DOE/CF-0131
Volume 4

Department of Energy
FY 2018 Congressional
Budget Request

Science

May 2017

Office of Chief Financial Officer

Volume 4

DOE/CF-0131
Volume 4

Department of Energy
FY 2018 Congressional
Budget Request

Science

May 2017

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

Volume 4

FY 2018 Congressional Budget
Science
Table of Contents
Page
Appropriation Account Summary ............................................................................................................................................ 1
Appropriation Language .......................................................................................................................................................... 5
Overview .................................................................................................................................................................................. 7
Advanced Scientific Computing Research.............................................................................................................................. 17
Basic Energy Sciences ............................................................................................................................................................ 49
Biological and Environmental Research............................................................................................................................... 117
Fusion Energy Sciences ........................................................................................................................................................ 141
High Energy Physics ............................................................................................................................................................. 175
Nuclear Physics .................................................................................................................................................................... 233
Workforce Development for Teachers and Scientists ......................................................................................................... 279
Science Laboratories Infrastructure..................................................................................................................................... 287
Safeguards and Security ...................................................................................................................................................... 325
Program Direction................................................................................................................................................................ 331
Crosscuts .............................................................................................................................................................................. 341
Isotope Production and Distribution Program Funds .......................................................................................................... 347
Funding by Appropriation by Site ........................................................................................................................................ 351
General Provisions ............................................................................................................................................................... 363

FUNDING BY APPROPRIATION

FY 2016
EnactedFY 2017
Annualized CR*($K)
FY 2018
RequestFY 2018 vs FY 2016$%

Department of Energy Budget by Appropriation
Energy and Water Development, and Related Agencies
Energy Programs
Energy Efficiency and Renewable Energy
Electricity Delivery and Energy Reliability
Nuclear Energy
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

2,069,194
206,000
986,161

2,069,059
205,608984,286

632,000
17,500212,000
0
7,600
869,100

630,799
17,467
211,597
0
7,586
867,449

636,149 -1,433,045
120,000-86,000
703,000-283,161-69.3%-41.7%-28.7%

280,000
4,900
180,000
8,400
6,500
479,800-55.7%-72.0%-15.1%
N/A-14.5%-44.8%-352,000-12,600-32,000+8,400-1,100-389,300

Uranium Enrichment Decontamination and Decommissioning(UED&D) Fund
Energy Information Administration
Non-Defense Environmental Cleanup
Science
Advanced Research Projects Agency - Energy
Nuclear Waste Disposal
Departmental Administration
Office of the Inspector General
Title 17 - Innovative Technology Loan Guarantee Program
Advanced Technology Vehicles Manufacturing Loan Program
Total, Energy Programs
Atomic Energy Defense Activities
National Nuclear Security Administration
Weapons Activities
Defense Nuclear Nonproliferation
Naval Reactors
Federal Salaries and Expenses
Total, National Nuclear Security Administration

673,749
122,000
255,000
5,347,000
291,000
0
130,971
46,42417,0006,000
11,019,599

767,014
121,768
254,515
5,336,835
290,4460130,722
46,336
14,920
5,989
11,094,947

752,749+79,000 +11.7%
118,000-4,000-3.3%
218,400-36,600 -14.4%
4,472,516-874,484 -16.4%
20,000-271,000 -93.1%
90,000+90,000
N/A
145,652+14,681 +11.2%
49,000+2,576+5.5%
0-17,000 -100.0%0-6,000 -100.0%
7,805,266 -3,214,333 -29.2%

8,846,948
1,940,302
1,375,496
363,766
12,526,512

8,830,130
1,936,614
1,372,881
363,937
12,503,562

10,239,344 +1,392,396
1,793,310-146,992
1,479,751 +104,255
418,595+54,829
13,931,000 +1,404,488+15.7%-7.6%+7.6%+15.1%+11.2%

Environmental and Other Defense Activities
Defense Environmental Cleanup
Other Defense Activities
Defense Nuclear Waste Disposal
Total, Environmental and Other Defense Activities
Total, Atomic Energy Defense Activities

5,289,742
776,425
0
6,066,167
18,592,679

5,279,686
774,94906,054,635
18,558,197

5,537,186 +247,444
815,512+39,087
30,000+30,000
6,382,698 +316,531
20,313,698 +1,721,019

+4.7%
+5.0%
N/A
+5.2%
+9.3%

0
11,40093,372
228-23,000
82,000011,37893,194228-23,000
81,800029,694,278-23,587-68,0000029,602,691

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
Federal Energy Regulatory Commission (FERC)
Subtotal, Energy and Water Development and Related Agencies
Excess Fees and Recoveries, FERC
Title XVII Loan Guarantee Program Section 1703 Negative Credit Subsidy
Receipt
Sale of Northeast Gas Reserve
Use of Advanced Research Projects Agency - Energy Balances
Total, Funding by Appropriation

0
11,40093,372
228-23,000
82,000

0
0
0
0
0
0

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

0
29,734,944-15,8820028,200,964 -1,493,314-9,000+14,587

N/A-5.0%+61.8%-67,8710029,651,191-35,000+33,000-69,000-69,000-46,367-46,367
28,041,597 -1,561,094+48.5%
N/A
N/A
-5.3%

*The Consolidated Appropriations Act was not available when the Department of Energy developed the FY 2018 Congressional Budget. Therefore, theFY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year.

Funding by Appropriation

1

FY 2018 Congressional Budget Justification

2

Science

Science

Science
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 of Energy
Organization Act (42 U.S.C. 7101 et seq.), including the acquisition or condemnation of any real property or facility or forplant or facility acquisition, construction, or expansion, and purchase of not more than 16 passenger motor vehicles for
replacement only, including one ambulance and one bus, $4,472,516,000, to remain available until expended: Provided,
That of such amount, $168,516,000, shall be available until September 30, 2019, for program direction.
Note.—A full-year 2017 appropriation for this account was not enacted at the time the budget was prepared; therefore,
the budget assumes this account is operating under the Further Continuing Appropriations Act, 2017 (P.L. 114–254). The
amounts included for 2017 reflect the annualized level provided by the continuing resolution.
Explanation of Change
Proposed appropriation language updates reflect the funding and replacement of passenger motor vehicle levels requested
in FY 2018.
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 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”
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”

Science5

FY 2018 Congressional Budget Justification

6

Science($K)
FY 2016 Enacted a
5,347,000

FY 2017 Annualized CR b
5,336,835

FY 2018 Request
4,472,516

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 2016 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 2018 Budget Request
The FY 2018 Budget Request for SC is $4,473 billion, a decrease of $874 million, or 16.2 percent, relative to the FY 2016
Enacted level, to implement the Administration’s objectives for achieving overall reductions in civilian, discretionary
spending. The FY 2018 Request supports a balanced research portfolio of basic scientific research probing some of the mostfundamental questions in areas such as: high energy, nuclear, and plasma physics; materials and chemistry; biological andenvironmental systems; applied mathematics; next generation high-performance computing and simulation capabilities;
and basic research for advancement in new energy technologies. The Request supports about 19,000 investigators at over
300 U.S. institutions and the Department of Energy (DOE) laboratories. In FY 2018, SC’s suite of scientific user facilities willcontinue to provide unmatched tools and capabilities for over 27,000 researchers from universities, 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 class research capabilities to U.S.
researchers.
a

The FY 2016 Enacted level includes SBIR and STTR and reflects updates through the end of the fiscal year.
FY 2017 amounts shown reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts areshown only at the congressional control level and above, below that level, a dash (-) is shown.

b

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FY 2018 Congressional Budget Justification

Highlights of the FY 2018 Budget 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 Budget Request of $722 million, is an increase of $101 million, or 16.3 percent, relative to the
FY 2016 Enacted level. The increase supports activities to accelerate the Department’s Exascale Computing Initiative(ECI) and intends to accelerate delivery of at least one exascale-capable system in 2021 ―reasserting U.S. leadership in
this critical area. These activities includes research and development to accelerate application and software stackdevelopment, vendor R&D partnerships, and site preparations. ASCR will also continue to focus research efforts on thelinked challenges of exascale computing and data-intensive science, on computational partnerships under the Scientific
Discovery through Advanced Computing (SciDAC) program, and on quantum information and machine learning toensure continued U.S. leadership in computational science building toward exascale. Within the Office of Science
Exascale Project (SC-ECP), the ASCR portion includes only the research activities required for the delivery of exascalecapable systems. Funding for the Leadership Computing Facilities is significantly increased to initiate site preparationsand vendor partnerships that will allow them to deploy an exascale-capable system as rapidly as possible. The fourareas of focus of SC-ECP are hardware technology R&D, system software technology R&D, application development, andsystem engineering for exascale systems. The FY 2018 Request supports the upgrade of the Oak Ridge Leadership
Computing Facilities to 200 petaflops (pf) and early science operations of this powerful new capability. The Argonne
Leadership Computing Facility will operate Mira (at 10pf) and Theta (at 8.5pf) for existing users, while turning focus tosite preparations for deployment of exascale system of novel architecture. The National Energy Research Scientific
Computing Center (NERSC) operates the NERSC-8 supercomputer and prepares for the delivery of NERSC-9 in 2020, andadditional funds are requested to upgrade the Energy Sciences Network to address the rapidly growing volume ofscientific 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
Budget Request of $1,554.5 million is a decrease of $294.5 million, or 15.9 percent from the FY 2016 Enacted level. The
FY 2018 Request focuses resources toward early-stage fundamental research, on the operation and maintenance of acomplementary suite of scientific user facilities, and in the highest priority facility upgrades. No funding is requested forthe two BES-supported Energy Innovation Hubs, Batteries and Energy Storage and Fuels from Sunlight, or for the DOE
Experimental Program to Stimulate Competitive Research. In the remaining core research activities, BES will placeemphasis on basic science areas with the potential to transform the understanding and control of matter and energy
including emphasis on emerging high priorities in quantum materials and chemistry, catalysis science, synthesis,
instrumentation science, and materials and chemical research related to interdependent energy-water issues. The
funding decrease will require BES to curtail the operation and maintenance of BES suite of facilities. The Stanford
Synchrotron Radiation Lightsource will operate through the first quarter of the fiscal year, then will transition to a warm
standby status. The Request contains no funding for two of the five nanoscience centers: the Center for Functional
Nanomaterials at Brookhaven National Laboratory and the Center for Integrated Nanotechnologies at Sandia and Los
Alamos National Laboratories. The remaining BES facilities will operate at 6–10% below the FY 2016 Enacted level. BES
decreases funding for related accelerator and detector research. The Request will continue to support construction of
the Linac Coherent Light Source-II, and will convert the Advanced Photon Source Upgrade project from a Major Item ofEquipment to a line-item construction project and will provide support per the project plan.

Biological and Environmental Research (BER) supports fundamental research and scientific user facilities to achieve a
predictive understanding of complex biological, earth, and environmental systems for energy and infrastructure
resilience and sustainability. The BER Budget Request of $349 million is a decrease of $260 million, or 42.7 percent,below the FY 2016 Enacted level. The FY 2018 Request implements Administration decisions to shift focus to more
fundamental research, and to prioritize research focused on biological and earth and environmental systems. In the
Earth and Environmental Systems Sciences subprogram (formerly named “Climate and Environmental Sciences”), theRequest focuses on continuing to support development of the DOE high-resolution earth system model and for model
diagnostics and intercomparisons, as well as ARM observations at two fixed sites. Targeted reductions occur in lower
priority activities, including integrated assessments, climate feedbacks, anthropogenic aerosols and black carbon, andfield activities in the tropics and northern peatlands focused on functional responses to climate variability andatmospheric stressors. The Biological Systems Science subprogram implements priority-shifts to the core research areasof Genomic Sciences, including biodesign and microbiome, and support for the recompeted Bioenergy Research
Science
FY 2018 Congressional Budget Justification
8Centers. Mesoscale activities supported include new efforts to utilize quantum materials for advanced bioimaging
capabilities. The Request supports reduced operations of BER’s three scientific user facilities: the DOE Joint Genome
Institute (JGI), the Environmental Molecular Sciences Laboratory (EMSL), and ARM.


Fusion Energy Sciences (FES) supports research to expand the fundamental understanding of matter at very hightemperatures and densities and to build the scientific foundation for fusion energy. The FES FY 2018 Request of $309.9
million is a decrease of $128 million, or 29.2 percent, below the FY 2016 Enacted level. The FES Budget Request will
support design activities and existing hardware fabrication contracts for the U.S. Contributions to ITER Project alongwith foundational research in burning plasma science. The Request provides increased support for the DIII-D program,including operations funding that will support 18 weeks of run time, and research in priority areas identified by the2015 community workshop. NSTX-U operations funding will support continued facility repair and recovery actions to
obtain reliable research operation, while NSTX research will address priorities identified by the 2015 community
workshops. FES will increase funding for massively parallel scientific computing through the SciDAC partnership with
ASCR to accelerate development of a whole-device modeling capability. The FY 2018 Request will also continue support
for leveraged research opportunities by U.S. scientists on international superconducting tokamak and stellarator
facilities with unique capabilities. FES will also provide support to emphasize opportunities for core discovery plasma
science on intermediate-scale facilities.

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 HEP FY 2018 Request of $672.7 million is a decrease of $122.3
million, or 15.4 percent below the FY 2016 Enacted level. The Request will focus support on the highest priority
elements identified in the 2014 High Energy Physics Advisory Panel (HEPAP) Particle Physics Project Prioritization Panel(P5) Report. The Request will enhance support for the Long-Baseline Neutrino Facility and Deep Underground Neutrino
Experiment (LBNF/DUNE) early far-site construction, including site preparation and cavern excavation, and design
efforts for the facility and detector. The Request will also provide funding for the start of Major Item of Equipment (MIE)funding for the High-Luminosity Large Hadron Collider (HL-LHC) Accelerator Upgrade Project (AUP) and supports thedesign efforts for the HL-LHC A Toroidal LHC Apparatus (ATLAS) and Compact Muon Solenoid (CMS) Detector Upgrade
Projects. It will provide support for the Large Synoptic Survey Telescope camera (LSSTcam), Muon to Electron
Conversion Experiment (Mu2e), and Large Underground Xenon (LUX)-ZonEd Proportional scintillation in LIquid Nobles
gases (Zeplin) (LZ) projects consistent with the planned fabrication funding profiles. The Request will provide funding for
one new MIE, the Facility for Advanced Accelerator Experimental Tests II (FACET-II), for the design and fabrication of theSuper Cryogenic Dark Matter Search at Sudbury Neutrino Observatory Laboratory (SuperCDMS-SNOLAB) project, andfor research and conceptual design of the Proton Improvement Plan II (PIP-II) construction project. HEP will rebaseline
the Dark Energy Spectroscopic Instrument (DESI) project, which received CD-3 approval for start of fabrication so that it
can be completed on a delayed timescale. The Request also will place a higher priority on supporting the research
programs that are critical to executing the P5 Report recommendations. The Request also reduces funding for the
Fermilab Accelerator Complex to operate and support the neutrino and muon experiments.

Nuclear Physics (NP) supports experimental and theoretical research to discover, explore, and understand all forms of
nuclear matter. The FY 2018 Budget Request of $502.7 million is a decrease of $114.4 million, or 18.5 percent, below
the FY 2016 Enacted level. The FY 2018 Budget Request will continue support for the highest priority research andscientific user facilities to maintain U.S. leadership in some areas of nuclear science following an overall reduction inprogram scope in response to the funding decrease. Funding was completed for the 12 GeV Upgrade at the Continuous
Electron Beam Accelerator Facility (CEBAF) in FY 2016, allowing NP to initiate the associated science program in FY 2018
to search for exotic particles and new physics. The FY 2018 Request will provide for modified operations of theRelativistic Heavy Ion Collider (RHIC) to confirm the origin of intriguing new phenomena observed in quark gluon
plasma formation, and for operations of the Argonne Tandem Linac Accelerator System (ATLAS) to provide
opportunities for research in nuclear structure and nuclear astrophysics. The Request will support the continued
construction of the Facility for Rare Isotope Beams (FRIB) at a level below the performance baseline profile; FRIB will
provide world-leading capabilities for nuclear structure and astrophysics. The Request will also continue to support theGamma-Ray Energy Tracking Array (GRETA) detector, which will exploit the world-leading science capabilities of FRIB,
and the Stable Isotope Production Facility (SIPF) within available resources. The Request supports core research atuniversities and DOE national laboratories and the development of cutting-edge approaches for producing isotopes
critical to the Nation.
Science
FY 2018 Congressional Budget Justification
9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 (SBIR) and Small Business Technology Transfer Research (STTR)
programs. Co-funding of research activities and facilities at the DOE 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., Building for Discovery: Strategic Plan for U.S. Particle Physics in the Global
Context, by the High Energy Physics Advisory Panel (HEPAP-P5) (2014) b; Neuromorphic Computing—From Materials to
Systems Architecture Roundtable, BES and ASCR workshop report (2015) c; Report of the BESAC Subcommittee on Future Xray Light Sources, by the Basic Energy Sciences Advisory Committee (BESAC) (2013) d; Challenges at the Frontiers of Matterand Energy: Transformative Opportunities for Discovery Science, by BESAC (2015) e; Basic Research Needs Workshop on
Quantum Materials for Energy Relevant Technology, BES workshop report (2016) f; Molecular Science Challenges, BER
workshop report (2014) g; Building Virtual Ecosystems: Computational Challenges for Mechanistic Modeling of Terrestrial
Environments, BER workshop report (2014) h; Isotope Research and Production Opportunities and Priorities, by the Nuclear
Science Advisory Committee (NSAC) (2015) i; and Nuclear Physics Long Range Plan, by the NSAC (2015) j.
Scientific Workforce
SC and its predecessors have fostered the training of a skilled scientific workforce for more than 50 years. In addition to theundergraduate and graduate research opportunities provided through SC’s Office of Workforce Development for Teachers
and Scientists (WDTS), 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 scientificuser facilities and not readily available in university academic departments, such as particle and accelerator physics, neutronand x-ray scattering, nuclear chemistry, and nuclear physics. 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 participationin the National Science and Technology Council’s (NSTC’s) Committee on Science, Technology, Engineering, and Mathematicsa

In compliance with the reporting requirements in the America COMPETES Act of 2007 (P.L. 110-69, section 1008)b http://science.energy.gov/~/media/hep/hepap/pdf/May%202014/FINAL_P5_Report_Interactive_060214.pdf
chttps://science.energy.gov/~/media/bes/pdf/reports/2016/NCFMtSA_rpt.pdf

d http://science.energy.gov/~/media/bes/besac/pdf/Reports/Future_Light_Sources_report_BESAC_approved_72513.pdf
e http://science.energy.gov/~/media/bes/besac/pdf/Reports/CFME_rpt_print.pdf

f https://science.energy.gov/~/media/bes/pdf/reports/2016/BRNQM_rpt_Final_12-09-2016.pdf
ghttp://genomicscience.energy.gov/biosystemsdesign/index.shtml

h http://science.energy.gov/~/media/ber/pdf/workshop%20reports/VirtualEcosystems.pdf

i http://science.energy.gov/~/media/np/nsac/pdf/docs/2015/2015_NSACI_Report_to_NSAC_Final.pdf
j Working title, to be released in Fall 2015, link TBD

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FY 2018 Congressional Budget Justification

Education (CoSTEM). SC also participates in the American Association for the Advancement of Science’s (AAAS) Science &Technology Policy Fellowships program and the Presidential Management Fellows (PMF) 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. The cybersecurity crosscut supports central coordination of the strategic and operational aspects ofcybersecurity and facilitates cooperative efforts such as the Joint Cybersecurity Coordination Center (JC3) for incident
response and the implementation of Department-wide Identity, Credentials, and Access Management (ICAM).
FY 2016 Enacted Level
In the tables throughout this Budget Request, FY 2016 funding is reflected at the Enacted level at the congressional control
points. Below the congressional control points, funding reflects the execution of the budget, including reallocations at the
subprogram level.

Science11

FY 2018 Congressional Budget Justification

12

Science
Funding by Congressional Control ($K)
FY 2016
Enacted a

FY 2017
Annualized
CR b621,000

619,819

525,430-95,570……

……

196,580+196,580

621,000

619,819722,010+101,010

1,648,700

1,645,566

1,352,400-296,300

200,300

199,919

182,100-18,200……

……

20,000+20,000

Total, Construction

200,300

199,919

202,100+1,800Total, Basic Energy Sciences

1,849,000

1,845,485

1,554,500-294,500

609,000

607,842

348,950-260,050

323,000

322,386

246,940-76,060

14-SC-60 ITER

115,000

114,781

63,000-52,000

Total, Fusion Energy Sciences

438,000

437,167

309,940-128,060

FY 2018
RequestFY 2018 vs
FY 2016

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
13-SC-10 Linac Coherent Light Source-II, SLAC
18-SC-10 APS Upgrade, ANL

Biological and Environmental Research
Fusion Energy Sciences
Research
Constructiona

The FY 2016 Enacted level includes SBIR and STTR and reflects updates through the end of the fiscal year.
FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above, below that level, a dash (-) is shown.
b

Science/Funding by Congressional Control

13

FY 2018 Congressional Budget Justification

FY 2016
Enacted a

FY 2017
Annualized
CR b728,900

727,514573,400-155,500

11-SC-40 Long Baseline Neutrino Facility/Deep Underground Neutrino
Facility, FNAL

26,00025,951

54,900+28,900

11-SC-41 Muon to Electron Conversion Experiment, FNAL

40,10040,024

44,400+4,300Total, Construction

66,10065,97599,300+33,200

Total, High Energy Physics

795,000

793,489

672,700-122,300

509,600

508,631422,700-86,900

100,000

99,81080,000-20,000

7,500

7,486

……

-7,500Total, Construction

107,500

107,296

80,000-27,500

Total, Nuclear Physics

617,100

615,927

502,700-114,400

Workforce Development for Teachers and Scientists

19,50019,46314,000-5,500

Payment in Lieu of Taxes

1,713

1,710

1,713

……

Oak Ridge Landlord

6,177

6,165

6,082

-95

Facilities and Infrastructure

24,80024,753

5,105-19,695

Oak Ridge Nuclear Operations

12,00011,977

10,000-2,00044,69044,60522,900-21,790

FY 2018
RequestFY 2018 vs
FY 2016

High Energy Physics
Research
Construction

Nuclear Physics
Operation and MaintenanceConstruction
14-SC-50 Facility for Rare Isotope Beams, Michigan State University
06-SC-01 12 GeV CEBAF Upgrade, TJNAF

Science Laboratories Infrastructure
Infrastructure Support

Total, Infrastructure Support
Construction
18-SC-71 Energy Science Capability at PNNL......

......

1,000+1,00017-SC-71 Integrated Engineering Research Center, FNAL......

......

1,500+1,50017-SC-73 Core Facility Revitalization at BNL......

......

1,500+1,500Science/Funding by Congressional Control

14

FY 2018 Congressional Budget Justification

FY 2016
Enacted a

FY 2017
Annualized
CR b

15-SC-76 Materials Design Laboratory at ANL

23,91023,86524,500+590

15-SC-77 Photon Science Laboratory Building at SLAC

25,00024,952......

-25,000

15-SC-78 Integrative Genomics Building at LBNL

20,00019,96224,800+4,80068,91068,77953,300-15,610

Total, Science Laboratories Infrastructure

113,600

113,384

76,200-37,400

Safeguards and Security

103,000

102,805

103,000......

Program Direction

185,000

184,648

168,516-16,484

Subtotal, Science

5,350,200

5,340,029

4,472,516-877,684-3,200-3,194......

+3,200Total, Science

5,347,000

5,336,835

4,472,516-874,484

Federal FTEs

918

881

785

-133

Total, Construction

Rescission of prior year balances

FY 2018
RequestFY 2018 vs
FY 2016

SBIR/STTR:• FY 2016 Enacted: SBIR: $125,554,000 and STTR: $18,833,000 (SC only).
• FY 2018 Request: SBIR: $129,490,000 and STTR: $113,525,000 (SC only).

Science/Funding by Congressional Control

15

FY 2018 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 advanced computational scientific applications in partnership with disciplinary science; advance
computing and networking capabilities; and develop future generations of computing hardware and software tools forscience and engineering, in partnership with the research community, including U.S. industry. The ASCR program gives thescience and technology community, including U.S. industry, access to world-class supercomputers and the tools to use themfor science and engineering. ASCR accomplishes this by developing and maintaining world-class computing and network
facilities for science; and advancing research in applied mathematics, computer science, and advanced networking.
For over half a century, the U.S. maintained world-leading computing capabilities through sustained investments in researchand the development and deployment of new computing systems. The benefits of U.S. computational leadership have beenenormous – huge gains in workforce productivity, an acceleration of 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 that are too large, too complex, too dangerous, too small or too
fleeting to explore experimentally. 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
The U.S. is now entering an era where advances in computing capabilities are becoming increasingly costly and risky, whileat the same time, U.S. dominance in computing is under threat from significant new investments in Asia and Europe. We
cannot afford to fall behind in an area that impacts every sector of our economy and every field of science and engineering.
Therefore, this Budget Request increases our investments in the Exascale Computing Initiative (ECI) to accelerate the projectand intends to accelerate delivery of at least one exascale-capable system in 2021.
The Department of Energy (DOE) and its predecessor organizations have long played a key role in advancing U.S. computing
capabilities in partnership with U.S. computing vendors and researchers. Computing is a fast-paced industry, but sustained
progress depends upon significant gains in numerous areas of fundamental research including: advanced lithography, nanoscale materials science, applied mathematics and computer science – areas where DOE has provided long-term investments
and world-leading capabilities. Because DOE partners with High Performance Computing (HPC) vendors to accelerate andinfluence the development of commodity parts, these research investments will impact computing at all scales, ranging
from the largest scientific computers and data centers to department-scale computing to home computers and laptops.
Public-private partnership remains vital as we push our state-of-the-art fabrication techniques to their limit to develop an
exascale-capable (a billion billion operations per second) system while simultaneously preparing for what follows the end
the current technology.
Maximizing the benefits of U.S. leadership computing in the coming decades will require an effective national response toincreasing demands for computing capabilities and performance, emerging technological challenges and opportunities, andcompetition with other nations. As one of the leading Federal agencies, DOE will sustain and enhance its support for HPC
research, development, and deployment as part of a coordinated Federal strategy guided by four principles:

Deploy and apply new HPC technologies broadly for economic competitiveness and scientific discovery.
Foster public-private partnerships, relying on the respective strengths of government, industry, and academia tomaximize the benefits of HPC.
Draw upon the strengths of and seek cooperation among all executive departments and agencies with significant
expertise or equities in HPC while also broadly collaborating with industry and academia.
Develop a comprehensive technical and scientific approach to rapidly transition research on hardware, system software,development tools, and applications into production.

Within the context of this coordinated Federal strategy, the DOE Office of Science (SC) and the DOE National Nuclear
Security Administration (NNSA) are overseeing an ECI. The ECI, which began in FY 2016, is a partnership between SC anda

Final report from the High Performance Computing Users Conference: Supercharging U.S. Innovation & Competitiveness,held in July 2004.
Science/Advanced Scientific Computing Research
FY 2018 Congressional Budget Justification
17

NNSA to perform the research and development (R&D) necessary to overcome key exascale challenges in parallelism,
energy efficiency, and reliability, leading to intended deployment of exascale systems in 2021. The ECI’s goal for an exascalecapable system is a fifty-fold increase in sustained performance over today’s computing capabilities, with applications that
address next-generation science, engineering, and data problems. The ECI focuses on delivering advanced simulation
through an exascale-capable computing program, with an emphasis on sustained performance on science and national
security mission applications and increased convergence between exascale and large-data analytic computing.
The SC FY 2018 Budget Request funds two components of the ECI: planning, site preparations, and non-recurring
engineering at the Leadership Computing Facilities (LCF) to prepare for intended deployment of at least one exascale system
in 2021, and the ASCR-supported Office of Science Exascale Computing Project (SC-ECP), proposed in the FY 2017 Request
and again in this FY 2018 Request, which includes only the R&D activities required to develop exascale-capable computers.
The scope of the SC-ECP has three focus areas:Hardware Technology: The Hardware Technology focus area supports vendor-based R&D activities required to deploy
at least two exascale systems with diverse architectural features. Within this focus area, a node design effort targets
component technologies needed to build exascale nodes, including the required software, while a system design effort
performs the engineering and R&D activities required to build a full exascale computer and the required systems
software;
System Software Technology: The System Software Technology focus area spans low-level operational software toprogramming environments for high-level applications software development, including the software infrastructure to
support large data management and data science for the DOE at exascale; andApplication Development: The Application Development focus area includes: working with scientific application areas
to address the challenges of extreme parallelism, reliability and resiliency, deep hierarchies of hardware processors andmemory, scaling to larger systems, and data-intensive science.

The SC-ECP will be managed following the principles of DOE Order 413.3B, Program and Project Management for theAcquisition of Capital Assets, which has been used by SC for the planning, design, and construction of all of its major
projects, but tailored to address the challenges of this fast-paced, research focused, public-private, HPC project.
Overall project management for SC-ECP will be conducted via a Project Office that has been established at Oak Ridge
National Laboratory (ORNL), which has considerable expertise in developing computational science and engineering
applications and in managing HPC facilities, both for the Department and for other federal agencies. ORNL also has
experience in managing distributed, large-scale scientific research projects, such as the Spallation Neutron Source project. A
Memorandum of Agreement has been signed between the six DOE national laboratories participating in SC-ECP: Lawrence
Berkeley National Laboratory (LBNL), ORNL, Argonne National Laboratory (ANL), Lawrence Livermore National Laboratory(LLNL), Los Alamos National Laboratory (LANL) and Sandia National Laboratories (SNL), and the Project Office is now
executing the project and coordinating among partners.
Highlights of the FY 2018 Budget Request
The FY 2018 Budget Request for ASCR increases our investments in the ECI with the intention to accelerate the project anddeliver at least one exascale-capable system in 2021. To ensure continued progress during and after the exascale project,
this Request also maintains support for ASCR’s fundamental research in Applied Mathematics, Computer Science, andComputational Partnerships. Funding for the ASCR facilities supports continued operations of the upgraded 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). Funding also supports initiation of an
upgrade of the ESnet and site preparations at the LCFs in support of an intended 2021 delivery of at least one exascalecomputing system.
Mathematical, Computational, and Computer Sciences Research
Recognizing that Moore’s Law (microchip feature sizes reduces by a factor of two approximately every two years) is nearing
an end due to limits imposed by fundamental physics, ASCR began new activities in FY 2017 to explore future computing,such as quantum information, that are not based on silicon microelectronics. In FY 2018, ASCR will continue the researchand computational partnerships with the Basic Energy Sciences (BES), Biological and Environmental Research (BER) and HighEnergy Physics (HEP) programs aimed at understanding the challenges that quantum information and neuromorphic
Science/Advanced Scientific Computing Research
FY 2018 Congressional Budget Justification18

technologies pose to DOE mission applications and to identify the hardware, software, and algorithms that will need to be
developed for DOE mission applications to harness these emerging technologies.
Activities in Applied Mathematics and Computer Science provide the foundation for increasing the capability of the national
HPC ecosystem. In FY 2018, these activities will continue to develop the methods, software, and tools to ensure DOE
applications can fully exploit the most advanced computing systems available today and use HPC systems for data-intensive
and computational science at the exascale and beyond.
Software, tools, and methods developed by these core research efforts are used by the Scientific Discovery throughAdvanced Computing (SciDAC) computational partnerships, which are being recompeted and expanded in FY 2017. This
allows the other scientific programs in SC to more effectively use the current and immediate next generation HPC facilities.
The focus of the SciDAC portfolio will continue to be on developing the mission critical applications of the other SC
programs. These efforts will be informed by the research results emerging from the ECI and will, whenever possible,
incorporate the software, methods, and tools developed by that initiative.
The Next Generation Networking for Science activity will be eliminated. Collaboratory efforts, currently supported by thisactivity, will be supported by computational partnerships to strengthen the interconnectivity of these efforts. Networking
R&D will be supported by the High Performance Network Facilities and Testbeds activity and will focus on the unique needsof the ESnet in support of a significant upgrade of the ESnet to address the increased data flows from the exascale systems
and other SC user facilities.
High Performance Computing and Network Facilities
In FY 2018, the LCFs will continue to deliver HPC capabilities for large scale applications to ensure that the U.S. researchcommunity and DOE’s industry partners continue to have access to the most capable supercomputing resources in theworld. The OLCF will begin operating the new IBM Summit system to allow early science users to harness up to 200
petaflops of sustained performance while beginning preparation for an exaflop upgrade in 2021. The ALCF upgrade projectwill shift toward an advanced architecture, particularly well-suited for machine learning applications capable of more thanan exaflop performance when delivered. This will impact site preparations and requires significant new non-recurring
engineering efforts with the vendor to develop features that meet ECI requirements and that are architecturally diverse
from the OLCF exascale system.
The NERSC will continue operations of the NERSC-8 supercomputer, named Cori, which has expanded the capacity of the
facility to approximately 30 petaflops. To keep pace with the growing demand for capacity computing to meet mission
needs, the FY 2018 Request supports site preparations and non-recurring engineering to deploy NERSC-9 in 2020, which will
have three to five times the capacity of NERSC-8.
Given the significant external competition for trained workforce across the ASCR portfolio and the need to develop theworkforce to support the accelerated timeline for the delivery of an exascale system, the Research and Evaluation
Prototypes (REP) activity will continue to support the Computational Sciences Graduate Fellowship at $10,000,000 in
FY 2018. Experienced computational scientists who assist a wide range of users in taking effective advantage of theadvanced computing resources are critical assets at both the LCFs and NERSC. To address this DOE mission need, ASCR
continues to support, within ASCR facilities funding, post-doctoral training program for high end computational science andengineering at the facilities through ASCR facilities funding. In addition, the three ASCR HPC user facilities will continue toprepare their users for future architectures.
ASCR also continues to support the future computing technologies testbed activity through REP. This research activity is
focused on exploring the challenges and opportunities of quantum computing, a promising but currently experimental
computing architecture. These efforts are in partnership with industry and the quantum research community.
In FY 2018, ESnet will continue to provide networking connectivity for large-scale scientific data flows. The last significant
upgrade of the ESnet was in 2010 and some links are reaching the end of their life-span. In addition, the near-term delivery
of exascale and sharply increased data rates from several other SC facilities means that the demand for data movement will
exceed the cost effective capabilities of ESnet’s rapidly aging technology. Therefore, the ESnet has an approved Mission
Need Statement (Critical Decision-0) to initiate a significant upgrade project in FY 2018 that will incorporate new opticaltechnologies and increase core capacity to more than one terabit (one trillion bits) per second - an increase of 2-10 times
Science/Advanced Scientific Computing Research
FY 2018 Congressional Budget Justification19

current capacity at significantly lower per-wave deployment costs. This activity will also support all of the critical researchnecessary to deploy these technologies with continued 99.999% reliability and enhanced cyber security protections.
Exascale Computing
The ASCR FY 2018 Budget Request includes $346,580,000 to significantly accelerate the development of exascale-capable
computing systems and with the intention to deploy these systems in 2021 to meet national needs through the SC’s
Exascale Computing Project (SC-ECP). Exascale computing systems, capable of at least one billion billion (1 x 1018)
calculations per second, are needed to advance science 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 tosupport national security objectives and energy technology advances in DOE. Exascale systems’ computational capabilities
are also needed for increasing data-analytic and data-intense applications across the DOE science and engineering programs
and other Federal organizations that rely on large-scale simulations, e.g., the Department of Defense and the National
Institutes of Health. The importance of exascale computing 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 thedevelopment of commodity parts, these research investments will impact computing at all scales, ranging from the largest
scientific computers and data centers to Department-scale computing to home computers and laptops.
Exascale computing is a central component of 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 primary goal of the ECI in SC is to develop the technologies needed to deploy an exascale computing capability toadvance the Department’s science missions into the next decade. This will require major advances in technology, the mostimportant of which are increased parallelism, energy efficiency, and reliability, which are needed for scalable use of thesecomputing systems.
Recent information gathered from U. S. vendors and results from previous DOE investments in the Design Forward and Fast
Forward pre-exascale activities have identified opportunities to accelerate our exascale efforts to keep pace with foreigncompetition. As shown in the following table, with the $346,580,000 SC ECI Request, SC intends to fund the acceleration of
the research development of an exascale platform based on an advanced architecture, with the intention to deploy in 2021
at ANL, followed by a second exascale-capable system with a different advanced architecture at ORNL:
$196,580,000 for the ECP project to accelerate research and the preparation of applications, develop a software
stack for both exascale platforms, and support additional co-design centers in preparation for exascale system
deployment in 2021.
$150,000,000 in LCF activity to begin planning, non-recurring engineering, and site preparations for the intended
deployment of at least one exascale system in 2021. Deployment of exascale systems will be through the LCFs aspart of their usual upgrade processes.

This approach will reduce the risk of the project and expand the range of applications able to effectively utilize thesecapabilities in 2021.
FY 2018 Crosscuts ($K)
ECI
346,580

Advanced Scientific Computing Research

Science/Advanced Scientific Computing Research20

FY 2018 Congressional Budget Justification

Advanced Scientific Computing Research
Funding ($K)

FY 2016 Enacted a
Mathematical, Computational, and Computer Sciences Research
Applied Mathematics
Computer Science
Computational Partnerships
Next Generation Networking for Science
SBIR/STTR
Total, Mathematical, Computational, and Computer Sciences
Research
High Performance Computing and Network Facilities
High Performance Production Computing
Leadership Computing Facilities
Exascale (non-add)
Research and Evaluation Prototypes
High Performance Network Facilities and Testbeds
SBIR/STTR
Total, High Performance Computing and Network Facilities
Exascale Computing
17-SC-20 Office of Science Exascale Computing Project (SC-ECP)
Total, Advanced Scientific Computing Research

FY 2017
Annualized CR b

FY 2018 Request

FY 2018 vs
FY 2016

42,31839,16034,336
20,591
6,181

–
–
–
–
–

30,10429,296
41,2680
11,261-12,214-9,864+6,932-20,591+5,080142,586–

111,929-30,657

86,000
182,5170
156,820
38,04015,037478,414

–
–
–
0
–
–
–
–

80,000249,321(150,000)
24,45245,00014,728413,501-6,000+66,804+150,000-132,368+6,960-309-64,91300

196,580+196,580

621,000

619,819722,010+101,010

SBIR/STTR funding: FY 2016 Enacted: SBIR $18,450,000 and STTR $2,768,000
 FY 2018 Request: SBIR $22,785,000 and STTR $3,204,000a

The FY 2016 Enacted level includes SBIR and STTR and reflects updates through the end of the fiscal year.
FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above, below that level, a dash (-) is shown.
Science/Advanced Scientific Computing Research
FY 2018 Congressional Budget Justification
21bAdvanced Scientific Computing Research
Explanation of Major Changes ($K)
FY 2018 vs
FY 2016
Mathematical, Computational, and Computer Sciences Research: The Computer Science and Applied Mathematics activities will increase theiremphasis on data-intensive science and initiate new efforts in machine learning to increase the impact of data generated in extreme-scale
simulations and by Office of Science user facilities. The Computational Partnerships activity will continue to infuse the latest developments inapplied math and computer science into the strategic applications of the Office of Science to get the most out of the leadership computing
systems. Investments will increase for future computing technologies such as quantum information systems in partnership with BES, BER, and HEP.
The Next Generation Networking for Science activity will be eliminated. Collaboratory efforts currently supported by this activity will be supported
by computational partnerships to strengthen the interconnectivity of these efforts. Networking-related R&D will be supported within the High
Performance Network Facilities and Testbeds and will focus on the unique needs of the ESnet in support of a significant upgrade to handle theincreased data flows from the exascale systems and other Office of Science user facilities.
High Performance Computing and Network Facilities: Increased facilities funding initiates activities with the intention to deploy an exascale system at
the ALCF in 2021 and to begin preparations at the OLCF for an exascale system that is architecturally distinct to follow in 2022. Funding also
supports operations, including increased power costs at all facilities. Research and Evaluation Prototypes funding will support quantum computing
testbeds and the Computational Sciences Graduate Fellowship at current levels. High Performance Network Facilities and Testbeds supports
initiation of a significant upgrade, ESnet 6, to ensure that networking and data transfer capacity keep pace with increasing demand as new facilities
come online, including the first exascale machine in 2021.
Exascale Computing: Delivery of at least one exascale system based on an advanced architecture is planned for 2021, with a second exascale systemwith a different architecture to also follow in 2022. The FY 2018 budget also supports accelerated application and software development for botharchitectures, together with additional co-design centers, applications, partnerships with the vendors, and testbeds to ensure development of
hardware and software keep pace.
Total, Advanced Scientific Computing Research

Science/Advanced Scientific Computing Research

22-30,657-64,913+196,580+101,010

FY 2018 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. Growing areas of collaboration will be in the area ofdata-intensive science and readying applications for exascale. ASCR continues to have a strong partnership with NNSA forachieving the Department’s goals for exascale computing. In April 2011, ASCR and NNSA strengthened this partnership bysigning a memorandum of understanding for collaboration and coordination of exascale research within the Department.
Through the National Information Technology Research and Development Subcommittee of the National Science andTechnology Council’s (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 2018, cross-agency
interactions and collaborations will continue in coordination with the Office of Science and Technology Policy.
Program Accomplishments
Early Exascale Investments Pay Off for U.S. Computing Industry. An exascale architecture with enhanced integration ofprocessors and memory developed as part of the FastForward 2 program has already improved both performance andpower efficiency in one vendor’s data centers and graphics products. The FastForward funding allowed the vendor to take aholistic approach that includes detailed analysis of innovative computing solutions, acceleration of key hardware andsoftware technologies, and co-design with DOE laboratories that would not otherwise have been possible. Additional
anticipated benefits include development of power management techniques that will allow processors to optimize power
and performance based on application and user requirements; better programming environments, tools, and libraries tosimplify parallel programming and improve performance for large-scale heterogeneous systems; and outstanding
opportunities for students and early-career scientists to work in industry in advanced technology areas. The partnerships
between U.S. vendors and DOE simultaneously advances DOE’s science and national security missions and U.S.
competitiveness by helping vendors develop computing infrastructure solutions that enhance the business case for
deploying platforms for HPC, data analytics, and other high-growth markets. Studies have shown that growth in computers
and microelectronics yields the biggest returns in both GDP and high quality jobsa.
Reducing the Damage Caused by Industrial Fires. Warehouse fires are the leading cause of commercial property damage,
responsible for 40% of all industry property loss at a cost of approximately $188 million per year. Understanding how fires
spread has the potential to save both business owners and insurance companies hundreds of millions of dollars. However,some of the most destructive fires – those that take place in mega-warehouses with ceilings up to 100 ft. high and afootprint in excess of 100,000 sq. ft.– are among the most difficult to study because they cannot be replicated in a test
facility. To solve this problem, one of the world’s largest commercial and industrial insurance companies partnered with the
Oak Ridge Leadership Computing Facility to adapt an open-source fluid dynamics code to include the complex processes
that occur during an industrial fire, including soot formation and sprinkler spray dynamics. After running their highresolution FireFOAM code on the Oak Ridge Leadership Computing Facility’s Titan machine to learn how to stack storageboxes on pallets to impede the spread of horizontal flames, the team incorporated the SciDAC-developed Adaptable I/O
System (ADIOS) into FireFOAM to improve its efficiency in moving data on and off the supercomputer. The new andimproved code is now being used to simulate other commodities stored in warehouses, starting with large paper rolls. Boththe results and the code are shared publicly to promote the improvement of fire protection standards across industry.
New Algorithm for Incompressible Fluid Flow Modeling. The Navier-Stokes equations for fluid flow are used for applications
ranging from special effects in movies to industrial design. By solving these complex equations, researchers can gain insight
into how fast a fluid is moving through its environment, how much pressure it is under, and the forces it exerts on its
surroundings. Using the NERSC, a researcher at LBNL reformulated the incompressible Navier-Stokes equations to makethem more amenable to numerical computation and overcome challenges in resolving the intricate fluid dynamics nearmoving boundaries such as bubbles, swimming organisms, and surface waves. The new algorithms capture changing smallscale features near these boundaries with unprecedented detail and provide additional information about how the tiny
features influence the fluid far away from the boundary. The resulting cheaper computational models and increased
resolution capabilities will allow researchers to study even more complex phenomena such as blood flow in the pumpinga

A Nov 2016 Deutsche Bank Report (Zhang and Zeng) estimated that a 10% reduction in the U.S. trade deficit in “computersand electronics” would add $18 billion to the U.S. economy.

Science/Advanced Scientific Computing Research

23

FY 2018 Congressional Budget Justification

heart, the ejection of ink droplets in consumer inkjet printers, and optimal propeller design. This work is described in theJune 10, 2016 issue of Science Advances a.
Modeling Mini-Proteins to Design More Effective Drugs with Minimal Side Effects. Therapeutic drugs typically work byattaching themselves to, and thus disabling, disease-inducing molecules in the human body. The perfect drug has a stablestructure that will move easily through the body to bind to its intended target and nothing else. Many of the therapeutic
drugs in common use today are small molecules that dissolve readily in the body but bind to unintended targets in a mannerthat can lead to harmful side effects. Drugs based on protein molecules that have a highly specific structure can minimizeside effects at the cost of being too large to pass through membranes that are their entry route into the human body.
Peptides – molecules derived from the same building blocks as proteins but many times smaller – may strike the perfectbalance, as long as they include an additional man-made component to stabilize their structure. To evaluate a peptide foruse as a therapeutic drug, researchers must perform hundreds of millions of simulations to explore how the peptide will fold
and bind to disease-inducing molecules. Researchers at the University of Washington, funded by NIH and NSF, have put the
ALCF’s more than 780,000 cores to use to refine their technique for evaluating and optimizing over thousands of different
peptide designs. The team’s long-term goal is to create a database of peptides to assist in future drug design efforts. This
work was published in Nature Magazine in October 2016 b.
Network Pilot Quintuples Data Transfer Rates. Over half of the researchers using the General Medical Sciences and National
Cancer Institute Structural Biology (GM/CA) Facility at ANL’s Advanced Photon Source access the facility from their homeinstitutions. While remote access allows a wider range of researchers to use the facility’s intense, tunable x-ray microbeams,
remote users often cannot analyze their data until after their beamtime is over because it takes too long to move the large
data files to a computer capable of processing them. A pilot program to implement the Science DMZ – an ESnet networkmodel tailored to the needs of high-performance science applications – at the GM/CA facility demonstrated data transfer
rates over five times faster between the facility and Purdue University for most file sizes. Additional tests are planned at five
more remote sites. Integrating the lessons learned in this ESnet pilot into regular operations will simplify the facility’s
support for the beamline and lead to increased scientific productivity.

Interfacial gauge methods for incompressible fluid dynamics. Science Advances 10 Jun 2016: Vol. 2, no. 6, e1501869
DOI: 10.1126/sciadv.1501869b
http://www.nature.com/nature/journal/v538/n7625/abs/nature19791.html
Science/Advanced Scientific Computing Research
FY 2018 Congressional Budget Justification
24aAdvanced Scientific Computing Research
Mathematical, Computational, and Computer Sciences Research
Description
The Mathematical, Computational, and Computer Sciences Research subprogram supports research activities to effectively
use the current and future generations of DOE’s computer and networking capabilities. Computational science isincreasingly central to progress at the frontiers of science and to our most challenging engineering problems. Accordingly,
the subprogram delivers:







new mathematics required to more accurately model systems involving processes taking place across a wide range oftime and length scales;
software, tools, and workflows to efficiently and effectively harness the potential of today’s HPC systems and advanced
networks for science and engineering applications;operating systems, data management, analyses, machine learning, representation model development, user interfaces,
and other tools required to make effective use of future-generation supercomputers and the data sets from current andfuture scientific user facilities;
computer science and algorithm innovations that increase the productivity, energy efficiency, and resiliency of futuregeneration supercomputers; andcollaboration tools to make scientific resources readily available to scientists, in university, national laboratory, andindustrial settings.

The research program will develop methods, software, and tools to use HPC systems for data-intensive and computational
science at the exascale and beyond. This requires a focus on increased parallelism, data movement, resilience, and machinelearning in digital computing, and exploratory research in future computing paradigms that have the potential torevolutionize scientific computing in the post-exascale era.
Deriving scientific insights from the vast amounts of data flowing from SC user facilities as well as the output of extremescale simulations will require a sophisticated tool suite for data manipulation, visualization, pattern recognition, andanalysis. Data-intensive science additionally requires a focused research effort to develop the necessary theories, softwaretools, and technologies to manage the full data lifecycle from generation or collection through capturing the historic recordof the data, archiving, and sharing them. In FY 2018, ASCR’s research program will increase its emphasis on data-intensive
science, including new efforts to exploit machine learning and other adaptive algorithms to enhance the impact of scientific
data generated across SC.
Applied Mathematics
The Applied Mathematics activity supports the R&D of applied mathematical models, methods, and algorithms forunderstanding complex natural and engineered systems related to DOE’s mission. These mathematical models, methods,
and algorithms are the fundamental building blocks for describing complex physical and engineered systems
computationally. This activity’s research underpins all of DOE’s modeling and simulation efforts. Significant innovation inapplied mathematics is needed to realize the potential of future HPC systems. High-fidelity modeling and simulation require
a number of new algorithmic techniques and strategies supported by this activity, including adaptive algorithms andmachine learning, advanced solvers for large linear and nonlinear systems of equations, time integration schemes, multiphysics coupling, methods that use asynchrony or randomness, adaptively evolving mesh techniques, algorithmic resilience,and uncertainty quantification.
Computer Science
The Computer Science activity supports research on extreme-scale computing and extreme-scale data. Information fromcomputer vendors indicates that because of power constraints, data movement, rather than arithmetic operations, will be aconstraining factor for future systems. Memory per core is projected to decline sharply due to power requirements, and thecost of memory relative to CPUs and the performance growth of storage systems will continue to lag behind thecomputational capability of the systems. Multi-level storage architectures that span multiple types of memory hardware are
anticipated and will require research within this activity to develop new approaches for data management and analysis.
Significant innovation in computer science is needed to realize the computational and data-analytic potential of future HPC
systems and other scientific user facilities in a timeframe consistent with their anticipated availability. There will be an
Science/Advanced Scientific Computing Research
FY 2018 Congressional Budget Justification25

increased emphasis on data-intensive science challenges with particular attention to adaptive algorithms and machinelearning, the intersection with exascale computing challenges, and the unique needs of DOE scientific user facilities
including data management and cyber security. There also will be significant efforts in software tools, user interfaces, the
HPC software stack that can dynamically deal with time-varying energy efficiency and reliability requirements–including
operating systems, file systems, compilers, and performance tools–and visualization and analytics tools that scale toextremely massive datasets. These efforts are essential to ensure DOE mission applications are able to use commerciallyavailable HPC hardware.
Computational Partnerships
The Computational Partnerships activity supports the SciDAC program, which accelerates progress in scientific computing
through partnerships among applied mathematicians, computer scientists, and scientists in other disciplines. SciDAC focuseson the high-end of high-performance computational science and engineering and addresses two challenges: to broaden thecommunity and thus the impact of HPC, particularly to address the Department’s missions, and to ensure that progress at
the frontiers of science is enhanced by advances in computational technology, most pressingly, the emergence 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 andhigh-end computing systems at a level of fidelity needed to simulate real-world conditions. The SciDAC institutes bridge coreresearch efforts in algorithms, methods, software, and tools with the need of the SciDAC applications supported inpartnership with the other SC programs. Current SciDAC applications include chemistry, materials science, fusion research,high energy physics, nuclear physics, astrophysics, earth systems modeling, and accelerator physics. In FY 2018 these efforts
also include the collaboratory partnerships previously supported by the Next Generation of Networking for Science. These
efforts enable large distributed research teams to share data and develop tools for real-time analysis of the massive dataflows from Office of Science scientific user facilities.
In addition to SciDAC, the Computational Partnerships activity supports interdisciplinary teams in partnership with BES, BER,
and HEP to develop algorithms and applications targeted for future computing platforms, including quantum information
systems.

Science/Advanced Scientific Computing Research

26

FY 2018 Congressional Budget Justification

Advanced Scientific Computing Research
Mathematical, Computational, and Computer Sciences Research
Activities and Explanation of Changes
FY 2016 Enacted
Mathematical, Computational, and Computer
Sciences Research $142,586,000
Applied Mathematics $42,318,000
Applied Mathematics continued efforts to develop
new algorithmic techniques and strategies thatextract scientific advances and engineering insightsfrom massive data for DOE missions. Applied
Mathematics addressed many of the challenges of
exascale including: advanced solvers, uncertainty
quantification, algorithmic resilience, and strategies
for reducing global communications.
Computer Science $39,160,000
Computer Science continued efforts to develop
software, new programming models and metrics forevaluating system status. This activity primarily
focused on addressing the challenges of exascale anddata-intensive science and emphasized efforts topromote ease of use, increased parallelism, energy
efficiency, and reliability, and ensured that research
efforts are tightly coupled to application requirements
and developments in industry, particularly those
identified by the co-design centers and developed inpartnerships supported by the Research and
Evaluation Prototypes activity.

Science/Advanced Scientific Computing Research

Explanation of Changes
FY 2018 vs FY 2016

FY 2018 Request$111,929,000-$30,657,000$30,104,000
Applied Mathematics will continue its core programsin new algorithmic techniques and strategies thatextract scientific advances and engineering insightsfrom massive data for DOE missions. Adaptivealgorithms and machine learning will be added to thesuite of tools under development for optimizing thescientific output of data-intensive programs across SC.

-$12,214,000
Decrease reflects transfer of exascale related funding
to the SC-ECP and does not constitute a change inscope for these activities.

$29,296,000
Computer Science will continue efforts to develop
software, new programming models, new operating
systems, and efforts to promote ease of use. Activities
to support development of future computing
technologies will also continue, and a new effort will
be initiated to exploit machine learning techniques tobetter understand data generated both by HPC
simulations and SC facilities.

-$9,864,000
Decrease reflects transfer of exascale related funding
to the SC-ECP and does not constitute a change inscope for these activities.

27

FY 2018 Congressional Budget Justification

FY 2016 Enacted

FY 2018 Request

Computational Partnerships $34,336,000
The SciDAC Institutes were recompeted at the end of
FY 2016. These Institutes continue to provide thebridge between the core research program and the
DOE science applications. The development of SciDAC
tools and resources by the Institutes is primarily foruse on computational systems, such as those existingand planned for at the Oak Ridge and Argonne LCFs,
the NERSC, and similar world-class computing
facilities over the next five years.

$41,268,000
The SciDAC institutes continue to play a key role inassisting DOE mission critical applications toeffectively use ASCR’s existing production and LCFs
while the newly-awarded fourth-generation SciDAC
partnerships focus on preparing applications toharness the potential of ASCR’s planned upgrades to
its computing facilities. Partnerships initiated in FY
2017 to explore potential impacts of future computing
technologies across SC continue.

In FY 2018, this effort also supports collaboratory
partnerships previously included in Next Generation
Networking for Science.
Next Generation Networking for Science $20,591,000 $0
The Next Generation Networking for Science activity
The Next Generation Networking for Science activity
continued to work closely with SC user facilities andwill be eliminated through consolidation with otherapplications, to develop the necessary tools—
ASCR activities and successful completion of several
networking software, middleware and hardware—to projects in FY 2018.
address the challenges of moving, sharing andvalidating massive quantities of data via next
generation optical networking technologies. Thisfocus allowed DOE scientists to productively
collaborate regardless of the geographical distance
between scientists and user facilities or the size of thedata.
SBIR/STTR $6,181,000$11,261,000
In FY 2016, SBIR/STTR funding is set at 3.45% of non- In FY 2018, SBIR/STTR funding is set at 3.65% of noncapital funding.
capital funding.

Science/Advanced Scientific Computing Research

28

Explanation of Changes
FY 2018 vs FY 2016+$6,932,000
Increase reflects the transfer of some funding fromthe Next Generation Networking for Science activity
to support collaboratory partnerships.
Funding also increases to support interdisciplinary
partnerships to develop algorithms and applications
for quantum information systems.

-$20,591,000
Collaboratory efforts, currently supported by thisactivity, will be supported by the computational
partnerships activity to strengthen theinterconnectivity of these efforts.
Networking R&D will be supported by the High
Performance Network Facilities and Testbeds activity
and will focus on the unique needs of the ESnet insupport of a significant upgrade of the ESnet toaddress the increased data flows from the exascale
systems and other Office of Science user facilities.
+$5,080,000

FY 2018 Congressional Budget Justification

Advanced Scientific Computing ResearchHigh Performance Computing and Network Facilities
Description
The High Performance Computing and Network Facilities subprogram delivers forefront computational and networking
capabilities. These include high performance production computing at NERSC at LBNL and LCFs at ORNL and ANL. These
computers, and the other SC research facilities, generate many petabytes of data each year. Moving data to where it isneeded requires advanced scientific networks and related technologies provided through High Performance Network
Facilities and Testbeds, which includes the ESnet. Finally, operation of the facilities also includes investments to ensure thefacilities remain state-of-the-art and can accept future systems such as electrical and mechanical system enhancements.
The Research and Evaluation Prototypes (REP) activity addresses the challenges of next generation computing systems. By
actively partnering with the research community, including industry, on the development of technologies that enable nextgeneration machines, ASCR ensures that commercially available architectures serve the needs of the scientific community.
The REP activity also prepares researchers to effectively use future generations of scientific computers, including novel
technologies, and seeks to reduce risk for future major procurements.
Allocation of computer time at ASCR facilities follows the peer-reviewed and public-access model used by other SC scientificuser 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 high performance production and leadershipsystems.
High Performance Production ComputingThis activity supports NERSC, which delivers high-end production computing services for the SC research community.
Approximately 6,000 computational scientists in about 800 projects use NERSC annually to perform scientific researchacross a wide range of disciplines including astrophysics, chemistry, earth systems modeling, materials, high energy andnuclear physics, fusion, and biology. NERSC users come from nearly every state in the U.S., with about 49% based inuniversities, 46% in DOE laboratories, and 5% in other government laboratories and industry. NERSC’s large and diverse userbase requires an agile support staff to aid users entering the HPC arena for the first time, as well as those preparing codes torun on the largest machines available at NERSC and the LCFs. In FY 2015, NERSC moved into the new Computational
Research and Theory building located on the LBNL campus.
NERSC is a vital resource for the SC research community and is consistently 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 years. NERSC regularly gathers requirements from SC domain programs through a longestablished, robust process and uses these requirements to inform upgrade plans. These requirements activities are also
vital to planning for SciDAC and other ASCR efforts to prioritize research directions and inform the community of newcomputing trends, especially as the computing industry moves toward exascale computing.
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 Research and
Evaluation Prototypes and ASCR research efforts. Another LCF strength is the staff, which 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 tooland library developers. Support staff experience is critical to the success of industry partnerships to address the challengesof next-generation computing.
The Oak Ridge Leadership Computing Facility’s (OLCF) 27 petaflop (pf) system was one of the most powerful computers in
the world for scientific research and was ranked number three on the November 2016 Top 500 list, just below the mostpowerful supercomputers in China. a The FY 2018 upgrade of this facility to a 200 pf system will challenge the leadership ofa

http://www.top500.org/lists/2016/11/
Science/Advanced Scientific Computing Research29

FY 2018 Congressional Budget Justification

the world’s fastest systems. Early science applications at the OLCF, including large eddy simulation of turbulent combustionin complex geometries, 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 next-generation nanochemistry for atomically precise manufacturing, simulation of cellularand neural signaling, simulations of neutron transport in fast-fission reactor cores, and earthquake simulations, are scaling
to make effective use of the new capability. OLCF staff shares its expertise with industry to broaden the benefits ofpetascale computing for the nation. For example, OLCF works with industry to reduce the need for costly physicalprototypes and physical tests in the development of high-technology products. These efforts often result in upgrades to inhouse computing resources at these U.S. companies.
The Argonne Leadership Computing Facility (ALCF) operates a 10-pf IBM Blue Gene Q (Mira), developed through a joint
research project with support from the NNSA, industry, and ASCR’s REP activity. This HPC system achieves high performancewith relatively lower electrical power consumption than other current petascale computers. The ALCF also operates an 8.5
pf Intel-based machine (Theta) to prepare their users for the ALCF-3 upgrade in 2019-2020.
The ALCF and OLCF systems are architecturally distinct, consistent with DOE’s strategy to foster a diversity of capabilities
that provides the Nation’s HPC user community 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 to industry, for example, helping scientists and engineers to understand the fundamental physics of turbulent
mixing to transform product design and to achieve improved performance, lifespan and efficiency of aircraft engines.
The demand for 2016 INCITE allocations at the LCFs outpaced the available resources by a factor of two with growth
expected to sharply increase upon the availability of upgrades.
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 allowed 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.
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) provides the national and international network and networking infrastructure
connecting DOE science facilities, experiments, and SC laboratories with other institutions connected to peer academic orcommercial networks. ESnet underpins large-scale, data-intensive science in the U.S. The volume of data transferred by
ESnet is growing roughly 66% per year, twice the rate of the commercial Internet. ESnet supports the data requirements ofall SC facilities, including the increased bandwidth and high-traffic links added in FY 2017 as well as transatlantic access toLarge Hadron Collider data and direct science engagement efforts to improve end-to-end network performance between
DOE facilities and U.S. universities. The costs for ESnet are dominated by operations, including maintaining the fiber optic
backbone and refreshing switches and routers on the schedule needed to ensure the 99.999% reliability required for largescale scientific data transmission. The Request includes additional funding to build a next-generation network, ESnet 6,
which will meet the growing data needs of the SC facilities, including the intention to deploy the first exascale machine in
2021. This activity will also support all of the critical research necessary to deploy these technologies with continued
reliability with enhanced cyber security protections.

Science/Advanced Scientific Computing Research30

FY 2018 Congressional Budget Justification

Advanced Scientific Computing ResearchHigh Performance Computing and Network Facilities
Activities and Explanation of Changes
FY 2016 Enacted
High Performance Computing and Network Facilities$478,414,000
High Performance Production Computing$86,000,000
Supported installation, acceptance and operation of
the NERSC high-end capability systems (NERSC-7 andNERSC-8) including increased power costs, lease
payments, and user support and continuation of the
post-doctoral training program for high-end
computational science and engineering.

$413,501,000-$64,913,000$80,000,000-$6,000,000

The NERSC-8 system, named “Cori” after Nobel
Laureate Gerty Cori, will continue production
operations. Demand for production computing for the
SC programs continues to grow along with systemcapability and the rapid increase in data fromexperiments. In FY 2018, preparation for the 2020
delivery of NERSC-9, which will provide three to fivetimes the capacity of NERSC-8, will continue.
Leadership Computing Facilities $182,517,000$249,321,000
Supported operation and allocation of the 27-pf Titan Operation will continue at both LCF facilities while
system at the OLCF and the 10-pf Mira system at the
upgrades will proceed as planned.
The OLCF will install, test, provide early science
ALCF through INCITE and ALCC. This included lease
access, and transition the new IBM hybrid
payments, power, and user support. Also supported
supercomputer, called Summit, to operations in early
preparations—such as power, cooling and cabling at
the LCFs to support 75-200 pf upgrades at each facility FY 2018. This upgrade will provide 200 pf ofcomputing capability, or approximately five times theand continuation of the post-doctoral training
capability of the previous system, Titan. OLCF will also
program for high-end computational science andbegin site preparations to enable deployment of anengineering.
exascale system as early as 2021.

Leadership Computing Facility at ANL: $77,200,000
Science/Advanced Scientific Computing Research

Explanation of Changes
FY 2018 vs FY 2016

FY 2018 Request

Decrease reflects completion of site preparations for
NERSC-8. Operation of NERSC-8 and the NERSC-9
acquisition continue as planned.

+$66,804,000
Increase provides for planning and the initiation ofsite preparation activities and non-recurring
engineering to ready both facilities to deploy exascale
systems, with distinct architectures in 2021-2. Thisapproach reduces the risk of the exascale initiativeand broadens the community able to of utilize these
new capabilities.

In FY 2018, the ALCF will continue to provide access to
the 8.5-pf Intel Xeon interim system, called Theta,
deployed in early FY 2017 to transition ALCF users to
the new architecture. The ALCF will begin site
preparations and significant nonrecurring engineering
efforts to deploy a novel architecture capable ofdelivering more than an exaflop of computing
capability in 2022.
$100,000,000+$22,800,000

31

FY 2018 Congressional Budget Justification

Explanation of Changes
FY 2018 vs FY 2016

FY 2016 Enacted

FY 2018 Request

Leadership Computing Facility at ORNL: $105,317,000
Research and Evaluation Prototypes $156,820,000
REP supported efforts to improve the energy
efficiency and reliability of critical technologies suchas memory, processors, network interfaces andinterconnects. REP competitively selected R&D
partnerships with U.S. vendors to initiate the designand development of compute node and systemdesigns suitable for exascale systems, which was an
essential component of the Department’s exascalecomputing plan and a key step in the vendor’s
productization efforts.

$149,321,000$24,452,000
Availability of experienced and knowledgeable
workforce issues continues to be of vital importanceto ASCR’s current and planned facilities. The CSGF
program will play an increasingly important role as the
Exascale Initiative progresses and future computing
technologies mature. Therefore, support for the CSGF
within REP continues at $10,000,000 in FY 2018. This
activity will also provide increased support for the
future computing technology testbed focused on
quantum computing established in FY 2017.

+$44,004,000-$132,368,000
Decrease reflects transfer of exascale related funding
to the SC-ECP and does not constitute a change inscope for these activities while there is an increase tosupport additional quantum computing testbed
activities.

$45,000,000+$6,960,000

The Request supports operations and maintenance ofthe network and continued development of tools now
widely deployed through the DOE and university
systems in the US: Science DMZ, perfSONAR, Data
Transfer Nodes, and OSCARS.

Increase supports the ESnet 6 upgrade required tomeet SC data requirements through the mid-2020s
and supports related networking research previously
supported by the NGNS activity.

To emphasize the vital importance of the CSGF
program to the ASCR facilities and to our exascalegoals, Research and Evaluation Prototypes supported
the program at $10,000,000.
High Performance Network Facilities and Testbeds$38,040,000
ESnet operated the national and international
network infrastructure to support critical DOE science
applications, SC facilities and scientific collaborations
around the world through 100 gbps production
network and begin upgrade to 400-gbps testbed for
networking testing and research.

Science/Advanced Scientific Computing Research

Additionally, the Request supports applied networking
R&D, previously supported by the Next Generation
Networking for Science (NGNS) activity, necessary tomaintain ESnet's status as a world-leading scientificresearch network, and to support a network testbed
focused on prototyping and operationalizing future
network architectures such as Software-Defined
Networking and Named-Data Networking.
ESnet was last upgraded in 2010 and some technology
is no longer supported by the vendor. Additional
funds are therefore requested for the upgrade to
ESnet 6, which will provide a network for scientific32

FY 2018 Congressional Budget Justification

FY 2016 Enacted

FY 2018 Request

SBIR/STTR $15,037,000
In FY 2016, SBIR/STTR funding is set at 3.45% of noncapital funding.

data transfer with the capacity, reliability andresilience, and flexibility to meet the needs of the
Office of Science facilities and research community
through the mid-2020s.
$14,728,000
In FY 2018, SBIR/STTR funding is set at 3.65% of noncapital funding.

Science/Advanced Scientific Computing Research

33

Explanation of Changes
FY 2018 vs FY 2016-$309,000

FY 2018 Congressional Budget Justification

34

Advanced Scientific Computing Research
Exascale Computing
Description
The Office of Science Exascale Computing Project (SC-ECP) in the Exascale Computing subprogram captures the research
aspects of ASCR’s participation in the U. S. Department of Energy’s Exascale Computing Initiative (ECI), to ensure thehardware and software R&D, including applications software, for a exascale-capable system is completed in time to meetthe scientific and national security mission needs of the DOE in 2021. The deployment of these systems, including necessary
site preparations and non-recurring engineering, is supported by the Leadership Computing Facilities activity that will
ultimately house and operate the exascale systems. The ECI will execute a program, joint between SC and NNSA, 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 SC-ECP supports R&D for the development of exascale computers and is not a traditional construction project. The SCECP will be managed following the principles of DOE Order 413.3B, Program and Project Management for the Acquisition of
Capital Assets, 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 Argonne and Oak Ridge National
Laboratories and NERSC at LBNL.
The FY 2018 Request includes $196,580,000 for SC-ECP. These funds support the preparation of applications; and thedevelopment of a software stack for both platforms. Funding also supports additional co-design centers, vendor
partnerships, and testbeds in preparation for the intended deployment of an exascale system in 2021. Deployment of
exascale systems will be through the LCFs as part of their usual upgrade processes. $150,000,000 of additional ECI funding
is provided in the LCF activity to begin planning, non-recurring engineering, and site preparations for the intended delivery
of at least one exascale system as early as 2021.

Science/Advanced Scientific Computing Research

35

FY 2018 Congressional Budget Justification

Advanced Scientific Computing Research
Exascale Computing
Activities and Explanation of Changes
FY 2016 Enacted
17-SC-20 Office of Science Exascale Computing
Project (SC-ECP) $0
Research efforts that are on the critical path for the
ECI have previously been funded within Applied
Mathematics, Computer Sciences, Computational
Partnerships, and Research and Evaluation Prototypes
activities.

a

FY 2018 Request

Explanation of Changes
FY 2018 vs FY 2016

$196,580,000a+$196,580,000 a

FY 2018 funding will accelerate application andsoftware stack development in preparation for theintended delivery of an exascale system in 2021.

The increase reflects revision of ECP for the intendeddelivery of at least one exascale system as early as
2021. Application and software development isaccelerated, and additional codesign centers havebeen added to the project.

In addition, $150,000,000 of ECI funding is requested within the Leadership Computing Facilities activity to begin planning, non-recurring engineering, and site
preparations for intended deployment of at least one exascale system in 2021.
Science/Advanced Scientific Computing Research
FY 2018 Congressional Budget Justification
36

Office of Science
Advanced Scientific Computing Research
Performance Measures
In accordance with the GPRA Modernization Act of 2010, the Department sets targets for, and tracks progress toward, achieving performance goals for each program.
FY 2016

FY 2017

FY 2018

Performa ASCR Facility Operations - Average achieved operation time of ASCR user facilities as a percentage of total scheduled annual operation time
nce Goal(Measure)Target≥ 90 %≥ 90 %≥ 90 %

Result

Met

TBD

TBD

Endpoint Many of the research projects that are undertaken at the Office of Science’s scientific user facilities take a great deal of time, money, and effort to prepare andTarget regularly have a very short window of opportunity to run. If the facility is not operating as expected the experiment could be ruined or critically setback. In
addition, taxpayers have invested millions or even hundreds of millions of dollars in these facilities. The greater the period of reliable operations, the greater
the return on the taxpayers’ investment.

Performa ASCR Research - Discovery of new applied mathematics and computer science tools and methods that enable DOE applications to deliver scientific andnce Goal engineering insights with a significantly higher degree of fidelity and predictive power(Measure)TargetFund two teams to Identify at least
Support at least two machines learning efforts in both applied mathematics and computer science.
develop exascale one multiinstitutional teamnode designs.
to develop newmathematics for
DOE mission
focused grandchallenges at thenexus of multiple
computational
sub-domains suchas data-driven

Science/Advanced Scientific Computing Research

37

FY 2018 Congressional Budget Justification

discovery,
multiscalemodeling,
uncertainty
quantification, andadaptivealgorithms.
Result

Met

TBD

TBD

Endpoint Develop and deploy high-performance computing hardware and software systems through exascale platforms
TargetScience/Advanced Scientific Computing Research

38

FY 2018 Congressional Budget Justification

Advanced Scientific Computing Research
Capital Summary ($K)
Total

Prior Years

FY 2016 Enacted

FY 2017
Annualized CR a

FY 2018 Request

FY 2018 vs
FY 2016

n/a

n/a

5,700

–

10,000+4,300Capital operating expenses
Capital equipment

Funding Summary ($K)

Research
Scientific user facility operations
Other
Total, Advanced Scientific Computing Researcha

FY 2016 Enacted
293,225
306,557
21,218621,000

FY 2017 Annualized CRa–––
619,819

FY 2018 Request
321,700
374,321
25,989722,010

FY 2018 vs FY 2016
+28,475+67,764+4,771+101,010

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above, below that level, a dash (-) is shown.
Science/Advanced Scientific Computing Research
FY 2018 Congressional Budget Justification
39

Advanced Scientific Computing Research
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.

TYPE A FACILITIESNERSC
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hoursa

FY 2016 Enacted

FY 2017 Annualized CR a

FY 2018 Request

FY 2018 vs FY 2016

$86,000
5,608
N/A
8,585
8,585
N/A
N/A

$–
–
–
–
–
–
–

$80,000
6,000
N/A
8,585
8,585
N/A
N/A

-$6,000+392+0+0

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above, below that level, a dash (-) is shown.
Science/Advanced Scientific Computing Research
FY 2018 Congressional Budget Justification40

a

FY 2016 Enacted

FY 2017 Annualized CR a

FY 2018 Request

FY 2018 vs FY 2016

OLCF
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$105,317
1,064
N/A
7,008
7,008
N/A
N/A

–
–
–
–
–
–
–

$149,321
1,064
N/A
7,008
7,008
N/A
N/A

+$44,004+0

ALCF
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$77,200
1,434
N/A
7,008
7,008
N/A
N/A

–
–
–
–
–
–
–

$100,000
1,434
N/A
7,008
7,008
N/A
N/A

+$22,800+0

ESnet
Number of users b
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$38,040
N/A
N/A
8,760
8,760
N/A
N/A

–
–
–
–
–
–
–

$45,000
N/A
N/A
8,760
8,760
N/A
N/A

+$6,960

+0
+0

+0
+0

+0
+0

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above, below that level, a dash (-) is shown.
b
ESnet is a high performance scientific network connecting DOE facilities to researchers around the world; user statistics are not collected.
Science/Advanced Scientific Computing Research
FY 2018 Congressional Budget Justification
41

Total Facilities
Number of Users b
Achieved operating hours
Planned operating hours
Optimal hours
Percent of optimal hours cUnscheduled downtime hours

FY 2016 Enacted

FY 2017 Annualized CR a

FY 2018 Request

FY 2018 vs FY 2016

$306,557
8,106
N/A
31,361
31,361
N/A
N/A

–
–
–
–
–
–
–

$374,321
8,498
N/A
31,361
31,361
N/A
N/A+$67,764+392

FY 2018 Estimate
601
200
486
257

FY 2018 vs FY 2016
+17
+54
+26
+10

+0
+0

Scientific Employment

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

FY 2016 Enacted
584
146
460
247

FY 2017 Annualized CRa
–
–
–
–

a

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above, below that level, a dash (-) is shown.
b
Total users only for NERSC, OLCF, and ALCF.
c

For total facilities only, this is a “funding weighted” calculation FOR ONLY TYPE A facilities:dIncludes technicians, engineers, computer professionals and other support staff.
Science/Advanced Scientific Computing Research42∑𝑛𝑛
1 [(%𝑂𝑂𝑂𝑂 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛)×(𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜)]
𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑎𝑎𝑎𝑎𝑎𝑎 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜

FY 2018 Congressional Budget Justification

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

Significant Changes and Summary

Significant Changes
This Project Data Sheet (PDS) is an update of the FY 2017 PDS and does not include a new start.
The FY 2018 Request for SC-ECP is $196,580,000. The most recent DOE O 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, was approved on January 3, 2017. The estimated Total Project Cost (TPC) range of the SC-ECP
is $1.0 billion to $2.7 billion.
SummaryIn FY 2016, the President’s Budget Request included funding to initiate research, development, and computer-systemprocurements to deliver 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, the SC component of the ECI is partitioned into the Office of Science Exascale Computing Project (SC-ECP) withina new Exascale Computing subprogram in ASCR, and includes only those research and development (R&D) activities
required for the development of exascale-capable computers. Other activities related to the ECI but outside of the scope of
the R&D activities leading to exascale-capable computers are not within the SC-ECP, though they do remain in the scope of
the ECI. In FY 2018 these include $150,000,000 to support the initiation of planning, site preparations, and non-recurring
engineering at the Leadership Computing Facilities (LCFs) where the exascale machines will be housed and operated. With
all of these activities and funding, DOE intends to accelerate delivery of at least one exascale-capable system in 2021.
Supporting parallel development at both LCFs will reduce the overall risk of the project and broaden the range ofapplications able to utilize this new capability. This PDS is for the SC-ECP only; prior-year activities related to the SC-ECP are
also included.
In FY 2018, SC-ECP funding will support project management; development of project documentation; conduct of co-design
activities with a representative subset of mission applications; R&D of exascale systems software and tools needed for
exascale programming; and vendor partnerships.
2.

Critical Milestone History and Schedule
CD-0

Conceptual
DesignCompleteCD-1/3A

FY 20173Q FY 2016

TBD

TBD

FY 2018

07/28/2016

TBD(fiscal quarter or date)
Final
CD-2
DesignComplete
TBD

TBD

CD-3B

D&D
Complete

CD-4

TBD

N/A

TBD

N/A

4Q FY 2023

01/03/2017 4Q FY 2019 3Q FY 2019 4Q FY 2019CD-0 – Approve Mission Need
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
CD-3A – Approve phase one funding of hardware and software research projects and application development.
CD-3B – Approve phase two funding of hardware and software development, and exascale system contract options.
CD-4 – Approve Project Completion

Science/Advanced Scientific Computing Research/
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FY 2018 Congressional Budget Justification

3. 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.
4. 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.

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 Technology: The Hardware Technology focus area supports vendor-based research and development
activities required to deploy at least two exascale-capable systems with diverse architectural features. Within this focus
area, a node design effort targets component technologies needed to build exascale nodes, including the required
software, while a system design effort performs the engineering and R&D activities required to build a full exascalecapable computer and the required systems software.

•

System Software Technology: The System Software Technology focus area spans low-level operational software toprogramming environments for high-level applications software development, including the software infrastructure to
support large data management and data science for the DOE at exascale.

•

Application Development: The Application Development focus area includes: extreme parallelism, reliability andresiliency, deep hierarchies of hardware processors and memory, scaling to larger systems, and data-intensive science.

The SC-ECP will be managed following the principles of DOE Order 413.3B, Program and Project Management for theAcquisition of Capital Assets, which has been used by SC for the planning, design, and construction of all of its major
projects, including the LCFs at Argonne and Oak Ridge National Laboratories and 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 application and system software development) and hardware(node and system design) and these costs will be reported as Other Project Costs. During the last three years of the project,
project activities will focus on hardening the application and the system stack software, and additional hardware
technologies investments and these costs will be included in the Total Estimated Costs for the project.

a

http://www.isgtw.org/feature/opinion-challenges-exascale-computing
Science/Advanced Scientific Computing Research/
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FY 2018 Congressional Budget Justification

5.

Financial Schedule

Total Estimated Cost (TEC)(Hardening of Applications
Development System
Software Technology,
Hardware Technology)
FY 2016 a
FY 2019– FY 2023
Total, TEC
Other project costs (OPC)(Research for Application
Development , System
Software Technology andHardware Technology)
FY 2016
FY 2017
FY 2018
FY 2019 – FY 2023
Total, OPC
Total Project Costs (TPC)FY 2016
FY 2017
FY 2018
FY 2019 – FY 2023
Total, TPC

a(dollars in thousands)
Appropriations
Obligations

Costs

0
390,000
390,0000
390,000
390,0000
390,000
390,000

157,944
164,000
196,580
245,000
763,524

157,944
164,000
196,580
245,000
763,524

12,500228,000
350,444
172,580
763,524

157,944
164,000
196,580
635,000
1,153,524

157,944
164,000
196,580
635,000
1,153,524

12,500228,000
350,444562,580
1,153,524

Funding was provided to ASCR in FY 2016 to support the Department’s ECI efforts. For completeness, that information isshown here.
Science/Advanced Scientific Computing Research/
17-SC-20, Office of Science Exascale Computing Project
FY 2018 Congressional Budget Justification
45

6. 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)
Current Total
Estimate

Previous Total
Estimate

Original
Validated
Baseline

Total Estimated Cost (TEC)
Application Development
Production Ready Software
Hardware Partnerships
Total, TEC

225,000
86,00079,000390,000

TBD
TBD
TBD
TBD

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

Other Project Costs (OPC)(Research)
Planning/Project Mgmt
Application Development
Software Research
Hardware Research
Total OPC

118,000
269,630
121,423
254,471763,524

8,000
85,00087,000131,894
TBD

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

1,153,524

TBD

N/A

Total, TPC
7.

