALSU at Lawrence Berkeley National Laboratory, LCLS-IIHE at SLAC, and the Second Target Station at ORNL.

Science/Basic Energy Sciences$6,000,000-$13,100,000
The Request will support Other Project Costs for the
Other Project Costs decrease in FY 2020 according to
LCLS-II-HE project at SLAC National Accelerator
the project plans for LCLS-II and ALS-U.
Laboratory and ALS-U at Lawrence Berkeley National
Laboratory.

83

FY 2020 Congressional Budget Justification

FY 2019 Enacted
Major Items of Equipment
No MIE funds were appropriated in FY 2019.

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted$—$2,000,000+$2,000,000
The Request includes funds to initiate a beamline
The Request initiates two new MIEs: NEXT-II and NSRC
project for NSLS-II (NEXT-II) at Brookhaven National
Recapitalization project.
Laboratory and will support conceptual designs of
new beamlines. The Request also includes MIE funds
to initiate a recapitalization project for the NSRCs andwill support planning and design activities in
preparation for CD-1, along with possible
procurements.

Research$29,457,000
The FY 2019 Enacted budget supports limited highpriority research activities for detectors and optics
instrumentation. The BES commitment for long term
surveillance and maintenance at BNL and SLAC ends
in FY 2018; no funding was appropriated for these
activities in FY 2019.

FY 2020 Request$36,118,000
The Request will support high-priority research
activities for detectors and optics instrumentation andapplications of machine learning techniques toaccelerator optimization, control, prognostics, anddata analysis.

+$6,661,000
The research increase will be used to explore artificial
intelligence methods and machine learningtechniques for application to accelerator
improvements.

SBIR/STTR$32,509,000$31,907,000-$602,000
In FY 2019, SBIR/STTR funding is set at 3.65% of non- In FY 2020, SBIR/STTR funding will be set at 3.65% of Funding changes are the direct result of decreases incapital funding.
non-capital funding.
non-capital funding.

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FY 2020 Congressional Budget Justification

Basic Energy Sciences
Construction
Description
Reactor-based neutron sources, accelerator-based x-ray light sources, and accelerator-based pulsed neutron sources are
essential user facilities that enable critical DOE mission-driven science. These user facilities provide the academic,laboratory, and industrial research communities with the tools to fabricate, characterize, and develop new materials andchemical processes to advance basic and applied research, advancing chemistry, physics, earth science, materials science,
environmental science, biology, and biomedical science. Regular investments in construction of new user facilities andupgrades to existing user facilities are essential to maintaining U.S. leadership in these research areas.
The Linac Coherent Light Source-II (LCLS-II) project will provide a second source of electrons at LCLS by constructing a 4
GeV, high repetition rate, superconducting linear accelerator in addition to adding two new variable gap undulators togenerate an unprecedented high-repetition-rate free-electron laser. This new x-ray source will solidify the LCLS complex as
the world leader in ultrafast x-ray science for decades to come. The project received approval for CD-2, Approve
Performance Baseline, and CD-3, Approve Start of Construction, on March 21, 2016, establishing a Total Project Cost (TPC)of $1,045,000,000 and a CD-4, Project Completion date of June 30, 2022.
The Advanced Photon Source Upgrade (APS-U) project will provide scientists with an x-ray source possessing world-leadingtransverse coherence and extreme brightness. The magnetic lattice of the APS storage ring will be upgraded to a multi-bend
achromat configuration to provide 100-1000 times increased brightness and coherent flux. APS-U will ensure that the APS
remains a world leader in hard x-ray science. The project received approval for CD-2, Approve Performance Baseline, on
December 9, 2018, establishing a Total Project Cost (TPC) of $815,000,000 and a CD-4, Project Completion date of March 31,
2026.
The Advanced Light Source Upgrade (ALS-U) project will upgrade the existing Advanced Light Source facility by replacing theexisting electron storage ring with a new electron storage ring based on a multi-bend achromat lattice design which will
provide a soft x-ray source that is brighter, up to 1000 times greater brightness, and with a significantly higher coherent flux
fraction. ALS-U will leverage two decades of investments in scientific tools at the ALS by making use of the existing
beamlines and infrastructure. ALS-U will ensure that the ALS facility remains a world leader in soft x-ray science. The project
received CD-1, Approve Alternative Selection and Cost Range, on September 21, 2018, establishing a cost range of$330,000,000 - $495,000,000 based on a point estimate of $368,000,000 and projected project finish in 2028.
The Linac Coherent Light Source-II-HE (LCLS-II-HE) project will increase the energy of the superconducting linac currently
under construction as part of the LCLS-II project from 4 GeV to 8 GeV and thereby expand the high rep rate operation (1million pulses per second) of this unique FEL into the hard x-ray regime (5-12 keV). LCLS-II-HE will add new and upgraded
instrumentation to augment existing capabilities and upgrade the facility infrastructure as needed. The LCLS-II-HE projectwill upgrade and expand the capabilities of the LCLS-II to maintain U.S. leadership in ultrafast x-ray science. The project
received CD-1, Approve Alternative Selection and Cost Range, on September 21, 2018, establishing a cost range of$290,000,000 - $480,000,000 based on a point estimate of $368,000,000 and projected project finish in 2028.
The Proton Power Upgrade (PPU) project will double the proton beam power capability of the Spallation Neutron Source(SNS) from 1.4 MW to 2.8 MW, upgrade the first target station to accommodate beam power up to 2 MW, and deliver a 2
MW qualified target. PPU will fabricate and install seven new superconducting radio frequency (RF) cryomodules, withsupporting RF equipment, in the existing linac tunnel and klystron gallery respectively. Equipment will be upgraded tohandle the higher beam current. The ring will be upgraded with minor modifications to the injection and extraction areas.
The increased beam power of 2 MW to be provided to the first target station will be enabled by the additional cryomodules,
and improved target performance will be enabled by the addition of a new target gas injection system and a redesigned
mercury target vessel. The project received approval for CD-1, Approve Alternative Selection and Cost Range, on April 4,
2018. The current TPC range is $184,000,000 - $320,000,000 based on a point estimate of $250,000,000 and a projected
project finish in 2027. The project received CD-3A, Approve Long Lead Procurements, approval on October 5, 2018,
authorizing long lead and advanced procurements for accelerator components and associated systems.

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The Second Target Station (STS) project will expand SNS capabilities for neutron scattering research by exploiting part of thehigher SNS accelerator proton power (2.8 MW) enabled by the PPU project. The STS will be a complementary pulsed sourcewith a narrow proton beam which increases the proton power density by up to 4.5 times compared to the first target station(FTS). This dense beam of protons, when deposited on a compact, rotating, water-cooled tungsten target will create
neutrons through spallation and direct them to high efficiency coupled moderators to produce an order of magnitude
higher brightness cold neutrons than were previously achievable. By optimizing the design of the instruments withadvanced neutron optics, optimized geometry for 10 Hz operation, and advanced detectors, the detection resolution will be
up to two orders of magnitude higher, enabling new research opportunities. The most recent DOE O 413.3B approved CD is
CD-0 (Approve Mission Need), approved on January 7, 2009. The current TPC range is $800,000,000 - $1,500,000,000.
All BES construction projects are conceived and planned with the scientific community, adhere to the highest standards ofsafety, and are executed on schedule and within cost through best practices in project management. In accordance withDOE Order 413.3B, each project is closely monitored and must perform within 10% of the cost and schedule performancebaselines, established at CD-2, Approve Performance Baseline, which are reproduced in the construction project data sheet.

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FY 2020 Congressional Budget Justification

Basic Energy Sciences
Construction
Activities and Explanation of Changes
FY 2019 Enacted

FY 2020 Request

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted-$225,300,000

Construction$408,300,000$183,000,000
19-SC-14, Second Target Station (STS),
ORNL$1,000,000$1,000,000$—
The FY 2019 Enacted budget supports planning,
The Request will support continued planning,
The Request continues funding for the STS project.
targeted R&D and engineering design, and othertargeted R&D and engineering design, and otheractivities required to advance the STS project.
activities required to advance the STS project using
Other Project Costs funds appropriated in prior years.
Construction funds will be executed after theappropriate critical decision approvals are received.
18-SC-10, Advanced Photon Source
Upgrade (APS-U), ANL$130,000,000
The FY 2019 Enacted budget supports targeted R&D,
engineering design, equipment prototyping, testing,fabrication, site preparation, installation, and long leadand advance procurements.
18-SC-11, Spallation Neutron Source
Proton Power Upgrade (PPU), ORNL
$60,000,000
The FY 2019 Enacted budget supports R&D,
engineering, prototyping, preliminary and final design,
long-lead procurement, and other activities required toadvance the PPU project.

$150,000,000+$20,000,000
The Request will support targeted R&D, engineering The Request continues funding for the APS-U project.
design, equipment prototyping, testing, fabrication,site preparation, installation, long lead and advanced
procurements, and other activities required toadvance the APS-U project.
$5,000,000-$55,000,000
The Request will support R&D, engineering,
The Request continues funding for the PPU project.
prototyping, preliminary and final design, long-leadprocurement, and other activities required toadvance the PPU project.

18-SC-12, Advanced Light Source
Upgrade (ALS-U), LBNL
$60,000,000$13,000,000-$47,000,000
The FY 2019 Enacted budget supports R&D, engineering The Request will support planning, engineering
The Request continues funding for the ALS-U project.
design, equipment prototyping, testing, and otherdesign, R&D, equipment prototyping, testing, andactivities required to advance the ALS-U project.
other activities to advance the ALS-U project.

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FY 2020 Congressional Budget Justification

FY 2019 Enacted

FY 2020 Request

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted

18-SC-13, Linac Coherent Light SourceII High Energy (LCLS-II-HE), SLAC
$28,000,000$14,000,000-$14,000,000
The FY 2019 Enacted budget supports R&D, engineering The Request will support planning, engineering
The Request continues funding for the LCLS-II-HE
design, equipment prototyping, testing, and otherdesign, R&D, equipment prototyping, testing, andproject.
activities required to advance the LCLS-II-HE project.
other activities required to advance the LCLS-II-HE
project.
13-SC-10, Linac Coherent Light SourceII (LCLS-II), SLAC
$129,300,000
The FY 2019 Enacted budget supports installation ofmajor accelerator and x-ray systems and facilities
including the linear accelerator and its cryogenic
refrigeration facilities, electron beam transport,
undulator x-ray sources, x-ray optics and experimental
systems and supporting infrastructure.

Science/Basic Energy Science$—-$129,300,000
No funding is requested for FY 2020. FY 2019 was the Final funding was provided in FY 2019.
last year of funding for LCLS-II. The project willcontinue with construction activities towards an earlycompletion in FY 2020 – FY 2021.

88

FY 2020 Congressional Budget Justification

Basic Energy Sciences
Capital Summary ($K)(dollars in thousands)

Capital Operating Expenses Summary
Capital Equipment
Minor Construction Activities
General Plant Projects (GPP)
Accelerator Improvement Projects (AIP)
Total, Capital Operating Expenses

Total

Prior Years

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

N/A

N/A

48,831

76,61038,755-37,855

N/A
N/A
N/A

N/A
N/A
N/A

1,000
9,950
59,7813,000
33,800113,4101,000
29,50069,255-2,000-4,300-44,155

Capital Equipment ($K)(dollars in thousands)

Capital Equipment
Major Items of Equipment (MIE)NSLS-II Experimental Tools-II (NEXT-II), BNL
NSRC Recapitalization
Total MIEs
Total Non-MIE Capital Equipment
Total, Capital Equipment

Total

Prior Years

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

60,00060,000
N/A
N/A
N/A

—
—
N/A
N/A
N/A

—
—
—
48,831
48,831———
76,61076,610

1,000
1,000
2,000
36,75538,755+1,000+1,000+2,000-39,855-37,855

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

Minor Construction Activities ($K)(dollars in thousands)

General Plant Projects (GPP)
GPP less than $5M a
Total, GPP

Total

Prior Years

FY 2018 Enacted

N/A
N/A

N/A
N/A

1,000
1,000

FY 2019 Enacted
3,000
3,000

1,000
1,000

-2,000-2,000a 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 2020 Congressional Budget Justification

(dollars in thousands)
Accelerator Improvement Projects (AIP)
Greater than or Equal to $5M and less than
$20M
VENUS, Spallation Neutron Source, ORNLDISCOVER, Spallation Neutron Source,
ORNL
Total AIPs (great than or equal to $5M andless than $20M)
Total AIPs less than $5M a
Total, Accelerator Improvement Projects
Total, Minor Construction Activities

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

Total

Prior Years

13,400N/A—

13,400—-13,400

18,500N/A——

18,500+18,500

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

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

—
9,950
9,950
10,95013,40020,40033,80036,80018,50011,00029,50030,500+5,100-9,400-4,300-6,300a AIP activities less than $5M include minor construction at an existing accelerator facility.

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FY 2020 Congressional Budget Justification

Basic Energy Science
Major Item of Equipment Description(s)Scientific User Facilities MIEs:
The NSLS-II Experimental Tools-II (NEXT-II) Project: The NSLS-II Experimental Tools-II project proposes to add three worldclass beamlines to the NSLS-II Facility as part of a phased buildout of beamlines to provide advances in scientific capabilities
for the soft x-ray user community. These beamlines will focus on the techniques of coherent diffraction imaging, soft x-ray
spectromicroscopy, and nanoscale probes of electronic excitations. The preliminary notional cost range for this project is$40M to $60M. The preliminary total project cost (TPC) point estimate is $60M based on a project finish in FY 2026.
The NSRC Recapitalization Project: The Nanoscale Science Research Centers (NSRCs) started early operations in 2006-2007
and now, a decade later, they need to recapitalize their instrumentation to continue to perform cutting edge science tosupport and accelerate advances in the fields of nanoscience, materials, chemistry, and biology. The recapitalization will
also provide essential support for quantum information science and systems. The preliminary notional cost range for thisproject is $50M to $90M. The preliminary TPC point estimate is $60M based on a project finish in FY 2026.

Science/Basic Energy Science91

FY 2020 Congressional Budget Justification

Basic Energy Sciences
Construction Projects Summary ($K)(dollars in thousands)
Total
19-SC-14, Second Target Station (STS), ORNL
TEC
OPC
TPC

Prior Years

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

1,204,000
45,3001,249,300

—
—
—

—
—
—

1,000
5,000
6,000

1,000
—
1,000

—
-5,000-5,00018-SC-10, Advanced Photon Source
Upgrade (APS-U), ANL
TEC
OPC
TPC

815,000—
815,000———a

93,000—93,000130,000—
130,000

150,000—
150,000+20,000—+20,000

18-SC-11, Proton Power Upgrade (PPU),
ORNL
TEC
OPC
TPC

250,000—
250,000———

36,000—36,00060,000—60,000

5,000
—
5,000

-55,000—-55,000

18-SC-12, Advanced Light Source Upgrade(ALS-U), LBNL
TEC
OPC
TPC

338,000
30,000368,000—
10,00010,00016,00014,00030,00060,0002,000
62,00013,0002,000
15,000-47,000—-47,000

18-SC-13, Linac Coherent Light Source-II-HE(LCLS-II-HE), SLAC
TEC
OPC
TPC

348,000
20,000368,000

—
—
—

8,000
2,000
10,00028,0006,000
34,00014,0004,000
18,000-14,000-2,000-16,000

a APS-U received $151,000,000 in FY 2010-FY 2017 as an MIE.

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FY 2020 Congressional Budget Justification

(dollars in thousands)

13-SC-10, Linac Coherent Light Source-II(LCLS-II), SLAC
TEC
OPC
TPC
Total, Construction
TEC
OPC
TPC

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

Total

Prior Years

FY 2018 Enacted

FY 2019 Enacted

993,100
51,9001,045,000

671,700
37,900709,600 a

192,100
7,900
200,000

129,300
6,100
135,400———-129,300-6,100-135,400

N/A
N/A
N/A

N/A
N/A
N/A

345,100
23,900369,000

408,300
19,100427,400

183,000
6,000
189,000-225,300-13,100-238,400

Funding Summary ($K)(dollars in thousands)

Research
Facility Operations
Projects
Other b
Total, Basic Energy Sciences

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

821,403
898,597
369,000
1,000
2,090,000

815,600
922,000
427,400
1,000
2,166,000

799,877
866,408
191,000
1,000
1,858,285

FY 2020 Request vs FY 2019
Enacted-15,723-55,592-236,400—-307,715

a LCLS-II received $85,600,000 in FY 2010-FY 2013 as an MIE.
b Includes non-Facility related GPP.

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FY 2020 Congressional Budget Justification

Basic Energy Sciences
Scientific User Facility Operations ($K)
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:
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)a

FY 2018 Enacted

FY 2018 Current

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

TYPE A FACILITIESAdvanced Light Source
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$64,606
2,066
N/A
5,100
5,300
96.2%
<10%

$64,606
2,066
5,228
5,100
5,300
98.6%
<10%

$66,283
2,000
N/A
4,700
4,700 a100.0%<10%$62,511
1,800
N/A
4,600
5,300
86.8%
<10%

-$3,772
-200
N/A
-100
+600
N/A
N/A

Advanced Photon Source
Number of Users
Achieved operating hours$133,285
5,704
N/A$133,285
5,704
4,883

$136,743
5,700
N/A$128,962
4,900
N/A-$7,781-800
N/A

Optimal hours decreased for scheduled maintenance.

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FY 2020 Congressional Budget Justification

(dollars in thousands)
FY 2020 Request vsFY 2019 Enacted

FY 2018 Enacted

FY 2018 Current

FY 2019 Enacted

FY 2020 Request

5,000
5,000
100.0%
<10%

5,000
5,000
97.7%
<10%

5,000
5,000
100.0%
<10%

4,350
5,000
87.0%
<10%

National Synchrotron Light Source-II, BNL
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$111,241
1,364
N/A
4,750
5,000
95.0%
<10%

$111,241
1,364
4,589
4,750
5,000
91.8%
<10%

$114,127
1,600
N/A
5,000
5,000
100.0%<10%$107,633
1,350
N/A
4,350
5,000
87.0%
<10%

-$6,494
-250
N/A
-650

Stanford Synchrotron Radiation Lightsource
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$41,763
1,752
N/A
5,200
5,400
96.3%
<10%

$41,763
1,752
5,076
5,200
5,400
94.0%
<10%

$42,847
1,650
N/A
5,070
5,070 a100.0%<10%$40,408
1,500
N/A
4,700
5,400
87.0%
<10%

-$2,439
-150
N/A
-370

Linac Coherent Light Source
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$138,008
937
N/A
4,750
5,000
95.0%
<10%

$138,008
937
4,535
4,750
5,000
90.7%
<10%

$145,000
300
N/A
1,600
1,600 b100.0%<10%$145,000
500
N/A
2,900
3,000
96.7%
<10%

—

Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours

-650
—

N/A
N/A

—

N/A
N/A

330

N/A
N/A

+200
N/A
+1,300+1,400
N/A
N/A

a Optimal hours decreased for scheduled maintenance.

b LCLS Optimal hours reduced in preparation for installation activities related to LCLS-II.

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FY 2020 Congressional Budget Justification

(dollars in thousands)
FY 2020 Request vsFY 2019 Enacted

FY 2018 Enacted

FY 2018 Current

FY 2019 Enacted

FY 2020 Request

Spallation Neutron Source
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$204,098
644
N/A
2,850
3,000a95.0%<10%$204,098
644
3,010
2,850
3,000a100.3%<10%$205,714
800
N/A
4,900
4,900
100.0%<10%$185,774
730
N/A
4,350
5,000
87.0%
<10%

High Flux Isotope Reactor
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$74,670
561
N/A
3,900
4,000
97.5%
<10%

$74,670
561
4,059
3,900
4,000
101.5%<10%$76,286
560
N/A
4,000
4,000
100.0%<10%$68,891
500
N/A
3,500
4,000
87.5%
<10%

Lujan Neutron Scattering Center
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$1,000N/A$1,000

—

—

—

N/A

N/A

N/A

N/A

—
—

—
—

—
—

-$19,940
-70
N/A
-550
100

N/A
N/A
-$7,395
-60
N/A
-500
—

N/A
N/A

—
—

—
—

N/A
N/A

N/A
N/A

N/A
N/A

N/A
N/A

N/A
N/A

TYPE B FACILITIESCenter for Nanoscale Materials
Number of users$26,783
608$26,783608$27,704600$26,109530-$1,595-70

Center for Functional Nanomaterials
Number of users$22,759581$22,759581$24,148580$22,758510-$1,390-70

Molecular Foundry
Number of users$30,184939$30,184939$31,237700$29,438600-$1,799

Center for Nanophase Materials Sciences$26,180$26,180$27,078$25,520-$1,558

Science/Basic Energy Science

96

-100

FY 2020 Congressional Budget Justification

(dollars in thousands)
FY 2020 Request vsFY 2019 Enacted

FY 2018 Enacted

FY 2018 Current

FY 2019 Enacted

FY 2020 Request

640

640

600

530

Center for Integrated Nanotechnologies
Number of users$24,020659$24,020659$24,833600$23,404
530-$1,429-70

Total, All Facilities
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent of optimal hours
Unscheduled downtime hours$898,597
16,455
N/A
31,55032,70096.3%<10%$898,597
16,45531,38031,55032,70096.5%<10%$922,000
15,690N/A
30,27030,27098.6%<10%$866,408
13,980N/A
28,75032,70088.9%<10%-$55,592-1,710N/A-1,520+2,430
N/A
N/A

Number of users-70

Scientific Employment

Number of permanent Ph.D.’s (FTEs)
Number of postdoctoral associates (FTEs)
Number of graduate students (FTEs)
Other aFY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

4,870
1,340
2,090
3,060

4,800
1,310
2,050
3,030

4,520
1,250
1,960
2,820

-280
-60
-90
-210

a Includes technicians, support staff, and similar positions.

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FY 2020 Congressional Budget Justification

98

19-SC-14, Second Target Station
Oak Ridge National Laboratory, Oak Ridge, Tennessee
Project is for Design and Construction
1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 Request for Second Target Station (STS) project is $1,000,000. The most recent DOE O 413.3B approved Critical
Decision (CD) is CD-0 (Approve Mission Need), approved on January 7, 2009. The current Total Project Cost (TPC) range is$800,000,000 - $1,500,000,000.
Significant Changes
This initial construction project data sheet (CPDS) for FY 2020 funding does not include a new start for the budget year.
In FY 2019, the project will advance the planning, research and development, prototyping, and conceptual design. In
FY 2020, the project continues planning, targeted R&D and engineering design, and other activities required to advance theSTS project using Other Project Costs (OPC) funds appropriated in prior years. FY 2020 construction funds will be executed
after the appropriate critical decision (CD) approvals are received.
A Federal Project Director has not yet been assigned to this project.
Critical Milestone History
FiscalYear

CD-0

FY 2020 a

1/7/2009

Conceptual
DesignComplete
2Q FY 2022

CD-1

CD-2

2Q FY 2022

2Q FY 2023

Final
DesignComplete
2Q FY 2025

CD-3

D&D
Complete

CD-4

2Q FY 2024

N/A

4Q FY 2031

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

Project Cost History

Fiscal Year

TEC, Design

FY 2020a

65,5002.

TEC,
Construction
1,138,500(dollars in thousands)
OPC, Except
TEC, Total
D&D
1,204,000
45,300

OPC, D&D

OPC, Total

TPC—

45,3001,249,300

Project Scope and Justification

Scope
The global landscape in neutron scattering science is changing rapidly. To sustain our position at the frontier in materials andchemical characterization, dramatic improvements in experimental capabilities are needed. In particular, upgraded neutron
sources are necessary to achieve the Basic Energy Sciences (BES) mission.
The 2015 Basic Energy Sciences Advisory Committee report “Challenges at the Frontiers of Matter and Energy:
Transformative Opportunities for Discovery Science” identified five new transformative opportunities that have thea The project is pre-CD-2; the estimated cost and schedule shown are preliminary. Construction will not be executed without appropriate CD approvals.

Science/Basic Energy Sciences/19-SC-14 Second Target Station

99

FY 2020 Congressional Budget Justification

potential to transform many of today’s energy-related technologies involving matter and energy. Advances in neutron
sources and instrumentation play a direct part in advancing science to achieve those opportunities.
The two neutron scattering facilities in the BES portfolio, the High Flux Isotope Reactor (HFIR) and the SNS are both sited at
Oak Ridge National Laboratory (ORNL) and address one of the DOE’s key research areas—the use of neutrons andsophisticated instrumentation to probe materials. Many technical margins were built into SNS systems to facilitate a power
upgrade to at least 2 MW, with the ability to extract some of that power to a second target station.
To address the gap in advanced neutron sources and instrumentation, the SNS project will design, build, install, and test theequipment necessary to provide the four primary elements of the new SNS facility: the neutron target and moderators; theaccelerator systems; the instruments; and the conventional facilities. Costs for acceptance testing, integrated testing, andinitial commissioning to demonstrate achievement of the KPPs are included in the STS scope.
The STS features an optimally sized 30 cm2 proton beam that is concentrated into one-fifth the area of the FTS beam toproduce a very high density beam of protons that strikes a 1.1 meter diameter rotating solid tungsten target. The produced
neutron beam illuminates three moderators located above and below the target that will feed up to 22 experimental
beamlines with neutron energies conditioned for specific instruments. The small-volume cold neutron moderator system isgeometrically optimized to deliver higher peak brightness neutrons.
The SNS Proton Power Upgrade (PPU) project will double the power of the SNS accelerator complex to 2.8 MW so that STS
can use one out of every six proton pulses to produce cold neutron beams with the highest peak brilliance of any current or
projected neutron sources. The high-brightness pulsed source optimized for cold neutron production will operate at 15 Hz(as compared to FTS at 60 Hz) to provide the large time-of-flight intervals corresponding to the broad time and length scales
required to characterize complex materials. The project will provide a series of kicker magnets to divert every sixth proton
pulse away from the FTS to a new line feeding the STS. Additional magnets will further deflect the beam into the transportline to the new target. A final set of quadrupole magnets will tailor the proton beam shape and distribution to match thecompact source design.
An initial set of 22 instrument concepts, developed with input from the user community, are largely built on known anddemonstrated technologies but will need some research and development to deliver unprecedented levels of performance.
Advanced neutron optics designs are needed for high alignment and stability requirements. The lower repetition rate of STS
pushes the chopper design to larger diameter rotating elements with tighter limits on allowed mechanical vibration. The
higher peak neutron production of STS will put a greater demand on neutron detector technology.
The STS complex will be located in unoccupied space east of the existing FTS. The project requires approximately 380,000ft2 of new buildings, making conventional facility construction a major contributor to project costs. The layout canconsolidate instruments with beamlines less than 40 m long in a hall adjacent to the STS target building to free up space forthe longest beamlines (50% longer than the longest FTS beamline) on the opposite side of the STS target.
Justification
The BES mission is to “support fundamental research to understand, predict, and ultimately control matter and energy atthe electronic, atomic, and molecular levels in order to provide the foundations for new energy technologies and to support
DOE missions in energy, environment, and national security.” BES accomplishes its mission by operation of large-scale user
facilities consisting of a complementary set of intense x-rays sources, neutron scattering centers, electron beamcharacterization capabilities, and research centers for nanoscale science.
In the area of neutron science, the scientific justification and need for a very high-intensity pulsed neutron source in the U.S.
has been established by numerous studies by the scientific community since the 1970s. This need is currently being fulfilledby the SNS, which began its user program at ORNL in 2007. In accordance with the 1996 BESAC (Russell Panel) Report
recommendation, the SNS was designed to be upgradeable so as to maintain its position of scientific leadership in the
future, and many technical margins were built into the SNS systems to facilitate a power upgrade into the 2-4 MW range.
An upgraded SNS would enable many advances in the opportunities described in the 2015 BESAC report “Challenges at the
Frontiers of Matter and Energy: Transformative Opportunities for Discovery Science.” Four workshops were held to assess
Science/Basic Energy Sciences/19-SC-14 Second Target Station
FY 2020 Congressional Budget Justification100the neutron scattering needs in quantum condensed matter, soft matter, biology, and the frontiers in materials discovery.
These four areas encompass and directly map to the transformative opportunities identified in the BES Grand Challenges
update. Quantum materials map most directly to harnessing coherence in light and matter, while soft matter and biology
are aligned primarily with mastering hierarchical architectures and beyond-equilibrium matter, and frontiers in materials
discovery explored many of the topics in beyond ideal materials and systems: understanding the critical roles ofheterogeneity, interfaces, and disorder. As an example, while neutrons already play an important role in the areas of biology
and soft matter, step change improvements in capability will be required to make full use of the unique properties ofneutrons to meet challenges in mastering hierarchical architectures and beyond-equilibrium matter and understanding thecritical roles of heterogeneity and interfaces. The uniform conclusion from all workshops was that in the areas of science
covered, neutrons play a unique and pivotal role in understanding structure and dynamics in materials required to develop
future technologies.
The project is being conducted in accordance with the project management requirements in DOE O 413.3B, Program andProject Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The threshold KPPs, which will define the official performance baseline at CD-2, Approve Performance Baseline, represent
the minimum acceptable performance that the project must achieve. Achievement of the threshold KPPs will be aprerequisite for CD-4, Approve Project Completion. The objective KPPs represent the desired project performance. If project
performance is sustained and funds are available, the project will attain the objective KPPs. The KPPs presented here arepreliminary, pre-baseline values. The final key parameters will be established as part of CD-2, Approve Performance
Baseline.
Performance Measure
Beam power on target
Beam energy
Target operational lifetime without failure
Proton Beam size
Neutron peak brightness
Number of operating instruments at CD-4
3.

Threshold0.25 MW at 1.0 GeV
1.3 GeV
2,000 hours at 0.25 MW≤ 60 cm2
1.7x1014
6

Objective
0.47 MW at 1.3 GeV≥ 1.3 GeV
2,500 hours at 0.5 MW
30 cm2
3.5x1014
8

Financial Schedule(dollars in thousands)

Total Estimated Cost (TEC)
DesignFY 2019
FY 2020
Outyears
Total, Design
Construction
Outyears
Total, Construction
Total Estimated Costs (TEC)FY 2019
FY 2020
Outyears
Total, TEC
Science/Basic Energy Sciences/19-SC-14 Second Target Station

BudgetAuthority(Appropriations)

Obligations

1,000
1,000
63,50065,5001,000
1,000
63,50065,500——65,50065,5001,138,500
1,138,500

1,138,500
1,138,500

1,138,500
1,138,500

1,000
1,000
1,202,000
1,204,000

1,000
1,000
1,202,000
1,204,000——
1,204,000
1,204,000

101

Costs

FY 2020 Congressional Budget Justification

(dollars in thousands)

Other Project Costs (OPC)FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Outyears
Total, OPC
Total Project Costs (TPC)FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Outyears
Total, TPC a
4.

BudgetAuthority(Appropriations)

Obligations

6,500
—
—
5,000
—
33,80045,300

6,500
—
—
5,000
—
33,80045,300

3,069
2,870
227
4,700
425
34,00945,300

6,500
—
—
6,000
1,000
1,235,800
1,249,300

6,500
—
—
6,000
1,000
1,235,800
1,249,300

3,069
2,870
227
4,700
425
1,238,009
1,249,300

Current Total
Estimate

Previous Total
Estimate

Original
Validated
Baseline

48,50017,00065,500

N/A
N/A
N/A

N/A
N/A
N/A

845,000
293,500
1,138,500
1,204,000
310,500

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

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

1,500
18,375
14,10011,32545,30011,325
1,249,300
321,825

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

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

Costs

Details of Project Cost Estimate(dollars in thousands)

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Construction
Contingency
Total, Construction
Total, TEC
Contingency, TEC
Other Project Cost (OPC)
OPC except D&D
R&D
Conceptual Design
Start-UpContingency
Total, OPC
Contingency, OPC
Total Project Costa
Total, Contingency (TEC+OPC)a

The project is pre-CD-2; the estimated cost and schedule shown are preliminary. Construction will not be executed without appropriate CD approvals.

Science/Basic Energy Sciences/19-SC-14 Second Target Station

102

FY 2020 Congressional Budget Justification

5.

6.

Schedule of Appropriations Requests
RequestYear

Type

FY 2020

TEC
OPC
TPC

Prior
Years
—
6,500
6,500

(dollars in thousands)
FY 2018

FY 2019 a

FY 2020

Outyears

Total

—
—
—

1,000
5,000
6,000

1,000
—
1,000

1,202,000
33,8001,235,800

1,204,000
45,3001,249,300

Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future Start of D&D of this capital asset (fiscal quarter)

Operations and Maintenance

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
N/A
45,0004Q FY 203125
4Q FY 2056

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
N/A
1,125,000

The numbers presented are the incremental operations and maintenance costs above the existing SNS facility without
escalation. The estimate will be updated and additional details will be provided after CD-2, Approve Performance Baseline.
7.

D&D Information

The new area being constructed in this project is not replacing existing facilities.

New area being constructed by this project at ORNL.........................................................................
Area of D&D in this project at ORNL...................................................................................................
Area at ORNL to be transferred, sold, and/or D&D outside the project, 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 ..........................................................................................................................
8.

Square Feet
~380,000—~380,000———

Acquisition Approach.

DOE has determined that the STS project will be acquired by ORNL under the existing DOE Management and Operations(M&O) contract.
A Technical Design Report for the STS project has been prepared. Key design activities, requirements, and high-risk
subsystem components have been identified to reduce cost and schedule risk to the project and expedite the startup. The
necessary project management systems are fully up-to-date, operating, and are maintained as an ORNL-wide resource.
ORNL will partner with other laboratories for design and procurement of key technical subsystem components. Sometechnical system designs will require research and development activities. Preliminary cost estimates for these systems are
based on operating experience of SNS and vendor quotes. Design of the technical systems will be completed by ORNL,
a While no funding was requested, Congress appropriated $6,000,000 for STS in FY 2019.

Science/Basic Energy Sciences/19-SC-14 Second Target Station

103

FY 2020 Congressional Budget Justification

partner laboratory staff, and/or vendors. Technical equipment will be fabricated by vendors and/or partner labs with thenecessary capabilities.
All subcontracts will be competitively bid and awarded based on best value to the government.
Lessons learned from other Office of Science projects and other similar facilities will be exploited fully in planning andexecuting STS.

Science/Basic Energy Sciences/19-SC-14 Second Target Station

104

FY 2020 Congressional Budget Justification

18-SC-10, Advanced Photon Source-Upgrade
Argonne National Laboratory
Project is for Design and Construction
1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 Request for the Advanced Photon Source-Upgrade (APS-U) project is $150,000,000. The most recent DOE Order413.3B approved Critical Decision, CD-2 (Approve Performance Baseline), was approved on December 9, 2018, with a Total
Project Cost (TPC) of $815,000,000 and CD-4, Approve Project Completion, in FY 2026.
Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2019 CPDS and does not include a new start for thebudget year. The TPC increased from $770,000,000 to $815,000,000 to meet the mission need of delivering a world-class
hard x-ray light source scientific user facility. The APS-U project performed multiple scientific and technical reviews toincorporate the recommendations from the scientific user community. This resulted in additional world-leading scientificinstruments being recommended and incorporated into the project scope that will provide new and advanced capabilities,
particularly in the areas of coherent scattering, coherent imaging, and high energy microscopy. The project cost and Key
Performance Parameters (KPPs) have been updated to include these enhancements that take full advantage of the
upgraded APS source and storage ring.
In FY 2018, APS-U procured accelerator, experimental systems, and front end components needed to maintain the projectschedule. APS-U awarded contracts for more than half of the storage ring magnets, critical superconducting RF systemcomponents, and state of the art beamline optics in addition to key materials for the front ends and undulators as long leadand advanced procurements (LLP/APs). FY 2019 funding completes the majority of equipment prototyping and development
work. Engineering design, testing, fabrication, installation, additional LLP/APs, and site preparation for the long beamlines
continue. Planned activities for FY 2020 include continuing targeted development, prototyping and finishing associatedengineering designs, testing, and fabrication. Receipt, acceptance, and preparation for installation of incoming vendor
fabricated components procured as LLP/APs will occur along with initial system integration and assembly. After CD-3,
procurements beyond the currently approved LLP/APs will begin. Further site preparation and civil construction associatedwith the long beamlines will occur.
A Federal Project Director, certified to level III, has been assigned to this project and has approved this CPDS.
Critical Milestone History
Fiscal Year

CD-0

FY 2018
FY 2019
FY 2020

4/22/2010
4/22/2010
4/22/2010

Conceptual
DesignComplete
9/18/2015
9/18/2015
9/18/2015

CD-1

CD-2

2/4/2016
2/4/2016
2/4/2016

1Q FY 2019
2Q FY 201912/09/2018

Final
DesignComplete
2Q FY 2020
4Q FY 2021
1Q FY 2022

CD-3

D&D
Complete

CD-4

4Q FY 2019
1Q FY 2020
1Q FY 2020

N/A
N/A
N/A

1Q FY 2026
2Q FY 2026
2Q FY 2026

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 or will be completed (if applicable)
CD-1 – Approve Design Scope and Project Cost and Schedule Ranges
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 Project Completion

Science/Basic Energy Sciences/18-SC-10, Advanced Photon Source-Upgrade105

FY 2020 Congressional Budget Justification

Fiscal Year
FY 2018
FY 2019
FY 2020

Performance
Baseline
Validation
1Q FY 2019
2Q FY 201912/09/2018

CD-3A

CD-3B

8/30/2012
8/30/2012
8/30/2012

10/6/2016
10/6/2016
10/6/2016

CD-3A – Approve Long-Lead Procurements for the Resonant Inelastic X-ray Scattering (RIXS) beamline.
CD-3B – Approve Long-Lead Procurements for accelerator components and associated systems.

Project Cost History
FiscalYear
FY 2018
FY 2019
FY 20202.

TEC, Design
157,015167,000
162,825

TEC,
Construction
561,985
590,100
633,675(dollars in thousands)
TEC,
OPC, Except
Total
D&D
719,000
51,000757,100
12,900796,500
18,500

OPC, D&D

OPC, Total

TPC

N/A
N/A
N/A

51,00012,90018,500770,000
770,000
815,000

Project Scope and Justification

Scope
There is a growing need to study materials under real conditions in real time through the use of groundbreaking scientifictechniques. These techniques must provide the capability to observe, understand, and ultimately control the functions ofmaterials down to the nanoscale and beyond with atomic resolution. To sustain U.S. leadership in this technology frontier,
the U.S. Department of Energy’s (DOE’s) Office of Basic Energy Sciences (BES) will upgrade an existing hard x-ray synchrotron
radiation facility to provide world-leading coherence and brightness at levels that are orders of magnitude higher thancurrently available. High-energy penetrating x-rays are critical for probing materials under real working environments, suchas in a battery or fuel cell under load conditions.
By building capability on the existing APS facility at Argonne National Laboratory (ANL), for significantly less than thereplacement cost of the APS, the APS-U will provide a world-leading hard x-ray synchrotron radiation facility, which will be aunique asset in the U.S. portfolio of scientific user facilities. The APS-U is a critical and cost-effective next step in the photon
science strategy that will keep the U.S. at the forefront of scientific research, combining with other facilities to give the U.S.
a complementary set of storage ring and free-electron laser x-ray light sources.
The APS-U project will upgrade the existing APS to provide scientists with an x-ray light source possessing world-leadingtransverse coherence and extreme brightness. The APS-U project supports activities to develop, design, build, install, andtest the equipment necessary to upgrade the APS, an existing third-generation synchrotron light source facility.
The APS-U project includes a new storage ring incorporating an MBA lattice utilizing the existing tunnel, new insertion
devices optimized for brightness and flux, superconducting undulators for selected beamlines, new or upgraded front-ends,
and any required modifications to the linac, booster, and RF systems. The MBA lattice will provide 100-1000 times increased
brightness and coherent flux. The project will also construct new beamlines and incorporate substantial refurbishment ofexisting beamlines, along with new optics and detectors that will enable the beamlines to take advantage of the improved
accelerator performance. Two best-in-class beamlines require conventional civil construction to extend the beamlines
beyond the existing APS Experimental Hall to achieve the desired nano-focused beam spot size.
With the ever-increasing demand for higher penetration power for probing real-world materials and applications, the highenergy hard x-rays (20 keV and above) produced at APS provide unique capabilities in the suite of U.S. x-ray light sourcesthat are a pre-requisite for tackling the grand science and energy challenges of the 21st Century. The APS-U will ensure that
the APS remains a world leader in hard x-ray science.
Science/Basic Energy Sciences/18-SC-10, Advanced Photon Source-Upgrade106

FY 2020 Congressional Budget Justification

Justification
The BES mission is to “support fundamental research to understand, predict, and ultimately control matter and energy atthe electronic, atomic, and molecular levels in order to provide the foundations for new energy technologies and to support
DOE missions in energy, environment, and national security.” APS-U is in direct support of the DOE Strategic Plan, 20142018, Strategic Objective 3 which includes a strategy to "provide the nation's researchers with world-class scientific user
facilities that enable mission-focused research and advance scientific discovery."Worldwide investments in accelerator-based x-ray light source user facilities threaten U.S. leadership in light source
technology within the next 6-10 years. The European Synchrotron Radiation Facility in France, PETRA-III in Germany, andSPring-8 in Japan are well into campaigns of major upgrades of beamlines and are also incorporating technologicaladvancements in accelerator science to enhance performance. In 2015, China announced its intention to construct a nextgeneration 6 GeV hard x-ray synchrotron light source.
The APS-U will upgrade the APS, by replacing the existing 20-year-old storage ring with an MBA-based machine, and will
provide a beam with a natural emittance that is orders of magnitude lower than what is currently available with thirdgeneration light sources. With this investment and the current APS infrastructure, the APS-U will position the APS as theleading storage ring-based hard x-ray source in the U.S. for decades to come.
The high-energy penetrating x-rays will provide a unique scientific capability directly relevant to problems in energy, theenvironment, new and improved materials, and biological studies. The upgraded APS will complement the capabilities of xray free electron lasers (e.g., the Linac Coherent Light Source and Linac Coherent Light Source-II), which occupy different
spectral, flux, and temporal range of technical specifications.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The threshold KPPs represent the minimum acceptable performance that the project must achieve. Achievement of thethreshold KPPs will be a prerequisite for CD-4, Approve Project Completion. The objective KPPs represent the desired
project performance. If project performance is sustained and funds are available, the project will strive to attain theobjective KPPs.
Performance Measure
Storage Ring Energy
Beam Current
Horizontal Emittance
Brightness @ 20 keV1
Brightness @ 60 keV1
New APS-U Beamlines Transitioned toOperations
1
Units = photons/sec/mm2/mrad2/0.1% BW

Science/Basic Energy Sciences/18-SC-10, Advanced Photon Source-Upgrade

Threshold> 5.7 GeV, with systems installed for 6 GeV
operation≥ 25 mA in top-up injection mode withsystems installed for 200 mA operation< 130 pm-rad at 25 mA> 1 x 1020
> 1 x 1019
7

Objective
6 GeV
200 mA in top-up
injection mode
≤ 42 pm-rad at 200 mA
1 x 1022
1 x 1021≥9107

FY 2020 Congressional Budget Justification

3.

Financial Schedule(dollars in thousands)
BudgetAuthority(Appropriations)
Total Estimated Cost (TEC)
DesignMIE funding
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
Total, MIE fundingLine item construction funding
FY 2018
FY 2019
FY 2020
FY 2021
Total, Line item construction
funding
Total, Design
Construction
MIE funding
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, MIE fundingLine item construction funding
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
FY 2024
Total, Line item construction
funding
Total, Construction

Science/Basic Energy Sciences/18-SC-10, Advanced Photon Source-Upgrade

108

Obligations

Costs

19,20015,00017,01520,00020,00028,775——
119,990

19,20015,00017,01520,00020,00028,775——
119,990

8,679
17,825
13,122
19,67822,52923,09812,716
2,343
119,990

32,000
7,735
3,100
—

32,000
7,735
3,100
—

3,021
17,15019,8502,814

42,835
162,825

42,835
162,825

42,835
162,825

800
5,000
2,985
—
—
13,725———22,510

800
5,000
2,985
—
—
13,725———22,510

416
3,391
4,301
677
—
389
7,497
5,064
775
22,51061,000122,265
146,900
160,000
121,000——

61,000122,265
146,900
160,000
121,000——

6,902
127,833
171,250
161,500
126,250
15,3752,055

611,165
633,675

611,165
633,675

611,165
633,675

FY 2020 Congressional Budget Justification

(dollars in thousands)
BudgetAuthority(Appropriations)

Obligations

Costs

20,00020,00020,00020,00020,00042,500———142,500

20,00020,00020,00020,00020,00042,500———142,500

9,095
21,216
17,423
20,35522,52923,487
20,213
7,407
775
142,500

93,000130,000
150,000
160,000
121,000——

93,000130,000
150,000
160,000
121,000——

9,923
144,983
191,100
164,314126,250
15,3752,055

654,000
796,500

654,000
796,500

654,000
796,500

1,000
7,500
—
8,500

1,000
7,500
—
8,500

587
3,696
4,217
8,500

5,000
5,000
—

5,000
5,000
—

4,500
4,500
1,000

10,00018,50010,00018,50010,00018,5001,000
7,500
20,00020,00020,00020,00020,00042,5001,000
7,500
20,00020,00020,00020,00020,00042,500587
3,696
13,312
21,216
17,423
20,35522,52923,487TEC
MIE funding
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, MIE fundingLine item construction funding
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
FY 2024
Total, Line item construction
funding
Total, TEC
Other Project Cost (OPC)
OPC except D&D
MIE funding
FY 2010
FY 2011
FY 2012
Total MIE fundingLine item construction funding
FY 2021
FY 2022
FY 2023
Total, Line item construction
funding
Total, OPC
Total Project Cost (TPC)
MIE funding
FY 2010
FY 2011
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
Science/Basic Energy Sciences/18-SC-10, Advanced Photon Source-Upgrade109

FY 2020 Congressional Budget Justification

(dollars in thousands)
BudgetAuthority(Appropriations)
FY 2018—
FY 2019—
FY 2020—
Total, MIE funding
151,000
Line item construction funding
FY 2018
93,000FY 2019
130,000
FY 2020150,000
FY 2021
165,000
FY 2022
126,000
FY 2023—
FY 2024—
Total, Line item construction
funding
664,000
Total, TPC
815,000
4.

Obligations

Costs

—
—
—
151,000

20,213
7,407
775
151,000

93,000130,000
150,000
165,000
126,000——

9,923
144,983
191,100
168,814130,750
16,3752,055

664,000
815,000

664,000
815,000

Previous
Total
Estimate

Original
Validated
Baseline

Details of Project Cost Estimate(dollars in thousands)
Current
Total
Estimate
Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Equipment
Other Construction
Contingency
Total, Construction
Total, TEC
Contingency, TEC
Other Project Cost (OPC)
OPC except D&D
Conceptual Planning
Conceptual Design
Start-UpContingency
Total, OPC
Contingency, OPC
Total Project Cost
Total Contingency (TEC+OPC)

Science/Basic Energy Sciences/18-SC-10, Advanced Photon Source-Upgrade

110

146,825
16,000162,825

157,150
9,850
167,000

N/A
N/A
N/A

483,575
15,000135,100
633,675
796,500
151,100

426,420
14,680149,000
590,100
757,100
158,850

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

1,000
7,500
7,800
2,200
18,5002,200
815,000
153,300

1,000
7,500
3,250
1,150
12,9001,150
770,000
160,000

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

FY 2020 Congressional Budget Justification

5.

Schedule of Appropriations Requests
RequestYear
FY 2018

FY 2019

FY 2020

6.

Type
TEC
OPC
TPC
TEC
OPC
TPC
TEC
OPC
TPC

Prior
Years
142,500
8,500
151,000
142,500
8,500
151,000
142,500
8,500
151,000(dollars in thousands)
FY 2018

FY 2019

FY 2020

FY 2021

FY 2022

FY 2023

Outyears

20,00081,772

152,419——

20,00020,00081,77260,000152,419150,000

—

—

—

—

20,00093,00060,000130,000

150,000
150,000———

93,000130,000

150,000

159,780
160,000
5,000
165,000

82,50027,500110,000
133,100
2,200
135,300
121,000
5,000
126,000

79,80910,00089,80991,7202,200
93,920—————160,000
5,000
165,000
159,780

—
—
—
—
—
—
—
—

Total
719,000
51,000770,000
757,100
12,900770,000
796,500
18,500815,000

Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future Start of D&D of this capital asset (fiscal quarter)

Operations and Maintenance

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
N/A
18,0002Q FY 2026
25
2Q FY 2051

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
N/A
450,000

The numbers presented are the incremental operations and maintenance costs above the existing APS facility without
escalation. The estimate will be updated as the project is executed.
7.

D&D Information

New area being constructed by this project at ANL .....................................................................
Area of D&D in this project at ANL ...............................................................................................
Area at ANL to be transferred, sold, and/or D&D outside the project 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
7,000–10,000—
7,000–10,000———

Approximately 7,000-10,000 square feet of new construction is needed for the 2 beamlines extending beyond the current
APS experimental facility.
8.

Acquisition Approach

The APS-U project will be acquired by the Argonne National Laboratory (ANL) under the existing DOE Management andOperations (M&O) contract between DOE and UChicago Argonne, LLC, which operates ANL. The acquisition of equipment
Science/Basic Energy Sciences/18-SC-10, Advanced Photon Source-Upgrade111

FY 2020 Congressional Budget Justification

and systems for large research facilities is within the scope of the DOE contract for the management and operations of ANL
and consistent with the general expectation of the responsibilities of DOE M&O contractors.
ANL will have prime responsibility for oversight of all contracts required to execute this project which will include managing
the design and construction of the APS-U accelerator incorporating an MBA magnet lattice, insertion devices, front ends,
beamlines/experimental stations, and any required modifications to the linac, booster, and RF systems. ANL has establishedan APS-U project organization with project management, procurement management, and ES&H management with staff
qualified to specify, select and oversee procurement and installation of the accelerator and beamline components and othertechnical equipment. These items will be procured from a variety of sources, depending on the item. Procurements will becompetitively bid on a ‘best value’ basis following all applicable ANL procurement requirements. The APS-U project will
most likely be accomplished using the design-bid-fabricate method. This proven approach provides the project with directcontrol over the accelerator components and beamline design, equipment specification and selection, and all contractors.

Science/Basic Energy Sciences/18-SC-10, Advanced Photon Source-Upgrade112

FY 2020 Congressional Budget Justification

18-SC-11, Proton Power Upgrade
Oak Ridge National Laboratory, Oak Ridge, Tennessee
Project is for Design and Construction
1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 Request for the Proton Power Upgrade (PPU) project is $5,000,000. The most recent DOE O 413.3B approved
Critical Decision (CD) is CD-3A (Approve Long Lead Procurements), approved on October 5, 2018. The preliminary Total
Project Cost (TPC) range, based on early concepts under consideration, is $184,000,000 - $320,000,000.
Significant Changes
Congress first appropriated funds for PPU in FY 2018 and was a new start in that year. This Construction Project Data Sheet(CPDS) for FY 2020 funding does not include a new start for the budget year.
In FY 2018, PPU advanced the technical system designs, including completing the status report on the 2 MW target
conceptual design scoping analysis. The project received CD-1 (Approve Alternative Selection and Cost Range) approval on
April 4, 2018 for a TPC range of $184,000,000 - $320,000,000. CD-3A (Approve Long Lead Procurements) approval wasreceived on October 5, 2018 for up to $10,505,000 for niobium material, cryomodule cavities, and related cryomodule
procurements. No funding was requested for PPU in FY 2019; however, Congress appropriated $60,000,000 in FY 2019,
which enables R&D, engineering, prototyping, preliminary and final design, long-lead procurement, and target R&D aimed
at further advancing the target performance in coordination with SNS operations target management. In FY 2020, funds will
be utilized for R&D, engineering, prototyping, preliminary and final design. Target R&D will continue. Additional long leadprocurement authority (CD-3B), if approved, will advance the klystron gallery buildout, RF procurements, and cryomodule
hardware procurements and assembly.
A Federal Project Director, certified to level I, has been assigned to this project and has approved this CPDS.
Critical Milestone History
FiscalYear

CD-0

FY 2020 a

1/7/2009

Conceptual
DesignComplete
8/1/2017

Final
DesignComplete
4Q FY 2022

CD-3

D&D
Complete

CD-4

3Q FY 2022

N/A

3Q FY 2027

CD-3A

CD-3B

10/5/2018

2Q FY 2020

CD-1

CD-2

4/4/2018

2Q FY 2021

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

Fiscal Year
FY 2020a

Performance
Baseline
Validation
2Q FY 2021

CD-3A – Approve Long-Lead Procurements, niobium material, cryomodule cavities, and related cryomodule procurements.
CD-3B – Approve Long-Lead Procurements, klystron gallery buildout, RF procurements, and cryomodule hardware.

a The project is pre-CD-2; the estimated cost and schedule shown are preliminary. Construction will not be executed without appropriate CD approvals.

Science/Basic Energy Sciences/18-SC-11 Proton Power Upgrade113

FY 2020 Congressional Budget Justification

Project Cost History

Fiscal Year
FY 2020 a2.

TEC,
Design27,300TEC,
Construction
210,000(dollars in thousands)
OPC, Except
TEC, Total
D&D
237,300
12,700

OPC, D&D

OPC, Total

TPC

N/A

12,700250,000

Project Scope and Justification

Scope
The global landscape in neutron scattering science is changing rapidly. To sustain the U.S.’s position at the frontier inmaterials and chemical characterization, dramatic improvements in experimental capabilities are needed. In particular,
upgraded neutron sources are necessary to achieve the Basic Energy Sciences (BES) mission.
The 2015 Basic Energy Sciences Advisory Committee report “Challenges at the Frontiers of Matter and Energy:
Transformative Opportunities for Discovery Science” identified five new transformative opportunities that have thepotential to transform many of today’s energy-related technologies involving matter and energy.b Advances in neutron
sources and instrumentation directly play a part in achieving four of those five goals.
The two neutron scattering facilities in the BES portfolio, the High Flux Isotope Reactor (HFIR) and the SNS, are both sited at
Oak Ridge National Laboratory (ORNL) and address one of the DOE’s key research areas—the use of neutrons andsophisticated instrumentation to probe materials. Many technical margins were built into SNS systems to facilitate a power
upgrade to at least 2 MW, with the ability to extract some of that power to a second target station.
To address the gap in advanced neutron sources and instrumentation, the PPU project will design, build, install, and test theequipment necessary to double the accelerator power from 1.4 MW to 2.8 MW, upgrade the existing SNS target system toaccommodate beam power up to 2 MW, and deliver a 2 MW qualified target. PPU also includes the provision for a stub-out
in the SNS transport line to the existing target to facilitate rapid connection to a new proton beamline. The project also
includes modifications to some buildings and services. Costs for acceptance testing, integrated testing, and initialcommissioning to demonstrate achievement of the KPPs are included in the PPU scope.
PPU will accomplish the energy upgrade by fabricating and installing seven new superconducting RF cryomodules, withsupporting RF equipment, in the existing SNS linac tunnel and klystron gallery. The high voltage converter modulators andklystrons for some of the existing installed RF equipment will be upgraded to handle the higher beam current. The
accumulator ring will be upgraded with minor modifications to the injection and extraction areas. A new high volume gas
injection system for pressure pulse mitigation in the mercury target and a redesigned mercury target vessel will allow the
first target station to handle the increased beam power of 2 MW.
Justification
The BES mission is to “support fundamental research to understand, predict, and ultimately control matter and energy atthe electronic, atomic, and molecular levels in order to provide the foundations for new energy technologies and to support
DOE missions in energy, environment, and national security.” BES accomplishes its mission by operating large-scale user
facilities consisting of a complementary set of intense x-rays sources, neutron scattering centers, electron beamcharacterization capabilities, and research centers for nanoscale science.
In the area of neutron science, numerous studies by the scientific community since the 1970s have established the scientificjustification and need for a very high-intensity pulsed neutron source in the U.S. The SNS, which began its user program at
ORNL in 2007, currently fulfills the need. In accordance with the 1996 BESAC (Russell Panel) Report recommendation, theSNS was designed to be upgradeable so as to maintain its position of scientific leadership in the future, and many technicalmargins were built into the SNS systems to facilitate a power upgrade into the 2-4 MW range.

a The project is pre-CD-2; the estimated cost and schedule shown are preliminary. Construction will not be executed without appropriate CD approvals.
b https://science.energy.gov/~/media/bes/besac/pdf/Reports/Challenges_at_the_Frontiers_of_Matter_and_Energy_rpt.pdf

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FY 2020 Congressional Budget Justification

An upgraded SNS will enable many advances in the opportunities described in the 2015 BESAC report “Challenges at the
Frontiers of Matter and Energy: Transformative Opportunities for Discovery Science.” Four workshops were held by ORNL toassess the neutron scattering needs in quantum condensed matter, soft matter, biology, and the frontiers in materials
discovery. These four areas encompass and directly map to the transformative opportunities identified in the BES Grand
Challenges update. Quantum materials map most directly to harnessing coherence in light and matter, while soft matter andbiology align primarily with mastering hierarchical architectures and beyond-equilibrium matter, and frontiers in materials
discovery explored many of the topics in beyond ideal materials and systems: understanding the critical roles ofheterogeneity, interfaces, and disorder. As an example, while neutrons already play an important role in the areas of biology
and soft matter, step change improvements in capability will be required to make full use of the unique properties ofneutrons to meet challenges in mastering hierarchical architectures and beyond-equilibrium matter and understanding thecritical roles of heterogeneity and interfaces. The uniform conclusion from all workshops was that in the areas of science
covered, neutrons play a unique and pivotal role in understanding structure and dynamics in materials required to develop
future technologies.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The threshold KPPs, which will define the official performance baseline at CD-2, Approve Project Performance Baseline,
represent the minimum acceptable performance that the project must achieve. Achievement of the threshold KPPs will be aprerequisite for CD-4, Approve Project Completion. The objective KPPs represent the desired project performance. If project
performance is sustained and funds are available, the project will attain the objective KPPs. The KPPs presented here arepreliminary, pre-baseline values. The final key parameters will be established as part of CD-2, Approve Performance
Baseline.
Performance Measure
Beam power on target
Beam energy
Target operational time without failureStored beam intensity in ringNumber of PPU installed cryomodules
3.

Threshold
1.7 MW at 1.25 GeV
1.25 GeV
1,250 hours at 1.7 MW≥ 1.6x1014 protons at 1.25 GeV
6Objective
2.0 MW at 1.3 GeV
1.3 GeV
1,250 hours at 2.0 MW≥ 2.24x1014 protons at 1.3 GeV
7Financial Schedule(dollars in thousands)

Total Estimated Cost (TEC)
DesignFY 2018
FY 2019
FY 2020
Outyears
Total, Design
Construction
FY 2018
FY 2019
FY 2020
Outyears
Total, Construction
Science/Basic Energy Sciences/18-SC-11 Proton Power Upgrade

BudgetAuthority(Appropriations)

Obligations

Costs

5,000
18,0004,300—
27,3005,000
18,0004,300—
27,3002,655
19,4004,450
795
27,30031,00042,000700
136,300
210,000

31,00042,000700
136,300
210,000

1,794
30,60034,250143,356
210,000

115

FY 2020 Congressional Budget Justification

(dollars in thousands)
BudgetAuthority(Appropriations)
Total Estimated Costs (TEC)FY 2018
FY 2019
FY 2020
Outyears
Total, TEC
Other Project Costs (OPC)FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Outyears
Total, OPC
Total Project Costs (TPC)FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Outyears
Total, TPC a
4.

Obligations

Costs

36,00060,0005,000
136,300
237,300

36,00060,0005,000
136,300
237,300

4,449
50,00038,700144,151
237,300

3,500
6,800
—
—
—
2,400
12,700

3,500
6,800
—
—
—
2,400
12,700

1,267
3,773
3,004
2,256
—
2,400
12,7003,500
6,800
36,00060,0005,000
138,700
250,000

3,500
6,800
36,00060,0005,000
138,700
250,000

1,267
3,773
7,453
52,25638,700146,551
250,000

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

Previous
Total
Estimate

Original
Validated
Baseline

20,8006,500
27,300

N/A
N/A
N/A

N/A
N/A
N/A

156,000
54,000210,000
237,300
60,500

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

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

2,500
5,225

N/A
N/A

N/A
N/A

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Construction
Contingency
Total, Construction
Total, TEC
Contingency, TEC
Other Project Cost (OPC)
OPC except D&D
R&D
Conceptual Design

a The project is pre-CD-2; the estimated cost and schedule shown are preliminary. Construction will not be executed without appropriate CD approvals.

Science/Basic Energy Sciences/18-SC-11 Proton Power Upgrade116

FY 2020 Congressional Budget Justification

(dollars in thousands)
Current Total
Estimate
Other OPC Costs
Contingency
Total, OPC
Contingency, OPC
Total Project Costa
Total, Contingency (TEC+OPC)
5.

1,800
3,175
12,7003,175
250,000
63,675Previous
Total
Estimate
N/A
N/A
N/A
N/A
N/A
N/A

Original
Validated
Baseline
N/A
N/A
N/A
N/A
N/A
N/A

Schedule of Appropriations Requests(dollars in thousands)
RequestYear

FY 2020

6.

TypePrior Years

FY 2018 a

FY 2019 b

FY 2020

Outyears

Total—
10,30010,30036,000—36,00060,000—60,000

5,000
—
5,000

136,300
2,400
138,700

237,300
12,700250,000

TEC
OPC
TPC

Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future Start of D&D of this capital asset (fiscal quarter)

Operations and Maintenance

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
N/A
9,325

3Q FY 2027
40
3Q FY 2067

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
N/A
373,000

The numbers presented are the incremental operations and maintenance costs above the existing SNS facility without
escalation. The estimate will be updated and additional details will be provided after CD-2, Approve Performance Baseline.
7.

D&D Information

The new area being constructed in this project is not replacing existing facilities.
Square Feet
New area being constructed by this project at ORNL ......................................................................................... 3,000–4,000
Area of D&D in this project at ORNL...................................................................................................................
—
Area at ORNL to be transferred, sold, and/or D&D outside the project, including area previously “banked” ... 3,000–4,000
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 ..........................................................................................................................................
—a While no funding was requested, Congress appropriated $36,000,000 for PPU in FY 2018.

b While no funding was requested, Congress appropriated $60,000,000 for PPU in FY 2019.

Science/Basic Energy Sciences/18-SC-11 Proton Power Upgrade117

FY 2020 Congressional Budget Justification

8.

Acquisition Approach

DOE has determined that the PPU project will be acquired by ORNL under the existing DOE Management and Operations(M&O) contract.
A Conceptual Design Report for the PPU project has been completed. Key design activities, requirements, and high-risk
subsystem components have been identified to reduce cost and schedule risk to the project and expedite the startup. The
necessary project management systems are fully up-to-date, operating, and are maintained as an ORNL-wide resource.
ORNL will partner with other laboratories for design and procurement of key technical subsystem components. Sometechnical system designs will require research and development activities. Preliminary cost estimates for these systems are
based on operating experience of SNS and vendor quotes. Design of the technical systems will be completed by ORNL,
partner laboratory staff, and/or vendors. Technical equipment will be fabricated by vendors and/or partner labs with thenecessary capabilities.
All subcontracts will be competitively bid and awarded based on best value to the government.
Lessons learned from other Office of Science projects and other similar facilities will be exploited fully in planning andexecuting PPU.

Science/Basic Energy Sciences/18-SC-11 Proton Power Upgrade118

FY 2020 Congressional Budget Justification

18-SC-12 Advanced Light Source Upgrade
Lawrence Berkeley National Laboratory
Project is for Design and Construction
1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 Request for the Advanced Light Source Upgrade (ALS-U) project is $15,000,000, including $13,000,000 in Total
Estimated Cost (TEC) funds and $2,000,000 in Other Project Costs (OPC) funds. The most recent DOE Order 413.3B approved
Critical Decision (CD) is CD-1 (Approve Alternate Selection and Cost Range), approved September 21, 2018. The preliminary
Total Project Cost (TPC) range, based on the reviewed conceptual design, is $330,000,000 - $495,000,000.
Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2019 CPDS and does not include a new start for FY 2020.
The current TPC estimate increased from $320,000,000 to $368,000,000 and the Project Completion Date (CD-4) was
extended by nearly two years to 2Q FY 2028. An independent cost review in July 2018 recommended a new TPC range of$330,000,000 - $495,000,000 based on the quality of the cost estimate, and a point estimate of $368,000,000 for the total
cost. The increase in the estimated TPC is due to the conceptual design process, which results in design changes, refinementof the engineering cost estimates, and cost escalation. Changes to the planned project funding profile results in theextension of the project completion date.
In FY 2018, ALS-U developed and completed their Conceptual Design and underwent both an Independent Cost Review by
DOE’s Office of Project Management and an Independent Project Review by SC’s Office of Project Assessment in July 2018.
The project received CD-1, Approve Alternative Selection and Cost Range, in September 2018. FY 2019 funding continues tosupport planning, engineering, design, research and development (R&D), prototyping activities and initiate long leadprocurements to the extent supported by design maturity. FY 2020 funding will continue the support of planning,
engineering, design, and R&D prototyping activities and additional long lead procurements.
A Federal Project Director, certified to level III, has been assigned to this project and has approved this CPDS.
Critical Milestone History

FiscalYear
FY 2019
FY
2020 aCD-0

Conceptual
DesignComplete

CD-1

CD-2

Final Design
Complete

CD-3

D&D
CompleteCD-4

9/27/2016

4Q FY 2019

4Q FY 2019

4Q FY 2020

4Q FY 2022

4Q FY 2021

N/A

4Q FY 2026

9/27/2016

4/30/2018

9/21/2018

2Q FY 2021

4Q FY 2021

1Q FY 2022

N/A

2Q FY 2028

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 or will be 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 Closeouta

The project is pre-CD-2; the estimated cost and schedule shown are preliminary. Construction will not be executed without appropriate CD approvals.

Science/Basic Energy Sciences/18-SC-12 Advanced Light Source Upgrade

119

FY 2020 Congressional Budget Justification

Fiscal Year
FY 2019
FY 2020 a

Performance
Baseline
Validation
4Q FY 2020
1Q FY 2021

CD-3A
4Q FY 2020
4Q FY 2019

CD-3A – Approve Long-Lead Procurements: As the project planning and design matures, long lead procurement may be requested in
FY 2019 to mitigate cost and schedule risk to the project.

Project Cost History

Fiscal Year
FY 2019
FY 2020 b
2.

TEC, Design
39,00089,750TEC,
Construction
243,000
248,250(dollars in thousands)
OPC, Except
TEC, Total
D&D
282,000
38,000338,000
30,000

OPC, D&D

OPC, Total

TPC

N/A
N/A

38,00030,000320,000
368,000

Project Scope and Justification

Scope
The ALS-U project will upgrade the existing ALS facility by replacing the existing electron storage ring with a new electron
storage ring based on a multi-bend achromat (MBA) lattice design to provide a soft x-ray source that is orders of magnitudes
brighter—a 10-1000 times increase in brightness over the current ALS—and to provide a significantly higher fraction ofcoherent light in the soft x-ray region (~50-2,000 eV) than is currently available at ALS. The project will replace the existing
triple-bend achromat storage ring with a new, high-performance storage ring based on a nine-bend achromat design. In
addition, the project will add a low-emittance, full-energy accumulator ring to the existing tunnel to enable on-axis, swapout injection using fast kicker magnets. The new source will require upgrading x-ray optics on existing beamlines with somebeamlines being realigned or relocated. The project adds three new undulator beamlines that are optimized for the novel
science made possible by the beam’s new high coherent flux. If possible, the project intends to reuse the existing building,utilities, electron gun, linac, and booster synchrotron equipment currently at ALS. Related scope may be added as necessary
to optimize the final design and provide the maximum performance achievable to support the science needs and goals
contained in the Mission Need Statement. With an aggressive accelerator design, ALS-U will provide the highest coherent
flux of any existing or planned storage ring facility worldwide, up to a photon energy of about 3.5 keV. This range covers theentire soft x-ray regime.
Justification
At this time, our ability to observe and understand materials and material phenomena in real-time and as they emerge andevolve is limited. Soft x-rays (~50 to 2,000 eV) are ideally suited for revealing the chemical, electronic, and magnetic
properties of materials, as well as the chemical reactions that underpin these properties. This knowledge is crucial for thedesign and control of new advanced materials that address the challenges of new energy technologies.
Existing storage ring light sources lack a key attribute that would revolutionize x-ray science: stable, nearly continuous soft
x-rays with high brightness and high coherent flux—that is, smooth, well organized soft x-ray wave fronts. Such a stable,high brightness, high coherent flux source would enable 3D imaging with nanometer resolution and the measurement of
spontaneous nanoscale motion with nanosecond resolution—all with electronic structure sensitivity.
Currently the Office of Basic Energy Sciences operates advanced ring-based light sources that produce soft x-rays. The
National Synchrotron Light Source-II (NSLS-II), commissioned in 2015, is the brightest soft x-ray source in the U.S. The ALS,
completed in 1993, is competitive with NSLS-II for x-rays below 200 eV but not above that. NSLS-II is somewhat lower in
a The project is pre-CD-2; the estimated cost and schedule shown are preliminary. Construction will not be executed without appropriate CD approvals.

b The project is pre-CD-2 and is not baselined. The cost and schedule shown are preliminary and may change as the project matures towards CD-2.
Construction will not be executed without appropriate CD approvals.

Science/Basic Energy Sciences/18-SC-12 Advanced Light Source Upgrade120

FY 2020 Congressional Budget Justification

brightness than the new Swedish light source, MAX-IV, which is currently under commissioning and represents the first useof a MBA lattice design in a light source facility. Neither NSLS-II nor ALS make use of the newer MBA lattice design.
Switzerland’s SLS-2 (an MBA-based design in the planning stage) will be a brighter soft x-ray light source than both NSLS-IIand MAX-IV when it is built and brought into operation. These international light sources, and those that follow, will present
a significant challenge to U.S. light source community to provide competitive x-ray sources to domestic users. Neither NSLSII nor ALS soft x-ray light sources possess sufficient brightness or coherent flux to provide the capability to meet the missionneed in their current configurations.
BES is currently supporting two major light source upgrade projects, the Advanced Photon Source-Upgrade (APS-U) and the
Linac Coherent Light Source-II (LCLS-II). These two projects will upgrade existing x-ray facilities in the U.S. and will provide
significant increases in brightness and coherent flux. These upgrades will not address the specific research needs thatdemand stable, nearly continuous soft x-rays with high brightness and high coherence.
APS-U (in planning and design) will deploy the MBA lattice design optimized for its higher 6 GeV electron energy and to
produce higher energy (hard) x-rays in the range of 10-100 keV. Because the ring will be optimized for high energy, the soft
x-ray light it produces will not be sufficiently bright to meet the research needs described above.
LCLS-II (under construction) is a high repetition rate (up to 1 MHz) free electron laser (FEL) designed to produce highbrightness, coherent x-rays, but in extremely short bursts rather than as a nearly continuous beam. Storage rings offer
higher stability than FELs. In addition, there is a need for a facility that can support a larger number of concurrent
experiments than LCLS-II can in its current configuration. This is critical for serving the large and expanding soft x-ray
research community. LCLS-II will not meet this mission need.
The ALS is a 1.9 GeV storage ring operating at 500 mA of beam current. It is optimized to produce intense beams of soft xrays, which offer spectroscopic contrast, nanometer-scale resolution, and broad temporal sensitivity. The ALS facility
includes an accelerator complex and photon delivery system that are capable of providing the foundations for an upgradethat will achieve world-leading soft x-ray coherent flux. The existing ALS provides a ready-made foundation, including
conventional facilities, a $500M scientific infrastructure investment and a vibrant user community of over 2,500 users per
year already attuned to the potential scientific opportunities an upgrade offers. The facility also includes extensive (up to40) simultaneously operating beamlines and instrumentation, an experimental hall, computing resources, ancillarylaboratories, offices, and related infrastructure that will be heavily utilized in an upgrade scenario. Furthermore, theupgrade leverages the ALS staff, who are experts in the scientific and technical aspects of the proposed upgrade.
In summary, the capabilities at our existing x-ray light source facilities are insufficient to develop the next generation of toolsthat combine high resolution spatial imaging together with precise energy resolving spectroscopic techniques in the soft xray range. To enable these cutting edge experimental techniques, it is necessary to possess an ultra-bright source of soft xray light that generates the high coherent x-ray flux required to resolve nanometer-scale features and interactions, and toallow the real-time observation and understanding of materials and phenomena as they emerge and evolve. Developing
such a light source will ensure the U.S. has the tools to maintain its leadership in soft x-ray science and will significantly
accelerate the advancement of the fundamental sciences that underlie a broad range of emerging and future energy
applications.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The threshold KPPs, which will define the official performance baseline at CD-2, Approve Project Performance Baseline,
represent the minimum acceptable performance that the project must achieve. Achievement of the threshold KPPs will be aprerequisite for CD-4, Approve Project Completion. The objective KPPs represent the desired project performance. The KPPs
presented here are preliminary and may change as the project continues towards CD-2. The final key parameters will beestablished as part of CD-2, Approve Project Performance Baseline.
Science/Basic Energy Sciences/18-SC-12 Advanced Light Source Upgrade

121

FY 2020 Congressional Budget Justification

Performance Measure
Storage Ring Energy
Beam Current
Horizontal Emittance
Brightness @ 1 keV1
New MBA Beamlines
1
Units = photons/sec/0.1% BW/mm2/mrad2
3.

Threshold≥ 1.9 GeV
> 25 mA< 150 pm-rad> 2 x 1019
2

Objective
2.0 GeV
500 mA< 85 pm-rad≥ 2 x 1021
≥2

Financial Schedule

Total Estimated Cost (TEC)
DesignFY 2018
FY 2019
FY 2020
Outyears
Total, Design
Construction
FY 2019
FY 2020
Outyears
Total, Construction
Total Estimated Costs (TEC)FY 2018
FY 2019
FY 2020
Outyears
Total, TEC
Other Project Costs (OPC)
OPC except D&D
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Outyears
Total, OPC
Total Project Cost (TPC)FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Outyears

Science/Basic Energy Sciences/18-SC-12 Advanced Light Source Upgrade(dollars in thousands)
BudgetAuthority(Appropriations)

Obligations

Costs

16,00035,00010,00028,75089,75016,00035,00010,00028,75089,75030,00020,00039,75089,75025,0003,000
220,250
248,250

25,0003,000
220,250
248,250

15,00010,000223,250
248,250

16,00060,00013,000249,000
338,000

16,00060,00013,000249,000
338,000

45,00030,000263,000
338,000

5,000
5,000
14,000
2,000
2,000
2,000
30,0005,000
5,000
14,000
2,000
2,000
2,000
30,0001,430
5,306
11,699
4,000
3,500
4,065
30,0005,000
5,000
30,00062,00015,000251,000

5,000
5,000
30,00062,00015,000251,000

1,430
5,306
11,69949,00033,500267,065

122——

FY 2020 Congressional Budget Justification

Total, TPC
4.

(dollars in thousands)
BudgetAuthority(Appropriations)
368,000a

Obligations
368,000

Costs
368,000

Current Total
Estimate

Previous Total
Estimate

Original
Validated
Baseline

69,80019,95089,75030,0009,000
39,000

N/A
N/A
N/A

—

5,000
170,000

Details of Project Cost Estimate(dollars in thousands)

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Site Preparation
Equipment
Other Construction
Contingency
Total, Construction
Total, TEC
Contingency, TEC
Other Project Cost (OPC)
OPC except D&D
Conceptual Planning
Conceptual Design
Research and Development
Start-UpContingency
Total, OPC
Contingency, OPC
Total Project Costa
Total, Contingency (TEC+OPC)
5.

59,750248,250
338,000
79,70068,000243,000
282,000
77,000

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

2,000
12,100
8,000
1,200
6,700
30,0006,700
368,000
86,4002,000
12,00010,0006,000
8,000
38,0008,000
320,000
85,000

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

188,500——

Schedule of Appropriations Requests

RequestYear
FY 2019

FY 2020(dollars in thousands)
Type
TEC
OPC
TPC
TEC
OPC

Prior Years

FY 2018 b

FY 2019

FY 2020

Outyears

Total

—

—
—
—

10,0002,000
12,00060,0002,000

26,5405,000
31,54013,0002,000

245,460
21,000266,460
249,000
2,000

282,000
38,000320,000
338,000
30,00010,00010,000—10,00016,00014,000a The project is pre-CD-2 and is not baselined. The cost and schedule shown are preliminary and may change as the project matures towards CD-2.
Construction will not be executed without appropriate CD approvals.
b While no funding was requested, Congress appropriated $30,000,000 for ALS-U in FY 2018.

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Request
Year

6.

Type

Prior Years

FY 2018 b

FY 2019

FY 2020

Outyears

Total

TPC

10,00030,00062,00015,000251,000

368,000

Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future Start of D&D of this capital asset (fiscal quarter)

Operations and Maintenance

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate—
N/A

2Q FY 2028
25
2Q FY 2053

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate—
N/A

No additional operations and maintenance costs are expected above the existing ALS facility. The estimate will be updated
and additional details will be provided after CD-2, Approve Project Performance Baseline.
7.

D&D Information

At this stage of project planning and development, it is anticipated that there will be no new area being constructed in theconstruction project.
8.

Preliminary Acquisition Approach

DOE has determined that the ALS-U project will be acquired by the Lawrence Berkeley National Laboratory (LBNL) under the
existing DOE Management and Operations contract.
A Conceptual Design Report for the ALS-U project has been prepared. Key design activities, requirements, and high-risk
subsystem components have been identified to reduce cost and schedule risk to the project and expedite the startup. The
necessary project management systems are fully up-to-date, operating, and are maintained as a LBNL-wide resource.
LBNL may partner with other laboratories for design and procurement of key technical subsystem components. Technicalsystem designs will require research and development activities. Preliminary cost estimates for these systems are based on
ALS actual costs and other similar facilities, to the extent practicable. Recent cost data from similar projects will be exploited
fully in planning and budgeting for the project. Design of the technical systems will be completed by LBNL or partner
laboratory staff. Technical equipment will either be fabricated in-house or subcontracted to vendors with the necessary
capabilities. All subcontracts will be competitively bid and awarded based on best value to the government.
Lessons learned from other Office of Science projects and other similar facilities will be exploited fully in planning andexecuting ALS-U.

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18-SC-13, Linac Coherent Light Source-II High Energy
SLAC National Accelerator Laboratory
Project is for Design and Construction
1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 Request for the Linac Coherent Light Source-II High Energy (LCLS-II-HE) project is $18,000,000, including$14,000,000 in Total Estimated Cost (TEC) funds and $4,000,000 in Other Project Costs (OPC) funds. The most recent DOE
Order 413.3B approved Critical Decision (CD) is CD-1 (Approve Alternate Selection and Cost Range), approved on September
21, 2018. The preliminary Total Project Cost (TPC) range based on the reviewed conceptual design is $290,000,000 $480,000,000.
Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2019 CPDS and does not include a new start for FY 2020.
The current Total Project Cost (TPC) estimate increased from $320,000,000 to $368,000,000 and the Project Completion
Date (CD-4) was extended by nearly two years to 1Q FY 2028. The independent cost review in June 2018 recommended a
new TPC range of $290,000,000 - $480,000,000 based on the quality of the cost estimate, and a point estimate of$368,000,000 for the total cost. The increase in the estimated TPC was due to the conceptual design process which resulted
in design changes and refinement of the engineering cost estimates. Changes to the project funding profile resulted in theextension of the project completion date.
In FY 2018, LCLS-II-HE developed and completed their Conceptual Design and underwent both an Independent Cost Review
by DOE’s Office of Project Management and an Independent Project Review by SC’s Office of Project Assessment in June
2018. The project received CD-1, Approve Alternative Selection and Cost Range, in September 2018. The project also
initiated a research and development (R&D) program aimed at further advancing the performance of the superconducting
radio frequency (RF) cavities. FY 2019 funding supports the continued planning, engineering, design, R&D, prototyping
activities, and initiates long lead and/or advanced procurements to the extent supported by design maturity. FY 2020
funding will continue the support of planning, engineering, design, R&D prototyping, and additional long leadprocurements, as appropriate.
A Federal Project Director, certified to level IV, has been assigned to this project and has approved this CPDS.
Critical Milestone History
FiscalYear

CD-0

FY 2019
FY 2020 a

12/15/2016
12/15/2016

Conceptual
DesignCD-1
Complete
3Q FY 2019 3Q FY 20193/23/2018 9/21/2018

CD-2
1Q FY 2021
2Q FY 2023

Final
DesignComplete
1Q FY 2023
1Q FY 2023

CD-3

D&D
Complete

CD-4

2Q FY 2022
2Q FY 2023

N/A
N/A

2Q FY 2026
1Q FY 2028

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 or will be 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 completedCD-3 – Approve Start of Construction
D&D Complete – Completion of D&D workCD-4 – Approve Start of Operations or Project Closeouta The project is pre-CD-2; the estimated cost and schedule shown are preliminary. Construction will not be executed without appropriate CD approvals.

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FY 2020 Congressional Budget Justification

Fiscal Year
FY 2019
FY 2020a

Performance
Baseline
Validation
1Q FY 2021
2Q FY 2023

CD-3A
4Q FY 2019
4Q FY 2019

CD-3A – Approve Long-Lead Procurements: As the project planning and design matures, long lead procurement may be requested in
FY 2019 to mitigate cost and schedule risk to the project.

Project Cost History

Fiscal Year

TEC, Design

FY 2019
FY 2020 a

34,00034,0002.

TEC,
Construction
266,000
314,000(dollars in thousands)
OPC, Except
TEC, Total
D&D
300,000
20,000348,000
20,000

OPC, D&D

OPC, Total

TPC

N/A
N/A

20,00020,000320,000
368,000

Project Scope and Justification

Scope
There is a limited ability to observe and understand the structural dynamics of complex matter at the atomic scale with hard
x-rays, at ultrafast time scales, and in operational environments. Overcoming this capability gap is crucial for the design,
control and understanding of new advanced materials necessary to develop new energy technologies. To achieve thisobjective, the Department needs a hard x-ray source capable of producing high energy ultrafast bursts, with full spatial andtemporal coherence, at high repetition rates. Possession of a hard x-ray source with a photon energy range from 5 keV to 12
keV and beyond would enable spectroscopic analysis of additional key elements in the periodic table, deeper penetration
into materials, and enhanced resolution. This capability cannot be provided by any existing or planned light source.
The LCLS-II project at SLAC National Accelerator Laboratory (SLAC), which is currently under construction and will begin
operations in 2020-2021, only partially addresses this capability gap. LCLS-II will be the premier x-ray free electron laser(XFEL) facility in the world at energies ranging from 200 eV up to approximately 5 keV. The cryomodule technology that
underpins LCLS-II is a major advance from prior designs that will allow continuous operation up to 1 MHz.
When completed, LCLS-II will be powered by SLAC’s 4 GeV superconducting electron linear accelerator (linac). Over the past
years, the cryomodule design for LCLS-II has performed beyond expectations, providing the technical basis to double theelectron beam energy. It is therefore conceivable to add additional acceleration capacity at SLAC to double the electron
beam energy from 4 GeV to 8 GeV. Calculations indicate that an 8 GeV linac will deliver a hard x-ray photon beam with peakenergy of 12.8 keV, which will meet the mission need.
The LCLS-II-HE project will upgrade the LCLS-II to maintain U.S. leadership in XFEL science. The upgrade will provide world
leading experimental capabilities for the U.S. research community by extending the x-ray energy of LCLS-II from 5 keV to 12
keV and beyond. The flexibility and detailed pulse structure associated with the proposed LCLS-II-HE facility will not bematched by other facilities under development worldwide.
The LCLS-II-HE project will increase the superconducting linac energy from 4 GeV to 8 GeV by installing additional
cryomodules in the first kilometer of the existing linac tunnel. The electron beam will be transported to the existing
undulator hall to extend the x-ray energy to 12 keV and beyond. The project will also modify or upgrade existing
infrastructure and x-ray transport, optics and diagnostics system, and provide new or upgraded instrumentation to augment
existing and planned capabilities.

a The project is pre-CD-2; the estimated cost and schedule shown are preliminary. Construction will not be executed without appropriate CD approvals.

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FY 2020 Congressional Budget Justification

Justification
The leadership position of LCLS-II will be challenged by the European XFEL at DESY in Hamburg, Germany, which began
operations in 2017. The European XFEL has a higher electron energy, which allows production of shorter (i.e., harder) x-ray
wavelength pulses compared to LCLS-II. More recent plans emerging from DESY have revealed how the European XFEL could
be extended from a pulsed operation mode to continuous operation, which would create a profound capability gap
compared to LCLS-II. The continuous operation improves the stability of the electron beam and provides uniformly spaced
pulses of x-rays or, if desired, the ability to customize the sequence of x-ray pulses provided to experiments to optimize themeasurements being made.
In the face of this challenge to U.S. scientific leadership, extending the energy reach of x-rays beyond the upper limit of
LCLS-II (5 keV) is a high priority. 12 keV x-rays correspond to an x-ray wavelength of approximately 1 Ångstrom, which isparticularly important for high resolution structural determination experiments since this is the characteristic distance
between bound atoms in matter. Expanding the photon energy range beyond 5 keV will allow U.S. researchers to probe
earth-abundant elements that will be needed for large-scale deployment of photo-catalysts for electricity and fuelproduction; it allows the study of strong spin-orbit coupling that underpins many aspects of quantum materials; and it
reaches the biologically important selenium k-edge, used for protein crystallography.
Based on the factors described above, the most effective and timely approach for DOE to meet the Mission Need and realize
the full potential of the facility is by upgrading the LCLS-II, currently under construction at SLAC, by increasing the energy ofthe superconducting accelerator and upgrading the existing infrastructure and instrumentation.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The threshold KPPs, which will define the official performance baseline at CD-2, Approve Project Performance Baseline,
represent the minimum acceptable performance that the project must achieve. Achievement of the threshold KPPs will be aprerequisite for CD-4, Approve Project Completion. The objective KPPs represent the desired project performance. The KPPs
presented here are preliminary and may change as the project continues towards CD-2. The final key parameters will beestablished as part of CD-2, Approve Project Performance Baseline.
Performance Measure
Superconducting linac electron beam energy
Electron bunch repetition rate
Superconducting linac charge per bunch
Photon beam energy range
High repetition rate capable, hard X-ray end stations
8

FEL photon quantity (10-3 BW)
3.

Threshold≥ 7 GeV
93 kHz0.02 nC
200 to ≥ 8,000 eV≥35x10 (50x spontaneous @8 keV)

Objective≥ 8 GeV929 kHz0.1 nC
200 to ≥ 12,000 eV≥5
11> 10 @ 8 keV (200 µJ) or
10> 10 @ 12.8 keV (20 µJ)

Financial Schedule(dollars in thousands)
BudgetAuthority(Appropriations)
Total Estimated Cost (TEC)
DesignFY 2018
FY 2019

Science/Basic Energy Sciences/18-SC-13 Linac Coherent Light Source-II High Energy

2,000
10,000127

Obligations

2,000
10,000

Costs

—

8,000

FY 2020 Congressional Budget Justification

FY 2020
Outyears
Total, Design
Construction
FY 2018
FY 2019
FY 2020
Outyears
Total, Construction
Total Estimated Costs (TEC)FY 2018
FY 2019
FY 2020
Outyears
Total, TEC
Other Project Costs (OPC)
OPC except D&D
FY 2018
FY 2019
FY 2020
Outyears
Total, OPC
Total Project Cost (TPC)FY 2018
FY 2019
FY 2020
Outyears
Total, TPC a4.

