DOE/CF-0142
Volume 4

Department of Energy
FY 2019 Congressional
Budget Request

ScienceFebruary 2018

Office of Chief Financial Officer

Volume 4

DOE/CF-0142
Volume 4

Department of Energy
FY 2019 Congressional
Budget Request

ScienceFebruary 2018

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

Volume 4

FY 2019 Congressional Budget
Science
Table of Contents
Page
Appropriation Account Summary ............................................................................................................................................ 1
Overview .................................................................................................................................................................................. 7
Advanced Scientific Computing Research.............................................................................................................................. 17
Basic Energy Sciences ............................................................................................................................................................ 49
Biological and Environmental Research............................................................................................................................... 125
Fusion Energy Sciences ........................................................................................................................................................ 149
High Energy Physics ............................................................................................................................................................. 189
Nuclear Physics .................................................................................................................................................................... 253
Workforce Development for Teachers and Scientists ......................................................................................................... 303
Science Laboratories Infrastructure..................................................................................................................................... 313
Safeguards and Security ...................................................................................................................................................... 371
Program Direction................................................................................................................................................................ 377
Isotope Production and Distribution Program Funds .......................................................................................................... 389
Crosscuts .............................................................................................................................................................................. 393
General Provisions ............................................................................................................................................................... 399

FUNDING BY APPROPRIATION($K)
FY 2017
EnactedDepartment of Energy Budget by Appropriation
Energy and Water Development, and Related Agencies
Energy Programs
Energy Efficiency and Renewable Energy
Electricity Delivery and Energy Reliability
Electricity Delivery
Cybersecurity, Energy Security, and Emergency Response
Nuclear Energy

FY 2018
Annualized CR*

FY 2019
RequestFY 2019 Request
vs FY 2017 Enacted$%

2,034,582
229,585001,015,821

2,040,249
228,026001,008,922

695,610061,30995,800757,090-1,338,972-229,585+61,309+95,800-258,731-65.8%-100.0%
N/A
N/A-25.5%

421,154
12,005
222,605
6,497
662,261

425,093
14,848221,4856,456
667,882502,070
10,000175,105
10,000697,175+80,916-2,005-47,500+3,503+34,914+19.2%-16.7%-21.3%+53.9%+5.3%

Uranium Enrichment Decontamination and Decommissioning (D&D) Fund
Energy Information Administration
Non-Defense Environmental Cleanup
Science
Advanced Research Projects Agency - Energy
Nuclear Waste Disposal (30M in DNWF 050)
Departmental Administration
Inspector General
Title 17 - Innovative Technology Loan Guarantee Program
Advanced Technology Vehicles Manufacturing Loan Program
Tribal Energy Loan Guarantee Program
Total, Energy Programs

767,929
122,000
246,7625,390,972
305,2450120,863
44,424
139
3,883
9,000
10,953,466

763,106
121,171245,324
5,354,362
303,1720120,179
44,122
16,7494,966
8,939
10,927,169

752,749
115,035
218,400
5,390,972
0
90,000139,534
51,3307,000
1,000-8,5009,064,504-15,180-6,965-28,3620-305,245+90,000+18,671+6,906+6,861-2,883-17,500-1,888,962

-2.0%
-5.7%
-11.5%
N/A-100.0%N/A+15.4%+15.5%+4,936.0%-74.2%-194.4%-17.2%

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

9,240,739
1,879,738
1,419,792
387,366
12,927,635

9,241,675
1,885,970
1,410,455
384,736
12,922,836

11,017,078
1,862,825
1,788,618
422,529
15,091,050+1,776,339-16,913+368,826+35,163+2,163,415+19.2%-0.9%+26.0%+9.1%+16.7%

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

5,404,217
781,703
06,185,920
19,113,555

5,368,298
778,676
0
6,146,974
19,069,810

5,630,217
853,300
30,0006,513,517
21,604,567+226,000+71,597+30,000+327,597+2,491,012

+4.2%
+9.2%
N/A
+5.3%
+13.0%

0
11,057
94,742
232-23,000
83,031

0
10,982
94,099230-22,844
82,4670
10,40089,372
228-23,000
77,0000-657-5,370-4
0-6,031

N/A
-5.9%
-5.7%
-1.7%
N/A
-7.3%

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

Power Marketing Administrations
Southeastern Power Administration
Southwestern Power Administration
Western Area Power Administration
Falcon and Amistad Operating and Maintenance Fund
Colorado River Basins
Total, Power Marketing Administrations
Federal Energy Regulatory Commission (FERC)
Subtotal, Energy and Water Development, and Related Agencies
Uranium Enrichment D&D Fund Discretionary Payments
Defense EM Funded Uranium Enrichment D&D Fund Contribution
Excess Fees and Recoveries, FERC
Title XVII Loan Guarantee Program Section 1703 Negative Credit Subsidy Receipt
Sale of Northeast Gas Reserve
Defense Programs Rescission of Balances (Undistributed)
Title 17 Loan Guarantee Program Rescission
Total, Funding by Appropriation

0

0

0

0

N/A

30,150,052

30,079,446

30,746,071+596,019+2.0%-563,000
563,000-16,645-37,000
0-43-9,00030,087,364-559,177
559,177-9,000-37,000
0-43-8,93930,024,464

0
0-16,000-44,000-77,0000030,609,071+563,000-563,000+645-7,000-77,000+43+9,000+521,707+100.0%-100.0%+3.9%-18.9%
N/A+100.0%+100.0%+1.7%*Note.—A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is
operating under the Continuing Appropriations Act, 2018 (Division D of P.L. 115–56, as amended). The amounts included for 2018 reflect the annualized level provided
by the continuing resolution.

Funding by Appropriation

1

FY 2019 Congressional Budget Justification

2

Science

Science

This page intentionally left blank5

6

Science($K)
FY 2017 Enacted
5,390,972

FY 2018 Annualized CR
5,354,362 a

FY 2019 Request
5,390,972

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 26 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 2017 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 2019 Request
The FY 2019 Request for SC is $5,391.0 million, the same as the FY 2017 Enacted level, to implement the Administration’s
objectives for achieving overall reductions in civilian, discretionary spending and address the Administration’s research anddevelopment priorities in American Security, Prosperity, and Energy Dominance b. The FY 2019 Request supports a balanced
research portfolio of basic scientific research probing some of the most fundamental questions in areas such as: high energy,
nuclear, and plasma physics; materials and chemistry; biological and environmental systems; applied mathematics; next
generation high-performance computing and simulation capabilities; and basic research for advancement in new energy
technologies. The Request supports SC’s basic research portfolio, which includes extramural grants and contracts supporting
over 22,000 researchers located at over 300 institutions and the 17 DOE national laboratories, spanning all fifty states andthe District of Columbia. In FY 2019, SC’s suite of 26 scientific user facilities will continue to provide unmatched tools andcapabilities for nearly 32,000 users per year 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 facilitya A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes thisaccount is operating under the Continuing Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for2018 reflect the annualized level provided by the continuing resolution. (These amounts are shown only at the Congressional control level
and above; below that level, a dash (—) is shown).
b M-17-30, OMB Memo: FY 2019 Administration Research and Development Budget Priorities

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FY 2019 Congressional Budget Justification

upgrades to continue to provide world class research capabilities to U.S. researchers. SC allocates Working Capital Fundcharges for common administrative services to the research programs and the program direction account.
Highlights of the FY 2019 Request by Program Office include:Advanced Scientific Computing Research (ASCR) supports research to discover, develop, and deploy computational andnetworking capabilities to analyze, model, simulate, and predict complex phenomena important to the DOE and theUnited States. The ASCR Request of $899.0 million, is an increase of $252.0 million, or 39.0 percent, above the FY 2017
Enacted level. The increase supports activities to accelerate the Department’s Exascale Computing Initiative (ECI) andintends to enable delivery of at least one exascale-capable system in 2021―reasserting U.S. leadership in this criticalarea. Within ASCR, ECI consists of two components, Office of Science Exascale Project (SC-ECP), which supports theresearch and development focused on addressing the challenges of exascale and the second component, preparations
for the deployment of at least one exascale system at an ASCR Leadership Computing Facility (LCF) in 2021. To ensure
continued progress during and after the ECI, this Request also increases support for ASCR’s fundamental research in
Applied Mathematics and Computational Partnerships with a focus on advanced technologies such as quantum
information science, including quantum computing and networking, and on new methods, software and tools forscientific machine learning for discovery and decision support. Funding for the LCF’s is significantly increased tocontinue site preparations and non-recurring engineering investment with their vendors that will allow them to deploy
at least one exascale-capable system as rapidly as possible. The Argonne Leadership Computing Facility (ALCF) willprocure a large developmental testbed to test activities from non-recurring engineering investments and to provide ECP
applications and software technology projects to test their codes. The FY 2019 Request also supports the operations of
the 200 petaflop (pf) Summit system at the Oak Ridge Leadership Computing Facility and the 10 petaflop (pf) Mira and8.5 pf Theta systems at the ALCF for existing users while the ALCF upgrade project continues. The National Energy
Research Scientific Computing Center (NERSC) will operate the 30 pf Cori supercomputer. Funds will support continued
operations of the Energy Sciences Network and for the ESnet upgrade 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
Request of $1,850.0 million is a decrease of $21.5 million, or 1.1 percent, below the FY 2017 Enacted level. The FY 2019
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. The highest priorities incore research are quantum information science (QIS), ultrafast science, computational materials and chemical sciences
as part of the ECI, and materials and chemistry for future nuclear energy. In the remaining core research activities, BES
will place emphasis on basic science areas with the potential to transform the understanding and control of matter andenergy 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
Request provides funding for the two BES-supported Energy Innovation Hubs, Batteries and Energy Storage and Fuels
from Sunlight, and for the DOE Established Program to Stimulate Competitive Research. In the BES suite of facilities, theRequest provides funds for operating the Linac Coherent Light Source (LCLS) in support of the priority on ultrafast
science and to fully fund the last year of the LCLS-II construction project per the project plan. To allow installation
activities for the LCLS-II construction project to proceed, LCLS will be shut down for one year, starting around second
quarter of FY 2019. The four remaining x-ray facilities, both BES-supported neutron sources, and five nanoscience
centers will continue operations. Funding for the Advanced Photon Source Upgrade (APS-U) project increases per the
project plan. The request includes funds to initiate the Advanced Light Source Upgrade (ALS-U) project and the Linac
Coherent Light Source-II High Energy (LCLS-II-HE) project.

Biological and Environmental Research (BER) supports transformative science and scientific user facilities to achieve a
predictive understanding of complex biological, earth, and environmental systems for energy and infrastructure
security, independence, and prosperity. The BER Request of $500.0 million is a decrease of $112.0 million, or 18.3
percent, below the FY 2017 Enacted level. The FY 2019 Request implements Administration priorities for early-stage
fundamental research focused on biological and earth and environmental systems. The Biological Systems Science
subprogram implements priority-shifts to the core research areas of Genomic Sciences, adding new efforts in secure

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FY 2019 Congressional Budget Justificationbiosystems design to ongoing activities in systems biology and environmental genomics, and fully supports the second
year of the recompeted four DOE Bioenergy Research Centers. Biomolecular Characterization and Imaging Science(formerly known as Mesoscale to Molecules and Structural Biology Infrastructure) research supports structural, spatial
and temporal understanding of functional biomolecules and processes within living cells, including new efforts incharacterization of QIS advanced sensors. In the Earth and Environmental Systems Sciences subprogram, the Request
focuses on continuing to prioritize development of the DOE high-resolution earth system model and for model
diagnostics and intercomparisons. The Request supports operations of BER’s three scientific user facilities: the DOE
Joint Genome Institute (JGI), the Environmental Molecular Sciences Laboratory (EMSL), and the Atmospheric Radiation
Measurement Research Facility (ARM). BER also requests funding for the acquisition and replacement of the ARM aerial
capability as a Major Item of Equipment (MIE).
•

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 2019 Request of $340.0
million is a decrease of $40.0 million, or 10.5 percent, below the FY 2017 Enacted level. FES investments in user facility
operations focus on the completion of DIII-D facility improvements that began in FY 2018, followed by 12 weeks ofresearch operation to exploit these new tools and address priority science areas identified by recent community
workshops. In addition, the Request includes funding for NSTX-U at the Princeton Plasma Physics Laboratory to
implement repairs and corrective actions required to obtain robust, reliable research operations, and enhanced
collaborative research at other facilities to support NSTX-U research program priorities. Funding for high-performancescientific computing through the SciDAC partnership with ASCR increases to accelerate development of a whole-device
modeling capability and increase readiness for the exascale era. The FY 2019 Request will continue support forleveraged research opportunities by U.S. scientists on international superconducting tokamak and stellarator facilities
with unique capabilities. Funding will be provided for the Materials-Plasma Exposure eXperiment Major Item ofEquipment (MIE) project; which will address critical fusion material science questions. FES will initiate scoping studies toevaluate plans for an upgrade to the Matter in Extreme Conditions end station at LCLS and to assess options for aneutron source to test materials in a fusion-like environment. The Request will emphasize support for core discovery
plasma science experiments on intermediate-scale collaborative facilities. Support will continue for low-temperatureplasma research and high energy density plasma research, with connections and spinoffs to U.S. industry. The FY 2019
Request includes funding for the ITER project focusing on the highest-priority, in-kind contributions.

High Energy Physics (HEP) supports research to understand how the universe works at its most fundamental level by
discovering the most elementary constituents of matter and energy, probing the interactions among them, andexploring the basic nature of space and time itself. The FY 2019 Request of $770.0 million is a decrease of $55.0 million,
or 6.7 percent, below the FY 2017 Enacted level. The FY 2019 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 P5 report identified the High-Luminosity Large Hadron Collider (HL-LHC) accelerator and A Toroidal LHC
Apparatus (ATLAS) and Compact Muon Solenoid (CMS) Detector Upgrade Projects as the highest priority in the nearterm, and Long-Baseline Neutrino Facility and Deep Underground Neutrino Experiment (LBNF/DUNE) as the highestpriority large project in its timeframe. To continue our strong international partnership with CERN, the FY 2019 Request
will increase support to these high-priority projects. The Request will enhance support for the LBNF/DUNE far-site civil
construction, including the excavation of the underground equipment caverns and connecting drift, and the continued
design effort work for the near site, cryogenic systems, and DUNE detectors. The Request supports preliminary design
and prototyping for the planned Proton Improvement Plan II (PIP-II) construction project. The Request will support mostprojects consistent with planned funding profiles: LBNF/DUNE, HL-LHC Accelerator Upgrade Project (HL-LHC AUP),
Muon to Electron Conversion Experiment (Mu2e), the Large Underground Xenon (LUX)-ZonEd Proportional scintillationin LIquid Noble gases (ZEPLIN) experiment (LZ), Super Cryogenic Dark Matter Search at Sudbury Neutrino Observatory
Laboratory (SuperCDMS-SNOLAB), and the Dark Energy Spectroscopic Instrument (DESI). The Mu2e and LZ projects will
receive final funding needed to complete all remaining project deliverables. The Request provides funding for two new
Major Items of Equipment (MIEs), the HL-LHC ATLAS Detector Upgrade and the HL-LHC CMS Detector Upgrade
Projects. The Request will support the operation of the Fermi National Accelerator Laboratory (Fermilab) Accelerator
Complex at 75% of optimal. The Request will also support design and fabrication for the Facility for Advanced
Accelerator Experimental Tests II (FACET-II) project. R&D that requires long-term investments including Advanced

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FY 2019 Congressional Budget Justification

Technology R&D, Accelerator Stewardship, and QIS will also be given higher priority in order to sustain world-leading
efforts and support Office of Science priorities.


Nuclear Physics (NP) supports experimental and theoretical research to discover, explore, and understand all forms of
nuclear matter. The FY 2019 Request of $600.0 million is a decrease of $22.0 million, or 3.5 percent, below the FY 2017
Enacted level. The FY 2019 Request will support the highest priority research and scientific user facilities to maintain
U.S. leadership in nuclear science. The FY 2019 Request will provide for operations of the Relativistic Heavy Ion Collider(RHIC) to confirm the origin of intriguing new phenomena observed in quark gluon plasma formation, operations of therecently completed 12 GeV Upgrade at the Continuous Electron Beam Accelerator Facility (CEBAF) to unravel themechanism of quark confinement, and 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) according to the performance baseline profile; FRIB will
provide world-leading capabilities for nuclear structure and astrophysics. The Request also supports the Gamma-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 also supports the initiation of the Strongly
Pioneering High Energy Nuclear Interaction eXperiment (sPHENIX) MIE, which will further explore the properties of thequark gluon plasma. The Request supports core research at universities and DOE national laboratories and thedevelopment of cutting-edge approaches for producing isotopes critical to the Nation.

Reorganization and Restructure Initiative
SC is currently reviewing all functions and the organizational structure to maximize efficiencies across all programs in an
attempt to increase efficiencies and reduce the Federal footprint. Through workforce analysis and restructuring, we willcontinue to review, analyze and prioritize mission requirements and identify those organizations and functions most in linewith the Administration and Department program objectives and SC strategic goals. Using available human capital
workforce reshaping tools, we have focused on functional consolidation, elimination of positions, and hiring limitations toachieve necessary results. SC has completed two VERA/VSIP buyout exercises that have helped to streamline theorganization. SC is reviewing the field operations to identify areas of efficiency and potential reductions for the Integrated
Service Centers (ISC) and the site offices. SC is reviewing the potential to reorganize the ISCs by establishing functional
centers of excellence under one manager. Also, there is currently one site office for each national laboratory. By combiningsome of the site offices, better efficiencies can occur. Other areas under review include consolidation of SC’s Information
Technology services with those of the Department to boost security and efficiency. Safety and Security Technical Services
are being consolidated and moved to the ISCs for better management of resources. These actions are in the process of
being reviewed and implemented within SC. The review process continues as SC looks for other areas to reorganize to
become a more effective and efficient office.
Basic and Applied R&D Coordination
Coordination between the Department’s basic research and applied technology programs is a high priority within DOE and isfacilitated through joint planning meetings, technical community workshops, annual contractor/awardee meetings, joint
research solicitations, focused DOE program office working groups in targeted research areas, and collaborative program
management of DOE’s Small Business Innovation Research and Small Business Technology Transfer programs. Co-funding ofresearch activities and facilities at the DOE 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 theinteragency level. Specific collaborative activities are highlighted in the “Basic and Applied R&D Coordination” sections ofeach individual SC program budget justification narrative.
High-Risk, High-Reward Researcha
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
a In compliance with the reporting requirements in the America COMPETES Act of 2007 (P.L. 110-69, section 1008)

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FY 2019 Congressional Budget Justification

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)a; Quantum Computing Testbed for Science, ASCR
workshop report (2017)b; Basic Research Needs Workshop on Innovation and Discovery of Transformative Experimental
Tools, Basic Energy Sciences workshop report (2017) c; Challenges at the Frontiers of Matter and Energy: Transformative
Opportunities for Discovery Science, by BES Advisory Committee (BESAC) (2015)d; Basic Research Needs Workshop on
Quantum Materials for Energy Relevant Technology, BES workshop report (2016)e; Grand Challenges for Biological andEnvironmental Research: Progress and Future Vision, by the BER Advisory Committee (BERAC) (2017)f; Technologies for
Characterizing Molecular and Cellular Systems, BER workshop report (2016)g; Plasma: at the Frontier of Scientific Discovery,
FES workshop report (2017)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 60 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 accelerator and detector
physics, neutron and x-ray scattering, nuclear chemistry, and computational sciences at the leadership computing level.
Lastly, SC supports the Early Career Research Program, which funds individual research programs by outstanding Ph.D.
scientists early in their careers in the disciplines supported by SC k. SC coordinates with other DOE offices and other agencies
on best practices for training programs and program evaluation through internal DOE working groups and active
participation in the National Science and Technology Council’s Committee on Science, Technology, Engineering, andMathematics Education. SC also participates in the American Association for the Advancement of Science’s Science &Technology Policy Fellowships program and the Presidential Management Fellows Program to bring highly qualified
scientists and professionals to DOE headquarters for a maximum term of two years.
Cybersecurity
DOE is engaged in two categories of cyber-related activities: protecting the DOE enterprise from a range of cyber threatsthat can adversely impact mission capabilities and improving cybersecurity in the electric power subsector and the oil andnatural gas subsector. The cybersecurity crosscut supports central coordination of the strategic and operational aspects ofcybersecurity and facilitates cooperative efforts such as the Joint Cybersecurity Coordination Center for incident response
and the implementation of Department-wide Identity, Credentials, and Access Management.

a http://science.energy.gov/~/media/hep/hepap/pdf/May%202014/FINAL_P5_Report_Interactive_060214.pdf
b https://science.energy.gov/~/media/ascr/pdf/programdocuments/docs/2017/QTSWReport.pdf
c https://science.energy.gov/~/media/bes/pdf/brochures/2017/Electrical_Energy_Brochure.pdf
d http://science.energy.gov/~/media/bes/besac/pdf/Reports/CFME_rpt_print.pdf

e https://science.energy.gov/~/media/bes/pdf/reports/2016/BRNQM_rpt_Final_12-09-2016.pdf

f https://science.energy.gov/~/media/ber/berac/pdf/Reports/BERAC-2017-Grand-Challenges-Report.pdf
g http://science.energy.gov/~/media/ber/pdf/workshop%20reports/VirtualEcosystems.pdf

h https://science.energy.gov/~/media/fes/pdf/program-news/Frontiers_of_Plasma_Science_Final_Report.pdf
i https://science.energy.gov/~/media/ber/pdf/community-

resources/Technologies_for_Characterizing_Molecular_and_Cellular_Systems.pdf

j https://science.energy.gov/np/nsac/reports/k https://science.energy.gov/early-career/

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FY 2019 Congressional Budget Justification

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FY 2019 Congressional Budget Justification

Science
Funding by Congressional Control ($K)
FY 2017
Enacted a

FY 2018
Annualized CR b

FY 2019 Request

FY 2019 Request
vs FY 2017
EnactedResearch

483,000

479,720

666,304+183,304

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

164,000

162,886

232,706+68,706

647,000

642,606

899,010+252,010

1,681,500

1,670,081

1,635,700-45,800

190,000

188,710

139,300-50,700

18-SC-10 Advanced Photon Source Upgrade, ANL

0—60,000+60,000

19-SC-10 Advanced Light Source Upgrade, LBNL

0—

10,000+10,000

19-SC-11 Linac Coherent Light Source-II-High Energy, SLAC

0

—

5,000

+5,000Total, Construction

190,000

188,710214,300+24,300

Total, Basic Energy Sciences

1,871,500

1,858,791

1,850,000-21,500

612,000

607,844

500,000-112,000

330,000

327,759

265,000-65,000

14-SC-60 ITER

50,00049,66075,000+25,000

Total, Fusion Energy Sciences

380,000

377,419

340,000-40,000

Advanced Scientific Computing Research

Total, Advanced Scientific Computing Research
Basic Energy Sciences
Research
Construction
13-SC-10 Linac Coherent Light Source-II, SLAC

Biological and Environmental Research
Fusion Energy Sciences
Research
Construction

a The FY 2017 Enacted level includes SBIR and STTR and reflects updates through the end of the fiscal year.
b A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).