Schedule of Appropriation Requests($K)

RequestYear
FY 2017

FY 2018

a

TEC
OPC
TPC
TEC
OPC
TPC

FY 2016 a

FY 2017

FY 2018

FY 2019

FY 2020

FY 2021

Outyears

Total

0157,894
157,894
0
157,944
157,9440
154,000
154,0000
164,000
164,000

TBD
TBD
TBD

TBD
TBD
TBD

0
196,580
196,5800
189,000
189,000

TBD
TBD
TBD
175,000
14,000
189,000

TBD
TBD
TBD
145,000
14,000159,000

TBD
TBD
TBD
70,00028,00098,000

TBD
TBD
TBD
390,000
763,524
1,153,524

Funding was provided to ASCR in FY 2016 to support the Department’s ECI efforts. For completeness, that information isshown here.
Science/Advanced Scientific Computing Research/
17-SC-20, Office of Science Exascale Computing Project
FY 2018 Congressional Budget Justification46

8. 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 budget. In the FY 2018 President’s Request, $150,000,000 is included in the Argonne Leadership
Computing Facility and the Oak Ridge Leadership Computing facilities budgets to begin planning non-recurring engineeringand site preparations for the delivery and deployment for the exascale systems. These funds are included in ECI but not SCECP.
Start of Operation
Expected Useful Life (number of years)
Expected Future start of D&D for new construction (fiscal quarter)

2022
5
4Q 2030

9. D&D Funding Requirements
N/A, no construction.
10. 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/
17-SC-20, Office of Science Exascale Computing Project47

FY 2018 Congressional Budget Justification

48

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.
The research disciplines that BES supports—condensed matter and materials physics, chemistry, geosciences, and aspects ofbiosciences—are those that discover new materials and design new chemical processes that touch virtually every important
aspect of energy resources, production, conversion, transmission, storage, efficiency, and waste mitigation. BES research
provides a knowledge base to help understand, predict, and ultimately control the natural world and helps build thefoundation for achieving a secure and sustainable energy future. BES also supports world-class, open-access scientific user
facilities consisting of a complementary set of intense x-ray sources, neutron sources, and research centers for nanoscalescience. 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 grand science questions. BES-supported activities are entering a new era in which materials
can be built with atom-by-atom precision, chemical processes at the molecular scale can be controlled with increasing
accuracy, and computational models can predict the behavior of materials and chemical processes before they exist.
As history has shown, basic research advances provide the foundation for breakthroughs in new energy technologies. Key to
exploiting such discoveries is the ability to create new materials using sophisticated synthesis and processing techniques, toprecisely define the atomic arrangements in matter, and to design chemical processes, which will enable control of physicaland chemical transformations. The energy systems of the future will revolve around materials and chemical processes thatconvert energy from one form to another. Such materials will need to be more functional than today’s energy materials. The
new chemical processes will require ever increasing control to the levels of electrons. Such advances are not found innature; they must be designed and fabricated to exacting standards using principles revealed by basic science.
Highlights of the FY 2018 Budget Request
The BES FY 2018 Request of $1,554.5 million is a decrease of $294.5 million or 16% from the FY 2016 Enacted level. The
Request focuses resources toward the highest priorities in early-stage fundamental research, in operation and maintenanceof scientific user facilities, and in facility upgrades. The overall research funding in FY 2018 is reduced by 18% from FY 2016.
The magnitude of the decrease requires a significant shift in priorities, with targeted reductions of activities that extend tolater-stage fundamental research. No funding is requested for the two BES-supported Energy Innovation Hubs, Batteries andEnergy Storage and Fuels from Sunlight, or for the DOE Experimental Program to Stimulate Competitive Research (EPSCoR).
In the remaining core research activities, BES emphasizes basic scientific areas with potential to transform theunderstanding and control of matter and energy. The 2015 Basic Energy Sciences Advisory Committee (BESAC) report,“Challenges at the Frontiers of Matter and Energy: Transformative Opportunities for Discovery Science,” and the follow-on
Basic Research Needs workshop reports outline specific topical areas. a The Request continues to support the Energy
Frontier Research Center (EFRC) program, which will enable basic energy-relevant research with a scope and complexity
beyond that possible in standard single-investigator or small-group awards. Both the core research and the EFRC program
will emphasize emerging high priorities in quantum materials and chemistry, catalysis science, synthesis, instrumentation
science, and materials and chemical research related to interdependent energy-water issues.
In the Scientific User Facilities subprogram, BES targets resources to maximize capabilities and operational efficiency, with
an emphasis on maintaining a balanced suite of complementary tools. Among x-ray light sources, four facilities (Advanced
Light Source, Advanced Photon Source, Linac Coherent Light Source, and National Synchrotron Light Source-II) will continue
operations and are supported at 6% below the FY 2016 Enacted level. The decrease in funding will reduce operating hours
and user support, including shutting down selected beamlines. The Stanford Synchrotron Radiation Lightsource will operate
through the first quarter of the fiscal year, then will transition to a warm standby status. Both BES-supported neutrona

All reports are available at https://science.energy.gov/bes/community-resources/reports/.

Science/Basic Energy Sciences49

FY 2018 Congressional Budget Justification

sources, the Spallation Neutron Source and High Flux Isotope Reactor, will be operational in FY 2018 and funded at 10%
below the FY 2016 Enacted level with reduced hours and user support. Selected flight paths will be shut down. No funding isrequested for the disposition of unused equipment for the Lujan Neutron Scattering Center. Three of the five Nanoscale
Science Research Centers will be supported at 6% below the FY 2016 Enacted level, with reduced scientific thrusts and corecapabilities. No funding is requested for the Center for Functional Nanomaterials at Brookhaven National Laboratory (BNL)
and the Center for Integrated Nanotechnologies at Sandia (SNL) and Los Alamos (LANL) National Laboratories. No funding isrequested for Long Term Surveillance and Maintenance at BNL and at SLAC National Accelerator Laboratory (SLAC).
In the Construction subprogram, the Linac Coherent Light Source-II project remains the highest priority construction projectin BES and is supported in full per the project plan. The upgrade of the Advanced Photon Source, which was the top-ranked
project in the 2015 BESAC facility prioritization report, will be converted from a Major Item of Equipment to a line-item
construction project to reflect refinement of project scope and will continue to be supported.

Science/Basic Energy Sciences50

FY 2018 Congressional Budget Justification

Basic Energy Sciences
Funding ($K)
FY 2016 Enacted aMaterials Sciences and Engineering
Scattering and Instrumentation Sciences Research
Condensed Matter and Materials Physics ResearchMaterials Discovery, Design, and Synthesis ResearchExperimental 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
Chemical 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
General Plant Projects (GPP)
SBIR/STTR
Total, Chemical Sciences, Geosciences, and Biosciences
Scientific User Facilities
X-Ray Light Sources
High-Flux Neutron Sources
Nanoscale Science Research Centers (NSRCs)
Other Project Costs
Major Items of Equipment
Research

FY 2017 Annualized
CR b

FY 2018 Request

FY 2018 vs
FY 2016

67,350113,086
70,273
14,77655,75024,137
12,00012,758370,130-

55,830113,258
64,621050,8090
10,927
11,192306,637-11,520+172-5,652-14,776-4,941-24,137-1,073-1,566-63,493

72,782
88,918
69,11354,25015,0001,000
10,732
311,795-

61,18782,00463,701
48,065
0
1,000
9,658
265,615-11,595-6,914-5,412-6,185-15,000
0-1,074-46,180

482,667
265,082
120,575
035,50031,853-428,206
225,620
71,1357,900
019,724-54,461-39,462-49,440+7,900-35,500-12,129a

The FY 2016 Enacted level includes SBIR and STTR and reflects updates through the end of the fiscal year.
FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above, below that level, a dash (-) is shown.
b

Science/Basic Energy Sciences51

FY 2018 Congressional Budget Justification

31,098 a
966,775
1,648,700

FY 2017 Annualized
CR b
1,645,566

200,300
0200,300
1,849,000

199,919
0
199,919
1,845,485 b

FY 2016 Enacted a
SBIR/STTR
Total, Scientific User Facilities
Subtotal, Basic Energy Sciences
Construction
Linac Coherent Light Source-II (LCLS-II), SLAC
Advanced Photon Source Upgrade (APS-U), ANL
Total, Construction
Total, Basic Energy Sciences

27,563
780,148
1,352,400

FY 2018 vs
FY 2016-3,535-186,627-296,300

182,100
20,000202,100
1,554,500-18,200+20,000+1,800-294,500

FY 2018 Request

SBIR/STTR Funding: FY 2016 Projected: SBIR $47,468,000 and STTR $7,120,000
 FY 2018 Request: SBIR $42,444,000 and STTR $5,969,000a

The FY 2016 Enacted level includes SBIR and STTR and reflects updates through the end of the fiscal year.
FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above, below that level, a dash (-) is shown.
b

Science/Basic Energy Sciences

52

FY 2018 Congressional Budget Justification

Basic Energy Sciences
Explanation of Major Changes ($K)

FY 2018 vs
FY 2016

Materials Sciences and Engineering: Research will continue to support fundamental scientific opportunities, including those identified as highpriorities in the BESAC report on transformative opportunities for discovery science and Basic Research Needs workshops on quantum materials andsynthesis science. For the proposed budget reductions, the scope of the subprogram will be reduced to focus on early-stage fundamental researchunderpinning the Department’s mission. The Batteries and Energy Storage Energy Innovation Hub will not be renewed. Funding is terminated for the
DOE Experimental Program to Stimulate Competitive Research (EPSCoR). Research on novel materials and theory for quantum information science
will be increased.
Chemical Sciences, Geosciences, and Biosciences: Research will continue in support of fundamental scientific research, including grand challenge
science and opportunities identified in the BESAC report on transformative opportunities for discovery science and Basic Research Needs workshops
on synthesis science, instrumentation, the energy water nexus, and catalysis. The scope of the subprogram will be reduced while continuing tosupport those topics that push the frontiers of science and are most strongly aligned with mission drivers. No funding is requested for the Fuels
from Sunlight Energy Innovation Hub. Quantum chemistry in support of quantum information science will be increased.
Scientific User Facilities: Funding is requested to support three Nanoscale Science Research Centers. No funding is requested for the Center for
Functional Nanomaterials or the Center for Integrated Nanotechnologies. One light source (Stanford Synchrotron Radiation Lightsource) will operate
for one quarter, then transition to warm standby. All remaining scientific user facilities will operate 6–10% below the FY 2016 Enacted level, below
optimal operations. Selected light source beamlines and neutron flight paths will be shut down. No funding is requested for the disposition ofunused equipment for the Lujan Neutron Scattering Center. No funding is requested for long term surveillance and maintenance. The Advanced
Photon Source-Upgrade (APS-U) project is transitioned from a Major Item of Equipment (MIE) to a line item construction project.
Construction: Funding for the LCLS-II construction project will decrease in FY 2018 per the project plan. The APS-U project is included as a line item
construction project in the FY 2018 Request.
Total, Basic Energy Sciences

Science/Basic Energy Sciences

53-63,493-46,180-186,627+1,800-294,500

FY 2018 Congressional Budget Justification

54

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. The Department facilitates coordination between 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 areaplanning, solicitations, reviews, and award selections.
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; building technologies, including solid-state lighting; advanced nuclear energy systems and advanced 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 anddefense 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
Beyond Graphene for Future Electronics. Materials for next-generation electronics will take advantage of quantum effects, as
enabled by the controlled reaction of electrons with other parts of the atomic structure. Atomically thin materials may be
the foundation for these innovative devices.
• Researchers developed a new process to make ultrafine (5 nm in width) junctions of different semiconductors in specificpatterns by combining standard lithography with laser vaporization of sulfur. Applied controllably in planar materials,
this process may enable ultrathin microelectronics for smartphones, next-generation solar cells, and solid-state lighting.
• Planar 2-dimensional (2D) layered materials are highly desirable for electronics, but are challenging to form because
thermodynamics favors 3D structures in normal growth processes. Atomistic simulations predicted that 2D boron layers
could be grown on a reactive metal substrate due to the fact that minor adhesion of boron to the metal will prevent 3D
growth. This prediction was confirmed experimentally for deposition of boron on silver, thus demonstrating the first
synthesis of a 2D material that does not have its own distinct structure but instead adapts the structure of the metal
substrate.
• High surface conductivity was measured on a sandwich structure of graphene and boron nitride layers along theperimeter of the graphene. The high conductivity was attributed to topological phenomena arising from special “edgestates” in graphene. These topological edge states were found to coexist with superconductivity (resistance-freeelectron transport) when two sides of the sandwich layers are in contact with a superconductor. This new discovery
brings us closer to applications in future low-power electronics, including fault-tolerant quantum computing.
Efficient Utilization of Carbon-Containing Gases. Methane and carbon dioxide (CO 2 ), two of the most stable carbon
compounds, are greenhouse gases that present challenges as well as opportunities for discovery of new chemical
approaches to their conversion into useful fuels or commodity chemicals.
• Scientists identified a new reaction mechanism for converting CO 2 to the more reactive carbon monoxide (CO) as aprecursor to chemical fuels. The method involved attaching rhenium-based molecular catalysts to the surface of lowcost graphitic carbons. These novel anchored catalysts have shown activity at least 10 times greater than that of thesame catalysts in solution and are more energy efficient than other electrocatalysts. Importantly, this new approach
results in the production of only CO, i.e., in 100% selectivity for the desired product, and thus no waste.
Science/Basic Energy Sciences55

FY 2018 Congressional Budget Justification

••

Guided by theoretical results, researchers discovered that nickel-gallium films require less energy to reduce CO 2 toethylene, ethane, and methanol than copper-based materials, which were previously the best candidate catalysts.
Neither nickel nor gallium alone exhibits similar activity; both are needed. Since similar reactions are used in the solardriven production of hydrocarbons or alcohols from CO 2 , this could aid in developing artificial photosynthetic systems
that generate renewable transportation fuels.
Methanogenic microbes are experts at CO 2 reduction. Whether producing or consuming methane, they use the same
enzyme for the challenging step of making or breaking the C-H bond. Researchers combined rapid kinetic experiments
and computation to provide detailed understanding of the enzymatic mechanism. These results can provide insights forthe design of energy-efficient catalysts to convert methane and other one-carbon compounds into liquid fuels andother chemicals.

Electron and Nuclear Dynamics – the Core of Chemical Processes and Properties. Research on electron and atomic
displacement is increasing our understanding of both unusual and common mechanisms of energy transformation.
Advanced instrumentation and innovative methodology are critical to achieving these insights.
•••

To generate electricity in organic solar cells, negative and positive charges must be separated over relatively large
distances to avoid recombination. Using new terahertz microwave detection methods, researchers found that the
charges remained separated in a nanostructure only when the electron is delocalized over an ordered domain. These
results suggest that ordered molecular nano-domains play an essential role in efficient organic solar cells.
Researchers developed a method to produce ultrafast pulses of circularly polarized extreme ultraviolet light in atabletop setup. With this approach, scientists can easily take tabletop measurements of dynamic processes occurring
on ultrafast time scales, such as in novel magnetic materials, and study chiral molecules, such as proteins or DNA, thatcome in left- and right-handed versions.
Scientists have confirmed experimentally and with high accuracy the long-held hypothesis that the structure ofplatinum catalyst nanoparticles, supported on alumina, changes during the catalytic conversion of ethylene to ethane.
They designed a miniature reactor to collect nanoscale structural images simultaneously with synchrotron x-ray
absorption spectra. This approach provides precise atomic-scale dynamic information to refine models and improve
design of supported metal catalysts.

BES user facilities enable U.S. industries to advance technology frontiers and develop new drugs that save lives.
•••

BES x-ray light sources continue to play a crucial role in helping the pharmaceutical industry advance the fundamental
understanding of how diseases function and how to design drugs to treat them. Recently, the U.S. Food and Drug
Administration approved Venclexta (venetoclax) to treat chronic lymphocytic leukemia. During the development of thisnew drug, scientists used structural information obtained at the Advanced Photon Source to understand the function of
the BCL-2 protein, which supports cancer growth.
aBeam Technologies, using a suite of BES light sources and nanocenters, developed a world-leading metrology toolutilizing a fabricated pattern with linewidths down to 1.5 nanometers. aBeam Technologies, together with researchersat the BES user facilities, won an R&D 100 Award for this breakthrough. Metrology tools characterize advanced imaging
systems from interferometers to electron microscopes.
Researchers from Honeywell used the VULCAN instrument at the Spallation Neutron Source to measure residual
stresses in a titanium fan jet engine blade that was manufactured by linear friction welding. Residual stress informationis crucial to the manufacture of these components due to the detrimental effects the stresses can have on overallmechanical properties.

New optics, insertion device concepts, and accelerator improvements deliver advanced capabilities at BES user facilities.
•

Scientists at the National Synchrotron Light Source-II (NSLS-II) developed a hard x-ray scanning microscope employing
novel nanofocusing optics that produces a tiny x-ray beam with unprecedented spatial resolution. The microscope
provides researchers a unique capability that opens up new scientific frontiers of high-resolution x-ray imaging, taking

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FY 2018 Congressional Budget Justification

••full advantage of the brightness of NSLS-II. This development won a 2016 Microscopy Today Innovation Award and a2016 R&D 100 award.
A new instrument for ultrafast electron diffraction at SLAC National Accelerator Laboratory enables groundbreaking
research on complex dynamic systems. Using this superfast high-resolution “electron camera,” with a record shutter
speed of 100 quadrillionths of a second, researchers have captured the world’s fastest images of nitrogen molecules
rotating in a gas.
Physicists at the Advanced Photon Source (APS) developed an innovative horizontal-gap vertical-polarization undulator
for the Linac Coherent Light Source-II (LCLS-II) project. The new undulator satisfies stringent LCLS-II requirements forcontrol of the magnetic gap, through the use of specially designed springs that exactly match the gap dependence ofthe magnetic force. Instead of the conventional vertical gap, the horizontal gap generates vertically polarized x-rays todramatically simplify the design and performance of downstream scientific instruments.

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58

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 the barrier toimproved energy efficiencies, longer lifetimes of infrastructure and devices, or the introduction of new energy technologies.
The latest BESAC report on transformative opportunities for discovery science, coupled with the Basic Research Needs
workshop reports on quantum materials and synthesis science, provide further documentation of the importance ofmaterials sciences in forefront research for next generation scientific and technology advances. The Materials Sciences andEngineering subprogram supports research to provide the fundamental understanding of materials synthesis, behavior, andperformance 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 the origin 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 subprogram is experimental,
theory/computational, and instrumentation research that will enable the predictive design and discovery of new materials
with novel structures, functions, and properties. Such understanding and control are critical to science-guided design ofhighly efficient energy conversion processes, multi-functional nanoporous and mesoporous structures for optimum ionicand electronic transport in batteries and fuel cells, materials with longer lifetimes in extreme environments through better
materials design and self-healing processes, and new materials with novel, emergent properties that will open new avenues
for technological innovation.
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, and to correlate this data with 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.



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.

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 in operando conditions to analyze non-equilibrium materials, conditions, and excited-statephenomena.
In addition to single-investigator and small-group research, this subprogram supports Computational Materials Sciences and
EFRCs. 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, initiated in FY 2015,
supports integrated, multidisciplinary teams of theorists and experimentalists who focus on development of validated
community codes and the associated databases for predictive design of materials. The EFRCs support teams of investigators
to perform basic research to accelerate transformative scientific advances for the most challenging topics in materials
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FY 2018 Congressional Budget Justification

sciences. The recompetition of the EFRC program scheduled for FY 2018 will focus on the transformative opportunities
related to materials sciences identified in the recent BESAC report; the research priorities identified in the Basic Research
Needs reports on quantum materials, synthesis science, and instrumentation science; and tackling the scientific challenges
required to enable future generations of electrical energy storage and advanced energy generation identified in communitybased Basic Research Needs reports.
The Batteries and Energy Storage Hub will receive no additional funding in FY 2018. The goal of this large, tightly integrated
team and research was to provide the scientific understanding to enable the next generation of electrochemical energy
storage for vehicles and the electrical grid, and its research will be completed at the end of its 5-year award period.
In addition, DOE funding for EPSCoR will be terminated in FY 2018. DOE will continue its long-standing support of energy
research and development (R&D) in the regions targeted by the EPSCoR program that include states that are the home ofnational laboratories for national security and energy research.
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 technique and instrumentation development for advanced materials science
research with scattering, spectroscopy, and imaging using electrons, scanning probes, neutrons, and x-rays. These tools
provide precise and complementary information on the atomic structure, dynamics, and relationship between structure andproperties. The use of DOE’s world-leading electron, neutron, and x-ray scattering facilities in major advances in materials
sciences provides continuing evidence of the importance of this research field. In addition, the BESAC report ontransformative opportunities for discovery science, identified imaging as one of the pillars for transformational advances forthe future. 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.”
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 concepts and techniques for
scattering, spectroscopy, and imaging needed to correlate the microscopic and macroscopic properties of energy materials.
Characterization of multiscale phenomena to extract heretofore unattainable information on multiple length and time scales
is a growing aspect of this research, as is the use of combined scattering and imaging techniques.
Understanding how extreme environments (temperature, pressure, stress, photon and radiation flux, electromagnetic fields,
and electrochemical potentials) impact materials at the atomic and nanoscale level and cause changes that eventually resultin materials failure is required to design transformational new materials for energy-related applications. Advances incharacterization tools, including ultrafast techniques, are needed to measure non-equilibrium and excited-state phenomena
at the core of the complex, interrelated physical and chemical processes that underlie materials performance in these
conditions. 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 our understanding of phenomena in condensed matter—solids withstructures 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 in their structure, such as unconventional superconductors and magnetic materials. An emerging
topic is “quantum materials”—materials whose properties result from strong and coherent 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 as graphene, multilayered structures of twoScience/Basic Energy Sciences60

FY 2018 Congressional Budget Justification

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 the elementary energy conversion steps related tophotovoltaics, and the electron spin-phenomena and basic semiconductor physics relevant to next generation electronics
and information technologies. Fundamental studies of the quantum mechanical behavior of electrons in materials will leadto 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 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.
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. In addition to researchon chemical and physical synthesis processes, an important element of this portfolio is research to understand how to use
bio-mimetic and bio-inspired approaches to design and synthesize novel materials with some of the unique properties
found in nature, e.g., self-repair and adaptability to the changing environment. Major research directions include thecontrolled synthesis and assembly of nanoscale materials into functional materials with desired properties; porous materials
with customized porosities and reactivities; mimicking the energy-efficient, low temperature synthesis approaches of
biology to produce materials under mild conditions; bio-inspired materials that assemble autonomously and, in response toexternal stimuli, dynamically assemble and disassemble to form non-equilibrium structures; and adaptive and resilientmaterials that also possess self-repairing capabilities. The portfolio also supports fundamental research in solid statechemistry to enable discovery of new functional materials and the development of new crystal growth methods and thinfilm deposition techniques to create complex materials with targeted structure and properties. An important element of thisactivity is the development of real-time monitoring tools, in situ diagnostic techniques, and instrumentation that can
provide information on 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.
Experimental Program to Stimulate Competitive Research (EPSCoR)
Historically, DOE has had an ancillary role in the EPSCoR program, a small program that funded activities across all of DOE tosupport basic and applied research in states and territories that have historically received lower levels of Federal researchfunding than others. EPSCoR programs have been supported by multiple federal agencies. Eligibility determination andprincipal financial investment for EPSCoR are led by the National Science Foundation (NSF) and the National Institutes of
Health (NIH). The goal of the various agencies’ EPSCoR activities is to support development of infrastructure and researchcapabilities to advance their ability to successfully compete for research funding through open research solicitations.
No funding is requested for the DOE EPSCoR program for FY 2018. Analysis of DOE funding shows that outside of the
EPSCoR program, DOE is providing significant investments in several EPSCoR states, including through national laboratories
for both energy and national security. Overall, the states identified as EPSCoR states (based on the NSF eligibility analysis)
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FY 2018 Congressional Budget Justification

received approximately 33% of DOE’s total funding. Of this funding, the EPSCoR program represents a small fraction, only
0.1%. In addition, the Request focuses BES investments in early stage research and reduces activities like EPSCoR that
extend to later-stage or applied research.
Energy Frontier Research Centers (EFRCs)
The EFRC program, initiated in FY 2009, is a unique research modality, bringing together the skills and talents of teams ofinvestigators 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 enabletransformative scientific advances for the most challenging topics in materials sciences. The EFRCs supported in thissubprogram have historically focused on: the design, discovery, synthesis, characterization, and understanding of novel,
solid-state materials that convert energy into electricity; the understanding of materials and processes that are foundational
for electrical energy storage, gas separation, and defect evolution in radiation environments; and the exploration ofphenomena such as superconductivity and spintronics that can optimize energy flow and transmission. After seven years of
research activity, the program has produced an impressive breadth of scientific accomplishments, including over 7,500 peerreviewed 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, meetings of the EFRC researchers are held biennially.
The recompetition of the EFRC program in FY 2018 will focus on use of the team research modality to tackle thetransformative opportunities related to materials sciences that have been identified in the recent BESAC report ontransformative opportunities for discovery science and the research priorities identified in the Basic Research Needs reports
on quantum materials, synthesis science, instrumentation science, and next-generation electrical energy storage.
Energy Innovation Hubs—Batteries and Energy Storage
Over the past four years, the Batteries and Energy Storage Energy Innovation Hub has focused on advancing theunderstanding of the fundamental electrochemistry and addressing the materials challenges required for advanced
electrical energy storage solutions that are critical to the Nation for a reliable electrical grid and improved batteries forvehicles. The Joint Center for Energy Storage Research (JCESR) is led by Argonne National Laboratory (ANL) in collaboration
with four other national laboratories, ten universities, and five industrial participants.
JCESR research activities have focused on the development of an atomic-level understanding of reaction pathways anddevelopment of universal design rules for electrolyte function for battery systems that go beyond lithium-ion with anemphasis on discovery of new energy storage chemistries. JCESR pioneered the use of technoeconomic modeling to provide
a “cost” consideration in setting its fundamental research directions for next generation batteries. JCESR created a library offundamental scientific knowledge of the phenomena and materials of energy storage at the atomic and molecular level anddemonstrated a new paradigm for battery R&D—integrating discovery science, innovative architectures, computational
methodologies, and research prototyping in a single highly interactive organization. JCESR research has significantly
advanced new energy storage pathways including: demonstration of a new class of membranes for anode protection andflow batteries; elucidation of the characteristics required for multi-valent intercalation electrodes; understanding of thechemical and physical processes that must be controlled to protect the inventories of active materials in lithium-sulfur
batteries and greatly improve cycle life; and computational screening of over 16,000 potential electrolyte compounds using
the Electrolyte Genome protocols.
The Request focuses resources toward the highest priorities in early-stage fundamental research, with targeted reductionsof activities that extend to later-stage fundamental research. JCESR will complete its last year of research in 2018 using
funds appropriated in FY 2017; no additional funding is requested.

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FY 2018 Congressional Budget Justification

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 function 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 codesand 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 United States 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 codes
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 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.
BES launched 4-year research awards to perform computational materials research in FY 2015 (3 teams) and FY 2016 (2additional teams), which focused 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 in materials 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
computational models, and well-controlled synthesis to confirm the predictions of the codes. It uses the unique world
leading tools and instruments at DOE’s user facilities, from ultrafast free electron lasers to aberration-corrected electron
microscopes and neutron 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 classcomputational capabilities, and be positioned to take advantage of today’s petascale and tomorrow’s exascale leadershipclass computers. 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 materials
systems. The ultimate goal is use of these codes/data by the broader research community and by industry to dramaticallyaccelerate 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 quarterly 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 2016 Enacted
Materials Sciences and Engineering $370,130,000
Scattering and Instrumentation Sciences Research$67,350,000
Research emphasized the use of advanced
characterization techniques to tackle forefront scienceon energy-relevant materials science phenomena.
Ultrafast science continued to be a priority researcharea. Investments emphasized hypothesis-driven
research with existing ultrafast science capabilities,
including lab-based and x-ray free electron laser
sources, to establish a more complete understandingof materials properties and behaviors. Neutron
scattering sciences stressed innovative time-of-flightscattering and imaging and their effective use intransformational research. New advances inspectroscopy, high-resolution analyses of energyrelevant soft matter, and quantitative in situ analysis
capabilities under perturbing parameters such astemperature, stress, chemical environment, andmagnetic and electric fields were pursued. Researchthat uses traditional diffraction, imaging, andspectroscopy techniques continued at a reduced level.
Condensed Matter and Materials Physics Research$113,086,000
The program continued to support fundamental
experimental and theoretical research on theproperties of materials. It focused on structural,
optical, and electrical properties and control ofmaterial functionality in response to external stimuli
including temperature, pressure, magnetic andelectric fields, and radiation. Phenomena in materials
Science/Basic Energy Sciences

Explanation of Changes
FY 2018 vs FY 2016

FY 2018 Request$306,637,000-$63,493,000$55,830,000
Research will continue to support the development
and use of the most advanced characterization tools
and techniques to address forefront scientificchallenges to understand materials and related
phenomena, including ultrafast science and quantum
materials. Quantitative in situ and in operando
analysis capabilities under perturbing parameterssuch as temperature, stress, chemical environment,
and magnetic and electric fields will be pursued.
Investments in x-ray science will emphasize
hypothesis driven research with x-ray free electron
laser sources, tailored excitations with pumped laser
control, and coherent x-ray imaging. Neutron
scattering research will emphasize research on
thermodynamics of charged polymer systems andemergent quantum phenomena at interfaces and in
the bulk. Electron scattering research will focus on
innovative and multimodal techniques to assesscharge-orbital-spin coupling and quantum
phenomena, ultrafast techniques, and high energy
resolution imaging and spectroscopy.

-$11,520,000
Research will continue at the forefront of
instrumentation and technique development formaterials science research. This activity willemphasize ultrafast techniques in electron scattering,novel and emergent quantum materials phenomena
especially with neutron scattering, and assessmentsof high-speed dynamic phenomena and nonequilibrium systems with x-ray scattering. Imaging andcharacterization have been identified as key
requirements for transformative research by
numerous workshop reports. However, the funding
decrease requires reduction in program scope. This
activity will de-emphasize conventional and heavy
fermion superconductivity, lower time resolution
dynamic electron scattering, and x-ray scattering forbulk material systems, steady state analysis, andequilibrium systems.

$113,258,000
The program will continue to support fundamental
experimental and theoretical research on theproperties of materials. The experimental andtheoretical condensed matter physics research willemphasize quantum materials, focusing on new andemergent behavior including quantum magnetism,spintronics, topological states, and novel 2D materials.

+$172
Research will continue at the leading edge of
condensed matter and materials physics research toobtain a fundamental understanding of thephenomena that control the properties of materials.
This activity will emphasize experimental andtheoretic assessments of new and emerging quantum
materials and fundamental aspects of physical and64

FY 2018 Congressional Budget Justification

FY 2016 Enacted

FY 2018 Request

were investigated from atomistic through nanoscale
to mesoscale length scales. The research supported
continued to address defect structures in materials
and how these influence materials properties,
especially in energy relevant materials. There was an
ongoing emphasis on understanding the relationshipbetween electronic structure and properties inmaterials that exhibit correlation effects. Research on
spin physics, focusing on coupling acrossheterogeneous boundaries through spin orbit andexchange interactions and studies involving novel
magneto-dynamics, were continued. Research
involving theory and computational data coupled toexperimental characterization of material properties
continued to grow. Research on superconducting
vortex matter, isolated nanoparticles, quantum Hall
behavior, and low dimensional phenomena in carbon
nanotubes and graphene continued at a reduced
level.
Materials Discovery, Design, and Synthesis Research$70,273,000
Research continued to focus on the predictive designand synthesis of materials across multiple lengthscales with a particular emphasis on the mesoscale,where functionalities begin to emerge. Within thisframework, a fundamental understanding ofassembly, both self and directed, and interfacial
phenomena, ubiquitous in all materials, weredeveloped. Additionally, synthesis pathways were
better understood by use of in situ diagnostics andcharacterization so that they can be controlled more
precisely and dynamically. This research helps realize
the visionary goals of atom- and energy-efficientsyntheses of new forms of matter. Research on recent
energy materials on the scene, such as perovskite
photovoltaic materials and those with 2D topologies,
was strengthened to take advantage of theAdvancement of theory and computational tools will
focus on materials discovery, including data-driven
and machine learning techniques; novel approaches,and non-equilibrium systems. Physical behavior
research will emphasize innovative science tounderstand optical, thermal and electronic
phenomena. For mechanical behavior and radiation
effects, there will be increased focus onunderstanding defect evolution in radiation
environments.

Science/Basic Energy Sciences$64,621,000
Research to develop a scientific understanding forpredictive design and synthesis of materials acrossmultiple length scales will continue. Emphasis will be
on innovative approaches, including use of in situ andin operando diagnostics, to understand themechanisms of chemical, physical, and biomimetic
synthesis of materials to enhance discovery of new
and improved materials. Continued emphasis will beplaced on research that incorporates both experimentand theory with the goal of advancing broadmechanistic insights. Fundamentals of growth
kinetics, self-assembly, directed assembly, and therole of interfaces, including organic-in organic
systems, will be stressed. In materials chemistry,
fundamental research related to polymer chemistry,
nanomaterial synthesis, liquids, electrochemistry, and65

Explanation of Changes
FY 2018 vs FY 2016mechanical behavior, including radiation effects.
Research in condensed matter physics, physicalbehavior, and mechanical behavior are major topics
for fundamental energy research and have been
identified as priorities in community workshops andNational Academies studies. Increases for quantum
materials and quantum information science will be
offset by decreases in long-standing researchchallenges including heavy fermion superconductivity,
Bose-Einstein condensates, compound semiconductor
physics, cold atom physics, surface chemistry, shapememory and piezoelectric effects, and plasmonics.

-$5,652,000
Pioneering scientific research to advance knowledgeof how to make materials and use this understanding
to discover new and improved materials will continue,emphasizing innovative research on kinetics andmechanisms for synthesis. Synthesis science andbiomimetic research have been the focus of several
National Academies studies as well as being identified
as research required to enable transformative basic
research advances. However, the funding decrease
requires reduction in program scope. Topics to be
deemphasized include control of synthesis to directmaterials properties, molecular materials chemistry,
and aspects of biocentric/biohybrid research
approaches.

FY 2018 Congressional Budget Justification

FY 2016 Enacted

FY 2018 Request

opportunities to realize a more thoroughunderstanding of these materials and their potential
for bringing about transformational advances inenergy and information technologies. Research on
nanomaterials, traditional semiconductors, liquid
crystals, and thin film transistor synthesis continued at
a reduced level.
Experimental Program to Stimulate Competitive
Research (EPSCoR) $14,776,000
Efforts continued to span science in support of the
DOE mission, with continued emphasis on sciencethat underpins DOE energy technology programs.
Implementation grants, state-laboratory partnerships,
and investment in early career research staff fromEPSCoR states are sustained. Single investigator
research that supports topics related to DOE mission
areas, especially through the state-laboratory
partnerships component of the program wasemphasized.

control of porosity will continue. For biomolecularmaterials, research on assembly of materials thatincorporates error correction and defect management
mechanisms for beyond equilibrium, multicomponent
materials will be emphasized.

Energy Frontier Research Centers (EFRCs)$55,750,000
The EFRCs continued to perform fundamental multidisciplinary research aimed at accelerating scientificinnovation. BES conducted a mid-term review of all
EFRCs in FY 2016 to assess progress toward meeting
scientific research goals. DOE issued a Funding
Opportunity Announcement for up to five new EFRC
awards in FY 2016.
Energy Innovation Hubs—Batteries and Energy
Storage $24,137,000
The Hub, in its fourth year, continued to follow its
project plan with an increasing focus on developing
lab-scale prototypes to supplement the ongoingfundamental research science underpinning batteries
Science/Basic Energy Sciences

Explanation of Changes
FY 2018 vs FY 2016

$0
Funding for EPSCoR is terminated in FY 2018.
Research will continue on grants fully funded with
EPSCoR funds from prior fiscal years.

-$14,776,000
No further funding is requested for the DOE EPSCoR
program. Analysis of DOE funding shows that DOE
provides significant investments in several EPSCoR
states, including national laboratories for both energy
research and national security. Overall, the EPSCoR
states (based on the NSF eligibility analysis) received
33% of DOE funding. Of this funding, the DOE EPSCoR
program represents a small fraction, only 0.1%. In
addition, the Request focuses investments in earlystage research and reduces activities like EPSCoR that
extend to later-stage or applied research.

$50,809,000
The recompetition of the EFRC program in FY 2018
will focus on use of the team research modality totackle the transformative opportunities related tomaterials sciences and the research priorities
identified in the Basic Research Needs reports on
quantum materials, synthesis science,
instrumentation science, and next-generationelectrical energy storage.

-$4,941,000
The EFRC program will continue to performfundamental multi-disciplinary research aimed ataccelerating scientific innovation. In order to address
the priority research directions identified in recent
community-based Basic Research Needs workshops
and reports, topics to be deemphasized in the FY 2018
competition include phenomena related to traditional
solar photovoltaic systems, thermoelectric materials,
and solid state lighting.

$0
No funding is requested for FY 2018. JCESR willcontinue research funded in FY 2017 to complete thefive-year award. Its research activities will continue tofocus on the development of an atomic-level-$24,137,000
The Request focuses resources toward the highest
priorities in early-stage fundamental research, withtargeted reductions of activities that extend to laterstage fundamental research. The Batteries and Energy

66

FY 2018 Congressional Budget Justification

Explanation of Changes
FY 2018 vs FY 2016
for transportation and the grid, as well as crossunderstanding of reaction pathways and development Storage Hub, established in December 2012, will
cutting research on materials characterization, theory, of universal design rules for electrolyte function forcomplete its last year of research in 2018; noand modeling. JCESR completed self-consistent system battery systems that go beyond lithium-ion with anadditional funding is requested.
analyses using techno-economic modeling of threeemphasis on discovery of new energy storage
electrochemical couples identified through materials chemistries.
discovery, including output from the electrolyte
genome, that have the potential to meet technicalperformance and cost criteria.
Computational Materials Sciences $12,000,000$10,927,000-$1,073,000
The computational materials sciences teams that
Research will continue on the computational
Midterm reviews will be used to assess and focus thestarted in FY 2015 performed the first year of research materials sciences awards focused on basic science
research being performed. Lower priority research
in FY 2016 as outlined in their proposals focused onnecessary to develop research-oriented, open-source, tasks within each project, based on external peer
basic science necessary to develop research-oriented, experimentally validated software and the associated review and assessment by BES, will be deemphasized
open-source, experimentally validated software anddatabases required to predictively design materials
to reduce FY 2018 budget requirements.
the associated databases required to predictively
with specific functionality. The software utilizes
design materials with specific functionality; theleadership class computers and incorporates
software utilized current and future leadership classframeworks that are suited for future exascalecomputers. Funding supported additional multi-year
computer systems. The FY 2016 awards will have theirawards for research teams focused on functional
mid-term review by a panel of external peer reviewers
materials topics not supported by the FY 2015 awards. in FY 2018. The FY 2015 awards will adjust their
Early in the award period, each team is peer reviewed research plans based on the mid-term reviews held in
to assess management and early research activities.
FY 2017.
FY 2016 Enacted

Science/Basic Energy Sciences

FY 2018 Request

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FY 2018 Congressional Budget Justification

68

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, molecules and nanostructures.

•

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 several synergistic and cross-cutting fundamental research themes. Ultrafast Science develops
and applies approaches to probe the dynamics of electrons that control chemical bonding and reactivity; to understandenergy 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 of understanding how the complex environment created at interfaces influenceschemical phenomena such as reactivity and transport that are important in photochemical, catalytic, separations,biochemical and geochemical systems. These complex interfaces are structurally and functionally disordered, exhibit
complex dynamic behavior, and have disparate properties in each phase. Charge Transport and Reactivity explores how the
dynamics of charges contribute to energy flow and conversion and how the charge transport and reactivity are coupled.
Catalytic Mechanisms elucidates the factors controlling chemical transformations through an understanding of the sequenceof reaction steps and the catalytic functionalities that control their rates in synthetic or natural catalysts, providing
foundational knowledge for the discovery of novel catalytic pathways with unprecedented activity and selectivity. Chemistryin Aqueous Environments addresses the unique properties of water, particularly how they manifest in extreme environments
such as confinement and complex solutions, and the role aqueous systems play in energy and chemical conversions. The
advancement of characterization tools and instrumentation 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 complex systems, are essential for advancing fundamental science.
In addition to single-investigator and small-group research, the subprogram supports EFRCs, which are multi-investigator,
multidisciplinary research efforts focused on forefront scientific challenges that relate to the DOE energy mission. The EFRCs
support teams of investigators to perform basic research to accelerate transformative scientific advances for the mostchallenging topics in chemical sciences, geosciences, and biosciences. The recompetition of the EFRC program scheduled for
FY 2018 will focus on transformative opportunities related to chemical sciences, geosciences, and biosciences identified inrecent BESAC reports as well as the research topics identified in community-based Basic Research Needs reports on
synthesis science, instrumentation science, catalysis science, and the role of water in energy production and use.
Science/Basic Energy Sciences69

FY 2018 Congressional Budget Justification

The Request focuses resources toward the highest priorities in early-stage fundamental research, with targeted reductionsof activities that extend to later-stage fundamental research. No funding is requested for the Fuels from Sunlight Energy
Innovation Hub in FY 2018. This Hub was renewed in FY 2015 with research conducted by the large, tightly integrated teamfocused on providing fundamental scientific understanding to enable the next generation of technologies for directconversion of sunlight to chemical fuels.
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 atomic, molecular, and nanoscale matter. Ultrafast optical and xray sources are developed and used to study and direct molecular dynamics and chemical reactions to increase basic
understanding of Charge Transport and Reactivity and Catalytic Mechanisms, and to understand how the dynamics ofmolecular environments influence reactivity and transport that is important in the 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 Chemical Mechanisms, Charge Transport and Reactivity, Chemistry at Complex
Interfaces, and Ultrafast Sciences. These theoretical and computational approaches are applied in close coordination withexperiment. The knowledge and techniques produced by Fundamental Interactions research form a science 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, molecules, and nanostructures with photons,
particularly intense, ultrafast x-ray pulses, to characterize and control their behavior and provide the foundation forunderstanding the making and breaking of chemical bonds. The goal is to develop accurate quantum mechanicaldescriptions of ultrafast dynamical processes such as chemical bond breaking and forming, interactions in strong fields, andelectron correlation. Novel attosecond sources are used to image the dynamics of electrons and charge transport. Chemical
physics research builds from the AMO foundation by examining the reactive chemistry of molecules whose chemistry is
profoundly affected by the environment, especially at complex interfaces. The transition from molecular-scale chemistry tocollective phenomena is explored at a molecular level in condensed phase systems, such as the effects of solvation orinterfaces 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, from solar energy conversion to radiolytic effects in condensed phases andinterfacial systems, to catalysis. Gas-phase chemical physics emphasizes experimental and theoretical studies of the ultrafast
dynamics and rates of chemical reactions, as well as the chemical and physical properties of key intermediates relevant tocatalysis. Computational and theoretical research supports the development and integration of new and existing theoreticaland computational approaches for accurate and efficient descriptions of ultrafast processes relevant to catalysis and chargetransport. Of special interest is foundational research on computational design of molecular- to meso-scale materials, andon next-generation simulation of complex dynamical processes. Research in this area is crucial to utilize planned exascalecomputing facilities and to optimize use of existing petascale computers, leveraging U.S. leadership in the development ofcomputational chemistry codes.
Chemical Transformations Research
Fundamentally, Chemical Transformations Research emphasizes advancing the knowledge of chemical reactivity, mattertransport, and chemical separation and stabilization processes that will ultimately impact fuel science, separations science,
heavy element chemistry and geosciences. The research uses tools from Ultrafast Sciences to identify transient species
during reactions and refine theories of reactivity; advances understanding of Charge Transport and Reactivity important inelectrocatalytic and geochemical redox processes; explores Chemistry at Complex Interfaces in catalytic, geochemical andseparations systems; and develops understanding of Chemistry in Aqueous Environments that play important roles inseparations, particularly for heavy elements. This research breadth demands a broad coverage of scientific disciplines andanalytical tools. Hence, Chemical Transformations comprise four core areas: Catalysis Science, Separations Science, Heavy
Element Chemistry and Geosciences.
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FY 2018 Congressional Budget Justification

Catalytic Mechanisms represent a major fraction of the research in this activity, particularly focused on achieving
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 or reactive
interfacial species, multifunctional membranes, nanostructured electrodes, and multiphase electrolytes. This activity
supports development and application of theoretical and computational approaches to achieve a deeper understanding ofreaction 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 federally funded program in
non-biological Catalysis Science.
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.
Fundamental studies of the structure and reactivity of actinide-containing molecules provide foundational knowledge for
future nuclear energy approaches. Radionuclides and heavy elements under extreme radiation environments exhibit uniquedynamic and kinetic behavior. The challenges are further compounded by the evolution of these chemical mixtures overtime. The chemistry of aqueous systems plays an important role in understanding the science of separations for thesemixtures as well as their evolution.
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.
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. A breadth of approaches and uniquetools, such as those in Ultrafast Sciences, are developed and used to investigate the structural and chemical dynamics ofenergy absorption, transfer, conversion and storage across multiple spatial and temporal scales to better understand Charge
Transport and Reactivity. Such efforts target the basic understanding of mechanisms and dynamics of chemical processes
such as water oxidation, charge transfer, and redox interconversion of small molecules (e.g. carbon dioxide/methane,
nitrogen/ammonia, and protons/hydrogen). Crosscutting research underpins a fundamental understanding of the synthesis,
dynamics, and function of natural and artificial membranes and nano- to mesoscale-structures and develops new
knowledge of the Chemistry at Complex Interfaces as well as Chemistry in Aqueous Environments. Structural, functional andmechanistic properties of enzymes, enzyme systems, and energy-relevant biological reactions are studied to identify
principles important for catalyst function, selectivity, and stability. This synergistic research in Catalytic Mechanisms is
illustrated by studies of the mechanism of the complex water splitting reaction catalyzed by the metallocluster of the oxygen
evolving complex in natural photosynthesis. The fundamental chemical and physical concepts resulting from studies of bothnatural systems (e.g. photosynthetic and affiliated downstream biological processes) and man-made chemical systems
provide crucial foundational knowledge on processes of energy capture, conversion, and storage.
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,electron and proton transport, and the assembly, repair, and regulation of photosynthetic complexes. Physical science tools
are used extensively to elucidate the molecular and chemical mechanisms of biological energy transduction, including
complex multielectron redox reactions and processes beyond primary photosynthesis such as carbon dioxide reduction andsubsequent deposition of the reduced carbon into energy-dense carbohydrates and lipids. Complementary research on solar
energy conversion in chemical and artificial systems incorporates organic and inorganic photochemistry, electrochemistry,
light-driven energy and electron transfer processes, and molecular assemblies for electricity generation and artificial
photosynthetic fuel production.
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FY 2018 Congressional Budget Justification

Energy Frontier Research Centers (EFRCs)
The EFRC program, initiated in FY 2009, is a unique research modality, bringing together the skills and talents of teams ofinvestigators 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, andaccelerate basic research to enable transformative scientific advances for the most challenging topics in chemical sciences,geosciences, and biosciences. The EFRCs supported in this subprogram have historically focused on the following topics: thedesign, discovery, characterization, and control of the chemical, biochemical, and geological moieties and processes for theadvanced conversion of solar energy into chemical fuels and for improved electrochemical storage of energy; theunderstanding of catalytic chemistry and biochemistry that are foundational for fuels, chemicals, and separations; andadvanced interrogation and characterization of the earth’s subsurface. After seven years of research activity, the program
has produced an impressive breadth of accomplishments, including over 7,500 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, meetings of the EFRC researchers are held biennially.
The recompetition of the EFRC program in FY 2018 will focus on use of the team research modality to tackle thetransformative opportunities related to chemical sciences, geosciences, and biosciences that have been identified in the
recent BESAC report on transformative opportunities for discovery science and the research topics identified in Basic
Research Needs reports on synthesis science, instrumentation science, and energy-water issues (e.g., the efficient use ofwater in energy production and energy-intensive industrial processes and the efficient use of energy in water production).
Energy Innovation Hubs—Fuels from Sunlight
Established in September 2010 and renewed in 2015, the Fuels from Sunlight Hub, called the Joint Center for Artificial
Photosynthesis (JCAP), is a multi-disciplinary, multi-investigator, multi-institutional effort to create the scientific foundation
for transformative advances in the development of artificial photosynthetic systems for the conversion of sunlight, water,
and carbon dioxide into a range of commercially useful fuels. JCAP is led by the California Institute of Technology (Caltech) in
primary partnership with Lawrence Berkeley National Laboratory (LBNL). Other partners include the SLAC National
Accelerator Laboratory and University of California institutions.
During the initial award, JCAP achieved the scientific and technical advances needed to reach its five-year goal to design andconstruct a photocatalytic prototype that could generate fuel from sunlight, developing a stable integrated prototype thatsplit water to produce hydrogen at greater than 10% efficiency. Based on the outcome of external peer review, JCAP was
renewed by BES for a final five-year award term starting on September 30, 2015, at an annual funding level of $15M. In thesecond award, JCAP is focusing on the fundamental science of carbon dioxide reduction to establish the foundation for
production of hydrocarbon fuels using only sunlight, carbon dioxide, and water as inputs. Research objectives for the JCAP
renewal project include discovery and understanding of highly selective catalytic mechanisms for carbon dioxide reduction
and oxygen evolution; accelerated discovery of electrocatalytic and photoelectrocatalytic materials and light-absorberphotoelectrodes for selective and efficient carbon dioxide reduction; and, using JCAP prototypes, demonstration of highly
efficient and selective artificial photosynthetic carbon dioxide reduction and oxygen evolution components.
JCAP has demonstrated progress in several key areas of the renewal project. Guided by theoretical results, scientists
discovered that nickel-gallium films require less energy to reduce carbon dioxide to ethylene, ethane, and methanol thancopper-based materials, which were previously considered to be the best candidate catalysts. The research team combined
JCAP’s unique computational and experimental high-throughput capabilities to discover new earth-abundant metal
vanadates that meet demanding requirements for water-splitting photoanodes. These results nearly doubled the number ofmaterials that could considered for this key component of solar fuel generators and are helping researchers understand how
material properties can be tuned for a specific function. Theoretical and experimental photocatalysis efforts also produced
nanocrystals that exhibited the first demonstration of plasmon-enhanced photocurrent in carbon dioxide reduction and are
Science/Basic Energy Sciences

72

FY 2018 Congressional Budget Justification

being used to understand the interplay between plasmon and single particle excitation, providing insight into the possible
use of plasmons in photo-induced chemical reactions.
No funding is requested for JCAP in FY 2018. The Request focuses resources toward the highest priorities in early-stage
fundamental research, with targeted reductions of activities that extend to later-stage fundamental research.
General Plant Projects (GPP)
GPP funding is provided for minor new construction, for other capital alterations and additions, and for improvements toland, buildings, and utility systems at the Ames Laboratory. Funding of this type is essential for maintaining the productivity
and usefulness of Department-owned facilities and for meeting requirements for safe and reliable facilities operation. The
total estimated cost of each GPP project will not exceed $10,000,000.

Science/Basic Energy Sciences73

FY 2018 Congressional Budget Justification

Basic Energy Sciences
Chemical Sciences, Geosciences, and Biosciences
Activities and Explanation of Changes
FY 2016 Enacted

FY 2018 Request

Chemical Sciences, Geosciences, and Biosciences$311,795,000
Fundamental Interactions Research $72,782,000
Research continued to develop and apply forefront
ultrafast x‐ray and optical probes of matter, utilizing
the LCLS, BES synchrotron light sources, and table‐top
laser‐based ultrafast light sources, to probe andcontrol atomic, molecular, nanoscale and mesoscalematter. The program continued to develop advanced
theoretical methods to guide and interpret ultrafast
measurements and to design new experiments. It also
continued to emphasize time‐resolved electron and x‐
ray probes of matter at unprecedented short timescales and in systems of increasing complexity.
Computational efforts stressed the development of
improved methods to calculate electronically excitedstates in molecules and extended mesoscale systems.
Work continued on advanced combustion research toaccelerate the predictive simulation of highly efficientand clean internal combustion engines. Increased
emphasis was on investigating properties ofcombustion in high‐pressure or multiphase systems.
The program deemphasized research at the interfaceof nanoscience with molecular physics.
Chemical Transformations Research $88,918,000
Synthesis, guided by theory and computation,
continued to explore novel catalytic materials at thenano- and mesoscale for the efficient conversion of
traditional and new feedstocks into higher-value fuels
and other chemicals. The program emphasizedcatalytic conversion of biomass to fuels and otherenergy related chemical products as well as the searchfor catalysts for new ammonia production routes that

$265,615,000$61,187,000
This program will continue to develop and apply
forefront ultrafast x‐ray and optical probes of matter,utilizing the LCLS, BES synchrotron light sources, andtable‐top laser‐based ultrafast light sources, to probe
and control atomic, molecular, nanoscale andmesoscale matter. Attosecond light sources will be
used to image the dynamics of electrons and chargetransport in increasingly complex systems. The
program continues to develop advanced theoreticalmethods to guide and interpret ultrafast
measurements and catalysts such as metal-organic
frameworks. Computational efforts stress thedevelopment of improved methods to calculate
electronically excited states in molecules andextended mesoscale systems that can be scaled tooperate on exascale computers. Research will extend
efforts to understand and control chemical processes
and dynamics in aqueous systems and at complex
interfaces at a molecular level. Gas phase research
will examine the structure and dynamics of reactive
intermediates important to catalysis.
$82,004,000
This activity will continue to support predictive
fundamental research on the design and synthesis ofnovel catalysts to efficiently convert chemical
feedstocks, particularly small hydrocarbons (e.g., with
1-4 carbon atoms) and bio-derived molecules, to highvalue fuels and chemicals. New routes to the efficientsynthesis of hydrogen, ammonia, methanol, syngas,
and others, will continue to be pursued. Fundamental

Science/Basic Energy Sciences

74

Explanation of Changes
FY 2018 vs FY 2016-$46,180,000-$11,595,000
Research will continue leading efforts to discover thefactors controlling chemical reactivity and dynamics inthe gas phase, condensed phases and at interfaces,
based upon fundamental knowledge of theinteractions among photons, electrons, atoms,
molecules and nanostructures. This activity willemphasize quantum chemistry, imaging studies ofmolecular dynamics using ultrafast BES light sources,
research to understand increasingly complex
interfacial systems, and advanced computational andtheoretical tools for exascale computing. This activity
is a major supporter of ultrafast chemical sciences andchemical physics, underpinning energy conversion andtransformation phenomena. However, the funding
decrease requires reduction in program scope. The
activity will de-emphasize aspects of nanoscience andcombustion research in favor of higher priorities.

-$6,914,000
Research will continue to lead the development offundamental knowledge of mechanisms of chemical
catalysis, synthesis, separation, stabilization andtransport required to control chemical processes incomplex systems. This activity will emphasize
advancing catalytic mechanisms that operate
efficiently at lower temperatures and pressures,enhance efforts in electro-catalytic synthesis, andFY 2018 Congressional Budget Justification

FY 2016 Enacted
avoid the generation of greenhouse gases. To support
these new emphases, the program deemphasized thedevelopment of mass spectrometric techniques.
Likewise, coupled predictive theory and synthesis ofdesigner mesoporous membranes and filter materials
sought more efficient separation of carbon dioxidefrom power plant effluents or of oxygen from air
relevant to oxycombustion approaches. Subsurface
geochemistry and geophysics sought to provide data
and mechanistic interpretation for models of reactive
flow and transport important for carbon
sequestration and extraction of tight gas and oil.
Actinide research continued to emphasize new
insights in actinides chemical bonding enabling new
chemistry for separation and related nuclear fuels andwaste form processes especially using ionic liquids.
Fundamental research activities in geochemistry andgeophysics of the subsurface continued in parallelwith efforts in other offices as coordinated by the
Subsurface Science, Technology and Engineering R&D(Subsurface) crosscut.
Photochemistry and Biochemistry Research$69,113,000
Research continued to emphasize a fundamental
understanding of light energy capture and conversion
in non-biological and biological (photosynthetic)
systems. These studies established a foundation for
direct conversion of solar energy to electricity, fuels,and high value chemicals. The program continued tosupport efforts in computation and modeling as suchapproaches can facilitate design and fabrication ofsemiconductor/polymer interfaces, dye-sensitizedsolar cells, inorganic-organic molecular complexes,
and bio-inspired/biohybrid light harvesting
complexes. The program continued to emphasize
research to understand the fundamental mechanismsof water-splitting, redox, cell wall biosynthesis, andScience/Basic Energy Sciences

Explanation of Changes
FY 2018 vs FY 2016separations science research will continue on efficient initiate studies of integrated catalytic-separation
processes for separating chemical mixtures. Operando approaches. This activity is the major supporter ofcharacterization of chemical conversions andcatalysis and heavy element chemistry that have been
the focus of community workshops and National
separations will continue to be supported, as will
predictive theory for separation processes molecular Academies studies. However, the funding decrease
requires reduction in program scope. The activity willrecognition, transport and resolution. Geochemistry
and geophysics will continue to develop mechanisms de-emphasize research on chiral catalysis and catalytic
synthesis of nanomaterials, geophysics ofof reaction and transport processes of substances
microfluidics in natural porous system, and chemical
introduced to the subsurface environments. Heavy
analysis not aligned with separations science.
Element research will continue to pursue newchemistry of actinide reactivity, bonding, synthesis,
and separation.
FY 2018 Request$63,701,000
The program will continue to support fundamental
research on light energy capture and conversion into
chemical and electrical energy through non-biological(chemical) and biological (photosynthetic) pathways.
Studies of light absorption, energy transfer, andcharge transport and separation will continue to beemphasized. Research to uncover the fundamental
mechanisms of photocatalysis and biocatalysis willcontinue to be a focus of the program and will makeuse of innovative ultrafast methodologies as well as
computation and modeling. Enhanced efforts will
target a fundamental understanding of reactivity
across complex interfaces and in aqueous
environments. Research will address a greater

75-$5,412,000
Cutting-edge research will continue to develop
fundamental knowledge and innovative approaches
to understand physical and chemical processes of lightenergy capture and conversion in non-biological andbiological systems. Research on charge transport,
energy transfer, and catalytic mechanisms will beenhanced by increased efforts that address thechemistry of complex interfaces and water-driven
processes. This activity is important for understanding
chemical processes and dynamics during energy
conversion and is viewed by community workshops as
key for transformative science. However, the funding
decrease requires reduction in program scope. Efforts
in plant cell wall biosynthesis and structure, light
FY 2018 Congressional Budget Justification

FY 2016 Enacted

FY 2018 Request

other energy-relevant biological (enzymatic)
reactions, from the nano- to the mesoscale. Thesestudies provided new insights for developing novel
bio-inspired catalysts based on earth-abundantmaterials and for controlling and optimizing chemical
reactions important for energy capture, conversion,and storage. The program deemphasized research on
fundamental mechanisms of carbon capture.
Energy Frontier Research Centers (EFRCs)$54,250,000
The EFRCs continued to perform fundamental multidisciplinary research aimed at accelerating scientificinnovation. BES conducted a mid-term review of all
EFRCs in FY 2016 to assess progress toward meeting
scientific research goals. DOE issued a Funding
Opportunity Announcement for up to five new EFRC
awards in FY 2016.

understanding of how water drives formation ofmesoscale structures for energy capture andconversion in natural systems and the chemistry andstructure of water within the field of highly ionizing
radiation.

Energy Innovation Hubs—Fuels From Sunlight$15,000,000
The Fuels from Sunlight Hub was renewed for a final
award term of up to 5 years starting in September
2015. Research in the renewal focuses on thefundamental science needed to enable efficient,sustainable and scalable photochemical reduction ofcarbon dioxide for production of liquid transportation
fuels. The renewal allows JCAP to further advanceresearch efforts addressing critical needs in solar fuels
development and to capitalize on its achievements
and infrastructure development from the initialfunding period. BES conducted scientific and merit
review in FY 2016 to assess progress toward meeting
project milestones and goals.

Science/Basic Energy Sciences

Explanation of Changes
FY 2018 vs FY 2016
signaling in plant development, and combinatorialstudies of catalytic semiconductors will be deemphasized in favor of higher priorities.

$48,065,000
The recompetition of the EFRC program in FY 2018
will focus on use of the team research modality totackle the transformative opportunities related tochemical sciences, geosciences and biosciences andthe research priorities identified in the Basic Research
Needs reports on synthesis science, instrumentation
science, and energy-water issues.

-$6,185,000
The EFRC program will continue to performfundamental multi-disciplinary research aimed ataccelerating scientific innovation. In order to address
the priority research directions identified in recent
community-based Basic Research Needs workshops
and reports, topics to be deemphasized in the FY 2018
competition include phenomena related toradioactive waste management, CO 2 sequestration,
aspects of cellulosic degradation, and more matureareas of solar photovoltaics.

$0
No funding is requested for FY 2018. JCAP willcontinue research funded in FY 2017. These activities
will focus on the renewal project goal to conduct
fundamental research for a mechanistic
understanding of the photochemical reduction ofcarbon dioxide for fuel production.

-$15,000,000
The Request focuses resources toward the highest
priorities in early-stage fundamental research, withtargeted reductions of activities that extend to laterstage fundamental research. The Fuels from Sunlight
Hub was established in December 2010 and renewedin FY 2015. No funding is requested in FY 2018.

76

FY 2018 Congressional Budget Justification

FY 2016 Enacted
General Plant Projects $1,000,000
Funding supports minor facility improvements at
Ames Laboratory.

Science/Basic Energy Sciences

FY 2018 Request$1,000,000
Funding supports minor facility improvements at
Ames Laboratory.

77

Explanation of Changes
FY 2018 vs FY 2016
$0
Funding is flat with the FY 2016 Enacted level.

FY 2018 Congressional Budget Justification

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.
In FY 2016, the BES scientific facilities were used by more than 15,000 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 toconstruct 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 incisive
Science/Basic Energy Sciences79

FY 2018 Congressional Budget Justification

probes 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 ringbased light sources—the Advanced Light Source (ALS) at LBNL, Advanced Photon Source (APS) at ANL, Stanford Synchrotron
Radiation Lightsource (SSRL) at SLAC, and the newly constructed National Synchrotron Light Source-II (NSLS-II) at BNL. BES
also provides funds to support facility operations, 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.
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; and•their 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.
Another approach for generating neutron beams is to use an accelerator to generate protons that strike a heavy-metaltarget. As a result of the impact, neutrons are produced in a process known as spallation. The Spallation Neutron Source(SNS) at ORNL 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, 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.
Science/Basic Energy Sciences80

FY 2018 Congressional Budget Justification

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 not based on a large accelerator or reactor but are comprised of a suite of smaller
unique tools and expert scientific staff. The five NSRCs are the Center for Nanoscale Materials at ANL, Center for Functional
Nanomaterials at BNL, Molecular Foundry at LBNL, Center for Nanophase Materials Sciences at ORNL, and Center for
Integrated Nanotechnologies at SNL and LANL. Each center has particular expertise and capabilities, such as nanomaterials
synthesis and assembly; theory, modeling and simulation; imaging and spectroscopy including electron microscopy; andnanostructure 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 ormore other major BES facilities for x-ray, neutron, electron scattering, or computation which complement and leverage thecapabilities 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 of user proposals.
Other Project Costs
The total project cost (TPC) of DOE’s construction projects comprises 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 withall engineering design and inspection; the acquisition of land and land rights; direct and indirect construction/fabrication;and the initial equipment necessary to place the facility or installation in operation; and facility construction costs and othercosts specifically related to those construction efforts. OPC represents all other costs related to the projects that are notincluded in the TEC. Generally, other project costs are incurred during the project’s initiation and definition phase forplanning, conceptual design, research, and development, and during the execution phase for R&D, startup, andcommissioning. OPC is always funded via operating funds.
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. In general, each MIE with a total project cost greater than $5,000,000 and all line
item construction projects follow the DOE Project Management Order 413.3B, which requires formal reviews to obtain
critical decisions that advance the developmental stages of a project. Additional reviews may be required depending on thecomplexity and needs of the projects in question.
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. Detector research is a crucial component to enable the optimal utilization ofuser facilities, together with the development of innovative optics instrumentation to advance photon-based sciences, anddata management techniques. The emphasis of the detector activity is on research leading to new and more efficientphoton 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 x-rays. 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 lightsources. This activity also supports training in the field of particle beams and their associated accelerator technologies.
This activity also includes long term surveillance and maintenance (LTSM) responsibilities and legacy cleanup work at BNLand SLAC. No funding is requested for LTSM in FY 2018.
Science/Basic Energy Sciences81

FY 2018 Congressional Budget Justification

Basic Energy Sciences
Scientific User Facilities
Activities and Explanation of Changes
FY 2016 Enacted

FY 2018 Request

Scientific User Facilities $966,775,000
Synchrotron Radiation Light Sources $482,667,000
Funding supported near optimal operations of the five
BES light sources, including the first full year ofoperations for the newly constructed NSLS-II. $5M isfor R&D in support of the Advanced Light Source
Upgrade.

$780,148,000$428,206,000
The FY 2018 Request prioritizes funding for four BES
light sources (APS, ALS, NSLS-II, and LCLS). Thesefacilities will reduce operating hours and user support,
including shutting down selected beamlines.
Maintenance, upgrades, and procurement activities
will be deferred. SSRL will operate through the firstquarter of the fiscal year, then the facility willtransition to a warm standby status.
High-Flux Neutron Sources $265,082,000$225,620,000
Funding supported the operation of HFIR and SNS at
The FY 2018 Request provides funding for HFIR andnear optimal levels. Limited funding is included forSNS. These facilities will reduce operating hours andthe Lujan Neutron Scattering Center for the removal
user support, including shutting down selected flightof hazardous materials and planning of the disposition paths. Maintenance, upgrades, and procurementof unused equipment. $10M is provided to accelerate activities will be deferred. No funding is requested tothe progress towards critical decision-1 for the Second the Lujan Neutron Scattering Center for theTarget Station at SNS.
disposition of unused equipment.
Nanoscale Science Research Centers $120,575,000$71,135,000
Funding supported operations at the NSRCs at near
The Request provides funding for three BES Nanoscale
optimal levels. Program emphasis continued to
Science Research Centers (CNM, CNMS, and TMF).
cultivate and expand the user base from universities, These centers will reduce the number of scientificnational laboratories, and industry. Planning efforts
thrusts and core capabilities, and eliminate user
continued to advance the cutting-edge nanostructure support in selected areas. Maintenance andcharacterization capabilities, with an emphasis on
procurement activities will be deferred. No funding is
coupling multi-probes of photon, neutron, andrequested for operations at CINT and CFN.
electron, and planning for future electron scatteringneeds that could address scientific roadblocks toward
observing ultrafast chemical and physical phenomena
at ultra-small size scales in different sample
environments.

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82

Explanation of Changes
FY 2018 vs FY 2016-$186,627,000-$54,461,000
The funding decrease will support below optimal
operations for four BES light sources. SSRL will
operate for limited hours and then transition to awarm standby status. SSRL has the lowest user
demand of the BES light sources in steady-state
operations. No funding is requested for the Advanced
Light Source Upgrade.
-$39,462,000
The funding decrease will support below optimal
operations for HFIR and SNS. No funding is requested
for the Lujan Neutron Scattering Center or for theSecond Target Station at SNS.

-$49,440,000
The funding decrease will support below optimal
operations for three NSRCs. No funding is requested
for operations at CINT and CFN.

FY 2018 Congressional Budget Justification

FY 2016 Enacted
Other Project Costs $0
No funds are requested for Other Project Costs.
Major Items of Equipment $35,500,000
The Advanced Photon Source-Upgrade (APS-U)
project continued with planning and facility design,magnet prototyping, and R&D related to
implementation of the multi-bend achromat latticeduring FY 2016.
The NSLS-II Experimental Tools (NEXT) projectcontinued with the design, procurements,
construction/fabrication, installation, testing andcommissioning of equipment during FY 2016.
Research $31,853,000
The research funding for the scientific user facilities
continued to support selected, high-priority research
activities. This funding supported activities to ensurethat the scientific user facilities continue todemonstrate performance excellence, with focused
efforts to address next generation facilities researchneeds. Emphasis is placed on detectors and optics
instrumentation to allow full utilization of neutron
and photon beams. Funding continued the long term
surveillance and maintenance responsibilities at BNLand SLAC is included.

Science/Basic Energy Sciences

FY 2018 Request

Explanation of Changes
FY 2018 vs FY 2016

$7,900,000
Funds are requested for Other Project Costs for the
LCLS-II project at SLAC National Accelerator
Laboratory per the project plan.
$0
APS-U is transitioned from a Major Item of Equipment(MIE) to line item construction project. No MIE funds
are requested for APS-U.

+$7,900,000
Other Project Costs increases according to the LCLS-II
project plan.

No funds are requested for NEXT in FY 2018.

FY 2016 was the last year of funding for NEXT per the
project plan.

$19,724,000
The FY 2018 Request will support limited high-priority
research activities for detectors and optics
instrumentation. No funding is requested for longterm surveillance and maintenance at BNL and SLAC.

-$12,129,000
The funding decrease will support limited accelerator
and detector research activities. No funding isrequested for long term surveillance andmaintenance.

83-$35,500,000
APS-U is included as a construction project in the
FY 2018 Request.

FY 2018 Congressional Budget Justification

84

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 to generate
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.
Critical Decision-3B (CD-3B), Approve Long Lead Procurements, was approved for the LCLS-II project on May 28, 2015,
authorizing long lead and advanced procurements for key components of the cryoplant and the superconducting linac whichwere on the critical path for the project. 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.
Critical Decision-3B, Approve Long-Lead Procurements, was approved for APS-U on October 6, 2016, authorizing long leadand advanced procurements for accelerator components and associated systems. The project has a preliminary Total Project
Cost (TPC) range of $700,000,000-$1,000,000,000 and TPC point estimate of $770,000,000. The proposed CD-4, Approve
Project Completion, is FY 2026.
All BES construction projects are conceived and planned with the scientific community and, during construction, adhere to
the highest standards of safety and are executed on schedule and within cost through best practices in project
management. In accordance with DOE Order 413.3B, each project is closely monitored and must perform within 10% of thecost and schedule performance baselines, established at Critical Decision 2, Approve Performance Baseline, which are
reproduced in the construction project data sheet.

Science/Basic Energy Sciences85

FY 2018 Congressional Budget Justification

Activities and Explanation of Changes

Basic Energy Sciences
Construction

FY 2016 Enacted

FY 2018 Request

Construction $200,300,000
Linac Coherent Light Source-II (LCLS-II) $200,300,000
The project continued with facility design, initiatedcritical long-lead procurements of technical materials
and cryogenic systems, continued R&D andprototyping activities, and fabricated technicalequipment.

$202,100,000$182,100,000
FY 2018 funding will support the completion of the
major cryomodule and undulator productions lines
and the start of critical installation activities requiring
the shutdown of the LCLS facility. Commissioning
activities for some technical systems will begin in
FY 2018. In addition, the design, long lead andadvance procurements, R&D, prototyping, site
preparation activities, fabrication, installation andtesting activities continue until they have been
completed.
$20,000,000
In FY 2018, APS-U will continue with R&D, engineering
design, equipment prototyping, fabrication, and longlead and advance procurements. In November 2016,
the APS-U project completed the prioritization ofproject beamlines needed to conduct cutting edge
science with the upgraded source. Two of these bestin-class beamlines require conventional civil
construction to extend the beamlines beyond theexisting APS Experimental Hall to achieve the desired
nano-focused beam spot size. As a result, the FY 2018
Request proposes to convert the APS-U project into aline item construction project.

Advanced Photon Source-Upgrade (APS-U) $0
APS-U was included as a Major Item of Equipment
project in FY 2016.

Science/Basic Energy Sciences

86

Explanation of Changes
FY 2018 vs FY 2016+$1,800,000-$18,200,000
Funding for the LCLS-II construction project will
decrease in FY 2018 per the project plan.

+$20,000,000
The project is converted to a line-item construction
project in the FY 2018 Request; the increase is offset
by a corresponding decrease in research, where theproject was funded as an MIE. APS-U funding
continues at the FY 2016 level, consistent with theapproved project plan.

FY 2018 Congressional Budget Justification

Basic Energy Sciences
Performance Measures
In accordance with the GPRA Modernization Act of 2010, the Department sets targets for, and tracks progress toward, achieving performance goals for each program.
FY 2016
FY 2017
FY 2018
Performance Goal
BES Construction/MIE Cost & Schedule - Cost-weighted mean percentage variance from established cost and schedule baselines for major(Measure)
construction, upgrade, or equipment procurement projects
Target< 10 %< 10 %< 10 %
ResultMet
TBD
TBD
Endpoint Target
Adhering to the cost and schedule baselines for a complex, large scale, science project is critical to meeting the scientific requirements for the
project and for being good stewards of the taxpayers’ investment in the project.
Performance Goal
BES Energy Storage - Deliver two high-performance research energy storage prototypes for transportation and the grid that project at the(Measure)
battery pack level to be five times the energy density at 1/5 the cost of the 2011 commercial baseline.
TargetComplete self-consistent system analyses
Develop and demonstrate energy storage
N/A
using techno-economic modeling of threeresearch prototypes that are scalable forelectrochemical couples, identified through transportation and grid applications usingmaterials discovery including output from the concepts beyond lithium ion (multivalent
electrolyte genome, that have the potential to ions, chemical transformation, and nonmeet technical performance and cost criteria. aqueous redox flow), as identified throughmaterials discovery and techno-economic
modeling.
ResultMet
TBD
N/A
Endpoint Target
Three specific outcomes: 1) A library of the fundamental science of the materials and phenomena of energy storage at atomic and molecularlevels; 2) two prototypes, one for transportation and one for the electricity grid, that, when scaled up to manufacturing, have the potential tomeet the Joint Center for Energy Storage Research's (JCESR) 5-5-5 goals; 3) A new paradigm for battery R&D that integrates discovery science,battery design, research prototyping and manufacturing collaboration in a single highly interactive organization.
Performance Goal
BES Facility Operations - Average achieved operation time of BES user facilities as a percentage of total scheduled annual operation time
(Measure)
Target≥ 90 %≥ 90 %≥ 90 %
ResultMet
TBD
TBD
Endpoint Target
Many of the research projects that are undertaken at the Office of Science’s scientific user facilities take a great deal of time, money, and effort toprepare and regularly have a very short window of opportunity to run. If the facility is not operating as expected the experiment could be ruined
or critically setback. In addition, taxpayers have invested millions or even hundreds of millions of dollars in these facilities. The greater the periodof reliable operations, the greater the return on the taxpayers’ investment.
Performance Goal
BES Research - Conduct discovery-focused research to increase our understanding of matter, materials and their properties(Measure)

Science/Basic Energy Sciences87

FY 2018 Congressional Budget Justification

FY 2016

TargetResultEndpoint Target

FY 2018
N/A
Expand computational materials and chemical
discovery through increased data production andadditional online computational resources: addelastic and electronic properties data for 5000
compounds and 5,000 reaction energies for catalytic
reactions to publicly available databases; add new or
expanded functionality to on-line, high performancecomputer software/codes for prediction of materials
properties.
N/A
N/A
TBD
Understand, predict, and ultimately control matter and energy at the electronic, atomic, and molecular levels

Science/Basic Energy Sciences

FY 2017
N/A

88

FY 2018 Congressional Budget Justification

Basic Energy Science
Capital Summary ($K)
FY 2018 vs
FY 2016-

21,5001,000
3,500
26,000-64,975-10,000-5,040-80,015

20,000015,50035,50050,97586,475-000021,50021,500-20,000
0-15,500-35,500-29,475-64,975n/a

11,000-1,000-10,000

n/a

8,540

-

3,500

-5,040Prior Years

FY 2016
Enacted

n/a
n/a
n/a
n/a

n/a
n/a
n/a
n/a

86,475
11,0008,540
106,015——
90,000n/an/an/a

80,00085,60052,000n/an/an/aGeneral Plant Projects (GPP)
Other general plant projects under $5 million TEC

n/a

Accelerator Improvement Projects (AIP)
Accelerator improvement projects under $5 million TEC

n/aCapital Operating Expenses Summary
Capital Equipment
General Plant Projects (GPP)
Accelerator Improvement Projects (AIP)
Total, Capital Operating Expenses
Capital Equipment
Major Items of Equipment
Advanced Photon Source Upgrade (APS-U), ANL (TPC TBD)
Linac Coherent Light Source-II (LCLS-II), SLAC b,c
NSLS-II Experimental Tools (NEXT), BNL (TPC $90,000)
Total, Major Items of Equipment
Total, Non-MIE Capital Equipment
Total, Capital equipment

FY 2017
Annualized
CR ∗a

FY 2018
RequestTotal

a

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional control
level and above, below that level, a dash (-) is shown.
b
LCLS-II is requested as a line item construction project beginning in FY 2014.
c
LCLS-II received $85,600,000 in FY 2010–FY 2013 as an MIE.
Science/Basic Energy Sciences89

FY 2018 Congressional Budget Justification

Construction Projects Summary ($K)

13-SC-10, Linac Coherent Light Source-II (LCLS-II), SLAC
TEC
OPC
TPC
18-SC-10, Advanced Photon Source Upgrade (APS-U), ANL
TEC
OPC
TPC
Total, Construction
TEC
OPC
TPC

Total

Prior Years

FY 2016
EnactedFY 2017
EnactedFY 2018
RequestFY 2018 vs
FY 2016

993,100
51,9001,045,000

142,700
28,600171,300 a

200,300
0200,300

190,000
190,000

182,100
7,900
190,000-18,200+7,900-10,300——
770,000

0
0
0

0
0
0

0
0
0

20,0000
20,000+20,0000+20,000

n/a
n/a
n/a

n/a
n/a
n/a

200,300
0200,300

190,0000
190,000

202,100
7,900
210,000+1,800+7,900+9,700Funding Summary ($K)

Research
Scientific User Facilities Operations
Major Items of Equipment
Construction Projects (includes OPC)
Other cTotal, Basic Energy Sciences

FY 2016 Enacted
689,288868,324
35,500200,300
55,588
1,849,000

FY 2017 Annualized CR b
1,845,485

FY 2018 Request
570,126
732,8610
202,100
49,413
1,554,500

FY 2018 vs FY 2016
-119,162-135,463-35,500+1,800-6,175-294,500a

LCLS-II received $85,600,000 in FY 2010-FY 2013 as an MIE.
FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above, below that level, a dash (-) is shown.
cIncludes SBIR/STTR funding and non-Facility related GPP.
b

Science/Basic Energy Sciences90

FY 2018 Congressional Budget Justification

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.