(dollars in thousands)
BudgetAuthority(Appropriations)
6,000
16,00034,000Obligations
6,000
16,00034,000Costs
8,000
18,00034,0006,000
18,0008,000
282,000
314,000

6,000
18,0008,000
282,000
314,000

18,00014,000282,000
314,000

8,000
28,00014,000
298,000
348,000

8,000
28,00014,000
298,000
348,000

26,00022,000300,000
348,000

2,000
6,000
4,000
8,000
20,000

2,000
6,000
4,000
8,000
20,000

1,191
6,000
4,000
8,809
20,00010,00034,00018,000306,000
368,000

10,00034,00018,000306,000
368,000

1,191
32,00026,000308,809368,000

Current Total
Estimate

Previous Total
Estimate

Original
Validated
Baseline

30,5003,500
34,00030,5003,500
34,000

N/A
N/A
N/A

3,000
236,000
9,000

3,000
182,000
9,000

N/A
N/A
N/A

—

—

Details of Project Cost Estimate(dollars in thousands)

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

a The project is pre-CD-2 and is not baselined. The cost and schedule shown are preliminary and may change as the project matures towards CD-2.
Construction will not be executed without appropriate CD approvals.

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FY 2020 Congressional Budget Justification

(dollars in thousands)

Contingency
Total, Construction
Total, TEC
Contingency, TEC
Other Project Cost (OPC)
OPC except D&D
Conceptual Planning
Conceptual Design
Research and Development
Start-UpContingency
Total, OPC
Contingency, OPC
Total Project Cost a
Total Contingency (TEC+OPC)
5.

Previous Total
Estimate

66,000314,000
348,000
69,50072,000266,000
300,000
75,500

Original
Validated
Baseline
N/A
N/A
N/A
N/A

1,500
2,000
4,000
6,500
6,000
20,0006,000
368,000
75,500

1,500
4,000
4,000
8,000
2,500
20,0002,500
320,000
78,000

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

Schedule of Appropriations Requests

RequestYear
FY 2019

FY 2020

6.

Current Total
Estimate(dollars in thousands)
Type
TEC
OPC
TPC
TEC
OPC
TPC

Prior Years
—
—
—
—
—
—

FY 2018

b

—
—
—

8,000
2,000
10,000FY 2019

FY 2020

Outyears

Total

5,000
2,000
7,000
28,0006,000
34,00020,0604,000
24,06014,0004,000
18,000274,940

300,000
20,000320,000
348,000
20,000368,000

14,000288,940
298,000
8,000
306,000

Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future Start of D&D of this capital asset (fiscal quarter)

Operations and Maintenance

1Q FY 2028
25
1Q FY 2053

Related Funding Requirements(dollars in thousands)
Annual Costs
Life Cycle Costs
Previous Total
Current Total
Previous Total
Current Total
Estimate
Estimate
Estimate
Estimate
N/A
21,500N/A
537,500

The numbers presented are the incremental operations and maintenance costs above the LCLS-II facility without escalation.
The estimate will be updated and additional details will be provided after CD-2, Approve Project Performance Baseline.
a The project is pre-CD-2 and is not baselined. The cost and schedule shown are preliminary and may change as the project matures towards CD-2.
Construction will not be executed without appropriate CD approvals.
b While no funding was requested, Congress appropriated $10,000,000 for LCLS-II-HE in FY 2018.

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FY 2020 Congressional Budget Justification

7.

D&D Information

At this stage of project planning and development, it is anticipated that there will be no new area being constructed in theconstruction project.
8.

Acquisition Approach

DOE has determined that the LCLS-II-HE project will be acquired by the SLAC National Accelerator Laboratory under the
existing DOE Management and Operations (M&O) contract.
A Conceptual Design Report for the LCLS-II-HE project has been prepared. Key design activities, requirements, and high-risk
subsystem components have been identified to reduce cost and schedule risk to the project and expedite the startup. The
necessary project management systems are fully up-to-date, operating, and are maintained as a SLAC-wide resource.
SLAC will partner with other laboratories for design and procurement of key technical subsystem components. Technicalsystem designs will require research and development activities. Preliminary cost estimates for these systems are based on
actual costs from LCLS-II and other similar facilities, to the extent practicable. Recent cost data has been exploited fully inplanning and budgeting for the project. Design of the technical systems will be completed by SLAC or partner laboratory
staff. Technical equipment will either be fabricated in-house or subcontracted to vendors with the necessary capabilities.
All subcontracts will be competitively bid and awarded based on best value to the government.
Lessons learned from the LCLS-II project and other similar facilities will be exploited fully in planning and executing
LCLS-II-HE.

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FY 2020 Congressional Budget Justification

Biological and Environmental Research
Overview
The mission of the Biological and Environmental Research (BER) program is to support transformative science and scientificuser facilities to achieve a predictive understanding of complex biological, earth, and environmental systems for energy andinfrastructure security, independence, and prosperity.
The program seeks to understand the biological, biogeochemical, and physical principles needed to understandfundamentally and be able to predict the processes occurring at scales ranging from the molecular and genomics-controlled
smallest scales to environmental and ecological processes at the scale of planet Earth. Starting with the genetic information
encoded in organisms’ genomes, BER research seeks to discover the principles that guide the translation of the genetic code
into the functional proteins and the metabolic and regulatory networks underlying the systems biology of plants andmicrobes as they respond to and modify their environments. This predictive understanding will enable design andreengineering of microbes and plants underpinning energy independence and a broad clean energy portfolio, including
improved biofuels and bioproducts, improved carbon storage capabilities, and controlled biological transformation ofmaterials such as nutrients and contaminants in the environment. An equally important focus is ensuring that emerging
technologies in gene editing and genomics are developed using approaches that enhance the stability, resilience, andcontrolled performance of biological systems in the environment. BER research also advances the fundamental
understanding of dynamic, physical, and biogeochemical processes required to systematically develop Earth System models
that integrate across the atmosphere, land masses, oceans, sea ice, and subsurface. These predictive tools and approaches
are needed to inform policies and plans for ensuring the security and resilience of the Nation’s critical infrastructure.
Over the last three decades, BER’s scientific impact has been transformative. Mapping the human genome through the U.S.supported international Human Genome Project that DOE initiated in 1990 ushered in a new era of modern biotechnology
and genomics-based systems biology. Today, researchers in the BER Genomic Sciences activity and the Joint Genome
Institute (JGI), as well as in the four DOE Bioenergy Research Centers (BRCs), are using the powerful tools of plant andmicrobial systems biology to pursue the innovative early-stage research that will lead to the development of futuretransformative bio-based products, clean energy, and next generation technologies.
Since the 1950s, BER and its predecessor organizations have been critical contributors to fundamental scientificunderstanding of the atmospheric, land, ocean, and environmental systems in which life exists. The earliest work included
atmospheric and ocean circulation studies initiated to understand the effects of fallout from nuclear explosions in the early
period of the Cold War. These efforts were the forerunners of the modern Earth System models that are in use today.
Presently, BER research contributes to model development and analysis and intercomparison; in the last decade, DOE
research has made considerable advances in increasing the reliability and predictive capabilities of these models using
applied mathematics and systematic comparisons with observational data to reduce uncertainties. BER-supported researchalso has produced the software and algorithms that enable the productive application of these models on DOE
supercomputers, which are among the most capable in the world. These leading U.S. models are used to further
fundamental understanding of two of the most critical areas of uncertainty in contemporary Earth system sciences—theimpacts of clouds and aerosols—with data provided by the Atmospheric Radiation Measurement Research Facility (ARM), a
DOE user facility serving hundreds of scientists worldwide. Also, BER research has pioneered ecological and environmental
studies in terrestrial ecosystems, seeking to describe the continuum of biological, biogeochemical, and physical processes
across the multiple scales that control the flux of environmentally-relevant compounds between the terrestrial surface andthe atmosphere. BER’s Environmental Molecular Sciences Laboratory (EMSL) provides the scientific community with apowerful suite of tools to characterize biological organisms and molecules as well as atmospheric aerosol particulates.
Highlights of the FY 2020 Request
The FY 2020 Request for $494,434,000 directly aligns with the FY 2020 Administration research and development (R&D)
Budget Priorities memo a issued by OMB and OSTP that identifies eight priority R&D subjects and five practices forleveraging R&D resources more effectively. BER research on secure biodesign aligns with the R&D priority Security of theAmerican People, to underpin improving the security and resilience of the Nation from emerging threats from biologicalagents; investments in novel quantum sensors for biological and ecological systems aligns with the R&D priority American
Leadership in Quantum Information Science (QIS); and investments in early-stage research and innovative technologies at
a https://www.whitehouse.gov/wp-content/uploads/2018/07/M-18-22.pdf

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FY 2020 Congressional Budget Justification

the four Bioenergy Research Centers align with the R&D priority American Energy Dominance, and can lead to domestic
sources of clean, affordable, and reliable energy. These priority R&D subjects and the FY 2020 Request will reflect priority
practices in Educating and Training a Workforce for the 21st Century Economy, Managing and Modernizing R&D
Infrastructure, and Maximizing Interagency Coordination and Cross-Disciplinary Collaboration. BER research continues tobuild on the Administration decisions in FY 2018 to prioritize early-stage, innovative research and technologies that showpromise in harnessing American energy resources safely and efficiently. This program supports research that advances
DOE’s core missions while maintaining American leadership in the area of scientific inquiry and discovery. BER’s support ofbasic research today will contribute to a future of stable, reliable, and secure sources of American energy based ontransformative science for economic prosperity. BER activities continue to support core research in genomics and highresolution Earth System models, leveraging investments and scientific user facilities in key areas of bioenergy and securebiosystems design, Earth systems modeling and observations, and environmental sciences.
The federally chartered BER Advisory Committee (BERAC) advises BER on future development of effective researchstrategies for sustained leadership in biological and environmental research. BERAC holds targeted workshops, periodic
reviews, and forward looking overviews of BER relevant science, and the outcomes of these activities inform BER’s ongoingand future research in reports such as the “Grand Challenges for Biological and Environmental Research: Progress andFuture Vision” a.
Key elements in the FY 2020 Request include:
Research
Investments in the Biological Systems Science subprogram provide the fundamental understanding to underpin
transformative science in sustainable bioenergy production and to gain a predictive understanding of plant and microbial
physiology, microbiomes, and biological systems in support of DOE’s energy and environmental missions. The Genomic
Sciences activity will prioritize support for the third year of the four DOE BRCs, performing new fundamental researchunderpinning the production of fuels and chemicals from sustainable biomass resources and the building blocks of newtechnological advances for translation of basic research results to industry. Secure biosystems design activities will be
extended to test the fundamental engineering principles that control plant and microbial systems, with a specific goal ofenhancing the stability, resilience, and controlled performance of engineered biological systems. These fundamental
genomic science activities will consolidate and coordinate ongoing environmental genomics efforts on sustainability andmicrobiomes research in mission-relevant ecosystems and testbeds. Computational Biosciences efforts will combine
structural, molecular, and genomic scale information within the DOE Systems Biology Knowledgebase and to develop
integrated networks and computational models of system dynamics and behavior.
Biomolecular Characterization and Imaging Science research will continue to support structural, spatial, and temporal
understanding of functional biomolecules and processes occurring within living cells. New efforts in advanced bioimaging
and characterization of QIS and advanced sensors will contribute to a systems-level predictive understanding of biologicalprocesses.
Earth and Environmental Systems Sciences research activities will focus on scientific analysis of how physical andbiogeochemical processes impact the sensitivity and uncertainty of Earth system predictions. The Subsurface
Biogeochemistry Research activity will focus on watershed scale hydro-biogeochemical modeling. Investments will continue
to support the E3SM (Energy Exascale Earth System Model) capability, tailored to DOE requirements for a variety of
scenarios applied to spatial scales as small as 10 km. The model system will have improved resolution that will include
advanced software for running on numerous processors, flexibility toward future DOE computer architectures, including
exascale, and enhanced usability, testing, adaptability, multi-scale treatments, and provenance. In addition to leveraging ofexisting data from other agencies, modeling efforts will be validated against new atmospheric and terrestrial observations.
The Data Management effort will continue to enhance data archiving and management capabilities but will also focus on
using and demonstrating artificial intelligence (AI) and machine learning (ML) tools to observations and data fromenvironmental field experiments.

a https://science.energy.gov/~/media/ber/berac/pdf/Reports/BERAC-2017-Grand-Challenges-Report.pdf

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Scientific User Facilities
The DOE JGI will continue to be an essential component for DOE systems biology efforts, providing high quality genome
sequence data and analysis techniques for a wide variety of plants and microbial communities. The JGI will continue to
implement its strategic plan to incorporate new capabilities to sequence DNA and also to interpret, manipulate, andsynthesize DNA in support of sustainable, renewable bioenergy and bioproducts research, and environmental research. JGIoperations are reduced to accommodate the FY 2020 move into the Integrative Genomics Building on the Lawrence
Berkeley National Laboratory campus.
ARM will continue to provide new observations selected to represent the diversity of environmental conditions necessary toadvance Earth System models. ARM continues long-term measurements at fixed sites in Alaska and Oklahoma, but
operations at the East North Atlantic (Azores) will be limited to basic data collection. In addition, the Arctic mobile facility
deployed at Oliktok Point will limit research activities to the summer season. One mobile facility will be deployed to Norway
to study “Cold-Air Outbreaks in the Marine Boundary Layer” to improve parameterizations in multiscale models. The ARM
user facility will continue to develop the aerial capability that will be acquired in FY 2019.
EMSL will focus on a research agenda aligned with priority BER biology and environmental program research areas enabling
characterization and quantification of the biological and chemical constituents as well as dynamics of complex natural
systems in the environment, with a focus on microbial communities, and soil and rhizosphere ecosystems.
Biological and Environmental Research supports the following FY 2020 Administration Priorities:
FY 2020 Administration Priorities ($K)

Biological and Environmental Research

Science/Biological and Environmental Research(dollars in thousands)
ExascaleComputing
Artificial
Initiative (ECI)Intelligence (AI)10,0003,000

Biosecurity
20,000133

Quantum
Information
Science (QIS)
12,000FY 2020 Congressional Budget Justification

Biological and Environmental Research
Funding ($K)(dollars in thousands)

Biological Systems Science
Genomic Science
Foundational Genomics Research
Biosecurity (non-add)
Environmental Genomics a
Computational Biosciences
Bioenergy Research Centers
Total, Genomic Science
Biomolecular Characterization and Imaging Science b
Biological Systems Facilities and Infrastructure
Joint Genome InstituteTotal, Biological Systems Facilities and Infrastructure
SBIR/STTR
Total, Biological Systems Science
Earth and Environmental Systems Sciences
Atmospheric System Research
Environmental System Science
Terrestrial Ecosystem Science
Subsurface Biogeochemical Research
Total, Environmental System Science
Earth and Environmental Systems Modeling c

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

104,199

28,00017,00090,000239,199
30,00090,194(4,000)29,00030,501
100,000
249,695
34,908100,000(20,000)
15,00015,000100,000
230,000
24,908+9,806(+16,000)-14,000-15,501–-19,695-10,000

69,401
69,401
12,789351,389

70,00070,00013,194
367,797

60,00060,00011,892326,800-10,000-10,000-1,302-40,997

28,00028,00012,000-16,000

41,00026,00067,00092,00040,00022,14362,14397,00014,0005,000
19,00037,643-26,000-17,143-43,143-59,357(—)

a Environmental Genomics contains previous subprograms of Genomics Analysis and Validation, and Metabolic Synthesis and Conversion.
b Biomolecular Characterization and Imaging Science contains previous Mesoscale to Molecules, and Structural Biology Infrastructure.

c Earth and Environmental Systems Modeling reflects all previous Modeling activities (Regional and Global Model Analysis, Earth System Modeling, and Integrated Assessment).

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(dollars in thousands)
FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

Earth and Environmental Systems Sciences Facilities andInfrastructure
Atmospheric Radiation Measurement Research Facility
Environmental Molecular Sciences Laboratory
Data Management
Total, Earth and Environmental Systems Sciences Facilities andInfrastructure
SBIR/STTR
Total, Earth and Environmental Systems Sciences

70,00045,0008,000

85,50045,0008,000

43,00040,00010,000-42,500-5,000+2,000123,000
11,611
321,611

138,500
11,560337,203

93,0005,991
167,634-45,500-5,569-169,569

Total, Biological and Environmental Research

673,000

705,000

494,434-210,566

SBIR/STTR Funding: FY 2018 Enacted: SBIR $21,393,000 and STTR $3,007,000
 FY 2019 Enacted: SBIR $21,702,000 and STTR $3,052,000
 FY 2020 Request: SBIR $15,679,000 and STTR $2,204,000

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Biological and Environmental Research
Explanation of Major Changes ($K)

Biological Systems Science
Within Genomic Sciences, the Request prioritizes research activities to continue early-stage core research to understand the complex
mechanisms controlling the interplay of microbes and plants within broader organized biological systems. Foundational Genomics researchsupports expanded secure biosystems design research to understand the fundamental genome structure and functional relationships that resultin specific, stable and predictable, new, and beneficial traits in model plant and microbial systems. Environmental Genomics will limit research tounderstanding environmentally relevant microbiomes and the interdependencies between plants and microbes in a sustainable and resilient
ecosystem. Computational Bioscience will focus on an integrated computational platform for microbiome and bioenergy-related research withthe completion of initial funding for a national microbiome database. The Request fully supports the four DOE Bioenergy Research Centers intheir third year of bioenergy research to underpin efforts to produce innovative biofuels and bioproducts from renewable biomass resources.
Development of new bioimaging, measurement and characterization approaches through the Biomolecular Characterization and Imaging
Science activity will include expanded integrative imaging and analysis platforms and biosensors, including using QIS materials, to understandthe expression, structure, and function of genome information encoded within cells and for real-time measurements in ecosystems and fieldsites of mission relevance. User access to static protein crystallographic structural analysis is reduced. The Request reduces support for
operations at JGI to accommodate the move to the Integrated Genomics Building on the LBNL campus.

(dollars in thousands)
FY 2020 Request vsFY 2019 Enacted-40,997

Earth and Environmental Systems Sciences
The Request continues to support the development of high-resolution Earth system modeling, analysis, and intercomparison capabilities focusedon DOE mission needs for energy and infrastructure resilience and security. Environmental System Science will continue a focus on Arctic fieldstudies and modeling the fate and transport of nutrients. Using observations from the ARM facility, Atmospheric System Research will focus
activities to advance knowledge and improve model representations of atmospheric gases, aerosols, and clouds on the Earth’s energy balance.
One ARM mobile facility will be deployed to Norway; operations of the Arctic mobile facility at Oliktok and the East North Atlantic fixed site will
be limited. EMSL will focus on biological and environmental molecular science with reduced user support. Data management activities will
include applying advanced AI methods to observations and environmental field data.

-169,569

Total, Biological and Environmental Research-210,566

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Basic and Applied R&D Coordination
BER research underpins the needs of DOE’s energy and environmental missions, and is coordinated through the National
Science and Technology Council (NSTC). This includes all biological, Earth and environmental systems modeling, renewableenergy, and field experiments involving atmospheric, ecological, and hydro-biogeochemical sciences research. Basic
research on microbes and plants provides fundamental knowledge that can be used to develop new bioenergy crops andimproved biofuel and bioproduct production processes that enable a more sustainable bioeconomy, coordinated with otherfederal agencies on priority bioeconomy science needs occurs through the Biomass Research and Development Board, aCongressionally-mandated interagency group created by the Biomass Research and Development Act of 2000, as amended
by the Energy Policy Act of 2005 and the Agricultural Act of 2014.
In general, BER coordinates with DOE’s applied technology programs through regular joint program manager meetings, byparticipating in their internal program reviews and in joint principal investigator meetings, as well as conducting joint
technical workshops.
Specifically, BER coordinates its fundamental research on bioenergy crops with other federal agencies through the Biomass
Research and Development Initiative (BRDi) Board. DOE-EERE and USDA jointly issue a solicitation for applied funding topics
informed by a BRDi federal technical advisory committee. BER supports some interagency projects to manage databases(such as the Protein Database) through interagency awards and funding for complementary community resources (such as
beamlines and electron cryomicroscopy), mostly with NIH and NSF. BER participates in some co-funded interagency callswith USDA.
All Earth systems research activities are specifically coordinated through the interagency U.S. Global Change Research
Program. For example, the Energy Exascale Earth System Model (E3SM) modeling system has evolved to become the world’s
highest resolution capability, and the v1 release in April 2018 provided numerous universities the ability to conduct researchwith this model. Other agencies, e.g., NOAA, NASA, the Navy, and NSF, are following developments in E3SM via the Earth
System Prediction Capability forum (led by DOD and NOAA weather services, but with DOE as a member), so that theirmodeling platforms can adopt the best practices in physics and computing developed by DOE. The National GeospatialIntelligence Agency has indicated significant interest in E3SM, as a platform to incorporate their data to address national
security problems. The E3SM research also provides BER with strong linkages to DOE applied programs and DOE Office of
Policy.
Program Accomplishments
Genomic Science conducts research on complex biological systems by analyzing genetic material and associatedrelationships with the surrounding environment. Recent advances using genome-enabled techniques are unlocking key
insights into how plants and associated microbial communities function in the environment and within microbiomes.
Researchers at the USDA Agricultural Research Station in Lincoln, NE have deciphered the active metabolic and gene
expression signals found in dormant switchgrass that could lead to improving the cold tolerance of this potential bioenergy
crop. The fundamental research points towards ways to engineer new strains of switchgrass with an extended northern
growing range. Researchers at the University of Minnesota are developing innovative methods for genome engineering inplants. Using a combination of techniques including CRISPR (Clustered Regularly Interspaced Short Palindromic Repeats)based systems, the group has developed a comprehensive toolset for gene editing in plants that can accommodate single ormultiple gene deletions and gene editing. The work highlights improvements in gene editing-based techniques for plants fora variety of agricultural and biotechnological purposes. University of California-Berkeley and Lawrence Berkeley National
Laboratory researchers, using a range of metagenomics and metabolomics analyses to explore plant-microbe interactions in
the field, have uncovered predictable patterns in shifts in microbial community composition and function with plant
growth. The work documents how plant exudates change during growth and how these compounds impact the growth andcomposition of the soil microbiology. Thus, the data captures the activity of an environmental microbiome across multiple
growth seasons and provides a mechanistic, genomic basis to predict change in microbiome structure and function. All
these latest results are examples of how genome-enabled science is continuing to yield valuable insights into thefunctioning of plant and microbial systems and how this information could be used to engineer solutions to a range of
bioenergy and environmental challenges.

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Bioenergy Research Centers’ research continues to highlight significant basic science advances underpinning biofuels andbioproduct production from sustainable plant biomass. At the Center for Bioenergy Innovation, new understanding of thecomposition of plant cell walls in switchgrass and poplar has revealed a series of genes controlling pectin biosynthesis that,when downregulated, produce a plant much more amendable to conversion to biofuel. Using RNA silencing, the resulting
plants exhibit up to seven fold increased ethanol production relative to controls. The engineered traits were also
maintained in the plants during a 3-year field trials demonstrating the robustness of strains under environmental
conditions. At the Center for Advanced Bioenergy and Bioproducts Innovation, new genome editing techniques are being
developed for industrial yeast strains for a range of biotechnology purposes. These new techniques take advantage of
CRISPR/Cas9 methods to perform multiplex genome engineering on complex polyploid yeast strains. This work extends
gene editing techniques to commonly used, but genetically complex, industrial yeast strains thereby broadening the range
of genome engineering tools with these strains. Joint BioEnergy Institute researchers are exploring innovative approaches
to metabolic engineering by coupling genes from disparate organisms together in pathways to boost fatty alcohol
production in model yeast strains. Fatty acid reductase from the common mouse is used to boost fatty alcohol production
in an engineered yeast to the highest titers yet observed for this strain. The work highlights an efficient and renewablesource of fatty alcohols from lignocellulosic sugars for fuels and products. Great Lakes Bioenergy Research Center
researchers evaluating land use changes into and out of agricultural and bioenergy production show important changes inecosystem carbon balance. Results from an 8-year field experiment suggest cropland fields converted to grasslands willaccumulate carbon whereas converting grasslands to croplands results in net carbon loss to the atmosphere. The work has
important implications for bioenergy (and agricultural) crop production and assessments of carbon capture and storage
within landscapes.
Earth and Environmental Systems Sciences conducts research on Earth systems at the local to global scales to further
understanding of all system components, including atmospheric circulation, terrestrial biogeochemistry, and the coupling of
all components using numeric modeling. Incorporation of advanced modeling concepts, high performance computing, andnew observations allows emerging Earth System models to more confidently capture changes to the hydrologic cycle, thecryosphere, and extreme weather events. A new DOE high-resolution Earth System model, the E3SM v1 was released in
April 2018 as the world’s highest resolution capability to study multi-annual to decadal-scale interdependencies involving
the atmosphere, oceans, cryosphere, and terrestrial processes. The E3SM model is currently running at all of DOE’s best-inclass high performance computing platforms and the project is now open-source, to foster increased collaboration on nextgeneration model developments. The next version (v2) will focus higher-resolution over North America in order to enhanceresearch on extremes in precipitation, storms, floods and droughts, vegetation changes and coastal impacts. Simulations
also capture detailed interactions between ice sheets and ocean waters to improve our understanding of ice sheet stability
vulnerabilities.
User Facilities house state-of-the-art tools and expertise to enable the scientific community to address and solve researchquestions for biological and environmental systems. High resolution patterns of environmental processes influence
microbial degradation of soil carbon in Arctic permafrost.
A research effort using capabilities at the Joint Genome Institute (JGI) was carried out to ascertain how spatial patternsof hydrology and biogeochemistry influence the ability of microbial communities to mediate air-surface gas exchange inthe polygonal Arctic permafrost soil landscapes. Using comparative metagenomics, genome binning of novel microbes,
and gas flux measurements, it was found that microbial activity and gas production strongly correlate with fine-scale
topography. Microbial functions such as fermentation and methanogenesis were dominant in wetter portions ofpolygons, and drier portions of polygons supported carbon mineralization and methane oxidation.
 At the Environmental Molecular Sciences Laboratory (EMSL), a team of scientists from several universities produced athree-dimensional map of the metabolic products of bacteria found in the root nodules. Using EMSL’s high-field Fouriertransform ion cyclotron resonance mass spectrometers, the team was able to visualize metabolites co-located into
different compartments within the nodules. This spatial perspective will help to unravel the complexity of these highlyinterdependent organisms and optimize crop production and enable more sustainable agricultural practices for foodcrops used all over the world.
 Data from the Atmospheric Radiation Measurement (ARM) scientific user facility were analyzed and assimilated into
predictive models to demonstrate improved predictability, with a particular focus on processes and mechanisms
responsible for observed storm intensification of atmospheric convection. Findings indicated that ultrafine aerosol
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particles can invigorate thunderstorms in a much more powerful manner than their larger counterparts through anenhanced condensation mechanism. This is contrary to previous assumptions about the impacts of ultrafine aerosol
particles, thus opening up the opportunity to make major scientific advances towards improved predictions of severe
storms.

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Biological and Environmental Research
Biological Systems Science
Description
Biological Systems Science integrates discovery- and hypothesis-driven science with technology development on plant andmicrobial systems relevant to national priorities in energy security and resilience and innovation in life sciences and biology.
Systems biology is the multidisciplinary study of complex interactions specifying the function of entire biological systems—
from single cells to multicellular organisms—rather than the study of individual isolated components. The Biological Systems
Science subprogram employs systems biology approaches to define the functional principles that drive living systems, frommicrobes and microbial communities to plants and other whole organisms.
Key questions that drive these studies include: What information is encoded in the genome sequence?
How is information exchanged between different subcellular constituents?
What molecular interactions regulate the response of living systems and how can those interactions be understooddynamically and predictively?

The subprogram builds upon a successful track record in defining and tackling bold, complex scientific problems ingenomics—problems that require the development of large tools and infrastructure; strong collaboration with thecomputational sciences community; and the mobilization of multidisciplinary teams focused on plant and microbial
bioenergy research. The subprogram employs approaches such as genome sequencing, proteomics, metabolomics,
structural biology, high-resolution imaging and characterization, and integration of information into computational models
that can be iteratively tested and validated to advance a predictive understanding of biological systems from molecules tomesoscale.
The subprogram supports the operation of the DOE Bioenergy Research Centers (BRCs) and the DOE Joint Genome Institute(JGI) scientific user facility.
Genomic Science
The Genomic Science activity supports research seeking to reveal the fundamental principles that drive biological systems
relevant to DOE missions in energy security and resilience. These principles guide the interpretation of the genetic code intofunctional proteins, biomolecular complexes, metabolic pathways, and the metabolic/regulatory networks underlying thesystems biology of plants, microbes, and communities. Advancing fundamental knowledge of these systems will enable new
solutions to clean energy production, breakthroughs in genome-based biotechnology, understanding the role of biologicalsystems in the environment, and adapting biological design paradigms to physical and material systems.
The major objectives of the Genomic Science activity are to determine the molecular mechanisms, regulatory elements, andintegrated networks needed to understand genome-scale functional properties of microbes, plants, and communities; todevelop “-omics” experimental capabilities and enabling technologies needed to achieve a dynamic, system-level
understanding of organism and community functions; and to develop the knowledgebase, computational infrastructure, andmodeling capabilities to advance predictive understanding, manipulation and design of biological systems.
Foundational Genomics supports fundamental research on discovery and manipulation of genome structural and regulatory
elements and epigenetic controls to scale from genotype to phenotype in microbes and plants. Efforts in biosystems design
research build on and complement existing genomics-based research, through development of new secure gene-editing andmulti-gene stacking techniques for microbes and plants. The results will yield an increased range of microorganisms andplants as model research organisms to expand and complement available biological systems for bioenergy andbiotechnology research. BER’s contribution towards understanding and anticipating the convergence of advanced genomics
science with other fields is critical for foresight into secure technology development, leveraging scientific communities
across biological, physical, and computational science fields with the unique ability to evaluate systems across disciplinary
boundaries. All secure biosystems design efforts on plant and microbial systems will be consistent with the National
Biodefense Strategy framework.

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Environmental Genomics supports research focused on understanding plants and soil microbial communities and how they
impact the cycling and fate of carbon, nutrients, and contaminants in the environment. The activity includes the study of arange of natural and model microbiomes in targeted field environments relevant to BER’s research efforts. With a long
history in plant and microbial genomics research coupled with substantial biotechnological and computational capabilities
available within the DOE user facilities, BER is well positioned to make transformative contributions in biotechnology andunderstanding microbiome and phytobiome function.
Computational Biosciences supports all Genomic Science systems biology activities through the ongoing development of
bioinformatics and computational biology capabilities within the DOE Systems Biology Knowledgebase (KBase). The
integrative KBase project seeks to develop the necessary hypothesis-generating analysis techniques and simulation
capabilities on high performance computing platforms to accelerate collaborative and reproducible systems biology
research within the Genomic Sciences.
The major DOE BRCs effort within the Genomic Science portfolio seeks to provide a fundamental understanding of thebiology of plants and microbes as a basis for developing innovative processes for bioenergy and bioproducts production
from inedible cellulosic biomass. The four BRCs advance the development of a range of advanced biofuels and bioproducts
from sustainable biomass resources and provide high-payoff technology and early-stage research results that can beadapted for industry adoption and development of transformative commercial products and services.
Biomolecular Characterization and Imaging Science supports approaches to systems biology that focus on translating
information encoded in an organism’s genome to those traits expressed by the organism. These genotype to phenotypetranslations are key to gaining a predictive understanding of cellular function under a variety of environmental andbioenergy-relevant conditions. The Biomolecular Characterization and Imaging Science activity will enable development of
new bioimaging, measurement, and characterization technologies to visualize the structural, spatial, and temporal
relationships of key metabolic processes and critical biomaterials governing phenotypic expression in plants and microbes.
The activity will include new efforts to develop QIS materials for imaging and characterization and to advance design ofsensors and detectors based on correlated materials for real-time biological and environmental sensing technology. This
information is crucial for developing an understanding of the impact of various environmental and/or biosystems designs onwhole cell or community function.
Biological Systems Science Facilities and Infrastructure
The DOE JGI is the only federally funded major genome sequencing center focused on genome discovery and analysis inplants and microbes for energy and environmental applications, and is widely used by researchers in academia, the national
laboratories, and industry. High-throughput DNA sequencing underpins modern systems biology research, providing
fundamental biological data on organisms and groups of organisms. By understanding shared features of multiple genomes,scientists can identify key genes that may link to biological function. These functions include microbial metabolic pathways
and enzymes that are used to generate fuel molecules, affect plant biomass formation, degrade contaminants, or capture
CO2, leading to the optimization of these organisms for cost effective biofuels and bioproducts production and other DOE
missions.
The DOE JGI is developing aggressive new strategies for interpreting complex genomes through new high-throughput
functional assays, DNA synthesis and manipulation techniques, and genome analysis tools in association with the DOE
KBase. Related efforts to use genomic information to infer natural product production from microorganisms and plants arealso underway. These advanced capabilities are part of the DOE JGI’s latest strategic plan to provide users with additional,
highly efficient, capabilities supporting biosystems design efforts for biofuels and bioproducts research, and environmental
process research. The DOE JGI also performs metagenome (genomes from multiple organisms) sequencing and analysis
from environmental samples and single cell sequencing techniques for hard-to-culture microorganisms from understudied
environments relevant to the DOE missions.

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Biological and Environmental Research
Biological Systems Science
Activities and Explanation of Changes
Explanation of Change
FY 2020 Request vs FY 2019 Enacted
Biological Systems Science$367,797,000$326,800,000-$40,997,000
Genomic Science$249,695,000$230,000,000-$19,695,000
The FY 2019 Enacted budget for Foundational
The Request for Foundational Genomics will support
Foundational Genomics increases to support
Genomics research supports biosystems design
biosystems design techniques to modify microbes and Biosystems Design research, including broader
research to develop the understanding needed toplants for beneficial bioenergy, bioproduct andinvestigations of genome modification techniques toengineer beneficial traits into microbes, plants, andbiotechnology purposes. Funding will also support
inform biosecurity research purposes. Environmental
fungi for a variety of bioenergy, bioproduct andcomplementary efforts on genome-modification
Genomics will decrease, limiting research tobiotechnological purposes. Environmental Genomics
techniques to identify and predict biosecurity
understanding environmentally relevant microbiomes
focuses on environmental microbiome research andimplications for energy and the environment.
and the interdependencies between plants anddevelops new multi-omics techniques withEnvironmental Genomics will focus on sustainablemicrobes in a sustainable and resilient ecosystem.
computational modeling and experimentation to infer plant and microbial community interactions in modelinteractions among and between microbial species
and natural microbiomes, and complementary
and/or plants and fungi and the impacts on the
research on plant and microbial physiology for
cycling of materials in the environment.
bioenergy and ecosystem purposes.
FY 2019 Enacted

FY 2020 Request

The FY 2019 Enacted budget for Computational
Bioscience focuses on integration of high priority
multi-omic datasets for microbiome and bioenergyrelated research within the DOE Systems Biology
Knowledgebase in collaboration with bioinformatics
capabilities within the JGI. The activity establishes andfully funds a platform for a national microbiome datacollaborative.

The Request for Computational Bioscience will merge
bioinformatics capabilities within the JGI and the DOE
Systems Biology Knowledgebase to produce an open
source, integrated computational platform for
microbiome and bioenergy-related research.

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Computational Biosciences will focus on advanced
computational techniques to facilitate the analysis ofenvironmental microbiomes. The activity to establish
a platform for a national microbiome datacollaborative was completed in FY 2019.

FY 2020 Congressional Budget Justification

FY 2019 Enacted

FY 2020 Request

The FY 2019 Enacted budget supports the four BRCs
as they begin their second year of support. Research
focuses on development of dedicated bioenergy crops
informed by economic/agronomic modeling,
feedstock agnostic deconstruction processes,
development of a broader range of microbialconversion pathways to produce fuels and chemicals
from cellulose and lignin, and new ways to sustainably
cultivate bioenergy crops on marginal lands.

The Request for the four BRCs will begin their thirdyear of operations to develop bioenergy crops withenhanced tolerance to environmental stress, biomass
deconstruction techniques to breakdown biomass,
biotechnology approaches to produce fuels, chemicals
and products from lignocellulosic materials, andresearch to understand sustainable regional-scalebioenergy crop production.

Biomolecular Characterization andImaging Science a$34,908,000
The FY 2019 Enacted budget for Biomolecular
Characterization and Imaging Science supports
molecular science capabilities to characterize,
measure and image basic metabolic processes andcritical biomaterials occurring in plant and microbial
cells relevant to BER’s bioenergy and environmental
research efforts. Funding supports investments inelectron cryomicroscopy that leverage othercapabilities at the Office of Science user facilities.
Development of multi-functional techniques
continues and includes quantum techniques providing
atomic-level imaging and characterization capabilities.
These characterization and imaging capabilities offer
the ability to validate current understanding andmodels of biological processes through direct
visualization and/or measurement.

$24,908,000
The Request for Biomolecular Characterization andImaging Science will support new multi-modal
imaging, visualization and structural characterizationof biomolecular processes occurring in plants andmicrobes in support of systems biology research.
Investments in electron cryomicroscopy
instrumentation at SC light sources are completed,and support is reduced for user access for static
protein crystallography structural analysis. Researchfunding will support exploring new imaging,
characterization and/or sensor techniques that takeadvantage of quantum-enabled science concepts,
with an emphasis on improvements in quantifying
nutrient and metabolite flows in situ in fieldenvironments.

a Formerly known as Mesoscale to Molecules and Structural Biology Infrastructure

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Explanation of Change
FY 2020 Request vs FY 2019 Enacted
The BRCs will focus on development of dedicatedbioenergy crops and conversion technologies that
produce fuels, chemicals, and products sustainably
from renewable plant biomass.

-$10,000,000
The research will focus on opportunities for broader
development of visualization and characterization
technologies. FY 2020 budget priorities will emphasize
efforts in quantum-enabled research for
imaging/characterization and advances in designingsensors and detectors based on correlated materials
for real-time sensing technology.

FY 2020 Congressional Budget Justification

FY 2019 Enacted
Biological Systems Science
Facilities and Infrastructure$70,000,000
The FY 2019 Enacted budget for JGI continues to serve
as a primary source of genomic sequences of plants,
microorganisms and microbial communities for BER
programs and the broader research community. It
continues to develop its capabilities to support large
complex plant, metagenomics and environmental
microbiome sequencing efforts, including support for
the four new Bioenergy Research Centers. It continues
to collaborate with the DOE Systems Biology
Knowledgebase and prepare for a move to the LBNL
campus.

Structural Biology Infrastructure is moved andcombined within the Biomolecular Characterization
and Imaging Science activity, as noted above.

FY 2020 Request$60,000,000
The Request for the JGI serves as a central source forgenome sequence production capabilities for plants,
microbes and microbial communities. These services
are crucial to BER programs, such as the BRCs, and arealso available to the larger research community. JGIwill focus on metagenomics efforts to support
microbiome research, and production of complex
plant, fungal and microbial genomes supporting
systems biology research within the BRCs and the BER
portfolio. The resulting data and analyses will beclosely coupled with KBase for open access on an
integrated bioinformatics platform. JGI (and KBase)will move to Integrated Genomics Building on the
LBNL campus.

Explanation of Change
FY 2020 Request vs FY 2019 Enacted-$10,000,000
The Request includes a reduction associated withmoving the facility to the LBNL campus, during whichtime JGI will reduce sequencing and analysis
capabilities intermittently. These reductions will lower
the number of users for a period of 30-90 days.

SBIR/STTR$13,194,000$11,892,000-$1,302,000
In FY 2019, SBIR/STTR funding is set at 3.65% of non- In FY 2020, SBIR/STTR funding is set at 3.65% of non- The SBIR/STTR funding will be consistent with the BER
capital funding.
capital funding.
total budget.

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Biological and Environmental Research
Earth and Environmental Systems Sciences
Description
The Earth and Environmental Systems Sciences subprogram supports fundamental science and research capabilities thatenable major scientific developments in Earth system-relevant atmospheric and ecosystem process and modeling researchin support of DOE’s mission goals for transformative science for energy and national security. This includes research oncomponents such as clouds, aerosols, and terrestrial ecology; modeling of component interdependencies under a variety offorcing conditions; interdependence of atmospheric, hydrological, ecosystem, and cryospheric variabilities; vulnerability andresilience of the full suite of energy and related infrastructures to extreme events; and uncertainty quantification. It also
supports subsurface biogeochemical research that advances fundamental understanding of coupled physical, chemical,hydrological, and biological processes controlling energy byproducts in the environment. This integrated portfolio of
research from molecular-level to field-scales emphasizes the coupling of multidisciplinary experimentation and advanced
computer models, with a goal to develop and enhance a predictive, systems-level understanding of the fundamental sciencethat addresses environmental and energy-related challenges associated with e.g. extreme phenomena. SC will continue toadvance the science necessary to further develop an understanding of Earth System models of variable sophistication,
targeting resolution at the regional spatial scale and from seasonal to multi-decadal time scales, and to focus on areas ofcritical uncertainty. In addition, environmental research activities will continue to advance basic science to optimize andaccelerate environmental cleanup and reductions in life cycle costs.
The subprogram supports three primary research activities, two SC scientific user facilities, and a data activity. The two SC
scientific user facilities are the Atmospheric Radiation Measurement Research Facility (ARM) and the Environmental
Molecular Sciences Laboratory (EMSL). ARM provides unique, multi-instrumented capabilities for continuous, long-term
observations and model–simulated high resolution information that researchers need to improve understanding anddevelop and test hypotheses involving the role of clouds and aerosols on the atmosphere’s spectrally-resolved radiativebalance over a variety of spatial scales, extending from local to global. EMSL provides integrated experimental andcomputational resources that researchers utilize in order to extend understanding of the physical, biogeochemical,
chemical, and biological processes that underlie DOE’s energy and environmental mission. The data activity encompasses
both observed and model-generated data that are collected by the ARM facility and during dedicated field experiments; thisactivity also archives information generated by Earth System models of variable complexity and sophistication.
Atmospheric System Research
Atmospheric System Research (ASR) is the primary U.S. research activity addressing two major areas of uncertainty in Earthsystem models: the interdependence of clouds, atmospheric aerosols, and precipitation that in turn influences the radiation
balance. ASR coordinates with ARM, using the facility’s continuous long-term datasets that in turn provide threedimensional measurements of radiation, aerosols, clouds, precipitation, dynamics, and thermodynamics over a range ofenvironmental conditions at diverse geographic locations. The long-term observational datasets are supplemented withlaboratory studies and shorter-duration, ground-based and airborne field campaigns to target specific atmosphericprocesses under diverse locations and atmospheric conditions. Earth system models incorporate ASR research results toboth understand the processes that govern atmospheric components and to advance Earth system model capabilities withgreater certainty. ASR seeks to develop integrated, scalable test-beds that incorporate process-level understanding of thelife cycles of aerosols, clouds, and precipitation, that can be incorporated into dynamic models.
Environmental System Science
Environmental System Science supports research to provide a robust and scale-aware predictive understanding of terrestrial
surface and subsurface ecosystems, including the role of hydro-biogeochemistry from the subsurface to the top of thevegetative canopy that considers effects of seasonal to interannual variability and change on spatial scales that span frommolecular to global.
Using decadal-scale investments such as the Next Generation Ecosystem Experiment (NGEE) to study the variety of timescales and processes associated with ecological change, Environmental System Science research focuses on understanding,observing, and modeling the processes controlling exchange flows between the atmosphere and the terrestrial biosphere,
and improving and validating the representation of terrestrial ecosystems in coupled Earth system models. Subsurface
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biogeochemical research supports integrated modeling research, ranging from molecular to field scales, to understand andpredict the role that hydrological and biogeochemical processes play in controlling the cycling and mobility of energyrelevant materials in the subsurface and across key surface-subsurface interfaces in watersheds, including environmental
contamination from past nuclear weapons production.
The activity also supports Ameriflux, a network of 373 field sites funded by a variety of federal agencies and other research
institutions to measure the exchange of heat, moisture and other gases between the atmosphere and the surface tomaintain data quality and organizational support to the network and funding for 13 of the network sites.
Earth and Environmental Systems Modeling
Earth and Environmental Systems Modeling develops physical, chemical, and biological model components, as well as fully
coupled Earth System Models (ESMs), in coordination with other Federal efforts. The research specifically focuses on
quantifying and reducing the uncertainties in ESMs based on more advanced process representations, sophisticatedsoftware, robust couplers, diagnostics, and performance metrics. Priority model components include the ocean, sea-ice,land-ice, atmosphere, and terrestrial ecosystems, where each are treated as interdependent and is able to exploit dynamic
grid technologies. Support of diagnostic and intercomparison activities, combined with scientific analysis, allows BER funded
researchers to exploit the best available science and practice within each of the world’s leading Earth system research
programs. In addition, DOE will continue to support the Energy Exascale Earth System Model (E3SM) as a computationallyefficient model adaptable to DOE’s emerging Leadership Computing Facility supercomputer architectures and with greater
sophistication and fidelity for high resolution simulation of extreme phenomena and complex processes. Earth systemmodeling, simulation, and analysis tools are essential for informing energy infrastructure investment decisions that have thefuture potential for large-scale deployment that in turn benefit our national security.
Earth and Environmental Systems Sciences Facilities and Infrastructure
The Earth and Environmental Systems Sciences Facilities and Infrastructure activity supports data management and two
scientific user facilities for the earth and environmental systems sciences communities. The scientific user facilities, ARM
and EMSL, provide the broad scientific community with technical capabilities, scientific expertise, and unique information tofacilitate science in areas integral to BER’s mission.
ARM is a multi-laboratory, multi-platform, multi-site, national scientific user facility, providing the world’s mostcomprehensive continuous and precise observations of clouds, aerosols, and related meteorological information. ARM
currently consists of three fixed, long-term measurement facility sites (in Oklahoma, Alaska, and the Azores), three mobile
observatories, and an airborne research capability that operates at sites selected by the scientific community. In FY 2020,
ARM will continue operations at the three fixed sites, maintaining mobile facility seasonal observations at Oliktok. One
mobile facility will be deployed to Norway to study Cold-Air Outbreaks in the Marine Boundary Layer to improveparameterizations in multiscale models. ARM investigators study the impact of evolving clouds, aerosols, and precipitationon the Earth’s radiative balance and rate of Earth system change, addressing the most significant scientific uncertainties in
predictability research. ARM will continue to incorporate very high resolution Large Eddy Simulations at the permanent
Oklahoma site during specific campaigns requested by the scientific community. BER is also maintaining the exponentially
increasing data archive to support enhanced analyses and model development. The data extracted from the archive areused to improve atmospheric process representations at higher resolution, greater sophistication and robustness of ultrahigh resolution models. Besides supporting BER atmospheric sciences and Earth system modeling research, the ARM facility
freely provides key information to other agencies that are engaged in, e.g., calibration and validation of space-borne
sensors.
BER-supported scientists require high-quality and well-characterized in situ aircraft observations of aerosol and cloud
microphysical properties and coincident dynamical and thermodynamic properties in order to continue to improve
fundamental understanding of the physical and chemical processes that control the formation, life cycle, and radiative
impacts of cloud and aerosol particles. To meet these needs, The ARM user facility will continue to develop the aerial
capability that will be acquired in FY 2019. The replacement aircraft will undergo field testing in FY 2020 in order to evaluate
its capabilities under a variety of conditions.

Science/Biological and Environmental Research148

FY 2020 Congressional Budget JustificationEMSL provides integrated experimental and computational resources for discovery and technological innovation in theenvironmental molecular sciences. EMSL enables users to undertake molecular-scale experimental and theoretical researchon biological systems, biogeochemistry, and interfacial and surface (including aerosol) science relevant to energy andenvironmental challenges facing DOE and the Nation. This includes science supporting improved catalysts and materials forindustrial applications and developing improved representations of biological and subsurface biogeochemical processes.
EMSL will address a more focused set of scientific topics that continue to exploit High Resolution and Mass Accuracy
Capability (HRMAC), live cell imaging, and more extensive utilization of other EMSL instrumentation into process andsystems models and simulations to address challenging problems in the biological and environmental system sciences.
Data sets generated by ARM, other DOE and Federal Earth observing activities, and Earth system modeling activities, areenormous. The information in Earth observations and model-generated data can be used to achieve broad benefits ranging
from planning and development of energy infrastructure to natural disaster impact mitigation to commercial supply chain
management to natural resource management. Accessibility and usage of these data sets are fundamental to supporting
decision-making, scientific discovery, technological innovation, and national security.
The BER Data Management activity will focus efforts to store data from the Earth System Grid Federation, ARM, Ameriflux
and NGEE field experiments.

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Biological and Environmental Research
Earth and Environmental Systems Sciences
Activities and Explanation of Changes
FY 2019 Enacted
Earth and Environmental Systems
Sciences$337,203,000
Atmospheric System Research(ASR)$28,000,000
The FY 2019 Enacted budget for ASR continues
research on cloud, aerosol, and thermodynamic
processes, with a focus on data from the three fixedsites, and using data from prior and ongoing field
campaigns in the Southern Andes, Antarctica, theEastern Atlantic, and the Southern Ocean. ASR
research will increasingly make use of data generatedby Large Eddy Simulation at the ARM fixed site in
Oklahoma.
Environmental System Science (ESS)$62,143,000
The FY 2019 Enacted budget for ESS supports researchon permafrost and tropical ecology, and maintains its
investments in observational and modeling studies
involving boreal ecology and hydro-biogeochemistryof river catchments. Support to the management of
the Ameriflux network continues. ESS initiates a pilot
project on ecology of Terrestrial-Aquatic Interfaces(TAIs) and maintains investments in subsurface
biogeochemistry.

Science/Biological and Environmental Research

Explanation of Change
FY 2020 Request vs FY 2019 Enacted

FY 2020 Request$167,634,000-$169,569,000$12,000,000
The Request for ASR will continue research on clouds,
aerosols, and thermodynamic processes, with a focus
on data from the Oklahoma and Alaska fixed sites, andusing data from prior and ongoing field campaigns inArgentina, Norway, and the Southern Ocean. ASR willcontinue to make use of data generated by Large Eddy
Simulations at the ARM Oklahoma site.

-$16,000,000
ASR will focus its investments on the Arctic and deep
convection in mid-latitudes. Analysis of emerging datafrom the Norway field campaign will be conducted
over multiple years rather than immediately following
the field campaign, delaying the scientific impact of
the new observations.

$19,000,000
The Request for ESS will focus research on permafrost
and will maintain limited investments in studies of
boreal ecology and modeling hydrobiogeochemistryof watersheds and terrestrial-aquatic interfaces.
Research on tropical ecology and subsurface
biogeochemistry research on radionuclides andmercury will be terminated.

-$43,143,000
ESS will prioritize challenges involving research on theecology, biogeochemistry, and the water cycle,emphasizing Arctic regimes. Analysis of the data fromthe pilot TAIs continues, however no further TAI fieldstudies will be initiated. Modeling and experimental
research involving subsurface fate and transport ofradionuclides will be terminated.

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FY 2020 Congressional Budget Justification

FY 2019 Enacted

FY 2020 Request

Explanation of Change
FY 2020 Request vs FY 2019 Enacted

Earth and Environmental Systems
Modeling$97,000,000
The FY 2019 Enacted budget for Earth andEnvironmental Systems Modeling focuses its
investment in further development of non-hydrostatic
dynamical cores for the atmospheric component of
the E3SM model that targets higher resolution overscales from seasonal to multi-decadal. Research
activities continue to assimilate the best available
software for E3SM to exploit DOE’s high-performancecomputing architectures in order to analyze, model,
and characterize extreme events within the earthsystem.

$37,643,000
The Request for Earth and Environmental Systems
Modeling will focus investments on further
refinement of the science underpinning nonhydrostatic modeling, and incorporating the necessary
software for deployment of the model onto exascalecomputing architectures. The Request will continue
to support research at a reduced level, on themodeling of extreme phenomena (e.g., hurricanes),
improved representation of biogeochemistry, and abetter understanding of the water cycle.

-$59,357,000
The E3SM model will emphasize improvements basedon the incorporation of advanced software andfurther development of the science governing
extreme phenomena. Investments in tropicalextratropical-midlatitude interactions will beeliminated. E3SM model development timetable willbe less ambitious. Further development of thecryospheric and Arctic component of the model will
be delayed several years, reducing E3SMs full use of
future exascale computing capabilities.

The Request will continue support core research inmodel intercomparisons and diagnostics. In addition,
research will focus on understanding the fine scale
physics and dynamics that govern interactions
between the Arctic and midlatitudes.

Research will prioritize further studies of the water
cycle, with efforts to incorporate representations ofgroundwater into regional and global models.

$93,000,000
The Request for ARM will continue to provide newobservations, through long term measurements atfixed sites in Alaska and Oklahoma; activities at theEastern North Atlantic will be limited. ARM willcontinue seasonal mobile facility deployment at the
Oliktok site. The Request prioritizes all ARM activities
for critical observations needed to improve the E3SM
model. ARM will deploy the third mobile facility tonorthern Norway. Subsequent to the FY 2019
procurement of a refreshed aerial capability, the newaircraft will be tested and evaluated during FY 2020 inlimited field campaigns in order to evaluate
performance.

-$45,500,000
ARM will prioritize investments at its permanent sites
in central Oklahoma and northern Alaska. A mobile
unit will be deployed to northern Norway to study
Arctic air mass transformations. The new ARM aircraft
will be tested and evaluated in order to become
available for future campaigns.

The FY 2019 Enacted budget continues to support
research in model intercomparison and diagnostics.
Research focuses on the water cycle in order tounderstand how uncertainties involving the spatial
and temporal patterns of drought can becharacterized.
Earth and Environmental Systems
Sciences Facilities andInfrastructure$138,500,000
The FY 2019 Enacted budget for ARM continues toprovide new observations, through long-term
measurements at fixed sites in Alaska, Oklahoma, andthe Eastern North Atlantic. The mobile unit at Oliktok
operates seasonally. All ARM activities are prioritizedfor critical observations necessary to advance theE3SM model. ARM deploys a mobile facility to theSouthern Andes and one as an icebreaker-based
Arctic observatory. ARM acquires a manned aircraft,
to replace the existing Battelle-owned G1 aircraft thatis retired in FY 2019. The completed analysis ofalternatives indicates that purchase of a used aircraft
and subsequent retrofitting to achieve functionality
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FY 2020 Congressional Budget Justification

FY 2019 Enacted

FY 2020 Request

Explanation of Change
FY 2020 Request vs FY 2019 Enacted

for scientific instrumentation is the most costeffective option.
The FY 2019 Enacted budget for EMSL continues tofocus on science that exploits its unique capabilities,
including the HRMAC, live cell imaging, Quiet Wing,
and high performance computing, in order to advancebiological and environmental sciences. EMSL initiatesbuilding a next generation Dynamic Transmission
Electron Microscope, to support future BER science.

The Request for EMSL will continue to focus on
science that exploits unique capabilities of mass
spectrometry (e.g., the HRMAC and nuclear magnetic
resonance), live cell imaging, Quiet Wing, and highperformance computing. EMSL will continue building
the Dynamic Transmission Electron Microscope, in
support of BER science.

EMSL will prioritize research that focuses onenvironmental biogeochemistry, microbial
metabolomics, aerosol chemistry, and early scientificapplications of Dynamic Transmission Electron
Microscope, in support of BER science. User support isreduced.

The FY 2019 Enacted budget for the Earth andEnvironmental Systems Sciences Data Management
activity provides support to maintain existing softwareand data archives in support of ongoing experimental
and modeling research, and for an open
source distributed data and computation platform.
Essential data archiving and storing protocols,
capacity, and provenance are maintained.

The Request for the Earth and Environmental Sciences
Data Management activity will provide support tomaintain existing critical software and data archives insupport of ongoing experimental and modelingresearch. Essential data archiving and storing
protocols, capacity, and provenance will bemaintained.

The Data Management effort will initiate newresearch on applying and demonstrating artificial
intelligence and machine learning tools toobservations and data from environmental field
experiments.

SBIR/STTR$11,560,000$5,991,000-$5,569,000
In FY 2019, SBIR/STTR funding is set at 3.65% of non- In FY 2020, SBIR/STTR funding is set at 3.65% of non- The SBIR/STTR funding will be consistent with the BER
capital funding.
capital funding.
total budget.

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FY 2020 Congressional Budget Justification

Biological and Environmental Research
Capital Summary ($K)

Capital Operating Expenses Summary
Total Non-MIE Capital equipment (Capital
Equipment > $500K)
Major Items of Equipment a
Atmospheric Radiation Measurement Research
Facility (ARM) – ARM Aircraft project(TPC $17,700)
Total, Capital Summary

a(dollars in thousands)
FY 2018
FY 2019
EnactedEnactedFY 2020
RequestFY 2020 Request vsFY 2019 Enacted

9,300

4,500

-4,800—17,500—-17,500

4,500

26,8004,500-22,300

Total

Prior Years

N/A

N/A

4,500

17,700

200 b

N/A

N/A

Each MIE located at a DOE facility Total Estimated Cost (TEC) > $5M and each MIE not located at a DOE facility TEC > $2M.
$100K in FY 2017 not previously reported since below the DOE capitalization threshold of $500,000.

b Reporting $200K in prior year ($100K in FY 2017 and $100K in FY 2018).

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FY 2020 Congressional Budget Justification

Biological and Environmental Research
Major Items of Equipment Description(s)Earth and Environmental Systems Sciences Facilities and Infrastructure MIE(s):Atmospheric Radiation Measurement Research Facility (ARM) – ARM Aircraft project: BER-supported scientists require highquality and well-characterized in situ aircraft observations of aerosol and cloud microphysical properties and coincident
dynamical and thermodynamic properties to continue to improve fundamental understanding of the physical and chemical
processes that control the formation, life cycle, and radiative impacts of cloud and aerosol particles. To meet these needs,
the ARM user facility has been using a dedicated large twin-turboprop Gulfstream-1 (G-1) aircraft to conduct weeks- tomonths-long intensive observational campaigns over a range of meteorological conditions and locations around the world.
The G-1 aircraft used by ARM was built in 1961, was one of only 10 G-1’s that remain in service worldwide, and is at the endof its service life. BER has initiated retirement and replacement of the aircraft in FY 2019. The FY 2019 Enacted Budget
includes funding to replace the Battelle-owned G-1 aircraft that supported airborne data collection as part of ARM field
campaigns. In FY 2020, the newly acquired aircraft will undergo testing and evaluation, including modifications to the air
frame as needed to install numerous existing and new atmospheric aerosol, cloud, turbulence, and other sensors. Also, theaircraft will undergo ground-based and airborne testing, in order to prepare it for scientific studies.

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Biological and Environmental Research
Funding Summary ($K)(dollars in thousands)
FY 2018 Enacted
Research
Facility Operations
Projects
Major Items of Equipment
Total, Projects
Total, Biological and Environmental Research

FY 2019 Enacted

FY 2020 Request

500,957
172,043516,858
170,642 a

360,184
134,250——

17,50017,500705,000——

673,000

494,434

FY 2020 Request vsFY 2019 Enacted-156,674-36,392-17,500-17,500-210,566

Scientific User Facility Operations ($K)
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.
(dollars in thousands)
FY 2020 Request

FY 2020 Request vsFY 2019 Enacted$85,500 b
1,100$43,000
900-$42,500-200$69,401
1,882$70,000
1,800$60,000
1,550-$10,000-250$45,000
561$45,000
561$45,000
600$40,000550-$5,000-50$184,401
3,529$184,401
3,529$200,500
3,500$143,000
3,000-$57,500-500

FY 2018 Enacted

FY 2018 Current

FY 2019 Enacted

TYPE B FACILITIESAtmospheric Radiation Measurement Research
Facility (ARM)
Number of users$70,000
1,086$70,000
1,086

Joint Genome Institute
Number of users$69,401
1,882

Environmental Molecular Sciences Laboratory
Number of users
Total Facilities
Number of users
a Facility Operations amount less Air-ARM MIE – replacement aircraft.
b Includes Air-ARM MIE - replacement aircraft.

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Biological and Environmental Research
Scientific Employment

Number of permanent Ph.D.’s
Number of postdoctoral associates
Number of graduate students
Other aa Includes technicians, engineers, computer professionals and other support staff.

Science/Biological and Environmental Research

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

1,415
330
475
330

1,425
350
490
350

1,195
280
405
280

-230
-70
-85
-70

156

FY 2020 Congressional Budget Justification

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% of the visible universe. It is the state of matter in the
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 office. The FES program also investigates the behavior of plasmas that are confined near steady state. U.S.
scientists take advantage of international partnerships to conduct research on superconducting tokamaks and stellaratorswith long-duration capabilities. In addition, the development of novel materials, a research area of high interest to many
scientific fields, is especially important for fusion energy sciences since fusion plasmas create an environment of highenergy neutrons and huge 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 priorities a. Research infusion has the potential to contribute to American energy dominance by making available to the American people a clean
energy technology that relies on widely available and virtually inexhaustible fuel sources. Research in plasma science,
within and beyond fusion, will contribute to American prosperity through the tremendous potential for spinoff applications(described in a 2015 report by the Fusion Energy Sciences Advisory Committee [FESAC] b) as well as targeted investments(e.g., in early-stage low temperature plasma research) that can lead to the development of transformative technologies.
a https://www.whitehouse.gov/wp-content/uploads/2018/07/M-18-22.pdf

b https://science.energy.gov/~/media/fes/fesac/pdf/2015/2101507/FINAL_FES_NonFusionAppReport_090215.pdf

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FY 2020 Congressional Budget Justification

Investments in our major fusion facilities and smaller-scale experiments will help maintain and modernize our research
infrastructure for continuing 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 will propagatescientific discoveries that could transition into the private sector. Investments in transformational technologies such asmachine learning, quantum information science (QIS), microelectronics, and high-performance strategic computing could
accelerate progress in several mission areas. Finally, the unique scientific challenges and rigor of fusion and plasma physics
research lead to the development of a well-trained STEM workforce, which will contribute to maintaining and advancing
U.S. competitiveness and world-leadership in key areas of future technological and economic importance, as well as
national security.
Highlights of the FY 2020 Request
The FY 2020 Request is $402,750,000. Strategic choices in this Request are informed by the priorities described in “The
Office of Science’s Fusion Energy Sciences Program: A Ten-Year Perspective,” a the research opportunities identified in aseries of community engagement workshops held in 2015 b, and the FY 2017 FESAC report on the potential fortransformative developments in fusion science and technology c. Priorities include keeping SC fusion user facilities worldleading, investing in high-performance computing and preparing for exascale, exploring the potential of QIS and machinelearning, supporting high-impact research in fusion materials, strengthening partnerships for access to international
facilities with unique capabilities, learning how to predict and control transient events in fusion plasmas, continuing
stewardship of discovery plasma science (e.g., via intermediate-scale facilities), and initiating private-public partnerships.
Furthermore, research priorities for burning plasma science in FY 2020 will be informed by the 2018 report d of the National
Academies of Sciences, Engineering, and Medicine burning plasma study commissioned by FES.
Key elements in the FY 2020 Request include:
Research
 DIII-D research – DIII-D research will utilize the facility enhancements implemented during the FY 2018–2019 Long Torus
Opening. Research goals will aim at resolving predictive burning plasma physics, validation of impurity transportmodels, and integration of core and edge plasma solutions.
 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 will leverage opportunities in critical fusion
research areas (e.g., diagnostics, theory and simulation, materials science, and magnet technology).
 Enabling technology and discovery plasma science – Research on high-temperature superconductors, additive
manufacturing, low-temperature plasmas (relevant to microelectronics), and high-energy-density plasmas lead toconnections with and spinoffs for U.S. industry.
 Scientific Discovery through Advanced Computing – SciDAC projects will address high-priority research on tokamak
disruptions and large-scale fusion data analysis challenges, including machine learning and QIS, and also continue
development of an integrated whole-device modeling capability, in partnership with the ASCR program.
 Long-pulse tokamak and stellarator research – Long-pulse tokamak research enables U.S. scientists to work onsuperconducting tokamaks with world-leading capabilities. In addition, there will be research opportunities for U.S.
collaborations in the deuterium–tritium (DT) experimental campaign on the Joint European Torus (JET). Long-pulse
stellarator research will allow U.S. teams to take full advantage of U.S. hardware investments on Wendelstein 7-X (W7X) and enhance the scientific output on this device.
 Fusion nuclear science – FES will continue to evaluate options for a neutron source that will test materials in fusionrelevant environments.
 Discovery plasma science – Basic plasma research is partially carried out in partnership with NSF and NNSA. Researchand operations will focus on the intermediate-scale plasma science facilities and on HEDLP research on the Matter in
Extreme Conditions (MEC) instrument, an end station on the Linac Coherent Light Source (LCLS) facility at SLAC Nationalahttps://science.energy.gov/~/media/fes/pdf/workshop-reports/2016/FES_A_Ten-Year_Perspective_2015-2025.pdf

b https://science.energy.gov/fes/community-resources/workshop-reports/c https://science.energy.gov/~/media/fes/fesac/pdf/2018/TEC_Report_15Feb2018.pdf

d https://www.nap.edu/catalog/25331/final-report-of-the-committee-on-a-strategic-plan-for-us-burning-plasma-research

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FY 2020 Congressional Budget Justification

Accelerator Laboratory (SLAC), stewarded by the SC Basic Energy Sciences (BES) program, and on LaserNetUS, a newnational consortium of laser facilities for enhanced user access.
Facility Operations
 DIII-D operations – The funding will allow 13 weeks of facility operations, along with machine and infrastructure
refurbishments and improvements needed for new research capabilities.
 NSTX-U recovery activities – The NSTX-U facility is down for recovery and repair, which will continue through FY 2020.
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.
 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 and will be a great resource for advancing the FES strategic priority in materials research. The project is
expected to be baselined in FY 2020. The FY 2020 funding will maintain the required detailed design and R&D activities
and allow for initiation of long-lead major procurements for the device.
Projects
 Continued U.S. hardware development and delivery to ITER – The FY 2020 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 deliver the first Central Solenoid magnet module to the ITER site and also continue design andfabrication efforts for other hardware systems.
 High energy density laboratory plasmas – FES will initiate a line-item construction project for a significant upgrade to
the MEC instrument on the LCLS facility at SLAC.
Other GPP/GPE – Funding is provided for General Plant Projects/General Purpose Equipment, to support Princeton Plasma
Physics Laboratory (PPPL) infrastructure improvements and repairs as well as support a study of FES infrastructureneeds at Oak Ridge National Laboratory (ORNL).
FES supports the following FY 2020 Administration Priorities.
FY 2020 Administration Priorities ($K)(dollars in thousands)
Quantum
Artificial
information Science
Intelligence (AI)
(QIS)
7,000
7,520

Fusion Energy Sciences

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FY 2020 Congressional Budget Justification

Fusion Energy Sciences
Funding ($K)(dollars in thousands)

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

Burning Plasma Science: Foundations
Advanced Tokamak
Spherical Tokamak
Theory & Simulation
GPE/GPP/Infrastructure
Total, Burning Plasma Science: Foundations

121,115
93,55050,00013,000277,665

130,500
96,00050,000
10,204
286,704

88,50067,50044,0001,000
201,000-42,000-28,500-6,000-9,204-85,704

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

15,00010,06927,17752,246

14,0008,500
38,746
61,2469,000
8,500
32,50050,000-5,000—-6,246-11,246

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

54,0007,000
19,20080,200410,11152,0508,000
24,00084,050432,000

25,0004,000
14,75043,750294,750-27,050-4,000-9,250-40,300-137,250

Construction
20-SC-61 Matter in Extreme Conditions Petawatt Upgrade
14-SC-60 U.S. Contributions to ITER
Total, Construction
Total, Fusion Energy Sciences—
122,000
122,000
532,111—132,000
132,000
564,000

1,000
107,000
108,000
402,750+1,000-25,000-24,000-161,250

SBIR/STTR Funding: FY 2018 Enacted: SBIR $11,598,000 and STTR $1,631,000
 FY 2019 Enacted: SBIR $12,992,000 and STTR $1,827,000
 FY 2020 Request: SBIR $8,899,000 and STTR $1,252,000

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Fusion Energy Sciences
Explanation of Major Changes ($K)

Burning Plasma Science: Foundations
The Request for DIII-D prioritizes funding to ensure scientific utilization of the significant facility enhancements implemented during the
FY 2018 – FY 2019 Long Torus Opening, with 13 weeks of research operation. Funding for the NSTX-U program will support the ongoingrecovery activities and maintain collaborative research at other facilities to support NSTX-U research program priorities. SciDAC continues tomake progress toward whole-device modeling; this subprogram will also explore the potential of 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, as well
as a study of FES infrastructure needs at ORNL.

(dollars in thousands)
FY 2020 Request vsFY 2019 Enacted-85,704

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 andstructural materials. The Request supports design and R&D activities for the MPEX MIE project, expected to be baselined in FY 2020, andinitiates long-lead major procurements.

-11,246

Discovery Plasma Science
For General Plasma Science, the Request emphasizes research and operations of intermediate-scale scientific user facilities and participationin the NSF-DOE Partnership. For High Energy Density Laboratory Plasmas, the focus remains on supporting research utilizing the Matter in
Extreme Conditions instrument of the LCLS user facility at SLAC, supporting research on medium-scale laser facilities through the new
LaserNetUS network, and exploring research opportunities of QIS.

-40,300

Construction
FES will initiate a line-item construction project for a significant upgrade to the MEC instrument. The U.S. Contributions to ITER project willcontinue design, fabrication, and delivery of highest-priority First Plasma hardware.

-24,000

Total, Fusion Energy Sciences-161,250

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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. 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,
with research extending to a wide range of natural phenomena, including the origin of magnetic fields in the universe andthe nature of plasma turbulence. The joint programs with NNSA and NSF involve coordination of solicitations, peer reviews,
and workshops.
Program Accomplishments
Doubled efficiency of sustaining plasma pressure in spherical tokamaks. Spherical tokamaks are able to support high plasmapressures, relative to the pressure of the applied confining magnetic field. Recent experiments on the Pegasus sphericaltokamak at the University of Wisconsin-Madison were able to achieve a 100% value for the beta parameter (the ratio ofplasma pressure to applied magnetic pressure); the previous record for achieved beta was ~35%. Beta is an important
metric in fusion science, since fusion power output increases quadratically as the value for beta goes up. The beta value
represents the efficiency with which the applied magnetic field in any fusion system is utilized.
Addressing the transients challenge for tokamak fusion. DIII-D has made significant advances in the mitigation andavoidance of large-scale transient events ("disruptions") that can abruptly terminate a fusion plasma. This includes testing a
new shell-pellet concept that uses a thin-walled, hollow, pea-sized diamond “pellet” filled with metallic dust to suppress thehigh-energy runaway electrons that are often generated during a disruption and that can damage the vacuum vessel. The
experiments showed successful delivery of the dust into the current channel formed by these runaway electrons. Computer
algorithms informed by modern machine-learning techniques are being developed to provide supervisory logic forcomprehensive disruption avoidance and machine protection.
Massively parallel supercomputer simulations shed light on the behavior of magnetic islands. Magnetic islands, which arebubble-like structures that form in magnetically confined fusion plasmas, can grow and lead to plasma disruptions, which
are among the critical challenges confronting future fusion reactors. Simulation research supported by the Scientific
Discovery through Advanced Computing (SciDAC) program and carried out on the Cori supercomputer at the National
Energy Research Scientific Computing Center (NERSC) showed that―contrary to long-held assumptions—the plasma profile
inside the island can maintain a radial structure and the plasma flow can be strongly sheared, which is known to have abeneficial effect on plasma transport. These findings will improve the ability to predict and avoid the onset of thedeleterious plasma disruptions.
Optimal magnetic fields stabilize dangerous instabilities in tokamak plasmas. Researchers have succeeded in developing a
breakthrough predictive method for improving the operation of tokamaks using magnetic fields. In tokamaks, magnetic
field perturbations are often used to avoid undesirable plasma instabilities; however, other unwanted side effects may
occur, such as excessive leakage of heat. The research showed how to use plasma simulations and an efficient numericalmethod to identify the most effective fields, while keeping certain components of the field below critical thresholds. The
modeling motivated experimental studies on the Korean superconducting tokamak KSTAR that validated the new methods,
which are now being applied to ITER and future fusion facility designs.
U.S.-provided trim coils improve performance of Wendelstein 7-X stellarator. The recent second round of W7-X experiments
demonstrated the ability of the five large copper magnetic trim coils and their sophisticated control system to measure andcorrect deviations of the magnetic fields from their designated configuration. Any deviation of these “error fields” cancause divertor plates to overheat and limit the performance of the plasma. Controlling such fields at the edge of the plasma
enabled W7-X to produce plasma discharges lasting up to 30 seconds. Complementary experiments confirmed predictions
about the power needed by the trim coils to correct the deviations—only 10% of the full power of the coils, which is atestament to the precision with which W7-X was constructed.
First-of-a-kind fusion materials irradiation experiment completed. The U.S. and Japan “PHENIX” collaboration has
successfully completed an extensive, first-of-a-kind irradiation campaign to study the feasibility of tungsten-based plasmafacing materials for future fusion devices. This campaign utilized novel gadolinium shield technologies to achieve realistic
displacement damage to transmutation ratios in the High Flux Isotope Reactor facility at ORNL. This was the first-everScience/Fusion Energy Sciences
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exploration of fusion-relevant neutron damage in tungsten. The full disassembly of the irradiation experiment wascompleted on cost and schedule, and extensive post-irradiation examination has been initiated, after five years ofexperimentation. The information gleaned from this experiment is expected to provide lasting guidance for theinternational fusion materials community.
New discovery reveals how solar-wind electrons are heated in the Earth's magnetic shield. Analyses of observational datafrom the NASA Magnetospheric Multiscale spacecraft demonstrated that the solar-wind electron stream is accelerated,upon interacting with Earth’s magnetic field, to such high speeds that the streaming breaks down and is transformed into
heat. The discovery reveals a never-before-seen picture about how solar-wind electrons are heated when reaching Earth's
magnetic shield. These ground-breaking results will stimulate further theories, simulations, and laboratory experiments toresolve a longstanding question about collisionless heating at shocks. The discovery has broad applicability to theunderstanding of shocks and particle acceleration in solar flares and supernovae, as well as to astrophysics in general.
Turning plastic into diamonds. Scientists at SLAC have successful produced the “diamond rain” that forms in the interior oficy giant planets. In these laboratory experiments, the environment inside these planets was recreated at the MEC
instrument by the irradiation of plastic targets with a high-power optical laser. Nearly every carbon atom of the original
plastic was incorporated into small diamond structures up to a few nanometers in size. This study predicts that on Uranus
and Neptune, diamonds would become much larger, maybe millions of carats in weight.

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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 possible DOE
laboratories where fusion research is ongoing.

Research in the Burning Plasma Science: Foundations area in FY 2020 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 research needs workshops and other community-led studies. It will also support new approaches with transformational
potential to advance the FES mission, such as machine learning and QIS.
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. and can magnetically confine plasmas at temperatures relevant to burning plasma conditions. Its extensive set of
diagnostic systems, many unique in the world, and its extraordinary flexibility to explore various operating regimes make ita 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 researchgoal is to establish the broad scientific basis to optimize the tokamak approach to magnetic confinement fusion. Much ofthis research 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. The Request will also allow for partnership opportunities with the private sector on
enabling technology research issues.
Versatile university-led small-scale advanced tokamak research is complementary to the efforts at the major user facilities,
providing cost-effective development of new techniques and exploration of new concepts. These activities are often thefirst step in a multi-stage approach toward the extension of the scientific basis for advanced tokamaks or the maturation of
new experimental techniques. 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 has been 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 2020, NSTX-U recovery activities will focus on the continued execution of facility repairs andcorrective actions required to resume 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 consists of eightmulti-institutional interdisciplinary partnerships, seven of which are jointly supported by FES and ASCR while one issupported entirely by FES, and addresses the high-priority research directions identified in recent community workshops. A
ninth project focused on the critical area of avoidance and mitigation of runaway electrons was added in FY 2018, following
a competitive review. The new portfolio emphasizes increased integration and whole-device modeling, as well as synergy
with the fusion-relevant projects of the SC Exascale Computing Project (SC-ECP) to increase the readiness of the fusion
community for the upcoming Exascale era.
Additional objectives of this element include the support of emerging computational approaches, such as machine learningand other data-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 QIS a. The Request will also allow for partnership
opportunities with the private sector in theory and simulation research areas.
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.

a https://science.energy.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
FY 2019 Enacted

FY 2020 Request

Burning Plasma Science: Foundations $286,704,000
Advanced Tokamak$130,500,000
DIII-D Research$46,000,000
DIII-D Operations$75,500,000
The FY 2019 Enacted budget continues numerous
enhancements/improvements to the DIII-D facility, toinclude the neutral beam modification to add bidirectional off-axis injection capability; and supports
12 weeks of operations. Research continues todetermine the optimal path to steady-state tokamak
plasmas, explore techniques to avoid and mitigatetransients in tokamaks, and develop the plasmamaterial interaction boundary solutions necessary for
future devices. Experiments exploit additional heating
and current drive systems added in FY 2018.
Researchers utilize the new neutral beam capability to
examine the physics of self-driven tokamak plasmas.
Specific research goals include further integration of
the core and edge conditions in high-performance
plasmas and studying the role of neutral fueling andtransport in determining the edge pedestal structure.

$201,000,000$88,500,000$40,500,000$44,000,000
At the Request level, operations funding will support
13 weeks of research at the DIII-D facility. Facility
improvements to increase auxiliary heating power,
current drive, and 3D magnetic field shaping
capabilities will be supported. Research will utilize
new heating and current drive systems to accesssteady-state tokamak plasma scenarios at highpressure and low rotation, further refine techniquesto avoid and mitigate transients in tokamaks, andexploit new diagnostics to improve theunderstanding of divertor material erosion andtransport. Specific research goals will aim at
resolution of predictive burning plasma physics,
validation of impurity transport models, andintegration of core and edge plasma solutions thatextrapolate to future fusion reactors.

Enabling R&D$7,000,000
The FY 2019 Enacted budget continues research insuperconducting magnet technology and plasma
fueling and heating technologies required to enhance
the performance for existing and future magnetic
confinement fusion devices.
Small-scale Experimental Research$2,000,000
The FY 2019 Enacted budget allows versatile
university-led experiments to focus on improving
fusion plasma control physics for advanced tokamaks.

$3,000,000
The Request supports continuing research in hightemperature superconducting magnet technology
and in plasma fueling and heating technologies. The
Request will allow for exploration of partnership
opportunities with the private sector.
$1,000,000
At the Request level, university-led experiments willcontinue to develop innovative strategies to improve
the performance of advanced tokamaks.

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Explanation of Change
FY 2020 Request vs FY 2019 Enacted-$85,704,000-$42,000,000-$5,500,000-$31,500,000
Research efforts will focus on highest-priority scienceissues, including funding for key facility collaboratorsand off-site users. Operations will support criticalmachine improvements to maintain DIII-D worldleading status.

-$4,000,000
Research efforts will continue to emphasize highpriority R&D. Efforts will be made to enhanceresearch into high-temperature superconducting
magnet technology.
-$1,000,000
Highest-priority experimental research and model
validation efforts will continue.
FY 2020 Congressional Budget Justification

FY 2019 Enacted

FY 2020 Request

Explanation of Change
FY 2020 Request vs FY 2019 Enacted

Spherical Tokamak$96,000,000
NSTX-U Research$25,000,000
NSTX-U Operations$68,000,000
The FY 2019 Enacted budget supports NSTX-U
operations of high-priority activities to implement
repairs and corrective actions required to obtainrobust, reliable research operations. Researchsupports the continued analysis of high-impact data, afocused effort on physics topics that directly support
the recovery of robust plasma operations, andenhanced collaborative research at other facilities tosupport NSTX-U research program priorities.

$67,500,000-$28,500,000$27,000,000+$2,000,000$38,500,000-$29,500,000
At the Request level, operations will support recovery Operations will support continued critical recovery
procurements and construction activities that are
activities. Research efforts will focus on high-priority
necessary to realize robust research operations.
science issues in preparation for return to operations.
Research will support analysis and modeling efforts atother facilities to support NSTX-U research program
priorities and the installation of high-priority
diagnostic instruments on the device.

Small-scale Experimental Research$3,000,000
The FY 2019 Enacted budget supports experimental
studies of plasmas surrounded by liquid lithium
material surfaces, which was identified as a priority
research direction in the recent plasma-materials
interactions workshop, continues. In addition,techniques to operate spherical tokamaks without theuse of a central solenoid continue to beexperimentally tested.

$2,000,000-$1,000,000
At the Request level, studies and experiments will
Highest-priority experimental research and model
focus on exploring operational scenarios without avalidation efforts will continue.
central solenoid and model validation and detailed
core turbulent transport mechanisms that elucidate
experimental observations of improved confinement
when the plasma is surrounded by liquid lithium.

Theory & Simulation$50,000,000
Theory$25,000,000
In the FY 2019 Enacted budget, theory continues tofocus on providing the scientific grounding for thephysical models implemented in the large-scale
simulation codes developed under SciDAC andaddressing foundational problems in the science ofmagnetic confinement, as identified in recent
community workshops.

$44,000,000-$6,000,000$18,000,000-$7,000,000
At the Request level, theory will continue to address Research efforts will focus on the highest-priority
foundational problems in the science of magnetic
activities.
confinement. Emphasis will be placed on researchthat maximizes synergy with large-scale simulation
efforts and addresses recommendations from
community workshops. The Request will allow forpartnership opportunities with the private sector.

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Explanation of Change
FY 2020 Request vs FY 2019 Enacted
SciDAC$25,000,000$26,000,000+$1,000,000
In the FY 2019 Enacted budget, the SciDAC portfolio
At the Request level, the nine FES SciDAC
The Request will maintain the existing portfolio at thecontinues to emphasize high-priority areas such as
partnerships will continue to address challenges insame level of effort. Research efforts focusing on
plasma disruptions (including runaway electron
burning plasma science, with emphasis on integration emerging technologies with transformational
effects), boundary physics, and plasma-materials
and whole-device modeling, as well as Exascalepotential, such as machine learning /artificial
interactions. The activities of all the partnerships arereadiness. Progress in plasma disruptions will
intelligence and computing aspects of QIS, will becoordinated to accelerate progress toward wholeaccelerate following the addition of a partnershipstrengthened.
device modeling. Synergy with whole-device modeling focusing on runaway electron physics in FY 2018.
activities supported by the DOE Exascale Computing
Validation of the simulation codes against
Project is strengthened.
experimental data will also be emphasized. Research
efforts focusing on emerging technologies withtransformational potential, such as machine learningand computing aspects of QIS, will continue.
FY 2019 Enacted

FY 2020 Request

GPE/GPP/Infrastructure$10,204,000$1,000,000-$9,204,000
The FY 2019 Enacted budget supports Princeton
The Request will support PPPL infrastructure
The focus will be on highest-priority infrastructure
Plasma Physics Laboratory (PPPL) infrastructure
improvements, repair, monitoring, and maintenance. needs and improvements.
improvements, repair, and maintenance.
Funding will also support a study of FES infrastructureneeds at ORNL.

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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 fusion nuclear science facility. This subprogram includes long-pulse international tokamak andstellarator research and fusion nuclear science and materials research.
Long Pulse: Tokamak
Multi-institutional U.S. research teams will continue their successful work on advancing the physics and technology basis forlong-pulse burning plasma operation via bilateral research on U.S. and international fusion facilities. Research on overseas
superconducting tokamaks, conducted onsite and also via fully remote facility operation, leverages progress made indomestic devices and allows the U.S. fusion program to gain the knowledge needed to operate long-duration plasma
discharges in future fusion energy devices. These efforts will be augmented by research on non-superconducting overseas
tokamaks and spherical tokamaks with unique capabilities.
Long Pulse: Stellarator
Stellarators offer the promise of steady-state confinement regimes without transient events such as harmful disruptions.
The three-dimensional (3-D) shaping of the plasma in a stellarator provides for a broader range in design flexibility than isachievable in a 2-D system. The participation of U.S. researchers on W7-X in Germany provides an opportunity to develop
and assess 3-D 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. A conventional stellarator lacks axial symmetry, resulting in
reduced confinement of energetic ions, which are needed to heat the plasma. 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 extremely strong 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 the impact of this extreme environment on materials and component performance. To help develop solutions
for this complex scientific challenge, new experimental capabilities along with game-changing types of research will be
required. Facilities with these experimental capabilities will need to replicate or effectively simulate various aspects of theharsh fusion environment. These experimental capabilities can 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. The Request described
below will also allow for partnership opportunities with the private sector on fusion materials research.
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) at ORNL, which will enable
dedicated studies of reactor-relevant heat and particle loads on neutron-irradiated materials. The overall motivation is to
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gain entry into a new class of fusion materials science wherein the combined effects of fusion-relevant heat and particle
fluxes on materials can be studied for the first time anywhere in the world.

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Fusion Energy Sciences
Burning Plasma Science: Long Pulse
Activities and Explanation of Changes
Explanation of Change
FY 2020 Request vs FY 2019 Enacted
Burning Plasma Science: Long Pulse $61,246,000$50,000,000-$11,246,000
Long Pulse: Tokamak$14,000,000$9,000,000-$5,000,000
In the FY 2019 Enacted budget, research on the
In the Request, research on overseas superconducting High-priority research activities by U.S. multiEAST and KSTAR superconducting tokamaks
tokamaks will continue to integrate new diagnostics
institutional teams will be maintained in areas criticalcontinues to establish the physics bases and control and control tools to improve the performance andto the advancement of long-pulse, steady-state plasma
tools for steady-state plasma scenarios, disruption
duration of a wide range of steady-state, long-pulse
operation.
avoidance and mitigation, and control of plasmaplasma scenarios in collaboration with international
material interfaces. On the Joint European Torus,
partners. Research goals will support the pursuit ofU.S. scientists are commissioning a shattered pellet robust disruption and runaway mitigation solutions,disruption mitigation system and collaborating on
validation of theoretical tools for plasma scenario
optimization of burning plasma scenarios with
development and optimization, and refinement of
deuterium and tritium fuels.
power exhaust control solutions that are consistent
with transient-free plasma operation.
FY 2019 EnactedLong Pulse: Stellarators$8,500,000
Superconducting Stellarator
Research$5,000,000
In the FY 2019 Enacted budget, U.S. scientists areusing data from the first major experimental
campaign on W7-X to strengthen the basis for longpulse operation with pellet fueling, testing theinnovative island divertor concept, investigating
impurity recycling, studying the effect of the U.S.provided trim coils on fast-ion confinement and on
modulation of divertor heat loads, and determining
the effect of the radial electric field on impurity
transport.

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FY 2020 Request$8,500,000$—$6,000,000
In the Request, on W7-X, U.S. scientists will build andinstall a continuous high-speed pellet system to provide
fueling for quasi-steady-state plasma experiments;
develop a complete set of powder droppers for boron
powder injection to enable steady-state wallconditioning; examine the effect of plasma turbulence
and coherent modes on energy and particle transport;
and explore edge radiative cooling with an island
divertor, including 3D equilibrium effects.

+$1,000,000
Research activities by U.S. multi-institutional teams will
be enhanced, including deployment and utilization of
U.S. experimental hardware on international stellarator
facilities.

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Explanation of Change
FY 2020 Request vs FY 2019 Enacted
Compact Stellarator Research$3,500,000$2,500,000-$1,000,000
In the FY 2019 Enacted budget, research is
In the Request, research will continue on experiments The highest-priority research activities will be
providing experimental data in regimes of relevance that are providing data in regimes relevant to mainline supported.
to the mainline stellarator magnetic confinement
stellarator confinement and experimental validation ofefforts and helping confirm theoretical models and models and codes.
simulation codes in support of the goal to develop
an experimentally-validated predictive capability formagnetically confined fusion plasmas.
FY 2019 Enacted

FY 2020 Request

Materials & Fusion Nuclear Science$38,746,000
Fusion Nuclear Science$14,000,000
In the FY 2019 Enacted budget, research efforts
continue to focus on the priority areas of plasmafacing components, safety, tritium fuel cycle, andbreeder blanket technologies. In addition, a study is
being initiated to evaluate options for a neutron
source to test materials in fusion-relevant
environments.