Science/Funding by Congressional Control

13

FY 2019 Congressional Budget Justification

FY 2017
Enacted a

FY 2018
Annualized CR b

FY 2019 Request

FY 2019 Request
vs FY 2017
Enacted731,500

726,532

627,000-104,500

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

50,00049,660113,000+63,000

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

43,50043,20530,000-13,500

Total, Construction

93,50092,865143,000+49,500

Total, High Energy Physics

825,000

819,397770,000-55,000

522,000

520,576525,000+3,000100,000

97,20075,000-25,000

Total, Construction

100,000

97,20075,000-25,000

Total, Nuclear Physics

622,000

617,776

600,000-22,000

Workforce Development for Teachers and Scientists

19,50019,36819,000-500

Payment in Lieu of Taxes

1,764

1,752

1,513

-251

Oak Ridge Landlord

6,182

6,140

6,434

+252

Facilities and Infrastructure

32,60332,38230,724-1,879

Oak Ridge Nuclear Operations

26,00025,823

10,000-16,000

66,54966,097

48,671-17,878High Energy Physics
Research
Construction

Nuclear Physics
Operation and MaintenanceConstruction
14-SC-50 Facility for Rare Isotope Beams, Michigan State University

Science Laboratories Infrastructure
Infrastructure Support

Total, Infrastructure Support

Science/Funding by Congressional Control

14

FY 2019 Congressional Budget Justification

FY 2017
Enacted a

FY 2018
Annualized CR b

FY 2019 Request

FY 2019 Request
vs FY 2017
EnactedConstruction
19-SC-71 Science User Support Center, BNL

0

—

2,000

+2,00019-SC-72 Electrical Capacity and Distribution Capability, ANL

0—

20,000+20,000

18-SC-71 Energy Science Capability at PNNL

0

—

4,000

+4,00017-SC-71 Integrated Engineering Research Center, FNAL

2,500

2,483

5,000

+2,50017-SC-73 Core Facility Revitalization at BNL

1,800

1,788

13,632+11,832

15-SC-76 Materials Design Laboratory at ANL

19,59019,45720,000+410

15-SC-77 Photon Science Laboratory Building at SLAC

20,00019,8640-20,000

15-SC-78 Integrative Genomics Building at LBNL

19,561

19,42813,549-6,01263,451

63,02078,181+14,730

Total, Science Laboratories Infrastructure

130,000

129,117

126,852-3,148

Safeguards and Security

103,000

102,301

106,110+3,110Program Direction

182,000

180,764

180,000-2,000Subtotal, Science

5,392,000

5,355,383

5,390,972-1,028-1,028-1,0210+1,028

Total, Science

5,390,972

5,354,362

5,390,972

0Federal FTEs

870

825

835

-35

Total, Construction

Rescission of prior year balances

SBIR/STTR:
 FY 2017 Enacted: SBIR: $134,016,000 and STTR: $18,845,000 (SC only) FY 2019 Request: SBIR: $128,083,000 and STTR: $18,096,000 (SC only)

Science/Funding by Congressional Control

15

FY 2019 Congressional Budget Justification

Science/Funding by Congressional Control

16

FY 2019 Congressional Budget Justification

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 inresearch, development, and deployment of new computing systems along with the applied mathematics and software
technologies to effectively use the leading edge systems. The benefits of U.S. computational leadership have beenenormous – huge gains in increasing workforce productivity, accelerated progress in both science and engineering,
advanced manufacturing techniques and rapid prototyping, stockpile stewardship without testing, and the ability to explore,
understand and harness natural and engineered systems, which are too large, too complex, too dangerous, too small, or too
fleeting to explore experimentally. 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 U.S. dominance incomputing is under threat from significant investments in Asia and Europe. This is happening at a time when advances incomputing capabilities are becoming increasingly costly and risky. We cannot afford to fall further behind in an area that is
critical to the American prosperity because computing impacts our national security, every sector of our economy, andevery field of science and engineering. Therefore, this FY 2019 Request increases our investments in the Department ofEnergy (DOE) Exascale Computing Initiative (ECI) to lower the risk of the project and deliver at least one exascale-capablesystem in 2021 and a second system in the 2021-2022 timeframe. In addition, the FY 2019 Request includes support for
long-term investments in future computing technologies such as quantum information systems and artificial intelligence,areas where Asia and Europe are also investing heavily.
The DOE and its predecessor organizations have long played a key role in advancing U.S. computing capabilities inpartnership 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, nano-scalematerials science, applied mathematics and computer science – areas where DOE has provided long-term investments andworld-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 at the endof the current technology.
Maximizing the benefits of U.S. leadership in 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 in the National Strategic Computing Initiative (NSCI),
DOE will sustain and enhance its support for HPC research, development, and deployment as part of a coordinated Federal
strategy guided by five NSCI objectives:Accelerate delivery of a capable exascale computing system that integrates hardware and software capability to deliver
approximately 100 times the performance of current 10 petaflop systems across a range of applications representing
government needs.
Increase coherence between the technology base used for modeling and simulation and the one used for data analytic
computing.
Establish, over the next 15 years, a viable path forward for future HPC systems even after the limits of current
semiconductor technology are reached (the "post- Moore's Law era").

a Final report from the High Performance Computing Users Conference: Supercharging U.S. Innovation & Competitiveness, held in July 2004.

Science/Advanced Scientific Computing Research

17

FY 2019 Congressional Budget Justification

Increase the capacity and capability of an enduring national HPC ecosystem by employing a holistic approach that
addresses relevant factors such as networking technology, workflow, downward scaling, foundational algorithms andsoftware, accessibility, and workforce development.
Develop an enduring public-private collaboration to ensure that the benefits of the research and development (R&D)
advances are maximized and to the greatest extent, shared between the United States Government and industrial andacademic sectors.

Within the context of coordinated NSCI strategy, the DOE Office of Science (SC) initiated a long term research program inquantum information science to prepare for the “post-Moore’s Law era.” In addition, SC and the DOE National Nuclear
Security Administration (NNSA) are partnering on the ECI to overcome key exascale challenges in parallelism, energy
efficiency, and reliability, leading to deployment of a diverse set of exascale systems in the 2021-2022 timeframe. The ECI’s
goal for an exascale-capable system is a fifty-fold increase in sustained performance over today’s Titan system at Oak Ridge
National Laboratory (ORNL), with applications that address next-generation science, engineering, and data problems. The
ECI focuses on delivering advanced simulation through an exascale-capable computing program, which emphasizes
sustained performance on science and national security mission applications and increased convergence between exascaleand large-data analytic computing.
The SC FY 2019 Request funds two components of the ECI: planning, site preparations, and non-recurring engineering (NRE)at the Leadership Computing Facilities (LCF) to prepare for deployment of at least one exascale system in 2021, and the
ASCR-supported Office of Science Exascale Computing Project (SC-ECP), first proposed in the FY 2017 Request, which
includes only the R&D activities required to develop exascale-capable computers.
The scope of the SC-ECP has three areas which are focused on increasing the convergence of big compute and big data andcreating a holistic high performance computing ecosystem:

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

The SC-ECP is managed following the principles of DOE Order 413.3B, Program and Project Management for the Acquisitionof Capital Assets, which SC uses 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 is conducted via a Project Office established at ORNL because of its considerable
expertise in developing computational science and engineering applications; in managing HPC facilities, both for the
Department and for other federal agencies; and experience in managing distributed, large-scale scientific research projects,
such as the Spallation Neutron Source project. A Memorandum of Agreement is in place 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 2019 Request
The FY 2019 Request for ASCR increases our investments in the ECI to lower project risk to deliver at least one exascalecapable system in 2021. To ensure ASCR is meeting the HPC mission needs of the Office of Science during and after theexascale project, this Request prioritizes basic research for data intensive science, including machine learning and futurecomputing technologies, and increases support for ASCR’s Computational Partnerships with a focus on developing new
strategic partnerships in quantum computing and data intensive applications. Funding for the ASCR facilities supports
continued operations of the Oak Ridge Leadership Computing Facility (OLCF), the Argonne Leadership Computing Facility
Science/Advanced Scientific Computing Research18

FY 2019 Congressional Budget Justification

(ALCF), the National Energy Research Scientific Computing Center (NERSC), and the Energy Sciences Network (ESnet).
Funding will also support site preparations and NRE activities at the LCFs in support of a 2021 delivery of at least one
exascale computing system.
Mathematical, Computational, and Computer Sciences Research
Recognizing that Moore’s Law, where microchip feature sizes reduces by a factor of two approximately every two years, isnearing an end due to limits imposed by fundamental physics, ASCR began new activities in FY 2017 to explore futurecomputing, such as quantum information science, that are not based on silicon microelectronics. In FY 2019, ASCR willcontinue the research and computational partnerships with the other SC program offices aimed at understanding thechallenges that quantum information science pose to DOE mission applications and to identify the hardware, software, andalgorithms 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 2019, 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. In addition, fundamental changes to experimental and observational
sciences are presenting new data and computing challenges along with exciting opportunities to deliver transformative
capabilities to researchers. These changes are brought about by a confluence of factors that include, for example, thetremendous increases in data volumes and streaming data rates from experimental and observational devices;
opportunities to combine data sources for new insights; a need for real-time feedback or automated steering ofexperiments; and a need to find new ways to derive insights from increasingly complex, heterogeneous information
resources. Potential solutions to address these challenges rely on providing researchers with efficient and timely access todata and computing resources; effective use of new computing hardware; and new tools for analysis of big data. The
FY 2019 Request supports fundamental research in computer science and applied mathematics to address these challenges,
as well as partnerships among computer scientists, applied mathematicians, networking specialists, and domain scientists toaddress end-to-end analysis needs. The Request places a particular emphasis on machine learning for discovery anddecision support.
The Scientific Discovery through Advanced Computing (SciDAC) computational partnerships, which were recompeted in
FY 2017, use the software, tools, and methods developed by these core research efforts. This allows the other scientificprograms 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. In addition, newstrategic partnerships in quantum computing and data intensive applications will advance capabilities and broaden theimpact of these efforts. SciDAC investments are informed by the research results emerging from the ECI and will, wheneverpossible, incorporate the software, methods, and tools developed by that initiative.
The Next Generation Networking for Science activity was combined with other activities in FY 2018. Collaboratory efforts
previously supported by this activity are now supported by computational partnerships to strengthen the interconnectivityof these efforts. Other networking-related R&D is now supported within the Computer Science activity. In FY 2019, these
efforts will include research in new efforts in quantum networking.
High Performance Computing and Network Facilities
In FY 2019, 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 ALCF upgrade project will continue to focus on deployment of a system capable of delivering more than anexaflop performance in 2021. Site preparations continue along with NRE efforts with the vendor to develop features thatmeet ECI requirements. The OLCF will operate the IBM Summit system to allow users to harness up to 200 petaflops ofsustained performance while beginning preparation for an exascale upgrade in the 2021-2022 timeframe that isarchitecturally diverse from the ALCF 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 address growing demand for capacity computing to meet mission needs, the FY
2019 Request supports activities for an upgrade to NERSC-9, which will have three to five times the capacity of NERSC-8 in

Science/Advanced Scientific Computing Research19

FY 2019 Congressional Budget Justification

2020. The Request also supports site preparation activities for the NERSC-9 upgrade, such as increased power and cooling
capacity, and NRE to ensure the new computing system meets the need of the diverse NERSC user community.
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.
Experienced computational scientists who assist a wide range of users in taking effective advantage of the advanced
computing resources are critical assets at both the LCFs and NERSC. To address this DOE mission need, ASCR continues tosupport the post-doctoral training program for high end computational science and engineering at the facilities through
ASCR facilities funding. In addition, the three ASCR HPC user facilities will continue to prepare their users for futurearchitectures.
ASCR will also continue 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 2019, 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) for the ESnet-6 upgrade in FY 2019 that will incorporate new optical technologies andincrease core capacity to more than one terabit (one trillion bits) per second—an increase of 2-10 times current capacity at
significantly lower per-wave deployment costs. The ESnet-6 upgrade will also continue to identify all of the critical researchnecessary to deploy these technologies with continued 99.999% reliability and enhanced cyber security protections.
Exascale Computing
Exascale computing is a central component of a long-term collaboration between the SC’s ASCR program and the NNSA’s
Advanced Simulation and Computing Campaign (ASC) program to maximize the benefits of the Department’s investments,
avoid duplication, and leverage the significant expertise across the DOE complex. The ASCR FY 2019 Request includes$472,706,000 for SC’s contribution to DOE’s Exascale Computing Initiative to support the development of an exascalecomputing software ecosystem, prepare mission critical applications to address the challenges of exascale, and deploy atleast one Exascale system in 2021 to meet national needs.
Exascale computing systems, capable of at least one billion billion (1 x 1018) calculations per second, are needed to advancescience objectives in the physical sciences, such as materials and chemical sciences, high-energy and nuclear physics,
weather and energy modeling, genomics and systems biology, as well as to support national security objectives and energy
technology advances in DOE. Exascale systems’ computational capabilities are also needed for increasing data-analytic anddata-intense applications across the DOE science and engineering programs and other Federal organizations that rely onlarge-scale simulations, e.g., the Department of Defense and the National Institutes of Health. The importance of exascalecomputing to the DOE science programs is documented in individual requirements reviews for each SC program office.
Because DOE partners with HPC vendors to accelerate and influence the development of commodity parts, the investments
in ECI will impact computing at all scales, ranging from the largest scientific computers and data centers to Departmentscale computing to home computers and laptops.
Partnerships with U. S. vendors will continue to build on previous DOE investments in the Design Forward and Fast Forward
pre-exascale activities to provide opportunities to accelerate our exascale efforts to keep pace with foreign competition.
However, significant risk remains in delivering on this potential. To reduce this risk, the Department will increase the site
preparations and NRE investments, initiated in FY 2018, between LCFs and U.S. vendors. As shown in the following table, the$472,706,000 funds continue application, software, and hardware development in SC-ECP and the site preparations and
NRE activities at the LCFs to support the deployment of an exascale computing system in 2021 at ANL, followed by a second
exascale system with a different advanced architecture at ORNL:

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FY 2019 Congressional Budget Justification

$232,706,000 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.
$240,000,000 in LCF activity to support operations of Theta and NRE, and site preparations for deployment of an
exascale system to be delivered to the ALCF in 2021 and an additional exascale system with a different architecture
at Oak Ridge in the 2021-2022 timeframe. Deployment of exascale systems will be through the LCFs as part of theirusual 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 2019 Crosscuts ($K)
ECI
472,706

Advanced Scientific Computing Research

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FY 2019 Congressional Budget Justification

Advanced Scientific Computing Research
Funding ($K)
FY 2017 Enacted

FY 2018 Annualized
CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

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

29,22929,29632,596
16,0006,369
113,490

–
–
–
–
–
–

40,31638,296
62,667–
5,352
146,631+11,087+9,000+30,071-16,000-1,017+33,141

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

92,145
190,000–
26,29345,00016,072369,510

–
–
–
–
–
–
–

80,000340,000(240,000)
24,45256,43518,786519,673-12,145+150,000(+240,000)-1,841+11,435+2,714+150,163

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

164,000

162,886

232,706+68,706

Total, Advanced Scientific Computing Research

647,000

642,606

899,010+252,010

SBIR/STTR funding: FY 2017 Enacted: SBIR $19,675,000 and STTR $2,766,000
 FY 2019 Request: SBIR $21,162,000 and STTR $2,976,000aA full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing Appropriations Act, 2018
(Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts are shown only at the Congressional control level andabove; below that level, a dash (—) is shown).

Science/Advanced Scientific Computing Research

FY 2019 Congressional Budget Justification

22

Advanced Scientific Computing Research
Explanation of Major Changes ($K)
FY 2019
Request vsFY 2017
EnactedMathematical, Computational, and Computer Sciences Research: The Computer Science and Applied Mathematics activities will increase theiremphasis on data-intensive science and 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 in applied math and computer science
into the strategic applications of the Office of Science to get the most out of the leadership computing systems. There is a particular emphasis within
the partnerships portfolio focus on future computing technologies such as quantum information science in partnership with Basic Energy Sciences(BES), Biological and Environmental Research (BER), High Energy Physics (HEP), and Nuclear Physics (NP) and on data intensive science. The Next
Generation Networking for Science activity was combined with other activities in FY 2018. Collaboratory efforts previously supported by this activity
are supported by computational partnerships to strengthen the interconnectivity of these efforts. Other networking-related R&D is now supported
within the Computer Science activity. This funding will include new efforts in quantum networking.

+33,141

High Performance Computing and Network Facilities: Increased facilities funding initiates activities 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 be deployed in the 2021-2022 timeframe. Funding also
supports operations, including increased power costs, upgrading, planning, and long lead site preparations at ASCR’s facilities. High Performance
Network Facilities and Testbeds will support the ESnet-6 upgrade to significantly increase capacity and security to all sites.

+150,163

Exascale Computing: The FY 2019 Request will support efforts in SC-ECP for the continued acceleration of application and software development for
both architectures, together with additional co-design centers, applications, partnerships with the vendors, and testbeds to ensure development of
hardware and software keep pace.