TYPE A FACILITIESAdvanced Light Source
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours

FY 2016 Enacted

FY 2017 AnnualizedCR ∗FY 2018 Request

FY 2018 vs FY 2016

$68,240
2,317
5,017
4,550
5,300
94.7%
<10%

-

$59,010
2,000
N/A
4,500
5,300
84.9%
<10%

-$9,230
-317
N/A
-50
0
N/A
N/A

∗

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above, below that level, a dash (-) is shown.
Science/Basic Energy Sciences91

FY 2018 Congressional Budget Justification

FY 2017 AnnualizedCR ∗-FY 2016 Enacted
Advanced Photon Source
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$130,670
5,521
4,934
5,000
5,000
98.7%
<10%

National Synchrotron Light Source-II, BNL$110,000

Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours
Stanford Synchrotron Radiation Lightsource
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours

a

-

477
3,446
3,740
3,300
104.4%
N/A-$41,088

-

1,641
4,892
5,000
5,400
90.6%
<10%

FY 2018 Request

FY 2018 vs FY 2016

$122,075
4,800
N/A
4,300
5,000
86.0%
<10%

-$8,595
-721
N/A
-700
0
N/A
N/A

$102,952-$7,048

800
N/A
4,300
5,000 a
86.0%
<10%

+323
N/A
+560
+1,700
N/A
N/A$20,000-$21,088

400
N/A
1,300
5,400
24.1%
<10%

-1,241
N/A-3,7000
N/A
N/A

Optimal hours increased as the facility is in a ramp up phase.

Science/Basic Energy Sciences92

FY 2018 Congressional Budget Justification

Linac Coherent Light Source
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$132,669
1,062
5,277
5,500
5,500
95.9%
<10%

FY 2017 Annualized
CR ∗-High Flux Isotope Reactor
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$63,419
450
4,076
3,700
3,700
110.2%<10%-$56,773
370
N/A
3,100
3,700
83.8%
<10%

-$6,646
-80
N/A
-600
0
N/A
N/A

Lujan Neutron Scattering Center
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$3,000
N/A
0
0
N/A
N/A

-

$0
N/A
0
0
N/A
N/A

-$3,000
N/A
0
0
N/A
N/A

Spallation Neutron Source
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$198,663
893
4,972
4,700
4,700
105.8%<10%-$168,847
650
N/A
3,700
4,500 a82.2%
<10%-$29,816-243
N/A-1,000
-200
N/A
N/A

FY 2016 Enacteda

FY 2018 Request

FY 2018 vs FY 2016

$124,169
850
N/A
4,300
5,000
86.0%
<10%

-$8,500-212
N/A-1,200
-500
N/A
N/A

Optimal hours decreased for scheduled maintenance.

Science/Basic Energy Sciences93

FY 2018 Congressional Budget Justification

FY 2016 Enacted

FY 2018 Request

FY 2018 vs FY 2016

TYPE B FACILITIESCenter for Nanoscale Materials
Number of users

FY 2017 Annualized
CR ∗$24,877566-$22,913400-$1,964-166

Center for Functional Nanomaterials
Number of users$21,344
505

-

$0
0

-$21,344-505

Molecular Foundry
Number of users$28,017774-$25,823500-$2,194-274

Center for Nanophase Materials Sciences
Number of users$24,232601-$22,399400-$1,833-201

Center for Integrated Nanotechnologies$22,105-$0-$22,105

574

-

0

-574

$868,324
15,381
32,61432,19032,900101.1%<10%-$724,961
11,170N/A
25,50033,90082.8%<10%-$143,363-4,211
N/A-6,690+1,000
N/A
N/A

Number of users
Total, All Facilities
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent of optimal hours
Unscheduled downtime hours

Science/Basic Energy Sciences94

FY 2018 Congressional Budget Justification

Scientific Employment

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

FY 2016 Enacted
4,330
1,120
1,660
2,900

FY 2017 Annualized CR a-

FY 2018 Estimate
3,730
1,020
1,580
2,360

FY 2018 vs FY 2016
-600
-100
-80
-540

a

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional control
level and above, below that level, a dash (-) is shown.
b
Includes technicians, support staff, and similar positions.
Science/Basic Energy Sciences95

FY 2018 Congressional Budget Justification

96

13-SC-10, Linac Coherent Light Source-II
SLAC National Accelerator Laboratory, Menlo Park, California
Project is for Design and Construction
1.

Significant Changes and Summary

Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2017 CPDS and does not include a new start for thebudget year.
The FY 2018 Request for the Linac Coherent Light Source-II (LCLS-II) is $182,100,000. In March 2016, the project received
approval of CD-2, Approve Performance Baseline and CD-3, Approve Start of Construction. The total project cost (TPC) is$1,045,000,000 and CD-4 is June 2022.
Summary
The most recent DOE 413.3B approved Critical Decisions (CD) are CD-2/3, (Approve Performance Baseline and Approve Startof Construction) that were approved on March 21, 2016.
A Federal Project Director has been assigned to this project and has approved this CPDS.
The LCLS-II project will construct a new high repetition rate electron injector and replace the first kilometer of the existing
linac with a 4 GeV superconducting linac to create the electron beam required for x-ray production in the 0.2–5 keV range
with a repetition rate near 1 MHz. The new electron beam will be transported to the existing undulator hall and will becapable of feeding either of the two new variable gap undulators. At the completion of the LCLS-II project, the facility will
operate two independent electron linacs and two independent x-ray sources, supporting up to six experiment stations. A
liquid helium refrigeration plant is required to cool the linac to superconducting temperatures and a building will be
constructed to house the refrigeration plant equipment. Modifications to the existing experimental halls, beam transportand switchyard areas, and to the experimental equipment will be made as necessary to maximize the use of the new x-ray
source.
FY 2016 funding continued activities for design, long lead and advance procurements (LLP/APs), R&D, prototyping, site
preparation activities (which includes the removal of original linac equipment), fabrication, installation, and construction
activities after CD-2/CD-3 approval. FY 2017 funding is critical for the procurement of materials and equipment needed tomaintain the project schedule and expand the construction efforts. Design, LLP/APs, R&D, prototyping, site preparation
activities, fabrication, and installation also continue in FY 2017. FY 2018 funding will support the completion of the major
cryomodule and undulator production lines and the start of critical installation activities requiring the shutdown of the LCLS
facility. Commissioning activities for some technical systems will begin in FY 2018. In addition, the design, LLP/APs, R&D,
prototyping, site preparation activities, fabrication, installation, and testing activities from FY 2017 will carry forward into FY
2018 and beyond until they have been completed.
2.

Critical Milestone History
CD-0
FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018

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

Conceptual
DesignCompleteCD-1

10/14/2011
10/14/2011
10/14/2011
1/21/2014 8/22/2014
1/21/2014 8/22/2014
1/21/2014 8/22/2014(fiscal quarter or date)
Final
CD-2
DesignComplete
1Q FY 2013 4Q FY 2016
4Q FY 2013 4Q FY 2016
4Q FY 2015 4Q FY 2017
2Q FY 2016 4Q FY 2017
2Q FY 2016 4Q FY 2017
3/21/2016 4Q FY 2017

Science/Basic Energy Sciences/13-SC-10, Linac Coherent Light Source-II

CD-3

D&D
Complete

CD-4

3Q FY 2013
4Q FY 2013
4Q FY 2016
2Q FY 2016
2Q FY 2016
3/21/2016

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

4Q FY 2019
4Q FY 2019
4Q FY 2021
4Q FY 2021
3Q FY 2022
6/30/2022

FY 2018 Congressional Budget Justification97

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

FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018

Performance
Baseline
Validation
1Q FY 2013
4Q FY 2013
4Q FY 2015
2Q FY 2016
2Q FY 2016
3/21/2016

CD-3A a3/14/2012
3/14/2012
3/14/2012
3/14/2012
3/14/2012
3/14/2012

CD-3B

3Q FY 2015
5/28/2015
5/28/2015

CD-3A – Approve Long-Lead Procurements, Original Scope
CD-3B – Approve Long-Lead Procurements, Revised Scope
3.

Project Cost History

TEC, Design
FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018 b
4.

18,00018,00047,00047,00047,00047,000TEC,
Construction
367,000
367,000
799,400
869,400
946,100
946,100(dollars in thousands)
OPC, Except
TEC, Total
D&D
385,000
20,000385,000
20,000846,400
48,600916,400
48,600993,100
51,900993,100
51,900

OPC, D&D

OPC, Total

TPC

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

20,00020,00048,60048,60051,90051,900405,000
405,000
895,000
965,000
1,045,000
1,045,000

Project Scope and Justification

Scope
The SLAC National Accelerator Laboratory’s (SLAC) advances in the creation, compression, transport, and monitoring ofbright electron beams have spawned a new generation of x-ray radiation sources based on linear accelerators rather than on
storage rings. The Linac Coherent Light Source (LCLS) produces a high-brightness x-ray beam with properties vastly
exceeding those of current x-ray sources in three key areas: peak brightness, coherence, and ultrashort pulses. The peakbrightness of the LCLS is 10 billion times greater than current synchrotrons, providing up to 1012 x-ray photons in a pulse
with duration in the range of 3–500 femtoseconds. These characteristics of the LCLS have opened new realms of research inthe chemical, material, and biological sciences. LCLS-II will build on the success of LCLS by expanding the spectral range of
hard x-rays produced at the facility by adding a new high repetition rate, spectrally tunable x-ray source. The repetition rate
for x-ray production in the 0.2–5 keV range will be increased by at least a factor of 1,000 to yield unprecedented highaverage brightness x-rays that will be unique worldwide.
a

CD-3A was approved as part of the original project scope prior to the July 2013 BESAC recommendation. All original project
scope long lead procurement work was suspended.
b
Includes MIE funding of $7,000,000 for the design phase and $60,000,000 for the construction phase, which results in$67,000,000 of TEC funding, as well as $18,600,000 of OPC funding, for a total of $85,600,000 of MIE funding in the TPC.
Science/Basic Energy Sciences/13-SC-10, Linac Coherent Light Source-II
FY 2018 Congressional Budget Justification

98

LCLS is based on the existing SLAC linear accelerator (linac), which is not a superconducting linac. The linac was originallydesigned to accelerate electrons and positrons to 50 GeV for colliding beam experiments and for nuclear and high energy
physics experiments on fixed targets. It was later adapted for use as a free electron laser (FEL, the LCLS facility) and foradvanced accelerator research. At present, the last third of the 3 kilometer linac is being used to operate the LCLS facility,
and the first 2 kilometers are used for advanced accelerator research.
The revised scope of the LCLS-II project is based on the July 2013 Basic Energy Sciences Advisory Committee (BESAC) report
and will construct a new high repetition rate electron injector and replace the first kilometer of the linac with a 4 GeV
superconducting linac to create the electron beam required for x-ray production in the 0.2–5 keV range with a repetition
rate near 1 MHz. The new electron beam will be transported to the existing undulator hall and will be capable of feeding
either of the two new variable gap undulators. The revised project will require cryogenic cooling to operate the linac at
superconducting temperatures. The increased cryogenic capacity will require increasing the cryogenic equipment building
size to approximately 20,000 square foot.
The third kilometer of the linac will continue to produce 14 GeV electron bunches for hard x-ray production at a 120 Hz
repetition rate. The electron bunches will be sent to both of the new undulators to produce two simultaneous x-ray beams.
The x-ray beams will span a tunable photon energy range of 1 to 25 keV, beyond the range of the existing LCLS facility, andthey will incorporate “self-seeding sections” to greatly enhance the longitudinal coherence of the x-ray beams. The middle
kilometer of the existing linac will not be used as part of LCLS-II but will continue to be used for advanced accelerator
research. It would be available for future expansion of the LCLS-II capabilities.
At the completion of the LCLS-II project, the facility will operate two independent electron linacs and two independent x-ray
sources, supporting up to six experiment stations. Both the capability and capacity of the facility will be significantly
enhanced. The combined characteristics (spectral content, peak power, average brightness, pulse duration, and coherence)of the new x-ray sources will surpass the present capabilities of the LCLS beam in spectral tuning range and brightness. The
high repetition rate will accommodate more experiments. Furthermore, the two new undulators will be independently
controlled to enable more experiments to be conducted simultaneously.
Experience with LCLS has, for the first time, provided data on performance of the x-ray instrumentation and optics required
for scientific experiments with the LCLS. The LCLS-II project will take advantage of this knowledge base to design LCLS-II x-raytransport, optics, and diagnostics matched to the characteristics of these sources. The LCLS-II project scope is able toleverage the existing suite of LCLS instrumentation for characterization of the x-ray sources with moderate upgrades
primarily to address the higher repetition rate operation.
The existing LCLS Beam Transport and Undulator Hall will be modified as necessary to house the new undulators, electron
beam dumps, and x-ray optics. The existing experimental stations will be updated as necessary for the exploitation of the
new x-ray sources. In contrast to the initial version of the project, construction of a new undulator tunnel and a new
instrument suite will not be required.
The LCLS-II project developed strategic partnerships with other SC laboratories for the design, fabrication, installation, andcommissioning of the new superconducting linear accelerator, the high repetition rate electron injector and the newvariable gap undulators.
Prior to implementing the revised LCLS-II project, the original LCLS-II scope included construction of the Sector 10 Annex
with a total cost of $8.2M. The construction costs are included in the preliminary Total Project Cost of $1,045M.
Justification
The LCLS-II project’s purpose is to expand the x-ray spectral operating range and the user capacity of the existing LCLS
facility. The expanded spectral range will enable researchers to tackle new research frontiers. The capacity increase iscritically needed as the demand for LCLS capabilities far exceeds the available time allocation to users. In FY 2015, only
about 20% of the experiment proposals received beam time. The addition of a second x-ray source will allow two or moreexperiments to be run simultaneously. The revised LCLS-II presented here is informed by the 2013 BESAC recommendations
Science/Basic Energy Sciences/13-SC-10, Linac Coherent Light Source-II
FY 2018 Congressional Budget Justification99

to provide “high repetition rate, ultra-bright, transform limited, femtosecond x-ray pulses over a broad photon energy(about 0.2–5 keV) with full spatial and temporal coherence” and the “linac should feed multiple independently tunable
undulators each of which could have multiple endstations.” Collectively, the project will enable groundbreaking research in awide range of scientific disciplines in chemical, material and biological sciences.
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 LCLS is upgrading the existing x-ray free electron laser at SLAC with a new superconducting
accelerator and x-ray sources.
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, 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. If project performance is sustained and funds are available, the project will strive to attain the
Objective KPPs.
Preliminary LCLS-II Key Performance Parameters
Performance Measure
Variable gap undulators
Superconducting linac-based FEL system
Superconducting linac electron beam energy
Superconducting linac repetition rate
Superconducting linac charge per bunch
Photon beam energy range
High repetition rate capable end stations
FEL photon quantity (10-3 BW a)
Normal conducting linac-based system
Normal conducting linac electron beamenergyNormal conducting linac repetition rate
Normal conducting linac charge per bunch
Photon beam energy range
Low repetition rate capable end stations
FEL photon quantity (10-3 BWa)

Threshold2 (soft and hard x-ray)

Objective
2 (soft and hard x-ray)

3.5 GeV
93 kHz0.02 nC
250–3,800 eV≥1
5x108 (10x spontaneous @ 2,500
eV)≥ 4 GeV929 kHz0.1 nC
200–5,000 eV≥2> 1011 @ 3,800 eV

13.6 GeV

15 GeV

120 Hz0.1 nC
1,000–15,000 eV≥21010 (lasing @ 15,000 eV)

120 Hz0.25 nC
1,000–25,000 eV≥3> 1012 @ 15,000 eVa

Fractional bandwidth. The specified KPPs are the number of photons with an energy within 0.1% of the specified central
value.
Science/Basic Energy Sciences/13-SC-10, Linac Coherent Light Source-II
FY 2018 Congressional Budget Justification

100

5.

Preliminary Financial Schedule

Total Estimated Cost (TEC)
Design phase
MIE funding
FY 2012FY 2013 b
Total, MIE fundingLine item construction funding
FY 2014
FY 2015
FY 2016
FY 2017
Total, Line item construction funding
Total, Design phase
Construction phase
MIE funding
FY 2012FY 2013c
FY 2014
FY 2015
FY 2016
FY 2017
Total, MIE fundingLine item construction funding
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, Line item construction funding
Total, Construction phase

Appropriations(dollars in thousands)
Obligations

2,000
5,000
7,000

2,000
5,000
7,000

2,000
5,000
7,000

4,000
21,00015,000040,00047,0004,000
21,00015,000040,00047,0002,040
9,089
20,5008,371
40,00047,00042,500 c
17,500000060,00020,00040,000000060,00013,86233,423
12,256455
0
460,00071,700117,700
185,300
190,000
182,100
139,300
0886,100
946,100

71,700117,700
185,300
190,000
182,100
139,300
0886,100
946,100

16,67365,442
125,476
312,079
221,374
139,600
5,456
886,100
946,100a

Costs aCosts through FY 2016 reflect actual costs; costs for FY 2017 and the outyears are estimates. The split between design
costs and construction costs were updated for FY 2014 and FY 2015.
b
FY 2013 funding was requested as a line item, but due to a Continuing Resolution, FY 2013 funds were executed as an MIE.
c
FY 2012 funding shown includes $22,500,000 of prior year balances from FY 2012 that was reallocated to the LCLS-II
project during FY 2013.
b
Costs through FY 2016 reflect actual costs; costs for FY 2017 and the outyears are estimates. The split between design
costs and construction costs were updated for FY 2014 and FY 2015.
c
FY 2013 funding was requested as a line item, but due to a Continuing Resolution, FY 2013 funds were executed as an MIE.
dAmounts shown include MIE funding of $67,000,000 in the TEC, $18,600,000 in the OPC, and $85,600,000 in the TPC.
Science/Basic Energy Sciences/13-SC-10, Linac Coherent Light Source-II
FY 2018 Congressional Budget Justification101

(dollars in thousands)
Appropriations
Obligations
TEC
MIE funding
FY 2012FY 2013 c
FY 2014
FY 2015
FY 2016
FY 2017
Total, MIE fundingLine item construction funding
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, Line item construction funding
Total, TECd
Other Project Cost (OPC)
OPC except D&D
MIE funding
FY 2010
FY 2011
FY 2012FY 2013aa
FY 2014
FY 2015
FY 2016
FY 2017
Total, MIE fundingLine item construction funding
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, Line item construction funding
Total, OPC

Costs a44,500a
22,5000000
67,00022,00045,0000000
67,00015,862
38,423
12,256455
0
467,00075,700138,700
200,300
190,000
182,100
139,300
0926,100
993,100

75,700138,700
200,300
190,000
182,100
139,300
0926,100
993,100

18,71374,531
145,976
320,450
221,374
139,600
5,456
926,100
993,100

1,126
9,474
8,000
0
0
0
0
0
18,600

1,126
9,474
8,000
0
0
0
0
0
18,600

938
8,033
8,893
116
439
10
0
171
18,60010,000
9,300
0
0
7,900
6,100
0
33,30051,90010,000
9,300
0
0
7,900
6,100
0
33,30051,900

8,142
2,650
34
2,000
10,0009,966
508
33,30051,900a

FY 2013 funding was requested as a line item, but due to a Continuing Resolution, FY 2013 funds were executed as an MIE.
Science/Basic Energy Sciences/13-SC-10, Linac Coherent Light Source-II
FY 2018 Congressional Budget Justification

102

(dollars in thousands)
Appropriations
Obligations
Total Project Cost (TPC)
MIE funding
FY 2010
FY 2011
FY 2012FY 2013a
FY 2014
FY 2015
FY 2016
FY 2017
Total, MIE fundingLine item construction funding
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, Line item construction funding
Total, TPCd
6.

Costs a

1,126
9,474
52,500ca
22,500000085,6001,126
9,474
30,00045,000000085,600938
8,033
24,75538,53912,695465
0
175
85,60085,700148,000
200,300
190,000
190,000
145,400
0959,400
1,045,000

85,700148,000
200,300
190,000
190,000
145,400
0959,400
1,045,000

26,855
77,181
146,010
322,450
231,374
149,566
5,964
959,400
1,045,000

Details of Project Cost Estimate(dollars in thousands)
Current Total
Previous Total
Original Validated
Estimate
Estimate
Baseline
Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Site Preparation
Equipment
Other Construction
Contingency
Total, Construction
Total, TEC b
Contingency, TEC

42,4004,600
47,00040,7506,250
47,00042,125
4,875
47,00024,700692,742
58,500170,158
946,100
993,100
174,758

24,700672,900
58,500190,000
946,100
993,100
196,250

24,700678,205
58,500184,695
946,100
993,100
189,570

Other Project Cost (OPC)
OPC except D&Db

Costs through FY 2016 reflect actual costs; costs for FY 2017 and the outyears are estimates. The split between design
costs and construction costs were updated for FY 2014 and FY 2015.
c
FY 2012 funding shown includes $22,500,000 of prior year balances from FY 2012 that was reallocated to the LCLS-II
project during FY 2013.
dCosts through FY 2016 reflect actual costs; costs for FY 2017 and the outyears are estimates.
b
Amounts shown include MIE funding of $67,000,000 in the TEC, $18,600,000 in the OPC, and $85,600,000 in the TPC.
Science/Basic Energy Sciences/13-SC-10, Linac Coherent Light Source-II
FY 2018 Congressional Budget Justification

103

7.

Conceptual Planning
Conceptual Design
Research and Development
Start-UpContingency
Total, OPC
Contingency, OPC(dollars in thousands)
Current Total
Previous Total
Original Validated
Estimate
Estimate
Baseline
1,980
1,980
1,980
23,40823,40823,408
1,972
1,972
1,972
15,79015,79015,790
8,750
8,750
8,750
51,90051,90051,900
8,750
8,750
8,750

Total, TPCb
Total, Contingency

1,045,000
183,508

1,045,000
198,320

Schedule of Appropriations Requests

RequestFY 2012(MIE)
FY 2013 a(MIE)
FY 2014

FY 2015

FY 2016

FY 2017

FY 20188.

1,045,000
205,000

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

Prior
Years
22,00018,60040,600165,800
19,300185,100
162,000
19,300181,300
142,700
28,600171,300
142,700
28,600171,300
142,700
28,600171,300
142,700
28,600171,300(dollars in thousands)
FY 2015
TBD
TBD
TBD
94,000094,000122,500
0
122,500
138,700
9,300
148,000
138,700
9,300
148,000
138,700
9,300
148,000
138,700
9,300
148,000

FY 2016
TBD
TBD
TBD
105,300
700
106,000
100,500
700
101,200
204,000
0
204,000
200,300
0200,300
200,300
0200,300
200,300
0200,300

FY 2017
TBD
TBD
TBD
19,900019,900000185,100
0
185,100
189,100
0
189,100
190,0000
190,000
190,0000
190,000

FY 2018
TBD
TBD
TBD
0
0
0
0
0
0
156,000
5,900
161,900
176,000
5,900
181,900
192,100
7,900
200,000
182,100
7,900
190,000

FY 2019
TBD
TBD
TBD
0
0
0
0
0
0
19,9004,800
24,70069,6004,800
74,400129,300
6,100
135,400
139,300
6,100
145,400

FY 2020
TBD
TBD
TBD
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0

Outyears
TBD
TBD
TBD
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0

Total
TBD
TBD
TBD
385,000
20,000405,000
385,000
20,000405,000
846,400
48,600895,000
916,400
48,600965,000
993,100
51,9001,045,000
993,100
51,9001,045,000

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)

4Q FY 2021
25
4Q FY 2046

(Related Funding Requirements)a

FY 2013 funding was requested as a line item, but due to a Continuing Resolution, FY 2013 funds were executed as an MIE.
Science/Basic Energy Sciences/13-SC-10, Linac Coherent Light Source-II
FY 2018 Congressional Budget Justification

104

Annual Costs
Current Total
Previous Total
Estimate
Estimate
Operations andMaintenance$38.6M$38.6M

Life Cycle Costs
Current Total
Previous Total
Estimate
Estimate$1,317.0M$1,317.0M

The numbers presented are the incremental lifecycle operations and maintenance costs above the existing LCLS. The
estimate will be updated as the project is executed.
9.

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 SLAC ..........................................

~20,000

Area of D&D in this project at SLAC ....................................................................

0

Area at SLAC to be transferred, sold, and/or D&D outside the project includingarea previously “banked” ....................................................................................

~20,000

Area of D&D in this project at other sites ............................................................

0

Area at other sites to be transferred, sold, and/or D&D outside the project
including area previously “banked” ....................................................................

0

Total area eliminated ..........................................................................................

~20,000

Prior to implementing the revised LCLS-II project, the original LCLS-II scope included construction of the Sector 10 Annex.
This facility is 2,275 ft2 and was offset by demolition of a 1,630 ft2 building with the balance offset using banked space. The
information above reflects only the new construction associated with the revised project.
10. Acquisition Approach
DOE has determined that the LCLS-II 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 project has been completed and will be revised based on the new technicalparameters. Key design activities, requirements, and high-risk subsystem components will be identified to reduce cost andschedule 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 is partnering with other SC 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 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.
Science/Basic Energy Sciences/13-SC-10, Linac Coherent Light Source-II

FY 2018 Congressional Budget Justification

105All subcontracts will be competitively bid and awarded based on best value to the government. Project performance metrics
for SLAC are included in the M&O contractor’s annual performance evaluation and measurement plan.
Lessons learned from the LCLS Project and other similar facilities will be exploited fully in planning and executing LCLS-II.

Science/Basic Energy Sciences/13-SC-10, Linac Coherent Light Source-II

FY 2018 Congressional Budget Justification

106

18-SC-10, Advanced Photon Source-Upgrade
Argonne National Laboratory, Argonne, Illinois
Project Data Sheet is for PED/Construction
1.

Significant Changes and Summary

Significant Changes
This is the first project data sheet submitted for the Advanced Photon Source-Upgrade (APS-U) as a line item construction
project. APS-U was first proposed as a Major Item of Equipment (MIE) project in the FY 2012 President’s Budget Request.
In November 2016, the APS-U project completed the prioritization of project beamlines needed to conduct cutting edge
science with the upgraded source. Two of these 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. As a result,
the FY 2018 Request proposes to convert the APS-U MIE project into a line item construction project.
Summary
The most recent DOE O 413.3B approved Critical Decision, CD-3B (Approve Long-Lead Procurements), was approved on
October 6, 2016. The project has a preliminary Total Project Cost (TPC) range of $700,000,000-$1,000,000,000 and TPC point
estimate of $770,000,000. The proposed CD-4, Approve Project Completion, is FY 2026.
A Federal Project Director has been assigned to this project and is certified to level IV.
The APS-U project will deliver a next-generation high-energy x-ray storage ring optimized for providing hard x-rays (>20 keV)
to experiments. The APS-U project includes advanced beamlines, optics and detectors, and will result in narrow nanofocused x-ray beams ideal for imaging. This project includes the design and construction of the APS-U accelerator
incorporating a multi-bend achromat (MBA) magnet lattice, insertion devices, front ends, beamlines/experimental stations,and any required modifications to the linac, booster, and radio frequency (RF) systems. APS-U will exceed the current APS
performance by 2 to 3 orders of magnitude in brightness and coherent flux. The upgrade will provide brighter and more
intense beams at all beamline locations and improved performance capabilities.
In FY 2016, APS-U continued activities associated with research and development (R&D), engineering design, equipment
prototyping, and equipment fabrication in preparation for long lead procurements. In FY 2017, APS-U continues with R&D,
engineering design, pre-production prototyping, fabrication, and long lead and advance procurements (LLP/APs) of criticalsystems. In FY 2018, APS-U continues with R&D, engineering design, equipment prototyping, fabrication, and LLP/APs.
2.

Critical Milestone History

FY 2018 aConceptual
CD-0
DesignComplete
4/22/2010 9/18/2015

CD-1
2/04/2016(fiscal quarter or date)
Final
CD-2
DesignCD-3Complete
1Q FY 2019 2Q FY 2020 4Q FY 2019

D&D
Complete

CD-4

N/A

1Q 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 Design Scope and Project Cost and Schedule Ranges
CD-2 – Approve Project Performance Baseline
Final Design Complete – Estimated/Actual date the project design will be/was complete(d)CD-3 – Approve Start of ConstructionaThis project is pre-CD-2; the estimated cost and schedule are preliminary. Construction will not be executed without
appropriate CD approvals.
Science/Basic Energy Sciences/18-SC-10, Advanced Photon Source-Upgrade
FY 2018 Congressional Budget Justification

107

D&D Complete – Completion of D&D workCD-4 – Approve Project Completion

FY 2018

Performance
Baseline
Validation
1Q FY 2019CD-3A
8/30/2012

CD-3B
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.
3.

Project Cost History

TEC, Design
FY 2018 a4.

141,015

TEC,
Construction
577,985(dollars in thousands)
OPC, Except
TEC, Total
OPC, D&D
D&D
719,000
51,000N/A

OPC, Total

TPC

51,000770,000

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,
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 than currently available. High-energy
penetrating x-rays are critical for probing materials under real working environments, such as in a battery or fuel cell underload conditions.
By building on the existing APS facility at Argonne National Laboratory (ANL), for significantly less than the replacement costof APS, the APS-U will provide a world-leading hard x-ray synchrotron radiation facility, which will be a unique 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. acomplementary 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 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 a multi-bend achromat (MBA) lattice utilizing the existingtunnel, 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 radio frequency (RF) systems. The MBA
lattice will provide 100-1000 times increased brightness and coherent flux. The project will construct new beamlines andincorporate substantial refurbishment of existing beamlines, along with new optics and detectors that will enable thebeamlines 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.

aThis project is pre-CD-2; the estimated cost and schedule are preliminary. Construction will not be executed without
appropriate CD approvals.
Science/Basic Energy Sciences/18-SC-10, Advanced Photon Source-Upgrade
FY 2018 Congressional Budget Justification

108

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.
Justification
BES’s mission is to “support fundamental research to understand, predict, and ultimately control matter and energy at theelectronic, 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 (ESRF) in France, PETRA-III in Germany,and SPring-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 next
generation 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 a multi-bend achromat (MBA)-based
machine, and will provide a beam with a natural emittance that is orders of magnitude lower than what is currently
available with third-generation light sources. With this investment and the current APS infrastructure, the APS-U will
position the APS as the leading 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 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 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 strive to attain the objective KPPs. The KPPs presented
here are preliminary, pre-baseline values. The final key parameters will be established as part of CD-2, Approve Project
Performance Baseline.
Preliminary APS-U Key Performance Parameters
Performance Measure
Storage Ring Energy
Beam Current
Horizontal Emittance
Brightness @ 20 keV1
Brightness @ 65 keV2
New MBA Beamlines

Threshold> 5.7 GeV, with systems installed
for 6 GeV operation> 25 mA in top-up with systems
installed for 200 mA operation< 150 pm-rad> 2 x 1020
> 2 x 1019
5

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

Objective
6 GeV
200 mA in top-up
75 pm-rad
2.5 x 1021
6 x 1020
6

FY 2018 Congressional Budget Justification

109

Performance MeasureThresholdObjective
2
2
Units = photons/sec/0.1% BW/mm /mrad ; determined from a 2.75 cm period, 2.4 m long permanent magnet undulator
2
Units = photons/sec/0.1% BW/mm2/mrad2; determined from a 1.6 cm period, 1.5 m long superconducting undulator
1

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

FY 2018 Congressional Budget Justification

110

5.

Preliminary Financial Schedule(dollars in thousands)
Appropriations
Obligations
Total Estimated Cost (TEC)
Design phase
MIE 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
FY 2022
Total, Line item construction funding
Total, Design phase
Construction phase
MIE funding
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
Total, MIE fundingLine item construction funding
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
FY 2024
FY 2025
Total, Line item construction funding
Total, Construction phase

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

Costs

19,20015,00017,01520,00020,00030,00000121,215

19,20015,00017,01520,00020,00030,00000121,215

8,679
17,825
13,122
19,67822,52927,00011,000
1,382
121,215

9,300
23,0003,500
0035,800157,015

9,300
23,0003,500
0035,800157,0158,500
22,500
3,000
1,400
400
35,800157,015

800
5,000
2,985
0
0
12,500014,785

800
5,000
2,985
0
0
12,500014,785

416
3,391
4,301
677
0
11,800700
14,785

10,70068,691
161,500
160,000
82,50079,80900563,200
577,985

10,70068,691
161,500
160,000
82,50079,80900563,200
577,985

9,500
65,000153,000
151,000
80,00074,00024,0006,700
563,200
577,985

FY 2018 Congressional Budget Justification

111

TEC

(dollars in thousands)
Appropriations
Obligations

MIE 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
FY 2022
FY 2023
FY 2024
FY 2025
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
FY 2024
FY 2025
Total, Line item construction funding
Total, OPC

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

Costs

20,00020,00020,00020,00020,00020,0000
0120,000

20,00020,00020,00020,00020,00020,0000
0120,000

9,095
21,216
17,423
20,35522,52923,3004,700
1,382
120,000

20,00091,691
165,000
160,000
82,50079,80900599,000
719,000

20,00091,691
165,000
160,000
82,50079,80900599,000
719,000

18,00087,500156,000
152,400
80,40074,00024,0006,700
599,000
719,000

1,000
7,500
0
8,500

1,000
7,500
0
8,500

587
3,696
4,217
8,500

5,000
27,50010,0000042,50051,0005,000
27,50010,0000042,50051,0004,500
26,500
9,400
1,700
400
42,50051,000FY 2018 Congressional Budget Justification112

Total Project Cost (TPC)
MIE funding
FY 2010
FY 2011
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
FY 2022
FY 2023
FY 2024
FY 2025
Total, Line item construction funding
Total, TPC
6.

(dollars in thousands)
Appropriations
Obligations

Costs

1,000
7,500
20,00020,00020,00020,00020,00020,00000128,500

1,000
7,500
20,00020,00020,00020,00020,00020,00000128,500

587
3,696
13,312
21,216
17,423
20,35522,52923,3004,700
1,382
128,500

20,00091,691
165,000
165,000
110,000
89,80900641,500
770,000

20,00091,691
165,000
165,000
110,000
89,80900641,500
770,000

18,00087,500156,000
156,900
106,900
83,40025,7007,100
641,500
770,000

Details of Project Cost Estimate(dollars in thousands)
Current Total
Previous Total
Original Validated
Estimate
Estimate
Baseline
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
Science/Basic Energy Sciences/18-SC-10, Advanced Photon Source-Upgrade

135,375
5,640
141,015

N/A
N/A
N/A

N/A
N/A
N/A

411,625
12,700153,660
577,985
719,000
159,300

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
7,500
31,80010,70051,000

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

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

FY 2018 Congressional Budget Justification

113

(dollars in thousands)
Current Total
Previous Total
Original Validated
Estimate
Estimate
Baseline
10,700
N/A
N/A

Contingency, OPC
Total, TPC
Total, Contingency
7.

N/A
N/A

N/A
N/A

Schedule of Appropriations Requests

RequestFY 2018 a

8.

770,000
170,000

TEC
OPC
TPC

Prior
Years
80,0008,500
88,500(dollars in thousands)
FY 2016
20,0000
20,000FY 2017
20,0000
20,000FY 2018
20,0000
20,000FY 2019 FY 2020 FY 2021
91,691 165,000 160,000
0
0
5,000
91,691 165,000 165,000

Outyears
162,30937,500199,809

Total
719,000
51,000770,000

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)

1Q FY 2026
25
1Q FY 2051

(Related Funding Requirements)
Annual Costs
Current Total
Previous Total
Estimate
Estimate
Operations andMaintenance

$0M

N/A

Life Cycle Costs
Current Total
Previous Total
Estimate
Estimate$0M

N/A

The numbers presented are the incremental lifecycle operations and maintenance costs above the existing APS. The
operations and maintenance costs are not anticipated to increase. The estimate will be updated and additional details will
be provided after CD-2, Approve Project Performance Baseline.
9.

D&D Information
Square Feet
New area being constructed by this project at ANL ...........................................

7,000-10,000

Area of D&D in this project at ANL .....................................................................

0

Area at ANL to be transferred, sold, and/or D&D outside the project includingarea previously “banked” ...................................................................................

7,000-10,000

Area of D&D in this project at other sites ............................................................

0

Area at other sites to be transferred, sold, and/or D&D outside the project
including area previously “banked” ....................................................................

0

Total area eliminated ..........................................................................................

0aThis project has not yet received CD-2 approval; funding and cost estimates are preliminary.
Science/Basic Energy Sciences/18-SC-10, Advanced Photon Source-Upgrade
FY 2018 Congressional Budget Justification

114

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

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

FY 2018 Congressional Budget Justification

11510. Acquisition Approach
The APS-U project will be acquired by ANL under the existing DOE management and operations (M&O) contract between
DOE and UChicago Argonne, LLC, which operates ANL. The acquisition of equipment 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 a multi-bend achromat (MBA) magnet lattice, insertion
devices, front ends, beamlines/experimental stations, and any required modifications to the linac, booster, and radio
frequency (RF) systems. ANL has established an 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 theaccelerator and beamline components and other technical equipment. These items will be procured from a variety ofsources, depending on the item. Procurements will be competitively 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 direct control over the accelerator components and beamline design, equipment
specification and selection, and all contractors.

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

FY 2018 Congressional Budget Justification

116

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 and resilience.
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 the planet Earth. Starting with the genetic
information encoded in organisms’ genomes, BER research seeks to discover the principles that guide the translation of thegenetic code into the functional proteins and the metabolic and regulatory networks underlying the systems biology ofplants and microbes as they respond to and modify their environments. This predictive understanding will enable design
and reengineering of microbes and plants for improved energy resilience and sustainability, including improved biofuels andbioproducts, improved carbon storage capabilities, and controlled biological transformation of materials such as nutrientsand contaminants 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 theatmosphere, land masses, oceans, sea ice, and subsurface required for predictive tools and approaches needed to inform
policies and plans for future energy and resource needs.
Over the last two 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) are using the powerful tools of plant and microbial systems biology to pursue the fundamental breakthroughs
needed to advance the frontiers in energy-relevant systems biology. The three DOE Bioenergy Research Centers (BRCs)
presently lead the world in fundamental biofuels-relevant research.
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, datingback to the 1950s, 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 systemmodels that are in use today. Presently, BER research contributes to model development and analysis; 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. BERsupported systematic and objective model intercomparisons provide U.S. government policy makers up-to-date insight of
the relative quality and capabilities of U.S. versus foreign earth-systems models, necessary for science-based international
policy discussions.
Highlights of the FY 2018 Budget Request
The FY 2018 BER Budget Request implements Administration decisions to prioritize more fundamental research, overall, andto focus research on advancing the core missions of the DOE while maintaining American leadership in the area of scientificinquiry. BER support of basic research today will contribute to a future of stable, reliable, and secure sources of Americanenergy based on transformative science for economic prosperity. BER places a priority on the DOE high-resolution earthsystem model, with significantly reduced contributions to the interagency Community Earth System Model (CESM) that is
Science/Biological and Environmental Research

117

FY 2018 Congressional Budget Justificationco-funded by DOE and the National Science Foundation (NSF). BER activities continue to support core research and scientificuser facilities in key areas of bioenergy, earth systems modeling and observations, and environmental sciences. Activities
eliminated or significantly reduced in the Earth and Environmental Systems Sciences subprogram (formerly known as the“Climate and Environmental Sciences” subprogram) include integrated assessments, support of the U.S. Global Change
Research Program (USGCRP), climate feedbacks, anthropogenic aerosols and black carbon, analysis of the Atmospheric
Radiation Measurement Research Facility (ARM) observations, field activity in the tropics, and user support to the northernpeatland field site focused on functional responses to climate variability and atmospheric stressors.
The federally chartered BER Advisory Committee (BERAC) advises BER on its 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.
Biological Systems Science
Investments in the Biological Systems Science subprogram will provide the fundamental understanding to underpin
transformative science in sustainable bioenergy production and to gain a predictive understanding of carbon, nutrient, andmetal transformation in support of DOE’s environmental missions. The subprogram prioritizes Genomic Sciences research
activities to continue with core research that will provide a scientific basis for sustainable and cost effective bioproducts andbioenergy production. This includes reduced scope of the recompeted next phase DOE BRCs, which will initiate newresearch to provide a broad scientific underpinning to the production of fuels and chemicals from sustainable biomass
resources and speed the translation of basic research results to industry. The subprogram directs efforts towards advanced
biofuels and bioproducts research as it closes out completed research targeted on cellulosic ethanol. Biosystems design
research continues to develop the knowledge necessary to engineer specific beneficial traits into plants and microbes formaking biofuels or bioproducts from renewable biomass. Investment in microbiome research continues to build on BER’s
considerable experience in fundamental genomic science of plants and microbes and extend that expertise to understandthe fundamental principles governing microbiome establishment, function, and interactions in diverse environments.
Gaining a predictive understanding of how microbiomes control the availability of materials such as carbon and nutrients,
and respond to changes in the environment or interact with plants, is crucial to advancing DOE’s biotechnology andenvironmental research. The subprogram supports these fundamental genomic science activities with ongoing efforts tocombine molecular and genomic scale information within the DOE Systems Biology Knowledgebase and to develop
integrated networks and computational models of system dynamics and behavior.
Mesoscale research continues to provide spatial and temporal understanding of functional genomics within living cells; newefforts to explore use of quantum materials for advanced bioimaging and characterization will contribute towards asystems-level predictive understanding of biological processes.
The DOE Joint Genome Institute (JGI) remains 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 continues toimplement its strategic plan to incorporate new capabilities to sequence DNA and also to interpret, manipulate, andsynthesize DNA in support of sustainable renewable energy and products, and environmental research. With this range ofcapabilities, JGI is also uniquely positioned to support and advance DOE bioenergy and environmental microbiome research.
Earth and Environmental Systems Sciences
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, with continued field studies on
the Arctic through the Next Generation Ecosystem Experiment (NGEE) in Alaska. The Subsurface Biogeochemistry Research
activity continues to focus on modeling and experimentation of the flows of subsurface nutrients and materials.
Investments 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 thatwill include advanced software for running on numerous processors, flexibility toward future computer architectures, andenhanced usability, testing, adaptability, multi-scale treatments, and provenance. The modeling efforts will be validated
against new atmospheric and terrestrial observations.

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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. Operations
at the fixed site in the Azores will be limited. An ARM mobile observatory will be deployed for focused and targetedmeasurements in the Southern Ocean.
EMSL will focus on a research agenda aligned with BER program research areas and highlighting opportunities with the High
Resolution and Mass Accuracy Capability (HRMAC) instrument. With greatly improved dynamic range and sensitivity,
HRMAC will enable a characterization and quantification of the chemical constituents and dynamics of complex natural
systems in the environment including microbial communities, and soil and rhizosphere ecosystem.
The Data Management effort will focus on field observations and data from environmental field experiments.

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Biological and Environmental Research
Funding ($K)
Biological Systems Science
Genomic Science
Foundational Genomics Research
Genomics Analysis and Validation
Metabolic Synthesis and Conversion
Computational Biosciences
Bioenergy Research Centers
Total, Genomic Science
Mesoscale to Molecules
Radiological Sciences
Radiochemistry and Imaging Instrumentation
Radiobiology
Total, Radiological Sciences
Biological Systems Facilities and Infrastructure
Structural Biology 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
Climate Model Development and Validation
Regional and Global Model Analysis
Earth System Modeling

FY 2016 Enacted a

FY 2017 Annualized CR b

FY 2018 Request

FY 2018 vs FY 2016

76,125
9,248
16,262
16,39575,000193,030
9,623

–
–
–
–
–
–
–

75,0007,474
7,250
13,11640,000142,840
8,701-1,125-1,774-9,012-3,279-35,000-50,190
-922

1,000
1,000
2,000

–
–
–

0
0
0

-1,000-1,000-2,00010,00069,50079,500
10,118294,271

–
–
–
–
–

8,000
57,57065,5708,194
225,305-2,000-11,930-13,930-1,924-68,966

26,392

–
–
–
–
–
–
–
–
–

12,000-14,392

10,00010,00020,000-30,035-13,207-43,242

0
12,61012,595-15,448-17,498-22,935

40,03523,207
63,242
15,44830,10835,530a

The FY 2016 Enacted level includes SBIR and STTR and reflects updates through the end of the fiscal year.
The FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above, below that level, a dash (-) is shown.
b

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Integrated Assessment
Total, Earth and Environmental Systems Modeling
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
and Infrastructure
SBIR/STTR
Total, Earth and Environmental Systems Sciences
Total, Biological and Environmental Research
SBIR/STTR Funding: FY 2016 transferred: SBIR $18,135,000; STTR $2,720,000
 FY 2018 Request: SBIR $11,076,000; STTR $1,558,000

FY 2016 Enacted a
17,583
98,669FY 2017 Annualized CR b––

FY 2018 Request
2,000
27,205FY 2018 vs FY 2016
-15,583-71,464

65,42943,191
7,069

–
–
–
–

34,00025,0001,000-31,429-18,191-6,06960,0004,440
123,645
348,950-55,689-6,297-191,084-260,050

115,689
10,737314,729
609,000––
607,842a

The FY 2016 Enacted level includes SBIR and STTR and reflects updates through the end of the fiscal year.
The FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above, below that level, a dash (-) is shown.
b

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Biological and Environmental Research
Explanation of Major Changes ($K)
FY 2018 vs
FY 2016
Biological Systems Science: Genomic Sciences research activities are prioritized to continue with core research that will provide a scientific basis forsustainable and cost effective bioproducts and bioenergy production. Genomic Science will continue to build on BER’s fundamental genomic
science research and will support development of a select range of platform microorganisms, plants and fungi to expand available biologicalsystems for bioenergy and biotechnology. The recompeted BRCs will initiate the next phase of BER’s bioenergy research to underpin efforts to
produce cost effective biofuels and bioproducts from sustainable biomass resources. Biosystems design activities will continue research tomodify plants and microorganisms with beneficial traits relevant to bioenergy and bioproduct production. Work on cellulosic ethanol under
Metabolic Synthesis and Conversion is completed as efforts focus on advanced biofuels and bioproduct research. Microbiome research
addresses understanding how microbes and plants interact in a range of microbiomes of relevance to DOE’s biotechnology and environmental
missions. Development of new bioimaging, measurement and characterization technology through the Mesoscale to Molecules activity will
create new integrative imaging and analysis platforms, including using quantum materials, to understand the expression and function of
genome information encoded within cells.
Earth and Environmental Systems Sciences: Focused investments continue to develop an earth system model capability focused on DOE mission
needs for energy and infrastructure resilience and security. Environmental System Science, Subsurface Biogeochemistry Research sub-element
activity continues a focus on fate and transport of nutrients. ARM continues to advance knowledge and improving model representations ofatmospheric gases, aerosols, and clouds on the Earth’s energy balance. Two mobile facilities will be placed in reserve; the Azores fixed site will
have limited operations. EMSL continues a more focused set of scientific topics that exploit recently installed capabilities involving HRMAC andlive cell imaging; data from EMSL instrumentation will be integrated into process and systems models and simulations to address challenging
problems in the biological and environmental sciences. Climate Model Development and Validation (exascale activities) is completed in FY 2017
and Integrated Assessment activities begin close-out in FY 2018.
Total, Biological and Environmental Research

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FY 2018 Congressional Budget Justification

Basic and Applied R&D Coordination
BER research underpins the needs of DOE’s energy and environmental missions. Basic research on microbes and plants
provides fundamental knowledge that can be used to develop new bioenergy crops and improved biofuel and bioproductproduction processes that enable a more sustainable bioeconomy, as outlined in the Federal Activities Report on the
Bioeconomy (FARB a) and highlighted in the National Academy of Sciences study on the Industrialization of Biology (NAS2015 b). BER fundamental bioenergy science underpins and is relevant to other DOE offices and agencies. Coordination withother federal agencies on priority bioeconomy science needs occurs through the Biomass Research and Development Board,a Congressionally-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. Additionally, memoranda of agreement (MOAs) have beensigned with the National Science Foundation (NSF) and the National Institute of Allergy and Infectious Diseases (NIAID) tocooperate on computational biology and bioinformatic developments within the DOE Systems Biology Knowledgebase(KBase).
BER research on the transport and transformation of energy-related substances in subsurface environments provides
understanding that can enable DOE’s Office of Environmental Management (EM) to develop new strategies for the
remediation of weapons-related and other contaminants at DOE sites, as informed by a recent workshop on Basic Research
Needs for EM. In general, BER coordinates with DOE’s applied technology programs through regular joint program manager
meetings, by participating in their internal program reviews and in joint principal investigator meetings, as well as
conducting joint technical workshops.
Coordination with other federal agencies on priority earth system science needs occurs through regular interagency
dialogue and the USGCRP program.
Program Accomplishments
Fundamental Bioenergy Research. Efforts at the three DOE BRCs continue to lead the world in basic research to underpin
the development of biofuels and bioproducts from sustainable biomass resources.
Lignin is a major structural component of plants, and a major focus for bioenergy research. The recalcitrance of lignin todegradation and lack of methods to convert it to useful products is a major impediment to cost-effective production of fuels
and chemicals from plant biomass. Results have identified naturally occurring modified lignin structures in native tree
species and key enzymes controlling lignin formation in grasses that could be enhanced or modified to develop bioenergy
crops with superior cell wall deconstruction traits. Detailed structural biology studies of key enzymes involved in lignin bondcleavage are developing a burgeoning suite of enzymatic tools to create valuable chemicals and fuels from lignin. Also,
combined studies pairing modified microorganisms and new biomass deconstruction methods are demonstrating novel
paths to convert ionic-liquid treated biomass into jet fuel precursor compounds.
Biosystems Design Research. Biotechnology is evolving rapidly and BER’s systems biology research efforts are at theforefront of this field, particularly for bioenergy related research. Results targeting fundamental principles of genome
engineering will have far-reaching impacts not only on biofuel and bioproduct development but on biotechnology
development as a whole. Genome recoding offers the ability to design new beneficial functions into microorganisms. Recent
results show how a microorganism can be modified to convert non-standard amino acids into proteins. The research opens
up the possibility to design parallel metabolic pathways within microorganisms for bioproducts production that do notinterfere with normal metabolism.
The systems biology research community needs a broader range of platform organisms on which to build engineered
biological systems for beneficial purposes. A genetic transformation technique for diatoms is now available that allows
additional genetic engineering of this group of organisms for a host of bioenergy and biotechnology purposes. Diatoms andother photosynthetic organisms are potential biocatalysts for converting carbon dioxide and sunlight into biofuels andbioproducts. Researchers using the Joint Genome Institute user facility successfully adapted a yeast DNA recombination
system to engineer the entire pathway of a soil bacterial pigment into a plant as well as to drop in an entire biodieselabhttps://biomassboard.gov/pdfs/farb 2_18_16.pdf
http://www.nap.edu/catalog/19001/industrialization-of-biology-a-roadmap-to-accelerate-the-advanced-manufacturing

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metabolic pathway. The work is a significant advance towards developing new biotechnology tools for use in a broad rangeof plants by radically simplifying stacking of genes from different sources and engineering them into a different organism.
Modeling the Earth System. Advanced modeling concepts, high performance computing, and new observations allow
emerging earth system models to more confidently capture extreme weather events and to better understand how these
events interact with the atmospheric, oceanic, and terrestrial components of the Earth system. A new DOE high-resolution
earth system model will be released in December 2017 as the world’s highest resolution capability to study
interdependencies involving the atmosphere, oceans, and terrestrial processes. With the power of DOE’s fastest
supercomputers, this Energy Exascale Earth System Model (E3SM) will be able to conduct complex uncertainty analyses
using spatial data resolutions down to 500m. This capability has resulted in identification and reduction of significant errors
and biases in earth system models that use coarser spatial data inputs. In addition, super parameterization of clouds in thehigh resolution atmospheric component of E3SM can more accurately capture extreme precipitation patterns and rainfall
events. Results also indicate that the amount of precipitation can vary over the course of successive El Niño Southern
Oscillation (ENSO) events of different strengths, thereby producing even more confident projections of extreme
precipitation in the future.
Observations from the BER Atmospheric Radiation Measurement Research Facility (ARM), a scientific user facility, wereused to develop and evaluate new formulations of low cloud processes for global models. Low clouds, which are highlyreflective of incoming sunlight, are a source of significant uncertainty in earth system models. An analysis of cloud
condensation nuclei from ARM observations collected at five different sites around the world led to improved model
representation of the variability of cloud water content in different geographic regions.
Understanding Global Ecosystem Dynamics. Arctic and tropic field experiments are delivering new insights on ecosystemclimate interactions, including methane release in the Arctic and vegetation response to drought in the tropics, to advance
Earth system understanding and models.
Arctic permafrost soils have the potential to release vast amounts of carbon dioxide and methane into the atmosphere;
however, understanding and predicting this release is challenging due to environmental differences across the landscape.
Ongoing experiments conducted in northern Alaska have utilized stable carbon isotopes to estimate the portioning andtransformation of carbon dioxide and methane within the coupled soil-plant portion of permafrost ecosystems. Results
indicate that the majority of subsurface natural methane can easily be transported upward to the atmosphere by soils andplants, without being converted to carbon dioxide. Because the partition between naturally occurring carbon dioxide andmethane emissions in permafrost landscapes influences the rate of permafrost thaw, this finding suggests that permafrost
thaw may lead to a more rapid transformation of Arctic landscapes that in turn influences Alaskan infrastructure.
Previous observations suggested that evergreen tropical forests may increase photosynthesis during the dry season, but thecauses have been unknown. To address this scientific mystery, DOE scientists combined measurements of atmosphere-plantgas fluxes with an innovative visual monitoring technology able to observe leaf changes throughout the canopy. They
discovered that old leaves die back during the dry season and are replaced by more efficient new leaves. Using theseresults, ecosystem models within high-resolution earth system models such as E3SM can now be adjusted to represent
more dynamic canopy greenness, feedbacks with wet and dry seasons, and more accurate global feedbacks between
tropical ecosystems and the Earth system.

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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 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 a scientific user facility, the DOE JGI, and the use of structural biology facilities
through the development of instrumentation at DOE’s national scientific user facilities. It also provides support for researchat the interface of the biological and physical sciences, and instrumentation to develop new methods for real-time, highresolution imaging of dynamic biological processes.
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 long-term national challenges in sustainable energy production, breakthroughs in genome-based
biotechnology, and understanding the role of biological systems in the environment.
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.
A major effort within the portfolio seeks to provide a fundamental understanding of the biology of plants and microbes as abasis for developing cost effective processes for bioenergy production from cellulosic biomass. The DOE BRCs are central tothis effort and have provided a substantial body of scientific literature and intellectual property towards this goal. Initiationof recompeted BRC research focuses efforts to develop a range of advanced biofuels and bioproducts from sustainablebiomass resources and transition the research results to industry. Through extensive community engagement, scientificworkshops, and external studies and reports from the National Academies, BER developed scientific priorities for therecompeted BRC activity. The Genomic Science activity will develop an increased range of microorganisms and plants as
platform organisms to expand and complement available biological systems for bioenergy and biotechnology research. The
activity also supports fundamental research on identification and introduction of desired traits for new bioenergy crops andmicrobes, as well as understanding soil microbial communities and how they impact the cycling and fate of carbon,
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nutrients and contaminants in the environment. Efforts in biosystems design and microbiome research continue to build on
and complement existing genomics-based research, through development of new genomic design techniques for microbes
and plants, and the study of a range of natural and model microbiomes in targeted field environments relevant to BER’s
research efforts. With a long history in microbial genomics research coupled with substantial biotechnological andcomputational capabilities available within the DOE user facilities, BER is well positioned to make transformative
contributions in biotechnology and understanding microbiome function.
Finally, the ongoing development of bioinformatics and computational biology capabilities within the DOE Systems Biology
Knowledgebase (KBase) support these systems biology efforts. The integrative KBase project seeks to develop the necessary
hypothesis-generating analysis techniques and simulation capabilities on high performance computing platforms toaccelerate collaborative and reproducible systems biology research within the Genomic Sciences.
Mesoscale to Molecules
BER approaches to systems biology focus on translating information encoded in an organism’s genome to those traits
expressed by the organism. These genotype to phenotype translations are key to gaining a predictive understanding ofcellular function under a variety of environmental and bioenergy-relevant conditions. The Mesoscale to Molecules activity
will enable development of new bioimaging, measurement and characterization technologies to visualize the spatial andtemporal relationships of key metabolic processes governing phenotypic expression in plants and microbes. The activity will
include new efforts to use quantum materials for high-resolution imaging. This information is crucial for developing an
understanding of the impact of various environmental and/or biosystems designs on whole cell or community function.
Biological Systems Science Facilities and Infrastructure
Biological Systems Science supports unique scientific facilities and infrastructure related to genomics and structural biologythat are widely used by researchers in academia, the national laboratories, and industry. The DOE JGI is the only federally
funded major genome sequencing center focused on genome discovery and analysis in plants and microbes for energy andenvironmental applications. 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
CO 2 , leading to the optimization of these organisms for cost effective biofuels and bioproducts production and other DOE
missions.
The 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 Systems Biology
KBase. These advanced capabilities are part of the JGI’s latest strategic plan to provide users with additional, highly efficient,capabilities supporting biosystems design efforts for biofuels and environmental process research. The 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.
These new metagenomics capabilities will be crucial to supporting efforts in microbiome research.
BER also supports development and use of specialized instrumentation for biology at major DOE user facilities, such assynchrotron light sources and neutron facilities. These research facilities enable science aimed at understanding thestructure and properties of biological molecules at resolutions and scales not accessible with instrumentation available inuniversities, research institutes, or industrial laboratories. This information is critical in contributing to our understanding of
the relationship between genome, biological structure, and function. BER is also taking steps to ensure that the data will be
integrated into the DOE KBase to help accelerate practical applications of this knowledge for energy and the environment.

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Biological and Environmental Research
Biological Systems Science
Activities and Explanation of Changes
FY 2016 Enacted

FY 2018 Request

Explanation of Change
FY 2018 vs FY 2016

Biological Systems Science $294,271,000
Genomic Science $193,030,000
Genomic Science continued to remain a top priority.
Foundational Genomics increased research to develop
biosystems design techniques for plants and microbial
systems relevant to bioenergy production andresearch on key parameters influencing thesustainability of bioenergy crops. Genome Analysis
and Validation continued research on improving thefunctional characterization of microorganisms andmicrobial communities relevant to biofuel production.
Metabolic Synthesis and Conversion continued
research to broaden the range of model plant andmicrobial systems available for bioenergy researchand, to understand the impact of microbialcommunities on the fate of carbon, nutrients andcontaminants in the environment. At least 5% of thefunding for biodesign efforts provided for studies on
the environmental, ethical, legal, and societal impacts.
Computational Biosciences continued to advance thebioinformatics and computational biology techniques
needed within the DOE Systems Biology KBase toaccelerate systems biology research. Bioenergy
research at the DOE Bioenergy Research Centers
continued to provide a fundamental scientific basis forcellulosic biofuels production.
Mesoscale to Molecules $9,623,000
The program continued to develop new enabling
technologies to visualize key metabolic processes inplants and microbes. These new techniques provided
integrative information on the spatial and temporal
relationships of metabolic processes occurring within
and among cells. This information is crucial to$225,305,000$142,840,000
The funding for Foundational Genomics will enable
BER to lead the anticipated growth in synthetic
biology and biosystems design efforts for biofuels andbioproducts. This includes establishing selected sets
of well-defined model microbes, plants and fungi as
platforms for synthetic biology, with a robust set oftools tailored to industrially-relevant conditions and arange of environmental variables. Microbiome
research will focus on improved bioinformatic tools
for microbiome gene annotation, high-throughput
approaches to cultivate organisms of interest,
characterize their physiological properties, anddevelop genetic tool kits for their experimental
manipulation across a range of different plant hosts
and soil types.

-$68,966,000-$50,190,000. Investment in Genomic Science will build on BER’s
fundamental genomic science research to develop a
broader range of platform organisms supporting
bioenergy and biotechnology research. The
subprogram shifts research focus toward moreadvanced biofuels and bioproducts research as it
closes out successfully completed research on
cellulosic ethanol under Metabolic Synthesis andConversion. It will also initiate new efforts on
microbiome gene annotation and genetic toolkit
development, along with an expansion of Biosystems
design research to improve model microbes, plants,
and fungal systems. The recompeted Bioenergy
Research Centers activity will begin its first year with areduced scope.

Science/Biological and Environmental Research

Computational Biosciences continues and integrates
new datasets for protein structure, genome-based
biomaterials and biosystems design toolkits andsoftware.
BER will begin the next funding period of the BRCs
selected from recompetition in FY 2017, but at a
reduced funding level.
$8,701,000
Bioimaging funding will continue to augment
advanced imaging capabilities for biological systems
through strategic investments in endstations andbeamlines for the BES-supported light sources andneutron sources. BER will continue to need newcapabilities beyond x-ray crystallography, such as cryo-

127-$922,000
The decrease requires the subprogram to reduce thedevelopment of new bioimaging technology throughthe Mesoscale to Molecules activity, with efforts tocreate new integrative imaging, measurement, andcharacterization platforms, including the use ofquantum materials, to understand the expression and
FY 2018 Congressional Budget Justification

FY 2016 Enacted

FY 2018 Request

integrating molecular scale understanding of
metabolic processes into the context of the dynamic
whole cell environment and to the development ofpredictive models of cell function.

EM and other bioimaging techniques, including theuse of quantum materials, to support BER’s systemslevel approach to understanding biological processes.
Advanced multi-functional imaging techniques
provide spatial and temporal understanding offunctional genomics within living cells; thisinformation can be integrated to gain a systems-level
predictive understanding of biological processes.
$0Radiological Sciences $2,000,000
Funding supported the orderly closeout ofRadiological Science activities in FY 2016.
Biological Systems Science Facilities andInfrastructure $79,500,000
The JGI remains an essential component for genomic
research within BER. The facility continued to
implement its latest strategic plan and provide
scientific users with plant and microbial genome
sequences of the highest quality and advanced
capabilities to analyze, interpret, and manipulate
genes in support of bioenergy, biosystems design andenvironmental research. The JGI continued tocollaborate closely with the DOE KBase to provide not
only community access to sequenced genomes but
access to computational systems to experimentallyinterrogate those genomes.

Explanation of Change
FY 2018 vs FY 2016
function of genome information encoded within cells.
The subprogram will support new cryo-EM bioimaging
technology.

-$2,000,000$65,570,000
JGI continues to focus on sequencing very large andcomplex plant genomes and metagenomics samples,
especially from complex field environments. It willcontinue to advance its capabilities to interpretgenomes and provide the research community with abroad variety of new and cutting functional genomics
techniques that increase efficiency. Funding will also
allow for incorporation of JGI bioinformatics
techniques.

-$13,930,000
JGI will reduce DNA sequencing, analysis andsynthesis support to the BRCs; funding supports
slower incorporation of new technologies to help
validate genome sequence/ functional
characterization. Reduced funding also results in
reduced user access to the Community Science
Program, with less frequent calls for small scalesequencing and synthesis proposals.

Access to the Structural Biology Infrastructure at the
DOE synchrotron light and neutron sources continued
to provide information on the structural features of
biomolecules and continue to make this information
available to the larger research community throughthe Protein Data Base and the DOE KBase.

Access to the Structural Biology Infrastructure at the
DOE Synchrotron light and Neutron sources continues
for high-resolution structural characterization of
biomolecules. Efforts begin to link data resources (i.e.,
PDB) with the DOE KBase.

The decrease in funding will reduce the level of effort
devoted to cooperative and integrative
access/activities with other DOE User Facilities. The
subprogram will terminate user support at theStructural Molecular Biology Resource at SSRL while
partnering with the Mesoscale to Molecules activity
to initiate new investments, such as high-resolution
cryo-EM imaging instrumentation.

SBIR/STTR $10,118,000$8,194,000-$1,924,000

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FY 2016 Enacted

FY 2018 Request

In FY 2016, SBIR/STTR funding is set at 3.45% of noncapital funding.

In FY 2018, SBIR/STTR funding is set at 3.65% of noncapital funding.

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Explanation of Change
FY 2018 vs FY 2016

FY 2018 Congressional Budget Justification

130

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 the terrestrial ecology; modeling of component interdependencies under avariety of forcing conditions; interdependence of climate and ecosystem variabilities; vulnerability, and resilience of the fullsuite 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, 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 and is aimed at developing
predictive, systems-level understanding of the fundamental science associated with environmental and energy-related
challenges associated with e.g. extreme phenomena. The Department will continue to advance the science necessary tofurther develop an understanding of earth system models of variable sophistication, targeting resolution at the regional
spatial scale and interannual to multi-decadal time scales and to focus on areas of critical uncertainty including Arctic
ecology and permafrost thaw. All research is performed in close coordination with the USGCRP and the international science
community. In addition, environmental research activities will support fundamental research to explore advances inenvironmental cleanup and reductions in life cycle costs.
The subprogram supports three primary research activities, two national scientific user facilities, and a data activity. The
two national scientific user facilities are the Atmospheric Radiation Measurement Research Facility (ARM) and theEnvironmental 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 develop and test
understanding of the central role of clouds and aerosols on a variety of spatial scales, extending from local to global. EMSL
provides integrated experimental and computational resources researchers need to understand the physical,
biogeochemical, chemical, and biological processes that underlie DOE’s energy and environmental mission. The data activity
encompasses observations collected by dedicated field experiments, routine and long term observations accumulated byuser facilities, and model generated information derived from earth models of variable complexity and sophistication.
Atmospheric System Research
Atmospheric System Research (ASR) is the primary U.S. activity addressing two major areas of uncertainty in earth systemmodels: the role of clouds and the effects of aerosols on precipitation, and the atmospheric radiation balance. ASR
coordinates with ARM, using the facility’s continuous long-term datasets that provide three-dimensional measurements ofradiation, aerosols, clouds, precipitation, dynamics, and thermodynamics over a range of environmental conditions atdiverse geographic locations. The long-term observational datasets are supplemented with laboratory studies and shorterduration, ground-based and airborne field campaigns to target specific atmospheric processes under diverse locations andatmospheric conditions. Earth system models incorporate ASR research results to both understand the processes thatgovern atmospheric components and to advance Earth system model capabilities with greater certainty. ASR seeks todevelop integrated, scalable test-beds that incorporate process-level understanding of the life cycles of aerosols, clouds, andprecipitation, that can be incorporated into dynamic models.
Environmental System Science
Environmental System Science supports research to provide a robust, predictive understanding of terrestrial surface andsubsurface ecosystems, including the effects of interannual variability and change, from the subsurface to the top of thevegetated canopy and from molecular to global scales.
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
biogeochemical research supports integrated experimental and modeling research, ranging from molecular to field scales, tounderstand and predict the role that biogeochemical processes play in controlling the cycling and mobility of energyScience/Biological and Environmental Research

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relevant materials in the subsurface and across key surface-subsurface interfaces in the environment, including
environmental contamination from past nuclear weapons production.
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. The research specifically focuses on quantifying and reducing the uncertainties in Earthsystem models based on more advanced model development, diagnostics, and system analysis. Priority model components
include the ocean, sea-ice, land-ice, aerosols, atmospheric chemistry, terrestrial carbon cycling, multi-scale dynamical andphysical interdependencies, and dynamical cores.
Climate Model Development and Validation activities are completed in 2017. The activity focused on model architecture
restructuring, exploiting new software engineering and computational upgrades, and incorporating scale-aware highresolution physics with uncertainty quantification in all model components, as part of the DOE-wide Exascale Computing
Initiative (ECI). BER core earth system modeling activities will continue development of modularized components that can
act either alone or as a system, able to run on current and next generation supercomputers, thus allowing greater
confidence in earth system analysis for a variety of scenarios and in a flexible structure.
To rapidly and efficiently advance model capabilities, BER supports the Program for Climate Model Diagnosis andIntercomparison (PCMDI), a unique and powerful intercomparison resource for earth system model development,
validation, diagnostics, and outputs, using over 50 world-leading earth system models. This set of diagnostic andintercomparison activities, combined with scientific analysis, ensures that BER funded researchers can exploit the best
available science and practice within each of the world’s leading earth system research programs.
The Earth System Modeling (ESM) activity in BER will continue to coordinate with the National Science Foundation (NSF) to
provide limited support for the ESM that is co-funded by DOE and NSF. ESM is designed by the research community with
open access and broad use by researchers worldwide. In addition, DOE will continue to advance a branch of, the Energy
Exascale Earth System Model (E3SM), as a computationally efficient model adaptable to emerging computer architectures
and with greater sophistication and fidelity for high resolution simulation of extreme phenomena and complex processes.
Earth system modeling, simulation, and analysis tools are essential for informing investment decision-making processes forinfrastructure associated with future large-scale deployment of energy supply and transmission and national security.
The Integrated Assessment activities in BER will focus on completion of fundamental research developing multi-scalemodels for earth systems, including components on land use relevant to bioenergy crops.
Earth and Environmental Systems Sciences Facilities and Infrastructure
The Earth and Environmental Systems Sciences Facilities and Infrastructure support two scientific user facilities and data
management 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 to facilitate
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 precise observations of clouds and aerosols. ARM currently consists of three fixed, long-term
measurement facility sites (in Oklahoma, Alaska, and the Azores), three mobile observatories, and an airborne researchcapability that operates at sites selected by the scientific community. In FY 2018, ARM will reduce operations to only thetwo fixed sites in Alaska and Oklahoma and one mobile observatory, which will be deployed for targeted observations andmeasurements in the Southern Ocean. This will reduce the number of on-site users and reduce opportunities for intensive
observation deployments and studies. Researchers use observations from all ARM observatories to improve earth systemmodels as well as to help calibrate other agency satellites. The ARM fixed sites and mobile measurement campaigns areoften distributed around the world in locations where the scientific community most critically needs data to incorporate
into earth system models, thereby improving model performance, enhanced understanding, and analysis capabilities. Eachof the ARM sites includes scanning radars, lidar systems, and in situ meteorological observing capabilities; the sites are also
used to demonstrate technologies as they are developed by the community. ARM experiments study the impact of evolving
clouds, aerosols, and precipitation on the Earth’s radiative balance and rate of earth system change, addressing the mostsignificant scientific uncertainties in predictability research. ARM will incorporate very high resolution Large Eddy
Science/Biological and Environmental Research

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Simulations (LES) 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 are used to improve atmospheric process representations at higher resolution, greater
sophistication, and lower uncertainty.
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, aerosol chemistry, and interfacial and surface science relevant to energy andenvironmental challenges facing DOE and the nation. This includes science supporting improved catalysts and materials forindustrial applications and subsurface biogeochemical drivers. In FY 2018, EMSL will address a more focused set of scientifictopics that capitalize on recently installed capabilities involving HRMAC, live cell imaging, and more extensive utilization ofother EMSL instrumentation into process and systems models and simulations to address challenging problems in the
biological, environmental, and Earth 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 data can be used to achieve broad benefits ranging from planning anddevelopment of energy infrastructure to natural disaster impact mitigation to commercial supply chain management tonatural resource management. Access to and uses of these data are fundamental to supporting decision-making, scientificdiscovery, technological innovation, and National security.
The BER Data Management activity will focus efforts to store data from the Earth System Grid Federation, ARM and NGEE
field experiments.

Science/Biological and Environmental Research

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Biological and Environmental Research
Earth and Environmental Systems Sciences
Activities and Explanation of Changes
FY 2016 Enacted
Earth and Environmental Systems Sciences$314,729,000
Atmospheric System Research (ASR) $26,392,000
ASR continued to focus on atmospheric cloud andaerosol issues that limit earth system modelingcapabilities with a particular emphasis on Arctic mixed
phase clouds and tropical systems with large
variations of aerosol characterization. ASR utilized a
combination of observations and LES modeling to
explore strongly heterogeneous environments, as
observed in the Arctic and the Tropics, to advance therange of conditions applicable to nonhydrostaticparameterizations (models with less than 10 km
resolution).
Environmental System Science (ESS) $63,242,000
Research continued with NGEE Arctic Phase II, withmultiple sites in northern Alaska involved inobservation and modeling. NGEE Tropics begins earlyobservations to test new modeling architectures,
appropriate for tropical terrestrial systems. The
subsurface biogeochemistry investments involve a
combination of advanced modeling architectures andfield research, with existing data used to test
predictive modeling concepts. AmeriFlux supported
efforts to improve terrestrial land modelingcomponent, to test new concepts and build testbeds
for high resolution land model validation.

FY 2018 Request

Explanation of Changes
FY 2018 vs FY 2016

$123,645,000$12,000,000
ASR will conduct research on cloud, aerosol, andthermodynamic processes using data collected duringobservations conducted in FY 2018 by Unmanned
Aerial Systems, and the full suite of data from
campaigns conducted in Alaska, Oklahoma,
Antarctica, the Southern Ocean, and Azores, will beutilized.

-$191,084,000-$14,392,000
Research activities will focus on early research studies
on the physics governing cloud-aerosol-precipitationinteractions in Antarctica and the Southern Oceans,i.e., two regions that are high priority earth systemmodeling challenges yet have lacked field data until
now. There is no funding included for analysis ofanthropogenic aerosols and black carbon.

$20,000,000
Within Environmental System Science, NGEE willcontinue to provide new observations for model
development and validation. The Subsurface
Biogeochemistry Research subprogram will focus onfate and transport of subsurface elements andhydrological cycling, uptake, and acquisition by plants
and microbes, which will allow for improved
integration with the Terrestrial Ecosystem Science
subprogram and facilitate multi-scale, very highresolution process modeling from the bedrock to the
canopy.

-$43,242,000
Terrestrial Ecosystem Science research activity will
focus efforts on long-term Arctic field experiments tostudy Alaskan permafrost, maintenance operations
only for AmeriFlux national tower network, reduced
scope of terrestrial ecosystem studies to prioritize
focus on synthesis of ecosystem data from watershedstudies and mechanistic modeling of wetland systems
including vegetation, nutrient dynamics and flux.
There is no funding included for field activities at the
SPRUCE (Minnesota) field site focused on functional
responses to climate variability and atmosphericstressors for research activities related to climate
feedbacks and carbon, or for field studies in thetropics.
Subsurface research activities focus reduced efforts
on experimental and modeling efforts, prioritizing on

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FY 2018 Request

FY 2016 Enacted

Earth and Environmental Systems Modeling$98,669,000
Research continued to extend capabilities for thehigh-resolution E3SM project to include
nonhydrostatic atmospheric modeling (less than 10
km resolution), more sophisticated ice sheet physics,
and a new approach for terrestrial modeling that uses
plant functional traits instead of plant “types” formore physical representation of biology. The program
initiated investments to advance software and physics
describing the interface between ice-sheets and othercomponents (ocean, land and atmosphere) and new
methods for capturing the statistics of earth systemchange. Regional modeling analysis addressedinterdependencies involving the water and energy
sectors, using details on existing and projected
infrastructures. In addition, funding for this programsupported the development of new multi-ensemble
statistical methods for vulnerability analysis applied tothe energy-water-land nexus with special focus onregional coastal inundation and storm-surge, changes
in water availability for a coupled climate-humansystem, and energy implications of extreme events.
Interdependencies of the energy-water nexus are
explored within a full earth system analysis, as well as
developing vulnerability analysis techniques to treat
the energy-water nexus with existing and projected
infrastructure.
Climate Model Development and Validation focusedon model architecture restructuring, exploiting new
software engineering and computational upgrades,
incorporating scale-aware physics in all modelcomponents and enhanced efforts to assess andvalidate model results.
Science/Biological and Environmental Research$27,205,000

Explanation of Changes
FY 2018 vs FY 2016
core areas of understanding dynamics of subsurface
biogeochemistry and watershed modeling.
-$71,464,000

Earth and Environmental Systems Modeling — Earth
Research is continued at a reduced level and a new
System Modeling will continue investment in the high- and novel non-hydrostatic dynamical core will be
resolution E3SM project, with research to introduce a incorporated into the E3SM model.
non-hydrostatic dynamical core, dynamic coupling ofocean and ice, and basin and sub-basin treatments forthe land models. Activities will align with anticipatedexascale developments in high-performancecomputing platforms and algorithms. The E3SM
version 1 (v1) will be released during FY 2018, withboth existing and new users conducting basic researchusing results derived from the newest DOE computerarchitectures.

Climate Model Development and Validation iscompleted.

135

Climate Model Development and Validation iscompleted in FY 2017.

FY 2018 Congressional Budget Justification

FY 2016 EnactedCore research in Regional and Global Model Analysis
and Integrated Assessment continued to underpin
high-resolution predictability using adaptive grids anduncertainty characterization, and more sophisticateddata management.

Earth and Environmental Systems Sciences Facilities
and Infrastructure $115,689,000
ARM continued to support its long-term
measurements at fixed sites and the mobile
observatories are deployed to three climate-sensitive
regions that demanded targeted measurements. The
first mobile facility remained in the Amazon Basin for
the first quarter, and thereafter underwent
maintenance; the second was deployed to Antarctica;
and the third continued the experiment in Oliktok,
Alaska. These observations, combined with dedicatedmodeling and simulation, are key to reducing theearth system model uncertainties attributed to clouds
and aerosols. The ARM second mobile facility
deployment to Antarctica represents the first major
ARM campaign in the southern hemisphere. ARM
initiated the incorporation of modeling and simulationas part of data acquisition.
EMSL continued to support users and their research inbiological systems, biogeochemistry, aerosol
chemistry, and interfacial and surface science relevant
to climate, energy, and environmental challenges
facing DOE and the nation. The subprogram placedemphasis on utilization of new capabilities in the
Science/Biological and Environmental Research

FY 2018 Request

Explanation of Changes
FY 2018 vs FY 2016

Core research in model intercomparison anddiagnostics will continue. Research will continue toexplore how modes of variability affect spatial andtemporal patterns of weather and extreme events,
including the roles of atmospheric rivers anddroughts. The incorporation of uncertainty andperformance benchmarks will increasingly become
part of research efforts.

Higher resolution models, including the new E3SM v1
model to be released in FY 2018, will allow a new levelof scientific study involving high resolution processinteractions and interdependencies. Models focus on
new science on sea ice variability andbiogeochemistry coupling with atmospheric anddynamical forcing. Research is eliminated for
integrated modeling of impacts, adaptation, andvulnerability as well as for coupled climate-humansystem interdependencies of the energy-water nexus.

$60,000,000
ARM will continue to provide new observations,through long-term measurements at fixed sites in
Alaska and Oklahoma and limited operations at theEastern North Atlantic fixed site in the Azores. ARM
will deploy a mobile observatory for targetedmeasurements, while holding two mobile units inreserve. ARM will also maintain an aerial capability
and explore the science driven need for equipment
refresh for archive upgrades, aerial capabilities, andthe mobile and fixed observatories. All ARM activities
will be prioritized for critical observations necessary
to advance earth system models.

-$55,689,000
ARM will hold two mobile units in reserve, closing theoperations in Oliktok, Alaska. An ARM mobile
observatory will be deployed for targetedmeasurements in the Southern Ocean. Operations will
be limited at the fixed site in the Azores.

EMSL focuses on scientific topics that exploit recently
installed capabilities involving HRMAC, live cell
imaging, and more extensive use of integrating datafrom other EMSL instrumentation into process andsystems models and simulations to address

EMSL will eliminate user access for research related toclimate feedbacks and carbon.

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FY 2018 Congressional Budget Justification

FY 2016 Enacted

Explanation of Changes
FY 2018 vs FY 2016

FY 2018 Request

Radiological Annex and Quiet wing. In FY 2016, theintegrated HRMAC system became available for new
research. The installation and availability of the
HRMAC, with its 21Tesla magnet, provided uniqueenhancements to EMSL’s capabilities available to theresearch community.

challenging problems in the biological andenvironmental sciences.

The Earth and Environmental Systems Sciences Data
Analysis and Visualization activity continued toadvance high resolution earth system models anddata management capabilities, with a greater focus on
nonhydrostatic dynamical cores, extreme events, andthe assimilation of LES ensembles to provide statistics
of sub-grid parameterizations for a wider range ofconditions involving extreme events. Research
explored model-data fusion with new visualization
technologies.