$32,500,000$8,500,000
In the Request, research will continue to focus on thepriority areas of plasma-facing components, safety,
tritium fuel cycle, and breeder blanket technologies.
Opportunities will be considered for expanding into
high-priority research area of novel technologies fortritium fuel cycle control, as identified by the recent
FESAC report on Transformative Enabling Capabilities.
In addition, FES will continue to evaluate options for anear-term fusion-relevant neutron source.

-$6,246,000-$5,500,000
Research efforts will be focused on the highest-priority
activities, including novel technologies for the tritium
fuel cycle and evaluation of near-term fusion-relevant
neutron sources.

Materials Research$10,000,000
In the FY 2019 Enacted budget, research efforts
continue to focus on the development of materials
that can withstand the extreme fusion environment
expected in future fusion reactors.

$12,000,000
In the Request, research efforts will continue to focus
on the development of materials that can withstandthe extreme fusion environment. Opportunities will beconsidered for expanding into high-priority research in
the area of advanced materials and manufacturing, as
identified by the recent FESAC report on
Transformative Enabling Capabilities. a+$2,000,000
Research efforts will focus on highest-priority activities
and expansion into advanced materials andmanufacturing. The Request will also allow forpartnership opportunities with the private sector.

a https://science.energy.gov/~/media/fes/fesac/pdf/2018/TEC_Report_1Feb20181.pdf

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Explanation of Change
FY 2020 Request vs FY 2019 Enacted
Projects$14,746,000$12,000,000-$2,746,000
In the FY 2019 Enacted budget, a new MIE project, The Request will support MPEX project engineering
Critical design activities for the MPEX MIE project will
the Materials Plasma Exposure eXperiment (MPEX) design and also preparation for baseline approval andcontinue.
at ORNL, will develop a world-leading capability for long-lead procurements.
reactor-relevant plasma exposures of neutronirradiated materials. Funding is provided for projectengineering and design efforts and some long-leadprocurements.
FY 2019 Enacted

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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 micro- and opto-electronic devices, energy-efficient lighting, low-heat chemical-free sterilization
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.
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. Additionally, this portfolio will support HEDLP QIS priority
research opportunities outlined in the 2018 Report of the Fusion Energy Sciences Roundtable on Quantum Information
Science.
Exploratory Magnetized Plasma – Basic research involving the creation, control, and manipulation of magneticallyconfined plasmas to increase our 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. 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
Science/Fusion Energy Sciences177

FY 2020 Congressional Budget Justification

programs at major fusion facilities. The Request will also allow for partnership opportunities with the private sector on
fusion diagnostics issues.
SBIR/STTR & Other
Funding for SBIR/STTR is 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 national organization that coordinates
research in burning plasma science; peer reviews for solicitations across the program; outreach programs; and support for
the FESAC.

Science/Fusion Energy Sciences178

FY 2020 Congressional Budget Justification

Fusion Energy Sciences
Discovery Plasma Science
Activities and Explanation of Changes
FY 2019 Enacted

FY 2020 Request

Discovery Plasma Science$84,050,000
Plasma Science Frontiers$52,050,000
General Plasma Science$31,050,000
In the FY 2019 Enacted budget, core research areas ofthis activity continue to address questions related toplasma dynamo, magnetic reconnection, particle
acceleration, turbulence, and magnetic selforganization. New efforts in low-temperature plasma
are being competitively selected.

$43,750,000$25,000,000$13,000,000
In the Request, core research areas of this activity willcontinue, with a focus on basic plasma science andlow-temperature plasma collaborative researchfacilities, including support for users of these facilities.

High Energy Density Laboratory
Plasmas$18,400,000
In the FY 2019 Enacted budget, research emphasizes
utilizing the MEC at LCLS for warm dense matterstudies. Support continues for the MEC beam-linescience team and the experimental HEDLP researchgroups at SLAC. With the approval of a Critical
Decision-0 for Mission Need, a study is initiated toevaluate options for a MEC upgrade. Modest support
is provided to make medium-scale HEDLP facilities
accessible to university researchers.

$12,000,000-$6,400,000
In the Request, research will emphasize utilizing the
Research efforts will focus on highest-priority science
MEC at LCLS. Support will continue for the MEC beam- activities.
line science team and the LaserNetUS initiative.
Application of HEDLP to advance QIS will besupported.

Exploratory Magnetized Plasma$1,000,000
In the FY 2019 Enacted budget, core research areas of No funding is requested.
this activity continue.

$—

Projects$1,600,000
The FY 2019 Enacted budget provides OPC funding for No funding is requested.
the Matter in Extreme Conditions (MEC) Petawatt
Upgrade project.

$—

Science/Fusion Energy Sciences

Explanation of Change
FY 2020 Request vs FY 2019 Enacted-$40,300,000-$27,050,000-$18,050,000
Research efforts will focus on highest-priority
scientific activities in both basic plasma science andlow-temperature plasmas.

-$1,000,000
No funding is requested.
-$1,600,000
No funding is requested.

179

FY 2020 Congressional Budget Justification

Explanation of Change
FY 2020 Request vs FY 2019 Enacted
Measurement Innovation$8,000,000$4,000,000-$4,000,000
In the FY 2019 Enacted budget, Measurement
In the Request, Measurement Innovation will support Research efforts will focus on the highest-priority
Innovation is funding new transformative andthe development of transformative and innovative
activities.
innovative diagnostics for plasma transient
diagnostics for plasma transient instabilities, plasmainstabilities, plasma-materials interactions, modeling materials interactions, modeling validation, and basic
validation, and basic plasma science identified in the plasma science identified in the community
community workshops.
workshops. The Request will allow for partnershipcollaboration opportunities with the private sector.
FY 2019 Enacted

SBIR/STTR & Other$24,000,000
The FY 2019 Enacted budget continues support for
USBPO activities, HBCUs, peer reviews forsolicitations, and FESAC. SBIR/STTR funding isstatutorily set at 3.65 percent of noncapital funding in
FY 2019.

Science/Fusion Energy Sciences

FY 2020 Request$14,750,000-$9,250,000
The Request will continue support for USBPOThe SBIR/STTR funding will be consistent with the FES
activities, HBCUs, peer reviews for solicitations,
total budget.
outreach programs, and FESAC. SBIR/STTR funding isstatutorily set at 3.65 percent of noncapital funding in
FY 2020.

180

FY 2020 Congressional Budget Justification

Fusion Energy Sciences
Construction
Description
This subprogram supports all line-item construction for the entire FES program. All Total Estimated Costs (TEC) are fundedin 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 Light a” 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”. This project is a new start in FY 2020 and will be an upgrade to MEC. The MEC Petawatt Upgrade is aimed atproviding an experimental collaborative National User Facility for High-Energy-Density Science that will help address thisNAS recommendation as well as helping the U.S. regain leadership in this important field of study. MEC is an experimental
research end-station that utilizes the SLAC’s Linac Coherent Light Source. The project received CD-0, “Approve Mission
Need” on January, 4, 2019. The FY 2020 Request will support conceptual design of the MEC Petawatt Upgrade. The
estimated total project cost is $50 million to $200 million.
ITER
The ITER facility, currently under construction in St. Paul-lez-Durance, France, and nearly 60% complete for First Plasma,
aims 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 of Korea,
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 (FP) 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 U.S. in-kind contribution represents 9% of the overall cost, but will allow access to 100% of the science and engineering
associated with what will be the largest magnetically confined burning plasma experiment ever created. Recent advances invalidated 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.

a https://www.nap.edu/read/24939/chapter/1

Science/Fusion Energy Sciences181

FY 2020 Congressional Budget Justification

Fusion Energy Sciences
Construction
Activities and Explanation of Changes
FY 2019 Enacted
Construction
Matter in Extreme Conditions (MEC)
Petawatt Upgrade

FY 2020 Request$132,000,000$—$108,000,000

Explanation of Change
FY 2020 Request vs FY 2019 Enacted-$24,000,000$1,000,000+$1,000,000
The Request will initiate design activities for this
The Request supports the initiation of a line-item
project, which is a new start.
construction project for an upgrade to MEC.

U.S. Contributions to ITER
$132,000,000$107,000,000-$25,000,000
In the FY 2019 Enacted budget, the primary focus is
The Request will support the continued design andWork will focus on the highest-priority First Plasma
on First Plasma hardware, including continued design fabrication of the highest priority “in-kind” hardware hardware activities.
and fabrication of the highest-priority in-kindsystems.
deliverables. A financial contribution is provided.

Science/Fusion Energy Sciences

182

FY 2020 Congressional Budget Justification

Fusion Energy Sciences
Capital Summary ($K)(dollars in thousands)
Capital Operating Expenses Summary
Capital Equipment
Minor Construction Activities
General Plant Projects (GPP)
Total, Capital Operating Expenses

FY 2018 Enacted FY 2019 Enacted FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

Total

Prior Years

N/A

N/A

10,49016,87416,300

-574

N/A
N/A

N/A
N/A

12,19022,6809,134
26,008380
16,680-8,754-9,328

Capital Equipment ($K)(dollars in thousands)

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

FY 2018 Enacted FY 2019 Enacted FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

Total

Prior Years

40,000–60,000——

14,746

12,000-2,746

N/A
N/A

N/A
N/A

10,49010,4902,128
16,8744,300
16,3002,172-574

Minor Construction Activities ($K)(dollars in thousands)

General Plant Projects
Total GPPs less than $5M b

Total

Prior Years

N/A

N/A

FY 2018 Enacted FY 2019 Enacted FY 2020 Request
12,1909,134

FY 2020 Request vsFY 2019 Enacted

380-8,754a Each MIE located at a DOE facility Total Estimated Cost (TEC) >$5M and each MIE not located at a DOE facility TEC >$2M.

b 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.

Science/Fusion Energy Sciences

183

FY 2020 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-akind, world-leading experimental capability that will be used to explore solutions to the daunting plasma-materials
interactions challenge. MPEX, which will be located at ORNL, will allow dedicated studies of reactor-relevant heat andparticle 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, particle, and neutron fluxes can be studied for the first time
anywhere in the world. The project is expected to be baselined in FY 2020. The proposed funding will maintain the required
design and R&D activities and allow for initiation of long-lead major procurements for the device. (TPC $40–$60 million)

Science/Fusion Energy Sciences184

FY 2020 Congressional Budget Justification

Fusion Energy Sciences
Construction Projects Summary ($K)(dollars in thousands)
FY 2018 Enacted

FY 2019 Enacted FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

Total

Prior Years

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

TBD
TBD
TBD

—
—
—

—
—
—

—
1,600
1,600

1,000
—
1,000

+1,000-1,600-600

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

TBD
TBD
TBD

1,117,617
70,302
1,187,919

122,000—
122,000

132,000—
132,000

107,000—
107,000-25,000—-25,000

Total, Construction
TEC
OPC
TPC

TBD
TBD
TBD

1,117,617
70,302
1,187,919

122,000—
122,000

132,000
1,600
133,600

108,000—
108,000-24,000-1,600-25,600

Funding Summary ($K)(dollars in thousands)

Research
Facility Operations
Projects
Other (GPP, GPE, and Infrastructure)
Total, Fusion Energy Sciences

Science/Fusion Energy Sciences

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

272,447
124,664
122,000
13,000532,111

261,950
143,500
148,346
10,204564,000

199,250
82,500120,000
1,000
402,750

185

FY 2020 Request vsFY 2019 Enacted-62,700-61,000-28,346-9,204-161,250

FY 2020 Congressional Budget Justification

Fusion Energy Sciences
Scientific User Facility Operations and Research ($K)
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:
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 will 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 2018 Enacted

FY 2018 Current

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted$114,915
603
N/A
720
720
100%
N/A

$111,180
673
812
720
720
112.8%
N/A$121,500
673
N/A
480
480
100%
N/A

$84,500
600
N/A
520
800
65.0%
N/A

-37,000
-73
N/A
+40
+320
-35%
N/A

186

FY 2020 Congressional Budget Justification

(dollars in thousands)
National Spherical Torus
Experiment—Upgrade
Number 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 of optimal hours b
Unscheduled downtime hours

FY 2018 Enacted

FY 2018 Current

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted$90,050$88,590$93,000$65,500-$27,500

390
N/A
—
—
N/A
N/A

248
N/A
—
—
N/A
N/A

385
N/A
—
—
N/A
N/A

307 a
N/A
—
—
N/A
N/A

-78
N/A
—
—
N/A
N/A

$204,965
993
N/A
720
720
100%
N/A

$199,770
921
812
720
720
112.8%
N/A$214,500
1,058
N/A
480
480
100%
N/A

$150,000
907
N/A
520
800
65.0%
N/A

-$64,500
-151
N/A
+40
+320
-35%
N/A

Scientific Employment

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

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

933
116
311
1,393

931
115
310
1,390

618
77
206
923

FY 2020 Request vsFY 2019 Enacted
-313
-38
-104
-467

a While the facility is down, users are still accessing data from previous operational runs to evaluate what is seen in NSTX-U as compared to other devices both domestically and internationally.
b

For total facilities only, this is a “funding weighted” calculation FOR ONLY TYPE A facilities:c Includes technicians, engineers, computer professionals, and other support staff.

Science/Fusion Energy Sciences∑𝑛𝑛
1 [(%𝑂𝑂𝑂𝑂 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛)×(𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜)]
𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑎𝑎𝑎𝑎𝑎𝑎 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜

187

FY 2020 Congressional Budget Justification

188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 2020 Request for the Matter in Extreme Conditions (MEC) Petawatt Upgrade project is $1,000,000. The MEC is anexperimental research end-station that utilizes the Linac Coherent Light Source (LCLS) Office of Science (SC) User Facility at
the SLAC National Accelerator Laboratory. The estimated total project range is $50 million to $200 million. SC plans for the
MEC Petawatt Upgrade project to achieve CD-1, “Approve Alternative Selection and Cost Range” in FY 2020.
Significant Changes
This project is a new start in FY 2020 and will be an upgrade to MEC. The project achieved CD-0, “Approve Mission Need”
on January, 4, 2019. Other Project Costs funding in FY 2019 will support conceptual design of the MEC Petawatt Upgrade
and is expected to continue into FY 2020. When the project achieves CD-1, “Approve Alternative Selection and Cost Range”,
which is expected in early FY 2020, SC will then initiate TEC design efforts. A Federal Project Director will be assigned to the
MEC Petawatt Upgrade project prior to CD-2 approval (“Approved Performance Baseline”).
Critical Milestone History
FiscalYear

CD-0

FY 2020

1/4/2019

Conceptual
DesignComplete
3Q FY 2019

CD-1

CD-2

1Q FY 2020

TBD

Final
DesignComplete
TBD

CD-3

D&D
Complete

CD-4

TBD

TBD

TBD

OPC, D&D

OPC, Total

TPC

—

1,600

2,600

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 or will be 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

Project Cost History
FiscalYear
FY 20202.

TEC, Design
1,000

TEC,
Construction—(dollars in thousands)
OPC, Except
TEC, Total
D&D
1,000
1,600

Project Scope and Justification

Scope
The scope of the MEC Petawatt Upgrade is still being formulated. At a minimum, it will include the design and procurementof a petawatt-class laser system and the design, construction, and installation of a new shield wall.
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
Science/Fusion Energy Sciences/20-SC-61, Matterin Extreme Conditions Petawatt Upgrade189

FY 2020 Congressional Budget Justificiation

Light a” 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 the U.S. Department of Energy (DOE) to plan for at least one large-scale, open-access,high-intensity laser facility that leverages 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 Department of Defense (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 improve ourunderstanding 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 Linac Coherent Light Source (LCLS) at the SLAC National Accelerator Laboratory has demonstrated
exquisite ultrafast measurements of the material structural response to radiation, but higher flux sources of deuterons,
neutrons, and gamma rays are needed 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 in accordance with the project management requirements in DOE O 413.3B, Program andProject Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Threshold KPPs, represent the minimum acceptable performance that the project must achieve. Achievement of theThreshold KPPs will be a prerequisite for approval of CD-4, Project Completion. The Objective KPPs represent the desired
project performance.
Performance Measure
TBD
3.

Threshold
TBD

Objective
TBD

Financial Schedule(dollars in thousands)
BudgetAuthority(Appropriations)
Obligations
Total Estimated Cost (TEC)
DesignFY 2020

a

1,000

1,000

Costs

1,000

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

Science/Fusion Energy Sciences/20-SC-61, Matterin Extreme Conditions Petawatt Upgrade190

FY 2020 Congressional Budget Justificiation

(dollars in thousands)

Total, Design
Construction
FY 2020
Total, Construction
Total Estimated Costs (TEC)FY 2020
Total, TEC
Other Project Costs (OPC)FY 2019
FY 2020
Total, OPC
Total Project Costs (TPC)FY 2020
Total, TPC
4.

BudgetAuthority(Appropriations)
TBD

Obligations
TBD

Costs
TBD

—
TBD

—
TBD

—
TBD

1,000
TBD

1,000
TBD

1,000
TBD

1,600
—
TBD

1,600
—
TBD

1,600
—
TBD

2,600
TBD

2,600
TBD

2,600
TBD

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

Previous Total
Estimate

Original
Validated
Baseline

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
TBD
TBD

TBD
TBD
TBD
TBD
TBD

TBD
TBD
TBD
TBD
TBD

TBD
TBD
TBD

TBD
TBD
TBD

TBD
TBD
TBD

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Site Work
Equipment
Construction
Other, as needed
Contingency
Total, Construction
Other TEC
Cold Startup
Contingency
Total, Other TEC
Total, TEC
Contingency, TEC
Other Project Costs (OPC)
OPC except D&D
R&D
Conceptual Planning
Conceptual Design

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FY 2020 Congressional Budget Justificiation

(dollars in thousands)
Current Total
Estimate

Previous Total
Estimate

TBD
TBD
TBD
TBD
TBD
TBD

TBD
TBD
TBD
TBD
TBD
TBD

Other OPC Costs
Contingency
Total, OPC
Contingency, OPC
Total Project Costs
Total Contingency (TEC+OPC)
5.

Schedule of Appropriation Requests
RequestFY 2020

6.

Type
TEC
OPC
TPC

Prior
N/A
N/A
N/A

(dollars in thousands)
FY 2019
FY 2020
Outyears
—
1,000
TBD
1,600
—
TBD
1,600
1,000
TBD

Total
TBD
TBD
TBD

Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future Start of D&D of this capital asset (fiscal quarter)

Operations and Maintenance7.

Original
Validated
Baseline
TBD
TBD
TBD
TBD
TBD
TBD

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
TBD
TBD

1Q FY 2026
TBD
1Q FY 2045

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
TBD
TBD

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 the project,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 .......................................................................................................................................
8.

Square Feet
TBD
TBD
TBD
TBD
TBD
TBD

Acquisition Approach

An Acquisition Strategy has not yet been formulated, but will be completed prior to seeking Critical Decision 2 approval.
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14-SC-60, U.S. Contributions to ITER (U.S. ITER)
1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 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: U.S., China,
European Union, India, the Republic of Korea, Japan, and the Russian Federation, that comprise 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. It is a U.S. Department of Energy (DOE) project to provide the U.S. shareof ITER construction, classified as in-kind hardware (i.e., subsystems, equipment, and components), as well as financial
resources to support the ITER Organization (IO), as delineated in the Joint Implementation Agreement (JIA). Sections of thisConstruction Project Data Sheet (CPDS) have been tailored accordingly to reflect the unique nature of the U.S. ITER project.
Critical Decision (CD) CD-0, “Approve Mission Need” was signed on July 5, 2005. CD-1, “Approve Alternative Selection andCost Range,” was approved on January 25, 2008, with a preliminary cost range of $1.45 billion to $2.2 billion. Since 2008,
the estimated cost range for the project increased such that the upper bound of the approved CD-1 cost range increased bymore than 50%, triggering the need for a reassessment of the project cost range and re-approval by the ProjectManagement Executive (PME). The PME for the U.S. ITER project is the Deputy Secretary of Energy. The cost range
reassessment was completed in November 2016 and was subsequently approved by the PME on January 13, 2017. The CD1 Revised cost range is now $4.7 billion to $6.5 billion.
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 has divided the U.S. ITER project hardware scope into two distinct subprojects, which
represent the two phases of the project: First Plasma (FP) subproject (SP-1), and Post-First Plasma subproject (SP-2). The FP
subproject scope consists of: 1) completing the design for all twelve systems the U.S. is contributing to ITER; 2) completing
fabrication and delivery of the Toroidal Field (TF) superconductor; completing fabrication and delivery of the Steady-StateElectrical Network (SSEN), and the Central Solenoid (CS) superconducting magnet modules, assembly tooling, andassociated structures; and 3) completing the partial fabrication of and delivering seven other subsystems: Tokamak Cooling
Water, Roughing Pumps, Vacuum Auxiliary, Pellet Injection, Ion Cyclotron Heating, Electron Cyclotron Heating, and two ofseven Diagnostics. 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 of December 2027. In addition, the PME also approved CD-3, “Approve the Start ofConstruction” for the SP-1 on January 13, 2017. This CPDS focuses on the First Plasma subproject activities.
Subproject 2 (SP-2) is the second element of the U.S. ITER project, and includes the remainder of U.S. hardware
contributions for Post-First Plasma operations leading up to Deuterium-Tritium Operations. SP-2 is planned to be baselined
at a future timeframe (e.g., FY 2021/2022).
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 Critical Decision
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.
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The U.S ITER Federal Project Director with certification level 3 has been assigned to this Project and has approved this CPDS.
Significant Changes
This CPDS is an update of the FY 2019 CPDS and does not include a new start for FY 2020. The First Plasma subproject (SP1), which includes fabrication and delivery of all hardware required for First Plasma and the completion of design for all U.S.
hardware contributions, is more than 56% complete.
The FY 2020 Request will support the continued design and fabrication of the highest priority “in-kind” hardware systems.
This includes continued fabrication of the Central Solenoid (CS) magnet system, which consists of seven superconducting
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 “in-kind” hardware
systems. The U.S. ITER project has obligated $980 million through the end of FY 2018 to U.S. industry, universities, and DOE
laboratories.
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 2016 k
FY 2017 l

7/5/2005
7/5/2005
7/5/2005
7/5/2005
7/5/2005
7/5/2005
7/5/2005
7/5/2005
7/5/2005
7/5/2005
7/5/2005
7/5/2005

Conceptual
DesignComplete

09/30/2009 a
07/27/2010 b
05/30/2011 c
07/10/2012 e
12/11/2012 g

CD-1

CD-2

TBD
TBD
1/25/2008
1/25/2008
1/25/2008
1/25/2008
1/25/2008
1/25/2008
1/25/2008
1/25/2008
1/25/2008
1/25/2008

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

CD-0 – Approve Mission Need
CD-1 – Approve Alternative Selection, and Cost Range
CD-2 – Approve Performance Baseline
CD-3 – Approve Start of Fabrication
CD-4 – Approve Project Completion

Final Design
Complete

04/12/2011 d
05/02/2012 f
04/10/2013 i
12/10/2013 j

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

a 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).

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Fiscal Year
FY 2018 a
FY 2019
FY 2020

Performance
Baseline
Validation
7/5/2005
7/5/2005
7/5/2005

CD-2/3CD-1 Cost
Range Update

SP-1

1/13/17
1/13/17
1/13/17

1/13/17
1/13/17
1/13/17

CD-4
SP-2
2019
2019
2021/2022

SP-1

SP-2

1Q FY 2027
1Q FY 2027
1Q FY 2028

2034–2038
2034–2038
2034–2038

Project Cost History
At the time of CD-1 approval in January 2008, the preliminary cost range was $1.45 to $2.2 billion. Until recently, however,it has not been possible to confidently baseline the project due to past delays in the international ITER construction
schedule. Various factors (e.g., schedule delays, design and scope changes, funding constraints, regulatory requirements,
risk mitigations, and poor project management and leadership issues in the ITER Organization) have affected the project
cost and schedule. In response to a 2013 Congressional request, a DOE Office of Science IPR Committee assessed the
project and determined that the existing cost range estimate of $4.0 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 First Plasma
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, a decision was made by the acting SC-1 to update the lower end of this range to reflect updated cost estimates
resulting in the current approved CD-1R range of $4.7 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 has been baselined at $2.5 billion.
Subproject 1 (First Plasma Hardware for US ITER)
FiscalYear
FY 2017 b
FY 2018
FY 2019
FY 20202.

TEC, Design
696,025
696,025
696,025
696,025

TEC,
Construction
1,723,334
1,723,334
1,723,334
1,733,673

TEC, Total
2,419,359
2,419,359
2,419,359
2,429,698

OPC, Except
D&D
80,64180,64180,64170,302

OPC, D&D

OPC, Total

TPC

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

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

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.) aimed at demonstrating the scientific and technological feasibility of fusion energy forpeaceful 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 for thefour 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%) of the ITER facility’s construction cost, while
the other six Members, including the U.S., will each support one-eleventh (9.09%) of the ITER facilities cost. Operation,
deactivation, and decommissioning of the facility are to be funded through a different cost-sharing formula in which the
U.S. will contribute a 13% share, which is not a part of the U.S. ITER project funding. Responsibility for ITER integration,
management, design, licensing, installation, and operation rests with the IO, which is an international legal entity located in
France.

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).
b 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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ScopeU.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 (First Plasma) andSP-2 (Post-First Plasma). The percentage of hardware components to be delivered in each system for SP-1 are indicated foreach system:
 Tokamak Cooling Water System (TCWS): manages the thermal energy generated during the operation of the tokamak.
(58% of system for SP-1)
 15% of ITER Diagnostics: provides the measurements necessary to control, evaluate, and optimize plasma performanceand to further the understanding of plasma physics. (6% 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% 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% for SP-1)
 Ion Cyclotron Heating (ICH) Transmission Lines: bring additional power to the plasma. (15% 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% of Toroidal Field (TF) Conductor: component of the TF magnet that confines, shapes, and controls the plasma. All TF
work scope was completed in FY 2017.
 75% 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% for SP-1)
 Roughing Pumps: evacuate the tokamak, cryostat, and auxiliary vacuum chambers prior to and during operations. (56%for SP-1)
Justification
The purpose of ITER is to investigate and conduct research in the so-called “burning plasma” regime—a performance region
that exists 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
Central Solenoid
Magnet System
Toroidal Field Magnet
Conductor
Steady State Electrical
Network
Tokamak Cooling
Water System
Diagnostics

Electron Cyclotron Heating
Transmission Lines
Ion Cyclotron Heating
Transmission Lines
Pellet Injection System
Vacuum Roughing
Pumps
Vacuum Auxiliary
Systems
Tokamak Exhaust
Processing System
Disruption Mitigation
SystemTable 1. SP-1 In-Kind Hardware Description
Description
Provide 7 (including spare) independent coil packs made of superconducting niobium-tin
providing 13 Tesla at 45 kA, the vertical pre- compression structure, and assembly
tooling.
Provide 9 active lengths (~765m), 1 dummy length (~765m) for winding trials and 2 active
lengths (~100m each) for superconducting qualification.
Provide components for a large AC power distribution system (transformers, switches,
circuit breakers, etc.) at high-voltage (400kV) and medium-voltage (22kV) levels.
Provide Final Designs for major industrial components (heat exchangers, pumps, valves,pressurizers, etc.) capable of removing 1 GW of heat. Among those components, alsofabricate and deliver certain IO-designated items.
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 those components,
also fabricate and deliver certain IO-designated items.
Provide Final Designs for approximately 4 km of aluminum waveguide lines (24 lines)
capable of transmitting up to 1.5 MW per line. Among those components, also fabricate
and deliver certain IO-designated items.
Provide Final Designs for approximately 1.5 km of coaxial transmission lines (8 lines)
capable of transmitting up to 6 MW per line. Among those components, also fabricate
and deliver certain IO-designated items.
Provide Final Designs for injector system capable of delivering deuterium/tritium fuelpellets up to 16 times per second. Among those components, also fabricate and delivercertain IO-designated items.
Provide Final Designs for a matrix of pump trains consisting of approximately 400 vacuum
pumps. Among those components, also fabricate and deliver certain IO-designated items.
Provide Final Designs for vacuum system components (valves, pipe manifolds, auxiliary
pumps, etc.) and approximately 6 km of vacuum piping. Among those components, alsofabricate and deliver certain IO-designated items.
Provide Final Designs for an exhaust separation system for hydrogen isotopes andnon-hydrogen gases.
Provide design, and research and development (R&D) (up to a limit of $25M* a) for a system
to mitigate plasma disruptions that could cause damage to the tokamak inner walls andcomponents.

a Any additional costs would be funded by the ITER organization.

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3.

Financial Schedule(dollars in thousands)
Budget Authority(Appropriations)

Total Estimated Cost (TEC) a
Hardware
FY 2006
FY 2007
FY 2008
FY 2009
FY 2010
FY 2011
FY 2012 b
FY 2013
FY 2014 c
FY 2015
FY 2016 d
FY 2017
FY 2018
FY 2019
FY 2020
Subtotal
Total, Hardware
Cash Contributions e
FY 2006
FY 2007
FY 2008
FY 2009
FY 2010
FY 2011
FY 2012 f
FY 2013
FY 2014c
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Subtotal
Total, Cash Contributions
Hardware and Cash Contributions
FY 2006
FY 2007

Obligations

Costs

13,75436,58823,50085,401
85,26663,87591,453
107,635
166,605
134,043
115,000
50,000122,000
117,000
107,000
1,319,120
TBD

13,75436,58823,50085,401
85,26663,87591,441
107,669
166,605
134,043
115,000
50,000122,000
117,000
107,000
1,319,142
TBD

6,169
24,23824,121
26,27846,052
84,321
99,249110,074
153,995
114,129
106,519
123,117
98,185
107,435
117,182
1,241,064
TBD

2,112
7,412
2,644
23,59929,734
3,125
13,214
13,80532,895
15,957———
15,000—159,497
TBD

2,112
7,412
2,644
23,59929,734
3,125
13,214
13,80532,895
15,957———
15,000—159,497
TBD

2,112
7,412
2,644
23,59929,734
3,125
13,214
13,80532,895
15,957———
15,000—159,497
TBD

15,86644,00015,86644,0008,281
31,650Costs through FY 2017 reflect actual costs; costs for FY 2019 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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FY 2008
FY 2009
FY 2010
FY 2011
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Subtotal
Total, TEC
Other Project Costs (OPC) a
FY 2006
FY 2007
FY 2008
FY 2009
FY 2010
FY 2011
FY 2012 b
FY 2013
FY 2014 c
FY 2015
FY 2016
FY 2017
FY 2018
Subtotal
Total, OPC
Total Project Costs (TPC) d
FY 2006
FY 2007
FY 2008
FY 2009
FY 2010
FY 2011
FY 2012b
FY 2013
FY 2014c
FY 2015
FY 2016(dollars in thousands)
Budget Authority(Appropriations)26,144
109,000
115,000
67,000104,667
121,440
199,500
150,000
115,000
50,000122,000
132,000
107,000
1,478,617
TBD

Obligations
26,144
109,000
115,000
67,000104,655
121,474
199,500
150,000
115,000
50,000122,000
132,000
107,000
1,478,639
TBD

Costs
26,76549,87775,78687,446112,463
123,879
186,890130,086
106,519
123,117
98,185
122,435
117,182
1,400,561
TBD

3,449
16,000-74
15,00020,00013,000
333
2,560
—
—
34
—
—
70,302TBD

3,449
16,000-74
15,00020,00013,000
311
2,560
—
—
34
-50
—
70,230
TBD

1,110
7,606
7,513
5,072
7,754
10,032
22,302
5,984
2,090
600
–
58
2
70,123
TBD

19,31560,00026,070124,000
135,000
80,000105,000
124,000
199,500
150,000
115,034

19,31560,00026,070124,000
135,000
80,000104,966
124,034
199,500
150,000
115,034

9,391
39,25634,27854,94983,54097,478
134,765
129,863
188,980
130,686
106,519a Costs through FY 2017 reflect actual costs; costs for FY 2018 and the outyears are estimates.

b 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

Costs through FY 2017 reflect actual costs; costs for FY 2018 and the outyears are estimates.

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FY 2017
FY 2018
FY 2019
FY 2020
Subtotal
Total, TPC
4.

(dollars in thousands)
Budget Authority(Appropriations)
50,000122,000
132,000
107,000
1,548,919
TBD

Obligations
49,950122,000
132,000
107,000
1,548,869
TBD

Costs
123,175
98,187
122,435
117,182
1,470,684
TBD

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 about whether the U.S. commitment to ITER. No procurements for SP2 scope are anticipated until FY 2022 at the earliest. An IPR of U.S. ITER was conducted on November 14-17, 2016, toconsider 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 SP1 CD-2/3 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 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 and based on
the outcome of the IPR, a decision was made to update 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.
Subproject – 1 First Plasma Hardware Only
(dollars in thousands)
Original
Validated
Baseline

Current Total
Estimate a

Previous Total
Estimate

Design573,660

573,660

Contingency

122,365——

696,025—

696,025

Equipment

1,362,521—

1,362,521

Contingency

371,152—

371,152

Total, Construction

1,733,673—

1,733,673

2,429,698—

2,429,698

493,517—493,51770,302—70,30270,302—70,302

Total Estimated Cost (TEC)
DesignTotal, Design

122,365

Construction

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

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

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FY 2020 Congressional Budget Justification

Subproject – 1 First Plasma Hardware Only
(dollars in thousands)

Total Project Cost a
Total, Contingency (TEC+OPC)
5.

Current Total
Estimate a

Previous Total
Estimate

Original
Validated
Baseline

2,500,000—

2,500,000

493,517—493,517

Schedule of Appropriation Requests

Request TypeTEC
FY 2006 OPC
TPC
TEC
FT 2007 OPC
TPC
TEC
FY 2008 OPC
TPC
TEC
FY 2009 b OPC
TPC
TEC
FY 2010 OPC
TPC
TEC
FY 2011 OPC
TPC
TEC
FY 2012 c OPC
TPC
TEC
FY 2013 d OPC
TPC
TEC
FY 2014 e OPC
TPC
TEC
FY 2015 OPC
TPC

Prior
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
394,366
75,019469,385
617,261
82,124
699,385
806,868
73,159880,027
942,578
80,341
1,022,919

FY 2018
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—

FY 2019
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—

(dollars in thousands)
FY 2020
FY 2021
FY 2022
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—

FY 2023 Outyears
Total—— 1,038,000——
84,000—— 1,122,000—— 1,077,051——
44,949—— 1,122,000—— 1,078,230——
43,770—— 1,122,000
—
—
TBD
—
—
TBD
—
—
TBD
—
—
TBD
—
—
TBD
—
—
TBD
—
—
TBD
—
—
TBD
—
—
TBD
—
—
TBD
—
—
TBD
—
—
TBD
—
—
TBD
—
—
TBD
—
—
TBD
—
—
TBD
—
—
TBD
—
—
TBD
—
—
TBD
—
—
TBD
—
—
TBD

a
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 US 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.
c
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.
d 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.
e
Prior to FY 2015, the requests were for a major item of equipment broken out by TEC, OPC, and TPC.

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Request TypeTEC
FY 2016 OPC
TPC
TEC
FY 2017 OPC
TPC
TEC
FY 2018 OPC
TPC
TEC
FY 2019 OPC
TPC
TEC
FY 2020 OPC
TPC
6.

Prior
1,092,544
80,341
1,172,885
1,182,578
80,341
1,262,919
1,107,244
80,641
1,187,885
1,107,244
80,641
1,187,885
1,117,617
70,302
1,187,919

FY 2018——————
63,000—63,00063,000—63,000122,000—
122,000

FY 2019
—
—
—
—
—
—
—
—
—
75,000—75,000132,000—
132,000(dollars in thousands)
FY 2020
FY 2021
FY 2022
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
107,000—————
107,000——

FY 2023 Outyears
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—

Total
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD

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 (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future start of D&D for new construction (fiscal quarter)
7.

12/2025
15–25
TBD

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. is responsible for 13 percent of the total decommissioning cost.
The U.S. Contributions to ITER Deactivation are assumed to begin 20 years after commissioning and continue for a period of
5 years. The U.S. is responsible for 13 percent of the total 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 technical

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FY 2020 Congressional Budget Justification

trade-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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204

High Energy Physics
Overview
The High Energy Physics (HEP) program’s mission is to understand how the universe works at its most fundamental level by
discovering the elementary constituents of matter and energy, probing the interactions between them, and exploring thebasic nature of space and time.
Our current understanding of the elementary constituents of matter and energy is captured in what is called the Standard
Model of particle physics. It describes the elementary particles that comprise ordinary matter and the forces that govern
them with very high precision. However, recent observations that are not explained by the Standard Model suggest that it isincomplete and new physics may be discovered by future experiments. Astronomical observations indicate that ordinary
matter makes up only about 5% of the universe, the remainder being 70% dark energy and 25% dark matter, both “dark”
because they are either nonluminous or unknown. The observation of very small but non-zero masses of the elementary
particles known as neutrinos provides further hints of new physics beyond the Standard Model.
An international enterprise of particle physics research is underway to discover what lies beyond the Standard Model. To
guide U.S. investments, the U.S. particle physics community developed a long-term strategic plan through a multi-year
process that culminated in the May 2014 report of the Particle Physics Project Prioritization Panel (P5), “Building for
Discovery: Strategic Plan for U.S. Particle Physics in the Global Context.” a The report, which was unanimously approved by
the High Energy Physics Advisory Panel (HEPAP) to serve the DOE and National Science Foundation (NSF) as the ten-year
strategic plan for U.S. high energy physics in the context of a 20-year global vision, identified five intertwined science driversof particle physics that provide compelling lines of inquiry with great promise for discovery:






Use the Higgs boson as a new tool for discovery
Pursue the physics associated with neutrino mass
Identify the new physics of dark matter
Understand cosmic acceleration: dark energy and inflation
Explore the unknown: new particles, interactions, and physical principles

The HEP program enables scientific discovery through three experimental frontiers of particle physics research aligned withthree HEP subprograms:Energy Frontier Experimental Physics, where researchers accelerate particles to the highest energies ever made byhumanity and collide them to produce and study the fundamental constituents of matter. This requires some of thelargest machines ever built. The Large Hadron Collider (LHC) at the European Organization for Nuclear Research, known
as CERN, is 17 miles in circumference and accelerates and collides high-energy protons, while sophisticated detectors,some the size of apartment buildings, observe newly produced particles that provide insight into fundamental forces ofnature and the conditions of the early universe.
Intensity Frontier Experimental Physics, where researchers use a combination of intense particle beams and highly
sensitive detectors to make extremely precise measurements of particle properties, study some of the rarest
interactions predicted by the Standard Model, and search for new physics. Measurements of the mass and otherproperties of neutrinos may have profound consequences for understanding the evolution and ultimate fate of theuniverse.
Cosmic Frontier Experimental Physics, where researchers use naturally occurring cosmic particles and phenomena toreveal the nature of dark matter, understand the cosmic acceleration caused by dark energy and inflation, infer certain
neutrino properties, and explore the unknown. The highest-energy particles ever observed have come from cosmic
sources, and the ancient light from the early universe and distant galaxies allows the distribution of dark matter to bemapped and perhaps the nature of dark energy and inflation to be unraveled. Ultra-sensitive detectors deep
underground may glimpse the dark matter passing through Earth. Observations of the cosmic frontier may reveal auniverse far stranger than ever thought possible.

a High Energy Physics Advisory Panel, Department of Energy. Report of the Particle Physics Project Prioritization Panel (P5). Building for Discovery: Strategic

Plan for U.S. Particle Physics in the Global Context. May 2014. https://science.energy.gov/~/media/hep/hepap/pdf/May2014/FINAL_P5_Report_053014.pdf

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FY 2020 Congressional Budget Justification

HEP’s Theoretical, Computational, and Interdisciplinary Physics (formerly Theoretical and Computational Physics) and
Advanced Technology Research and Development (R&D) subprograms formulate and enable scientific discovery. The
Theoretical, Computational, and Interdisciplinary Physics subprogram provides the framework to explain experimental
observations and gain a deeper understanding of nature. Theoretical physicists take the lead in the interpretation of a broad
range of experimental results and synthesize new ideas as they search for deep connections and develop testable models.
Computational Physics provides advanced computing tools and simulations that are necessary for designing, operating, andinterpreting experiments across the frontiers and enables discovery research via new techniques in high performancecomputing and Artificial Intelligence (AI)-Machine Learning (ML). Quantum Information Science (QIS) is a rapidly-developing,inter-disciplinary field, and HEP QIS efforts are aligned with the National Quantum Initiative and DOE priorities in this area.
The HEP QIS research program promotes the co-development of quantum information, theory, and technology with thescience drivers and opens prospects for new capabilities in sensing, simulation, and computing. In support of the National
Quantum Initiative, at least one SC QIS Center will be established through a partnership between the HEP, Advanced
Scientific Computing Research (ASCR), and Basic Energy Sciences (BES) programs. This partnership will be coupled with arobust core research portfolio stewarded by the individual SC programs including HEP, and will create the ecosystem acrossuniversities, national laboratories, and industry that is needed to developments in QIS and related technology.
The Advanced Technology R&D subprogram fosters fundamental research into particle acceleration and detection
techniques and instrumentation. These enabling technologies and new research methods advance scientific knowledge inhigh energy physics and a broad range of related fields, advancing the DOE’s strategic goals for science.
The Accelerator Stewardship subprogram supports R&D efforts that are synergistic with the HEP mission but also impacts
activities outside the traditional HEP boundaries. The activities of the Accelerator Stewardship subprogram include:
improving access to Office of Science (SC) accelerator R&D infrastructure for the private sector and other users; near-termtranslational R&D to adapt HEP accelerator technology for potential uses in medical, industrial, security, and defense
applications; and long-term R&D for science and technology needed to build future generations of accelerators, with a focus
on transformational opportunities.
HEP supports individual investigators and small-scale collaborations, as well as very large international collaborations,chosen for their scientific merit and potential for significant impact. More than 20 HEP-supported physicists have received
the Nobel Prize in physics. Moreover, many of the advanced technologies, research tools, and analysis techniques originallydeveloped for high energy physics have proved widely applicable to other scientific disciplines as well as for health services,
national security, and the private sector.
Highlights of the FY 2020 Request
The HEP FY 2020 Request for $768,038,000 focuses resources toward the highest priorities in fundamental research,
operation and maintenance of scientific user facilities, facility upgrades, and projects identified in the P5 report.
Key elements in the FY 2020 Request include:
Research supports university and laboratory researchers to preserve critical core competencies, enable high priority
theoretical and experimental activities in pursuit of discovery science, explore the potential of QIS and AI-ML, and invest in
high-performance computing and preparing for exascale, and world-leading R&D that requires long-term investments.
These include:

U.S. responsibilities and leadership roles in the A Toroidal LHC Apparatus (ATLAS) and Compact Muon Solenoid (CMS)
experiments at the LHC. To prepare for a ramp up to higher particle collision energy, the installation and commissioningof the upgrades to the ATLAS and CMS detectors will continue during the scheduled two-year long LHC technical stopfrom January 2019 to December 2020;
U.S.-hosted, world-leading neutrino and muon physics experiments at Fermi National Acceleratory Laboratory(Fermilab), consisting of the Long Baseline Neutrino Facility/Deep Underground Neutrino Experiment (LBNF/DUNE), therelated Short-Baseline Neutrino (SBN) program, Muon g-2, and the Muon to Electron Conversion Experiment (Mu2e);
U.S. responsibilities and leadership roles in world-leading, next-generation experiments to advance our understandingof the nature of dark energy and cosmic acceleration during inflation in the early universe, and the search for dark
matter particles;

Science/High Energy Physics

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FY 2020 Congressional Budget Justification











Theoretical research, intertwining the physics of the Higgs boson, neutrino masses, the dark universe, and exploring the
unknown;
QIS R&D to accelerate discovery in particle physics while advancing the national effort;
HEP, in partnership with SC’s ASCR and BES programs, will establish at least one multi-disciplinary QIS center toaccelerate the advancement of QIS through vertical integration between systems and theory, and hardware andsoftware. The scope of the QIS Center will include work on sensors, quantum emulators/simulators, and enabling
technologies that will pave the path to exploit quantum computing and qubit technology in the longer term;
Artificial Intelligence (AI)-Machine Learning (ML) research to tackle the challenges of managing increasingly highvolumes and complexity of experimental and simulated data across the HEP experimental frontiers, theory, andtechnology thrusts, and to address cross-cutting challenges across the HEP program in coordination with DOE
investments in exascale computing and associated AI efforts;
World-leading Advanced Technology R&D that will enable transformative technology for the next-generation ofaccelerators and particle detectors and the training of experts who build them. The HEP General Accelerator R&D(GARD) activity will increase support for the Traineeship Program for Accelerator Science and Technology to revitalize
graduate level training and innovation in the physics of particle accelerators for the benefit of HEP and other SC
programs that rely on these enabling technologies; and,Accelerator Stewardship to develop the fundamental building blocks of new technological advances in accelerator
technology, to empower the private sector to accelerate research discoveries from the laboratory to the marketplace,and to support the mission of other federal agencies.

Facility Operations includes funding for the operations of the HEP scientific user facilities and other facility operation costs.
Requested funding directs efforts to enable world-class science and the optimization of existing capabilities. This includes:









Operation of the Fermilab Accelerator Complex for 4,200 hours (88% of optimal);
Operation of the Brookhaven National Laboratory (BNL) Accelerator Test Facility (ATF) for 1,845 hours (74% of optimal);Commissioning, installation, and 1,500 hours of initial operation (50% of optimal) for Facility for Advanced Accelerator
Experimental Tests II (FACET-II);
New Fermilab Kautz Road Sub-Station General Plant Project (GPP), which will replace or upgrade existing electrical
feeders that serve the Main Ring area of the site;
Sanford Underground Research Facility (SURF) services to enable commissioning of the Large Underground Xenon(LUX)-ZonED Proportional Scintillation in Liquid Noble gases (Zeplin) (LUX-ZEPLIN) (LZ) dark matter experiment, tocontinue operations of the neutrino-less double beta decay Majorana Demonstrator, and to make investments toenhance SURF infrastructure;
Refresh of computing resources at the U.S. Tier 1 centers at Fermilab and BNL; and,Commissioning, facilities, and pre-operations activities at the Large Synoptic Survey Telescope (LSST) telescope facility
in Chile, and science operations of Dark Energy Spectroscopic Instrument (DESI), installed on the Mayall telescope in
Arizona.

Construction, Major Items of Equipment (MIEs), and Future Project R&D includes:








Continued investments in the LHC by contributing to the U.S. share of the High-Luminosity (HL-LHC) Accelerator
Upgrade Project and the HL-LHC ATLAS and CMS Detector Upgrade Projects to increase the particle collision rate by afactor of three times to explore new physics beyond its current reach;
Support for LBNF/DUNE, which will enable the Critical Decision (CD)-3A approved scope for the pre-construction
activities: the Far Site excavation of the underground equipment caverns and connecting drifts (tunnels); design andprocurement activities for the Far Site cryogenics systems; LBNF Near Site (Fermilab) beamline and conventional
facilities design; and a site-preparation construction subcontract at the Near Site for relocation of existing service roads
and utilities, including communications, power and water systems;
Support for Proton Improvement Plan II (PIP-II), which will enable engineering design work for conventional facilities
and technical systems, continuation of site-preparation activities, and initiation of construction for cryogenic plant
support systems, and continued fabrication of prototype accelerator system components; andTechnology R&D and pre-conceptual design studies for the next generation Cosmic Microwave Background (CMB S4)experiment

Science/High Energy Physics

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FY 2020 Congressional Budget Justification

High Energy Physics supports the following FY 2020 Administration Priorities.
FY 2020 Administration Priorities ($K)

High Energy Physics

Science/High Energy Physics(dollars in thousands)
Artificial Intelligence
Quantum Information(AI)
Science (QIS)
15,00038,308208

FY 2020 Congressional Budget Justification

High Energy Physics
Funding ($K)(dollars in thousands)

Energy Frontier Experimental Physics
Research
Facility Operations and Experimental Support
Projects
SBIR/STTR
Total, Energy Frontier Experimental Physics
Intensity Frontier Experimental Physics
Research
Facility Operations and Experimental Support
Projects
SBIR/STTR
Total, Intensity Frontier Experimental Physics
Cosmic Frontier Experimental Physics
Research
Facility Operations and Experimental Support
Projects
SBIR/STTR
Total, Cosmic Frontier Experimental Physics
Theoretical, Computational, and Interdisciplinary Physics (formerly
Theoretical and Computational Physics)
Research
TheoryComputational HEP
Quantum Information Science
Total, Research
SBIR/STTR
Total, Theoretical, Computational, and Interdisciplinary Physics(formerly Theoretical and Computational Physics)

Science/High Energy Physics

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

79,53054,34051,0006,068
190,938

76,53052,000105,000
5,390
238,920

52,51044,48096,935
3,674
197,599-24,020-7,520-8,065-1,716-41,32160,700
153,385
24,1008,583
246,768

61,646
155,035
16,0008,299
240,980

41,370136,681
9,000
6,631
193,682-20,276-18,354-7,000-1,668-47,298

49,892
16,31052,4002,644
121,246

50,741
20,07627,3502,869
101,036

31,14023,2301,000
2,098
57,468-19,601+3,154-26,350-771-43,568

47,8039,500
18,00075,3032,853

45,76013,351
27,50086,611
3,223

32,65020,29038,30891,2483,457-13,110+6,939+10,808+4,637+234

78,15689,834

94,705+4,871209

FY 2020 Congressional Budget Justification

(dollars in thousands)

Advanced Technology R&D
Research
HEP General Accelerator R&D
HEP Directed Accelerator R&D
Detector R&D
Total, Research
Facility Operations and Experimental Support
Projects
SBIR/STTR
Total, Advanced Technology R&D
Accelerator StewardshipResearch
Facility Operations and Experimental Support
SBIR/STTR
Total, Accelerator Stewardship
Subtotal, High Energy Physics
Construction
18-SC-42 Proton Improvement Plan II, FNAL
11-SC-40, Long Baseline Neutrino Facility/Deep Underground
Neutrino Experiment, FNAL
11-SC-41, Muon to Electron Conversion Experiment, FNAL
Total, Construction
Total, High Energy Physics

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

46,5005,000
19,25770,75730,50010,0003,705
114,962

48,447—
23,694
72,141
27,625
10,0003,740
113,506

40,873—
16,70057,57330,878—3,256
91,707-7,574—-6,994-14,568+3,253-10,000-484-21,799

9,000
6,000
530
15,530767,600

9,083
6,067
574
15,724800,000

7,930
4,477
470
12,877648,038-1,153-1,590-104-2,847-151,962

1,000

20,00020,000—95,00044,400140,400
908,000

130,000
30,000180,000
980,000

100,000—
120,000
768,038-30,000-30,000-60,000-211,962

SBIR/STTR Funding: FY 2018 Enacted: SBIR $21,377,000 and STTR $3,006,000
 FY 2019 Enacted: SBIR $21,124,000 and STTR $2,971,000
 FY 2020 Request: SBIR $17,171,000 and STTR $2,415,000

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High Energy Physics
Explanation of Major Changes ($K)

Energy Frontier Experimental Physics
The Request will continue support for the HL-LHC ATLAS and HL-LHC CMS Detector Upgrade Projects and will continue preparing for projectbaseline approval, and the HL-LHC Accelerator Upgrade Project will continue magnet fabrication and production of radio-frequency cavities.
The Request will prioritize support to Research activities that address the Higgs boson, new directions in dark matter, and will continue theparticipation of U.S. research contributions to the HL-LHC ATLAS and HL-LHC CMS Detector upgrades. The Request will support completing thecommissioning of the LHC ATLAS and CMS Detector Upgrade projects in FY 2020.

(dollars in thousands)
FY 2020 Request vsFY 2019 Enacted-41,321

Intensity Frontier Experimental Physics
The Request will support the Fermilab Accelerator Complex (88% of optimal) to deliver particle beams and provide experimental operations.
The FY 2019 Appropriation provided sufficient funding to complete the Fermilab NuMI Target Systems AIP and Utility Corridor GPP, which
results in a decrease in the request for FY 2020. This will be partially offset by support for the Kautz Road Sub-Station GPP starting in FY 2020,
and the conclusion of operations of mature experiments that have achieved their science goals. The Request will support work withinternational partners to reduce technical risks for the PIP-II project and funding for SURF that will support LBNF/DUNE construction. Other
Project Costs (OPC) for PIP-II will decrease in FY 2020 since CD-1 was approved in FY 2018 and funding shifts to preliminary design accounted as
Total Estimated Costs. The Request will prioritize support for postdoctoral researchers and graduate students engaged in research at thenational laboratories and universities with a focus on delivering the final results of completed experiments, and preparing for physics on newexperiments.

-47,298

Cosmic Frontier Experimental Physics
The Request will support an increase for the installation, commissioning, and pre-operations activities for LSSTcam, DESI, LZ, and SuperCDMSSNOLAB, offset by a decrease in major item of equipment (MIE) projects as the FY 2019 Appropriation provided sufficient funds to complete allremaining deliverables for DESI, LZ, and the Super Cryogenic Dark Matter Search at Sudbury Neutrino Observatory Laboratory (SuperCDMSSNOLAB) MIEs. The Request will provide a small increase for new support of technology R&D and planning for a future CMB-S4 project. The
Request will prioritize research support for postdoctoral researchers and graduate students at the national laboratories and universities with afocus on delivering the final results of completed experiments and preparing for physics on new experiments.

-43,568

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Theoretical, Computational, and Interdisciplinary Physics (formerly Theoretical and Computational Physics)
The Request will prioritize support to postdoctoral researchers and graduate students who are engaged in theoretical physics research at thenational laboratories and universities with a focus on understanding the results of current experiments, supporting new initiatives in neutrino
and dark matter physics, and connecting fundamental theory to the development of quantum information science. Computational physics
research will increase with a focus on advancing techniques in AI-ML across the HEP experimental frontiers, theory, and technology thrusts, andaccelerating HEP access to high performance computing and future exascale computer systems. In the Request, foundational HEP QIS research,quantum simulation experiments, and quantum computing, controls, and sensors will receive increased support. In addition, the FY 2020
Request will enable the establishment of at least one Quantum Information Science Center in partnership with the ASCR and BES programs.
This new center’s mission will be to apply concepts and technology from relevant foundational core research in each program and foster
broader partnerships in support of the SC mission related to QIS.

(dollars in thousands)
FY 2020 Request vsFY 2019 Enacted+4,871

Advanced Technology R&D
The Request will prioritize support for research activities in superconducting magnet development and ultrafast lasers. The Request also willprioritize support of cross-cutting Accelerator R&D, which leverages synergistic efforts at the national laboratories and Detector R&D which
exploits collaborative opportunities between the national laboratories and the universities. The FY 2019 Appropriation provided final funding
for the FACET-II MIE. The decrease in project support in FY 2020 will be slightly offset by an increase to support the commissioning andinstallation of the electron beam systems, 1,500 hours of FACET-II operations, and to improve superconducting radio-frequency (SRF) facilities
and capabilities. The Request also includes an increase for the HEP Graduate Traineeship Program for Accelerator Science and Technology.

-21,799

Accelerator Stewardship
The Request will prioritize support for transformative R&D for security applications and implementing priority R&D topics identified by a Basic
Research Needs workshop planned for the spring of 2019. ATF Operations in FY 2020 will be 88% of optimal.

-2,847

Construction
The Request will continue support for LBNF/DUNE for completion of the pre-excavation activities such as systems to remove the excavated rockto its nearby disposal site; the start of design and procurement activities for cryogenics systems, Near Site beamline and conventional facilities;
and U.S. contributions to design and construction of the DUNE detectors. The Request will continue support for PIP-II engineering design workfor conventional facilities and technical systems, continuation of site-preparation activities and initiation of construction for cryogenic plant
support systems, as well as continued fabrication of prototype accelerator system components. These increases are offset by the conclusion of
construction funding for the Muon to Electron Conversion Experiment (Mu2e); the FY 2019 Appropriation provided final funding for thisproject.

-60,000

Total, High Energy Physics-211,962

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Basic and Applied R&D Coordination
Accelerator Stewardship provides the fundamental building blocks of new technological advances in accelerator
applications, including advanced proton and ion beams for the treatment of cancer, in coordination with the National
Institutes of Health (NIH). HEP developed the Accelerator Stewardship subprogram based on input from accelerator R&D
experts drawn from other federal agencies, universities, national laboratories, and the private sector to help identify specificresearch areas and infrastructure gaps where HEP investments would have sizable impacts beyond the SC research mission.
This subprogram is closely coordinated with the SC’s Basic Energy Sciences (BES) and Nuclear Physics (NP) programs andpartner agencies to ensure federal stakeholders have input in crafting funding opportunity announcements, reviewing
applications, and evaluating the efficacy and impact of funded activities. Use-inspired accelerator R&D for medical
applications has been closely coordinated with the NIH/National Cancer Institute (NCI); ultrafast laser technology R&D with
the Department of Defense (DOD) and the National Aeronautics and Space Administration (NASA); and microwave and highpower accelerator R&D coordinated with the DOD, the Department of Homeland Security’s Domestic Nuclear Detection
Office in the Countering Weapons of Mass Destruction Office (DHS/CWMD), the NSF/Chemical, Bioengineering,
Environmental and Transport (CBET) Systems Division, and the DOE’s Office of Environmental Management (EM).
Discussions with the National Nuclear Security Administration (NNSA) on mission needs and R&D coordination in laser
technology, radioactive source replacement, and particle detector technologies have led to a Basic Research Needs
Workshop on Compact Accelerators for Security and Medicine, to be held in May 2019 to establish research priorities foraccelerator R&D in this critical area.
The Accelerator Stewardship subprogram conducts use-inspired basic R&D to provide the fundamental building blocks of
new technological advances. Ensuring that the investments result in high-impact applications requires close coordination
with other agencies who will carry on the later-stage development. The implementation strategy is to work with applied
R&D agencies to jointly define priority research directions at Basic Research Needs Workshops, and then guide R&D and
facility investments through joint participation of applied agencies in merit reviews and in the operations review of the
Brookhaven National Laboratory Accelerator Test Facility. Where an eventual marketable use is envisioned, R&D
collaborations are expected to involve a U.S. company to guide the early-stage R&D.
Specific funded examples include collaborative R&D on proton therapy delivery systems (joint with Varian Medical Systems),
advanced proton sources for therapy (joint with ProNova Solutions), advanced detectors for cancer therapy (joint with Best
Medical International) advanced microwave source development (joint with Communications Power Industries and General
Atomics), and technical design studies for high power accelerators for wastewater treatment (joint with Metropolitan Water
Reclamation District of Greater Chicago and the Air Force Research Laboratory). Funded R&D awards have drawn an averageof 20% of voluntary cost sharing over the first three years of the subprogram, providing evidence of the potential impact.
The HEP QIS research program has coordinated partnerships with the Department of Defense’s Office of Basic Research(DOD/OBR), as well as the Air Force’s Office of Scientific Research (AFOSR) on synergistic research connecting cosmic black
holes with quantum error correction in qubit devices and a partnership with the Department of Commerce’s National
Institute of Standards and Technology (NIST) on quantum metrology and quantum sensor development for experimental
discovery along HEP science drivers and better understanding fundamental constants. These interdisciplinary QIS activities
are aligned with the National Quantum Initiative and Office of Science QIS priorities.
Program Accomplishments
Continued record-breaking LHC performance enables first observation of the Higgs boson decaying to quarks (Energy
Frontier Experimental Physics). The LHC continued to improve in its delivery of the highest energy particle collisions in theworld, again setting new performance records and exceeding its annual goals. Using the LHC, scientists from the ATLAS andCMS collaborations have observed Higgs bosons interacting with the heaviest quarks for the first time. Using AI-ML
techniques to enhance their sensitivity, each collaboration observed the Higgs boson decaying to pairs of top quarks and topairs of bottom quarks. So far, all Higgs boson production and decay mechanisms measured by LHC experiments are inagreement with predictions from the Standard Model. These measurements support the idea that particle interactions with
the Higgs boson generate the mass of elementary particles and that the Higgs boson plays a fundamental role in our
universe. During the scheduled two-year long LHC technical stop from January 2019 to December 2020, accelerator anddetector upgrades will be installed to enable more detailed measurements of the Higgs boson and more sensitive searches
for new physics.
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First apparatus provided by international partners for the U.S.-hosted international neutrino program is installed at Fermilab(Intensity Frontier Experimental Physics). The largest liquid-argon based neutrino detector in the world, ICARUS, wassuccessfully transported from Europe to Fermilab, where it was installed as the Far Detector for the Short-Baseline Neutrino(SBN) program. The 65 foot long, 760 ton detector was originally installed in the Gran Sasso National Laboratory in Italy thenrefurbished at CERN, in Switzerland, before beginning a journey by barge, ship, and truck to Fermilab, in Illinois. As part of
SBN, scientists will use it in an effort to definitively resolve experimental anomalies in the measured neutrino energy
spectrum and search for “sterile” neutrinos that do not directly interact with other forms of matter. SBN also serves todevelop and demonstrate the liquid-argon based neutrino detector technology that serves as the basis for the international
Deep Underground Neutrino Experiment at the U.S.-hosted Long-Baseline Neutrino Facility now under construction.
Theorists make most precise prediction of how muons wobble as they travel in a powerful magnetic field (Theoretical,
Computational, and Interdisciplinary Physics (formerly Theoretical and Computational Physics)). Like their lighter cousin theelectron, muons have an intrinsic spin, somewhat analogous to a spinning top. The magnetic moment of a muon determines
the amount its spin will wobble as it circulates in a magnetic field. A precise comparison between the prediction and themeasurement of this wobble provides a stringent test of the Standard Model where a discrepancy may point to theexistence of new particles. A team of physicists has improved this prediction using Lattice Quantum Chromodynamics (QCD),
modeling all the possible particle interactions on supercomputers at the Leadership Computing Facility at Argonne National
Laboratory and Brookhaven’s Computational Sciences Initiative. They combined the simulations with related experimental
measurements to produce the highest overall precision prediction to date. To test the Standard Model and search for new
physics, the new high-precision prediction will be compared to the results of the ongoing Fermilab Muon g-2 experiment.
Belle II experiment receives first particle collisions from the SuperKEKB accelerator in Japan (Intensity Frontier Experimental
Physics). The Belle II experiment will explore the unknown by precisely measuring the properties of particles called
B-mesons, which contain bottom quarks. The B-mesons are created by colliding intense beams of electrons and positrons at
the SuperKEKB accelerator at the High Energy Accelerator Research Organization (KEK) laboratory in Japan. While the BelleII detector was under fabrication, upgrades transformed the previous KEKB accelerator into SuperKEKB, which will provide
40 times more collisions per second. Belle II recorded the first collisions of the new SuperKEKB collider in April 2018.
Scientists will use data from Belle II to study rare B-meson decays, search for new particles, and look for potential
differences between matter and antimatter that may explain how the hot, early universe turned into the matter-dominateduniverse we live in today.
International partnerships continue to grow for LBNF/DUNE (Intensity Frontier Experimental Physics). The U.S.-hosted
international LBNF will host massive experiments that may change our understanding of the universe. The international
partnerships that support LBNF/DUNE and enable its science continue to grow. The first major project under the United
Kingdom (UK)-U.S. Science and Technology Agreement, signed in September 2017, is a UK investment in LBNF/DUNE andthe PIP-II accelerator at Fermilab that will enhance the intensity of the LBNF neutrino beam. Project Annex II on Neutrino
Research, the signed agreement by DOE and India’s Department of Atomic Energy in April 2018, expands previous
collaboration on accelerator science to include science for neutrinos. When complete, LBNF/DUNE will be the largest
experiment ever built in the U.S. to study the properties of neutrinos and will enable transformative discoveries about theirrole in the universe.

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High Energy Physics
Energy Frontier Experimental Physics
Description
The Energy Frontier Experimental Physics subprogram’s focus is on the Large Hadron Collider (LHC). The LHC hosts two large
multi-purpose particle detectors, ATLAS and CMS, which are partially supported by DOE and the NSF and used by large
international collaborations of scientists. U.S. researchers account for approximately 20% and 25% of the ATLAS and CMS
collaborations respectively, and play critical leadership roles in all aspects of each experiment. Data collected by ATLAS and
CMS will be used to address at least three of the five science drivers:

Use the Higgs boson as a new tool for discovery
In the Standard Model of particle physics, the Higgs boson is responsible for generating the mass for all fundamental
particles. Experiments at the LHC continue to actively measure the Higgs’s properties to establish its exact characterand discover if there are additional effects that are the result of new physics beyond the Standard Model.
Explore the unknown: new particles, interactions, and physical principles
Researchers at the LHC probe for evidence of what lies beyond the Standard Model or significantly constrain
postulated modifications to it, such as supersymmetry, mechanisms for black hole production, extra dimensions, andother exotic phenomena. The LHC detectors will be increasingly more sensitive to potential deviations from theStandard Model that may be exposed by the highest energy collisions in the world.
Identify the new physics of dark matter
If dark matter particles are light enough, they may be produced in LHC collisions and their general properties may bemeasured indirectly through the behavior of the accompanying normal matter. This indirect detection of dark matter iscomplementary to, and a powerful cross-check on, the ultra-sensitive direct detection experiments in the Cosmic
Frontier and Intensity Frontier Experimental Physics subprograms.

Research
The Energy Frontier Experimental Physics subprogram’s Research activity supports groups at U.S. academic and research
institutions and physicists from national laboratories. These groups, as part of the ATLAS and CMS collaborations, typicallyhave a broad portfolio of responsibilities and leadership roles in support of R&D, experimental design, fabrication,commissioning, operations, and maintenance, and they perform scientific simulations and physics data analyses. DOE
selects research efforts with the highest scientific impact and potential based on a competitive peer-review process. An
external peer review of the Energy Frontier laboratory research groups is planned in FY 2019; the next review is planned for
FY 2023. In FY 2018, HEPAP evaluated the currently operating portfolio of experiments on the Energy Frontier and assessed
the priority of their science output in the context of the science drivers. In early FY 2019, HEP conducted a Basic Research
Needs workshop to assess the science landscape and new opportunities for dark matter particle searches and to identify
which areas would be suitable for small projects in the HEP program. The findings from these reviews, in combination with
input on strategic directions from regular, open community workshops will inform funding decisions in subsequent years.
Facility Operations and Experimental Support
U.S. LHC Detector Operations supports the maintenance of U.S.-supplied detector systems for the ATLAS and CMS
detectors at the LHC, and the U.S.-based computer infrastructure used by U.S. physicists to analyze LHC data, including
Tier 1 computing centers at BNL and Fermilab. The Tier 1 centers provide around-the-clock support for the LHC Computing
Grid; are responsible for storing a portion of raw and processed data; perform large-scale data reprocessing; and store thecorresponding output. Long-term development to analyze large datasets anticipated during future LHC operations aresupported, including innovative AI-ML computational techniques.
Projects
During the next decade, CERN will undergo a major upgrade to the LHC machine to further increase the particle collision
rate by a factor of three times to explore new physics beyond its current reach. Through the HL-LHC Accelerator Upgrade
Project, HEP will contribute to this upgrade by constructing and delivering the next-generation of superconducting
accelerator components in which U.S. scientists have critical expertise. After the upgrade, the HL-LHC beam will make theconditions in which the ATLAS and CMS detectors must operate very challenging. As a result, the HL-LHC ATLAS and HL-LHC
CMS Detector Upgrades are critical investments to enable the experiments to operate for an additional decade and collect
more data by a factor of ten.
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High Energy Physics
Energy Frontier Experimental Physics
Activities and Explanation of Changes
Explanation of Changes
FY 2020 Request vs FY 2019 Enacted
Energy Frontier Experimental Physics $238,920,000$197,599,000-$41,321,000
Research$76,530,000$52,510,000-$24,020,000
The FY 2019 Enacted budget supports U.S. leadership The Request will support U.S. scientists leading high
The Request prioritizes ATLAS and CMS researchroles in all aspects of the ATLAS and CMS
profile analysis topics using the large datasets
efforts with the highest scientific merit and potential
experiments.
collected by the ATLAS and CMS experiments.
impact based on a competitive peer-review process
while continuing participation of U.S. contributions to
the HL-LHC ATLAS and HL-LHC CMS Detector
upgrades.
FY 2019 Enacted

FY 2020 Request

Facility Operations and Experimental
Support$52,000,000
The FY 2019 Enacted budget supports ATLAS and CMS
detector maintenance activities, including thoserelated to commissioning of U.S.-built detector
components during the two-year long technical stopof the LHC, which begins in 2019.

$44,480,000
The Request will support ATLAS and CMS detector
maintenance and operations at CERN; the U.S.-based
computing infrastructure and resources necessary tostore and analyze LHC data; and commissioning
activities of U.S.-built detector components.

-$7,520,000
Support will focus on the completion of thecommissioning activities following the installation of
the LHC ATLAS and CMS Detector Upgrade projects
while demands on the U.S.-based computing
infrastructure are reduced during the technical stop as
the experiments prepare for the next LHC run that will
resume in 2021.

Projects$105,000,000
The FY 2019 Enacted budget supports the
procurement of solid-state detecting components for
the HL-LHC ATLAS and HL-LHC CMS Detector Upgrade
Projects (new MIE starts), and the production of
focusing magnets for the HL-LHC Accelerator Upgrade
Project.

$96,935,000
The Request will support baselining the detector
upgrades projects, and continue procurement ofcomponents for the HL-LHC ATLAS and HL-LHC CMS
Detector Upgrades, and production of focusing
magnets and radio-frequency cavities for the HL-LHC
Accelerator Upgrade Project.

-$8,065,000
The Request supports fabrication and production
activities for the HL-LHC Accelerator Upgrade project.
Each of the HL-LHC ATLAS and HL-LHC CMS Detector
Upgrade projects continue to prepare for projectbaseline approval.

SBIR/STTR$5,390,000
In FY 2019, SBIR/STTR funding is at 3.65% of noncapital funding.

$3,674,000
In FY 2020, SBIR/STTR funding will be at 3.65% of
non-capital funding.

-$1,716,000
A decrease in funding will represent mandated
percentages for non-capital funding.

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High Energy Physics
Intensity Frontier Experimental Physics
Description
The Intensity Frontier Experimental Physics subprogram investigates some of the rarest processes in nature including
unusual interactions of fundamental particles or subtle effects requiring large data sets to observe and measure. This HEP
subprogram focuses on using high-power particle beams or other intense particle sources to make precision measurementsof fundamental particle properties. These measurements in turn probe for new phenomena that are not directly observable
at the Energy Frontier, either because they occur at much higher energies and their effects may only be seen indirectly, or
because their interactions are too weak for detection in high-background conditions at the LHC. Data collected from
Intensity Frontier experiments during this period will be used to address at least three of the five science drivers:

Pursue the physics associated with neutrino mass
Of all known particles, neutrinos are perhaps the most enigmatic and certainly the most elusive. HEP researchers
working at U.S. facilities discovered all of the three known varieties of neutrinos. HEP supports research into
fundamental neutrino properties that may reveal important clues about the unification of forces and the very early
history of the universe. The Intensity Frontier-supported portfolio of neutrino experiments will advance neutrino
physics while serving as an international platform for the R&D activities necessary to establish the U.S.-hosted
international LBNF/DUNE.
Explore the unknown, new particles, interactions, and physical principles
A number of observed phenomena are not described by the Standard Model, including the imbalance of matter andantimatter in the universe today. Precision measurements of the properties of known particles may reveal information
about what new particles and forces might explain these discrepancies and whether the known forces unify at energies
beyond the reach of the LHC.
Identify the new physics of dark matter
The lack of experimental evidence from current generation dark matter detectors has led to proposed theoreticalmodels with new particles and forces that rarely interact with normal matter. These theoretical particles and forces are
effectively invisible to conventional experiments, but may connect to the cosmic dark matter. Experiments use intense
accelerator beams at national laboratories outfitted with highly efficient high-rate detectors to explore these
theoretical models.

Research
The Intensity Frontier Experimental Physics subprogram’s Research activity supports groups at U.S. academic and research
institutions and national laboratories. These groups, as part of scientific collaborations, typically have a broad portfolio of
responsibilities and leadership roles in support of R&D, experimental design, fabrication, commissioning, operations, andmaintenance, as well as perform scientific simulations and physics data analyses on the experiments. DOE selects research
efforts with the highest scientific merit and potential impact based on a competitive peer-review process. An external peer
review of the Intensity Frontier laboratory research groups was conducted in FY 2018; the next review is planned for
FY 2022. In FY 2018, HEPAP evaluated the currently operating portfolio of experiments on the Intensity Frontier andassessed the priority of their science output in the context of the science drivers. In early FY 2019, HEP conducted a Basic
Research Needs workshop to assess the science landscape and new opportunities for dark matter particle searches and to
identify which areas would be suitable for small projects in the HEP program. The findings from these reviews, in
combination with input on strategic directions from regular, open community workshops will inform funding decisions insubsequent years.
The largest component of the Intensity Frontier subprogram is the support for research in accelerator-based neutrino
physics centered at Fermilab with multiple experiments running concurrently in two separate neutrino beams with different
beam energies. The flagship NuMI Off-Axis νe Appearance (NOvA) experiment uses the Neutrinos at the Main Injector(NuMI) beam. The Booster Neutrino Beam (BNB) is used to study different aspects of neutrino physics. The SBN program,which includes a Near Detector (SBN-ND) and a Far Detector (SBN-FD) separated by about 1,600 feet, uses the BNB to
definitively address hints of additional neutrinos types beyond the three currently described in the Standard Model.
LBNF/DUNE will be the centerpiece of a U.S.-hosted world-leading neutrino research activities, using the world’s mostintense neutrino beam and large, sensitive underground detectors to make transformative discoveries.
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The Research activity also supports efforts to search for rare processes in muons to detect physics beyond the reach of the
LHC. A new Muon g-2 experiment at Fermilab, with four times better precision than previously achieved, is following up on
hints of new physics from an earlier experiment, while the Mu2e experiment will search for extremely rare muon decays
that, if detected, will provide clear evidence of new physics. The Intensity Frontier subprogram also supports U.S. physicists
to participate in select experiments at other facilities, including neutrino experiments in China and Japan. In particular, theTokai-to-Kamioka (T2K) long-baseline neutrino experiment in Japan is complementary to NOvA, and together they will offer
the best available information on neutrino oscillations prior to LBNF/DUNE. There is also a U.S. contingent searching for new
physics using the Belle II experiment at the KEK in Japan.
Facility Operations and Experimental Support
There are several distinct facility operations and experimental support efforts in the Intensity Frontier Experimental Physics
subprogram. The largest is the Fermilab Accelerator Complex User Facility. This activity includes the operations of allaccelerators and beamlines at Fermilab and the operation of the detectors that use those accelerators as well as computing
support needed by both the accelerators and detectors. General Plant Project (GPP) and Accelerator Improvement Project(AIP) funding supports improvements to Fermilab facilities.
Fermilab contracts with the South Dakota Science and Technology Authority (SDSTA), an agency of the State of South
Dakota, for services at the Sanford Underground Research Facility (SURF) to support DOE experiments. The Nuclear Physicssupported Majorana Demonstrator is currently operating, and the HEP-supported LZ experiment is being installed at SURF,
which will be the home of the DUNE far detectors built by the LBNF/DUNE project.
Projects
In support of LBNF/DUNE, a lease with SDSTA provides the framework for DOE and Fermilab to construct federally fundedbuildings and facilities on non-federal land, and to establish a long-term (multi-decade) arrangement for DOE and Fermilab
to use SDSTA space to host the DUNE neutrino detector. Other Project Costs (OPC) have been identified for SURF plant
support costs provided by SDSTA.
PIP-II will upgrade the Fermilab linear accelerator to increase beam power and sustain high reliability of the Fermilab
Accelerator Complex, ultimately providing the world’s highest proton beam intensity of greater than 1.2 megawatts for
LBNF/DUNE. CD-1 was approved July 23, 2018, and the project is now completing its preliminary design. Two French
institutions with expertise in superconducting radio-frequency (SRF) technology have joined the effort, expanding the list ofpartners that already includes institutions in India, Italy, and the United Kingdom.

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High Energy Physics
Intensity Frontier Experimental Physics
Activities and Explanation of Changes
Explanation of Changes
FY 2020 Request vs FY 2019 Enacted
Intensity Frontier Experimental Physics $240,980,000$193,682,000-$47,298,000
Research$61,646,000$41,370,000-$20,276,000
The FY 2019 Enacted budget supports U.S. leadership
The Request will prioritize support for world-leading Funding will be prioritized to support postdoctoral
on all aspects of the neutrino and muon experiments
research efforts on short- and long-baseline
researchers and graduate students who are engaged
including NOvA, ICARUS and Muon g-2, and the future neutrino experiments, muon experiments, andin intensity frontier research at the national
projects including LBNF/DUNE and Mu2e. Belle II istechnology studies and science planning forlaboratories and universities with the highest
anticipated to produce its first physics data results.
LBNF/DUNE. The SBN program is expected toscientific merit and potential impact as based on a
produce its first physics results. The Muon g-2
competitive peer-review process with a focus on
experiment will achieve the world's most sensitivedelivering the final results of completed
measurement of the anomalous magnetic dipole
experiments (e.g., Daya Bay), and preparing formoment of a muon.
physics on new experiments (e.g., SBN, Belle II).
FY 2019 Enacted

FY 2020 Request

Facility Operations and Experimental
Support$155,035,000
The FY 2019 Enacted budget supports the optimal
operation of the Fermilab Accelerator Complex and theneutrino and muon experiments, the Fermilab NuMI
Target Systems accelerator improvement project (AIP),
and the Fermilab Utility Corridor general plant project(GPP). Based upon recommendations from reviews
conducted by SC in FY 2018, HEP provides increased
funding to address the aging infrastructure at the
Sanford Underground Research Facility (SURF) to meet
DOE expectations of reliable, efficient, and safe
operations during the construction of LBNF/DUNE.

$136,681,000
The Request will support the Fermilab Accelerator
Complex and the neutrino and muon experiments at
88% of optimal operations. The Fermilab Kautz Road
Sub-Station Radial Feed Electrical Upgrade GPP will
begin. SURF operations will continue to enable
operation of the LZ experiment and Majorana
Demonstrator. The Request will support additional
investments to enhance SURF infrastructure forreliable and efficient operation of the facility during
the construction of LBNF/DUNE.

Science/High Energy Physics

219-$18,354,000
Support will focus on delivering particle beams at
peak power and providing detector and computing
operations for ongoing experiments (e.g., NOvA,
Muon g-2) and new experiments (e.g., SBN) at the
Fermilab Accelerator Complex; with operations at
88% of optimal. The FY 2019 Appropriation provided
sufficient funding to complete the Fermilab NuMI
Target Systems AIP and Utility Corridor GPP, which
will result in a decrease in FY 2020. This will be
partially offset by the Kautz Road Sub-Station GPP
starting in FY 2020, and by the ramp down orconclusion of operations of mature experimentsthat have achieved their science goals (e.g.
MicroBooNE).

FY 2020 Congressional Budget Justification

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted
Projects$16,000,000$9,000,000-$7,000,000
The FY 2019 Enacted budget supports OPC for the
The Request will support OPC for R&D for the PIP-II The OPC for PIP-II will decrease since CD-1 waspreliminary design and prototyping of the most
Injector Test Facility and a prototype for the frontapproved on July 23, 2018. The OPC shifts totechnologically advanced accelerator components forend injector, and OPC for plant support costs at
preliminary design, which is part of the Total
the PIP-II project, and the OPC for plant support costs
SURF during LBNF/DUNE construction.
Estimated Costs (TEC). SURF plant support costs will
at SURF during LBNF/DUNE construction.
continue as OPC for LBNF/DUNE.
FY 2019 Enacted

FY 2020 Request

SBIR/STTR$8,299,000$6,631,000-$1,668,000
In FY 2019, SBIR/STTR funding is at 3.65% of non-capital In FY 2020, SBIR/STTR funding will be at 3.65% of
The decrease in funding will represent mandated
funding.
non-capital funding.
percentages for non-capital funding.

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FY 2020 Congressional Budget Justification

High Energy Physics
Cosmic Frontier Experimental Physics
Description
The Cosmic Frontier Experimental Physics subprogram uses measurements of naturally occurring cosmic particles andobservations of the universe to probe fundamental physics questions and offer new insight about the nature of dark matter,dark energy, and inflation in the early universe, constraints on neutrinos and other phenomena. The activities in thissubprogram use diverse tools and technologies, from ground-based telescopes and space-based missions to large detectors
deep underground to address four of the five science drivers:








Identify the new physics of dark matter
Overwhelming evidence through the years, starting with measurements of motions within galaxies first made in the
1930s, show that dark matter accounts for five times as much matter in the universe as ordinary matter. Directdetection experiments provide the primary method to search for cosmic dark matter particles’ rare interactions withordinary matter, while indirect-detection experiments search for the products of dark matter annihilation in the core ofgalaxies. A staged series of direct-detection experiments search for the leading theoretical candidate particles using
multiple technologies to cover a wide range in mass with increasing sensitivity. Accelerator-based dark matter searches
performed in the Intensity Frontier and the Energy Frontier subprograms are complementary to these direct-detection
experiments.
Understand cosmic acceleration: dark energy and inflation
The nature of dark energy, which drives the accelerating expansion of the universe, continues as one of the most
perplexing questions in science. Together, dark energy and dark matter comprise 95% of the matter and energy in theuniverse, leaving approximately 5% ordinary matter, from which all the stars and galaxies, and we, are made. Steadyprogress continues in a staged set of dark energy experiments, using complementary fast sky-scanning surveys anddeep, high-accuracy surveys, which provide ever-increasing precision. Experiments studying the oldest observable lightin the universe, the cosmic microwave background (CMB), are increasing their sensitivity to target the era of cosmic
inflation, the rapid expansion in the early universe shortly after the Big Bang.
Pursue the physics associated with neutrino mass
The study of the largest physical structures in the Universe may reveal the properties of particles with the smallest
known cross section, the neutrinos. Experiments studying dark energy and the CMB will put constraints on the numberof neutrino species and their masses. The properties of neutrinos affected the evolution of matter distribution in theuniverse, leading to changes in the CMB observables when measured in different directions. These measurements arecomplementary to, and a powerful cross check of, the ultra-sensitive measurements made in the Intensity Frontier.
Explore the unknown: new particles, interactions, and physical principles
High-energy cosmic rays and gamma rays probe energy scales well beyond what may be produced with man-madeparticle accelerators, albeit not in a controlled experimental setting. Searches for new phenomena and indirect signalsof dark matter in these surveys may yield surprising discoveries about the fundamental nature of the universe.

Research
The Cosmic Frontier Experimental Physics subprogram’s Research activity supports groups at U.S. academic and research
institutions and national laboratories who perform experiments using instruments on the surface, deep underground, and inspace. These groups, as part of scientific collaborations, typically have a broad portfolio of responsibilities and leadershiproles in support of R&D, experimental design, fabrication, commissioning, operations, and maintenance, as well as performscientific simulations and physics data analyses on the experiments in the subprogram. DOE selects research efforts with thehighest scientific merit and potential impact based on a competitive peer-review process. An external peer review of theCosmic Frontier laboratory research groups was conducted in FY 2016; the next review will occur in FY 2020. In FY 2018,
HEPAP evaluated the currently operating portfolio of experiments in the Cosmic Frontier and assessed the priority of theirscience output in the context of the science drivers. In early FY 2019, HEP conducted a Basic Research Needs workshop toassess the science landscape and new opportunities for dark matter particle searches and to identify which areas would besuitable for small projects in the HEP program. The findings from these reviews, in combination with input on strategic
directions from regular, open community workshops, will inform funding decisions in subsequent years.
Facility Operations and Experimental Support
This activity supports the DOE share of personnel and expenses necessary for the successful pre-operations planning
activities and maintenance, operations, and data collection and processing during the operating phase of Cosmic Frontier
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experiments. These experiments are typically not sited at national laboratories. They are located at ground-based
telescopes and observatories, in space, or deep underground. Support is provided for the experiments currently operating
as well as for planning and pre-operations activities for the next generation experiments in the design or fabrication phase.
HEP conducted a peer review of all Cosmic Frontier operating experiments in FY 2015. HEP continues its series of reviews ofeach experiment to ensure readiness from fabrication to the science operations phase. HEP uses the findings from thereviews to monitor the experiments and inform decisions concerning the level of operations support needed in subsequent
years.
Projects
Two experiments will use different survey types and methods to measure the effect of dark energy on the expansion of theuniverse, which allows differentiation between models of dark energy. The LSSTcam will scan half of the sky repeatedly with
optical and near-infrared imaging sensors, building up a “cosmic cinematography” of the changing universe, while DESI will
study 30 million galaxies and quasars with spectroscopy over two-thirds of the age of the universe. Two experiments will use
different technologies to search for dark matter: LZ will use a liquid xenon detector and SuperCDMS-SNOLAB will use lowtemperature solid-state detectors. LZ is better at detecting heavier dark matter particles while SuperCDMS-SNOLAB will besensitive to lighter dark mass particles, so the two will combine to provide the largest search currently feasible. Technology
R&D and pre-conceptual design studies for the next generation Cosmic Microwave Background (CMB-S4) experiment will
begin.

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High Energy Physics
Cosmic Frontier Experimental Physics
Activities and Explanation of Changes
Explanation of Changes
FY 2020 Request vs FY 2019 Enacted
Cosmic Frontier Experimental Physics $101,036,000$57,468,000-$43,568,000
Research$50,741,000$31,140,000-$19,601,000
The FY 2019 Enacted budget supports world-leading
The Request will prioritize support for world-leading
Support prioritizes postdoctoral researchers andresearch efforts in support of design and optimization research efforts on all phases of dark matter and dark graduate students who are engaged in cosmic frontier
on dark matter and dark energy experiments in theirenergy experiments, as well as technology studies and research at the national laboratories and universities
fabrication and commissioning phases, as well as onplanning for a CMB-S4 experiment. The Dark Energy
with the highest scientific merit and potential impact
planning for future experiments, including CMB-S4.
Survey (DES) imaging experiment will release all its
based on a competitive peer-review process, with adata from its 5-year survey.
focus on delivering the final results of completed
experiments (e.g., DES), and preparing for physics on
new experiments (e.g., LZ, DESI).
FY 2019 Enacted

FY 2020 Request

Facility Operations and Experimental
Support$20,076,000
The FY 2019 Enacted budget supports the start of
installation and commissioning activities for the
LSSTcam, and early planning for the LSST facility andscience operations. Planning, commissioning, and preoperations activities begins for DESI, LZ, andSuperCDMS-SNOLAB. Support for the currently
operating experiments continues.

$23,230,000
The Request will support experiments in various
phases: DESI will start science operations; LSSTcam
will continue commissioning and integration on to thetelescope; the full LSST facility will ramp up preoperations planning; LZ will start full commissioning
efforts; and SuperCDMS-SNOLAB will continuecommissioning and pre-operations activities.

+$3,154,000
The increase will support the LSSTcam, DESI, LZ, andSuperCDMS-SNOLAB projects as they transition toexperimental operations, installation, commissioning,and pre-operations activities, which will be partially
offset by the ramp down or conclusion of operationsof mature experiments that have achieved theirscience goals (e.g. High Altitude Water Cherenkov(HAWC) Observatory).

Projects$27,350,000$1,000,000-$26,350,000
The FY 2019 Enacted budget supports the completion The Request will support technology R&D and
The FY 2019 Appropriation provided sufficient fundingof fabrication and installation of the LZ dark matterplanning for a future CMB-S4 project.
to complete the TEC funding for the LZ, SuperCDMSproject, and supports the fabrication of the DESI dark
SNOLAB, and DESI projects.
energy project and the SuperCDMS-SNOLAB dark
matter project, as well as support for technology R&D
and planning for a future CMB-S4 project.