+68,706

Total, Advanced Scientific Computing Research+252,010

Science/Advanced Scientific Computing Research

FY 2019 Congressional Budget Justification

23

Basic and Applied R&D Coordination
Coordination across disciplines and programs is a cornerstone of the ASCR program. Partnerships within SC are mature andcontinue to advance the use of HPC and scientific networks for science. New partnerships with the other SC Programs havebeen established in quantum information science. Growing areas of collaboration will be in the area of data-intensive
science and readying applications for exascale. ASCR continues to have a strong partnership with NNSA for achieving the
Department’s goals for exascale computing. In April 2011, ASCR and NNSA strengthened this partnership by signing amemorandum of understanding for collaboration and coordination of exascale research within the Department. Throughthe National Information Technology Research and Development Subcommittee of the National Science and Technology
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 2019, cross-agency interactions andcollaborations will continue in coordination with the Office of Science and Technology Policy.
Program Accomplishments
Leadership Computing Adds Predictive Power to New Nuclear Reactor. The largest time-dependent simulation of a nuclear
power plant was run on the Oak Ridge Leadership Computing Facility to obtain accurate design predictions for the startup of
Watts Bar Unit 2 nuclear power plant, the United States’ first new nuclear reactor in 20 years. The simulation used data
supplied by two Consortium for Advanced Simulation of Light Water Reactors (CASL) members—the Tennessee Valley
Authority and the Westinghouse Electric Company. The simulations provided a detailed picture of the reactor’s hour-byhour behavior during power escalation when it came fully online in October 2016. In total, the CASL team calculated 4,128
state points, a task that required more than 2 million core-hours of compute time.
Finding New Ways to Remove Hazardous Chemicals from Mixtures. Removing hydrogen sulfide from natural gas is costly andenergy-intensive, limiting the economical use of raw natural gas reserves. Researchers from the University of Minnesota andthe ALCF developed new models to identify methods to remove hazardous chemicals from mixtures economically andwithout associated health risks. Using Mira, the researchers identified siliceous zeolites as the best candidates for removinghydrogen sulfide from mixtures of methane, ethanol, carbon dioxide, and nitrogen and simulated efficient processes that
use them. The findings from these studies will provide the natural-gas industry access to untapped reserves at reduced costand environment impact, and without health risks.
Interoperable Design of Extreme-scale Application Software. The ECP Interoperable Design of Extreme-scale Application
Software project released the first version of its Extreme-scale Scientific Software Development Kit (xSDK) to improve ECP
developer productivity and software sustainability while ensuring continued scientific success. The xSDK toolkit provides asuperior solution for application developers using libraries by enabling turnkey installation, compatible builds, andinteroperability, which is especially important for multi-scale and multi-physics projects that rely upon this functionality. The
current xSDK packages include four numerical libraries, two domain components, and nine others being staged as part of
future releases. The explicit ECP investment in developing, adapting, and adopting new and better software practices will
improve developer productivity and software sustainability at a time when such improvements are essential fortransforming capabilities for new platforms, coupling multiscale and multi-physics, and improving the effectiveness of DOE’s
highly skilled computational scientists.
How safe is your data? ASCR-supported researchers at the University of Wisconsin-Madison analyzed how modern
distributed storage systems behave in the presence of file-system faults such as data corruption and read and write errors.
They characterized eight popular distributed storage systems and uncover numerous bugs related to file-system fault
tolerance. According to their findings, modern distributed systems do not consistently use redundancy to recover from filesystem faults thus a single file-system fault can cause catastrophic outcomes such as data loss, corruption, and unavailability.
These research findings have led to numerous bug fixes by major storage vendors.
Largest ever simulation of a quantum computer. Quantum computing uses computational elements that obey quantum
mechanical laws to potentially provide transformative changes in computational power for certain high-impact tasks such as
the simulation of highly complex physical systems for applications of strategic importance to DOE and SC. Although aworking prototype of a universal quantum computer has not been realized yet, it is generally thought that a quantum
computer deploying 49 qubits—a unit of quantum information—will be able to match the computing power of today’s most
Science/Advanced Scientific Computing Research

FY 2019 Congressional Budget Justification24

powerful supercomputers. Both emulation and simulation are important for calibrating, validating and benchmarking
emerging quantum computing hardware and architectures. Simulation of quantum circuits is a general method that also
allows the inclusion of the effects of noise but such simulations can be very challenging even on today’s fastest
supercomputers. In April 2017, two researchers from the Swiss Federal Institute of Technology (ETH Zurich) havenevertheless successfully run the largest ever simulation of a quantum computer by using 8,192 of 9,688 Intel Xeon Phi
processors on NERSC’s newest supercomputer, Cori. The 45-qubit simulation was made possible by the performance boost
gained through the use of LBNL’s Roofline model during the optimization process. The Roofline model was developed by thecollaboration of 2 SciDAC Institutes (SUPER and FASTMath) between 2013 and 2017. It has quickly become a broadly usedperformance modeling methodology across the DOE community and recently Intel has embraced the approach andintegrated it into its production Intel® Advisor.
X-ray science breakthroughs enabled by advanced mathematical algorithms. An international team of researchers is gaining
insights into the three-dimensional structure and behavior of nanoscale viruses using newly-developed computational tools.
The breakthrough capitalized on new Multi-Tiered Iterative Phasing algorithms developed by LBNL’s Center for Advanced
Mathematics for Energy Applications. The algorithms and mathematics provide a new set of tools and building blocks fordata analyses of single-particle imaging experiments performed at X-ray free electron laser facilities such as the DOE Linac
Coherent Light Source at SLAC. In overcoming long-standing technical barriers, the mathematical developments have
immediate practical benefit for accelerating research discoveries using the most advanced x-ray light sources.
How to handle vast amounts of simulation data. Today’s supercomputers are capable of generating more data than they
can write to disk. For traditional workflows that rely on exporting the full state of the simulation every few time steps forpost-hoc analysis, this is a major hurdle that will become even more entrenched as the ability to export data does not keep
pace with the ability to generate data on future computing platforms. That’s one reason why scientists are now looking to
do more of the analysis of the simulation data inside the supercomputer—a technique referred to as in situ analysis. In situ
analysis, however, comes with its own challenges, for example, analysis calculations perform differently from the simulation
calculations. Novel computer science techniques are needed to balance the workloads of the different calculations within
the machine and manage the sharing of data between the types of calculations. Two in situ methods are used, often in
combination: the first does some portion of the analysis calculation within the simulation routine; the second does aportion of the analysis alongside the simulation, but shares data with the simulation as needed. Challenges of the in situ
workflow include determining which analysis tasks can be done within the simulation and which have to be done alongsideit, and how to allocate resources to each. In situ technologies for HPC applications have developed largely through longterm ASCR support for basic computer science research and are being deployed in current HPC codes, enabling the science
to continue despite the data output limitations of current and expected HPC machines, often while gaining better time
resolution of the saved data, and more efficient use of computing and storage resources. For example, researchers at LBNL
have developed such in situ techniques with support from the ASCR basic research program and, in collaboration with
SciDAC activities, deployed these techniques for cosmology simulations. By saving only the analysis results rather than thefull simulation data, the application saw a one thousand fold decrease in data volume exported from the simulation without
loss of scientifically valuable information.

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Advanced Scientific Computing Research
Mathematical, Computational, and Computer Sciences Research
Description
The Mathematical, Computational, and Computer Sciences Research subprogram supports research activities to effectively
meet the Office of Science HPC mission needs, including both data intensive and computationally intensive science.
Computational science is increasingly 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;
new mathematics and software for data management and analysis, including machine learning, required for thecomplex data-intensive workflows that are increasingly reliant on HPC capabilities.
operating systems, data management, analyses, machine learning, representation model development, and other tools
required to make effective use of future-generation supercomputers and the data sets from current and future scientificuser facilities;
computer science and algorithm innovations that increase the productivity, energy efficiency, and usability of futuregeneration supercomputers; andcollaboration tools to make scientific resources readily available to scientists, in university, national laboratory, andindustrial settings.

The research program supports long-term, basic research to develop methods, software, and tools to use HPC systems fordata-intensive and computationally intensive science at the exascale and beyond. This requires a focus on increased
parallelism, data movement, usability, and machine learning as well as exploratory research to prepare for computing
paradigms in post exascale era including extremely heterogeneous architectures and beyond Moore’s Law technologies suchas quantum, neuromorphic, and probabilistic computing, which has the potential to revolutionize scientific computing.
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 seamless integration of HPC and data and a sophisticated tool suite for data management,
analysis, and curation. In FY 2019, ASCR’s research program will increase its emphasis on data-intensive science, including
new efforts to exploit machine learning for discovery and decision support.
Applied Mathematics
The Applied Mathematics activity supports basic research leading to fundamental mathematical advances andcomputational breakthroughs across DOE and Office of Science missions. Basic research in scalable algorithms, multiscalemodeling, and efficient data analysis underpin all of DOE’s computational and data-intensive science efforts. More broadly,
this activity includes support for foundational research in problem formulation, multiscale modeling and coupling, meshdiscretization, time integration, advanced solvers for large-scale linear and nonlinear systems of equations, methods thatuse asynchrony or randomness, uncertainty quantification, and optimization. Forward-looking efforts by this activity
anticipate DOE mission needs from the closer coupling and integration of scientific data with advanced computing, and forenabling greater capabilities for scientific discovery, design, and decision-support.
Computer Science
The Computer Science activity supports long-term, basic research on the software, tools, and techniques that allow
scientists to harness the potential of advanced computing and smart networking technologies and extreme-scale data,
including machine learning.
ASCR Computer Science research leads the way in the R&D of the software infrastructure that is essential for the effective
use of the most powerful high performance computing systems in the country, tools to manage and analyze data at scale,and cybersecurity innovation that can enable the scientific integrity of extreme scale computation, networks, and scientific
Science/Advanced Scientific Computing Research

FY 2019 Congressional Budget Justification27

data. ASCR Computer Science plays the role of reducing risk when industry will not invest in the specialized software
required for future Leadership Computers. Supercomputer vendors often take software developed with ASCR Computer
Science investments and integrate it with their own software.
It is widely acknowledged that the computing industry is currently entering an era of unprecedented hardware architecture
diversity — a veritable explosion of technology innovation that will greatly increase the complexity of Leadership
Computing. Such diversity and complexity will be accompanied by major challenges at all levels of systems software, data
management and analytics tools, the cybersecurity environment, and applications software. To have Leadership Computing
systems that are useful for science applications at the time of delivery, ASCR Computer Science research focuses its
investments on software needed for emerging technologies long before they are in operational use. These efforts are
essential to ensure DOE mission applications including data-intensive applications, are able to use commercially available
HPC through the exascale era and beyond Moore’s law.
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. Starting 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 themassive data flows from Office of Science scientific user facilities.
In addition to SciDAC, the Computational Partnerships activity will support interdisciplinary teams in partnership with BES,
BER, HEP, and NP to develop algorithms and applications targeted for future computing platforms, including quantum
information systems.

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Advanced Scientific Computing Research
Mathematical, Computational, and Computer Sciences Research
Activities and Explanation of Changes
FY 2017 Enacted
Mathematical, Computational, and Computer
Sciences Research $113,490,000
Applied Mathematics $29,229,000
Applied Mathematics continued its core programs in
new algorithmic techniques and strategies that extractscientific advances and engineering insights frommassive data for DOE missions. Adaptive algorithms
and machine learning were added to the suite of tools
under development for optimizing the scientificoutput of data-intensive programs across SC.

FY 2019 Request$146,631,000

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted+$33,141,000$40,316,000
Applied Mathematics will continue its core programsin new algorithmic techniques and strategies thatextract scientific advances and engineering insightsfrom massive data for DOE missions. Applied
Mathematics will also continue to focus on thedevelopment of adaptive algorithms and machinelearning in recognition of the increased interest inthese technologies across SC application areas.
Computer Science $29,296,000$38,296,000
Computer Science continued efforts to develop
Computer Science will continue efforts to develop
software, new programming models, new operating
software, new programming models, new operating
systems, and efforts to promote ease of use. Activities systems, and efforts to promote ease of use. In
to support development of future computing
addition, efforts in quantum networking, transferredtechnologies also continued, and a new effort wasfrom the Next Generation Networking for Science
initiated to exploit machine learning techniques toactivity, will continue at FY 2018 levels. There will also
better understand data generated both by HPC
be an emphasis on preparing for the “extremely
simulations and SC facilities.
heterogeneous” post-exascale era.

Science/Advanced Scientific Computing Research+$11,087,000
The Request increases core research efforts in appliedmathematics. Priorities within the portfolio arefocused on addressing opportunities for appliedmathematics research to improve the rigor,
robustness, and reliability of machine learning for
DOE mission requirements.
+$9,000,000
The Request increases core research efforts in
Computer Science. Priorities within the portfolio
include quantum networking and future computing
technologies such as quantum, neuromorphic, or
probabilistic computing.

FY 2019 Congressional Budget Justification

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Explanation of Changes
FY 2019 Request vs FY 2017 Enacted

FY 2017 Enacted

FY 2019 Request

Computational Partnerships $32,596,000
The SciDAC institutes continued 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 focused on preparing applications toharness the potential of ASCR’s planned upgrades to
its computing facilities. Partnerships continued to
explore potential impacts of future computing
technologies across SC.
Next Generation Networking for Science $16,000,000
The Next Generation Networking for Science activity
continued to work closely with SC user facilities andapplications, to develop the necessary tools—
networking software, middleware and hardware—to
address the challenges of moving, sharing, andvalidating massive quantities of data via next
generation optical networking technologies.
SBIR/STTR $6,369,000
In FY 2017, SBIR/STTR funding was set at 3.65% of
non-capital funding.

$62,667,000
In addition to continued support for the SciDAC
institutes and partnerships awarded in FY 2017-18,
this activity will increase efforts in quantum
information science in partnership with the other SC
programs, and efforts to bring the power of HPC todata intensive science.

+$30,071,000
Request supports expanded basic research efforts inquantum information science in partnership withother SC Programs such as BES, BER, HEP, and NP anddata intensive science efforts, including collaboratory
partnerships.

$0
The Next Generation Networking for Science activity
was combined with other activities in FY 2018.
Collaboratory efforts previously supported by thisactivity are supported by computational partnerships
to strengthen the interconnectivity of these efforts.
Other networking-related R&D is now supported
within the Computer Science activity.
$5,352,000
In FY 2019, SBIR/STTR funding is set at 3.65% of noncapital funding.

-$16,000,000
The Next Generation Networking for Science activity
was combined with other activities in FY 2018.

Science/Advanced Scientific Computing Research-$1,017,000

FY 2019 Congressional Budget Justification30

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 Leadership Computing Facilities(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 is needed 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 the facilities remain state-of-the-art and can accept future systems, such as electrical and mechanicalsystem 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 and other Federal agencies, on the development oftechnologies that enable next-generation machines, ASCR ensures that commercially available architectures serve the needsof the scientific community. The REP activity also prepares researchers to effectively use future generations of scientificcomputers, including novel technologies, and seeks to reduce risk for future major procurements. In addition, the REP
activity supports the Computational Sciences Graduate Fellowship to prepare the next generation of computational
scientists and engineers for advanced computing systems in support of DOE workforce needs.
The facilities regularly gather requirements from the other SC research programs through a robust process 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 new computing trends, especially as the computing industry moves
toward exascale computing. Allocation of computer time at ASCR facilities follows the peer-reviewed and public-accessmodel used by other SC scientific user facilities. To help address the workforce issues at the ASCR facilities, each facility
established a postdoctoral training program in FY 2015 for high-end computational science and engineering. These
programs teach PhD scientists with limited experience in HPC the skills to be computational scientists adept at using highperformance production and leadership systems.
High Performance Production ComputingThis activity supports NERSC, which delivers high-end production computing services for the SC research community.
Approximately 7,000 computational scientists in about 700 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.
NERSC currently operates the 30 pf Intel/Cray system (Cori, after Nobel Laureate Gerty Cori) to support the SC researchcommunity. 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 to five years.
Leadership Computing Facilities
The LCFs enable open scientific applications, including industry applications, to harness the potential of leadershipcomputing to advance science and engineering. The success of this effort is built on the gains made in 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.

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The Oak Ridge Leadership Computing Facility’s (OLCF) 27 petaflop (pf) Cray system (Titan) has been one of the mostpowerful computers in the world for scientific research since it began operations in October of 2012 and was ranked
number five on the November 2017 Top 500 list, just below the most powerful supercomputers in China, Switzerland, andJapan. a The FY 2018 upgrade of this facility to a 200 pf IBM/NVIDIA system (Summit) challenges the leadership of theworld’s fastest systems. Early science applications at the OLCF, including large eddy simulation of turbulent combustion incomplex 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 cellular and neuralsignaling, simulations of neutron transport in fast-fission reactor cores, and earthquake simulations, are scaling to makeeffective use of the new capability. OLCF staff shares its expertise with industry to broaden the benefits of petascalecomputing for the nation. For example, OLCF works with industry to reduce the need for costly physical prototypes andphysical tests in the development of high-technology products. These efforts often result in upgrades to in-house computing
resources at these U.S. companies.
The Argonne Leadership Computing Facility (ALCF) operates a 10-pf IBM system (Mira), developed through a joint research
project with support from the NNSA, industry, and ASCR’s REP activity. This HPC system achieves high performance withrelatively lower electrical power consumption than other current petascale computers. The ALCF also operates an 8.5 pf
Intel/Cray system (Theta) to prepare their users for the ALCF-3 upgrade in 2021.
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 with the most effective resources. ALCF supports many applications,
including molecular dynamics and materials, for which it is better suited than OLCF or NERSC. Through INCITE, ALCF alsotransfers its expertise to industry, for example, helping scientists and engineers to understand the fundamental physics ofturbulent mixing to transform product design and to achieve improved performance, lifespan, and efficiency of aircraft
engines.
The demand for 2018 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 enabled DOE researchers to better understand the challenges and capabilities of emerging
technologies. This activity supports testbeds for next-generation systems and for future computing technologies beyond
Moore’s law, specifically in the area of quantum computing testbeds and prototypes.
In addition, this activity partners with the NNSA on the Computational Sciences Graduate Fellowship (CSGF).
High Performance Network Facilities and Testbeds
The Energy Sciences Network (ESnet) is the Office of Science’s high performance network user facility, delivering highlyreliable data transport capabilities optimized for the requirements of large-scale science. In essence, ESnet is the circulatory
system that enables the DOE science mission. ESnet currently maintains one of the fastest and most reliable science
networks in the world with a 100 gigabit per second (Gbps) “backbone” network that spans the continental United States
and the Atlantic Ocean. ESnet interconnects the DOE’s national laboratory system, dozens of other DOE sites, and ~200
research and commercial networks around the world—enabling tens of thousands of scientists at DOE laboratories andacademic institutions across the country to transfer vast data streams and access remote research resources in realtime. ESnet also supports the data transport requirements of all SC user facilities. ESnet’s traffic continues to growexponentially—roughly 66% each year since 1990—a rate more than double the commercial internet. Costs for ESnet are
dominated by operations and maintenance, including continual efforts to maintain dozens of external connections,benchmark future needs, expand capacity, and respond to new requests for site access and specialized services. As a user
facility, ESnet engages directly in efforts to improve end-to-end network performance between DOE facilities and U.S.
a

http://www.top500.org/lists/2017/11/

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FY 2019 Congressional Budget Justification32

universities. ESnet is recognized as a global leader in innovative network design and operations, and is heavily engaged inplanning a complete upgrade of its backbone network (the ESnet-6 upgrade).

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Advanced Scientific Computing ResearchHigh Performance Computing and Network Facilities
Activities and Explanation of Changes$519,673,000

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted+$150,163,000$80,000,000-$12,145,000

Support will continue operations and user support at
the NERSC facility–including power, space, leases andstaff. Funding will also support site preparation
activities for the NERSC-9 upgrade, such as increased
power and cooling capacity, and NRE efforts to ensure
the new computing system meets the needs of thediverse NERSC user community.
$340,000,000
Support will continue operations and user support at
the LCF facilities –including power, space, leases, andstaff. Long-lead site preparations for planned
upgrades, such as increased power and cooling
capacity and significant NRE efforts, will also be
supported.

FY 2019 funding supports site preparations and NRE
activities to maintain deployment of the upgrade in
the 2020 timeframe.

FY 2017 Enacted
High Performance Computing and Network Facilities$369,510,000
High Performance Production Computing$92,145,000
The NERSC-8 system continued production
operations. Demand for production computing for the
SC programs continued to grow along with systemcapability and the rapid increase in data fromexperiments. In FY 2017, preparation for the 2020
delivery of NERSC-9, which will provide three to fivetimes the capacity of NERSC-8, continued.
Leadership Computing Facilities $190,000,000
Operation continued at both LCF facilities while
upgrades will proceeded.

FY 2019 Request

The OLCF began installation and testing, the new IBM
hybrid supercomputer, called Summit. This upgrade
will provide 200 pf of computing capability, or
approximately five times the capability of the previous
The OLCF will continue operation and allocation ofsystem, Titan. OLCF also began site preparations toenable deployment of an exascale system in the 2021- Summit. In support of ECP, the OLCF will provide
access to Summit for the application and software
2022 timeframe.
projects to scale and test their codes. The OLCF will
The ALCF continued to provide access to the 8.5-pf
also continue activities to enable deployment of anIntel Xeon interim system, called Theta, to prepare
exascale system in the 2021-2022 timeframe under
ALCF users for the proposed 2021 exascale system.
the CORAL II.
The ALCF began site preparations and significant NRE
The ALCF will continue operation of Theta. The ALCF
efforts to deploy a novel architecture capable ofwill continue site preparations and significant NRE
delivering more than an exaflop of computing
efforts to deploy a novel architecture capable ofcapability in 2021.
delivering more than an exaflop of computing
capability in the 2021 timeframe as part of ECI.
Science/Advanced Scientific Computing Research+$150,000,000
Increase supports significant NRE efforts and site
preparation activities at both LCFs to lower the risk
and support the accelerated delivery of exascale
capable computing systems beginning in 2021.

FY 2019 Congressional Budget Justification

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FY 2017 Enacted

Leadership Computing Facility at ANL: $80,000,000
Leadership Computing Facility at ORNL: $110,000,000
Research and Evaluation Prototypes $26,293,000
Availability of experienced and knowledgeable
workforce issues continued to be of vital importanceto ASCR’s current and planned facilities. The CSGF
program plays an increasingly important role as the
Exascale Initiative progresses and future computing
technologies mature. Therefore, support for the CSGF
within REP continued at $10,000,000 in FY 2017.
Funding also established support for the futurecomputing technology testbed focused on quantum
computing.
High Performance Network Facilities and Testbeds$45,000,000
Funding supported operations and maintenance ofthe network and continued development of tools now
widely deployed through the DOE and university
systems in the U.S.: Science DMZ, perfSONAR, Data
Transfer Nodes, and OSCARS.

FY 2019 Request
In addition, the ALCF will procure a large
developmental testbed to test activities from NRE
investments and to provide ECP applications andsoftware technology projects to test their codes.
$140,000,000$200,000,000$24,452,000
The Request will provide continued support for the
CSGF fellowship at $10,000,000 in partnership with
the NNSA to increase availability of a trained
workforce for exascale and beyond Moore’s Law
capabilities. In addition, funding will provide
continued support for quantum testbed efforts toprovide resources for the researchers supported
through the quantum information science
partnerships with the other SC programs.
$56,435,000

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted+$60,000,000+$90,000,000-$1,841,000
Continues support for the CSGF fellowship andquantum testbed activities. The decrease reflects thecompletion of a data storage and memory project.