The Earth and Environmental Systems Sciences DataManagement activity will emphasize the first phase of
metadata compatibility and consolidation via common
protocols and standards, involving environmental
observations and the Earth System Grid Federation.
Essential data archiving and storing protocols,
capacity, and provenance will be achieved, as part ofan effort to simplify scientific community access toobserved and model generated data produced byDOE.

The subprogram will prioritize data archiving andstorage for ARM, AmeriFlux, Earth System Grid
Federation, and Next Generation Ecosystem
Experiments. No funding is provided for data
curation, integration, and analysis.

SBIR/STTR $10,737,000
In FY 2016, SBIR/STTR funding is set at 3.45% of noncapital funding.

$4,440,000
In FY 2018, SBIR/STTR funding is set at 3.65% of noncapital funding.

-$6,297,000

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Biological and Environmental Research
Performance Measures
In accordance with the GPRA Modernization Act of 2010, the Department sets targets for, and tracks progress toward, achieving performance goals for each program.
FY 2016

FY 2017

FY 2018

Performance Goal
(Measure)

BER Earth System Model - Develop a coupled earth system model with fully interactive water, carbon and sulfur cycles, as well as dynamic
vegetation to enable simulations of earth system responses to change.

TargetDevelop and apply a fully coupled ice-sheet
model to estimate near-term changes to theWest Antarctic ice sheet.

ResultExtend the capabilities of the DOE’s highDemonstrate improved ocean model
resolution Earth System Model to simulate and simulations with the new high-resolution
evaluate human-natural interdependencies for MPAS-Ocean.
the carbon and water cycles.

Met

TBD

TBD

Endpoint Target

BER supports the leading U.S. high-resolution earth system model, and addresses two of the most critical areas of uncertainty in contemporary
earth system science—the impacts of clouds and aerosols that combine with biogeochemical and cryospheric processes. Delivery of improved
scientific data and models (with quantified uncertainties) about the earth’s atmospheric, oceanic, cryospheric, and terrestrial system to moreaccurately predict the earth system responses to change. The information is essential to plan for future national security, energy andinfrastructure needs, water resources, and land use. DOE will continue to advance the science necessary to further develop predictive earthsystem models at the regional spatial scale and multiple time scales, involving close coordination with the U.S. and international science
community.

Performance Goal
(Measure)

BER Predictive Understanding - Advance an iterative systems biology approach to the understanding and manipulation of plant and microbial
genomes as a basis for biofuels development and predictive knowledge of carbon and nutrient cycling in the environment.

TargetDevelop an improved metabolic engineering
method for modifying microorganisms forbiofuel production from cellulosic sugars.

ResultEndpoint Target

Develop improved open access platforms forcomputational analysis of large genomic
datasets.

Using genomics-based techniques, develop an
approach to explore the functioning of plantmicrobe interactions.

TBD

TBD

Met

BER will advance understanding of the operating principles and functional properties of plants, microbes, and complex biological communities
relevant to DOE missions in energy and the environment. Deciphering the genomic blueprint of organisms and determining how thisinformation is translated to integrated biological systems permits predictive modeling of bioprocesses and enables targeted redesign of plants
and microbes. BER research will address fundamental knowledge gaps and provide foundational systems biology information necessary toadvance development of biotechnology and predict impacts of changing environmental conditions on carbon cycling and other biogeochemical
processes.

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FY 2018 Congressional Budget Justification

Biological and Environmental Research
Capital Summary ($K)

Capital Operating Expenses Summary
Total Non-MIE Capital equipment (projects under $5
million TEC)

Total

Prior Years

FY 2016
EnactedFY 2017
Annualized CR*

FY 2018
RequestFY 2018 vs
FY 2016

n/a

n/a

2,543

–

2,800

+257

Funding Summary ($K)

Research
Scientific user facilities operations and research
Other aTotal, Biological and Environmental Research

FY 2016 Enacted
400,025
188,120
20,855609,000

FY 2017 Annualized CR*–––
607,842

FY 2018 Request
211,746
124,570
12,634
348,950

FY 2018 vs FY 2016
-188,279-63,550-8,221-260,050

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.
FY 2016 Enacted
TYPE B FACILITIESAtmospheric Radiation Measurement Research Facility (ARM)
Number of users$65,429
1,061

Joint Genome Institute
Number of users$69,500
1,391

Environmental Molecular Sciences Laboratory
Number of users$43,191644

FY 2017 Annualized
CR*
–
–
–
–
–
–
–
–

FY 2018 Request

FY 2018 vs FY 2016

$34,000
700-$31,429-361$57,570
1,000-$11,930-391$25,000450-$18,191-194aIncludes SBIR and STTR.
The FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above, below that level, a dash (-) is shown.
*

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FY 2018 Congressional Budget Justification

FY 2016 Enacted
Structural Biology Infrastructure a
Total Facilities
Number of users$10,000$188,120
3,096

FY 2017 Annualized
CR*
–
–
–

FY 2018 Request$8,000$124,570
2,150

FY 2018 vs FY 2016-$2,000-$63,550-946

Scientific Employment
FY 2016 Enacted
Number of permanent Ph.D.’s
Number of postdoctoral associates
Number of graduate students
Other b

1,350
330
450
330

FY 2017 Annualized
CR*
–
–
–
–

FY 2018 Estimate

FY 2018 vs FY 2016

1,000
234
350
230

-350
-96
-100
-100

a

Structural Biology Infrastructure activities are at Basic Energy Sciences user facilities and the user statistics are included in the BES user statistics.
Includes technicians, engineers, computer professionals and other support staff.
*
The FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above, below that level, a dash (-) is shown.
b

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FY 2018 Congressional Budget Justification

Fusion Energy Sciences
Overview
The Fusion Energy Sciences (FES) program mission 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.
The next frontier for all of the major fusion research programs around the world is the study of the burning plasma state, inwhich the fusion process itself provides the dominant heat source for sustaining the plasma temperature (i.e., self-heating).
Production of strongly self-heated fusion plasma will allow the discovery and study of new scientific phenomena relevant tofusion energy. These include the effects of highly energetic fusion-produced alpha particles on plasma stability andconfinement; the strongly nonlinear coupling that will occur among fusion alpha particles, pressure-driven self-generated
current, turbulent transport, and boundary-plasma behavior; the properties of materials in the presence of high heat andparticle fluxes and neutron irradiation; and the self-organized nature of plasma profiles over long time scales.
To achieve these research goals, FES invests in flexible U.S. experimental facilities of various scales, international
partnerships leveraging U.S. expertise, large-scale numerical simulations based on experimentally validated theoreticalmodels, development of advanced fusion-relevant materials, and invention of new measurement techniques.
FES also supports discovery plasma science, including research in laboratory plasma astrophysics, low-temperatureplasmas, small-scale magnetized plasma experimental platforms, and high-energy-density laboratory plasmas. Some of thiswork is jointly supported with the National Science Foundation (NSF).
Highlights of the FY 2018 Budget Request
Strategic choices in this Budget Request were informed by the reductions in the overall FY 2018 Office of Science Budget
Request, priorities described in “The Office of Sciences’ Fusion Energy Sciences Program: A Ten-Year Perspective”(submitted to Congress in 2015), and the research opportunities identified in a series of community engagement workshops
held in 2015. Priorities include keeping FES user facilities world-leading, increasing investment in massively parallel
computing, 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, and continuing
stewardship of discovery plasma science (e.g., via intermediate-scale basic facilities). Building on the workshops and theten-year strategic perspective, FES has recently commissioned a study by the National Academies of Science about research
priorities for burning plasma science. Also, SC has charged the Fusion Energy Sciences Advisory Committee (FESAC) toinvestigate the potential for transformative developments in fusion science and technology.
Notable changes in the FY 2018 Request include:

Increased support for DIII-D program—Total funding for the DIII-D program is increased to address the high-priority
fusion science issues identified by the community research needs workshops held in FY 2015 and to support enhanced
involvement of collaborating university and laboratory researchers in these programs. Funding will support 18 weeks ofoperation and greater involvement of the National Spherical Torus Experiment Upgrade (NSTX-U) scientists in the DIII-D
program while repairs of NSTX-U are underway. It will also support increased collaborations by Massachusetts Instituteof Technology (MIT) researchers following the closure of the Alcator C-Mod facility in FY 2017.

Continued support for NSTX-U program research and recovery activities—The NSTX-U facility is down for recovery(assessment and repair) during FY 2017, and this will continue in FY 2018. In FY 2016, a series of deficiencies were
found in the design and construction of the NSTX-U device, which prompted the Princeton Plasma Physics Laboratory(PPPL) to cease operation and carry out thorough design verification and validation reviews. The FY 2018 NSTX-U
Operations budget will support high-priority activities to implement repairs and corrective actions required to obtainrobust, reliable research operations. The NSTX-U Research budget will fund the continued analysis of high-impact dataacquired during the FY 2016 run campaign, a focused effort on physics topics that directly support the recovery of

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FY 2018 Congressional Budget Justification

robust NSTX-U plasma operations, and enhanced involvement of university collaborative research at other facilities tosupport NSTX-U research program priorities.


Reduced support for ITER—This reduction reflects the decrease in the DOE science budget and U.S. concerns about thecost and schedule of ITER.



Increased support for Scientific Discovery through Advanced Computing (SciDAC)—Funding for SciDAC is increased toaddress high-priority research in tokamak disruptions and boundary physics as identified in the 2015 community
workshops, and to accelerate development of a whole-device modeling capability, in partnership with the Advanced
Scientific Computing Research (ASCR) program.

Continued support for Long Pulse Tokamak and Stellarator research—Funding for Long Pulse Tokamak is maintained forresearch opportunities for U.S. scientists on superconducting tokamaks with world-leading capabilities. Funding forLong Pulse Stellarator will enable U.S. research teams to take full advantage of U.S. hardware investments on
Wendelstein 7-X (W7-X) and enhance the scientific output on this device.

Support for Fusion Nuclear Science and Materials Research—Funding for Fusion Nuclear Science and Materials
Research is refocused on fundamental science.

Support for Discovery Plasma Science—Research and operations on intermediate-scale user facilities will beemphasized to pursue opportunities identified in the 2015 community workshops.

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FY 2018 Congressional Budget Justification

Fusion Energy Sciences
Funding ($K)
FY 2016 Enacted a
Fusion Energy Sciences
Burning Plasma Science: Foundations
Advanced Tokamak
Spherical Tokamak
Theory & Simulation
GPE/GPP/Infrastructure
Total, Burning Plasma Science: Foundations
Burning Plasma Science: Long Pulse
Long Pulse: Tokamak
Long Pulse: Stellarators
Materials & Fusion Nuclear Science
Total, Burning Plasma Science: Long Pulse
Discovery Plasma Science
Plasma Science Frontiers
Measurement Innovation
SBIR/STTR & Other
Total, Discovery Plasma Science
Subtotal, Fusion Energy Sciences
Construction
14-SC-60 International Thermonuclear Experimental Reactor (ITER)
Total, Fusion Energy Sciences

FY 2017 Annualized
CR b

FY 2018 Request

FY 2018 vs FY 2016

101,754
76,19533,8105,875
217,634-

86,00059,10032,5000177,600-15,754-17,095-1,310-5,875-40,034

8,944
7,079
24,05340,076

-

8,500
7,000
19,82335,323-444-79-4,230-4,75346,504
3,568
15,21865,290323,000-

23,600900
9,517
34,017
246,940-22,904-2,668-5,701-31,273-76,060

63,000309,940-52,000-128,060

115,000
438,000--

SBIR/STTR:
 FY 2016 Transferred: SBIR: $9,333,000; STTR: $1,400,000
FY 2018 Request: SBIR $XXX and STTR $XXX

a The FY 2016 Enacted level includes SBIR and STTR and reflects updates through the end of the fiscal year.

b FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional control level and above,

below that level, a dash (-) is shown.

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FY 2018 Congressional Budget Justification

Fusion Energy Sciences
Explanation of Major Changes ($K)
Burning Plasma Science: Foundations: Funding for tokamak research decreases due to the shutdown of the Alcator C-Mod facility in FY 2017.
DIII-D program funding increases to support the enhanced collaboration by university and laboratory personnel, including MIT and NSTXU scientists, in the DIII-D program. Funding for SciDAC increases to accelerate progress toward whole-device modeling. Funding for the
NSTX-U program will support the repair of the facility, while DIII-D funding will enable 18 weeks of operations. All GPE/GPP funding isdeferred.

FY 2018 vs FY 2016-$40,034

Burning Plasma Science: Long Pulse: Funding for Materials and Fusion Nuclear Science decreases with an emphasis on addressing thehighest priority issues in both program elements.

-$4,753

Discovery Plasma Science: Overall funding is decreased. For General Plasma Science and Exploratory Magnetized Plasma, research andoperations of intermediate-scale, scientific user facilities are emphasized. For High Energy Density Laboratory Plasma, the focus remains
on supporting research utilizing the Matter in Extreme Conditions instrument of the Linac Coherent Light Source facility at the SLAC
National Accelerator Laboratory at Stanford University.

-$31,273

Construction: Funding decreases for the U.S. Contributions to ITER project.

-$52,000

Total Funding Change, Fusion Energy Sciences-$128,060

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Basic and Applied R&D Coordination
FES coordinates within DOE and with other federal agencies on science and technology issues related to fusion and plasma
science. Within SC, FES operates the Matter in Extreme Conditions (MEC) instrument at the Linac Coherent Light Source(LCLS) user facility operated by Basic Energy Sciences (BES). In addition, FES carries out a discovery-driven plasma science
research program in partnership with the NSF, with research extending to a wide range of natural phenomena, including
the origin of magnetic fields in the universe and the nature of plasma turbulence. Also, FES operates a joint program with
the National Nuclear Security Administration (NNSA) in High Energy Density Laboratory Plasma (HEDLP) physics. Bothprograms involve coordination of solicitations, peer reviews, and workshops. The FESAC provides technical andprogrammatic advice to FES and NNSA for the joint HEDLP program.
Program Accomplishments
Important for fusion reactors: novel stable, efficient operating scenario with low-rotation developed—Most current-day
tokamaks have plasmas with significant rotation, due to the large torque applied by neutral ion beams used for heating.
However, future fusion power plants will operate with almost no rotation. The DIII-D tokamak facility at General Atomics,
with its ability to balance the neutral beam torque while still heating (with up to 10 megawatts of power), has uniquecapabilities to study low-torque regimes. Normally, rotation is needed to suppress plasma instabilities. Recently, however,scientists on DIII-D found that fusion performance while operating in the Quiescent H-Mode scenario (which is free of
dangerous edge localized mode instabilities) actually improved as the rotation was decreased. The improvement occurs
because the plasma undergoes a bifurcation into a new state characterized by increased pedestal height and width,
resulting in enhanced global confinement.
Towards a possible breakthrough for reactor wall materials: lithium wall contains plasma without cooling it—In large
tokamaks with tungsten walls, the edge plasma must be cooled to low temperatures (a few tens of electron-volts) in orderto reduce sputtering of the wall, which can lead to heavy tungsten impurities beginning to accumulate in the plasma. But
lower temperatures at the edge cause the plasma to be less hot in the core, which then degrades fusion performance. The
Lithium Tokamak Experiment, a medium-scale tokamak at PPPL, found that lithium-coated walls can handle edge plasma
temperatures higher than 200 electron-volts, with little influx of lithium and no impact on performance. Another advantage
is that the resulting temperature profile is essentially flat from the edge to the core, which potentially avoids deleterious
instabilities driven by a temperature gradient.
Massively parallel computation enables essential step towards predictive capability: simulations of electrical current
generation in tokamaks—The conventional understanding of how intrinsic electrical current (the so-called bootstrap
current) is generated is that the current is carried by charged particles that flow around the doughnut-shaped tokamak
without getting magnetically trapped at the outboard side of the confinement configuration. New massively parallel
numerical simulations, performed by scientists in the SciDAC Edge Physics Simulation Center (a partnership with ASCR)
have, however, shown that the bootstrap current in the boundary region of the plasma is carried predominately by themagnetically trapped particles. This new understanding will greatly improve the prediction of the properties of theboundary plasma, including the important “pedestal” region, which plays a critical role in determining the overall fusion
performance of the plasma.
Extending the reach of U.S. fusion science: collaborative research during the initial operation of W7-X—The U.S. is aninternational partner in the new Wendelstein 7-X facility, the world’s largest stellarator, which began operation in early
FY 2016. U.S. scientists helped map out the magnetic field line surfaces with an electron beam, to confirm magnetic coilalignment. During the first plasma operation period, the U.S. collaboration team used the set of five trim coils it hadconstructed to measure intrinsic field errors, calibrate magnetic measuring instruments, and perturb the plasma. Also, theU.S. scientists used their x-ray imaging crystal spectrometer instrument to make the first measurements of time-resolved
ion temperature profiles, together with high-quality electron temperature profiles. The spectrometer also measured plasma
flow and core impurity transport – critical for reactor design. The U.S. participated in the March 2016 celebration event at
which German Chancellor Angela Merkel officially dedicated this new fusion research facility.
Essential for developing attractive materials for fusion reactors: first-of-a-kind materials irradiation experiments—The U.S.
and Japan have a five-year collaboration project to study the feasibility of using a helium-cooled divertor made out oftungsten material for future fusion devices. Recently, the collaborating scientists began a landmark series of irradiation
experiments on the High Flux Isotope Reactor (HFIR) at Oak Ridge National Laboratory (ORNL). A shielded gadolinium rod is
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used to absorb the high thermal-neutron flux in the water-cooled HFIR reactor and thus achieve the appropriate ratio
between displacement damage and transmutation content that is expected in a fusion power plant. The tungsten material
samples thus being irradiated will yield unique understanding about the effects of fusion-type neutrons on their thermomechanical and fuel retention properties.
U.S. Contributions to ITER First Plasma subproject more than 50% complete—The U.S. completed the fabrication anddelivery of over 21,000 feet of superconductor cable, more than enough to wind one of the eighteen Toroidal Field coils.
Four U.S. industrial companies produced this superconductor. Additionally, the U.S. completed the fabrication and deliveryof all of its components for the Steady State Electrical Network, needed to provide power for construction activities, as well
as for plasma operations at ITER. Lastly, successful winding of the first two Central Solenoid superconducting magnet
modules was completed. Each Central Solenoid module is fabricated from approximately 6,000 meters of niobium-tin
superconductor. After winding and assembly, each completed module will undergo heat treatment, insulation, vacuum
pressure impregnation, and final testing at the cryogenic operating temperature (4 degrees Kelvin). The Central Solenoid,
an enormous electromagnet that is considered the "heartbeat of the ITER device," consists of six stacked magnet modules
surrounded by a support structure. When assembled, the entire Central Solenoid and associated structures will be over 42
feet tall, weigh over 1,100 U.S. tons, and produce a very strong magnetic field (13 Tesla).
Exotic solar phenomena explained in the lab: pulsating reconnection driven by three-dimensional (3D) flux-rope
interactions—In high-temperature plasmas, magnetic field lines can reconnect and release stored energy as the magnetic
field undergoes topological changes. Although the two-dimensional dynamics of magnetic reconnection has been
extensively studied, most applications in space and astrophysical plasmas are inherently three-dimensional. In a laboratory
experiment at UCLA, researchers measured the 3D electric and magnetic fields resulting from the interaction of twomagnetic flux “ropes” generated between a cathode and anode. The ropes were observed to bounce and reconnect in aperiodic pulsating fashion. These results provide the first direct experimental test of reconnection within a quasi-separatrix
layer (where magnetic field lines separate rapidly).
Science of the interior of giant planets accessed in the lab: liquid metallic hydrogen observed for the first time—The planet
Jupiter is 70% composed of hydrogen, with the outer layer made of familiar molecular hydrogen (as on Earth), butsurrounding the core an exotic state of hydrogen, called liquid metallic hydrogen, that requires extremely high pressures toexist. Researchers have been trying to observe this metallic state in the laboratory ever since it was predicted 80 years ago.
High-power lasers can provide the high pressures necessary to induce the insulator-to-metal transition of hydrogen.
Recently, SLAC scientists and their collaborators were able to observe this transition at a pressure of 250,000 atmospheres,using one laser beam to compress deuterium (a hydrogen isotope) and another laser beam to produce very shortwavelength x-rays that can probe the hydrogenic transition. These results provide insight into the physical properties ofgiant planets and also into the design of inertially confined fusion experiments with deuterium as a fuel.

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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 torus
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 Office of Science laboratories conducting fusion research.

Research in the Burning Plasma Science: Foundations area in FY 2018 will focus on high-priority challenges andopportunities in the areas of transients in tokamaks, plasma-material interactions, and integrated modeling, as identified by
the community research needs workshops held in FY 2015.
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. Researchers from the
U.S. and abroad perform experiments on DIII-D for studying stability, confinement, and other properties of fusion-grade
plasmas under a wide variety of conditions. The DIII-D research goal is to establish the scientific basis to optimize thetokamak approach to magnetic confinement fusion. Much of this research concentrates on developing the advanced
tokamak concept, in which active control techniques are used to manipulate and optimize the plasma to obtain conditions
scalable to robust operating points and high fusion gain for future fusion reactors. Another high-priority DIII-D research area
is foundational fusion science, pursuing a basic scientific understanding across all fusion plasma topical areas.
The Alcator C-Mod facility at the Massachusetts Institute of Technology operated in FY 2016 to complete student researchand experimental work and ceased operations at the end of that fiscal year. The facility was placed in a safe shutdown state
in FY 2017.
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.
Small-scale tokamak plasma research projects provide data in regimes of relevance to the FES mainline tokamak magnetic
confinement efforts and help confirm theoretical models and simulation codes in support of the FES goal to develop an
experimentally validated predictive capability for magnetically confined fusion plasmas. This activity consists of small-scale
focused experiments.
Spherical Tokamak
The NSTX-U user facility at PPPL is designed to explore the physics of plasmas confined in a spherical torus (ST)
configuration. With its unusually strong magnetic curvature, powerful heating systems, and advanced diagnostics, NSTX-U
will uniquely enable the detailed study of plasmas at ratios of plasma pressure to the pressure of the confining magnetic
field, or plasma beta, many times higher than are accessible in the world’s other tokamaks. The implications of a successful
NSTX-U research program are therefore significant: high plasma pressures translate to high fusion reactivity, making the
NSTX-U geometry a candidate for a future neutron source for scientific study of fusion materials and components. Also, thehigh beta plasmas and measurement capabilities on NSTX-U will enable first-of-a-kind detailed laboratory study of plasma
processes that are relevant to extraordinary astrophysical systems, such as the turbulence in accretion discs surrounding
black holes. The upgraded neutral beam heating systems will combine with the plasma properties to make NSTX-U and
ideal test bed for studying interactions between plasma waves and fast fuel ions that are relevant to burning plasma
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science. The liquid metal divertor research program planned for NSTX-U also will enable assessment of a potential breakout path for fusion heat and particle exhaust handling.
Following an extensive series of reviews (e.g. design validation and verification, extent of condition) in FY 2017, NSTX-U
activities will focus on recovery efforts to repair or replace essential components during FY 2018-19.
Small-scale spherical torus plasma research projects doing focused experiments provide data in regimes of relevance to the
FES spherical torus magnetic confinement program. This effort helps confirm theoretical models and simulation codes insupport of the FES goal to develop an experimentally-validated predictive capability for magnetically confined fusion
plasmas. It also involves high-risk, but high-payoff, experimental efforts useful to advancing spherical torus science.
Theory and Simulation
The Theory and Simulation element contributes to the FES goal of developing the predictive capability needed for asustainable fusion energy source. This element includes two main interrelated but distinct activities: the Theory activity andthe SciDAC activity.
The Theory activity is focused on advancing the scientific understanding of the fundamental physical processes governing
the behavior of magnetically confined plasmas. The efforts supported by this activity range from small single-investigator
grants, mainly at universities, to large coordinated teams at national laboratories, universities, and private industry, while
the supported research ranges from fundamental analytic theory to mid- and large-scale computational work using highperformance computing resources. In addition to its scientific discovery mission, the Theory activity provides the scientificgrounding for the physics models implemented in the advanced simulation codes developed under the SciDAC activity
described below and supports validation efforts at major experiments.
The FES SciDAC activity, a component of the SC-wide SciDAC program, is aimed at advancing scientific discovery in fusion
plasma science by exploiting leadership-class computing resources and associated advances in computational science.
Massively parallel computing, grounded in experimentally validated theoretical models, will be extremely valuable forenabling whole-device modeling that can integrate simulations of physics phenomena across a wide range of disparate timeand space scales. The eight multi-institutional and interdisciplinary centers in the FES SciDAC portfolio address challenges inmagnetic confinement science and computational fusion materials science and are well-aligned with the research needs inburning plasma science. Most of the FES SciDAC portfolio, in partnership with ASCR is up for recompetition in FY 2017. The
portfolio that will emerge from this competition will address the leading-priority research directions identified in the 2015
community workshops.
GPE/GPP/Infrastructure
Funding will support repairs of critical general infrastructure (e.g., utilities, roofs, roads, facilities) at the PPPL site. This
funding level will assure appropriate maintenance of safety requirements, equipment reliability, and research-related
infrastructure needs.

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Fusion Energy Sciences
Burning Plasma Science: Foundations
Activities and Explanation of Changes
FY 2016 Enacted

FY 2018 Request

Advanced Tokamak $101,754,000
DIII-D Research ($34,643,000)
DIII-D Operations ($44,764,000)
Operations funding supported seventeen weeks ofresearch operations at the DIII-D facility, withexperiments focusing on high-priority advanced
tokamak issues and research needs as identified by
the 2015 community workshops. Areas of research
included studies of transport and radiative processes
in detached divertor conditions, disruption physics andmitigation systems, and stability control strategies forrobust high performance operation. Targetedenhancements to the facility involved installation of aset of high-Z coated tile rings in the divertor region to
study impurity generation and transport installation ofa new magnet power supply for the 3D and shaping
coils, and a low-power helicon antenna.

$86,000,000
DIII-D Research ($38,000,000)
DIII-D Operations ($45,000,000)
Operations funding will support eighteen weeks ofresearch at the DIII-D facility. Research will focus on
determining the optimal path to steady-state tokamak
plasmas, exploring techniques to avoid and mitigatetransients in tokamaks, and developing the plasma
material interaction boundary solutions necessary for
future devices. Experiments will continue to exploit a
new upper divertor configuration and explore plasma
wall coupling and dissipative divertor physics. Specificresearch goals will involve examining the processes
that determine the edge pedestal density structure,assessing models of runaway electron evolution
during disruptions, and utilizing new diagnostics toprobe the divertor and edge region to challenge andvalidate theoretical models.

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149

Explanation of Change
FY 2018 vs FY 2016-$15,754,000+$3,357,000+$236,000
Funding will allow for greater involvement of
university and laboratory collaborators in the DIII-D
national program, including the MIT staff previously
involved in Alcator C-Mod research, as well as NSTXU scientists.

FY 2018 Congressional Budget Justification

FY 2016 Enacted
C-Mod Research ($9,374,000)
C-Mod Operations ($8,675,000)
Operations funding supported over seventeen weeks
of research operations at the Alcator C-Mod facility inits final year of operation in FY 2016. Research was
focused on research needs as identified by the FY
2015 community workshops. Experiments wereconducted to study disruption physics and mitigation
techniques, develop the database for the criticalinteractions between the plasma and material
components under ITER and reactor-relevant
conditions, explore robust high-performancestationary regimes free of Edge Localized Modes, andadvance radiofrequency heating and current drive
technology and physics understanding. The facility wasclosed after final operations. The scientific staff
worked on completing analysis of existing C-Mod data
and began making a transition to collaborative
research activities on other research facilities.
Enabling R&D ($3,165,000)
Support continued to be provided for research insuperconducting magnet technology and fueling andplasma heating technologies to enhance theperformance for existing and future magnetic
confinement fusion devices.
Small-scale Experimental Research ($1,133,000)
Small-scale tokamak plasma research provided
experimental data in regimes of relevance to themainline advanced tokamak magnetic confinement
efforts and helped confirm theoretical models andsimulation codes in support of the goal to develop an
experimentally validated predictive capability formagnetically confined fusion plasmas.

Science/Fusion Energy Sciences

FY 2018 Request

Explanation of Change
FY 2018 vs FY 2016

C-Mod Research ($0)
C-Mod Operations ($0)
This facility was closed in FY 2016.

-$9,374,000-$8,675,000

Enabling R&D ($2,000,000)
Support will continue to be provided for 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 ($1,000,000)
Support will continue to be provided for research on
experimental data in regimes relevant to mainline
tokamak confinement and experimental validation ofmodels and codes.

-$1,165,000
Research efforts will be focused on the highestpriority enabling R&D issues.

150-$133,000
Experimental research and modeling efforts will be
continued.

FY 2018 Congressional Budget Justification

FY 2016 Enacted

FY 2018 Request

Spherical Tokamak $76,195,000
NSTX-U Research ($27,860,000)
NSTX-U Operations ($44,708,000)
NSTX-U began operations after completion of the
upgrade. Machine performance was extended tohigher field and current and longer pulse lengths thanwhat had been achievable prior to the upgrade, withresults being benchmarked with prior data. Current
drive and fast ion instabilities resulting from the newneutral beam line were studied. The machine
operated for 10 weeks in FY 2016 before experiencing
a coil failure.

$59,100,000
NSTX-U Research ($20,000,000)
NSTX-U Operations ($35,600,000)
Operations funding will support the repair of the
NSTX-U facility. Research will be focused on the studyof ST confinement improvements observed during the
FY 2016 experimental run campaign. Modeling andnew measurements will allow elucidation of thedetailed physical mechanisms responsible for these
confinement improvements. In the absence of plasma
operations at the NSTX-U facility, researchers will carryout experiments on both domestic and international
spherical tokamaks, and continue analysis andpublication of data obtained in FY 2016.

Small-scale Experimental Research ($3,627,000)
Small-scale spherical torus plasma research provided
experimental data in regimes of relevance to themainline spherical torus magnetic confinement efforts
and helped confirm theoretical models and simulation
codes in support of the goal to develop an
experimentally validated predictive capability formagnetically confined fusion plasmas.

Small-scale Experimental Research ($3,500,000)
Experimental studies of plasmas surrounded by liquid
lithium material surfaces, which was identified as apriority research direction in the 2015 plasma
materials interactions workshop, will be conducted.
Developing techniques to operate STs without the useof a central solenoid will be experimentally tested. If
successful, these small-scale, high-risk lines ofresearch may provide underlying scientific insights for
future devices.
$32,500,000
Theory ($15,500,000)
The program will continue to support theoretical andcomputational research addressing fundamental
questions of magnetic confinement science. Emphasis
will be placed on projects maximizing synergy with the
FES SciDAC portfolio and addressing theTheory & Simulation $33,810,000
Theory ($24,439,000)
The program continued to advance the scientificunderstanding of the fundamental physical processes
governing the behavior of magnetically confinedplasmas. Emphasis on addressing ITER priorities

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151

Explanation of Change
FY 2018 vs FY 2016-$17,095,000-$7,860,000-$9,108,000
The NSTX-U Research funds will support continued
analysis of high-impact data acquired during the FY
2016 run campaign and a focused effort on physics
topics that directly support the recovery of robust
NSTX-U plasma operations. Researchers will alsocollaborate on other spherical tokamak facilities toadvance high-priority research needs that wereidentified by the 2015 community workshops. The
NSTX-U Operations budget supports high-priority
activities to implement repairs and corrective actions
required to obtain robust, reliable research
operations. While consumable expenditures are
reduced due to the non-operation of NSTX-U in FY
2018, the additional anticipated costs associated withthe repair and replacement of components (e.g.,material procurements) offset these savings.
-$127,000
Funding will support experimental research efforts on
small scale spherical tokamak facilities in support of
NSTX-U program priorities.

-$1,310,000-$8,939,000
The program will be refocused to emphasize SciDAC
activities.

FY 2018 Congressional Budget Justification

Explanation of Change
FY 2018 vs FY 2016

FY 2016 Enacted

FY 2018 Request

continued to guide the selection of new and renewal
awards via competitive merit reviews.
SciDAC ($9,371,000)
The five SciDAC centers entered the final year of theirresearch activities, while the three FES–ASCR SciDAC-3
partnerships continued their efforts in the areas ofboundary physics, materials science, and multiscale
integrated modeling. FES and ASCR developed a planemphasizing integration for the science areas
represented by the entire FES SciDAC portfolio andinitiated preparations for a competitive merit review.
GPE/GPP/Infrastructure $5,875,000
Continued support of NSTX-U operations, as well as
enhanced International Collaborations, was provided
through improvements to the Princeton Plasma
Physics Laboratory Computer Center (PPPLCC) andestablishment of remote collaboration room
configurations. Environmental monitoring needs at
PPPL continued to be supported.

recommendations from the 2015 community
workshops.
SciDAC ($17,000,000)
The entire FES SciDAC portfolio will continue to focus
on integrated simulations and whole device modeling,
addressing the leading priority research directions
identified in the 2015 community workshops. Synergy
with whole-device modeling activities supported by
the DOE Exascale Computing Project will bestrengthened.

+$7,629,000
Increase in funding will enable the development andimplementation of additional critical computational
modules, accelerating the development of the wholedevice modeling capability. It will also allow thecontinuation and strengthening of efforts in thecritical area of runaway electron avoidance andmitigation.

$0
All GPE/GPP funding is deferred.

-$5,875,000
All GPE/GPP funding is deferred.

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FY 2018 Congressional Budget Justification

Fusion Energy Sciences
Burning Plasma Science: Long Pulse
Description
The Burning Plasma Science: Long Pulse subprogram explores new and unique scientific regimes that can be achieved withlong-duration superconducting international machines, and addresses the development of the materials and technologies
required to withstand and sustain a burning plasma. The key objectives of this area are to utilize these new capabilities toaccelerate 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 and stellarator 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. When advantageous, these efforts will be augmented by research into longpulse related physics issues on overseas tokamaks and spherical tokamaks with nonsuperconducting coil systems.
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. 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 the diagnosis-control cycle in long-pulse conditions. U.S. researchers will play key roles in developing theoperational scenarios and hardware configuration for high-power, steady-state operation, an accomplishment that will
advance the performance/pulse length frontier for fusion. The 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.
The U.S. domestic stellarator program is focused on optimization of the stellarator concept through quasi-symmetricshaping of the toroidal magnetic field. A conventional stellarator lacks axial symmetry, resulting in reduced confinement ofenergetic ions, which are needed to heat the plasma. Quasi-symmetric shaping, invented in the U.S., provides an improved
solution for stable, well confined, steady-state stellarator plasma confinement.
Materials and Fusion Nuclear Science
The fusion environment is extremely harsh in terms of temperature, particle flux, and neutron irradiation. The Materials andFusion Nuclear Science element supports the development, characterization, and modeling of structural, plasma-facing, andblanket materials for use in future fusion devices. Materials that can withstand this environment, under the long-pulse or
steady-state conditions anticipated in fusion experiments, are a prerequisite to the future of fusion research anddevelopment activities. Studies that help identify the various scientific challenges to fusion energy deployment and that
determine how to address them in a safe and environmentally responsible manner are a key component of the Materials
and Fusion Nuclear Science element.

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FY 2018 Congressional Budget Justification

Fusion Energy Sciences
Burning Plasma Science: Long Pulse
Activities and Explanation of Changes
FY 2016 Enacted

FY 2018 Request

Long Pulse: Tokamak $8,944,000
U.S. scientists have developed, installed, andcommissioned improved plasma control feedback
systems for China’s Experimental Advanced
Superconducting Tokamak (EAST) and Korea’s
Superconducting Tokamak Advanced Research(KSTAR). ITER operating scenarios were explored andevaluated on EAST and KSTAR. Radio-frequency
heating and current drive and neutral beam
injection actuator models for EAST and KSTAR weredeveloped and validated.
Long Pulse: Stellarators $7,079,000
Superconducting Stellarator Research ($4,168,000)
U.S. scientists participated in the first plasma
operating campaign of W7-X. The U.S. team wasinvolved with characterizing the 3-D magnetic
configuration and performing the first tests of U.S.supplied equipment during plasma operation. The
team also prepared the Test Divertor Unit (TDU)
scraper element for the second operating campaign.

$8,500,000
Three multi-institutional collaborative teams willcontinue their activities on the superconducting
tokamaks, EAST and KSTAR, focusing on the highpriority areas of control and extension of steadystate plasma scenarios to long-pulse, disruption
physics, and control of plasma-material interfaces
for long-pulse. Research efforts on international
conventional tokamaks will continue to address
burning plasma physics issues relevant to achieving
long pulse plasma operation.
$7,000,000
Superconducting Stellarator Research ($4,500,000)
U.S. research teams will utilize new W7-X
capabilities to enhance the scientific output of thefirst major experimental campaign. Experiments will
investigate controlling the interface between themagnetic field and plasma-facing components,
provide measurements of temperature and poloidal
rotation profiles, and use a stellarator- optimization
code for plasma equilibrium reconstruction fromexperimental measurements.
Compact Stellarator Research ($2,911,000)
Compact Stellarator Research ($2,500,000)
Compact stellarator research provided experimental Research will continue on experiments that aredata in regimes of relevance to the mainline
providing data in regimes relevant to mainline
stellarator magnetic confinement efforts and helped stellarator confinement and experimental validation
confirm theoretical models and simulation codes in of models and codes.
support of the goal to develop an experimentally
validated predictive capability for magneticallyconfined fusion plasmas.

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Explanation of Change
FY 2018 vs FY 2016-$444,000
Funding will continue support for U.S. scientists onsuperconducting tokamaks with unique, world-leading
capabilities, as well as research on international
conventional tokamaks.

-$79,000+$332,000
Funding will enable U.S. scientists to take advantage of
U.S. hardware investments to investigate important
physics issues in long-pulse plasma confinement, suchas edge and impurity transport and pellet fueling forsteady-state operation. Gas puff and phase contrast
imaging studies will be extended.

-$411,000
Research efforts will be focused on the highest-priority
stellarator issues.

FY 2018 Congressional Budget Justification

FY 2016 Enacted

FY 2018 Request

Materials & Fusion Nuclear Science $24,053,000
Fusion Nuclear Science ($11,271,000)
The focus remained on the utilization of existing
experimental capabilities to conduct research in theareas of plasma-facing materials and plasmamaterial interactions consistent with the highpriority research needs identified by the FY 2015
community workshops. Research toward
understanding tritium retention and permeation,neutronics, and material-corrosion issues forblankets continued. Scoping studies continued on
characterizing significant research gaps in thematerials and fusion nuclear sciences program.
Materials Research ($12,782,000)
The focus remained on the utilization of existing
experimental capabilities to conduct research in thearea of material response to simulated fusion
neutron irradiation consistent with the high-priority
research needs identified by the FY 2015 community
workshops. Research toward structural materials
that can withstand high levels of damage, increasing
the ductility of tungsten, and modeling of helium
damage in numerous materials continues.

$19,823,000
Fusion Nuclear Science ($8,823,000)
Research will continue in the areas of plasma-facing
components, safety, tritium fuel cycle, and breeder
blanket technologies. The program will continue toutilize existing facilities in support of foundational
science as emphasized by the 2015 community
workshops and the FES strategic plan. Additionally,
the program will continue to evaluate the potential
for high-priority research on liquid metal plasmafacing components through a systems-level study.

Science/Fusion Energy Sciences

Explanation of Change
FY 2018 vs FY 2016-$4,230,000-$2,448,000
Research efforts will be focused on the highest-priority
fusion nuclear science issues.

Materials Research ($11,000,000)-$1,782,000
Research efforts will continue to emphasize the
Research efforts will be focuses on the highest-priority
utilization of existing experimental capabilities, as
fusion material science issues.
well as explore opportunities for developing newones, to conduct research in the area of fusionmaterial science. The research effort will continue
to focus on the development of materials that canwithstand long term exposure to unprecedented
fluxes of high-energy neutrons and particles, intensethermomechanical stresses, and novel, hightemperatures coolants.

155

FY 2018 Congressional Budget Justification

156

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 energy efficient lighting, sterilization andimproved wound healing, combustion enhancement, and carbon storage.
This subprogram supports a portfolio of research projects and small- and mid-scale experimental user facilities for exploring
the diverse frontiers of plasma science. The activities of this subprogram are carried out through inter- and intra-agency
partnerships at academic institutions, industry research groups, and national laboratories across the country.
The Discovery Plasma Science subprogram is organized into two principal activities: Plasma Science Frontiers andMeasurement Innovation.
Plasma Science Frontiers
The Plasma Science Frontiers activities involve research in largely unexplored areas of plasma science, with a combinationof theory, computer modeling, and experimentation. These frontiers are often, but not limited to, the extremes of theplasma state, ranging from the very small (several atom systems) to the extremely large (plasma structure spanning lightyears 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) tothe extremely hot (stellar core). Advancing the science of these unexplored areas creates opportunities for new andunexpected discoveries with potential to be translated into practical applications.
The Plasma Science Frontiers portfolio includes coordinated research activities in the following three areas:General Plasma Science – Research in frontier areas of basic and low temperature plasma science and engineering,
including advancing our understanding of the behavior of non-neutral and single-component plasmas, ultra-cold
plasmas, dusty plasmas, and micro-plasmas, as well as the study of dynamical processes in classical plasmas
including turbulence, thermal, radiative and particle transport, waves, structures, flows and their interactions.

High Energy Density Laboratory Plasmas – Research directed at exploring the behavior of matter at extreme
conditions of temperature, density, and pressure, including laboratory astrophysics and planetary science,
structure and dynamic of matter at the atomic scale, laser-plasma interactions and relativistic optics, magneto
hydrodynamics (MHD) and magnetized plasmas, and plasma atomic physics and radiation transport.



Exploratory Magnetized Plasma – Basic and applied research directed at developing the understanding oflaboratory magnetized-plasma behavior necessary to advance innovative solutions and capabilities for thecreation, control, and manipulation of magnetically confined plasmas for terrestrial and space applications.

This subprogram stewards world-class, laboratory-based plasma science experiments and user 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 codes. This effort maintains strong partnerships with the
NSF and NNSA.
Measurement Innovation
The Measurement Innovation activity supports the development of novel and innovative diagnostic techniques and theirapplication to new, unexplored, or unfamiliar plasma regimes or scenarios. The challenge is to develop diagnostics with thespatial, 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 andinternational facilities, as part of the Burning Plasma Science: Foundations and Burning Plasma: Long Pulse subprograms.
The implementation of mature diagnostics systems is supported via the research programs at FES user facilities.
Science/Fusion Energy Sciences

157

FY 2018 Congressional Budget Justification

SBIR/STTR & Other
Funding for SBIR/STTR is included in this subprogram. Other activities that are supported include research at HistoricallyBlack Colleges and Universities (HBCUs); the U.S. Burning Plasma Organization (USBPO), a national organization thatcoordinates research in burning plasma science; peer reviews for solicitations across the program; and FESAC.

Science/Fusion Energy Sciences

158

FY 2018 Congressional Budget Justification

Fusion Energy Sciences
Discovery Plasma Science
Activities and Explanation of Changes
Explanation of Change
FY 2018 vs FY 2016

FY 2016 Enacted

FY 2018 Request

Plasma Science Frontiers $46,504,000
General Plasma Science ($14,196,000)
Research continued in fundamental science areas ofplasma turbulence and transport, interactions ofplasmas and waves, statistical mechanics of plasmas,
and self-organization and reconnection. Research on
major FES user facilities was enhanced.
High Energy Density Laboratory Plasmas($21,495,000)
Research emphasized utilizing the Matter in Extreme
Conditions (MEC) instrument at the LCLS facility,
including continued operational support for the MEC
instrument and the HEDLP research group at SLAC as
well as grants for external HED science users of MEC.
Fundamental HEDLP science was supported throughnew research grants as part of the SC/NNSA Joint
Program in HEDLP and the NSF/DOE Partnership in
Basic Plasma Science and Engineering, as well as
operation of the Neutralized Drift Compression
Experiment-II.
Exploratory Magnetized Plasma ($10,813,000)
This portfolio was evaluated through a competitive
peer-review process.

$23,600,000
General Plasma Science ($12,750,000)
Core research areas of this activity will continue witha program focus on intermediate-scale, plasma
science user facilities, as well as research in areas
identified in the 2015 Frontiers of Plasma Science
Workshops Report.
High Energy Density Laboratory Plasmas ($6,850,000)-$22,904,000-$1,446,000
Research and operations on intermediate-scale user
facilities will be emphasized to pursue opportunities
identified in the 2015 community workshops.

Research will emphasize utilizing the MEC at LCLS,
including continued support for the MEC beam-linescience team and the experimental and theoretical
HEDP research groups at SLAC.

Support will be focused on research and operations
for the MEC.

Exploratory Magnetized Plasma ($4,000,000)
Research efforts will focus on discovery at the frontierof laboratory magnetized-plasma physics,
emphasizing research in areas identified in the 2015
community workshops.

-$6,813,000
Research and operations on intermediate-scale user
facilities will be emphasized to pursue opportunities
identified in the 2015 community workshops.

Science/Fusion Energy Sciences

159-$14,645,000

FY 2018 Congressional Budget Justification

FY 2016 Enacted

FY 2018 Request

Measurement Innovation $3,568,000Core research elements of the Measurement
Innovation activity continued with enhanced effort ondiagnostic development important to addressing thescientific issues identified in the community
workshops held in FY 2015.
SBIR/STTR & Other $15,218,000
Funding continued to support USBPO activities,
HBCUs, peer reviews for solicitations, and FESAC.
SBIR/STTR funding is statutorily set at 3.45 percent of
noncapital funding in FY 2016.

$900,000
Measurement Innovation research activities willcontinue with special emphasis on diagnostics forplasma transient instabilities, plasma-materials
interactions, modeling validation, and basic plasma
science identified in the 2015 community workshops.
$9,517,000
Funding will continue to support USBPO activities,
HBCUs, peer reviews for solicitations, and FESAC.
SBIR/STTR funding is statutorily set at 3.45 percent of
noncapital funding in FY 2018.

Science/Fusion Energy Sciences

160

Explanation of Change
FY 2018 vs FY 2016-$2,668,000
Funding will support activities initiated through the FY
2017 measurement innovation solicitation.

-$5,701,000
Funding supports SBIR/STTR and other activities.

FY 2018 Congressional Budget Justification

Fusion Energy Sciences
Construction
Description
The ITER facility, currently under construction in St. Paul-lez-Durance, France, aims to provide access to burning plasmas with 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, South
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 direct monetary funding to the ITER Organization (IO).

Fusion Energy Sciences
Construction
Activities and Explanation of Changes
FY 2016 Enacted
U.S. Contributions to ITER Project $115,000,000
Funding supported continued progress on in-kind
hardware contributions, including: central solenoid
superconducting magnet modules and structures,
toroidal field magnet conductor, steady-stateelectrical network components, and tokamak coolingwater system components.

Science/Fusion Energy Sciences

FY 2018 Request$63,000,000
Funding is provided for ITER.

161

Explanation of Change
FY 2018 vs FY 2016-$52,000,000
Funding is reduced for the ITER project. No funding isprovided for the annual IO monetary contribution for
FY 2018.

FY 2018 Congressional Budget Justification

Fusion Energy Sciences
Performance Measures
In accordance with the GPRA Modernization Act of 2010, the Department sets targets for, and tracks progress toward, achieving performance goals for each program.

Performance Goal
(Measure)
TargetResultEndpoint Target

FY 2016
FY 2017
FY 2018
FES Facility Based Experiments - Experiments conducted on major fusion facilities [DIII-D National Fusion Facility (DIII-D) and National
Spherical Torus Experiment Upgrade (NSTX)-U] leading toward predictive capability for burning plasmas and configuration optimization
Conduct research to detect and minimize the Conduct research to examine the effect ofConduct research to test predictive models ofconsequences of disruptions in present andconfiguration on operating space for dissipative fast ion transport by multiple Alfvén
divertors. Handling plasma power and particle eigenmodes. Fusion alphas and injected
future tokamaks. Coordinated research will
exhaust in the divertor region is a critical issue energetic neutral particle beams provide an
deploy a disruption prediction/warning
for future burning plasma devices. The veryalgorithm on existing tokamaks, assess
important source of heating and current drive
approaches to avoid disruptions, and quantify narrow edge power exhaust channel projected in advanced tokamak operating scenarios andfor tokamak devices that operate at highplasma and radiation asymmetries resulting
burning plasma regimes. Alfvén eigenmodefrom disruption mitigation measures, including poloidal magnetic field is of particular concern. instabilities can cause the redistribution or loss
both preexisting and resulting MHD activity, as Increased and controlled divertor radiation,of fast ions and driven currents, as well as
potentially decreasing fusion performance andwell as the localized nature of the disruption coupled with optimization of the divertor
leading to localized losses. Measured fast ion
mitigation system. The research will employ configuration, are envisioned as the leading
approaches to reducing peak heat flux on the fluxes in DIII-D and NSTX-U plasmas withnew disruption mitigation systems, control
divertor targets and increasing the operating
different levels of Alfvén eigenmode activity
algorithms, and hardware to help avoid
window for dissipative divertors. Data obtained will be used to determine the threshold for
disruptions, along with measurements tosignificant fast ion transport, assess
detect disruption precursors and quantify the from DIII-D and NSTX-U and archived from
Alcator C-Mod will be used to assess the impact mechanisms and models for such transport,
effects of disruptions.
of edge magnetic configurations and divertor and quantify the impact on beam power
geometries on dissipative regimes, as well as
deposition and current drive. Measurements
their effect on the width of the power exhaust will be compared with theoretical predictions,channel, thus providing essential data to test
including quantitative fluctuation data and fastand validate leading boundary plasma models. ion density, in order to validate models andimprove understanding of underlying
mechanisms. Model predictions will guide thedevelopment of attractive operating regimes.
Met
TBD
TBD
Magnetic fields are the principal means of confining the hot ionized gas of a plasma long enough to make practical fusion energy. The detailed
shape of these magnetic containers leads to many variations in how the plasma pressure is sustained within the magnetic bottle and the degreeof control that experimenters can exercise over the plasma stability. These factors, in turn, influence the functional and economic credibility of

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FY 2018 Congressional Budget Justification

Performance Goal
(Measure)

the eventual realization of a fusion power reactor. The key to their success is a detailed physics understanding of the confinement
characteristics of the plasmas in these magnetic configurations. The major fusion facilities can produce plasmas that provide a wide range ofmagnetic fields, plasma currents, and plasma shapes. By using a variety of plasma control tools, appropriate materials, and having thediagnostics needed to measure critical physics parameters, scientists will be able to develop optimum scenarios for achieving high performance
plasmas in future burning plasma devices and, ultimately, in power plants.
FES Facility Operations - Average achieved operation time of FES user facilities as a percentage of total scheduled annual operation timeTargetResultEndpoint Target

Performance Goal
(Measure)
TargetResultEndpoint Target≥ 90 %≥ 90 %≥ 90 %Met
TBD
TBD
Many of the research projects that are undertaken at the Office of Science’s scientific user facilities take a great deal of time, money, and effort
to prepare and regularly have a very short window of opportunity to run. If the facility is not operating as expected the experiment could beruined or critically setback. In addition, taxpayers have invested millions or even hundreds of millions of dollars in these facilities. The greater
the period of reliable operations, the greater the return on the taxpayers’ investment.
FES Theory and Simulation - Performance of simulations with high physics fidelity codes to address and resolve critical challenges in theplasma science of magnetic confinement
Predicting the magnitude and scaling of theLower hybrid current drive (LHCD) will be
The interaction of the boundary plasma withdivertor heat load width in magneticallyindispensable for driving off-axis current during the material surfaces in magnetically confined
confined burning plasmas is a high priority for long-pulse operation of future burning plasma plasmas is among the most critical problems in
the fusion program. One of the key unresolved experiments, since it offers important leverage fusion energy science. In FY 2018, perform
physics issues is what sets the heat flux width for controlling damaging transients caused by high-performance computational simulations
at the entrance to the divertor region. Perform magnetohydrodynamic instabilities. However, with coupled boundary plasma physics andthe experimentally demonstrated highmassively parallel simulations using 3D edge
materials surface models to predict the fuelefficiency of LHCD is incompletely understood. recycling and tritium retention of the divertor
kinetic and fluid codes to determine theparameter dependence of the heat load width In FY 2017, massively parallel, high-resolution for deuterium-tritium burning plasma
simulations with 480 radial elements and 4095 conditions, accounting for erosion, reat the divertor entrance and compute thedivertor plate heat flux applicable to moderate poloidal modes will be performed using fulldeposition and impurity transport in theparticle recycling conditions. Comparisons will wave radiofrequency field solvers and particle plasma boundary, and an initial evaluation of
be made with data from DIIID, NSTX-U, and C- Fokker-Planck codes to elucidate the roles of
the influence of material deposition on thetoroidicity and full-wave effects. The simulation recycling and retention.
Mod.
predictions will be compared with experimental
data from the superconducting EAST tokamak.
Met
TBD
TBD
Advanced simulations based on high physics fidelity models offer the promise of advancing scientific discovery in the plasma science ofmagnetic fusion by exploiting the Office of Science high performance computing resources and associated advances in computational science.
These simulations are able to address the multiphysics and multiscale challenges of the burning plasma state and contribute to the FES goal ofadvancing the fundamental science of magnetically confined plasmas to develop the predictive capability needed for a sustainable fusionenergy source.

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FY 2018 Congressional Budget Justification

Fusion Energy Sciences
Capital Summary ($K)
Total

Prior Years

FY 2016
Enacted

n/a
n/a

n/a
n/a

7,566
5,521

n/a

n/a

13,087-

83,66580,1950Total MIEs
Total Non-MIE Capital Equipment
Total, Capital equipment

n/a
n/a
n/a

80,195n/an/aGeneral Plant Projects c
General Plant Projects under $2 million TEC

n/a

n/a

Capital Operating Expenses Summary
Capital equipment
General plant projects (GPP)
Accelerator Improvement Projects (AIP) (<$5M)
Total, Capital Operating Expenses
Capital Equipment
Major items of equipment b
National Spherical Torus Experiment Upgrade (TPC
$94,300)

FY 2017
Annualized CR a

FY 2018
RequestFY 2018 vs
FY 2016

0-7,566-5,5210-13,087

-

0

0

0
7,566
7,566

-

0

0

5,521

-

aFY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional control level and above,

below that level, a dash (-) is shown.

b Each MIE located at a DOE facility Total Estimated Cost (TEC) >$5M and each MIE not located at a DOE facility TEC > $2M.
c Each Plant Project (GPP/GPE) Total Estimated Cost (TEC) > $5M

Science/Fusion Energy Sciences164

FY 2018 Congressional Budget Justification

Fusion Energy Sciences
Construction Projects Summary ($K)

14-SC-60, U.S. Contributions to ITER Project
Total Estimated Cost (TEC)
Other Project Cost (OPC)
Total, Project Cost (TPC), 14-SC-60

Total

Prior Years

FY 2016
EnactedFY 2017
EnactedFY 2018
RequestFY 2018 vs
FY 2016

TBD
TBD
TBD

947,905
74,9801,022,885

115,0000
115,000

50,00063,000063,000-52,0000-52,000

50,000Fusion Energy Sciences
Funding Summary ($K)

Research
Scientific user facility operations
Major items of equipment
Other (GPP, GPE, and infrastructure)
Construction
Total, Fusion Energy Sciences

FY 2016 Enacted
218,978
98,1470
5,875
115,000
438,000

FY 2017 Annualized CR a
437,167

FY 2018 Request
166,340
80,6000
063,000309,940

FY 2018 vs FY 2016
-52,638-17,547
0-5,875-52,000-128,060

a
FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional control
level and above, below that level, a dash (-) is shown.

Science/Fusion Energy Sciences165

FY 2018 Congressional Budget Justification

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 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.

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

FY 2016 Enacted

FY 2017 Annualized CR a

FY 2018 Request

FY 2018 vs FY 2016

$79,407
618
691
600
1,000
69.1%
0

-

$83,000
650
N/A
720
720
100%
N/A

+$3,593
+32
+120
-280
+31%
N/A

a
FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional control
level and above, below that level, a dash (-) is shown.

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166

FY 2018 Congressional Budget Justification

FY 2016 Enacted

FY 2017 Annualized CR a

FY 2018 Request

FY 2018 vs FY 2016

Alcator C-Mod
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$18,049
140
N/A
160
800
20%
N/A

-

0
0
N/A
0
0
0
N/A

-$18,049
0
N/A
0
0
0
N/A

National Spherical Torus Experiment-Upgrade
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$72,568
362
402
720
1,000
40%

-

-$16,968
-65
N/A
-720
-1,000
-40%

318

-

$55,600
297
N/A
0
0
N/A
N/A

Total Facilities
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent of optimal hoursbab
Unscheduled downtime hours$170,024
1,206
1,650
1,480
2,800
55.9%
318

-

138,600
970
N/A
720
720
100%
N/A

-$31,424
+8
N/A
-760
-1,800+44.1%N/A

N/Aa

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above, below that level, a dash (-) is shown.
b

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

Science/Fusion Energy Sciences

167

∑𝑛𝑛
1 [(%𝑂𝑂𝑂𝑂 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛)×(𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜)]
𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑎𝑎𝑎𝑎𝑎𝑎 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜

FY 2018 Congressional Budget Justification

Scientific Employment

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

FY 2017 Annualized CR a-

FY 2016 Enacted
767
98
293
1,025

FY 2018 Request
510
65
160
785

FY 2018 vs FY 2016
-253
-33
-133
-240

a

FY 2017 amounts shown reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional control level
and above, below that level, a dash (-) is shown.
b
Includes technicians, engineers, computer professionals, and other support staff.
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FY 2018 Congressional Budget Justification

14-SC-60, U.S. Contributions to ITER
1.

Significant Changes and Summary

Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2017 CPDS and does not include a new start for FY 2018.
The DOE Order 413.3B approved Critical Decision (CD) CD-1, “Approve Alternative Selection and Cost Range” was approvedon January 25, 2008 with a preliminary cost range of $1.45–$2.2 billion. Since 2008, the estimated cost range for the projectincreased such that the upper bound of the approved CD-1 cost range increased by more than 50% triggering the need for areassessment of the project cost range and re-approval by the Project Management Executive (PME). The ProjectManagement Executive for the U.S. ITER project is the Deputy Secretary of Energy. The cost range reassessment wascompleted in November 2016 and it was then subsequently approved by the PME in January 13, 2017. The CD-1 Revised
cost range is now $4.7B to $6.5B.
DOE has divided the U.S. ITER project hardware scope into two distinct subprojects, which represent the two phases of the
project: subproject 1 is the hardware scope leading to First Plasma (FP), and subproject 2 is hardware for the post-First
Plasma project. This CPDS focuses only on the FP subproject activities. A review of CD-2, “Approve Performance Baseline”
for the First Plasma subproject was completed in November 2016 and then subsequently approved by the PME on January
13, 2017, with a total project cost of $2.5B, with a CD-4, “Project Completion” date of December 2027.
The FP subproject scope consists of: 1) completing the design for all twelve subsystems the U.S. was contributing to ITER; 2)complete fabrication and delivery of the Toroidial Field (TF) coil superconductor, Steady State Electrical Network (SSEN), andthe Central Solenoid (CS) superconducting magnet modules and associated structures; and 3) partial fabrication anddelivery of seven other subsystems: Tokamak Cooling Water, Roughing Pumps, Vacuum Auxillary, Pellet Injection, Ion
Cyclotron Heating, Electron Cyclotron Heating, Diagnostics.
Summary
ITER is a major fusion research facility being constructed in St. Paul-lez-Durance, France by an international partnership ofseven governments. Since it will not result in a facility owned by the U.S. or located in the U.S., the U.S. Contributions to
ITER (U.S. ITER) project is not classified as a Capital Asset project, but is classified as a Major System Project. The U.S. ITER
project is a U.S. Department of Energy project to provide the U.S. share of the ITER project (in-kind hardware i.e.,subsystems, equipment, and components, as well as monetary resources to support the ITER Organization (IO) in France).
Sections of this CPDS have been tailored accordingly to reflect the nature of this project.
The U.S. ITER project is managed as a DOE Office of Science (SC) project. The project began as a Major Item of Equipment(MIE) in FY 2006, and was changed to a Congressional control point Line-Item beginning in FY 2014. As with all SC projects,
the principles of DOE Order 413.3B are applied in the effective management of the project, including critical decision
milestones and their supporting prerequisite activities. Requirements for project documentation, monitoring and reporting,change control, and regular independent project reviews are being applied with the same degree of rigor as other SC lineitem projects. Progress and performance are reported regularly in monthly performance metrics and project status reports.
As of the end of September, 2017, the U.S. ITER FP project is more than 50% complete; design of hardware needed for FP
technical systems is 86% complete; and 19% of the hardware deliveries are complete. Active fabrication is underway in fiveof the U.S. twelve hardware systems (TCWS, Steady State Electric Network [SSEN] Components, Toroidal Field [TF]
Conductor and CS Magnets and Vacuum Auxiliary Systems [VAS]). The U.S. has also procured major high-voltage electric
power components (e.g., transformers, switch gear, circuit breakers, and voltage regulators). Deliveries of U.S. electric
power components to the ITER site in France began in FY 2014 and were completed in FY 2017. Fabrication of the TF coilsuperconductor was also competed in FY 2017. The U.S. ITER project has subcontracted with General Atomics (GA) for the
fabrication of the world’s largest pulsed superconducting magnets for the ITER CS magnet system. In FY 2017,
commissioning was completed for all of the eleven work stations in the CS magnet module fabrication facility for the
fabrication of the seven (six production and one spare) magnet modules the U.S. is responsible for delivering to theinternational ITER project. The U.S. completed fabrication of a mockup (non-superconducting) copper coil which was toprovide assurance of all the CS manufacturing processes. Also, GA completed the winding of the first two magnet modules
Science/Fusion Energy Sciences/
14-SC-60, U.S. Contributions to ITER169

FY 2018 Congressional Budget Justification

in FY 2017. By the end of CY 2017, five of seven modules will be in fabrication. To date the U.S. ITER project has awarded
and obligated over $860 million to U.S. industry, universities, and DOE laboratories.
FY 2018 funding will support ITER Project Office operations including project management. Additional planning will follow
discussions with Congress and ITER partners.
The U.S ITER Federal Project Director with certification level 3 has been assigned to this Project and has approved this CPDS.
2.

Critical Milestone History(fiscal quarter or date)
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

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

CD-0 – Approve Mission Need
CD-1 – Approve Alternative Selection, Cost Range, and Start of Long-lead Procurements
CD-2 – Approve Performance Baseline
CD-3 – Approve Start of Fabrication
CD-4 – Approve Project CompletionaElectron Cyclotron Heating (ECH) Transmission lines (TL) (06/22/2009); Tokamak Cooling Water System (07/21/2009); CS
Modules, Structures, and Assembly 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 and establishment 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 (06/2017); Roughing Pumps I&C (06/2017); VAS 03 Supply I&C (04/2017); 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).
Science/Fusion Energy Sciences/
14-SC-60, U.S. Contributions to ITER
FY 2018 Congressional Budget Justification
170

FY 2018 a 7/5/2005
3.

CD-1 Cost
Range
Update
1/13/17

CD-2/3SP-1
1/13/17

CD-4
SP-2
2019

SP-1
1Q2027SP-2
2034-2038

Project Cost History

At the time of CD-1 approval in January 2008, the preliminary cost range for the total U.S. ITER project was $1.45–$2.2 billion. Until recently, however, it has not been possible to confidently baseline the project due to past delays in theinternational ITER construction schedule. Various factors (e.g., schedule delays, design and scope changes, funding
constraints, regulatory requirements, risk mitigations, and project management and leadership issues in the ITER
Organization) have affected the project cost. 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 $6.5B would likely
encompass the final TPC. This range, recommended in 2013, was included in subsequent Budget Requests and in the May
2016 DOE “Report on the Continued U.S. Participation in the ITER Project” to Congress. Following briefings and discussions
with the Secretary’s Project Management Risk Committee, the Undersecretary for Science and Energy, and the Director of
the Office of Science, in preparation for baselining FP, 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 to 6.5B. This updated CD-1R range
incorporates increases in the projects hardware estimate that have occurred since August 2013. The First Plasma subproject
TPC has been baselined at $2.5B.
4.

Project Scope and Justification

Scope
ITER is an international partnership among seven Member governments (China, the European Union, India, Japan, theRepublic of Korea, the Russian Federation, and the United States) aimed at demonstrating the scientific and technologicalfeasibility of fusion energy for peaceful purposes. The Agreement on the Establishment of the ITER International Fusion
Energy Organization for the Joint Implementation of the ITER Project (ITER Agreement), signed on November 21, 2006,
provides the legal framework for the four phases of the program: construction, operation, deactivation, anddecommissioning. Through participation in the agreement, 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 oneeleventh (9.09%) of the ITER facilities cost. Operation, deactivation, and decommissioning of the facility are to be fundedthrough 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
ITER Organization (IO), which is an international legal entity located in France.
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 the fusion
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.

a

VAS 02 Supply Part 1 (05/2018); ICH RF Building and I&C (11/2017); TCWS Captive Piping and First Plasma (10/2017); ICH
RF components supporting INDA/IO testing (01/2018).
Science/Fusion Energy Sciences/
14-SC-60, U.S. Contributions to ITER
FY 2018 Congressional Budget Justification
171

5.

Financial Schedule(dollars in thousands)
Appropriations
Obligations
Total Estimated Cost (TEC)
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
Subtotal
Total, Hardware
Cash Contributions e
FY 2006
FY 2007
FY 2008
FY 2009
FY 2010
FY 2011
FY 2012FY 2013
FY 2014b
FY 2015
FY 2016 f
FY 2017
FY 2018
Subtotal
Total, Cash Contributions
Total, TEC
Other project costs (OPC)FY 2006
FY 2007
FY 2008
FY 2009
FY 2010a

Costs a13,754
34,58825,50085,401
85,26663,87591,441
107,635
161,605
128,682
115,000
50,00063,0001,025,747
TBD

13,754
34,58825,50085,401
85,26663,87591,407
107,669
161,605
128,682
115,000
50,00063,0001,025,747
TBD

6,169
24,23824,122
26,27846,052
84,321
99,215110,074
153,368
105,908
102,561
158,942
73,0001,014,248
TBD

2,112
7,412
2,644
23,59929,734
3,125
13,214
13,80532,895
15,95700
0144,497
TBD
TBD

2,112
7,412
2,644
23,59929,734
3,125
13,214
13,80532,895
15,95700
0144,497
TBD
TBD

2,112
7,412
2,644
23,59929,734
3,125
13,214
13,80532,895
15,95700
0144,497
TBD
TBD

3,449
18,000-2,07415,00020,0003,449
18,000-2,07415,00020,000

1,110
7,607
7,513
5,072
7,754

Costs through FY 2016 reflect actual costs; costs for FY 2017 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.
cAppropriations 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.
eIncludes cash payments, secondees, taxes and tax support.
f
No FY 2016 funding is provided to support the ITER organization.
Science/Fusion Energy Sciences/
14-SC-60, U.S. Contributions to ITER
FY 2018 Congressional Budget Justification172b

(dollars in thousands)
Appropriations
Obligations
13,00013,000
345
345
2,560
2,560
5,000
5,000
5,361
5,361
0
0
0
0
0
0
80,64180,641TBD
TBD

FY 2011
FY 2012 a
FY 2013
FY 2014 b
FY 2015
FY 2016
FY 2017
FY 2018
Subtotal
Total, OPC
Total Project Costs (TPC)FY 2006
FY 2007
FY 2008
FY 2009
FY 2010
FY 2011
FY 2012a
FY 2013
FY 2014b
FY 2015
FY 2016
FY 2017
FY 2018
Subtotal
Total, TPC
6.

19,31560,00026,070124,000
135,000
80,000105,000
124,000
199,500
150,000
115,000
50,00063,0001,250,885
TBD

19,31560,00026,070124,000
135,000
80,000104,966
124,034
199,500
150,000
115,000
50,00063,0001,250,885
TBD

Costs a10,032
22,336
5,984
2,717
5,500
3,958
1,058
0
80,641
TBD
9,391
39,25734,27954,94983,54097,478
134,765
129,863
188,980
127,365
106,519
160,000
73,0001,239,386
TBD

Details of the 2018 Project Cost Estimate

An Independent Project Review of U.S. ITER was conducted on November 14-17, 2016, to consider the project’s readinessfor CD-2 (Performance Baseline) and CD-3 (Begin / Continue Fabrication) for FP as well as the proposed updated CD-1 Cost
Range. Outcomes from the IPR indicated that the project was ready for approval of FP CD-2/3 following a reassessment ofcontingency to account for risk in the areas of escalation and currency exchange. This recommendation has been addressed.
7.

Schedule of Appropriation Requests

FY 2006

FT 2007

a

TEC
OPC
TPC
TEC
OPC
TPC

Prior
Years
1,009,00
080,6001,089,60
0930,151
44,949975,100

FY 2013
29,0003,400
32,400116,900
0116,900

FY 2014

FY 2015

FY 2016

0
0

0
0

0
0

0
30,000030,000

0
0
0
0

0
0
0
0

FY 2017
0
0
0
0
0
0

FY 2018 Outyears
0
0
0
0
0
0
0
0
0
0
0
0

Total
1,038,000
84,0001,122,000
1,077,051
44,9491,122,000

Prior actuals adjusted to incorporate project funds utilized at PPPL and DOE. Obligation adjusted to reflect year-end PPPL
settlement funding.
bAppropriations prior to FY 2014 reflect major item of equipment funding. Starting in FY 2014, this project is funded as a
Congressional control point.
Science/Fusion Energy Sciences/
14-SC-60, U.S. Contributions to ITER
FY 2018 Congressional Budget Justification
173

FY 2008

FY 2009 a

FY 2010

FY 2011

FY 2012 b

FY 2013 c

FY 2014 d

FY 2015

FY 2016
FY 2017a

FY 2018

a

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

Prior
Years
931,330
43,770975,100
266,366
38,075
304,441
294,366
70,019364,385
379,366
65,019444,385
394,566
75,019469,585476,296
73,089549,385476,296
73,089549,385
481,940
67,445549,385
481,940
67,445549,385
481,940
67,445549,385
481,665
67,720549,385

FY 2013116,900
0116,900
0
0
0
0
0
0
0
0
0
0
0
0
140,965
9,035
150,000
105,57270
105,642
121,465
2,535
124,000
121,465
2,535
124,000
121,499
2,535
124,034
121,440
2,560
124,000

FY 201430,000030,000
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
225,0000
225,000
194,500
5,000
199,500
194,500
5,000
199,500
194,500
5,000
199,500
194,500
5,000
199,500

FY 2015
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
144,6395,361
150,000
144,6395,361
150,000
144,6395,361
150,000
144,6395,361
150,000

FY 2016
0
0
0
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
150,0000
150,000
115,0000
115,000
115,0000
115,000

FY 2017
0
0
0
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
125,0000
125,000
50,000050,000FY 2018 Outyears
Total0
0 1,078,230
0043,7700
0 1,122,000
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
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
63,000
TBD
TBD
0
TBD
TBD
63,000TBD
TBD

The Prior Years column for FY 2009 through FY 2012 reflects the total of appropriations and funding requests only throughthe year of that row. Thus, for example, in the FY 2010 row, it reflects only funding from FY 2006 to FY 2012.
b
The FY 2012 request was submitted before a full-year appropriation for FY 2011 was in place, and so FY 2011 was TBD atthat time. Hence, the Prior Years column for FY 2012 reflects appropriations for FY 2006 through FY 2010 plus the FY 2012
request.
c
The FY 2013 amount shown in the FY 2014 request reflected a short-term continuing resolution level annualized to a fullyear and based on the FY 2012 funding level for ITER.
dPrior to FY 2015, the requests were for a major item of equipment broken out by TEC, OPC, and TPC.
Science/Fusion Energy Sciences/
14-SC-60, U.S. Contributions to ITER
FY 2018 Congressional Budget Justification
174

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.
A world-wide program of particle physics research is underway to discover what lies beyond the Standard Model. Fiveintertwined science drivers of particle physics provide compelling lines of inquiry that show 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 and alignedwith three HEP subprograms:•

Energy Frontier, where researchers accelerate particles to the highest energies ever made by humanity and collide themto produce and study the fundamental constituents of matter. This requires some of the largest machines ever built.
The Large Hadron Collider (LHC) at the European Organization for Nuclear Research, known as CERN, is 17 miles incircumference, accelerates and collides high-energy protons while sophisticated detectors, some the size of apartmentbuildings, observe newly produced particles that provide insight into fundamental forces of nature and the conditionsof the early universe.

•

Intensity Frontier, where researchers use a combination of intense particle beams and highly sensitive detectors tomake extremely precise measurements of particle properties, study some of the rarest particle interactions predictedby the Standard Model of particle physics, and search for new physics. Measurements of the mass and other propertiesof neutrinos may have profound consequences for understanding the evolution and ultimate fate of the universe.

•

Cosmic Frontier, where researchers use naturally occurring cosmic particles and phenomena to reveal the nature ofdark 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 be mapped and perhaps thenature 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 a universe far stranger than ever thoughtpossible.

This program of scientific discovery is formulated and enabled through the support of the Theoretical and Computational
Physics and the Advanced Technology Research and Development (R&D) subprograms. Theoretical and Computational
Physics 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
Science/High Energy Physics

175

FY 2018 Congressional Budget Justification

tools that are necessary for designing, operating, and interpreting experiments while performing the computational scienceand simulations on extremely large data sets that enable discovery research in the three frontiers. Advanced Technology
R&D fosters fundamental research into particle acceleration and detection techniques and instrumentation. These enabling
technologies and new research methods advance scientific knowledge in high 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 impact
activities outside the traditional HEP boundaries. The activities of the Stewardship subprogram include: improving access to
Office of Science (SC) accelerator R&D infrastructure for industrial and other users; near-term translational 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. Moreover, many of the advanced technologies, research tools, and analysis techniques originally developed
for high energy physics have proved widely applicable to other scientific disciplines as well as industry, medicine, andnational security.
Highlights of the FY 2018 Budget Request
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 Contexta. The P5 report 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. Guided by the vision of the P5 report, the FY 2018 Budget Request focuses support
on the highest priority elements of the P5 strategy. The P5 report identified theHigh-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 the Long Baseline Neutrino Facility
and Deep Underground Neutrino Experiment (LBNF/DUNE) as the highest-priority large project in its timeframe. The
Request supports these high-priority projects with the least adjustment possible to their planned scope and schedule. Other
efforts across Research, Facility Operations, and Projects will have their scope reduced or schedules delayed, based on
factors including the P5 report strategy and project maturity. The FY 2018 Request supports the Large Synoptic Survey
Telescope camera (LSSTcam), Muon to Electron Conversion Experiment (Mu2e), and the Large Underground Xenon (LUX)ZonEd Proportional scintillation in LIquid Nobles gases (ZEPLIN) experiment (LZ) projects consistent with the planned
fabrication funding profiles. The Dark Energy Spectroscopic Instrument (DESI) project, which received CD-3 approval for startof fabrication, will be rebaselined in coordination with DOE’s partnering agency, NSF, so that it can be completed on adelayed timescale. The Request provides funding for a new Major Item of Equipment (MIE), the Facility for Advanced
Accelerator Experimental Tests II (FACET-II), for the design and fabrication of the Super Cryogenic Dark Matter Search at
Sudbury Neutrino Observatory Laboratory (SuperCDMS-SNOLAB) project, and for research and conceptual design of theProton Improvement Plan II (PIP-II) construction project. Most research activities will be reduced; higher priority will begiven to support the laboratory research programs that are critical to executing the P5 recommendations, and for R&D that
requires long-term investments including Accelerator Stewardship, Detector R&D, and Quantum Information Science (QIS).
The Request provides reduced funding for the Fermi National Accelerator Laboratory (Fermilab) Accelerator Complex tooperate and support the neutrino and muon experiments.
Energy Frontier Experimental Physics
The LHC has exceeded its goals as it operates at collision energies of 13 teraelectronvolt (TeV), setting new performancerecords and delivering at an unprecedented pace the number of particle collisions, or luminosity, to the ATLAS and CMS
experiments. Physics results from this higher-energy and higher-luminosity data will continue through FY 2018, criticallyaHigh 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/May-2014/FINAL_P5_Report_053014.pdf

Science/High Energy Physics

176

FY 2018 Congressional Budget Justificationinforming future HEP research directions and opportunities. HEP will continue investment in the LHC by contributing to the
U.S. share of the HL-LHC accelerator and detector upgrades.
Intensity Frontier Experimental Physics
The FY 2018 Request supports activities necessary to establish a U.S.-hosted, world-leading neutrino physics program,consisting of LBNF/DUNE, the related Short-Baseline Neutrino (SBN) program at Fermilab, and R&D efforts surrounding theprototypes for DUNE (protoDUNE) at CERN. This includes continued funding for the PIP-II project that will upgrade theFermilab linear accelerator to increase beam power and sustain high reliability of the Fermilab Accelerator Complex. These
upgrades are necessary to provide proton beam intensity of greater than one megawatt for LBNF/DUNE, as recommended
in the P5 report. Fermilab will plan for an extended shutdown of the accelerator complex in FY 2018.
Cosmic Frontier Experimental Physics
Two complementary next-generation experiments will advance our understanding of dark energy. The LSSTcam will scan halfof the sky repeatedly with optical imaging sensors, building up a “cosmic cinematography” of the changing universe, while
DESI will study 30 million galaxies and quasars by creating three-dimensional maps of the distribution of matter over twothirds of the age of the universe. The LSSTcam and DESI projects will be in their fabrication phases in FY 2018. Two secondgeneration direct-detection dark matter experiments, LZ and SuperCDMS-SNOLAB, will carry out complementary searches
for dark matter candidates over a broad range of masses. LZ will use a liquid xenon detector located at the Sanford
Underground Research Facility (SURF) in Lead, South Dakota, and will continue its fabrication phase in FY 2018. SuperCDMSSNOLAB will use cryogenic semi-conductor detectors located at SNOLAB in Sudbury, Canada and will move into final design
and then start the fabrication phase in FY 2018.
Theoretical and Computational Physics
The FY 2018 Request will support major theoretical research thrusts that focus on the P5 science drivers, intertwining thephysics of the Higgs boson, neutrino masses, the dark universe, and exploring the unknown. Computational physics efforts
focus on emerging computational science techniques that advance the HEP mission and new computing models andtechnology that will address projected needs in data management and computing resources across the program. The FY
2018 Request includes new funding for QIS research in which HEP has an important role in the national program.
Advanced Technology R&D
The LHC Accelerator Research Program (LARP) ramps down as development and prototyping efforts for powerful new
focusing magnets for the LHC transition into production efforts as part of the HL-LHC Accelerator Upgrade Project (HL-LHC
AUP). The FACET-II project will continue design and development for the positron beam system. The Detector R&D
subprogram develops cutting-edge instrumentation to enable experimental research at the forefront of the field while
training the next generation of detector experts. The FY 2018 Request supports R&D to inform the planning and selection of
next-generation HEP experiments.
Accelerator Stewardship
The Accelerator Stewardship subprogram supports R&D where advances potentially impact both physical science researchand other applications of benefit to the general public, and where there is no private sector R&D activity. The FY 2018
Request reduces support for the Brookhaven National Laboratory’s (BNL) Accelerator Test Facility (ATF).
Construction
The FY 2018 Request will increase support for LBNF/DUNE, the highest-priority large project in its timeframe in the P5
report. The requested investment will support the Critical Decision (CD)-3A approved scope of early far-site construction,
including site preparation and cavern excavation. The Muon to Electron Conversion Experiment (Mu2e) continues withconstruction in FY 2018 according to its approved baseline funding profile.