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Explanation of Changes
FY 2020 Request vs FY 2019 Enacted
SBIR/STTR$2,869,000$2,098,000-$771,000
In FY 2019, SBIR/STTR funding is at 3.65% of nonIn FY 2020, SBIR/STTR funding will be at 3.65% of non- The decrease in funding will represent mandated
capital funding.
capital funding.
percentages for non-capital funding.
FY 2019 Enacted

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High Energy Physics
Theoretical, Computational, and Interdisciplinary Physics (formerly Theoretical and Computational Physics)
Description
The Theoretical, Computational, and Interdisciplinary Physics (formerly Theoretical and Computational Physics) subprogramprovides the mathematical, phenomenological, computational and technological framework to understand and extend ourknowledge of the dynamics of particles and fields, and the nature of space and time. This research is essential for properinterpretation and understanding of the experimental research activities described in other HEP subprograms, and cuts
across all five science drivers and the Energy, Intensity, and Cosmic Frontier Experimental Physics subprograms.
TheoryThe HEP theory activity supports world-leading research groups at U.S. academic and research institutions and national
laboratories. Both university and laboratory research groups play important roles in addressing the leading research areas
discussed above. Laboratory groups are typically more focused on data-driven theoretical investigations and precise
calculations of experimentally observable quantities. University groups usually focus on building models of physics beyond
the Standard Model and studying their phenomenology as well as on formal and mathematical theory. DOE selects research
efforts with the highest scientific impact and potential based on a competitive peer-review process. An external peer reviewof the Theory laboratory research groups was conducted in FY 2018; the next review is planned for FY 2022. The findings
from this review, in combination with input on strategic directions from regular, open community workshops as well as aplanned, future Basic Research Needs workshop, will inform funding decisions in subsequent years.
Computational HEP
The Computational HEP activity supports advanced simulations and computational science that extends the boundaries ofscientific discovery to regions not directly accessible by experiments, observations, or traditional theory. Computation isnecessary at all stages of HEP experiments—from planning and constructing accelerators and detectors, to theoreticalmodeling, to supporting computationally intensive experimental research and large-scale data analysis. Computational HEP
priorities are to promote computing research for HEP future needs, by exploiting latest architectures like massively-parallel
high performance computing platforms and future exascale computer systems, and developing advanced AI-ML techniques
for new tracking and analysis algorithms. Computational HEP partners with the Advanced Scientific Computing Research(ASCR) program, including via the Scientific Discovery through Advanced Computing (SciDAC) activity, and with ASCR
facilities and projects to optimize the HEP computing ecosystem for the near and long term future.
Quantum Information Science
The HEP QIS activity supports foundational research on connections between cosmological black holes and qubit research
as well as quantum field theory techniques and algorithms, quantum computing for HEP experiments, development and useof specialized quantum controls, and precision sensors that may yield information on fundamental physics beyond theStandard Model, and applications of HEP research to advance QIS. At least one new Quantum Information Science Center(QIS Center), jointly supported with ASCR and BES programs, will apply concepts and technology from the relevant
foundational core research in the corresponding programs and foster partnerships in support of the SC mission. The HEP QIS
research activity is part of a broader SC initiative that is conducted in coordination with SC programs, other federal agencies,
and the private sector where relevant.

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High Energy Physics
Theoretical, Computational, and Interdisciplinary Physics (formerly Theoretical and Computational Physics)
Activities and Explanation of Changes
FY 2019 Enacted

FY 2020 Request

Theoretical, Computational, andInterdisciplinary Physics (formerly
Theoretical and Computational
Physics)$89,834,000$94,705,000
Theory$45,760,000$32,650,000
The FY 2019 Enacted budget supports world-leading
The Request will support world-leading research thattheoretical research program at universities andaddresses the neutrino mass, the interpretation ofnational laboratories.
experimental results, the development of new ideas
for future projects, and the advancement of thetheoretical understanding of nature.

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted+$4,871,000-$13,110,000
Support prioritizes postdoctoral researchers andgraduate students who are engaged in theoreticalphysics research at the national laboratories anduniversities, with a focus on understanding theresults of current experiments, supporting new
initiatives in neutrino and dark matter physics, andconnecting fundamental theory to the developmentof quantum information science.

Computational HEP$13,351,000
The FY 2019 Enacted budget supports transformative
computational science and SciDAC 4 activities
including use of current and future high performancecomputing platforms and machine learning/deeplearning applications across the program andcoordinated with other DOE investments.

$20,290,000
The Request will support transformative
computational science, AI-ML, high performancecomputing, and SciDAC 4 activities to provide cross
cut computational science tools for HEP science.

+$6,939,000
The increased funding will support new AI-ML
research to explore how DOE high performancecomputing resources can scale up the optimization,
performance, and validation studies of AI-ML tracking
models, use pattern recognition to develop
production-quality tracking for online triggeringsystems for HEP experiments, and use statistics and
AI-ML to better analyze simulated data.

Quantum Information Science$27,500,000
The FY 2019 Enacted budget supports new
foundational QIS research and supporting researchtechnology. HEP employs the latest developments in
QIS, and contribute to the national effort, and promote
American competiveness.

$38,308,000
The Request will support interdisciplinary HEP-QIS
consortia and exploratory Pioneering Pilots tostrengthen foundational HEP-QIS research, quantum
computing, and quantum research technology. The
Request also will support at least one new QIS Centerin partnership with ASCR and BES.
226+$10,808,000
The increased funding will support at least one multidisciplinary, multi-institutional QIS center incollaboration with ASCR and BES via a merit reviewed
process, which will be conducted early in FY 2020.

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FY 2020 Congressional Budget Justification

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted
SBIR/STTR$3,223,000$3,457,000+$234,000
In FY 2019, SBIR/STTR funding is at 3.65% of nonIn FY 2020, SBIR/STTR funding will be at 3.65% of
The increase in funding will represent mandated
capital funding.
non-capital funding.
percentages for non-capital funding.
FY 2019 Enacted

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High Energy Physics
Advanced Technology R&D
Description
The Advanced Technology Research and Development (R&D) subprogram fosters cutting-edge research in the physics ofparticle beams, accelerator R&D, and particle detection—all of which are necessary for continued progress in high energy
physics. Long-term multi-purpose accelerator research, applicable to fields beyond HEP, is carried out under the Accelerator
Stewardship subprogram.
HEP General Accelerator R&D
The HEP General Accelerator R&D (GARD) activity supports the science underlying the technologies used in particle
accelerators and storage rings, as well as the fundamental physics of charged particle beams. Long-term research goals
include developing technologies to enable breakthroughs in particle accelerator size, cost, beam intensity, and control. The
GARD activity supports groups at U.S. academic and research institutions and national laboratories performing research
activity categorized into five areas: accelerator and beam physics; advanced acceleration concepts; particle sources andtargetry; radio-frequency acceleration technology; and superconducting magnet and materials. DOE selects research efforts
with the highest scientific impact and potential based on a competitive peer-review process. An external peer review of the
GARD laboratory research groups was conducted in FY 2018; the next review is planned for FY 2022. The findings from thisreview, in combination with input on strategic directions from regular, open community workshops as well as future Basic
Research Needs workshops, will inform funding decisions in subsequent years.
The GARD activity also supports the Traineeship Program for Accelerator Science and Technology to revitalize education,
training, and innovation in the physics of particle accelerators for the benefit of HEP and other SC programs that rely onthese enabling technologies. The Traineeship Program is aimed at university and national laboratory consortia to provide
the academic training and research experience needed to meet DOE’s anticipated workforce needs. HEP holds a competition
for traineeship awards for graduate level students to increase workforce development in areas of critical need. These
traineeships leverage existing GARD research activities as well as the capabilities and assets of DOE laboratories.
Detector R&D
The Detector R&D activity supports the development of the next generation instrumentation and particle detectors
necessary to maintain scientific leadership in a worldwide experimental endeavor that is broadening into new researchareas. To meet this challenge, HEP aims to foster an appropriate balance between evolutionary, near-term, low-risk detector
R&D and revolutionary, long-term, high-risk detector R&D, while training the next generation of experts. The Detector R&D
activity consists of groups at U.S. academic and research institutions and national laboratories performing research into thefundamental physics underlying the interactions of particles and radiation in detector materials. This activity also supports
technology development that turns these insights into working detectors. DOE selects research efforts with the highest
scientific impact and potential based on a competitive peer-review process. An external peer review of the Detector R&D
laboratory research groups was conducted in FY 2016; the next review will occur in FY 2020. The findings from this review, in
combination with input on strategic directions from regular, open community workshops as well as a planned, future Basic
Research Needs workshop, will inform funding decisions in subsequent years.
Facility Operations and Experimental Support
This activity supports GARD laboratory experimental and test facilities: BELLA, the laser-driven plasma wakefield
acceleration facility at LBNL; FACET-II, the beam-driven plasma wakefield acceleration facility at SLAC National Accelerator
Laboratory (SLAC); and superconducting radio-frequency accelerator and magnet facilities at Fermilab. This activity supports
the test beam at Fermilab, and detector test and fabrication facilities such as the Microsystems Laboratory at LBNL and the
Silicon Detector Facility at Fermilab. Accelerator Improvement Projects (AIP) support improvements to GARD facilities.
Projects
The Advanced Technology R&D subprogram supports the development of new tools for particle physics through thedevelopment of more advanced accelerators and detectors. Plasma wakefield accelerators may have a transformative
impact on the size, capabilities, and cost of future machines. FACET-II will be the world’s premier beam driven plasma
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wakefield acceleration facility and provide intense ultra-short electron beams for other applications in accelerator andrelated sciences.

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High Energy Physics
Advanced Technology R&D
Activities and Explanation of Changes
Explanation of Changes
FY 2020 Request vs FY 2019 Enacted
Advanced Technology R&D$113,506,000$91,707,000-$21,799,000
HEP General Accelerator R&D$48,447,000$40,873,000-$7,574,000
The FY 2019 Enacted budget supports world-leading
The Request will support world-leading General
Support will be prioritized to focus on researchresearch activities including laser and electron-beam Accelerator R&D that will enable transformative
activities in superconducting magnet development
driven plasma acceleration, high intensity beamtechnologies for the next-generation of accelerators
and ultrafast lasers, and on cross-cutting Accelerator
studies, beam manipulation and control techniques,for High Energy Physics. The Request also provides
R&D which leverages synergistic efforts at thehigh-power targets, high-gradient accelerator
support for the Traineeship Program for Accelerator
national laboratories. Also, includes an increase forstructures, superconducting radio-frequency cavities
Science and Technology.
the Traineeship Program for Accelerator Science andwith high quality factors and high accelerating
Technology.
gradients, and low temperature and high temperature
superconductors for high-field magnet application.
The Traineeship Program for Accelerator Science andTechnology is supported.
FY 2019 Enacted

Detector R&D$23,694,000
The FY 2019 Enacted budget supports world-leading
Detector R&D activities at universities and national
laboratories, with emphasis on long-term, high-risk,
and high potential impact R&D efforts.
Facility Operations and Experimental
Support$27,625,000
The FY 2019 Enacted budget supports the operationof accelerator, test beam, and detector facilities at
Fermilab, LBNL, and SLAC. Commissioning activities
for FACET-II installation will begin.

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FY 2020 Request$16,700,000-$6,994,000
The Request will support cutting-edge Detector R&D Support will prioritize Detector R&D that exploits
activities at universities and national laboratories,
collaborative opportunities between the nationaltargeted at the most promising, high-impact
laboratories and the universities.
directions led by U.S. efforts.
$30,878,000
The Request will support the operation of accelerator,
test beam, and detector facilities at Fermilab, LBNL
and SLAC and improvements to superconducting
radio-frequency facilities. The Request also includes
support for final commissioning, installation, and1,500 hours (50% of optimal) for initial operations for
FACET-II.

231+$3,253,000
The increased funding will support the commissioning
and installation of the electron beam systems, 1,500
hours of FACET-II operations, and improving
superconducting radio-frequency (SRF) facilities andcapabilities. This will be partially offset by reduced
support to detector test facilities at SLAC and LBNL.

FY 2020 Congressional Budget Justification

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted
Projects$10,000,000$—-$10,000,000
The FY 2019 Enacted budget supports the completion No funding is requested for this activity. The FY 2019 FACET-II project receives final funding in FY 2019.
of fabrication and installation of FACET-II.
Appropriation provided sufficient funding to complete
the FACET-II project.
FY 2019 Enacted

FY 2020 Request

SBIR/STTR$3,740,000$3,256,000-$484,000
In FY 2019, SBIR/STTR funding is at 3.65% of nonIn FY 2020, SBIR/STTR funding will be at 3.65% of non- The decrease in funding will represent mandated
capital funding.
capital funding.
percentages for non-capital funding.

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High Energy Physics
Accelerator Stewardship
Description
The Accelerator Stewardship subprogram has three principal activities: facilitating access to unique state-of-the-art SC
accelerator R&D infrastructure for the private sector and other users; supporting innovative early-stage applied research toadapt accelerator technology for medical, industrial, security, and defense applications; and driving a limited number of
specific accelerator applications towards practical, testable prototypes in a five to seven year timeframe. HEP manages thissubprogram as a coordinated interagency initiative, consulting with other SC programs (principally NP, BES, and FES), other
DOE program offices (principally EM and NNSA), and other federal stakeholders a of accelerator technology, most notably
NIH, DOD, NSF, and DHS. Ongoing interagency consultation guides R&D investments, ensuring agency priorities are
addressed, exploiting synergies where possible, and identifying new cross-cutting areas of research.
Research
The Research activity supports both near-term translational R&D and long-term basic accelerator R&D, which is conducted
at national laboratories, universities, and in the private sector. The needs for applications have been specifically identified
by federal stakeholders and developed further by technical workshops. Near-term R&D funding opportunities are
specifically structured to foster strong partnerships with the private sector to improve health outcomes while lowering cost,develop technologies that may destroy pollutants and pathogens, detect contraband and radioactive material, and support
new tools of science. Long-term R&D funding is targeted at scientific innovations enabling breakthroughs in particle
accelerator size, cost, beam intensity, and control.
Facility Operations and Experimental Support
The Facility Operations and Experimental Support activity supports the Brookhaven National Laboratory (BNL) Accelerator
Test Facility (ATF), which is an SC User Facility providing a unique combination of high quality electron and infrared laser
beams in a well-controlled user-friendly setting. Beam time at the BNL ATF is awarded based on merit-based peer review
process. The facility remains at the cutting edge of science and works to increase its cost efficiency through ongoing facility
R&D. Accelerator Improvement Projects (AIP) support improvements to Accelerator Stewardship facilities.

a Partner agencies for the Accelerator Stewardship subprogram currently are: the National Institutes of Health’s National Cancer Institute; the Departmentof Defense’s Office of Naval Research and Air Force Office of Scientific Research; the NSF’s Physics Division and Chemical, Bioengineering, Environmental
and Transport Systems Division; Department of Homeland Security’s Domestic Nuclear Detection Office.

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High Energy Physics
Accelerator Stewardship
Activities and Explanation of Changes
Explanation of Changes
FY 2020 Request vs FY 2019 Enacted
Accelerator Stewardship$15,724,000$12,877,000-$2,847,000
Research$9,083,000$7,930,000-$1,153,000
The FY 2019 Enacted budget supports new research
The Request will support new research activities at
Support will emphasize transformative R&D for
activities at laboratories, universities, and in thelaboratories, universities, and in the private sector for security applications and implementing priority R&D
private sector for technology R&D areas such astechnology R&D areas such as accelerator technology topics identified by a Basic Research Needs workshop
accelerator technology for industrial and security
for industrial, medical and security uses, andplanned for the spring of FY 2019.
uses, laser, and ion-beam therapy.
advanced laser technology R&D.
FY 2019 Enacted

FY 2020 Request

Facility Operations and Experimental
Support
$6,067,000$4,477,000-$1,590,000
The FY 2019 Enacted budget supports the BNL ATF
The Request will support the BNL ATF operations at
Operating hours will be slightly reduced to 74% of
operations at optimal levels.
74% of optimal levels and support facility
optimal and approximately 30 less users are
refurbishments to provide increased reliability andestimated as compared to FY 2019 estimates.
expanded capability to users.
SBIR/STTR$574,000$470,000-$104,000
In FY 2019, SBIR/STTR funding is at 3.65% of nonIn FY 2020, SBIR/STTR funding will be at 3.65% of non- The decrease in funding will represent mandated
capital funding.
capital funding.
percentages for non-capital funding.

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High Energy Physics
Construction
Description
This subprogram supports all line-item construction for the entire HEP program. All Total Estimated Costs (TEC) are fundedin this subprogram, including both engineering design and construction.
Proton Improvement Plan II (PIP-II)
The PIP-II project will enhance the Fermilab accelerator complex to enable it to deliver higher-power proton beams to theneutrino-generating target for groundbreaking discovery in neutrino physics. The project will design and construct an 800
MeV superconducting radio-frequency (SRF) proton linear accelerator, beam transfer line and infrastructure. PIP-II will
modify the existing Fermilab Booster, Recycler and Main Injector accelerators to accept the increased beam intensity. Someof the new components and the cryoplant will provide through international, in-kind contributions.
The most recent DOE Order 413.3B approved Critical Decision (CD) is CD-1 (Approve Alternative Selection and Cost Range),approved on July 23, 2018. The TPC cost range is $653,000,000 to $928,000,000. The funding profile supports the currently
estimated TPC of $721,000,000. The CD-4 milestone is 1Q FY 2030. CD-0 established the mission need in FY 2015.
Long Baseline Neutrino Facility/Deep Underground Neutrino Experiment (LBNF/DUNE)
The LBNF/DUNE construction project is a federal, state, private, and international partnership developing and implementing
the technologies of particle accelerators and detectors to enable world-leading research into the fundamental physics ofneutrinos, which are the most ubiquitous particles in the universe while at the same time among the mostmysterious. LBNF/DUNE will study the transformations of muon neutrinos that occur as they travel to a large detector inSouth Dakota, 800 miles away from Fermilab, where they are produced in a high-energy beam. The experiment will analyze
the rare, flavor-changing transformations of neutrinos in flight, from one lepton flavor to another, which are expected tohelp explain the fundamental physics of neutrinos and the puzzling imbalance of matter and antimatter that enables ourexistence in a matter-dominated universe.
The LBNF/DUNE project comprises a national flagship particle physics initiative. LBNF/DUNE will be the first-ever large-scaleinternational science facility hosted by the U.S. LBNF/DUNE project consists of two multinational collaborative efforts. LBNF
is responsible for the beamline at Fermilab and other experimental and civil infrastructure at Fermilab and at the Sanford
Underground Research Facility (SURF) in South Dakota. DUNE is an international scientific collaboration responsible fordefining the scientific goals and technical requirements for the beam and detectors, as well as the design, construction andcommissioning of the detectors and subsequent research.
DOE’s High Energy Physics program manages both activities as a single, line-item construction project—LBNF/DUNE. LBNF,
with DOE/Fermilab leadership and minority participation by a small number of international partners including CERN, will
construct a megawatt-class neutrino source and related facilities at Fermilab (the “Near Site”), as well as undergroundcaverns and cryogenic facilities in South Dakota (the “Far Site) needed to house the DUNE detectors. DUNE has international
leadership and participation by about 1,160 scientists and engineers from 175 institutions in 32 countries. DOE will fund lessthan a third of DUNE.
The most recent approved DOE Order 413.3B is CD-3A, approval for Initial Far Site Construction: initiating excavation andconstruction for the LBNF Far Site conventional facilities in order to mitigate risks and minimize delays for providing a facility
ready to accept detectors for installation. The preliminary Total Project Cost (TPC) range is $1,260,000,000 to$1,860,000,000, as approved on September 1, 2016 with a preliminary CD-4 date of 4Q FY 2030. Updated planning andanalysis has the TPC point estimate for LBNF/DUNE of $1,850,000,000 and was reviewed by an Independent Project Review
held January 8-10, 2019.
Muon to Electron Conversion Experiment (Mu2e)
Mu2e, under construction at Fermilab, will search for evidence that a muon can change directly into an electron, a processthat probes energy scales beyond the collision energy of the Large Hadron Collider. If observed, this major discovery would
signal the existence of new particles or new forces beyond the Standard Model.
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The most recent DOE Order 413.3B approved Critical Decision (CD) is CD-3 (Approve Start of Construction), concurrent withcompletion of the final design, approved on July 14, 2016. In FY 2015, CD-2 established the scope, cost, and schedulebaseline, and CD-3B initiated civil construction and long-lead procurement of the Transport Solenoid modules. Total Project
Cost was approved at $273,677,000. The CD-4 milestone is 1Q FY 2023.

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High Energy Physics
Construction
Activities and Explanation of Changes
FY 2019 Enacted
Construction$180,000,000
18-SC-42, Proton Improvement Plan
II, FNAL$20,000,000
The FY 2019 Enacted budget supports thedevelopment of the preliminary design, thefabrication of prototype components, and early site
preparation that is designed to mitigate
environmental impacts.
11-SC-40, Long Baseline Neutrino
Facility/Deep Underground Neutrino
Experiment, FNAL
$130,000,000
The FY 2019 Enacted budget supports the Far Sitepre-construction activities to support the eventual
excavation of the underground equipment caverns
and connecting drifts (tunnels). In addition, theproject will continue to do design work for the Near
Site, cryogenic systems, and the DUNE detectors.

FY 2020 Request$120,000,000

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted-$60,000,000$20,000,000$—
The Request will support engineering design work for Activities started in FY 2019 will continue as planned
conventional facilities and technical systems,
through FY 2020.
continuation of site-preparation activities andinitiation of construction for cryogenic plant support
systems, as well as continued fabrication of prototype
accelerator system components.

$100,000,000
The Request will support: continuation of preconstruction activities to support the Far Site cavern
excavation; design and procurement activities for Far
Site cryogenics systems; and beamline andconventional facilities design and site preparation at
the Near Site. The Request will also support start ofconstruction and fabrication for technical systems
where design is final and authorized by CD-3, including
U.S. contributions to the DUNE detectors.

-$30,000,000
Support will focus on the completion of the preexcavation activities such as the systems to remove the
excavated rock to its nearby disposal site; the start ofdesign and procurement activities for cryogenics
systems, Near Site beamline and conventional
facilities; and U.S. contributions to design andconstruction of the DUNE detectors.

11-SC-41, Muon to Electron
Conversion Experiment, FNAL
$30,000,000$—-$30,000,000
The FY 2019 Enacted budget supports the completion No funding is requested for this activity. The FY 2019
The Mu2e project receives final funding in FY 2019.
of the procurements and the beginning of equipment Appropriation provided final funding for the project. In
installation.
FY 2020, fabrication will continue for the particle
detectors and accelerator components including
superconducting solenoid magnets and the muon
stopping target.
Science/High Energy Physics
FY 2020 Congressional Budget Justification
237

High Energy Physics
Capital Summary ($K)(dollars in thousands)

Capital Operating Expenses Summary
Capital Equipment
Minor Construction Activities
General Plant Projects (GPP)
Accelerator Improvement Projects (AIP)
Total, Capital Operating Expenses

FY 2018 Enacted FY 2019 Enacted FY 2020 Request

Prior Years

N/A

N/A

91,556125,260

101,935-23,325

N/A
N/A
N/A

N/A
N/A
N/A

3,938
4,445
99,9398,000
5,600
138,860

7,500—
109,435-500-5,600-29,425

Capital Equipment ($K)
Total
Capital Equipment
Major Items of Equipment (MIE) a
Energy Frontier Experimental Physics
HL-LHC Accelerator Upgrade Project b
HL-LHC ATLAS Detector Upgrade c
HL-LHC CMS Detector Upgrade d
Cosmic Frontier Experimental Physics
Large Synoptic Survey Telescope
Camera (LSSTcam) e
Dark Energy Spectroscopic Instrument f(DESI)LUX-ZEPLIN g (LZ)a

FY 2020 Request vsFY 2019 Enacted

Total

Prior Years(dollars in thousands)

FY 2018 Enacted FY 2019 Enacted FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

236,672
133,850
121,800———

21,572——50,00027,50013,75050,00023,46023,475—-4,040+9,725150,300

140,500

9,800

—

—

—

45,25052,05022,30023,50017,50014,1005,450
14,450——-5,450-14,450

Each MIE located at a DOE facility Total Estimated Cost (TEC) > $5M and each MIE not located at a DOE facility TEC > $2M.

b Critical Decision CD-2/3b for HL-LHC Accelerator Upgrade project was approved on February 11, 2019. The TPC is $242,720,000.

c Critical Decision CD-1 for HL-LHC ATLAS Detector Upgrade Project was approved September 21, 2018. The estimated cost range was $149,000,000 to $181,000,000.
d Critical Decision CD-0 for HL-LHC CMS Detector Upgrade Project was approved April 13, 2016. The estimated cost range was $125,000,000 to $155,000,000.
eCritical Decision CD-3 for the LSSTcam project was approved on August 27, 2015. The TPC is $168,000,000.

f Critical Decision CD-3 for DESI project was approved on June 22, 2016. The TPC is $56,328,000.
g Critical Decision CD-3 for LZ project was approved February 9, 2017. The TPC is $55,500,000.

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238

FY 2020 Congressional Budget Justification

(dollars in thousands)
SuperCDMS-SNOLAB a
Advanced Technology R&D
FACET II b
Total MIEs
Total Non-MIE Capital Equipment
Total, Capital Equipment

FY 2018 Enacted FY 2019 Enacted FY 2020 Request

Prior Years

15,725

5,775

7,400

2,550

—

20,500
N/A
N/A
N/A

500
N/A
N/A
N/A

10,00080,372
11,18491,556

10,000123,700
1,560
125,260—
96,9355,000
101,935-10,000-26,765+3,440-23,325

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

Minor Construction Activities ($K)(dollars in thousands)
Total
General Plant Projects (GPP)
Greater than or equal to $5M and lessthan $20M
Industrial Center Building addition
Utility Corridor
Kautz Road Sub-Station
Total GPPs (greater than or equal to $5M
and less than $20M)
Total GPPs less than $5M c
Total, General Plant Projects (GPP)a

FY 2020 Request vsFY 2019 Enacted-2,550

Total

Prior Years

FY 2018 Enacted

8,428
8,000
7,500

6,500
—
—

1,928
—
—

—
8,000
—

—
—
7,500

—
-8,000+7,500

N/A

N/A

1,928

8,000

7,500

-500

N/A
N/A

N/A
N/A

2,010
3,938

—
8,000

—
7,500

—
-500

Critical Decisions CD-2/3 for SuperCDMS-SNOLAB project were approved May 2, 2018. The TPC is $18,600,000.

b Critical Decisions CD-2/3 for FACET-II project were approved June 8, 2018. The TPC is $25,600,000.

c 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.

Science/High Energy Physics

239

FY 2020 Congressional Budget Justification

(dollars in thousands)
Total
Accelerator Improvement Projects (AIP)
Greater than or Equal to $5M and lessthan $20M
Section 10 Injector Infrastructure
NuMI Target Systems
Total AIPs (greater than or equal to $5M andless than $20M)
Total AIPs less than $5M a
Total, Accelerator Improvement Projects (AIP)
Total, Minor Construction Activities

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

5,000
5,600

3,955
—

1,045
—

—
5,600

—
—

—
-5,600

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

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

1,045
3,400
4,445
8,383

5,600
—
5,600
13,600

—
—
—
7,500

—
—
-5,600-6,100a AIP activities less than $5M include minor construction at an existing accelerator facility.

Science/High Energy Physics

Prior Years

240

FY 2020 Congressional Budget Justification

High Energy Physics
Major Items of Equipment Description(s)Energy Frontier Experimental Physics MIEs:
The High Luminosity Large Hadron Collider Accelerator Upgrade Project (HL-LHC Accelerator Upgrade Project) received
CD-2/3b approval on February 11, 2019 with a TPC of $242,720,000. Following the major upgrade, the CERN LHC machine
will further increase the particle collision rate by a factor of three times to explore new physics beyond its current reach.
This project will deliver components for which the U.S. scientists have critical expertise: interaction region focusing
quadrupole magnets, and special superconducting RF crab cavities that are capable of generating transverse electric fields.
The magnets will be assembled at Lawrence Berkeley National Laboratory, Brookhaven National Laboratory, and Fermilab,
exploiting special expertise and unique capabilities at each laboratory. The FY 2020 Request of TEC funding of $50,000,000
will support the production of quadrupole magnets and crab cavities.
The High Luminosity Large Hadron Collider ATLAS Detector Upgrade Project (HL-LHC ATLAS) received CD-1 approval on
September 21, 2018 with an estimated cost range of $149,000,000 to $181,000,000, and CD-2 is planned for FY 2020. The
ATLAS detector will integrate a factor of ten higher amount of data per run, compared to the period prior to the HL-LHC
upgrades, making the physical conditions in which the detectors run very challenging. To operate for an additional decadein these new conditions, the ATLAS detector will require upgrades to the silicon pixel and strip tracker detectors, the muon
detector systems, the calorimeter detectors and associated electronics, and the trigger and data acquisition systems. The
National Science Foundation (NSF) is preparing a Major Research Equipment and Facility Construction (MREFC) Project toprovide different scope to the HL-LHC ATLAS detector. DOE and NSF are coordinating their contributions to avoid
duplication. The FY 2020 Request of TEC funding of $23,460,000 will support further procurement of components andbaselining of the project.
The High Luminosity Large Hadron Collider CMS Detector Upgrade Project (HL-LHC CMS) received CD-0 approval on April 13,
2016 with an estimated cost range of $125,000,000 to $155,000,000. The project is expected to obtain CD-1 approval in thespring of 2019, and CD-2 is planned for FY 2020. The CMS detector will integrate a factor of ten higher amount of data perrun, compared to the period prior to the HL-LHC upgrades, making the physical conditions in which the detectors run very
challenging. To operate for an additional decade in these new conditions, the CMS detector will require upgrades to thesilicon pixel tracker detectors, outer tracker detector, the muon detector systems, the calorimeter detectors and associatedelectronics, the trigger and data acquisition systems and the addition of a novel timing detector. NSF is preparing a MREFC
Project to provide different scope to the HL-LHC CMS detector. DOE and NSF are coordinating their contributions to avoid
duplication. The FY 2020 Request of TEC funding of $23,475,000 will support further procurement of components andbaselining of the project.
Cosmic Frontier Experimental Physics MIEs:
The Large Synoptic Survey Telescope Camera (LSSTcam) project received CD-2 approval on January 7, 2015, with a DOE TPC
of $168,000,000 and a project completion date in FY 2022. CD-3 was approved on August 27, 2015. The project is fabricatinga state-of-the-art three billion pixel digital imaging camera for the next-generation, wide-field, ground-based optical andnear-infrared LSST facility, located in Chile. LSST is designed to provide deep images of half the sky every few nights,
enabling study of the nature of dark energy. LSSTcam is DOE’s responsibility in the collaboration with the NSF, which leads
the LSST project, along with private and foreign contributions. The project will complete its camera components, including
testing and integration, in FY 2020. It will then be shipped to Chile for installation and commissioning on the LSST telescope
facility in Chile. The FY 2018 Appropriation provided sufficient funds to complete all remaining LSSTcam projectdeliverables.
The Dark Energy Spectroscopic Instrument (DESI) project received CD-2 approval on September 17, 2015 with a TPC of$56,328,000, and a project completion date of FY 2021. CD-3 was approved on June 22, 2016. DESI will fabricate a nextgeneration, fiber-fed, ten-arm spectrograph for operation on NSF’s Mayall 4-meter telescope at Kitt Peak National
Observatory in Arizona, with operations of the telescope supported by DOE. DESI will measure the effects of dark energy on
the expansion of the universe using dedicated spectroscopic measurements and will provide a strong complement to the
LSST imaging survey. The FY 2019 Appropriation provided sufficient funds to complete all remaining project deliverables. In
FY 2020, the project will finish installation of the focal plane and spectrograph and complete commissioning.
Science/High Energy Physics
FY 2020 Congressional Budget Justification
241

The LUX-ZEPLIN (LZ) project received CD-2 approval on August 8, 2016 with a TPC of $55,500,000, and a project completion
date in FY 2022. CD-3 was approved on February 9, 2017. LZ is one of two MIEs selected to meet the Dark Matter Second
Generation Mission Need and the concept for the experiment was developed by a merger of the LUX and ZEPLIN
collaborations from the U.S. and the U.K. respectively. The project will fabricate a detector using seven tons of liquid xenon
inside a time projection chamber to search for xenon nuclei that recoil in response to collisions with an impinging flux ofdark matter particles known as Weakly Interacting Massive Particles (WIMPs). The detector will be located 4,850 feet deepin the Sanford Underground Research Facility (SURF) in Lead, South Dakota. The FY 2019 Appropriation provided sufficient
funds to complete all remaining project deliverables. In FY 2020, the project will finish underground installation, functional
testing, and filling of the detector’s chambers with liquid xenon, liquid scintillator, and water.
The Super Cryogenic Dark Matter Search at Sudbury Neutrino Observatory Laboratory (SuperCDMS-SNOLAB) project
received CD-2/3 approval on May 2, 2018 with a TPC of $18,600,000. SuperCDMS-SNOLAB is one of the two MIEs selected
to meet the Dark Matter Second Generation Mission Need. The project will fabricate instrumentation that uses ultra-clean,cryogenically-cooled silicon (Si) and germanium (Ge) detectors to search for Si or Ge nuclei recoiling in response to collisions
with WIMPs, and will optimize to detect low mass WIMPs to cover a range of masses complementary to that of LZ’ssensitivity. The detector will be located 2 km deep in the SNOLAB facility in Sudbury, Ontario, Canada. The FY 2019
Appropriation provided sufficient funds to complete all remaining project deliverables in FY 2020, including installation of
the seismic platform and assembly of the shielding, cryostat, and calibration system.
Advanced Technology R&D MIE:
The Facility for Accelerator and Experimental Tests II (FACET-II) project received CD-2/3 on June 8, 2018 with a TPC of$25,600,000. FACET-II will be the world’s premier beam driven plasma wakefield acceleration facility. FACET-II is being
designed to deliver beams using only one third of the SLAC linear accelerator. FACET-II installation and commissioning workin the SLAC accelerator housing will be constrained by the installation of the Linac Coherent Light Source II (LCLS-II). The
FY 2019 Appropriation provided sufficient funds to complete all remaining deliverables. In FY 2020, the project will becompleting its Accelerator Readiness Review and final checks of its electronic control systems.

Science/High Energy Physics

242

FY 2020 Congressional Budget Justification

High Energy Physics
Minor Construction Description(s)General Plant Projects $5 Million to less than $10 Million
Kautz Road Sub-Station
General Plant Project Details
Project Name:
Location/Site:
Type:
Total Estimated Cost:
Construction Design:
Project Description:

Kautz Road Sub-Station Radial Feed Electrical Upgrade
Fermilab Accelerator Complex, Main Ring
GPP
$7,500,000$500,000
The KRSS Radial Feed Electrical Upgrade project will replace/upgrade existing electrical feedersthat serve the Main Ring area of the site to improve reliability, increase the capacity of the
Fermilab site wide electrical system and bring the service up to modern standards.

Science/High Energy Physics

243

FY 2020 Congressional Budget Justification

High Energy Physics
Construction Project Summary ($K)(dollars in thousands)
FY 2018
FY 2019
EnactedEnactedFY 2020
RequestFY 2020 Request vsFY 2019 Enacted

Total

Prior Years

18-SC-42, Proton Improvement Plan II, FNAL a
TEC
OPC
TPC

638,965
82,035721,000—
33,93533,935

1,000
23,10024,10020,00015,00035,00020,0005,000
25,000—-10,000-10,000

11-SC-40, Long Baseline Neutrino Facility/Deep
Underground Neutrino Experiment, FNAL
TEC
OPC
TPC

1,755,000
95,0001,850,000

111,781
85,625
197,406

95,0001,000
96,000130,000
1,000
131,000

100,000
4,000
104,000-30,000+3,000-27,000

250,000
23,677
273,677

175,600
23,677
199,277

44,400—44,40030,000—30,000———-30,000—-30,000

N/A
N/A
N/A

N/A
N/A
N/A

140,400
24,100164,500

180,000
16,000196,000

120,000
9,000
129,000-60,000-7,000-67,000

11-SC-41, Muon to Electron Conversion
Experiment, FNAL
TEC
OPC
TPC
Total, Construction
TEC
OPC
TPC

a The Proton Improvement Plan II was not included in the Construction Project Summary table in the FY 2019 President’s Budget Request as TEC funding was not requested for FY 2019.

Science/High Energy Physics

244

FY 2020 Congressional Budget Justification

High Energy Physics
Funding Summary ($K)(dollars in thousands)

Research
Facilities Operations
Scientific User Facilities Operations
Other Facilities
Total, Facilities Operations
Projects a
Major Items of Equipment
Other Projects
Construction
Total, Projects
Total, High Energy Physicsa

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

369,565

380,847

301,357

FY 2020 Request vsFY 2019 Enacted-79,490

136,820
123,715
260,535

139,717
121,086
260,803

126,217
113,529
239,746-13,500-7,557-21,057

112,300
1,100
164,500
277,900
908,000

141,350
1,000
196,000
338,350
980,000

96,9351,000
129,000
226,935
768,038-44,415—-67,000-111,415-211,962

Includes Other Project Costs.

Science/High Energy Physics

245

FY 2020 Congressional Budget Justification

High Energy Physics
Scientific User Facility Operations ($K)
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:
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 FACILITIES
Fermilab Accelerator Complex
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours

Science/High Energy Physics

FY 2018 Enacted

FY 2018 Current

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted$132,000
2,393
N/A
4,800
4,800
100.0%
N/A$130,284
2,489
5,026
4,800
4,800
104.7%
482$132,650
2,489
N/A
5,740
5,740
100.0%
N/A$115,740
2,100
N/A
4,200
4,800
87.5%
N/A

-$16,910-389
N/A-1,540-940-12.5%N/A

246

FY 2020 Congressional Budget Justification

(dollars in thousands)
FY 2018 Enacted

FY 2018 Current

FY 2019 Enacted

FY 2020 Request

Accelerator Test Facility (BNL)
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$4,820
97
N/A
2,360
2,050
115.1%
N/A$5,517
91
2,529
2,360
2,500
101.2%
245$6,067
118
N/A
2,500
2,500
100.0%
N/A$4,477
87
N/A
1,845
2,500
73.8%
N/A

FY 2020 Request vsFY 2019 Enacted-$1,590
-31
N/A
-655
—
-26.2%
N/A

FACET-II (SLAC)
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours

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

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

$1,000
N/A
N/A
N/A
N/A
N/A
N/A

$6,000
200
N/A
1,500
3,000
50.0%
N/A

+$5,000+200
N/A+1,500+3,000
N/A
N/A

Total Facilities
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent of optimal hours a
Unscheduled downtime hours$136,820
2,490
N/A
7,160
6,850
100.5%
N/A$135,801
2,580
7,555
7,160
7,300
104.6%
727$139,717
2,607
N/A
8,240
8,240
100.0%
N/A$126,217
2,387
N/A
7,545
10,30085.2%
N/A-$13,500
-220
N/A
-695
+2,060-14.8%N/A

𝑛𝑛

a For total facilities only, this is a “funding weighted” calculation FOR ONLY TYPE A facilities: ∑1 [(%𝑂𝑂𝑂𝑂 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛)×(𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜)]

Science/High Energy Physics

𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑎𝑎𝑎𝑎𝑎𝑎 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜

247

FY 2020 Congressional Budget Justification

High Energy Physics
Scientific Employment
FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

890
350
520
1,815

830
340
500
1,745

725
255
375
1,475

Number of permanent Ph.D.’s (FTEs)
Number of postdoctoral associates (FTEs)
Number of graduate students (FTEs)
Other aa Includes technicians, engineers, computer professionals, and other support staff.

Science/High Energy Physics

248

FY 2020 Request vsFY 2019 Enacted
-105
-85
-125
-270

FY 2020 Congressional Budget Justification

18-SC-42, Proton Improvement Plan II (PIP-II)
Fermi National Accelerator Laboratory
Project is for Design and Construction
1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 Request for Proton Improvement Plan II (PIP-II) is $20,000,000. Initial construction funding was provided in
FY 2018 through the Consolidated Appropriations Act. The current preliminary Total Project Cost (TPC) range is$653,000,000 to $928,000,000 with a point estimate of $721,000,000.
The PIP-II project will enhance the Fermilab accelerator complex by providing the capability to deliver higher-power proton
beams to the neutrino-generating target for groundbreaking discovery in neutrino physics, a major field of fundamental
research in high energy particle physics.
The project will design and construct an 800 MeV superconducting radiofrequency (SRF) proton linac, beam transfer line,
and infrastructure needed to support linac operation. It also will modify the existing Booster, Recycler, and Main Injector
synchrotrons to accept the increased beam intensity. Some of the new linac components and the cryoplant will beinternational, in-kind contributions not funded by DOE.
Conceptual design work was completed and reviewed in FY 2018. DOE provided funds to the project in FY 2018 and FY 2019
for site-preparation activities, preliminary engineering design work, and R&D with the PIP-II Injector Test Facility, aprototype for the front-end injector, to reduce technical risks for the project.
The FY 2020 Request will continue site preparation activities, engineering design work for the conventional facilities andtechnical systems, procurement of prototype accelerator system components, and initiate construction of cryogenic plant
support systems. Technical system R&D activities will continue.
Significant Changes
This Construction Project Data Sheet (CPDS) is new. This project was initiated in FY 2018 Appropriations. This is the firstproject data sheet identifying FY 2018 and FY 2019 funding.
The most recent DOE Order 413.3B approved Critical Decision (CD) is CD-1 (Approve Alternative Selection and Cost Range),approved on July 23, 2018. The TPC cost range is $653,000,000 to $928,000,000. The funding profile supports the currently
estimated TPC of $721,000,000. The CD-4 milestone is 1Q FY 2030. CD-0 established the mission need in FY 2015.
A Federal Project Director has been assigned to this project and has approved this CPDS. The FPD completed Level 3
certification in FY 2018, and Level 4 certification is in process.
Critical Milestone History
FiscalYear

CD-0

FY 2020

11/12/2015

Conceptual
DesignComplete
7/23/2018

CD-1

CD-2

7/23/2018

3Q FY 2020

Final
DesignComplete
4Q FY 2021

CD-3

D&D
Complete

CD-4

4Q FY 2021

TBD

1Q FY 2030

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

Science/High Energy Physics/
18-SC-42, Proton Improvement Plan II (PIP-II), FNAL

249

FY 2020 Congressional Budget Justification

D&D Complete – Completion of D&D workCD-4 – Approve Start of Operations or Project Closeout

FiscalYear
FY 2020

Performance
Baseline
Validation
2Q FY 2020

CD-3A
3Q FY 2020

CD-3A – Approve long-lead procurement of niobium for SRF cavities, other long lead components for SRF cryomodules, completion of theremaining site preparation work, and construction of the building that will house the cryogenic plant.

Project Cost History
FiscalYear
FY 2020 a2.

TEC, Design
91,000TEC,
Construction
547,965(dollars in thousands)
OPC, Except
TEC, Total
D&D
638,965
82,035

OPC, D&D

OPC, Total

TPC

N/A

82,035721,000

Project Scope and Justification

Scope
Specific scope elements of the PIP-II project include construction of (a) the SRF linac, (b) cryoplant to support SRF operation,(c) beam transfer line, (d) modifications to the Booster, Recycler and Main Injector synchrotrons, and (e) conventional
facilities:a)

800-MeV Superconducting H− Linac consisting of a 2.1 MeV warm front-end injector and five types of SRF cryomodules
that are CW-capable but operating initially in pulsed mode. The cryomodules include Half Wave Resonator cavities(HWR) at 162.5 MHz, two types of Single Spoke Resonator cavities (SSR1 and SSR2) at 325 MHz, Low-Beta and High-Beta
elliptical cavities at 650 MHz (LB-650 and HB-650). The warm front-end injector consists of an H− ion source, Low Energy
Beam Transport (LEBT), Radiofrequency Quadrupole (RFQ) and Medium Energy Beam Transport (MEBT) that prepare
the beam for injection into the SRF cryomodules. The scope includes the associated electronic power sources,
instrumentation and controls to support linac operation.
The PIP-II Injector Test Facility at Fermilab is an R&D prototype for the front-end injector consisting of H− ion source,
LEBT, RFQ, MEBT, HWR, and SSR1 cryomodule. It is being developed with participation and in-kind contributions fromthe India Department of Atomic Energy (DAE) Labs.

b) Cryoplant with storage and distribution system to support SRF linac operation. The cryoplant is an in-kind contribution
by the India DAE Labs that is similar to the cryoplant being designed and constructed for a high-intensity
superconducting proton accelerator project in India bc) Beam Transfer Line from the Linac to the Booster Synchrotron, including accommodation of an 800-MeV beam dump
and future delivery of beam to the Fermilab Muon Campus.
d) Modification of the Booster, Recycler and Main Injector synchrotrons to accommodate a 50% increase in beam intensity
and construction of a new injection area in the Booster to accommodate 800-MeV injection.
e) Civil construction of conventional facilities, including housings, service buildings, roads, access points and utilities withthe special capabilities required for the linac and beam transport line. The linac housing will be constructed withadequate length to accommodate a future possible extension of the linac energy to 1.0 GeV.
a The project is Pre-CD-2 and has not been baselined. All estimates are preliminary. The preliminary TPC range at CD-1 is $653,000,000 to $928,000,000.
The TPC point estimate is $721,000,000.
b See Section 6.

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FY 2020 Congressional Budget Justification

Significant pieces of the linac and cryogenic scope (a and b, above) will be delivered as in-kind international contributions
not funded by DOE. These include assembly and/or fabrication of linac SRF components and the cryoplant. The rationale ormotivation behind these contributions are institutional and/or industrial technical capability, and interest in SRF technology.
The construction phase scope of in-kind contributions is divided between U.S. DOE Labs, India Department of Atomic Energy(DAE) Labs, Italy National Institute for Nuclear Physics (INFN) Labs, French Atomic Energy Commission (CEA) and National
Center for Scientific Research (CNRS)-National Institute of Nuclear and Particle Physics (IN2P3) Labs, and UK Science &Technology Facilities Council (STFC) Labs, tentatively as indicated in the following table of Scope Responsibilities for PIP-II. a
Construction-phase Scope Responsibilities for PIP-II Linac RF Components
Components
RFQ
HWR
Cryomodule
SSR1
Cryomodule
SSR2
Cryomodule
LB-650
Cryomodule
HB-650
Cryomodule

Quan- Freq.
SRF
tity(MHz) Cavities

Responsibility for
Cavity Fabrication

Responsibility for
Module Assembly

Responsibility
for RF Amplifiers

1

162.5

—

—

U.S. DOE (LBNL)

U.S. DOE (FNAL)

1

162.5

8

U.S. DOE (ANL)

U.S. DOE (ANL)

U.S. DOE (FNAL)

2

325

16

U.S. DOE (FNAL)

India DAE Labs

7

325

35

U.S. DOE (FNAL)

India DAE Labs

11

650

33

Italy INFN (LASA)France CEA (Saclay Lab)

India DAE Labs

4

650

24

UK STFC Labs

UK STFC Labs,
U.S. DOE (FNAL)

India DAE Labs

U.S. DOE (FNAL),
India DAE Labs
France CNRS (IN2P3
Lab)

Cryogenic
Cooling
SourceN/A
India DAE
Labs
India DAE
Labs
India DAE
Labs
India DAE
Labs
India DAE
Labs

Justification
Fermilab’s high-energy neutrino beam, which is the world’s most intense, is inadequate for further groundbreaking
discovery in neutrino physics, a major field of fundamental research in high energy particle physics. Increasing the neutrino
beam intensity requires increasing the proton beam power. The need for higher proton beam power comes at a time whencritical components of the Fermilab accelerator complex (the linac and booster synchrotron) are approaching 50 years old
and are in need of replacement.
PIP-II was identified as one of the highest priorities in the 10-year strategic plan for U.S. High Energy Physics developed by
the High Energy Physics Program Prioritization Panel (P5) and unanimously approved by the High Energy Physics Advisory
Panel (HEPAP), advising DOE and NSF, in 2014. b
The PIP-II project will enhance the Fermilab accelerator complex by enabling the capability to deliver higher-power proton
beams to the neutrino-generating target that serves the LBNF/DUNE program. c The higher proton beam power will comefrom a 1.2 megawatt (MW) beam on target over an energy range of 60-120 GeV, a significant increase of beam power
beyond the current proton beam capability.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Threshold KPPs represent the minimum acceptable performance that the project must achieve. Achievement of theThreshold KPPs will be a prerequisite for approval of CD-4, Project Completion. The Objective KPPs represent the desired
project performance. The KPPs shown below were approved at CD-1 and are preliminary. These KPPs will be updated andfinal versions will be approved at CD-2.
a See Section 6.

b “Building for Discovery: Strategic Plan for U.S. Particle Physics in the Global Context,” HEPAP, 2014.
c LBNF/DUNE is the DOE Long Baseline Neutrino Facility / Deep Underground Neutrino Experiment.

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FY 2020 Congressional Budget Justification

Performance Measure
SRF Linac and BeamTransfer Line
Booster, Recycler andMain Injector Synchrotron
Modifications

Threshold
700 MeV proton beam delivered to the
Booster Injection Region
Booster injection region, Recycler and Main
Injector RF Upgrades installed. Linac beam
injected and circulated in the Booster.

Cryogenic Infrastructure

Cryogenic plant and distribution lines ready
Cryogenic plant and distribution lines ready toto support pulsed RF operation, and operated support CW RF operation, and operated toto 2°K.
2°K.

Civil Construction

Tunnel enclosures and service buildings ready Tunnel enclosures ready to support 1 GeV SRF
to support 700 MeV SRF Linac and Beamlinac and transfer line to the Booster. Service
Transfer Line to the Booster.
Buildings ready to support 800 MeV SRF Linac
and Beam Transfer Line to the Booster.

3.

Objective
800 MeV proton beam delivered to the
Booster Injection Region
8 GeV proton beam transmitted throughRecycler and Main Injector to the Main
Injector beam dump.

Financial Schedule a(dollars in thousands)
BudgetAuthority(Appropriations)

Obligations

Costs b

Total Estimated Cost (TEC)
DesignFY 2018

1,000

1,000

—

FY 2019

20,00020,00020,000 c

FY 2020

15,00015,00015,000Outyears

55,00055,00056,000Total, Design

91,00091,00091,000FY 2020

5,000

5,000

5,000

Outyears

542,965

542,965

542,965

Total, Construction

547,965

547,965

547,965

FY 2018

1,000

1,000

—

FY 2019

20,00020,00020,000FY 2020

20,00020,00020,000 d

Outyears

597,965

597,965598,965

638,965

638,965

638,965

Construction

Total Estimated Costs (TEC)

Total, TEC

a The project is Pre-CD-2 and has not been baselined. All estimates are preliminary. The preliminary TPC range at CD-1 is $653,000,000 to $928,000,000.
The TPC point estimate is $721,000,000.
b
Costs through FY 2018 reflect actual costs; costs for FY 2019 and the outyears are estimates.
c Includes initiation of civil engineering design and site preparation for the cryoplant housing.
d Planned TEC activities are completion of site preparation and initiation of procurement for the cryoplant housing and the cryomodules.

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FY 2020 Congressional Budget Justification

(dollars in thousands)
BudgetAuthority(Appropriations)

Obligations

Costs b12,724

Other Project Costs (OPC)FY 2016

18,71518,715FY 2017

15,22014,155

17,494a

FY 2018

23,10024,165FY 2019

15,00015,00015,000FY 2020

5,000

5,000

5,000

Outyears

5,000

5,000

9,603

82,03582,03582,035FY 2016

18,71518,715

12,724

FY 2017

15,22014,155

17,494

FY 2018

24,10025,16522,214

FY 2019

35,00035,00035,000Total, OPC

22,214

Total Project Costs (TPC)FY 2020

25,00025,00025,000Outyears

602,965

602,965

608,568

721,000

721,000

721,000

Current Total
Estimate

Previous Total
Estimate

Original
Validated
Baseline

76,00015,000

N/A
N/A

N/A
N/A

91,000

N/A

N/A

20,00081,000246,965
200,000
547,965
638,965
215,000

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

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

50,935

N/A

N/A

Total, TPC
4.

Details of Project Cost Estimate(dollars in thousands)

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Site Work
Civil Construction
Technical Equipment
Contingency
Total, Construction
Total, TEC
Contingency, TEC
Other Project Cost (OPC)
OPC except D&D
R&D

a $1,065,000 of FY 2017 funding was attributed towards the Other Project Costs activities in FY 2018.

Science/High Energy Physics/
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FY 2020 Congressional Budget Justification

(dollars in thousands)

5.

Previous Total
Estimate

Original
Validated
Baseline

Conceptual Planning

15,000

N/A

N/A

Conceptual Design

4,000

N/A

N/A

Contingency

12,100

N/A
N/A

Total, OPC

82,035

N/A
N/A

Contingency, OPC

12,100

N/A

N/A

Total Project Cost

721,000

N/A

N/A

Total, Contingency (TEC+OPC)

227,100

N/A

N/A

Schedule of Appropriations Requests
RequestFY 2020 a6.

Current Total
Estimate

Type
TEC
OPC
TPC

Prior Years—
33,93533,935(dollars in thousands)
FY 2018
FY 2019
1,000
20,00023,10015,00024,10035,000FY 2020
20,0005,000
25,000Outyears
597,965
5,000
602,965

Total
638,965
82,035721,000

Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy
Expected Useful Life (number of years)
Expected Future Start of D&D of this capital asset

FY 203020
FY 2050

Fermilab will operate the PIP-II linac as an integral part of the entire Fermilab accelerator facility. Related funding estimatesfor operations, utilities, maintenance and repairs are incremental to the balance of the Fermilab accelerator complex forwhich the present cost of operation, utilities, maintenance and repairs is approximately $100 million annually.

Operations
Utilities
Maintenance & Repair
Total
7.

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
N/A
4,000
N/A
3,000
N/A
2,000
N/A
9,000

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
N/A
80,000N/A
60,000N/A
40,000N/A
180,000

D&D Information

The new area being constructed in this project is not replacing existing facilities.

New area being constructed by this project at Fermilab ................................................................................

Square Feet
127,540

a The project is Pre-CD-2 and has not been baselined. All estimates are preliminary. The preliminary TPC range at CD-1 is $653,000,000 to $928,000,000.
The TPC point estimate is $721,000,000.

Science/High Energy Physics/
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FY 2020 Congressional Budget Justification

Area of D&D in this project at Fermilab..........................................................................................................
Area at Fermilab to be transferred, sold, and/or D&D outside the project, 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———
127,540—

The one-for-one replacement will be met through banked space. A waiver from the one-for-one requirement to eliminate
excess space at Fermilab to offset PIP-II and other projects was approved by DOE Headquarters on November 12, 2009. The
waiver identified and transferred to Fermilab 575,104 square feet of excess space to accommodate new facilities including
Mu2e, LBNF, DUNE, and other facilities, as-yet unbuilt, from space that was banked at other DOE facilities. The PIP-II Project
is following all current DOE procedures for tracking and reporting space utilization.
8.

Acquisition Approach

DOE is acquiring the PIP-II project through Fermi Research Alliance (FRA), the Management and Operating (M&O) contractor
responsible for Fermilab, rather than have the DOE compete a contract for fabrication to a third party. FRA has a strong
relationship with the high energy physics community and its leadership, including many Fermilab scientists and engineers.
This arrangement will facilitate close cooperation and coordination for PIP-II with an experienced team of project leadersmanaged by FRA, which will have primary responsibility for oversight of all subcontracts required to execute the project. The
arrangement is expected to include subcontracts for the purchase of components from third party vendors as well asdelivery of in-kind contributions from non-DOE partners.
Significant pieces of scope will be delivered as in-kind international contributions, not funded by U.S. DOE. The rationale ormotivation behind these contributions are institutional and/or industrial technical capability, and interest in SRF technology.
Scientific institutions from several countries, tabulated below, are engaged in discussion of potential PIP-II scope
contributions within the framework of international, government-to-government science and technology agreements.
Country
U.S.

Scientific Agencies and Institutions Discussing Potential Contributions of Scope for PIP-II
Funding Agency
Institutions
Department of Energy (DOE)
Fermi National Accelerator Laboratory (FNAL);
Lawrence Berkeley National Laboratory (LBNL);
Argonne National Laboratory (ANL)

India

Department of Atomic Energy (DAE)

Bhabha Atomic Research Centre (BARC), Mumbai;Inter University Accelerator Centre (IUAC), New Delhi;
Raja Ramanna Centre for Advanced Technology (RRCAT), Indore;
Variable Energy Cyclotron Centre (VECC), Kolkata

Italy

National Institute for Nuclear Physics (INFN)

Laboratory for Accelerators and Applied Superconductivity(LASA), MilanFranceAtomic Energy Commission (CEA)
National Center for Scientific Research (CNRS)

Saclay Nuclear Research Center;
National Institute of Nuclear & Particle Physics (IN2P3), Paris

UK

Science & Technology Facilities Council (STFC)

Daresbury Laboratory

For example, joint participation by U.S. DOE and the India DAE in the development and construction of high intensity
superconducting proton accelerator projects at Fermilab and in India is codified in Annex I to the “Implementing Agreement
Science/High Energy Physics/
18-SC-42, Proton Improvement Plan II (PIP-II), FNAL255

FY 2020 Congressional Budget Justification

between DOE and Indian Department of Atomic Energy in the Area of Accelerator and Particle Detector Research andDevelopment for Discovery Science for High Intensity Proton Accelerators,” signed in January 2015 by the U.S. Secretary ofEnergy and the India Chairman of DAE. A “Joint R&D Document” subsequently was developed between FNAL and the DAE
Labs, outlining the specific roles and goals of the collaborators during the R&D phase of the PIP-II project. This R&D
agreement is expected to lead to a similar agreement for the construction phase, describing roles and in-kind contributions.
Similar agreements for PIP-II are being developed with Italy, France and the UK.
The Office of Science is putting mechanisms into place to facilitate joint consultation between the partnering funding
agencies, such that coordinated oversight and actions will ensure the success of the overall program. Similar mechanisms
for international partnering are being employed by the Office of Science successfully for the DOE LBNF/DUNE project andfor DOE participation in LHC-related projects hosted by CERN.
Domestic engineering and construction subcontractors will perform the civil construction at Fermilab. An architecturalengineering contract was placed on a time-and-material basis for design of the site preparation scope. Fermilab isdeveloping a procurement for an architectural-engineering contract on a firm fixed price basis for the overall Preliminary
and Final Designs with an option for construction support. The general construction subcontract will be placed on a firmfixed-price basis.
All subcontracts will be competitively bid and awarded based on best value to the government. Fermi Site Office provides
contract oversight for FRA’s plans and performance. Project performance metrics for FRA are included in the M&O
contractor’s annual performance evaluation and measurement plan.

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FY 2020 Congressional Budget Justification

11-SC-40, Long Baseline Neutrino Facility/Deep Underground Neutrino Experiment (LBNF/DUNE)
Fermi National Accelerator Laboratory
Project is for Design and Construction
1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 Request for Long Baseline Neutrino Facility (LBNF)/Deep Underground Neutrino Experiment (DUNE) is$100,000,000. The preliminary Total Project Cost (TPC) range is $1,260,000,000 to $1,860,000,000, as approved for CD-3A
on September 1, 2016 with a preliminary CD-4 date of 4Q FY 2030. The range includes the full cost of the DOE contribution
to the LBNF host facility and the DUNE experimental apparatus excluding foreign contributions.
The LBNF/DUNE construction project is a federal, state, private, and international partnership developing and implementing
the technologies of particle accelerators and detectors to enable world-leading research into the fundamental physics ofneutrinos, which are the most ubiquitous particles in the universe while at the same time among the most mysterious.
Neutrinos are intimately involved in nuclear decay processes and high energy nuclear reactions. LBNF/DUNE will study thetransformations of muon neutrinos that occur as they travel to a large detector in South Dakota, 800 miles away from
Fermilab where they are produced in a high-energy beam. The experiment will analyze the rare, flavor-changing
transformations of neutrinos in flight, from one lepton flavor to another, which are expected to help explain thefundamental physics of neutrinos and the puzzling matter-antimatter asymmetry that enables our existence in a matterdominated universe.
The LBNF/DUNE project comprises a national flagship particle physics initiative. LBNF/DUNE will be the first-ever large-scaleinternational science facility hosted by the United States. As part of implementation of High Energy Physics Advisory PanelParticle Physics Project Prioritization Panel (P5) recommendations, the LBNF/DUNE project consists of two multinational
collaborative efforts:

LBNF is responsible for the beamline at Fermilab and other experimental and civil infrastructure at Fermilab and at the
Sanford Underground Research Facility (SURF) in South Dakota. It is currently operated by the South Dakota Science andTechnology Authority (SDSTA), an agency of the State of South Dakota, and hosts experiments supported by DOE, NSF,
and major research universities.

DOE entered into a land lease with the SDSTA on May 20, 2016 covering the area on which the DOE funded facilities will
be housed and the LBNF and DUNE detector will be built. The lease and related realty actions provides the frameworkfor DOE and Fermilab to construct federally funded buildings and facilities on non-federal land, and to establish a longterm (multi-decade) arrangement for DOE and Fermilab to use SDSTA space to host the neutrino detector. Other Project
Costs (OPC) funding has been identified in years FY 2018-FY 2026 for plant support costs provided by SDSTA.

DUNE is an international scientific collaboration responsible for defining the scientific goals & technical requirements
for the beam and detectors, as well as the design, construction & commissioning of the detectors and subsequent
research program.

DOE’s High Energy Physics program manages both activities as a single, line-item construction project—LBNF/DUNE. LBNF,
with DOE/Fermilab leadership and minority participation by a small number of international partners including CERN, will
construct a megawatt-class neutrino source and related facilities at Fermilab (the “Near Site”), as well as undergroundcaverns and cryogenic facilities in South Dakota (the “Far Site”) needed to house the DUNE detectors. DUNE hasinternational leadership and participation by about 1,000 scientists and engineers from over 160 institutions in over 30
countries. The mass of the detectors totaling 40 kilotons will be distributed in four cryostats housed in large caverns at SURF.
An additional cavern at SURF will accommodate the cryogenic and other utility systems. DOE will fund less than a third of
DUNE. DOE continues to refine the development of the design and cost estimates as the U.S. DOE contributions to themultinational effort are now better understood. Fermilab continues to identify and incorporate additional design activities
Science/High Energy Physics/11-SC-40,
Long Baseline Neutrino Facility/
Deep Underground Neutrino Experiment (LBNF/DUNE)FY 2020 Congressional Budget Justification257

and prototypes into the project design. The cost estimate for the DOE contribution will be updated in FY 2019 as planning
continues in preparation for CD-2.
Fermilab and DOE are negotiating contributions from the international partners to LBNF/DUNE. DOE and CERN signed anagreement in May 2017 that CERN will provide in-kind contributions worth $165,000,000 for LBNF/DUNE. In September
2017, the United Kingdom announced an $88,000,000 grant to a UK collaboration that will provide in-kind contributions to
LBNF/DUNE and the Proton Improvement Plan II project. In April 2018, DOE and India-Department of Atomic Energy (DAE)signed an agreement providing for neutrino physics collaboration between Fermilab and India, opening the way foradvancing LBNF/DUNE project contributions. Fermilab is still finalizing the detailed distribution between the projects. For
the DUNE detectors, the collaboration put in place a process to complete a technical design of the detectors and divide thework of building the detectors between the collaborating institutions. The review of the detector design with a complete setof funding responsibilities by the Long Baseline Neutrino Committee will take place in 2019. SC will manage all DOE
contributions to the facility and the detectors according to DOE Order 413.3B, and Fermilab will provide unified project
management reporting.
FY 2018 funding was used to continue project engineering design activities in preparation for CD-2, and to initiate preexcavation site preparations for the equipment caverns at the Far Site as approved by CD-3A. FY 2019 funding supports anincrease in the level of Far Site preparation at SURF with maintenance and refurbishment activities to the mine shaft, hoists,
ventilation systems, and general support infrastructure to allow for safe and reliable access prior to initiating excavation andunderground construction.
The FY 2020 Request will support the Far Site civil construction activities for pre-excavation of the underground equipment
caverns and connecting drifts (tunnels), as well as design and procurement activities for Far Site cryogenics systems. The
Request will also support Near Site (Fermilab) beamline and conventional facilities design and a site-preparation
construction subcontract at the Near Site for relocation of existing service roads and utilities including communications,power, and water systems. The Request supports the start of construction and fabrication for technical systems, which will
be funded when design is final and authorized by CD-3, including contributions to the DUNE detectors.
Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2019 CPDS and does not include a new start for FY 2020.
This project was initiated with TEC funds in FY 2012.
The most recent approved DOE Order 413.3B is CD-3A, approval for Initial Far Site Construction: initiating excavation andconstruction for the LBNF Far Site conventional facilities in order to mitigate risks and minimize delays for providing a facility
ready to accept detectors for installation. A Construction Manager/General Contractor (CM/GC) was selected in FY 2017 fordelivery of the Far Site conventional facilities scope that was approved at the end of FY 2016. The refurbishment of the Ross
Shaft, which will transport materials during the excavation of the caverns and the construction of the detectors, reached the
4,850 foot level, which is where the caverns will be excavated. The final design of the Far Site civil construction and thepreliminary design of the beam line began.
Updated planning and analysis has increased the TPC point estimate for LBNF/DUNE to $1,850,000,000 and was reviewed by
an Independent Project Review held January 8-10, 2019.
A Federal Project Director with a certification level 4 has been assigned to this project and has approved this CPDS.
Critical Milestone History
FiscalYear

CD-0

Conceptual
DesignComplete

CD-1

CD-2

FY 2011 1/8/2010
1Q FY 2011
TBD
Science/High Energy Physics/11-SC-40,
Long Baseline Neutrino Facility/
Deep Underground Neutrino Experiment (LBNF/DUNE)
258

Final
DesignComplete
4Q FY 2013

CD-3

D&D
Complete

CD-4

TBD

TBD

TBD

FY 2020 Congressional Budget Justification

FiscalYear

CD-0

FY 2012FY 2016 a
FY 2017
FY 2018
FY 2019
FY 2020

1/8/2010
1/8/2010
1/8/2010
1/8/2010
1/8/2010
1/8/2010

Conceptual
DesignComplete
12/10/2012
11/5/2015 b
11/5/2015b
11/5/2015b
11/5/2015b

CD-1

CD-2

2Q FY 201212/10/2012
11/5/2015b
11/5/2015b
11/5/2015b
11/5/2015b

TBD
4Q FY 2017
1Q FY 2020
1Q FY 2021
1Q FY 2021
1Q FY 2021

Final
DesignComplete
2Q FY 2015
4Q FY 2019
1Q FY 2020
1Q FY 2022
1Q FY 2022
1Q FY 2022

CD-1R
11/5/2015
11/5/2015
11/5/2015
11/5/2015

CD-3

D&D
Complete

CD-4TBD
4Q FY 2019
1Q FY 2020
1Q FY 2022
1Q FY 2022
1Q FY 2022

TBD
N/A
N/A
N/A
N/A
N/A

TBD
4Q FY 2027
4Q FY 2030
4Q FY 2030
4Q FY 2030
4Q FY 2030

CD-3A

CD-3B

CD-3(C)

2Q FY 2016
9/1/2016
9/1/2016
9/1/2016

3Q FY 2018
1Q FY 2021
1Q FY 2021
1Q FY 2021

1Q FY 2020
1Q FY 2022
1Q FY 2022
1Q FY 2022

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

Fiscal Year
FY 2017
FY 2018
FY 2019
FY 2020

Performance
Baseline
Validation
1Q FY 2020
1Q FY 2021
1Q FY 2021
1Q FY 2021

CD-1R – Refresh of CD-1 approval for the new Conceptual Design.
CD-3A – Approve Initial Far Site Construction: initiating excavation and construction for the LBNF Far Site conventional facilities in order tomitigate risks and minimize delays for providing a facility ready to accept detectors for installation.
CD-3B – Approve Start of Far Site Construction: procurement of the remaining Far Site scope for conventional facilities, cryogenic systems
and detectors.
CD-3(C) – Approve Start of Near Site Construction: procurement of Near Site scope and any remaining LBNF/DUNE scope. (Same as CD-3.)

Project Cost History
FiscalYear
FY 2011
FY 2012FY 2016 c
FY 2017
FY 2018
FY 2019

TEC, Design
102,000
133,000
127,781
123,781234,375
231,000

TEC,
Construction
TBD
TBD
655,6121,290,680
1,199,000
1,234,000(dollars in thousands)
OPC, Except
TEC, Total
D&D
TBD
22,180TBD
42,621
783,393
89,5391,414,461
85,5391,433,375
102,625
1,465,000
95,000

OPC, D&D

OPC, Total

TPC

TBD
TBD
N/A
N/A
N/A
N/A

TBD
TBD
89,53985,539102,625
95,000

TBD
TBD
872,932
1,500,000
1,536,000
1,560,000

a No CPDS was submitted for FY 2013, FY 2014 or FY 2015 because no TEC funds were requested; however, design funds were provided in each year’s
appropriation.
b
Critical Decision CD-1 was approved for the new conceptual design by an ESAAB approval (CD-1R) on November 5, 2015.
c No CPDS was submitted for FY 2013, FY 2014 or FY 2015 because no TEC funds were requested; however, design funds were provided in each year’s
appropriation.

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FiscalYear
FY2020 ab2.

TEC, Design

TEC,
Construction

TEC, Total

OPC, Except
D&D

OPC, D&D

OPC, Total

TPC

259,000

1,496,000

1,755,000

95,000N/A

95,0001,850,000

Project Scope and Justification

Scope
LBNF/DUNE will be composed of a neutrino beam created by new construction as well as modifications to the existingFermilab accelerator complex, massive neutrino detectors (at least 40,000 tons in total) and associated cryogenics
infrastructure located in one or more large underground caverns to be excavated at least 800 miles “downstream” from theneutrino source, and a much smaller neutrino detector at Fermilab for monitoring the neutrino beam near its source. A
primary beam of protons will produce a neutrino beam directed into a target for converting the protons into a secondary
beam of particles (pi mesons and muons) that decay into neutrinos, followed by a decay tunnel hundreds of meters longwhere the decay neutrinos will emerge and travel through the earth to the massive detector. The Neutrinos at the Main
Injector (NuMI) beam at Fermilab is an existing example of this type of configuration for a neutrino beam facility. The new
LBNF beam line will provide a neutrino beam of lower energy and greater intensity than the NuMI beam, and would point toa far detector at a greater distance than is used with NuMI experiments.
For the LBNF/DUNE project, Fermilab will be responsible for design, construction and operation of the major components of
LBNF including: the primary proton beam, neutrino production target, focusing structures, decay pipe, absorbers andcorresponding beam instrumentation; the conventional facilities and experiment infrastructure on the Fermilab siterequired for the near detector; and the conventional facilities and experiment infrastructure at SURF for the large detectors
including the cryostats and cryogenics systems.
Justification
Recent international progress in neutrino physics, celebrated by the Nobel Prizes for Physics in 1988, 1995, 2002, and 2015,
provides the basis for further discovery opportunities. Determining relative masses and mass ordering of the three known
neutrinos will give guidance and constraints to theories beyond the Standard Model of particle physics. The study andobservation of the different behavior of neutrinos and antineutrinos will offer insight into the dominance of matter overantimatter in our universe and therefore, the very structure of our universe. The only other source of the matter-antimatterasymmetry, in the quark sector, is too small to account for the observed matter dominance.
Among the technical issues addressed in the alternatives analysis were the preferred detector technology and the neutrino
beamline design. After a thorough study, both technologies were found capable of meeting the performance requirements
if located underground, only liquid argon could work on the surface, and is less expensive. A low energy neutrino beam to
SURF and the current NuMI beam were compared. The new LBNF beam with its lower energy and longer distance to thedetector was shown to be superior.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Threshold KPPs, represent the minimum acceptable performance that the project must achieve. Achievement of theThreshold KPPs will be a prerequisite for approval of CD-4, Project Completion. The Objective KPPs represent the desired
project performance.
a The project is Pre-CD-2 and has not been baselined. All estimates are preliminary. The preliminary TPC range at CD-1 is $1,260,000,000 to $1,860,000,000.
An Independent Project Review was held January 8-10, 2019.
b No construction, other than site preparation, approved civil construction or long-lead procurement will be performed prior to validation of the
Performance Baseline and approval of CD-3.

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The preliminary Key Performance Parameters (KPPs) for project completion that were approved by CD-1 in FY 2015 include
the primary beam and neutrino beam production systems as well as underground caverns excavated for four separate,
10 kiloton detectors (of liquid-argon, time-projection detectors) at the SURF site, 1000-1500 km from the neutrino source.
The DOE contribution for DUNE will include technical components for two of the four detectors, which will be installed andtested with cosmic rays, and components of the cryogenic systems for the detectors, which will be installed and pressure
tested. The KPPs will be finalized at CD-2.
Performance Measure
Primary Beam to produce neutrinos
directed to the far detector site

ThresholdBeamline hardware commissioning
complete and demonstration of
protons delivered to the target

Objective
In addition to Threshold KPPs, systemenhancements to maximize neutrino
flux, enable tunability in neutrinoenergy spectrum or to improveneutrino beam capability

Far Site-Conventional Facilities

Caverns excavated for 40 kiloton
fiducial detector mass a; beneficial
occupancy granted for cavern space tohouse 20 kiloton fiducial detector
massa

In addition to Threshold KPPs,
Beneficial Occupancy granted forremaining cavern space

Detector Cryogenic Infrastructure

DOE-provided components for
Cryogenic subsystems installed andpressure tested for 20 kiloton fiducial
detector mass

In addition to Threshold KPPs,
additional DOE contributions tocryogenic subsystems installed andpressure tested for additional 20
kiloton fiducial detector mass; DOE
contributions to cryostats

Long-Baseline Distance between
neutrino source and far detector

1,000-1,500 kilometers

1,000-1,500 kilometers

Far Detector

DOE-provided components installed incryostats to support 20 kiloton fiducial
detector mass, with cosmic ray
interactions detected in each detector
moduleIn addition to Threshold KPPs,
additional DOE contributions to
support up to 40 kiloton fiducial
detector massa Fiducial detector mass pertains to the mass of the interior volume of the detection medium (liquid argon) that excludes the external portion of thedetection medium where most background events would occur.

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3.

Financial Schedule a(dollars in thousands)
BudgetAuthority(Appropriations)
Obligations
Total Estimated Cost (TEC)
Design c
FY 2012FY 2013
FY 2014
FY 2015

Recovery Act
Costs

Costs b

4,000

4,000

—

—d

3,781

3,781

—

801

16,000—7,109

12,000—15,791
26,436 e

16,00012,000FY 2016

26,00026,000—FY 2017

48,58548,585—37,257FY 2018

25,00025,000—39,829 f

FY 201970,00070,000—70,000FY 2020

20,00020,000—20,000Outyears

33,634

33,634—

41,777

Total, Design259,000

259,000—

259,000

Construction
FY 2017

1,415

1,415

—

13,000FY 201870,00070,000—6,347 g

FY 201960,00060,000—60,000FY 202080,00080,000—80,000 h

Outyears

1,284,585

1,284,585—

1,336,653

Total, Construction

1,496,000

1,496,000—

1,496,000

4,000

4,000

—

–
801

Total Estimated Costs (TEC)FY 2012FY 2013

3,781

3,781

—

FY 2014

16,00016,000—7,109

FY 2015

12,00012,000—15,791a The project is Pre-CD-2 and has not been baselined. All estimates are preliminary. The preliminary TPC range at CD-1 is $1,260,000,000 to $1,860,000,000.
Design and international collaboration plans are currently being developed; outyears are preliminary. An Independent Project Review was held January 810, 2019.
b Costs through FY 2018 reflect actual costs; costs for FY 2019 and the outyears are estimates.
c Design Only CPDS was prepared in FY 2012; no CPDS was prepared FY 2013-2015. Funding amounts shown for traceability. FY 2016 and onward CPDS
prepared as Design and Construction.
d $1,078,000 was erroneously costed to this project in FY 2012, the accounting records were adjusted in early FY 2013.
e Costs were for starting Far Site preparation including safety and reliability refurbishment of the underground infrastructure, which was needed prior toinitiating excavation of the equipment caverns.
f Estimated costs are for continuing project engineering design in preparation for CD-2.
g
Estimated costs are for initiating excavation of the equipment caverns at the Far Site as approved by CD-3A.
h Estimated costs are for the Far Site civil construction excavation activities as well as design and procurement for Far Site cryogenics systems. Also will
support beamline and conventional facilities design and a site-preparation construction subcontract at the Near Site (Fermilab).

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FY 2016
FY 2017
FY 2018(dollars in thousands)
BudgetAuthority(Appropriations)
Obligations
26,00026,00050,00095,000Recovery Act
Costs—

Costs b26,43650,000—50,25795,000—46,176130,000

FY 2019

130,000

130,000—

FY 2020

100,000

100,000—

100,000

Outyears

1,318,219

1,318,219—

1,378,430

1,755,000

1,755,000—

1,755,000

12,486 a

12,486——

FY 2010

14,17814,178

4,696

6,336

FY 2011

7,768

7,750

Total, TEC
Other Project Costs (OPC)FY 2009
Recovery Act

7,233
b

557

11,321c

FY 201217,00017,018FY 2013

14,107

14,107—

13,232

FY 2014

10,00010,000—11,505

10,000—10,079

86

—

2,284
120

FY 2015
FY 2016

10,00086

17,940FY 2017———

FY 2018

1,000

1,000

—

86

FY 2019

1,000

1,000

—

1,000

FY 2020

4,000

4,000

—

4,000

Outyears

3,375

3,375

—

4,611

95,00095,00012,48682,514

12,486

12,486––

FY 2010

14,17814,178

4,696

6,336

FY 2011

7,768

7,750

7,233

11,321

FY 2012FY 201321,00021,018557

17,94017,888—14,03326,000—18,61425,87028,720Total, OPC
Total Project Costs (TPC)FY 2009
Recovery Act

FY 2014

17,88826,000FY 2015

22,00022,000—FY 2016

26,08626,086—

a $13,000,000 of Recovery Act funding was originally planned for the conceptual design; the difference of $512,000 relates to pre-conceptual design
activities needed prior to approval of mission need (CD-0).
b$18,000 of FY 2011 funding was attributed towards the Other Project Costs activities in FY 2012.
c During FY 2012, $1,000 of Recovery Act funding was recategorized from pre-conceptual design and so became part of the OPC. $3,000 was deobligatedand expired because Recovery Act funds are no longer available for obligation.

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FY 2017(dollars in thousands)
BudgetAuthority(Appropriations)
Obligations
50,00050,000Costs b50,377FY 2018

96,00096,000—46,262

FY 2019

131,000

131,000—

131,000—

104,000—
12,486

1,383,041

FY 2020

104,000

104,000

Outyears

1,321,594

1,321,594

1,850,000

1,850,000

Total, TPC
4.

Recovery Act
Costs—

1,837,514

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

Previous Total
Estimate

Original
Validated
Baseline

Design234,000

208,000
23,000

N/A

Contingency

25,000259,000

231,000

N/A

Total Estimated Cost (TEC)
DesignTotal, Design
Construction
Far Site Civil Construction a

N/A

521,000

360,375b

370,000

317,375

N/A
N/A

Far Site Technical Infrastructure c

117,000

108,125

N/A

Fermilab Site Beamlinec

107,000

125,125

DUNE Detectors

84,00082,000

N/A

Contingency

297,000

241,000

1,496,000

1,234,000

1,755,000

1,465,000

322,000

264,000

R&D

20,625

20,625

Conceptual Planning

30,00030,000Conceptual Design

35,00035,000

Other OPC Costs

9,375

9,375

Fermilab Site Civil Construction

Total, Construction
Total, TEC
Contingency, TEC

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

Other Project Cost (OPC)
OPC except D&D
N/A
N/A
N/A
N/A

a Far Site civil construction involves excavation of caverns at SURF, 4850 ft. below the surface, for technical equipment including particle detectors andcryogenic systems.
bFermilab Site civil construction involves construction of the housing for the neutrino-production beam line and the near detector.
c Technical equipment in the DOE scope, estimated here, will be supplemented by in-kind contributions of additional technical equipment, for theaccelerator beam and particle detectors, from non-DOE partners as described in Section 1.

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(dollars in thousands)
Previous Total
Estimate

95,00095,000N/A

Total Project Cost

1,850,000

1,560,000

N/A

Total, Contingency (TEC+OPC)
Schedule of Appropriations Requests a

322,000

264,000

N/A

Total, OPC

5.

RequestFY 2011

FY 2012FY 2016

FY 2017

FY 2018

FY 2019

FY 2020 c
6.

Original
Validated
Baseline

Current Total
Estimate

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

Prior Years
102,000
22,180124,180
133,000
42,621
175,62151,78189,539141,320
106,80285,539192,341
111,781
85,625
197,406
111,781
85,625
197,406
111,781
85,625
197,406(dollars in thousands)
FY 2018
FY 2019
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
54,900—100—
55,000—54,900113,000
100
1,000
55,000114,000
95,000130,000
1,000
1,000
96,000131,000

FY 2020
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
100,000
4,000
104,000

Outyears b
—
—
—
—
—
—
731,612—731,6121,307,659—
1,307,659
1,266,694
16,9001,283,594
1,185,319
8,275
1,193,594
1,318,219
3,375
1,321,594

Total
102,000
22,180124,180
133,000
42,621
175,621783,393
89,539872,932
1,414,461
85,5391,500,000
1,433,375
102,625
1,536,000
1,465,000
95,0001,560,000
1,755,000
95,0001,850,000

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

FY 203020
FY 2050

Operations and maintenance funding of this experiment will become part of the existing Fermilab accelerator facility.
Annual related funding estimates include the incremental cost of 20 years of full operation, utilities, maintenance andrepairs with the accelerator beam on. The estimates also include operations and maintenance for the remote site of thelarge detector.
a Design and international collaboration plans are currently being developed; outyears are preliminary.

b Outyear requests are grouped as the project is pre-CD-2 and has not been baselined. All estimates are preliminary. For the first column of Request Year,the outyears represent the time period beyond that specific requested Budget Year.
c The project is Pre-CD-2 and has not been baselined. All estimates are preliminary. The preliminary TPC range at CD-1 was $1,260,000,000 to$1,860,000,000. An Independent Project Review was held January 8–10, 2019.

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Operations
Utilities
Maintenance & Repair
Total
7.

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
9,000
9,000
8,000
8,000
1,000
1,000
18,00018,000Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
180,000
180,000
160,000
160,000
20,00020,000360,000
360,000

D&D Information

The new area being constructed in this project is replacing existing facilities.

New area being constructed by this project at Fermi National Accelerator Laboratory ................................
New area being constructed by this project at Sanford Underground Research Facility (SURF) ....................
Area of D&D in this project at Fermi National Accelerator Laboratory ........................................................
Area at Fermi National Accelerator Laboratory to be transferred, sold, and/or D&D outside the project,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
48,20093,800—48,200—93,800—The one-for-one replacement has been met through banked space. A waiver from the one-for-one requirement to eliminate
excess space at Fermilab to offset the LBNF/DUNE project was approved by DOE Headquarters on November 12, 2009. The
waiver identified and transferred to Fermilab 575,104 square feet of excess space to accommodate the new LBNF/DUNE
facilities and other as yet unbuilt facilities from space that was banked at other DOE facilities.
8.

Acquisition Approach

The acquisition approach is documented in the Acquisition Strategy approved as part of CD-1. DOE is acquiring design,
construction, fabrication, and operation of LBNF through the M&O contractor responsible for Fermilab, Fermi Research
Alliance (FRA). FRA and Fermilab, through the LBNF Project based at Fermilab, is responsible to DOE to manage andcomplete construction of LBNF at both the near and remote site locations. FRA and Fermilab are assigned oversight andmanagement responsibility for execution of the international DUNE project, to include management of the DOE
contributions to DUNE. The basis for this choice and strategy is that:






Fermilab is the site of the only existing neutrino beam facility in the U.S. and, in addition to these facilities, provides asource of existing staff and expertise to be utilized for beamline and detector construction.
Fermilab can best ensure that the design, construction, and installation of key LBNF and DUNE components arecoordinated effectively and efficiently with other research activities at Fermilab.
Fermilab has a DOE-approved procurement system with established processes and acquisition expertise needed toobtain the necessary components and services to build the scientific hardware, equipment and conventional facilities
for the accelerator beamline, and detectors for LBNF and DUNE.
Fermilab has extensive experience in managing complex construction, fabrication, and installation projects involving
multiple national laboratories, universities, and other partner institutions, building facilities both on-site and at remoteoff-site locations.

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Science and Technology Authority (SDSTA), organizations that manage and operate the remote site for the far detector
in Lead, SD;
Fermilab has extensive experience with management and participation in international projects and international
collaborations, including most recently the LHC and CMS projects at CERN, as well as in the increasingly international
neutrino experiments and program.

The LBNF/DUNE construction project is a federal, state, private and international partnership. Leading the LBNF/DUNE
Project, Fermilab will collaborate and work with many institutions, including other DOE national laboratories (e.g. BNL, LBNL
and SLAC), dozens of universities, foreign research institutions, SURF, and the SDSTA. Fermilab will be responsible for overall
project management, Near Site conventional facilities, and the beamline. Fermilab will work with SDSTA and SURF tocomplete the conventional facilities construction at the remote site needed to house and outfit the DUNE far detector. With
the DUNE collaboration, Fermilab is also responsible for technical and resource coordination to support the DUNE far andnear detector design and construction. DOE will be providing in-kind contributions to the DUNE collaboration for detector
systems, as agreed upon with the international DUNE collaboration.
International participation in the design, construction, and operation of LBNF and DUNE will be of essential importancebecause the field of High Energy Physics is international by nature; necessary talent and expertise are globally distributed,
and DOE does not have the procurement or technical resources to self-perform all of the required construction andfabrication work. Contributions from other nations will be predominantly through the delivery of components built in theirown countries by their own researchers. DOE will negotiate agreements in cooperation with the Department of State on abilateral basis with all contributing nations to specify their expected contributions and the working relationships during theconstruction and operation of the experiment. For the DUNE detector, the process of developing in-kind contributions isbeing driven by the principal investigators and being reviewed by their funding agencies.
DOE funding for the LBNF/DUNE Project will be provided directly to Fermilab and collaborating DOE national laboratories via
approved financial plans, and under management control of the LBNF/DUNE-U.S. Project Office at Fermilab which will also
manage and control DOE funding to the combination of university subcontracts and direct fixed-price vendor procurementsthat are anticipated for the design, fabrication and installation of LBNF and DUNE technical components. All actions will
perform in accordance with DOE approved procurement policies and procedures.
Much of the neutrino beamline component design, fabrication, assembly, and installation will be done by Fermilab staff orby subcontract temporary staff working directly with Fermilab personnel. The acquisition approach includes both new
procurements based on existing designs, and re-purposed equipment from the Fermilab accelerator complex. Some highly
specialized components will be designed and fabricated by or in consultation with long-standing Fermilab collaborators
having proven experience with such components.
Delivery of LBNF conventional facilities at the Fermilab Near Site and SURF Far Site will be via the Construction
Manager/General Contractor (CM/GC) model. This strategy was chosen to reduce risk, enhance quality and safety
performance, provide a more collaborative approach to construction, and offer the opportunity for reduced cost andshortened construction schedules.
For the LBNF Near Site conventional facilities at Fermilab, the laboratory will subcontract with an architect/engineer (A/E)
firm for design, and with a CM/GC subcontractor to manage construction of LBNF Near Site facilities.
For the LBNF Far Site conventional facilities at SURF, Fermilab will work with SDSTA, the owner of the site and land, which
has been donated to SDSTA by the Barrick Gold Corporation for the sole purpose of facilitating scientific and technologicalresearch and development. Fermilab is contracting with an A/E firm for design of LBNF Far Site conventional facilities at
SURF and with a CM/GC subcontractor to manage the construction of LBNF Far Site facilities. The CM/GC subcontractor will
furnish all labor, equipment and materials for Far Site conventional facilities construction management. Work includes preconstruction construction management services and an option for executing the construction and management of the
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construction. The CM/GC subcontractor staff has proven experience in the area of construction management andconstruction of industrial and heavy construction projects. The CM/GC firm will provide support services to the LBNF andA/E teams, including input regarding the selection of materials, building systems and equipment, construction feasibility,
value engineering, and factors related to construction, plus cost estimates and schedules, including estimates of alternative
designs or materials. The CM/GC will also provide recommendations of actions designed to minimize adverse effects oflabor or material shortages, time requirements for procurement and installation and construction completion.
The overall approach to both Near and Far Site enables Fermilab to gain construction management expertise early in thedesign phase to produce well-integrated designs and well understood constructability, with potential cost and management
efficiencies and reduced construction risk as a result.
DOE entered into a land lease with SDSTA on May 20, 2016 covering the area on which the DOE funded facilities housing
and supporting the LBNF and DUNE detector will be built. The lease and related realty actions provides the framework for
DOE and Fermilab to construct federally funded buildings and facilities on non-federal land, and to establish a long-term(multi-decade) arrangement for DOE and Fermilab to use SDSTA space to host the DUNE experiment. Modifications, repairs,
replacements, and improvements to SDSTA infrastructure will be funded by the project to ensure safe and reliable
operations of the systems required to carry out the DOE mission. Protections for DOE’s real property interests in theseinfrastructure tasks are acquired through the lease with SDSTA, contracts and other agreements such as easements. DOE
plans for Fermilab to have responsibility for managing and operating the LBNF and DUNE far detector and facilities for a
useful lifetime of 20 years and may contract with SDSTA for day-to-day management and maintenance services. At the endof useful life, federal regulations permit transfer of ownership to SDSTA, which is willing to accept ownership as a condition
for the lease. An appropriate decommissioning plan was developed prior to lease signing.