+$11,435,000

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

ESnet was last upgraded in 2010 and some technology
is no longer supported by the vendor. Additional
funds were used to support planning for an upgrade
to ESnet-6, which will provide a network for scientific
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.
SBIR/STTR $16,072,000$18,786,000
In FY 2017, SBIR/STTR funding was set at 3.65% of
In FY 2019, SBIR/STTR funding is set at 3.65% of nonnon-capital funding.
capital funding.
Science/Advanced Scientific Computing Research+$2,714,000

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Advanced Scientific Computing Research
Exascale Computing
Description
SC and NNSA will continue to execute the Exascale Computing Initiative (ECI), which is an effort to develop and deploy an
exascale-capable computing system with an emphasis on sustained performance for relevant applications and analytic
computing to support DOE missions.
The SC Exascale Computing Project (SC-ECP) in the Exascale Computing subprogram captures the research aspects of ASCR’s
participation in the U. S. DOE’s ECI, to ensure the hardware and software R&D, including applications software, for aexascale system is completed in time to meet the scientific and national security mission needs of the DOE in 2021. The
deployment of these systems, funded under ECI, includes necessary site preparations and NRE, 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 is managed following the principles of DOE Order 413.3B, Program and Project Management for the Acquisitionof 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 2019 Request includes $232,706,000 for the SC-ECP. These funds will support the preparation of mission criticalapplications and the development of a software stack for exascale platforms. Funding will also support additional co-design
centers, vendor partnerships in preparation for an exascale system deployment in 2021, and integration between SC-ECP
and the LCFs. Deployment of exascale systems will be through the LCFs as part of their usual upgrade processes.
$240,000,000 of ECI funding is provided in the LCF activity to continue planning, NRE activities, and site preparations for atleast two exascale systems, with the first to be delivered as early as 2021.

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Advanced Scientific Computing Research
Exascale Computing
Activities and Explanation of Changes
FY 2017 Enacted
17-SC-20 Office of Science Exascale Computing
Project (SC-ECP) $164,000,000 a
FY 2017 funding accelerated application and software
stack development in preparation for delivery of an
exascale system in 2021.

FY 2019 Request

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted$232,706,000+$68,706,000

Funding will continue the acceleration of applicationand software stack development in preparation fordelivery of an exascale system in 2021.

Request supports expanded application and software
efforts and accelerations of the Pathforward vendor
partnerships.

a
In addition, $150,000,000 of ECI funding is requested within the Leadership Computing Facilities activity in FY 2018 and $240,000,000 in FY 2019 to begin planning, non-recurring engineering, and site
preparations for at least one exascale system to be delivered in 2021.

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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 2017
Performance Goal
(Measure)

FY 2018

FY 2019

ASCR Facility Operations - Average achieved operation time of ASCR user facilities as a percentage of total scheduled annual operation timeTarget≥ 90 %≥ 90 %≥ 90 %

Result

Met

TBD

TBD

Endpoint Target

Many of the research projects that are undertaken at the SC’s scientific user facilities take a great deal of time, money, and effort to prepare andregularly have a very short window of opportunity to run. If the facility is not operating as expected the experiment could be ruined or criticallysetback. 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
(Measure)

ASCR Research - Discovery of new applied mathematics and computer science tools and methods that enable DOE applications to deliverscientific and engineering insights with a significantly higher degree of fidelity and predictive power

TargetIdentify at least one multi-institutional team to Support at least two machines learning efforts Support at least two partnerships in quantum
develop new mathematics for DOE mission
in both applied mathematics and computer
information science.
focused grand challenges at the nexus ofscience.
multiple computational sub-domains such as
data-driven discovery, multiscale modeling,
uncertainty quantification, and adaptivealgorithms.

ResultEndpoint Target

Met

TBD

TBD

Develop and deploy high-performance computing hardware and software systems through exascale platforms

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Capital Summary ($K)
Total

Prior Years

FY 2017
Enacted

n/a

n/a

5,000

FY 2018
Annualized CRa

FY 2019
RequestFY 2019 Request vsFY 2017 Enacted

5,000

–

Capital operating expenses
Capital equipment–

Funding Summary ($K)

Research
Scientific user facility operations
Total, Advanced Scientific Computing Research

FY 2017 Enacted

FY 2018 Annualized CR a

FY 2019 Request

319,855
327,145
647,000––
642,606

422,575
476,435
899,010

FY 2019 Request vsFY 2017 Enacted+102,720+149,290+252,010a

A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing Appropriations Act, 2018
(Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts are shown only at the Congressional control level andabove; below that level, a dash (—) is shown).

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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 hours

FY 2017 Enacted

FY 2018 Annualized CR a

FY 2019 Request

FY 2019 Request vs FY 2017
Enacted$92,145
6,000
N/A
8,585
8,585
N/A
N/A

-

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

-12,145
–
N/A
–
–
N/A
N/A

-

a

A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing Appropriations Act, 2018
(Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts are shown only at the Congressional control level andabove; below that level, a dash (—) is shown).

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FY 2019 Congressional Budget Justification

41

FY 2017 Enacted

FY 2018 Annualized CR a

FY 2019 Request

FY 2019 Request vs FY 2017
Enacted

OLCF
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$110,000
1,064
N/A
7,008
7,008
N/A
N/A

-

$200,000
1,064
N/A
7,008
7,008
N/A
N/A

+90,000
–
N/A
–
–
N/A
N/A

ALCF
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$80,000
1,434
N/A
7,008
7,008
N/A
N/A

-

$140,000
1,434
N/A
7,008
7,008
N/A
N/A

+60,000
–
N/A
–
–
N/A
N/A

ESnet
Number of users b
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$45,000
N/A
N/A
8,760
8,760
N/A
N/A

-

$56,435
N/A
N/A
8,760
8,760
N/A
N/A

+11,435
N/A
N/A
–
–
N/A
N/A

a

-

-

-

a

A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing Appropriations Act, 2018
(Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts are shown only at the Congressional control level andabove; 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 2019 Congressional Budget Justification42

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

FY 2017 Enacted

FY 2018 Annualized CR a

FY 2019 Request$327,145
8,498
N/A
31,361
31,361
N/A
N/A-$476,435
8,498
N/A
31,361
31,361
N/A
N/A-

FY 2019 Request vs FY 2017
Enacted+149,290
–
N/A
–
–
N/A
N/A

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 2017 Enacted

FY 2018 Annualized CRa

470
160
360
225

–
–
–
–

FY 2019 Request
630
223
545
274

FY 2019 Request vsFY 2017 Enacted
+160
+63
+185
+49

a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing Appropriations Act, 2018

(Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts are shown only at the Congressional control level andabove; below that level, a dash (—) is shown).
b
Total users only for NERSC, OLCF, and ALCF.
𝑛𝑛

c For total facilities only, this is a “funding weighted” calculation FOR ONLY TYPE A facilities: ∑1 [(%𝑂𝑂𝑂𝑂 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛)×(𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜)]d Includes technicians, engineers, computer professionals and other support staff.

𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑎𝑎𝑎𝑎𝑎𝑎 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜

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FY 2019 Congressional Budget Justification

43

Science/Advanced Scientific Computing Research

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44

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 2018 PDS and does not include a new start for FY 2019.
The FY 2019 Request for SC-ECP is $232,706,000 and is an increase of $36,126,000 over the FY 2018 Request. The FY 2019
Request supports investments in application development, software technology and hardware and integration focus areas
to create an exascale eco-system that supports the delivery of the first exascale-capable system in 2021 timeframe. In
addition, the preliminary estimate for the total project cost was revised from $1,153,524 to $1,233,965, an increase of$80,441, which is based on updated cost information from selected application, software and hardware activities selectedto participate in the project. The most recent DOE Order 413.3B approved Critical Decision (CD) is CD-1/3A, Approve
Alternative Selection and Cost Range and Approve Phase One Funding of Hardware and Software Research Projects andApplication 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 Budget Request included funding to initiate research, development, and computer-system procurements todeliver an exascale (1018 operations per second) computing capability by the mid-2020s. This activity, referred to as the
Exascale Computing Initiative (ECI), is a partnership between the Office of Science (SC) and the National Nuclear Security
Administration (NNSA) and addresses Department of Energy’s (DOE) science and national security mission requirements.
In FY 2017, SC initiated the Office of Science Exascale Computing Project (SC-ECP) within Advanced Scientific Computing
Research (ASCR) to support a large research and development (R&D) co-design project between domain scientists,
application and system software developers and hardware vendors to develop a exascale ecosystem as part of the ECI.
Other activities included in the ECI but not the SC-ECP include $240,000,000 to support the initiation of planning, site
preparations, and non-recurring engineering at both the Argonne and Oak Ridge Leadership Computing Facilities (LCFs)
where the exascale machines will be housed and operated. Moreover, the LCF ECI funding will accelerate delivery of at least
one exascale-capable system in 2021 timeframe. Supporting parallel development at both LCFs will reduce the overall risk of
ECI and broaden the range of applications able to utilize this new capability. Procurement of exascale systems, which is notincluded in the ECP, will be funded within the ASCR facility budgets in the outyears. This PDS is for the SC-ECP only; prioryear activities related to the SC-ECP are also included.
In FY 2019, SC-ECP funding will support project management; continue the co-design activities between application,
software, and hardware technologies; R&D of exascale systems software and tools needed for exascale programming;
increased engagement and integration between SC-ECP and the LCF’s upgrade projects to provide continuous testing of the
ECP funded applications and software; and vendor partnerships.
2.

Critical Milestone History and Schedule

FY 2017
FY 2018
FY 2019(fiscal quarter or date)
Conceptual
Final
CD-0
DesignCD-1/3A
CD-2
DesignCD-3B
Complete
Complete
3Q FY 2016
TBD
TBD
TBD
TBD
TBD
07/28/2016 2Q FY 2019 01/03/2017 4Q FY 2019 3Q FY 2019 4Q FY 201907/28/2016 2Q FY 2019 01/03/2017 4Q FY 2019 3Q FY 2019 4Q FY 2019

D&D
Complete

CD-4

N/A
N/A
N/A

TBD
4Q FY 2023
4Q FY 2023

CD-0 – Approve Mission Need
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
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FY 2019 Congressional Budget Justification

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
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:
The realization of an exascale-capable system that addresses parallelism, resilience, energy consumption, andmemory/storage will involve tradeoffs among hardware (processors, memory, energy efficiency, reliability,interconnectivity); software (programming models, scalability, data management, productivity); and algorithms. To address
this, the scope of the SC-ECP has three focus areas:•••

Hardware and Integration: The Hardware and Integration focus area supports vendor-based research and theintegrated deployment of specific ECP application milestones and software products on targeted systems at computing
facilities, including the completion of PathForward projects transitioning to facility non-recurring engineering (whereappropriate), and the integration of software and applications on pre-exascale and exascale system resources atfacilities.
Software Technology: The Software Technology focus area spans low-level operational software to programming
environments for high-level applications software development, including the software infrastructure to support large
data management and data science for the DOE at exascale and will deliver a high quality, sustainable product suite.
Application Development: The Application Development focus area supports co-design activities between DOE mission
critical applications and the software and hardware technology focus areas to address the exascale challenges: extreme
parallelism, reliability and resiliency, deep hierarchies of hardware processors and memory, scaling to larger systems,
and data-intensive science. As a result of these efforts, a wide range of applications will be ready to effectively use theexascale systems deployed in the 2021 timeframe under ECI.

The SC-ECP will be managed in accordance with the principles of DOE Order 413.3B, Program and Project Management for
the Acquisition of Capital Assets, which SC uses for the planning, design, and construction of all of its major projects,
including the LCFs at Argonne and Oak Ridge National Laboratories and 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 insoftware (new algorithms and methods to support application and system software development) and hardware (node anda http://www.isgtw.org/feature/opinion-challenges-exascale-computing

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FY 2019 Congressional Budget Justification

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 on additional hardware technologies
investments, and these costs will be included in the Total Estimated Costs for the project.
5.

Financial Schedule(dollars in thousands)
Appropriations
Obligations

Costs

Total Estimated Cost (TEC)(Hardening of Applications Development System Software
Technology, Hardware Technology)
FY 2016 a
FY 2020– FY 2023
Total, TEC

0426,735
426,735

0426,735
426,735

0426,735
426,735

Other project costs (OPC)(Research for Application Development, System Software
Technology, and Hardware Technology)
FY 2016a
FY 2017
FY 2018
FY 2019
FY 2020 – FY 2023
Total, OPC

157,944
164,000
196,580
232,706
56,000807,230

157,944
164,000
196,580
232,706
56,000807,230

15,615100,000
402,909
232,706
56,000807,230

157,944
164,000
196,580
232,706
482,735
1,233,965

157,944
164,000
196,580
232,706
482,735
1,233,965

15,615100,000
402,909
232,706
482,735
1,233,965

Total Project Costs (TPC)FY 2016a
FY 2017
FY 2018
FY 2019
FY 2020 – FY 2023
Total, TPC
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.

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

Current Total
Estimate(dollars in thousands)
Previous Total
Estimate

255,125
157,870
13,740426,735

225,000
86,00079,000390,000

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

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

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FY 2019 Congressional Budget Justification

Other Project Costs (OPC) (Research)
Planning/Project Mgmt
Application Development
Software Research
Hardware Research
Total OPC
Total, TPC
7.

109,715
295,062
179,303
223,150807,230

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

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

1,233,965

1,153,524

N/A

Original Validated
Baseline

Schedule of Appropriation Requests

RequestYear
FY 2017

FY 2018

FY 2019

8.

Current Total
Estimate(dollars in thousands)
Previous Total
Estimate

TEC
OPC
TPC
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
157,944
0
157,944
157,9440
154,000
154,0000
164,000
164,0000
164,000
164,000

TBD
TBD
TBD

TBD
TBD
TBD

0
196,580
196,5800196,580
196,5800
189,000
189,000
0232,706
232,706

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

TBD
TBD
TBD
145,000
14,000159,000
146,000
14,000160,000

TBD
TBD
TBD
70,00028,00098,000106,000
28,000134,000

TBD
TBD
TBD
390,000
763,524
1,153,524
426,735
807,230
1,233,965

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 2019 Budget Request, $240,000,000 is included in the LCF’s at Argonne and Oak Ridge
National Laboratories facilities' budgets to begin planning non-recurring engineering and site preparations for the delivery
and deployment for the exascale systems. These funds are included in ECI but not in SC-ECP.
Start of Operation
Expected Useful Life (number of years)
Expected Future start of D&D for new construction (fiscal quarter)
9.

2022
5
4Q 2030

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.

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

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FY 2019 Congressional Budget Justification

Basic Energy Sciences
Overview
The mission of the Basic Energy Sciences (BES) program is to support fundamental research to understand, predict, andultimately control matter and energy at the electronic, atomic, and molecular levels in order to provide the foundations for
new energy technologies and to support Department of Energy (DOE) missions in energy, environment, and national
security.
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 2019 Budget Request
The BES FY 2019 Request of $1,850.0 million focuses resources toward the highest priorities in early-stage fundamental
research, in operation and maintenance of scientific user facilities, and in facility upgrades. Core research priorities in the
FY 2019 Request include quantum information science (QIS), ultrafast science, and computational materials and chemical
sciences related to the Exascale Computing Initiative, as well as research in support of future nuclear energy systems. In theremaining core research activities, BES emphasizes basic scientific areas with potential to transform the understanding andcontrol 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 ResearchCenters (EFRCs), which will enable basic energy-relevant research with a scope and complexity beyond that possible instandard single-investigator or small-group awards. Both the core research and the EFRCs will emphasize emerging highpriorities in quantum materials and chemistry, catalysis science, synthesis, instrumentation science, materials and chemical
research related to interdependent energy-water issues, future nuclear energy systems, and next-generation electricalenergy storage. The Request also supports the two BES-supported Energy Innovation Hubs, and the DOE Established
Program to Stimulate Competitive Research (EPSCoR).
In the Scientific User Facilities subprogram, BES maintains a balanced suite of complementary tools. The Linac Coherent
Light Source (LCLS) continues operations in support of the BES priority in ultrafast science and also in preparation forcompletion of the LCLS-II construction project. To allow installation activities for the LCLS-II construction project to proceed,
LCLS will be shut down for one year, starting around the second quarter of FY 2019. The Advanced Light Source, Advanced
Photon Source, National Synchrotron Light Source-II, and the Stanford Synchrotron Radiation Lightsource will continue
operations and are supported at 95% of optimum. Both BES-supported neutron sources, the Spallation Neutron Source andthe High Flux Isotope Reactor, will be operational in FY 2019 and funded at approximately 95% of optimum. All fivea All reports are available at https://science.energy.gov/bes/community-resources/reports/.

Science/Basic Energy Sciences49

FY 2019 Congressional Budget Justification

Nanoscale Science Research Centers will be supported, with part of the funding designated for tool development for QIS.
The BES commitment for long term surveillance and maintenance ends in FY 2018. No funding is requested for these
activities in FY 2019.
In the Construction subprogram, the LCLS-II project remains the highest priority construction project in BES and is fully
supported for the last year of funding for the project. The Request provides continued support for the Advanced Photon
Source Upgrade (APS-U) project, and funds to initiate the Advanced Light Source Upgrade (ALS-U) project at Lawrence
Berkeley National Laboratory and the Linac Coherent Light Source-II High Energy (LCLS-II-HE) project at SLAC National
Accelerator Laboratory.

Science/Basic Energy Sciences50

FY 2019 Congressional Budget Justification

Basic Energy Sciences
Funding ($K)
FY 2017 Enacted
Materials Sciences and Engineering
Scattering and Instrumentation Sciences Research
Condensed Matter and Materials Physics ResearchMaterials Discovery, Design, and Synthesis Research
Established Program to Stimulate Competitive Research (EPSCoR)
Energy Frontier Research Centers (EFRCs)
Energy Innovation Hubs—Batteries and Energy Storage
Computational Materials Sciences
SBIR/STTR
Total, Materials Sciences and Engineering
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
Computational Chemical Sciences (CCS)
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
SBIR/STTR
Total, Scientific User Facilities
Subtotal, Basic Energy Sciences

FY 2018 Annualized
CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

76,598
101,645
61,931
14,45255,80024,08812,00013,127359,641

—
—
—
—
—
—
—
—
—

60,925
123,790
62,551
7,708
55,80024,08813,00013,178361,040-15,673+22,145+620-6,74400+1,000+51+1,39962,606
81,687
89,16854,20015,00013,4891,000
11,977329,127

—
—
—
—
—
—
—
—
—

69,581
88,86974,38654,20015,00013,0001,000
11,934
327,970+6,975+7,182-14,782
0
0
-489
0
-43
-1,157

489,059
266,000
122,272
5,000
42,50034,61833,283992,732
1,681,500

—
—
—
—
—
—
—
—
1,670,081

491,059
265,000
122,272
10,100025,00033,259946,690
1,635,700+2,000-1,0000+5,100-42,500-9,618-24-46,042-45,800

a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).

Science/Basic Energy Sciences51

FY 2019 Congressional Budget Justification

Construction
13-SC-10, Linac Coherent Light Source-II (LCLS-II), SLAC
18-SC-10, Advanced Photon Source Upgrade (APS-U), ANL
19-SC-10, Advanced Light Source Upgrade (ALS-U), LBNL
19-SC-11, Linac Coherent Light Source-II-HE (LCLS-II-HE), SLAC
Total, Construction
Total, Basic Energy Sciences

FY 2017 Enacted

FY 2018 Annualized
CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

190,00000
0
190,000
1,871,500

188,710———
188,710
1,858,791

139,300
60,00010,0005,000
214,300
1,850,000-50,700+60,000+10,000+5,000+24,300-21,500

SBIR/STTR Funding: FY 2017 Enacted: SBIR $51,189,000 and STTR $7,198,0000
 FY 2019 Request: SBIR $51,175,000 and STTR $7,196,000

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FY 2019 Congressional Budget Justification

Basic Energy Sciences
Explanation of Major Changes ($K)
FY 2019 Request
vs FY 2017
EnactedMaterials 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, with a special emphasis
on quantum materials. Research priorities include ultrafast science to understand the initial stages of materials phenomena and dynamics,
materials science theory for computational applications that take full advantage of exascale computing, and materials under extreme
environments for future nuclear energy. The Request emphasizes research on novel materials and theory for QIS. Funding is requested forcontinued support of the Batteries and Energy Storage Energy Innovation Hub and the DOE Established Program to Stimulate Competitive
Research (EPSCoR).

+1,399Chemical Sciences, Geosciences, and Biosciences: Research will continue to support fundamental science, including grand challenge science andopportunities identified in the BESAC report on transformative opportunities for discovery science and Basic Research Needs workshops on
synthesis science, instrumentation, energy-water issues, catalysis science, and future nuclear energy. Ultrafast science research will continue to beemphasized to probe the dynamics of electrons that control chemical bonding and reactivity; to investigate energy flow underlying energy
conversions; and to elucidate structural dynamics accompanying bond breaking and bond making in chemical transformations. Research on QIS
remains a priority to understand the quantum nature of atomic and molecular systems important for developing quantum information systems
and to exploit recent advances in quantum computing to address scientific challenges that are beyond the capabilities of classical computers.
Funding is requested for continued support of the Fuels from Sunlight Energy Innovation Hub.

-1,157

Scientific User Facilities: The Linac Coherent Light Source (LCLS) continues operations in support of ultrafast science and also in preparation forcompletion of the LCLS-II construction project. To allow installation activities for the LCLS-II construction project to proceed, LCLS will be shut down
for one year, starting around the second quarter of FY 2019. All remaining scientific user facilities will operate at approximately 95% of optimum.
Funding for the Nanoscale Science Research Centers will include support for QIS-related tools development. No funding is requested for the
disposition of unused equipment for the Lujan Neutron Scattering Center. The BES commitment for long term surveillance and maintenance ends
in FY 2018. No funding is requested for these activities in FY 2019.