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High Energy Physics
Funding ($K)
FY 2016 Enacted ab
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 and Computational Physics
Research
TheoryComputational HEP
Total, Research
Projects
SBIR/STTR
Total, Theoretical and Computational Physicsa

FY 2017 Annualized
CR c

FY 2018 Request

FY 2018 vs
FY 2016

73,50554,77921,085
4,659
154,028—————

56,29044,29039,0004,265
143,845-17,215-10,489+17,915-394-10,183

54,683
148,863
36,036
7,235
246,817—————

42,220129,304
14,1006,944
192,568-12,463-19,559-21,936-291-54,249

47,326
13,77767,7802,337
131,220—————

35,5308,199
31,6001,800
77,129-11,796-5,578-36,180-537-54,091

48,6158,829
57,4442,000
2,092
61,536

—
—
—
—
—
—

33,85023,21357,0630
2,162
59,225-14,765+14,384-381-2,000+70-2,311The FY 2016 Enacted level includes SBIR and STTR and reflects updates through the end of the fiscal year.
SBIR/STTR is requested in FY 2018 within the various subprograms instead of a consolidated requested as an independent subprogram, as it has been in previous years.
The FY 2016 column has been adjusted for comparison purposes.
c
FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above; below that level, a dash (-) is shown.
Science/High Energy Physics
FY 2018 Congressional Budget Justification
178b

FY 2016 Enacted ab
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
11-SC-40, Long Baseline Neutrino Facility/Deep Underground
Neutrino Experiment11-SC-41, Muon to Electron Conversion Experiment
Total, Construction
Total, High Energy Physics

FY 2017 Annualized
CR c

FY 2018 Request

FY 2018 vs
FY 2016

44,60821,02016,587
82,21536,3002,100
4,210
124,825

—
—
—
—
—
—
—
—

32,701
5,000
16,45054,151
28,6702,000
3,043
87,864-11,907-16,020-137-28,064-7,630-100-1,167-36,961

5,643
4,517
314
10,474
728,900————
727,514

8,953
3,350
466
12,769573,400+3,310-1,167+152+2,295-155,500

26,00040,10066,100795,000

25,95140,02465,975
793,489

54,90044,40099,300672,700+28,900+4,300+33,200-122,300

SBIR/STTR Funding:• FY 2016 Enacted: SBIR: $18,128,000; STTR: $2,719,000• FY 2018 Requested: SBIR: $16,377,000; STTR: $2,303,000

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High Energy Physics
Explanation of Major Changes ($K)
FY 2018 vs
FY 2016
Energy Frontier Experimental Physics: The Request prioritizes support for National Laboratory research programs critical to executing the P5
recommendations. Increased project funding supports the HL-LHC AUP MIE (new start), as well as conceptual design activities for the HL-LHC ATLAS
and HL-LHC CMS Detector Upgrade projects. FY 2017 is the final year of funding planned for LHC ATLAS and LHC CMS Detector Upgrade projects. The
Request reduces funding for research activities at universities. Decreases in operations funding will require a reduction of support to detector
maintenance and data management and a delay to planned procurement of compute nodes and data storage.
Intensity Frontier Experimental Physics: The Request includes project funding reductions due to the scheduled completion of Muon g-2 projectfunding in FY 2017 and reductions in pre-conceptual R&D for PIP-II and early investments in the Fermilab SBN program. Operations reductions are
driven by the extended shutdown of the Fermilab accelerator complex. The Request supports higher priority laboratory research programs critical to
executing the P5 recommendations and reduces funding for research activities at universities.
Cosmic Frontier Experimental Physics: The Request includes reductions driven by the planned conclusion of the LSSTcam project. LZ will continue
planned fabrication, DESI will be rebaselined, and SuperCDMS-SNOLAB will transition from design to fabrication. The Request supports higher priority
laboratory research programs critical to executing the P5 recommendations and reduces funding for research activities at universities. Decreases infunding for currently operating experiments will partially be offset by an increase for early operations of the LSSTcam.
Theoretical and Computational Physics: The Request supports higher priority laboratory research programs critical to executing the P5
recommendations and reduces funding for research activities at universities. The Lattice Quantum Chromodynamics (LQCD) project receives final
funding in FY 2017. Increased funding will support QIS efforts in quantum computing and quantum sensor development.
Advanced Technology R&D: The Request supports reduced funding for research activities at universities and national laboratories. Higher priority will
be given to support laboratory research programs critical to executing the P5 recommendations and for R&D that requires long-term investments,
including Detector R&D. Funding will decrease as LARP development and prototyping efforts for the LHC focusing magnets transition into production
efforts as part of the HL-LHC AUP. The Muon Accelerator Program (MAP) receives final funding in FY 2017. The FACET facility has completed its run
and operations funding for it will be minimal until the completion of FACET-II.
Accelerator Stewardship: Funding for research will increase to support targeted R&D efforts to develop new uses of accelerator technology withbroad applicability, offset by a decrease to support for BNL ATF operations.
Construction: The funding request supports the planned profile for construction of Mu2e. The increase to LBNF/DUNE Construction funding will
support cavern excavation for LBNF/DUNE as approved at approved CD-3A, and will establish the facility and enable the scheduled delivery ofcontributions from international partners.
Total, High Energy Physics

Science/High Energy Physics

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FY 2018 Congressional Budget Justification

Basic and Applied R&D Coordination
Accelerator Stewardship enables development of real-world accelerator applications, including advanced proton and ion
beams for the treatment of cancer, in coordination with the National Institutes of Health (NIH). HEP developed theAccelerator Stewardship subprogram based on input from accelerator R&D experts drawn from universities, national
laboratories, and industry to help identify specific research areas and infrastructure gaps where HEP investments would
have sizable impacts beyond the SC research mission. This program is closely coordinated with the SC’s Basic Energy
Sciences (BES) and Nuclear Physics (NP) programs and partner agencies a to ensure federal stakeholders have input incrafting 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 andSpace Administration (NASA); and microwave and high power accelerator R&D coordinated with the DOD, the Departmentof Homeland Security’s Domestic Nuclear Detection Office (DHS/DNDO), the NSF/ Chemical, Bioengineering, Environmental
and Transport (CBET) Systems Division, and the DOE’s Office of Environmental Management (EM).
The Accelerator Stewardship conducts use-inspired basic R&D at stages Technology Readiness Levels (TRL)-1 through TRL-4;
ensuring the investments will eventually result in high-impact applications requires close coordination with other agencies
who will carry on the development. The implementation strategy is to work with applied R&D agencies to define priority
research directions at Basic Research Needs Workshops, and through direct participation of applied agency program
managers in merit reviews. 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 gantries (joint with Varian Medical Systems),
advanced proton sources for therapy (joint with ProNova Solutions), advanced detectors for therapy (joint with Best
Medical International) advanced microwave source development (joint with Communications Power Industries), andtechnical design studies for high power accelerators for environmental cleanup, wastewater treatment (joint with
Metropolitan Water Reclamation District of Greater Chicago, General Atomics, Advanced Energy Systems, and Euclid
Techlabs). Funded R&D awards have drawn an average of 20% of voluntary cost sharing over the first two years of the
program, providing evidence of the potential impact.
Program Accomplishments
Record-breaking LHC performance leads to data accumulation 60% beyond goal for 2016 (Energy Frontier). The LHC is thehighest energy particle collider in the world and has nearly doubled its particle collision energy since it was used to discover
the Higgs boson particle in 2012. The LHC far exceeded its goal for producing particle collisions in 2016 while continually
breaking performance records. While it will take time for the ATLAS and CMS experiment collaborations to analyze the data,
early results are already probing the Higgs boson for any sign of new physics. In August 2016, the ATLAS collaboration useddata from the highest energy LHC collisions to confirm that Higgs boson’s rate of production at 13 TeV collision energy
agrees with the predictions of the Standard Model of particle physics. The LHC aims to continue running at its record pace
for the next two years and more than double the delivered particle collisions to the experiments, which will enable moredetailed measurements of the Higgs boson and more sensitive searches for new physics.
Combined analysis from MINOS and Daya Bay experiments constrain possible sterile neutrino properties (Intensity Frontier).
The discovery of neutrino oscillations, which garnered the 2015 Nobel Prize in Physics, proves not only that neutrinos havemass but that the Standard Model of particle physics is incomplete. While three types of neutrinos have been discovered sofar, results from some previous experiments are consistent with a theoretical fourth type of neutrino. This additional“sterile” neutrino would not interact with other matter and would only be accessible by studying neutrino oscillations. If asterile neutrino were discovered, it would be the first discovery of an unexpected fundamental particle since the Standard
Model was established. A combined result from the MINOS experiment at Fermilab and the Daya Bay Reactor Neutrino
experiment in China released in 2016 yielded the world’s most stringent constraints on the properties of a sterile neutrinoaPartner agencies for the Accelerator Stewardship program currently are: the National Institutes of Health’s National Cancer
Institute; the Department of 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, and NASA’s Remote Sensing Branch.
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181

and narrows the region where scientists must hunt. The remaining allowed region will be searched by the SBN program at
Fermilab and other experiments to obtain a definite answer to the question of whether light sterile neutrinos exist.
U.S. Belle II project recognized with DOE Project Management Achievement Award (Intensity Frontier). The U.S. Belle II
project, at the Pacific Northwest National Laboratory, successfully developed, assembled, and delivered advance detector
systems to the Japanese High Energy Accelerator Research Organization (KEK) laboratory in Tsukuba, Japan, that are
essential for efficiently collecting high-precision data on positron-electron collisions within the SuperKEKB accelerator. The$14.8 million project will be part of one of the premier experiments exploring “new physics” beyond the Standard Modelthrough high-precision measurements over the coming decade. The project met Belle II’s very tight schedule for integrationand completed successfully in July 2016, two months ahead of schedule and under budget while meeting or exceeding theobjective Key Performance Parameters.
Fermilab achieves milestone beam power for neutrino experiments (Intensity Frontier). On January 24, 2017, Fermilab’s
flagship particle accelerator delivered a sustained 700-kilowatt proton beam over one hour at an energy of 120 billion
electronvolts (GeV). Achieving this record-setting performance required scientists and engineers to apply their expertise to
the technical and physics challenges of high-intensity particle beams. With more beam power, Fermilab can provide moreneutrinos in a given amount of time and advance the scientific reach of the neutrino experiments served by the Neutrinos
at the Main Injector (NuMI) beam, including the NuMI Off-axis electron Neutrino Appearance (NOvA) Experiment and theMain Injector Experiment for ν-A (MINERvA).
World’s most sensitive search performed for direct evidence of dark matter (Cosmic Frontier). The Large Underground Xenon(LUX) experiment completed the world’s most sensitive search for direct evidence of dark matter in 2016, improving uponits own previous world’s best search by a factor of four and narrowing the hiding space for an important class of theoreticaldark matter particles. Located a mile beneath the Black Hills of South Dakota, the LUX experiment directly searched for thedark matter particles that may be continually passing through Earth. These results set the stage for a suite ofcomplementary next-generation experiments, LZ and SuperCDMS-SNOLAB, that the U.S. community is already beginning tobuild, which aim to improve the detection sensitivity by an order of magnitude to reveal the nature of dark matter.
First demonstration of laser-plasma accelerator staging at the Berkeley Lab Laser Accelerator (BELLA) at Lawrence Berkeley
National Laboratory (LBNL) (Advanced Technology R&D). An experiment at BELLA successfully accelerated an electron beamthrough two back-to-back laser-plasma accelerator modules in 2016. Plasma wakefield particle acceleration is an advanced
technology that may boost the energy and shrink the size of future linear particle accelerators and have broad impact within
the SC. Single-stage laser plasma wakefield acceleration has been previously demonstrated at BELLA using a drive pulse of ahigh-power laser that generates a plasma wake and a trailing electron pulse that is accelerated by “surfing” on the plasma
wake. The staging of multiple acceleration modules is needed to implement this technology in a future Energy Frontier
collider.

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High Energy Physics
Energy Frontier Experimental Physics
Description
The Energy Frontier will focus on the Large Hadron Collider (LHC). Data collected will be used to address at least three ofthe five science drivers identified by the P5 report:
•
•

•
•

•
•

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. Since the 2012 Nobel-winning discovery, experiments at the LHC continue to actively measure the Higgs’s
properties to establish its exact character and 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 high collision energy of at least 13 TeV.
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 by inference, since they interact only weakly with normal matter. This “indirect” detection of dark matter iscomplementary to, and a powerful cross-check on, the ultra-sensitive “direct” detection experiments on the Cosmic
Frontier.

The LHC hosts two large multi-purpose particle detectors, CMS and ATLAS, which are partially supported by DOE and the
NSF and used by large international collaborations of scientists. U.S. researchers make up approximately 20% of the ATLAS
collaboration and approximately 30% of the CMS collaboration, and play critical leadership roles in all aspects of eachexperiment.
Research
The Energy Frontier experimental research subprogram consists of groups at U.S. academic and research institutions andphysicists from national laboratories. These groups, as part of the CMS and ATLAS collaborations, typically have a broad
portfolio of responsibilities and leadership roles in support of R&D, experimental design, fabrication, commissioning,
operations, and maintenance, as well as perform scientific simulations and physics data analyses. The subprogram selects
research efforts with the highest scientific impact and potential based on a competitive peer-review process. HEP conducted
an external peer review of laboratory research groups in this activity in 2015, and findings from this review are being used
to inform the funding decisions in subsequent years. HEP plans to review this activity again in 2019 and evaluate progress.
Facility Operations and Experimental Support
U.S. LHC Detector Operations funding supports the maintenance of U.S.-supplied detector systems for the CMS and ATLAS
detectors at the LHC and for the U.S.-based computer infrastructure used by U.S. physicists to analyze LHC data, including
Tier 1 computing centers at Fermilab and BNL. The Tier 1 centers provide round-the-clock support for the LHC Computing
Grid and are responsible for storing a portion of raw and processed data, as well as performing large-scale data
reprocessing and storing the corresponding output. This program also supports transatlantic networking capabilities thatenable U.S. scientists to analyze the large amount of data produced at the LHC.
Projects
The ongoing LHC ATLAS and LHC CMS Detector Upgrade MIE projects receive final funding in FY 2017.
During the next decade, CERN plans a major upgrade to the LHC machine to further increase the instantaneous luminosity
by a factor of three times its design value to explore new physics beyond the reach of the current LHC program. The new
MIE for the High-Luminosity LHC Accelerator Upgrade Project (HL-LHC AUP) will deliver LHC components for which U.S.
scientists have the critical expertise. After the upgrade, the HL-LHC beam will make the conditions in which the ATLAS andCMS detectors must operate challenging. Conceptual design continues in FY 2018 for the HL-LHC ATLAS and HL-LHC CMS
Detector Upgrades that will enable them to operate for an additional decade and collect a factor of ten more data.
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Energy Frontier Experimental Physics
Activities and Explanation of Changes

Explanation of Changes
FY 2018 vs FY 2016

FY 2016

FY 2018 Request

Energy Frontier Experimental Physics $154,028,000
Research $73,505,000
U.S. university and laboratory scientists started
analyzing the newly acquired data from LHC’s 13 TeV
run. Research activities focused on addressing key
areas within the science drivers outlined in the P5
report, which include using the Higgs boson as a newtool for discovery, searching for dark matter, andexploring new particles and their interactions.
Facility Operations and Experimental Support$54,779,000
Funding supported the operation of the LHC ATLAS
and CMS detectors during LHC’s 13 TeV run. Major
activities included continuing the routine maintenanceand calibration of the detectors as well as theprocessing of newly acquired data. Initial investments
supported critical R&D activities for longer-term
operations of the LHC detectors at higher luminosities.
Projects $21,085,000
The LHC ATLAS and CMS Detector Upgrade projects
were baselined in FY 2015 and fabrication activities
continued. Conceptual design activities commenced
for HL-LHC AUP and HL-LHC ATLAS and HL-LHC CMS
detectors.

$143,845,000$56,290,000
Funding for the Energy Frontier research willcontinue to support U.S. scientists leading
high-profile analysis topics using the datacollected by the ATLAS and CMS experiments
at the LHC.

-$10,183,000-$17,215,000
Decrease will require reduced research activities atuniversities and national laboratories. Higher priority
will be given to support laboratory research programs
critical to executing the P5 recommendations.

$44,290,000
Funding will support critical ATLAS and CMS
detector maintenance and operations during
LHC’s 13 TeV run as well as the U.S.-based
computing infrastructure and resources usedby U.S. scientists to analyze LHC data.

-$10,489,000
Decreases in operations funding will require a
reduction of support to detector maintenance anddata management and a delay to planned
procurement of compute nodes and data storage.

$39,000,000
Funding will be provided for a new HL-LHC
AUP MIE (new start) to advance that concept
and design. Funding will also be provided tocontinue conceptual design activities for HLLHC ATLAS and HL-LHC CMS Detector
Upgrade projects.

+$17,915,000
Increased funding supports the HL-LHC AUP MIE (newstart), as well as conceptual design activities for the
HL-LHC ATLAS and HL-LHC CMS Detector Upgrade
projects. FY 2017 is the final year of funding plannedfor LHC ATLAS and LHC CMS Detector Upgrade
projects.

$4,265,000
In FY 2018, SBIR/STTR funding will beassumed to be 3.65% of non-capital funding.

-$394,000
Decreased funding represents mandated percentages
for non-capital funding.

SBIR/STTR $4,659,000
In FY 2016, SBIR/STTR funding was set at 3.45% of
non-capital funding.

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High Energy Physics
Intensity Frontier Experimental Physics
Description
The Intensity Frontier 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. Generally, this HEP subprogram focuses onusing high-power particle beams or other intense particle sources to make precision measurements of fundamental particle
properties. These measurements in turn probe for new phenomena that cannot be directly observed at the Energy Frontier,either because they occur at much higher energies and their effects can only be seen indirectly, or because they are due tointeractions that are too weak to be detected 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 key science drivers identified by theP5 report:•••

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.
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 “dark” particles and forces which have ultra-weak couplings to normal matter. These particles andforces are effectively invisible to conventional experiments, but may be connected to the cosmic dark matter. Using
intense accelerator beams at national laboratories outfitted with highly efficient high-rate detectors allows for probesof these models via subtle quantum mechanical mixing effects.
Explore the unknown, new particles, interactions, and physical principles
Prominent in this category are experiments addressing the poorly understood large scale absence of antimatter in theuniverse and the puzzling three generation family structure of the fundamental constituents of matter.

Research
The Intensity Frontier experimental research subprogram consists of groups at U.S. academic and research institutions andnational laboratories that perform experiments. 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, and maintenance, as well as perform scientific simulations and physics data analyses on the experiments in the
subprogram. The subprogram selects research efforts with the highest scientific merit and potential impact based on acompetitive peer-review process. HEP is conducting an external peer review of all laboratory research groups in thissubprogram in 2017, and the recommendations will be used to inform funding decisions in subsequent years.
The largest component of the Intensity Frontier subprogram supports research in accelerator-based neutrino physics
centered at Fermilab with multiple experiments running concurrently in two separate neutrino beams with different beamenergies. The flagship NOvA experiment uses the Neutrinos at the Main Injector (NuMI) beam, and the Booster Neutrino
Beam (BNB) will be used to study different aspects of neutrino physics. The other major component to the Intensity Frontieris the muon program at Fermilab where rare processes in muons are studied to detect physics beyond the reach of the LHC.
The Muon g-2 experiment is being commissioned and a full physics run will follow in FY 2018. The Intensity Frontier
subprogram also supports U.S. physicists to participate in select experiments at foreign facilities, including neutrino
experiments in China and Japan. There is also a U.S. contingent working on the Belle II experiment at KEK in Japan.
Facility Operations and Experimental Support
There are several distinct facility operations and experimental support efforts in the Intensity Frontier subprogram. The
largest is the Fermilab Accelerator Complex User Facility. This activity includes computing and the operation of theaccelerator and detectors. General Plant Project (GPP) and Accelerator Improvement Project (AIP) funding supports
improvements to facilities. The FY 2018 Request includes funding to continue refurbishment of the oldest parts of thecomplex, including the linear particle acceleration (linac) and the Booster in order to maintain the reliability and efficiency
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FY 2018 Congressional Budget Justification

of the complex. Fermilab manages a contract with the South Dakota Science and Technology Authority for the operation of
Sanford Underground Research Facility (SURF) where the Nuclear Physics-supported Majorana Demonstrator is operated
and the LZ experiment will be installed. SURF will also be the home of the DUNE far detectors built by the LBNF/DUNE
project.
Projects
The P5 report recommended an increase in power for the Fermilab accelerator complex so that PIP-II will provide a 1.2
megawatt beam to LBNF/DUNE, which is higher than the 0.7 megawatt beam used by NOvA. The FY 2018 Request includes
Other Project Cost (OPC) funding for conceptual design of the PIP-II upgrade to the front-end of the Fermilab Accelerator
complex. The front-end is the oldest part of the complex and needs to be replaced to improve reliability and to produce
higher intensity muon and neutrino beams. Fermilab is developing a conceptual design and establishing partnerships withinstitutions in India and Italy to contribute to the project.

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Intensity Frontier Experimental Physics
Activities and Explanation of Changes
FY 2016

FY 2018 Request

Intensity Frontier Experimental Physics $246,817,000
Research $54,683,000
The first physics analyses from the NOvA experimentwere published and new results presented atconferences. LBNF/DUNE physics studies and detector
optimization advanced under the umbrella of a new,fully internationalized program. R&D in support of the
Fermilab SBN program increased. Physics studies tooptimize the operation of the under construction
Mu2e experiment continued. Muon g-2 physics
commissioning efforts ramped up in preparation forfirst data in FY 2017. Physics commissioning of theBelle II detector at KEK began.

$192,568,000$42,220,000
The NOvA experiment, currently the world’s longestbaseline neutrino experiment using the world’s mostpowerful neutrino beam at Fermilab, will be in its
fourth year of data taking as the collaboration seeks toresolve the neutrino mass hierarchy. The Fermilab SBN
program will continue to advance as MicroBooNE
produces new physics results, Imaging Cosmic And Rare
Underground Signals (ICARUS) begins physics datataking, and Short Baseline Near Detector (SBND) starts
physics commissioning. ProtoDUNE will take data in the
CERN beam in FY 2018. The Fermilab Muon g-2
experiment will present first physics data at
conferences. R&D, physics studies, and detector
simulations will continue for Mu2e and LBNF/DUNE.

Explanation of Changes
FY 2018 vs FY 2016-$54,249,000-$12,463,000
Decrease will require reduced research activities atuniversities and national laboratories. Higher
priority will be given to support laboratory research
programs critical to executing the P5
recommendations.

The Belle II experiment will take first data at theSuperKEKB accelerator in Japan to search for new
physics through precision measurements of composite
particles made of bottom quarks.

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FY 2018 Request

Explanation of Changes
FY 2018 vs FY 2016

$129,304,000
The Fermilab Accelerator Complex will operate tosupport the neutrino and muon experiments.
Construction of the Industrial Central Building addition
GPP project will finish in FY 2018. SURF operations will
support the ongoing Majorana demonstrator activities
and preparations for the LZ experiment and
LBNF/DUNE construction.

-$19,559,000
Decreases will result from an extended shutdown of
the Fermilab accelerator complex withcommensurate reductions in operations support for
detectors and computing. The decrease will alsodelay completion of the first phase of the Proton
Improvement Plan, and no new AIPs or GPPs will bestarted.

$14,100,000
Funding will support the OPC for plant support costs at
SURF during LBNF/DUNE construction. In addition OPC
is provided to continue the conceptual design for the
PIP-II project.

-$21,936,000
The Request includes no funding for the Muon g-2
project, or for future project R&D.

$6,944,000-$291,000

In FY 2018, SBIR/STTR funding will be assumed to be
3.65% of non-capital funding.

Decreased funding represents mandated
percentages for non-capital funding.

FY 2016
Facility Operations and Experimental Support$148,863,000
The Fermilab Accelerator complex continued tooperate to support neutrino physics. The operations of
the Main Injector Neutrino Oscillation Search(MINOS+) experiment concluded in June 2016.
FY 2016 was an important funding year for two AIPs
that provided enhancements for the future operations
program: the delivery ring AIP, which modified theantiproton accumulator to store protons for the muon
program, and the Recycler RF AIP, which upgraded the
RF power in the recycler to handle high intensity
proton beams for both the muon program and theshort baseline neutrino program at Fermilab. Funding
for the SBN Far Hall GPP was completed. SURF
operations continued as LUX completed its data-taking
and the Majorana demonstrator continued.
Projects $36,036,000
Funding for the Muon g-2 MIE project continued
accelerator modifications and fabrication of thebeamline and detectors. A combination of OPC
funding and preconceptual R&D funding supported
the development of PIP-II, a new superconducting
proton linac to replace the more than 40-year-old
existing front-end linac at Fermilab.
Funding for the SBN program supported subsystems
integration and infrastructure needed for the
program.
SBIR/STTR $7,235,000
In FY 2016, SBIR/STTR funding was set at 3.45% of
non-capital funding.

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High Energy Physics
Cosmic Frontier Experimental Physics
Description
The Cosmic Frontier supports the study of high energy physics through measurements of naturally occurring cosmic
particles and observations of the universe. The activities in this subprogram use diverse tools and technologies, fromground-based telescopes and space-based experiments to large detectors deep underground, to probe fundamental physics
questions and offer new insight about the nature of dark matter, dark energy, inflation in the early universe and otherphenomena. Data collected from Cosmic Frontier experiments during this period will be used to address at least three ofthe five key science drivers identified in the P5 report:
Understand cosmic acceleration: dark energy and inflation
Steady progress continues in studying the nature of dark energy since the Nobel Prize in Physics in 2011 awarded forthediscovery of the acceleration of the expansion of the universe. The Baryon Oscillation Spectroscopic Survey (BOSS)
measured galactic distances to a precision of 1% and growth rates through galaxy clustering. Cosmology results fromthe Dark Energy Survey (DES) includes precision results from Weak lensing cosmic shear, galaxy-galaxy lensing, galaxy
clustering, and cross-correlations with cosmic microwave background (CMB) data from the third-generation South Pole
Telescope (SPT-3G) experiment, which began operations in February 2017. Inflation, a period of rapid expansion in theuniverse at extremely high energy shortly after the Big Bang, is the target of the increasing sensitivity of operating andplanned CMB experiments seeking direct detection of its quantum fluctuations in space-time. The LSSTcam and DESI
projects are in their fabrication phase and will enable complementary, next-generation “Stage-IV” imaging andspectroscopic surveys respectively that will provide over a factor of ten better precision in comparison to current
experiments.
Identify the new physics of dark matter
Measurements of motions within galaxies, weighing the universe as a whole, and the primordial abundance ofelements all show that dark matter, which is not explained by the Standard Model, accounts for five times as much of
the universe as ordinary matter. Direct-detection experiments in the laboratory provide the primary method to searchfor cosmic dark matter particles’ rare interactions with atomic nuclei, while indirect-detection observatories measuringhigh energy gamma rays search for the products of dark matter annihilation in the core of galaxies. The first generationof direct-detection experiments have completed operations and have significantly tightened the limits on dark matter
properties, including world-leading results by the Large Underground Xenon (LUX) experiment. The second generationof experiments, which are currently in various phases of design and fabrication, will achieve an order of magnitude ormore improvement in sensitivity to detect direct dark matter. These experiments complemented those searching fordark matter performed in the Intensity Frontier subprogram using accelerator-based experiments and in the Energy
Frontier subprogram using LHC data.
Explore the unknown: new particles, interactions, and physical principles
High-energy cosmic and gamma rays probe energy scales well beyond what can be produced with man-made particle
accelerators, albeit not in a controlled experimental setting. Searches for new phenomena and for indirect signals ofdark matter in high-energy cosmic surveys may yield surprising discoveries about the fundamental nature of theuniverse.
Research
The Cosmic Frontier experimental research subprogram consists of groups at U.S. academic and research institutions andnational laboratories who perform experiments using instruments on the surface, deep underground, and in space. These
groups, as part of scientific collaborations, typically have a broad portfolio of responsibilities and leadership roles in supportof R&D, experimental design, fabrication, commissioning, operations, and maintenance, as well as perform scientificsimulations and physics data analyses on the experiments in the subprogram. The subprogram selects research efforts withthe highest scientific merit and potential impact based on a competitive peer-review process. HEP conducted an external
peer review of all laboratory research groups in this subprogram in 2016 and the next review will be in 2020. The findings
from these reviews will inform the funding decisions in subsequent years.
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Facility Operations and Experimental Support
This activity will support the DOE share of personnel, data processing, and other expenses necessary for the successful preoperations planning activities and maintenance, operations, and data production during the operating phase of Cosmic
Frontier experiments. These experiments are typically not sited at national laboratories. They are located at telescopes, inspace, or underground. The subprogram provides support for the experiments currently operating as well as for planning forthe next generation experiments in the design or fabrication phase. HEP conducted a scientific peer review of Cosmic
Frontier operations in early FY 2015 and has held subsequent status reviews or operations planning reviews. HEP uses thefindings from the reviews to monitor the experiments and inform decisions concerning the level of operations support
needed in subsequent years.
Projects
The visible matter in the universe accounts for only 5% of the mass and energy of the universe; therefore, P5 recommendedrobust programs to search for dark matter particles and study the nature of dark energy and the inflationary epoch on theearly universe. Two experiments will use different technologies to measure the effect of dark energy on the expansion of
the universe, which allows differentiation between models of dark energy. The LSSTcam will scan half of the sky repeatedly
with optical 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
cryogenic semiconductor detectors. LZ is better at detecting heavier dark matter particles while SuperCDMS-SNOLAB will besensitive to lighter dark mass particles, so the two combine to provide the largest search currently feasible.

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FY 2018 Congressional Budget Justification

Cosmic Frontier Experimental Physics
Activities and Explanation of Changes

Explanation of Changes
FY 2018 vs FY 2016

FY 2016

FY 2018 Request

Cosmic Frontier Experimental Physics $131,220,000
Research $47,326,000
Research activities focused on addressing key areas
within the science drivers outlined in the P5 report.
The LUX direct-detection dark matter experimentcompleted its planned data-taking run and produced
the world’s best search results for Weakly Interacting
Massive Particles (WIMPs). BOSS published the mostprecise measurements yet of the effects of darkenergy in the expansion of the universe by collecting
data from 1.2 million galaxies. The SPT-3G experimentachieved first light in its four year survey of CMB
polarization data to study cosmic inflation.
Facility Operations and Experimental Support$13,777,000
Funding supported underground, surface-based, andspace-based experiments in the data-taking phase,including direct-detection dark matter experiments,
cosmic acceleration experiments, and cosmic-ray andgamma-ray experiments.
Projects $67,780,000
Funding was provided for LSSTcam according to its
approved baseline funding profile. DESI and LZ werebaselined. SuperCDMS-SNOLAB funding supported
design work towards project baseline.

$77,129,000$35,530,000
Funding will continue to support scientific efforts toanalyze current dark matter and cosmic acceleration
experiments and for the design and physics
optimization for next-generation projects in thoseareas.

-$54,091,000-$11,796,000
Decrease will require reduced research activities atuniversities and national laboratories. Higher priority
will be given to support laboratory research programs
critical to executing the P5 recommendations.

$8,199,000
Funding will support early operations activities
necessary for projects near completion, such as
LSSTcam, and reduced operations of on-goingexperiments in the physics data-taking phase.

-$5,578,000
Decreases in operations funding for currently
operating experiments will be partially offset by anincrease for early operations of LSSTcam.

$31,600,000
Funding for the LSSTcam project will complete in
FY 2018. Funding will support fabrication of the LZ
direct-detection dark matter experiment as a priority.
DESI fabrication will continue with reduced support.
SuperCDMS-SNOLAB will transition from design tofabrication.
$1,800,000
In FY 2018, SBIR/STTR funding will be assumed to be
3.65% of non-capital funding.

-$36,180,000
The LSSTcam and the LZ projects are funded according
to their planned profiles, with a decrease for the
LSSTcam and an increase for LZ in FY 2018. Additional
decreases result from rebaselining DESI to beconsistent with reduced allocation, and reducing
SuperCDMS-SNOLAB funding that slows the project.
-$537,000
Decreased funding represents mandated percentages
for non-capital funding.

SBIR/STTR $2,337,000
In FY 2016, SBIR/STTR funding was set at 3.45% of
non-capital funding.

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192

High Energy Physics
Theoretical and Computational Physics
Description
The Theoretical and Computational Physics subprogram provides the mathematical, phenomenological, and computationalframework to understand and extend our knowledge of the dynamics of particles and fields, and the nature of space andtime. This research is essential for proper interpretation and understanding of the experimental research activities
described in other HEP subprograms. Major theoretical research thrusts focus on the P5 science drivers, intertwining thephysics of the Higgs boson, neutrino masses, and the dark universe along with exploring the unknown. Theory andcomputation cut across all the five science drivers and the Energy, Intensity, and Cosmic Frontier Experimental Physics
subprograms.
TheoryThe HEP theory subprogram supports 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, with laboratory groups typically more focused on data-driven theoretical investigations and precise calculations ofexperimental observables and university groups focused on building models of physics beyond the Standard Model andstudying their phenomenology as well as on formal and mathematical theory. The subprogram selects research efforts withthe highest scientific impact and potential based on a competitive peer-review process with. HEP conducted an external
peer review of all laboratory research groups in Theory in 2014 and the next review will be in 2018. Findings are used to
inform the funding decisions in intervening years.
Computational HEP
Computation is necessary at all stages of HEP experiments—from planning and constructing accelerators and detectors, totheoretical modeling, to supporting computationally intensive experimental research and large-scale data analysis.
Computational HEP priorities are to advance computing research for HEP future needs across the program, including
exploiting latest architectures. HEP partners with the Advanced Scientific Computing Research (ASCR), including via the
Scientific Discovery through Advanced Computing (SciDAC) program, to optimize the HEP computing ecosystem for the nearand long term future.
In addition, to supporting the science and technology thrusts, Computational HEP fosters advanced simulations andcomputational science that extends the boundaries of scientific discovery to regions not directly accessible by experiments,
observations, or traditional theory. One focus area in FY 2018 is to use Quantum Information Science (QIS) and advanced
computing for discovery along the P5 science drivers. Precision measurements using quantum sensors may yield
information on fundamental Beyond the Standard Model physics and the dark sector. Technologies being developed forquantum computing are also candidates for sophisticated sensors for particle physics experiments.
Projects
The Projects activity currently funds acquisition of dedicated hardware for the Lattice Quantum Chromodynamics (LQCD)
computing effort. This activity receives final funding in FY 2017.

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Theoretical and Computational Physics
Activities and Explanation of Changes
FY 2016
Theoretical and Computational Physics $61,536,000
Theory $48,615,000
Funding continued to support a balanced theoreticalresearch program at universities and national
laboratories for the interpretation of experimental
results, the development of new ideas for future
projects, and the advancement of our theoreticalunderstanding of nature.
Computational HEP $8,829,000
Funding continued to support R&D for computational
tools that enable scientific advances in the HEP
program. SciDAC 3 projects selected in FY 2015
continued in FY 2016.
Projects $2,000,000
Funding provided for the acquisition of new LQCD
hardware.
SBIR/STTR $2,092,000
In FY 2016, SBIR/STTR funding was set at 3.45% of
non-capital funding.

Science/High Energy Physics

FY 2018 Request

Explanation of Changes
FY 2018 vs FY 2016

$59,225,000$33,850,000
Funding will be focused on providing theoreticalresearch support along P5 science drivers.

-$2,311,000-$14,765,000
Decrease will require reduced research activities atuniversities and national laboratories. Higher
priority will be given to support laboratory research
programs critical to executing the P5
recommendations.

$23,213,000
Funding will be focused on QIS and advanced
computing initiatives. Funding will be provided for
SciDAC 4 projects that were competed in FY 2017.

+$14,384,000
Increased funding will support new QIS andadvanced computing initiatives.

$0
No funding will be requested for this activity.

-$2,000,000
LQCD receives final funding in FY 2017.

$2,162,000
In FY 2018, SBIR/STTR funding will be assumed to be
3.65% of non-capital funding.

+$70,000
Increased funding represents mandated
percentages for non-capital funding.

194

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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. Advanced Technology R&D cuts across all the five science drivers and the Energy, Intensity, and Cosmic Frontier
Experimental subprograms. Long-term multi-purpose accelerator research, applicable to fields beyond HEP, is carried out
under the Accelerator Stewardship subprogram.
HEP General Accelerator R&D
HEP General Accelerator R&D (GARD) focuses on understanding 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 program consists of groups at U.S. academic and research institutions and national laboratories performing research
activity categorized into five thrust areas: accelerator and beam physics; advanced acceleration concepts; particle sources
and targetry; radio-frequency acceleration technology; and superconducting magnet and materials. GARD prioritizes
research topics based on input from the April 2015 HEPAP Accelerator R&D subpanel report. The subprogram selects
research efforts with the highest scientific impact and potential based on a competitive peer-review process. HEP conducted
an external peer review of all GARD laboratory research groups in 2013 and the next review will be in 2018. The findings ofthese reviews inform the funding decisions in intervening years.
HEP Directed Accelerator R&D
HEP Directed Accelerator R&D supports strategic investments in innovative technologies for possible future HEP accelerator
projects, with proof-of-principle demonstrations, prototype component development, and advancing technical readiness.
The LHC Accelerator Research Program (LARP) is carrying out R&D needed to produce prototypes for U.S. deliverables to the
HL-LHC accelerator upgrade that CERN is planning to begin building late in this decade.
Detector R&D
Detector R&D addresses the need for continuing development of the next generation instrumentation and particle
detectors at the Energy, Intensity, and Cosmic Frontiers in order to keep scientific leadership in a worldwide experimental
program that is broadening into new research areas. In order to meet this challenge, HEP aims to foster a programappropriately balanced 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 subprogram consists of groups at U.S.
academic and research institutions and national laboratories performing research into the fundamental physics underlying
the interactions of particles and radiation in detector materials as well as the development of technologies that turn these
insights into working detectors. The subprogram selects research efforts with the highest scientific impact and potential
based on a competitive peer-review process. HEP conducted an external peer review of the Detector R&D laboratory
research groups in 2016 and the next review will be in 2020. The findings of these reviews inform the funding decisions inintervening years.
Facility Operations and Experimental Support
This activity provides funding for GARD laboratory experimental and test facilities, including BELLA at LBNL andsuperconducting radio-frequency (SRF) and magnet facilities at Fermilab. This activity also funds detector test beams at
SLAC National Accelerator Laboratory (SLAC) and detector test and fabrication facilities like the Microsystem System
Laboratory at LBNL and the Silicon Detector Facility at Fermilab.
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 provide compact or moreenergetic particle beams for the same lower costs as current ones. FACET-II will support the continuation of the plasma
wakefield research started at FACET which was displaced by the construction of Linac Coherent Light Source II (LCLS-II).
Science/High Energy Physics

195

FY 2018 Congressional Budget Justification

Advanced Technology R&D
Activities and Explanation of Changesa

FY 2016

FY 2018 Request

Advanced Technology R&D $124,825,000
HEP General Accelerator R&D $44,608,000
Funding supported the topics that were emphasizedin the April 2015 HEPAP Accelerator R&D Subpanel
report a.

$87,864,000$32,701,000
The program will execute the research roadmaps
developed with the community, and research support
will focus in the areas of advanced accelerator
concepts and superconducting magnets.

HEP Directed Accelerator R&D $21,020,000
LARP increased effort to develop a prototype
superconducting quadrupole magnets with the large
apertures needed to increase luminosity at the LHC.
MAP effort ramped down as recommended by P5.
Detector R&D $16,587,000
Research activities continued at universities andnational laboratories, with resources shifted towards
near-term requirements of the high-priority efforts
and towards strengthening the university activities, as
recommended in the P5 report.
Facility Operations and Experimental Support$36,300,000
Funding supported the continued operation of BELLA,
superconducting magnet fabrication, and fabricationof test-beam facilities. FACET was supported at a
reduced level due to a shorter run dictated by a
shutdown for LCLS-II construction.

$5,000,000
LARP will complete the R&D needed to produce
prototypes for U.S. deliverables to the HL-LHC
accelerator upgrade at CERN.
$16,450,000
Research activities will continue at universities andnational laboratories, with increased emphasis on
long-term, high-risk, high potential impact R&D
efforts and strengthening of the university efforts.
$28,670,000
Operations of the BELLA facility and the SRF
infrastructure at Fermilab will continue. AIP project,
Sector 10 Injector Infrastructure continues whichstarted in FY 2017.

Explanation of Changes
FY 2018 vs FY 2016-$36,961,000-$11,907,000
Decrease will require reduced research activities atuniversities and national laboratories. Higher priority
will be given to support laboratory research programs
critical to executing the P5 recommendations and for
R&D that requires long-term investments, including
Detector R&D.
-$16,020,000
Funding will decrease as LARP development andprototyping efforts for the LHC focusing magnets
transition into production efforts as part of the
HL-LHC AUP. MAP receives final funding in FY 2017.
-$137,000
Funding will decrease due to reduced support for theLarge Area Picosecond Photo-Detector effort, partially
offset by increased support for advanced sensor
development.
-$7,630,000
Funding of FACET operations will decrease because
the FACET facility cannot run due to LCLS-IIconstruction. Technical support, materials andsupplies, and access to SRF, detector fabrication andtest-beam facilities will be reduced. This is partially
offset by the increase for the Sector 10 Injector
Infrastructure AIP project.

http://science.energy.gov/~/media/hep/hepap/pdf/Reports/Accelerator_RD_Subpanel_Report.pdf

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FY 2016

FY 2018 Request

Explanation of Changes
FY 2018 vs FY 2016

Projects $2,100,000
Approve Mission Need (CD-0) for the FACET-II MIE
project was approved in September 2015, and the
project began receiving funding for OPC in FY 2016.
SBIR/STTR $4,210,000
In FY 2016, SBIR/STTR funding was set at 3.45% of
non-capital funding.

$2,000,000
During the LCLS-II shutdown, work on FACET-II willconcentrate on what is needed to prepare for
installation.
$3,043,000
In FY 2018, SBIR/STTR funding will be assumed to be
3.65% of non-capital funding.

-$100,000
The program will reduce project funding for FACET-II
as support is provided to higher priority projects in
FY 2018.
-$1,167,000
Decreased funding represents mandated percentages
for non-capital funding.

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FY 2018 Congressional Budget Justification

198

High Energy Physics
Accelerator Stewardship
Description
The Accelerator Stewardship subprogram has three principal activities: improving access to SC accelerator R&D
infrastructure for industrial and other users; near-term translational R&D to adapt accelerator technology for medical,
industrial, security, and defense applications; and long-term R&D for the science and technology needed to build future
generations of accelerators. HEP manages this program in close consultation with other SC programs, including NP and BES,
and in consultation with other federal stakeholders of accelerator technology, most notably NSF, the DOD, NIH, and NASA.
Accelerator Stewardship pursues targeted R&D to develop new uses of accelerator technology with broad applicability.
Initial workshops and a request for information identified target application areas with broad impact in accelerator
technologies for ion beam therapy of cancer and laser technologies for accelerators. As the program evolves, it will identify
new cross-cutting areas of research based on input from the federal stakeholders, R&D performers, and U.S. industry.
Research
Accelerator Stewardship research is conducted at national laboratories, universities, and in industry. The stewardshipprogram supports both near-term translational R&D and long-term basic accelerator R&D. Near-term R&D funding is
structured to produce practical prototypes of new applications in five to seven years. The needs for applications chosen forthis category have been specifically identified by federal stakeholders and developed further by workshops. Near-term R&D
funding opportunities are specifically structured to strengthen academic-industrial collaboration. Long-term R&D funding istargeted at scientific innovations enabling breakthroughs in particle accelerator size, cost, beam intensity, and control.
Facility Operations and Experimental Support
The Accelerator Stewardship subprogram supports the BNL’s 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 a merit-based peer review process.

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FY 2018 Congressional Budget Justification

Accelerator Stewardship
Activities and Explanation of Changes
FY 2016
Accelerator Stewardship $10,474,000
Research $5,643,000
Research continued at laboratories, universities, andin industry. New research support was initiated forselected technology areas identified by SC workshops
such as technologies for particle beam therapy andultrafast laser technology R&D.
Facility Operations and Experimental Support$4,517,000
Support continued for BNL ATF operations and therelocation of the ATF to a larger building.
SBIR/STTR $314,000
In FY 2016, SBIR/STTR funding was set at 3.45% of
non-capital funding.

Science/High Energy Physics

FY 2018 Request

Explanation of Changes
FY 2018 vs FY 2016

$12,769,000$8,953,000
The Request will support research activities atlaboratories, universities, and in industry fortechnology R&D areas such as laser, ion-beamtherapy, and accelerator technology.

+$2,295,000+$3,310,000
R&D on high power electron beam technologies forscience and other applications will ramp up.

$3,350,000
The Request will support the BNL ATF operations.

-$1,167,000
The ATF relocation completes in FY 2017. Funding will
support reduced ATF operating hours.
+$152,000
Increased funding represents mandated percentages
for non-capital funding.

$466,000In FY 2018, SBIR/STTR funding will be assumed to be
3.65% of non-capital funding.

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FY 2018 Congressional Budget Justification

High Energy Physics
Construction
Description
This subprogram supports all line item construction for the entire HEP program. All Total Estimated Costs (TEC) are funded inthis subprogram, including both engineering design and construction.
Long Baseline Neutrino Facility/Deep Underground Neutrino Experiment (LBNF/DUNE)
LBNF/DUNE will study the transformations 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, flavorchanging transformations of neutrinos in flight, from one lepton flavor to another, which are expected to help explain thefundamental physics of neutrinos and the matter-antimatter asymmetry of the universe.
Fermilab is leading the construction of the LBNF project and is responsible for design, construction, and operation of the
LBNF beamline; design, construction, and operation of the conventional facilities and experiment infrastructure on the
Fermilab site required for the near detector; and design, construction, and operation of the conventional facilities andexperiment infrastructure at SURF, including the cryostats and cryogenics systems, required for the far detector. DUNE is aninternational collaboration that has formed to carry out the neutrino experiment enabled by the LBNF facility. The DUNE
collaboration will be responsible for: the definition of the scientific goals; the design, construction, commissioning, andoperation of the near detector at Fermilab and the far detectors at the Sanford Underground Research Facility (SURF); andthe scientific research program conducted with the DUNE detectors. The DUNE collaboration currently consists of about
1,000 physicists from nearly 160 institutes from 30 countries. Each of the collaborating institutions is responsible fordelivering in-kind detector components that they have proven to have the expertise to build and install. Presently, the DOE
contribution to the detectors will be a minority portion of the scope. Fermilab, as host, will oversee all LBNF/DUNE
construction. Fermilab’s oversight of the neutrino detectors includes technical coordination to ensure the various pieces will
fit and operate together and arrive on time. The technical coordination group will document all work scope assignments,
uphold a schedule, and provide design, production readiness, and operational readiness reviews in cooperation with thecollaboration.
The construction of a particle beam at Fermilab and the infrastructure for DUNE detectors at SURF are being managed as asingle project called LBNF/DUNE. The critical path item for LBNF/DUNE is excavation of the equipment caverns. Installationof the cryogenic systems and detectors cannot start until the caverns are ready. Critical site preparations such as safety andreliability refurbishments for the underground infrastructure as well as a waste-rock handling system must be completed
before excavation can begin. The preparation work was started with funding received in FY 2016. CD-3A approval for
initiating excavation of the equipment caverns at SURF was approved September 1, 2016. The FY 2017 construction funds
are being used to complete the final design of the underground detector caverns, continue site preparation, develop
detector prototypes for testing at CERN, and initiate a contract with a construction manager/general contractor who willoversee the civil construction. The FY 2018 Request is $54,900,000 and will support completion of the site preparation anddetector prototypes, continue the detector and beam line designs needed for CD-2, and begin excavation of theunderground detector caverns.
Muon to Electron Conversion Experiment (Mu2e)
Mu2e, under construction at Fermilab, will utilize a proton beam to produce muons and determine whether those muons,on rare occasions, can transform into electrons in apparent violation of lepton flavor symmetry. Evidence of muon-toelectron flavor change would further probe physics beyond the Standard Model at very high energy scales. The project
received approval for its performance baseline (CD-2) and for civil construction and long-lead procurement of the mostchallenging superconducting solenoid magnets (CD-3B) on March 4, 2015. The Mu2e Project completed its technical designphase (CD-3) on July 14, 2016 and moved into full construction at that time. FY 2017 construction funds are being used tomodify the Fermilab accelerator complex to deliver muons to Mu2e, to fabricate the two remaining superconducting
solenoid magnets, and to fabricate the particle detection systems for Mu2e. The FY 2018 Request is $44,400,000 and will
support continued procurement and fabrication work.

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FY 2018 Congressional Budget Justification

Construction
Activities and Explanation of Changes
FY 2016
Construction $66,100,000
11-SC-40, Long Baseline Neutrino Facility/
Deep Underground Neutrino Experiment$26,000,000
Total Estimated Cost (TEC) funding supported thefollowing: civil and geotechnical engineering design ofthe detector cavern in South Dakota; technical designof the neutrino-production beam line and related
facilities at Fermilab; site preparation; andmodifications to the technical design of theexperimental facility, infrastructure, and detectors inlight of the new international participation.
11-SC-41, Muon to Electron Conversion Experiment$40,100,000
Funding continued for the civil construction and toinitiate accelerator modifications and fabrication oftechnical components (solenoid magnets and particle
detectors).

Science/High Energy Physics

Explanation of Changes
FY 2018 vs FY 2016

FY 2018 Request$99,300,000+$33,200,000$54,900,000
The Request will support the completion of site
preparation activities, and will initiate theprocurement of civil construction for excavation of
the underground equipment caverns. Funding will
also support design activities for the cryogenics
system, detectors, and neutrino beam.

+$28,900,000
The increase is a result of the major transition fromdesign and site preparation to the initiation ofunderground construction. Funding will also support
design activities for the cryogenics system, detectors,
and neutrino beam.

$44,400,000
The Request will support continued accelerator
modifications and fabrication of technicalcomponents.

+$4,300,000
The increase will be consistent with the baseline planfor continuation of fabrication of the accelerator
modifications, magnets, and particle detectors.

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High Energy Physics
Performance Measures
In accordance with the GPRA Modernization Act of 2010, the Department sets targets for, and tracks progress toward, achieving performance goals for each program.
FY 2016
FY 2017
FY 2018
Performance GoalHEP Construction/MIE Cost & Schedule - Cost-weighted mean percentage variance from established cost and schedule baselines for major(Measure)
construction, upgrade, or equipment procurement projects
Target< 10 %< 10 %< 10 %
ResultMet
TBD
TBD
Endpoint Target
Adhering to the cost and schedule baselines for a complex, large scale, science project is critical to meeting the scientific requirements for the
project and for being good stewards of the taxpayers’ investment in the project.
Performance Goal
HEP Facility Operations - Average achieved operation time of HEP user facilities as a percentage of total scheduled annual operation time
(Measure)
Target≥ 80 %≥ 80 %≥ 80 %
ResultMet
TBD
TBD
Endpoint Target
Many of the research projects that are undertaken at the Office of Science’s scientific user facilities take a great deal of time, money, and effort
to prepare and regularly have a very short window of opportunity to run. If the facility is not operating as expected the experiment could beruined or critically setback. In addition, taxpayers have invested millions or even hundreds of millions of dollars in these facilities. The greater
the period of reliable operations, the greater the return on the taxpayers’ investment.
Performance Goal
HEP Neutrino Model - Carry out series of experiments to test the standard 3-neutrino model of mixing(Measure)
TargetPhysics analyses results from data taking will be Fermilab switches operations mode over from MicroBooNE data taking will complete final
presented by the NOvA and MicroBooNE
neutrino beam to antineutrino beam delivery year of phase-1. NOvA will publish the firstexperimental collaborations at the FY 2016
to the NOvA experiment. NOvA accumulates
muon and electron anti-neutrino oscillation
summer conferences.
physics data in antineutrino mode.
results. ICARUS data taking will begin. SBND
physics commissioning will continue.
ResultMet
TBD
TBD
Endpoint Target
Similar to quarks, the mixing between neutrinos is postulated to be described by a unitary matrix. Measuring the independent parameters of
this matrix in different ways and with adequate precision will demonstrate whether this model of neutrinos is correct. Such a model is needed
to correctly extract evidence for CP violation in the neutrino sector.

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High Energy Physics
Capital Summary ($K)

Capital Operating Expenses Summary
Capital equipment
General plant projects (GPP)
Accelerator improvement projects (AIP) (<$5M)
Total, Capital Operating Expenses
Capital Equipment
Major items of equipment b
Energy Frontier Experimental Physics
LHC ATLAS Detector Upgrades c
LHC CMS Detector Upgrades d
HL-LHC AUP eIntensity Frontier Experimental Physics
Muon g-2 Experiment f
Cosmic Frontier Experimental Physics
Large Synoptic Survey Telescope Camera (LSSTcam) g
Dark Energy Spectroscopic Instrument h (DESI)LUX-ZEPLIN i (LZ)SuperCDMS-SNOLAB j

FY 2017
Annualized
CR a

FY 2018
RequestFY 2018 vs
FY 2016————

57,8002,310
1,500
61,610-47,405-6,850-6,780-61,035

9,500
9,500
0

—
—
—

0
0
27,000-9,500-9,500+27,000

11,000

10,200—0-10,200

54,700500500
040,8009,800
10,500
2,375

—
—
—
—

9,800
1,900
14,1002,000-31,000-7,900+3,600-375

Total

Prior Years

FY 2016
Enacted

n/a
n/a
n/a
n/a

n/a
n/a
n/a
n/a

105,205
9,160
8,280
122,645

20,821
22,629206,380

2,821
5,162
0

27,549150,300
40,122
52,05016,725a

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above; below that level, a dash (-) is shown.
b
Each MIE located at a DOE facility Total Estimated Cost (TEC) > $5M and each MIE not located at a DOE facility TEC > $2M.
c
Critical Decisions CD-2 and 3 for the LHC ATLAS Detector Upgrade Project were approved on November 12, 2014. The TPC is $33,250,000.
dCritical Decisions CD-2 and 3 for the LHC CMS Detector Upgrade Project were approved on November 12, 2014. The TPC is $33,217,000.
eCritical Decision CD-0 for HL-LHC AUP was approved April 13, 2016. The estimated cost range was $180,000,000 to $250,000,000.
fCritical Decision CD-2 and 3 for Muon g-2 Experiment were approved August 20, 2015. The TPC is $46,400,000.
g
Critical Decision CD-3 for the LSSTcam project was approved on August 27, 2015. The TPC is $168,000,000.
hCritical Decision CD-3 for DESI project was approved on June 22, 2016, with a TPC of $56,328,000, project will be rebaselined.
i
Critical Decisions CD-2 and 3B for LZ were approved August 9, 2016. The TPC is $55,500,000.
j
The estimated cost range for SuperCDMS-SNOLAB at Critical Decision CD-1 approved December 21, 2015 was $16,000,000–$21,500,000.
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FY 2017
Annualized
CR a

FY 2018
RequestFY 2018 vs
FY 2016

—
—
—
—

2,000
56,8001,000
57,800+2,000-35,875-11,530-47,405

2,402
3,200
1,760
1,798
9,160

—
—
—
—
—

0
0
1,500
810
2,310

0
0
-260
-988
-6,850

700
2,250
100
4,400
830
0
8,280

—
—
—
—
—
—
—

0
0
0
0
0
1,500
1,500

-700
-2,250-100-4,400-830+1,500-6,780

Total

Prior Years

FY 2016
EnactedAdvanced Technology R&D
FACET II a
Total MIEs
Total Non-MIE Capital Equipment
Total, Capital equipment

53,000
n/a
n/a
n/a

0
n/a
n/a
n/a

0
92,675
12,530105,205

General Plant Projects (GPP)
Short-Baseline Neutrino Far Hall
Short-Baseline Neutrino Near Hall
Industrial Center Building addition
Other projects under $5 million TEC
Total, Plant Project (GPP)

8,700
5,250
9,760
n/a
n/a

6,298
2,050
0
n/a
n/a

Accelerator Improvement Projects (AIP)
Muon Campus Cryogenics
Recycler RF Upgrades
Beam Transport
Delivery Ring
ATF-II Upgrade
Sector 10 Injector Infrastructure
Total, Accelerator Improvement Projects

9,600
7,450
6,500
9,600
5,000
5,000
n/a

7,500
5,200
6,400
5,200
2,500
0
n/a

a

The estimated cost range for FACET II at CD-1 approved on December 21, 2015 was $46,000,000–$60,000,000.
Science/High Energy Physics
205

FY 2018 Congressional Budget Justification

Major Items of Equipment Descriptions
Energy Frontier Experimental Physics MIEs:
The LHC ATLAS Detector Upgrade Project started as a new MIE in FY 2015 and the subsequent ramp-up of fabrication
activities for U.S. built detectors continues through FY 2017. The U.S. scope includes upgrades to the muon subsystem, theliquid argon calorimeter detector, and the trigger and data acquisition system to take advantage of the increased LHC
luminosity. The LHC ATLAS Detector Upgrade Project was baselined (CD-2) and approved for a fabrication start (CD-3) on
November 12, 2014, with a total project cost of $33,250,000 and project completion date (CD-4) in FY 2019. The project iscurrently producing subsystem components and will begin to install them in FY 2018. The FY 2018 Request does not include
funding for this project. It has sufficient funds to complete all remaining deliverables.
The LHC CMS Detector Upgrade Project started as a new MIE in FY 2015 and will complete the bulk of its deliverables in FY
2017. The planned U.S. scope includes upgrades to the pixelated inner tracking detector, the hadron calorimeter detector,
and trigger system to take advantage of the increased LHC luminosity. The LHC CMS Detector Upgrade Project was baselined(CD-2) and approved for a fabrication start (CD-3) on November 12, 2014, with a total project cost of $33,217,000 andproject completion date in FY 2020. The project has successfully installed the pixelated inner tracking detector and portionsof the trigger and hadron calorimeter. The remaining components are being produced now and will be installed in FY 2018.
The FY 2018 Request does not include funding for this project. It has sufficient funds to complete all remaining deliverables.
The High Luminosity Large Hadron Collider Accelerator Upgrade Project (HL-LHC AUP) starts as a new MIE in FY 2018 withinitial TEC funding. Following the major upgrade, the CERN LHC machine will further increase the instantaneous luminosity
by a factor of three times its design value to explore new physics beyond the reach of the current LHC program. The projectwill deliver components for which the U.S. scientists have critical expertise: interaction region focusing quadrupole magnets
and special superconducting RF crab cavities, capable of generating transverse electric fields that rotate each bunch
longitudinally such that they collide effectively head on, overlapping perfectly at the collision points. The HL-LHC AUP
received CD-0 on April 13, 2016 with an estimated cost range of $180,000,000 to $250,000,000. The FY 2018 Request
includes TEC funding of $27,000,000 for HL-LHC AUP.
Intensity Frontier Experimental Physics MIE:
The Muon g-2 project received CD-2 and CD-3 approval on August 20, 2015, with a TPC of $46,400,000 and projectcompletion date in FY 2019. The FY 2018 Request does not include funding for this project. It has sufficient funds tocomplete all remaining deliverables.
Cosmic Frontier Experimental Physics MIEs:
The Large Synoptic Survey Telescope Camera (LSSTcam) project fabricates a state-of-the-art three billion pixel digital camera
for a next-generation, wide-field, ground-based optical and near-infrared LSST observatory, located in Chile, and is designed
to provide deep images of half the sky every few nights. The project is carried out in collaboration with NSF, which leads the
project, along with private and foreign contributions. DOE will provide the camera for the facility. CD-2 for the LSSTcam
project was approved 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 currently producing many of the camera components, which are being
tested and integrated before shipment to Chile in 2020. The FY 2018 Request of TEC funding for the LSSTcam is $9,800,000,
which is $31,000,000 lower than the FY 2016 Enacted level of $40,800,000 and consistent with the approved baseline
funding profile.
The Dark Energy Spectroscopic Instrument (DESI) project started fabrication in FY 2015. The project is fabricating an
instrument that will measure the effect of dark energy on the expansion of the universe using spectroscopic measurements.
The DESI survey will provide different, complementary measurements to those of the LSST survey. The instrument will bemounted on NSF’s Mayall 4-meter telescope at Kitt Peak National Observatory in Arizona, with operations of the telescope
supported by DOE. DESI remains unique in its use of dedicated spectroscopic measurements to measure dark energy at its
planned precision. It provides a strong complement to the LSST being built by NSF and DOE. CD-2 was approved 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. The project is currently producing many of the camera components, which are being tested and integrated. The FY
Science/High Energy Physics

206

FY 2018 Congressional Budget Justification

2018 Request of TEC funding is $1,900,000, which is $7,900,000 below the FY 2016 Enacted level of $9,800,000. HEP plansto rebaseline the project when the FY 2017 appropriations are finalized.
The LUX-ZEPLIN (LZ) project started MIE fabrication in FY 2015. This MIE is one of two 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 (TPC) to search for xenon nuclei that recoil in response to collisions with an impinging fluxof dark matter particles known as Weakly Interacting Massive Particles (WIMPs). The detector will be located 4,850 feetdeep in the Sanford Underground Research Facility (SURF) in Lead, South Dakota. CD-2 and CD-3b were approved on August
8, 2016 with a project completion data in FY 2022. CD-3 was approved in February 2017, and the project is producing
components and testing them before integration in 2019. The FY 2018 Request of TEC funding for LZ is $14,100,000, whichis $3,600,000 above the FY 2016 Enacted level of $10,500,000 and consistent with the approved baseline funding profile.
The Super Cryogenic Dark Matter Search at Sudbury Neutrino Observatory Laboratory (SuperCDMS-SNOLAB) is one of the
two MIEs selected to meet the Dark Matter Second Generation Mission Need. The project will fabricate an instrument thatuses ultra-clean, cryogenically-cooled silicon (Si) and germanium (Ge) detectors to search for Si or Ge nuclei recoiling in
response to collisions with WIMPs. The detector will be located 2 km deep in the SNOLAB facility in Sudbury, Ontario,
Canada. SuperCDMS will be optimized to detect low mass WIMPs and will cover a range of WIMP mass complementary tothat of LZ’s sensitivity. CD-1 was approved on December, 21, 2015. The project will be completing its preliminary design andpreparing of CD-2. The FY 2018 Request of TEC funding for SuperCDMS-SNOLAB is $2,000,000, which is $375,000 below theFY 2016 Enacted level of $2,375,000. The project has not yet been baselined so the project does not have an official CD-4
date, but the project will be slowed compared to the estimated schedule at CD-1.
Advanced Technology R&D MIE:
The Facility for Accelerator and Experimental Tests II (FACET-II) is a new MIE fabrication start in FY 2018. It will succeed
FACET as the world’s premier beam driven plasma wakefield facility and provide intense ultra-short electron beams forother applications in accelerator and related sciences. The successful FACET program ended due to the construction of the
Linac Coherent Light Source II (LCLS-II) in a portion of the SLAC tunnel used by FACET. FACET-II will be designed to deliver
beams using only one third of the SLAC linac. CD-0 was approved September 18, 2015. CD-1 was approved December 21,
2015. The FY 2018 Request of TEC funding for FACET-II is $2,000,000. At this funding level, work will continue on the criticalinfrastructure that needs to be installed during the shutdown of the linac for the LCLS-II installation.

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High Energy Physics Construction Project Summary ($K)
Total

Prior Years

FY 2016 Enacted

FY 2017 Enacted

FY 2018 Request

FY 2018 vs
FY 201611-SC-40, Long Baseline Neutrino
Facility/Deep Underground Neutrino
Experiment
TEC
OPC
TPC

1,433,375
102,625
1,536,000

35,781
85,539121,320

26,00086
26,08650,000—50,00054,900100
55,000+28,900+14+28,91411-SC-41, Muon to Electron Conversion
Experiment
TEC
OPC
TPC

250,000
23,677
273,677

92,00023,677
115,677

40,100040,10043,500—43,50044,400044,400+4,3000+4,300

n/a
n/a
n/a

n/a
n/a
n/a

66,10086
66,186

93,500—93,50099,300100
99,400+33,200+14+33,214

Total, Construction
TEC
OPC
TPC

Funding Summary ($K)
FY 2016 Enacted
Research
Facilities Operations
Scientific User Facilities Operations
Other Facilities
Total, Facilities Operationsa341,663
135,848
122,388258,236

FY 2017 Annualized
CR a
—
—
—
—

FY 2018 Request

FY 2018 vs FY 2016

272,887-68,776

112,439
101,374
213,813-23,409-21,014-44,423

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above; below that level, a dash (-) is shown.
Science/High Energy Physics
FY 2018 Congressional Budget Justification
208

Projects
Major Items of Equipment b
Other Projects
Constructionb
Total, Projects
Total, High Energy Physicsb

FY 2016 Enacted

FY 2017 Annualized
CR a

FY 2018 Request

FY 2018 vs FY 2016

95,90014,30084,901
195,101
795,000————
793,489

72,6000
113,400
186,000
672,700-23,300-14,300+28,499-9,101-122,300

Includes Other Project Costs.

Science/High Energy Physics

209

FY 2018 Congressional Budget Justification

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.

TYPE A FACILITIES
Fermilab Accelerator Complex
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours

FY 2016 Enacted

FY 2017 Annualized
CR a

FY 2018 Request

FY 2018 vs FY 2016

$125,481
2,246
5,983
4,800
4,800
124.6%
590

—
—
—
—
—
—
—

$109,089
1,945
N/A
1,800
4,800
37.5%
N/A

-$16,392-301
N/A-3,0000-87.1%N/Aa

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above; below that level, a dash (-) is shown.
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210

FY 2018 Congressional Budget Justification

FACET (SLAC)
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$5,850
96
2,146
3,096
4,448
48.2%
485

FY 2017 Annualized
CR a
—
—
—
—
—
—
—

Accelerator Test Facility (BNL)
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$4,517
50
2,113
2,189
2,500
84.5%
0

—
—
—
—
—
—
—

$3,350
52
N/A
1,681
2,050
82.0%
N/A

-$1,167
+2
N/A
-508
-450
-2.5%
N/A

Total Facilities
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent of optimal hours a
Unscheduled downtime hours$135,848
2,392
10,242
10,085
11,748120.0%
1,075

—
—
—
—
—
—
—

$112,439
1,997
N/A
3,481
6,850
38.8%
N/A

-$23,409-395
N/A-6,604-4,898-81.2%N/A

FY 2016 Enacteda

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

Science/High Energy Physics

211

FY 2018 Request

FY 2018 vs FY 2016

$0
0
N/A
0
0
N/A
N/A

-$5,850-96
N/A-3,096-4,448N/A
N/A∑𝑛𝑛
1 [(%𝑂𝑂𝑂𝑂 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖 𝑛𝑛)×(𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜)]
𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑎𝑎𝑎𝑎𝑎𝑎 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜

FY 2018 Congressional Budget Justification

Scientific Employment
FY 2016 Enacted
Number of permanent Ph.D.’s (FTEs)
Number of postdoctoral associates (FTEs)
Number of graduate students (FTEs)
Other b

a

940
300
460
1,875

FY 2017 Annualized
CR a
—
—
—
—

FY 2018 Estimate

FY 2018 vs FY 2016

720
240
345
1,810

-220
-60
-115
-65

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above; below that level, a dash (-) is shown.
b
Includes technicians, engineers, computer professionals, and other support staff.
Science/High Energy Physics
FY 2018 Congressional Budget Justification
212

11-SC-40, Long Baseline Neutrino Facility/Deep Underground Neutrino Experiment (LBNF/DUNE),
Fermi National Accelerator Laboratory, Batavia, Illinois
Project is for Design and Construction
1.

Significant Changes and Summary

Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2017 CPDS and does not include a new start for FY 2018.
Development of the design and cost estimates have been refined and the U.S. DOE contributions to the multinational effort
are now better understood. Additional design activities and prototypes have been identified by the project team.
Summary
The FY 2018 Request for LBNF/DUNE is $54,900,000. The most recent DOE Order 413.3B approved is CD-3A, approval for
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-3A was approved
September 1, 2016 with a preliminary total project cost (TPC) range of $1,260,000,000 to $1,860,000,000 and CD-4 date of
4Q FY 2030. The range includes the full cost of the LBNF host facility excluding foreign contributions, as well as the full costof the DOE contribution to the DUNE experimental apparatus.
DOE entered into a land lease with the South Dakota Science and Technology Authority (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 leaseprovides the framework for DOE and Fermilab to construct federally funded buildings and facilities on non-federal land, andto establish a long-term (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...
The Long-Baseline Neutrino Facility (LBNF) and the Deep Underground Neutrino Experiment (DUNE) comprise a nationalflagship particle physics initiative. LBNF/DUNE will be the first-ever large-scale international science facility hosted by theUnited States.
As part of implementation of HEPAP-Particle Physics Project Prioritization Panel (P5) recommendations, the LBNF/DUNE
Project consists of two multinational collaborative efforts:••

LBNF (the facility) 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 (the experiment) 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 thedetectors and subsequent research program.

DUNE will analyze transformations of muon neutrinos in a beam from Fermilab to a large detector in South Dakota, 800
miles away. The experiment will analyze the rare, flavor-changing transformations of neutrinos in flight, from one lepton
flavor to another, that are expected to help elucidate the fundamental physics of neutrinos and may explain the puzzling
matter-antimatter asymmetry that enables our existence in a matter-dominated universe.
DOE HEP 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 MW-classneutrino source and related facilities at Fermilab (the “near site”), as well as underground cavern(s) and cryogenic facilities
in South Dakota (the “far site) needed to house the DUNE detector(s). DUNE has international leadership and participation
by about 1000 scientists and engineers from more than 160 institutions in 30 countries. The detector mass totaling 40
kilotons will be distributed in four cryostats housed in large caverns at SURF. An additional cavern at SURF willaccommodate the cryogenic and other utility systems. DOE will fund less than a third of DUNE. Development of the design
Science/High Energy Physics/11-SC-40,
Long Baseline Neutrino Facility/Deep Underground
Neutrino Experiment (LBNF/DUNE)213

FY 2018 Congressional Budget Justification

and cost estimates have been refined and the U.S. DOE contributions to the multinational effort are now better
understood. Additional design activities and prototypes have been identified.
Contributions from the international partners to LBNF/DUNE are currently being negotiated by Fermilab and DOE. For the
DUNE detector, the process is being driven from the principal investigator level up to the funding agencies as was done for
U.S. contributions to the Large Hadron Collider (LHC) accelerator and detectors. Proposals are under review by the otherfunding agencies. CERN put funding into its medium-term budget plan for one detector cryostat worth $90 million in U.S.
accounting. All DOE contributions to the facility and the detectors will be managed according to DOE Order 413.3B, andFermilab will provide unified project management reporting.
Fermilab has initiated 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
and underground construction.
The FY 2018 Request will support initiating the excavation of the underground equipment caverns.
A Federal Project Director with a certification level 4 has been assigned to this project and has approved this CPDS.
2.

Critical Milestone History

FY 2011
FY 2012FY 2016 a
FY 2017
FY 2018CD-0
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(fiscal quarter or date)
CD-1
1Q FY 2011
2Q FY 201212/10/2012
11/5/2015b
11/5/2015b

CD-2
TBD
TBD
4Q FY 2017
1Q FY 2020
1Q FY 2021

Final Design
D&D
CompleteCD-3
Complete
CD-4
4Q FY 2013
TBD
TBD
TBD
2Q FY 2015
TBD
TBD
TBD
4Q FY 2019 4Q FY 2019
N/A
4Q FY 2027
1Q FY 2020 1Q FY 2020
N/A
4Q FY 2030
1Q FY 2022 1Q FY 2022
N/A
4Q FY 2030

CD-0 – Approve Mission Need
Conceptual Design Complete – Actual date the conceptual design was completed
CD-1 – Approve Design Scope and Project Cost and Schedule Ranges
CD-2 – Approve Project Performance Baseline
Final Design Complete – Estimated date the project design will complete
CD-3 – Approve Start of Construction
D&D Complete – Completion of D&D work (see section 9)
CD-4 – Approve Start of Operations or Project Closeout(fiscal quarter or date)

FY 2017
FY 2018

CD-1R

CD-3A

CD-3B

CD-3(C)

11/5/2015
11/5/2015

2Q FY 2016
9/1/2016

3Q FY 2018
1Q FY 2021

1Q FY 2020
1Q FY 2022

Performance
Baseline Validation
1Q FY 2020
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 to mitigate risks and minimize delays for providing a facility ready to accept detectors for installation.
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.
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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.)
3.

Project Cost History

FY 2011
FY 2012FY 2016 a
FY 2017
FY 2018 bc
4.

TEC, Design
102,000
133,000
127,781
123,781234,375

TEC,
Construction
TBD
TBD
655,6121,290,680
1,199,000(dollars in thousands)
OPC Except
TEC, Total
D&D
OPC, D&D
TBD
22,180
TBD
TBD
42,621
TBD
783,393
89,539N/A
1,414,461
85,539N/A
1,433,375
102,625
N/A

OPC, Total
TBD
TBD
89,53985,539102,625

TPC
TBD
TBD
872,932
1,500,000
1,536,000

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
to a 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 detector
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.

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
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. The TPC point estimate is $1,536,000,000.
c
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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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 to be capable of meeting the performancerequirements 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 the detector was shown to be superior.
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.
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, 10kton detector modules (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 detector modules, which will
be installed and tested 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.
Preliminary Key Performance Parameters
Scope
Primary Beam to produce neutrinos
directed to the far detector site

Threshold KPP
Beamline hardware commissioning
complete and demonstration of
protons delivered to the target

Far Site-Conventional Facilities

Caverns excavated for 40 kiloton
fiducial detector mass a; beneficial
occupancy granted for cavern space tohouse 20 kiloton fiducial detectormassa
DOE-provided components for
Cryogenic subsystems installed andpressure tested for 20 kiloton fiducial
detector mass

Detector Cryogenic InfrastructureLong-Baseline Distance between
neutrino source and far detector
Far Detector

5.

1,000-1,500 kilometers
DOE-provided components installed incryostats to support 20 kiloton fiducial
detector mass, with cosmic ray
interactions detected in each detector
moduleObjective KPP
In addition to Threshold KPPs, systemenhancements to maximize neutrino
flux, enable tunability in neutrinoenergy spectrum or to improveneutrino beam capability
In addition to Threshold KPPs,
Beneficial Occupancy granted forremaining cavern space
In addition to Threshold KPPs,
additional DOE contributions tocryogenic subsystems installed andpressure tested for additional 20
kiloton fiducial detector mass; DOE
contributions to cryostats
In addition to Threshold KPPs,
additional DOE contributions to
support up to 40 kiloton fiducial
detector mass

Financial Schedule baFiducial detector mass pertains to the mass of the interior volume of the detection medium (liquid argon) that excludes
the external portion of the detection medium where most background events would occur.
b
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. The TPC point estimate is $1,536,000,000. Design and international collaboration plans
are currently being developed; outyears are preliminary.
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Appropriations
Total Estimated Cost (TEC)
Design Only b
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
Subtotal, Design Only
Design (Design and Construction)
FY 2016
FY 2017
FY 2018
Outyears
Subtotal, Design (Design and Construction)
Total, Design
Construction
FY 2017
FY 2018
Outyears
Total, ConstructionTEC
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
Outyears
Total, TEC(dollars in thousands)
Recovery Act
Obligations
Costs

Costs a

4,000
3,781
16,00012,000035,781

4,000
3,781
16,00012,000035,781

0
0
0
0
0
0

0c
801
7,109
15,791
12,08035,781

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

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

0
0
0
0
0
0

26,436 d
45,021
11,000 e
116,137
198,594
234,375

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

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

0
0
0
0

0
43,900 f
1,155,100
1,199,000

4,000
3,781
16,00012,00026,00050,00054,9001,266,694
1,433,375

4,000
3,781
16,00012,00026,00050,00054,9001,266,694
1,433,375

0
0
0
0
0
0
0
0
0

0
801
7,109
15,791
38,51650,00054,9001,266,258
1,433,375aCosts through FY 2016 reflect actual costs; costs for FY 2017 and the outyears are estimates.
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.
c$1,078,000 was erroneously costed to this project in FY 2012, the accounting records were adjusted in early FY 2013.
dCosts were for Far Site preparation including safety and reliability refurbishment of the underground infrastructure, which
is needed prior to initiating excavation of the equipment caverns.
eEstimated costs are for continuing project engineering design in preparation for CD-2.
f
Estimated costs are for initiating excavation of the equipment caverns at the Far Site as approved by CD-3A.
b

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Appropriations

a(dollars in thousands)
Recovery Act
Obligations
Costs

Costs aOther Project Cost (OPC)
OPC except D&D
FY 2009 Recovery Act
FY 2010
FY 2011
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
Outyears
Total, OPC

12,486 a
14,178
7,768
17,00014,107
10,00010,00086
0100
16,900102,625

12,486
14,1787,750
17,018 b
14,107
10,00010,00086
0100
16,900102,625

0
4,696
7,233
557 c
0
0
0
0
0
0
0
12,4860
6,336
11,321
17,94013,232
11,505
10,079
2,284
442
100
16,90090,139Total Project Cost (TPC)FY 2009 Recovery Act
FY 2010
FY 2011
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
Outyears
Total, TPC

12,486
14,178
7,768
21,00017,88826,00022,00026,08650,00055,0001,283,594
1,536,000

12,486
14,1787,750
21,01817,88826,00022,00026,08650,00055,0001,283,594
1,536,000

0
4,696
7,233
557
0
0
0
0
0
0
0
12,4860
6,336
11,321
17,94014,033
18,61425,87040,80050,44255,0001,283,158
1,523,514$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 deobligated and expired because Recovery Act funds are no longer available for obligation.
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6.

Details of Project Cost Estimate a(dollars in thousands)
Current Total Previous Total Original Validated
Estimate
Estimate
Baseline
Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Site Preparation b
Far Site Civil Construction c
Fermilab Site Civil Construction d
Far Site Technical Infrastructure e
Fermilab Site Beamlinee
DUNE Detectors
Contingency
Total, Construction
Total, TEC
Contingency, TEC

201,375
33,000234,375

100,000
23,781
123,781

N/A
N/A
N/A

0
300,000
281,000
98,000110,000
75,000335,000
1,199,000
1,433,375
368,000

20,000300,000
270,000
110,000
130,000
120,000
340,680
1,290,680
1,414,461
364,461

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

Other Project Cost (OPC)
OPC except D&D
R&D
Conceptual Planning
Conceptual Design
Plant Support Costs
Contingency
Total, OPC
Contingency, OPC
Total, TPC
Total, Contingency

20,62530,00035,00017,0000102,6250
1,536,000
368,000

18,00030,00036,6890850
85,539850
1,500,000
365,311

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

a

The project is Pre-CD-2 and has not been baselined. All estimates are preliminary. The TPC point estimate is$1,536,000,000. The preliminary TPC range at CD-1 was $1,260,000,000 to $1,860,000,000.
bConstruction work now approved under CD-3A is included in the next row.
c
Far Site civil construction involves excavation of caverns at SURF, 4850 ft below the surface, for technical equipment
including particle detectors and cryogenic systems.
dFermilab Site civil construction involves construction of the housing for the neutrino-production beam line and the neardetector.
eTechnical equipment in the DOE scope, estimated here, will be supplemented by in-kind contributions of additional
technical equipment, for the accelerator beam and particle detectors, from non-DOE partners as described in Section 1.
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7.

Schedule of Appropriation Requests a

RequestYear
FY 2011

FY 2012FY 2016

FY 2017

FY 2018 b

8.