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Nuclear Physics
Overview
One of the enduring mysteries of the universe is the nature of matter—what are its basic constituents and how do theyinteract to form the properties we observe? The largest contribution by far to the mass of the visible matter we are familiar
with comes from protons and heavier nuclei. The mission of the Nuclear Physics (NP) program is to discover, explore, andunderstand all forms of nuclear matter. Although the fundamental particles that compose nuclear matter—quarks andgluons—are themselves relatively well understood, exactly how they interact and combine to form the different types ofmatter observed in the universe today and during its evolution remains largely unknown. Nuclear physicists seek tounderstand not just the familiar forms of matter we see around us, but also exotic forms such as those that existed in thefirst moments after the Big Bang and that exist today inside neutron stars, and to understand why matter takes on thespecific forms now observed in nature.
Nuclear physics addresses three broad, yet tightly interrelated, scientific thrusts: Quantum Chromodynamics (QCD); Nuclei
and Nuclear Astrophysics; and Fundamental Symmetries:

QCD seeks to develop a complete understanding of how the fundamental particles that compose nuclear matter, thequarks and gluons, assemble themselves into composite nuclear particles such as protons and neutrons, how nuclear
forces arise between these composite particles that lead to nuclei, and how novel forms of bulk, strongly interacting
matter behave, such as the quark-gluon plasma that formed in the early universe.
Nuclei and Nuclear Astrophysics seeks to understand how protons and neutrons combine to form atomic nuclei,
including some now being observed for the first time, and how these nuclei have arisen during the 13.8 billion years
since the birth of the cosmos.
Fundamental Symmetries seeks to develop a better understanding of fundamental interactions by studying theproperties of neutrons and by performing targeted, single focus experiments using nuclei to study whether the neutrino
is its own anti-particle. Neutrinos are very light, nearly undetectable fundamental particles produced during
interactions involving the weak force, through which they were first indirectly observed in nuclear beta decay
experiments.

The quest to understand the properties of different forms of nuclear matter requires long-term support for both theoreticaland experimental research efforts within the NP portfolio. Theoretical approaches are based on calculations of theinteractions of quarks and gluons described by the theory of QCD using today’s most advanced computers. Quantum
computing holds great potential for obtaining solutions to many-body QCD problems that are intractable with today’s
computers. Other theoretical research that models the forces between nucleons seeks to understand and predict thestructure of nuclear matter. Most experimental approaches in nuclear physics use large accelerators that collide particles atnearly the speed of light, producing short-lived forms of matter for investigation. Nuclear physics uses low-energy, precision
nuclear experiments, many enabled by new quantum sensors to search for a deeper understanding of fundamental
symmetries and nuclear interactions. Comparing experimental observations and theoretical predictions tests the limits ofour understanding of nuclear matter and suggests new directions for experimental and theoretical research.
Highly trained scientists who conceive, plan, execute, and interpret transformative experiments are at the heart of the NP
program. NP supports these university and national laboratory scientists and U.S. participation in select international
collaborations resulting in an average of approximately 90 Ph.D. degrees awarded annually to students for researchsupported by the program. DOE NP is the steward of the nation’s fundamental nuclear physics research portfolio; in
FY 2018, DOE provided ~ 91% and NSF ~ 9 % of the total investment in the U.S. nuclear physics basic research portfolio. As
documented in the 2015 Nuclear Science Advisory Committee (NSAC) Long Range Plan (LRP) for Nuclear Science, Reachingfor the Horizon a, over 40% of the scientists who receive Ph.D.’s in nuclear science find careers in sectors other thanacademia and DOE research laboratories, serving national needs in defense, government, and industry. DOE’s mission andpriorities guide NP research, which in turn develop the core competencies and expertise needed to achieve the goals of the
NP program and train the next generation of nuclear scientists. National laboratory scientists work and collaborate withacademic scientists and other national laboratory experimental and theoretical researchers to collect and analyze data, andto construct, support, and maintain the advanced instrumentation and world-class facilities used in experiments. The
a “Reaching for the Horizon: The 2015 Long Range Plan for Nuclear Science.” Nuclear Science Advisory Committee, October 2015(https://science.energy.gov/~/media/np/nsac/pdf/2015LRP/2015_LRPNS_091815.pdf).

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national laboratories provide state-of-the-art resources for targeted detector and accelerator research and development(R&D) for future upgrades and new facilities. This research develops knowledge, technologies, and trained scientists todesign and build next-generation NP accelerator facilities, and is relevant to machines being developed by other domestic
and international programs.
The world-class scientific user facilities and associated instrumentation necessary to advance the U.S. nuclear science
program are large and complex, and account for a significant portion of the NP budget. NP supports three scientific user
facilities: the Relativistic Heavy Ion Collider (RHIC) at Brookhaven National Laboratory (BNL); the Continuous Electron Beam
Accelerator Facility (CEBAF) at Thomas Jefferson National Accelerator Facility (TJNAF); and the Argonne Tandem Linac
Accelerator System (ATLAS) at Argonne National Laboratory (ANL). Each of these facilities has unique capabilities that
advance the scientific thrusts outlined in the LRP. In FY 2020, these facilities will provide particle beams for an internationaluser community of almost 2,000 research scientists. In FY 2019, approximately 35 percent of these researchers are frominstitutions outside of the U.S. and they provide very significant benefits, including leveraging the U.S. program throughcontributed capital, human capital, and experimental equipment, as well as intellectual contributions. Researchers
supported by other SC programs such as High Energy Physics (HEP) and Basic Energy Sciences (BES), DOE Offices such as the
National Nuclear Security Administration (NNSA) and Nuclear Energy (NE), Federal agencies such as the National Science
Foundation (NSF), the National Aeronautics and Space Administration (NASA), and the Department of Defense (DOD), andindustries, use NP scientific user facilities and core competencies to carry out research programs important for theirrespective missions. The 12 GeV CEBAF Upgrade project, completed in FY 2017 on cost and schedule, offers exciting
opportunities to researchers to study quark structure. Construction of the Facility for Rare Isotope Beams (FRIB), a worldclass nuclear physics scientific user facility with unique capabilities in nuclear structure and astrophysics, continues atMichigan State University (MSU), according to the baseline cost and schedule. This project is over 89% complete and will
provide exciting new capabilities in nuclear structure and astrophysics to better understand the landscape of the periodic
table of elements.
The 2015 NSAC LRP for Nuclear Science recommended a high-energy, high-luminosity polarized Electron-Ion Collider (EIC) as
the highest priority for new facility construction following the completion of FRIB. Consistent with that vision, in 2016 NP
commissioned a National Academy of Sciences (NAS) study by an independent panel of external experts to assess theuniqueness and scientific merit of such a facility. The report a, released in July 2018, strongly supports the scientific case forbuilding a U.S.-based EIC, documenting that an EIC will advance the understanding of the origins of nucleon mass, the originof the spin properties of nucleons, and the behavior of gluons. Further, in 2017 NP commissioned the nuclear physics
community to convene a panel of technical experts to carry out a peer review to identify critical R&D needed to reduce risk
and establish the basic feasibility of various machine concepts for an EIC. The subsequent 2017 report, Report of theCommunity Review of EIC Accelerator R&D for the Office of Nuclear Physics b (the Jones report), was invaluable in aligning
R&D efforts to the highest priority efforts. The FY 2020 Request initiates Other Project Costs (OPC) support for conceptual
design and R&D for the EIC.
Involving students in the development and construction of NP facilities and advanced instrumentation, as well as accelerator
technology and computational techniques, helps to develop the highly trained workforce needed in the field of nuclear
science. In addition to significant advances in discovery science, these facilities and techniques provide collateral benefits
such as the creation of new technologies with broad-based applications in industry and society. NP supports short- and midterm accelerator R&D that is specific to the programmatic needs of its current or planned facilities. In the process,technological advances and core competencies in accelerator science that are developed by NP are also often relevant toother applications and other SC programs. For example, superconducting radio frequency (SRF) particle acceleration
developed for NP programmatic missions has provided technological advances for a broad range of applications including
materials research, cancer therapy, food safety, bio-threat mitigation, national defense, waste treatment, and commercial
fabrication. The Office of Science programs coordinate closely on the different types of accelerator R&D activities to exploit
synergies and avoid duplication of efforts.

a National Academies of Sciences, Engineering, and Medicine. 2018. An Assessment of U.S.-Based Electron-Ion Collider Science. Washington, DC: The
National Academies Press. https://doi.org/10.17226/25171
bhttps://science.energy.gov/~/media/np/pdf/Reports/Report_of_the_Community_Review_of_EIC_Accelerator_RD_for_the_Office_of_Nuclear_Physics_20
170214.pdf

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Highlights of the FY 2020 Request
The FY 2020 Request for $624,854,000 supports the highest priority efforts and capabilities in nuclear science to optimize
scientific productivity. Research thrusts and instrumentation and construction initiatives are closely aligned to guidancefrom National Academy studies and the NSAC LRP. The supported initiatives, infrastructure, scientific user facilities, andR&D efforts maintain U.S. leadership in nuclear science. The Request will continue support for world-class discovery science
research and R&D integration to facilitate the development of important new applications for medicine, commerce, andnational security. Advances will continue to be enabled by world-class experimental user facilities and Nobel prize-worthy
theoretical and experimental nuclear physics research. The Request increases support for quantum information science(QIS) efforts, including quantum computing (QC), for NP experiments and modeling in collaboration with the other SC
program offices. This effort includes the development of quantum sensors based on atomic-nuclear interactions andquantum control (coherent control) techniques, the production of stable isotopes for next generation quantum information
systems, and the development of quantum computing algorithms.
The DOE Isotope Program will continue to introduce new medical isotopes to the community for clinical trials and cancer
therapy, and to support stable isotope enrichment capabilities in the United States to replenish U.S. inventory and reduce
foreign dependence on isotopes of strategic importance for the nation. The Request includes an increase to develop new
production capabilities for isotopes that are in short supply and of paramount importance for the Nation.
The Request for Research supports university and laboratory researchers to nurture critical core competencies and enablehigh priority theoretical and experimental activities to target compelling scientific opportunities at the frontier of nuclear
science, and in concert with guidance from the NAS and the NSAC.
The FY 2020 Request supports world-class research in all scientific thrusts of nuclear science. These include:
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Experimental and theoretical exploitation of the new capabilities enabled by the 12 GeV CEBAF Upgrade to unravel themechanism of quark confinement;
Discovery research at RHIC, the nation’s only remaining collider, to search for a critical point in the phase diagram of
QCD matter and further characterize the quark-gluon plasma (QGP) discovered at RHIC that last existed at the beginningof the cosmos;
Targeted collaboration in the heavy ion program at the CERN LHC to provide U.S. researchers the opportunity toinvestigate states of matter under substantially different initial conditions than those provided by RHIC, providing
complementary information regarding the matter that existed during the infant universe;
The highest priority research in QIS to enable precision nuclear physics measurements, quantum simulations withtrapped ions, and quantum computing solutions to otherwise intractable QCD challenges. NP participates in planned
coordinated SC QIS research and facility activities;
Challenging new experiments at ATLAS to study nuclear structure and nuclear reactions occurring under extreme
conditions in the cosmos that are conjectured to play a central role in the synthesis of heavy elements;
Pioneering R&D in neutrino-less double beta decay to determine whether the neutrino is its own anti-particle, adiscovery that could fundamentally change current understanding of the physical universe;
Funding for the initiation of the High Rigidity Spectrometer (HRS) instrumentation for FRIB. The HRS will enable themost sensitive experiments across the entire span of known nuclei, thereby enabling experiments with the mostneutron-rich nuclei available at FRIB.
Impactful studies into the nature of the neutron at the Fundamental Neutron Physics Beamline at the Spallation
Neutron Source (SNS), and the development of the high-risk, high-discovery potential Neutron Electric Dipole Moment(nEDM) experiment; that could shed light on why there is more matter than anti-matter in the universe.
The highest priority accelerator R&D of relevance to NP next-generation machines and to improve the performance ofexisting machines. Transformative accelerator science activities significantly advance the state-of-the-art in nextgeneration ion sources, SRF technology, beam physics and advanced materials for accelerators.
Targeted investments to develop cutting-edge techniques based on Artificial Intelligence (AI) of relevance to nuclear
science research, accelerator facility operations and automated machine operations in the DOE Isotope Program.
Increased forefront isotope R&D to develop new production methods for critical isotopes in high demand for thenation, including isotopes for medicine that could revolutionize therapy for metastasized cancer, and the developmentof enriched stable isotope production capabilities to reduce the nation’s dependence on foreign supplies and produce
isotopes for quantum computing.

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The Request for Facility Operations includes funding for the operations of the NP scientific user facilities. Requested funding
directs efforts to operations of the facilities to enable world-class science and the optimization of existing capabilities.
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Funding supports RHIC to operate for 1,500 hours in FY 2020. The Request allows for an initial run with the completed
Low Energy RHIC e-Cooler (LEReC) project, an accelerator improvement project, which will enable new capability tofurther increase luminosity in order to carry out a definitive search for a critical point in the phase diagram of QCD
matter. Investments continue in the highest priority accelerator improvement projects and capital equipment for
maintaining operations;
Funding supports CEBAF to operate for 1,020 hours in FY 2020. This continues the highly anticipated science program of
the 12 GeV machine with associated experimental instrumentation. Investments continue in the highest priority
accelerator improvement projects and capital equipment for maintaining operations. A one-time increase to General
Purpose Plant (GPP) funding is provided to fully fund a critical replacement End Station Refrigerator to mitigate end-oflife risk of current equipment and provide added capacity necessary for future experiments;
ATLAS operates as the world’s premiere stable ion beam facility for 2,090 hours to enable compelling experiments innuclear structure and astrophysics. Investments continue in the highest priority accelerator improvement projects andcapital equipment for maintaining operations;Operations funding will be provided to FRIB to partially support the operation of accelerator components as they
complete fabrication and commissioning on the project, and the transition of some associated operational staff to thefacility operations budget;
Support is provided for the experimental physics University Centers of Excellence including the Center for Experimental
Nuclear Physics and Applications (CENPA) at the University of Washington, the Research and Engineering Center at theMassachusetts Institute for Technology (MIT), the High Intensity Gamma Source (HIGS) at Duke University, and theTexas A&M Cyclotron Institute at the Texas A&M University (TAMU). These Centers provide niche capabilities andunique “hands-on” experiences in nuclear science.
Funding fully supports mission readiness and nurtures critical core competencies at the isotope production facilities.
These facilities produce isotopes in short supply that are critical to the nation’s federal complex, research enterpriseand industry. University isotope production capabilities are increased and networked into the DOE Isotope Program forthe production of high priority short-lived isotopes. Operation of the Enriched Stable Isotope Prototype Plant (ESIPP)
increases to replenish U.S. inventory, reduce dependence on foreign suppliers for research quantities of stable isotopes,
and produce isotopes for quantum systems. The DOE Isotope Program participates in planned coordinated SC QIS
research and facility activities.

The Request for Construction and Major Items of Equipment (MIEs) includes:
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Continued construction funding for the Facility for Rare Isotope Beams (FRIB), which will provide world-leading
capabilities for nuclear structure and nuclear astrophysics; the project continues to make impressive progress and isover 89% complete. Construction funding continues according to the baselined profile.
Initiation of engineering design of the U.S. Stable Isotope Production and Research Center (SIPRC) to significantly
increase the domestic production capabilities of stable isotopes for scientific, industrial, national security and medical
uses.
Other Project Costs (OPC) funding to support high priority, critically needed accelerator R&D to retire high risk technicalchallenges for the proposed U.S.-based EIC. Subsequent to the FY 2018 National Academy of Science Report confirming
the importance of a domestic EIC to sustain U.S. world leadership in nuclear science and accelerator R&D corecompetencies. Critical Decision-0, Approve Mission Need, is planned for FY 2019.
Continued funding for the Gamma-Ray Energy Tracking Array (GRETA) MIE, which will enable provision of advanced,
high resolution gamma ray detection capabilities for FRIB.
Initiation of the Ton-scale Neutrinoless Double Beta Decay experiment to determine whether the neutrino is its own
antiparticle. Critical Decision-0, Approve Mission Need, was approved in FY 2019.
Support final year of funding for the Stable Isotope Production Facility (SIPF) MIE, which will provide increased domestic
capability for production of critically needed enriched stable isotopes, and reduce the nation’s dependence on foreign
supply. While FY 2020 represents the final year of funding, this technically driven funding profile will supportcompletion of the facility in FY 2024.

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

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Initiation of the Isotope Harvesting accelerator improvement project at FRIB. This modest project will add harvesting
capabilities to the FRIB, which will provide access to a wide range of isotopes, including unusual isotopes for exploratory
studies.
Continued funding to support the super Pioneering High Energy Nuclear Interaction eXperiment (sPHENIX) MIE, which
will have enhanced capabilities that will further RHIC’s scientific mission by studying high rate jet production. This
project will be implemented with funding from within the RHIC facility budget. sPHENIX will be funded at a reduced
level relative to the planned profile approved at CD-1/CD-3A.
Initiation of the Measurement of a Lepton-Lepton Electroweak Reaction (MOLLER) MIE, which will measure the parityviolating asymmetry in electron-electron scattering with the 12 GeV CEBAF machine. This experiment will search forevidence of physics beyond our current understanding with unprecedented levels of precision, by comparing extremely
small deviations in the outcomes of scattering experiments with the predictions of theory.

Nuclear Physics supports the following FY 2020 Administration Priorities.
FY 2020 Administration Priorities ($K)
Quantum
Information Science
(QIS)
7,000

Nuclear Physics

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Nuclear Physics
Funding ($K)(dollars in thousands)
Medium Energy Nuclear Physics
Research
Operations
Other Research
SBIR/STTR
Total, Medium Energy Nuclear Physics
Heavy Ion Nuclear Physics
Research
Operations
Total, Heavy Ion Nuclear Physics
Low Energy Nuclear Physics
Research
Operations
Total, Low Energy Nuclear Physics
Nuclear Theory
Theory Research
Nuclear Data
Other Project Costs
Total, Nuclear Theory
Isotope Development and Production for Researchand Applications
Research
Operations
Total, Isotopes a
Subtotal, Nuclear Physics

FY 2020 Request vsFY 2019 Enacted

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

40,050112,000
4,152
19,248
175,450

43,286
117,390
3,553
19,961
184,190

35,500114,500
2,667
18,633
171,300-7,786-2,890-886-1,328-12,890

40,050187,500
227,550

37,354
193,125
230,479

30,000186,000
216,000-7,354-7,125-14,479

66,50029,25095,75070,53030,215
100,745

58,45036,83895,288-12,080+6,623-5,45738,7508,600—
47,35046,4698,858—
55,32737,0407,726
1,500
46,266-9,429-1,132+1,500-9,061

11,00029,70040,700586,800

9,808
34,451
44,259615,000

12,00039,00051,000579,854+2,192+4,549+6,741-35,146a All appropriations for the Isotope Development and Production for Research and Applications subprogram fund a payment into the Isotope Production and Distribution Program Fund as required by P.L. 101–

101 and as modified by P.L. 103–316.

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(dollars in thousands)
Construction
14-SC-50, Facility for Rare Isotope Beams
20-SC-51, U.S. Stable Isotope Production andResearch Center
Total, Nuclear Physics

FY 2020 Request vsFY 2019 Enacted

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

97,20075,00040,000-35,000—
684,000—
690,000

5,000
624,854+5,000-65,146

SBIR/STTR Funding: FY 2018 Enacted: SBIR $16,875,000 and STTR $2,373,000
 FY 2019 Enacted: SBIR $17,500,000 and STTR $2,461,000
 FY 2020 Request: SBIR $16,336,000 and STTR $2,297,000

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Nuclear Physics
Explanation of Major Changes ($K)

Medium Energy Nuclear Physics
The Request supports the highest priority research in medium energy nuclear physics at universities and national laboratories. The Request
provides support for the CEBAF accelerator complex, including mission readiness of the four experimental halls, mission readiness of theaccelerator, all power and consumables of the site, computing capabilities for data taking and analysis, cryogenics plant, scientific researchers
on site and at other laboratories and universities, on site accelerator scientists and technicians, and operation of the recently upgraded
CEBAF accelerator to support 1,020 operating hours. The Request provides support for experimental activities that will utilize some of the
newly upgraded experimental halls to implement the 12 GeV CEBAF physics program; 12 GeV researchers from national laboratories anduniversities implement, commission, and operate the highest priority new experiments at CEBAF. The Request fully funds the End Station
Refrigerator GPP to mitigate substantial risk to CEBAF operation. The Request supports high priority investments in capital equipment andaccelerator improvement projects for CEBAF to maintain viability of the facility, and continues investments in maintenance activities andcryomodule refurbishment at CEBAF to improve the performance and reliability of the machine. The Request initiates support for the
MOLLER MIE, which will measure the parity-violating asymmetry in electron-electron scattering at CEBAF. Funding continues for the highest
priority accelerator R&D to support transformative accelerator science activities that significantly advance the state-of-the-art and activities
to reduce risk in next-generations NP machines and improve performance of operating machines.
Heavy Ion Nuclear Physics
The Request supports the highest priority research in heavy ion nuclear physics at universities and national laboratories. It provides funding
for the RHIC accelerator complex including mission readiness and development of the experimental halls and instrumentation, mission
readiness of the suite of accelerators, all power and consumables of the site, cryogenics plant, computing capabilities for data taking andanalysis, scientific researchers on site and at other laboratories and universities, on-site accelerator scientists and technicians, operation of
RHIC for a 1,500 hour run, high priority core competencies, and experimental activities to prepare scientific instrumentation andinfrastructure for the scientific program. The FY 2020 run will continue the high precision scan of the QCD phase diagram and search for thecritical point by looking for signs of critical phenomena in event-by-event fluctuations. The Request supports the highest priority RHIC facility
investments in capital equipment and accelerator improvement projects to maintain viability of the facility. Funding decreases for theongoing sPHENIX MIE which will study high rate jets of particles at RHIC. Support for the U.S. participation in the complementary LHC
program continues although annual U.S. commitments and fees for participation and computing are deferred until the following year, which
may impact U.S. participation. Funding continues for the highest priority accelerator R&D to support transformative accelerator science
activities that significantly advance the state-of-the-art and activities to reduce risk in next-generations NP machines and improve
performance of operating machines.

Science/Nuclear Physics

276(dollars in thousands)
FY 2020 Request vsFY 2019 Enacted-12,890-14,479

FY 2020 Congressional Budget Justification

Low Energy Nuclear Physics
The Request supports the highest priority university and laboratory nuclear structure and nuclear astrophysics efforts at the ATLAS facility,
which will operate for 2,090 hours. The Request supports targeted ATLAS facility investments in accelerator and scientific instrumentation
capital equipment. Funding decreases for the ongoing GRETA MIE for FRIB according to the project plan; a successful implementation of thisdetector will represent a major advance in gamma-ray tracking detector technology that will impact nuclear science as well as detection
techniques in homeland security and medicine. The Request initiates the compelling High Rigidity Spectrometer to exploit the fast beam
capabilities at FRIB. The Request maintains operations of the 88-Inch Cyclotron at the Lawrence Berkeley National Lab (LBNL) for an in-house
nuclear science program and an electronics irradiation capability for the Department of Defense and NASA. Funding maintains operations of
the three experimental University Centers of Excellence, the Texas A&M Cyclotron Facility, the HIGS at the Triangle Universities Nuclear
Laboratory, and the CENPA at the University of Washington. Funding for Fundamental Symmetries research supports the highest priority
activities in neutrinoless double beta decay domestically and abroad to determine whether the neutrino is its own antiparticle; funding isrequested for the highest priority R&D towards next-generation experiments and the initiation of a world-leading ton-scale experiment MIE
to reach unprecedented sensitivities. Funding in Fundamental Symmetries also includes targeted efforts such as the Fundamental Neutron
Physics Beamline at the SNS and the continued development of its flagship experiment that, the nEDM experiment, to study neutron
properties and study matter/anti-matter asymmetries in the universe.
Nuclear Theory
The Request supports the highest priority theory research efforts at laboratories and universities, the U.S. Nuclear Data Program, andcontinues specialized Lattice Quantum Chromodynamics (LQCD) computing hardware at TJNAF and participation in SCIDAC. The Request
supports targeted investments in QIS and quantum computing (QC), including the highest priority R&D on quantum sensors to enableprecision NP measurements, development of quantum sensors based on atomic-nuclear interactions, and development of quantum
computing algorithms applied to quantum mechanical systems and NP topical problems. NP-related QIS and QC efforts have direct relevancefor this area of interest in general, and can lead to advances that are important for applications in QIS and QC. The Request includes OPC
funding for conceptual design and high risk R&D for the proposed Electron-Ion Collider, which recently received a strong endorsement fromthe National Academy of Sciences.

Science/Nuclear Physics

277(dollars in thousands)
FY 2020 Request vsFY 2019 Enacted-5,457-9,061

FY 2020 Congressional Budget Justification

Isotope Development and Production for Research and Applications
The Request increases funding for university and laboratory research in new isotope production techniques and establishes core R&D groups
at two new Isotope Program sites – ANL and MSU. The Request also initiates the FRIB Isotope Harvesting project, an accelerator
improvement project at MSU, is supported to that will add isotope harvesting capabilities to the accelerator. Funding continues to support
targeted efforts to produce Ac-225 and develop other promising cancer therapeutic isotopes for clinical trials and applications. Operations
funding increases to effectively support mission readiness for production activities at national laboratory facilities. The Request provides amodest increase in university operations for a network of university accelerators and reactors to establish cost-effective, regional productionof short-lived isotopes for research and medical applications; this includes the University of Washington cyclotron and University of Missouri
Research Reactor. A modest increase provides for additional staff at the National Isotope Development Center to effectively address thesignificantly expanded Isotope Program product portfolio and the development of Drug Master Files for new medical isotopes. ESIPP is
operated to produce research quantities of enriched stable isotopes. The Request includes increased funding to enhance activities related tothe development of enriched isotopes for next generation quantum information systems and for the DOE Isotope Program participation in
the coordinated SC QIS research and facility activities. The Request supports investments to increase isotope availability and production
capabilities, including He-3 for cryogenics, Li-7 for reactor operations, infrastructure investments to increase processing capabilities ofradioisotopes, and the development of new enriched stable isotope production capabilities for targeted isotopes.

(dollars in thousands)
FY 2020 Request vsFY 2019 Enacted+6,741

Construction
Construction funding ramps down according to the baselined profile for the Facility for Rare Isotope Beams. Engineering effort and long-leadprocurements begins on the new United States Stable Isotope Production and Research Center (U.S. SIPRC) to expand the nation’s
capabilities for expanded production capabilities.

-30,000

Total, Nuclear Physics-65,146

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FY 2020 Congressional Budget Justification

Basic and Applied R&D Coordination
The NP mission supports the pursuit of unique opportunities for R&D integration and coordination with other DOE Program
Offices, Federal Agencies, and non-Federal entities. For example, researchers from the High Energy Physics (HEP), NP, andAdvanced Scientific Computing Research (ASCR) programs coordinate and leverage forefront computing resources and/or
technical expertise through the SciDAC projects and Lattice QCD research to determine the properties of as-yet unobserved
exotic particles predicted by the theory of QCD, advance progress towards a model of nuclear structure with predictive
capability, and dramatically improve modeling of neutrino interactions during core collapse supernovae. The U.S. Nuclear
Data Program provides evaluated cross-section and decay data relevant to a broad suite of Federal missions and topics suchas reactor design (e.g., of interest to the NE and Fusion Energy Sciences [FES] programs), materials under extreme
conditions (of interest to the BES and FES programs), and nuclear forensics (NNSA and the Federal Bureau of Investigations[FBI]). NP leads an Inter-Agency working group including NNSA, Department of Homeland Security (DHS), NE, the DOE
Isotope Program and other Federal Agencies to coordinate targeted experimental efforts on opportunistic measurements toaddress serious gaps and uncertainties in existing nuclear data archives. NP research develops technological advances
relevant to the development of advanced fuel cycles for next generation nuclear reactors (NE); advanced cost-effective
accelerator technology and particle detection techniques for medical diagnostics and treatment (National Institutes of
Health [NIH]); and research in developing neutron, gamma, and particle beam sources with applications in cargo screening(NNSA, DHS, and FBI).
R&D coordination and integration are hallmarks of the NP Isotope Development and Production for Research andApplications subprogram (DOE Isotope Program), which produces commercial and research isotopes in short supply that are
critical for basic research and applications. It also supports research on the development of new or improved production
and separation techniques for stable and radioactive isotopes. NP continues to further align the Federal, industrial, andresearch stakeholders of the DOE Isotope Program and has strong communication between the various communities. To
ascertain current and future demands of the research and applied communities, NP organizes working groups, workshops,
symposia, and discussions with Federal agencies and community and industrial stakeholders on a continuous basis. It also
works collaboratively with other DOE Offices (NNSA, Intelligence and Counterintelligence (IN), Environmental Management(EM), and NE) to help ensure adequate supplies of isotopes needed for their missions, such as lithium-7, which is used by
nuclear power plants as a coolant reagent. The DOE Isotope Program conducts biennial Federal workshops to identify
isotope demand and supply across a broad range of Federal agencies (including NIH, NASA, FBI, DOD, DHS, Department ofTransportation (DOT), NSF, the National Institute of Standards and Technology (NIST), Office of the Director of National
Intelligence (ODNI), Department of State (DOS), and DOE) to ensure that isotopes are available for the federal complex toaccomplish its missions.
Program Accomplishments
Science Under Pressure. New results from scattering electrons off quarks inside nuclei at the Continuous Electron Beam
Accelerator Facility (CEBAF) indicate that the average peak pressure experienced by quarks near the center of protons isabout 1035 pascals, or about 10 times greater than the pressure estimated inside the densest neutron stars. At the very
center of a proton, the pressure experienced by quarks is strongly repulsive. At greater distances from the center, it isattractive. These results will allow exploration of the fundamental gravitational properties of protons, neutrons and nuclei.
They will also help with the continuing quest by modern physics to gain a microscopic understanding of how quarks are
confined within the protons and neutrons forming the nucleus of every atom and the visible mass of the universe. The
recently commissioned 12 GeV CEBAF, which is now delivering beams to four experimental halls simultaneously, will
enable a watershed of new scientific insights including a search for previously unobserved exotic mesons, a sensitive search
for new physics, new understanding of the origin of the proton’s spin, and pioneering tomographic imaging of the proton.
Nuclear and Atomic Worlds in Collision Impact the Synthesis of Heavy Elements. Within the atom’s microsphere, the protons
and neutrons in the nucleus and its much larger surrounding electron cloud, don’t normally interact much. Held together at
a distance by mutual Coulomb attraction they are almost always non-interacting. Rarely however, via a process called“internal conversion” these two subatomic worlds collide and an excited nucleus emits an energetic electron. This process
is known and has been observed; since 1976 however, the question has been whether the inverse process is also possible.
That question has now been answered by scientists working at Argonne National Lab. They made the first observation of afree electron captured into an atomic vacancy resulting in a nucleus being excited to a higher energy state, called nuclear
excitation by electron capture (NEEC). This is particularly significant for models of how heavy elements are synthesized inviolent events in the cosmos. Nuclear states called isomers produced in such cosmic furnaces can be particularly long-lived,
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dramatically impacting the time at which heavy nuclei are “forged”. The discovery of NEEC means the density of long-lived
states can be strongly depleted in favor of shorter lived nuclear states, dramatically accelerating processes by which stableheavy elements, such as gold and platinum, are produced.
A needle in a million-billion-trillion nuclear haystack. Three first-generation experiments have now confirmed that, if one
has the patience to search for an entire year, less than one out of a million-billion-trillion atomic nuclei will decay via
neutrino-less double beta decay. The Majorana Demonstrator (MJD), the Cryogenic Underground Observatory for Rare
Events (CUORE), and the Enriched Xenon Observatory (EXO-200) all now know this is true because they searched diligently
for more than a year and didn’t see a signal. Neutrino-less double beta decay occurs if two neutrons in a nucleus each decay
into a proton and an electron with no emission of neutrinos. The observation of neutrino-less double beta decay would be aparadigm-changing discovery indicating that the neutrino is its own anti-particle—a discovery with profound implications
for the nature of the neutrino, and for resolving the mystery of why the neutrino mass is much, much smaller than theother leptons and the quarks. Ultimately a limit for detection or exclusion of neutrino-less double beta decay 10-100 times
more stringent is the target of future research and next-generation proposed detectors.
An unanticipated new window into the workings of QCD. RHIC has the exceptional advantage of being a dedicated scientificfacility for “chasing down” scientific clues about one of nature’s most guarded mysteries—how QCD, the theory of thestrong force, works. To advance understanding in this area, in 2018, RHIC accelerated beams of isobars –Ruthenium-96 (Ru96) and Zirconium-96 (Zr-96) -- nuclei with the same total number of protons and neutrons but with different numbers ofprotons and neutrons individually. In this case, the four additional protons in Ru-96 compared to Zr-96 were critical. That’s
because Ru-96 nuclei colliding at nearly the speed of light should generate a significantly larger instantaneous magnetic
field than collisions of Zr-96. If current theory conjecture is correct about the origin of parity violating charged particle
correlations previously observed in such collisions at RHIC, the differing magnetic fields for the two isobars should result ina 15-20% difference in their magnitude. Confirmation of this hypothesis would provide groundbreaking new access to themicroscopic workings of QCD. Enriched Ru-96 was not available anywhere in the world, so the RHIC team needed an assist
from ORNL scientists in the DOE Isotope Program who also had to accomplish something extraordinary to help out: develop
new capability for electromagnetic separation of isotopes. This challenging technical development required an intense
effort, but knowing that RHIC had a small window in its experimental program to accomplish the isobar measurement, the
ORNL isotope team commissioned the new enrichment capability and produced the rare Ru-96 on time. Results indicating
whether the newly observed phenomena at RHIC constitute another important discovery should be available in about ayear.
Enabling life-saving Research Through Availability of Actinium-225. One of the most breathtaking developments in cancer
treatment is recent success in trials which treat metastasized late-stage prostate cancer with the use of the alpha-emitting
isotope Ac-225. Ac-225 is one of a number of alpha emitting isotopes, which if delivered to the site of a cancer cell, will
irradiate a microscopic volume of tissue in its immediate vicinity, leaving healthy tissue farther away unharmed. Trial results
have been stunningly successful a. Beyond the efficacy of this approach however, the key to making treatment options
viable is sufficient quantities of Ac-225 to fully support clinical trials and therapy. The DOE Isotope Program formed a TriLaboratory Collaboration of scientists at Brookhaven, Los Alamos, and Oak Ridge National Laboratories with unique facilities
and expertise to develop large-scale production capacity of Ac-225. The Tri-Laboratory Collaboration is now routinely
producing up to 50 millicuries (mCi) batches of Ac-225 twice a month for clinical trials and will soon be capable of routine
bi-weekly production runs of 100 mCi. Ultimately, the effort will be scaled up to bi-weekly production runs of at least 1,000
mCi --the equivalent of the current annual U.S. production of Ac-225 based on harvesting from the natural decay of legacy
thorium-229.
Terra Incognita Near the Island of Stability for Super-heavy Nuclei. Oganesson (Og) is one of four new super-heavy elements
confirmed by the International Union of Pure and Applied Physics and added to the periodic table of the elements and thechart of nuclides. Og has an atomic number of 118 (the heaviest element ever confirmed), and a half-life of less than amillisecond. Discovered indirectly by nuclear physicists via observation of characteristic alpha particle decay chains, thechemical properties and electron structure of Og and its companions (Nihonium, Moscovium, Tennessine) are currently
conjecture. To help unfold this mystery, using state-of-the art atomic and nuclear models and advanced computational
tools, an international team of researchers, supported in part by the Office of Nuclear Physics, has calculated the electronicaJ. Nucl. Med., 2016; 57 (12); 1941 DOI: 10.2967/jnumed.116.178673 C. Kratochwil

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and nucleonic shell structure of Og. Formerly speculated to be a gas under normal conditions, Og is now predicted to be ametal at room temperature. Surprisingly, it may also be significantly reactive, unlike all the other elements of the group it
identifies with (the noble gases) in the periodic table. These results are a significant contribution to the voyage of discovery
to determine the properties of Og and its companion super-heavy nuclei.
A New Attack on the Problem of the Neutrino Mass. Even though neutrinos hold a special place in the workings of theuniverse, one of their most basic properties, their mass, is unknown. The international KATRIN experiment in Germany, inwhich U.S. nuclear physicists play leading scientific and technical roles, recently achieved a major milestone with theintroduction of tritium to the experimental apparatus to begin first measurements of the electrons from tritium decay. If
the energy of such electrons is measured precisely, the mass of neutrinos from tritium decay can be reconstructed via
conservation of momentum and energy. The KATRIN experiment is the largest and most precise instrument of its type sofar, with a goal of setting a limit on the neutrino mass significantly smaller than the currently available model dependent
limits. With the start of operations of the experiment, the stage is set for the eagerly awaited data to achieve its
experimental goals.
Thin Skinned Neutron Stars in the Cosmos. The first detection of a binary neutron star merger by the LIGO-Virgocollaboration is providing fundamentally new insights into the astrophysical site for the rapid-neutron capture process (“rprocess”) responsible for the creation of most heavy elements in the Universe. Theorists supported by the Office of Nuclear
Physics confronted the predictions of realistic models of the equation of state (EOS) of matter against experimental data
extracted from the LIGO gravitational-wave data. Given the sensitivity of the gravitational-wave signal to the underlying
EOS, constraints can be placed on the neutron star radius. Based on these constraints, models that predict large stellar radii
can be ruled out and an upper limit of about 0.25 femtometers is inferred for the neutron-skin thickness.

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282

Nuclear Physics
Medium Energy Nuclear Physics
Description
The Medium Energy Nuclear Physics subprogram focuses primarily on experimental tests of the theory of the strong
interaction, known as Quantum Chromodynamics (QCD). According to QCD, all observed nuclear particles, collectively
known as hadrons, arise from the strong interaction of quarks, antiquarks, and gluons. The protons and neutrons inside
nuclei are the best known examples of hadrons. QCD, although difficult to solve computationally, predicts what hadrons
exist in nature, and how they interact and decay. Specific questions addressed within this subprogram include:What is the internal landscape of the protons and neutrons (collectively known as nucleons)?
What does QCD predict for the properties of strongly interacting matter?
What is the role of gluons and gluon self-interactions in nucleons and nuclei?

Various experimental approaches are used to determine the distribution of up, down, and strange quarks, their antiquarks,
and gluons within protons and neutrons, as well as clarifying the role of gluons in confining the quarks and antiquarks within
hadrons. Experiments that scatter electrons off of protons, neutrons and nuclei are used to clarify the effects of the quarkand gluon spins within nucleons, and the effect of the nuclear medium on the quarks and gluons. The subprogram also
supports experimental searches for higher-mass “excited states” and exotic hadrons predicted by QCD, as well as studies of
their various production mechanisms and decay properties.
The Medium Energy Nuclear Physics subprogram supports research at and operation of the subprogram’s primary researchfacility, CEBAF at TJNAF, as well as the spin physics research that is carried out using RHIC at BNL. The subprogram has
provided support for spin physics research at RHIC, the only collider in the world that can provide polarized proton beams.
CEBAF provides high quality beams of polarized electrons that allow scientists to extract information on the quark and gluon
structure of protons and neutrons from measurements of how the electrons scatter when they collide with nuclei. CEBAF
also uses polarized electrons to make precision measurements to search for processes that violate a fundamental symmetryof nature, called parity, in order to search for physics beyond what is currently described by the Standard Model. These
capabilities are unique in the world. The increase in beam energy provided by the 12 GeV CEBAF Upgrade continues to open
up exciting new scientific opportunities and will secure continued U.S. world leadership in this area of physics. The upgradeconstruction project was successfully completed on cost and schedule in 2017, and the highly anticipated science program
was launched in FY 2018. Some of the science goals of the 12 GeV experimental program include the search for exotic newquark anti-quark particles to advance our understanding of the strong force, evidence of new physics from sensitive
searches for violations of nature’s fundamental symmetries, and a microscopic understanding in the 12 GeV energy regimeof the internal structure of the proton, including the origin of its spin, and how this structure is modified when the proton is
inside a nucleus. Next generation instrumentation to fully exploit the capabilities of the 12 GeV CEBAF are implemented,
including the MOLLER MIE initiated in FY 2020, which will measure the parity-violating asymmetry in electron-electron
scattering at CEBAF. Research at RHIC using colliding beams of spin-polarized protons, a capability unique to RHIC, will
provide information on the origin of the spin of the proton in a kinematic range complementary to that at CEBAF to extend
present knowledge beyond the kinematic boundaries accessible at CEBAF alone. Research support for CEBAF and RHIC
includes laboratory and university scientific and technical staff needed to conduct high priority data analysis to extractscientific results. Complementary special focus experiments that require different capabilities can be conducted at the HIGSat TUNL, Fermilab, Europe, and elsewhere. The Research and Engineering Center of the Massachusetts Institute ofTechnology (MIT) has specialized infrastructure used to develop and fabricate advanced instrumentation and accelerator
equipment.
Since the 2002 LRP for Nuclear Science, a compelling, persistent, high scientific priority for the U.S. nuclear science
community has been understanding how the fundamental properties of the proton such as its mass and spin are
dynamically generated by the extraordinarily strong color fields resulting from dense systems of gluons in nucleons andnuclei. The answer to this question is key to addressing an outstanding grand challenge problem of modern physics: how
Quantum Chromodynamics, the theory of the strong force, which explains all strongly interacting matter in terms of pointslike quarks interacting via the exchange of gluons, acts in detail to generate the “macroscopic” properties of protons andneutrons. The 2015 LRP for Nuclear Science concluded, “…a high energy, polarized electron ion collider is the highest
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FY 2020 Congressional Budget Justificationpriority for new facility construction following the completion of FRIB.” Most recently a National Academy of Science study
charged to independently assess the impact, uniqueness, and merit of the science that would be enabled by U.S.
construction of an electron-ion collider gave a strong endorsement to a U.S.-based EIC, and recognized its critical role inmaintaining U.S. leadership in nuclear science and accelerator R&D. Scientists and accelerator physicists from both theMedium Energy and Heavy Ion sub-programs are actively engaged in the development of the scientific agenda, conceptual
design of the facility, accelerator R&D and development of scientific instrumentation R&D related to a proposed EIC.
The “SBIR/STTR and Other” category provides funding in accordance with the Small Business Innovation Development Act
and related legislation, resulting in commercialization opportunities in medicine, homeland security, defense, and industry,
as well as products and services that benefit NP. This category includes funding to meet other obligations, such as theannual Lawrence Awards and Fermi Awards.
Research
The Medium Energy Research subprogram supports a focused effort of medium energy research groups at TJNAF, BNL, ANL,
the Los Alamos National Laboratory (LANL), and LBNL to carry out the highest priority research programs and experiments
at CEBAF, RHIC, and elsewhere. Scientists participate in the development and implementation of targeted advanced
instrumentation, including state-of-the-art detectors for experiments that may also have application in areas such as
medical imaging instrumentation and homeland security. TJNAF staff research efforts focus on the 12 GeV experimental
program, including implementation of select experiments, acquisition of data, and data analysis at select CEBAF
experimental halls (Halls A, B, C, and D) and RHIC. Scientists conduct targeted research to advance knowledge and to
identify and develop the science opportunities and goals for next generation instrumentation and facilities. The subprogram
also supports a visiting scientist program at TJNAF and bridge positions with regional universities as a cost-effective
approach to augmenting scientific expertise at the laboratory and boosting research experience opportunities. Scientists at
TJNAF and elsewhere participate in the initiation of the MOLLER MIE, which will measure the parity-violating asymmetry inelectron-electron scattering.
ANL scientists play a leadership role in new experiments in the 12 GeV scientific program, and are engaged in commissioning
experiments, instrumentation development, and data taking. ANL scientists continue precise measurements of the electric
dipole moments of laser-trapped atoms as part of an intensive world-wide effort to set limits on QCD parameters andcontribute to the search for possible explanations of the excess of matter over antimatter in the universe. Research groups
at BNL and LBNL play leading roles in RHIC data analysis critical for determining the spin structure of the proton.
Researchers at MIT and at TJNAF are developing high current, polarized electron sources for next generation NP facilities.
Accelerator R&D research proposals for short and mid-term accelerator R&D from universities and laboratories specific toimproving operations of current NP facilities or developing new NP facilities are evaluated by peer review through a single
competition for funding that is included under the Heavy Ion and Medium Energy subprograms. The Request prioritizes
support for transformative accelerator science activities that significantly advance the state-of-the-art. Researchers
participate in the conceptual design of the EIC and development of scientific and experimental plans for the proposedmachine.
Operations
The science user community, including a strong international component, uses CEBAF’s polarized electron beam capabilities
to study the contributions of quarks and gluons to the properties of hadrons. The subprogram provides Accelerator
Operations funding for a team of accelerator physicists at TJNAF that operate CEBAF, as well as for power costs of operations
and maintenance of the 12 GeV CEBAF. The Request provides investments in the highest priority accelerator improvements
aimed at addressing CEBAF reliability and the highest priority capital equipment for research and facility instrumentation.
Included in the Request is a one-time increase to GPP funding to fully fund a critically needed replacement of the End
Station Refrigerator to mitigate end-of-life risk of current equipment and provide required additional capacity for future
experiments. Support is provided for targeted efforts in developing advances in superconducting radiofrequency (SRF)
technology relevant to improving operations of the existing machine. The core competency in SRF technology plays a crucialrole in many DOE projects and facilities outside of nuclear physics [such as the Basic Energy Sciences project Linac Coherent
Light Source (LCLS II)] and has broad applications in medicine and homeland security. For example, SRF R&D at TJNAF has
led to improved land-mine detection techniques and carbon nanotube and nano-structure manufacturing techniques forconstructing super-lightweight composites such as aircraft fuselages. TJNAF also has a core competency in cryogenics andScience/Nuclear Physics

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has developed award-winning techniques that have led to more cost-effective operations at TJNAF and several other SC
facilities; their cryogenics expertise is being applied to the FRIB project and LCLS-II. TJNAF accelerator physicists help train
the next generation of accelerator physicists, enabled in part by a close partnership with nearby universities and otherinstitutions with accelerator physics expertise. Accelerator scientists participate in the development of the EIC conceptual
design. The subprogram provides focused Experimental Support for scientific and technical staff, as well as for criticalmaterials and supplies needed for the implementation, integration, assembly, and operation of the large and complex
CEBAF experiments. Four experimental halls, increased from three prior to the 12 GeV upgrade, are now capable ofproviding new and enhanced capabilities for scientists world-wide.

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Nuclear Physics
Medium Energy Nuclear Physics
Activities and Explanation of Changes
FY 2020 Request

FY 2019 Enacted
Medium Energy Nuclear Physics

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted-$12,890,000$184,190,000$171,300,000

Research$43,286,000
The FY 2019 Enacted budget supports scientificparticipation in the 12 GeV experimental program at
CEBAF. Science goals include the search for exotic newquark/anti-quark particles, sensitive searches forviolations of nature’s fundamental symmetries, and adetailed microscopic understanding of the internal
structure of the proton. This includes support forscientific workforce resident at TJNAF and outside
universities and national laboratories that plan thescientific program; develop, implement and maintainscientific instrumentation; participate in theexperimental runs to acquire data; analyze data andpublish experimental results; and train students innuclear science. Analysis of prior RHIC polarized
proton beam data to learn more about the origin of
the proton’s spin, and support for short and mid-term
accelerator R&D, continues.

$35,500,000
The FY 2020 Request provides support for key
scientists participating in the highest priority
experiments taking data in select experimental halls at
the CEBAF 12 GeV program. This includes support for
critical scientific workforce resident at TJNAF andoutside universities and national laboratories thatplan the scientific program; develop, implement andmaintain scientific instrumentation; participate in theexperimental runs to acquire data; analyze data andpublish experimental results; and train students innuclear science. The Request continues targeted
analysis of RHIC polarized proton beam data to learn
more about the origin of the proton’s spin andfocused support for high priority accelerator R&D. The
MOLLER MIE, which will measure the parity-violating
asymmetry in electron-electron scattering, is initiated.

-$7,786,000
Decreased research funding supports high priority
research activities and critical scientific workforce atuniversities and national laboratories conducting
research at CEBAF, RHIC and other facilities.
Decreased research funding supports high priority
efforts in accelerator R&D activities that support
transformational accelerator science and aimed at
reducing risk and improving performance. The
Request initiates the MOLLER MIE.

Operations$117,390,000
Operations of the newly upgraded CEBAF facility will
support the continuation of the high priority 12 GeV
science program, following the successful completionof the project in 2017. Funding supports 4,080
operational hours of running for research, tuning, andbeam studies. Experiments in multiple halls will be
operated for data taking.

$114,500,000
Operations of the newly upgraded CEBAF facility will
support the continuation of the highest priority
experiments in the 12 GeV science program. Funding
will support 1,020 operational hours for research,tuning, and beam studies. The Request provides
support to maintain critical core competencies thatwill increase the reliability of the CEBAF and conduct
experiments in select halls. The Request supports
targeted facility capital equipment, accelerator
improvements, and the End Station Refrigerator GPP-$2,890,000
The Request includes a one-time increase to GPP
funding to fully fund a critical replacement End
Station Refrigerator to mitigate end-of-life risk ofcurrent equipment and provide added capacity for
future experiments.

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FY 2019 Enacted

FY 2020 Request

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted

project. Accelerator scientists will participate in thehighest priority accelerator R&D.
Other Research$3,553,000$2,667,000-$886,000
Funding is provided for DOE and Office of Science
Funding is provided for DOE and Office of Science
Funding is provided for DOE and Office of Science
requirements.
requirements.
central IT and working capital requirements.
SBIR/STTR$19,961,000$18,633,000-$1,328,000
Funding will be provided in accordance with the Small Funding will be provided in accordance with the Small The SBIR/STTR funding will be consistent with the NP
Business Innovation Development Act and subsequent Business Innovation Development Act and subsequent total budget.
related legislation.
related legislation.

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288

Nuclear Physics
Heavy Ion Nuclear Physics
Description
The Heavy Ion Nuclear Physics subprogram focuses on studies of nuclear matter at extremely high densities andtemperatures, directed primarily at answering overarching questions in Nuclear Physics, including:What are the phases of strongly interacting matter, and what roles do they play in the cosmos?
What governs the transition of quarks and gluons into pions and nucleons?
What determines the key features of QCD and their relation to the nature of gravity and space-time?

At the Relativistic Heavy Ion Collider (RHIC) facility, scientists continue to pioneer the study of condensed quark-gluon
matter at the extreme temperatures characteristic of the infant universe. The goal is to explore and understand uniquemanifestations of QCD in this many-body environment and their influence on the universe’s evolution. In the aftermath ofcollisions at RHIC and at the Large Hadron Collider (LHC) at CERN, researchers have seen signs of the same quark-gluon
plasma that is believed to have existed shortly after the Big Bang. With careful measurements, scientists are accumulating
data that offer insights into the processes early in the creation of the universe, and how protons, neutrons, and other bits ofnormal matter developed from that plasma. Important avenues of investigation are directed at learning more about thephysical characteristics of the quark-gluon plasma including exploring the energy loss mechanism for quarks and gluons
traversing the plasma, determining the speed of sound in the plasma, establishing the threshold conditions (minimum
nucleus mass and energy) under which the plasma can be formed, and discovering whether a the critical point exists where
there is a phase transition between normal nuclear matter and the quark-gluon plasma.
The RHIC facility places heavy ion research at the frontier of discovery in nuclear physics. The RHIC facility is uniquely
flexible, providing a full range of colliding nuclei at variable energies spanning the transition to the quark gluon plasma
discovered at RHIC. The facility continues to set new records in performance for both integrated Au-Au luminosity at fullenergy and a number of other beam settings. This flexibility and performance enables a groundbreaking science program
extending into the next decade to answer outstanding questions about this exotic form of matter and whether a criticalpoint exists in the phase diagram of nuclear matter. Within available resources, scientists participate in instrumentation
upgrades, such as enhancements to the capabilities of the STAR detector, and an upgrade of the PHENIX detector tosPHENIX with funds previously used to operate the PHENIX detector. Accelerator physicists participate in short and midterm accelerator R&D at RHIC in critical areas that may include the cooling of high-energy hadron beams, high intensity
polarized electron sources, and high-energy, high-current energy recovery linear accelerators. The RHIC facility is typicallyused by about 1,200 DOE, NSF, and foreign agency-supported researchers annually.
Since the 2002 LRP for Nuclear Science, a compelling, persistent, high scientific priority for the U.S. nuclear science
community has been understanding how the fundamental properties of the proton such as its mass and spin are
dynamically generated by the extraordinarily strong color fields resulting from dense systems of gluons in nucleons andnuclei. The answer to this question is key to addressing an outstanding grand challenge problem of modern physics: how
Quantum Chromodynamics, the theory of the strong force, which explains all strongly interacting matter in terms of pointslike quarks interacting via the exchange of gluons, acts in detail to generate the “macroscopic” properties of protons andneutrons. The 2015 LRP for Nuclear Science concluded, “…a high energy, polarized electron ion collider is the highest
priority for new facility construction following the completion of FRIB.” Most recently a National Academy of Science study
charged to independently assess the impact, uniqueness, and merit of the science that would be enabled by U.S.
construction of an electron-ion collider gave a strong endorsement to a U.S.-based EIC, and recognized its critical role inmaintaining U.S. leadership in nuclear science and accelerator R&D. a Scientists and accelerator physicists from both theMedium Energy and Heavy Ion sub-programs are actively engaged in the development of the scientific agenda, conceptual
design of the facility, accelerator R&D and development of scientific instrumentation R&D related to a proposed EIC.
Collaboration in the heavy ion program at the LHC at CERN provides U.S. researchers the opportunity to investigate states ofmatter under substantially different initial conditions than those provided by RHIC, providing complementary information
regarding the matter that existed during the infant universe. Data collected by the ALICE, CMS, and ATLAS detectors confirm
a Report: https://www.nap.edu/read/25171/chapter/1

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that the quark-gluon plasma discovered at RHIC is also seen at the higher energy, and comparing these results to the results
at RHIC has led to important new insights. U.S. researchers have been making important scientific contributions to theemerging results from all three LHC experiments. In ALICE and CMS, U.S. researchers have been participating in developing
and upgrading instrumentation for future heavy ion campaigns at the LHC.
Research
The subprogram supports key heavy ion research groups at BNL, LBNL, LANL, and the Oak Ridge National Laboratory (ORNL)
to participate in the highest priority efforts at RHIC and the LHC. U.S. commitments to the LHC “common funds”, fees tosupport individual U.S. scientist participation in the LHC program and the use of LHC computing capabilities, are deferred to
the following year. In FY 2020, university workforce will also be focused on the highest priority efforts at RHIC and the LHC.
The university and national laboratory research groups provide focused personnel and graduate students for taking data
within the RHIC heavy ion program; analyzing data; publishing results; conducting R&D of next-generation detectors;
developing and implementing scientific equipment; and planning for future experiments. BNL and LBNL provide computing
infrastructure for petabyte-scale data analysis and state-of-the-art facilities for detector and instrument development.
Accelerator R&D research proposals for short and mid-term accelerator R&D from universities and laboratories specific toimproving operations of current NP facilities or developing new NP facilities are evaluated by peer review through a single
competition for funding that is included under the Heavy Ion and Medium Energy subprograms. Transformative accelerator
science activities that significantly advance the state-of-the-art are a priority in the Request. Researchers participate in theconceptual design of the EIC and development of scientific and experimental plans for the proposed machine in FY 2020.
Operations
The Heavy Ion subprogram provides decreased support for the operations and power costs of the RHIC accelerator complex
at BNL. In FY 2020, the Request supports the highest priority capital equipment and accelerator improvement projects at
RHIC. The accelerator complex includes the Electron Beam Ion Source (EBIS), Booster, and the Alternating GradientSynchrotron (AGS) accelerators that together serve as the injector for RHIC. Staff provide key experimental support to thefacility, including the development, implementation, and commissioning of scientific equipment associated with the RHIC
program. In FY 2020, the only detector operating at RHIC is STAR; PHENIX operations funding is redirected to continue toupgrade the PHENIX detector to the sPHENIX MIE. sPHENIX will enable scientists to study how the near-perfect QGP liquid,
which has the lowest shear viscosity ever observed arises from the strongly interacting quarks and gluons from which it isformed. Accelerator Improvement Projects in prior years have focused on the LEReC Project, installed in FY 2018, whichcools low energy heavy ion beams with bunched electron beam and is projected to increase the luminosity by up to anotherfactor of ten.
Through operations of the RHIC complex, important core competencies have been nurtured in accelerator physics
techniques to improve RHIC performance and support the NP mission. These core competencies provide collateral benefits
to applications in industry, medicine, homeland security, and other scientific projects outside of NP. RHIC accelerator
physicists are providing leadership and expertise to reduce technical risk of relevance to a possible next-generation collider,including beam cooling techniques and energy recovery linacs; they continue to participate in EIC-specific R&D and thedevelopment of a conceptual design for the EIC accelerator physicists also play an important role in the training of next
generation accelerator physicists, with support of graduate students and post-doctoral associates.
RHIC operations allow for parallel and cost-effective operations of the Brookhaven Linac Isotope Producer Facility (BLIP),
supported by the DOE Isotope Program for the production of research and commercial isotopes critically needed by the
Nation, and of the NASA Space Radiation Laboratory Program for the study of space radiation effects applicable to humanspace flight as well as electronics. Support for the mission readiness of BLIP is included in the Isotope Sub-program, whilecollected revenues from customers support the operations of the facility.

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Nuclear Physics
Heavy Ion Nuclear Physics
Activities and Explanation of Changes

Heavy Ion Nuclear Physics$230,479,000$216,000,000

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted-$14,479,000

Research$37,354,000$30,000,000-$7,354,000

Researchers participate in the analysis and collectionof data from RHIC to explore new phenomena inquark-gluon plasma formation, with a particularsearch for signs of critical phenomena in event-byevent fluctuations that could reveal the critical pointin the QCD Phase Diagram. Modest scientific efforts
initiate the sPHENIX MIE for the study of high rateparticle jets. This includes support for scientificworkforce resident at RHIC and outside universities
and national laboratories that plan the scientificprogram; develop, fabricate, implement and maintainscientific instrumentation; participate in theexperimental runs to acquire data; analyze data andpublish experimental results; and train students innuclear science. U.S. scientists play a leadership rolein the heavy ion efforts at the international ALICE,
CMS, and ATLAS LHC experiments, and provide therequired funding to the LHC for U.S. commitments for
management and operating costs, computing, andcontributions towards upgrades of the ALICE
detector. Mid- and short-term accelerator R&D
relevant to NP programmatic needs are supported.

Critical researchers will participate in the highest
priority analysis and collection of data from RHIC to
explore new phenomena in quark-gluon plasma
formation, with a particular search for signs of criticalphenomena in event-by-event fluctuations that could
reveal the critical point in the QCD Phase Diagram.
The Request provides targeted support for scientificworkforce resident at RHIC and outside universities
and national laboratories to develop, fabricate,
implement and maintain scientific instrumentation;
participate in select experimental runs to acquire
data; analyze data and publish experimental results;
develop scientific plans and instrumentation for a
proposed EIC; and train students in nuclear science.
The Request also provides support to enable
scientists to continue to implement the sPHENIX MIE
for the study of high rate particle jets. U.S. scientists
participate in the highest priority heavy ion efforts at
the international ALICE, CMS, and ATLAS LHC
experiments. In addition, the Request supports thehighest priority accelerator R&D relevant to NP
programmatic needs.

FY 2020 Request

FY 2019 Enacted

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Decreased research funding supports critical
workforce at universities and national laboratories
associated with implementing the high priority RHIC
science program. U.S. participation in the LHC
continues, but commitments to the LHC “common
funds”, fees to support individual U.S. scientist
participation in the LHC program and the use of LHC
computing capabilities, are deferred.

FY 2020 Congressional Budget Justification

FY 2019 Enacted
Operations

FY 2020 Request$193,125,000$186,000,000

RHIC will operate for 3,290 hours and will focus on the
beam energy scan with the newly implemented Low
Energy electron Cooling to increase luminosity of low
energy beams. Funding supports the RHIC accelerator
complex (four different particle accelerators notincluding the RHIC collider rings that are 2.4 miles incircumference), including mission readiness anddevelopment of the experimental halls andinstrumentation, mission readiness of the suite ofaccelerators, all power and consumables of the site,
cryogenics plant, computing capabilities for datataking and analysis, accelerator scientists, engineers,
and technicians, and RHIC operations staff. Highpriority facility specific accelerator R&D will continue.

RHIC will operate for 1,500 hours and will focus on the
beam energy scan with the newly implemented Low
Energy Electron Cooling to increase luminosity of low
energy beams. Funding supports the RHIC accelerator
complex, including mission readiness anddevelopment of the experimental halls andinstrumentation, mission readiness of the suite ofaccelerators, all power and consumables of the site,
cryogenics plant, the highest priority facility andinstrumentation capital equipment, the highest
priority accelerator improvement projects, and the
key computing capabilities for data taking andanalysis. Support is provided to maintain critical corecompetencies and essential accelerator scientists,
engineers, and technicians, and RHIC operations staff.
Limited operations funding is redirected to thesPHENIX MIE which will study high rate particle jets;
the impact to the sPHENIX cost and schedule will beassessed upon a FY 2020 Appropriation.
Accelerator scientists participate in the highest
priority accelerator R&D.

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Explanation of Changes
FY 2020 Request vs FY 2019 Enacted-$7,125,000
The Request provides limited support for facility andinstrumentation capital equipment and Accelerator
Improvement Projects to maintain the viability of themachine. Adjustment of support below project plans
enables the continuation of the sPHENIX MIE while
optimizing operations within available funds.

FY 2020 Congressional Budget Justification

Nuclear Physics
Low Energy Nuclear Physics
Description
The Low Energy Nuclear Physics subprogram focuses on answering the overarching questions associated with Nuclei and
Nuclear Astrophysics and Fundamental Symmetries that can be probed by studying neutrons and nuclei.
Questions associated with Nuclei and Nuclear Astrophysics include:






What is the nature of the nuclear force that binds protons and neutrons into stable nuclei and rare isotopes?
What is the origin of simple patterns in complex nuclei?
What is the nature of neutron stars and dense nuclear matter?
What is the origin of the elements in the cosmos?
What are the nuclear reactions that drive stars and stellar explosions?

This subprogram addresses these questions through support of research to develop a comprehensive description of nuclei
using beams of stable and rare isotopes to yield new insights and reveal new nuclear phenomena. The subprogram alsomeasures the cross sections of the nuclear reactions that power stars and lead to spectacular stellar explosions, which areresponsible for the synthesis of the elements.
Questions addressed in the area of Fundamental Symmetries that can be probed by studying neutrons and nuclei include:What is the nature of the neutrinos, what are their masses, and how have they shaped the evolution of the cosmos?
What experimental approach for a next generation, ton-scale neutrino-less double beta day detector is capable ofachieving the sensitivity necessary to determine if the neutrino is its own anti-particle?
Why is there now more matter than antimatter in the universe? Is there evidence from the electric-dipole moments ofatomic nuclei and the neutron that indicate our current understanding of the fundamental laws governing nuclear
physics is incomplete?
Will evidence for time-reversal violation in electron scattering and possible lepton number violation in the decay of
nuclei indicate forces present at the dawn of the universe that disappeared from view as the universe evolved?

The Fundamental Symmetries portfolio currently addresses these questions through precision studies using neutron beams
and decays of nuclei, including neutrinoless double-beta decay. U.S. scientists are world leaders in the global research effort
aimed at neutrino science and NP is the steward of neutrinoless double beta decay in the Office of Science. In partnershipwith the NSF, NP has invested in past, current and future neutrino experiments both domestically and overseas, playing
critical roles in international experiments that depend on U.S. leadership for their ultimate success (CUORE, KATRIN), andR&D of candidate technologies for next–generation experiments, including germanium (MJD and LEGEND), xenon (nEXO)
and tellurium (CUPID). In partnership with the NSF, NP initiated support for the LEGEND-200 prototype in FY 2019. The NSAC
2015 LRP has as its second recommendation “the timely development and deployment of a U.S.-led ton-scale neutrinolessdouble beta decay experiment.” Neutrino-less double beta decay can only occur if neutrinos are their own anti-particles andthe observation of “lepton number violation” in such events would have profound, game changing consequences for thepresent understanding of the physical universe. The Request includes funding for the initiation of a Ton-Scale Neutrinoless
Double Beta Decay (NLDBD) MIE, which is expected to provide unprecedented resolution for the detection of the rare
process; the MIE received CD-0, Approve Mission Need, in November 2018.
Beams of cold and ultracold neutrons at the SNS are used to study fundamental properties of neutrons, and an experiment
for this beamline to measure the electric dipole moment of the neutron, which could shed light on the asymmetry of matterversus antimatter in the universe, is on the path towards becoming the flagship experiment at this beamline. Precision
studies to observe or set a limit on violation of time-reversal invariance—the principle that the physical laws should notchange if the direction of time is reversed—in nucleonic, nuclear, and atomic systems investigate fundamental questions in
nuclear physics, astrophysics, and cosmology.
The ATLAS scientific user facility at ANL is the DOE-supported facility providing research opportunities in Nuclear Structure
and Nuclear Astrophysics, serving a combined international community of over 400 scientists. ATLAS is the world’s premiere
facility for stable beams and provides high-quality beams of all the stable elements up to uranium, as well as selected beams
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of short-lived nuclei for experimental studies of nuclear properties under extreme conditions and reactions of interest to
nuclear astrophysics. ATLAS also provides some capabilities in radioactive or rare isotope beams with the Californium Rare
Ion Breeder Upgrade (CARIBU) ion source. The facility continues to provide increasingly higher intensity stable beams andimproved quality radioactive beams with modest accelerator improvements. Technologically cutting-edge and unique
instrumentation are a hallmark at the facility, and the ATLAS Facility continues to be significantly oversubscribed by the user
community. In addition to its world-class, standalone scientific program, ATLAS is also an essential training ground forscientists and students as they prepare for the FRIB research program. The ATLAS facility nurtures a core competency inaccelerator science with superconducting radio frequency cavities for heavy ions that are relevant to the next generation ofhigh-performance proton and heavy ion linacs. This competency is important to the SC mission and international stable andradioactive ion beam facilities. ATLAS stewards a target development laboratory, the National Center for Accelerator Target
Science, a national asset for the low energy community, including FRIB.
There are two university Centers of Excellence within the Low Energy subprogram with specific goals and unique physics
programs: the Cyclotron Institute at TAMU and accelerator facilities at the TUNL at Duke University. A third university center,
CENPA at the University of Washington, provides unique expertise and capabilities for instrumentation development. NP
also supports operations of the LBNL 88-Inch Cyclotron to provide beams for a small in-house nuclear science program
focused on studying the properties of newly discovered elements on the periodic table, and unique testing capabilities inmaterials irradiation important for external users and other critical missions, such as the Department of Defense and NASA.
The FRIB, under construction at Michigan State University (MSU), will advance understanding of rare nuclear isotopes andthe evolution of the cosmos by providing beams of rare isotopes with neutron and proton numbers far from those of stable
nuclei in order to test the limits of nuclear existence. Support for FRIB operations retains critical operations staff asaccelerator components on the project are completed and efforts transition to operations. The Gamma-Ray Energy Tracking
Array (GRETA) MIE is one of the primary tools that the nuclear science community has identified to leverage the capabilities
of FRIB. GRETA will have ten times the gamma-ray resolving power of current generation detectors for the vast majority ofexperiments, and up to a factor of 100 for those requiring multiple gamma-ray correlations. GRETA’s unprecedented
combination of full coverage with high efficiency, and excellent energy and position resolution, will extend the reach of
FRIB’s ability to study the nuclear landscape, provide new opportunities to discover and characterize key nuclei for electric
dipole moment searches, and open new areas of study in nuclear astrophysics. The High Rigidity Spectrometer (HRS) at FRIB
specifically exploits the fast beam capabilities of this powerful accelerator. The HRS will enable the most sensitive
experiments across the entire chart of nuclei, thereby enabling experiments with the most neutron-rich nuclei available at
FRIB.
Research
The subprogram will support the highest priority efforts of Low Energy research groups at ANL, BNL, LBNL, LANL, LLNL,
ORNL, and PNNL. About half of the scientists conduct nuclear structure and astrophysics research primarily using specialized
instrumentation at the ATLAS scientific user facility. The Request provides limited support of the GRETA MIE. Essential
scientists are supported to participate in the initiation of the HRS MIE to exploit the fast beam capabilities of FRIB, and to
conduct research in fundamental symmetries, including experiments at the Fundamental Neutron Physics Beamline (FNPB)
at the SNS. Focused R&D continues towards an experiment to measure the electric dipole moment of the neutron, which
could shed light on the asymmetry of matter versus antimatter in the universe. Currently operating double beta-decay
experiments continue to acquire data, such as the Cryogenic Underground Observatory for Rare Events (CUORE) experimentat Gran Sasso Laboratory in Italy and the Majorana Demonstrator R&D effort at the Sanford Underground Research Facility
in Lead, South Dakota. The highest priority R&D aimed at a ton-scale neutrinoless double beta decay experiment continues
with nEXO and the provision of scientific and technical leadership to LEGEND-200. U.S. researchers lead the initiation of aninternational ton-scale NLDBD MIE. Scientists participate in the operations of the Karlsruhe Tritium Neutrino (KATRIN)
experiment at the Karlsruhe Institute of Technology in Karlsruhe, Germany to provide a measurement of the neutrino mass.
The Request provides support to the university Centers of Excellence at TUNL, CENPA and TAMU for the conduct ofexperiments at these niche facilities. Funding to nurture an FRIB-specific research community is deferred in the short term.
Operations
ATLAS provides highly reliable and cost-effective stable and selected radioactive beams and specialized instrumentation for
scientists to conduct research on nuclear structure and nuclear astrophysics. In FY 2020, the Low Energy subprogramprovides decreased support for the operations and power costs of the ATLAS. The subprogram provides decreased support
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for high priority accelerator and scientific instrumentation capital equipment, high priority accelerator improvement
projects and experimental support of ATLAS. The facility complexity has been increasing, with the addition of the Electron
Beam Ion Source (EBIS), the cutting edge CARIBU radioactive beam system for accelerated radioactive ion beams, the inflight radioactive ion separator to increase the intensity of radioactive beams, and a gas filled analyzer.
The ATLAS facility nurtures a core competency in accelerator science with superconducting radio frequency cavities forheavy ions that are relevant to the next generation of high-performance proton and heavy ion linacs. This competency isimportant to the Office of Science mission and international stable and radioactive ion beam facilities. Critical efforts
continue in developing technology that could reduce the backlog of experiments and increase available beam time, such as
the multi-user upgrade Accelerator Improvement Project which will significantly increase the beam hours available forexperiments to the scientific community.
The Request includes funding to support partial FRIB operations and retain the most critical operations staff as accelerator
components are completed on the project and efforts begin to transition to operations. Staff commission accelerator
components and perform system tests. The Request also provides support to maintain operations support of the 88-Inch
Cyclotron for an in-house nuclear physics program.

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Nuclear Physics
Low Energy Nuclear Physics
Activities and Explanation of Changes

Low Energy Nuclear Physics$100,745,000$95,288,000

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted-$5,457,000

Research$70,530,000$58,450,000-$12,080,000

University and laboratory nuclear structure andnuclear astrophysics efforts are focused on research
at ATLAS, the world’s premiere stable beam facility, as
well as development of the FRIB scientific program.
Research and operations continue at the unique
university-based Centers of Excellence. Researchcontinues with the Majorana Demonstrator and nEXO
to consider performance of different technologies inneutrinoless double beta decay experiments; researchis initiated, in partnership with the NSF, for the
LEGEND-200 experiment. U.S. participation in theoperations of the international KATRIN and CUORE
experiments continues, as does ongoing R&D at the
FNPB on the feasibility of setting a world leading limiton the electric dipole moment of the neutron. The
GRETA MIE is supported according to the planned
profile.

The FY 2020 Request supports the highest priority
university and laboratory nuclear structure andnuclear astrophysics efforts at ATLAS, the world’s
premiere stable beam facility, and development of the
FRIB scientific program. Research support to ramp up
funding for FRIB scientific personnel is deferred.
Research continues at the unique university-based
Centers of Excellence at TUNL, CENPA and TAMU. The
Majorana Demonstrator, LEGEND-200 and nEXO
continue their highest priority efforts. The Request
initiates a ton-scale NLDBD MIE. U.S. participation in
the operations of the international KATRIN and
CUORE experiments continue. The Request will
provide support for the GRETA MIE below its planned
profile and initiates the HRS MIE for FRIB; the impact
to the GRETA cost and schedule will be assessed upona FY 2020 Appropriation.

The Request supports the highest priority efforts andessential workforce at universities and national
laboratories associated with implementing
experiments at ATLAS. Reduced funding will continue
to enable progress on the GRETA MIE, and offsets
initiation of the HRS for FRIB and the Ton-Scale NLDBDMIE.

FY 2020 Request

FY 2019 Enacted

Operations$30,215,000$36,838,000+$6,623,000

The FY 2019 Enacted budget supports the operationof ATLAS to address the high demand for ATLAS beamtime, which continues to exceed availability. ATLAS
funding at this cost-effective facility will support 6,400
hours of beam time. Funding is also provided to ramp
up the operations activities for FRIB according to plan.

The FY 2020 Request supports operation of ATLAS topartially address the high demand for ATLAS beamtime, which continues to far exceed availability. ATLAS
funding at this cost-effective facility will support 2,090
hours of beam time, maintenance, and the highest
priority accelerator improvement projects and capital
equipment for the facility and scientificinstrumentation. Funding maintains operations of the88” Cyclotron and to partially ramp up the operations
activities for FRIB relative to planned levels.

Operations support for FRIB is increased but remains
below the planned level. Funding supports reduced
beam hours for experiments at ATLAS and reduced
investments in capital equipment efforts andaccelerator improvement projects.

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Nuclear Physics
Nuclear Theory
Description
The Nuclear Theory subprogram provides the theoretical support needed to interpret the wide range of data obtained fromthe experimental nuclear science subprograms and to advance new ideas and hypotheses that identify potential areas for
future experimental investigations. Nuclear Theory addresses all three of NP’s scientific thrusts. One major theme oftheoretical research is the development of an understanding of the mechanisms and effects of quark confinement anddeconfinement. A quantitative description of these phenomena through QCD is one of this subprogram’s greatest
intellectual challenges. New theoretical and computational tools are also being developed to describe nuclear many-bodyphenomena; these approaches will likely also see important applications in condensed matter physics and in other areas ofthe physical sciences. Another major research area is nuclear astrophysics, which includes efforts to understand the originsof the elements and the consequences that neutrino masses have for nuclear astrophysics.
This subprogram supports the Institute for Nuclear Theory (INT) at the University of Washington. It also supports topicalcollaborations within the university and national laboratory communities to address only the highest priority topics innuclear theory that merit a concentrated theoretical effort.
The U.S. Nuclear Data Program (USNDP) provides current, accurate, and authoritative data for workers in pure and applied
areas of nuclear science and engineering. It addresses this goal primarily through maintaining and providing public access toextensive nuclear physics databases, which summarize and cross-correlate the results of over 100 years of research on
nuclear science. These databases are an important national and international resource, and they currently serve
approximately three million retrievals of nuclear data annually. The USNDP also addresses important gaps in nuclear data
through targeted experiments and the development and use of theoretical models. The program involves the combined
efforts of approximately 50 nuclear scientists at 10 national laboratories and universities, and is managed by the National
Nuclear Data Center (NNDC) at BNL. The USNDP provides evaluated cross-section and decay data relevant to a broad suiteof Federal missions and topics. USNDP also supports targeted experimental efforts on opportunistic measurements toaddress serious gaps and uncertainties in existing nuclear data archives. The NP leads an Inter-Agency working group
including NNSA, DHS, NE, the DOE Isotope Program and other Federal Agencies to coordinate targeted experimental efforts
on opportunistic measurements to address serious gaps and uncertainties in existing nuclear data archives.
Much of the research supported by the Nuclear Theory subprogram requires extensive access to leading-edge
supercomputers. One area that has a particularly pressing demand for large, dedicated computational resources is Lattice
QCD (LQCD). LQCD calculations are critical for understanding and interpreting many of the experimental results from RHIC,
LHC, and CEBAF. NP supports LQCD computing needs for dedicated computational resources with investments at JLab.
Nuclear physicists participate in activities related to QIS and quantum computing (QC), in coordination with other SC
research program offices. NP-specific efforts include R&D on quantum sensors to enable precision NP measurements,
development of quantum sensors based on atomic-nuclear interactions, and development of quantum computing
algorithms applied to quantum mechanical systems and NP topical problems. NP-related QIS and QC efforts have direct
relevance for this area of interest in general, and can lead to advances that are important for applications in QIS and QC in
many fields.
The Nuclear Theory subprogram also supports SciDAC, a collaborative program with ASCR that partners scientists andcomputer experts in research teams to address major scientific challenges that require supercomputer facilities performingat current technological limits. The NP SciDAC program operates on a five year cycle, and supports computationally intensive
research projects jointly with other SC and DOE offices in areas of mutual interest.
Since the 2002 LRP for Nuclear Science, a compelling, persistent, high scientific priority for the U.S. nuclear science
community has been understanding how the fundamental properties of the proton such as its mass and spin are
dynamically generated by the extraordinarily strong color fields resulting from dense systems of gluons in nucleons andnuclei. The answer to this question is key to addressing an outstanding grand challenge problem of modern physics: how
Quantum Chromodynamics, the theory of the strong force, which explains all strongly interacting matter in terms of pointslike quarks interacting via the exchange of gluons, acts in detail to generate the “macroscopic” properties of protons andScience/Nuclear Physics

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neutrons. The 2015 LRP for Nuclear Science concluded, “…a high energy, polarized electron ion collider is the highest
priority for new facility construction following the completion of FRIB.” Most recently a National Academy of Science study
charged to independently assess the impact, uniqueness, and merit of the science that would be enabled by U.S.
construction of an electron ion collider gave a strong endorsement to a U.S.-based EIC, and recognized its critical role inmaintaining U.S. leadership in nuclear science and accelerator R&D. Scientists and accelerator physicists from both theMedium Energy and Heavy Ion subprograms are actively engaged in the development of the scientific agenda, design of the
facility and development of scientific instrumentation related to a proposed EIC. Other Project Costs (OPC) efforts related tothe development of a Conceptual Design and high risk design-specific R&D are supported out of the Theory Subprogram.
Theory Research
The Nuclear Theory subprogram supports the highest priority research programs of nuclear theory groups at seven national
laboratories (ANL, BNL, LANL, LBNL, LLNL, ORNL, and TJNAF). This research advances our fundamental understanding of
nuclear physics, interpreting the results of experiments carried out under the auspices of the experimental nuclear physics
program, and identifies and explores compelling new areas of research. The Request continues to support the 5-year topicalcollaborations initiated in FY 2016/FY 2017 within available funds to bring together theorists to address specific high-priority
theoretical challenges. The ongoing topical collaborations will receive some continued support in FY 2020: the Beam Energy
Scan Theory (BEST) Collaboration, the Coordinated Theoretical Approach to Transverse Momentum Dependent Hadron
Structure in QCD (TMD) Collaboration, the Nuclear Theory for Double Beta Decay and Fundamental Symmetries
Collaboration and the Fission in R-process Elements (FIRE) Collaboration. The BEST and TMD proposals are intimately
related to LQCD, one of nuclear theory’s greatest intellectual challenges. BEST addresses “hot” QCD and the RHIC beamenergy scan, while TMD deals with “cold” QCD, three-dimensional hadron structure and spin physics, and looks forward in
the direction of a future EIC. FIRE is jointly funded by NP and the NNSA to advance the theory of nuclear fission and explore
the role of fission recycling in the creation of atomic nuclei in astrophysical environments. The subprogram supports highpriority efforts on FRIB theory, which is critical to theory efforts associated with the planned FRIB scientific program in orderto optimize the interpretation of the experimental results.
Efforts related to QIS and QC address the needs of the NP program and provide technological and computational advances
relevant to other fields. Following exploratory QIS/QC workshops at the Institute for Nuclear Theory and at Argonne
National Laboratory, as well as a QC “test-bed” simulation to demonstrate proof-of-principle use of quantum computing forscientific applications, an NSAC charge in FY 2019 will further articulate the priority areas in QIS/QC where unique
opportunities exist for nuclear physics contributions. The output of that exercise will help to further elucidate priorities fortargeted funding opportunities in FY 2020.
Five year SciDAC-4 awards selected in FY 2017 continue in FY 2020 with progress monitored via peer review. In addition toaddressing specific problems relevant for nuclear physics research SciDAC-4 projects continue to serve as a water-shed fortraining scientists who can address national needs.
The Request includes funding to support the most essential activities of the USNDP to collect, evaluate, and disseminate
nuclear physics data for basic nuclear research and for applied nuclear technologies and their development. In addition to
improving the completeness and reliability of data already archived that is used for industry and for a variety of Federal
missions, NP funding enables targeted experiments to address gaps in the data archives deemed of high priority andurgency. Examples of targeted measurements include gamma ray spectroscopy of relevance for medical isotope science;nuclear beta decay data and reactor decay heat data of relevance for optimizing the emergency cooling systems of nuclear
reactors and for the control of fast breeder reactors, anti-neutrino data relevant for basic research, and 238U(n,n'gamma)cross section data using neutron-gamma coincidences important for several Federal missions. Experimental measurements
targeted by NP for funding are carried out in coordination with projects funded by other Federal offices in response to thejoint Funding Opportunity Announcement for Nuclear Data issued by the NP-led Inter-Agency Nuclear Data Working Group.

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Nuclear Physics
Nuclear Theory
Activities and Explanation of Changes
FY 2020 Request

FY 2019 Enacted
Nuclear Theory

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted-$9,061,000$55,327,000$46,266,000

Theory Research$46,469,000
The FY 2019 Enacted budget supports QIS efforts,
including support for QIS research and LQCD
computing. Funding supports theoretical research atuniversities and national laboratories for theinterpretation of experimental results obtained at NP
facilities, and the exploration of new ideas andhypotheses that identify potential areas for future
experimental investigations. Theorists will focus on
applying QCD to a wide range of problems from
nucleon structure and hadron spectroscopy, throughthe force between nucleons, to the structure of lightnuclei. Advanced dynamic calculations to describe
relativistic nuclear collisions and nuclear structure andreactions will continue to focus on activities related to
the research program at the upgraded 12 GeV CEBAF
facility, the research program at the planned FRIB, andongoing and planned RHIC experiments. Funding
supports the third year of support for SciDAC-4 grants
and the fourth year for the theory topicalcollaborations initiated in FY 2016.

$37,040,000
Funding will support the highest priority QIS efforts
and LQCD computing hardware investments at JLab.
Funding will support the most essential theoreticalresearch at universities and national laboratories forthe interpretation of experimental results obtained at
NP facilities, and the exploration of new ideas andhypotheses that identify potential areas for future
experimental investigations. Theorists will focus on
applying QCD to a wide range of problems from
nucleon structure and hadron spectroscopy, throughthe force between nucleons, to the structure of lightnuclei. Advanced dynamic calculations to describe
relativistic nuclear collisions and nuclear structure andreactions will continue to focus on activities related to
the research program at the upgraded 12 GeV CEBAF
facility, the planned research program at FRIB, andongoing and planned RHIC experiments. Within
available funding, support will be provided for the
fourth year of SciDAC-4 grants and the final year oftheory topical collaborations initiated in FY 2016.

Other Project Costs$1,500,000+$1,500,000
The FY 2020 Request will provide for the first year of
The Electron Ion Collider OPC support is initiated in
Other Project Costs for the Electron Ion Collider,
FY 2020.
aimed at research to reduce technical risk and thedevelopment of a conceptual design.

None.

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$—

299

-$9,429,000
The funding supports the highest priority efforts andcritical workforce at universities and national
laboratories associated with nuclear theory, SCIDAC
and the FRIB Theory Alliance. Reduced funding
supports activities in QIS/QC that are of highimportance to NP and related to QIS/QC applications.

FY 2020 Congressional Budget Justification

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted
Nuclear Data
$8,858,000$7,726,000-$1,132,000
The FY 2019 Enacted budget supports the USNDP’s
The FY 2020 Request will provide support for theFunding supports the most essential Nuclear Data
efforts to collect, evaluate, and disseminate nuclear
highest priority USNDP efforts to collect, evaluate,
efforts and workforce, and allows for focused support
physics data for basic nuclear research and for applied and disseminate nuclear physics data for basic nuclear of experimental nuclear data efforts.
nuclear technologies and their development. Funding research and for applied nuclear technologies andsupports a modest experimental component totheir development. The FY 2020 Request would also
address gaps in the existing nuclear data, inprovide funding for some critical experimental
coordination with the interests and support of othermeasurements to address gaps in existing nuclear
federal agencies.
data.
FY 2019 Enacted

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FY 2020 Request

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FY 2020 Congressional Budget Justification

Nuclear Physics
Isotope Development and Production for Research and Applications a
Description
The Isotope Development and Production for Research and Applications subprogram (DOE Isotope Program) supports the
production, distribution, and development of production techniques for radioactive and stable isotopes in short supply andcritical to the Nation. Isotopes are commodities of strategic importance for the Nation that are essential for energy
exploration and innovation, medical applications, national security, and basic research. The goal of the program is to makekey isotopes more readily available to meet U.S. needs. To achieve this goal, the program incorporates all isotope related
R&D and production capabilities, including facilities and technical staff, required for supply chain management of criticallyimportant isotopes. The subprogram also supports R&D efforts associated with developing new and more cost-effective andefficient production and processing techniques, and on the production of isotopes needed for research purposes. The R&D
activities also provide collateral benefits for training, contributing to workforce development, and helping to ensure a future
U.S.-based expertise in the fields of nuclear chemistry and radiochemistry. These disciplines are foundational not only toradioisotope production, but to many other critical aspects of basic and applied nuclear science as well.
All funding from the Isotope Development and Production for Research Applications subprogram is executed through theIsotope Production and Distribution Program revolving fund. The isotope revolving fund maintains its financial viability by
utilizing the appropriations from this subprogram along with revenues from the sale of isotopes and services. These
resources are used to maintain the staff, facilities, and capabilities at user-ready levels and to support peer-reviewed R&D
activities related to the production of isotopes. Isotopes sold to commercial customers are priced to recover the full cost of
production, or the market price (whichever is higher). Research isotopes are sold at a reduced price to ensure high priority
research requiring them does not become cost prohibitive. Investments in new capabilities are made to meet the growing
demands of the Nation and foster future research in applications that will support national security and the health andwelfare of the public.
Isotopes are critical national resources used to improve the accuracy and effectiveness of medical diagnoses and therapy, toenhance national security, and to improve the efficiency of industrial processes, and provide precise measurement andinvestigative tools for materials, biomedical, archeological, and other research. Some examples are:










actinium-225, actinium-227, tungsten-188, lutetium-177, strontium-90, and cobalt-60 for cancer therapy;
californium-252 for well logging, homeland security, and energy security;
germanium-68 for the development of gallium-68 radiopharmaceuticals for cancer imaging;berkelium-249, americium-243, plutonium-242, californium-251, and curium-248 for use as targets for discovery of new
superheavy elements;
selenium-75 for industrial radiography;
bismuth-213, lead-212, astatine-211, copper-67, thorium-227, and radium-223 for cancer and infectious disease
therapy research;nickel-63 for molecular sensing devices, and lithium-6 and helium-3 for neutron detectors for homeland security
applications;
lithium-7 as a coolant reagent for pressurized water nuclear power plants; andarsenic-73, iron-52, and zinc-65 as tracers in metabolic studies.