-46,042

Construction: LCLS-II is fully supported for the last year of funding for the project. Support for the APS-U project continues. The Request includes
funds to initiate the Advanced Light Source Upgrade (ALS-U) project at LBNL and the Linac Coherent Light Source-II High Energy (LCLS-II-HE) projectat SLAC.
Total, Basic Energy Sciences

Science/Basic Energy Sciences

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FY 2019 Congressional Budget Justification

Basic and Applied R&D Coordination
As a program that supports fundamental scientific research relevant to many DOE mission areas, BES strives to build andmaintain close connections with other DOE program offices. 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 recommendations.
BES program managers regularly participate in intra-departmental meetings for information exchange and coordination on
solicitations, program reviews, and project selections in the research areas of biofuels derived from biomass; solar energy
utilization; 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
Ultrafast Chemistry. Controlling chemical transformations requires knowledge of the fundamental processes that directenergy flow and bond rearrangement in chemical reactions. New capabilities to probe ultrafast phenomena, such as lightactivated processes occurring on timescales of attoseconds to nanoseconds, allow unprecedented insight into chemicaltransformations underlying energy technologies.
•••

Femtosecond-duration soft x-ray pulses from a free-electron laser revealed the ultrafast relaxation of thymine, a
DNA building block, following absorption of ultraviolet light. The new understanding of this protective ultrafast
mechanism, which dissipates the absorbed energy before harmful chemical reactions can affect the thymine
molecules, settles a long-standing scientific quest. The new experimental technique promises to lead to insights on
the ultrafast response of other organic molecules to light, including processes relevant to photosynthesis as well as
human vision.
By transient absorption of femtosecond soft x-ray pulses from a laboratory-scale table-top source in combination
with theoretical simulations, scientists made an x-ray spectroscopic “movie” of the electrons in cyclohexadiene as it
opens from a ring to a linear shape in hundreds of femtoseconds after exposure to ultraviolet light. This approach
uncovers details of the ultrafast exchange of energy in coupled electronic and nuclear dynamics leading to ring
opening in cyclohexadiene, and is applicable to a wide range of light-activated chemical reactions that are
ubiquitous in photobiology and in optoelectronic technologies.
During photosynthesis, the Photosystem II (PSII) protein complex uses light energy to extract electrons from water,
splitting water into oxygen and hydrogen. Scientists combined femtosecond pulses from a free electron laser and a
new sample delivery method to obtain the first high-resolution, 3D view of PSII in action at room temperature.
These images provide new insights into the chemistry of natural photosynthetic water splitting and could aid
development of artificial photosynthesis approaches for renewable energy production.

Probing the Ultrasmall World through Unprecedented Precise Measurements. Much of modern science and technology
relies on highly complex materials where defects and disorder disrupt ordered, periodic crystallinity to create internalboundaries between small regions called grains. Researchers are gaining insight into the behavior of a wide variety of suchmaterials through a range of new high-precision measurement techniques that elucidate the defect or grain structure. This
information can then be correlated to functional material properties, with the potential for controlled design of improved
energy materials.
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•

•

•

In an iron-platinum nanoparticle, the 3D coordinates of 6,569 iron and 16,627 platinum atoms were determinedwith 22 picometer precision by a new imaging technique, atomic electron tomography. Further, the chemicalorder/disorder were correlated with material properties at the single-atom level. Similar “single-atom” correlationsof properties for a wide range of nanostructured materials could transform our understanding of structureproperty relationships at the most fundamental level.
A new x-ray technique, Bragg coherent diffraction imaging, characterized the dynamics of crystal defects inindividual, nanoscale grains of gold during annealing. The technique provided 3D detailed structure withextraordinary resolution (10 nm spatial and sub-angstrom displacement field resolution). The approaches could
shed light on the response of many polycrystalline materials under external stimuli, such as stress, temperature, or
exposure to chemicals common to materials used for energy applications.
Two-dimensional (2D) materials, such as graphene, have electronic and chemical properties that are sensitive toatomic defects. In “MXene” phases, a 2D transition metal carbide, high-resolution electron microscopy revealed
that the concentration of an important defect in the structure – missing atoms called vacancies – could becontrolled during chemical processing. Coupled theoretical results demonstrated that vacancies influence thesurface morphology and chemistry of the 2D material. Such advances could lead to new catalytic substrates andelectrodes for energy storage.

Chemistry at Complex Interfaces. Complex environments created at interfaces (characterized by structural and functional
disorder and dynamic behavior) influence chemical phenomena such as reactivity and transport that are important inphotochemical, catalytic, separation, biochemical, and geochemical systems. Manipulating non-covalent interactions holds
the promise of gaining control over chemical processes at these complex interfaces.
•••

At mineral-water interfaces, a quantitative description of ion exchange with the surrounding fluids can aid in thedesign of chemical processes such as solid nucleation, growth, and water purification. This exchange depends inpart on the rates of adsorption and desorption to and from the surface. With time-resolved x-ray reflectivity
measurements at a mica-water interface, scientists demonstrated that rubidium cations adsorb at a greater rate
than they desorb, because of direct adsorption from solution to the surface and an additional resistance to full
hydration from the surface back into solution.
The by-products of electrochemical reduction of carbon dioxide are typically mostly hydrogen and carbon
monoxide, with a minor fraction of desirable multi-carbon compounds. Scientists discovered several chemical
additives that can greatly increase the yield of multi-carbons; for instance, adding specific nitrogen-containing
aromatics increased ethylene and ethanol output to more than 75% of the total. This research provides new
insights into how additives impact the composition of the interfaces, influencing selectivity, and can inform ourunderstanding of the role of non-covalent interactions on these processes.
The activity and selectivity of heterogeneous catalysis depends on the stability of reaction intermediates at thecatalyst interfaces. For oxidative coupling of alcohols catalyzed by gold, scientists combined experiment with theory
to demonstrate the critical further dependence of stability of intermediates on non-covalent interactions. For
alkoxide intermediates, they found that the influence of non-covalent interactions on stability of intermediates
depended on the internal molecular structure of the intermediates, affecting the selectivity of catalysis differently
for the different intermediates.

The Science of Spin. The spin of an electron plays a prominent role in materials properties and functionality. Common
examples are magnetism, computer memory, and electronics. For the future, isolated spins in materials are candidates forthe development of quantum information and quantum sensing technologies. In addition, the collective behavior of spins is
producing new, emergent behavior that could lead to the development of next-generation energy-relevant technologies.
•

Next-generation quantum-based electronics requires long-range, efficient control of spin states of the electrons
and associated atomic structures. This may be possible with hybrid architectures combining different properties,
such as nanodiamond particles on top of a ferromagnetic thin film. Research found that microwaves could generate
spin waves in the film that excited single electron spins in the particles at distances approaching millimeter-scale, a
two-orders-of-magnitude increase. This is a notable step toward ultra-efficient control of solid-state qubits forquantum information processing and nanoscale sensing.

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••

Under certain conditions, atoms in a material can be oriented such that the electron spins find so many stableorientations that a randomly oriented spin structure or “spin ice” is formed. However, it is difficult to achieve
tailored long-range ordering of these configurations. This was solved by using a magnetic force microscope tocontrol the magnetic charge orientations and produce localized regions of aligned spin. This nanoscale control
could create novel phenomena associated with the spin orientation and may enable write-read-erase multifunctionality for information storage on a nanometer length scale.
In spintronics, extreme-low-power transmission of electrical information uses the spin of the electron, rather thanmoving electrons as in conventional electronics. However, spin currents are harder to detect and to amplify.
Researchers demonstrated the ability to manipulate and amplify the spin current in a material, similar to amplifying
a conventional electrical current with a transistor, using layered structures of an antiferromagnetic and an
insulating material. The layered structure showed a factor of ten increase in the spin polarized current, laying thepath to use in computing and high-efficiency electronics.

BES user facilities contribute to world leading science and help U.S. industries advance the technology frontiers.
• The advanced imaging capabilities at BES synchrotron facilities have assisted the aviation industry to gain insights
into the components of their engines. The 3D micro-structure information about these engine materials underoperating environments provides understanding of the features and the interaction between micro-structures, andof damage evolution of the materials. This will allow the industry to develop safer and more fuel-efficient engines.
• The VISION inelastic scattering instrument at the Spallation Neutron Source (SNS) has been employed by acommercial research laboratory (Toyota Research Institute) to study the fundamental internal chemical reactions
taking place in a new type of electrolyte material called “molten redox” that may lead to improved performance of
future batteries.
• Researchers at the Center for Nanoscale Materials invented a new nano-enabled foam called the Oleo Sponge that
not only easily adsorbs oil from water, but is also reusable and can pull dispersed oil from an entire water column,
not just the surface. Successful tests in New Jersey’s Ohmsett—The National Oil Spill Response Research andRenewable Energy Test Facility—giant seawater tank indicate that this new technology could have significant
impact in oil and other contaminant remediation.
New advanced capabilities and instrumentations at BES user facilities enable ground breaking science.
• The NSLS-II Experimental Tools (NEXT) project has delivered five world-class scientific instruments at NSLS-II. These
new instruments provide the researchers the most advanced scientific research capabilities to resolve fundamental
scientific problems, to examine materials under various environmental conditions, and to conduct in situ andoperando studies of reactions. This will facilitate the discovery of new materials and the development of newdevices that address national challenges.
• Experiments using SLAC’s Ultrafast Electron Diffraction system demonstrated that light whirls atoms around inperovskites, possibly facilitating the transport of electric charge through the composite, and potentially explaining
the high efficiency of these next-generation solar cell materials. Perovskites are cheap, easy to produce and very
efficient at converting light into electricity.
• Using the Oak Ridge Leadership Computing Facility, SNS scientists and the ORNL Applied Math Group havedeveloped the capability for real-time theoretical modeling of inelastic neutron scattering results. Thisdevelopment has enabled researchers to instantly compare experimental data to relevant theory and to determine
if the theoretical and experimental results are demonstrating equivalent physical phenomena. This comparison
allows researchers to adjust parameters in the theory in real-time based on the scattering data results and likewise
to determine aspects of the experimental data that need more statistical detail.
• The Molecular Foundry scientists developed a new electron microscopy imaging technique that greatly improves
images of light elements while using fewer electrons. The MIDI-STEM method may solve the challenge of seeing
structures with a mixture of heavy and light elements in close proximity, thereby allowing scientists to use highresolution electron microscopy on a broader set of hard and soft material combinations. The high resolution,
speed, and non-invasiveness could transform the way key biomolecular interactions are studied for sensors,
biology, and biomedicine.

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

Scattering and Instrumentation Sciences—Advancing science using new tools and techniques to characterize materials
structure and dynamics across multiple length and time scales, including ultrafast science, and to correlate this datawith materials performance under real world conditions.

Condensed Matter and Materials Physics—Understanding the foundations of material functionality and behavior
including electronic, thermal, optical, and mechanical properties, and quantum materials whose properties arise fromthe effects of quantum mechanics.

Materials Discovery, Design, and Synthesis—Developing the knowledge base and synthesis strategies to design andprecisely assemble structures to control properties and enable discovery of new materials with unprecedented
functionalities, including rare earth and other critical materials.

The portfolio emphasizes understanding of how to direct and control energy flow in materials systems over multiple time(from femtoseconds to seconds) and length scales (from the nanoscale to mesoscale), and translation of this understanding
to prediction of material behavior, transformations, and processes in challenging real-world systems. An example of thisresearch is examination of the transformations that take place in materials with many atomic constituents, complex
structures, and a broad range of defects when these materials are exposed to extreme environments, including extremes intemperature, pressure, stress, photon and radiation flux, electromagnetic fields, and chemical exposures – such as thosefound in fossil energy, nuclear energy, and most industrial settings. To maintain leadership in materials discovery, theresearch explores new frontiers of unpredicted, emergent materials behavior; utilization of nanoscale control; and materials
systems that are metastable or far from equilibrium. The research includes investigation of the interfaces between physicaland biological sciences to explore new approaches to novel materials design. Also essential is development of advanced
characterization tools, instruments and techniques that can assess a wide range of space and time scales, especially in
combination and under dynamic operando conditions to analyze non-equilibrium materials, conditions, and excited-statephenomena.

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In addition to single-investigator and small-group research, this subprogram supports Computational Materials Sciences,
EFRCs, and the Batteries and Energy Storage Hub. These research modalities support multi-investigator, multidisciplinary
research and focus on forefront scientific challenges that relate to the DOE energy mission. The Computational Materials
Sciences activity supports integrated, multidisciplinary teams of theorists and experimentalists who focus on developmentof validated community codes and the associated databases for predictive design of materials that will take advantage ofadvanced exascale computing platforms. The EFRCs support teams of investigators to perform basic research to acceleratetransformative scientific advances for the most challenging topics in materials sciences. Early stage research in the Batteries
and Energy Storage Hub focuses on developing the scientific understanding required to advance next generation energy
storage for the grid, transportation, and other national priorities.
The Materials Sciences and Engineering subprogram also includes DOE EPSCoR. Previously referred to as the “Experimental
Program to Stimulate Competitive Research,” this program has been renamed the “Established Program to Stimulate
Competitive Research” as directed in the American Innovation and Competitiveness Act, Public Law 114–329, §103(e)(2)(A).
The DOE EPSCoR program strengthens investments in early stage energy research for states and US territories that do nothistorically have large academic research programs.
Scattering and Instrumentation Sciences Research
Advanced characterization tools with very high precision in space and time are essential to understand, predict, andultimately control matter and energy at the electronic, atomic, and nanoscale levels. Research in Scattering andInstrumentation Science supports innovative technique and instrumentation development for advanced materials science
research with scattering, spectroscopy, and imaging using electrons, scanning probes, neutrons, and x-rays, including
development of science to understand ultrafast dynamics. These tools provide precise and complementary information on
the atomic structure, dynamics, and relationship between structure and properties. The use of DOE’s world-leading
electron, neutron, and x-ray scattering facilities in major advances in materials sciences provides continuing evidence of theimportance of this research field. In addition, the BESAC report on transformative opportunities for discovery science,
identified imaging as one of the pillars for transformational advances for the future. The use of multimodal platforms toreveal 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, emphasizing ultrafast techniques, are needed to measure non-equilibrium and excited-statephenomena at the core of the complex, interrelated physical and chemical processes that underlie materials performance inthese 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. These tools andtechniques are also critical in advancing understanding and discovery of novel quantum materials, including materials fornext generation systems to advance QIS.
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.
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A central focus of this research program is to characterize and understand materials whose properties are derived from theinteractions of electrons and related entities in their structure, such as unconventional superconductors and magnetic
materials. There is a growing emphasis on “quantum materials”—materials whose properties result from strong andcoherent interactions of the constituent electrons with each other, the atomic lattice, or light. This activity emphasizes
investigation of low-dimensional systems, including nanostructures and two-dimensional layered structures such asgraphene, multilayered structures of two-dimensional materials, and studies of the electronic properties of materials at
ultra-low temperatures and in high magnetic fields. The research advances the fundamental understanding of theelementary energy conversion steps related to photovoltaics, and the electron spin-phenomena and basic semiconductor
physics relevant to next generation electronics and quantum information technologies. Fundamental studies of thequantum mechanical behavior of electrons in materials will lead to an improved understanding of optical, electrical,
magnetic, and thermal properties for a wide range of material systems.
This activity also emphasizes research to understand how materials respond to their environments, including the influenceof temperature, electromagnetic fields, radiation, and corrosive chemicals. This research includes the defects in materials
and their effects on materials’ electronic properties, strength, structure, deformation, and failure over a wide range oflength and time scales that will enable the design of materials with superior properties and resistance to change under the
influence of radiation. There is a growing emphasis on extending knowledge of radiation effects to enable predictive
capabilities for the multiple extreme environments envisioned for future nuclear reactors.
There is a critical need to advance the theories that are being used to describe material properties across a broad range oflength and time scales, from the atomic scale to properties at the macroscale where the influence of size, shape, andcomposition is not adequately understood and the time evolution of these properties from femtoseconds to seconds tomuch longer times. Theoretical research also includes development of advanced computational and data-oriented
techniques and predictive theory and modeling for discovery of materials with targeted properties.
Quantum materials research as it relates to QIS is a priority with important connections to national security and energy,
including the development of the understanding to enable future generations of sensors, computers, and related
technologies. Research priorities are being established through community engagement in roundtable discussions,interactions with other SC program offices, and at the interagency level, to define a unique BES role in this critical field. The
research will couple materials expertise in quantum materials, theory for materials discovery, and prototypes of next
generation devices.
Materials Discovery, Design, and Synthesis Research
The discovery and development of new materials has long been recognized as the engine that drives science frontiers andtechnology innovations. Predictive design and discovery of new forms of matter with desired properties continues to be asignificant challenge for materials sciences. A strong, vibrant research enterprise in the discovery of new materials is criticalto world leadership—scientifically, technologically, and economically. One of the goals of this activity is to grow andmaintain U.S. leadership in materials discovery by investing in advanced synthesis capabilities and by coupling these withstate-of-the-art user facilities and advanced computational capabilities at DOE national laboratories.
The BESAC report on transformative opportunities for discovery science reinforced the importance of the continued growthof synthesis science, recognizing the transformational opportunity to realize targeted functionality in materials bycontrolling the synthesis and assembly of hierarchical architectures and beyond equilibrium matter. This program will beenhanced to expand the application of materials discovery and synthesis research to understand the unique properties ofrare earth and other critical materials, with the goal of reducing their use through development of substitutes, reducing thequantities required for specific properties, and developing novel synthesis techniques.
In addition to research on chemical and physical synthesis processes, an important element of this portfolio is research tounderstand how to use bio-mimetic and bio-inspired approaches to design and synthesize novel materials with some of theunique properties found in nature, e.g., self-repair and adaptability to the changing environment. Major research directions
include the controlled synthesis and assembly of nanoscale materials into functional materials with desired properties;
porous materials with customized porosities and reactivities; mimicking the energy-efficient, low temperature synthesis
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FY 2019 Congressional Budget Justification

approaches of biology to produce materials under mild conditions; bio-inspired materials that assemble autonomously and,in response to external stimuli, dynamically assemble and disassemble to form non-equilibrium structures; and adaptive andresilient materials that also possess self-repairing capabilities. The portfolio also supports fundamental research in solidstate chemistry to enable discovery of new functional materials and the development of new crystal growth methods andthin film deposition techniques to create complex materials with targeted structure and properties. An important elementof this activity is research to understand the progression of structure and properties as a material is formed, in order tounderstand the underlying physical mechanisms and to gain atomic level control of material synthesis and processing,including the extraordinary challenges for synthesis of quantum materials.
Established Program to Stimulate Competitive Research (EPSCoR)
The DOE EPSCoR program funds early stage research that supports the agency’s energy mission in states and territories withhistorically lower levels of Federal research funding. Eligibility determination for the DOE EPSCoR program follows the
National Science Foundation (NSF) eligibility analysis.
The DOE EPSCoR program emphasizes research that will improve the capability of designated states and territories to
conduct sustainable and nationally competitive energy-related research; jumpstart research capabilities in designated states
and territories through training scientists and engineers in energy-related areas; and build beneficial relationships between
scientists and engineers in the designated jurisdictions with world-class laboratories managed by the DOE, leverage DOE
national user facilities, and take advantage of opportunities for intellectual collaboration across the DOE system. Throughbroadened participation, DOE EPSCoR seeks to augment the network of energy-related research performers across thenation.
Energy Frontier Research Centers (EFRCs)
The EFRC program is a unique research modality, bringing together the skills and talents of teams of investigators to perform
energy-relevant, basic research with a scope and complexity beyond what is possible in standard single-investigator or
small-group awards. These multi-investigator, multi-disciplinary centers foster, encourage, and enable transformative
scientific advances for the most challenging topics in materials sciences. The EFRCs supported in this subprogram havehistorically 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 of phenomena related toquantum materials that can optimize energy flow and transmission. After eight years of research activity, the program has
produced an impressive breadth of scientific accomplishments, including over 9,600 peer-reviewed journal publications.
BES’s active management of the EFRCs continues to be an important feature of the program. The program uses a variety ofmethods to regularly assess the progress of the EFRCs, including annual progress reports, monthly phone calls with the EFRC
Directors, periodic Directors’ meetings, and on-site visits by program managers. BES also conducts in-person reviews by
outside experts. Each EFRC undergoes a review of its management structure and approach in the first year of the award anda midterm assessment of scientific progress compared to its scientific goals. To facilitate communication of results to other
EFRCs and DOE, BES holds meetings of the EFRC researchers biennially.
Energy Innovation Hubs—Batteries and Energy Storage
The Joint Center for Energy Storage Research (JCESR) focuses on advancing the understanding 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, improved batteries for vehicles, and other national priorities. JCESR is amulti-institutional research team led by Argonne National Laboratory (ANL) in collaboration with four other national
laboratories, ten universities, and five industrial participants. In the initial 5-year award (2013-2018), JCESR research
activities focused on the development of an atomic-level understanding of reaction pathways and elucidation of design
rules for electrolyte and electrode function for battery systems that go beyond lithium-ion with an emphasis on discovery of
new energy storage chemistries. JCESR pioneered the use of technoeconomic modeling to provide a “cost” consideration inprioritizing its fundamental research directions for next generation batteries. JCESR created a library of fundamental
scientific knowledge including: demonstration of a new class of membranes for anode protection and flow batteries;
elucidation of the characteristics required for multi-valent intercalation electrodes; understanding the chemical and physicalprocesses that must be controlled to protect the inventories of active materials in lithium-sulfur batteries and greatly
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FY 2019 Congressional Budget Justificationimprove cycle life; and computational screening of over 16,000 potential electrolyte compounds using the Electrolyte
Genome protocols.
The renewal of JCESR will continue the focus on early stage research to tackle forefront, basic scientific challenges for nextgeneration electrochemical energy storage. The research will be consistent with the priorities established in the recent BES
workshop report Basic Research Needs for Next Generation Electrical Energy Storage, including discovery science for
exploration of new battery chemistries and materials with novel functionality. It is anticipated that advances will elucidate
cross-cutting scientific principles for electrochemical stability; ionic and electronic transport at interfaces/interphases, inbulk materials or membranes; solvation structures and dynamics in electrolytes; nucleation and growth of materials, newphases, or defects; coupling of electrochemical and mechanical processes; and kinetic factors that govern reversible andirreversible reactions. Close coupling of theory, simulation, and experimentation is expected to accelerate scientificprogress; to unravel the complex, coupled phenomena of electrochemical energy storage; to bridge gaps in knowledge
across length and temporal scales; and to enhance the predictive capability of electrochemical models.
Computational Materials Sciences
Major strides in materials synthesis, processing, and characterization, combined with concurrent advances in computational
science—enabled by enormous improvements in high-performance computing capabilities—have opened an
unprecedented opportunity to design new materials with specific functions and properties. The goal is to leap beyond
simple extensions of current theory and models of materials towards a paradigm shift in which specialized computational
codes and software enable the design, discovery, and development of new materials, and in turn, create new advanced,
innovative technologies. Given the importance of materials to virtually all technologies, computational materials sciences
are critical for American competitiveness and global leadership in innovation.
This paradigm shift will accelerate the design of revolutionary materials to meet the Nation’s energy security and enhance
economic competitiveness. Development of fundamentally new design principles could enable stand-alone research 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 electrical and thermal transport in materials for
improved electronics. Success will require extensive R&D with the goal of creating experimentally validated, robust
community codes that will enable functional materials innovation.
Awards in this program focus on the creation of computational codes and associated experimental/computational databases
for the design of functional materials. This research is performed by fully integrated teams, combining the skills of experts inmaterials theory, modeling, computation, synthesis, characterization, and processing/fabrication. The research includes
development of new ab initio theory, mining the data from both experimental and theoretical databases, performing
advanced in situ/in operando characterization to generate the specific parameters needed to validate computationalmodels, and well-controlled synthesis to confirm the predictions of the codes. It uses the unique world leading tools andinstruments at DOE’s user facilities, from ultrafast free electron lasers to aberration-corrected electron microscopes andneutron and x-ray scattering and includes instrumentation for atomically controlled synthesis. The computational codes will
advance the predictive capability for functional materials, use DOE’s leadership class computational capabilities, and bepositioned to take advantage of today’s petascale and tomorrow’s exascale leadership class computers. This research will
result in publicly accessible databases of experimental/computational data 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 thesecodes/data by the broader research community and by industry to dramatically accelerate the design of new functional
materials.
Computational materials science research activities are managed using the approaches developed by BES for similar large
team modalities. Management reviews by a peer review panel are held in the first year of the award, followed by a midterm peer review to assess scientific progress, with regular teleconferences, annual progress reports, and active
management by BES throughout the performance period.