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

Prior Years
102,000
22,180124,180
91,00042,621
133,621
23,78175,53999,32023,78175,53999,32023,78175,53999,320FY 201500042,000042,00012,00010,00022,00012,00010,00022,00012,00010,00022,000(dollars in thousands)
FY 2016
FY 2017
FY 2018
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
16,000
TBD
TBD
4,000
TBD
TBD
20,000
TBD
TBD
26,00045,021TBD
0
0
0
26,00045,021
TBD
26,00050,00054,90086
0100
26,08650,00055,000Outyears
0
0
0
0
0
0
TBD
TBD
TBD
1,307,659
0
1,307,659
1,266,694
16,9001,283,594

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

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

FY 2030
20 years
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.
(Related Funding Requirements)

Operations
Utilities
Maintenance & Repair
Total

a

(dollars in thousands)
Annual Costs
Life Cycle Costs
Current Total
Previous Total
Current Total
Previous Total
Estimate
Estimate
Estimate
Estimate
9,000
9,000
180,000
180,000
8,000
8,000
160,000
160,000
1,000
1,000
20,00020,00018,00018,000360,000
360,000

Design and international collaboration plans are currently being developed; outyears are preliminary.
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. The TPC point estimate is $1,536,000,000.
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b

9.

Required D&D Information

Area of new construction
Area of existing facility being replaced and D&D’d by this project
Area of other D&D outside the project
Area of any additional D&D space to meet the “one-for-one” requirement
taken from the banked area.

Square Feet
142,000 SF00142,000 SF

The one-for-one replacement has been met through banked space. A waiver from the one-for-one requirement toeliminate 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.
10. Acquisition Approach
The LBNF and the DUNE detector apparatus comprise a unique, geographically distributed, complex system of scientificequipment consisting of a beam source at Fermilab and particle detectors both nearby at Fermilab and at a remote site 800
miles away in Lead, South Dakota. The overall DOE Project defined for delivery of LBNF and DUNE is referred to as
LBNF/DUNE. 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
and complete 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.
Fermilab, through the LBNF Project, has established a close working relationship with SURF and the South Dakota
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.

In leading the LBNF/DUNE Project, Fermilab will collaborate and work with many institutions, including several DOE
national laboratories (BNL, LBNL and LANL), 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 to complete the conventional facilities construction at the remote site needed to house andoutfit the DUNE far detector. With the DUNE collaboration, Fermilab is also responsible for technical and resource
coordination to support the DUNE far and near 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.

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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 Project Office. The LBNF Project Office will also
manage and control DOE funding to the other LBNF/DUNE institutions contributing to detector design and construction. In
addition to the work performed by DOE national laboratories, a combination of university subcontracts and direct fixedprice purchases with vendors is anticipated to design, fabricate, and install the LBNF and DUNE technical components. The
DUNE-U.S. Project Office at Fermilab will manage and control DOE funding to the other U.S. institutions contributing to
DUNE detector design and construction. All actions will be in accordance with the DOE approved procurement policies andprocedures.
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, procurement is through existing Fermilab master subcontracts
with national architect/engineering companies for design services and contracts will be incrementally phase-funded since
they will span multiple years.
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 Homestake Mining Company for the sole purpose of facilitating scientific andtechnological research and development. Fermilab will contract directly with SDSTA to provide pre-construction services
and with an A&E firm for design of LBNF far site conventional facilities at SURF. Fermilab will solicit bids for CM/GC services
to manage the construction of LBNF far site facilities. The CM/GC subcontractor will furnish all labor, equipment andmaterials for far site conventional facilities construction management. Work includes pre-construction construction
management services and an option for executing the construction and management of the construction. The CM/GC
subcontractor staff will have proven experience in the area of construction management and construction of industrial andheavy construction projects. The CM/GC firm will provide support services to the LBNF and A/E teams, including input
regarding the selection of materials, building systems and equipment, construction feasibility, value engineering, andfactors 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 of labor 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 has 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 provides the framework for DOE and Fermilab
Science/High Energy Physics/11-SC-40,
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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 thesystems required to carry out the DOE mission. Protections for DOE’s real property interests in these infrastructure tasks
are acquired through the lease with SDSTA, contracts and other agreements such as easements. DOE plans for Fermilab tohave responsibility for managing and operating the LBNF and DUNE far detector and facilities for a useful lifetime of 20 year
duration, and may contract with SDSTA for day-to-day management and maintenance services. At the end of 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 will be developed prior to lease signing.

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224

11-SC-41, Muon to Electron Conversion Experiment (Mu2e), Fermi National Accelerator Laboratory, Batavia, Illinois
Project is for Design and Construction
1.

Significant Changes and Summary

Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2017 CPDS and does not include a new start for FY 2018.
Summary
The FY 2018 Request for the Muon to Electron Conversion Experiment (Mu2e) is $44,400,000, consistent with the approved
baseline funding profile. The most recent DOE Order 413.3B approved Critical Decision (CD) is CD-3 (Approve Start ofConstruction) concurrent with completion of the final design, approved on July 14, 2016. In FY 2015, CD-2 established thescope, cost, and schedule baseline 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 funding profile supports this TPC. The CD-4
milestone is 1Q FY 2023.
A Federal Project Director with Certification Level 2 has been assigned to this project and has approved this CPDS. The FPD
will complete the Level-3 Certification requirements in FY 2017.
The Mu2e project provides the accelerator beam and experimental apparatus to unambiguously identify neutrinolessmuon-to-electron conversion events. The conversion of a muon to an electron in the field of a nucleus would probe newphysics for discovery at mass scales far beyond the reach of any existing or proposed experiment. Civil construction wascompleted in FY 2017. Throughout FY 2017 and FY 2018, procurement and fabrication activities for the accelerator,
beamline, superconducting magnets and particle detector technical systems will continue.
2.

Critical Milestone History(fiscal quarter or date)
CD-1

CD-2

Final Design
Complete

CD-3

D&D
CompleteCD-4

11/24/2009
11/24/2009
11/24/2009
11/24/2009

4Q FY 2010
4Q FY 2011
4Q FY 2012
7/11/2012

TBD
TBD
4Q FY 2013
2Q FY 2014

4Q FY 2012
4Q FY 2013
4Q FY 2014
2Q FY 2015

TBD
TBD
4Q FY 2014
4Q FY 2015

TBD
TBD
N/A
N/A

TBD
TBD
4Q FY 2018
2Q FY 2021

11/24/2009
11/24/2009
11/24/2009
11/24/2009
11/24/2009

7/11/2012
7/11/2012
7/11/2012
7/11/2012
7/11/2012

2Q FY 2014
4Q FY 2014
2Q FY 2015
3/4/2015
3/4/2015

2Q FY 2015
2Q FY 2015
3Q FY 2016
3Q FY 2016
7/14/2016

4Q FY 2015
4Q FY 2014
3Q FY 2016
3Q FY 2016
7/14/2016

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

2Q FY 2021
2Q FY 2021
1Q FY 2023
1Q FY 2023
1Q FY 2023

CD-0
FY 2011
FY 2012FY 2013
FY 2014
FY 2013
Reprogramming
FY 2015
FY 2016
FY 2017 PB
FY 2018

Conceptual
DesignComplete

7/11/2012
7/11/2012
7/11/2012

CD-0 – Approve Mission Need
Conceptual Design Complete – Actual date the conceptual design was completed
CD-1 – Approve Design Scope and Project Cost and Schedule Ranges
CD-2 – Approve Project 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 work (see section 9)
CD-4 – Approve Start of Operations or Project Closeout
PB – Indicates the Performance Baseline
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Performance
Baseline
Validation
FY 2014
FY 2013
Reprogramming
FY 2015
FY 2016
FY 2017 PB
FY 2018

CD-3A

CD-3B

CD-3(C)

2Q FY 2015
3/4/2015
3/4/2015

3Q FY 2016
3Q FY 2016
7/14/2016

3Q FY 2013
3Q FY 2013
3Q FY 2014
7/10/2014
7/10/2014
7/10/2014

2Q FY 2015
3/4/2015
3/4/2015

CD-3A – Approve Long-Lead Procurement of superconducting wire for the magnet systems.
CD-3B – Approve Long-Lead Procurement for superconducting solenoid magnet modules and for construction of thedetector hall.
CD-3(C) – Approve All Construction and Fabrication (same as CD-3)
3.

Project Cost History

FY 2011
FY 2012FY 2013
FY 2014
FY 2013
Reprogramming
FY 2015
FY 2016
FY 2017 PB
FY 20184.

TEC,
TEC, Design
Construction
35,000TBD
36,500
TBD
44,000N/A
61,000162,000
49,00047,00057,00057,00060,598 b

162,000
162,900
193,000
193,000
189,402

TEC, Total
TBD
TBD
N/A
223,000
211,000
209,900
250,000
250,000
250,000(dollars in thousands)
OPC Except
OPC, D&D
D&D
10,000TBD
18,777
TBD
24,177
026,177
0
23,677
23,677
23,677
23,677
23,677

0
0
N/A
N/A
N/A

OPC, Total

TPC

TBD
TBD
24,177
26,177

TBD
TBD
68,177249,177

23,677
23,677
23,677
23,677
23,677

234,677
233,577
273,677
273,677 a
273,677

Project Scope and Justification

Scope
The Mu2e project includes accelerator modifications, fabrication of superconducting magnets and particle detector systems,
and construction of a civil facility with the special capabilities necessary for the experiment. The scope of work in the Project
Data Sheet has not changed. The muon beam for the Mu2e experiment will be produced by an intense 8-GeV proton beam,
extracted from the Fermilab Booster accelerator, striking a tungsten target. The Mu2e project is modifying the existingFermilab accelerator complex (Booster, Recycler and Debuncher Rings) to deliver the primary proton beam to a muon
production target, and will efficiently collect and transport the produced muons to a stopping target. The stopping target issurrounded by the Mu2e detector system that can identify muon-to-electron conversions and reject backgroundcontamination from muon decays, which produce neutrinos, in contrast to muon conversions which are neutrinoless.

a

No construction, other than approved long-lead procurement and detector hall civil construction, was performed prior CD3 approval.
bIncreased final design development work in FY 2016 reduced the estimated construction cost with modest delay of final
design completion and Critical Decision CD-3.
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The project has designed and is constructing the detector system (consisting of a tracker, calorimeter, cosmic ray veto anddata acquisition subsystem), a new beam line to the detector system from the former Debuncher Ring, and three
superconducting solenoid magnets (a Production Solenoid, Transport Solenoid and Detector Solenoid) that will serve as thebeam transport channel for collecting the muons and transporting them into the detector system.
The project designed and is constructing a 25,000 square foot civil facility with the special capabilities required to house theprimary beam target and transport systems for producing the muons and stopping them in the detector system. The civil
construction consists of an underground detector enclosure and a surface building, for containing the necessary equipment
and infrastructure that can be accessed while the multikilowatt proton beam is being delivered to the experiment. The
building includes radiation shielding and design features for safe operation of the beam line and experimental apparatus.
Justification
The conversion of a muon to an electron in the Coulomb field of an atomic nucleus provides a unique experimental
signature for discovery of charged-lepton flavor-symmetry violation (CLFV), which may be accessible to this experiment of
unprecedented sensitivity and would allow access to new physics at very high mass scales beyond the reach of the LHC. In
2008, the Particle Physics Project Prioritization Panel (P5), a subpanel of the High Energy Physics Advisory Panel (HEPAP),
recommended: “Development of a muon-to-electron conversion experiment should be strongly encouraged under all
budget scenarios considered by the panel.” a Again, in 2014, the most recent P5 Subpanel emphasized the priority of thecurrent “Mu2e” experimental construction project in its new report to HEPAP, saying the Mu2e project is an “immediatetarget of opportunity in the drive to search for new physics and will help inform future choices of direction.” “The scientificcase is undiminished relative to its earlier prioritization.” b
Key Performance Parameters
SystemThreshold Performance
Accelerator
Accelerator components are acceptance tested at nominal
voltages and currents. Components necessary for singleturn extraction installed.
Shielding designed for 1.5 kW operation delivered toFermilab and ready for installation.
All target station components are complete, delivered toFermilab and tested. Heat and Radiation Shield is installed in
Production Solenoid. Other components are ready to beinstalled after field mapping.
Superconducting Solenoid Magnets
The Production, Transport and Detector Solenoids havebeen cooled and powered to the settings necessary to takephysics data.
Detector Components
Cosmic Ray Tracks are observed in the Tracker, Calorimeterand a subset of the Cosmic Ray Veto and acquired by the
Data Acquisition System after they are installed in the
garage position behind the Detector Solenoid. The balanceof the Cosmic Ray Veto counters are at Fermilab and readyfor installation.

a

Objective Performance
Protons are delivered to the diagnostic absorberin the M4 beamline.
Shielding designed for 8 kW operation delivered
to Fermilab and ready for installation.

The Production, Transport and Detector
Solenoids have been cooled and powered totheir nominal field settings.
The cosmic ray data in the detectors is acquiredby the Data Acquisition System, reconstructed in
the online processors, visualized in the event
display and stored on disk.

“US Particle Physics: Scientific Opportunities, A Strategic Plan for the Next 10 Years,” Report of the Particle Physics Project
Prioritization Panel (May 2008).
b“Building for Discovery, Strategic Plan for U.S. Particle Physics in the Global Context,” Report of the Particle Physics Project
Prioritization Panel (May 2014).
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The project is being conducted in accordance with the project management requirements in DOE 413.3B, Program andProject Management for the Acquisition of Capital Assets.
5.

Financial Schedule

Total Estimated Cost (TEC)
DesignFY 2013
FY 2014
FY 2015
FY 2016
Total, Design
Construction
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
Total, ConstructionTEC
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
Total, TEC
Other Project Costs (OPC)
OPC except D&D
FY 2010
FY 2011aAppropriations(dollars in thousands)
Obligations

Costs a

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

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

14,653
15,404
16,892
13,64960,598

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

0
9,907
24,30040,00040,00040,00024,00010,000
1,195
189,402

24,0008,000 b35,000 c
25,000 d
40,10043,50044,40030,000000250,000

24,0008,000
35,00025,00040,10043,50044,40030,000000250,000

0
14,653
15,404
26,79937,94940,00040,00040,00024,00010,0001,195
250,000

4,777
8,400

4,777
8,400

3,769
8,940

Costs through FY 2016 reflect actual costs; costs for FY 2017 and the outyears are estimates.
Congress approved a reprogramming that reduced the FY 2013 funding to $8,000,000 from the $22,685,000 that was
originally appropriated.
c$5,162,907 was for long-lead procurements of superconducting wire for the magnet systems.
d$25,000,000 was for long-lead procurements for the superconducting solenoid magnet modules and for civil constructionof the detector hall.
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228b

FY 2012
FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
Total, OPC(dollars in thousands)
Appropriations
Obligations
8,000
8,000
2,500
2,500
0
0
0
0
0
0
0
0
23,677
23,677

Total Project Cost (TPC)FY 2010
FY 2011
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
Total, TPC
6.

4,777
8,400
32,00010,50035,00025,00040,10043,50044,40030,000000273,677

4,777
8,400
32,00010,50035,00025,00040,10043,50044,40030,000000273,677

Costs a
6,740
1,020
2,136
159
252
661
23,677
3,769
8,940
6,740
15,673
17,54026,95838,201
40,66140,00040,00024,00010,000
1,195
273,677

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

Original Validated
Baseline

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design

60,598060,59852,0005,000
57,00049,0008,000
57,000Construction
Site Work
Construction
Equipment
Contingency
Total, Construction
Total, TEC
Contingency, TEC

2,000
13,000129,400
45,002
189,402250,000
45,0022,000
13,000133,000
45,000193,000
250,000
50,0002,000
13,000133,000
45,000193,000
250,000
53,000

Other Project Cost (OPC)
OPC except D&D
R&D
Conceptual Planning
Conceptual Design
Total, OPC

8,200
2,300
13,177
23,6778,200
2,300
13,177
23,6778,200
2,300
13,177
23,677

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FY 2018 Congressional Budget Justification

(dollars in thousands)
Previous Total
Current Total Estimate
Estimate
Total, TPC
Total, Contingency
7.

273,677
53,000(dollars in thousands)
Prior
Years FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 FY 2018 FY 2019
5,000 30,000
0
0
0
0
0
0
0
10,000
0
0
0
0
0
0
0
0
15,000 30,000
0
0
0
0
0
0
0
0 24,000 12,500
0
0
0
0
0
0
12,777
6,000
0
0
0
0
0
0
0
12,777 30,000 12,500
0
0
0
0
0
0
0 24,000 20,000
0
0
0
0
0
0
13,177
6,000
5,000
0
0
0
0
0
0
13,177 30,000 25,000
0
0
0
0
0
0
0 24,000 24,147 35,000 32,000 44,000 45,000 23,000013,177
8,000
8,049
0
0
0
0
0
0
a
13,177 32,000 32,196
35,000 32,000 44,000 45,000 23,000
00 24,000 8,000 b 35,000 32,000 44,000 45,000 23,000013,177
8,000
2,500
0
0
0
0
0
0

Total
35,00010,00045,00036,50018,77755,27744,00024,177
68,177223,000
26,177249,177
211,000
23,677

13,1770
13,177
13,1770
13,177
13,1770
13,177
13,1770
13,177
13,177

234,677
209,900
23,677
233,577
250,000
23,677
273,677
250,000
23,677
273,677
250,000
23,677
273,677

32,00024,0008,000
32,00024,0008,000
32,00024,0008,000
32,00024,0008,000
32,00010,5008,000
2,500
10,5008,000
2,500
10,5008,000
2,500
10,5008,000
2,500
10,50035,00035,000035,00035,000035,00035,000035,00035,000035,00032,00025,000025,00025,000025,00025,000025,00025,000025,00044,00042,000042,00040,100040,10040,100040,10040,100040,10045,00043,000043,00043,500043,50043,500043,50043,500043,50023,00032,900032,90044,400044,40044,400044,40044,400044,400000030,000030,00030,000030,00030,000030,000Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy
Expected Useful Lifea273,677
50,000

Schedule of Appropriation Requests

RequestYear
FY 2011 TEC
OPC
TPC
FY 2012 TEC
OPC
TPC
FY 2013 TEC
OPC
TPC
FY 2014 TEC
OPC
TPC
FY 2013 TEC
Repro- OPC
gramming
TPC
FY 2015 TEC
OPC
TPC
FY 2016 TEC
OPC
TPC
FY 2017 TEC
PB
OPC
TPC
FY 2018 TEC
OPC
TPC
8.

273,677
45,002

Original Validated
Baseline

FY 2023
10 years

The FY 2013 amount shown reflected the P.L. 112-175 continuing resolution level annualized to a full year. The TEC, OPC,
and TPC total and outyear appropriation assumptions were not adjusted to reflect the final FY 2013 level; the FY 2013
Request level of $25,000,000 ($20,000,000 TEC and $5,000,000 OPC) were assumed instead.
bCongress approved a reprogramming that reduced the FY 2013 funding to $8,000,000 from the $22,685,000 that was
originally appropriated.
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11-SC-41, Muon to Electron Conversion Experiment(Mu2e)FY 2018 Congressional Budget Justification
230

Expected Future Start of D&D of this capital asset

FY 2033

Operations and maintenance of this experiment will become part of the existing Fermilab accelerator facility. Annual related
funding estimates are for the incremental cost of five years of full operation, utilities, maintenance and repairs with theaccelerator beam on. Five subsequent years are planned for further analysis of the data while the detector and beam line
are maintained in a minimal maintenance state (with annual cost of approximately 3% of full operations) to preserve
availability for future usage with much smaller annual cost.
(Related Funding Requirements)

Operations
Utilities
Maintenance & Repair
Total
9.

(dollars in thousands)
Annual Costs
Life Cycle Costs
Current Total
Previous Total
Current Total
Previous Total
Estimate
Estimate
Estimate
Estimate
3,100
3,100
16,00016,0002,400
2,400
12,40012,400
100
100
600
600
5,600
5,600
29,00029,000Required D&D Information
Square Feet
Area of new
construction..................................................................................................................................
Area of existing facility being replaced and D&D’d by thisproject..................................................................................................................................
Area of other D&D outside theproject..................................................................................................................................
Area of any additional D&D space to meet the “one-for-one” requirement takenfrom the banked area.
..................................................................................................................................

~25,00000~25,000

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 Mu2e 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 Mu2e facilities andother as yet unbuilt facilities from space that was banked at other DOE facilities.
10. Acquisition Approach
The acquisition approach is fully documented in the Acquisition Strategy approved as part of CD-1. This is a high-levelsummary of material from that document.
DOE awarded the prime contract for the Mu2e project to the Fermi Research Alliance (FRA), the Fermilab Management andOperating (M&O) contractor, 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 between the Mu2e scientific collaboration and an
experienced team of project leaders managed by FRA, which will have primary responsibility for oversight of all subcontracts
required to execute the project. These subcontracts are expected to include the purchase of components from third party
vendors as well as subcontracts with university groups to fabricate detector subsystems.
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The largest procurements are the magnet systems and the civil construction. The superconducting solenoid magnets are
divided into three systems that could be procured independently but which must ultimately perform as a single integrated
magnetic system. Two of the systems are similar to systems that have been successfully built in private industry, so theengineering design and fabrication for two of the solenoids was subcontracted to a third party vendor after a study ofindustrial vendor capabilities confirmed that the technical risks were acceptable. The third solenoid is unique because of its
rather large size and unusual configuration, and no good industrial analog exists. This solenoid was designed at Fermilab andis being fabricated by a third-party vendor in multiple modular components, each of which is well matched to existing
industrial capabilities.
There were two major subcontracts for the civil construction. An architectural and engineering contract was placed on a
firm-fixed-price basis for Preliminary (Title I) Design, and Final (Title II) Design with an option for construction support (Title
III). The general construction subcontract was placed on a firm-fixed-price basis and was completed successfully.
All subcontracts have been competitively bid and awarded based on best value to the government. Fermi Site Officeprovides 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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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 which 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 that can be probed by studying neutrons and nuclei.
•••

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 both theoretical and experimental
efforts. Theoretical approaches are based on calculations of the interactions of quarks and gluons described by the theory of
QCD using today’s most advanced computers. Other theoretical research that models the forces between nucleons seeks tounderstand and predict the structure of nuclear matter. Most experimental approaches in nuclear physics use large
accelerators that collide particles at nearly the speed of light, producing short-lived forms of matter for investigation.
Comparing experimental observations and theoretical predictions tests the limits of our understanding of nuclear matterand suggests new directions for experimental and theoretical research.
At the heart of the NP program are highly trained scientists who conceive, plan, execute, and interpret transformative
experiments. NP supports university and national laboratory scientists and U.S. participation in select international
collaborations. It provides more than 90 percent of the nuclear science research funding in the U.S., resulting in an averageof approximately 90 Ph.D. degrees awarded annually to students for research supported by the program. As documented in
the 2015 Nuclear Science Advisory Committee (NSAC) Long Range Plan for Nuclear Science, Reaching for the Horizon a, over
40% of the scientists who receive Ph.D.’s in nuclear science find careers in sectors other than academia and DOE researchlaboratories, serving national needs in defense, government and industry. NP research is guided by DOE’s mission andpriorities. It develops the core competencies and expertise needed to achieve the goals of the NP program and trains thenext generation of nuclear scientists. National laboratory scientists work and collaborate with academic scientists and othernational laboratory experimental and theoretical researchers to collect and analyze data and to construct, support, andmaintain the advanced instrumentation and world-class facilities used in experiments. The national laboratories provide
state-of-the-art resources for targeted detector and accelerator research and development (R&D) for future upgrades and“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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FY 2018 Congressional Budget Justification

new facilities. This research develops knowledge, technologies, and trained scientists to design and build next-generation NP
accelerator facilities. It is also 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 NP’s budget. Three scientific user facilities are
currently supported, each with unique capabilities: 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). In
FY 2017, these facilities provide particle beams for an international user community of over 3,000 research scientists.
Approximately 30 percent of these researchers are from institutions outside of the U.S. and they provide very significant
benefits to leverage the U.S. program through contributed capital, human capital, experimental equipment, and intellectual
contributions. Researchers supported by other SC programs such as High Energy Physics (HEP) and Basic Energy Sciences(BES), DOE Offices such as National Nuclear Security Administration (NNSA) and Nuclear Energy (NE), Federal agencies suchas the National Science Foundation (NSF), National Aeronautics and Space Administration (NASA), and Department of
Defense (DOD), and industries also use NP scientific user facilities and their core competencies to carry out research
programs important for their respective missions. The 12 GeV CEBAF Upgrade project will be completed in 2017 and thehighly anticipated science program it enables will be initiated. Construction of a world-class nuclear physics scientific user
facility with unique capabilities in nuclear structure and astrophysics, the Facility for Rare Isotope Beams (FRIB), continues atMichigan State University (MSU). This project started in FY 2014 and it is already over 70% complete.
The 2015 NSAC Long Range Plan (LRP) for Nuclear Science recommended that a high-energy, high-luminosity polarizedElectron Ion Collider (EIC) be considered the highest priority for new facility construction following the completion of FRIB.
Consistent with that vision, NP developed a strategic plan in 2016 to assess the uniqueness and scientific merit of such afacility via a National Academy of Sciences (NAS) study by an independent panel of external experts. Further, NP convened apanel of experts to carry out a community-based review to identify critical R&D needed to reduce risk and establish thebasic feasibility of various machine concepts for an electron-ion collider. EIC related R&D efforts will align with the priorities
identified in this report.
Involving students in the development and construction of NP facilities and advanced instrumentation, and thedevelopment of 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 andtechniques provide collateral benefits such as the creation of new technologies with broad-based applications in industry
and society. NP supports short- or mid-term accelerator R&D that is specific to the programmatic needs of its current orplanned facilities. In the process, technological advances and core competencies in accelerator science that are developed
by NP are also often relevant to other applications and SC programs. For example, superconducting radio frequency (SRF)
particle acceleration developed for NP programmatic missions has provided technological advances for a broad range ofapplications 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 ofaccelerator R&D activities to exploit synergies.
Highlights of the FY 2018 Budget Request
The 2018 President’s Request funding level of $502,700,000 is a decrease of 18.54% relative to the FY 2016 Enacted level.
The FY 2018 Budget Request continues support for high priority efforts and capabilities in nuclear science to optimize
scientific productivity within available resources. Critical infrastructure, scientific user facilities, and R&D efforts areprioritized to maintain U.S. leadership in some areas of nuclear science for continuing high priority activities, while thefunding decrease requires a reduction in program scope. Support will continue for discovery science research and R&D
integration to facilitate the development of important new applications for medicine, commerce and national security.
Advances will continue to be enabled by world-class experimental user facilities and Nobel prize-worthy theoretical andexperimental nuclear physics research. In addition, the DOE Isotope Program will continue to introduce new medical
isotopes to the community for clinical trials and cancer therapy, and modest support is provided for stable isotope
enrichment capabilities in the United States to replenish U.S. inventory and reduce foreign dependence on isotopes ofstrategic importance for the nation.
The Request for Research supports university and laboratory researchers so that critical core competencies are preserved
and enables high priority theoretical and experimental activities to pursue compelling scientific opportunities at the frontier
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of nuclear science. Laboratory research activities focus on domestic nuclear science programs and on optimizing existingscientific instrumentation in the nuclear science enterprise in the federal complex. The rescoped university research
program is focused on priorities of the restructured nuclear physics program. A reduction in university and laboratory
scientists is expected. The FY 2018 Request supports world-class research in multiple scientific thrusts of nuclear science.
These include:
•
•

•
•
•
•

Initial experimental and theoretical exploitation of the new capabilities enabled by the 12 GeV CEBAF Upgrade tounravel the mechanism 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;
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;
High priority, critically needed accelerator R&D to retire potentially “show-stopping” technical challenges to therealization of a possible U.S.-based Electron-Ion Collider (EIC);
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;
Forefront isotope R&D to develop new production methods for critical isotopes in high demand for the nation,
including isotopes for medicine that could revolutionize therapy for metastasized cancer, and the development ofenriched stable isotope production capabilities to reduce the nation’s dependence on foreign supplies.

The Request for Facility Operations includes funding for the operations of the NP scientific user facilities. A reduction in
operations staff is expected. In the short-term, investments in maintaining and/or improving operational reliability and new
facility capabilities, such as capital equipment and accelerator improvement projects, are paused, and efforts are redirected
to operations of the facility to enable world-class science and the optimization of existing capabilities:
•

•
•
•

RHIC operates for 1,470 hours (~10-weeks). The Low Energy RHIC e-Cooler (LEReC) project, an accelerator improvement
project that will be soon completed, is implemented in the accelerator, enabling new capability to further increase
luminosity in order to carry out a definitive search for a critical point in the phase diagram of QCD matter;
CEBAF operates for 1,070 hours (~10 weeks) to launch the highly anticipated science program of the newly constructed
12 GeV machine and associated experimental instrumentation;
ATLAS operates as the world’s premiere stable ion beam facility for 2,620 hours (~23 weeks) to enable compelling
experiments in nuclear structure and astrophysics;
Isotope production facilities are supported, with maintenance deferred in the short term, in order to ensure mission
readiness for isotope production. These facilities produce isotopes in short supply that are critical to the nation’s federal
complex, research enterprise and industry. University isotope production capabilities begin to be networked into the
DOE Isotope Program for the eventual coordination of regional production of high priority short-lived isotopes.
Operation of the Enriched Stable Isotope Prototype Plant (ESIPP) is maintained and poised to begin to replenish U.S.
inventory and reduce dependence on foreign suppliers.

The Request for Construction and Major Items of Equipment (MIEs) includes:•••

Construction of the Facility for Rare Isotope Beams (FRIB), which will provide world-leading capabilities for nuclear
structure and nuclear astrophysics, continues; the project has made impressive progress since it started in FY 2014 andit is over 70% complete. The project will be rebaselined to reflect an increased Total Project Cost and schedule delay as
a result of a decrease in its funding in FY 2018 relative to the current funding baseline profile.
The Gamma-Ray Energy Tracking Array (GRETA) MIE, proposed to be initiated in the FY 2017 President’s Request, isfunded at a reduced level relative to original plans. GRETA will enable provision of advanced, high resolution gamma ray
detection capabilities for FRIB;The Stable Isotope Production Facility (SIPF) MIE, which is supported at a reduced pace relative to original plans.
Proposed to be initiated in the FY 2017 President’s Request, SIPF will provide increased domestic capability for
production of critically needed enriched stable isotopes, and reduce the nation’s dependence on foreign supply.

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Nuclear Physics
Funding ($K)
FY 2016 Enacted a
Medium Energy Nuclear Physics
Research
Operations
SBIR/STTR and Other
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
Total, Nuclear Theory
Isotope Development and Production for Researchand Applications
Research
Operations
Total, Isotopes c
Subtotal, Nuclear Physics

FY 2017 Annualized CR b

FY 2018 Request

FY 2018 vs FY 2016

34,411
99,672
18,457
152,540————

25,316
88,59816,253130,167-9,095-11,074-2,204-22,373

36,036
172,088
208,124———

20,943
164,738
185,681-15,093-7,350-22,443

54,26327,402
81,665———33,233
19,22252,455-21,030-8,180-29,210

37,616
8,022
45,638———27,7495,537
33,286-9,867-2,485-12,352

6,329
15,304
21,633509,600———
508,6315,307
15,804
21,111
422,700-1,022+500-522-86,900a

The FY 2016 Enacted level includes SBIR and STTR and reflects updates through the end of the fiscal year.
FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above, below that level, a dash (-) is shown.
c
All appropriations for the Isotope Development and Production for Research and Applications subprogram fund a payment into the Isotope Production andDistribution Program Fund as required by P.L. 101–101 and as modified by P.L. 103–316.
b

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Construction
06-SC-01, 12 GeV CEBAF Upgrade, TJNAF
14-SC-50, Facility for Rare Isotope Beams
Total, Construction
Total, Nuclear Physics

FY 2016 Enacted a

FY 2017 Annualized CR b

FY 2018 Request

FY 2018 vs FY 2016

7,500
100,000
107,500
617,100

7,486
99,810107,296
615,927080,00080,000502,700-7,500-20,000-27,500-114,400

SBIR/STTR Funding:• FY 2016 Transferred: SBIR: $14,040,000; STTR: $2,106,000• FY 2018 Request: SBIR $12,941,000 and STTR $1,820,000

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Nuclear Physics
Explanation of Major Changes ($K)
FY 2018 vs
FY 2016
Medium Energy Nuclear Physics: Funding is provided for operation of the recently upgraded CEBAF accelerator to support 1,070 operating hours
and experimental activities in some of the newly upgraded experimental halls to launch the highly anticipated 12 GeV CEBAF physics program. The
focus of the 12 GeV science program is to advance the understanding of strongly interacting matter and its description in QCD, and to search forevidence of new physics beyond the Standard Model. 12 GeV researchers from national laboratories and universities implement, commission, andoperate new experiments at CEBAF. National laboratory and university research support is reduced and several activities within the Medium Energy
program are ended to enable the high priority 12 GeV science program. These include the RHIC Spin program focused on understanding the spin
structure of the proton, and the Research and Engineering Center at the Massachusetts Institute of Technology, a University Center of Excellence
within the nuclear science portfolio. Funding decreases for mandatory SBIR/STTR for the NP program.

-22,373

Heavy Ion Nuclear Physics: Funding for operations of RHIC is provided to enable world-leading research in heavy ion nuclear physics in order toanswer fundamental questions about the properties of the quark-gluon plasma discovered there and about the scientific explanation of intriguing
new phenomena resulting from that discovery. A 1,470 hour run in FY 2018 will focus on measurements to explore how magnetic fields generated in
RHIC collisions, as strong as any in the known universe, influence the properties of the quark-gluon plasma, a state of matter that existed in theinfant universe. A collateral goal of the FY 2018 run is the first direct confirmation of the restoration of chiral symmetry - the symmetry of nature
responsible for the generation of the mass of the visible universe. U.S. participation in the complementary CERN Large Hadron Collider (LHC) heavy
ion program is ended, and national laboratory and university research is reduced. Research efforts focus to support the domestic heavy ion programat RHIC – data taking, analysis and the enhancement of existing scientific instrumentation and infrastructure.

-22,443

Low Energy Nuclear Physics: The ATLAS facility continues to provide critical capabilities for nuclear structure and astrophysics research and operates
approximately 2,620 hours in FY 2018. Funding decreases, as planned, for disposition activities of the closed down Holifield Radioactive Ion Beam
Facility (HRIBF), which are completed in FY 2017. National laboratory and university research support is reduced to support highest priority efforts
and core competencies. Research in neutrinoless double beta decay focusses on completing existing experiments such as the CUORE experimentand the Majorana Demonstrator; efforts to develop new candidate technologies for a next generation neutrinoless double beta decay experimentare paused. Operations of two University Centers of Excellence, Texas A&M and The High Intensity Gamma Source (HIGS) at Duke University, arepaused. Operations of the 88” Cyclotron at LBNL for an in-house nuclear science program are paused and efforts focus on the implementation of
new capabilities for the Super Heavy Element program that aims to discover new elements on the periodic table. The pause in operations will
impact the Department of Defense Space radiation Effects Electronics (SEE) testing program. Development of small scientific instrumentation for
FRIB is paused to focus efforts on construction of the facility itself. The GRETA MIE, proposed to start in the FY 2017 President’s Request, continues
in FY 2018 at a pace determined by available resources to address certain aspects of engineering design and long-lead procurement; 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 is a high resolution gamma array tracking device that will provide a combinationof high efficiency, good background suppression, and excellent energy and position resolution in order to fully exploit the opportunities at FRIB for
both fast fragmentation and reaccelerated beams.

-29,210

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Nuclear Theory: Support for theory research efforts at laboratories and universities, as well as for the U.S. Nuclear Data Program and SCIDAC, isreduced. University and laboratory scientists refocus their efforts on activities within the nation’s nuclear physics portfolio that are supported in the
FY 2018 Request. Investments in Lattice Quantum Chromodynamics Dynamics computing hardware is paused to enable focus on high priority
theoretical efforts.

FY 2018 vs
FY 2016-12,352

Isotope Development and Production for Research and Applications: Operations funding provided to support mission readiness for production
activities at national laboratory facilities is decreased. Arrangements are continued to position the isotope program to network a suite of university
accelerators and reactors for cost-effective, regional production of short-lived isotopes for research and medical applications. The first member ofthe university network, the University of Washington, began producing astatine-211 for cancer therapy research in FY 2016. Modest funding for
operations of the ESIPP is provided to produce small quantities of enriched stable isotopes for research applications. The Stable Isotope Production
Facility (SIPF) MIE, proposed to initiate in the FY 2017 President’s Request, continues at a pace determined by available resources. When completed,
SIPF will produce needed domestic capability for producing enriched stable isotopes for research, defense and industry. Isotope research funding atuniversities and laboratories is decreased and will focus on the development of new production techniques for high priority isotopes. In particular,
effort continues on the production of Ac-225, a promising therapeutic for metastasized cancers, to the levels needed for clinical trials.

-522

Construction: Construction funding continues according to a re-baselined profile for the Facility for Rare Isotope Beams in FY 2018. Support for the
12 GeV Upgrade at CEBAF, which is completed in 2017, is ended in accordance with its construction profile.

-27,500

Total, Nuclear Physics-114,400

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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 HEP, NP, and Advanced Scientific
Computing Research (ASCR) programs coordinate and leverage forefront computing resources and technical expertisethrough the Lattice Quantum Chromodynamics (LQCD) and SciDAC projects to determine the properties of as-yet
unobserved exotic particles predicted by the theory of Quantum Chromodynamics, 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, which recently stood up an Inter-Agency working group including NE, NNSA,
the Department of Homeland Security (DHS), and the Domestic Nuclear Detection Office (DNDO), provides evaluated crosssection and decay data relevant to a broad suite of Federal missions and topics such as 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, DHS, and Federal Bureau of Investigations [FBI]). 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(NIH, HEP); and research in developing neutron, gamma, and particle beam sources with applications in cargo screening andnuclear forensics (NNSA, DHS, DNDO, 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 and NE) to help ensure adequate supplies of isotopes needed for their
missions, such as lithium-7 (Li-7), which is used by nuclear power plants as a coolant reagent. The DOE Isotope Program
conducts annual Federal workshops to identify isotope demand and supply across a broad range of Federal agencies(including NIH, NASA, FBI, DOD, DHS, DOT, NSF, and DOE) to ensure that isotopes are available for the federal complex toaccomplish its missions.
Program Accomplishments
First 12 GeV Electrons from the Newly Upgraded Continuous Beam Accelerator Facility (CEBAF). The newly commissioned
CEBAF delivered its first 12 GeV electrons on December 14, 2015, to its new experimental Hall D complex, as planned. The
successful achievement came as part of the ongoing 12 GeV CEBAF Upgrade project scheduled to be completed in
September 2017. Hall D, the new and fourth experimental hall at CEBAF, is the home of the GLUEX detector focused onlandmark measurements of exotic, heretofore unseen subatomic particles thought to result from excitations of gluons thatinteract with the up and down quarks inside protons and neutrons. Observations of such exotic particles will provide
unprecedented opportunity to advance understanding of quantum chromodynamics (QCD), the theory of the strong force.
Thanks to a recent upgrade to allow simultaneous four-hall operation for science data taking, Hall D will contribute not only
to new scientific reach, but record levels of scientific productivity when CEBAF begins full operation.
Heavy Quarks at RHIC Go Tubing in the Quark-Gluon Plasma. One of the earliest signature discoveries at RHIC was that in
the Quark-Gluon Plasma (QGP), a form of matter which existed microseconds after the Big Bang, all particles containing lightup and down quarks collectively flow together out of the hot, dense region where the QPG is formed. Early predictions
suggested the same flow would not be observed for the much more massive charm and beauty quarks because they were
too heavy to be pushed along with the flow of the expanding plasma. Surprisingly, however, recent results from RHIC,
enabled by record luminosity and new state-of-the-art silicon tracking detectors, show that heavy quarks do indeed flow,
although they do not fully keep up with their lighter quark counterparts. These measurements give new insights into theremarkable strength of the collective motion of quarks inside the QGP formed at RHIC, and its transport properties at the
instant of formation.
Newcomers Join the Official Table of the Elements. After a rigorous effort to confirm their discovery, the International Union
for Pure and Applied Chemistry recently accepted claims for the observation of four new elements, with atomic numbers
113, 115, 117, and 118. The discovery of these “superheavies” is particularly exciting as positive indication that a longScience/Nuclear Physics

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postulated “island of stability”, where superheavy elements with lifetimes on the scale of seconds or days, may indeed
exist. In recognition of the long standing NP supported U.S. collaboration and contribution to this research at ORNL, one of
the new elements (117) has been named Tennessine (Ts), forever changing the Table of the Elements displayed on the wallsof classrooms everywhere. Isotopes that enabled this historic research were provided by the DOE Isotope Program.
Important Milestone Reached Deep Under Ground: Final Module Commissioning for the Majorana Demonstrator. One of themost urgent Grand Challenge questions of modern physics is why the neutrino mass is so small, and whether the neutrino is
its own anti-particle. A proposed candidate experiment to answer these questions, capable of detecting rare decays
predicted to happen for a single nucleus only once every 1028 years, is currently undergoing a scaled-down feasibility study
named the Majorana Demonstrator (MJD) to demonstrate the sensitivity and background levels that are needed for a larger
ton-scale experiment. MJD, an experiment jointly funded by DOE-NP and NSF, is currently being implemented at the Sanford
Underground Research Facility in Lead, SD. It comprises two cryostat modules, each containing more than 20 kg of highpurity germanium detectors. Two-thirds of these detectors are made from germanium that has been isotopically enriched to
be 87% pure 76Ge. The project recently passed a major milestone as it began commissioning the second and final module ofdetectors.
Baby Steps Promise Giant Leaps in Nuclear Theory Computing: Inelastic Nuclear Reaction Calculated from First Principles
Quantum Chromodynamics. Starting from first principles Quantum Chromodynamics (the theory of the strong force), theNuclear Physics Lattice QCD (NPLQCD) Collaboration has now calculated for the first time, the rate for the capture of a lowenergy neutron by a proton to produce a deuteron and a gamma ray, the np → dγ radiative capture process. Although oneof the simplest, most basic inelastic nuclear reactions, this process has enormous consequences for understanding theprocess of nucleo-synthesis following the Big Bang which initiated the production of most light nuclei in the cosmos. To
accomplish this landmark result, the Collaboration relied heavily on recent advances in high-performance computing (HPC),
determining the short-distance two-nucleon interactions with the electromagnetic field and extrapolating the results to thephysical pion mass.
Thin Skinned Calcium-48. In order to build a Ca-48 nucleus (20 protons and 28 neutrons) “from the ground up”, aninternational team led by ORNL used ORNL’s Titan supercomputer was assembled to solve this emergent, strongly
correlated, many-body system, and to compute the neutron distribution in the Ca-48 nucleus. Surprisingly, they found thatthe predicted difference between the radii of the neutron and proton distributions in Ca-48 (called the “neutron skin”) is
considerably smaller than previously postulated. These groundbreaking calculations now become the subject of plannedexperimental measurements at TJNAF. The outcomes will have particular relevance to nuclear astrophysics, as the neutron
skin thickness of such nuclei directly impacts the predicted size of neutron stars.
Tri-Laboratory Effort to Develop a Cancer-Fighting Isotope Passes a Major Milestone. Actinium-225 is an alpha-emitting
radioisotope that has enormous promise as a therapeutic agent against metastatic and diffuse cancers and infectious
diseases. Early studies of pharmaceuticals which incorporate Ac-225 have demonstrated extraordinary efficacy against thesetypes of cancers and certain kinds of infection. The present supply of Ac-225 is extremely limited and barely sufficient tosupport these early clinical trials. In April of 2015 a collaborative effort was formed among Brookhaven National Laboratory,
Los Alamos National Laboratory, and Oak Ridge National Laboratory to develop a new production route using proton
accelerators. A recent review of progress determined that the research team is ahead of schedule in developing the targetry,chemistry, and transportation logistics for production of sufficient amounts of Ac-225 to support advanced research andclinical trials. The tri-laboratory team was approved to continue the effort with a focus on optimization of the technologies
to create a routine and reliable supply of the isotope to support developing clinical applications.
A New Spin on the Proton. New data from high-energy polarized proton collisions at RHIC (the world’s only polarized proton
collider) indicate that gluons —named for their role in binding the up and down quarks inside a proton—play a substantial
role in determining the proton spin, a fundamental property which is often overlooked despite its profound influence on the
structure of nuclei. The results suggest that the overall contribution from gluons might even be greater than thecontribution from valence quarks, which is known to account for only a third of the proton’s spin. By determining the
intrinsic contribution from both gluons and quarks, researchers are narrowing in on a final piece of the proton spin puzzle:
the contribution from the orbital motion of these elusive constituents. A key factor in recent RHIC runs enabling thislandmark progress has been the record luminosity (beam-beam collisions) achieved, which in a single run have exceeded
the combined luminosity of all previous RHIC runs combined.
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Direct evidence for Nuclei Shaped as a Pear. While most nuclei are either spherical or adopt shapes with symmetricdeformations (such as the shape of a football or a doorknob), a few are predicted to have the shape of a pear. These socalled octupole-deformed nuclei come about through the coupling between pairs of nucleons (protons and neutrons)
occupying close-lying orbitals within the nucleus, resulting in strong correlations. Now, for the first time, the strength of theoctupole, pear-shaped deformation has been quantified in the Barium – Cerium region in Coulomb excitation experiments
at ATLAS. Specifically, capability provided by the new Californium Rare Isotope Breeder Upgrade (CARIBU) at ANL allowed
the first post acceleration of radioactive 144,146Ba beams. Combined with the enhanced detection capability provided by the
upgraded CHICO2 parallel plate avalanche chamber array and the gamma ray tracking provided by the world leading Gamma
Ray Energy Tracking In-Beam Nuclear Array detector, these new measurements of the octupole deformation of 144Ba
constitute groundbreaking confirmation of the fidelity of nuclear models predicting octupole deformations which can now
be extended into other unexplored regions of the nuclear landscape.
Swift Pace of FRIB Construction Allows Early Start of Front-end Commissioning. The FRIB project is the Office of Nuclear
Physics’ highest priority construction effort. Even though ground breaking of this state-of-the-art, highly complex facility
started just back in March 2014, FRIB construction has already surpassed the 70% completion mark as of November 1, 2016.
As construction continues, a notable accomplishment has been the production of the first FRIB ion beam with the recently
installed Advanced Room Temperature Ion Source (ARTEMIS) electron-cyclotron-resonance (ECR). This ion source wascommissioned on the front end of the FRIB linear accelerator (LINAC) 16 months earlier than originally planned by resequencing FRIB construction activities, enabling the project to retire associated risk with the front-end ion source and start
the installation and commissioning of other front-end components. Over 1,400 scientists eagerly await the physics
opportunities that FRIB will provide, and new collaborations to deepen theoretical understanding of FRIB science anddevelop new detector instrumentation are actively in pursuit.
Building a National Network for Regional Isotope Needs: The DOE Isotope Program has recently established a partnershipagreement with the University of Washington (UW) to enable UW to supply astatine-211 (At-211) for pre-clinical research.
Operating on a weekly production schedule, the UW processing laboratories and technical staff are able to provide the DOE
Isotope Program with regional distribution of highly pure At-211 to western states in the U.S. Addressing a recommendationin the NSAC-Isotope 2015 Long-Range Plan for the DOE Isotope Program, the partnership with UW marks the first of manysuch potential agreements that could create a network of university-based isotope production centers capable of nationallyproviding short-lived radionuclides like At-211.

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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 which 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. The subprogram has provided support for spin physics research at RHIC, the only collider in theworld that can provide polarized proton beams; however, in FY 2018, Medium Energy funding for RHIC is suspended tosupport other high priority efforts within the program, such as the launching of the 12 GeV CEBAF program. 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 symmetry ofnature, 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 will be completed in 2017, and the highly anticipated science program will be launched in FY 2018.
Some of the science goals of the 12 GeV experimental program include the search for exotic new quark 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 regime of 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. Researchsupport for CEBAF includes laboratory and university scientific and technical staff needed to conduct high priority data
analysis to extract scientific results. No support for capital equipment, Accelerator Improvement Projects, or General Plant
Projects is provided to CEBAF in FY 2018. Reduced accelerator R&D efforts at TJNAF focus on high priority activities.
Complementary special focus experiments that require different capabilities that have been supported at the High Intensity
Gamma Source (HIGS) at Triangle Universities Nuclear Laboratory, Europe, and elsewhere and are paused in FY 2018 tosupport other high priority efforts within the program. The Research and Engineering Center of the Massachusetts Instituteof Technology (MIT) has specialized infrastructure to develop and fabricate advanced instrumentation and accelerator
equipment; however, the FY 2018 Request does not include funding to support the Center. The subprogram will instead
redirect research efforts to other high priority efforts.
The “SBIR/STTR and Other” category within this subprogram provides funding in accordance with the Small Business
Innovation Development Act and subsequent related legislation. The NP funding for the SBIR/STTR Program is technicallymanaged by NP, resulting in commercialization opportunities in markets such as medicine, homeland security, defense, andindustry as well as in products and services by U.S. small businesses that benefit NP facilities and researchers. This category
also includes funding to meet other NP obligations, such as the annual Lawrence Awards and Fermi Awards for honorees
selected by DOE for outstanding contributions to science, and NP contributions to the SC Working Capital Fund.

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Research
The Medium Energy Research program, with research groups at TJNAF, BNL, ANL, LANL, and LBNL, and approximately 75
scientists and 60 graduate students at 20 universities, carries out highest priority research programs and conducts
experiments at CEBAF; the funding decrease results in an overall reduction in laboratory and university research in the
FY 2018 Request. Scientists participate in the development and implementation of advanced instrumentation, including
state-of-the-art detectors for experiments that may also have application in areas such as medical imaging instrumentationand homeland security. TJNAF staff research efforts will focus on launching the 12 GeV experimental program, including theimplementation of experiments, acquiring data, and performing data analysis at select CEBAF experimental halls (Halls A, B,
C, and D). Scientists conduct research to advance knowledge and to identify and develop the science opportunities andgoals for next generation instrumentation and facilities. The subprogram also supports an active visiting scientist program at
TJNAF and bridge positions with regional universities as a cost-effective approach to augmenting scientific expertise at thelaboratory and boosting research experience opportunities.
ANL scientists play a leadership role in many of the new experiments in the 12 GeV scientific program, and are heavily
engaged in experiment commissioning, 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 and contribute to the search for possible explanations of the excess of matter over antimatter in theuniverse. The subprogram will suspend ANL research efforts at Fermilab that were focused on determining the contribution
to the proton spin from orbital angular momentum of sea quarks and antiquarks as new research efforts focus on the 12
GeV experimental program. Research groups at BNL and LBNL will play limited roles in the analysis of existing RHIC spin data
focused on determining the spin structure of the proton, as this experimental program is ended.
Accelerator R&D research proposals from universities and laboratories specific to improving operations of current NP
facilities or developing new NP facilities are evaluated by peer review through a single competition for funding that isincluded under the Medium Energy and Heavy Ion subprograms. Limited accelerator R&D funding in Medium Energy andHeavy Ion subprograms supports research on the most significant technical challenges and risk reduction activities
associated with concepts for a possible future electron-ion collider.
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 support for the accelerator physicists at TJNAF that operate CEBAF as well as for maintenance and power costs inthe first year of operations subsequent to the completion of the 12 GeV CEBAF Upgrade project in 2017. Reductions infacility staff are expected. Investments in accelerator improvements, including the modernization of the accelerator injector
components, GPP investments for infrastructure, and capital equipment for research and facility instrumentation, aresuspended. Support for developing advances in superconducting radiofrequency (SRF) technology relevant to improving
operations of the existing machine are paused as efforts focus on the initiation of the 12 GeV science program. The corecompetency in SRF technology plays a crucial role in many DOE projects and facilities outside of nuclear physics (such as the
Basic Energy Sciences project LCLS II) and has broad applications in medicine, defense, 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 for constructing super-lightweight composites such as aircraft fuselages. TJNAF also has a corecompetency in cryogenics and 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 withnearby universities and other institutions with accelerator physics expertise. The subprogram provides Experimental
Support for the scientific and technical staff, as well as for critical materials and supplies needed for the implementation,
integration, assembly, and operation of the large and complex CEBAF experiments. Four experimental halls, increased fromthree prior to the 12 GeV upgrade, are now capable of providing new and enhanced capabilities for scientists world-wide.

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Medium Energy Nuclear Physics
Activities and Explanation of Changes
FY 2016 Enacted

FY 2018 Request

Medium Energy Nuclear Physics $152,540,000
Research $34,411,000
Researchers focused on the 12 GeV experimental
program at TJNAF continued to implement anddevelop experimental instrumentation and prepare
for the new Hall D physics capabilities which were
demonstrated in FY 2017. Analysis efforts of RHIC
polarized proton beam data to learn more about theorigin of the proton’s spin, and support for short andmid-term accelerator R&D continued.

$130,167,000$25,316,000
The 12 GeV experimental program will be launched at
CEBAF, with experiments and data taking in selectexperimental halls. Science goals include the searchfor exotic new quark/anti-quark particles, sensitive
searches for violations of nature’s fundamental
symmetries, and a detailed microscopic
understanding of the internal structure of the proton.
Researchers will analyze select data from the RHIC
spin run in FY 2017 that focuses on the spin structureof the proton.

Explanation of Changes
FY 2018 vs FY 2016-$22,373,000-$9,095,000
The funding decrease requires a reduction in scope.
Research efforts at universities and laboratories are
reduced, resulting in a reduction of scientificworkforce. Terminations include: support for the MIT
Research and Engineering Center; Fermilab Nuclear
Physics Experimental program; RHIC Spin Research
program. Support will be paused for research capital
equipment, shifting focus to the enhancement andimplementation of existing instrumentation. The
program will phase-out efforts focused on analysis
and publication of select data sets.
Operations $99,672,000$88,598,000-$11,074,000
Funding supported continued machine development, Operations of the CEBAF facility will be supported in
Funding for both accelerator operations andand its associated incremental power costs, tothe highly anticipated first year of operations,experimental support are reduced, resulting in a
support the full, future 12 GeV research program,following the completion of the project in 2017.
reduction of ~6 weeks of operations. Program will
including engineering operations to Hall D and
Funding will support 1,070 operational hours (aboutsuspend funding for capital equipment andcommissioning of newly installed hall equipment for
29% utilization) of running for research, tuning, andaccelerator improvement funding and for General
physics running starting in FY 2017. Funding was
beam studies. Experiments in select halls will be
Plant Projects. Funding reductions cannot
provided for Other Project Costs (within project TPC), operated for data taking.
accommodate the return of facility operations staff
as part of the 12 GeV CEBAF Upgrade project profile.
from the 12 GeV construction project, which will
The major milestone in FY 2016 was to establish first
result in a reduction in the number of scientists at
beams to Halls B and C for commissioning activities.
CEBAF. Program will reduce funding for accelerator
R&D efforts in SRF technology as the focus is on
launching the 12 GeV program.
SBIR/STTR and Other $18,457,000$16,253,000-$2,204,000
Funding was provided in accordance with the Small
Funding will be provided in accordance with the Small The decrease reflects the mandated set-aside for
Business Innovation Development Act and subsequent Business Innovation Development Act and subsequent SBIR/STTR.
related legislation, as well as for other DOE and Office related legislation, as well as for other DOE and SC
of Science obligations.
obligations.

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246

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 LHC at CERN, researchers have seen signs of the same quark-gluon plasma that is believed tohave 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 of normal matter developed
from that plasma. Important avenues of investigation are directed at learning more about the physical characteristics of thequark-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. The FY 2017 run will test
the present understanding of QCD as applied to the spin structure of the proton and will further clarify the scientificinterpretation of recent heavy ion measurements. In FY 2018, RHIC will accelerate selected isotopes to explore exciting new
phenomena that have emerged in quark-gluon plasma formation. In FY 2018, researchers at RHIC will implement significant
accelerator improvements developed over the past couple of years to increase luminosity, enabling a campaign to search
for a critical point in the phase diagram of nuclear matter the following year. Efforts will continue, within available, existing
resources, to enhance the capabilities of the STAR detector, and continue limited advanced engineering and design
activities for an upgrade of the PHENIX detector to sPHENIX. The subprogram will also support limited short and mid-term
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 (ERL) accelerators. The RHIC facility has been used byabout 1,200 DOE, NSF, and foreign agency-supported researchers annually.
Collaboration in the heavy ion program at the LHC at CERN has provided U.S. researchers the opportunity to investigate
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. Data collected by the ALICE, CMS, and ATLAS
detectors confirm that the quark gluon plasma discovered at RHIC is also seen at the higher energy, and comparing theseresults to the results at RHIC has led to important new insights. U.S. researchers have been making important scientificcontributions to the emerging 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. In FY 2018, NP willsuspend U.S. participation in the heavy ion program at the LHC as research efforts will shift focus to the domestic heavy ion
program at RHIC.
Research
The subprogram will support heavy ion research groups at BNL, LBNL, LANL, and ORNL to participate in experiments at RHIC.
A reduction in laboratory and university research staff is anticipated due to reduced funding in the FY 2018 Request andtermination of U.S. participation in the LHC heavy ion program.
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The university and national laboratory research groups provide scientific 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. At
LBNL, a large-scale computational system, the NP-supported Parallel Distributed Systems Facility (PDSF), is a major sharedresource used for the analysis of RHIC data in alliance with the National Energy Research Scientific Computing Center(NERSC), which is supported by SC’s ASCR program.
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. Limited accelerator R&D
funding in Medium Energy and Heavy Ion accelerator R&D supports the most critical pre-conceptual Electron Ion Collider(EIC) accelerator R&D based on the priorities identified by the NP community’s EIC R&D review. The focus is on the mostsignificant technical challenges and risk reduction activities required toward the possible realization of a U.S. based EIC.
Operations
The Heavy Ion subprogram provides support for the operations and power costs of the RHIC accelerator complex at BNL. In
FY 2018, the subprogram suspends support for capital equipment and accelerator improvement projects and efforts will befocused on operating the machine and enhancing capabilities of existing instrumentation and accelerator components. A
reduction in facility operations staff is expected. The accelerator complex includes the Electron Beam Ion Source (EBIS),
Booster, and the Alternating Gradient Synchrotron (AGS) accelerators that together serve as the injector for RHIC. Staff
provides experimental support to the facility, including the development, implementation, and commissioning of scientificequipment associated with the RHIC program. The subprogram will delay support for important improvements to extend
STAR capabilities that had been planned for the FY 2019 run and search for the critical point in the phase diagram aredelayed, but will continue funding these improvements as funding permits. Within available funding, a small effort will also
continue on advanced conceptual engineering and design efforts associated with the planned upgrade of PHENIX to “super
PHENIX” or sPHENIX. sPHENIX will enable scientists to study how the strongly interacting QGP liquid arises from the weaklyinteracting quarks and gluons from which it is formed.
Through operations of the RHIC complex, important core competencies are nurtured in accelerator physics techniques toimprove RHIC performance and support the NP mission. These core competencies provide collateral benefits to applicationsin industry, medicine, homeland security, and other scientific projects outside of NP. Accelerator Improvement Projects havefocused on cooling of low energy heavy ion beams with bunched electron beam, which is projected to increase theluminosity by up to another factor of 10. The full system is planned to be implemented in FY 2018, after completion in2017. RHIC accelerator physicists are providing leadership to the effort to address technical feasibility issues of relevance toa possible next-generation collider, including beam cooling techniques and energy recovery linacs; these activities focus on
the highest priority challenges in accelerator R&D as funding is reduced. 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.

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Heavy Ion Nuclear Physics
Activities and Explanation of Changes
FY 2016 Enacted

Explanation of Changes
FY 2018 vs FY 2016

FY 2018 Request

Heavy Ion Nuclear Physics $208,124,000$185,681,000-$22,443,000

Research $36,036,000$20,943,000-$15,093,000

Researchers continued to participate in the collection
and analysis of new data from RHIC enabled by thecompleted STAR Heavy Flavor Tracker (HFT) MIE. The
FY 2014 run was the commissioning run for the HFT,
and provided important first results, but not final
precision measurements. The 2015 run generated thebaseline data from proton+proton and proton+Au
collisions, and the FY 2016 run generated thedefinitive Au+Au data, which will address unexplained
phenomena with charm and bottom quarks to inform
our understanding of the perfect liquid discovered at
RHIC in 2005. NP also provided scientific leadership to
the heavy ion efforts at the international ALICE, CMS,
and ATLAS LHC experiments, as well as the required
funding to the LHC for U.S. commitments for
management and operating costs. Mid- and shortterm accelerator R&D relevant to NP programmaticneeds was also supported.

Researchers continue to participate in the analysis
and collection of data from RHIC to explore newphenomena in quark-gluon plasma formation. Limited
efforts will continue in ongoing development of
instrumentation aimed at future physics campaigns toprobe the properties of the QGP. Limited accelerator
R&D relevant to NP programmatic needs will also be
supported.

The funding decrease requires a reduction in scope atuniversities and national laboratories associated with
implementing the RHIC and LHC science programs.
The overall research support is reduced, resulting in a
reduction in workforce. Additional reductions include
funding for accelerator R&D directed at addressing
feasibility to meet technical requirements for a future
EIC. Terminations include participation of U.S.
scientists in the LHC heavy ion program, including thesmall-scale ALICE instrumentation upgrades at the
LHC; the program will shift focus on the domestic
heavy ion program and will not meet U.S.
commitments to the LHC heavy ion program.

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FY 2016 Enacted

FY 2018 Request

Operations $172,088,000
RHIC operations provided for 2,697 beam hours,
which was approximately 20 weeks and equal to 66%
utilization in support of the planned RHIC research
program that is taking advantage of dramatic
improvements in collider performance and versatility
made possible by recent RHIC upgrades. The FY 2016
run (Run-16) was essential to understand results onheavy quark propagation in the quark-gluon plasma
discovered at RHIC. The high statistics data completed
for Run-16 addresses these phenomena and are
required for researchers to interpret the dataacquired from the last two years.

$164,738,000
RHIC operations of 1,470 hours a (about 67%
utilization) is focused on a targeted run to confirm therestoration of chiral symmetry - the symmetry ofnature responsible for the generation of mass. RHIC
staff will continue to develop and install
instrumentation, as possible, needed for theupcoming experimental campaigns, including electron
cooling. The run in FY 2018 is combined with the run
in FY 2019, spanning fiscal year boundaries; thefacility operates once over two fiscal years.
Accelerator science staff will continue to reduce thehighest technical risks associated with operating thecomplex facility, as well as demonstrating technicalfeasibility of a possible future electron-ion collider.

Explanation of Changes
FY 2018 vs FY 2016-$7,350,000
Reduction provides support of RHIC operations for 10
weeks. Support for capital equipment and Accelerator
Improvement Projects is paused in FY 2018.
Reductions in facility operations staff are expected.

aOptimal beam hours in FY 2018 available beam time is limited to 2,205 hours to allow for access to install upgrades to the accelerator essential for the FY 2019-20
physics campaign. The run in FY 2018 is combined with the run in FY 2019, spanning fiscal year boundaries; the facility operates once over two fiscal years.
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Nuclear Physics
Low Energy Nuclear Physics
Description
The Low Energy Nuclear Physics subprogram focuses on answering the overarching questions associated with two scientificthrusts, Nuclei and Nuclear Astrophysics, and Fundamental Symmetries, that can be probed by studying neutrons andnuclei.
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?

This subprogram addresses these questions through precision studies using neutron beams and decays of nuclei, including
neutrinoless double-beta decay. Beams of cold and ultracold neutrons are used to study fundamental properties ofneutrons. Precision studies to observe or set a limit on violation of time-reversal invariance—the principle that the physicallaws should not change 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 only DOE-supported facility providing research opportunities in Nuclear
Structure and Nuclear Astrophysics, serving a combined international community of about 400 scientists. ATLAS provides
high-quality beams of all the stable elements up to uranium as well as selected beams of short-lived nuclei for experimental
studies of nuclear properties under extreme conditions and reactions of interest to nuclear astrophysics. ATLAS is theworld’s premiere facility for stable beams, and it 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 higher intensity stablebeams and improved quality radioactive beams with modest accelerator improvements. Technologically cutting-edge andunique instrumentation are a hallmark at the facility, and the ATLAS Facility continues to be significantly oversubscribed by
the user community.
Disposition activities of the ORNL Holifield Radioactive Ion Beam Facility (HRIBF), which ceased operations in FY 2012, arecompleted in FY 2017.
Two university Centers of Excellence with specific goals and unique physics programs, the Cyclotron Institute at Texas A&M
University (TAMU) and accelerator facilities at the Triangle Universities Nuclear Laboratory (TUNL) at Duke University, aresupported for data analysis and research efforts, but are not funded for accelerator operations. A third university center, the
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Center for Experimental Nuclear Physics and Astrophysics (CENPA) at the University of Washington, is supported to provide
unique expertise and capabilities for instrumentation development and leads the Project 8 neutrino mass experimentcollaboration. The subprogram will pause funding for operations of the 88-Inch cyclotron at LBNL, which provides beams fora small in-house nuclear science program, which will also, also impact important capabilities in materials irradiation
important for external users and other missions.
The Facility for Rare Isotope Beams (FRIB), under construction at Michigan State University (MSU), will advanceunderstanding of rare nuclear isotopes and the 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. The project will continue
construction activities at a slower rate than originally planned, which will require a rebaseline in FY 2018. The Gamma-Ray
Energy Tracking Array (GRETA) MIE, requested as a new start in the FY 2017 Budget Request, is continued in the FY 2018
Request at a slower pace than planned, and is one of the primary tools that the community and NSAC have identified toleverage the capabilities of FRIB. GRETA will have ten times the gamma-ray resolving power of current generation detectors
for the vast majority of experiments, 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 (EDM) searches, and open new areas of study in nuclear astrophysics.
Research
The subprogram will support Low Energy research groups at ANL, BNL, LBNL, LANL, LLNL, ORNL, and PNNL, with an expected
overall reduction in laboratory and university research staff. Historically, about half of the scientists have conducted nuclear
structure and astrophysics research primarily using specialized instrumentation at the ATLAS scientific user facility. The
GRETA MIE is pursued at a slower pace than had been proposed in the FY 2017 budget, resulting in a delayed completion ata higher cost. Scientists primarily conduct research in fundamental symmetries, including experiments at the Fundamental
Neutron Physics Beamline (FNPB) at the Spallation Neutron Source; ongoing double beta-decay experiments such as the
Cryogenic Underground Observatory for Rare Events (CUORE) experiment at Gran Sasso Laboratory in Italy, the Majorana
Demonstrator R&D effort at the Sanford Underground Research Facility in Lead, South Dakota, and generic R&D for a xenonbased technology for neutrinoless double beta decay experiments; a measurement of the neutrino mass with the Karlsruhe
Tritium Neutrino (KATRIN) experiment at the Karlsruhe Institute of Technology in Karlsruhe, Germany; and limited R&D tomeasure the neutron electric dipole moment. The subprogram continues to provide support, although reduced, to theuniversity Centers of Excellence to maintain their unique capabilities. In FY 2018, the subprogram will suspend funding forcompetitive R&D efforts, funded in partnership with the NSF, to retire potentially “show-stopping” questions related todetector technologies relevant for a planned down select for a future ton-scale neutrinoless double beta decay experimentare paused.
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. The subprogram provides support for theoperations, power costs and experimental support of ATLAS. The recently installed Electron Beam Ion Source (EBIS)
Accelerator Improvement Project enhances the performance of the CARIBU radioactive beam system for accelerated
radioactive ion beams. An in-flight radioactive ion separator to increase the intensity of radioactive beams by several ordersof magnitude and deliver beams to a larger number of beam lines in the facility comes online in FY 2018 to complement agas filled analyzer completed the prior year.
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 SC mission and international stable and radioactive ion beam facilities.

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Low Energy Nuclear Physics
Activities and Explanation of Changes

Explanation of Changes
FY 2018 vs FY 2016

FY 2016 Enacted

FY 2018 Request

Low Energy Nuclear Physics $81,665,000
Research $54,263,000
University and laboratory nuclear structure andnuclear astrophysics efforts continued to focus on
research at ATLAS, university-based Centers of
Excellence, as well as the highest priority
instrumentation development efforts to realize
unique scientific opportunities afforded by stopped,
slow, and fast beams at FRIB. Efforts continued with
the Majorana Demonstrator to demonstrate technicalfeasibility of a next generation detector in double beta
decay. Support continued for maintenance andoperations of the GRETINA detector, operations of the
KATRIN experiment, and R&D at the FNPB on thefeasibility of setting a world leading limit on theelectric dipole moment of the neutron (nEDM).
Operations $27,402,000
Continued operation of ATLAS in a 7 day per weekmode was a high priority as demand for ATLAS beamtime continues to far exceed availability. FY 2016
funding supported 6,160 hours of beam time, and a
program of modest upgrades continued for the only
operating DOE-supported scientific user facility innuclear structure and astrophysics. Support continued
for equipment disposition activities at HRIBF.

$52,455,000$33,233,000
High priority university and laboratory nuclear
structure and nuclear astrophysics efforts continue tofocus on research at ATLAS. Support will continue on
the exploration of the fundamental symmetries ofnature through research focused on measuring
neutrino masses (KATRIN), the lifetime and decay
properties of the neutron, and lepton number
violation in neutrinoless double beta decay (CUORE,
EXO and the Majorana Demonstrator).

-$29,210,000-$21,030,000
Funding reductions include support for university andnational laboratory research, which will result in an
anticipated reduction in workforce; MIE funding for
GRETA, relative to FY 2017 according to the planned
profile, in order to exploit the capabilities of FRIB. The
R&D effort aimed at a down-select decision for the
next generation neutrinoless double beta decay(0vbb) experiment will be suspended. Operations of
the two university Centers of Excellence (HIGS and
Texas A&M) accelerator facilities will be paused.

$19,222,000
Operation of ATLAS in a 5 day per week mode will besupported to address the high demand for ATLAS
beam time which continues to far exceed availability.
ATLAS funding will support 2,620 hours of beam time(~40% of optimal).

-$8,180,000
Funding will support a reduction of 3,280 operating
hours relative to FY 2016. Funding for capital
equipment and Accelerator Improvement Projects is
not included in FY 2018 Request. Equipment
disposition activities at HRIBF are completed in
FY 2017.

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254

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. The third year of new fiveyear topical collaborations within the university and national laboratory communities will be supported in FY 2018 toaddress only the highest priority topics in nuclear theory that merit a concentrated theoretical effort. The Nuclear Theory
subprogram also supports the U.S. Nuclear Data Program (USNDP), which collects, evaluates, and disseminates nuclear
physics data for basic nuclear research and for applied nuclear technologies and their development.
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. A five-year computer hardware project “LQCD-ext II” started in FY 2015 and has been carried out jointlywith HEP to ensure effective coordination. It follows the previous joint efforts that address the computational requirementsof LQCD research by continuing to provide specialized computing resources for LQCD research. Both HEP and NP require thistype of computing capability in order to conduct simulations that address their distinct science programs. The partnering of
the two offices ensures effective coordination to maximize the leverage available for this activity from the infrastructure andintellectual capital of both programs and to prevent duplication of effort on resource-intensive calculations inherently
central to quantum chromodynamics and particle physics research. In FY 2018, LQCD research focuses on using existing
capabilities, and the LQCD-ext II effort will be stretched out with a pause of investment in new hardware.
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. SciDAC-3 awards were made in FY 2012
and continued through FY 2016. The new group of SciDAC-4 awards selected in FY 2017 will receive continued support.
Theory Research
The Nuclear Theory subprogram supports the research programs of approximately 105 university scientists and 80 graduate
students at 33 universities, as well as nuclear theory groups at seven national laboratories (ANL, BNL, LANL, LBNL, LLNL,
ORNL, and TJNAF), for an overall reduction of approximately 27% in laboratory and university research staff. This research
has the goals of improving our fundamental understanding of nuclear physics, interpreting the results of experiments
carried out under the auspices of the experimental nuclear physics program, and identifying and exploring important new
areas of research. Three topical collaborations [JET (QCD in the heavy-ion environment); NuN (neutrinos andnucleosynthesis in hot and dense matter); and TORUS (low-energy nuclear reactions for unstable isotopes)] completed theirwork in FY 2015. Based on mission need, the success of the initial cohort of topical collaborations, and community supportof this program, the subprogram will continue to support the new round of 5-year topical collaborations initiated in
FY 2016/FY 2017 to bring together theorists to address specific high-priority theoretical challenges is continued, possiblywith reduced scope. The four new collaborations that may receive continued support are: 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 (DBD) Collaboration, and theFission 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 beam-energy scan, while TMD
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deals with “cold” QCD, three-dimensional hadron structure and spin physics, and looks forward in the direction of a future
EIC. DBD is focused on using the most up-to-date methods of nuclear structure theory to calculate nuclear matrix elements
for double beta decay cross section and to carry out other fundamental symmetry related calculations. 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. NP will consider how best to optimally support these compelling initiatives
within available funding. The subprogram will maintain a new focused effort on FRIB theory initiated in FY 2017, which is
critical to theory efforts associated with the planned FRIB scientific program in order to optimize the interpretation of theexperimental results.
Nuclear Data
The USNDP provides current, accurate, and authoritative data for workers in pure and applied areas of nuclear science andengineering. It addresses this goal primarily through maintaining and providing public access to extensive 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. In FY 2018, two recently established USNDP university efforts will receive continued support, one at Michigan State
University, in association with FRIB, and the other at the University of California at Berkeley, in association with the existing
Bay Area Nuclear Data groups at LBNL and LLNL. The U.S. Nuclear Data Program recently stood up an Inter-Agency working
group including NNSA, DHS, NE, DNDO, and other Federal Agencies to provide evaluated cross-section and decay data
relevant to a broad suite of Federal missions and topics. Funding may also support efforts on opportunistic measurements
to address serious gaps and uncertainties in existing nuclear data archives.

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Nuclear Theory
Activities and Explanation of Changes
FY 2016 Enacted

Explanation of Changes
FY 2018 vs FY 2016

FY 2018 Request

Nuclear Theory $45,638,000$33,286,000-$12,352,000

Theory Research $37,616,000$27,749,000-$9,867,000

Funding continued to support the highest priority
theoretical research at universities and national
laboratories for the interpretation of experimental
results obtained at NP facilities. Theorists
concentrated on applying QCD to nucleon structureand hadron spectroscopy, to the force between
nucleons, and to the structure of light nuclei.
Advanced dynamic calculations to describe relativistic
nuclear collisions, nuclear structure and reactions,and topics related to fundamental symmetries
focused on activities in preparation for the research
program at the upgraded CEBAF 12 GeV facility, theresearch program at the planned FRIB facility, andongoing and planned fundamental symmetries
experiments. Funding continued to support ongoing
SciDAC-3 grants and the LQCD ext-II computing
project. Support was provided to initiate the second
round of theory topical collaborations.

Funding will continue for high priority 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 continue tofocus on applying QCD to a wide range of problems
from nucleon structure and hadron spectroscopy,
through the force between nucleons, to the structureof light nuclei. Advanced dynamic calculations to
describe relativistic nuclear collisions, nuclear
structure and reactions, and topics related tofundamental symmetries will continue to focus on
activities related to the research program at the
upgraded 12 GeV CEBAF facility, the research programat the planned FRIB, and ongoing and planned
fundamental symmetries experiments. Funding will
also support the second year of SciDAC-4 grants andthe third year of the theory topical collaborations
initiated in FY 2016.
$5,537,000
The primary emphasis in the Nuclear Data Program in
FY 2018 will continue to be on the compilation andevaluation of nuclear reaction and nuclear structure
data which will include advanced nuclear reaction
modeling and uncertainty quantification; maintaining
and developing nuclear data formats and data
verification codes; and archiving nuclear physics data
and disseminating it using up to date technology

The funding decrease requires a reduction in scope.
Decreased funding will reduce support for university
and national laboratory research and for the FRIB
Theory Alliance. Reductions in workforce are
anticipated.

Nuclear Data $8,022,000
Nuclear data evaluation was the prime nuclear data
product, combining experiment with theory andlinking basic science with applications. The emphasis
in FY 2016 was on the compilation and evaluation of
nuclear reaction and nuclear structure data which
included advanced nuclear reaction modeling anduncertainty quantification; maintaining anddeveloping nuclear data formats and data verification
codes; and archiving nuclear physics data anddisseminating it using up to date technology.
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257-$2,485,000
Decreased funding reduces the level of effort for the
Nuclear Data scientists, compilers and evaluators.

FY 2018 Congressional Budget Justification

258

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:
•
•
•
•
•
•
•
•
•
•

strontium-82 for cardiac imaging;californium-252 for well logging, homeland security, and energy security;
germanium-68 for the development of gallium-68 radiopharmaceuticals for cancer imaging;berkelium-249, californium-251, and curium-248 for use as targets for discovery of new superheavy elements;
selenium-75 for industrial radiography;
actinium-225, 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;
tungsten-188, lutetium-177, strontium-90, and cobalt-60 for cancer therapy; 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 National Institutes of Health(NIH), the National Institute of Standards and Technology, the Department of Agriculture, DHS, NNSA, and DOE SC programs.
NP continues to work in close collaboration with federal organizations to develop strategic plans for isotope production andto establish effective communication to better forecast isotope needs and leverage resources. Each year, NP conducts anannual workshop, attended by representatives of all Federal agencies that require stable and radioactive isotopes, toprovide a comprehensive assessment of national needs for isotope products and services, to inform priorities forinvestments in research for developing new isotope production and processing techniques, to communicate advances ina

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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isotope production research and availability, and to communicate concerns about potential constrained supplies ofimportant isotopes to the federal agencies. The Isotope Program participates in a number of federal Working Groups andInteragency groups to promote communication, including the White House Office of Science and Technology Policy (OSTP)
working group on molybdenum-99 (Mo-99), the National Science and Technology Committee (NSTC) Subcommittee on
Critical and Strategic Mineral Supply Chains, the Interagency Group on Helium-3, which it leads, that reports to the WhiteHouse National Security Staff, and the OSTP Interagency Working Group on Alternatives to High-Activity Radioactive Sources(whose activities completed in FY 2017). NP participates in the Certified Reference Material Working Group which assuresmaterial 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 biomedical researchers through support for the Nuclear
Chemistry Summer School (NCSS) program. The NCSS 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 aslaboratory 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 (OECD).
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 research to develop new or improved production or separation techniques for high priority
isotopes in short supply. Research investments tackle challenges in the efficiency of producing critical isotopes, and develop
production methods for isotopes of interest to federal agencies and other stakeholders, when no production route is inexistence, enabling new applications and research. The research program has two primary components. One is support of
R&D via competitive funding opportunity announcements open to both universities and laboratories. The other is provisionof core R&D funding to national laboratories that possess unique facilities and technical expertise that directly support themission 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 andapplications important to the Nation’s science and industry. There is also an emphasis in the R&D program on providing
training opportunities to students and post-docs to help assure a vibrant work-force essential to the technologies associatedwith isotope production. Priorities in research isotope production are informed by guidance from NSAC as described in the2015 Long Range Plan for the DOE-NP Isotope Program published in July 2015 under the title “Meeting Isotope Needs andCapturing Opportunities for the Future.” The Isotope Program has also funded research to demonstrate technical feasibilityof modern stable isotope enrichment devices to provide the Nation with small-scale enrichment capabilities that have beenabsent since the DOE calutrons ceased operation in 1998. The U.S. is currently dependent on foreign sources for supplies ofstable isotopes; the U.S. inventory has been depleted in the cases of some specific isotopes. The R&D program also develops
domestic production capabilities for important radioisotopes for which the U.S. is dependent on foreign sources.
Another high priority is a long-term research effort to produce actinium-225, an isotope that shows great promise in thetreatment of diffuse cancers and infections if it can be produced in sufficient quantity and quality. In work performed in
FY 2015, production research efforts focused on demonstrating that the accelerator produced isotope functions
equivalently to the material derived from the decay of thorium-229 which is presently the only viable source of small
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quantities of actinium-225. Samples of the isotope produced by the accelerator production approach have been evaluatedby several different researchers involved in medical applications research and results indicate that the accelerator produced
material works virtually identically to the thorium-229 generated material. The accelerator route of production has thepotential to provide quantities sufficient to support both research trials and ultimately clinical applications in the future.
Also, in anticipation of the opportunity FRIB will provide as a unique source of many important isotopes for research andapplications, scientists are exploring technologies to potentially harvest some of the isotopes that will be produced duringphysics research experiments. Recent research results have also demonstrated technical feasibility of a potential new
production route for lithium-7, an isotope used as a coolant reagent in pressurized water nuclear power plants. Currently,
the U.S. is dependent upon foreign supplies of lithium-7 which are not always reliable; this successful research could provide
a path for re-establishing domestic production of lithium-7.
Operations
The Isotope Program is the steward of the Isotope Production Facility (IPF) at Los Alamos National Laboratory (LANL) andthe Brookhaven Linac Isotope Producer (BLIP) facility at BNL, and provides support for hot cell facilities for processing andhandling irradiated materials and purified products at ORNL, BNL, and LANL. Facilities at other sites are used as needed,such as the Idaho National Laboratory reactor for the production of cobalt-60, the Pacific Northwest National Laboratory(PNNL) for processing and packaging strontium-90, the Y-12 National Security Complex for processing and packaging lithium6 and lithium-7, and the Savannah River Site for the extraction and distribution of helium-3. In addition to isotope
production at DOE facilities, the Isotope Program is funding production at universities with capabilities beyond thoseavailable in the stewarded facilities, such as an alpha-particle cyclotron at the University of Washington that developed fullscale production of astatine-211 to support research into the use of the isotope in cancer therapy. The establishment of acoordinated network of university based isotope production was a recommendation in the 2015 NSAC Long Range Plan. Stillin its infancy, the network is designed to leverage the unique and 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. In this way, both the national laboratories and the universities are able to more efficiently meet domestic
isotope production needs.
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. The R&D effort is coming to a close in early
FY 2017 and will result in an Enriched Stable Isotope Prototype Plant (ESIPP) to produce small research quantities ofenriched stable isotopes. The prototype demonstration has been established in a facility that can be expanded and theresulting capability developed is completely scalable to produce kilogram quantities of enriched stable isotopes in a costeffective manner. The FY 2017 appropriation initiates the Stable Isotope Production Facility (SIPF) MIE to help meet thedemand for a domestic capability to produce enriched stable isotopes for basic research, medical and industrial applications
as recommended by the NSAC Subcommittee on Isotopes in 2015. The FY 2018 Request continues funding for SIPF at a
slower pace than originally planned, delaying completion at an increased cost. Examples of discovery research efforts which
could benefit from the facility are neutrinoless double beta decay experiments in nuclear physics and dark matter
experiments in high-energy physics that are interested in kilogram quantities of enriched stable isotopes, which are notpresently 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 ofheavier elements used for agricultural, nutritional, industrial, ecological, and computing applications could also be
produced.