Stable and radioactive isotopes are vital to the missions of many Federal agencies including the NIH, NIST, the Departmentof Agriculture, DHS, NNSA, and DOE SC programs. NP continues to work in close collaboration with all federal organizations
to develop strategic plans for isotope production and to establish effective communication to better forecast isotope needs
and leverage resources. NP conducts biennial workshops, attended by representatives of all Federal agencies that require
stable and radioactive isotopes, to provide a comprehensive assessment of national needs for isotope products andservices, to inform priorities for investments in research for developing new isotope production and processing techniques,to communicate advances in isotope production research and availability, and to communicate concerns about potential
constrained supplies of important isotopes to the federal complex. The Isotope Program participates in a number of federal
Working Groups and Interagency groups to promote communication, including the White House Office of Science anda All appropriations for the Isotope Development and Production for Research and Applications subprogram fund a payment into the Isotope Production
and Distribution Program Fund as required by P.L. 101–101 and as modified by P.L. 103–316.

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Technology Policy (OSTP) working group on molybdenum-99 (Mo-99), the National Science and Technology Committee
Subcommittee on Critical and Strategic Mineral Supply Chains, and the Interagency Group on Helium-3, which it leads, thatreports to the White House National Security Staff. NP participates in the Certified Reference Material Working Group whichassures material availability for nuclear forensics applications that support national security missions and also the Nuclear
Regulatory Commission Committee on Alternatives to Sealed Sources. As a service, the Isotope Program collects demand
and usage information on helium-4 from the federal complex and provides it to the Bureau of Land Management (BLM) sothat BLM can optimize their plans for the helium-4 federal reserve.
The DOE Isotope Program also invests in the nation’s future nuclear chemistry and biomedical researchers through support
for the Nuclear Chemistry Summer School (NCSS) program. The NCSS, jointly supported with the Office of Basic Energy
Sciences program, consists of an intensive six-week program of formal accredited lectures on the fundamentals of nuclear
science, radiochemistry, and their applications in related fields, as well as laboratory practicums focusing on state-of-the-art
instrumentation and technology used routinely in basic and applied nuclear science.
While the Isotope Program is not responsible for the production of Mo-99, which is the most widely used isotope indiagnostic medical imaging in the Nation, it works closely with NNSA, the lead entity responsible for domestic Mo-99
production, offering technical and management support. Consistent with the National Defense Authorization Act for Fiscal
Year 2013, NP also oversees proceedings of the Nuclear Science Advisory Committee in response to a charge to annuallyassess progress by NNSA toward ensuring a domestic supply of Mo-99. Additionally, NP participates in the international
High-Level Group on the Security of Supply of Medical Isotopes lead by the Organisation for Economic Co-operation andDevelopment.
The mission of the Isotope Program is facilitated by the National Isotope Development Center (NIDC), which is a virtual
center that interfaces with the user community and manages the coordination of isotope production across the facilities
and business operations involved in the production, sale, and distribution of isotopes. The NIDC includes the Isotope
Business Office, which is located at ORNL.
Research
The subprogram supports innovative research to develop new or improved production or separation techniques for highpriority isotopes in short supply. Research investments tackle challenges in the efficiency of producing critical isotopes, anddevelop advanced production methods for isotopes of interest to federal agencies and other stakeholders, when no
production route is in existence, enabling new applications and research. The research activity has two primary
components. One is support of R&D via competitive funding opportunity announcements open to both universities andlaboratories. The other is provision of core R&D funding to national laboratories and universities that possess uniquefacilities and technical expertise that directly support the mission of the DOE Isotope Program. In both components, peer
review is used to assess the quality of the research being performed and its relevance for assuring availability of isotopes
that are in short supply and needed for research and applications important to the Nation’s science and industry. There isalso an emphasis in the R&D program on providing training opportunities to students and post-docs to help assure a vibrant
workforce essential to the technologies associated with isotope production. Priorities in research isotope production are
informed by guidance from NSAC as described in the 2015 Long Range Plan for the DOE Isotope Program published in July
2015 under the title “Meeting Isotope Needs and Capturing Opportunities for the Future a.” The Isotope Program also
supports research to implement modern stable isotope enrichment devices to provide the Nation with enrichment
capabilities that have been absent since the DOE calutrons ceased operation in 1998. The U.S. is currently dependent on
foreign sources for supplies of stable isotopes; the U.S. inventory has been depleted in the cases of some specific isotopes.
Since FY 2017, the program has been able to produce small-scale research quantities of enriched stable isotopes. The R&D
program also develops domestic production capabilities for important radioisotopes for which the U.S. has demand and/or
which the U.S. is dependent on foreign sources.
A high priority is a dedicated research effort to develop large scale production capabilities of actinium-225, a high priority
isotope that has shown stunning success in the treatment of diffuse cancers and infections; in the past, available quantities
have limited clinical trials and applications. The Isotope Program commenced routine production of accelerator-produced
Ac-225 in FY 2018 and is now ramping up production capabilities to enable sufficient supply of the isotope as a cancer
a Report: https://science.energy.gov/~/media/np/nsac/pdf/docs/2015/2015_NSACI_Report_to_NSAC_Final.pdf

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therapeutic. Research efforts have demonstrated that the accelerator produced actinium-225 functions equivalently to thematerial derived from the decay of thorium-229 which used to be the only viable source of small quantities of actinium-225.
In coordination with NIH, samples of the isotope produced by the accelerator production approach were evaluated byseveral different researchers involved in medical applications research to confirm these results.
Research supported for the past couple of years has culminated in the demonstration of reactor-produced actinium-227,
representing the world’s first source of new material. Actinium-227 decays to radium-223, which is used in new
radiopharmaceutical drugs to treat prostate cancer. The provision of actinium-227 by the Isotope Program ensures thatprostate cancer patients can have a reliable supply of palliative care drugs.
Operations
The Isotope Program is the steward of the Isotope Production Facility (IPF) at LANL, the BLIP facility at BNL, and hot cell
facilities for processing and handling irradiated materials and purified products at ORNL, BNL, and LANL. Funding provides
mission readiness for isotope production at all of these facilities, as well as facilities at other sites, such as the Idaho
National Laboratory reactor for the production of cobalt-60, the PNNL for processing and packaging strontium-90, the Y-12
National Security Complex for processing and packaging lithium-6 and lithium-7, the LANL Plutonium Facility for extracting
americium-241 from NNSA plutonium processes, the Low Energy Accelerator Facility (LEAF) at Argonne National Laboratory
for the production of the medical isotope copper-67, and the Savannah River Site for the extraction and distribution ofhelium-3. Funding supports the essential personnel and infrastructure to ensure mission readiness for the production of
isotopes; the isotope production costs are paid by the customer. Modest capital investments enable substantial andcompelling enhancements to productivity, including new approaches to extract additional He-3 from new sources; thefabrication of a prototype production capability for Li-7, pertinent to next generation nuclear reactors; and upgrades to hotcell facilities at ORNL and LANL to increase radioisotope processing capabilities to keep up with new isotopes being
produced for the community, including Ac-225.
In addition to isotope production at DOE facilities, the Isotope Program is funding production at universities with capabilities
beyond those available at the stewarded facilities, such as an alpha-particle cyclotron at the University of Washington where
full-scale production of astatine-211 was developed to support research into the use of the isotope in cancer therapy, andthe University of Missouri Research Reactor where the Isotope Program supported the development of reactor productionof selenium-75 for industrial gamma radiography. The establishment of a coordinated network of university-based isotope
production was a recommendation in the 2015 NSAC-Isotope Long Range Plan. The network is designed to leverage theunique and often underutilized facilities available at academic institutions which are generally more suited to low-energy
production reactions and can support nationwide availability of short-lived radioisotopes. Also, in anticipation of theopportunity FRIB will provide as a unique source of many important isotopes for research and applications, scientists are
implementing the capability to harvest some of the isotopes that will be produced during physics research experiments. The
Request includes funding to initiate this accelerator improvement project, the FRIB Isotope Harvesting project.
The DOE Isotope Program supports operations of ESIPP to produce research quantities of enriched stable isotopes throughthe use of electromagnetic separation and centrifuge technology. The first campaign run at ESIPP produced ruthenium-96 in
FY 2018 to provide the otherwise unavailable target material world-wide to RHIC for its planned physics program. Modest
investments develop new and different enriched stable isotope and enriched radioisotope production capabilities. The
Isotope Program participates in the Office of Science QIS initiative to develop production approaches for enriched stable
isotopes of interest for future QIS-driven technologies.

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The SIPF MIE was initiated in FY 2017 to establish kilogram production capability of select isotopes to help meet the nation’s
demand for enriched stable isotopes for basic research, medical, national security and industrial applications asrecommended by the NSAC Subcommittee on Isotopes in 2015. The SIPF MIE will reduce the nation’s dependence for somecritical isotopes on a foreign source and has a technically-driven profile for completion in FY 2024. SIPF adds additional gas
centrifuge capability to the existing ESIPP. Examples of discovery research efforts that could benefit from the facility areneutrinoless double beta decay experiments and high energy physics dark matter experiments interested in kilogram
quantities of enriched stable isotopes, which are not presently available in the U.S. Similarly, the accelerator-production
route for Mo-99, a critical medical isotope for cardiac imaging, relies on a feedstock of enriched Mo isotopes, which are also
unavailable domestically. Stable isotopic nuclides of heavier elements used for agricultural, nutritional, industrial, ecological,
and computing applications can also be produced. SIPF will be able to partially meet the demands for these isotopes serially.
The capabilities of SIPF and ESIPF are not adequate to meet the quickly rising demands of the Nation for enriched stable
isotopes. Additional capabilities in both electromagnetic ion separation and gas centrifuge capability are needed for the U.S.
to play a strong role in this arena and operate multiple production lines simultaneously. Funding is requested in the FY 2020
Request to initiate construction of the U.S. Stable Isotope Production and Research Center (U.S. SIPRC) to consolidate stable
isotope efforts throughout ORNL into a new building, and enhance electromagnetic ion separation and gas centrifuge
production capabilities for enriched stable isotopes.

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Nuclear Physics
Isotope Development and Production for Research and Applications
Activities and Explanation of Changes
FY 2019 Enacted
Isotope Development andProduction for Research andApplications
Research

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted

FY 2020 Request$44,259,000$9,808,000$51,000,000$12,000,000+$6,741,000+$2,192,000High priority competitive R&D activities continue atuniversities and national laboratories leading to newisotope production technologies. Core support willcontinue to be provided to national laboratories anduniversities for R&D that enhances isotope production
capabilities.

Increased funding will support high priority
competitive R&D activities at universities and national
laboratories leading to new isotope production
technologies. Core support will continue to beprovided to national laboratories and universities for
R&D that enhances isotope production capabilities
specifically relevant to the physical resources andexpertise available at the institution. Funding
supports the development of two new core R&D
groups, one at MSU to support the new isotope
harvesting capability being established at FRIB, andthe other at ANL to support the new isotope
production effort at the LEAF electron facility at ANL.

Increased funding supports additional compelling
efforts at universities and national laboratories inisotope production and processing research. The
Request strengthens support for core research groups
at the national laboratories and universities andnurtures two new core R&D groups, one at MSU for
isotope harvesting and the other at ANL related to
isotope production at LEAF.

$34,451,000$39,000,000+$4,549,000

The FY 2019 Enacted budget supports mission
readiness of the isotope production facilities and theessential core competencies in isotope production
and development, ensuring that isotope orders forcancer therapy and other commitments are reliably
met. NIDC activities will support the effective
interfaces with the growing stakeholder community.
Funding supports mission readiness and operations of
the ESIPP for the production of important enrichedstable isotopes for the nation. The budget provides
support to develop production approaches for stable
isotopes of interest for next generation QIS-driven
technologies. The SIPF MIE is supported at its planned

Increased funding fully supports mission readiness of
the isotope production facilities and nurtures criticalcore competencies in isotope production anddevelopment, ensuring that isotope orders for cancer
therapy and other commitments are reliably met. The
Request provides a modest increase for NIDC
activities to effectively interface with the growing
stakeholder community and isotope portfolio.
Increased funding permits a stronger and expanded
University Isotope Production Network and increased
ESIPP operations. Increased funding will provide
support to develop production approaches forisotopes of interest for next generation QIS-driven

The funding for SIPF ramps down according to theplanned profile. This decrease is offset with increases
for robust mission readiness of isotope production
and processing facilities, university isotope
production, NIDC workforce to address the growing
isotope portfolio, and development of isotope
production approaches of importance for QIS, andmodest and compelling investments in developing
new production and processing capabilities including:new extraction techniques for He-3 from new
supplies, and the initiation of isotope harvesting
capabilities at FRIB.

Operations

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FY 2019 Enacted

FY 2020 Request

level. Funding supports the addition of new
universities into the National University Isotope
Production Network, which will emphasize productionof astatine-211 for cancer therapy.

technologies. The FY 2020 Request includes final
funding for the SIPF MIE, according to the planned
profile. Investments will also provide support todevelop new production and processing capabilities
including: new extraction techniques for He-3 fromnew supplies, highly enriched Li-7 prototype
production capabilities for next-generation nuclear
reactors, electromagnetic separation production
approaches optimized to heavy elements, enrichedradioisotope separation, infrastructure investments toenhance processing capabilities, and the initiation of
isotope harvesting capabilities at FRIB.

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Explanation of Changes
FY 2020 Request vs FY 2019 Enacted

FY 2020 Congressional Budget Justification

Nuclear Physics
Construction
Description
Consistent with the 2015 NSAC Long-Range Plan’s highest priority, the FY 2020 Request includes funding to capitalize on
NP’s prior scientific facilities investments. Funding in this subprogram provides for design and construction of scientificresearch facilities needed to meet overall objectives of the Nuclear Physics program. NP currently has one ongoing project,which receives construction line item funding in FY 2020; one new project, which receives initial Other Project Costs in thisRequest in the Nuclear Theory subprogram; and another new project which receives initial construction funding in the
Isotope Program subprogram.
The FRIB at MSU will continue construction activities in FY 2020, with a funding request aligned to the current baseline. The
project is proceeding on track within the established project baseline and working towards an “early finish,” FRIB will
provide intense beams of rare isotopes for world-leading research opportunities in nuclear structure, nuclear astrophysics,
and fundamental symmetry studies that will advance knowledge of the origin of the elements and the evolution of thecosmos. It offers a facility for exploring the limits of nuclear existence and identifying new phenomena, with the possibility
that a broadly applicable theory of the structure of nuclei will emerge. FRIB will provide an essential scientific tool for over
1,400 scientists each year from across academic, industrial and government institutions. The project is funded through a
cooperative agreement with MSU and was established as a control point in the FY 2014 appropriation. Prior to that time,
funding was provided within the Low Energy subprogram.
The FY 2020 Request initiates a Total Project Cost start for the U.S. Stable Isotope Production and Research Center (U.S.
SIPRC). The demand for enriched stable isotopes over the last decade has increased significantly. Demand drivers include
enriched stables isotopes for medical, national security and fundamental research projects. DOE produced a legacy
inventory of enriched stable isotopes using the former Y-12 plant Calutrons from the 1940s to 1990s, until they were
decommissioned. DOE’s supply of certain key enriched stable isotopes has been depleted or exhausted. Therefore the U.S.
is becoming increasingly dependent on foreign imports for enriched stable isotopes. With support from the DOE Isotope
Program, ORNL is advancing production capabilities for these stable isotopes, primarily electromagnetic isotope separation(EMIS) and gas centrifuge (GC) technologies. Electromagnetic isotope separators can separate isotopes for many elements
to very high purity and at lower production rates while gas centrifuge production cascades can produce much larger
quantities of isotopes but is limited to those isotopes that have compatible feedstock chemicals. The prototype capabilities
of ESIPP, developed through DOE Isotope Program-supported research, demonstrated the feasibility of new EMIS and GC
technology. The follow-on SIPF MIE, currently under construction, modestly increases GC production capability. SIPRC
further expands GC production capability and significantly increases EMIS production capability to meet the Nation’s
growing demand for stable isotopes. To date, the current and modest production capabilities have been housed in several
refurbished facilities; however, given the mission need for continued expansion of production capacity, the use ofrefurbished facilities is not optimal. Therefore, SIPRC will include a new facility at ORNL to integrate aspects of the stable
isotope program such as EMIS and GC technologies; R&D units; and storage and dispensing operations. The new single
facility will promote operational, cost and security effectiveness, with space for future growth, if needed. SIPRC will mitigate
the Nation’s dependence on foreign countries for stable isotope supply. Critical Decision-0 (CD-0), Approve Mission Need,
was awarded in January of 2019 with a preliminary Total Project Cost Range of $150 – 200M at the time of CD-0.

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Nuclear Physics
Construction
Activities and Explanation of Changes
FY 2019 Enacted
Construction$75,000,000
14-SC-50, Facility for Rare Isotope
Beams (FRIB)$75,000,000
The FY 2019 Enacted funding supports the ongoing
fabrication, assembly and testing of cryomodules thatwill also be installed and tested in the newly
constructed tunnel. Other technical systems, such as
the experimental related systems will also be
fabricated, assembled, installed and tested. As thevarious systems near completion, the linear
accelerator commissioning effort will occur to validate
their performance according to project requirements.

FY 2020 Request$45,000,000

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted-$30,000,000$40,000,000-$35,000,000
The FY 2020 Request will continue to support the
FRIB construction funding continues according to its
fabrication, assembly, and testing of cryomodules, as baseline profile.
well as their installation within the FRIB linear
accelerator located in the tunnel area. As portions of
the linear accelerator nears completion,commissioning efforts will also continue in order tovalidate accelerator’s performance according toproject requirements. In addition, fabrication,assembly, installation and testing of the experimental
technical systems will continue; project completion isplanned in FY 2022.

20-SC-51, U.S. Stable Isotope
Production and Research Center(ORNL)—$5,000,000+$5,000,000
Funding in FY 2019 provides for the development of a FY 2020 funding is requested for engineering design
Funding is requested to initiate the Total Estimatedconceptual design of the U.S. Stable Isotopeof the U.S. SIPRC and long lead procurements for
Cost ($150,000,000-$200,000,000) of the U.S. SIPRC.
Production and Research Center (U.S. SIPRC).
known designs of technologies developed for priorefforts, ESIPP and SIPF.

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Nuclear Physics
Capital Summary ($K)(dollars in thousands)

Capital Operating Expenses Summary
Capital equipment
Minor Construction Activities
General Plant Projects (GPP)
Accelerator Improvement Projects (AIP)
Total, Capital Operating Expenses
Capital Equipment
Major Items of Equipment (MIE)
Medium Energy Nuclear Physics
MOLLER MIE
Heavy Ion Nuclear Physics
Super-PHENIX (sPHENIX) MIE a
Low Energy Nuclear Physics
Gamma-Ray Energy Tracking Array(GRETA) MIE
High Rigidity Spectrometer (HRS) c
Neutrinoless Double Beta Decay MIE
Isotope Development and Production for
Research and Development
Stable Isotope Production Facility (SIPF)
MIE
Total Non-MIE Capital Equipment
Total, Capital Equipment

FY 2018 Enacted FY 2019 Enacted FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

Total

Prior Years

N/A

N/A

22,40238,025

17,418-20,607

N/A
N/A
N/A

N/A
N/A
N/A

2,000
4,929
29,331

2,060
5,077
45,1629,500
6,929
33,847+7,440+1,852-11,315

25,000-35,000

N/A

N/A

—

300

+300

24,200-34,500

N/A

N/A

5,310

3,000

-2,31052,000–65,000 b

N/A

80,000-90,000
215,000-250,000

N/A
N/A

5,200
N/A
N/A

6,600
—
—

2,500
1,000
1,440

-4,100+1,000+1,44025,500–28,000
N/A
N/A

N/A
N/A
N/A

10,0007,202
22,402

11,50014,61538,025

1,500
7,678
17,418-10,000-6,937-20,607

a sPHENIX MIE will be funded through existing operations funding which would typically be used to operate the previous version of the detector, PHENIX; no new funds are required.
b Total Project Cost range

c HRS will be funded through a cooperative agreement with MSU and is not a capital asset.

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Nuclear Physics
Minor Construction Activities ($K)

General Plant Projects
Greater than or equal to $5M and less than
$20M
End Station Refrigerator at TJNAF
Total GPPs, greater than or equal to $5M
and less than $20M
Total GPPs less than $5M a
Total, General Plant Projects (GPP)
Accelerator Improvement Projects (AIP)
Greater than or Equal to $5M and less than
$20M
RHIC Low Energy Electron Cooling
FRIB Isotope Harvesting b
Total AIPs (greater than or equal to $5M
and less than $20M)
Total AIPs less than $5M
Total, Accelerator Improvement Projects
Total, Minor Construction Activities(dollars in thousands)

Total

Prior Years

9,500

—

—

—

N/A
N/A

—
N/A
N/A

—
2,000
2,000

—
2,060
2,060

8,300
9,000-11,000

7,000
N/A

1,300
N/A

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

N/A
3,652
10,652
N/A

1,300
3,629
4,929
6,929

9,500

FY 2018 Enacted FY 2019 Enacted FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

9,500
9,500

+9,500—9,500+9,500-2,060+7,440

—
—

—
2,000

—
+2,000

—
5,077
5,077
7,137

2,000
4,929
6,929
16,429+2,000-148+1,852+9,292a 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.
b

FRIB Isotope Harvesting will be funded through a cooperative agreement with MSU and is not a capital asset.

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Nuclear Physics
Major Items of Equipment Description(s)Medium Energy Nuclear Physics MIE:
The Measurement of a Lepton-Lepton Electroweak Reaction (MOLLER) experiment directly supports the Nuclear Physics mission by measuring the parity-violating
asymmetry in electron-electron (Møller) scattering. CD-0 was approved December 2016 with an estimated Total Project Cost of $25,000,000 to $35,000,000. The
proposed MOLLER experiment is an ultra-precise measurement of the weak mixing angle using Møller scattering which will improve on existing measurements by afactor of five, yielding the most precise measurement of the weak mixing angle at low or high energy anticipated over the next decade. This new result would besensitive to the interference of the electromagnetic amplitude with new neutral current amplitudes as weak as ∼ 10−3 GF from as yet undiscovered dynamics beyond theStandard Model. The resulting discovery reach is unmatched by any proposed experiment measuring a flavor- and CP-conserving process over the next decade, andyields a unique window to new physics at MeV and multi-TeV scales, complementary to direct searches at high energy colliders such as the Large Hadron Collider (LHC).
The FY 2020 Request for MOLLER of $300,000 is the first year of TEC funding.
Heavy Ion Nuclear Physics MIE:
The Super Pioneering High Energy Nuclear Interaction Experiment (sPHENIX) directly supports the Nuclear Physics mission by using precision, high rate jet measurements
to further characterize the quark-gluon plasma (QGP) discovered at RHIC in order to understand the anomalous energy loss observed in the QGP. sPHENIX will enable
scientists to study how the near perfect QGP liquid with the lowest shear viscosity ever observed arises from the strongly interacting quarks and gluons from which it isformed. CD-0 was approved September 2016 with an estimated Total Project Cost of $29,000,000 to $35,000,000. CD-1/3a was approved in August 2018 with a TPC
range of $24,200,000 to $34,500,000. This MIE is funded within the existing funds for RHIC operations. Operating funds that are typically used to maintain and operate
the PHENIX detector will be used to upgrade the detector. No new funding is required. sPHENIX adds electron and hadron calorimeters to the existing silicon tracking
capabilities and makes use of a recycled solenoid magnet for a cost effective upgrade. The FY 2020 Request for sPHENIX of $3,000,000 is the second year of TEC funding
and below the planned amount; project plans will be re-evaluated upon an FY 2020 appropriation to consider changes to the project cost and schedule.
Low Energy Nuclear Physics MIEs:
The Gamma-Ray Energy Tracking Array (GRETA) detector directly supports the NP mission by addressing the goal to understand the structure of nuclear matter, theprocesses of nuclear astrophysics, and the nature of the cosmos. A successful implementation of this detector will represent a major advance in gamma-ray tracking
detector technology that will impact nuclear science, as well as detection techniques in homeland security and medicine. GRETA will provide unprecedented gains insensitivity, addressing several high priority scientific topics, including how weak binding and extreme proton-to-neutron asymmetries affect nuclear properties and how
the properties of nuclei evolve with changes in excitation energy and angular momentum. GRETA will provide transformational improvements in efficiency, peak-to-total
ratio and higher position resolution than the current generation of detector arrays. In particular, the capability of reconstructing the position of the interaction withmillimeter resolution is needed to fully exploit the physics opportunities of FRIB. Without GRETA, FRIB will rely on existing instrumentation. In that event, beam-times
necessary for the proposed experiments will be expanded significantly, and some proposed experiments will not be feasible at all. CD-0 for GRETA was approved in
September 2015 with an estimated Total Project Cost (TPC) of $52,000,000–$67,000,000. CD-1 was obtained in September FY 2017. CD-3a was obtained in September
2018 with an estimated TPC of $52,000,000 - $65,000,000. The FY 2020 Request for GRETA of $2,500,000 is the fourth year of Total Estimated Cost (TEC) funding and is
below the planned amount; project plans will be re-evaluated upon an FY 2020 appropriation to consider changes to the project cost and schedule.
The High Rigidity Spectrometer (HRS) MIE: FRIB will be the world’s premier rare-isotope beam facility producing a majority (~80%) of the isotopes predicted to exist.
Eleven of the 17 NSAC Rare Isotope Beam Taskforce benchmarks, which were introduced to characterize the scientific research of a rare-isotope facility, require the use
FY 2020 Congressional Budget Justification
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311

of fast beams at FRIB. The scientific impact of the FRIB fast beam science program will be substantially enhanced (by luminosity gain factors of between two and one
hundred for neutron-rich isotopes, with the largest gains for the most neutron-rich species) by construction of the HRS. The HRS will allow experiments with beams ofrare isotopes at the maximum production rates for fragmentation or in-flight fission. This enhancement in experimental sensitivity provides access to critical isotopes
not available otherwise. The HRS will increase the scientific reach by an order of magnitude for other state-of-the-art and community-priority devices, such as the
GRETA, in addition to other ancillary detectors. The 2015 NSAC LRP recognized that the “HRS…will be essential to realize the scientific reach of FRIB”. The FY 2020
Request for the HRS of $1,000,000 is the first year of funding. The HRS will be funded through a cooperative agreement with MSU and is not a capital asset. CD-0 was
approved November 2018 with a TPC range of $80,000,000 - $90,000,000.
The Ton-Scale Neutrino-less Double Beta Decay (NLDBD) Experiment MIE, implemented by instrumenting a large volume of a specially selected isotope to detect
neutrino-less nuclear beta decays (within a single nucleus, two neutrons decay into two protons and two electrons with no neutrinos emitted) directly supports DOE
NP’s mission to explore all forms of nuclear matter. Neutrino-less double beta decay can only occur if neutrinos are their own anti-particles and the observation of“lepton number violation” in such neutrino-less beta decay events would have profound, game changing consequences for present understanding of the physicaluniverse. For example, one exciting prospect is that the observation of neutrino-less double beta decay would elucidate the mechanism, completely unknown atpresent, by which the mass of the neutrino is generated. The observation of lepton number violation would also have major implication for the present day matter/antimatter asymmetry which has perplexed modern physics for decades. In the current experimental outlook, through FY 2018 a number of demonstrator efforts using
smaller volumes of isotopes and various technologies (bolometry in TeO2 crystals, light collection in LXe, charge collection in enriched Ge-76) have been in progress forseveral years, and all are in the process of delivering new state-of-the-art lifetime limits for 0νββ which are of order a few times 1025 years. The goal of a next generation
ton-scale experiment is to reach a lifetime limit of 1027 to 1028 years. For reference, the “lifetime limit” discussed is the time one might have to wait to observe neutrinoless double beta decay if observing a single nucleus only. Fortunately, in the ton of isotope planned for the ton-scale neutrino-less double beta decay experiment there
are many trillions of nuclei. Thus, such decays, if they exist, should be observable on a much more reasonable timescale (5-10 years) similar to other large modern
physics experiments. The FY 2020 Request for a Ton Scale Neutrino-less Double Beta Decay Experiment is $1,440,000 in the first year of TEC funding. CD-0 was approved
November 2018 with a TPC range of $215,000,000 - $250,000,000.
Isotope Development and Production for Research and Applications MIE:
The Stable Isotope Production Facility (SIPF). The DOE Isotope Program has invested funds since 2009 to develop stable isotope separation technology at ORNL, first
identified as a high priority by the NSAC Subcommittee on Isotopes in 2009. NP completed an R&D effort in 2017, which has resulted in a prototype capability to
produce small research quantities of enriched stable isotopes. The prototype demonstration has been established in a facility that can be expanded and the resulting
capability is completely scalable to produce kilogram quantities of enriched stable isotopes in a cost-effective manner. There is a high demand for a domestic capability
to produce enriched stable isotopes for basic research, medical and industrial applications. For example, foreign neutrinoless double beta decay experiments in nuclear
physics and dark matter experiments in high-energy physics are interested in kg quantities of enriched stable isotopes, which are not available in the U.S. The accelerator
production route for Mo-99, a critical medical isotope for cardiac imaging, which is being supported by NNSA, relies on a feedstock of enriched Mo isotopes, which arealso not available domestically. Stable isotopic nuclides of heavier elements are used for agricultural, nutritional, industrial, ecological and computing applications could
also be produced. The FY 2017 appropriation initiated this Major Item of Equipment to initiate fabrication of a domestic production facility for full-scale production of
stable enriched isotopes to help mitigate the dependence of the U.S. on foreign suppliers and meet the high demands for enriched stable isotopes for the Nation. MIE
funding provides infrastructure, and optimizes the design of centrifuges to isotopes of interest. CD-0 was approved September 2015 with an estimated TPC of$9,500,000–$10,500,000. CD-1/3a was approved in May 2018 with an estimated TPC range of $25,500,000-$28,000,000. The FY 2020 Budget requests the final year offunding for SIPF.
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FY 2020 Congressional Budget Justification

Nuclear Physics
Construction Projects Summary ($K)

14-SC-50, Facility for Rare Isotope Beams
DOE TPC
20-SC-51, U.S. Stable Isotope Production andResearch Center
TPC
Total, Construction (TPC)(dollars in thousands)
FY 2018
FY 2019
EnactedEnactedFY 2020
RequestFY 2020 Request vsFY 2019 Enacted

Total

Prior Years

635,500 a

418,000 b

97,20075,00040,000-35,000

—

—

—

5,000

+5,000N/A

97,20075,00045,000-30,000

150,000200,000
N/A

Funding Summary ($K)(dollars in thousands)
FY 2018 Enacted
Research
Scientific User Facilities Operations
Other Facility Operations
Projects (includes Other Project Costs)
Major Items of Equipment
Facility for Rare Isotope Beams
U.S. Stable Isotope Production and ResearchCenterElectron Ion Collider (OPC)
Total, Projects
Other cTotal, Nuclear Physics

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted-31,619-3,107+14,214

180,502324,250
24,200204,095
336,145
27,586

172,476
333,038
41,80015,20097,20023,41075,0009,740
40,000-13,670-35,000

—

—

5,000

+5,000—112,400
23,400684,000—
98,41023,764690,000

1,500
56,24021,300624,854+1,500-42,170-2,464-65,146

This is the DOE TPC; MSU’s cost share is $94,500,000 bringing the total project cost to $730,000,000. FRIB is funded with operating dollars through a Cooperative Agreement financial assistance award with awork breakdown structure (WBS) that is slightly different from typical federal capital assets. The WBS totals $730,000,000 including MSU’s cost share. Because the WBS scope is not pre-assigned to DOE or MSU
funds, DOE’s baseline of $635,500,000 cannot be broken down between TEC and OPC.
b A portion of the PY funding was provided within the Low Energy subprogram. The FY 2014 appropriation established FRIB as a control point.
c Includes SBIR/STTR funding.
a

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FY 2020 Congressional Budget Justification

Nuclear Physics
Scientific User Facility Operations ($K)
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:
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 (OH) 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 FACILITIESCEBAF (TJNAF) a
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours

FY 2018 Enacted

FY 2018 Current

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted$122,930
1,600
N/A
2,660
2,660
100.0%—$123,810
1,615
2,415
2,660
2,660
90.8%
—

$128,067
1,615
N/A
4,080
4,250
96.0%
N/A

$124,964
800
N/A
1,020
4,320
23.6%
N/A

-3,103-815
N/A-3,060+70-72.4%
N/A

a During FY 2017, the planned operating hours and optimal hours include 330 hours of operations (commissioning) that are supported from 12 GeV CEBAF Upgrade OPC funding, or pre-ops, that are part of the
project TPC. FY 2018 is the first year of operations after project completion; optimal hours increase in FY 2018 and FY 2019 as operational experience is gained.

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(dollars in thousands)
FY 2018 Enacted

FY 2018 Current

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

RHIC (BNL)
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours a
Unscheduled downtime hours$194,022
988
N/A
3,170
3,170
100.0%—$194,048
988
4,055
4,054
3,170
127.9%—$199,705
985
N/A
3,290
3,700
88.9%
N/A

$192,116
985
N/A
1,500
3,700
40.5%
N/A

-7,589—N/A-1,840—-48.4%N/A

ATLAS (ANL)
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$25,481
360
N/A
5,800
6,600
87.9%
—

$25,241
208
5,747
5,800
6,600
87.1%
—

$25,947
410
N/A
6,400
6,800
94.1%
N/A

$22,756
145
N/A
2,090
6,800
30.7%
N/A

-3,191-265
N/A-4,310—-63.4%
N/A

FRIB (MSU)
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$3,750
N/A
N/A
N/A
N/A
N/A
N/A

$3,750
N/A
N/A
N/A
N/A
N/A
N/A

$3,950
N/A
N/A
N/A
N/A
N/A
N/A

$13,538
N/A
N/A
N/A
N/A
N/A
N/A

+9,588
N/A
N/A
N/A
N/A
N/A
N/A

TYPE A FACILITIESa RHIC was able to exceed planned optimal hours in FY 2018 due to unanticipated high reliabilities associated with the low energy beam scans.

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FY 2020 Congressional Budget Justification

(dollars in thousands)

TYPE A FACILITIES
Total Scientific User Facility Operations
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent of optimal hours a
Unscheduled downtime hours

FY 2018 Enacted

FY 2018 Current

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted$346,183
2,948
N/A
8,970
12,430100.0%—$346,849
2,811
12,217
12,514
12,430127.9%—$357,669
3,010
N/A
13,77014,75091.9%
N/A$353,374
1,930
N/A
4,610
14,82031.1%
N/A-4,295-1,080N/A-9,160+70-60.8%N/A

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

825
330
530
1,035

830
350
550
1,060

814
317
461
958

-16
-33
-89
-102

Scientific Employment

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

a For total facilities only, this is a “funding weighted” calculation FOR ONLY TYPE A facilities: ∑1 [(%𝑂𝑂𝑂𝑂 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛)×(𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜)]b Includes technicians, engineers, computer professionals, and other support staff.

Science/Nuclear Physics

𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑎𝑎𝑎𝑎𝑎𝑎 𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝐴𝐴 𝑓𝑓𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜

316

FY 2020 Congressional Budget Justification

14-SC-50, Facility for Rare Isotope Beams (FRIB)
Michigan State University (MSU), East Lansing, MI
Project is for a Cooperative Agreement1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 Request for the Facility for Rare Isotope Beams (FRIB) project is $40,000,000. The most recent Critical Decision(CD) for the FRIB project is CD-3B, Approve Start of Technical Construction of the Accelerator and Experimental Systems,
which was approved on August 26, 2014, with a DOE Total Project Cost (TPC) of $635,500,000, and a scheduled CD-4 by 3Q
FY 2022. Michigan State University (MSU) is providing an additional cost share of $94,500,000, bringing the total project cost
to $730,000,000.
Significant Changes
This PDS is an update of the FY 2019 PDS and does not include a new start for FY 2020.
Start of civil construction officially began in March 2014, and technical construction began in August 2014. Since the start ofthe civil and technical construction, multiple independent project assessments, the most recent being in November 2018,
have determined the project is proceeding on track and within the established project baseline. There are no changes in the
project’s scope since the establishment of the project’s baseline.
FRIB is funded through a cooperative agreement financial assistance award with MSU per 10 CFR 600, and the project isrequired by this agreement to follow the principles of the DOE Order 413.3B. Funding tables contained in sections 3 and 4 ofthis Project Data Sheet (PDS) differ slightly from a traditional PDS for a federal capital asset construction project for how thebaseline is presented in that they include the MSU cost share. The table in section 5, Schedule of Appropriations Requests,
displays only DOE funding.
A Federal Project Director with certification level 4 has been assigned to this project and approves this PDS.
Critical Milestone History
CD-1

CD-2

Final
DesignComplete

CD-3A

CD-3B

D&D
Complete

FY 2011 2/9/2004

4Q
FY 2010

TBD

TBD

TBD

TBD

N/A

FY 2012 2/9/2004

9/1/2010

TBD

TBD

TBD

N/A

FY 2013 2/9/2004

9/1/2010

TBD

TBD

N/A

FY 2014 2/9/2004

9/1/2010

TBD
3Q
FY 2013

FY 2017–2019
FY 2018–
2020
TBD

TBD

N/A

TBD

FY 2015 2/9/2004

9/1/2010

8/1/2013

4Q
FY 2014N/A

8/1/2013 8/26/2014

N/A

8/26/2014a 8/1/2013 8/26/2014

N/A

FiscalYear

CD-0

Conceptual
DesignComplete

4Q
FY 2012TBD
3Q
FY 2013

FY 2016 2/9/2004

9/1/2010

9/1/2010

8/1/2013

FY 2017 2/9/2004

9/1/2010

9/1/2010

8/1/2013

TBD

4Q FY 2014 8/1/2013
8/26/2014
a

CD-4

3Q
FY 2022
3Q
FY 2022
3Q
FY 2022a This date represents when the design was substantially complete to allow the start of technical construction (CD-3B). A limited amount of design effort

continued through 4Q FY 2017.

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FY 2020 Congressional Budget Justification

Conceptual
DesignComplete

CD-1

CD-2

FY 2018 2/9/2004

9/1/2010

9/1/2010

8/1/2013

8/26/2014 8/1/2013 8/26/2014

N/A

FY 2019 2/9/2004

9/1/2010

9/1/2010

8/1/2013

8/26/2014 8/1/2013 8/26/2014

N/A

FY 2020 2/9/2004

9/1/2010

9/1/2010

8/1/2013

8/26/2014 8/1/2013 8/26/2014

N/A

Fiscal
Year

CD-0

Final
DesignComplete

CD-3A

CD-3B

D&D
CompleteCD-0 – Approve Mission Need
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
CD-3A – Approve Start of Civil Construction
CD-3B – Approve Start of Technical Construction
D&D Complete – Completion Demolition & Decontamination
CD-4 – Approve Start of Operations or Project Closeout

CD-4
3Q
FY 2022
3Q
FY 2022
3Q
FY 2022

Project Cost History a

FiscalYear

Design/Construction

FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020

655,700
655,700
655,700
655,700
655,700
655,700

2.

R&D/
Conceptual
Design/NEPA
24,60024,60024,60024,60024,60024,600(dollars in thousands)
Pre-Operations

Total TPC

Less MSU Cost
Share

DOE TPC

49,70049,70049,70049,70049,70049,700730,000
730,000
730,000
730,000
730,000
730,000-94,500-94,500-94,500-94,500-94,500-94,500

635,500
635,500
635,500
635,500
635,500
635,500

Project Scope and Justification

Scope
FRIB scope includes the design, construction, fabrication, assembly, testing, and commissioning of the civil and technicalscope that will enable high intensity primary beams of stable isotopes to be accelerated up to a minimum energy of 200
MeV per nucleon by a superconducting linear accelerator (linac) capable of delivering 400 kW of beam power at full energy.
The scope also includes the capability for secondary beams of rare isotopes to be produced “in-flight” and separated fromunwanted fragments by magnetic analysis. In support of these capabilities, the civil construction portion includes a structureof approximately 220,000 square feet that will house the linac tunnel, target high bay area, linac support area, and cryoplantarea. The technical scope includes a 2K/4.5K cryogenics plant, linac front end, cryomodules, and experimental systems.
As contractually required under the financial assistance award agreement, FRIB is being constructed in accordance with the
project management principles in DOE Order 413.3B, Program and Project Management for the Acquisition of Capital
Assets, and all appropriate project management requirements have been met.

a Because this project is funded with operating dollars through a financial assistance award, its baseline is categorized through a work breakdown structure(WBS), which is slightly different from typical federal capital assets. Note that the project’s WBS totals $730,000,000 including MSU’s cost share. The WBS
scope is not pre-assigned to DOE or MSU funds.

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FY 2020 Congressional Budget Justification

Justification
The science which underlies the FRIB mission is a core competency of nuclear physics: understanding how protons andneutrons combine to form various nuclear species; understanding how long chains of different nuclear species survive; andunderstanding how one nuclear species decays into another and what is emitted when that happens. Forefront knowledge
and capability in this competency is essential, both for U.S. leadership in this scientific discipline and to provide theknowledge and workforce needed for numerous activities and applications relevant to national security and economic
competitiveness.
FRIB will provide intense beams of rare isotopes for a wide variety of studies in nuclear structure, nuclear astrophysics, andother topics in nuclear physics. This facility will enable the study of the origin of the elements and the evolution of thecosmos, and offers an opportunity for exploring the limits of nuclear existence and identifying new phenomena, with thepossibility that a more broadly applicable theory of nuclei will emerge. The facility will offer new glimpses into the origin of
the elements, leading to a better understanding of key issues by creating exotic nuclei that, until now, have existed only innature’s most spectacular explosion, the supernova.
FRIB is optimized to produce large quantities of a wide variety of rare isotopes by breaking stable nuclei into rare isotopes.
High intensity primary beams of stable isotopes are produced in Electron Cyclotron Resonator ion sources and accelerated
up to a minimum energy of 200 MeV per nucleon by a superconducting linear accelerator capable of delivering 400 kW ofbeam power at full energy. Secondary beams of rare isotopes are produced “in-flight” and separated from unwanted
fragments by magnetic analysis. These rare isotope beams are delivered to experimental areas or stopped in a suite of ionstopping stations where they can be extracted and used for experiments at low energy, or reaccelerated for astrophysicalexperiments or for nuclear structure experiments. The project includes the necessary infrastructure and support facilities for
operations and the 1,000-person user community.
Key Performance Parameters (KPPs)
System
Accelerator System
Experimental Systems

Conventional Facilities

Parameter
Accelerate heavy-ion beam

Performance Criteria
Measure FRIB driver linac Argon-36 beam with energy larger
than 200 MeV per nucleon and a beam current larger than 20
pico nano amps (pnA)
Produce a fast rare isotope
Detect and identify Selenium-84 isotopes in FRIB fragment
beam of Selenium-84
separator focal plane
Stop a fast rare isotope
Measure reaccelerated rare isotope beam energy larger thanbeam in gas and reaccelerate 3 MeV per nucleon
a rare isotope beam
Linac tunnel
Beneficial occupancy of subterranean tunnel structure of
approximately 500 feet path length (minimum) to house FRIB
driver linear accelerator
Cryogenic helium liquefier
Beneficial occupancy of the cryogenic helium liquefier plant
plant—building andbuilding and installation of the helium liquefier plant complete
equipment
Target area
Beneficial occupancy of target area and one beam line installed
and ready for commissioning

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FY 2020 Congressional Budget Justification

3.

Financial Schedule a(dollars in thousands)
BudgetAuthority(Appropriations)
DOE Total Project Cost (TPC)FY 2009
FY 2010
FY 2011
FY 2012FY 2013
FY 2014 c
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
Total, DOE TPC

4.

Obligations

Costs b

7,000
12,00010,00022,00022,00055,00090,000100,000
100,000
97,20075,00040,0005,300—
635,500

4,164
13,283
11,553
18,91920,67748,36979,266
121,769
100,000
84,12470,00030,00015,30018,076
635,500

Current Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

37,288208,100
295,21675,52039,626
655,750

37,153
208,100
289,726
74,207
46,564
655,750

35,400165,300
241,400
55,000158,650
655,750

24,641
34,65914,95074,250730,000
94,50024,641
34,65914,95074,250730,000
94,50024,60035,50014,15074,250730,000
94,500

7,000
12,00010,00022,00022,00055,00090,000100,000
100,000
97,20075,00040,0005,300—

635,500

Details of Project Cost Estimate d(dollars in thousands)

DOE Total Project Costs (TPC)
Design & Construction
Management and Support
Conventional Facilities
Accelerator Systems
Experimental Systems
Contingency (DOE Held)
Total, Design & Construction
Other Costs
Conceptual Design/Tech R&D/NEPA
Pre-ops/Commissioning/SparesContingency (DOE Held)
Total, Other Costs
Total, TPC
MSU Cost Sharea The funding profile represents DOE’s requested portion, which is less than the current baselined TPC which includes MSU’s cost share.
b Costs through FY 2018 reflect actual costs; costs for FY 2019 and the outyears are estimates.

c The first project data sheet submitted for FRIB was in the FY 2015 Congressional Budget Request. It was established as a control point in the FY 2014
appropriation. Funding for the project in FY 2013 and prior years was provided within the Low Energy subprogram.
d This section shows a breakdown of the total project cost of $730,000,000 as of 6/30/2018, which includes MSU’s cost share. The scope of work is not preassigned to DOE or MSU funds.

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FY 2020 Congressional Budget Justification

(dollars in thousands)

Total Project Costs (DOE Share)
Total, Contingency (DOE Held)

Science/Nuclear Physics/
14-SC-50, Facility for Rare Isotope Beams (FRIB)

Current Total
Estimate
635,500
54,576

Previous
Total
Estimate
635,500
61,514

Original
Validated
Baseline
635,500
172,800

321

FY 2020 Congressional Budget Justification

5.

Schedule of Appropriations Requests a(dollars in thousands)

RequestYear
FY 2011
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
6.

TypePrior Years

FY 2018

FY 2019

FY 2020

FY 2021

TPC
TPC
TPC
TPC
TPC
TPC
TPC
TPC
TPC
TPC

29,00059,00073,000128,000
418,000
418,000
418,000
418,000
418,000
418,000————
97,20097,20097,20080,00080,00097,200————75,00075,00075,00075,00075,00075,000————40,00040,00040,00057,20057,20040,000

—
—
—
—
5,300
5,300
5,300
5,300
5,300
5,300

29,00059,00073,000128,000
635,500
635,500
635,500
635,500
635,500
635,500

Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future Start of D&D of this capital asset (fiscal quarter)

Operations c
7.

Total

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
90,00090,0003Q FY 2022
20
N/A b

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
1,800,000 d
1,800,000

D&D Information

The FRIB project is being constructed at MSU under a cooperative agreement financial assistance award. The one-for-one
requirement, which requires the demolition of a square foot of space for every square foot added, is not applicable, since
this is not a federal capital acquisition.
8.

Acquisition Approach

FRIB project activities will be accomplished following all procurement requirements, which include using fixed-priced
competitive contracts with selection based on best value. MSU has contracted for the services of an architect-engineer firm
for the design of the conventional facilities. The Driver Linac and Experimental System components will be self-performed by
the MSU design staff with assistance from outside vendors and from DOE national laboratories that possess specific areas ofunique expertise unavailable from commercial sources. Integration of the conventional facilities with the Driver Linac andExperimental Systems will be accomplished by the MSU FRIB Project Team.

a The funding profile represents DOE’s portion of the baselined TPC to be provided through federal appropriations.
b Per the financial assistance award agreement, MSU is responsible for D&D.

c Utilities, maintenance, and repair costs are included within the Operations amounts.

d The total operations and maintenance (O&M) is estimated at an average annual cost of approximately $90,000,000 (including escalation) over 20 years.

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322

FY 2020 Congressional Budget Justification

20-SC-51, United States Stable Isotope Production and Research Center (U.S. SIPRC)
Oak Ridge National Laboratory, Oak Ridge, Tennessee
Project Data Sheet is for Design1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 request for the United States Stable Isotope Production and Research Center (U.S. SIPRC) is $5,000,000. The
most recent DOE O 413.3B approved Critical Decision (CD) is CD-0, Approve Mission Need, which was approved on
January 4, 2020, with a preliminary Total Project Cost (TPC) range of $150,000,000 to $200,000,000.
Significant Changes
This project data sheet (PDS) is a new start for budget year FY 2020.
FY 2020 funding will support Project Engineering and Design activities. Other Project Cost (OPC) funded conceptual design
work commenced in 2Q FY2019. Pre-conceptual design and research and development for this initiative are highly leveraged
and advanced by prior efforts related to the technology that will be used by U.S. SIPRC. These prior efforts include thecompleted Electromagnetic Isotope Production Prototype and the ongoing Stable Isotope Production Facility (SIPF) Major
Item of Equipment.
A Federal Project Director (FPD) has not been assigned to the U.S. SIPRC, but one will be assigned by CD-1.
Critical Milestone History
FiscalYear

CD-0

FY 2020 a

1/04/2020

Conceptual
DesignComplete
2Q
FY 2020

CD-1

CD-2

Final
DesignComplete

2Q FY 2020

2Q FY 2021

TBD

CD-3

D&D
Complete

CD-4

2Q FY 2022

N/A

4Q FY 2026

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

Project Cost History
FiscalYear
FY 20202.

TEC, Design
TBD

TEC,
Construction
TBD

TEC, Total
TBD

OPC Except
D&D
TBD

OPC, D&D

OPC, Total

TPC

TBD

TBD

TBD

Project Scope and Justification

Scope
The scope of this project includes additional electromagnetic isotope separator systems and gas centrifuge cascades housed
in a new single facility to promote operational, cost and security effectiveness, with space for future growth. The facility
a Dates presented are as approved at CD-0 and are notional, i.e., they will change as the conceptual design is developed.

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Production and Research Center

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includes adequate space for test stands and prototype development and is a purely technical facility (i.e., minimal office andstaff amenities) and located on the ORNL main campus. Gas centrifuges and electromagnetic separators are based on existing
designs developed from prior projects and R&D supported by DOE IP. As part of the alternatives analysis for Critical Decision1 (CD-1), the optimal number of each type of technology is being considered.
Justification
U.S. SIPRC is critical to the DOE Isotope program within the Office of Science (SC), Office of Nuclear Physics (NP). The facility
will expand the stable isotope production capability to address multiple production capabilities to meet the demand of thenation, while also mitigating our Nation’s dependencies for critical isotopes on foreign suppliers. The current capacity
within the United States is insufficient to meet the Nation’s demands and spread out geographically at Oak Ridge National
Laboratory (ORNL) which increases operating complexity, operating costs, and complicates security protection strategies.
U.S. SIPRC will provide a consolidated approach to address our Nation’s isotope needs in a more economical and operational
efficient manner.
The proposed U.S. SIPRC at ORNL will integrate all aspects of the stable isotope program, including electromagnetic
separation and centrifuge technologies; research and development laboratories; stable isotope storage and dispensing
operations; and technical services for preparing special isotope forms through physical and chemical conversions. U.S. SIPRC
will expand current production capabilities for enriched stable isotopes and provide a new building that will facilitate efficient
operations and provide space, not only for all of the current needs, but will also accommodate the projected large-scale
expansion of production systems.
Key Performance Parameters (KPPs)
Performance Measure
TBD

Threshold
TBD

Objective
TBD

This project is at CD-0. Preliminary Key Performance Parameters will be created in support of CD-1, Approve Alternative
Selection and Cost Range.
The project is being conducted in accordance with the project management requirements in DOE O 413.3B, Program andProject Management for the Acquisition of Capital Assets, and all appropriate project management requirements will be
met.
3.

Financial Schedule(dollars in thousands)
BudgetAuthority(Appropriations)
Obligations
Total Estimated Cost (TEC)PED
FY 2020
FY 2021
Total, PED
Construction
FY 2020
FY 2021
Total, Construction

Science/Nuclear Physics/
20-SC-51, U.S. Stable Isotope
Production and Research Center

Costs

5,000
TBD
TBD

5,000
TBD
TBD

4,000
TBD
TBD

—
TBD
TBD

—
TBD
TBD

—
TBD
TBD

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FY 2020 Congressional Budget Justification

(dollars in thousands)
BudgetAuthority(Appropriations)
Obligations
Total Estimated Costs (TEC)FY 2020
FY 2021
Total, TEC
Other Project Costs (OPC)
OPC except D&D
FY 2019
FY 2020
Total, OPC
Total Project Costs (TPC)FY 2019
FY 2020
FY 2021
Total, TPC a
4.

Costs

5,000
TBD
TBD

5,000
TBD
TBD

4,000
TBD
TBD

500
—
TBD

500
—
TBD

400
100
TBD

500
5,000
TBD
TBD

500
5,000
TBD
TBD

400
4,100
TBD
TBD

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

Previous
Total
Estimate

Original
Validated
Estimate

5,000
—
TBD

N/A
N/A
N/A

N/A
N/A
N/A

TBD
TBD
TBD
5,000
TBD

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

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

500
TBD
TBD
TBD
500
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
N/A
N/A
N/A
N/A

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Construction
Contingency
Total, Construction
Total, TEC
Contingency, TEC
Other Project Cost (OPC)
OPC except D&D
Conceptual Design
R&D
Start-upContingency
Total, OPC
Contingency, OPC
Total Project Cost b
Total, Contingency (TEC+OPC)

a This request is for FY 2020 Design costs only.

b This request is for FY 2020 Design costs only.

Science/Nuclear Physics/
20-SC-51, U.S. Stable Isotope
Production and Research Center

This project is at CD-0 and therefore is not baselined.
This project is at CD-0 and, therefore, is not baseline.

325

FY 2020 Congressional Budget Justification

5.

Schedule of Appropriation Requests

Request Year
FY 2020(Design only)

6.

Type
TEC
OPC
TPC

Prior Years———

FY 2019—500
500

FY 2020
5,000
—
5,000

Total
TBD
TBD
TBD

Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future start of D&D for new construction (fiscal quarter)

Operations and Maintenance
7.

Outyears———

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
TBD
TBD

TBD
TBD
TBD

Life cycle costs
Previous Total
Current Total
Estimate
Estimate
TBD
TBD

D&D Information

Area of new construction ....................................................................................................................................
Area of existing facility(ies) being replaced ........................................................................................................
Area of any additional D&D space to meet the “one-for-one” requirement .....................................................

Square Feet
TBD
TBD
TBD

The “one-for-one” requirement will be met through an offset or waiver.
8.

Acquisition Approach

The acquisition approach will be approved with CD-1 approval anticipated to be in FY 2020. The Oak Ridge National
Laboratory will manage all acquisitions with appropriate Department of Energy oversight. DOE and ORNL will monitor cost,schedule, and technical performance using an earned-value process consistent with DOE O 413.3B, Program and ProjectManagement for the Acquisition of Capital Assets.

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Workforce Development for Teachers and Scientists
Overview
The Workforce Development for Teachers and Scientists (WDTS) program mission is to help ensure that DOE has a sustained
pipeline for the science, technology, engineering, and mathematics (STEM) workforce. Accomplishing this mission depends
on continued support for undergraduate internships and graduate thesis research; administration of the Albert Einstein
Distinguished Educator Fellowship for K–12 STEM teachers for federal agencies; and annual, nationwide, middle- and highschool science competitions culminating in the National Science Bowl® finals in Washington, D.C. These activities support
the development of the next generation of scientists and engineers to address the DOE mission, administer programs, andconduct research.
WDTS activities rely significantly on DOE’s 17 national laboratories and scientific facilities, which employ more than 30,000
individuals with STEM backgrounds. The DOE laboratory system provides access to leading scientists; world-class scientificuser facilities and instrumentation; and large-scale, multidisciplinary research programs unavailable in universities orindustry. WDTS leverages these assets to develop and train post-secondary students and educators in support of the DOE
mission. WDTS experience-based STEM learning opportunity programs enable highly qualified applicants to conduct
research at DOE laboratories and facilities in support of the DOE workforce development mission.
Highlights of the FY 2020 Request
The FY 2020 Request for $19,500,000 prioritizes funding for programs that place highly qualified applicants in authentic
STEM learning and training experiences at DOE laboratories. It also prioritizes support for the DOE National Science Bowl®
(NSB), a signature STEM competition testing middle and high school students’ knowledge in science and mathematics. By
encouraging students to pursue STEM careers, these programs address the DOE’s STEM mission critical workforce pipeline
needs required to advance national security and promote American competitiveness.
Description
Activities at the DOE Laboratories
WDTS supports activities such as the Science Undergraduate Laboratory Internships program, the Community College
Internships program, the Office of Science (SC) Graduate Student Research Program, and the Visiting Faculty Program. Oneof the primary goals of these programs is to prepare students to enter STEM careers that are especially relevant to the DOE
mission. By providing research experiences at DOE laboratories under the direction of scientific and technical laboratory
staff who serve as research advisors and mentors, these activities provide opportunities for participants to engage in
research requiring specialized instrumentation; large-scale, multidisciplinary efforts; and/or scientific user facilities. WDTS
activities are aligned with the STEM workforce training recommendations of the Federal advisory committees of SC’s six
research program offices, the draft strategic objectives of the National Science and Technology Council Committee on STEM
Education (CoSTEM) Federal STEM Education 5-Year Strategic Plan, a and the Administration’s goals for educating andtraining an American workforce for the 21st century economy. b
The Science Undergraduate Laboratory Internships (SULI) program places students from two- and four-year undergraduate
institutions as paid interns in science and engineering research activities at DOE laboratories, working with laboratory staff
scientists and engineers on projects related to ongoing research programs. Appointments are for 10 weeks during thesummer term and 16 weeks during the fall and spring terms.
The Community College Internships (CCI) program places community college students as paid interns in technologicalactivities at DOE laboratories, working under the supervision of a laboratory technician or researcher. Appointments are for
10 weeks during the summer, fall, and spring terms.
The Office of Science Graduate Student Research (SCGSR) program goal is to prepare graduate students for STEM careers
critically important to the SC mission by providing graduate thesis research opportunities at DOE laboratories. The SCGSR
program provides supplemental awards for graduate students to pursue part of their graduate thesis research at a DOE
laboratory or facility in areas that address scientific challenges central to the SC mission. U.S. graduate students pursuinga https://www.whitehouse.gov/wp-content/uploads/2018/12/STEM-Education-Strategic-Plan-2018.pdf
b https://www.whitehouse.gov/wp-content/uploads/2018/07/M-18-22.pdf

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Ph.D. degrees in physics, chemistry, materials sciences, non-medical biology, mathematics, computer or computational
sciences, or specific areas of environmental sciences aligned with the SC mission are eligible for research awards to conduct
part of their graduate thesis research at a DOE laboratory or facility in collaboration with a DOE laboratory scientist.
Research award terms range from three months to one year.
The Visiting Faculty Program (VFP) goal is to increase the research competitiveness of faculty members and students atinstitutions of higher education historically underrepresented in the research community. Through direct collaboration withresearch staff at DOE host laboratories, VFP appointments provide an opportunity for faculty and their students to develop
skills applicable to programs at their home institutions; this helps increase the STEM workforce in DOE science mission areasat institutions historically under-represented within the DOE enterprise. Appointments are in the summer term for 10
weeks.
Albert Einstein Distinguished Educator Fellowship
The Albert Einstein Distinguished Educator Fellowship Act of 1994 charges the Department of Energy (DOE) withadministering a fellowship program for elementary and secondary school mathematics and science teachers that focuses onbringing teachers’ real-world expertise to government to help inform federal STEM education programs. Selected teachers
spend 11 months in a Federal agency or a Congressional office. WDTS manages the Albert Einstein Distinguished Educator
Fellowship (AEF) Program for the Federal government. Fellows are supported by DOE and other Federal agencies. SC
sponsors placement opportunities in WDTS and in Congressional offices., Other Federal agencies sponsor placement
opportunities in their own offices. Participating agencies have included the National Science Foundation (NSF), the National
Aeronautics and Space Administration (NASA), the Library of Congress, and the National Oceanic and Atmospheric
Administration (NOAA). The Fellows provide educational expertise, years of teaching experience, and personal insights tothese offices to advance Federal science, mathematics, and technology education programs.
National Science Bowl®
The DOE National Science Bowl® (NSB) is a nationwide academic competition testing students’ knowledge in all areas ofmathematics and science, including energy. High school and middle school students are quizzed in a fast-paced, questionand-answer format. Approximately 290,000 students have participated in the NSB throughout its 28-year history, and it is
one of the nation’s largest science competitions. The U.S. Department of Energy Office of Science manages the NSB, andsponsors the NSB finals competition. Regional competitions rely upon volunteers and are supported by numerous localorganizations, both public and private.
The National Science Bowl® regional winning teams receive expenses-paid trips to Washington, D.C. to compete at the
National Finals in late April. Competing teams are composed of four students, one alternate, and a teacher who serves as anadvisor and coach. SC manages the National Science Bowl®, provides central management of 116 regional events.
In FY 2018, more than 5,000 middle school students (from 680 schools) and 9,000 high school students (from 1,211 schools)
participated in the regional competitions, with 48 middle school teams (215 students) and 65 high school teams (310students) participating in the National Finals in Washington, D.C. All 50 U.S. States, the District of Columbia, and Puerto Ricowere represented at regionals. More than 5,000 volunteers also participate in the local and national competitions.
The National Science Bowl® championship finals are held at the Lisner Auditorium, located on the campus of The George
Washington University, and features a live web-streaming broadcast of the event.
Technology Development and On-Line Application
This activity modernizes on-line systems used to manage application solicitations, review applications, facilitate datacollection, perform outreach, and integrate evaluation for WDTS programs. A project to develop, build, and launch new
online application and program support systems continues, with evolving new elements to advance program management,
execution, and evaluation by WDTS program staff and by DOE laboratory staff. An important component of the systems isthe ability to support regular evidence-based evaluation of program performance and impact. A phased approach is being
used to develop and build improved and new features. One of these features is the development of an analytics andvisualization portal, using a data-dictionary and data warehouse of participant information, with an embedded commerciallyavailable business intelligence software tool as its analysis and visualization engine. Using this toolset, a scheduled portfolioof reports are being made available to DOE host laboratories to inform them of participant trends and program outcomes.

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FY 2020 Congressional Budget Justification

WDTS is using this toolset as part of a data-driven programmatic impact evaluation process, providing means to measureprogress and optimize program management.
Evaluation Studies
The Evaluation Studies activity supports work to assess whether WDTS programs meet established goals. This isaccomplished through the use of triennial reviews of its program performers, and of WDTS itself. These reviews are either
subject matter program peer reviews, or Federal Advisory Committee commissioned Committee of Visitors reviews,
respectively. Additional supported activities that measure and assess program performance involve the collection andanalysis of data and other materials, including pre- and post-participation questionnaires, participant deliverables, notableoutcomes (publications, presentations, patents, etc.), and longitudinal participant tracking. In FY 2019, as directed by theFederal STEM Education 5-Year Strategic Plana, WDTS will perform a systematic review of data-derived evidence from its
current and past program participants, to be further augmented by the design of a longitudinal study of its cohorts of priorSULI participants, looking back more than 20 years.
An expected outcome of these activities is improved means to assess and inform programs, investments, and activities.
The Evaluation Studies activity is aligned with the Government Performance and Results Act (GPRA) Modernization Act of2010, which emphasizes the need for federal programs (including STEM education programs) to demonstrate theireffectiveness through rigorous evidence-based evaluation. WDTS works cooperatively with SC programs, other DOE
programs, and other federal agencies through CoSTEM to share best practices for STEM program evaluation to ensure theimplementation of evaluation processes appropriate to the nature and scale of the program effort.
Outreach
WDTS engages in outreach activities, some in cooperation with other DOE program offices and select federal agencies, towidely publicize its opportunities. The WDTS website a is the most widely used tool for prospective program participants toobtain information about WDTS and is the gateway to accessing the online applications for the WDTS programs. To help
diversify the applicant pool, outreach is conducted via presentations to targeted key stakeholder groups, and via the web
using virtual webinar meetings that highlight the programs, their opportunities, and the WDTS internship experience. A
portfolio of recorded webinars is available on the WDTS website. Additional online tools are being implemented to directly
publicize opportunities for students via their institutional career offices, which is a rapidly expanding outreach modality
amongst student populations seeking internship opportunities.
WDTS also annually solicits proposals from DOE host laboratories and facilities to develop and execute outreach activities
aimed at recruiting a more diverse spectrum of applicants to WDTS laboratory-based programs. Eligible laboratories andfacilities are those that host participants in the SULI, CCI, VFP, and/or SCGSR programs. Based upon reported outcomes ofannually completed activities, a portfolio of model practices is evolving to help ensure that WDTS activities are fully open
and accessible to all members of the population. The FY 2020 Request continues support for curation of this information.
The Laboratory Equipment Donation Program (LEDP) is operated under Outreach and provides excess laboratory equipment
to STEM faculty at accredited post-secondary educational institutions. Through the Energy Asset Disposal System, DOE sites
identify excess equipment and colleges and universities can then search for equipment of interest and apply via the website.
The equipment is free, but the receiving institution pays for shipping costs. This consolidation does not alter the scope of
this activity.

a https://science.energy.gov/wdts

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FY 2020 Congressional Budget Justification

Workforce Development for Teachers and Scientists
Funding ($K)(dollars in thousands)

Activities at the DOE Laboratories
Science Undergraduate Laboratory Internships
Community College Internships
Office of Science Graduate Student Research Program
Visiting Faculty Program
Total, Activities at the DOE Laboratories
Albert Einstein Distinguished Educator Fellowship
National Science Bowl®
Technology Development and On-Line Application
Evaluation Studies
Outreach
Total, Workforce Development for Teachers and Scientists

Science/Workforce Development
for Teachers and Scientists

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

8,300
1,000
2,500
1,700
13,500
1,200
2,900
750
600
550
19,50010,300
1,000
3,500
1,700
16,500
1,200
2,900
750
600
550
22,500

9,100
1,100
2,600
1,700
14,500
800
2,900
500
300
500
19,500-1,200+100-900—-2,000
-400
—
-250
-300
-50
-3,000330

FY 2020 Congressional Budget Justification

Program Accomplishments
Science Undergraduate Laboratory Internships (SULI) — In FY 2018, and as in prior years, participants made notable
contributions to research projects as evidenced by co-authorship in peer reviewed journals and/or presentations atscientific meetings. FY 2018 funding supported 790 placements, of which more than 50 were from Minority Serving
Institutions (MSIs).
Community College Internships (CCI) — In FY 2018, approximately 20% of the participants were from MSIs.
Office of Science Graduate Student Research Program (SCGSR) — In FY 2018, the General Atomics/DIII-D National Fusion
Facility in San Diego, California was added as a new host site (in addition to the 17 DOE national laboratories), and had its
first SCGSR placement. To date, about 372 awardees from 120 graduate institutions across the U.S. have participated in
SCGSR.
Visiting Faculty Program (VFP) —FY 2018 funding supported 51 faculty and 19 student placements. Approximately 40% of
the faculty participants were from MSIs.
Albert Einstein Distinguished Educator Fellowship (AEF) — In FY 2018, two of the six WDTS sponsored AEF participants held
WDTS office appointments. In addition to engaging in WDTS programmatic activities, as nationally recognized STEM
educators, one of these Fellows collaborated with Brookhaven National Laboratory and the Pacific Northwest National
Laboratory, while the other Fellow collaborated with Idaho National Laboratory, applying their expertise to portions of thelaboratories’ STEM education outreach activities. In efforts to expand federal agency participation, the incoming 2018-2019
cohort includes a placement at the Library of Congress, and WDTS is engaged in discussions with other agencies who haveexpressed interest in hosting a Fellow for the FY 2019 application cycle (2019-2020 cohort).
The National Science Bowl® (NSB) — The National Finals of the 28th DOE National Science Bowl® took place in the
Washington, DC, area from April 27 – May 1, 2017. The Secretary of Energy addressed the high school finalists, while theUnder Secretary for Science delivered congratulatory remarks to the 65 high schools and 48 middle schools at the finals, andconferred awards to the winning teams.
The NSB’s Science Day is a cornerstone event, opening the finals competition with a tradition of attracting prominent
speakers, including outstanding researchers from DOE laboratories, who are able to connect DOE laboratory workplace
experience and careers to these students’ STEM areas of study. Having Science Day speakers from across the DOE laboratorycomplex is particularly relevant from a workforce mission perspective, as this is often the first time that these students
become aware of DOE mission research, and the national laboratory complex. The 2018 NSB Science Day for high-school
finalists had as its theme Cybersecurity, a DOE mission critical field with programmatic research activity in SC and in the
National Nuclear Security Administration.
The Cyber-Challenge middle school activity continued in FY 2018. This Cyber-Challenge activity leverages NNSA’s
Cybersecurity Workforce Pipeline Consortium investments, and is based upon activities developed at Lawrence Livermore
National Laboratory. The NSB provides an opportunity to develop and test these cybersecurity outreach and training
activities at large concurrent participant scales. Based upon this success, as well as additional pilot activities sponsoredunder Outreach, the technical requirements for additional DOE national laboratories to host cyber-challenge events acrossthe nation were defined.
Technology Development and On-Line Application — In FY 2018 the online system codebase was refreshed, including areview and update for compliance with current Section 508 of the Rehabilitation Act of 1973 accessibility requirements.
Completed new development includes a budget management dashboard for enhanced transparency and tightercompliance, implementation of an ORCID iD (Open Researcher and Contributor ID - a nonproprietary alphanumeric code touniquely identify scientific and other academic authors and contributors) as an unique online system applicant identifier tomitigate risks involving identity protection instead using the last four digits of social security numbers, and incorporation of“Handshake”, a rapidly growing position posting system where students have access to search and apply for opportunities,
which is especially gaining popularity when seeking internships.

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Evaluation — WDTS completed additional phases of a project to develop and implement a data-dictionary/data-warehousebased analytics and visualization toolset supporting data-driven program evaluation. Completed activities in FY 2018 include
the migration and normalization of participant data collected by legacy online systems. ORCID implementation enables
seamless access to notable outcomes made by current and former participants and also providing means to unobtrusively
follow STEM career outcomes without jeopardizing privacy.
Outreach — DOE host laboratories and facilities executed projects aimed at recruiting a more diverse applicant pool to
WDTS laboratory-based programs, targeting recruitment of individuals traditionally underrepresented in STEM andaddressing needs to increase the applicant pool diversity for one or more of the WDTS programs currently implemented at
DOE host laboratories and facilities. As one outcome, a portfolio of model practices is evolving.
The LEDP online system has been migrated from the Office of Scientific and Technical Information (OSTI) to the Oak Ridge
Institute for Science and Education (ORISE) and was integrated it into current online systems. By using established online
resources, and their capabilities, this migration improves the client experience when accessing and applying for equipment,
and also improves management and execution of equipment transfer processes.

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FY 2020 Congressional Budget Justification

Workforce Development for Teachers and Scientists
Activities and Explanation of Changes
FY 2019 Enacted

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted

FY 2020 Request

Workforce Development for
Teachers and Scientists$22,500,000$19,500,000-$3,000,000
Activities at the DOE Laboratories$16,500,000$14,500,000-$2,000,000
Science Undergraduate Laboratory
Internships$10,300,000$9,100,000-$1,200,000
The FY 2019 Enacted budget for SULI supports
The Request for SULI will support approximately 870
Funding will support 130 fewer students.
approximately 1,000 students.
students.
Community College Internships$1,000,000$1,100,000+$100,000
The FY 2019 Enacted budget for CCI supports
The Request for CCI will support approximately 110
Increased funding will support an additional 10
approximately 100 students.
students.
students.
Graduate Student Research Program$3,500,000
The FY 2019 Enacted budget for the SCGSR
program supports approximately 210 graduate
students. Targeted priority research areas are
informed by SC’s workforce training needs studies.

$2,600,000-$900,000
The Request for the SCGSR program will support
Decreased funding will support 95 fewer students.
approximately 115 graduate students. Targeted priority
research areas will be informed by SC’s workforce
training needs studies.

Visiting Faculty Program$1,700,000$1,700,000
The FY 2019 Enacted budget for the VFP supports
The Request for the VFP will support approximately 65
No change.
approximately 65 faculty and 40 students.
faculty and 40 students.
Albert Einstein Distinguished
Educator Fellowship$1,200,000
The FY 2019 Enacted budget supports 6 Fellows.
The Request will support 4 Fellows.

Science/Workforce Development for Teachers and Scientists

333

$—

$800,000-$400,000
Funding will support 2 fewer Fellows.

FY 2020 Congressional Budget Justification

FY 2019 Enacted
National Science Bowl
$2,900,000
The FY 2019 Enacted budget for the NSB allows
WDTS to sponsor the finals competition, andprovides central management of 116 regional
events, involving 14,300 students from all fifty
states, the District of Columbia, Puerto Rico, andthe U.S. Virgin Islands.

FY 2020 Request

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted$2,900,000
The Request will provide support to sponsor the finals
No change.
competition and provide central management of 116
regional events, involving 14,300 students from all fifty
states, the District of Columbia, Puerto Rico, and the U.S.
Virgin Islands.

$–

Technology Development and On-line
Application Systems$750,000$500,000-$250,000
The FY 2019 Enacted budget continues support for The Request will continue development and operation of Funding will maintain operation of the on-line
the development and operation of the on-line
the on-line systems.
systems; development will be slowed.
systems.
Evaluation$600,000$300,000
The FY 2019 Enacted budget continues support for The Request will continue support for evaluation
Funding will reduce evaluation activities.
evaluation activities, including data archiving,
activities, including data archiving, curation, andcuration, and analyses.
analyses. WDTS will perform a systematic review of dataderived evidence from its current and past program
participants, to be further augmented by the design of alongitudinal study of its cohorts of prior SULI
participants, looking back more than 20 years.
Outreach$550,000
The FY 2019 Enacted budget continues support foroutreach activities to the scientific community,
targeting Office of Science mission-driven
disciplinary workforce needs in the next 5 to 10
years, including additional outreach activity
proposal solicitations from DOE host labs andfacilities.

$500,000
The Request will support outreach activities to thescientific community targeting Office of Science missiondriven disciplinary workforce needs in the next 5 to 10
years, including additional outreach activity proposal
solicitations from DOE host labs and facilities. Support
continues for the LEDP program.

Science/Workforce Development for Teachers and Scientists

334-$300,000-$50,000
Funding change will have no impact due to the launchof LEDP operations on WDTS online systems,
improving its program management efficiency, andresulting in reduced costs.

FY 2020 Congressional Budget Justification

Science Laboratories Infrastructure
Overview
The Science Laboratories Infrastructure (SLI) program mission is to support scientific and technological innovation at the
Office of Science (SC) laboratories by funding and sustaining general purpose infrastructure and fostering safe, efficient,reliable and environmentally responsible operations. The main priorities of the SLI program are improving SC’s existing
physical assets and funding new cutting-edge facilities that enable emerging science opportunities. The SLI program also
funds Payments in Lieu of Taxes (PILT) to local communities around the Argonne, Brookhaven, and Oak Ridge National
Laboratories.
SC manages an infrastructure portfolio worth nearly $22 billion, which is composed of 13 sites with nearly 23 million grosssquare feet (gsf) in 1,570 government owned buildings. SC assets at the 10 national laboratories include major research anduser facilities, laboratory and office buildings, support facilities, and a vast network of utilities that form the backbone ofeach site. The average age of SC’s buildings is over 42 years, and nearly half are rated substandard or inadequate to meet
mission needs. In addition, utility systems across several laboratories are suffering from failures and frequent, often costly,
repairs. While there has been significant federal stewardship of research, user and research support facilities, core
infrastructure and utility systems maintenance has lagged behind, resulting in many of these critical assets falling into
disrepair. Collectively, these issues impact scientific progress and impair mission accomplishment. The SLI program has taken
the lead over the last several years in working with laboratories to ensure appropriate stewardship of general-purpose
infrastructure and supporting utility systems.
In FY 2018, SC invested over $550 million in needed maintenance, repair, and upgrades of general purpose infrastructure.
These investment activities were from a variety of funding sources, including Federal appropriations for line-item
construction projects and general plant projects (GPPs), as well as overhead-funded investments in institutional GPP (IGPP)
work and routine maintenance and repair. The SLI program provides two important pieces of this overall strategy—line-item
construction projects and a suite of infrastructure support investments that focus on laboratory core infrastructure andoperations.
SC laboratories conduct rigorous and consistent analyses of the condition, utilization, and functionality of the facilities andinfrastructure that are the most critical to mission accomplishment. SC works with each of its laboratories to use theseassessments in developing comprehensive Campus Strategies, which are integrated into the SC Annual Laboratory Planning
process. Each laboratory’s Campus Strategy identifies activities and infrastructure investments (e.g., Line-Item Construction,
GPPs) required to achieve the core capabilities and scientific vision for the laboratory. SC leadership uses these Campus
Strategies to establish the corporate facilities and infrastructure needs and priorities, which, combined with complex-wide
infrastructure analyses, form the basis for SLI Budget Requests.
Highlights of the FY 2020 Request
The SLI program request for $163,600,000 continues to focus on improving infrastructure across the SC national laboratorycomplex. The FY 2020 Request includes funding for five new construction starts: the Critical Utilities Rehabilitation Project at
Brookhaven National Laboratory (BNL), the Seismic and Safety Modernization project at Lawrence Berkeley National
Laboratory (LBNL), the Continuous Electron Beam Accelerator Facility (CEBAF) Renovation and Expansion project at Thomas
Jefferson National Accelerator Facility (TJNAF), the Craft Resources Support Facility at Oak Ridge National Laboratory (ORNL),
and the Large Scale Collaboration Center at SLAC National Accelerator Laboratory (SLAC).
The Request supports six ongoing construction projects: the Integrated Engineering Research Center at Fermi National
Accelerator Laboratory (FNAL), the Energy Sciences Capability project at Pacific Northwest National Laboratory (PNNL), the
Science User Support Center at BNL, the Electrical Capacity and Distribution Capability at Argonne National Laboratory(ANL), the Translational Research Capability project at ORNL, and the Biological and Environmental Program Integration
Center (BioEPIC) at LBNL. These ongoing projects, along with the newly proposed projects, will upgrade and improve aging
utility systems and facilities and provide new laboratory space with the necessary performance capabilities to enhance SC
mission potential.
The FY 2020 Request includes funding for general purpose infrastructure projects that will address inadequate core
infrastructure and utility needs across SC laboratories and facilities. SLI maintains an active list of laboratory critical core
infrastructure needs. Currently, the highest priority items include critical utility upgrades at ANL and safety and facility
Science/Science Laboratories Infrastructure
FY 2020 Congressional Budget Justification335

improvements at Ames Laboratory. Priorities are evaluated annually and will be reassessed upon entry into the FY 2020
execution year.
Funding is also requested in FY 2020 for the acquisition of previously leased real property on the PNNL campus. This funding
addresses a long-standing complexity in consideration of laboratory recompetition while ensuring the continuity of PNNL
activities.
Lastly, the Request continues funding a project to de-inventory, remove, and transfer nuclear material at Building 350,
formerly the site of the New Brunswick Laboratory (NBL) on the ANL campus. In FY 2020, the NBL Special Nuclear Material(SNM) Certified Reference Material (CRM) program management mission is proposed for transfer from SC to the National
Nuclear Security Administration (NNSA) as functions are better aligned with the Naval Reactors, Defense Nuclear
Nonproliferation, and Defense program missions of NNSA than the core SC program missions.

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Science Laboratories Infrastructure
Funding ($K)(dollars in thousands)
FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

Infrastructure Support
Construction
20-SC-71, Critical Utilities Rehabilitation Project, BNL
20-SC-72, Seismic and Safety Modernization, LBNL
20-SC-73, CEBAF Renovation and Expansion, TJNAF
20-SC-74, Craft Resources Support Facility, ORNL
20-SC-75, Large Scale Collaboration Center, SLAC
19-SC-71, Science User Support Center, BNL
19-SC-72, Electrical Capacity and Distribution Capability, ANL
19-SC-73, Translational Research Capability, ORNL
19-SC-74, BioEPIC, LBNL
18-SC-71, Energy Sciences Capability, PNNL
17-SC-71, Integrated Engineering Research Center, FNAL
17-SC-73, Core Facility Revitalization, BNL
15-SC-76, Materials Design Laboratory, ANL
15-SC-78, Integrative Genomics Building, LBNL
Total, Construction
Total, Science Laboratories Infrastructure

104,442

79,69045,200FY 2020 Request vsFY 2019 Enacted-34,490

—
—
—
—
—
—
—
—
—
20,00020,00030,00044,50038,350152,850
257,292

—
—
—
—
—
7,000
30,00025,0005,000
24,00020,00042,200——153,200
232,890

12,0005,000
2,000
20,0003,000
6,400
30,00015,000
6,000
9,000
10,000———118,400
163,600+12,000+5,000+2,000+20,000+3,000-600—-10,000+1,000-15,000-10,000-42,200——-34,800-69,290

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Science Laboratories Infrastructure
Explanation of Major Changes ($K)

Infrastructure Support
The Request continues funding to support Payment in Lieu of Taxes (PILT), nuclear facilities at ORNL, and landlord responsibilities at the Oak
Ridge Reservation. Funding continues to support de-inventory, removal, and transfer of nuclear material at Building 350, formerly the site of
NBL on the ANL campus. Funding for critical core infrastructure across the SC complex decreases in FY 2020. The FY 2020 Request proposes
the transfer of Oak Ridge PILT requirements from the Oak Ridge Landlord activity to the PILT activity.

(dollars in thousands)
FY 2020 Request vsFY 2019 Enacted-34,490

Construction
Funding supports six ongoing line-item projects at FNAL, PNNL, BNL, ANL, ORNL, and LBNL. Also, funding supports the initiation of five newline-item projects at BNL, LBNL, TJNAF, SLAC, and ORNL. Funding decreases in FY 2020 as the Core Facility Revitalization project at BNL
received final funding in FY 2019.

-34,800

Total, Science Laboratories Infrastructure-69,290

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Program Accomplishments
Since FY 2006, the SLI program has invested over $1.2 billion in general purpose infrastructure across the SC-stewardedlaboratory complex. These investments have provided state-of-the-art science user support facilities, renovated andrepurposed aged facilities, upgraded inadequate core infrastructure and systems, and removed excess.
Line-Item Construction Projects. Since FY 2006, the SLI program has successfully completed 13 line-item projects whilegarnering nine DOE Secretary’s Achievement Awards. These investments occurred following an FY 2006 SC decision toinitiate a major effort to modernize infrastructure across the SC-stewarded laboratory complex. With these investments, theSLI program constructed more than 900,000 gsf of new space and modernized nearly 400,000 gsf of existing space. As aresult, an estimated 2,300 laboratory users and researchers now occupy newly constructed and/or modernized buildingsthat better support scientific and technological innovation in a collaborative environment.
Core General Plant Project upgrades across SC Laboratories. Since FY 2016, SLI has funded over $110 million in laboratory
core infrastructure improvements including over $70 million in electrical and utility improvements and over $40 million in
facility improvements. Examples of recent SLI investments in core infrastructure include renovating post-World War II era
laboratory and support space at BNL, upgrading an outdated legacy fabrication facility at ORNL, and renovating mission
critical buildings at Ames Laboratory. At LBNL, SLI funded the replacement of inadequate critical portions of the supply
water and storm water drainage systems that serve all programs. Lastly, at SLAC, SLI funded the replacement of the low
conductivity water cooling system serving the Stanford Synchrotron Radiation Light Source and the Linac Coherent Light
Source.
Removal of Hazard Category 3 Materials from the former New Brunswick Laboratory (NBL). As of April 2017, the SLI program
successfully removed nuclear material from the former NBL on the ANL site to bring the building to the state of aRadiological Facility – i.e., below Hazard Category 3. In FY 2018, the project team disposed of approximately 5,700 items,
including about 1,170 higher-risk uranium metal items. The SLI program continues to remove the remaining nuclear
materials so the building can eventually be renovated and repurposed.
The SLI funded Utilities Improvement Project at FNAL upgraded industrial cooling water and high voltage electrical systems
that were well beyond useful life and experienced frequent malfunctions and unscheduled repairs. This project wascompleted in FY 2018 and has provided the laboratory with high capacity, efficient, and dependable systems directly
supporting its mission of world leadership in particle physics.
The SLI funded Utilities Infrastructure Modernization project at TJNAF upgraded cryogenic, electrical distribution, coolingwater, and communication systems that were experiencing frequent failures and were no longer adequate to support
growth and SC mission requirements. This project was completed in FY 2018 and has provided the laboratory with theutilities necessary to pursue scientific excellence and preeminence in the study of nuclear building blocks, the underlying
quark-gluon structure of the nucleus, and tests to verify predictions of the Standard Model.
The SLI funded Infrastructure and Operational Improvements project at PPPL addressed several inadequate facilities at PPPL
that were impeding progress towards achieving research goals as well as hindering the attraction and retention of talented
staff. The project included renovation of 70,000 gsf of space in existing buildings to provide space for offices and equipment,
and demolition of trailers used for office space and storage of equipment. This project will be completed in FY 2019 and has
provided the laboratory with upgraded infrastructure to support its mission of advancing the fields of fusion energy andplasma physics research necessary to realize fusion as an energy source.