Science/Basic Energy Sciences

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FY 2019 Congressional Budget Justification

Basic Energy Sciences
Materials Sciences and Engineering
Activities and Explanation of Changes
FY 2017 Enacted
Materials Sciences and Engineering $359,641,000
Scattering and Instrumentation Sciences Research$76,598,000
Research supported advanced characterization tools
and techniques to address forefront scientificchallenges to understand materials and related
phenomena. Quantitative in situ and in operando
analysis capabilities under perturbing parameterssuch as temperature, stress, chemical environment,
and magnetic and electric fields were investigated.
Investments in x-ray science emphasized hypothesis
driven research with x-ray free electron laser sources,
tailored excitations with pumped laser control, andcoherent x-ray imaging. Neutron scattering researchemphasized research on thermodynamics of charged
polymer systems and emergent quantum phenomena
at interfaces and in the bulk. Electron scatteringresearch focused on innovative and multimodal
techniques to assess charge-orbital-spin coupling andquantum phenomena, ultrafast techniques, and highenergy resolution imaging and spectroscopy.

Science/Basic Energy Sciences

FY 2019 Request$361,040,000$60,925,000
Research will emphasize the development and use of
forefront characterization tools to address challenges
in materials science including understanding ofquantum phenomena, with an increasing emphasis on
ultrafast techniques. In addition to high spatial
resolution, the research will emphasize dynamics –understanding how material structures andphenomena evolve with time and in environmentsthat reflect the challenges for energy generation anduse. 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 inemergent quantum phenomena, especially research
involving interfaces. Electron scattering research will
focus on innovative techniques to assess quantum
phenomena, especially with ultrafast techniques.

62

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted+$1,399,000-$15,673,000
Research will emphasize development of novel
ultrafast techniques, especially using x-ray freeelectron lasers, and their use to assess materials
dynamics including processes related to quantum
phenomena. Research that uses long-standing x-ray,
neutron scattering, and electron microscopy
techniques and research focused on traditional
superconductivity and organic electronics will be
deemphasized.

FY 2019 Congressional Budget Justification

FY 2017 Enacted
Condensed Matter and Materials Physics Research$101,645,000
The program continued to support fundamental
experimental and theoretical research on theproperties of materials. The experimental andtheoretical condensed matter physics researchemphasized quantum materials, focusing on new andemergent behavior including quantum magnetism,spintronics, topological states, and novel 2D materials.
Advancement of theory and computational tools
focused on materials discovery, including data-driven
and machine learning techniques; novel approaches;and non-equilibrium systems. Physical behavior
research emphasized innovative science tounderstand optical, thermal, and electronic
phenomena. For mechanical behavior and radiation
effects, there was an increased focus onunderstanding defect evolution in radiation
environments.
Materials Discovery, Design, and Synthesis Research$61,931,000
Research to develop a scientific understanding forpredictive design and synthesis of materials acrossmultiple length scales continued. Emphasis was on
innovative approaches, including use of in situ and inoperando diagnostics, to understand the mechanismsof chemical, physical, and biomimetic synthesis ofmaterials to enhance discovery of new and improved
materials. Continued emphasis was placed on
research that incorporates both experiment andtheory with the goal of advancing broad mechanistic
insights. Fundamentals of growth kinetics, selfassembly, directed assembly, and the role ofinterfaces, including organic-inorganic systems, were
stressed. In materials chemistry, fundamental
research related to polymer chemistry, nanomaterial
Science/Basic Energy Sciences

FY 2019 Request

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted$123,790,000
Research on fundamental experimental andtheoretical research on the properties of materials,
emphasizing quantum phenomena, will be continued.
Experimental and theoretical condensed matterphysics research will emphasize quantum materials,
focusing on new and emergent behavior for QIS,
including spintronics, topological states and novel 2D
materials. Physical behavior research will emphasize
innovative science to understand optical andelectronic phenomena. Mechanical behavior andradiation effects research will continue to focus on themechanisms of materials failure due to mechanicalstrain, corrosion, and radiation environments,
including the coupled extremes envisioned for futurenuclear reactors.

+$22,145,000
Research will emphasize forefront research in the
topical areas covered by this subprogram. Research
will increase focus on quantum materials research,
including research relevant for QIS for bothexperimental and theoretical approaches. Alsoemphasized is radiation effects research that will
illuminate the scientific understanding of materials
intended for future nuclear reactors. Topics to be
deemphasized include research on traditional
superconductivity; theory related to soft matter,glassy systems, granular materials, ionic liquids,
surface chemistry, and mechanics; and high-strainrate deformation behavior.

$62,551,000
Research will continue to focus on understanding thefundamentals of predictive design and synthesis ofmaterials using chemical, physical and bio-inspired
techniques. Understanding the dynamics andevolution of materials structure and chemistry during
the early stages of materials synthesis will beemphasized, as will research that incorporates bothexperiment and theory with the goal of advancing
broad mechanistic insights. Fundamentals of growth
kinetics, self-assembly, directed assembly, and therole of interfaces and defect management will be
stressed for complex materials including quantum
materials, organic systems, nanomaterials,
electrochemical materials, polymers, and high fidelity
mesoscale systems.

+$620,000
Research will emphasize forefront science tounderstand synthesis related to novel functionalities
and elucidating the roles of interfaces, especially forquantum and critical materials. Topics to be deemphasized include research related to optimizationof synthetic methods, research focused on specificproperties of materials for applications, and researchwith a primary goal of device fabrication and testing.

63

FY 2019 Congressional Budget Justification

FY 2017 Enacted
synthesis, liquids, electrochemistry, and control ofporosity continued. For biomolecular materials,
research on assembly of materials that incorporate
error correction and defect management mechanisms
for beyond equilibrium, multicomponent materials
was emphasized.
Established Program to Stimulate Competitive
Research (EPSCoR) $14,452,000
Research supported science crosscutting the DOE
mission, with continued emphasis on science that
underpins DOE energy technology programs.
Implementation grants, state-laboratory partnerships,
and investment in early career research staff fromEPSCoR states was sustained. Single investigator
research through the state-laboratory partnerships
component of the program was emphasized.

FY 2019 Request$7,708,000
Efforts will continue to span science in support of the
DOE mission, with emphasis on early stage sciencethat underpins DOE energy technology programs.
Research will emphasize broadening EPSCoR
jurisdiction-laboratory partnerships and investment inearly career research faculty from EPSCoR designatedjurisdictions.

Energy Frontier Research Centers (EFRCs)$55,800,000$55,800,000
FY 2017 funds provided the fourth year of funding for FY 2019 funds will continue to support four-year EFRC
awards made in FY 2014, as well as the second year of awards that were made in FY 2016 and FY 2018.
funding for new awards made in FY 2016.

Science/Basic Energy Sciences

64

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted-$6,744,000
Research support is reduced compared to the FY 2017
Enacted level, taking into consideration overallfunding for core research to institutions in EPSCoR
states and emphasis on support for early stage, basic
research.

$0
As a result of the recompetition of the EFRC programin FY 2018, emphasis is placed on tackling thetransformative opportunities related to materials
sciences and the research priorities identified in the
Basic Research Needs reports on quantum materials,
synthesis science, instrumentation science, nextgeneration electrical energy storage, and futurenuclear energy. In order to address these priorities,
the following topical areas are deemphasized:
phenomena related to more mature areas of solar
photovoltaics, thermoelectrics, and solid-state
lighting.

FY 2019 Congressional Budget Justification

FY 2017 Enacted
Energy Innovation Hubs—Batteries and Energy
Storage $24,088,000
FY 2017 funding supported the research for JCESR tocomplete the five-year award (research continued
through mid-FY 2018). Its research activities focusedon the development of an atomic-level understandingof reaction pathways and development of universal
design rules for electrolyte function for battery
systems that go beyond lithium-ion with an emphasison discovery of new energy storage chemistries.
Computational Materials Sciences$12,000,000
Research continued on the computational materials
sciences awards focused on basic science necessary todevelop research-oriented, open-source,
experimentally validated software and the associateddatabases required to predictively design materials
with specific functionality. The software utilizes
leadership class computers and incorporates
frameworks that are suited for future exascalecomputer systems. For these four-year awards,
management reviews are held in the first year of theaward, and full peer reviews are held after two years.
Renewal, based on full peer review, is an option toensure maximum impact.

Science/Basic Energy Sciences

FY 2019 Request

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted$24,088,000$0Research will continue to focus on early stage
Funding will support renewal of the JCESR award at
research to tackle forefront, basic scientific challenges the same funding level.
for next-generation electrochemical energy storage.
The research will emphasize discovery science,elucidation of cross-cutting scientific principles forelectrical energy storage, and integration of theory,
experiment, and computational approaches toaccelerate progress.
$13,000,000
Research will continue on the computational
materials sciences awards, with ongoing focus on
basic science necessary to develop research-oriented,
open-source, experimentally validated software andthe associated databases required to predictively
design materials with specific functionality. Software
will be developed that utilizes leadership classcomputers, and made available to the broad researchcommunity. In addition, the codes will incorporate
frameworks that are suited for future exascalecomputer systems. Awards that complete their fourthyear of research will be considered for renewal in asolicitation that also considers new applications.

65+$1,000,000
The additional funds will support awards related totheory for predictive design of quantum materials fornext generation QIS.

FY 2019 Congressional Budget Justification

Science/Basic Energy Sciences66

FY 2019 Congressional Budget Justification

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

Fundamental Interactions—Discover the factors controlling chemical reactivity and dynamics in the gas phase,
condensed phases and at interfaces, based upon a quantum description of the interactions among photons, electrons,
atoms, and molecules.



Chemical Transformations—Understand and control the mechanisms of chemical catalysis, synthesis, separation,
stabilization and transport in complex chemical systems, from atomic to geologic scales.

Photochemistry and Biochemistry—Elucidate the molecular mechanisms of the capture of light energy and its
conversion into electrical and chemical energy through biological and chemical pathways.

This portfolio encompasses five synergistic, fundamental research themes that are at the intersections of multiple research
focus areas. An important component of ultrafast science, Ultrafast Chemistry, develops and applies approaches to probe
the dynamics of electrons that control chemical bonding and reactivity; to understand energy flow underlying energy
conversions in molecular, condensed phase, and interfacial systems; and to elucidate structural dynamics accompanying
bond breaking and bond making in chemical transformations. Chemistry at Complex Interfaces addresses the challenge ofunderstanding how the complex environment created at interfaces influences chemical phenomena such as reactivity andtransport that are important in photochemical, catalytic, separation, biochemical and geochemical systems. These complex
interfaces are structurally and functionally disordered, exhibit complex dynamic behavior, and have disparate properties ineach phase. Charge Transport and Reactivity explores how the dynamics of charges contribute to energy flow andconversion and how charge transport and reactivity are coupled. Reaction Pathways in Diverse Environments discovers theinfluence of nonequilibrium, heterogeneous, nanoscale, and extreme environments on complex reaction mechanisms inchemical conversions. Research in this area increases understanding of the factors controlling chemical processes andprovides mechanistic insights into the efficiency, control, and selectivity of reaction pathways. Chemistry in Aqueous
Environments addresses the unique properties of water, particularly how they manifest in extreme environments such asconfinement (e.g., nanoscale pores) and multi-component, multi-phase solutions (e.g., concentrated electrolytes), and therole aqueous systems play in energy and chemical conversions. The advancement of characterization tools andinstrumentation with high spatial and temporal resolution and ability to study real-world systems under operating
conditions, as well as computational and theoretical tools that provide predictive capabilities for studies of progressively
more complex systems, are essential for advancing fundamental science in these areas.
In addition to single-investigator and small-group research, the subprogram supports 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.

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FY 2019 Congressional Budget Justification

The FY 2019 Request focuses resources toward the highest priorities in early-stage fundamental research, with targeted
reductions of activities that extend to later-stage fundamental research. High priority areas include ultrafast science,
particularly through the cross-cutting research theme in Ultrafast Chemistry and complemented by research supported inother research themes, QIS to understand the quantum nature of atomic and molecular systems and research to exploit
recent advances in quantum computing to address scientific challenges that are beyond the capabilities of classicalcomputers, and chemical processes in extreme environments, in particular the extremes of radiation, temperature, stress,and chemical reactivity, to provide fundamental knowledge needed to understand as well as advance nuclear energy
systems.
Fundamental Interactions ResearchThis activity emphasizes structural and dynamical studies of atoms, molecules, and nanostructures, and the description of
their interactions in full quantum detail. The goal is to achieve a complete understanding of reactive chemistry in the gas
phase, condensed phase, and at interfaces. Using techniques and tools developed for Ultrafast Sciences, novel sources ofphotons, electrons, and ions are used to probe and control atoms and molecules. Ultrafast optical and x-ray sources aredeveloped and used to study and direct molecular dynamics and chemical reactions to increase basic understanding of
Charge Transport and Reactivity and Reaction Pathways in Diverse Environments, and to understand how the dynamics ofmolecular environments influence reactivity and transport that is important in Chemistry at Complex Interfaces andChemistry in Aqueous Environments. Research encompasses structural and dynamical studies of chemical systems in the gas
and liquid phases. New algorithms for computational chemistry are developed for an accurate and efficient description ofchemical processes to better understand Reaction Pathways in Diverse Environments, Charge Transport and Reactivity,
Chemistry at Complex Interfaces, and Ultrafast Chemistry. These theoretical and computational approaches are applied inclose coordination with experiment. The knowledge and techniques produced by Fundamental Interactions research form ascience base that underpins numerous aspects of the DOE mission.
The principal research thrusts in this activity are atomic, molecular, and optical sciences (AMOS) and three areas of chemical
physics: gas phase chemical physics, condensed phase and interfacial molecular science, and computational and theoreticalchemistry. AMOS research emphasizes the fundamental interactions of atoms and molecules with electrons and photons,
particularly intense, ultrafast x-ray pulses, to characterize and control 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 and to understand quantum effects, such as coherence in molecular systems, that are the foundation for creatingnovel QIS systems. Of special interest is foundational research on computational design of molecular- to meso-scalematerials, and on next-generation simulation of complex dynamical processes. Research in this area is crucial to utilize
planned exascale computing facilities and to optimize use of existing petascale computers, leveraging U.S. leadership in thedevelopment of computational chemistry codes. Additional emphasis will be placed on codes that contribute to afundamental understanding of how molecules might function as components of quantum computers.
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, separation science,
heavy element chemistry and geosciences. The research uses tools from Ultrafast Chemistry to identify transient species
during reactions and refine theories of reactivity; advances understanding of Charge Transport and Reactivity important in
Science/Basic Energy Sciences68

FY 2019 Congressional Budget Justificationelectrocatalytic and geochemical redox processes; explores Chemistry at Complex Interfaces in catalytic, geochemical andseparation systems; and develops understanding of Chemistry in Aqueous Environments that play important roles ingeochemical transformations and chemical separations, including heavy elements. This research breadth demands a broad
coverage of scientific disciplines and analytical tools. Hence, Chemical Transformations comprise four core areas: Catalysis
Science, Separation Science, Heavy Element Chemistry and Geosciences.
Reaction Pathways in Diverse Environments represent a major fraction of the research in this activity, particularly focused onachieving predictability and control of catalytic conversions, which are dominated by correlated structural and electronic
dynamics under reaction conditions. This chemistry encompasses interfacial dynamics of catalytic particles, transient orreactive interfacial species, multifunctional membranes, nanostructured electrodes, and multiphase electrolytes. This
activity supports development and application of theoretical and computational approaches to achieve a deeper
understanding of reaction and separation pathways and processes; design new catalysts, membranes or separation media;
and predict transport and reaction processes in the Earth’s subsurface. This activity contains the largest federally funded
program in non-biological Catalysis Science. The fundamental knowledge gained from this research activity provides thefoundation for replacing critical elements such as noble metals in catalytic processes.
This activity supports fundamental separation science to resolve complex organic or inorganic mixtures, extract actinides
from complex solutions, or recover targeted species from streams. Controlling the interaction of electric fields and matterallows for improved separations and controlled reactions. Controlling charge transport and reactivity is essential toefficiently control electroseparations as well as redox processes in fuel cells, electrocatalysts, reactive membranes ormineral interfaces. The fundamental knowledge gained from this research activity provides the foundations for extracting
and purifying critical elements from waste as well as new resources.
Foundational knowledge for future nuclear energy approaches is provided through fundamental studies of the structure andreactivity of actinide-containing molecules in extreme environments such as those in nuclear reactors and nuclear waste
containment. Radionuclides and heavy elements under extreme radiation environments exhibit unique dynamic and kinetic
behavior. The challenges are further compounded by the evolution of these chemical mixtures over time. The chemistry of
aqueous systems plays an important role in understanding the science of separations for these mixtures as well as theirevolution.
Geosciences research provides the fundamental scientific basis underlying the subsurface chemistry and physics of natural
substances under extreme conditions of pressure in solid or confined environments (e.g., porous media). Understanding
chemistry of aqueous solutions at mineral interfaces and in confined environments is a common theme for this research
activity, which advances knowledge of subsurface fracture, fluid flow and complex chemistry occurring over multiple scalesof time and space.
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 Chemistry, are developed and used to investigate the structural and chemical dynamics ofenergy absorption, transfer, conversion and storage across multiple spatial and temporal scales as well as to better
understand Charge Transport and Reactivity. Such efforts target the basic understanding of mechanisms and dynamics ofchemical 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 mesoscalestructures and develops new knowledge of the Chemistry at Complex Interfaces as well as Chemistry in Aqueous
Environments. To develop knowledge of Reaction Pathways in Diverse Environments, structural, functional and mechanistic
properties of enzymes, enzyme systems, and energy-relevant biological reactions are studied, identifying principles
important for catalyst function, selectivity, and stability. These cross-cutting synergistic efforts are illustrated by studies ofthe mechanism of the 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 both natural systems (e.g.