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FY 2018 Congressional Budget Justification

Isotope Development and Production for Research and Applications
Activities and Explanation of Changes
FY 2016 Enacted

Explanation of Changes
FY 2018 vs FY 2016

FY 2018 Request

Isotope Development and Production for Researchand Applications $21,633,000
Research $6,329,000$21,111,000-$522,000$5,307,000-$1,022,000

Funding continued to support competitive R&D
awards to universities and laboratories, as well aslaboratory research groups at LANL, BNL, and ORNL.
Development of production techniques for alphaemitting radionuclides for medical therapy continued
to be a priority, and was implemented through aconcerted collaborative R&D effort by experts at thenational laboratories, particularly at BNL, LANL, and
ORNL. Research at universities and national
laboratories also lead to new isotope production
technologies and effectively engaging and training
students and post-docs in nuclear chemistry andradiochemistry.
Operations $15,304,000
Support provided for infrastructure and maintenanceof facilities, core competencies in isotope production
and development, and for the NIDC. The maintenanceof aging facilities continued to be a funding priority tomaintain isotope production capabilities. Funding for
program investments and production of particularisotopes was informed by the Nuclear Science
Advisory Committee’s updated long-range plan for the
Isotope Program (completed in FY 2015) and theFederal workshop held in the fall of 2015.

Funding continues for high priority competitive R&D
Support for national laboratory and university
activities at universities and national laboratories
research is reduced.
leading to new isotope production technologies. Core
support will continue to be provided to national
laboratories for the highest priority R&D thatenhances isotope production capabilities specifically
relevant to the physical resources and expertiseavailable at the laboratories. Arrangements will bemade towards the implementation of a university
network for short-lived high priority medical isotopes.

$15,804,000
Funding will provide support for high priority activities
needed for mission readiness of the isotope
production facilities and the most critical corecompetencies in isotope production anddevelopment. Funding will also support the highest
priority activities of the NIDC. Operations of theenriched stable isotope prototype will be initiated toprovide the capability to produce small research
quantities of enriched stable isotopes, and modest
funding continues for the Stable Isotope Production
Facility (SIPF) MIE.

Science/Nuclear Physics+$500,000
Funding is provided for the Stable Isotope Production
Facility (SIPF) MIE at a reduced pace than originallyplanned. Support for the mission readiness of isotope
production facilities is reduced relative to current
operations by deferring maintenance andenhancements relevant to isotope production.
Support for the NIDC is decreased, impacting effective
responses to customer inquiries and isotope business
operations. Operations of the new stable isotope
production prototype is limited.

FY 2018 Congressional Budget Justification262

Nuclear Physics
Construction
Description
Consistent with the 2015 NSAC Long-Range Plan’s highest priority, the FY 2018 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 two ongoing projects,
for which only one will be receiving construction line item funding in FY 2018.
The 12 GeV CEBAF Upgrade at TJNAF will enable scientists to address one of the mysteries of modern physics—themechanism of quark confinement. The project will be completed in 2017.
The Facility for Rare Isotope Beams (FRIB) at Michigan State University (MSU) continues construction activities in FY 2018 ata slower pace than originally planned, which will require a rebaseline in FY 2018. The completion date will be delayed andthe total cost of the project will increase. 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 ofthe origin of the elements and the evolution of the cosmos. 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 andgovernment institutions. The project is funded through a cooperative agreement with Michigan State University and wasestablished as a control point in the FY 2014 appropriation. Prior to that time, funding was provided within the Low Energy
subprogram.

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FY 2018 Congressional Budget Justification

Construction
Activities and Explanation of Changes
FY 2016 Enacted

Explanation of Changes
FY 2018 vs FY 2016

FY 2018 Request

Construction $107,500,000$80,000,000-$27,500,000

06-SC-01, 12 GeV CEBAF Upgrade, TJNAF $7,500,000
With the scheduled commissioning of the Hall D
experimental equipment in FY 2015, the FY 2016
federal funds supported procurements, fabrication,
installation, and commissioning of the experimental
equipment primarily in Halls B and C; and addressed
continuing project risks in order to optimize thesuccessful completion of this project within thecurrent TEC baseline. FY 2016 was the final year of
TEC funding for the project as it works towards
completion (CD-4B) by the end of FY 2017.
14-SC-50, Facility for Rare Isotope Beams (FRIB)$100,000,000
Work on conventional facilities continued as well as
construction of items such as the linear accelerator(linac) tunnel and the target, linac support, andcryoplant areas. The technical systems were fully
underway including efforts such as major
procurements, fabrication, and assembly for technicalcomponents such as the linac, cryomodules, andexperimental systems.

$0Construction complete. No funding requested in
FY 2018.

-$7,500,000
Construction of the 12 GeV Upgrade to CEBAF will becompleted in 2017.

$80,000,000
FY 2018 funding will support the construction of thecryogenic plant and distribution system. The funds will
also support the procurement, fabrication, assembly,
and installation of technical systems within theconventional facilities that are scheduled to be
substantially complete in FY 2017. These technicalsystems include systems such as the linac front end,
cryomodules, and experimental systems.

-$20,000,000
The funding decrease requires the project to rebaseline its profile. The planned completion date will
be delayed and the Total Project Cost will increase byapproximately $20M.

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FY 2018 Congressional Budget Justification

Nuclear Physics
Performance Measure
In accordance with the GPRA Modernization Act of 2010, the Department sets targets for, and tracks progress toward, achieving performance goals for each program.
FY 2016
FY 2017
FY 2018
Performance GoalHEP Construction/MIE Cost & Schedule - Cost-weighted mean percentage variance from established cost and schedule baselines for major(Measure)
construction, upgrade, or equipment procurement projects
Target< 10 %< 10 %< 10 %
ResultMet
TBD
TBD
Endpoint Target
Adhering to the cost and schedule baselines for a complex, large scale, science project is critical to meeting the scientific requirements for the
project and for being good stewards of the taxpayers’ investment in the project.
Performance Goal
HEP Facility Operations - Average achieved operation time of HEP user facilities as a percentage of total scheduled annual operation time
(Measure)
Target≥ 80 %≥ 80 %≥ 80 %
ResultMet
TBD
TBD
Endpoint Target
Many of the research projects that are undertaken at the Office of Science’s scientific user facilities take a great deal of time, money, and effort
to prepare and regularly have a very short window of opportunity to run. If the facility is not operating as expected the experiment could beruined or critically setback. In addition, taxpayers have invested millions or even hundreds of millions of dollars in these facilities. The greater
the period of reliable operations, the greater the return on the taxpayers’ investment.
Performance Goal
HEP Neutrino Model - Carry out series of experiments to test the standard 3-neutrino model of mixing(Measure)
TargetPhysics analyses results from data taking will be Fermilab switches operations mode over from MicroBooNE data taking will complete final
presented by the NOvA and MicroBooNE
neutrino beam to antineutrino beam delivery year of phase-1. NOvA will publish the firstto the NOvA experiment. NOvA accumulates
muon and electron anti-neutrino oscillation
experimental collaborations at the FY 2016
physics data in antineutrino mode.
results. ICARUS data taking will begin. SBND
summer conferences.
physics commissioning will continue.
ResultMet
TBD
TBD
Endpoint Target
Similar to quarks, the mixing between neutrinos is postulated to be described by a unitary matrix. Measuring the independent parameters of
this matrix in different ways and with adequate precision will demonstrate whether this model of neutrinos is correct. Such a model is needed
to correctly extract evidence for CP violation in the neutrino sector.
Performance Goal
NP Construction/MIE Cost & Schedule - Cost-weighted mean percentage variance from established cost and schedule baselines for major(Measure)
construction, upgrade, or equipment procurement projects
Target< 10 %< 10 %< 10 %
ResultMet
TBD
TBD
Endpoint Target
Adhering to the cost and schedule baselines for a complex, large scale, science project is critical to meeting the scientific requirements for the
project and for being good stewards of the taxpayers’ investment in the project.
Performance Goal
NP Facility Operations - Average achieved operation time of NP user facilities as a percentage of total scheduled annual operation time
(Measure)
Target≥ 80 %≥ 80 %≥ 80 %
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FY 2018 Congressional Budget Justification

Result
Endpoint Target

Performance Goal
(Measure)
TargetResultEndpoint Target

FY 2016
FY 2017
FY 2018Met
TBD
TBD
Many of the research projects that are undertaken at the Office of Science’s scientific user facilities take a great deal of time, money, and effort
to prepare and regularly have a very short window of opportunity to run. If the facility is not operating as expected the experiment could beruined or critically setback. In addition, taxpayers have invested millions or even hundreds of millions of dollars in these facilities. The greater
the period of reliable operations, the greater the return on the taxpayers’ investment.
NP Nuclear Structure - Conduct fundamental research to discover, explore, and understand all forms of nuclear matter.
Perform measurements for identified hadrons Demonstrate the capability to extend the
Perform measurements in experimental hallswith heavy flavor valence quarks to constrain sensitivity of searches for neutrinoless double- with CEBAF to enhance our understanding ofbeta decay by at least a factor of 5.
the QCD structure of nuclei and hadronic
the mechanism for parton energy loss in thematter.
quark-gluon plasma at the Relativistic Heavy Ion
Collider (RHIC).
Met
TBD
TBD
Increase the understanding of the existence and properties of nuclear matter under extreme conditions, including that which existed at the
beginning of the universe

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Nuclear Physics
Capital Summary ($K)

Capital Operating Expenses Summary
Capital equipment
General plant projects (GPP)
Accelerator improvement projects (AIP)
Total, Capital Operating Expenses
Capital Equipment
Gamma-Ray Energy Tracking Array (GRETA) MIE b
Stable Isotope Production Facility (SIPF) MIEa
Total Non-MIE Capital Equipment
Total, Capital Equipment
General Plant Projects
General plant projects under $5 million TEC
Accelerator Improvement Projects (AIP)
RHIC Low Energy Electron Cooling
Other projects under $5 million TEC
Total, Accelerator Improvement Projects

FY 2017
Annualized
CR a

FY 2018
RequestFY 2018 vs
FY 2016

—
—
—
—

1,700
0
0
1,700

-10,036-2,200-5,552-17,78800
11,736
11,736

—
—
—
—

200
1,500
3,004
4,704

+200
+1,500-8,732-7,032

n/a

2,200

—

0

-2,200

5,100
n/a
n/a

1,900
3,652
5,552

—
—
—

0
0
0

-1,900-3,652-5,552

Total

Prior Years

FY 2016
Enacted

n/a
n/a
n/a
n/a

n/a
n/a
n/a
n/a

11,736
2,200
5,552
19,48852,000–67,000
9,500–12,000
n/a
n/a

n/a
n/a
n/a
n/a

n/a
8,300
n/a
n/a

a

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above; below that level, a dash (-) is shown.
bThis 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 a work 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. The project will be rebaselined to reflect a delayed schedule and increased TPC as a result of FY 2018 funding less than the baseline. The TPC is expected toincrease by ~$20M.
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FY 2018 Congressional Budget Justification

Major Items of Equipment Descriptions
Low Energy Nuclear Physics
The Gamma-Ray Energy Tracking Array (GRETA) detector directly supports the Nuclear Physics mission by addressing thegoal to understand the structure of nuclear matter, the processes 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 thatwill impact nuclear science, as well as detection techniques in homeland security and medicine. GRETA will provide
unprecedented gains in sensitivity, addressing several high priority scientific topics, including how weak binding andextreme 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 ofreconstructing the position of the interaction with millimeter 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 wasapproved in September 2015 with an estimated Total Project Cost of $52,000,000–$67,000,000. CD-1 is planned for FY 2017.
The FY 2018 Request for GRETA of $200,000 is the second year of Total Estimated Cost (TEC) funding. The Total Project Cost
Range will be re-evaluated in FY 2018 to consider changes in the planned funding profile.
Isotope Development and Production for Research and Applications
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
is completing an R&D effort in 2017, which has resulted in a prototype capability to produce small research quantities ofenriched stable isotopes. The prototype demonstration has been established in a facility that can be expanded and theresulting 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, 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 are also not available domestically. Stable isotopic nuclides ofheavier elements are used for agricultural, nutritional, industrial, ecological and computing applications could also be
produced. The FY 2017 appropriation initiates 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 services,and optimizes the design of centrifuges to isotopes of interest. CD-0 was approved September 2015 with an estimated Total
Project Cost of $9,500,000–$10,500,000. CD-1 is planned for 2017. The FY 2018 Request for SIPF of $1,500,000 is the second
year of TEC funding. The Total Project Cost Range will be re-evaluated in FY 2018 to consider changes in the planned funding
profile.

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Nuclear Physics
Construction Projects Summary ($K)

06-SC-01, 12 GeV CEBAF Upgrade, TJNAF
TEC
OPC
TPC
14-SC-50, Facility for Rare Isotope Beams
DOE TPC
Total, Construction (TPC) All Construction Projects

FY 2016 Enacted FY 2017 Enacted FY 2018 Request

FY 2018 vs
FY 2016

Total

Prior Years

310,500
27,500338,000

303,000
22,000
325,000

7,500
4,500
12,000

0
0
0

0
0
0

-7,500-4,500-12,000

635,500 an/a

218,000 bn/a

100,000
112,000

100,000
100,000

80,00080,000-20,000-32,000

Funding Summary ($K)

Research
Scientific User Facilities Operations
Other Facility Operations
Projects
Major Items of Equipment
Facility for Rare Isotope Beams
12 GeV Upgrade TEC
Total Projects
Other dTotal Nuclear Physics

FY 2016 Enacted
176,677
289,959
24,507FY 2017 Annualized CR c———

FY 2018 Request
116,385
269,258
19,104

FY 2018 vs FY 2016
-60,292-20,701-5,4030
100,000
7,500
107,500
18,457617,100—
99,8107,486——
615,9271,700
80,000081,700
16,253502,700+1,700-20,000-7,500-25,800-2,204-114,400aThis 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 a work 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. The project will be rebaselined to reflect a delayed schedule and increased TPC as a result of FY 2018 funding less than the baseline. The TPC is expected toincrease by ~$20M.
b
A portion of the PY funding was provided within the Low Energy subprogram. The FY 2014 appropriation established FRIB as a control point.
c
FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above; below that level, a dash (-) is shown.
dIncludes SBIR/STTR funding.
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Scientific User Facility Operations ($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.

TYPE A FACILITIESCEBAF (TJNAF) b
Number of Users
Achieved operating hours
Planned operating hours

FY 2016 Enacted

FY 2017 Annualized CR a

FY 2018 Request

FY 2018 vs FY 2016

$111,287
1,530
N/A
0

—
—
N/A
—

$96,318
1,300
N/A
1,070

-$14,969-230
N/A+1,070a

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above; below that level, a dash (-) is shown.
b
During FY 2016, there were no research hours to which the CEBAF facility was held accountable while the 12 GeV upgrade was being commissioned. In FY 2016,
approximately 16 weeks of machine development were supported. The user community remained active during the shutdown with instrumentation and equipment
implementation for the upgraded facility. During FY 2017, the planned operating hours and optimal hours include 330 hours of operations (commissioning) that aresupported 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 as operational experience is gained.
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FY 2016 Enacted

FY 2017 Annualized CR a

FY 2018 Request

FY 2018 vs FY 2016

TYPE A FACILITIES
Optimal hours
Percent optimal hours
Unscheduled downtime hours

0
N/A
N/A

—
—
N/A

3,730
28.7%
N/A

+3,730
N/A
N/A

RHIC (BNL)
Number of Users
Achieved operating hours a
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$179,152
1,200
2,697
2,510
4,100
65.8%
0

—
—
N/A
—
—
—
N/A

$169,174
1,020
N/A
1,470
2,205 b66.7%
N/A-$9,978-180
N/A-1,040-1,895+0.9%
N/A

ATLAS (ANL)
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours c
Percent optimal hours
Unscheduled downtime hours$22,390
320
6,160
5,900
6,200
99.4%
0

—
—
N/A
—
—
—
N/A

$19,086
272
N/A
2,620
6,600
39.7%
N/A

-$3,304-48
N/A-3,280+400-59.7%
N/A

Total Scientific User Facility Operations$312,829—$284,578-$28,251

3,050
N/A
8,410
10,300

—
N/A
—
—

2,592
N/A
5,160
12,535-4058
N/A-3,250+2,235

Number of Users
Achieved operating hours
Planned operating hours
Optimal hoursa

For achieved operations in FY 2016 RHIC was able to achieve 108% of the planned operating hours in FY 2016 as a result of outstanding performance of the machine. A
very effective ramp-up of the luminosity and new techniques to provide increased beam intensity allowed RHIC to exceed the luminosity goal for the highest energy
gold-gold setup. Rapid efficient setups enabled deuteron-gold measurements at 4 different energies to meet or exceed all planned goals for the FY 2016 run.
b
Optimal beam hours in FY 2018 available beam time is limited to 2,205 hours to allow for access to install upgrades to the accelerator essential for the FY 2019-20
physics campaign. The run in FY 2018 is combined with the run in FY 2019, spanning fiscal year boundaries; the facility operates once over two fiscal years.
c
ATLAS was able to achieve 104% of the planned operating hours in FY 2016 as a result of very high reliability.
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FY 2018 Congressional Budget Justification

TYPE A FACILITIESPercent of optimal hours a
Unscheduled downtime hours

FY 2016 Enacted

FY 2017 Annualized CR a

FY 2018 Request

FY 2018 vs FY 2016

69.5%
0

—
N/A

52.0%
N/A

-17.5%
N/A

Scientific Employment

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

FY 2016 Enacted
823
365
523
1,089

FY 2017 Annualized CR b————

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

FY 2018 Estimate
586
244
293
989

FY 2018 vs FY 2016
-237
-121
-230
-100

∑𝑛𝑛
1 [(%𝑂𝑂𝑂𝑂 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛)×(𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜)]
𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑎𝑎𝑎𝑎𝑎𝑎 𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝐴𝐴 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional control
level and above; below that level, a dash (-) is shown.
cIncludes technicians, engineers, computer professionals, and other support staff.
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FY 2018 Congressional Budget Justification

14-SC-50, Facility for Rare Isotope Beams (FRIB)
Michigan State University (MSU), East Lansing, MI
Project is for a Cooperative Agreement
1.

Significant Changes and Summary

Significant Changes
This Project Data Sheet (PDS) is an update of the FY 2017 PDS and does not include a new start for FY 2018. The FY 2018
requested funding change from the original planned profile will result in an increase to the project’s current baseline costand schedule. SC will conduct a re-baseline effort following an FY 2018 appropriation.
Summary
The most recent approved Critical Decision (CD) for the Facility for Rare Isotope Beams (FRIB) project is CD-3B, Approve
Start of 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. Start of civil construction officiallybegan in March 2014, and technical construction began in August 2014. Since the start of the civil and technicalconstruction, multiple independent project assessments have determined the project is proceeding on track within theestablished project baseline. There are no changes in the project’s scope since the establishment of the project’s baseline. In
FY 2018, the requested project funding decreases by $17,200,000 from the baseline profile. Following an FY 2018
appropriations, the project will evaluate all added risks, costs, and schedule changes resulting from this change and develop
a new cost and schedule baseline, which will be reviewed and approved according to DOE guidelines.
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, 5, and
6 of this PDS differ slightly in how the baseline is presented from a traditional PDS for a federal capital asset construction
project in that they include the MSU cost share. The table in section 7, Schedule of Appropriation Requests, displays only
DOE funding.
A Federal Project Director with certification level 4 has been assigned to this project and approves this PDS.
2.

Critical Milestone History
CD-0

Conceptual
DesignComplete

CD-1

CD-2

(fiscal quarter or date)
Final
DesignCD-3A
Complete

CD-3B

D&D
Complete

CD-4

FY 2011

2/9/2004

4Q
FY 2010

TBD

TBD

TBD

TBD

N/A

FY 2017–2019
FY 2018–
2020

FY 20122/9/2004

9/1/2010

4Q FY 2012

TBD

TBD

TBD

N/A

FY 2013

2/9/2004

9/1/2010

TBD

TBD

TBD

TBD

N/A

FY 20142/9/2004

9/1/2010

3Q FY 2013

TBD

3Q FY 2013

TBD

N/A

TBD

FY 2015
FY 2016

2/9/2004
2/9/2004

9/1/2010

9/1/2010
9/1/2010

8/1/2013
8/1/2013

4Q FY 2014
8/26/2014 a

8/1/2013
8/1/2013

4Q FY 2014
8/26/2014

N/A
N/A

3Q FY 2022
3Q FY 2022

FY 2017

2/9/2004

9/1/2010

9/1/2010

8/1/2013

8/26/2014a

8/1/2013

8/26/2014

N/A

3Q FY 2022

FY 2018

2/9/2004

9/1/2010

9/1/2010

8/1/2013

8/26/2014a

8/1/2013

8/26/2014

N/A

3Q
FY 2022 b

TBD

a This date represents when the design was substantially complete to allow the start of technical construction (CD-3B). A limited amountof design effort will continue through 4Q FY 2017.

b

The requested FY 2018 funding is less than the planned baseline profile. This will result in a re-baselining effort that will
likely increase the project’s cost, schedule, and risks.
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14-SC-50, Facility for Rare Isotope Beams (FRIB)FY 2018 Congressional Budget Justification273

CD-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
CD-4 – Approve Start of Operations or Project Closeout
D&D Complete – Completion Demolition & Decontamination
3.

Project Cost History a(dollars in thousands)

FY 2015
FY 2016
FY 2017
FY 2018
4.

Design/Construction
655,700
655,700
655,700
655,700

R&D/Conceptual
Design/NEPA
24,60024,60024,60024,600Pre-Operations
49,70049,70049,70049,700Total TPC
730,000
730,000
730,000
730,000 b

Less MSU Cost
Share
-94,500-94,500-94,500-94,500

DOE TPC
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.
CD-4 Key Performance Parameters
SystemParameter
Accelerator
Accelerate heavy-ion beam
SystemPerformance Criteria
Measure FRIB driver linac Argon-36 beam with energy larger than
200 MeV per nucleon and a beam current larger than 20 pico nanoamps (pnA).
Experimental Produce a fast rare isotope beam ofDetect and identify Selenium-84 isotopes in FRIB fragment
Systems
Selenium-84
separator focal plane
Stop a fast rare isotope beam in gas
Measure reaccelerated rare isotope beam energy larger than 3 MeV
and reaccelerate a rare isotope beam per nucleon
Conventional Linac tunnel
Beneficial occupancy of subterranean tunnel structure of
Facilities
approximately 500 feet path length (minimum) to house FRIB driver
linear accelerator
Cryogenic helium liquefier plant—
Beneficial occupancy of the cryogenic helium liquefier plantbuilding and equipmentbuilding and installation of the helium liquefier plant complete
Target area
Beneficial occupancy of target area and one beam line installed andready for commissioningaBecause this project is funded with operating dollars through a financial assistance award, its baseline is categorizedthrough 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.
b
The requested FY 2018 funding is less than the planned baseline profile. This will result in a re-baselining effort that will
likely increase the project’s cost, schedule, and risks.
Science/Nuclear Physics/
14-SC-50, Facility for Rare Isotope Beams (FRIB)FY 2018 Congressional Budget Justification274

As contractually required under the financial assistance award agreement, FRIB is being conducted in accordance with the
project management principles in DOE O 413.3B, Program and Project Management for the Acquisition of Capital Assets,
and all appropriate project management requirements have been met.
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 (ECR) ion sources andaccelerated up to a minimum energy of 200 MeV per nucleon by a superconducting linear accelerator capable of delivering
400 kW of beam power at full energy. Secondary beams of rare isotopes are produced “in-flight” and separated fromunwanted fragments by magnetic analysis. These rare isotope beams are delivered to experimental areas or stopped in asuite of ion-stopping stations where they can be extracted and used for experiments at low energy, or reaccelerated for
astrophysical experiments or for nuclear structure experiments. The project includes the necessary infrastructure andsupport facilities for operations and the 1,000-person user community.
5.

Financial Schedule a
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 2019a

7,000
12,00010,00022,00022,00055,00090,000100,000
100,000
80,00075,000(dollars in thousands)
Obligations
7,000
12,00010,00022,00022,00055,00090,000100,000
100,000
80,00075,000Costs b4,164
13,283
11,553
18,91920,67748,36979,266
121,769
100,000
80,00075,000The funding profile represents DOE’s requested portion, which is less than the current baselined TPC. This will be updated
once a re-baseline effort is complete.
b
Costs through FY 2016 reflect actual costs; costs for FY 2017 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 acontrol point in the FY 2014 appropriation. Funding for the project in FY 2013 and prior years was provided within the Low
Energy subprogram.
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14-SC-50, Facility for Rare Isotope Beams (FRIB)FY 2018 Congressional Budget Justification275

FY 2020
FY 2021
FY 2022
Total, DOE TPC
6.

(dollars in thousands)
Appropriations
Obligations
57,20057,200
5,300
5,300
0
0
635,500
635,500

Costs b47,20010,3005,000
635,500 a

Details of Project Cost Estimate b
Current Total
Estimate(dollars in thousands)
Previous Total Original Validated
Estimate
Baseline

Design & ConstructionaManagement and Support
Conventional Facilities
Accelerator Systems
Experimental Systems
Contingency (DOE Held)
Total, Design & Construction

39,268208,201
282,974
67,175
58,132655,750

40,817
191,302258,465
58,259106,907655,750

35,400165,300
241,400
55,000158,650
655,750

Other Costs
Conceptual Design/Tech R&D/NEPA
Pre-ops/Commissioning/SparesContingency (DOE Held)
Total, Other Costs

24,64034,658
14,952
74,25024,64034,995
14,61574,25024,60035,50014,15074,250Total, TPC
Less MSU Cost ShareTotal, DOE TPC
Total, Contingency (DOE Held)730,000-94,500
635,500
73,084730,000-94,500
635,500
121,522730,000-94,500
635,500
172,800

Due to the reduced project funding request in FY 2018 from the baseline profile, project costs are expected to increasebeyond the current TPC estimate. The completion date may also be impacted.
bThis section shows a breakdown of the total project cost of $730,000,000 as of 02/28/2017, which includes MSU’s costshare. The scope of work is not pre-assigned to DOE or MSU funds.
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14-SC-50, Facility for Rare Isotope Beams (FRIB)FY 2018 Congressional Budget Justification
276

7.

Schedule of Appropriation Requests a

FY 2011
FY 2012FY 2013
FY 2014
FY 2015 PB b
FY 2016
FY 2017
FY 2018
8.

TPC
TPC
TPC
TPC
TPC
TPC
TPC
TPC

Prior
Years
29,00059,00073,000128,000
218,000
218,000
218,000
218,000($K)
FY 2016
TBD
TBD
TBD
TBD
100,000
100,000
100,000
100,000

FY 2017
TBD
TBD
TBD
TBD
100,000
100,000
100,000
100,000

FY 2018
TBD
TBD
TBD
TBD
97,20097,20097,20080,000FY 2019
TBD
TBD
TBD
TBD
75,00075,00075,00075,000FY 2020
TBD
TBD
TBD
TBD
40,00040,00040,00057,200FY 2021
TBD
TBD
TBD
TBD
5,300
5,300
5,300
5,300

Outyears
TBD
TBD
TBD
TBD
0
0
0
0

Total
TBD
TBD
TBD
TBD
635,500
635,500
635,500
635,500 c

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

3Q FY 2022
20
NA d

(Related Funding requirements)

Operations e
9.

(dollars in thousands)
Annual Costs
Life Cycle Costs
Current Total
Previous Total
Current Total
Previous Total
Estimate
Estimate
Estimate
Estimate
90,00090,0001,800,000 f
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.
10. 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 ofa

The funding profile represents DOE’s portion of the baselined TPC to be provided through federal appropriations.
The Performance Baseline was approved August 1, 2013. 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 projectprior to that time was provided within the Low Energy subprogram.
c
Due to the reduced project funding request in FY 2018 from the baseline profile, it is likely that project costs will increasebeyond the current TPC estimate.
d
Per the financial assistance award agreement, MSU is responsible for D&D.
e
Utilities, maintenance, and repair costs are included within the Operations amounts.
f
The total operations and maintenance (O&M) is estimated at an average annual cost of approximately $90,000,000(including escalation) over 20 years.
Science/Nuclear Physics/
14-SC-50, Facility for Rare Isotope Beams (FRIB)FY 2018 Congressional Budget Justification277bunique 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.

Science/Nuclear Physics/
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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 of science, technology, engineering, and mathematics (STEM) workers. This is accomplished through support ofundergraduate 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 high-school science
competitions culminating in the National Science Bowl® in Washington, D.C. These investments support the development of
the next generation of scientists and engineers to support the DOE mission, administer programs, and conduct research.
WDTS activities rely significantly on DOE’s 17 laboratories and facilities, which employ more than 30,000 workers with STEM
backgrounds. The DOE laboratory system provides access to leading scientists; world-class scientific user facilities andinstrumentation; and large-scale, multidisciplinary research programs unavailable in universities or industry. WDTS leverages
these assets to develop and train post-secondary students and educators in support of the DOE mission. WDTS experiencebased STEM learning opportunity programs enable highly qualified applicants to conduct research at DOE laboratories andfacilities in support of the workforce mission.
Highlights of the FY 2018 Budget Request
The FY 2018 Budget Request prioritizes funding for programs that place highly qualified applicants in authentic STEM
learning and training experience opportunities 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 andmathematics. 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 national competitiveness.
Description
Activities at the DOE Laboratories
WDTS supports activities such as the Science Undergraduate Laboratory Internships program, the Community College
Internships program, and the Office of Science (SC) Graduate Student Research Program. One of the primary goals of these
programs is to encourage 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 alignedwith the STEM workforce training recommendations of the Federal advisory committees of SC’s six research program offices
and the strategic objectives of the National Science and Technology Council Committee on STEM Education (CoSTEM)
Federal STEM Education 5-Year Strategic Plan. a
The Science Undergraduate Laboratory Internships (SULI) program places students from 2 and 4 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 SCGSRa

https://www.whitehouse.gov/sites/whitehouse.gov/files/ostp/Federal_STEM_Strategic_Plan.pdf

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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 pursuing
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.
Albert Einstein Distinguished Educator Fellowship
The Albert Einstein Distinguished Educator Fellowship Act of 1994 charged the Department of Energy (DOE) withadministering a fellowship program for elementary and secondary school mathematics and science teachers that focused onbringing teachers’ real-world expertise to government to help inform federal STEM education programs. Selected teachers
spent eleven months in a Federal agency or a Congressional office. WDTS has managed the Albert Einstein Distinguished
Educator Fellowship (AEF) Program for the Federal government. In FY 2018, no funds are requested for the AEF Program as
WDTS focuses its efforts on those programs that directly advance DOE and SC workforce training needs. The final cohort of
AEF participants, those selected for the 2017 – 2018 Fellowship Year beginning September 1, 2017, is based upon the
FY 2017 application and placement process, with this cohort being fully supported by funds obligated in FY 2017. DOE will
work with other participating agencies to identify ways in which the original goals of the program can be addressed throughother means.
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 275,000 students have participated in the National Science Bowl® throughout its 27-year
history, and it is one of the nation’s largest science competitions.
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, andsponsors the NSB Finals competition.
In FY 2017, more than 5,100 middle school students from 651 schools, and approximately 9,000 high school students from
1,191 schools, participated in the regional competitions, with 48 middle school and 63 high school teams (552 students)
participating in the National Finals in Washington, D.C. All 50 U.S. States, District of Columbia, and Puerto Rico wererepresented 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), featuring a live web-streaming broadcast of the event.
The DOE National Science Bowl® is aligned with the CoSTEM Federal STEM Education 5-Year Strategic Plan priority
investment area for STEM engagement.
Technology Development and On-Line Application
This activity modernizes on-line systems used to manage applications and review, data collection, and evaluation for WDTS
programs. A project to develop, build, and launch new online application and program support systems is progressing to
improve program management, execution, and evaluation by WDTS program staff and by DOE laboratory staff. An importantcomponent of the systems is the ability to support regular evidence-based evaluation of program performance and impact.
A phased approach is being used to develop and build these systems. The final phase involves the development of ananalytics and visualization portal, using a data-dictionary and data warehouse of participant information, with an embedded
commercially available business intelligence software tool as its analysis and visualization engine. Using this toolset, ascheduled portfolio of reports will be made available to DOE host laboratories to inform them of their demographic trends
and program outcomes. WDTS will use this toolset as part of a data-driven programmatic impact evaluation process,providing means to measure progress and optimize program management.
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Evaluation Studies
The Evaluation Studies activity supports work to assess whether WDTS programs meet established goals through the use ofcollection and analysis of data and other materials, including pre- and post-participation questionnaires, participantdeliverables, notable outcomes (publications, presentations, patents, etc.), and longitudinal participant tracking. In FY 2014,
evaluation plans for each WDTS activity were completed. In FY 2015, a data management and analysis plan was completed,with a set of technical requirements developed. In FY 2016, the technical requirements were used to define a project plan,and begin its execution to develop and implement a data-driven analysis, visualization, and reporting toolset.
In FY 2014, SC completed a study to identify disciplines in which significantly greater emphasis in workforce training at thegraduate student or postdoc levels is necessary to address gaps in current and future SC mission needs. In this study, each
Office of Science Federal Advisory Committee, each Associate Director, and each Laboratory Director were asked to provide
expert assessment on the following: (i) STEM disciplines not well represented in academic curricula; (ii) STEM disciplines inhigh demand, nationally and/or internationally, resulting in difficulties in recruitment and retention at U.S. universities andat DOE laboratories; (iii) STEM disciplines for which the DOE laboratories may play a role in providing needed workforce
development; and (iv) recommendations for programs at the graduate student or postdoc levels that can address disciplinespecific workforce development needs. The outcomes of this study now guide prioritization of eligible SCGSR programmatic
research areas and inform WDTS strategic planning. More broadly, the outcomes of this study have identified for SC bothprogram-specific workforce development needs and crosscutting workforce development needs in areas such as computing
and computational sciences. Based upon the guiding principles, the availability of relevant research areas for SCGSR isreviewed and updated to address emerging mission workforce area needs.
Evaluation Studies is aligned with the GPRA Modernization Act of 2010, which emphasizes the need for federal programs(including STEM education programs) to demonstrate their effectiveness through rigorous evidence-based evaluation. WDTS
works cooperatively with SC programs, other DOE programs, and other federal agencies through CoSTEM to share bestpractices for STEM program evaluation to ensure the implementation of evaluation processes appropriate to the nature andscale of the program effort.
Outreach
WDTS engages in outreach activities, some in cooperation with other DOE program offices and select federal agencies, towidely publicize opportunities for student internships, SC Graduate Student Research program, the Visiting Faculty Program(VFP), and the Albert Einstein Distinguished Educator Program. The WDTS website a is the most widely used tool forprospective program participants to obtain 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. In FY 2016, a pilot
proposal solicitation from DOE host laboratories and facilities was issued to develop and execute outreach activities aimed
at recruiting a more diverse spectrum of applicants to WDTS laboratory-based programs. Eligible laboratories and facilities
are those that hosted FY 2016 participants in the SULI, CCI, VFP, and/or SCGSR programs.
The Laboratory Equipment Donation Program is consolidated under Outreach, and it continues to provide excess laboratory
equipment to faculty at non-profit research institutions and post-secondary educational institutions. Through the Energy
Asset Disposal System, DOE sites identify excess equipment and colleges and universities can then search for equipment ofinterest 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.

ahttps://science.energy.gov/wdts

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Workforce Development for Teachers and Scientists
Funding ($K)

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
OutreachLaboratory Equipment Donation Program
Total, Workforce Development for Teachers and Scientists

FY 2016 Enacted

FY 2017 Annualized
CR a

FY 2018 Request

FY 2018 vs FY 2016

8,300
1,000
2,500
1,700
13,500
1,200
2,900
750
600
500
50
19,500

—
—
—
—
—
—
—
—
—
—
—
19,463

7,900
1,000
2,000
0
10,900
0
2,400
300
200
200
0
14,000-400
0-500-1,700-2,600-1,200
-500
-450
-400
-300
-50
-5,500a

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above, below that level, a dash (-) is shown.
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FY 2018 Congressional Budget Justification

Program Accomplishments
Science Undergraduate Laboratory Internships (SULI) - In FY 2016, of the 800 participants, more than 45% worked on SC
supported research projects, which is by far the largest DOE program office funded research project representation. While
all participants work on DOE mission relevant activities, this outcome supports WDTS SC research mission relevancy, andillustrates willingness of SC principal investigators to serve as mentors.
Community College Internships (CCI) – In FY 2016, semester terms were fully adopted to increase availability of theopportunity, now with an option for a “flex-schedule” where the equivalent of 400 hours spent on-site at a host lab can be
spread over a 16 week duration term. This option is available at the discretion of host labs, and is designed to allow
participants to stay enrolled in coursework while participating in the program. Under a flex-schedule, weekly stipends are
based on a 40 hours per week payment, prorated accordingly, with any housing allowance being based upon a 10-weekduration appointment. In FY 2016, 18 participants were from Minority Serving Institutions.
Office of Science Graduate Student Research Program (SCGSR) – In FY 2016, the SCGSR Program supported 110
supplemental awards to graduate students to conduct their thesis research at 13 DOE national laboratories. Over two thirdsof the awards support project terms ranging from 6-12 months. The SCGSR Program attracts graduate student applicants at
various stages in their graduate education and from a broad range of graduate schools across the U.S. Awards were made tograduate students from 60 different universities who will conduct graduate research in areas that span the research
missions of the six Office of Science program offices. A total of 9 new research areas were added, with 4 from the Office of
Biological and Environmental Research and 5 from the Office of Basic Energy Sciences.
Visiting Faculty Program (VFP) – In FY 2016, 30 faculty participants were from Minority Serving Institutions (MSIs), with 15
from Hispanic Serving Institutions (HSIs), 13 from Historically Black Colleges and Universities (HBCUs), and 2 from
Predominately Black Institutions (PBIs). Additionally, 15 VFP student participants were from MSIs.
Albert Einstein Distinguished Educator Fellowship (AEF) – Two of six WDTS sponsored AEF participants held WDTS officeappointments, and in addition to engaging in WDTS programmatic activities, these two participants, as nationally recognized
STEM educators, also worked directly with Brookhaven National Laboratory, Idaho National Laboratory, and the National
Renewable Energy Laboratory on portions of their STEM education outreach activities. Fellows spent time onsite, with theopportunities being determined by mutual agreement matching interest and opportunity type with expertise.
The National Science Bowl® – The NSB’s Science Day is a cornerstone event, opening the finals competition with a traditionof attracting prominent speakers, including outstanding researchers from DOE laboratories, who are able to connect
workplace experience and relevancy to these students’ science, technology, engineering, and math (STEM) area studies.
Having Science Day speakers from across the DOE laboratory complex is particularly relevant from a workforce mission
perspective, as this is often the first time that these students become aware of DOE mission research, the its national
laboratory complex. In its FY 2016 Science Day, students heard from plenary speaker Dr. Eric Brown, Director of Watson
Technologies at the IBM Thomas J. Watson Research Center, as well as from leading researchers at DOE laboratories, whoshowcased recent developments from the fast-paced fields of high-performance computing and data networks, simulation,modeling, visualization, and data mining.
To enhance the students’ learning opportunities, virtual experience kiosks were updated and used at the National 4H Centerin Chevy Chase, Maryland, home of the NSB’s finals competition, allowing students to self-explore and learn about scientificapplications and research at DOE’s national laboratories. Also demonstrated at the 4H Center was “Tiny Titan,” aninteractive educational display computer that visually shows the power of multicore processing and parallel architectures,
both of which help form the technological basis for all high-performance computers in use today.
The live attendance at the championship finals was its greatest ever, estimated at 1,100.
Technology Development and On-Line Application – FY 2016 updates to the WDTS Application and Review System (WARS)
included an instant SMS-text based user account self-reset feature, as well as improved embedded tooltips and FAQs forclient self-help while navigating WARS. WDTS also directed the development and implementation of automated messaging
functionalities from within WARS so that SULI, CCI, and VFP program solicitation opening announcements are routinely sent
Science/Workforce Development for
Teachers and Scientists
FY 2018 Congressional Budget Justification283

to all eligible College/University Career Placement Offices/Centers. WDTS also initiated a project to develop and implement
a data-dictionary/data-warehouse based analytics and visualization toolset supporting data-driven program evaluation. To
date, WDTS has directed the development of the relational database and data dictionary, led the evaluation of businessintelligence tools, and based upon this evaluation, directed the selection and implementation of a server-side solution using
a commercial software package QlikSense (QlikTech Inc., Radnor, PA). WDTS has completed its definition of the technicalrequirements for development of a related evaluation toolset portal.
Outreach - DOE host laboratories and facilities issued a pilot proposal solicitation to develop and execute outreach activities
aimed at recruiting a more diverse applicant pool to WDTS laboratory-based programs. A merit review based selection
identified ten outreach proposals for funding in FY 2016, with proposed activities taking place during FY 2017. These
proposals all target recruitment of individuals traditionally underrepresented in STEM and address needs to increase theapplicant pool diversity for one or more of the WDTS programs currently implemented at DOE host laboratories andfacilities. Based upon outcomes, this pilot will be used to establish a baseline for future outreach activity solicitations.

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FY 2018 Congressional Budget Justification

Activities and Explanation of Changes

Workforce Development for Teachers and Scientists

FY 2016 Enacted
Activities at the DOE Laboratories $13,500,000
Science Undergraduate Laboratory Internships($8,300,000)

FY 2018 Request$10,900,000
Science Undergraduate Laboratory Internships($7,900,000)

Explanation of Changes
FY 2018 vs FY 2016$-2,600,000
Science Undergraduate Laboratory Internships($-400,000)

SULI supported approximately 800 students, including SULI will support approximately 750 students.
support for an additional 45 fall and spring semester
students.
Community College Internships ($1,000,000)
Community College Internships ($1,000,000)

Funding decrease requires a reduction in scope. The
number of participants are decreased by 50.

CCI supported approximately 100 students.
Graduate Student Research Program ($2,500,000)

CCI will support approximately 100 students.
Graduate Student Research Program ($2,000,000)

No change.
Graduate Student Research Program ($-500,000)

The SCGSR program supported approximately 110
graduate students for periods of 3 months to 1 year to
conduct a part of their thesis research at DOE
laboratories. Targeted priority research areas were
informed by SC’s workforce training needs studies.
Visiting Faculty Program ($1,700,000)
VFP supported approximately 65 faculty and
40 students.
Albert Einstein Distinguished Educator Fellowship$1,200,000
The FY 2016 Request supported 6 Fellows.

The SCGSR program will support approximately 85
graduate students for periods of 3 months to 1 year to
conduct a part of their thesis research at DOE
laboratories. Targeted priority research areas will be
informed by SC’s workforce training needs studies.
Visiting Faculty Program ($0)
Program ends in FY 2018.

Funding decrease requires a reduction in scope. The
number of participants are decreased by 25.

$0Community College Internships ($0)

Visiting Faculty Program ($-1,700,000)
No additional participants will be supported in
FY 2018.
$-1,200,000

National Science Bowl $2,900,000

The participants of the 2017-2018 AEF Fellowship Year The AEF Program ends in FY 2018.
are supported by FY 2017 appropriations. No
additional participants will be supported in FY 2018.
$2,400,000$-500,000

WDTS sponsored the finals competition and provided
central management of 116 regional events, involving
14,300 students from all fifty states, the District ofColumbia, Puerto Rico, and the U.S. Virgin Islands.

WDTS will sponsor the finals competition and provide
central management of 116 regional events, involving
14,300 students from all fifty states, the District ofColumbia, Puerto Rico, and the U.S. Virgin Islands.

Science/Workforce Development for
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285

Funding decreases by $500,000, slowing development
and renewal of NSB question sets, decreasing
numbers of volunteers able to travel to the NSB finals,
and curtailing the scope and number of participantenrichment activities at the NSB finals.

FY 2018 Congressional Budget Justification

FY 2016 Enacted

Explanation of Changes
FY 2018 vs FY 2016

FY 2018 Request

Technology Development and On-line Application$300,000
Systems $750,000
Funding continued development and operation of the Funding will continue development and operation of
on-line systems.
the on-line systems.

$-450,000

Laboratory Equipment Donation Program $50,000
Funding supported the ongoing program.

$-50,000
No impact.

Funding decreases by $450,000, slowing developmentof some elements while maintaining baseline
operations at programmatically required levels ofservice.
Evaluation $600,000$200,000$-400,000
FY 2016 funding continued support for evaluation
Funding will continue support for evaluation activities, Funding decreases by $400,000, slowing development
activities, including data archiving, curation, andincluding data archiving, curation, and analyses.
and deployment of some elements while maintaining
analyses.
baseline operations at programmatically required
levels of service.
Outreach $500,000$200,000$-300,000
Funding supported a public web portal providing
Funding will support outreach activities to theFunding decreases by $300,000, curtailing the scopeaccess to the inventory of federally sponsored STEM
scientific community targeting Office of Scienceand number of supported WDTS outreach activities attraining and workforce activities and opportunities.
mission-driven disciplinary workforce needs in the
DOE host labs, while maintaining other ongoing onnext 5 to 10 years, including additional outreachline/virtual based programmatic outreach activities.
Funding supported outreach activities to the scientific activity proposal solicitations from DOE host labs andcommunity targeting Office of Science mission-driven facilities.
disciplinary workforce needs in the next 5 to 10 years. Funding will also support Laboratory Education
Equipment Donation Program (LEDP) activities.

Science/Workforce Development for
Teachers and Scientists$0
Program is funded in FY 2018 under the Outreachprogram.

286

FY 2018 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 andenvironmentally 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 laboratories conduct a rigorous and consistent analysis 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 Campus Strategy identifies activities and infrastructure investments (e.g., Line-Item Construction, General
Plant Projects [GPPs]) required to achieve the core capabilities and scientific vision for that laboratory. SC leadership uses
these Campus Strategies to establish the corporate facilities and infrastructure priorities and as the basis for SLI Budget
Requests.
Thorough analysis of SC’s physical assets reveals a continued need to focus on our deferred maintenance backlog as well thenumber of inadequate facilities and core infrastructure across SC laboratory campuses. In FY 2016, SC invested over $475
million dollars in needed maintenance, repair, and upgrades of general purpose infrastructure. These investments werefrom a variety of funding sources, including federal appropriations for line-item construction projects and GPPs, as well as
overhead-funded investments in institutional GPP 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 investmentsthat focus on laboratory core infrastructure and operations.
Highlights of the FY 2018 Budget Request
Ongoing projects that will provide new laboratory buildings, renovated facilities, and upgraded utilities are proceeding
towards on-time completion within budget. While significant improvements to SC infrastructure have been made, it isimportant to maintain a strong level of investment and continue making improvements across the SC national laboratorycomplex.
The FY 2018 Request includes funding for the Materials Design Laboratory project at Argonne National Laboratory (ANL) andthe Integrative Genomics Building project at Lawrence Berkeley National Laboratory (LBNL), both currently in construction.
In addition, funding is requested for the Core Facility Revitalization project at Brookhaven National Laboratory (BNL) which
will provide the scientific computing infrastructure, power, cooling, and space to support the vast streams of data from theLarge Hadron Collider as well as on-site user facilities. The Request also includes funding for the Integrated Engineering
Research Center at Fermi National Accelerator Laboratory (FNAL), which will bring together researchers by collocating
engineers, scientists and technical staff from old, inadequate, locations across the site to the Central Campus. Lastly, funding
is requested for the Energy Sciences Capability project at Pacific Northwest National Laboratory (PNNL), which will provide ascience nexus in the central campus with collaborative laboratories, offices, meeting rooms, interaction areas, state-of-theart data visualization and support facilities.

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FY 2018 Congressional Budget Justification

Science Laboratories Infrastructure
Funding ($K)
44,690FY 2017 Annualized
CR a44,605------23,910
25,00020,00068,910113,600------23,865
24,952
19,962
68,779113,384

FY 2016 Enacted
Infrastructure Support
Construction
Energy Sciences Capability at PNNL (18-SC-71)
Integrated Engineering Research Center at FNAL (17-SC-71)
Core Facility Revitalization at BNL (17-SC-73)
Materials Design Laboratory at ANL (15-SC-76)
Photon Science Laboratory Building at SLAC (15-SC-77)
Integrative Genomics Building at LBNL (15-SC-78)
Total, Construction
Total, Science Laboratories Infrastructure

FY 2018 Request

FY 2018 vs FY 2016

22,900-21,790

1,000
1,500
1,500
24,500024,80053,30076,200+1,000+1,500+1,500+590-25,000+4,800-15,610-37,400a

The FY 2017 Annualized CR amounts reflect the P.L 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above, below that, a dash (-) is shown. The FY 2017 Annualized Level for SLI is higher than required for the approved project plans for three ongoingprojects: the Materials Design Laboratory at ANL, the Photon Science Laboratory Building at SLAC, and the Integrative Genomics Building at LBNL. SC intends to provide
only the approved funding profile for each project.

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FY 2018 Congressional Budget Justification

Science Laboratories Infrastructure
Explanation of Major Changes ($K)

FY 2018 vs
FY 2016

Science Laboratories Infrastructure
Infrastructure Support: Funding continues to support PILT, general facility, and infrastructure support at NBL, as well as landlord responsibilities at
the Oak Ridge Reservation. Funding also continues to support nuclear facilities at Oak Ridge National Laboratory (ORNL). Funding to addressneeds in core general purpose infrastructure at laboratories other than NBL is reduced in FY 2018.
Construction: Funding supports line-item projects at Argonne National Laboratory, Lawrence Berkeley National Laboratory, Fermi National
Accelerator Laboratory, Brookhaven National Laboratory, and Pacific Northwest National Laboratory in FY 2018. One project received final year
funding in FY 2017.
Total, Science Laboratories Infrastructure

Science/Science Laboratories Infrastructure289-21,790-15,610-37,400

FY 2018 Congressional Budget Justification

Program Accomplishments
Since FY 2006, the SLI program has invested over $770 million in infrastructure and has successfully completed eleven lineitem projects while garnering eight DOE Secretary’s Achievement Awards. These investments occurred following an FY 2006
SC decision to initiate a major effort to modernize infrastructure across the SC-stewarded laboratory complex. With theseinvestments, the SLI program constructed more than 900,000 gross square feet (gsf) of new space and modernized nearly
400,000 gsf of existing space. As a result, an estimated 2,300 laboratory users and researchers now occupy newly
constructed and/or modernized buildings that better support scientific and technological innovation in a collaborativeenvironment.
The Science and User Support Building project at SLAC National Accelerator Laboratory (SLAC). This project, completed in
April of 2015, provides SLAC with 62,000 gsf of new office spaces, conference rooms, a cafeteria, and auditorium. During
construction, this project provided nearly 100 construction jobs to the greater San Francisco Bay area. This building serves
as the main entrance to SLAC bringing together administrative services, visitors and users from across programmaticboundaries in alignment with the Laboratory’s multi-program mission.
Removal of Hazard Category 3 Materials from the New Brunswick Laboratory (NBL). The SLI program successfullytransferred nuclear material from NBL at the ANL to bring the facility to a state below Hazard Category 3. This reduces risk
and achieves a compliant safety posture. The SLI program continues to transfer the remaining nuclear materials from NBL sothe building can eventually be renovated and re-purposed.
The Photon Science Laboratory Building (SLAC). This project represents a partnership between Stanford University and theDepartment of Energy to mutually benefit and reduce the capital investment by both parties. In November 2016, Stanford
University completed the construction of the building shell and officially turned over the building to DOE. In March 2016,
DOE began constructing the fit-out of a portion of the building shell for SLAC use, which will provide a combination ofmodernized office and laboratory space to enhance science collaboration, productivity, efficiency, and functionality tosupport simulation, theory and modeling, and materials synthesis and characterization at SLAC.
Utility Infrastructure Upgrades and Modernization at Fermi National Accelerator Laboratory (FNAL) and Thomas Jefferson
National Accelerator Facility (TJNAF). The SLI program is upgrading and replacing inadequate core infrastructure critical tomission accomplishment at FNAL and TJNAF. This includes the replacement of 40+ year old industrial cooling water and highvoltage electrical systems that reached the end of useful life. In addition, inadequate electrical distribution feeders andcooling tower cells were replaced and communication pathways were upgraded and expanded. These projects are over 90%
complete, progressing ahead of schedule and on budget. At peak construction, these projects provided over 100 jobs.
Core General Plant Project upgrades across SC Laboratories. The SLI program funded a suite of investments in core
infrastructure whose efficiency and reliability is critical to the success of SC missions. To date, SLI funded the replacement ofnine 12kV -480 V substations (K-subs) serving the SLAC linac and upgraded approximately 1.5 miles of high voltage electricalcable and associated substation equipment at ANL. At FNAL, SLI funded renovations to Wilson Hall that will provide forincreased collaboration space on 2 of the 15 floors in the lab’s largest building and correct deficiencies on the building
exterior.

Science/Science Laboratories Infrastructure290

FY 2018 Congressional Budget Justification

Science Laboratories Infrastructure
Infrastructure Support
Description
This subprogram funds infrastructure support investments that focus on laboratory core infrastructure and operations.
Investments in core infrastructure (e.g., utility systems, site-wide services, and general-purpose facilities) are an ongoingneed that ensures facilities and utilities are upgraded when they approach end-of-life, systems are improved to increase
reliability and performance, and excess space is removed so that it no longer requires operation and maintenance funding.
Without this type of investment, SC laboratories would not be able to keep up with the pace of needed upgrades andrepairs. Activities include GPP 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.
Funding ($K)
FY 2017
FY 2016 Enacted
Annualized CR a
Infrastructure Support
Facilities and Infrastructure
Nuclear Operations
Oak Ridge Landlord
Payments in Lieu of Taxes
Total, Infrastructure Support

24,80012,0006,177
1,713
44,69024,753
11,9776,165
1,710
44,605FY 2018 Request

FY 2018 vs FY 2016

5,105
10,0006,082
1,713
22,900-19,695-2,000-95
0-21,790

Facilities and InfrastructureThis subprogram 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 research programs to review investment needs and select the highest priority activities to be includedin the Budget Request.
This subprogram also supports general facilities and infrastructure support, as well as de-inventory, removal, and transfer ofnuclear material in the NBL on the site of ANL.
Nuclear Operations
To support critical DOE nuclear operations, this funding is provided 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 ensure the facilities meet mission needs and safety
standards.
Oak Ridge Landlord
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.
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 ita

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. Theseamounts are shown only at the congressional control level and above, below that level, a dash (-) is shown.
Science/Science Laboratories Infrastructure291

FY 2018 Congressional Budget Justification

is owned by the United States and operated by the Department. Under this authorization, PILT is provided to communities
around the ANL and BNL to compensate for lost tax revenues for land removed from local tax rolls. PILT payments arenegotiated between the Department and local governments based on land values and tax rates.

Science/Science Laboratories Infrastructure292

FY 2018 Congressional Budget Justification

Activities and Explanation of Changes

Science Laboratories Infrastructure
Infrastructure Support
Explanation of Changes
FY 2018 vs FY 2016

FY 2016 Enacted

FY 2018 Request

Infrastructure Support $44,690,000
Facilities and Infrastructure $24,800,000
FY 2016 funding provided general facility andinfrastructure support at NBL, DOE Office of Scientificand Technical Information (OSTI) and the Oak Ridge
Institute for Science and Education (ORISE) as well as
critical core infrastructure investments for upgrades tofacilities and utility systems at SLAC, ANL, and FNAL.
Nuclear Operations $12,000,000
FY 2016 funding supported the management of
ORNL’s nuclear facilities to current expectations, inaccordance with federal regulations and DOE
Directives.
Oak Ridge Landlord $6,177,000
FY 2016 funding supported stewardship needs acrossthe Oak Ridge Reservation as well as PILT to Oak Ridge
communities.

$22,900,000$5,105,000
The FY 2018 Request continues to support deinventory and removal of nuclear material at the NBL
Building at ANL.

-$21,790,000-$19,695,000
Funding decreases as a result of completed fundingfor core infrastructure investments. No funding for
OSTI and ORISE. No new investments are funded thisyear at any SC site.

$10,000,000
The FY 2018 Request continues to support critical
nuclear operations and provides funding to manage
ORNL’s nuclear facilities.

-$2,000,000
Funding to support ORNL’s nuclear facilities decreases.

$6,082,000
The FY 2018 Request provides funding to support
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.
$1,713,000
The FY 2018 Request provides funding for PILT
payments to communities around ANL and BNL.

-$95,000
Funding decreases slightly as a result of efficiencies.

Payments in Lieu of Taxes $1,713,000
FY 2016 funding supported PILT payments tocommunities around ANL and BNL.

Science/Science Laboratories Infrastructure

293$0
Funding to support PILT payments remains the sameas prior years.

FY 2018 Congressional Budget Justification

294

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 2018 Budget Request includes funding for line-item projects at ANL, Lawrence Berkeley National Laboratory (LBNL),FNAL, BNL, and PNNL.
Energy Sciences Capability at PNNL (18-SC-71)
The Chemical and Molecular Sciences capability forms the basis for PNNL’s fundamental science programs in catalysis
science, condensed phase and interfacial molecular science, computational and theoretical chemistry, geosciences, andseparations and analysis. This core capability also has strong ties to the Condensed Matter Physics and Materials Science,
Computational Science, and the Applied Mathematics core capabilities. Exercise of this core capability is hampered by 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; and limited
collaboration space for “point of research work” for collaborators and strategic partners. Closing these gaps will provide formission-appropriate utility and infrastructure support systems for PNNL research. It will also significantly improve
collaboration among researchers, both on-site and remotely.
The most recent DOE O 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on December 12, 2016. This
project has a total project cost range of $73,000,000 to $99,000,000. This cost range encompasses the most feasible
preliminary alternatives. The preliminary total project cost is estimated to be $93,000,000. The cost, scope, and schedule for
executing the project will be determined at CD-2.
FY 2018 funds support Project Engineering and Design activities.
Preliminary Schedule
CD-0

CD-1

CD-2

CD-3

CD-4

12/12/2016

4Q FY 2018

4Q FY 2019

4Q FY 2020

4Q FY 2025

Preliminary Cost Estimates(Dollars in Thousands)
FY 2018
Appropriations
Design$1,000Construction
0
Other Project Costs
0
Preliminary Total Project Cost
$1,000Total
Appropriations$9,000$81,000$3,000$93,000

Integrated Engineering Research Center FNAL (17-SC-71)
The 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.
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 [FNAL] as host.” SC andthe High Energy Physics (HEP) program accepted the recommendations in the P5 report and are committed to implementing
a successful program based on this new vision.
Science/Science Laboratories Infrastructure295

FY 2018 Congressional Budget Justification

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, staff and their associated manufacturing, assembly, engineering, and technicalfacilities are scattered among three parts of the campus—the Silicon Detector Complex, the Village, and Wilson Hall. As aresult, 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. This research center will close existing capability and infrastructure gaps by reducing theoverall footprint of outdated facilities, and collocating engineering and associated research staff in a new or renovatedfacility near the central campus. This approach will complement the ongoing and planned 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 andengineering 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.
The most recent DOE O 413.3B approved Critical Decision (CD) is CD-1, Approve Alternative Selection and Cost Range, which
was approved on April 18, 2017. The estimated preliminary total project cost range for this project is $74,000,000 to$99,000,000. This range encompasses the most feasible preliminary alternatives. The preliminary total project cost is
estimated to be $86,000,000. The cost, scope, and schedule for executing the project will be determined at Critical Decision(CD)-2.
FY 2018 funding will support Project Engineering and Design activities.
CD-0
07/17/2015

CD-1
04/18/2017

Preliminary Schedule
CD-2
3Q FY 2019

Preliminary Cost Estimates(Dollars in Thousands)
FY 2018
Appropriations
Design$1,500Construction
0
Other Project Costs
0
Preliminary Total Project Cost
$1,500CD-3
3Q FY 2020

CD-4
2Q FY 2024

Total
Appropriations$10,000$75,000$1,000$86,000

Core Facility Revitalization at BNL (17-SC-73)
A significant amount of computation and data storage is currently conducted within the Relativistic Heavy Ion Collider (RHIC)ATLAS Computing Facility (RACF) that is located on the BNL campus. The RACF directly supports RHIC research operations
funded by Nuclear Physics (NP) and the US-ATLAS research operations funded by High Energy Physics (HEP). The RACF also
provides mid-scale computing support to other research programs funded by SC, research efforts funded by strategic
partners, and computationally-intensive research that indirectly supports the broader SC mission.
The data volume generated by the RHIC experiments and ATLAS is expected to increase three to six times over the next ten
years and will require proportional increases in computation and data storage capacities. Almost half of the current RACF
computing and data storage facility is expected become functionally obsolete and unable to accommodate future
generations of computation and data storage technologies over the next five to ten years. Therefore, the projectedcapability gaps in computing infrastructure are due to a combination of decreases due to degrading capacities and increases
in future requirements of mid-scale computing performed by RACF. Increases in computation and data storage will driveincreased requirements for space, power, and cooling of computing facilities. A mission need therefore exists to provide
sufficient mid-range computation and data storage capabilities to support to current and planned experiments using RHIC
and the ATLAS detectors, and potentially other programs.

Science/Science Laboratories Infrastructure296

FY 2018 Congressional Budget Justification

The most recent DOE O 413.3B Critical Decision (CD) is CD-1, Approve Alternative Selection and Cost Range, was approvedon April 18, 2017. This project has a total project cost range of $68,500,000 to $84,500,000. This cost range encompasses
the most feasible preliminary alternatives. The preliminary total project cost is estimated to be $74,850,000. The cost,scope, and schedule for executing the project will be determined at CD-2.
FY 2018 funds support Project Engineering and Design activities.
Preliminary Schedule
CD-0

CD-1

CD-2

CD-3

CD-4

09/10/2015

04/18/2017

3Q FY 2018

1Q FY 2019

4Q FY 2023

Preliminary Cost Estimates(Dollars in Thousands)
FY 2018
Appropriations
Design$1,500Construction
0
Other Project Costs
0
Preliminary Total Project Cost
$1,500Total
Appropriations$7,000$67,000$850$74,850

Materials Design Laboratory at ANL (15-SC-76)
The Materials Design Laboratory will support research in materials science in energy and a range of other fields. It will entail
constructing a new laboratory office building of approximately 100,000 gross square feet (gsf) in size and located adjacent to
the recently completed Energy Sciences Building. The existing research buildings at Argonne dedicated to this SC research
mission are all more than 40 years old, some as old as 55 years. These structures require frequent repair, resulting ininterruptions to research activities, and they are unable to meet modern standards for instruments requiring vibration,
electromagnetic, and/or thermal stability.
The most recent DOE O 413.3B approved Critical Decision (CD) is CD-3, Approve Start of Construction, on August 12, 2016.
The Total Project Cost (TPC) for this project is $96,000,000.
The FY 2018 Request for the Materials Design Laboratory Project is $24,500,000, which is $590,000 more than the FY 2016
Enacted level and consistent with the baseline funding profile. FY 2018 funds will be used for construction and project
management and support activities.
FY 2017 Milestones
Construction Continues

FY 2018 Milestones
Construction Continues

FY 2019–2022 Key Milestones
CD-4 – Approve Project Completion

Integrative Genomics Building at LBNL (15-SC-78)
The Integrative Genomics Building will allow the laboratory to relocate a significant fraction of the research and operations
currently located in commercially leased space onto the main LBNL campus. Portions of the biosciences program at LBNL arelocated off-site, away from the main laboratory, and dispersed across multiple locations up to 20 miles apart. Collocation ofthese programs will increase the synergy and efficiency of biosciences and other research at LBNL and will provide a stateof-the-art facility for biosciences research in a collaborative environment close to other key LBNL facilities and programs.
The most recent DOE O 413.3B approved Critical Decision (CD) is CD-3, Approve Start of Construction, which was approvedon October 7, 2016. The TPC for this project is $91,500,000.
FY 2018 Request for the Integrative Genomics Building is $24,800,000, which is $4,800,000 more than the FY 2016 Enacted
level. FY 2018 funds will be used for construction, project management, and support activities.
FY 2017 Milestones
CD-3 – Approve Start of Construction

FY 2018 Milestones
Construction Continues

Science/Science Laboratories Infrastructure297

FY 2019–2022 Key Milestones
CD-4 – Approve Project Completion
FY 2018 Congressional Budget Justification

Activities and Explanation of Changes
FY 2016 Enacted
Construction $68,910,000
Energy Sciences Capability at PNNL (18-SC-71) $0

Integrated Engineering Research Center at FNAL
(17-SC-71) $0

Core Facility Revitalization at BNL (17-SC-73) $0
Materials Design Laboratory at ANL (15-SC-76)$23,910,000
FY 2016 funding initiated construction of the project.
Photon Sciences Laboratory Building at SLAC
(15-SC-77) $25,000,000
FY 2016 funding supported ongoing construction of
the project.
Integrative Genomics Building at LBNL (15-SC-78)$20,000,000
FY 2016 funding supported construction of the
project.

Science/Science Laboratories Infrastructure

Science Laboratories Infrastructure
Explanation of Changes
FY 2018 vs FY 2016

FY 2018 Request$53,300,000$1,000,000
Funding in FY 2018 Request supports Project
Engineering and Design activities.
$1,500,000-$15,610,000+$1,000,000
Funding will support PED activities.

Funding in FY 2018 Request supports Project
Engineering and Design activities.
$1,500,000
Funding in FY 2018 Request supports Project
Engineering and Design activities.
$24,500,000

Funding will support PED activities.

Funding in FY 2018 Request supports on-going
construction of the project.
$0

Additional funding needed to support on-going
construction.
-$25,000,000

No new funding is requested. Project funding wascompleted in FY 2017.
$24,800,000

Project funding completed in FY 2017

Funding in FY 2018 Request supports completion of
construction of the project.

Additional funding needed to support on-going
construction.

298+$1,500,000+$1,500,000
Funding will support PED activities.
+$590,000+$4,800,000

FY 2018 Congressional Budget Justification

Science Laboratories Infrastructure
Capital Summary ($K)
Capital Operating Expense Summary
General Plants Projects
ALS HVAC System Upgrade at LBNL(TEC $9.0M)
Electrical Distribution Upgrades at SLAC (TEC
$10.0M)
Linac K-sub Remediation at SLAC(TEC $9.8M)
Wilson Hall Renovations at FNAL(TEC $9.0M)
Other GPP (TEC <$5M)
Total, Capital Operating Expenses

FY 2017
Annualized CR a

FY 2018 Request

FY 2018 vs
FY 2016

Total

Prior Years

FY 2016 Enacted

9,000

0

0

–

0

0

10,000

0

0

–

0

0

9,800

0

9,800

–

0

-9,800

9,000
n/a
n/a

0
n/a
n/a

9,000
4,500
23,300

–
–
–

0
0
0

-9,000-4,500-23,300

Construction Projects Summary ($K)
Total Project
Prior Years
Cost (TPC)
Energy Sciences Capability at PNNL (18-SC-71)
TEC
OPC c
TPC
Integrated Engineering Research Center at FNAL (17-SC-71)
TEC
OPCc
TPC
Core Facility Revitalization at BNL (17-SC-73)
TEC
OPCc
TPC

FY 2016
EnactedFY 2017
EnactedFY 2018
RequestFY 2018 vs
FY 2016

90,000 b
3,000
93,000b

0
0
0

0
0
0

0
0
0

1,000
1,000
2,000

+1,000+1,000+2,00085,000b2,000
87,000b

0
500
500

0
500
500

2,500
0
2,500

1,500
0
1,500

+1,500-500+1,00074,000b850
74,850b

0
0
0

0
850
850

1,800
0
1,800

1,500
0
1,500

+1,500
-850
+650

a

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above, below that level, a dash (-) is shown.
bThis project has not received CD-2 approval; therefore, preliminary cost estimates are shown for TEC and TPC.
c
Other Project Costs shown are funded through laboratory overhead.
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FY 2018 Congressional Budget Justification

Materials Design Laboratory at ANL (15-SC-76)
TEC
OPCc
TPC

Photon Sciences Laboratory Building at SLAC (15-SC-77)
TEC
OPC a
TPC
Integrative Genomics Building at LBNL (15-SC-78)
TEC
OPCb
TPC
Total, Construction
TEC
OPCb
TPC

a

Total Project
Cost (TPC)

Prior Years

FY 2016
EnactedFY 2017
EnactedFY 2018
RequestFY 2018 vs
FY 2016

95,0001,000
96,000

7,000
1,000
8,000

23,910023,91019,590019,59024,500024,500

+590
0
+590

Total Project
Cost(TPC)

Prior Years

FY 2016
EnactedFY 2017
EnactedFY 2018
RequestFY 2018 vs
FY 201655,0002,000
57,00010,000472
10,47225,000025,00020,000459
20,45900
0-25,000
0-25,000

90,0001,500
91,50012,0901,500
13,59020,0000
20,00019,5610
19,56124,800024,000+4,8000+4,800

n/a
n/a
n/a

n/a
n/a
n/a

68,9101,350
70,26063,451
459
63,91053,3001,000
54,300-15,610-350-15,960

Other Project Costs shown are funded through laboratory overhead.

Science/Science Laboratories Infrastructure300

FY 2018 Congressional Budget Justification

15-SC-76 Materials Design Laboratory
Argonne National Laboratory (ANL), Argonne, IL
Project is for Construction
1. Significant Changes and Summary
Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2017 CPDS and does not include a new start for FY 2018.
Summary
The most recent DOE O 413.3B approved Critical Decision (CD) is CD-3, Approve Start of Construction, which was approvedon August 12, 2016. The Total Estimated Cost (TEC) is $95,000,000. The Total Project Cost (TPC) for this project is$96,000,000.
A Federal Project Director with the appropriate certification level has been assigned to this project and has approved thisCPDS.
This project will provide new laboratory and office space to support basic energy-related materials science and engineeringresearch. Final Design was completed in May 2016 and the construction general contractor was issued a notice to proceedin December 2016.
FY 2018 funds will be used for construction and associated activities.
2. Critical Milestone History(fiscal quarter or date)
CD-0
FY 2015
08/27/2010
FY 201608/27/2010
FY 201708/27/2010
FY 2018PB 08/27/2010

Conceptual
DesignComplete
N/A
1QFY 201511/12/2014
11/12/2014

CD-1
4QFY 2014
2QFY 201501/30/2015
01/30/2015

CD-2
4QFY 2015
2QFY 2016
2QFY 201603/18/2016

Final Design
Complete
CD-3
4QFY 2016 3QFY 2016
3QFY 2017 1QFY 2017
3QFY 2017 1QFY 201705/09/2016 08/12/2016

D&D
Complete
N/A
N/A
N/A
N/A

CD-4
2QFY 2020
3QFY 2020
3QFY 2020
3Q FY 2021

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 (see section 9)
CD-4 – Approve Project Completion
PB – Indicates the Performance Baseline

FY 2015
FY 2016
FY 2017
FY 2018

Performance
Baseline
Validation
N/A
1QFY 2017
3QFY 201603/18/2016

Science/Science Laboratories Infrastructure/
15-SC-76, Materials Design Laboratory

301

FY 2018 Congressional Budget Justification

3. Project Cost History

FY 2015
FY 2016
FY 2017
FY 2018

TEC, Design
7,000
7,000
7,000
7,000

TEC,
Construction
88,00088,00088,00088,000(dollars in thousands)
OPC a
TEC, Total
Except D&D
OPC, D&D
95,0001,000
N/A
95,0001,000
N/A
95,0001,000
N/A
95,0001,000
N/A

OPC, Total
1,000
1,000
1,000
1,000

TPC
96,00096,00096,00096,0004. Project Scope and Justification
Scope
The scope of this project includes the design and construction of a Materials Design Laboratory building at least 97,000
gross square feet in size and located adjacent to the recently completed Energy Sciences Building.
The table below outlines the KPPs.
Key Performance Parameters
Description
Multi-story laboratory building

Threshold Value (Minimum)
97,000 gross square feet

Objective Value (Maximum)
130,000 gross square feet

Justification
The mission need of this project is to provide flexible and sustainable laboratory and office space needed to supportscientific theory/simulation, materials discovery, characterization, and application of new energy-related materials andprocesses. The Materials Design Laboratory project will provide the modern collaborative scientific environment critical forthis initiative to thrive and will focus on four themes central to implementing the Materials for Energy strategy:Frontiers of materials and molecular synthesis, and fabrication of devices;
Interfacial engineering for energy applications;
Materials under extreme conditions; andIn situ characterization and modeling.

The project is being conducted in accordance with the project management requirements in DOE O 413.3B, and all
appropriate project management requirements have been met.
5. Financial Schedule

Total Estimated Cost (TEC)
DesignFY 2015
FY 2016
FY 2017
Total, Design

Appropriations(dollars in thousands)
Obligations

Costs b

7,000
0
0
7,000

7,000
0
0
7,000

2,773
3,998
229
7,000

Constructiona

OPC are funded through laboratory overhead.
Costs through 2016 reflect actual Costs; costs for FY 2017 and the outyears are estimates.
Science/Science Laboratories Infrastructure/
15-SC-76, Materials Design Laboratory
FY 2018 Congressional Budget Justification302b

FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, Construction
TEC

a(dollars in thousands)
Appropriations
Obligations
23,91023,91019,59019,59024,50024,50020,00020,0000
088,00088,000Costs b0
10,00044,00023,800
10,20088,000FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, TEC

7,000
23,91019,59024,50020,000095,0007,000
23,91019,59024,50020,000095,0002,773
3,998
10,22944,00023,800
10,20095,000

Other Project Cost (OPC) a
OPC except D&D
FY 2010
FY 2011
FY 2014
FY 2015
Total, OPC except D&D

412
-30 b
328
290
1,000

412
-30d
328
290
1,000

412
-30d
328
290
1,000

Total Project Cost (TPC)FY 2010
FY 2011
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, TPC

412
-30 c
328
7,290
23,91019,59024,50020,000096,000

412
-30b
328
7,290
23,91019,59024,50020,000096,000

412
-30b
328
3,063
3,998
10,22944,00023,800
10,20096,000

OPC are funded through laboratory overhead.
OPC Funding was adjusted in FY 2011 to reflect FY 2010 actuals ($382,000 for OPC funding in FY 2010).
c
OPC Funding was adjusted in FY 2011 to reflect FY 2010 actuals ($382,000 for OPC funding in FY 2010).
Science/Science Laboratories Infrastructure/
15-SC-76, Materials Design Laboratory
FY 2018 Congressional Budget Justification
303b6. Details of Project Cost Estimate
Current Total
Estimate(dollars in thousands)
Previous Total Original Validated
Estimate
Baseline

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design

6,647
353
7,000

6,000
1,000
7,000

6,647
353
7,000

Construction
Construction
Contingency
Total, Construction

76,004
11,99688,00073,00015,00088,00076,362
11,63888,000Total, TEC
Contingency, TEC
Other Project Cost (OPC) a
OPC except D&D
Conceptual Planning
Conceptual Design
Contingency

95,00012,34995,00016,00095,00011,991

382
618
0

382
500
118

382
618
0

Total, OPC
Contingency, OPC

1,000
0

1,000
118

1,000
0

Total, TPC
Total, Contingency

96,00012,34996,000
16,11896,00011,991

7. Schedule of Appropriation Requests
Request Year
FY 2015 TEC
OPCa
TPC
FY 2016 TEC
OPCa
TPC
FY 2017 TEC
OPCa
TPC
FY 2018 TEC
OPCa
TPC

Prior Years
0
382
382
0
382
382
0
382
382
0
382
382

FY 2014
0
500
500
0
300
300
0
300
300
0
328
328

FY 2015
7,000
0
7,000
7,000
0
7,000
7,000
0
7,000
7,000
290
7,290

(dollars in thousands)
FY 2016
FY 2017
24,00336,46600
24,00336,46623,91025,0900
023,91025,09023,91025,0900
023,91025,09023,91019,5900
023,91019,590FY 2018
27,531
118
27,64939,000318
39,31839,000318
39,31824,500024,500FY 2019
0
0
0
0
0
0
0
0
0
20,0000
20,000Total
95,0001,000
96,00095,0001,000
96,00095,0001,000
96,00095,0001,000
96,000a

OPC are funded through laboratory overhead.
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8. Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy Expected………………………………………………………………………………..
Useful Life…………………………………………………………………………………………………………………………………………………..
Expected Future Start of D&D of this capital asset……………………………………………………………………………………..
(Related Funding Requirements)

Operations
Utilities
Maintenance and Repair
Total – Operations and Maintenance

2QFY 2021
50 years
2QFY 2071(dollars in thousands)
Annual Costs
Life-Cycle Costs
Current
Total
Estimates

Previous
Total
Estimates

Current
Total
Estimates

Previous
Total
Estimates

376
429
958
1,763

376
429
958
1,763

18,80021,45047,90088,15018,80021,45047,90088,150

9. D&D Information
The new area being constructed in this project is not replacing existing facilities.
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
including area previously “banked”…………………………………………………………………
Total area eliminated………………………………………………………………………………………

Square Feet
97,000 to
130,000
None
None
None
None aNone

10. Acquisition Approach
Acquisition for this project will be performed by the Management and Operating (M&O) Contractor, UChicago Argonne,
LLC, and will be overseen by the Argonne Site Office. Various acquisition approaches and project delivery methods were
evaluated prior to achieving CD-1. A tailored Design-Bid-Build approach was selected as the overall best project 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 evaluationand measurement plan.

aWith the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint ismanaged using the Facility Information Management System, with decisions on additions and offsets made in accordancewith the DOE Real Property Efficiency Plan.
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306

15-SC-78, Integrative Genomics Building
Lawrence Berkeley National Laboratory (LBNL), Berkeley, California
Project is for Construction
1.