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340

Science Laboratories Infrastructure
Infrastructure Support
Description
This subprogram funds infrastructure support investments that focus on laboratory core infrastructure and operations.
Continuing Investments in core infrastructure (e.g., utility systems, site-wide services, and general-purpose facilities) ensure
facilities and utilities are upgraded when they approach end-of-life, systems are improved to increase reliability andperformance, and excess space is removed so that it no longer requires operation and maintenance funding. Without thistype of investment, SC laboratories would not be able to keep up with the pace of needed upgrades and repairs. Activities
include core infrastructure upgrades at various laboratories, general infrastructure support, de-inventory of nuclear material
in Building 350 (formerly NBL) at ANL, and support for the nuclear facilities at ORNL.
This subprogram also funds PILT to local communities around ANL, BNL, and ORNL, as well as stewardship-type needs (e.g.,roads and grounds maintenance) across the Oak Ridge Reservation.
Facilities and InfrastructureThis activity funds infrastructure support investments that focus on laboratory core infrastructure and operations. SC
laboratories conduct rigorous condition assessments of their core infrastructure, which validate the need for investments inthese basic systems that form the backbone of their campuses. Each year, the SLI program continues this focus andcollaborates with the SC research programs to review proposed investments and maintains an active list of critical core
infrastructure needs. Currently, the highest priority items include critical utility upgrades at ANL and safety and facility
improvements at AMES. Priorities are evaluated annually and will be reassessed upon entry into the FY 2020 execution year.
This activity also supports operations and maintenance, de-inventory, removal, and transfer of nuclear material in theformer NBL building on the site of ANL. In FY 2020, the NBL Program Office CRM functions, formerly operated out of ANL
Building 350, is proposed for transfer to NNSA as those functions are better aligned with the Naval Reactors, Defense
Nuclear Nonproliferation, and Defense program missions of NNSA than the core SC program missions.
In FY 2020, funding is requested for the acquisition of real property (land and facilities) from Battelle Memorial Institute(BMI) that is currently in use and already part of the Pacific Northwest National Laboratory (PNNL) campus. These parcels
include facilities involved in research (e.g., the Atmospheric Radiation Measurement Research Facility) as well as basic
operations (e.g., the site shipping and receiving facility and office space), as well as room for expansion and collaboration inproximity to existing federal facilities. This effort addresses a long standing complexity in the consideration of laboratory
recompetition, while ensuring the continuity of PNNL activities. The construction of replacement facilities for those to beacquired from BMI land was considered but would be significantly more costly than the proposed acquisition.
Nuclear Operations
To support critical DOE nuclear operations, this Request includes funding to manage ORNL’s nuclear facilities (i.e., Buildings
7920, 7930, 3525, and 3025E) to current expectations, in accordance with federal regulations and DOE Directives. This
funding supports critical nuclear complex equipment and infrastructure to support compliance with safety standards.
Oak Ridge Landlord
This funding supports landlord responsibilities, including infrastructure for the 24,000 acre Oak Ridge Reservation and DOE
facilities in the city of Oak Ridge, Tennessee. Activities include maintenance of roads, grounds, and other infrastructure;
support and improvement of environmental protection, safety, and health; and PILT to Oak Ridge communities.
In FY 2020, SLI proposes the transfer of Oak Ridge PILT requirements from the Oak Ridge Landlord activity to the Paymentsin Lieu of Taxes activity.
Payments in Lieu of Taxes
Funding within this activity supports SC stewardship responsibilities for PILT. The Department is authorized to provide
discretionary payments to state and local government authorities for real property that is not subject to taxation because itis owned by the United States Federal Government and operated by the Department. Under this authorization, PILT is
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provided to communities around the ANL and BNL to compensate for lost tax revenues for land removed from local tax rolls.
PILT payments are negotiated between the Department and local governments based on land values and tax rates.
In FY 2020, SLI proposes to include funding for Oak Ridge PILT requirements within this activity. Funding for Oak Ridge PILT
has previously been provided under the Oak Ridge Landlord activity. This action consolidates all PILT funding.

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Science Laboratories Infrastructure
Infrastructure Support
Activities and Explanation of Changes
Explanation of Changes
FY 2020 Request vs FY 2019 Enacted
Infrastructure Support$79,690,000$45,200,000-$34,490,000
Facilities and Infrastructure$45,543,000$25,050,000-$20,493,000
The FY 2019 Enacted budget continues to support de- The FY 2020 Request will continue to support deFunding decreases for de-inventory of nuclear
inventory and removal of nuclear material at theinventory and removal of nuclear material at thematerials activities at the NBL building as the project
former NBL Building at ANL, and critical core
former NBL Building at ANL, and the highest priority
nears completion. Funding to address aging core
infrastructure at SC laboratories, ORISE, and OSTI.
critical core infrastructure needs. In addition, funding infrastructure across the SC laboratory complex also
is requested for the acquisition of real property at
decreases in FY 2020 to ensure ongoing infrastructure
PNNL.
projects continue to make progress towards
completion.
FY 2019 Enacted

FY 2020 Request

Nuclear Operations$26,000,000$10,000,000-$16,000,000
The FY 2019 Enacted budget continues to support
The FY 2020 Request will continue to support critical
Funding supports the most critical nuclear operations
critical nuclear operations and provides funding to
nuclear operations and will provide funding toand facilities at ORNL.
manage ORNL’s nuclear facilities.
manage ORNL’s nuclear facilities.
Oak Ridge Landlord$6,434,000
The FY 2019 Enacted budget provides funding tosupport landlord responsibilities across the Oak Ridge
Reservation. Activities include maintenance of roads,
grounds, and other infrastructure; support andimprovement of environmental protection, safety, andhealth; and PILT to Oak Ridge communities.

$5,610,000-$824,000
The FY 2020 Request will provide funding to support
Funding decreases to reflect the transfer of OR PILT
landlord responsibilities across the Oak Ridge
requirements to the Payments in Lieu of Taxes activity.
Reservation. Activities include maintenance of roads,
grounds, and other infrastructure; and support andimprovement of environmental protection, safety, andhealth.

Payment in Lieu of Taxes$1,713,000$4,540,000+2,827,000
The FY 2019 Enacted budget provides funding for PILT The FY 2020 Request will provide funding for PILT
Funding increases to support the transfer of OR PILT
payments to communities around ANL and BNL.
payments to communities around ANL and BNL. In
payments to this activity.
addition, the Request proposes the transfer of OR PILT
payments to Oak Ridge communities from the Oak
Ridge Landlord activity to the Payment in Lieu of Taxes
activity.

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344

Science Laboratories Infrastructure
Construction
Description
The SLI Construction program funds line-item projects to maintain and enhance the general purpose infrastructure at SC
laboratories. SLI’s infrastructure modernization construction projects are focused on the accomplishment of long-termscience goals and strategies at each SC laboratory.
The FY 2020 Request includes funding for:Five new line-item construction projects:• Critical Utilities Rehabilitation Project at BNL;
• Seismic and Safety Modernization at LBNL;• CEBAF Renovation and Expansion at TJNAF;• Craft Resources Support Facility at ORNL; and,• Large Scale Collaboration Center at SLAC.
Six ongoing line-item construction projects:• Science User Support Center at BNL;
• Electrical Capacity and Distribution Capability project at ANL;
• Translational Research Capability at ORNL;• Biological and Environmental Program Integration Center (BioEPIC) at LBNL;• Energy Sciences Capability project at PNNL; and,• Integrated Engineering Research Center at FNAL.
Critical Utilities Rehabilitation Project, BNL
The Critical Utilities Rehabilitation Project at BNL will revitalize and upgrade highest risk major utility systems to meet theneeds of support SC facilities and Nuclear Physics (NP), Basic Energy Sciences (BES), High Energy Physics (HEP), Biologicaland Environmental Research (BER) and Advanced Scientific Computing Research (ASCR) program missions.
Specifically, this project will replace piping in areas prone to water main breaks and provide other water system
improvements to improve system operations and reliability. Select sections of the sanitary utility systems with failing pumps,
controllers and/or manholes will be replaced. This project will also provide several required modifications to the central
chilled water system in order to support growth of process loads and assure reliability. Deteriorated and leaking steam
systems along Cornell Avenue will be replaced to assure safe, reliable, and efficient steam service to mission critical facilities
on the north side of the campus. In addition, older feeder cables and inadequate breakers will be replaced along Cornell
Avenue increasing capacity, reliability and personnel safety.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on July 20, 2018. The
preliminary estimate for CD-1, Approve Alternative Selection and Cost Range, is anticipated in the fourth quarter of FY 2019.
This project is pre-CD-2, therefore schedule estimates are preliminary and subject to change. The preliminary TEC range forthis project is $70,000,000 to $95,000,000. The preliminary TPC range for this project is $70,800,000 to $95,800,000. These
cost ranges encompass the most feasible preliminary alternatives at this time. The most likely TEC for this project isestimated at $85,000,000 and most likely TPC for this project is estimated at $85,800,000.
Seismic and Safety Modernization, LBNLThe Seismic and Safety Modernization project will address seismic safety issues and emergency response capabilities,
specifically related to facilities with large congregation areas as well as improve facilities that are necessary for emergency
response personnel and maintain continuity of operations. The facilities that are the primary focus of this project are theCafeteria, Health Services, and Fire House sleeping quarters.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on September 6, 2018.
The preliminary estimate for CD-1, Approve Alternative Selection and Cost Range, is anticipated in the fourth quarter of
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FY 2019. This project is pre-CD-2; therefore schedule estimates are preliminary and subject to change. This project has apreliminary TEC range of $65,600,000 to $95,400,000 and the preliminary TPC range of $67,800,000 to $97,600,000. These
cost ranges encompass the most feasible preliminary alternatives at this time. The most likely TEC for this project isestimated at $95,400,000 and most likely TPC for this project is estimated at $97,600,000.
CEBAF Center Renovation and Expansion, TJNAF
The CEBAF Renovation and Expansion project will renovate existing space and provide new research, administrative, andsupport service space enabling TJNAF to better support SC missions. With a population of nearly 1,600 users, TJNAF
supports one of the largest nuclear physics user communities in the world. The expanded scientific scope associated withthe 12 GeV Upgrade (double the energy with simultaneous delivery to four experimental halls) is creating more and larger
collaborations, resulting in more visiting scientists to the Lab and need for space to accommodate their work.
This project will renovate 67,000 to 80,000 gsf of existing space and provide 22,000 to 92,000 gsf of new high performing
and sustainable space. Upon completion, staff from the Applied Research Center (ARC) and Service Support Center (SSC) will
be relocated into the CEBAF Center, providing more efficient operations. In addition, the consolidation into the CEBAF
Center will allow for costly leases to be discontinued and will reduce the cost to sustain existing buildings and infrastructure
while more efficiently addressing the functional workspace needs for TJNAF staff and users. This project will also replace
existing utility systems that are well past service life and experience frequent failures.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on July 20, 2018. The
preliminary estimate for CD-1, Approve Alternative Selection and Cost Range, is anticipated in the fourth quarter of FY 2019.
This project is pre-CD-2, therefore schedule estimates are preliminary and subject to change. This project has a preliminary
TEC range of $47,000,000 to $75,000,000 and a preliminary TPC range of $48,900,000 to $76,900,000. These cost ranges
encompass the most feasible preliminary alternatives at this time. The most likely TEC for this project is estimated at$66,000,000 and the most likely TPC for this project is estimated at $67,900,000.
Craft Resources Support Facility, ORNLThe Craft Resources Support Facility project will relocate and consolidate craft resource services that are currently housed in
multiple, inadequate facilities spread across the campus in the 7000 area. ORNL supports the mission work of all six of SC’s
research program offices and three scientific user facilities. The complex infrastructure required to support the SC mission
and associated one-of-a-kind large scale facilities places a substantial demand on craft resource support functions, which iscomprised of 28 different trades ranging from automotive mechanics to instrument technicians. Craft resource support
services are currently housed in multiple facilities spread across the 7000 campus area which are outdated and poorly
configured resulting in inefficient operations, congested vehicle and pedestrian traffic patterns, and increased safety risks.
These conditions are creating inefficient, and unreliable operations, which are directly impacting many high-priority SC
programs at ORNL.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on July 20, 2018. The
preliminary estimate for CD-1, Approve Alternative Selection and Cost Range, is anticipated in the fourth quarter of FY 2019.
This project is pre-CD-2, therefore schedule estimates are preliminary and subject to change. This project has a preliminary
TEC range of $24,500,000 to $40,000,000 and a preliminary TPC range of $25,000,000 to $40,500,000. These cost ranges
encompass the most feasible preliminary alternatives at this time. The most likely TEC for this project is estimated at$40,000,000 and the most likely TPC for this project is estimated at $40,500,000.
Large Scale Collaboration Center, SLACThe Large Scale Collaboration Center project will construct a multi-office building of approximately 38,000 to 45,000 gsf toconsolidate and provide space for 100-150 occupants in a common building, provide synergies among all major SCsponsored programs at SLAC, and provide a centralized office and collaboration space for cross-functional teams with thenecessary performance capabilities to grow the science research programs. With the growth in SC mission activities at SLAC
– from the Linac Coherent Light Source (LCLS), LCLS-II, LCLS-II-HE projects to Facility for Advanced Accelerator Experimental
Tests (FACET)-II and the Matter in Extreme Conditions project – the lab currently lacks office spaces for scientists and staff
as current spaces is fully occupied or oversubscribed and do not support needs for joint collaborations for exploring
challenges and developing solutions using large-scale data sets. Adjacent office spaces that enable researchers to benefit
from collaboration with subject matter experts in computational science, machine learning, artificial intelligence, exascale
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computing, data management, data acquisition, simulation, imaging, visualization, and modeling are also not currently
available.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on July 20, 2018. The
preliminary estimate for CD-1, Approve Alternative Selection and Cost Range, is anticipated in the fourth quarter of FY 2019.
This project is pre-CD-2; therefore schedule estimates are preliminary and subject to change. This project has a preliminary
TEC range of $32,000,000 to $60,000,000 and a preliminary TPC range of $33,000,000 to $61,000,000. These cost ranges
encompass the most feasible preliminary alternatives at this time. The most likely TEC for this project is estimated at$60,000,000 and the most likely TPC for this project is estimated at $61,000,000.
Science User Support Center, BNL
Construction of the Science User Support Center will provide convenient and efficient facilities for processing andsupporting the users of BNL’s premier research facilities by replacing the current dispersed and inefficient facilities. It will
also provide conference facilities to support the collaborative science and research agenda for the user community and BNL
scientists. BNL user facilities and capabilities supported by DOE and partnering agencies attract over 40,000 visiting
scientists, guests, users, and contractors annually to conduct research in a broad range of basic and applied sciences.
However, the ability to efficiently process and support the needs of this growing community of researchers is limited by theage, deteriorated condition, and dispersed nature of BNL’s current facilities.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-1, Approve Alternative Selection and Cost Range, approvedon December 18, 2018. The preliminary estimate for CD-2, Approve Performance Baseline, is anticipated in the fourth
quarter of FY 2020. This project is pre-CD-2, therefore schedule estimates are preliminary and subject to change. This
project has a preliminary TEC range of $71,000,000 to $95,000,000. The preliminary total TPC range for this project is$72,000,000 to $96,000,000. These cost ranges encompass the most feasible preliminary alternatives at this time. The most
likely TEC for this project is estimated at $85,000,000 and the most likely TPC for this project is estimated at $86,000,000.
Electrical Capacity and Distribution Capability, ANL
The Electrical Capacity and Distribution Capability project will improve and expand critical electrical distribution systems to
support the electrical capacity growth needed to support the Advanced Scientific Computing Research investments in an
exascale-capable supercomputer, as part of the DOE Exascale Computing Initiative. Elements of ANL’s high voltage electrical
distribution systems are rated in poor condition due to age, limiting the ability to support the electricity requirements of
new and expanding facilities and scientific programs. Much of the main electrical supply infrastructure was constructed in
the 1960’s and is now beyond its useful life.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on September 11, 2017.
The preliminary estimate for CD-1, Approve Alternative Selection and Cost Range, is anticipated in the second quarter of FY
2019. This project is pre-CD-2, therefore schedule estimates are preliminary and subject to change. This project has apreliminary TEC range of $52,000,000 to $96,000,000 and a preliminary TPC range of $53,000,000 to $97,000,000. These
cost ranges encompass the most feasible preliminary alternatives at this time. The most likely TEC for this project isestimated at $60,000,000 and the most likely TPC for this project is estimated at $61,000,000.
Translational Research Capability, ORNLThe Translational Research Capability project is proposed to provide a new building with laboratory space to support
mission-critical research sponsored by ASCR, BES, FES and HEP. Currently, ORNL has a shortage of modern, flexible, andadaptable space, wet and dry laboratories, and high bay space needed to support research directed by these SC programs.
Aging infrastructure and utilities have caused severe temperature, humidity and power quality problems, particularly in theadvanced materials development and research. Finally,dispersed research space across the ORNL campus remains achallenge in supporting the increasingly interdisciplinary and collaborative research required to advance SC program
mission areas.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-1, Approve Alternative Selection and Cost Range, approvedon November 2, 2018. The preliminary estimate for CD-2, Approve Performance Baseline, is anticipated in the first quarterof FY 2020. This project is pre-CD-2, therefore schedule estimates are preliminary and subject to change. This project has apreliminary TEC range of $80,000,000 to $97,000,000 and a preliminary TPC range of $81,500,000 to $98,500,000. These
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FY 2020 Congressional Budget Justificationcost ranges encompass the most feasible preliminary alternatives at this time. The most likely TEC for this project isestimated at $93,500,000 and most likely TPC for this project is estimated at $95,000,000.
Biological and Environmental Program Integration Center (BioEPIC), LBNL
The BioEPIC project will construct a new, state-of-the-art facility with laboratory space to support high performanceresearch by the BER, ASCR and BES programs. LBNL has grown from a pioneering particle and nuclear physics laboratory intoa multidisciplinary research facility with broad capabilities in physical, chemical, computational, biological, andenvironmental systems research in support of the DOE mission. Much of the biological sciences program at LBNL is locatedoff-site, away from the main laboratory, while others are dispersed across several locations on the LBNL campus. This
arrangement has posed a challenge to research and operational capabilities limiting scientific progress and the kind ofcollaborative science that is required for understanding, predicting and harnessing the Earth’s microbiome for energy andenvironmental benefits.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on March 13, 2018. The
preliminary estimate for CD-1, Approve Alternative Selection and Cost Range, is anticipated in the second quarter of FY
2019. This project is pre-CD-2, therefore schedule estimates are preliminary and subject to change. This project has apreliminary TEC range of $90,000,000 to $140,000,000 and a preliminary TPC range of $92,200,000 to $142,200,000. These
cost ranges encompass the most feasible preliminary alternatives at this time. The most likely TEC for this project isestimated at $140,000,000 and the most likely TPC for this project is estimated at $142,200,000.
Energy Sciences Capability, PNNL
The Energy Sciences Capability project will enhance PNNL’s core fundamental science programs by addressing many
infrastructure capability gaps, including insufficient hood space for catalysis synthesis and collaboration, lack of proper
environmental controls for state-of-the-art in situ characterization, limited space to integrate experimental capabilities forvisualization supporting research in data analytics, modeling, and simulation, and performance modeling (for the Center for
Advanced Technology Evaluation/ASCR related capability), and limited collaboration space for users and strategic partners.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-2/3, Approve Project Performance Baseline and Approve Startof Construction, approved on December 7, 2018. The preliminary estimate for CD-4, Approve Start of Operations or Project
Completion, is anticipated in the fourth quarter of FY 2025. The Total Estimated Cost (TEC) for this project is $90,000,000.
The Total Project Cost (TPC) for this project is $93,000,000.
Integrated Engineering Research Center, FNALThe Integrated Engineering Research Center project will construct a scientific user support facility to accommodate
increased collaboration and interactions among staff at FNAL, who will in turn be working with scientific collaborators andinternational partners in the design, construction, and operation of physics experiments. Currently, FNAL staff and theirassociated manufacturing, assembly, engineering, and technical facilities are scattered among three parts of the campus. As
a result, they are unable to efficiently collaborate on ongoing and planned projects in support of the mission of thelaboratory. The Integrated Engineering Research Center will provide FNAL with a collaborative, multi-divisional andinterdisciplinary research center, will reduce the overall footprint of outdated facilities and collocate engineering andassociated research staff near the central campus, and will improve operational efficiency and collaboration because groups
working on key projects would be in close proximity.
The most recent DOE Order 413.3B approved Critical Decision (CD) is CD-1, Approve Alternative Selection and Cost Range,
which was approved on April 18, 2017. The preliminary estimate for CD-2/3, Approve Project Baseline and Approve Start ofConstruction Activities, is anticipated in the third quarter of FY 2019. This project is pre-CD-2, therefore schedule estimates
are preliminary and subject to change. This project has a preliminary TEC range of $73,000,000 to $98,000,000. The TPC
range for this project is $74,000,000 to $99,000,000. The most likely TEC for this project is estimated at $85,000,000 andmost likely TPC for this project is estimated at $86,000,000.

Science/Science Laboratories Infrastructure348

FY 2020 Congressional Budget Justification

Science Laboratories Infrastructure
Activities and Explanation of Changes
FY 2019 Enacted
Construction
20-SC-71, Critical Utilities
Rehabilitation Project, BNL
No funding was requested in FY 2019.

FY 2020 Request$153,200,000$—

20-SC-72, Seismic and Safety
Modernization, LBNL
No funding was requested in FY 2019.

$—20-SC-73, CEBAF Renovation andExpansion, TJNAF
No funding was requested in FY 2019.

$—20-SC-74, Craft Resources Support
Facility, ORNL
No funding was requested in FY 2019.

$—20-SC-75, Large Scale Collaboration
Center, SLAC
No funding was requested in FY 2019.

$—19-SC-71, Science User Support
Center, BNL
Funding supports PED activities.

$118,400,000$12,000,000+$12,000,000
Funding will support Project Engineering and Design
Funding supports PED and construction activities.
(PED) and construction activities.
$5,000,000
Funding will support PED activities.

+$5,000,000
Funding supports PED activities.

$2,000,000
Funding will support PED activities.

+$2,000,000
Funding supports PED activities.

$20,000,000+$20,000,000
Funding will support PED and construction activities.
Funding supports PED and construction activities.
$3,000,000
Funding will support PED activities.

$7,000,000

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted-$34,800,000+$3,000,000
Funding supports PED activities.

$6,400,000-$600,000
Funding will support the completion of PED activities Funding supports PED and construction activities.
and start of construction activities.

19-SC-72, Electrical Capacity andDistribution Capability, ANL$30,000,000$30,000,000
Funding supports PED and construction activities.
Funding will support the completion of construction
FY 2020 Request reflects final year of funding.
activities.

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349

$—

FY 2020 Congressional Budget Justification

FY 2019 Enacted

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted

FY 2020 Request

19-SC-73, Translational Research
Capability, ORNL
$25,000,000$15,000,000-$10,000,000
Funding supports PED and construction activities.
Funding will support construction activities.
Funding supports construction activities.
19-SC-74, BioEPIC, LBNL
Funding supports PED activities.

$5,000,000$6,000,000
Funding will support PED activities.

+$1,000,000
Funding supports PED activities.

18-SC-71, Energy Sciences Capability,
PNNL$24,000,000$9,000,000-$15,000,000
Funding supports construction activities.
Funding will support construction activities.
Funding supports construction activities.
17-SC-71, Integrated Engineering
Research Center, FNAL
$20,000,000$10,000,000-$10,000,000
Funding supports construction activities.
Funding will support construction activities.
Funding supports construction activities.
17-SC-73, Core Facility Revitalization,
BNL$42,200,000
Funding supports construction activities.
No funding is requested in FY 2020.

Science/Science Laboratories Infrastructure

350

$—

-$42,200,000
Project received final funding in FY 2019.

FY 2020 Congressional Budget Justification

Science Laboratories Infrastructure
Capital Summary ($K)

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

Total

Prior Years

N/A
N/A

N/A
N/A

(dollars in thousands)
FY 2018
FY 2019
EnactedEnactedFY 2020
RequestFY 2020 Request vsFY 2019 Enacted

59,49259,492

5,050
5,050

-8,138-8,138(dollars in thousands)
FY 2018
FY 2019
EnactedEnactedFY 2020
RequestFY 2020 Request vsFY 2019 Enacted

13,18813,188

Minor Construction Activities ($K)

Total

Prior Years

General Plant Projects (GPP)
Greater than or equal to $5M and less than $20M
Upgrade Hot Cells and Labs B801 at BNL
Revitalize Biology Labs at BNL
Supply Water CMLC Piping Replacement at LBNL
Upgrade Cryogenics Infrastructure Phase 2 at TJNAF
Storm Drain Repairs at LBNL
Low Conductivity Water Cooling System at SLAC
Cooling Water Tower System at SLAC
Total, GPPs (greater than or equal to $5M and less than $20M)
Total, GPPs less than $5M a
Total, GPP

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

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

8,500
5,000
9,500
9,900
7,000
8,800
—
48,70010,79259,492

—
—
—
—
—
—
9,400
9,400
3,788
13,188

—
—
—
—
—
—
—
—
5,050
5,050

—
—
—
—
—
—
-9,400-9,400+1,262-8,138

Total, Minor Construction Activities

N/A

N/A

59,492

13,1885,050-8,138a 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.

Science/Science Laboratories Infrastructure351

FY 2020 Congressional Budget Justification

Science Laboratories Infrastructure
Construction Projects Summary ($K)

Total

Prior Years(dollars in thousands)
FY 2018
FY 2019
EnactedEnactedFY 2020
RequestFY 2020 Request vsFY 2019 Enacted

20-SC-71, Critical Utilities Rehabilitation Project, BNL
TEC
OPC b
TPC

85,000 a
800
85,800a

—
—
—

—
—
—

—
800
800

12,000—12,000+12,000-800+11,200

20-SC-72, Seismic and Safety Modernization, LBNL
TEC
OPCb
TPC

95,400a2,200
97,600a

—
—
—

—
—
—

—
1,500
1,500

5,000
—
5,000

+5,000-1,500+3,50020-SC-73, CEBAF Renovation and Expansion, TJNAF
TEC
OPCb
TPC

66,000a
1,900
67,900a

—
—
—

—
20
20

—
1,465
1,465

2,000
—
2,000

+2,000-1,465+535

20-SC-74, Craft Resources Support Facility, ORNL
TEC
OPCb
TPC

40,000a500
40,500a

—
—
—

—
—
—

—
400
400

20,000—20,000+20,000-400+19,600

20-SC-75, Large Scale Collaboration Center, SLAC
TEC
OPCb
TPC

60,000a
1,000
61,000a

—
—
—

—
—
—

—
700
700

3,000
—
3,000

+3,000-700+2,30019-SC-71, Science User Support Center, BNL
TEC
OPCb
TPC

85,000a1,200
86,200a

—
700
700

—
300
300

7,000
200
7,200

6,400
—
6,400

-600
-200
-800

a This project has not received CD-2 approval; therefore, preliminary cost estimates are shown for TEC and TPC.
b Other Project Costs (OPC) are funded through laboratory overhead.

Science/Science Laboratories Infrastructure352

FY 2020 Congressional Budget Justification

TotalPrior Years(dollars in thousands)
FY 2018
FY 2019
EnactedEnactedFY 2020
RequestFY 2020 Request vsFY 2019 Enacted

19-SC-72, Electrical Capacity and Distribution
Capability, ANL
TEC
OPCb
TPC

60,000a
1,000
61,000a

—
—
—

—
1,000
1,000

30,000—30,00030,000—30,000———19-SC-73, Translational Research Capability, ORNL
TEC
OPCb
TPC

93,500a
1,500
95,000a

—
190
190

—
1,000
1,000

25,000—25,00015,000—15,000-10,000—-10,000

19-SC-74, BioEPIC, LBNL
TEC
OPCb
TPC

140,000a
2,200
142,200a

—
—
—

—
—
—

5,000
1,500
6,500

6,000
—
6,000

+1,000-1,500-500

18-SC-71, Energy Sciences Capability, PNNL
TEC
OPCb
TPC

90,0003,000
93,000a—839
839

20,000400
20,40024,000—24,000

9,000
—
9,000

-15,000—-15,000

17-SC-71, Integrated Engineering Research Center,
FNAL
TEC
OPC b
TPC

85,000 a
1,000
86,000a

2,500
930
3,430

20,000—20,00020,000—20,00010,000—10,000-10,000—-10,000

17-SC-73, Core Facility Revitalization, BNL
TEC
OPCb
TPC

74,000a850
74,850a

1,800
850
2,650

30,000—30,00042,200—42,200———-42,200—-42,200

a This project has not received CD-2 approval; therefore, preliminary cost estimates are shown for TEC and TPC.
b Other Project Costs (OPC) are funded through laboratory overhead.

Science/Science Laboratories Infrastructure353

FY 2020 Congressional Budget Justification

(dollars in thousands)
FY 2018
FY 2019
EnactedEnactedFY 2020
RequestFY 2020 Request vsFY 2019 Enacted

Total

Prior Years

15-SC-76, Materials Design Laboratory, ANL
TEC
OPC a
TPC

95,0001,000
96,00030,9101,000
31,91044,500—44,500

—
—
—

—
—
—

—
—
—

15-SC-78, Integrative Genomics Building, LBNL
TEC
OPCa
TPC

90,0001,500
91,50032,0901,500
33,59038,350—38,350

—
—
—

—
—
—

—
—
—

N/A
N/A
N/A

N/A
N/A
N/A

152,850
2,720
155,570

153,200
6,565
159,765

118,400—
118,400-34,800-6,565-41,365

Total, Construction
TEC
OPCa
TPC

a Other Project Costs (OPC) are funded through laboratory overhead.

Science/Science Laboratories Infrastructure354

FY 2020 Congressional Budget Justification

20-SC-71, Critical Utilities Rehabilitation Project
Brookhaven National Laboratory (BNL)
Project is for Design and Construction
1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 Request for the Critical Utilities Rehabilitation Project is $12,000,000. The current preliminary Total Estimated
Cost (TEC) range for this project is $70,000,000 to $95,000,000. The preliminary Total Project Cost (TPC) range for thisproject is $70,800,000 to $95,800,000. These cost ranges encompass the most feasible preliminary alternatives at this time.
The preliminary TEC for this project is estimated at $85,000,000 and preliminary TPC for this project is estimated at$85,800,000.
This project will upgrade failing utility infrastructure that is still in use from BNL’s origins as World War II Army Camp Upton.
Utility systems including steam, water, sanitary sewer, chilled water and electrical systems will be revitalized and upgradedto meet the needs of supporting SC facilities and the Nuclear Physics (NP), Basic Energy Sciences (BES), High Energy Physics(HEP), Biological and Environmental Research (BER), and Advanced Scientific Computing Research (ASCR) programs.
Significant Changes
This project is a new start in FY 2020. The most recent DOE Order 413.3B approved Critical Decision (CD) is CD-0, Approve
Mission Need, which was approved on July 20, 2018. FY 2020 funds will support Project Engineering and Design (PED)
activities and initiate long-lead procurement activities.
A Federal Project Director with the appropriate certification level will be assigned prior to CD-1 approval.
Critical Milestone History
Conceptual
Final
D&D
DesignCD-1
CD-2
DesignCD-3Complete
Complete
Complete
FY 2020 7/20/2018 4Q FY 2019 4Q FY 2019 a 4Q FY 2020a 4Q FY 2021 4Q FY 2021a
N/A
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
Fiscal
Year

CD-0

CD-4
4Q FY 2026a

Performance
Baseline
CD-3A
CD-3B
Validation
FY 2020
4Q FY 2020a
N/A
N/A
CD-3A – Approve Long-Lead Procurements and Start of Early Construction
CD-3B – Approve Remaining Construction Activities
Fiscal YearaThis project is pre-CD-2; therefore, funding and schedule estimates are preliminary.

Science/Science Laboratories Infrastructure/
20-SC-71, Critical Utilities Rehabilitation Project355

FY 2020 Congressional Budget Justification

Project Cost History
FiscalYear
FY 20202.

TEC, Design
8,500

TEC,
Construction
76,500(dollars in thousands)
OPC a, Except
TEC, Total
D&D
85,000 b
800

OPC, D&D

OPC, Total

TPC

N/A

800

85,800b

Project Scope and Justification

Scope
The Critical Utilities Rehabilitation Project at BNL will revitalize and upgrade highest risk major utility systems across the
BNL campus. This project will replace piping in areas prone to water main breaks and provide other water system
improvements to improve system operations and reliability. Select sections of the sanitary utility systems with failingpumps, controllers, and/or manholes will be replaced. This project will also provide several required modifications to thecentral chilled water system in order to support growth of process loads and assure reliability. Deteriorated and leaking
steam systems along Cornell Avenue will be replaced to assure safe, reliable, and efficient steam service to mission criticalfacilities on the north side of the campus. In addition, older feeder cables and inadequate breakers will be replaced along
Cornell Avenue increasing capacity, reliability, and personnel safety.
Justification
BNL is a multi-program DOE national laboratory with recognized impact on national science needs. BNL provides scientificleadership in NP, photon sciences, energy science for BES, and data-driven discovery for ASCR, with leading programs inselected areas of HEP, BER, accelerator science and technology, and national security and non-proliferation. BNL utilizes
world-class facilities and core expertise to: advance energy and environment-related basic research and apply them to 21stCentury problems of critical importance to the Nation; and advance fundamental research in nuclear and particle physics togain a deeper understanding of matter, energy, space, and time.
Although there has been substantial investment in recent years to modernize and construct new research facilities at BNL,
much of BNL’s utility infrastructure serving these facilities is over 50 years old and some is over 70 years old, dating to BNL’s
origin as a U. S. Army base during World Wars I and II. Efficient, maintainable, and reliable utilities are critical to the successand mission capability of BNL’s research facilities. Currently, a significant portion of BNL’s utility infrastructure is beyond
useful life and suffering from failures, decreased reliability, lack of redundancy and limitations in capacity. As such, there isan urgent need to revitalize and selectively upgrade BNL’s existing major utility systems to assure reliable service, meetcapacity requirements, and enable readiness of facilities critical to the research mission.
Key Performance Parameters (KPPs) (Preliminary)This project has not yet received CD-1 approval; therefore the Key Performance Parameters (KPPs) are yet to be
determined. The table below outlines preliminary KPPs.
Performance Measure
Chilled Water Supply
Sanitary Sewer System
Electrical Distribution System

Threshold
Replacement/installation of components
Replacement/installation of components
Replacement/installation of components

Objective
TBD
TBD
TBD

a Other Project Costs (OPC) are funded through laboratory overhead.

bThis project has not received CD-2 approval, therefore, funding estimates are preliminary.

Science/Science Laboratories Infrastructure/
20-SC-71, Critical Utilities Rehabilitation Project356

FY 2020 Congressional Budget Justification

3.

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

Costs

Total Estimated Cost (TEC)
DesignFY 2020

8,500

8,500

8,500

Total, Design

8,500

8,500

8,500

FY 2020

3,500

3,500

2,000

Outyears

73,00073,00074,500Total, Construction

76,50076,50076,500FY 2020

12,00012,00010,500Outyears

73,00073,00074,50085,00085,00085,000Construction

Total Estimated Costs (TEC)

Total, TEC

aOther Project Costs (OPC)4.

b

FY 2019
Total, OPC
Total Project Costs (TPC)FY 2019
FY 2020
Outyears

800
800

800
800

800
800

800
12,00073,000800
12,00073,000800
10,50074,500Total, TPCa

85,80085,80085,800Details of Project Cost Estimate(dollars in thousands)
Current
Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

6,800
1,700
8,500

N/A
N/A
N/A

N/A
N/A
N/A

61,20015,30076,50085,00017,000

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

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

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Construction
Contingency
Total, Construction
Total, TECa
Contingency, TEC

a This project has not received CD-2 approval, therefore, funding estimates are preliminary.
b Other Project Costs (OPC) are funded through laboratory overhead.

Science/Science Laboratories Infrastructure/
20-SC-71, Critical Utilities Rehabilitation Project357

FY 2020 Congressional Budget Justification

(dollars in thousands)
Current
Total
Estimate
Other Project Cost (OPC)
OPC except D&D
OPC Costs
Contingency
Total, OPC a
Contingency, OPC
Total Project Cost b
Total Contingency (TEC+OPC)
5.

800
—
800
—
85,80017,000Previous
Total
Estimate

Original
Validated
Baseline

N/A
N/A
N/A

N/A
N/A
N/A

N/A
N/A
N/A

N/A
N/A
N/A

Schedule of Appropriations Requests(dollars in thousands)

6.

RequestYear

Type

Prior Years

FY 2020

Outyears

Total

FY 2020

TEC
OPCa
TPC

—
800
800

12,000—12,00073,000—16,00085,000b800
85,800b

Related Operations and Maintenance Funding Requirements

N/A
7.

D&D Information

This project replaces critical infrastructure components and minimal, if any, support buildings will be constructed. The newarea being constructed in this project is not replacing existing facilities.
New area being constructed by this project at Brookhaven National Laboratory ...........................
Area of D&D in this project at Brookhaven National Laboratory .....................................................
Area at Brookhaven National Laboratory to be transferred, sold, and/or D&D outside the project,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 .......................................................................................................................
8.

Square Feet
None
None
None
None
None cNone

Acquisition Approach

The BNL Management and Operating (M&O) contractor, Brookhaven Science Associates will perform the acquisition for thisproject. The M&O contractor is responsible for awarding and managing all subcontracts related to this project. The M&O
contractor will evaluate various acquisition alternatives and project delivery methods prior to achieving CD-1. PotentialaOther Project Costs (OPC) are funded through laboratory overhead.
This project has not received CD-2 approval, therefore, funding estimates are preliminary.
cWith the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using
the Facility Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property
Efficiency Plan.
b

Science/Science Laboratories Infrastructure/
20-SC-71, Critical Utilities Rehabilitation Project358

FY 2020 Congressional Budget Justificationacquisition and project delivery methods include, but are not limited to, firm fixed price contracts for design-bid-build anddesign-build. The M&O contractor will also evaluate potential benefits of using a single or multiple contracts to procurematerials, equipment, construction, commissioning and other project scope elements. Project performance metrics for BNL
will be included in the M&O contractor’s annual performance and evaluation measurement plan.

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FY 2020 Congressional Budget Justification

360

20-SC-72, Seismic and Safety Modernization
Lawrence Berkeley National Laboratory (LBNL)
Project is for Design and Construction
1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 Request for the Seismic and Safety Modernization project is $5,000,000. The preliminary Total Estimated Cost
(TEC) range is $65,600,000 to 95,400,000 and the preliminary the Total Project Cost (TPC) range is $67,800,000 to$97,600,000. These cost ranges encompass the most feasible preliminary alternatives at this time. The preliminary TEC for
this project is estimated at $95,400,000 and the preliminary TPC for this project is estimated at $97,600,000.
Significant Changes
This project is a new start in FY 2020. The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission
Need, which was approved on September 6, 2018. FY 2020 funds will support the Project Engineering and Design (PED)
activities.
A Federal Project Director with the appropriate certification level will be assigned to this project prior to CD-1 approval.
Critical Milestone History
Conceptual
Final Design
D&D
Design
CD-1
CD-2
CD-3
Complete
Complete
Complete
FY 2020 09/06/2018 4Q FY 2019 4Q FY 2019 a 4Q FY 2021a 4Q FY 2022 4Q FY 2022a
N/A
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
Fiscal
Year

CD-0

CD-4
4Q FY 2027a

Performance
Baseline
CD-3A
CD-3B
Validation
FY 2020 4Q FY 2021
N/A
N/A
CD-3A – Approve Long-Lead Procurements and Start of Early Construction
CD-3B – Approve Start of Remaining Construction Activities
FiscalYear

Project Cost History
FiscalYear
FY 2020ab

TEC, Design
10,000TEC,
Construction
85,400(dollars in thousands)
OPC b, Except
TEC, Total
D&D
95,400a2,200

OPC, D&D

OPC, Total

TPC

N/A

2,200

97,600aThis project is pre-CD-2; therefore, funding and schedule estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

Science/Science Laboratories Infrastructure/
20-SC-72, Seismic and Safety Modernization

361

FY 2020 Congressional Budget Justification

2.

Project Scope and Justification

Scope
The Seismic and Safety Modernization project will address seismic safety issues and emergency response capabilities,
specifically related to facilities with large congregation areas as well as improve facilities and transportation capabilities thatare necessary for emergency response personnel and maintain continuity of operations. The facilities that are the primary
focus of this project are the Cafeteria, Health Services, and Fire House sleep quarters. The project will also address thelimited space to congregate during an emergency situation.
Justification
The Office of Science (SC) utilizes the capabilities of LBNL to execute 22 of the 24 core capabilities and the mission ofmultiple SC program offices, specifically strong presences by the Advanced Scientific Computing Research (ASCR), Biologicaland Environment Research (BER), Basic Energy Sciences (BES), and High Energy Physics (HEP) programs. LBNL is located on a
202 acre site in the hills above the University of California, Berkeley campus employs approximately 3,400 full time
employees; and is home to five SC national user facilities: the Advanced Light Source, the Energy Sciences Network, theJoint Genome Institute, the Molecular Foundry, and the National Energy Research Scientific Computing Center. In FY 2016,
over 11,000 researchers used these facilities, representing roughly one third of the total for all SC user facilities. In pursuing
the SC mission, LBNL leverages collaborative science to bring together teams of individuals with different fields of expertise
to work together on common solutions to the SC mission. However, these research activities must be executed with aunique caution since LBNL is located less than one mile from the Hayward Fault and less than 25 miles from the San
Andreas Fault, which would both pose a life safety risk to employees, visitors, and guests during a significant seismic event.
The U.S. Geological Survey’s newest earthquake forecast, the third Uniform California Earthquake Rupture Forecast(UCERF3), states a 98% probability of a 6.0 magnitude or higher earthquake in the San Francisco Bay Area before 2043.
Recent engineering evaluations from a San Francisco Bay Area structural engineering firm have identified significant andextensive seismic safety hazards in critical LBNL support buildings, including the Cafeteria, Health Services, and Fire House.
Structural deficiencies identified in these buildings will likely cause significant structural damage with life safety hazards
during a magnitude 6.0+ earthquake on the Hayward Fault or a magnitude 8.3 earthquake on the San Andreas Fault and will
impede LBNL’s ability to resume operations.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs) (Preliminary)This project is pre-CD-1, therefore preliminary KKPs are not yet established . At CD-2 approval, the KPPs will be baselined.
The Threshold KPPs represent the minimum acceptable performance that the project must achieve. Achievement of theThreshold KPPs will be a prerequisite for approval of CD-4, Project Completion. The Objective KPPs represent the desired
project performance.
Performance Measure
TBD
3.

Threshold
TBD

Objective
TBD

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

Costs

Total Estimated Cost (TEC)
DesignFY 2020
Outyears

5,000
5,000

5,000
5,000

5,000
5,000

Total, Design

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(dollars in thousands)
BudgetAuthority(Appropriations)
Obligations

Costs

Construction

4.

Outyears

85,40085,40085,400Total, Construction

85,40085,40085,400Total Estimated Costs (TEC)FY 2020
Outyears

5,000
90,4005,000
90,4005,000
90,400Total, TEC a

95,40095,40095,400

Other Project Costs (OPC)FY 2019
Outyears

1,500
700

1,500
700

1,500
700

Total, OPC b

2,200

2,200

2,200

Total Project Costs (TPC)FY 2019
FY 2020
Outyears

1,500
5,000
94,1001,500
5,000
94,1001,500
5,000
94,100Total, TPCa

97,60097,60097,600Details of Project Cost Estimate(dollars in thousands)
Current
Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

8,500

N/A

N/A

1,500

N/A

N/A

10,000

N/A

N/A

68,40017,000

N/A
N/A

N/A
N/A

85,40095,40018,500

N/A
N/A
N/A

N/A
N/A
N/A

2,000
200
2,200
200
97,600

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

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

18,700

N/A

N/A

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Construction
Contingency
Total, Construction
Total, TECa
Contingency, TEC
Other Project Cost (OPC)
OPC except D&D
Contingency
Total, OPCb
Contingency, OPC
Total Project Costa
Total Contingency (TEC+OPC)aThis project has not received CD-2 approval, therefore, funding estimates are preliminary.

b Other Project Costs (OPC) are funded through laboratory overhead.

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5.

6.

Schedule of Appropriations Requests(dollars in thousands)

RequestYear

Type

FY 2019

FY 2020

Outyears

Total

FY 2020

TEC
OPC b
TPC

—
1,500
1,500

5,000
—
5,000

90,400—90,40095,400 a
2,200
97,600a

Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future Start of D&D of this capital asset (fiscal quarter)

Operations
Utilities
Maintenance and Repair
Operations and Maintenance7.

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
N/A
TBD
N/A
TBD
N/A
TBD
N/A
TBD

4Q FY 2027
50
4Q FY 2077

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
N/A
TBD
N/A
TBD
N/A
TBD
N/A
TBD

D&D Information

The new area being constructed in this project is replacing existing facilities.
New area being constructed by this project at Lawrence Berkeley National Laboratory .......................
Area of D&D in this project at Lawrence Berkeley National Laboratory ................................................
Area at Lawrence Berkeley National 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
None
None
None
None cTBD

aThis project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.
cWith the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using
the Facility Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property
Efficiency Plan.
b

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8.

Acquisition Approach

The LBNL Management and Operating (M&O) Contractor, University of California will perform the acquisition for thisproject. The M&O Contractor will be responsible for awarding and managing all subcontracts related to the project. The
LBNL Site Office will be responsible for overseeing the performance of the M&O Contractor. Various acquisition and projectdelivery methods will be evaluated prior to achieving CD-1. The LBNL M&O Contractor will evaluate potential benefits ofusing a single or multiple contracts to procure materials, equipment, construction, commissioning and other project scopeelements. Project performance metrics will be included in the M&O Contractor’s annual performance and evaluation
measurement plan.

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366

20-SC-73, CEBAF Renovation and Expansion
Thomas Jefferson National Accelerator Facility (TJNAF)
Project is for Design and Construction
1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 Request for the CEBAF Renovation and Expansion project is $2,000,000. The preliminary Total Estimated Cost
(TEC) range for this project is $47,000,000 to $75,000,000. The preliminary Total Project Cost (TPC) range for this project is$48,900,000 to $76,900,000. These cost ranges encompass the most feasible preliminary alternatives at this time. The
preliminary TEC point estimate for this project is $66,000,000 and the preliminary TPC point estimate for this project is$67,900,000.
The CEBAF center at TJNAF is currently overcrowded and has inadequate utility systems that are experiencing frequent
failures. This project will renovate 67,000 to 80,000 gross square feet (gsf) of existing space in the CEBAF center, upgrade
high risk utility systems, and provide 22,000 to 95,000 gsf of new space for visitors, users, research, education, and support.
Significant Changes
This project is a new start in FY 2020.The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission
Need, which was approved on July 20, 2018. FY 2020 funds will support Project Engineering and Design (PED) activities.
A Federal Project Director has been assigned to this project and has approved this CPDS.
Critical Milestone History
Conceptual
Final
D&D
DesignCD-1
CD-2
DesignCD-3Complete
Complete
Complete
FY 2020 07/20/2018 4Q FY 2019 4Q FY 2019 4Q FY 2020 a 3Q FY 2021 4Q FY 2021a
N/A
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
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
Final Design Complete – Estimated/Actual date the project design will be complete
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
4Q FY 2026a

Performance
Baseline
CD-3A
CD-3B
Validation
FY 2020
4Q FY 2020a
N/A
N/A
CD-3A – Approve Long-Lead Procurements and Start of Early Construction Activities
CD-3B – Approve Start of Remaining Construction Activities
FiscalYearaThis project is pre-CD-2; therefore, funding and schedule estimates are preliminary.
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Project Cost History
FiscalTEC,
TEC, Design
YearConstruction
FY 2020
4,200
61,8002. Project Scope and Justification(dollars in thousands)
OPC a, Except
TEC, Total
D&D
66,000b1,900

OPC, D&D

OPC, Total

TPC

N/A

1,900

67,900a

Scope
The CEBAF Renovation and Expansion project will renovate existing and provide new research, administrative, and support
service space enabling TJNAF to better support current SC missions and planned mission growth. This project will renovate
67,000 to 80,000 gsf of existing space and provide 22,000 to 92,000 gsf of new office space for 120 to 200 research,education, and support staff. The renovation will include reconfiguration to provide more functional spaces that meetcurrent code standards. Research and office spaces will be designed to meet evolving staff needs and provide a more
efficient work environment, providing more functional meeting spaces. Ceilings will be removed and replaced to match thedesigned spaces.
The mechanical systems in the existing CEBAF Center, which have exceeded their service life and experienced multiple
failures, will be replaced. The renovated building will be energy sustainable and will meet high performance building
standards, including energy conservation, green building principles and sustainable design, and will be designed to meet
Federal legislative objectives.
Upon completion, staff from the Applied Research Center (ARC) and Service Support Center (SSC) will be relocated into the
CEBAF Center to more efficiently address functional workspace needs for TJNAF staff and users.
Justification
With a population of nearly 1600 users, TJNAF supports one of the largest nuclear physics user communities in the world.
The expanded scientific scope associated with the 12 GeV upgrade (e.g., double the energy with simultaneous delivery tofour experimental halls) is creating more and larger collaborations, requiring more technical workshops, and resulting in
more visitors to the Lab. Staff and user population is expected to increase 2% per year for the next 10 years and will soon
exceed available space, which is already near capacity. Further, TJNAF is actively pursuing a number of large inter-entity
transfer projects such as the cryomodules and cryogenics plants for LCLS-I, LCLS-II-HE, and FRIB that are projected torequire additional staffing. TJNAF will play a key role, potentially as lead, for the design and development of a major SC
initiative.
Currently TNAF is lacking technically equipped and functional space to accommodate advanced scientific research andmajor missions on the immediate horizon. The existing CEBAF Center is well beyond full capacity. The current occupantdensity of this building is 110 gsf per occupant which is significantly below the DOE standard of 180 gsf per occupant. In
addition, utility systems at the CEBAF center are inadequate, failing, and inefficient for the existing usage, let alone thepotential anticipated usage in the near future.
TJNAF also continues to advance a strategic campus plan designed to deliver more attractive, mission-focused, andfunctional workspaces by consolidating the Lab workforce scattered over several leased buildings in a single center thatprovides more effective and efficient operations. This includes consolidating workers currently housed in the ARC and SSC
into a single facility. This would allow for costly leases to be discontinued and reduce the cost to sustain existing buildings
and infrastructure and more efficiently address functional workspace needs for TJNAF staff and users.
TJNAF must be prepared to accommodate planned staff and user growth which means additional office space must be
programmed soon. The Laboratory is pursuing Major Items of Equipment, several large inter-agency transfer projects forother National Labs, and a pivotal technical role in a proposed Electron Ion Collider.

a Other Project Costs (OPC) are funded through laboratory overhead.

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The project will be conducted in accordance with the project management requirements in DOE Order 413.3B, and all
appropriate project management requirements will be met.
Key Performance Parameters (KPPs) (Preliminary)
The project has not yet received CD-1 approval; therefore Key Performance Parameters are yet to be determined. The
table below outlines preliminary KPPs.
Performance Measure
CEBAF Center Renovation
CEBAF Center Expansion
3.

Threshold67,000 GSF
22,000 GSF

Objective
80,000 GSF
92,000 GSF

Financial Schedule(dollars in thousands)
BudgetAuthority(Appropriations)
Obligations
Total Estimated Cost (TEC)
DesignFY 2020
Outyears
Total, Design
Construction
Outyears
Total, Construction
Total Estimated Costs (TEC)FY 2020
Outyears
Total, TEC b
Other Project Costs (OPC)FY 2018
FY 2019
Outyears
Total, OPC c
Total Project Costs (TPC)FY 2018
FY 2019
FY 2020
Outyears
Total, TPCb

Costs a

2,000
2,200
4,200

2,000
2,200
4,200

2,000
2,200
4,200

61,80061,80061,80061,80061,80061,8002,000
64,00066,0002,000
64,00066,0002,000
64,00066,000

20
1,465
415
1,900

20
1,465
415
1,900

20
1,465
415
1,900

20
1,465
2,000
64,41567,900

20
1,465
2,000
64,41567,900

20
1,465
2,000
64,41567,900a Costs for FY 2019 and the outyears are estimates.

bThis project has not received CD-2 approval, therefore, funding estimates are preliminary.

c Other Project Costs (OPC) are funded through laboratory overhead.

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4.

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

Previous
Total
Estimate

Original
Validated
Baseline

3,400
800
4,200

N/A
N/A
N/A

N/A
N/A
N/A

49,80012,00061,80066,00012,800

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

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

1,900
—
1,900
67,90012,800

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

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

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Construction
Contingency
Total, Construction
Total, TEC a
Contingency, TEC
Other Project Cost (OPC)
OPC except D&D
Contingency
Total, OPCb
Total Project Costa
Total Contingency (TEC+OPC)
5.

6.

Schedule of Appropriations Requests(dollars in thousands)

RequestYear

Type

FY 2018

FY 2019

FY 2020

Outyears

Total

FY 2020

TEC
OPC b
TPC

—
20
20

—
1,465
1,465

2,000
—
2,000

64,000415
64,41566,000a
1,900
67,900a

Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future Start of D&D of this capital asset (fiscal quarter)

Operations
Utilities
Maintenance and Repair
Total—Operations and Maintenance

4Q FY 2026
50
4Q FY 2076

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
288
N/A
432
N/A
1,008
N/A
1,728
N/A

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
14,400N/A
21,600N/A
50,400N/A
86,400N/A

a This project has not received CD-2 approval, therefore, funding estimates are preliminary.

b

Other Project Costs (OPC) are funded through laboratory overhead.

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7.

D&D Information

The new area being constructed in this project is not replacing existing facilities.
New area being constructed or procured by this project at Thomas Jefferson National
Accelerator Facility .....................................................................................................................
Area of D&D in this project at Thomas Jefferson National Accelerator Facility .........................
Area at Thomas Jefferson National Accelerator Facility to be transferred, sold, and/or D&D
outside the project 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 .................................................................................................................
8.

Square Feet
22,000–144,000
None
None
None
None aNone

Acquisition Approach

The TJNAF Management and Operating (M&O) contractor, Jefferson Science Associates, will perform the acquisition for thisproject, overseen by the Thomas Jefferson Site Office. Various acquisition approaches and project delivery methods will beconsidered prior to achieving CD-1. The M&O contractor will be responsible for awarding and administering all subcontracts
related to this project. Project performance metrics are included in the M&O contractor’s annual performance evaluationand measurement plan.

a With the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank.

Footprint is managed using
the Facility Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property
Efficiency Plan.

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372

20-SC-74, Craft Resources Support Facility
Oak Ridge National Laboratory, Oak Ridge, TN
Project is for Design and Construction
1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 Request for the Craft Resources Support Facility is $20,000,000. The preliminary Total Estimated Cost (TEC)
range for this project is $24,500,000 to $40,000,000 and the preliminary Total Project Cost (TPC) range for this project is$25,000,000 to $40,500,000. These cost ranges encompass the most feasible preliminary alternatives at this time. The most
likely TEC for this project is estimated at $40,000,000 and the most likely TPC for this project is estimated at $40,500,000.
This project will provide a new facility that will allow craft resource services currently located in inadequate facilities to beconsolidated into one modern, efficient facility.
Significant Changes
This project is a new start in FY 2020. The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission
Need, which was approved on July 20, 2018. FY 2020 funds will be used to support Project Engineering and Design (PED)
activities and initiate construction activities.
A Federal Project Director with the appropriate certification level will be assigned to this project prior to CD-1 approval.
Critical Milestone History
Conceptual
Final Design
D&D
Design
CD-1
CD-2
CD-3
Complete
Complete
Complete
FY 2020 07/20/2018 4Q FY 2019 4Q FY 2019 a 3Q FY 2020a 3Q FY 2019 3Q FY 2020a
N/A
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
Fiscal
Year

CD-0

CD-4
4Q FY 2023a

Performance
Baseline
CD-2/3
CD-3A
CD-3B
Validation
FY 2020
3Q FY 2020a 3Q FY 2020a
N/A
N/A
CD-2/3 – Approve Performance Baseline and Start of Construction
CD-3A – Approve Long-Lead Procurements and Start of Early Construction
CD-3B – Approve Start of Remaining Construction Activities
Fiscal Yeara This project is pre-CD-2; therefore, funding and schedule estimates are preliminary.

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Project Cost History
FiscalYear
FY 20202.

TEC, Design
4,000

TEC,
Construction
36,000(dollars in thousands)
OPC a, Except
TEC, Total
D&D
40,000a500

OPC, D&D

OPC, Total

TPC

N/A

500

40,500a

Project Scope and Justification

Scope
The Craft Resources Support Facility project will provide modern space with an appropriate design, configuration, andenvironmental conditions to maintain Oak Ridge National Laboratory (ORNL) infrastructure and support activities
conducted at user, experimental, and developmental research facilities for multiple SC research programs. Craft resource
services that are currently housed in multiple inadequate facilities spread across the 7000 area of ORNL will be consolidated
into this new facility.
Justification
SC utilizes over 20 core capabilities supported by ORNL and core mission facilities at ORNL, such as the Spallation Neutron
Source (SNS), the High Flux Isotope Reactor (HFIR), and the Oak Ridge Leadership Computing Facility (OLCF). These corecapabilities and facilities support the mission of Basic Energy Sciences, Fusion Energy Sciences, Nuclear Physics, Biological &Environmental Research, and Advanced Scientific Computing Research.
The complex infrastructure required to support the SC mission and associated facilities places a substantial demand on craft
resource support functions, which is comprised of 28 different trades ranging from automotive mechanics to instrument
technicians. Craft resources within ORNL’s Facilities and Operations maintains and/or supports the Laboratory’s 5.7 million
square feet of space, maintains a fleet of over 400 vehicles, and supplies utilities to this footprint including nearly 50 milesof water distribution piping, 670 million pounds of high-pressure steam distributed over 10 miles of steam lines, threemajor electrical substations, 60 miles of overhead transmission lines, and 14,000 tons of chilled water production.
Continued research at ORNL that supports over 3,200 users utilizing the many user facilities, as well as experimental anddevelopmental research facilities, are dependent on support services provided by craft resources. Due to the distinctive
nature and complexity of many of ORNL infrastructure systems, in house craft services are often required to respond tounique circumstances. Similarly, operational inefficiencies in these areas result in a ripple effect that increases risk to SC
research productivity and the ORNL science mission. Inefficient operation of craft resource support services directly impacts
many high-priority science programs at ORNL.
ORNL mission support personnel provide multiple services supporting the ORNL science mission including but not limited tohoist and rigging, welding and inspection, maintenance and repair garage, and others. These support services are currently
housed in multiple inadequate facilities spread across the 7000 area, which are outdated and poorly configured resulting in
inefficient operations, congested vehicle and pedestrian traffic patterns, and increased safety risks. These conditions are
creating inefficient, unreliable operations that are directly impacting many high-priority SC programs at ORNL. Current
facilities also lack conditioned space and covered storage that reduces life for high value equipment and materials as wellprovide poor working conditions for staff.
This project provides modern space with appropriate design, configuration, and environmental conditions to support
activities conducted at user, experimental, and developmental research facilities for multiple SC research programs
including SNS, HFIR, and OLCF.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.

a Other Project Costs (OPC) are funded through laboratory overhead.

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Key Performance Parameters (KPPs) (Preliminary)
The project has not yet received CD-1 approval; therefore Key Performance Parameters are yet to be determined. The tablebelow outlines preliminary KPPs.
Performance Measure
Craft services support building3.

Threshold40,000 gsf

Objective
60,000 gsf

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

Costs

Total Estimated Cost (TEC)
DesignFY 2020

4,000

4,000

4,000

Total, Design

4,000

4,000

4,000

FY 2020

16,00016,00010,000Outyears

20,00020,00026,000Total, Construction

36,00036,00036,00020,00020,00020,00020,00014,00026,00040,00040,00040,000FY 2019

400

400

400

Outyears

100

100

100

b

500

500

500

Construction

Total Estimated Cost (TEC)FY 2020
Outyears
Total, TEC a
Other Project Cost (OPC)

Total, OPC

Total Project Costs (TPC)FY 2019

400

400

400

FY 2020

20,00020,00014,000Outyears

20,10020,10026,100a40,50040,50040,500Total, TPC
4.

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

Previous
Total
Estimate

Original
Validated
Baseline

3,500
500

N/A
N/A

N/A
N/A

Total Estimated Cost (TEC)
DesignDesignContingency

a This project has not received CD-2 approval, therefore, funding estimates are preliminary.

b

Other Project Costs (OPC) are funded through laboratory overhead.

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FY 2020 Congressional Budget Justification

Total, Design
Construction
Construction
Contingency
Total, Construction
Total, TECa
Contingency, TEC
Other Project Cost (OPC)
OPC except D&D
Conceptual Design
Contingency
Total, OPC a
Contingency, OPC
Total Project Cost b
Total Contingency (TEC+OPC)
5.

6.

(dollars in thousands)
Current
Total
Estimate
4,000

Previous
Total
Estimate
N/A

Original
Validated
Baseline
N/A

30,0006,000
36,00040,000
6,500

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

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

420
80
500
80
40,500
6,580

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

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

Schedule of Appropriations Requests(dollars in thousands)

RequestYear

Type

FY 2020

TEC
OPCa
TPC

Prior Years———

FY 2019

FY 2020

Outyears

Total

—
400
400

20,000—20,00020,000100
20,10040,000b500
40,500b

Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future Start of D&D of this capital asset (fiscal quarter)

Operations
Utilities
Maintenance and Repair
Operations and Maintenance

4Q FY 2022
50
4Q FY 2072

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
N/A
101
N/A
146
N/A
194
N/A
441

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
N/A
4,249
N/A
6,141
N/A
8,161
N/A
18,551a Other Project Costs (OPC) are funded through laboratory overhead.

bThis project has not received CD-2 approval, therefore, funding estimates are preliminary.

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7.

D&D Information

The new area being constructed in this project is not replacing existing facilities.
Square Feet
New area being constructed by this project at Oak Ridge National Laboratory ......................................... 40,000–60,000
Area of D&D in this project at Oak Ridge National Laboratory ...................................................................
None
Area at Oak Ridge National Laboratory to be transferred, sold, and/or D&D outside the project,including area previously “banked”.............................................................................................................
None
Area of D&D in this project at other sites ...................................................................................................
None
Area at other sites to be transferred, sold, and/or D&D outside the project, including area previously“banked”.......................................................................................................................................................
None aTotal area eliminated .................................................................................................................................. 40,000–60,000
8.

Acquisition Approach

The ORNL Management and Operating (M&O) Contractor, UT-Battelle will perform the acquisition for this project. The
M&O Contractor will be responsible for awarding and managing all subcontracts related to the project. The ORNL Site
Office will be responsible for overseeing the performance of the M&O Contractor. Various acquisition and project delivery
methods will be evaluated prior to achieving CD-1. The ORNL M&O Contractor will evaluate potential benefits of using asingle or multiple contracts to procure materials, equipment, construction, commissioning and other project scopeelements. Project performance metrics will be included in the M&O Contractor’s annual performance and evaluation
measurement plan.

a With the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using

the Facility Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property
Efficiency Plan.

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378

20-SC-75, Large Scale Collaboration Center
SLAC National Accelerator Laboratory (SLAC)
Project is for Design and Construction
1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 Request for the Large Scale Collaboration Center is $3,000,000. The current preliminary Total Estimated Cost
(TEC) range for this project is $32,000,000 to $60,000,000. The current preliminary Total Project Cost (TPC) range for thisproject is $33,000,000 to $61,000,000. These cost ranges encompass the most feasible preliminary alternatives at this time.
The most likely TEC for this project is estimated at $60,000,000 and the most likely TPC for this project is estimated at$61,000,000.
This project will construct a new facility that will allow for collocation of cross-functional teams in a common building,providing synergies between all major SC-sponsored programs
Significant Changes
This project is a new start in FY 2020. The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission
Need, which was approved on July 20, 2018. FY 2020 funds will be used to support Project Engineering and Design (PED)
activities.
A Federal Project Director with the appropriate certification level will be assigned to this project prior to CD-1 approval.
Critical Milestone History
Conceptual
Final
D&D
DesignCD-1
CD-2
DesignCD-3Complete
Complete
Complete
FY 2020 7/20/2018 4Q FY 2019 4Q FY 2019 a 4Q FY 2020a 4Q FY 2020 4Q FY 2020a
N/A
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
Fiscal
Year

CD-0

CD-4
4Q FY 2026a

Project Cost History
FiscalYear
FY 2020

TEC, Design
6,000

TEC,
Construction
54,000a(dollars in thousands)
OPC b, Except
TEC, Total
D&D
60,000a
1,000

OPC, D&D

OPC, Total

TPC

N/A

1,000

61,000aa This project is pre-CD-2 and schedule and funding estimates are preliminary.
b Other Project Costs (OPC) are funded through laboratory overhead.

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2.

Project Scope and Justification

Scope
The Large Scale Collaboration Center project will construct an office building of approximately 38,000 to 45,000 grosssquare feet (gsf) to consolidate and provide space for 100-150 occupants in a common building with the necessary
performance capabilities to grow the science research programs.
Justification
Advances in scientific exploration require the coordinated development of an extensive range of sophisticated imaging
tools and extremely large amounts of data sets and images for current and future user facilities and research programs,
including the Linac Coherent Light Source (LCLS), the LCLS-II, the LCLS-II-HE, the Stanford Synchrotron Radiation Laboratory(SSRL), Cryo-Electron Microscopy (EM), the ATLAS at the Large Hadron Collider (LHC), the Large Synoptic Survey Telescope(LSST), the Deep Underground Neutrino Experiment (DUNE), and the Facility for Advanced Accelerator Experimental Tests(FACET)-II.
Existing buildings provide sufficient laboratory and experimental space. However, current office spaces near experimental
areas are fully occupied or oversubscribed, and staff and users are projected to increase and exceed the availability ofadequate space. Office spaces in current buildings are not properly configured and do not address the pressing need toaccommodate teams that are developing critical algorithms and data analysis techniques alongside staff scientists or visiting
researchers and users.
With growing numbers of scientific staff and users dealing with increased rates of data generation on the order of terabytes
per second streaming from detectors, it is essential to reduce data volumes while preserving the science content of thedata. This can be accomplished by collaboration among teams with expertise in data science and massive-scale data
analytics. The real-time computing for data reduction and, most importantly, for feedback, defines the scale of thecomputing infrastructure required onsite and offsite. This real-time feedback, received during experiment operation andbetween shifts, is instrumental for the user to optimize the experiment and receive datasets as complete as possible before
leaving the facility. Cross-functional teams that understand accelerator and instrument operations also need to collaborate
to address the common and expanding need for substantial computation support.
Furthermore, the High Energy Density program is also working closely with SLAC’s LCLS directorate and the U.S. scientificcommunity to advance the Matter in Extreme Conditions (MEC), which will result in much improved optical and x-ray laser
capabilities that will enable novel experiments to push the scientific frontier. Scientists at the MEC project will performthese activities in collaboration with LCLS and academic partners and users ahead of full scale experiments at LCLS.
SLAC currently lacks sufficient office space for scientists and staff to jointly explore challenges and develop solutions usinglarge-scale data sets. Adjacent office spaces that enable researchers to benefit from collaboration with subject matter
experts in computational science, machine learning, artificial intelligence, exascale computing, data management, dataacquisition, simulation, imaging, visualization, and modeling are also not currently available.
To address these capability gaps, SLAC proposes to construct a new Large Scale Collaboration Center that will enable SLAC
to collocate cross-functional teams of SLAC and outside scientists in one building. This centralization will provide SLAC with
the necessary performance capabilities to support and grow the science research programs.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs) (Preliminary)
The project has not yet received CD-1 approval; therefore Key Performance Parameters are yet to be determined. The tablebelow outlines preliminary KPPs.
Performance Measure
Construction of a Multi-story Building
Science/Science Laboratories Infrastructure/
20-SC-75, Large Scale Collaboration Center

Threshold
38,000 gsf

Objective
45,000 gsf

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3.

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

Costs

Total Estimated Cost (TEC)
DesignFY 2020

3,000

3,000

3,000

Outyears

3,000

3,000

3,000

Total, Design

6,000

6,000

6,000

Outyears

54,00054,00054,000Total, Construction

54,00054,00054,000Construction

Total Estimated Costs (TEC)FY 2020

3,000

3,000

3,000

Outyears

57,00057,00057,00060,00060,00060,000FY 2019

700

700

700

Outyears

300

300

300

b

1,000

1,000

1,000

Total, TEC a
Other Project Costs (OPC)

Total, OPC

Total Project Costs (TPC)FY 2019

700

700

700

FY 2020

3,000

3,000

3,000

Outyears

57,30057,30057,30061,00061,00061,000Total, TPC
4.

a

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

Previous
Total
Estimate

Original
Validated
Baseline

4,800
1,200
6,000

N/A
N/A
N/A

N/A
N/A
N/A

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Designa This project has not received CD-2 approval; therefore, funding estimates are preliminary.
b Other Project Costs (OPC) are funded through laboratory overhead.

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(dollars in thousands)
Current Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

43,00011,00054,00060,00012,200

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

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

1,000
—
1,000
—

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

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

61,00012,200

N/A
N/A

N/A
N/A

Construction
Construction
Contingency
Total, Construction
Total, TEC a
Contingency, TEC
Other Project Cost (OPC) b
OPC except D&D
OPC Costs
Contingency
Total, OPC
Contingency, OPC
Total Project Costa
Total Contingency (TEC+OPC)
5.

6.

Schedule of Appropriations Requests(dollars in thousands)

RequestYear

Type

FY 2019

FY 2020

Outyears

Total

FY 2020

TEC
OPCb
TPC

—
700
700

3,000
—
3,000

57,000300
57,30060,000a
1,000
61,000a

Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future Start of D&D of this capital asset (fiscal quarter)

Operations
Utilities
Maintenance and Repair
Total – Operations and Maintenance

4Q FY 2026
50
4Q FY 2076

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total Current Total
Estimate
Estimate
N/A
81
N/A
154
N/A
170
N/A
405

Life-Cycle Costs
Previous Total Current Total
Estimate
Estimate
N/A
4,050
N/A
7,700
N/A
8,500
N/A
20,250a This project has not received CD-2 approval; therefore, funding estimates are preliminary.
b Other Project Costs (OPC) are funded through laboratory overhead.

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7.

D&D Information

The new area being constructed in this project is not replacing existing facilities.
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.....................................................................................................................
8.

Square Feet
38,000-45,000
None
None aNone
None
38,000-46,000

Acquisition Approach

The SLAC Management and Operating (M&O) contractor, Stanford University will perform the acquisition for this project.
The M&O contractor is responsible for awarding and managing all subcontracts related to this project. The M&O contractor
will evaluate various acquisition alternatives and project delivery methods prior to achieving CD-1. Potential acquisition andproject delivery methods include, but are not limited to, firm fixed price contracts for design-bid-build and design-build. The
M&O contractor will also evaluate potential benefits of using a single or multiple contracts to procure materials,
equipment, construction, commissioning and other project scope elements. Project performance metrics for SLAC will be
included in the M&O contractor’s annual performance and evaluation measurement plan.

a With the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using

the Facility Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property
Efficiency Plan.

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384

19-SC-71, Science and User Support Center
Brookhaven National Laboratory (BNL)
Project is for Design and Construction
1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 Request for the Science and User Support Center is $6,400,000. This project has a preliminary Total Estimated
Cost (TEC) range of $71,000,000 to $95,000,000 and a preliminary Total Project Cost (TPC) range of $72,000,000 to$96,000,000. The most likely TEC for this project is estimated at $85,000,000 and the most likely TPC for this project isestimated at $86,200,000.
This project will provide a facility to serve the research community and improve scientific and operational productivity byconsolidating visitor and support services.
Significant Changes
This project was initiated in FY 2019. The most recent DOE Order 413.3B Critical Decision (CD) is CD-1, Approve Alternative
Selection and Cost Range, which was approved on December 18, 2018. FY 2020 funds will continue Project Engineering and
Design (PED) activities and begin long lead procurement activities.
A Federal Project Director with the appropriate certification level has been assigned to this project.
Critical Milestone History
Conceptual
Final Design
Design
CD-1
CD-2
CD-3
Complete
Complete
FY 2019 12/12/2016 4Q FY 2018 2Q FY 2019a 4Q FY 2020 a 3Q FY 2021 4Q FY 2021a
FY 2020 12/12/2016
9/7/2018 12/18/2018 4Q FY 2020a 3Q FY 2021 4Q FY 2021a
CD-0 – Approve Mission Need
Conceptual Design Complete – Actual date the conceptual design was completed
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
Final Design Complete – Actual date the final design was completedCD-3 – Approve Start of Construction
D&D Complete – Completion of D&D Work
CD-4 – Approve Project Completion
Fiscal
Year

CD-0

D&D
Complete

CD-4

N/A
N/A

4Q FY 2025a
4Q FY 2025a

Performance
Baseline
CD-3A
Validation
FY 20194Q FY 2020
N/A
FY 2020
4Q FY 2020
4Q FY 2019
CD-3A – Approve Site Preparation
FiscalYeara This project is pre-CD-2; schedule and funding estimates are preliminary.

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Project Cost History
FiscalYear
FY 2019
FY 20202.

TEC, Design
9,400
9,400

TEC,
Construction
75,600 b
75,600(dollars in thousands)
OPC a, Except
TEC, Total
D&D
85,000b
1,000
85,000b1,200

OPC, D&D

OPC, Total

TPC

N/A
N/A

1,000
1,200

86,000b86,200b

Project Scope and Justification

Scope
The Science and User Support Center (SUSC) project received CD-1, Approve Alternative Selection and Cost Range, which
identified a single new facility at BNL perimeter as the preferred alternative. It is currently conceived as a project toconstruct a multi-story office building of approximately 70,000 to 120,000 gross square feet (gsf) to consolidate and provide
space for visitor processing, offices for approximately 200-350 occupants, space for conferences, extension of utilities to thebuilding, and related roadway modifications and parking lot development.
Justification
Brookhaven National Laboratory (BNL) has nine user facilities that attract over 40,000 visiting scientists, guests, users, andcontractors annually to conduct research in a broad range of basic and applied sciences, however the ability to efficiently
process and support the needs of this growing community of researchers is limited by the age, condition and dispersed
nature of BNL’s current facilities. The laboratory’s scientific impact can be improved by a facility that centralizes theadministrative support functions and provides easier visitor access to conferencing and collaboration space to support the
Office of Science research agenda. BNL also has many World War II era facilities dispersed around the site that houseresearch support organizations in deteriorated facilities that are no longer sustainable and contribute to operational
inefficiencies. Construction of the SUSC will provide convenient and efficient facilities for processing and supporting theusers of BNL’s premier research facilities, which would enable for the demolition of the current substandard, dispersed, andinefficient facilities. It will also provide conference facilities to support the collaborative science and research agenda for theuser community and BNL scientists.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management 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 project
must achieve.
Performance MeasureMulti-story Building

Threshold70,000 gsf

Objective
120,000 gsf

a Other project costs (OPC) are funded through laboratory overhead.

bThis project has not received CD-2 approval, therefore, funding estimates are preliminary.

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FY 2020 Congressional Budget Justification

3.

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

Costs aTotal Estimated Cost (TEC)
DesignFY 2019

7,000

7,000

7,000

FY 2020

2,400

2,400

2,400

Total, Design

9,400

9,400

9,400

FY 2020

4,000

4,000

2,000

Outyears

71,60071,60073,600Total, Construction

75,60075,60075,600FY 2019

7,000

7,000

7,000

FY 2020

6,400

6,400

4,400

Outyears

71,60071,60073,60085,00085,00085,000FY 2017

700

700

700

FY 2018

300

300

300

Construction

Total Estimated Costs (TEC)

Total, TEC

b

Other Project Costs (OPC)c

FY 2019

200

200

200

1,200

1,200

1,200

FY 2017

700

700

700

FY 2018

300

300

300

FY 2019

7,200

7,200

7,200

FY 2020

6,400

6,400

4,400

Outyears

71,60071,60073,600b

86,20086,20086,200Total, OPC
Total Project Costs (TPC)d

Total, TPC

a Costs for FY 2019 and the outyears are estimates.

b This project has not received CD-2 approval, therefore, funding estimates are preliminary.
c Other Project Costs (OPC) are funded through laboratory overhead.

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4.

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

Original
Validated
Baseline

Total Estimated Cost (TEC)
DesignDesign

7,800

N/A

N/A

Contingency

1,600

N/A

N/A

9,400

N/A

N/A

Construction

63,000

N/A

N/A

Contingency

12,600

N/A

N/A

Total, Construction

75,600

N/A

N/A

Total, TEC a

85,000

N/A

N/A

Contingency, TEC

14,200

N/A

N/A

Conceptual Planning

500

N/A

N/A

Conceptual Design

500

N/A

N/A

Contingency

200

N/A

N/A

b

1,200

N/A

N/A

200

N/A

N/A

86,200

N/A

N/A

14,400

N/A

N/A

Total, Design
Construction

Other Project Cost (OPC)
OPC except D&D

Total, OPC

Contingency, OPC
Total Project Costa

Total Contingency (TEC+OPC)
5.

Schedule of Appropriation Requests(dollars in thousands)
RequestYear
FY 2019

FY 2020

6.

Type
TEC
OPCb
TPC
TEC
OPCb
TPC

Prior
Years
—
—
—
—
700
700

FY 2018

FY 2019

FY 2020

Outyears

Total

—
1,000
1,000
—
300
300

2,000
—
2,000
7,000
200
7,200

7,400
—
7,400
6,400
—
6,400

75,600—75,60071,600—71,60085,000a
1,000
86,000a85,000a1,200
86,200a

Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future Start of D&D of this capital asset (fiscal quarter)

4Q FY 2025
50
N/A

a This project has not received CD-2 approval, therefore, funding estimates are preliminary.
b Other Project Costs (OPC) are funded through laboratory overhead.

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FY 2020 Congressional Budget Justification

Operations
Utilities
Maintenance and Repair
Total – Operations and Maintenance7.

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
N/A
166
N/A
78
N/A
384
N/A
628

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
N/A
8,307
N/A
3,879
N/A
19,200N/A
31,386

D&D Information

The new area being constructed in this project is not replacing existing facilities.
Square Feet
New area being constructed by this project at Brookhaven National Laboratory ....... 70,000–120,000
Area of D&D in this project at Brookhaven National Laboratory .................................
None
Area at Brookhaven National Laboratory to be transferred, sold, and/or D&D
None aoutside the project, including area previously “banked” .........................................
Area of D&D in this project at other sites .................................................................
None
Area at other sites to be transferred, sold, and/or D&D outside the project,None
including area previously “banked”...........................................................................
Total area eliminated .................................................................................................
70,000–120,000
8.

Acquisition Approach

The BNL Management and Operating (M&O) Contractor, Brookhaven Science Associates will perform the acquisition forthis project. The M&O Contractor will be responsible for awarding and managing all subcontracts related to the project.
The Brookhaven Site Office will be responsible for overseeing the performance of the M&O Contractor. Various acquisitionand project delivery methods will be evaluated prior to achieving CD-1. The M&O Contractor will evaluate potential
benefits of using a single or multiple contracts to procure materials, equipment, construction, commissioning and otherproject scope elements. Project performance metrics will be included in the M&O Contractor’s annual performance andevaluation measurement plan.

a With the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using

the Facility Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property
Efficiency Plan.

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390

19-SC-72, Electrical Capacity and Distribution Capability
Argonne National Laboratory (ANL)
Project is for Design and Construction
1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 Request for the Electrical Capacity and Distribution Capability project is $30,000,000. This project has apreliminary Total Estimated Cost (TEC) range of $52,000,000 to $96,000,000 and a preliminary Total Project Cost (TPC)
range of $53,000,000 to $97,000,000. These cost ranges encompass the most feasible preliminary alternatives at this time.
The preliminary TEC for this project is estimated at $60,000,000 and the preliminary TPC for this project is estimated at$61,000,000.
This project will improve high voltage electrical distribution systems to support the anticipated electrical demands of theexascale computing program as well as current mission critical operations in multiple facilities across Argonne National
Laboratory (ANL).
Significant Changes
This project was initiated in FY 2019. The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission
Need, which was approved on September 22, 2017. CD-1, Approve Alternative Selection and Cost Range, CD-3A, ApproveLong-lead Procurement and Start of Early Construction Activities, and CD-3B, Approve Start of Remaining Construction
Activities approvals are anticipated in FY 2019. FY 2020 funds will continue construction activities.
A Federal Project Director with the appropriate certification level will be assigned to this project prior to CD-1 approval.
Critical Milestone History
Conceptual
FiscalDesignFinal Design
D&D
Year
CD-0
Complete
CD-1
CD-2
CompleteCD-3
Complete
FY 2019 09/22/2017
N/A
4Q FY 2018 3Q FY 2019 2Q FY 2019 3Q FY 2019
N/A
FY 2020 09/22/2017
N/A
2Q FY 2019 a 4Q FY 2019a 2Q FY 2019 4Q FY 2019a
N/A
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

CD-4
4Q FY 2022
1Q FY 2023a

Performance
Baseline
CD-3A
CD-3B
Validation
FY 2019
N/A
N/A
N/A
FY 2020N/A
2Q FY 2019 4Q FY 2019
CD-3A – Approve Long-Lead Procurements and Start of Early Construction Activities
CD-3B – Approve Start of Remaining Construction Activities
Fiscal YearaThis project is pre-CD-2 approval and schedule estimates are preliminary.

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Project Cost History
FiscalYear
FY 2019
FY 20202.

TEC, Design
6,000
6,000

TEC,
Construction
54,00054,000(dollars in thousands)
OPC a
TEC, Total
Except D&D
60,0001,000
60,000 b
1,000

OPC, D&D
N/A
N/A

OPC, Total
1,000
1,000

TPC
61,00061,000b

Project Scope and Justification

Scope
The scope of this project includes the design and construction of a new power supply to the site in a location physicallyseparated from existing location such that redundancy is provided to prevent single point failure. Additionally, increased
high voltage electrical capacity will be provided. Upgrades to supply lines and substations as well as redundant electricalconnections will be analyzed and provided, if they prove to provide a positive benefit to cost ratio.
Justification
The high voltage electrical distribution system consists of substations, transformers, high voltage electrical supply, anddistribution cabling. High voltage power is supplied to the laboratory via a single ComEd managed substation facility. Onceon site, electricity is distributed through laboratory managed substations, transformers, and finally facilities. Elements of
the high voltage electrical distribution system are rated in poor condition due to age, limiting the ability to support theelectricity requirements of new and expanding facilities and scientific programs. Much of the main electrical supply
infrastructure was constructed in the 1960’s and is now beyond its useful life.
Mission critical improvements to the high voltage electrical distribution systems are needed to support ANL’s uniquecompetencies and eliminate these gaps. Expansion of the electrical distribution system would significantly reduce the risk of
inadequate electrical capacity to support future scientific program growth and/or new initiatives; specifically those
associated with advanced computer science, visualization, and data, large scale user facilities/advanced instrumentationand nuclear physics core capabilities. By filling these gaps, there will be a significant reduction in operational risk associatedwith unplanned outages. The Electrical Capacity and Distribution Capability project will improve and expand criticalelectrical distribution systems to support the electrical capacity growth needed to support the SC/Advanced Scientific
Computing Research program’s planned delivery of an exascale computer to the ANL Leadership Computing Facility. Other
science facilities will also be positively impacted by these critical high voltage electrical and distribution upgrades such as
the Advanced Photo Source and the Center for Nanoscale Materials.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Key Performance Parameters 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 project mustachieve.
Performance MeasureThresholdUpgrade High Voltage Electrical
System & Supporting Infrastructure

CD-3: Construct new redundant highvoltage supply transmission system tomeet projected site loads (> 150 MVA)

Objective
Threshold Value plus: Potential line
upgrades, new equipment, equipment
replacements, various other electricalsystem reliability projects) to increase
reliability of laboratory internal
electrical distributiona Other Project Costs (OPC) are funded through laboratory overhead.

bThis project has not received CD-2 approval, therefore, funding estimates are preliminary.

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3.

Financial Schedule

Total Estimated Cost (TEC)
DesignFY 2019
Total, Design
Construction
FY 2019
FY 2020
Outyears
Total, Construction
Total Estimated Costs (TEC)FY 2019
FY 2020
Outyears
Total, TEC a
Other Project Costs (OPC)
OPC except D&D
FY 2018
Total, OPC b
Total Project Cost (TPC)FY 2018
FY 2019
FY 2020
Outyears
Total, TPCa
4.

(dollars in thousands)
BudgetAuthority(Appropriations)
Obligations

6,000
6,000

6,000
6,000

6,000
6,000

24,00030,000—54,00024,00030,000—54,00010,00015,00029,00054,00030,00030,000—60,00030,00030,000—60,00016,00015,00029,00060,000

1,000
1,000

1,000
1,000

1,000
1,000

1,000
30,00030,000—61,0001,000
30,00030,000—61,0001,000
16,00015,00029,00061,000Previous
Total
Estimate

Original
Validated
Baseline

5,100
900
6,000

5,100
900
6,000

N/A
N/A
N/A

45,0009,000
54,00060,00045,0009,000
54,00060,000

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

Details of Project Cost Estimate(dollars in thousands)
Current
Total
Estimate
Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Construction
Contingency
Total, Construction
Total, TECa

a

Costs

This project has not received CD-2 approval, therefore, funding estimates are preliminary.

b Other Project Costs (OPC) are funded through laboratory overhead.

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Contingency, TEC
Other Project Cost (OPC) a
OPC except D&D
Conceptual Planning
Conceptual Design
Contingency
Total, OPC
Contingency, OPC
Total Project Cost b
Total Contingency (TEC+OPC)
5.

750
250
—
1,000
—
61,0009,900

Previous
Total
Estimate
9,900

Original
Validated
Baseline
N/A

750
250
—
1,000
—
61,000
9,900

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

Schedule of Appropriation Requests
RequestYear
FY 2019

FY 2020

6.

(dollars in thousands)
Current
Total
Estimate
9,900(dollars in thousands)
Type
TEC
OPCa
TPC
TEC
OPCa
TPC

Prior Years
—
—
—
—
—
—

FY 2018

FY 2019

FY 2020

Total

—
1,000
1,000
—
1,000
1,000

20,000—20,00030,000—30,00040,000—40,00030,000—30,00060,000b
1,000
61,000b60,000b
1,000
61,000b

Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future Start of D&D of this capital asset (fiscal quarter)

1Q FY 2023
50
4Q FY 2073

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total Current Total
Estimate
Estimate
Operations
1,117
1,117
Utilities
162
162
Maintenance and Repair
536
536
Total – Operations and Maintenance
1,815
1,815

a
b

Life-Cycle Costs
Previous Total Current Total
Estimate
Estimate
107,628
107,628
21,571
21,57151,646
51,646
180,845
180,845

Other Project Costs (OPC) are funded through laboratory overhead.
This project has not received CD-2 approval, therefore, funding estimates are preliminary.

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7.

D&D Information

There is no new area being constructed in this construction project.
New area being constructed by this project at Argonne National Laboratory .............
Area of D&D in this project at Argonne National Laboratory .......................................
Area at Argonne National Laboratory to be transferred, sold, and/or D&D outside
the project 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 includingarea previously “banked” ..............................................................................................
Total area eliminated .....................................................................................................
8.

Square Feet
None
None
None a
None
None
None

Acquisition Approach

The Management and Operating (M&O) Contractor, UChicago Argonne, LLC will perform the acquisition for this project,overseen by the Argonne Site Office. Various acquisition approaches and project delivery methods will be evaluated prior toachieving CD-1. A tailored Design-Build approach is being considered as the overall best project delivery method with thelowest risk to DOE. The M&O Contractor is responsible for awarding and administering all subcontracts related to thisproject. Project performance metrics are included in the M&O Contractor’s annual performance evaluation andmeasurement plan.

a With the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using
the Facility Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property
Efficiency Plan.

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396

19-SC-73, Translational Research Capability
Oak Ridge National Laboratory (ORNL)
Project is for Design and Construction
1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 Request for the Translational Research Capability project is $15,000,000. The preliminary Total Estimated Cost
(TEC) range for this project is of $80,000,000 to $97,000,000. The preliminary Total Project Cost (TPC) range for this projectis $81,500,000 to $98,500,000. These cost ranges encompass the most feasible preliminary alternatives at this time. The
TEC point-estimate for this project is $93,500,000 and the TPC point-estimate is $95,000,000.
This project will provide laboratory, high bay, office, and collaboration space to support advancement in computing andmaterials science in support of multidisciplinary research.
Significant Changes
This project was initiated in FY 2019. This project was not included in the FY 2019 Congressional Request but was includedin the FY 2019 Enacted Appropriation; therefore, this is the first PDS for this project. The most recent DOE Order 413.3B
Critical Decision (CD) is CD-1, Approve Alternative Selection and Cost Range, which was approved on Novemeber 02, 2018.
FY 2020 funds will support construction activities pending CD-3 approval in FY 2020.
A Federal Project Director with the appropriate certification level will be assigned to this project prior to CD-1 approval.
Critical Milestone History
Conceptual
Final
D&D
DesignCD-1
CD-2
DesignCD-3Complete
Complete
Complete
FY 2020 10/26/2017 7/20/2018 11/02/2018 a 1Q FY 2020a 4Q FY 2019 1Q FY 2020a
N/A
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-3A – Approve Long-Lead Procurements and Start of Early Construction Activities
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
4Q FY 2025a

Performance
Baseline
CD-3A
CD-2/3CD-3B
Validation
FY 2020N/A
2Q FY 2019 1Q FY 2020a
N/A
CD-2/3 – Approve Performance Baseline and Start of Construction Activities
CD-3A –Approve Long-Lead Procurements and Start of Early Construction Activities
CD-3B – Approve Start of Remaining Construction Activities
FiscalYeara This project is pre-CD-2 and schedule estimates are preliminary.