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FY 2019 Congressional Budget Justification

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,photosynthetic electron and proton transport, photosynthetic uptake and reduction of carbon dioxide, and mechanisms ofself-assembly, self-regulation, and self-repair exhibited by the proteins, membranes and cellular compartments that perform
natural photosynthesis. Physical science tools, such as those used for Ultrafast Chemistry, are used extensively to probe
structural, functional, and mechanistic properties of enzymes, enzyme systems, and energy-relevant biological reactions andpathways related to energy capture, conversion, and storage, including complex multielectron redox reactions, electrontransfer and bifurcation, and processes beyond primary photosynthesis such as nitrogen reduction and deposition of the
reduced carbon into energy-dense carbohydrates and lipids. Complementary research on solar energy conversion inchemical and artificial systems focuses on the elementary steps of light absorption, charge separation, and charge transport
within a number of chemical systems. Supported research incorporates organic and inorganic photochemistry, catalysis andphotocatalysis, light-driven electron and energy transfer in the condensed phase and across interfaces,
photoelectrochemistry, and artificial assemblies for charge separation and transport and provides fundamental insights forelectricity generation from sunlight and artificial photosynthetic fuel production.
This activity also supports radiation science, investigating fundamental physical and chemical effects produced by theabsorption of energy from ionizing radiation. These fundamental studies provide understanding of the chemical reactions
that occur in radiation fields of nuclear reactors, including in their fuel and coolants. A common theme is the exploration ofradiolytic processes that occur across solid-liquid and solid-gas interfaces, where surface chemistry can be activated andchanged by radiolysis.
Energy Frontier Research Centers (EFRCs)
The EFRC program is a unique research modality, bringing together the skills and talents of teams of investigators to perform
energy-relevant, basic research with a scope and complexity beyond what is possible in standard single-investigator or
small-group awards. These multi-investigator, multi-disciplinary centers foster, encourage, and accelerate basic research toenable transformative scientific advances for the most challenging topics in chemical sciences, geosciences, and biosciences.
The EFRCs supported in this subprogram have historically focused on the following topics: the design, discovery,
characterization, and control of the chemical, biochemical, and geological moieties and processes for the advanced
conversion of solar energy into chemical fuels and for improved electrochemical storage of energy; the understanding of
catalytic chemistry and biochemistry that are foundational for fuels, chemicals, and separations; and advanced interrogationand characterization of the earth’s subsurface. After eight years of research activity, the program has produced an
impressive breadth of accomplishments, including over 9,600 peer-reviewed journal publications.
BES’s active management of the EFRCs continues to be an important feature of the program. A variety of methods are used
to regularly assess the progress of the EFRCs, including annual progress reports, monthly phone calls with the EFRC
Directors, periodic Directors’ meetings, and on-site visits by program managers. BES also conducts in-person reviews by
outside experts. Each EFRC undergoes a review of its management structure and approach in the first year of the award anda midterm assessment of scientific progress compared to its scientific goals. To facilitate communication of results to other
EFRCs and DOE, BES holds meetings of the EFRC researchers biennially.
Energy Innovation Hubs—Fuels from Sunlight
Established in September 2010, the Fuels from Sunlight Hub, called the Joint Center for Artificial Photosynthesis (JCAP), is amulti-disciplinary, multi-investigator, multi-institutional effort to create the scientific foundation for transformative advancesin the development of artificial photosynthetic systems for the conversion of sunlight, water, and carbon dioxide into a
range of commercially useful fuels. JCAP was renewed by BES for a final five-year award term starting on September 30,
2015, at an annual funding level of $15M. JCAP is led by the California Institute of Technology (Caltech) in primarypartnership with Lawrence Berkeley National Laboratory (LBNL). Other partners include the SLAC National Accelerator
Laboratory and University of California institutions.

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In the second award, JCAP focused 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. Guided by theoretical results,scientists discovered that nickel-gallium films require less energy to reduce carbon dioxide to ethylene, ethane, andmethanol than copper-based materials, which were previously considered to be the best candidate catalysts. The researchteam combined JCAP’s unique computational and experimental high-throughput capabilities to discover new earthabundant metal vanadates that meet demanding requirements for water-splitting photoanodes. These results nearly
doubled the number of materials 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 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.
The FY 2019 Request continues to focus resources toward the highest priorities in early-stage fundamental research on
carbon dioxide reduction, with targeted decreases in activities that extend to later-stage fundamental research.
Computational Chemical Sciences
Software solutions and infrastructure provide the enabling tools for an effective scientific strategy to address the nation’senergy challenges. BES-supported activities are entering a new era in which chemical reactions can be controlled and mattercan be built with atom-by-atom precision. At the foundation of this new era are computational models that can accurately
predict the behavior of molecules and materials based on theoretical calculations prior to their experimental synthesis.
Open-source and commercial codes have established American dominance in computational chemistry. However, that
dominance is being challenged with the transition to predominantly massively-parallel high performance computing (HPC)
platforms, because most existing computational chemistry codes are unable to use efficiently more than one percent of theprocessors available on existing leadership-class supercomputers. While recent breakthroughs in computational chemistry
provide a strong foundation for future success, a multidisciplinary team effort is critically needed to modify or replace
existing computational chemistry codes with codes that are well-adapted to current petascale and anticipated exascalearchitectures.
BES launched research awards in FY 2017 to perform computational chemistry research that focus on the creation ofcomputational codes and associated experimental/computational databases for the design of chemical processes andassemblies. These research efforts combine the skills of experts in theoretical chemistry, modeling, computation, andapplied mathematics. The research includes development of new ab initio theory, mining data from both experimental andtheoretical databases, and experimental validation of the codes. The computational codes will advance the predictive
capability for chemical processes and assemblies, using DOE’s scientific user facilities (including both advanced experimental
as well as leadership class computational capabilities). This research will result in publicly accessible databases ofexperimental/computational data and open source, robust, validated, user friendly software that captures the essential
physics and chemistry of relevant chemical systems. The ultimate goal is use of these codes/data by the broader researchcommunity and by industry to dramatically accelerate chemical research in the United States.
Computational chemical science research activities are managed using the approaches developed by BES for similar large
team modalities. Management reviews by a peer review panel are held in the first year of the award, followed by a midterm peer review to assess scientific progress, with monthly teleconferences, annual progress reports, and active
management by BES throughout the performance period.
General Plant Projects (GPP)
GPP funding provides for minor new construction, for other capital alterations and additions, and for improvements to land,buildings, and utility systems to maintain the productivity and usefulness of Department-owned facilities and to meetrequirements for safe and reliable facilities operation.

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FY 2019 Congressional Budget Justification

Basic Energy Sciences
Chemical Sciences, Geosciences, and Biosciences
Activities and Explanation of Changes
FY 2017 Enacted
Chemical Sciences, Geosciences, and Biosciences$329,127,000
Fundamental Interactions Research $62,606,000

FY 2019 Request$327,970,000$69,581,000-$1,157,000+$6,975,000

This activity is a major supporter of ultrafast chemical This activity will continue to develop and apply
sciences and chemical physics, underpinning energy
forefront ultrafast x‐ray and optical probes of matterconversion and chemical transformation phenomena. to study and control energy flow and bondThis activity supported structural and dynamical
rearrangements. Gas phase research will continue tostudies of atoms and molecules, and the description
develop and apply approaches to examine theof their interactions in full quantum detail, with thestructure and dynamics of reactive intermediates andaim of providing a complete understanding of
how they impact reaction pathways in heterogeneous
reactive chemistry in the gas phase, condensed
environments. Research will extend efforts tophase, and at interfaces. Novel sources of photons,
understand and control chemical processes andelectrons, and ions were used to probe and control
dynamics, at the molecular level, in increasingly
atomic, molecular, and nanoscale matter. Ultrafast
complex aqueous and interfacial systems. Research
optical and x-ray techniques were developed andwill expand the use of ultrafast techniques to study
used to study and direct molecular, dynamics, andgas-phase, condensed phase and interfacial chemicalchemical reactions.
phenomena. The activity will develop advanced
theoretical methods for electronic structure
calculations that can be scaled to operate on exascalecomputers. Research will support the development of
new computational tools to calculate electronically
excited states in molecules and extended mesoscale
systems, to guide and interpret ultrafast
measurements, and to develop new catalysts. The
activity will emphasize efforts to drive advances in theapplication of quantum computing for molecular
calculations.

Science/Basic Energy Sciences

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted

72

The Request emphasizes imaging studies of molecular
dynamics using as well as developing ultrafast
capabilities at BES light sources, research tounderstand increasingly complex interfacial systems,
advances in computational and theoretical chemistry
for molecular systems of increasing complexity,
advanced computational tools, and exascalecomputing. This activity will continue leading efforts
to discover the factors controlling chemical reactivity
and dynamics in the gas phase, condensed phases andat interfaces, based upon fundamental knowledge ofthe interactions among photons, electrons, atoms,
and molecules. This activity will increase research insupport of the application of quantum computing tocalculations of molecular structure and dynamics. The
activity will de-emphasize aspects of nanoscience andcombustion research.

FY 2019 Congressional Budget Justification

FY 2017 Enacted

FY 2019 Request

Chemical Transformations Research $81,687,000
This activity is a major supporter of catalysis andheavy element chemistry that have been the focus ofcommunity workshops and National Academy studies.
This activity supported fundamental research for thecharacterization, control, and optimization ofchemistry in many forms. Catalysis science supported
the design of new catalytic methods for the clean andefficient production of fuels and chemicals throughthermally and non-thermally induced reaction
pathways. It involved catalysts of various types:
inorganic and organic complexes, nanostructured andmacromolecular phases, and solids and interfaces incomplex environments. Heavy element chemistry
explored the unique molecular bonding of theactinide and transactinide elements using experimentand theory to elucidate electronic and molecular
structure as well as reaction thermodynamics.
Research on chemical separations focused onunderstanding pathways and developing principles for
how to control atomic and molecular interactions withseparation media, including solvents, inorganic andorganic/hybrid membranes, confined environments,
complex mixtures and interfaces. Geosciences
research covered molecular to mesoscale processes
underlying interfacial geochemistry, flow andtransport, and geomechanics.

$88,869,000
This activity will continue to support predictive
fundamental research on the design and synthesis ofnovel catalysts to efficiently convert chemical
feedstocks to high-value fuels and chemicals. New
routes to the efficient synthesis of high-energy
chemicals such as hydrogen, ammonia, methanol, andothers, will continue to be pursued. Fundamental
separation science research will continue oninnovative approaches for separating chemical
mixtures. Molecular recognition at complex
interfaces, predictive theory for transport andseparation in confined environments, and multiscale
methods for bonding and dynamics will continue tobe supported, increasingly with exascale capabilities.
Geochemical and geophysical mechanisms of reaction
and transport processes in the subsurface
environments, such as nucleation, growth andmineralization, solvation in aqueous environments atextreme conditions, and dynamics at mineral-waterinterfaces will continue to be supported. Heavy
element research will continue to expand theknowledge of the chemistry of actinide reactivity,
bonding, synthesis, and separation, and also support
training in nuclear chemistry. Theoretical methods willcontinue to be advanced to accurately describe thechemistry of f-element compounds.

Science/Basic Energy Sciences73

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted+$7,182,000
This Request emphasizes efforts in ultrafast
spectroscopy for detailed studies of pathways,
electronic structure calculations for systems ofincreasing molecular and solid complexity, andmultiscale modeling and simulations for complex
bonding or reaction and transport processes.
Research will continue to lead the development offundamental knowledge of mechanisms of chemical
catalysis, synthesis, separations, stabilization andtransport required to control chemical processes incomplex systems. This activity will emphasize
fundamental studies of the chemical processes that
occur in nuclear environments, aimed towards anunderstanding of the structure, dynamics, andenergetics of molten salt coolants and fuels as well asof the chemical and physical properties of interfaces
and heavy elements. Also emphasized are thecatalytic and separation mechanisms that operate
within diverse environments created by complex
atomic architectures, solvents, electric or mechanicalfields, at various temperatures and pressures. It will
provide new knowledge on reaction systems that
integrate multiple steps, including chemical
conversion, energy conversion and chemical
separation steps that are resilient and adaptable tomultiple sources of energy and feedstocks. The
activity will de-emphasize research on chemical
analysis, synthesis of nanomaterials, physics of fluids
in rock systems, and biocatalytic reactions that are
better aligned under other activities.

FY 2019 Congressional Budget Justification

FY 2017 Enacted
Photochemistry and Biochemistry Research$89,168,000
This activity is a major supporter of solar
photochemistry and natural photosynthesis research,and central to understanding chemical processes anddynamics during energy capture and conversion.
Research supported the molecular mechanisms
involved in the capture of light energy and its
conversion into chemical and electrical energy
through biological and chemical pathways. Study ofnatural photosynthetic systems provided insights for
artificial and bio-hybrid systems that exhibit thebiological traits of self-assembly, regulation, and selfrepair. Complementary research encompassed organicand inorganic photochemistry, photoelectrochemistry, electron and energy transfer, photoand bio-catalysis, and molecular assemblies for
artificial photosynthesis.

FY 2019 Request

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted$74,386,000
The activity 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 in both natural and artificial systems.
Research of the fundamental mechanisms ofphotocatalysis and biocatalysis will continue to makeuse of innovative ultrafast methodologies as well as
computation and modeling. Efforts to understandprocesses and reactions on ultrafast timescales forenergy conversion in natural and artificial systems willcontinue to be supported and will target afundamental understanding of ultrafast chemistry andof reactivity across complex interfaces, in aqueous
environments, and under dynamic conditions.
Research will also continue to examine how water
drives formation of mesoscale structures for energy
capture and conversion in natural systems and thechemistry and structure of water and other molecules
within the field of highly ionizing radiation.

-$14,782,000
The Request emphasizes the use and development of
ultrafast techniques and theory and computation tounderstand excited-state dynamics and charge andenergy transfer in photochemical and biochemical
processes. Cutting-edge research will continue todevelop fundamental knowledge and innovative
approaches to understand physical, chemical, andbiochemical processes of light energy capture andconversion in non-biological and biological systems.
Research in fundamental radiation chemistry will beemphasized to provide a foundation for prediction
and control of radiation-chemical transformations incomplex and extreme environmental systems.
Fundamental research on charge transport, energy
transfer, and catalytic mechanisms will provide newknowledge of processes important for energy
capture, conversion, and storage as will efforts in thechemistry of ultrafast processes, complex interfaces,
and water-driven processes. The activity will deemphasize efforts in plant cell wall biosynthesis andstructure, light signaling in plant development, andpolyelectrolytes in solar photoconversion.

Energy Frontier Research Centers (EFRCs)$54,200,000$54,200,000
FY 2017 funds provided the fourth year of funding for The Request will continue to support four-year EFRC
awards made in FY 2014, as well as the second year of awards that were made in FY 2016 and FY 2018.
funding for new awards made in FY 2016.

Science/Basic Energy Sciences

74$0
As a result of the recompetition of the EFRC programin FY 2018, the FY 2019 Request will emphasize
tackling the transformative opportunities related tochemical sciences, geosciences, and biosciences andthe research priorities identified in the Basic Research
Needs reports on catalysis science, synthesis science,
instrumentation science, energy-water issues, andfuture nuclear energy. In order to address thesepriorities, the following topical areas are
FY 2019 Congressional Budget Justification

FY 2017 Enacted

Energy Innovation Hubs—Fuels from Sunlight$15,000,000
The Fuels from Sunlight Hub continued to performresearch on the fundamental science of carbon
dioxide reduction needed to enable efficient,sustainable solar-driven production of liquidtransportation fuels. JCAP underwent a scientific andmerit review in FY 2017 to assess progress towardmeeting project milestones and goals.

FY 2019 Request

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted
deemphasized: phenomena related to more matureareas of solar photovoltaics; carbon dioxidesequestration; and biologically-mediated breakdown
and conversion of lignocellulosic biomass.

$15,000,000
FY 2019 funds will continue to support JCAP’s
fundamental research on the science of carbon
dioxide reduction.

$0
The Request focuses resources toward the highest
priorities in early-stage fundamental research, withtargeted reductions of activities that extend to laterstage fundamental research.

Computational Chemical Sciences $13,489,000
Computational Chemical Sciences (CCS) projects were
initiated to develop open-source modular softwaretools that can be reused and tailored for fundamental
research needs of the chemistry community. This
investment builds on current quantum chemistry
software, seeking to create new codes that fully
leverage massively-parallel high performancecomputing platforms and target implementation on
future exascale computer systems. Funded researchareas included: hierarchical and scalable software forspectra, transformation and separation; transitionmetal molecules for chemical control and quantum
systems; and photocatalytic and field-driven
chemistry and transport.

$13,000,000
FY 2019 funds will continue to support CCS awards
that were made in FY 2017 and any new awards incomplementary research areas made in FY 2018.

-$489,000
The Request will support awards that enable the useof leadership class computing and exascale computer
systems for research areas complementary to the
FY 2017 awards, including to understand quantum
mechanical behavior of molecular systems for next
generation QIS.

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

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

$0
No changes.

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FY 2019 Congressional Budget Justification

Science/Basic Energy Sciences76

FY 2019 Congressional Budget Justification

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 2017, the BES scientific facilities were used by nearly 16,000 scientists and engineers in many fields of science andtechnology. These facilities provide unique capabilities to the scientific community and industry and are a criticalcomponent of maintaining U.S. leadership in the physical sciences. Collectively, these user facilities and enabling tools
contribute to important research results that span the continuum from basic to applied research and embrace the full rangeof scientific and technological endeavors, including chemistry, physics, geology, materials science, environmental science,
biology, and biomedical science. These capabilities enable scientific insights that can lead to the discovery and design ofadvanced materials and novel chemical processes with broad societal impacts, from energy applications to information
technologies and biopharmaceutical discoveries. The advances enabled by these facilities extend from energy-efficient
catalysts to spin-based electronics and new drugs for cancer therapy. For approved, peer-reviewed projects, operating time
is available at no cost to researchers who intend to publish their results in the open literature.
X-Ray Light Sources
X-rays are an essential tool for studying the structure of matter and have long been used to peer into material throughwhich visible light cannot penetrate. Today’s light source facilities produce x-rays that are billions of times brighter than
medical x-rays. Scientists use these highly focused, intense beams of x-rays to reveal the identity and arrangement of atoms
in a wide range of materials. The tiny wavelength of x-rays allows us to see things that visible light cannot resolve, such as
the arrangement of atoms in metals, semiconductors, biological molecules, and other materials. The fundamental tenet ofmaterials research is that structure determines function. The practical corollary that converts materials research from an
intellectual exercise into a foundation of our modern technology-driven economy is that structure can be manipulated 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
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FY 2019 Congressional Budget Justification

wavelengths of the emitted photons span a range of dimensions from the atom to biological cells, thereby providing incisiveprobes for advanced research in a wide range of areas, including materials science, physical and chemical sciences,metrology, geosciences, environmental sciences, biosciences, medical sciences, and pharmaceutical sciences. BES operates asuite of five light sources, including a free electron laser, the Linac Coherent Light Source (LCLS) at SLAC, and four storage
ring based light sources—the Advanced Light Source (ALS) at LBNL, the Advanced Photon Source (APS) at ANL, the Stanford
Synchrotron Radiation Lightsource (SSRL) at SLAC, and the newly constructed National Synchrotron Light Source-II (NSLS-II)
at BNL. BES also provides funds to support facility operations, to enable cutting-edge research and technical support, and toadminister the user 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; andtheir scattering cross-section is precisely measurable on an absolute scale, facilitating straightforward comparison withtheory and computer modeling.

The High Flux Isotope Reactor (HFIR) at ORNL generates neutrons via fission in a research reactor. HFIR operates at 85
megawatts and provides state-of-the-art facilities for neutron scattering, materials irradiation, and neutron activation
analysis. It is the world’s leading production source of elements heavier than plutonium for medical, industrial, and research
applications. There are 12 instruments in the user program at HFIR and the adjacent cold neutron beam guide hall, which
include world-class inelastic scattering spectrometers, small angle scattering, powder and single crystal diffractometers,
neutron imaging, and an engineering diffraction machine.
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, and spin echo and small angle scattering spectrometers. A full suite of high and low
temperature, high magnetic field, and high pressure sample environment equipment is available on each instrument. All the
SNS instruments are in high demand by researchers world-wide in a range of disciplines from biology to materials sciences
and condensed matter physics.
Nanoscale Science Research Centers (NSRCs)
Nanoscience is the study of materials and their behaviors at the nanometer scale—probing and assembling single atoms,
clusters of atoms, and molecular structures. The scientific quest is to design new nanoscale materials and structures notfound in nature, and observe and understand how they function and interact with their environment. Developments at thenanoscale and mesoscale have the potential to make major contributions to delivering remarkable scientific discoveries thattransform our understanding of energy and matter and advance national, economic, and energy security.
The NSRCs focus on interdisciplinary research at the nanoscale, serving as the basis for a national program thatencompasses new science, new tools, and new computing capabilities. They are a different class of facility than the x-ray
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FY 2019 Congressional Budget Justification

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 BES currently supports are the Center for Nanoscale Materials at ANL,
the Center for Functional Nanomaterials at BNL, the Molecular Foundry at LBNL, the Center for Nanophase Materials
Sciences at ORNL, and the Center for Integrated Nanotechnologies at SNL and LANL. Each center has particular expertiseand capabilities, such as nanomaterials synthesis and assembly; theory, modeling and simulation; imaging and spectroscopy
including electron microscopy; and nanostructure fabrication and integration. Selected thematic areas include catalysis,electronic materials, nanoscale photonics, and soft and biological materials. The centers are housed in custom-designed
laboratory buildings near one or more other major BES facilities for x-ray, neutron, electron scattering, or computation
which complement and leverage the capabilities of the NSRCs. These laboratories contain clean rooms, nanofabrication
resources, one-of-a-kind signature instruments, and other instruments not generally available except at major user facilities.
The NSRC electron microscopy capabilities provide superior atomic-scale spatial resolution and the ability to simultaneously
obtain structural, chemical, and other types of information from sub-nanometer regions at short time scales. Operating
funds enable cutting-edge research and technical support and to administer the user program at these facilities, which are
made available to academic, government, and industry researchers with access determined through external peer review ofuser proposals.
The emerging field of quantum information science (QIS) exploits intricate quantum mechanical phenomena such as
entanglement to create fundamentally new ways of obtaining and processing information. Harnessing thesecounterintuitive properties of matter promises to yield revolutionary new approaches to computing, sensing,communication, and metrology, as well as far-reaching advances in our understanding of the world around us. A part of the
FY 2019 BES funding for the NSRCs will be used to develop QIS related research infrastructure for materials synthesis,
fabrication, metrology, modeling and simulation. The goal is to develop a flexible and enabling infrastructure so that U.S.
institutions and industry can rapidly develop and commercialize the new discoveries and innovations.
Other Project Costs
The total project cost (TPC) of DOE’s construction projects is comprised of two major components—the total estimated cost
(TEC) and other project costs (OPC). The TEC includes project costs incurred after Critical Decision-1, such as costs
associated with all engineering design and inspection; the acquisition of land and land rights; direct and indirect
construction/fabrication; the initial equipment necessary to place the facility or installation in operation; and facility
construction costs and other costs specifically related to those construction efforts. OPC represents all other costs related tothe projects that are not included in the TEC, such as costs that are incurred during the project’s initiation and definition
phase for planning, conceptual design, research, and development, and those incurred during the execution phase for R&D,
startup, and commissioning. OPC is always funded via operating funds.
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,
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FY 2019 Congressional Budget Justification

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. The BES commitment for LTSM ends in FY 2018. No funding is requested in FY 2019.