Significant Changes and Summary

Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2017 CPDS and does not include a new start for FY 2018.
The project funding profile has changed since the last submitted CPDS. Construction funding has extended by one year to FY
2019. Total project cost has not changed.
Summary
The most recent DOE O 413.3B Critical Decision (CD) is CD-3, Approve Start of Construction, was approved on October 7,
2016. The approved Total Estimated Cost (TEC) for this project is $90,000,000. The approved Total Project Cost (TPC) for thisproject is $91,500,000.
A Federal Project Director with the appropriate certification level has been assigned to this project and has approved thisCPDS.
This project will provide new space necessary to relocate a significant fraction of biosciences research currently occupying
leased commercial space onto the main LBNL campus. Final Design was completed in May 2016. Construction began in
December 2016.
FY 2018 funds will be used for construction and associated tasks.
2.

Critical Milestone History(fiscal quarter to date)

FY 2015
FY 2016
FY 2017
FY 2018CD-0
9/17/2013
9/17/2013
9/17/2013
9/17/2013

Conceptual
DesignComplete
N/A
1QFY 201510/28/2014
10/28/2014

CD-1
1QFY 2015
2QFY 201502/20/2015
02/20/2015

CD-2
3QFY 2016
2QFY 2016
2QFY 2016
3/18/2016

Final Design
Complete
CD-3
4QFY 2016 3Q FY 2016
3QFY 2016 4Q FY 2016
3QFY 2016 1Q FY 2017
5/2/2016
10/7/2016

D&D
Complete
N/A
N/A
N/A
N/A

CD-4
1QFY 2021
1QFY 2021
1QFY 2021
1QFY 2021

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 – Estimated date the project design will be completed
CD-3– Approve Start of Construction
D&D Complete – Completion of D&D work (see Section 9)
CD-4 – Approve Project Completion

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Performance
Baseline
Validation
FY 2015
N/A
FY 2016
N/A
FY 2017
2QFY 2016
FY 2018PB 3/18/2016
3.

Project Cost History

TEC, Design
FY 2015
FY 2016
FY 2017
FY 2018
4.

12,090
9,590
6,500
6,900

TEC,
Construction
77,91080,41083,50083,100(dollars in thousands)
OPC a Except
TEC, Total
OPC, D&D
D&D
90,0001,500
090,0001,500
090,0001,500
090,0001,500
0OPC, Total

TPC

1,500
1,500
1,500
1,500

91,50091,50091,50091,500

Project Scope and Justification

Scope
The scope of this project includes the design and construction of a new state-of-the-art facility for bioscience research atleast 80,800 gross square feet in size and located on the main LBNL campus in Berkeley, California. The facility will bephysically located on the former site of the demolished Bevatron particle accelerator.
The table below outlines the KPPs.
Key Performance Parameters
Description
Biosciences and other research space

Threshold Value (Minimum)
79,000 gross square feet

Objective Value (Maximum)
95,000 gross square feet

Justification
The mission need of this project is to increase the synergy and efficiency of biosciences and other research at Lawrence
Berkeley National Laboratory (LBNL). LBNL has grown from a pioneering particle and nuclear physics laboratory into a
multidisciplinary research facility with broad capabilities in physical, chemical, computational, biological, and environmental
systems research in support of the Department of Energy (DOE) mission. Portions of the biosciences program at LBNL arelocated off-site, away from the main laboratory, and dispersed across several locations approximately twenty miles apart.
This arrangement has produced research and operational capability gaps that limit scientific progress, in genomics-based
biology related to energy and the environment. This project will close the present capability gaps by providing a state-ofthe-art facility that will collocate biosciences research and other programs.
FY 2018 funds will be used for construction and project management and support activities.
The project is being conducted in accordance with the project management requirements in DOE O 413.3B, and all
appropriate project management requirements have been met.

aOther project costs (OPC) are funded through laboratory overhead.
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5.

Financial Schedule
Appropriations(dollars in thousands)
Obligations

Costs aTotal Estimated Cost (TEC)
DesignFY 2015
FY 2016
FY 2017
Total, Design

6,900
0
0
6,900

6,900
0
0
6,900

2,086
4,541
273
6,900

Construction
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
Total, Construction

5,190
20,00019,56124,80013,54983,100

5,190
20,00019,56124,80013,54983,1000
018,00041,00024,10083,100FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
Total, TEC

12,09020,00019,56124,80013,54990,00012,09020,00019,56124,80013,54990,0002,086
4,541
18,27341,00024,10090,000

Other Project Cost (OPC) b
OPC except D&D
FY 2014
FY 2015
Total, OPC

1,145
355
1,500

1,145
355
1,500

1,145
355
1,500

Total Project Cost (TPC)FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
Total, TPC

1,145
12,44520,00019,56124,80013,54991,5001,145
12,44520,00019,56124,80013,54991,500

1,145
2,441
4,541
18,27341,00024,10091,500TECaCosts through FY 2016 reflect actual costs; costs for FY 2017and the outyears are estimates.
Other Project Costs (OPC) are funded through laboratory overhead.
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b

6.

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

Original Validated
Baseline

6,900
0
6,900

5,964
536
6,500

6,216
684
6,900

73,9509,150
83,10071,265
12,23583,50071,495
11,605
83,100Total, TEC
Contingency, TEC

90,0009,150

90,00012,77190,00012,289Other Project Cost (OPC) a
OPC except D&D
Conceptual
Planning
Conceptual Design
Contingency
Total, OPC
Contingency, OPC

400
1,000
100
1,500
100

355
1,145
0
1,500
0

355
1,145
0
1,500
0

Total, TPC
Total, Contingency

91,5009,250

91,50012,77191,50012,289Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Construction
Contingency
Total, Construction

7.

Schedule of Appropriation Requests

RequestYear
FY 2015

FY 2016

FY 2017

FY 2018

TEC
OPCa
TPC
TEC
OPC a
TPC
TEC
OPC a
TPC
TEC
OPCa
TPC

FY 2014
0
1,300
1,300
0
1,500
1,500
0
1,145
1,145
0
1,500
1,500

FY 2015
12,0900
12,09012,0900
12,09012,090355
12,445
12,0900
12,090(dollars in thousands)
FY 2016
FY 2017
FY 2018
17,29930,14830,46300017,29930,14830,46320,00025,06432,84600
020,00025,06432,84620,00019,561
38,34900
020,00019,561
38,34920,00019,56124,80000
020,00019,56124,800FY 2019
0
200
200
0
0
0
0
0
0
13,5490
13,549Total
90,0001,500
91,50090,0001,500
91,50090,0001,500
91,50090,0001,500
91,500aOther Project Costs (OPC) are funded through laboratory overhead.
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8.

Related Operations and Maintenance Funding Requirements

Start of Operation or Beneficial Occupancy
Expected Useful Life
Expected Future Start of D&D of this capital asset(Related Funding requirements)

Operations
Utilities
Maintenance and Repair
Total, Operations & Maintenance9.

1QFY 2020
50 years
1QFY 2070(dollars in thousands)
Annual Costs
Life Cycle Costs
Current
Previous
Current
Previous
Total
Total
Total
Total
Estimate
Estimate
Estimate
Estimate
179
179
5,735
5,735
324
324
11,91911,919644
644
20,662
20,662
1,147
1,147
38,31638,316

D&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…………………………………………………………………………………………….

SquareFeet
79,000 to
95,000None
None a
None
None
None

10. Acquisition Approach
Acquisition for this project will be performed by the Management and Operating (M&O) Contractor, University of California,
and overseen by the Berkeley Site Office. Various acquisition approaches and project delivery methods were evaluated priorto achieving CD-1. A tailored Design-Bid-Build approach with a Construction Manager as General Contractor was selected as
the overall best project delivery method with the lowest risk to DOE. The M&O contractor is responsible for awarding andadministering all subcontracts related to this project. Project performance metrics are included in the M&O contractor’sannual performance evaluation and measurement plan.

aWith the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint ismanaged using the Facility Information Management System, with decisions on additions and offsets made in accordancewith the DOE Real Property Efficiency Plan.
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312

17-SC-71 Integrated Engineering Research Center
Fermi National Accelerator Laboratory (FNAL), Batavia, Illinois
Preliminary Information for Design
1. Summary
This document contains preliminary information for a design and construction project requested in FY 2018 and is an
update from the FY 2017 Project Data Sheet (PDS).
The FY 2018 Request for this project is $1,500,000. The most recent DOE O 413.3B Critical Decision (CD) is CD-1, Approve
Alternative Selection and Cost Range, which was approved on April 18, 2017.
This project has a Total Estimated Cost (TEC) range of $73,000,000 to $98,000,000 and a Total Project Cost (TPC) range of$74,000,000 to $99,000,000. These cost ranges encompass the most feasible preliminary alternatives. This preliminary
information reflects funding for a project to design and construct new space to accommodate increased collaboration andinteractions among FNAL staff. The project is intended improve the infrastructure to support 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).
A Federal Project Director with the appropriate certification level has been assigned to this project.
FY 2018 funds will support Project Engineering and Design activities.
2. Critical Milestone History

FY 2017
FY 2018CD-0
07/17/2015
07/17/2015

CD-1
1Q FY 2017a
4/18/2017(fiscal quarter or date)CD-2/3A
3Q FY 2018 a
3Q FY 2019a

CD-3
3Q FY 2019a
3Q FY 2020a

CD-4
4Q FY 2023a
4Q FY 2024a

OPC b
2,000
1,000

TPC
87,000a86,000aCD-0 – Approve Mission Need
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline/Start of Construction – Site Prep
CD-3 – Approve Start of Construction - Building Construction
CD-4 – Approve Project Completion
3. Current Preliminary Project Cost Estimates

FY 2017
FY 2018

TEC, Design
10,00010,000

TEC, Construction
75,00075,000(dollars in thousands)
TEC, Total
85,000a85,000aaThis project is pre-CD-2; schedule and funding estimates are preliminary.
Other project costs (OPC) are funded through laboratory overhead.
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4. 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.
This project has not yet received CD-2 approval; therefore the Key Performance Parameters (KPPs) are not yet established.
The table below outlines preliminary KPPs.
Key Performance Parameters (Preliminary)
Description
Multistory Laboratory/Office Building

Threshold Value (Minimum)
67,000 gross square feet

Objective Value (Maximum)
134,000 gross square feet

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 footprintof outdated facilities, and collocating engineering and associated research staff in a new or renovated facility near thecentral campus. This approach will complement the ongoing and planned renovations of Wilson Hall by establishing themain 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 programand support other HEP science opportunities described in the P5 report.
The project is being conducted in accordance with the project management requirements in DOE O 413.3B, and all
appropriate project management requirements have been met.

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5. Details of Preliminary Project Cost Estimate(dollars in thousands)
Total Preliminary Cost
Range: Minimum
Estimate

Total Preliminary Cost:
Current Point Estimate

Total Preliminary Cost
Range: Maximum
Estimate

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design

6,500
1,500
8,000

8,000
2,000
10,0009,000
2,000
11,000Construction
Construction
Contingency
Total, Construction

52,00013,00065,00061,00014,00075,00070,00017,00087,000Total, TEC a
Contingency, TEC

73,00014,50085,00016,00098,00019,000

Other Project Cost (OPC) b
OPC except D&D
Conceptual Planning
Conceptual Design
Start-upContingency
Total, OPC
Contingency, OPC

250
450
150
150
1,000
150

250
450
150
150
1,000
150

250
450
150
150
1,000
150

Total, TPCa
Total, Contingency

74,00014,65086,00016,15099,00019,1506.

Preliminary Acquisition Approach

Acquisition for this project will be performed by the Management and Operating (M&O) contractor, Fermi Research
Alliance, LLC and overseen by the Fermi Site Office. Various acquisition approaches and project delivery methods were
evaluated prior 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 areincluded in the M&O contractor's annual performance evaluation and measurement plan.

aThis project is pre-CD-2; schedule and funding estimates are preliminary.
Other project costs (OPC) are funded through laboratory overhead.
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316

17-SC-73 Core Facility Revitalization
Brookhaven National Laboratory (BNL), Upton, New York
Preliminary Information for Design1.

SummaryThis document contains preliminary information for a design and construction project requested in FY 2018 and is an updatefrom the FY 2017 Project Data Sheet (PDS).
The FY 2018 Request for this project is $1,500,000. The most recent DOE O 413.3B Critical Decision (CD) is CD-1, Approve
Alternative Selection and Cost Range, which was approved on April 18, 2017.
This project has a Total Estimated Cost (TEC) range of $67,650,000 to $83,650,000 and a Total Project Cost (TPC) range of$68,500,000 to $84,500,000. These cost ranges encompass the most feasible preliminary alternatives. This preliminary
information reflects funding for a project to provide the most urgent computation and data storage capabilities in time tosupport BNL’s expanding core mission computing requirements, such as the computationally-intensive research associatedwith the Relativistic Heavy Ion Collider (RHIC) and the US-A Toroidal Large Hadron Collider Apparatus (US-ATLAS) at CERN.
A Federal Project Director with the appropriate certification level has been assigned to this project.
FY 2018 funds will support Project Engineering and Design activities.
2.

Critical Milestone History

FY 2017
FY 2018CD-0
09/10/2015
09/10/2015

CD-1
3Q FY 2017a
04/18/2017(fiscal quarter or date)
CD-2
3Q FY 2019 a
3Q FY 2019a

CD-3

CD-4

3Q FY 2020a
1Q FY 2020a

4Q FY 2024a
4Q FY 2024a(dollars in thousands)
TEC, Total
63,400a74,000a

OPC b
1,100
850

TPC
64,500a74,850aCD-0 – Approve Mission Need
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
CD-3– Approve Start of Construction
CD-4 – Approve Project Completion
3.

Current Preliminary Project Cost Estimates

FY 2017
FY 2018
4.

TEC, Design
6,400
7,000

TEC, Construction
57,00067,000

Project Scope and Justification

Scope
The Core Facility Revitalization project will provide facilities and infrastructure to enable the computational requirements of
the Office of Science’s (SC) Nuclear Physics (NP) program, High Energy Physics (HEP) program, and other research programs
physically conducted at Brookhaven National Laboratory (BNL) and other locations.

aThis project is pre-CD-2; schedule and funding estimates are preliminary.
Other project costs (OPC) are funded through laboratory overhead.
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This project has not yet received CD-2 approval; therefore the Key Performance Parameters (KPPs) are not yet established.
The table below outlines preliminary KPPs.
Key Performance Parameters (Preliminary)
Description
Deliver identified Computing Facility
IT power and emergency back-up
power/cooling capabilities
Renovation of space to support thecomputing equipment andassociated infrastructure

Threshold Value (Minimum)
3.6 MW IT power,
1.2 MW emergency back-up
capabilities

Objective Value (Maximum)
3.6 MW IT power,
2.4 MW emergency back-up
capabilities

40,400 GSF

60,600 GSF

Justification
BNL is a multi-purpose research institution funded primarily by SC that operates facilities for studies in physics, chemistry,
biology, medicine, applied science, and a wide range of advanced technologies. Among BNL’s core capabilities are: nuclear
physics, particle physics, large-scale user facilities for advanced instrumentation and programmatic strengths in data-centricand high-throughput “mid-scale” computational science.
A significant amount of computation and data storage is currently conducted within RHIC ATLAS Computing Facility (RACF)
that is located on the BNL campus. The RACF directly supports RHIC research operations funded by SC’s NP and US-ATLAS
research operations funded by SC’s HEP. The RACF also provides mid-scale computing support to other research programs
funded by SC, research efforts funded by strategic partners, and computationally-intensive research that indirectly supports
the broader SC mission. In addition, other SC program offices may conduction core mission computing that is enabled by
the infrastructure upgrades considered within this project.
The data volume generated by the RHIC experiments and ATLAS is expected to increase three to six times over the next ten
years and will require proportional increases in computation and data storage capacities. Almost half of the current RACF
computing and data storage facility is expected become functionally obsolete and unable to accommodate future
generations of computation and data storage technologies over the next five to ten years. Therefore, the projectedcapability gaps in computing infrastructure are due to a combination of decreases due to degrading capacities and increases
in future requirements of mid-scale computing performed by RACF. Increases in computation and data storage will driveincreased requirements for space, power, and cooling of computing facilities. Similarly, as research experiments are fully
developed that utilize the beamlines at BNL’s National Synchrotron Light Source-II, which is funded by SC’s Basic Energy
Science Program Office, additional core mission computing will be required. A mission need therefore exists to provide
sufficient, mid-range computation and data storage capabilities to support to current and planned experiments at BNL.
FY 2018 funds will be used for preliminary and final design and project management and support activities.
The project is being conducted in accordance with the project management requirements in DOE O 413.3B, and all
appropriate project management requirements have been met.

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5.

Details of Preliminary Project Cost Estimate

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
Contingency
Total, OPC
Contingency, OPC
Total, TPCa
Total, Contingency
6.

Total Preliminary
Cost Range:
Minimum Estimate(dollars in thousands)
Total Preliminary
Total Preliminary
Cost: Current Point
Cost Range:
Estimate
Maximum Estimate

4,700
940
5,640

5,600
1,400
7,000

6,412
1,924
8,336

51,67010,34062,01053,60013,40067,00057,941
17,37375,31467,65011,28074,00014,80083,65019,297

229
451
170
850
170

229
451
170
850
170

229
451
170
850
170

68,50011,45074,85014,97084,50019,467

Preliminary Acquisition Approach

Acquisition for this project will be performed by the Management and Operating (M&O) Contractor, Brookhaven Science
Associates and overseen by the Brookhaven Site Office. Various acquisition 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 and evaluation measurement plan.

aThis project is pre-CD-2; schedule and funding estimates are preliminary.
Other project costs (OPC) are funded through laboratory overhead.
Science/Science Laboratories Infrastructure/
17-SC-73, Core Facility Revitalization
319b

FY 2018 Congressional Budget Justification

32018-SC-71 Energy Sciences Capability
Pacific Northwest National Laboratory (PNNL), Richland, Washington
Preliminary Information for Design1.

Significant Changes and Summary

Significant Changes
This project is a proposed new start for FY 2018.
Summary
The FY 2018 Request for this project is $1,000,000. The most recent DOE O 413.3B Critical Decision (CD) is CD-0, Approve
Mission Need, which was approved on December 12, 2016.
This project has a Total Estimated Cost (TEC) range of $70,000,000 to $96,000,000 and a Total Project Cost (TPC) range of$73,000,000 to $99,000,000. These cost ranges encompass the most feasible preliminary alternatives. This preliminary
information reflects funding for a project that 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.
A Federal Project Director with the appropriate certification level will be assigned to this project prior to CD-1 approval.
FY 2018 funds will support Project Engineering and Design activities.
2.

Critical Milestone History

FY 2018CD-0
12/12/2016

CD-1
4Q FY 2018

(fiscal quarter or date)
CD-2
4Q FY 2019 a

CD-3

CD-4

4Q FY 2020a

4Q FY 2025a(dollars in thousands)
TEC, Total
90,000a

OPC b
3,000

TPC
93,000aCD-0 – Approve Mission Need
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
CD-3– Approve Start of Construction
CD-4 – Approve Project Completion
3.

Current Preliminary Project Cost Estimates

FY 2018
4.

TEC, Design
9,000

TEC, Construction
81,000

Project Scope and Justification

Scope
The objective of the Energy Sciences Capability (ESC) project is to increase the impact of chemical conversions research anddevelopment at PNNL, and expand the reach of user programs in EMSL. To accomplish these goals 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 80,000 to 120,000 net square feet of wet
chemistry, instrumentation, and computational space in 40 to 45 laboratory modules along with offices for 150 to 200
research and support staff.

aThis project is pre-CD-2; schedule and funding estimates are preliminary.
Other project costs (OPC) are funded through laboratory overhead.
Science/Science Laboratories Infrastructure/
18-SC-71, Energy Sciences Capability
321b

FY 2018 Congressional Budget Justification

This project has not yet received CD-2 approval; therefore the Key Performance Parameters (KPPs) are not yet established.
The table below outlines preliminary KPPs.
Key Performance Parameters (Preliminary)
Description
Multi-story Laboratory Building

Threshold Value (Minimum)
80,000 net square feet (NSF)

Objective Value (Maximum)
120,000 NSF

Justification
Pacific Northwest National Laboratory (PNNL) operates facilities for research in chemistry, materials sciences, subsurface
science, biology, physics, medicine, and applied 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 andaccelerate research sponsored by BES, BER, and ASCR. All of these research areas benefit from multidisciplinary approaches
that accelerate scientific advances.
The objective behind the Energy Sciences Capability project at PNNL is to enable the transformation of catalysis science andhow catalysts are designed, synthesized, and engineered. Ultimately, greater multidisciplinary collaboration, controlledenvironments, and increasing 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 lessthan 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 EMSL and ARM 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, andwater.” It also entails “a broad rethinking of how all scientific research can be conducted, so that we capitalize on a range ofknowledge bases.”
The Energy Sciences Capability 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 cascadeof moves to enable location of synergistic capabilities in optimal spaces without losing those capabilities for extended time
periods and negatively impacting research. The Energy Sciences Capability 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 bycreating space that enables research in support of BES, BER, and ASCR programs.
FY 2018 funds will be used for preliminary and final design and project management and support activities.
The project is being conducted in accordance with the project management requirements in DOE O 413.3B, and all
appropriate project management requirements have been met.

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FY 2018 Congressional Budget Justification

5.

Details of Preliminary Project Cost Estimate

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design(dollars in thousands)
Total Preliminary
Total Preliminary
Cost: Current Point
Cost Range:
Estimate
Maximum Estimate

6,000
1,000
7,000

7,500
1,500
9,000

8,000
2,000
10,00054,0009,000
63,00070,00011,00081,00073,00013,00086,000Total, TEC a
Contingency, TEC

70,00010,00090,00012,50096,00015,000

Other Project Cost (OPC) b
OPC except D&D
Conceptual Planning
Conceptual Design
Contingency
Total, OPC
Contingency, OPC

1,650
100
1,000
250
3,000
250

1,650
100
1,000
250
3,000
250

1,650
100
1,000
250
3,000
250

Total, TPCa
Total, Contingency

73,000
10,25093,00012,75099,00015,250Construction
Construction
Contingency
Total, Construction

6.

Total Preliminary
Cost Range:
Minimum Estimate

Preliminary Acquisition Approach

Acquisition for this project will be performed by the Management and Operating (M&O) contractor, Battelle Memorial
Institute and overseen by the Pacific Northwest Site Office. Various acquisition approaches and project delivery methods will
be considered 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
evaluation and measurement plan.

aThis project is pre-CD-2; schedule and funding estimates are preliminary.
Other project costs (OPC) are funded through laboratory overhead.
Science/Science Laboratories Infrastructure/
18-SC-71, Energy Sciences Capability
323b

FY 2018 Congressional Budget Justification

324

Safeguards and Security
Overview
The Office of Science (SC) Safeguards and Security (S&S) program is designed to ensure appropriate security measures are inplace to support the SC mission requirement of open scientific research and to protect critical assets within SC laboratories.
This is accomplished by 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 forcybersecurity for the laboratories’ information technology systems to protect computers, networks, and data fromunauthorized access.
Highlights of the FY 2018 Budget Request
The FY 2018 Request supports sustained levels of operations in S&S program elements, including Protective Forces, Security
Systems, Information Security, Personnel Security, Material Control and Accountability, and Program Management.
The highest priority in the S&S program is to ensure adequate security for the special nuclear material housed in Building3019 at the Oak Ridge National Laboratory (ORNL). SC is proactive in evaluating and improving security at that facility andincludes funding to do so.
As another key priority, the FY 2018 Request ensures that the Cyber Security element maintains the ability to detect,
mitigate, and recover from cyber intrusions and attacks against protected information.
Within the S&S FY 2018 Request, SC supports the Cybersecurity Departmental Crosscut. This includes the Department’s
CyberOne strategy for managing enterprise-wide cyber security and identity authentication for Department of Energy (DOE)
information technology (IT) systems. The CyberOne strategy provides improved Department-wide capabilities for incident
management and logical access to federal IT systems.
FY 2018 Crosscuts ($K)
Cybersecurity
Safeguards and Security

33,619 a

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 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.

a

The Cyber Security amount includes $6,309,000 for CyberOne funded through the Working Capital Fund (WCF).
Science/Safeguards and Security
FY 2018 Congressional Budget Justification
325

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
containers and combinations, marking documents, and administration of control systems, operations security, special accessprograms, technical surveillance countermeasures, and classification and declassification determinations.
Cyber Security
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. The cybersecurity crosscut supports central coordination of the strategic and operational aspects ofcybersecurity and facilitates cooperative efforts such as the Joint Cybersecurity Coordination Center (JC3) for incident
response and the implementation of Department-wide Identity, Credentials, and Access 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

326

FY 2018 Congressional Budget Justification

Safeguards and Security
Funding ($K)
FY 2016 Enacted
Protective Forces
Security Systems
Information Security
Cyber Security b
Personnel Security
Material Control and Accountability
Program Management
Total, Safeguards and Securitya37,89910,097
7,647
32,974
5,334
2,431
6,618
103,000

FY 2017
Annualized CR a
–
–
–
–
–
–
–
102,805

FY 2018 Request

FY 2018 vs FY 2016

40,545
10,097
4,356
33,619
5,334
2,431
6,618
103,000+2,6460-3,291
+645
0
0
0
0

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above; below that level, a dash (-) is shown.
b
The Cyber Security amount includes $7,093,000 in FY 2016, $4,525,000 in FY 2017, and $6,309,000 in FY 2018 for CyberOne through the Working Capital Fund (WCF).
In FY 2016, $1,514,000 was forward funded to address the estimated FY 2017 CyberOne charges of $6,039,000.
Science/Safeguards and Security
FY 2018 Congressional Budget Justification
327

Activities and Explanation of Changes

Safeguards and Security

FY 2016 Enacted

FY 2018 Request

Protective Forces $37,899,000
Funding provided for this program element
maintained protection levels, equipment, and training
needed to ensure proper protection and effective
performance at all SC laboratories.

$40,545,000
Provides funding to maintain proper protection levels,
equipment, and technical training needed to ensure
effective performance at all SC laboratories.

Security Systems $10,097,000
Funding provided maintained the security systems inplace and supported investments in SC laboratory
physical security systems.
Information Security $7,647,000
Funding provided for personnel, equipment, andsystems necessary to ensure that sensitive andclassified information was properly safeguarded at SC
laboratories.
Cyber Security $32,974,000
Provided funding to properly protect SC laboratories’
computer resources and sensitive data, and tocontinue support of the Department’s CyberOne
strategy.

$10,097,000
Provides funding to maintain the security systems
currently in place.

Personnel Security $5,334,000
Maintained Personnel Security efforts at SC
laboratories.

$5,334,000
Provides funding to maintain Personnel Security
efforts at SC laboratories.

Material Control and Accountability $2,431,000
Maintained proper protection of material at SC
laboratories.
Program Management $6,618,000
Provided funding for oversight, administration, andplanning for security programs at SC laboratories andensured security procedures and policy support for SC
research missions.

$2,431,000
Provides funding to maintain protection of material at
SC laboratories.
$6,618,000
Provides funding to maintain oversight,
administration, and planning for security programs at
SC laboratories and will support security proceduresand policy support SC Research missions.

Science/Safeguards and Security$4,356,000
Provides funding to maintain personnel, equipment,
and systems necessary to ensure sensitive andclassified information is safeguarded at SC
laboratories.
$33,619,000
Provides funding to maintain protection of laboratorycomputers, networks and data from unauthorizedaccess. The Request also continues support of the
Department’s CyberOne strategy.

328

Explanation of Changes
FY 2018 vs FY 2016+$2,646,000
The increase will ensure adequate protection of thespecial nuclear material housed in Building 3019 at
ORNL, addresses contractual Cost of Living
adjustments and supports sustained levels of
operations across at all SC laboratories.
$0
Protection of physical security systems remains at thesame level as prior years.
-$3,291,000
The decrease reflects the completion of Multi-Factor
Authentication implementation for privileged user
accounts.
+$645,000
The increase will provide funding to ensure the Cyber
Security program element is properly funded todetect, mitigate, and recover from cyber intrusions
and attacks against protected information. The
increase also supports the Department’s CyberOne
strategy.
$0Personnel Security remains the same level as prioryears.
$0
Material Control and Accountability remains the samelevel as prior years.
$0
Program Management remains the same level as prioryears.

FY 2018 Congressional Budget Justification

Estimates of Cost Recovered for Safeguards and Security Activities ($K)
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 2016 Current Costs
80
1,100
1,218
733
595
4,500
5,000
40
120
13,386329

FY 2017 Planned Costs
40
1,100
1,218
1,010
677
4,710
4,781
50
135
13,721

FY 2018 Planned Costs
40
1,100
1,218
1,007
700
4,710
5,001
55
158
13,989FY 2018 Congressional Budget Justification

330

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 investments transform our understanding of nature and advance the energy, economic, andnational security of the United States. In addition, SC accelerates discovery and innovation by providing broad public accessto 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 grants and contracts supporting about 19,000 researchers located at over 300 institutions and 17
national laboratories, spanning all fifty states and the District of Columbia.
Headquarters (HQ)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 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 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 and other construction projects.
Provide oversight and management of the maintenance and operational integrity of the ten SC national laboratories.
Provide policy, strategy, and resource management in the areas of laboratory oversight, information technology, grants
and contracts, budget, and human capital.

Site Offices
SC Site Office federal staff provide contract management and critical support for the scientific mission 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.
Provides federal program managers to oversee the New Brunswick Laboratory located at Argonne Site Office.

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; human capital shared services; financial management;
grant and contract processing; safety, security, and health management; labor relations, intellectual property and patent
management; environmental compliance; facility infrastructure operations and maintenance; and information systems
development and support. As part of this, the ISC:

Science/Program Direction

331

FY 2018 Congressional Budget Justification

••

Monitors the multi-appropriation, multi-program allotments for all SC national laboratories through administration oflaboratory Management and Operating (M&O) contracts and is responsible for over 3,000 grants per year to universitybased researchers.
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.

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 being made available to the public within 12 months of publication in a journal.
Highlights of the FY 2018 Budget Request
The FY 2018 Request of $168,516,000 is a decrease of $16,484,000, or 8.9 percent, from the FY 2016 Enacted level andsupports a total level of 785 FTEs, 133 FTEs less than the FY 2016 Enacted level. SC will achieve these savings and FTE
reductions through a restriction in hiring and an ongoing review of functions that can either be eliminated or restructured to
cut costs and improve efficiency. Through workforce analysis/restructuring, SC will continue to review, analyze and prioritize
mission requirements and identify those organizations and functions most in line with Administration and Department
program objectives and SC strategic goals. Using available human capital workforce reshaping tools, SC will focus onfunctional consolidation, elimination of positions, and hiring limitations to achieve necessary results.
The FY 2018 Request includes:•

Four (4) FTEs in the Office of Planning and Management Oversight to support the Office of the Under Secretary for
Science and Energy. The FY 2016 Request included funding for these FTEs in the Departmental Administration
appropriation.

•

Twenty-four (24) FTEs in the Office of the Chief Human Capital Officer operating the Science & Energy Shared Service
Center (S&E SSC) and supporting HR Advisory Offices. In FY 2016, SC moved to a shared service center model for HR
delivery with all human resources services involving SC personnel obtained through the Office of the Chief Human
Capital Officer.

•

Two-hundred and eighty-three (283) Headquarters (HQ) federal staff, a reduction that saves roughly $5.0M, or 9
percent, compared to the FY 2016 Enacted level.

•

Forty (40) OSTI federal staff, a reduction that saves roughly $100k, or 1 percent, compared to the FY 2016 Enacted level.

•

Four-hundred and thirty-four (434) Integrated Service Center (ISC) and Site Office federal staff, a reduction that saves
roughly $8.7M, or 12 percent.

•A decrease in Working Capital Fund (WCF) costs, which are projected to decrease in FY 2018 due to a reduced federal
and contractor workforce. Additionally, SC will reduce its space utilization and make other changes to eliminate WCF
charges and offset inflation in costs for items such as building occupancy and telecommunications.

•

A decrease in travel funding. In FY 2017, SC implemented a three-month travel moratorium and funded travel at
reduced levels for the remainder of the fiscal year. The FY 2018 Request continues this reduced level of travel, resulting
in annual savings of over $1.5M.

Science/Program Direction

332

FY 2018 Congressional Budget Justification

Science Program Direction
Funding ($K)
FY 2016 Enacted a
Headquarters
Science HQSalaries and Benefits
TravelSupport Services
Other Related Expenses
Working Capital Fund
Total, Science HQ

FY 2018 Request

FY 2018 vs FY 2016

56,508
1,891
16,344
3,697
10,00088,440

–
–
–
–
–
–

51,5291,100
15,572
3,772
8,250
80,223-4,979
-791
-772
+75
-1,750-8,217

Under Secretary for Science and Energy
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Under Secretary for Science and Energy

566
2
375
0
943

–
–
–
–
–

880
0
0
400
1,280

+314
-2
-375
+400
+337

Human Capital S&E Shared Service Center
Salaries and Benefits
Other Related Expenses
Total, Human Capital S&E Shared Service Center

N/A
N/A
N/A

–
–
–

2,952
400
3,352

+2,952+400+3,352

57,074
1,893
16,7193,697
10,00089,383

–
–
–
–
–
–

55,361
1,100
15,572
4,572
8,250
84,855-1,713-793-1,147+875-1,750-4,528

Total Headquarters
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Working Capital Fund
Total, Headquartersa

FY 2017 Annualized CR b

The FY 2016 Enacted level reflects updates through the end of the fiscal year.

b

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the congressional
control level and above; below that level, a dash (-) is shown
Science/Program Direction

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FY 2018 Congressional Budget Justification

Office of Scientific and Technical Information
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Office of Scientific and Technical Information

FY 2016 Enacted a

FY 2017 Annualized CR b

FY 2018 Request

FY 2018 vs FY 2016

5,673
92
1,791
1,382
8,938

–
–
–
–
–

5,600
70
1,553
861
8,084

-73
-22
-238
-521
-854

Field Offices
Chicago Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Chicago Office

21,805
320
736
2,379
25,240–––––18,648
190
614
1,613
21,065-3,157
-130
-122
-766
-4,175

Oak Ridge Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Oak Ridge Office

21,787
430
1,772
3,649
27,638–––––

16,625
190
931
3,592
21,338-5,162
-240
-841
-57
-6,300Ames Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Ames Site Office

500
34
0
2
536

–
–
–
–
–

310
10
2
0
322

-190
-24
+2
-2
-214

Argonne Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Argonne Site Office

3,649
100
88
15
3,852

–
–
–
–
–

4,125
45
108
36
4,314

+476
-55
+20
+21
+462

Science/Program Direction

334

FY 2018 Congressional Budget Justification

FY 2016 Enacted ac

FY 2017 Annualized CR b

FY 2018 Request

FY 2018 vs FY 2016

Berkeley Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Berkeley Site Office

2,674
58
228
10
2,970

–
–
–
–
–

2,992
30
150
126
3,298

+318
-28
-78
+116
+328

Brookhaven Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Brookhaven Site Office

3,616
101
449
96
4,262

–
–
–
–
–

3,806
60
404
215
4,485

+190
-41
-45
+119
+223

Fermi Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Fermi Site Office

2,213
52
82
12
2,359

–
–
–
–
–

2,338
45
42
38
2,463

+125
-7
-40
+26
+104

New Brunswick Laboratory Program Office c
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, New Brunswick Laboratory Program Office

2,151
43
430
969
3,593

–
–
–
–
–

1,134
40
533
901
2,608

-1,017
-3
+103
-68
-985

Oak Ridge National Laboratory Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Oak Ridge National Laboratory Site Office

4,883
75
376
132
5,466

–
–
–
–
–

4,896
60
384
25
5,365

+13
-15
+8
-107
-101

Laboratory was closed and functions have been distributed across multinational laboratories with program office within the Argonne Site Office overseeing operations.

Science/Program Direction

335

FY 2018 Congressional Budget Justification

Pacific Northwest Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Pacific Northwest Site Office

FY 2016 Enacted a

FY 2017 Annualized CR b

FY 2018 Request

FY 2018 vs FY 2016

4,546
133
70
106
4,855

–
–
–
–
–

4,448
70
34
99
4,651

-98
-63
-36
-7
-204

Princeton Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Princeton Site Office

1,671
35
22
36
1,764

–
–
–
–
–

1,503
20
10
69
1,602

-168
-15
-12
+33
-162

SLAC Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, SLAC Site Office

2,095
67
147
0
2,309

–
–
–
–
–

2,134
30
111
52
2,327

+39
-37
-36
+52
+18

Thomas Jefferson Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Thomas Jefferson Site Office

1,757
49
25
4
1,835

–
–
–
–
–

1,660
40
8
31
1,739

-97
-9
-17
+27
-96

73,347
1,497
4,425
7,410
86,679–––––64,619
830
3,331
6,797
75,577-8,728-667-1,094-613-11,102

Total Field Offices
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Field Offices

Science/Program Direction

336

FY 2018 Congressional Budget Justification

Total Program Direction
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Working Capital Fund
Total, Program Direction
Federal FTEs
Technical Support
Development of specifications
System review and reliability analyses
Surveys or reviews of technical operations
Total, Technical Support

FY 2016 Enacted a

FY 2017 Annualized CR b

FY 2018 Request

FY 2018 vs FY 2016

136,094
3,482
22,935
12,48910,000185,000
918

–
–
–
–
–
184,648–

125,580
2,000
20,456
12,2308,250
168,516785-10,514-1,482-2,479-259-1,750-16,484
-133

137
1,609
72
1,818

–
–
–
–

0
949
469
1,418

-137
-660
+397
-400

9,067
898

–
–
–

9,097
596

+30
-302

–
–

9,345
19,03820,456-1,807-2,079-2,479

–
–
–
–
–
–
–
–
–
–
–

989
1,208
2,721
0
1,990
142
1,313
744
3,123
12,2308,250-52-1,140+170-12+1,565
-163
-337
-320
+30
-259
-1,750Management Support
Automated data processing
Training and education
Reports and analyses, management, and generaladministrative services
Total, Management Support
Total, Support Services

11,152
21,11722,935

Other Related Expenses
Rent to GSA
Rent to others
Communications, utilities, and miscellaneous
Printing and reproduction
Other services
Operation and maintenance of equipment
Operation and maintenance of facilities
Supplies and materials
Equipment
Total, Other Related Expenses
Working Capital Fund

1,041
2,348
2,551
12
425
305
1,650
1,064
3,093
12,48910,000Science/Program Direction

337

FY 2018 Congressional Budget Justification

Program Direction
Activities and Explanation of Changes
FY 2016 Enacted

Explanation of Changes
FY 2018 vs FY 2016

FY 2018 Request

Program Direction $185,000,000$168,516,000-$16,484,000

Salaries and Benefits $136,094,000$125,580,000-$10,514,000

The FY 2016 Enacted level supported 918 FTEs toperform scientific oversight, project management,
essential operations support associated with science
program portfolio management, support for theUnder Secretary for Science and Energy, andadministration of PCAST.

The FY 2018 Request will support 785 FTEs to performscientific oversight, project management, essential
operations support associated with science program
portfolio management, and support for the Office of
the Chief Human Capital Officer operating the Science& Energy Shared Service Center (S&E SSC) andsupporting HR Advisory Offices.

Reduced salaries and benefits is the result of aplanned reduction in federal staff, which will beachieved through a continued hiring freeze andongoing organizational review and analysis to identify
areas where we can gain maximum efficiency throughfunctional consolidation and position reductions.

This funding also included support for expenses suchas increases in general schedule pay rates, healthinsurance costs and retirement allocations in theFederal Employees Retirement System.

This funding also includes support for expenses suchas increases in general schedule pay rates, healthinsurance costs and retirement allocations in theFederal Employees Retirement System.

Travel $3,482,000$2,000,000-$1,482,000

Ensuring scientific management, compliance, safety
oversight, and external review of research funding
across all SC programs required staff to travel, since
SC senior program managers are not co-located with
grantees or at national laboratories. Travel was also
required for facility visits where the use of electronic
telecommunications was not practical for mandated
on-site inspections and 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 not co-located with
grantees or at national laboratories. Travel is also
required for facility visits where the use of electronic
telecommunications is not practical for mandated onsite inspections and operations reviews.

The decrease is a result of increased use of
telecommunications and video conferencetechnologies and support of only essential travel for a
reduced federal workforce.

Travel was included to support travel requirements in
the Office of the Under Secretary for Science andEnergy.

No travel is included for the Office of the Under
Secretary for Science and Energy. If travel
requirements arise, it would be funded from theoverall SC travel budget.

Travel requirements for this office are expected to beminimal.

Science/Program Direction

338

FY 2018 Congressional Budget Justification

FY 2016 Enacted

Explanation of Changes
FY 2018 vs FY 2016

FY 2018 Request

Travel was included to support meetings of the PCAST, No travel is included for PCAST, as no meetings are
currently scheduled or expected.
scheduled for six times per year with additional
meetings called at the discretion of the President.
PCAST is an advisory group to the President andExecutive Office of the President.

The PCAST advisory committee has dissolved and SC is
not aware of any plans to reform this committee in
FY 2018.

Travel was included for the SC Federal Advisory
Committee travel, which includes over 170
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 andtechnical issues that arise in the planning,
management, and implementation of SC programs.

The Request will continue to support travel for the SC
Federal Advisory Committees.

No change for SC Federal Advisory Committee travel.

Support Services $22,935,000$20,456,000-$2,479,000

Technical expertise and business services sustained
the following: maintenance, operation, and cybersecurity management of SC mission-specificinformation technology systems and infrastructure aswell as SC-corporate Enterprise Architecture andCapital Planning Investment Control management;
administration of 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;
operations and maintenance of the Searchable Field
Work Proposal system to provide HQ and Field
organizations a tool to search and monitor field work
proposals; selected routine administrative services
including travel processing and Federal staff training

Request funds will continue to support activities at aslightly reduced level.

SC plans to conduct a review of all PD-funded support
contracts and identify functions or tasks which could
be eliminated or scaled back to achieve savings.
Planned consolidation of functions and offices will
also result in a corresponding reduction in contractor
staff.

Science/Program Direction

339

FY 2018 Congressional Budget Justification

FY 2016 Enacted

Explanation of Changes
FY 2018 vs FY 2016

FY 2018 Request

and education to maintain appropriate certification
and update skills; select reports or analyses directed
toward improving the effectiveness, efficiency, andeconomy of services and processes; and safeguards
and security oversight functions.
The FY 2016 Enacted level funded essential
information technology infrastructure, ongoing
operations and maintenance of IT systems and safety
management support, training for the SC workforce,and continued to support the IT Modernization Plan.

The FY 2018 Request will fund only essential
information technology infrastructure, ongoing
operations and maintenance of IT systems and safety
management support, as well as training for the SC
workforce.

Other Related Expenses $12,489,000$12,230,000-$259,000

The FY 2018 Request includes funding to support
The FY 2016 Enacted included funding for fixed
requirements in the Field Offices associated with rent, ongoing activities at a slightly reduced rate.
utilities, and telecommunications, building andgrounds maintenance, computer/video maintenanceand support, equipment leases, purchases,
maintenance, and site-wide health care units. It also
included SC-wide assessments for payroll processing
and the Corporate Human Resource Information
System.

The requirement for other related expenses such as
rent and utilities is reduced as the federal andcontractor workforce being supported is reduced.

Working Capital Fund $10,000,000$8,250,000-$1,750,000

The FY 2016 Enacted provided the SC contribution to
the WCF. The WCF provides for common
administrative services at HQ including PD-funded
items such as rent and building occupancy, corporate
business systems, corporate training services, healthservices, printing and graphics, and supplies.

The FY 2018 Request includes $8,250,000 to support
the SC contribution to the WCF.

The reduction reflects reductions in business lines
such as rent and telecommunications as the federal
and contractor workforce being supported is reduced.

Science/Program Direction

340

FY 2018 Congressional Budget Justification

Science
Facilities Maintenance and Repair
The Department’s Facilities Maintenance and Repair activities are tied to its programmatic missions, goals, and objectives.
The Facilities Maintenance and Repair activities funded by the budget and displayed below and are intended to ensure thatthe scientific community has the facilities required to conduct cutting edge scientific research now and in the future to meet
Department of Energy goals and objectives.
Costs for Direct-Funded Maintenance and Repair (including Deferred Maintenance Reduction) ($K)

Argonne National Laboratory
Brookhaven National Laboratory
Fermi National Accelerator Laboratory
Lawrence Berkeley National Laboratory
Notre Dame Radiation Laboratory
Oak Ridge National Laboratory
Oak Ridge Office
Office of Scientific and Technical Information
SLAC National Accelerator Laboratory
Thomas Jefferson National Accelerator Facility
Total, Direct-Funded Maintenance and Repair

FY 2016
Planned Cost
0
5,228
0
0
175
14,420
4,075
392
3,667
71
28,028FY 2016
Actual Cost
0
4,194
15
0
123
13,965
3,388
387
3,338
344
25,754

FY 2017
Planned Cost
0
5,791
0
9,000
175
14,853
9,079
402
3,740
73
43,113

FY 2018
Planned Cost
11,9005,908
018,500175
15,298
6,324
412
4,878
75
63,470General purpose infrastructure includes multiprogram research laboratories, administrative and support buildings, as well as
cafeterias, power plants, fire stations, utilities, roads, and other structures. Together, the SC laboratories have over 1,400
operational buildings and real property trailers, with nearly 20 million gross square feet of space.
Generally, facilities maintenance and repair expenses are funded through an indirect overhead charge. In some cases,
however, a laboratory may charge maintenance directly to a specific program. One example would be when maintenance isperformed in a building used only by a single program. Such direct-funded charges are not directly budgeted.
Costs for Indirect-Funded Maintenance and Repair (including Deferred Maintenance Reduction) ($K)

Ames Laboratory
Argonne National Laboratory
Brookhaven National Laboratory
Fermi National Accelerator Laboratory
Lawrence Berkeley National Laboratory
Lawrence Livermore National Laboratory
Los Alamos National Laboratory
Oak Ridge Institute for Science and Education
Oak Ridge National Laboratory and Y-12
Pacific Northwest National Laboratory
Princeton Plasma Physics Laboratory
Sandia National Laboratories
SLAC National Accelerator Laboratory
Thomas Jefferson National Accelerator Facility
Total, Indirect-Funded Maintenance and Repair

FY 2016
Planned Cost
2,300
48,10039,38818,38327,450
2,869
611
443
59,103
7,608
7,000
2,940
9,240
5,900
231,335

FY 2016
Actual Cost
2,347
56,902
38,296
15,50528,288
2,869
611
509
70,032
8,813
7,731
2,940
10,572
6,498
251,913

FY 2017
Planned Cost
2,600
57,20044,971
19,12627,860
2,926
623
489
62,376
6,805
8,000
2,998
10,1206,360
252,454

FY 2018
Planned Cost
2,900
59,50045,91819,23828,103
2,984
635
490
64,202
8,137
8,200
3,058
10,8356,550
260,750

Facilities maintenance and repair activities funded indirectly through overhead charges at SC laboratories are displayed.
Since this funding is allocated to all work done at each laboratory, the cost of these activities charged to funding from SC
and other DOE organizations, as well as other Federal agencies and other entities doing work at SC laboratories.
Science/Science Crosscuts

341

FY 2018 Congressional Budget Justification

Maintenance reported to SC for non-SC laboratories is also shown. The figures are total projected expenditures across all SC
laboratories.
Report on FY 2016 Expenditures for Maintenance and Repair
This report responds to the requirements established in Conference Report (H.Rep. 108-10) accompanying Public Law 108-7(pages 886-887), which requires the Department of Energy to provide an annual year-end report on maintenanceexpenditures to the Committees on Appropriations. This report compares the actual maintenance expenditures in FY 2016
to the amount planned for FY 2016, including Congressionally directed changes.
Science
Total Costs for Maintenance and Repair ($K)
FY 2016 Planned Costs
2,300
48,10044,616
18,38327,450
2,869
611
175
443
73,523
4,075
392
7,608
7,000
2,940
12,907
5,971
259,363

Ames Laboratory
Argonne National Laboratory
Brookhaven National Laboratory
Fermi National Accelerator Laboratory
Lawrence Berkeley National Laboratory
Lawrence Livermore National Laboratory
Los Alamos National Laboratory
Notre Dame Radiation Laboratory
Oak Ridge Institute for Science and Education
Oak Ridge National Laboratory and Y-12
Oak Ridge Office
Office of Scientific and Technical Information
Pacific Northwest National Laboratory
Princeton Plasma Physics Laboratory
Sandia National Laboratories
SLAC National Accelerator Laboratory
Thomas Jefferson National Accelerator Facility
Total, Maintenance and Repair

Science/Science Crosscuts

342

FY 2016 Actual Costs
2,347
56,90242,49015,52028,288
2,869
611
123
509
83,997
3,388
387
8,813
7,731
2,940
13,9106,842
277,667

FY 2018 Congressional Budget Justification

Science
Research and Development ($K)

Basic
AppliedSubtotal, R&D
Equipment
Construction
Total, R&D

Science/Science Crosscuts

FY 2016 Enacted
4,452,419
04,452,419
222,135
630,842
5,305,396

FY 2017 Annualized CR
4,513,985
0
4,513,985
177,298
603,478
5,294,761

343

FY 2018 Request
3,829,898
0
3,829,898
96,804
506,010
4,432,712

FY 2018 vs. FY 2016
-622,521
0-622,521-125,331-124,832-872,684

FY 2018 Congressional Budget Justification

Science
Small Business Innovative Research/Small Business Technology Transfer (SBIR/STTR) ($K)
FY 2016 Enacted
Office of Science
Advanced Scientific Computing Research
SBIR
STTR
Basic Energy Sciences
SBIR
STTR
Biological and Environmental Research
SBIR
STTR
Fusion Energy Sciences
SBIR
STTR
High Energy Physics
SBIR
STTR
Nuclear Physics
SBIR
STTR
Total, Office of Science SBIR
Total, Office of Science STTR
Other DOE
Nuclear Energy
SBIR
STTR
Electricity Delivery & Energy Reliability
SBIR
STTR
Energy Efficiency & Renewable Energy
SBIR
STTR
Environmental Management
SBIR
STTR
Science/Science Crosscuts

FY 2017 Annualized CR

FY 2018 Request

FY 2018 vs. FY 2016

18,4502,768——

22,785
3,204+4,335+436

47,4687,120——

42,444
5,969-5,024-1,151

18,1352,720——

11,076
1,558-7,059
-1162

9,333
1,400

—
—

7,902
1,111

-1,431-289

18,1282,719——

16,3772,303-1,751-416

14,0402,106
125,554
18,833————

12,941
1,820
113,525
15,965-1,099-286-12,029-2,868

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

344

FY 2018 Congressional Budget Justification

Defense Nuclear Nonproliferation
SBIR
STTR
Fossil Energy
SBIR
STTR
Total, Other DOE SBIR
Total, Other DOE STTR
Total, DOE SBIR
Total, DOE STTRa

FY 2016 Enacted

FY 2017 Annualized CR

FY 2018 Request

FY 2018 vs. FY 2016

TBD
TBD

TBD
TBD

TBD
TBD

TBD
TBD

TBD
TBD
TBD
TBD a
125,554
18,833

TBD
TBD
TBD
TBDa
—
—

TBD
TBD
TBD
TBDa
113,525
15,965

TBD
TBD
TBD
TBDa
-12,029-2,868

The DOE SBIR/STTR amounts are listed in the other DOE program budget volumes.

Science/Science Crosscuts

345

FY 2018 Congressional Budget Justification

Science
Safeguards and Security Crosscut ($K)

Protective Forces
Physical Security Systems
Information Security
Cyber Security
Personnel Security
Material Control and Accountability
Program Management
Total, Safeguards and Security Crosscut

FY 2016 Enacted
37,89910,097
7,647
32,974
5,334
2,431
6,618
103,000

FY 2017 Annualized CR a
–
–
–
–
–
–
–
102,805

FY 2018 Request
40,545
10,097
4,356
33,619
5,334
2,431
6,618
103,000

FY 2018 vs. FY 2016
+2,6460-3,291
+645
0
0
0
0

a

FY 2017 Annualized CR amounts reflect the P.L. 114-254 continuing resolution level annualized to a full year. These amounts are shown only at the “congressional
control” level and above; below that level, a dash (-) is shown.
Science/Science Crosscuts

346

FY 2018 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 world-wide. 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 an annual appropriation 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.
The annual appropriation in NP funds a payment into the revolving fund to maintain mission-readiness of facilities by
supporting the 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 now 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 climate-related research. For example, radioisotopes are used in the diagnosis ortreatment of about one-third of all patients admitted to hospitals. a Nearly 18 million Americans undergo nuclear medicine
procedures each year for a variety of conditions, including cancer, cardiovascular disease, neurological conditions, and otherphysiological problems. b Such nuclear procedures are among the safest and most effective diagnostic tests available andenhance patient care by avoiding exploratory surgery and other invasive procedures. The Isotope Program continuously
assesses isotope needs to inform program direction; for example, in November 2016, the Isotope Program organized thefifth annual Federal workshop to assess stakeholder requirements in order to optimize the utilization of resources andassure the greatest availability of isotopes.
Isotopes 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 processing facilities at Oak Ridge
National Laboratory (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, Pacific Northwest National Laboratory, theY-12 National Security Complex, and the Savannah River Site. IPF and BLIP 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. The Isotope Program is 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, including facilities at the University of Washington, Duke University, Washington University, Texas A&Ma

http://www.nrc.gov/reading-rm/doc-collections/fact-sheets/med-use-radioactive-materials.html
http://interactive.snm.org/docs/whatisnucmed2.pdf
Science/Isotope Production and Distribution
Program Fund
FY 2018 Congressional Budget Justificationb

347

University, the University of California at Davis, and the Missouri University Research Reactor. Most of these facilities residein university medical departments.
In FY 2016, a total of $69.12 million was deposited in the revolving fund. This consisted of the FY 2016 appropriation of$21.63 million paid into the revolving fund from the Nuclear Physics program, plus collections of $47.49 million to recover
costs related to isotope production and isotope services. Collections in FY 2016 included sales of californium-252, helium-3,
selenium-75, cobalt-60, nickel-63, germanium-68, actinium-225, and strontium-82. Californium-252 has a variety ofindustrial applications; helium-3 is used in neutron detectors for national security; selenium-75 is used as a radiographysource; 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;
actinium-225 is used in pharmaceuticals being developed to more effectively treat cancer and other diseases; andstrontium-82 has gained world-wide acceptance for use in heart imaging. In FY 2016, the Isotope Program served 130
customers including major pharmaceutical companies, industrial users, and researchers at hospitals, national laboratories,
other Federal agencies, universities, and private companies, with the sale of 140 different radioactive and stable isotopes.
Among the isotopes produced, eight are high-volume, moderately priced isotopes; the remaining are low-volume researchisotopes, which are more expensive to produce. Commercial isotopes are priced to recover full cost or the market price,whichever is higher.
Program Accomplishments
An Enriching Experience with Stable Isotopes. To re-establish a general capability for stable isotope enrichment in the U.S.
that has not existed since 1998, the DOE Isotope Program has made investments in R&D and prototype capabilities todevelop a Federal stable isotope enrichment capability, as recommended by the Nuclear Science Advisory Committee. This
prototype facility, which uses state-of-the art electromagnetic and gas centrifuge enrichment devices at ORNL, commenced
operation at the ending of FY 2016. U.S. inventories of important enriched stable isotopes can now start to be replenished,
and research quantities of enriched stable isotopes will be fabricated to support a broad range of U.S. research in fields suchas medicine, biology, chemistry, physics, and national security. The prototype facility is planned to be upgraded over the
next few years to enable production of kg-quantities of high priority isotopes (Stable Isotope Production Facility) and the
reduction of U.S. dependency on foreign supply.
Raising the Bar Using Proton Beam Rastering and Higher Current to Dramatically Increase Isotope Production at BLIP. The
growth in utilization of two important medical imaging isotopes, strontium-82 (Sr-82) and germanium-68 (Ge-68), producedby the DOE Isotope Program at the Brookhaven Linac Isotope Producer (BLIP) and the Isotope Production Facility (IPF) at
LANL, led to demand that exceeds production capabilities. To address this need, the DOE Isotope Program approved theBLIP Raster and Linac Intensity Upgrade accelerator improvement projects. The goal of these modest upgrades was todesign and install a proton beam raster system to more evenly distribute the beam on isotope production targets bymanipulating its position on the target surface in a series of circular patterns, and to increase the proton beam pulse width
to effectively increase the current produced by the BNL linac. The rastered beam decreases the power density across targets(reduces the development of thermal “hot spots” on targets that can lead to target failures) which enables use of thegreater proton beam current provided by the linac intensity upgrade. The combination of beam rastering and increased
beam current has resulted in a 40% increase in isotope production while also reducing the risk of target failures.
Highlights of the FY 2018 Budget Request
For FY 2018, the Department foresees moderate growth in isotope demand, with particular interest in alpha-emitters forcancer therapy and stable isotopes to exploit the newly established domestic production capabilities. The portfolio of theisotope program continues to grow as isotope availability is increased by the program. Revolving fund resources will be used
to support efforts to produce isotopes, increase radioisotope production capabilities and availability to meet demand, andupgrade proton beamline equipment at IPF to enhance the reliability of facility operations and increase isotope production
yields. SC is requesting funding in the FY 2018 Nuclear Physics budget for the Stable Isotope Production Facility (SIPF) MIE,
at a reduced pace relative to original plans. Originally proposed as a new start in the FY 2017 President’s Request, SIPF will
provide increased domestic capability for cost-effective production of critically needed enriched stable isotopes and reduce
the nation’s dependence on foreign suppliers. NP will make investments in aging isotope production infrastructure to
Science/Isotope Production and Distribution
Program Fund348

FY 2018 Congressional Budget Justification

maintain productivity and to provide enhanced facility infrastructure for increased production of Ac-225, a promising cancer
therapeutic.

Science/Isotope Production and Distribution
Program Fund349

FY 2018 Congressional Budget Justification

350

Department Of Energy
FY 2018 Congressional Budget
Funding By Appropriation By Site

Page:

1

($K)

FY 2016
EnactedScience

FY 2017
Annualized CR

FY 2018
RequestAmes Laboratory
Advanced Scientific Computing Research
98

0

0

Basic Energy Sciences
Biological and Environmental Research

21,332

19,245

16,611

Biological and Environmental Research
Workforce Development for Teachers and Scientists

1,200

1,200

1,000

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure

445

410

0

0

2,000

0

1,293

1,231

1,229

24,36824,086

18,840Program Direction

536

633

322

Total, Ames Site Office

536

633

322

Advanced Scientific Computing Research
Basic Energy Sciences

96,61583,956

103,472

Basic Energy Sciences
Biological and Environmental Research

247,813

236,609214,738

Biological and Environmental ResearchHigh Energy Physics

32,20630,51819,598High Energy Physics
Nuclear Physics

17,347

15,973

12,700

Nuclear Physics
Workforce Development for Teachers and Scientists

29,50628,53023,975

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure

1,231

1,180

0

Science Laboratories Infrastructure
Safeguards and Security

27,51026,41829,605

Safeguards and Security

9,022

9,245

9,166

Total, Argonne National Laboratory

461,250

432,429

413,254

Program Direction

3,852

4,449

4,314

Total, Argonne Site Office

3,852

4,449

4,314

Advanced Scientific Computing Research
Basic Energy Sciences

Science Laboratories Infrastructure
Safeguards and Security
Safeguards and Security
Total, Ames Laboratory
Ames Site Office
Program Direction

Argonne National Laboratory
Advanced Scientific Computing Research

Argonne Site Office
Program Direction

Science351

FY 2018 Congressional Budget Request

Department Of Energy
FY 2018 Congressional Budget
Funding By Appropriation By Site

Page:

2

($K)

FY 2016
EnactedScience

FY 2017
Annualized CR

FY 2018
RequestBerkeley Site Office
Program Direction
Program Direction

2,970

3,377

3,298

Total, Berkeley Site Office

2,970

3,377

3,298

971

1,180

0

Basic Energy Sciences
Biological and Environmental Research

193,047

173,628

134,626

Biological and Environmental ResearchHigh Energy Physics

11,938

9,814

7,200

High Energy Physics
Nuclear Physics

74,291

68,61946,440

Nuclear Physics
Workforce Development for Teachers and Scientists

191,339

189,280

176,245

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure

1,964

1,310

0

0

0

1,500

13,416

12,36912,413486,966

456,200

378,424

Program Direction

4,262

4,814

4,485

Total, Brookhaven Site Office

4,262

4,814

4,485

Brookhaven National Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences

Science Laboratories Infrastructure
Safeguards and Security
Safeguards and Security
Total, Brookhaven National Laboratory
Brookhaven Site Office
Program Direction

Science352

FY 2018 Congressional Budget Request

Department Of Energy
FY 2018 Congressional Budget
Funding By Appropriation By Site

Page:

3

($K)

FY 2016
EnactedScience

FY 2017
Annualized CR

FY 2018
RequestChicago Operations Office
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences

38,50731,158

11,929Basic Energy Sciences
Biological and Environmental Research

302,252

286,394

277,466

Biological and Environmental Research
Fusion Energy Sciences

130,050

97,066

41,159Fusion Energy Sciences
High Energy Physics

167,025

111,775

100,974High Energy Physics
Nuclear Physics

117,581

105,432

58,140

Nuclear Physics
Science Laboratories Infrastructure

180,973

179,680

123,713

Science Laboratories Infrastructure
Safeguards and Security

1,149

1,710

1,713

45

45

50

Program Direction

25,24023,56721,065

Total, Chicago Operations Office962,822836,827

636,209

355

530

0

Basic Energy Sciences
Fusion Energy Sciences

1,496

1,424

995

Fusion Energy Sciences
High Energy Physics

20

0

0

367,505367,387376,699

Nuclear Physics
Workforce Development for Teachers and Scientists

45

25

30

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure

274

210

0

9,000

0

1,500

5,610

5,297

5,341

384,305

374,873384,565

Safeguards and Security
Program Direction

Fermi National Accelerator Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences

High Energy Physics
Nuclear Physics

Science Laboratories Infrastructure
Safeguards and Security
Safeguards and Security
Total, Fermi National Accelerator Laboratory

Science353

FY 2018 Congressional Budget Request

Department Of Energy
FY 2018 Congressional Budget
Funding By Appropriation By Site

Page:

4

($K)

FY 2016
EnactedScience

FY 2017
Annualized CR

FY 2018
RequestFermi Site Office
Program Direction
Program Direction

2,359

2,613

2,463

Total, Fermi Site Office

2,359

2,613

2,463

800

900

900

2,690

2,690

2,450

486

240

0

3,976

3,830

3,350

Advanced Scientific Computing Research
Basic Energy Sciences

153,596

146,644

127,513

Basic Energy Sciences
Biological and Environmental Research

168,425

154,736

135,147

Biological and Environmental Research
Fusion Energy Sciences

147,554

149,795

88,534Fusion Energy Sciences
High Energy Physics

3,466

2,466

0

High Energy Physics
Nuclear Physics

89,44265,57051,595

Nuclear Physics
Workforce Development for Teachers and Scientists

21,684

18,742

13,535

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure

1,302

740

0

Science Laboratories Infrastructure
Safeguards and Security

20,00028,96224,800

7,796

7,169

7,240

613,265

574,824

448,364

Idaho National Laboratory
Basic Energy Sciences
Basic Energy Sciences
Fusion Energy Sciences
Fusion Energy Sciences
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Total, Idaho National Laboratory
Lawrence Berkeley National Laboratory
Advanced Scientific Computing Research

Safeguards and Security
Total, Lawrence Berkeley National Laboratory

Science354

FY 2018 Congressional Budget Request

Department Of Energy
FY 2018 Congressional Budget
Funding By Appropriation By Site

Page:

5

($K)

FY 2016
EnactedScience

FY 2017
Annualized CR

FY 2018
RequestLawrence Livermore National Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences

7,187

3,171

1,321

Basic Energy Sciences
Biological and Environmental Research

2,883

2,321

1,309

Biological and Environmental Research
Fusion Energy Sciences

23,35723,42415,033Fusion Energy Sciences
High Energy Physics

6,500

8,208

6,224

High Energy Physics
Nuclear Physics

4,605

2,825

825

848

1,000

904

290

300

0

45,67041,24925,616

Advanced Scientific Computing Research
Basic Energy Sciences

8,028

1,620

127

Basic Energy Sciences
Biological and Environmental Research

26,30925,1208,206

Biological and Environmental Research
Fusion Energy Sciences

23,437

24,391

10,900Fusion Energy Sciences
High Energy Physics

3,138

1,780

3,150

High Energy Physics
Nuclear Physics

2,085

2,107

1,705

Nuclear Physics
Workforce Development for Teachers and Scientists

10,519

7,927

6,823

500

270

0

74,016

63,21530,911

200

200

181

200

200

181

Nuclear Physics
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Total, Lawrence Livermore National Laboratory
Los Alamos National Laboratory
Advanced Scientific Computing Research

Workforce Development for Teachers and Scientists
Total, Los Alamos National Laboratory
National Energy Technology Lab
Basic Energy Sciences
Basic Energy Sciences
Total, National Energy Technology Lab

Science355

FY 2018 Congressional Budget Request

Department Of Energy
FY 2018 Congressional Budget
Funding By Appropriation By Site

Page:

6

($K)

FY 2016
EnactedScience

FY 2017
Annualized CR

FY 2018
RequestNational Renewable Energy Laboratory
Advanced Scientific Computing Research
173

0

0

14,416

11,41910,700

886

500

500

1,306

710

0

16,781

12,629

11,200

Basic Energy Sciences

365

300

0

Total, Nevada Operations Office

365

300

0

1,200

0

0

3,593

2,465

2,608

4,793

2,465

2,608

Advanced Scientific Computing Research
Basic Energy Sciences

2,719

0

1,000

Basic Energy Sciences
Biological and Environmental Research

4,279

1,925

850

Biological and Environmental Research
Fusion Energy Sciences

3,016

2,148

1,030

Fusion Energy Sciences
High Energy Physics

1,816

544

494

High Energy Physics
Nuclear Physics

1,024

251

0

Nuclear Physics
Workforce Development for Teachers and Scientists

572

467

353

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure

9,426

4,170

0

Science Laboratories Infrastructure
Safeguards and Security

1,000

1,000

0

1,997

1,925

1,929

25,84912,4305,656

Advanced Scientific Computing Research
Basic Energy Sciences
Basic Energy Sciences
Biological and Environmental Research
Biological and Environmental Research
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Total, National Renewable Energy Laboratory
Nevada Operations Office
Basic Energy Sciences

New Brunswick Laboratory Program Office
Science Laboratories Infrastructure
Science Laboratories Infrastructure
Program Direction
Program Direction
Total, New Brunswick Laboratory Program Office
Oak Ridge Institute for Science & Education
Advanced Scientific Computing Research

Safeguards and Security
Total, Oak Ridge Institute for Science & Education

Science356

FY 2018 Congressional Budget Request

Department Of Energy
FY 2018 Congressional Budget
Funding By Appropriation By Site

Page:

7

($K)

FY 2016
EnactedScience

FY 2017
Annualized CR

FY 2018
RequestOak Ridge National Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences

266,564

265,220

348,503

Basic Energy Sciences
Biological and Environmental Research

326,929

318,344285,357

Biological and Environmental Research
Fusion Energy Sciences

79,67774,904

26,041

Fusion Energy Sciences
High Energy Physics

134,790

133,465

78,021

125

550

450

Nuclear Physics
Science Laboratories Infrastructure

20,726

13,013

10,981

Science Laboratories Infrastructure
Safeguards and Security

12,00011,977

10,000Safeguards and Security

12,06012,374

12,215

Total, Oak Ridge National Laboratory

852,871

829,847

771,568

5,466

6,134

5,365

5,466

6,134

5,365

Basic Energy Sciences
Nuclear Physics

85

85

0

Nuclear Physics
Science Laboratories Infrastructure

0

86

0

Science Laboratories Infrastructure
Safeguards and Security

6,177

6,165

6,082

Safeguards and Security
Program Direction

20,577

21,79422,074Program Direction

27,63823,725

21,338

Total, Oak Ridge Office54,47751,85549,494High Energy Physics
Nuclear Physics

Oak Ridge National Laboratory Site Office
Program Direction
Program Direction
Total, Oak Ridge National Laboratory Site Office
Oak Ridge Office
Basic Energy Sciences

Science357

FY 2018 Congressional Budget Request

Department Of Energy
FY 2018 Congressional Budget
Funding By Appropriation By Site

Page:

8

($K)

FY 2016
EnactedScience

FY 2017
Annualized CR

FY 2018
Request

Office of Scientific & Technical Information
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences

236

214

145

Basic Energy Sciences
Biological and Environmental Research

557

0

0

Biological and Environmental Research
Fusion Energy Sciences

257

76

152

Fusion Energy Sciences
High Energy Physics

221

145

0

High Energy Physics
Nuclear Physics

277

230

0

Nuclear Physics
Workforce Development for Teachers and Scientists

246

211

108

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure

50

0

0

Science Laboratories Infrastructure
Safeguards and Security

200

200

0

Safeguards and Security
Program Direction

682

784

783

Program Direction

8,938

8,620

8,084

11,664

10,4809,272

Advanced Scientific Computing Research
Basic Energy Sciences

8,842

1,519

1,779

Basic Energy Sciences
Biological and Environmental Research

31,18529,71825,577

Biological and Environmental Research
Fusion Energy Sciences

117,392

105,685

54,967

Fusion Energy Sciences
High Energy Physics

1,913

1,763

1,150

High Energy Physics
Nuclear Physics

3,256

3,425

2,600

Nuclear Physics
Workforce Development for Teachers and Scientists

500

0

0

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure

1,029

760

0

0

0

1,000

13,383

12,83912,654

155,70999,727

Total, Office of Scientific & Technical Information
Pacific Northwest National Laboratory
Advanced Scientific Computing Research

Science Laboratories Infrastructure
Safeguards and Security
Safeguards and Security
Total, Pacific Northwest National Laboratory

Science

177,500

358

FY 2018 Congressional Budget Request

Department Of Energy
FY 2018 Congressional Budget
Funding By Appropriation By Site

Page:

9

($K)

FY 2016
EnactedScience

FY 2017
Annualized CR

FY 2018
RequestPacific Northwest Site Office
Program Direction
4,855

4,969

4,651

4,855

4,969

4,651

295

0

0

Basic Energy Sciences
Fusion Energy Sciences

1,300

1,300

1,000

Fusion Energy Sciences
High Energy Physics

92,37876,89962,965High Energy Physics
Workforce Development for Teachers and Scientists

200

0

0

Workforce Development for Teachers and Scientists
Safeguards and Security

487

250

0

2,771

2,535

2,684

97,43180,984

66,649Program Direction

1,764

1,607

1,602

Total, Princeton Site Office

1,764

1,607

1,602

Advanced Scientific Computing Research
Basic Energy Sciences

11,768

2,829

2,257

Basic Energy Sciences
Biological and Environmental Research

34,791

28,326

12,646

Biological and Environmental Research
Fusion Energy Sciences

10,413

13,3895,950

Fusion Energy Sciences
High Energy Physics

2,774

2,543

2,170

35

100

0

130

100

0

59,91147,28723,023

Program Direction
Total, Pacific Northwest Site OfficePrinceton Plasma Physics Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences

Safeguards and Security
Total, Princeton Plasma Physics Laboratory
Princeton Site Office
Program Direction

Sandia National Laboratories
Advanced Scientific Computing ResearchHigh Energy Physics
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Total, Sandia National Laboratories

Science359

FY 2018 Congressional Budget Request

Department Of Energy
FY 2018 Congressional Budget
Funding By Appropriation By Site

Page:

10

($K)

FY 2016
EnactedScience

FY 2017
Annualized CR

FY 2018
RequestSavannah River National Laboratory
Basic Energy Sciences
Basic Energy Sciences
Fusion Energy Sciences

737

737

Fusion Energy Sciences

425

425

0

1,162

1,162

292

852

125

0

Basic Energy Sciences
Biological and Environmental Research

408,437

403,064

362,200

Biological and Environmental Research
Fusion Energy Sciences

3,940

4,011

800

Fusion Energy Sciences
High Energy Physics

8,014

7,948

5,300

High Energy Physics
Nuclear Physics

91,52095,63654,059

Nuclear Physics
Workforce Development for Teachers and Scientists

269

789

506

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure

400

350

0

34,80034,952

0

4,257

4,247

4,251

552,489

551,122427,116

Program Direction

2,309

2,404

2,327

Total, Stanford Site Office

2,309

2,404

2,327

Total, Savannah River National Laboratory

292

SLAC National Accelerator Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences

Science Laboratories Infrastructure
Safeguards and Security
Safeguards and Security
Total, SLAC National Accelerator Laboratory
Stanford Site Office
Program Direction

Science360

FY 2018 Congressional Budget Request

Department Of Energy
FY 2018 Congressional Budget
Funding By Appropriation By Site

Page:

11

($K)

FY 2016
EnactedScience

FY 2017
Annualized CR

FY 2018
RequestThomas Jefferson National Accelerator Facility
Advanced Scientific Computing Research
284

0

0

1,040

140

0

119,587

112,804

96,818

180

150

0

2,687

2,709

2,717

123,778

115,803

99,535

1,835

1,861

1,739

1,835

1,861

1,739

Advanced Scientific Computing Research
Basic Energy Sciences

23,91081,653

123,964

Basic Energy Sciences
Biological and Environmental Research

61,362

149,690

65,699Biological and Environmental Research
Fusion Energy Sciences

23,67770,921

76,086

Fusion Energy Sciences
High Energy Physics

12,83086,51647,042High Energy Physics
Nuclear Physics

24,66765,244

67,487

Nuclear Physics
Workforce Development for Teachers and Scientists

40,286

63,37348,7090

8,313

14,000564

00Safeguards and Security
Program Direction

7,404

8,242

8,254

Program Direction

89,383

93,41084,855

284,083

627,362

536,096

5,350,200

5,340,029

4,472,516

Advanced Scientific Computing ResearchHigh Energy Physics
High Energy Physics
Nuclear Physics
Nuclear Physics
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Safeguards and Security
Safeguards and Security
Total, Thomas Jefferson National Accelerator Facility
Thomas Jefferson Site Office
Program Direction
Program Direction
Total, Thomas Jefferson Site Office
Washington Headquarters
Advanced Scientific Computing Research

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure
Science Laboratories Infrastructure
Safeguards and Security

Total, Washington Headquarters
Total, Science

Science361

FY 2018 Congressional Budget Request

362

GENERAL PROVISIONS – DEPARTMENT OF ENRGY(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 toinitiate or resume any program, project, or activity or to prepare or initiate Requests For Proposals or similar arrangements(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 at least 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 acontract 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 recipient of
the award, the amount of the award, the fiscal year for which the funds for the award were appropriated, the accountand program, project, or activity from which the funds are being drawn, the title of the award, and a brief descriptionof 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 madeavailable 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 thetime of award; or(2) the contract, grant, or cooperative agreement includes a clause conditioning the Federal Government's obligationon the availability of future year budget authority and the Secretary notifies the Committees on Appropriations ofboth 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 "Final Bill" column in the "Department ofEnergy" table included under the heading "Title III—Department of Energy" in the 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 the Committees on Appropriations of both Houses of Congress at least 30 days prior to the use ofany 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 the time period covered by this Act.
(f) None of the funds provided in this title shall be available for obligation or expenditure through a reprogramming offunds 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 by thisAct; 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 of funds
made available for the Department of Energy if compliance with such requirement or restriction would pose a substantial
risk to human health, the environment, welfare, or national security.
(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.
SEC. 302. 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 with funds inGeneral Provisions

363

FY 2018 Congressional Budget Justification

the applicable established accounts and thereafter may be accounted for as one fund for the same time period as originallyenacted.
SEC. 303. Funds appropriated by this or any other Act, or made available by the transfer of funds in this Act, for intelligence
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 2018 until the enactment of the Intelligence Authorization Act for fiscal year
2018.
SEC. 304. None of the funds made available in this title shall be used for the construction of facilities classified as highhazard nuclear facilities under 10 CFR Part 830 unless independent oversight is conducted by the Office of Enterprise
Assessments to ensure the project is in compliance with nuclear safety requirements.
SEC. 305. 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 thetotal project cost exceeds $100,000,000, until a separate independent cost estimate has been developed for the project forthat critical decision.
SEC. 306. Notwithstanding section 301(c) of this Act, none of the funds made available under the heading "Department ofEnergy—Energy Programs—Science" in this or any subsequent Energy and Water Development and Related Agencies
appropriations Act for any fiscal year may be used for a multiyear contract, grant, cooperative agreement, or Other
Transaction Agreement of $1,000,000 or less unless the contract, grant, cooperative agreement, or Other Transaction
Agreement is funded for the full period of performance as anticipated at the time of award.
SEC. 307. (a) NEW REGIONAL RESERVES.—The Secretary of Energy may not establish any new regional petroleum productreserve unless funding for the proposed regional petroleum product reserve is explicitly requested in advance 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. Uranium Lease and Take-Back Revolving Fund.—There is hereby established in the Treasury of the United States afund to be known as the "Uranium Lease and Take-Back Revolving Fund" (the Fund), which shall be available without fiscal
year limitation, for Department of Energy expenses, including the purchase, construction, and acquisition of plant andcapital equipment and other expenses necessary in carrying out section 3173 of the National Defense Authorization Act for
Fiscal Year 2013. For initial capitalization, there is appropriated $1,000,000 to the Fund. Notwithstanding 31 U.S.C. 3302,
revenues received under section 3173 of such Act in this and subsequent fiscal years shall be credited to the Fund to beavailable for carrying out the purposes of the Fund without further appropriation. Funds collected in fiscal year 2018 shallbe credited as offsetting collections to the Fund, so as to result in a final fiscal year 2018 appropriation from the generalfund estimated at not more than $0.
SEC. 309. Treatment of Lobbying and Political Activity Costs as Allowable Costs under Department of Energy Contracts.
(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), no later than 150 days after the date of the enactment of this Act. Such regulations shall beconsistent with the Federal Acquisition Regulation 48 C.F.R. 31.205–22.

General Provisions

364

FY 2018 Congressional Budget Justification

SEC. 310. Not to exceed 5 percent of any appropriation made available for Department of Energy activities funded in thisAct 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. 311. Notwithstanding section 161 of the Energy Policy and Conservation Act (42 U.S.C. 6241), the Secretary of Energy
shall draw down and sell one million barrels of refined petroleum product from the Strategic Petroleum Reserve during
fiscal year 2018. Proceeds from sales under this section shall be deposited into the general fund of the Treasury during
fiscal year 2018.

General Provisions

365

FY 2018 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 to communicate toMembers of Congress as described in 18 U.S.C. 1913.
SEC. 502. 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).

Title V – General Provisions

366

FY 2018 Congressional Budget Justification