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Project Cost History
FiscalYear
FY 20202.

TEC, Design
9,700

TEC,
Construction
83,800(dollars in thousands)
OPC a, Except
TEC, Total
D&D
93,500 b
1,500

OPC, D&D

OPC, Total

TPC

N/A

1,500

95,000b

Project Scope and Justification

Scope
The Translational Research Capability (TRC) project received CD-1, Approve Alternative Selection and Cost Range, which
identified a single new facility as the preferred alternative. It is currently conceived as a project to provide 80,000 to
150,000 gross square feet (gsf) of laboratory, high bay, office, and collaboration space to support advancement incomputing and materials science in support of multidisciplinary research. Additional supporting functions such as utilities orsite modifications may be included in the project, if they are deemed necessary.
Justification
The Office of Science (SC) has 24 core capabilities distributed across ten of the world-class national laboratories with thefollowing four core capabilities that are relevant to this project in support of the SC mission at Oak Ridge National
Laboratory (ORNL): advanced computer science, visualization, and data; materials science and engineering; decision scienceand analysis; and plasma and fusion energy science. Several SC Advisory Committee reports support the continuing need forthese core capabilities encouraging development and integration of several multidisciplinary efforts, such as developing
computational tools and the increasing necessity for interdisciplinary collaboration. This project will provide modern,
flexible, and adaptable space that is capable of responding to the pressing demand to support advancement in computing
and materials science in support of multidisciplinary research. The project is conceived to provide laboratory spaces thatprovide noise isolation, electromagnetic shielding, and low vibration to support research in the advancement of computing
as well as wet laboratories, dry laboratories, and high bay space for materials science and advancement in computing.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The table below outlines preliminary KPPs for this project.
Performance MeasureMultifunction Laboratory and Office
Building
3.

ThresholdObjective

79,900 gsf

115,000 gsf

Financial Schedule(dollars in thousands)
BudgetAuthority(Appropriations)
Obligations
Total Estimated Cost (TEC)
DesignFY 2019
Total, Design

a
b

9,700
9,700

9,700
9,700

Costs

9,700
9,700

Other Project Costs (OPC) are funded through laboratory overhead.
This project has not received CD-2 approval, therefore, funding estimates are preliminary.

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(dollars in thousands)
BudgetAuthority(Appropriations)
Obligations
Construction
FY 2019
FY 2020
Outyears
Total, Construction
Total Estimated Costs (TEC)FY 2019
FY 2020
Outyears
Total, TEC a
Other Project Costs (OPCs) b
OPC except D&D
FY 2017
FY 2018
Outyears
Total, OPC
Total Project Cost (TPC)FY 2017
FY 2018
FY 2019
FY 2020
Outyears
Total, TPCa4.

b15,30015,00053,50083,80015,30015,00053,50083,8003,500
16,50063,80083,80025,00015,00053,50093,50025,00015,00053,50093,50013,20016,50063,80093,500

190
1,000
310
1,500

190
1,000
310
1,500

190
1,000
310
1,500

190
1,000
25,00015,00053,81095,000190
1,000
25,00015,00053,81095,000190
1,000
13,20016,50064,11095,000(dollars in thousands)
Current
Previous
Total
Total
Estimate
Estimate

Original
Validated
Baseline

Details of Project Cost Estimate

Total Estimated Cost (TEC)aDesignDesignContingency
Total, Design
Construction
Construction
Contingency
Total, Construction
Total, TEC
Contingency, TEC

a

Costs

8,200
1,500
9,700

N/A
N/A
N/A

N/A
N/A
N/A

70,50013,30083,80093,50014,800

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

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

This project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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Other Project Cost (OPC) a
OPC except D&D
Conceptual Planning
Conceptual Design
Contingency
Total, OPC
Contingency, OPC
Total Project Costb
Total Contingency (TEC+OPC)
5.

6.

(dollars in thousands)
Current
Previous
Total
Total
Estimate
Estimate

500
800
200
1,500
200
95,00015,000

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

(dollars in thousands)

RequestYear

Type

Prior Years

FY 2018

FY 2019

FY 2020

Outyears

Total

FY 2020

TEC
OPCa
TPC

—
190
190

—
1,000
1,000

25,000—25,00015,000—15,00053,500310
53,81093,500 b
1,500
95,000b

Related Operations and Maintenance Funding Requirements
4Q FY 202550
4Q FY 2075

D&D Information
New area being constructed by this project at Oak Ridge National Laboratory...
Area of D&D in this project at Oak Ridge National Laboratory.............................
Area at Oak Ridge National Laboratory to be transferred, sold, and/or D&D
outside the project 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 ............................................................................................

8.

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

Schedule of Appropriation Requests

Start of Operation or Beneficial Occupancy Expected (fiscal quarter or date)
Useful Life (number of years)
Expected Future Start of D&D of this capital asset (fiscal quarter)
7.

Original
Validated
Baseline

Square Feet
80,000–115,000
None
None cNone
None80,000–115,000

Acquisition Approach

The ORNL Management and Operating (M&O) Contractor, UT-Battelle will perform the acquisition for this project. The
M&O Contractor will be responsible for awarding and managing all subcontracts related to the project. The ORNL Site
Office will be responsible for overseeing the performance of the M&O Contractor. Various acquisition and project deliveryaOther Project Costs (OPC) are funded through laboratory overhead.
This project has not received CD-2 approval, therefore, funding estimates are preliminary.
c With the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using
the Facility Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property
Efficiency Plan.
b

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methods will be evaluated prior to achieving CD-1. The ORNL M&O Contractor will evaluate potential benefits of using asingle or multiple contracts to procure materials, equipment, construction, commissioning and other project scopeelements. Project performance metrics will be included in the M&O Contractor’s annual performance and evaluation
measurement plan.

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402

19-SC-74, Biological and Environmental Program Integration Center (BioEPIC)
Lawrence Berkeley National Laboratory (LBNL)
Project is for Design and Construction
1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 Request for the Biological and Environmental Program Integration Center (BioEPIC) project is $6,000,000. The
preliminary Total Estimated Cost (TEC) range for this project is $90,000,000 to $140,000,000. The preliminary Total Project
Cost (TPC) range for this project is $92,200,000 to $142,200,000. These cost ranges encompass the most feasible
preliminary alternatives at this time.
This project will construct a new building with high performance laboratory space in close proximity to key LBNL facilities
and programs. Research operations currently located in commercially leased space and dispersed across the campus will be
collocated into this building allowing for better facilitation of Biological and Environmental Research (BER), Advanced
Scientific Computing Research (ASCR), and Basic Energy Sciences (BES) program research activities.
Significant Changes
This project was initiated in FY 2019. This project was not included in the FY 2019 Congressional Request but was includedin the FY 2019 Enacted Appropriation; therefore, this the first PDS for this project. The most recent DOE Order 413.3B
Critical Decision (CD) is CD-0, Approve Mission Need, which was approved on March 13, 2018. FY 2020 funds will be used tocontinue Project Engineering and Design (PED) activities.
A Federal Project Director with the appropriate certification level will be assigned to this project prior to CD-1 approval.
Critical Milestone History
Conceptual
Final
DesignCD-1
CD-2
DesignCD-3Complete
Complete
FY 2020 03/13/2018 2Q FY 2019 3Q FY 2019 a 4Q FY 2020a 2Q FY 2022a 4Q FY 2021a
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
Fiscal
Year

CD-0

D&D
Complete

CD-4

N/A

4Q FY 2027a

Performance
Baseline
CD-3A
CD-3B
Validation
FY 2020 4Q FY 2020a
N/A
N/A
CD-3A – Approve Long-Lead Procurements and Start of Early Construction Activities
CD-3B – Approve Start of Remaining Construction Activities
FiscalYearaThis project is pre-CD-2 and schedule and funding estimates are preliminary.

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Project Cost History
FiscalYear
FY 20202.

TEC, Design
13,000 b

TEC,
Construction
127,000b(dollars in thousands)
OPC a, Except
TEC, Total
D&D
140,000b
2,200

OPC, D&D

OPC, Total

TPC

N/A

2,200

142,200b

Project Scope and Justification

Scope
The BioEPIC project will construct a new, state-of-the-art facility with laboratory space to support high performanceresearch by BER, ASCR, and BES programs. This facility will be constructed in close proximity to key LBNL facilities andprograms. Research operations currently located in commercially leased space and dispersed across the campus will be
collocated to the BioEPIC building. Co-location of researchers in this unique experimental facility, near other important
Office of Science (SC) assets, will increase synergy and efficiency which will better facilitate collaborative research insupport of the SC mission.
Justification
The mission need of this project is to increase the synergy and efficiency of biosciences and other SC research at LBNL. LBNL
has grown from a pioneering particle and nuclear physics laboratory into a multidisciplinary research facility with broadcapabilities in physical, chemical, computational, biological, and environmental systems research in support of the
Department of Energy (DOE) mission. Much of the biological sciences program at LBNL is located off-site, away from themain laboratory, while others are dispersed across several locations on the LBNL campus. This arrangement has produced
research and operational capability gaps that limit scientific progress and is a significant roadblock to the kind ofcollaborative science that is required for understanding, predicting, and harnessing the Earth’s microbiome for energy andenvironmental benefits. This project will close the present capability gap by providing a state-of-the-art facility that will
collocate biosciences research and other programs.
The project will be conducted in accordance with the project management requirements in DOE Order 413.3B, and all
appropriate project management requirements will be met.
Key Performance Parameters (KPPs)
The project has not yet received CD-1 approval; therefore Key Performance Parameters are yet to be determined. The tablebelow outlines preliminary KPPs.
Performance Measure
Biosciences and other research space
3.

Threshold60,000 gross square feet

Objective
100,000 gross square feet

Financial Schedule(dollars in thousands)
BudgetAuthority(Appropriations)
Obligations
Total Estimated Cost (TEC)
DesignFY 2019
FY 2020
Outyears
Total, Design

5,000
6,000
2,000
13,000

5,000
6,000
2,000
13,000

Costs

5,000
6,000
2,000
13,000a Other Project Costs (OPC) are paid for through laboratory overhead.
b This project is pre-CD-2 and schedule and funding estimates are preliminary.

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(dollars in thousands)
BudgetAuthority(Appropriations)
Obligations
Construction
Outyears
Total, Construction
Total Estimated Costs (TEC)FY 2019
FY 2020
Outyears
Total, TEC a
Other Project Costs (OPC) b
FY 2019
Outyears
Total, OPC
Total Project Cost (TPC)aFY 2019
FY 2020
Outyears
Total, TPCa
4.

Costs

127,000
127,000

127,000◌127,000ٕ

127,000
127,000

5,000
6,000
129,000
140,000

5,000
6,000
129,000
140,000

5,000
6,000
129,000
140,000

1,500
700
2,200

1,500
700
2,200

1,500
700
2,200

6,500
6,000
129,700
142,200

6,500
6,000
129,700
142,200

6,500
6,000
129,700
142,200

Details of Project Cost Estimate(dollars in thousands)
Current
Previous
Total
Total
Estimate
Estimate
Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Construction
Contingency
Total, Construction
Total, TECa
Contingency, TEC
Other Project Cost (OPC)b
OPC except D&D
Conceptual Design
Start-upContingency
Total, OPC c
Contingency, OPC
Total Project Costa
Total Contingency (TEC+OPC)

Original
Validated
Baseline

10,4002,600
13,00012,8003,200
16,000

N/A
N/A
N/A

105,000
22,000127,000
140,000
24,600103,000
21,000124,000
140,000
24,200

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

1,300
600
300
2,200
300
142,200
24,900

1,300
600
300
2,200
300
142,200
24,500

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

a This project has not received CD-2 approval; therefore, funding estimates are preliminary.
b Other Project Costs (OPC) are funded through laboratory overhead.

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5.

6.

7.

Schedule of Appropriation Requests(dollars in thousands)

RequestYear

Type

FY 2019

FY 2020

Outyears

Total

FY 2020

TEC
OPC b
TPC

5,000
1,500
6,500

6,000
—
6,000

129,000700
129,700

140,000 a
2,200
142,200a

Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future Start of D&D of this capital asset (fiscal quarter)

4Q FY 2027
50
1Q FY 2077

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous
Current
Total
Total
Estimate
Estimate
Operations
150
150
Utilities
270
270
Maintenance and Repair
530
530
Total, Operations & Maintenance
950
950Life Cycle Costs
Previous
Current
Total
Total
Estimate
Estimate
5,700
5,700
11,90011,90020,60020,60038,20038,200D&D Information

The new area that will be constructed in this project will not replace existing facilities.

New area being constructed by this project at Lawrence Berkeley National Laboratory ............
Area of D&D in this project at Lawrence Berkeley National Laboratory ......................................
Area at Lawrence Berkeley National Laboratory to be transferred, sold, and/or D&D outside
the project 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
60,000–100,000
None
None c
None
None
None

a

This project has not received CD-2 approval; therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.
c With the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using
the Facility Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property
Efficiency Plan.
b

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8.

Acquisition Approach

The LBNL Management and Operating (M&O) Contractor, University of California will perform the acquisition for thisproject, overseen by the Berkeley Site Office. Various acquisition approaches and project delivery methods will be
evaluated prior to achieving CD-1 including, but not limited to, a tailored Design-Bid-Build approach with a Construction
Manager as General Contractor and design build. The M&O contractor is responsible for awarding and administering all
subcontracts related to this project. Project performance metrics will be included in the M&O contractor’s annual
performance evaluation and measurement plan.

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408

18-SC-71, Energy Sciences Capability
Pacific Northwest National Laboratory (PNNL)
Project is for Design and Construction
1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 Request for the Energy Sciences Capability project is $9,000,000. The TEC for this project is $90,000,000 and
the TPC for this project is $93,000,000.
This project will provide a facility for the consolidation of multidisciplinary efforts related to the advancement of catalysis
science which are currently located in multiple facilities, on and off the PNNL Richland campus.
Significant Changes
This project was initiated in FY 2018. The most recent DOE Order 413.3B Critical Decision (CD) is CD-2/3, Approve
Performance Baseline and Approve Start of Construction, which was approved on December 7, 2018. FY 2020 funds will
support construction and associated activities.
A Federal Project Director with the appropriate certification level was assigned to this project.
Critical Milestone History
FiscalYear

CD-0

Conceptual
DesignComplete

CD-1

CD-2

Final
DesignComplete

CD-3

D&D
Complete

CD-4

FY 2018 12/12/2016
N/A
4Q FY 2018 4Q FY 2019
N/A
4Q FY 2020
N/A
4Q FY 2025
FY 2019 12/12/2016 3Q FY 2018 2Q FY 2018 4Q FY 2019 4Q FY 2019 4Q FY 2019
N/A
4Q FY 2025
FY 2020 12/12/2016 3Q FY 2018 2/13/2018 12/7/2018
12/7/201812/7/2018
N/A
12/31/2023
CD-0 – Approve Mission Need
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 completed. Note the project has a DesignBuild delivery method, so the design proceeds during construction activities.
CD-3– Approve Start of Construction
D&D Complete – Completion of D&D work (see Section 9)
CD-4 – Approve Project Completion
FiscalYear
FY 2018
FY 2019
FY 2020

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Performance
Baseline Validation
4Q FY 2019
4Q FY 201912/7/2018

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Project Cost History

Fiscal Year

TEC, Design

FY 2018
FY 2019
FY 2020

9,000
9,000
9,000

2.

TEC,
Construction
81,00081,00081,000(dollars in thousands)
OPC a Except
TEC, Total
D&D
90,0003,000
90,0003,000
90,0003,000

OPC, D&D

OPC, Total

TPC

N/A
N/A
N/A

3,000
3,000
3,000

93,00093,00093,000

Project Scope and Justification

Scope
The scope of the proposed project is to construct new capital assets, including utilities and infrastructure capabilities. The
ESC project will design, construct and turnover facilities and infrastructure that provides nominally 110,000 to 145,000
gross square feet of wet chemistry, instrumentation, and computational space in 40 to 52 laboratory modules along with
offices for 150 to 200 research and support staff.
Justification
PNNL operates facilities for research in chemistry, materials sciences, subsurface science, biology, physics, medicine, andapplied science, as well as for the study of a diverse range of advanced technologies. PNNL’s science mission, which
supports DOE’s mission, is to understand, predict, and control complex adaptive systems for earth, energy, and security
missions. PNNL’s recognized Core Capabilities are essential to advance and accelerate research sponsored by BES, BER, andASCR. All of these research areas benefit from multidisciplinary approaches that accelerate scientific advances.
The objective behind the ESC project is to increase the impact of chemical conversion research and development at PNNL
and expand the reach of user programs. Ultimately, greater multidisciplinary collaboration, controlled environments, andincreasing computational needs beyond current capabilities will be needed to accomplish this end state. Currently, key
PNNL staff members and instrumentation driving multidisciplinary efforts are located in multiple facilities, separated miles
apart, on and off of the PNNL Richland campus. With less than 0.25% available vacant lab space and less than 1.5% vacant
office space scattered across the campus, PNNL needs a new facility to allow for collaboration. This consolidation will free
up space that also allows for increased optimization and greater colocation of Environmental Molecular Sciences
Laboratories and Atmospheric Radiation Measurement user missions.
The geographic separation of scientific capabilities at PNNL creates a capability gap by impacting collaborative work andlimits interdisciplinary research required to realize the critical advances offered through integration (i.e., “convergence”). As
stated in the report “The Convergence of the Life Sciences, Physical Sciences, and Engineering” from the Massachusetts
Institute of Technology, convergence “involves the coming together of different fields of study—particularly engineering,
physical sciences, and life sciences—through collaboration among research groups and the integration of approaches” and“is a new paradigm that can yield critical advances in a broad array of sectors, from health care to energy, food, climate,
and water.” It also entails “a broad rethinking of how all scientific research can be conducted, so that we capitalize on a
range of knowledge bases.”
The ESC project will provide for the needed space of the proper configuration and types to afford acceleration of
convergent science—a need that can be achieved only through material means. It also will enable a cascade of moves toenable location of synergistic capabilities in optimal spaces without losing those capabilities for extended time periods andnegatively impacting research. The ESC project also further advances the PNNL campus strategy to modernize and increase
federal ownership of the Laboratory and seeks to directly impact PNNL’s core capabilities by creating space that enables
research in support of BES, BER, and ASCR programs.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
a Other Project Costs (OPC) are funded through laboratory overhead.

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Key Performance Parameters (Preliminary)
The Threshold KPPs represent the minimum acceptable performance that the project must achieve. Achievement of theThreshold KPPs will be a prerequisite for approval of CD-4, Project Completion. The Objective KPPs represent the desired
project performance.
Performance MeasureMulti-story Laboratory Building3.

Threshold
110,000 gross square feet (GSF)

Objective
145,000 GSF

Financial Schedule(dollars in thousands)
BudgetAuthority(Appropriations)
Obligations
Total Estimated Cost (TEC)
DesignFY 2018
FY 2019
Total, Design
Construction
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Total, ConstructionTEC
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Total, TEC
Other Project Cost (OPC) a
OPC except D&D
FY 2017
FY 2018
FY 2023
Total, OPC except D&D
Total Project Cost (TPC)FY 2017
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023

Costs

9,000
—
9,000

9,000
—
9,000

200
8,800
9,000

11,00024,0009,000
20,00017,000—81,00011,00024,0009,000
20,00017,000—81,000—20,00020,00020,00015,0006,000
81,00020,00024,0009,000
20,00017,000—90,00020,00024,0009,000
20,00017,000—90,000200
28,80020,00020,00015,0006,000
90,000

839
400
1,761
3,000

839
400
1,761
3,000

839
400
1,761
3,000

839
20,40024,0009,000
20,00017,0001,761

839
20,40024,0009,000
20,00017,000
1,761

839
600
28,80020,00020,00015,0007,761

a Other Project Costs (OPC) are funded through laboratory overhead.

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(dollars in thousands)
BudgetAuthority(Appropriations)
Obligations
93,00093,000Total, TPC
4.

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

Previous Total
Estimate

Original
Validated
Baseline

7,500
1,500
9,000

7,500
1,500
9,000

N/A
N/A
N/A

70,00011,00081,00090,00012,50070,00011,00081,00090,00012,500

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

1,650
100
1,000
250
3,000
250
93,00012,750

1,650
100
1,000
250
3,000
250
93,00012,750

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

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Construction
Contingency
Total, Construction
Total, TEC
Contingency, TEC
Other Project Cost (OPC) a
OPC except D&D
Conceptual Planning
Conceptual Design
Contingency
Total, OPC
Contingency, OPC
Total Project Cost
Total, Contingency
5.

Schedule of Appropriation Requests

RequestYear
FY 2018

FY 2019

FY 2020a

Costs
93,000

Type
TEC
OPCa
TPC
TEC
OPCa
TPC
TEC
OPCa
TPC

Prior
Years
—
—
—
—
1,100
1,100
—
839
839

(dollars in thousands)
FY 2018

FY 2019

FY 2020

FY 2021

FY 2022

FY 2023

Outyears

Total

20,000—20,000
1,000
1,500
2,500
20,000400
20,400

TBD
—
TBD
4,000
—
4,000
24,000—24,000

TBD
—
TBD
8,194
—
8,194
9,000
—
9,000

TBD
—
TBD
22,209—22,20920,000—20,000

TBD—
TBD
30,500—30,50017,000—17,000

TBD—
TBD
24,097400
24,497
—
1,761
1,761

TBD
—
TBD
—
—
—
—
—
—

90,0003,000
93,00090,0003,000
93,00090,0003,000
93,000

Other Project Costs (OPC) are funded through laboratory overhead.

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6.

Related Operations and Maintenance Funding Requirements

Start of Operation or Beneficial Occupancy (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future Start of D&D of this capital asset (fiscal quarter)
Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
Operations
480
480
Utilities
547
547
Maintenance and Repair
1,222
1,222
Total – Operations and Maintenance
2,249
2,249
7.

1Q FY 202450
1Q FY 2074

Life-Cycle Costs
Previous Total
Current Total
Estimate
Estimate
23,98923,98927,37027,37061,121
61,121
112,480
112,480

D&D Information

The new area being constructed in this project is not replacing existing facilities.
New area being constructed by this project at Pacific Northwest National Laboratory .............
Area of D&D in this project at Pacific Northwest National Laboratory .......................................
Area at Pacific Northwest National Laboratory to be transferred, sold, and/or D&D outside
the project 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 ..................................................................................................................
8.

Square Feet
110,000–145,000
None
None
None
None aNone

Preliminary Acquisition Approach

The Management and Operating (M&O) contractor, Battelle Memorial Institute will perform the acquisition for this project,overseen by the Pacific Northwest Site Office. Various acquisition approaches and project delivery methods will beconsidered prior to achieving CD-1. The M&O contractor will be responsible for awarding and administering all subcontracts
related to this project. Project performance metrics are included in the M&O contractor’s annual performance evaluationand measurement plan.

a With the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using

the Facility Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property
Efficiency Plan.

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414

17-SC-71, Integrated Engineering Research Center
Fermi National Accelerator Laboratory (FNAL), Batavia, IL
Project is for Design and Construction
1.

Summary, Significant Changes, and Schedule and Cost History

Summary
The FY 2020 Request for the Integrated Engineering Research Center project is $10,000,000. The Total Estimated Cost (TEC)
range for this project is $73,000,000 to $98,000,000. The Total Project Cost (TPC) range for this project is $74,000,000 to$99,000,000. The preliminary TEC for this project is estimated at $85,000,000 and the preliminary TPC for this project isestimated at $86,000,000.
This project will construct new space to accommodate increased collaboration and interactions among FNAL staff. The
project is intended to close an infrastructure capability gap which will impede the establishment of an international
neutrino campus as recommended by the Particle Physics Project Prioritization Panel (P5).
Significant Changes
This project was initiated in FY 2017. The most recent DOE Order 413.3B Critical Decision (CD) is CD-1, Approve Alternative
Selection and Cost Range, which was approved on April 18, 2017. FY 2020 funds will support the continuation of
construction and associated activities.
A Federal Project Director with the appropriate certification level has been assigned to this project.
Critical Milestone History
FiscalYear

CD-0

Conceptual
DesignComplete

CD-1

CD-2

Final Design
Complete

FY 2017 07/17/2015
N/A
1Q FY 2017 3Q FY 2018 a
N/A
FY 2018 07/17/2015
N/A
4/18/2017 3Q FY 2019a
N/A
FY 2019 07/17/2015 3Q FY 2018 4/18/2017 3Q FY 2019a 3Q FY 2019a
FY 2020 07/17/2015
4/18/2017
4/18/2017 3Q FY 2019a 3Q FY 2019aCD-0 – Approve Mission Need
Conceptual Design Complete – Actual date the conceptual design was completed
CD-1 – Approve Alternative Selection and Cost Range
CD-2/3A – Approve Performance Baseline/Long Lead Procurement
Final Design Complete – Actual date the final design was completedCD-3 – Approve Start of Construction
D&D Complete – Completion of D&D Work (see section 9)
CD-4 – Approve Project Completion

CD-3

D&D
Complete

CD-4

3Q FY 2019a
3Q FY 2020a
3Q FY 2020a
3Q FY 2019a

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

4Q FY 2023a
4Q FY 2024a
4Q FY 2024a
2Q FY 2024a

Performance
Baseline
CD-3
Validation
FY 2017
N/A
N/A
FY 2018
N/A
N/A
FY 20193Q FY 2019
N/A
FY 2020
4/18/2018
3Q FY 2019CD-3 – Approve Start of Construction
Fiscal Yeara This project is pre-CD-2 and schedule estimates are preliminary.

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Project Cost History(dollars in thousands)

2.

FiscalYear

TEC, Design

TEC, Construction

TEC, Total

OPC a Except
D&D

OPC, D&D

OPC, Total

TPC

FY 2017
FY 2018
FY 2019
FY 2020

10,00010,0007,000
7,000

75,000 b
75,000b78,000b78,00085,000b85,000b85,000b85,000b

2,000
1,000
1,000
1,000

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

2,000
1,000
1,000
1,000

87,000b86,000b86,000b86,000b

Project Scope and Justification

Scope
The Integrated Engineering Research Center project will construct a scientific user support facility to accommodate
increased collaboration and interactions among staff at Fermilab (FNAL), who will in turn be working with scientificcollaborators and international partners in the design, construction, and operation of physics experiments.
Justification
In May 2014, the Particle Physics Project Prioritization Panel (P5) issued a report that included recommendations to“…develop a coherent short- and long-baseline neutrino program hosted at Fermilab,” and to “reformulate the longbaseline neutrino program as an internationally designed, coordinated, and funded program with [Fermi National
Accelerator Laboratory, FNAL or Fermilab] as host.” SC and the High Energy Physics (HEP) program accepted therecommendations in the P5 report and are committed to implementing a successful program based on this new vision.
Implementing these recommendations will require significantly increased collaboration and interactions among FNAL staff,
who will in turn be working with scientific collaborators and international partners in the design, construction, andoperation of physics experiments. Currently, these staff and their associated manufacturing, assembly, engineering, andtechnical facilities are scattered among three parts of the campus – the Silicon Detector Complex, the Village, and Wilson
Hall. As a result, they are unable to efficiently collaborate on ongoing and planned projects in support of the laboratory’s
mission.
Co-location of these staff will improve collaboration because it will increase interactions among the various groups andreduce down-time spent traveling across the site. From an infrastructure standpoint, however, FNAL currently lacks
sufficient space to do this. Continuing the previous example, groups from the three Divisions noted above total
approximately 300 staff occupying more than 170,000 square feet of laboratories, technical areas, and offices in 15
buildings and trailers. In addition, many of these spaces are inadequate to accommodate current and planned scientificprograms because they are obsolete (e.g., leaking roofs, inadequate HVAC systems) and do not support the configuration or
specification needs of current and future technical programs. The Integrated Engineering Research Center will provide FNAL
with a collaborative, multi-divisional, and interdisciplinary research center. This research center will close existing capability
and infrastructure gaps by reducing the overall footprint of outdated facilities, and collocating engineering and associatedresearch staff in a new or renovated facility near the central campus. This approach will complement the ongoing andplanned renovations of Wilson Hall by establishing the main campus as the anchor point of the site. It will improve
operational efficiency and collaboration because groups working on key projects would be in close proximity to one
another. Such a facility will provide technical and engineering staff the necessary environment for interdisciplinary
collaboration necessary to establish an international neutrino program and support other HEP science opportunities
described in the P5 report.

a Other project costs (OPC) are funded through laboratory overhead.

b This project has not received CD-2 approval; funding estimates are consistent with the approved cost ranges.

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The project will be conducted in accordance with the project management requirements in DOE Order 413.3B, and all
appropriate project management requirements will be met.
Key Performance Parameters (KPPs)
Performance MeasureMultistory Laboratory/Office Building3.

Threshold67,000 gross square feet

Objective
134,000 gross square feet

Financial Schedule(dollars in thousands)
BudgetAuthority(Appropriations)
Obligations
Total Estimated Cost (TEC)
DesignFY 2017
FY 2018
FY 2019
Total, Design
Construction
FY 2018
FY 2019
FY 2020
Outyears
Total, ConstructionTEC
FY 2017
FY 2018
FY 2019
FY 2020
Outyears
Total, TEC b
Other Project Cost (OPC) c
OPC except D&D
FY 2015
FY 2016
FY 2017
Outyears
Total, OPC except D&D
Total Project Cost (TPC)FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Outyears
Total, TPCb

Costs a

2,500
4,500
—
7,000

2,500
4,500
—
7,000

38
5,000
1,962
7,000

15,50020,00010,00032,50078,00015,50020,00010,00032,50078,000—10,00020,00048,00078,0002,500
20,00020,00010,00032,50085,0002,500
20,00020,00010,00032,50085,00038
5,000
11,96220,00048,00085,000

120
510
300
70
1,000

120
510
300
70
1,000

120
510
300
70
1,000

120
510
2,800
20,00020,00010,00032,57086,000

120
510
2,800
20,00020,00010,00032,57086,000

120
510
338
5,000
11,96220,00048,07086,000a Costs through 2017 reflect actual Costs; costs for FY 2018 and the outyears are estimates.

b This project has not received CD-2 approval; funding estimates are consistent with the approved cost ranges.
c Other Project Costs (OPC) are funded through laboratory overhead.

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4.

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

Previous
Total
Estimate

Original
Validated
Baseline

6,000
1,000
7,000

8,000
2,000
10,000

N/A
N/A
N/A

63,00015,00078,00085,00016,00061,00014,00075,00085,00016,000

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

250
530
150
70
1,000
70
86,00016,070

250
530
150
70
1,000
70
86,00016,070

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

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Construction
Contingency
Total, Construction
Total, TEC a
Contingency, TEC
Other Project Cost (OPC) b
OPC except D&D
Conceptual Planning
Conceptual Design
Start-upContingency
Total, OPC
Contingency, OPC
Total Project Costa
Total, Contingency
5.

Schedule of Appropriation Requests
RequestYear
FY 2017

FY 2018

FY 2019

FY 2020

a
b

Type
TEC
OPCb
TPC
TEC
OPCb
TPC
TEC
OPCb
TPC
TEC
OPCb
TPC

Prior
Years
—
500
—
—
500
500
—
630
630
—
630
630

(dollars in thousands)
FY 2017

FY 2018

FY 2019

FY 2020

Outyears

Total

2,500
—
2,500
2,500
—
2,500
2,500
300
2,800
2,500
300
2,800

TBD
TBD
TBD
1,500
500
2,000
1,500
—
1,500
20,000—20,000

TBD
TBD
TBD
TBD
—
TBD
5,000
—
5,000
20,000—20,000

TBD
TBD
TBD
TBD
—
TBD
20,000—20,00010,000—10,000

TBD
TBD
TBD
TBD
—
TBD
56,00070
56,07032,50070
32,57085,000a2,000
87,000a85,000a
1,000
86,000a85,000a
1,000
86,000a85,000a
1,000
86,000aThis project has not received CD-2 approval; funding estimates are consistent with the approved cost ranges.
Other Project Costs (OPC) are funded through laboratory overhead.

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6.

Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy Expected (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future Start of D&D of this capital asset (fiscal quarter)

Operations
Utilities
Maintenance and Repair
Total – Operations and Maintenance7.

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
508
508
94
94
1,525
1,525
2,127
2,127

2Q FY 202450
4Q FY 2074

Life-Cycle Costs
Previous Total
Current Total
Estimate
Estimate
25,42825,4284,670
4,670
76,28576,285
106,383
106,383

D&D Information

The new area being constructed in this project is not replacing existing facilities.
New area being constructed by this project at Fermi National Accelerator Laboratory ...............
Area of D&D in this project at Fermi National Accelerator Laboratory .........................................
Area at Fermi National Accelerator Laboratory to be transferred, sold, and/or D&D outside
the project 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 ...................................................................................................................
8.

Square Feet
67,000–134,000
None
55,200None
None a55,200Acquisition Approach

The Management and Operating (M&O) contractor, Fermi Research Alliance, LLC will perform the acquisition for thisproject, overseen by the Fermi Site Office. Various acquisition approaches and project delivery methods were evaluatedprior to achieving CD-1. A Construction Manager/General Contractor (CM/GC) project delivery with best value procurement
approach was selected as the overall best delivery method with the lowest risk to DOE. The M&O contractor is responsible
for awarding and administering all subcontracts related to this project. Project performance metrics are included in the
M&O contractor's annual performance evaluation and measurement plan.

a With the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using

the Facility Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property
Efficiency Plan.

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420

Safeguards and Security
Overview
The Department of Energy’s (DOE) Office of Science (SC) Safeguards and Security (S&S) program is designed to ensure
appropriate security measures are in place to support the SC mission requirements of open scientific research and toprotect critical assets within SC laboratories. Accomplishing this mission depends on providing physical controls that will
mitigate possible risks to the laboratories’ employees, nuclear and special materials, classified and sensitive information,and facilities. The SC S&S program also provides funding for cybersecurity for the laboratories’ information technology
systems to protect computers, networks, and data from unauthorized access.
Highlights of the FY 2020 Budget Request
The FY 2020 Request for S&S is $110,623,000. The FY 2020 Request supports sustained levels of operations in S&S program
elements including Protective Forces, Security Systems, Information Security, Cyber Security, Personnel Security, Material
Control and Accountability, and Program Management.
The FY 2020 Request ensures that the S&S program’s highest priority is accomplished, which is to provide adequate security
for the special nuclear material housed in Building 3019 at the Oak Ridge National Laboratory (ORNL). The Request also
ensures the Cyber Security program can adequately detect, mitigate, and recover from cyber intrusions and attacks against
DOE laboratories.
The 2018 revision of DOE’s Design Basis Threat (DBT) addresses protection measures for a more encompassing range of
threats and assets than just special nuclear material and classified matter. This revised DBT mandates additional risk
assessments and security planning for the protection of chemicals and radioactive sources that could affect persons on-site,whereas, the previous protection standard only addressed quantities that could have an impact off-site. The DBT also calls
for “Active Shooter” and “Insider Threat” mitigation.
Implementing the revised DBT is the near- and long-term basis for S&S program and risk mitigating funding decisions at SC
laboratories. SC is on schedule to complete implementation planning by March 31, 2019, including Security Risk
Assessments. Full compliance (based on the most complex laboratories milestones) is expected by September 30, 2022. The
S&S program will implement the DBT in stages, starting with the highest priorities including the protection of personnel. The
FY 2020 Request includes $4,513,000 to address highest priority items of the DBT.
Description
The S&S program is organized into seven program elements: Protective Forces, Security Systems, Information Security, Cyber
Security, Personnel Security, Material Control and Accountability, and Program Management.
Protective Forces
The Protective Forces program element supports security officers, access control officers, and security policy officers
assigned to protect S&S interests, along with their related equipment and training. Activities within this program element
include access control and security response operations as well as physical protection of the Department’s critical assets andSC facilities. The Protective Forces mission includes providing effective response to emergency situations, randomprohibited article inspections, security alarm monitoring, and performance testing of the protective force response tovarious event scenarios.
Security Systems
The Security Systems program element provides DBT implementation through the physical protection of Departmental
personnel, material, equipment, property, and facilities, and includes fences, barriers, lighting, sensors, surveillance devices,entry control devices, access control systems, and power systems operated and used to support the protection of DOE
property, classified information, and other interests of national security.
Information Security
The Information Security program element provides support to ensure that sensitive and classified information is accurately,
appropriately, and consistently identified, reviewed, marked, protected, transmitted, stored, and ultimately destroyed.
Specific activities within this element include management, planning, training, and oversight for maintaining security
Science/Safeguards and Security

421

FY 2020 Congressional Budget Justificationcontainers and combinations, marking documents, and administration of control systems, operations security, special accessprograms, technical surveillance countermeasures, and classification and declassification determinations.
Cyber Security
SC is engaged in protecting the enterprise from a range of cyber threats that can adversely impact mission capabilities. The
Cyber Security program element, which supports the Cybersecurity Departmental Crosscut, includes central coordination of
the strategic and operational aspects of cybersecurity and facilitates cooperative efforts such as the Joint Cybersecurity
Coordination Center (JC3) for incident response and the implementation of Department-wide Identity, Credentials, andAccess Management (ICAM).
Personnel Security
The Personnel Security program element encompasses the processes for employee suitability and security clearance
determinations at each site to ensure that individuals are trustworthy and eligible for access to classified information or
matter. This element also includes the management of security clearance programs, adjudications, security education,awareness programs for Federal and contractor employees, and processing and hosting approved foreign visitors.
Material Control and Accountability (MC&A)
The MC&A program element provides assurance that Departmental materials are properly controlled and accounted for at
all times. This element supports administration, including testing performance and assessing the levels of protection,
control, and accountability required for the types and quantities of materials at each facility; documenting facility plans formaterials control and accountability; assigning authorities and responsibilities for MC&A functions; and establishingprograms to detect and report occurrences such as material theft, the loss of control or inability to account for materials, orevidence of malevolent acts.
Program Management
The Program Management program element coordinates the management of Protective Forces, Security Systems,
Information Security, Personnel Security, Cyber Security, and MC&A to achieve and ensure appropriate levels of protections
are in place.

Science/Safeguards and Security

422

FY 2020 Congressional Budget Justification

Safeguards and Security
Funding(dollars in thousands)

Protective Forces
Security Systems
Information Security
Cyber Security
Personnel Security
Material Control and Accountability
Program Management
Total, Safeguards and Security

Science/Safeguards and Security

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

43,545
10,097
4,356
30,619
5,334
2,431
6,618
103,000

43,545
10,3704,356
33,346
5,444
2,431
6,618
106,11043,545
14,883
4,356
33,346
5,444
2,431
6,618
110,623423

FY 2020 Request vsFY 2019 Enacted—+4,513—————+4,513

FY 2020 Congressional Budget Justification

Safeguards and Security
Activities and Explanation of Changes
Explanation of Changes
FY 2020 Request vs FY 2019 Enacted
Safeguards and Security$106,110,000$110,623,000+$4,513,000
Protective Forces$43,545,000$43,545,000—
The FY 2019 Enacted budget continues funding to
The Request will support security officers assigned to The FY 2020 Request provides sustained support for
maintain proper protection levels, equipment, andprotect and respond to S&S interests, along with their the Protective Forces activity.
technical training needed to ensure effective
related equipment and training.
performance at all SC laboratories.
FY 2019 Enacted

FY 2020 Request

Security Systems$10,370,000$14,883,000
The FY 2019 Enacted budget continues funding to
The Request will support physical protection ofmaintain the security systems currently in place.
Departmental personnel, material, equipment,
property, and facilities, and security infrastructure andsystems. Funding also supports initial implementationof security modifications identified in the revised DBT.

+$4,513,000
Funding increases to begin implementing DBT
mandated physical security modifications at SC
laboratories. Automated access controls are theprograms first priority to protect the workforce andmitigate active shooter and workplace violence
threats.

Information Security$4,356,000$4,356,000
The FY 2019 Enacted budget continues funding to
The Request will support personnel, equipment, andFY 2020 funding provides sustained support for
maintain personnel, equipment, and systems
systems necessary to ensure sensitive and classified
Information Security activities.
necessary to ensure sensitive and classified
information is safeguarded at SC laboratories.
information is safeguarded at SC laboratories.

$—

Cyber Security$33,346,000$33,346,000
The FY 2019 Enacted budget continues funding to
The Request will support protection of laboratory
FY 2020 funding provides sustained support for
maintain the necessary level of protection ofcomputers, networks, and data from unauthorized
Cybersecurity activities.
laboratory computers, networks, and data fromaccess.
unauthorized access.

$—Science/Safeguards and Security

424

FY 2020 Congressional Budget Justification

FY 2019 Enacted

FY 2020 Request

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted

Personnel Security$5,444,000$5,444,000
The FY 2019 Enacted budget continues funding to
The Request will support Personnel Security efforts at FY 2020 funding provides sustained support for
maintain Personnel Security efforts at SC laboratories. SC laboratories.
Personnel Security activities.
Funding is requested to support SC Headquarters
security investigations.

$—

Materials Control and Accountability$2,431,000$2,431,000$—
The FY 2019 Enacted budget continues funding to
The Request will support functions ensuring
FY 2020 funding provides sustained support for MC&A
maintain protection of material at SC laboratories.
Departmental materials are properly controlled andactivities.
accounted for at all times.
Program Management$6,618,000
The FY 2019 Enacted budget continues funding tomaintain oversight, administration, and planning for
security programs at SC laboratories and supported
security procedures and policy support for SC
Research missions.

Science/Safeguards and Security$6,618,000$—
The Request will support oversight, administration,
Program Management funding levels are sustained.
and planning for security programs at SC laboratories
and will support security procedures and policy
support for SC Research missions.

425

FY 2020 Congressional Budget Justification

Estimates of Cost Recovered for Safeguards and Security Activities
In addition to the direct funding received from S&S, sites recover Safeguards and Security costs related to Strategic Partnerships Projects (SPP) activities from SPP
customers, including the cost of any unique security needs directly attributable to the customer. Estimates of those costs are shown below.

Ames National Laboratory
Argonne National Laboratory
Brookhaven National Laboratory
Lawrence Berkeley National Laboratory
Oak Ridge Institute for Science and Education
Oak Ridge National Laboratory
Pacific Northwest National Laboratory
Princeton Plasma Physics Laboratory
SLAC National Accelerator Laboratory
Total, Security Cost Recovered

Science/Safeguards and Security

FY 2018 Actual Costs
40
1,100
915
1,007
509
5,428
5,000
55
158
14,212426(dollars in thousands)
FY 2019 Planned Costs
70
1,000
851
749
571
5,163
5,500
55
179
14,138FY 2020 Planned Costs
20
1,000
837
1,044
495
5,163
5,500
30
190
14,279FY 2020 Congressional Budget Justification

Program Direction
Overview
Program Direction (PD) in the Office of Science (SC) supports a highly skilled federal workforce to develop and oversee SC
investments in basic research and construction and operation of scientific user facilities, which are critical to the American
scientific enterprise. SC research and facility investments transform our understanding of nature and advance the energy,
economic, and national security of the United States. In addition, SC accelerates discovery and innovation by providing
broad public access to all DOE research and development findings.
SC requires sophisticated and experienced scientific and technical program and project managers, as well as experts inacquisition; finance; legal; construction management; and environmental, safety, and health oversight. The SC basic
research portfolio includes extramural grants and contracts supporting over 22,000 researchers located at over 300
institutions and the 17 DOE national laboratories, spanning all 50 states and the District of Columbia. The portfolio of 27
scientific user facilities serves over 32,000 users per year. SC also oversees ten of DOE’s 17 national laboratories.
Headquarters (HQ)The SC HQ includes the six SC research program offices (Advanced Scientific Computing Research, Basic Energy Sciences,
Biological and Environmental Research, Fusion Energy Sciences, High Energy Physics, and Nuclear Physics), and theWorkforce Development for Teachers and Scientists, Project Assessment, and SBIR/STTR Programs Offices, as well as several
resource management functions, and HQ-based field management functions. The SC HQ federal staff:









Conduct scientific program and research infrastructure planning, execution, and management across SC, in part byextensive engagement with the scientific community to identify research opportunities and develop priorities.
Establish and maintain competitive research portfolios, which include high-risk, high-reward research, to achieve
mission goals and objectives.
Conduct rigorous external peer review of research proposals and ongoing programs. Each year, SC manages nearly
5,000 ongoing laboratory, university, non-profit, and private industry research awards and conducts over 12,000 peer
reviews of new and renewal proposals.
Provide safety, security, and infrastructure oversight and management of all SC user facilities and other current research
investments.
Provide oversight and management of all line item construction projects and other capital asset projects.
Provide oversight and management of the maintenance and operational integrity of the ten SC-stewarded national
laboratories.
Provide policy, strategy, and resource management in the areas of laboratory oversight, information technology, grants
and contracts, budget, and human capital.

Office of Scientific and Technical Information (OSTI)
OSTI fulfills the Department’s responsibilities for providing public access to the unclassified results of its research
investments and limited access to classified research results. DOE researchers produce over 50,000 research publications,datasets, software, and patents annually. OSTI's physical and electronic collections exceed one million research outputs
from the 1940s to the present, providing access to the results of DOE’s research investments. OSTI implements DOE’s publicaccess mandates, including the government-wide requirement that peer-reviewed publications resulting from federal
funding is made available to the public within 12 months of publication in a journal.
Integrated Support Center (ISC)
The ISC, located at the Chicago and Oak Ridge Offices, provides business management to support SC’s federal
responsibilities. These functions include legal and technical support; financial management; grant and contract processing;safety, security, and health management; intellectual property and patent management; environmental compliance; facility
infrastructure operations and maintenance; and information systems development and support. As part of this, the ISC:

Monitors the multi-appropriation, multi-program funding allocations for all ten SC national laboratories throughadministration of laboratory Management and Operating (M&O) contracts and is responsible for over 3,000 financial
assistance awards (grants and cooperative agreements) per year to university, non-profit, and small business-based
researchers.

Science/Program Direction

427

FY 2020 Congressional Budget Justification



Provides support to SC and other DOE programs for solicitations and funding opportunity announcements, as well as
the negotiation, award, administration, and closeout of contracts and financial assistance awards using certified
contracting officers and professional acquisition staff.

Site Offices
SC site offices provide contract management and critical support for the scientific mission execution at ten SC national
laboratories. This includes day-to-day business management; approvals to operate hazardous facilities; safety and security
oversight; leases; property transfers; sub-contracts; and activity approvals required by laws, regulations, and DOE policy. As
part of this, the site offices:

Maintain a comprehensive contract management program to ensure contractual mechanisms are managed effectively
and consistently with guidelines and regulations.
Evaluate laboratory activities including nuclear, radiological, and other complex hazards.
Provide federal project directors to oversee construction projects and other major capital asset projects.

Highlights of the FY 2020 Request
The FY 2020 Request of $183,000,000 will support a total level of approximately 797 FTEs. SC will utilize available humancapital workforce reshaping tools to manage federal staff in a manner consistent with its long-term workforce restructuring
plan as part of the DOE Agency Reform Plan. a SC will continue to review, analyze, and prioritize mission requirements andidentify those organizations and functions aligning with Administration and Department program objectives and SC strategic
goals while maximizing efficiency through functional consolidation.
The FY 2020 Request includes:










Two-hundred and ninety-five (295) SC Headquarters (HQ) federal staff, spread among the six research program offices,
Workforce Development for Teachers and Scientists, Project Assessment, and SBIR/STTR Programs Offices, as well as
several resource management functions, and HQ-based field management functions.
The Request includes the transfer of the mission of the New Brunswick Laboratory (NBL) Program Office to National
Nuclear Security Administration (NNSA) Defense Programs which better aligns the program office with the NNSA’s
mission.
Two (2) FTEs in the DOE Office of Planning and Management Oversight to support the Office of the Under Secretary for
Science.
Twenty-four (24) FTEs in the Office of the Chief Human Capital Officer operating the Shared Service Center (SSC) andsupporting HR Advisory Offices.
Two (2) FTEs supporting the President’s Council of Advisors on Science and Technology (PCAST). b
Forty (40) OSTI federal staff to manage SC’s public access program.
Four-hundred and thirty-four (434) Integrated Service Center (ISC) and site office federal staff.

a OMB Memo M-17-22

b PCAST is required by Executive Order 13539, as amended by Executive Order 13596.

Science/Program Direction

428

FY 2020 Congressional Budget Justification

Science Program Direction
Funding ($K)(dollars in thousands)

FY 2020 Request vsFY 2019 Enacted

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

Headquarters
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Working Capital Fund
Total, Headquarters

59,565
1,820
16,761
5,379
8,250
91,77558,955
2,383
17,171
5,407
8,150
92,06662,655
1,944
16,563
5,136
8,250
94,548+3,700
-439
-608
-271
+100
+2,482

Office of Scientific and Technical Information
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Office of Scientific and Technical Information

6,216
95
1,931
980
9,222

6,109
100
1,931
980
9,120

5,920
105
1,970
939
8,934

-189
+5
+39
-41
-186

Field Offices
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Field Offices

69,334
1,030
4,972
6,667
82,00369,075
1,717
4,335
6,687
81,81467,743
1,425
3,945
6,405
79,518-1,332
-292
-390
-282
-2,296

Total Program Direction
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Working Capital Fund
Total, Program Direction
Federal FTEs

135,115
2,945
23,664
13,0268,250
183,000
825

134,139
4,200
23,437
13,0748,150
183,000
810

136,318
3,474
22,47812,4808,250
183,000797+2,179
-726
-959
-594
+100
—
-13

Science/Program Direction

429

FY 2020 Congressional Budget Justification

Program Direction
Activities and Explanation of Changes
Explanation of Changes
FY 2020 Request vs FY 2019 Enacted

FY 2019 Enacted

FY 2020 Request

Program Direction$183,000,000
Salaries and Benefits$134,139,000
The FY 2019 Enacted Budget supports 810 FTEs toperform scientific oversight, program and project
management, essential operations support associatedwith science program portfolio management, andsupport for the Office of the Chief Human Capital
Officer operating the SSC and supporting HR Advisory
Offices.

$183,000,000$136,318,000
The FY 2020 Request will support 797 FTEs to performscientific oversight, program and project
management, essential operations support associatedwith science program portfolio management, andsupport for the Office of the Chief Human Capital
Officer operating the SSC and supporting HR Advisory
Offices.

The Enacted Budget supports costs associated with
Federal employee benefits, including health insurance
costs and retirement allocations in the Federal
Employees Retirement System.

This Request will support costs associated with
Federal employee benefits, including health insurance
costs and retirement allocations in the Federal
Employees Retirement System.

Travel$4,200,000
The FY 2019 Enacted Budget supports facility visits
where the use of electronic telecommunications are
not practical for mandated on-site inspections andfacility operations reviews. Ensuring scientificmanagement, compliance, safety oversight, andexternal review of research funding across all SC
programs requires staff to travel, since SC seniorprogram managers are not co-located with grantees
or at national laboratories.

$3,474,000
The FY 2020 Request will support facility visits where
the use of electronic telecommunications are notpractical for mandated on-site inspections and facility
operations reviews. Ensuring scientific management,compliance, safety oversight, and external review of
research funding across all SC programs requires staff
to travel, since SC senior program managers are notco-located with grantees or at national laboratories.

The FY 2019 Enacted Budget also supports travel for
the SC Federal Advisory Committees, which will
include over 170 representatives from universities,
national laboratories, and industry, representing adiverse balance of disciplines, professional
experience, and geography. Each of the six advisorycommittees provides valuable, independent advice tothe Department regarding the complex scientific andScience/Program Direction

The Request will also support travel for the SC Federal No change in proposed travel costs for SC Advisory
Advisory Committees, which will include over 170
Committees.
representatives from universities, national
laboratories, and industry, representing a diverse
balance of disciplines, professional experience, andgeography. Each of the six advisory committees
provides valuable, independent advice to the
Department regarding the complex scientific and
FY 2020 Congressional Budget Justification
430$—+$2,179,000

The increase is based on projected payroll
requirements in FY 2020 for the requested staffing
level of 797 FTEs. The projections take into
consideration grade/step levels for the current
workforce, the status of current vacancies, andongoing workforce planning efforts.

-$726,000
The decrease is based on projected travel
requirements for FY 2020 associated with facility
visits, mandatory on-site inspections, andprogram/project reviews.

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted

FY 2019 Enacted

FY 2020 Request

technical issues that arise in the planning,
management, and implementation of SC programs.

technical issues that arise in the planning,
management, and implementation of SC programs.

The FY 2019 Enacted Budget supports the PCAST
advisory committee travel.

The Request will support the PCAST advisorycommittee travel.

The FY 2020 Request includes increased travel for
staff supporting the PCAST advisory committee.

Support Services$23,437,000
The FY 2019 Enacted Budget supports selectadministrative and professional services including:
support for the Small Business Innovation
Research/Small Business Technology Transfer
program; grants and contract processing and closeout activities; accessibility to DOE’s corporate multibillion dollar research and development (R&D)
program through information systems managed andadministered by OSTI; travel processing;correspondence control; select reports or analyses
directed toward improving the effectiveness,
efficiency, and economy of services and processes;
and safeguards and security oversight functions.

$22,478,000
The FY 2020 Request will support selectadministrative and professional services including:
support for the Small Business Innovation
Research/Small Business Technology Transfer
program; grants and contract processing and closeout activities; accessibility to DOE’s corporate multibillion dollar R&D program through information
systems managed and administered by OSTI; travel
processing; correspondence control; select reports oranalyses directed toward improving the effectiveness,
efficiency, and economy of services and processes;
and safeguards and security oversight functions.

-$959,000
The decrease is based on projected contract
requirements in FY 2020. The Request takes into
consideration current contractor staffing levels andmanagement decisions affecting future contract
requirements.

The FY 2019 Enacted Budget supports essential
information technology infrastructure; necessary
upgrades to SC’s financial management system;
ongoing operations and maintenance of IT systems;
and safety management support.

The FY 2020 Request will support essential
information technology infrastructure; necessary
upgrades to SC’s financial management system;
ongoing operations and maintenance of IT systems;
and safety management support.

The FY 2019 Enacted Budget funds federal staff
training and education to maintain appropriate
certification and update skills.

The FY 2020 Request will fund federal staff training
and education to maintain appropriate certification
and update skills.

Science/Program Direction

431

FY 2020 Congressional Budget Justification

Explanation of Changes
FY 2020 Request vs FY 2019 Enacted
Other Related Expenses$13,074,000$12,480,000-$594,000
The FY 2019 Enacted Budget supports fixed
The FY 2020 Request will support fixed requirements The decrease will align with projected requirements
requirements associated with rent, utilities, andassociated with rent, utilities, andfor FY 2020.
telecommunications; building and grounds
telecommunications; building and grounds
maintenance; computer/video maintenance andmaintenance; computer/video maintenance andsupport; IT equipment leases, purchases, andsupport; IT equipment leases, purchases, andmaintenance; and site-wide health care units. It also
maintenance; and site-wide health care units. It will
includes miscellaneous purchases for supplies,
also include miscellaneous purchases for supplies,
materials, and subscriptions.
materials, and subscriptions.
FY 2019 Enacted

Working Capital Fund
$8,150,000
The FY 2019 Enacted Budget supports the SC
contribution to the Working Capital Fund (WCF) for
business lines: building occupancy, supplies, printing
and graphics, health services, corporate training
services, and corporate business systems. Other SC
programs also contribute to WCF.

Science/Program Direction

FY 2020 Request$8,250,000+$100,000
The FY 2020 Request will support the SC contribution The increase will align with projected requirements
to the WCF for business lines: building occupancy,
for FY 2020.
supplies, printing and graphics, health services,
corporate training services, and corporate businesssystems. Other SC programs also contribute to WCF.

432

FY 2020 Congressional Budget Justification

Supporting Information
Funding ($K)(dollars in thousands)

Headquarters
Science HQSalaries and Benefits
TravelSupport Services
Other Related Expenses
Working Capital Fund
Total, Science HQ
Under Secretary for Science
Salaries and Benefits
Other Related Expenses
Total, Under Secretary for Science
Human Capital Shared Service Center
Salaries and Benefits
Other Related Expenses
Total, Human Capital Shared Service Center
President’s Council of Advisors on Science andTechnology
Salaries and Benefits
TravelOther Related Expenses
Total, President’s Council of Advisors on Science andTechnology

Science/Program Direction

FY 2020 Request vsFY 2019 Enacted

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

56,0001,820
16,761
4,579
8,250
87,41055,3652,358
17,1714,607
8,150
87,651

58,695
1,744
16,563
4,100
8,250
89,352+3,330
-614
-608
-507
+100
+1,701

440
400
840

440
400
840

440
400
840

—
—
—

3,125
400
3,525

3,150
400
3,550

3,144
400
3,544

-6
—
-6

—
—
—

—
25
—

376
200
236

+376
+175
+236

—

25

812

+787

433

FY 2020 Congressional Budget Justification

(dollars in thousands)

FY 2020 Request vsFY 2019 Enacted

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

Total Headquarters
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Working Capital Fund
Total, Headquarters

59,565
1,820
16,761
5,379
8,250
91,77558,955
2,383
17,171
5,407
8,150
92,06662,655
1,944
16,563
5,136
8,250
94,548+3,700
-439
-608
-271
+100
+2,482

Office of Scientific and Technical Information
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Office of Scientific and Technical Information

6,216
95
1,931
980
9,222

6,109
100
1,931
980
9,120

5,920
105
1,970
939
8,934

-189
+5
+39
-41
-186

Field Offices
Chicago Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Chicago Office

20,824
200
1,092
2,329
24,44521,098
350
759
2,339
24,546

20,305
300
694
2,315
23,614

-793
-50
-65
-24
-932

Oak Ridge Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Oak Ridge Office

18,769
232
2,414
3,667
25,082

17,940
450
2,110
3,677
24,177

17,640
300
1,976
3,428
23,344

-300
-150
-134
-249
-833

Ames Site Office
Salaries and Benefits
TravelSupport Services
Total, Ames Site Office

620
23
2
645

628
28
2
658

644
30
2
676

+16
+2
—
+18

Science/Program Direction

434

FY 2020 Congressional Budget Justification

(dollars in thousands)
FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

Argonne Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Argonne Site Office

4,032
80
195
20
4,327

4,080
120
195
20
4,415

3,956
95
199
20
4,270

-124
-25
+4
—
-145

Berkeley Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Berkeley Site Office

3,186
55
215
105
3,561

3,222
46
215
105
3,588

3,330
70
220
107
3,727

+108
+24
+5
+2
+139

Brookhaven Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Brookhaven Site Office

3,938
70
542
287
4,837

3,982
94
542
287
4,905

3,864
90
341
294
4,589

-118
-4
-201
+7
-316

Fermi Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Fermi Site Office

2,352
75
42
28
2,497

2,380
131
42
28
2,581

2,324
105
33
28
2,490

-56
-26
-9
—
-91

Oak Ridge National Laboratory Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Oak Ridge National Laboratory Site Office

5,145
80
215
25
5,465

5,180
131
215
25
5,551

4,896
105
220
26
5,247

-284
-26
+5
+1
-304

Science/Program Direction

435

FY 2020 Congressional Budget Justification

(dollars in thousands)
FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

FY 2020 Request vsFY 2019 Enacted

Pacific Northwest Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Pacific Northwest Site Office

4,752
100
34
56
4,942

4,785
209
34
56
5,084

4,736
160
35
56
4,987

-49
-49
+1
—
-97

Princeton Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Princeton Site Office

1,690
35
15
59
1,799

1,710
78
15
59
1,862

1,750
70
15
60
1,895

+40
-8
—
+1
+33

SLAC Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, SLAC Site Office

2,178
40
198
40
2,456

2,200
38
198
40
2,476

2,222
50
202
40
2,514

+22
+12
+4
—
+38

Thomas Jefferson Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Thomas Jefferson Site Office

1,848
40
8
51
1,947

1,870
42
8
51
1,971

2,076
50
8
31
2,165

+206
+8
—
-20
+194

69,334
1,030
4,972
6,667
82,00369,075
1,717
4,335
6,687
81,81467,743
1,425
3,945
6,405
79,518-1,332
-292
-390
-282
-2,296

Total Field Offices
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Field Offices

Science/Program Direction

436

FY 2020 Congressional Budget Justification

(dollars in thousands)
Total Program Direction
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Working Capital Fund
Total, Program Direction
Federal FTEs
Technical Support
System review and reliability analyses

FY 2020 Request vsFY 2019 Enacted

FY 2018 Enacted

FY 2019 Enacted

FY 2020 Request

135,115
2,945
23,664
13,0268,250
183,000
825

134,139
4,200
23,437
13,0748,150
183,000
810

136,318
3,474
22,47812,4808,250
183,000797+2,179
-726
-959
-594
+100
—
-13

973

973

993

+20

Management Support
Automated data processing
Training and education
Reports and analyses, management, and generaladministrative services
Total, Management Support
Total, Support Services

9,080
740

9,080
740

9,262
757

+182
+17

12,871
22,691
23,664

12,644
22,46423,437

11,46621,48522,478-1,178-979-959

Other Related Expenses
Rent to GSA
Rent to others
Communications, utilities, and miscellaneous
Other services
Operation and maintenance of equipment
Operation and maintenance of facilities
Supplies and materials
Equipment
Total, Other Related Expenses
Working Capital Fund

637
1,424
2,653
2,133
2
1,512
690
3,975
13,026
8,250

637
1,424
2,653
2,181
2
1,512
690
3,975
13,074
8,150

624
1,402
2,676
2,373
2
1,267
703
3,433
12,480
8,250

-13
-22
+23
+192
—
-245
+13
-542
-594
+100

Science/Program Direction

437

FY 2020 Congressional Budget Justification

Public Access a
The Department of Energy’s Public Access Plan, issued in July 2014 in response to policy memorandum issued by the White House Office of Science and Technology
Policy (OSTP), outlines DOE’s model and policy for increasing public access to scholarly publications and digital data resulting from DOE research funding. DOE’s enablingauthorization and subsequent legislation requires DOE to provide public access to its unclassified R&D results; the DOE Public Access Plan added peer-reviewed, final
accepted manuscripts to the types of unclassified scientific and technical information already made publicly accessible as required by these longstanding statutes. For
digital data resulting from sponsored research (as defined by OMB Circular A-110), the Plan requires the submission of data management plans with funding proposals
to DOE and provides guidelines for preserving and provide access to digital research data as appropriate.
Implementation of the Plan has been carried out through DOE internal agency policy directive, with requirements specified in national labs management & operating
contracts and annual performance plans, and in the terms and conditions of DOE financial assistance awards (grants and cooperative agreements). Under the DOE
policy, DOE-funded researchers are required to submit metadata and final accepted manuscripts to DOE or to their institutional repositories, and DOE makes theseresearch papers freely accessible to the public within 12 months of publication through the portal DOE PAGES (Public Access Gateway for Energy and Science). DOE’s
public access model also includes cooperation with the publishing community and with other federal agencies. Since implementation of the DOE policy, DOE is among
the top agencies in implementing public access, with DOE PAGES providing free access to 62,000 scholarly publications resulting from DOE research funding. To promote
discovery, DOE enables broad indexing of this content by commercial search engines, provides an application programming interface (API) to DOE PAGES, and includes
this collection in the cross-agency search portal Science.gov.

a Responds to the reporting requirement specified by the FY 2018 House Energy and Water Development Appropriations Committee Report 115-230 to provide an update on the DOE Public Access Plan;
https://www.energy.gov/downloads/doe-public-access-plan; https://www.osti.gov/public-access-policy; https://www.energy.gov/datamanagement/doe-policy-digital-research-data-management.

Science/Program Direction

438

FY 2020 Congressional Budget Justification

Isotope Production and Distribution Program Fund
Overview
The Department of Energy’s Isotope Program produces and sells radioactive and stable isotopes, byproducts, surplus
materials, and related isotope services worldwide. It operates under a revolving fund, the Isotope Production andDistribution Program Fund, established by the 1990 Energy and Water Development Appropriations Act (Public Law 101101), as amended by the 1995 Energy and Water Development Appropriations Act (Public Law 103-316). Funding for the
Isotope Production and Distribution Program Fund is provided by the combination of annual appropriations from the
Isotope Development and Production for Research and Applications subprogram within the Nuclear Physics (NP) program in
the Science appropriation account, and collections from isotope sales; both are needed to maintain the Isotope Program’s
viability. This revolving fund allows continuous and smooth operations of isotope production, sales, and distribution
independent of the federal budget cycle and fluctuating sales revenue. An independent cost review of the fund’s revenues
and expenses is conducted annually by an external contractor.
Annual appropriations in NP funds a payment into the revolving fund to maintain mission-readiness of facilities, including
the support of core scientists and engineers needed to carry out the Isotope Program and the maintenance of isotope
facilities to assure reliable production. In addition, appropriated funds provide support for research and development (R&D)
activities associated with development of new production and processing techniques for isotopes, production of researchisotopes, and training of new personnel in isotope production. Each site’s production expenses, including processing anddistributing isotopes, are offset by revenue generated from sales. About 80 percent of the resources in the revolving fundare used for operations, maintenance, isotope production, and R&D for new isotope production techniques, withapproximately 20 percent available for process improvements, unanticipated changes in volume, and purchases of small
capital equipment, such as assay equipment and shipping containers needed to ensure on-time deliveries.
The Department supplies isotopes and related services to the Nation under the authority of the Atomic Energy Act of 1954,
which specifies the role of the U.S. Government in isotope distribution. Substantial national and international scientific,
medical, and research infrastructure relies upon the use of isotopes and is strongly dependent on the Department’s
products and services. Isotopes are used for hundreds of applications that benefit society every day, such as diagnostic
medical imaging, cancer therapy, smoke detectors, neutron detectors for homeland security applications, explosives
detection, oil exploration, and tracers for environmental research. For example, radioisotopes are used in the diagnosis ortreatment of about one-third of all patients admitted to hospitals. a More than 20 million Americans benefit each year from
nuclear medicine procedures used to diagnose and treat a wide variety of diseases. b Such nuclear procedures are among
the safest and most effective diagnostic tests available and enhance patient care by avoiding exploratory surgery and otherinvasive procedures. The Isotope Program continuously assesses isotope needs to inform program direction including
biennial Federal workshops to evaluate stakeholder requirements in order to optimize the utilization of resources andassure the greatest availability of isotopes.
Radioisotopes are primarily produced and processed at three facilities stewarded by the Isotope Program: the Brookhaven
Linac Isotope Producer (BLIP) and associated processing labs at Brookhaven National Laboratory (BNL), the Isotope
Production Facility (IPF) and associated processing labs at Los Alamos National Laboratory (LANL), and the processing labs at
Oak Ridge National Laboratory (ORNL); while enriched stable isotopes are produced at the Enriched Stable Isotope
Prototype Plant (ESIPP) also at ORNL. In addition, production and distribution activities are supported at the Advanced Test
Reactor (ATR) at Idaho National Laboratory, the High Flux Isotope Reactor (HFIR) at ORNL, the Y-12 National Security
Complex near ORNL, the Low Energy Accelerator Facility (LEAF) at Argonne National Laboratory (ANL), and processing
facilities at the Pacific Northwest National Laboratory (PNNL) and the Savannah River Site. IPF, BLIP, and LEAF provide
accelerator production capabilities, while HFIR and ATR provide reactor production capability. HFIR has the highest neutron
flux available for isotope production in the United States. ESIPP represents the re-establishment of general enriched stable
isotope production capabilities in the U.S. and started operations in 2016. The Isotope Program is further broadening
capability by including university-supported accelerator and reactor facilities used for research, education, and isotope
production that can provide cost-effective and unique production capabilities, as the University of Washington and theMissouri University Research Reactor are now part of the DOE Isotope Program University Production Network. Many otheruniversities have expressed interest in participating in the network.
a http://www.nrc.gov/reading-rm/doc-collections/fact-sheets/med-use-radioactive-materials.html
b http://www.snmmi.org/ClinicalPractice/content.aspx?ItemNumber=4825

Science/Isotope Production
and Distribution Program Fund439

FY 2020 Congressional Budget Justification

In FY 2018, a total of $112.5 million was deposited into the revolving fund. This consists of the FY 2018 appropriation of$40.7 million paid into the revolving fund from the Nuclear Physics program, plus collections of $71.8 million to recover
costs related to isotope production and isotope services. Collections in FY 2018 include, for example, sales of actinium-227(Ac-227), californium-252, helium-3 (He-3), selenium-75, cobalt-60, nickel-63, germanium-68, actinium-225, strontium-82,
and strontium-89. Actinium-227 provides radium-223 (Ra-223) for Xofigo®, which was the first alpha particle-emitting
radioisotopic drug approved by the Federal Drug Administration; Xofigo® extends patient survival as well as alleviates the
excruciating pain associated with cancer that has metastasized to bone. Californium-252 has a variety of industrial
applications, including oil and gas well-logging, and fission start-up in nuclear reactors; He-3 is used in neutron detectors fornational security; selenium-75 is used as a radiography source; cobalt-60 is used in gamma-ray cancer surgery; nickel-63
enhances national security through its use in detectors for explosives and illicit material; germanium-68 supports
development of gallium-68 diagnostic imaging pharmaceuticals; Ac-225 is used in pharmaceuticals under development tomore effectively treat cancer and other diseases; strontium-82 has gained world-wide acceptance for use in heart imaging;and strontium-89 alleviates the pain associated with bone metastases. In FY 2018, the Isotope Program sold 161 different
radioactive and stable isotopes to a broad range of research and commercial customers, including major pharmaceuticalcompanies, industrial users, and researchers at hospitals, national laboratories, other Federal agencies, universities, andprivate companies. Among the isotopes produced, nine are high-volume isotopes with commercial applications; theremaining are low-volume, mostly research isotopes, which are more expensive to produce. Commercial isotopes are priced
to recover full cost or the market price, whichever is higher and in consideration of the commercial value of the product.
Program Accomplishments
Development of Production of Alpha-Emitting Isotope for the Treatment of Metastatic Prostate Cancer. A multi-year researchand development effort was completed to establish a large-scale production capability for Ac-227. A radioactive decay
product of Ac-227, Ra-223, is the active ingredient in Bayer’s drug Xofigo™ which is a treatment for metastatic prostatecancer that not only alleviates excruciating pain associated with bone metastases, but also extends patient survival. A
collaboration between the Oak Ridge National Laboratory and Bayer developed radiopharmaceutical-grade production of
Ac-227 and, upon completion, the DOE Isotope Program signed a multi-year contract with Bayer to supply their global
demand for Ac-227.
Reestablishment of Domestic Production of Americium-241. Since 2003, the U.S. has been completely dependent upon asingle foreign source of americium-241 (Am-241), an isotope with a variety of industrial applications such as neutron
sources for oil and gas exploration and an ionization source for household smoke detectors. The DOE Isotope Programfacilitated the formation of an industrial consortium that, in partnership with the Isotope Program, funded thereestablishment of a modest domestic Am-241 production capability at the Los Alamos National Laboratory. The production
development effort was completed and routine production of Am-241 commenced in FY 2018. This domestic supply
alleviates a significant concern of U.S. industry: the dependence on a single foreign supplier of Am-241.
Tri-Lab Effort Increases Availability of Ac-225 for Medical Applications Research. Scientists at Brookhaven, Los Alamos, andOak Ridge National Laboratories are engaging in a collaboration that uses their unique facilities and expertise to develop
large-scale production of Ac-225, an alpha-emitting radioisotope that shows great promise in treating a range of diseases—from metastatic cancer to fungal and even viral infections like HIV. Development of applications such as these has been
inhibited by the lack of availability of sufficient quantities of Ac-225 to support laboratory research and clinical trials. In FY
2018, the Tri-Laboratory collaboration achieved routine production of up to 50 millicuries (mCi) of Ac-225 and will soon becapable of routine production runs of 100 mCi. Ultimately, the effort will be scaled up to two-week production runs of atleast 1,000 mCi, which is the equivalent of the current U.S. annual production of Ac-225 from the decay of legacy thorium229.
Highlights of the FY 2020 Request
For FY 2020, the Department foresees growth in isotope demand, with particular interest in alpha-emitters for cancer
therapy and stable isotopes to exploit the newly established domestic production capabilities. The portfolio of the Isotope
Program continues to grow rapidly as isotope availability is increased by the program. The FY 2020 Request provides$6,741,000 of additional funding to meet the needs of the expanding portfolio. Revolving fund resources will be used tosupport efforts to produce isotopes and develop production capabilities and availability to meet demand, increased He-3
extraction capabilities, enriched radioisotope capabilities, stable isotope electromagnetic separation enrichment

Science/Isotope Production
and Distribution Program Fund440

FY 2020 Congressional Budget Justification

capabilities, and development of enriched lithium-7 production capabilities. The Isotopes Program will make investmentswith revolving fund resources in aging isotope production infrastructure to maintain productivity and to provide enhanced
facility infrastructure for increased production of Ac-225, a promising cancer therapeutic. The FY 2020 Request for the
Isotope Program increases the development and production of specialized isotopes for Quantum Information Science.
The FY 2020 Request for Nuclear Physics includes a request for funding of the Stable Isotope Production Facility (SIPF) Major
Item of Equipment, with planned completion of the facility in FY 2024 based on a technically-driven schedule. Initiated in2017, SIPF ($25.5–28.0M Total Project Cost range) will provide increased domestic capability for cost-effective production ofcritically needed enriched stable isotopes and reduce the nation’s dependence on foreign suppliers.
The Request for Nuclear Physics includes support to initiate the Facility for Rare Isotope Beams (FRIB) Isotope Harvesting
accelerator improvement project ($9-11M Total Project Cost range). FRIB is a next generation scientific user facility being
constructed at Michigan State University for nuclear structure and astrophysics measurements. This accelerator
improvement project will add isotope harvesting capabilities to the FRIB, which will provide access to a wide range ofisotopes, including unusual isotopes for exploratory studies.
The FY 2020 Request for the Nuclear Physics program requests $5.0 million to initiate the U.S. Stable Isotope Production andResearch Center at ORNL, which will consolidate and significantly enhance stable isotope production capacity for the
Nation. This Line item construction project has a preliminary Total Project Cost (TPC) range of $150-200M. This proposed
new facility will build upon the expertise in centrifuge and electromagnetic isotope separation technology nurtured by SIPF.

Science/Isotope Production
and Distribution Program Fund441

FY 2020 Congressional Budget Justification

442

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443

FY 2020 Congressional Budget Justification

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444

FY 2020 Congressional Budget Justification

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FY 2020 Congressional Budget Justification

GENERAL PROVISIONS—DEPARTMENT OF ENERGY(INCLUDING TRANSFER OF FUNDS)

SEC. 301. (a) No appropriation, funds, or authority made available by this title for the Department of Energy shall be
used to initiate or resume any program, project, or activity or to prepare or initiate Requests For Proposals or similararrangements (including Requests for Quotations, Requests for Information, and Funding Opportunity
Announcements) for a program, project, or activity if the program, project, or activity has not been funded by
Congress.
(b)(1) Unless the Secretary of Energy notifies the Committees on Appropriations of both Houses of Congress atleast 3 full business days in advance, none of the funds made available in this title may be used to—(A) make a grant allocation or discretionary grant award totaling $1,000,000 or more;(B) make a discretionary contract award or Other Transaction Agreement totaling $1,000,000 or more,
including a contract covered by the Federal Acquisition Regulation;(C) issue a letter of intent to make an allocation, award, or Agreement in excess of the limits in subparagraph(A) or (B); or(D) announce publicly the intention to make an allocation, award, or Agreement in excess of the limits in
subparagraph (A) or (B).
(2) The Secretary of Energy shall submit to the Committees on Appropriations of both Houses of Congress within
15 days of the conclusion of each quarter a report detailing each grant allocation or discretionary grant award
totaling less than $1,000,000 provided during the previous quarter.
(3) The notification required by paragraph (1) and the report required by paragraph (2) shall include the recipientof the award, the amount of the award, the fiscal year for which the funds for the award were appropriated, theaccount and program, project, or activity from which the funds are being drawn, the title of the award, and a brief
description of the activity for which the award is made.
(c) The Department of Energy may not, with respect to any program, project, or activity that uses budget authority
made available in this title under the heading "Department of Energy—Energy Programs", enter into a multiyear
contract, award a multiyear grant, or enter into a multiyear cooperative agreement unless—(1) the contract, grant, or cooperative agreement is funded for the full period of performance as anticipated at
the time of award; or(2) the contract, grant, or cooperative agreement includes a clause conditioning the Federal Government's
obligation on the availability of future year budget authority and the Secretary notifies the Committees on
Appropriations of both Houses of Congress at least 3 days in advance.
(d) Except as provided in subsections (e), (f), and (g), the amounts made available by this title shall be expended as
authorized by law for the programs, projects, and activities specified in the "Conference" column in the "Departmentof Energy" table included under the heading "Title III—Department of Energy" in the joint explanatory statement
accompanying this Act.
(e) The amounts made available by this title may be reprogrammed for any program, project, or activity, and theDepartment shall notify, and obtain the prior approval of, the Committees on Appropriations of both Houses ofCongress at least 30 days prior to the use of any proposed reprogramming that would cause any program, project,
or activity funding level to increase or decrease by more than $5,000,000 or 10 percent, whichever is less, during thetime period covered by this Act.
(f) None of the funds provided in this title shall be available for obligation or expenditure through a reprogrammingof funds that—(1) creates, initiates, or eliminates a program, project, or activity;(2) increases funds or personnel for any program, project, or activity for which funds are denied or restricted bythis Act; or(3) reduces funds that are directed to be used for a specific program, project, or activity by this Act.
(g)(1) The Secretary of Energy may waive any requirement or restriction in this section that applies to the use offunds made available for the Department of Energy if compliance with such requirement or restriction would posea substantial risk to human health, the environment, welfare, or national security.

General Provisions

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FY 2020 Congressional Budget Justification

(2) The Secretary of Energy shall notify the Committees on Appropriations of both Houses of Congress of any waiver
under paragraph (1) as soon as practicable, but not later than 3 days after the date of the activity to which a
requirement or restriction would otherwise have applied. Such notice shall include an explanation of the substantial
risk under paragraph (1) that permitted such waiver.
(h) The unexpended balances of prior appropriations provided for activities in this Act may be available to the same
appropriation accounts for such activities established pursuant to this title. Available balances may be merged withfunds in the applicable established accounts and thereafter may be accounted for as one fund for the same time
period as originally enacted.
SEC. 302. Funds appropriated by this or any other Act, or made available by the transfer of funds in this Act, forintelligence activities are deemed to be specifically authorized by the Congress for purposes of section 504 of the
National Security Act of 1947 (50 U.S.C. 3094) during fiscal year [2019]2020 until the enactment of the Intelligence
Authorization Act for fiscal year [2019]2020.
SEC. 303. None of the funds made available in this title shall be used for the construction of facilities classified as
high-hazard nuclear facilities under 10 CFR Part 830 unless independent oversight is conducted by the Office ofEnterprise Assessments to ensure the project is in compliance with nuclear safety requirements.
SEC. 304. None of the funds made available in this title may be used to approve critical decision–2 or critical decision–
3 under Department of Energy Order 413.3B, or any successive departmental guidance, for construction projects
where the total project cost exceeds $100,000,000, until a separate independent cost estimate has been developed
for the project for that critical decision.
[SEC. 305. The Secretary of Energy may not transfer more than $274,833,000 from the amounts made available
under this title to the working capital fund established under section 653 of the Department of Energy
Organization Act (42 U.S.C. 7263): Provided, That the Secretary may transfer additional amounts to the working
capital fund after the Secretary provides notification in advance of any such transfer to the Committees on
Appropriations of both Houses of Congress: Provided further, That any such notification shall identify the sourcesof funds by program, project, or activity: Provided further, That the Secretary shall notify the Committees on
Appropriations of both Houses of Congress before adding or removing any activities from the fund.]SEC. [306]305. (a) None of the funds made available in this or any prior Act under the heading "Defense Nuclear
Nonproliferation" may be made available to enter into new contracts with, or new agreements for Federal assistanceto, the Russian Federation. (b) The Secretary of Energy may waive the prohibition in subsection (a) if the Secretary
determines that such activity is in the national security interests of the United States. This waiver authority may not
be delegated. (c) A waiver under subsection (b) shall not be effective until 15 days after the date on which theSecretary submits to the Committees on Appropriations of both Houses of Congress, in classified form if necessary,a report on the justification for the waiver.
[SEC. 307. (a) NEW REGIONAL RESERVES.—The Secretary of Energy may not establish any new regional petroleum
product reserve unless funding for the proposed regional petroleum product reserve is explicitly requested inadvance in an annual budget submission and approved by the Congress in an appropriations Act.
(b) The budget request or notification shall include—(1) the justification for the new reserve;(2) a cost estimate for the establishment, operation, and maintenance of the reserve, including funding sources;(3) a detailed plan for operation of the reserve, including the conditions upon which the products may be released;(4) the location of the reserve; and(5) the estimate of the total inventory of the reserve.]
SEC. [308]306. Notwithstanding section 161 of the Energy Policy and Conservation Act (42 U.S.C. 6241), upon adetermination by the President in this fiscal year that a regional supply shortage of refined petroleum product ofsignificant scope and duration exists, that a severe increase in the price of refined petroleum product will likely result
from such shortage, and that a draw down and sale of refined petroleum product would assist directly andGeneral Provisions

456

FY 2020 Congressional Budget Justification

significantly in reducing the adverse impact of such shortage, the Secretary of Energy may draw down and sell refined
petroleum product from the Strategic Petroleum Reserve. Proceeds from a sale under this section shall be deposited
into the SPR Petroleum Account established in section 167 of the Energy Policy and Conservation Act (42 U.S.C.
6247), and such amounts shall be available for obligation, without fiscal year limitation, consistent with that section.
SEC. 307. Section 310 of the Omnibus Appropriations Act, 2009 (Public Law 111–8; 50 U.S.C. 2743a note) and section
306 of the Consolidated Appropriations Act, 2012 (Public Law 112–74; 50 U.S.C. 2743a) are repealed.
SEC. 308. Not to exceed 5 percent of any appropriation made available for Department of Energy activities funded inthis Act may be transferred between such appropriations, but no such appropriation, except as otherwise provided,
shall be increased or decreased by more than 5 percent by any such transfers, and notification of any such transfers
shall be submitted promptly to the Committees on Appropriations of the House of Representatives and the Senate.
SEC. 309. (a) Allowable Costs.— (1) Section 4801(b) of the Atomic Energy Defense Act (50 U.S.C. 2781(b)) is
amended— (A) by striking "(1)" and all that follows through "the Secretary" and inserting "The Secretary"; and (B)by striking paragraph (2). (2) Section 305 of the Energy and Water Development Appropriation Act, 1988, as
contained in section 101(d) of Public Law 100–202 (101 Stat. 1329–125), is repealed. (b) Regulations Revised.—The
Secretary of Energy shall revise existing regulations consistent with the repeal of 50 U.S.C. 2781(b)(2) and section 305
of Public Law 100–202 and shall issue regulations to implement 50 U.S.C. 2781(b), as amended by subsection (a), nolater than 150 days after the date of the enactment of this Act. Such regulations shall be consistent with the Federal
Acquisition Regulation 48 C.F.R. 31.205–22.
SEC. 310. Notwithstanding provisions of title 5, United States Code, the Southeastern Power Administration shall pay
power system dispatchers at basic pay and premium pay rates that are based on those prevailing for similar
occupations in the electric power industry. Pay may not be paid, by reason of this section, at a rate in excess of therate of basic pay for level V of the Executive Schedule.
SEC. 311. Section 3131 of the National Defense Authorization Act for Fiscal Year 2000 (Public Law 106–65; 10 U.S.C.
2701 note) is amended by striking "or the defense activities of the Department of Energy".
(Energy and Water Development and Related Agencies Appropriations Act, 2019.)

General Provisions

457

FY 2020 Congressional Budget Justification

TITLE V – GENERAL PROVISIONS
SEC. 501. None of the funds appropriated by this Act may be used in any way, directly or indirectly, to influencecongressional action on any legislation or appropriation matters pending before Congress, other than tocommunicate to Members of Congress as described in 18 U.S.C. 1913.
SEC. 502. (a) None of the funds made available in title III of this Act may be transferred to any department, agency,
or instrumentality of the United States Government, except pursuant to a transfer made by or transfer authority
provided in this Act or any other appropriations Act for any fiscal year, transfer authority referenced in the joint
explanatory statement accompanying this Act, or any authority whereby a department, agency, or instrumentalityof the United States Government may provide goods or services to another department, agency, or instrumentality.
(b) None of the funds made available for any department, agency, or instrumentality of the United States
Government may be transferred to accounts funded in title III of this Act, except pursuant to a transfer made by ortransfer authority provided in this Act or any other appropriations Act for any fiscal year, transfer authority
referenced in the joint explanatory statement accompanying this Act, or any authority whereby a department,
agency, or instrumentality of the United States Government may provide goods or services to another department,
agency, or instrumentality. (c) The head of any relevant department or agency funded in this Act utilizing any transfer
authority shall submit to the Committees on Appropriations of both Houses of Congress a semiannual reportdetailing the transfer authorities, except for any authority whereby a department, agency, or instrumentality of theUnited States Government may provide goods or services to another department, agency, or instrumentality, usedin the previous 6 months and in the year-to-date. This report shall include the amounts transferred and the purposes
for which they were transferred, and shall not replace or modify existing notification requirements for eachauthority.
SEC. 503. None of the funds made available by this Act may be used in contravention of Executive Order No. 12898
of February 11, 1994 (Federal Actions to Address Environmental Justice in Minority Populations and Low-Income
Populations).
SEC. 504. (a) None of the funds made available in this Act may be used to maintain or establish a computer network
unless such network blocks the viewing, downloading, and exchanging of pornography. (b) Nothing in subsection (a)shall limit the use of funds necessary for any Federal, State, tribal, or local law enforcement agency or any otherentity carrying out criminal investigations, prosecution, or adjudication activities.
SEC. 505. Section 611 of the Energy and Water Development Appropriations Act, 2000 (P.L. 106–60; 10 U.S.C. 2701
note) is amended as follows: (a) In subsection (a), by striking "the Army, acting through the Chief of Engineers" andinserting "Energy". (b) In subsection (a)(6), by striking "by the Secretary of the Army, acting through the Chief ofEngineers" and striking ", which may be transferred upon completion of remediation to the administrative jurisdictionof the Secretary of Energy". (c) In subsection (a), by adding after paragraph (6) the following undesignated matter:"Upon completion of remediation of a site acquired by the Secretary of the Army prior to fiscal year 2020, theSecretary of the Army may transfer administrative jurisdiction of such site to the Secretary of Energy.". (d) In
subsection (b), by striking "the Army, acting through the Chief of Engineers," and inserting "Energy". (e) In subsection(c), by striking "amounts made available to carry out that program and shall be available until expended for costs of
response actions for any eligible site" and inserting "'Other Defense Activities' appropriation account or successor
appropriation account and shall be available until expended for costs of response actions for any eligible Formerly
Utilized Sites Remedial Action Program Site". (f) By redesignating subsection (f) as subsection (g). (g) By inserting
after subsection (e) the following new subsection: "(f) The Secretary of Energy, in carrying out subsection (a), shallenter into an agreement with the Secretary of the Army to carry out the functions and activities described insubsections (a)(1) through (a)(6).".
[SEC. 505. For an additional amount for "Department of the Interior—Bureau of Reclamation—Water and Related
Resources", $21,400,000, to remain available until expended, for transfer to Reclamation's Upper Colorado River
Basin Fund to carry out environmental stewardship and endangered species recovery efforts pursuant to the Grand

General Provisions

458

FY 2020 Congressional Budget Justification

Canyon Protection Act of 1992 (Public Law 102–575), Public Law 106–392, the Colorado River Basin Project Act (43U.S.C. 1551(b)), and the Act of April 11, 1956 (commonly known as the "Colorado River Storage Project Act") (43
U.S.C. 620n). This division may be cited as the "Energy and Water Development and Related Agencies Appropriations
Act, 2019".](Energy and Water Development and Related Agencies Appropriations Act, 2019.)

General Provisions

459

FY 2020 Congressional Budget Justification