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FY 2019 Congressional Budget Justification

Basic Energy Sciences
Scientific User Facilities
Activities and Explanation of Changes
Explanation of Changes
FY 2019 Request vs FY 2017 Enacted
Scientific User Facilities $992,732,000$946,690,000-$46,042,000
X-Ray Light Sources $489,059,000$491,059,000+$2,000,000
Funding supported near optimal operations of the five LCLS operations will continue in preparation for
The increase supports LCLS operations in preparation
BES light sources. The light sources supported overcompletion of the LCLS-II project and in support of the for completion of the LCLS-II project and in support of
11,000 users in FY 2017. In addition, $5M was
BES priority in ultrafast science. To allow installation
the BES priority in ultrafast science.
appropriated for R&D in support of the Advanced
activities for the LCLS-II construction project toLight Source Upgrade.
proceed, LCLS will be shut down for one year, starting
around 2Q FY 2019. During the shutdown, LCLS willcontinue to maintain critical systems, advance linac
remediation activities, and develop new instruments
and capabilities for experiments. APS, ALS, NSLS-II and
SSRL operations will continue at 95% of optimum.
FY 2017 Enacted

FY 2019 Request

High-Flux Neutron Sources $266,000,000
Funding supported the operation of HFIR and SNS atnear optimal levels. The neutron facilities supported
over 1,200 users in FY 2017. Limited funding wasprovided to the Lujan Neutron Scattering Center forthe disposition of unused equipment.

$265,000,000
SNS and HFIR operations will continue at 95% of
optimum. No funding is requested for the Lujan
Neutron Scattering Center for the disposition ofunused equipment.

-$1,000,000
No funding is requested for the disposition of unused
equipment at the Lujan Neutron Scattering Center.

Nanoscale Science Research Centers $122,272,000
Funding supported operations at the five BES NSRCs
at near optimal levels. The NSRCs continued to
expand the user base from universities, national
laboratories, and industry. In FY 2017, the NSRCs
supported over 3,300 users.

$122,272,000
All five NSRCs will be supported, with part of thefunding designated for tool development for QIS.

$0
No change.

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FY 2019 Congressional Budget Justification

FY 2017 Enacted

FY 2019 Request

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted+$5,100,000
Other Project Costs increase according to the projectplans.

Other Project Costs $5,000,000
OPC funds were appropriated by Congress for the
Advanced Light Source Upgrade (ALS-U) project.

$10,100,000
Funds are requested for Other Project Costs for the
LCLS-II project at SLAC National Accelerator
Laboratory, ALS-U at Argonne National Laboratory,
and LCLS-II-HE at SLAC per the project plans.

Major Items of Equipment $42,500,000
The Advanced Photon Source Upgrade (APS-U) projectcontinued with R&D, engineering design, prototyping,fabrication, and long lead and advance procurementsof critical systems.

$0
APS-U was proposed to be transitioned from a Major
Item of Equipment (MIE) to a separate line item
construction project in the FY 2018 Request. No MIE
funds are requested in this program in FY 2019.

Research $34,618,000
Research funding for the scientific user facilities
continued to support selected, high-priority research
activities for detectors and optics. Funding continued
for long term surveillance and maintenance activities
at BNL and SLAC.

$25,000,000-$9,618,000
The Request will support limited high-priority
No funding is requested for long term surveillance andresearch activities for detectors and optics
maintenance.
instrumentation. The BES commitment for long term
surveillance and maintenance at BNL and SLAC ends
in FY 2018. No funding is requested for these activities
in FY 2019.

Science/Basic Energy Sciences

82-$42,500,000
APS-U is included as a separate line-item construction
project in the FY 2019 Request.

FY 2019 Congressional Budget Justification

Basic Energy Sciences
Construction
Description
Reactor-based neutron sources, accelerator-based x-ray light sources, and accelerator-based pulsed neutron sources are
essential user facilities that enable critical DOE mission-driven science. These user facilities provide the academic,laboratory, and industrial research communities with the tools to fabricate, characterize, and develop new materials andchemical processes to advance basic and applied research, advancing chemistry, physics, earth science, materials science,
environmental science, biology, and biomedical science. Regular investments in construction of new user facilities andupgrades to existing user facilities are essential to maintaining U.S. leadership in these research areas.
The Linac Coherent Light Source-II (LCLS-II) project will provide a second source of electrons at LCLS by constructing a 4
GeV, high repetition rate, superconducting linear accelerator in addition to adding two new variable gap undulators togenerate an unprecedented high-repetition-rate free-electron laser. This new x-ray source will solidify the LCLS complex as
the world leader in ultrafast x-ray science for decades to come. The project received approval for CD-2, Approve
Performance Baseline, and CD-3, Approve Start of Construction, on March 21, 2016, establishing a Total Project Cost (TPC)of $1,045,000,000 and a CD-4, Project Completion date of June 30, 2022.
The Advanced Photon Source Upgrade (APS-U) project will provide scientists with an x-ray source possessing world-leadingtransverse coherence and extreme brightness. The magnetic lattice of the APS storage ring will be upgraded to a multi-bend
achromat configuration to provide 100-1000 times increased brightness and coherent flux. APS-U will ensure that the APS
remains a world leader in hard x-ray science.
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 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.
The Advanced Light Source Upgrade (ALS-U) project will upgrade the existing Advanced Light Source facility by replacing theexisting electron storage ring with a new electron storage ring based on a multi-bend achromat lattice design which will
provide a soft x-ray source that is brighter, up to 1000 times greater brightness, and with a significantly higher coherent flux
fraction. ALS-U will leverage two decades of investments in scientific tools at the ALS by making use of the existing
beamlines and infrastructure. ALS-U will ensure that the ALS facility remains a world leader in soft x-ray science. Critical
Decision-0 (CD-0), Approve Mission Need, was approved for ALS-U on September 27, 2016. The preliminary TPC range,
based on early concepts under consideration, is $260,000,000 - $420,000,000.
The Linac Coherent Light Source-II-HE (LCLS-II-HE) project will increase the energy of the superconducting linac currently
under construction as part of the LCLS-II project from 4 GeV to 8 GeV and thereby expand the high rep rate operation (1million pulses per second) of this unique FEL into the hard x-ray regime (5-12 keV). LCLS-II-HE will add new and upgraded
instrumentation to augment existing capabilities and upgrade the facility infrastructure as needed. The LCLS-II-HE projectwill upgrade and expand the capabilities of the LCLS-II to maintain U.S. leadership in ultrafast x-ray science. Critical Decision0 (CD-0), Approve Mission Need, was approved for LCLS-II-HE on December 15, 2016. The preliminary TPC range, based onearly concepts under consideration, is $260,000,000 - $450,000,000.
All BES construction projects are conceived and planned with the scientific community, adhere to the highest standards ofsafety, and are executed on schedule and within cost through best practices in project management. In accordance withDOE Order 413.3B, each project is closely monitored and must perform within 10% of the cost and schedule performancebaselines, established at Critical Decision 2, Approve Performance Baseline, which are reproduced in the construction
project data sheet.

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Basic Energy Sciences
Construction
Activities and Explanation of Changes
Explanation of Changes
FY 2019 Request vs FY 2017 Enacted+$24,300,000-$50,700,000
Funding for the LCLS-II construction project decreases
per the project plan. FY 2019 will be the last year offunding for the project.

FY 2017 Enacted

FY 2019 Request

Construction $190,000,000
Linac Coherent Light Source-II (LCLS-II) $190,000,000
FY 2017 funding supported critical procurement ofmaterials and equipment needed to maintain the
project schedule and expand the construction efforts.
Design, long lead and advance procurements, R&D,
prototyping, site preparation activities, fabrication,and installation also continued in FY 2017.

$214,300,000$139,300,000
FY 2019 funding will be used for installation of major
accelerator and x-ray systems and facilities including
the linear accelerator and its cryogenic refrigeration
facilities, electron beam transport, undulator x-ray
sources, x-ray optics and experimental systems andsupporting infrastructure.

Advanced Photon Source Upgrade (APS-U) $0
APS-U was included as a Major Item of Equipment
project in FY 2017.

$60,000,000
The FY 2018 Request proposed to transition APS-U
from a MIE to a line item construction project. FY
2019 funding will be used for targeted R&D,
engineering design, equipment prototyping, testing,fabrication, site preparation, installation, and longlead and advance procurements.

+$60,000,000
The Request continues funding for the APS-U
construction project.

Advanced Light Source Upgrade (ALS-U) $0
N/A$10,000,000
FY 2019 funding will be used for R&D, engineering
design, equipment prototyping, testing and otheractivities required to advance the ALS-U project.

+$10,000,000
This is the first request for the ALS-U project.

$5,000,000
FY 2019 funding will be used for R&D, engineering
design, equipment prototyping, testing and otheractivities required to advance the LCLS-II-HE project.

+$5,000,000
This is the first request for the LCLS-II-HE project.

Linac Coherent Light Source-II High Energy (LCLS-IIHE) $0
N/A

Science/Basic Energy Sciences

FY 2019 Congressional Budget Justification

84

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 2017
Performance Goal (Measure)

FY 2018

FY 2019

BES Construction/MIE Cost & Schedule - Cost-weighted mean percentage variance from established cost and schedulebaselines for major construction, upgrade, or equipment procurement projects

Target< 10 %< 10 %< 10 %

Result

Met

TBD

TBD

Endpoint Target

Adhering to the cost and schedule baselines for a complex, large scale, science project is critical to meeting the scientificrequirements for the project and for being good stewards of the taxpayers’ investment in the project.

Performance Goal (Measure)

BES Energy Storage - Deliver two high-performance research energy storage prototypes for transportation and the grid thatproject at the battery pack level to be five times the energy density at 1/5 the cost of the 2011 commercial baseline.

TargetDevelop and demonstrate energy storage
research prototypes that are scalable fortransportation and grid applications using
concepts beyond lithium ion (multivalentions, chemical transformation, and nonaqueous redox flow), as identified
through materials discovery and technoeconomic modeling.

N/A

N/A

Result

Met

N/A

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 molecular levels; 2) two prototypes, one for transportation and one for the electricity grid, that, when scaled up to
manufacturing, have the potential to meet the Joint Center for Energy Storage Research's (JCESR) 5-5-5 goals; 3) A newparadigm for battery R&D that integrates discovery science, battery design, research prototyping and manufacturing
collaboration in a single highly interactive organization.

Performance Goal (Measure)

BES Facility Operations - Average achieved operation time of BES user facilities as a percentage of total scheduled annual
operation timeTarget≥ 90 %≥ 90 %≥ 90 %

Result

Met

TBD

TBD

Science/Basic Energy Sciences

FY 2019 Congressional Budget Justification

85

FY 2017

FY 2018

FY 2019

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 be ruined or critically setback. In addition, taxpayers have invested millions or even hundredsof millions of dollars in these facilities. The greater the period of reliable operations, the greater the return on the taxpayers’
investment.

Performance Goal (Measure)

BES Research - Conduct discovery-focused research to increase our understanding of matter, materials and their properties

TargetN/AExpand computational materials andchemical discovery through increased
data production and additional online
computational resources: add electronic
properties data for 7,000 compounds,
elastic properties data for 3,000
compounds and reaction energies for
5,000 catalytic reactions to publicly
available databases; add new or
expanded functionality to on-line, highperformance computer software/codesfor prediction of materials properties.

Expand computational materials andchemical discovery through increased
data production and open source
software: add 2000 adsorption energies
for chemicals in nanoporous materials to
publically available databases; add new
or expanded functionality to 10 online,
high performance computer
software/codes for prediction ofmaterials and chemical properties.

Result

N/A

TBD

TBD

Endpoint Target

Understand, predict, and ultimately control matter and energy at the electronic, atomic, and molecular levels

Science/Basic Energy Sciences

FY 2019 Congressional Budget Justification

86Basic Energy Science
Capital Summary ($K)
FY 2018
Annualized
CR a

FY 2019
RequestFY 2019
Request vsFY 2017
Enacted

Total

Prior Years

FY 2017
Enacted

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

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

60,1884,005
7,000
71,193————24,5001,000
11,00036,500-35,688-3,005+4,000-34,693

151,000
85,60090,000n/an/an/a

108,500
85,60090,000n/an/an/a

42,5000042,50017,68860,188

—
—
—
—
—
—

0
0
0
0
24,50024,500-42,50000-42,500+6,812-35,688

General Plant Projects (GPP)
Other general plant projects under $5 million TEC

n/a

n/a

4,005

—

1,000

-3,005

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

n/a

n/a

7,000

—

11,000+4,000Capital 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) b
Linac Coherent Light Source-II (LCLS-II), SLAC c,d
NSLS-II Experimental Tools (NEXT), BNL (TPC $90,000)
Total, Major Items of Equipment
Total, Non-MIE Capital Equipment
Total, Capital equipmenta A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).
b APS-U is requested as a line item construction project beginning in FY 2018.
c LCLS-II is requested as a line item construction project beginning in FY 2014.
d LCLS-II received $85,600,000 in FY 2010–FY 2013 as an MIE.

Science/Basic Energy Sciences

FY 2019 Congressional Budget Justification

87

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
19-SC-10, Advanced Light Source Upgrade (ALS-U), LBNL
TEC
OPC
TPC
19-SC-11, Linac Coherent Light Source-II-HE (LCLS-II-HE),
SLAC
TEC
OPC
TPC
Total, Construction
TEC
OPC
TPC

FY 2018
Annualized CR a

FY 2019
RequestFY 2019
Request vsFY 2017
Enacted

Total

Prior Years

FY 2017
Enacted993,100
51,9001,045,000

343,000
28,600371,600 b

190,0000
190,000

188,7107,900
196,610

139,300
6,100
145,400-50,700+6,100-44,600

770,0000770,000

0
0
0c

0
0
0

—
—
—

60,000060,000+60,0000+60,000

282,000
38,000320,000

0
5,000
5,000

0
5,000
5,000

—
—
—

10,0002,000
12,000+10,000-3,000+7,000300,000
20,000320,000

0
0
0

0
0
0

—
—
—

5,000
2,000
7,000

+5,000+2,000+7,000

n/a
n/a
n/a

n/a
n/a
n/a

190,000
5,000
195,000

188,7107,900
196,610214,300
10,100224,400+24,300+5,100+29,400

a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).
b LCLS-II received $85,600,000 in FY 2010-FY 2013 as an MIE.
c APS-U received $151,000,000 in FY 2010-FY 2017 as an MIE.

Science/Basic Energy Sciences

88

FY 2019 Congressional Budget Justification

Funding Summary ($K)

755,669
877,331——746,269
878,331

FY 2019 Request vsFY 2017 Enacted-9,400+1,00042,500
195,000
237,500
1,000
1,871,500————
1,858,791

0
224,400
224,400
1,000
1,850,000-42,500+29,400-13,100
0-21,500

FY 2018 Annualized CR a

FY 2017 Enacted
Research
Scientific User Facilities Operations
Projects
Major Items of Equipment
Construction Projects (includes OPC)
Total Projects
Other b
Total, Basic Energy Sciences

FY 2019 Request

a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).
b Includes non-Facility related GPP.

Science/Basic Energy Sciences89

FY 2019 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 2017 Enacted

FY 2018 Annualized
CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted$64,950
2,129
4,587
4,900
5,300
86.5%
<10%

—
—
—
—
—
—
—

$64,950
2,000
N/A
4,850
5,300
91.5%
<10%

$0
-129
N/A
-50
0
N/A
N/A

a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).

Science/Basic Energy Sciences90

FY 2019 Congressional Budget Justification

Advanced Photon Source
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$133,995
5,742
4,936
5,000
5,000
98.7%
<10%

FY 2018 Annualized
CR a
—
—
—
—
—
—
—

National Synchrotron Light Source-II, BNL
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$111,834
1,037
4,402
4,500
4,700
93.7%
<10%

Stanford Synchrotron Radiation Lightsource
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$41,986
1,729
5,169
5,100
5,400
95.7%
<10%

FY 2017 Enacted$133,995
5,400
N/A
4,900
5,000
98.0%
<10%

FY 2019 Request vsFY 2017 Enacted
$0
-342
N/A
-100
0
N/A
N/A

—
—
—
—
—
—
—

$111,834
1,100
N/A
4,750
5,000
95.0%
<10%

$0
+63
N/A
+250
+300
N/A
N/A

—
—
—
—
—
—
—

$41,986
1,500
N/A
5,000
5,400
92.6%
<10%

$0
-229
N/A
-100
0
N/A
N/A

FY 2019 Request

a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).

Science/Basic Energy Sciences91

FY 2019 Congressional Budget Justification

Linac Coherent Light Source
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$136,294
766
3,212
3,000
3,100
103.6%<10%

FY 2018 Annualized
CR a
—
—
—
—
—
—
—

$138,294
250
N/A
1,350
1,400 b96.4%
<10%

FY 2019 Request vsFY 2017 Enacted+$2,000-516
N/A-1,650-1,700
N/A
N/A

High Flux Isotope Reactor
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$65,000
511
4,165
3,900
4,000
104.1%
<10%

—
—
—
—
—
—
—

$65,000
460
N/A
3,750
4,000
93.8%
<10%

$0
-51
N/A
-150
0
N/A
N/A

Lujan Neutron Scattering Center
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$1,000
N/A
0
0
N/A
N/A

—
—
—
—
—
—

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

-$1,000
N/A
N/A
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$200,000
764
4,807
4,800
5,000
96.1%
<10%

—
—
—
—
—
—
—

$200,000
780
N/A
4,750
5,000
95.0%
<10%

$0
+16
N/A
-50
0
N/A
N/A

FY 2017 Enacted

FY 2019 Request

a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).
b LCLS Optimal hours reduced in preparation for LCLS-II.

Science/Basic Energy Sciences92

FY 2019 Congressional Budget Justification

FY 2017 Enacted

FY 2018 Annualized
CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

TYPE B FACILITIESCenter for Nanoscale Materials
Number of users$25,205598——$25,205
500

$0
-98

Center for Functional Nanomaterials
Number of users$21,418571——$21,418
500

$0
-71

Molecular Foundry
Number of users$28,406
866——$28,406
600

$0
-266

Center for Nanophase Materials Sciences$24,638—$24,638

$0

666

—

500

-166

Center for Integrated Nanotechnologies
Number of users$22,605614——$22,605
500

$0
-114

Total, All Facilities
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent of optimal hours
Unscheduled downtime hours$877,331
15,99331,27831,20032,500
97.4%
<10%

—
—
—
—
—
—
—

$878,331
14,090N/A
29,35031,10095.3%<10%+$1,000-1,903
N/A-1,850-1,400
N/A
N/A

Number of usersa

A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing Appropriations Act, 2018
(Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts are shown only at the Congressional control level andabove; below that level, a dash (—) is shown).

Science/Basic Energy Sciences93

FY 2019 Congressional Budget Justification

Scientific Employment
FY 2017 Enacted
Number of permanent Ph.D.’s (FTEs)
Number of postdoctoral associates (FTEs)
Number of graduate students (FTEs)
Other b

4,460
1,180
1,810
2,900

FY 2018 Annualized
CR a
—
—
—
—

FY 2019 Request
4,410
1,200
1,870
2,810

FY 2019 Request vsFY 2017 Enacted
-50
20
60
-90

a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown 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 Sciences94

FY 2019 Congressional Budget Justification

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 2018 CPDS and does not include a new start for thebudget year. There are no significant changes to the project.
Summary
The FY 2019 Request for the Linac Coherent Light Source-II (LCLS-II) is $145,400,000, including $139,300,000 in Total
Estimated Cost (TEC) funds and $6,100,000 in Other Project Costs (OPC) funds, consistent with the approved baseline
funding profile. FY 2019 will be the last year of construction funding for the project. The most recent DOE Order 413.3B
approved Critical Decisions (CD) are CD-2/3, (Approve Performance Baseline and Approve Start of Construction), which wereapproved on March 21, 2016.
A Federal Project Director, certified to level IV, 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 2017 funding supported critical procurement of materials and equipment needed to maintain the project schedule andexpand the construction efforts. Design, long lead and advance procurements (LLP/APs), R&D, prototyping, site preparation
activities, fabrication, and installation also continued 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 will carry forward into FY 2019 andbeyond until they have been completed. FY 2019 funding will be used to complete installation of all major accelerator and xray systems and facilities including the linear accelerator and its cryogenic refrigeration facilities, electron beam transport,
undulator x-ray sources, x-ray optics, and experimental systems and supporting infrastructure.
2.

Critical Milestone History

CD-0
FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019

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

Conceptual
DesignComplete

1/21/2014
1/21/2014
1/21/2014
1/21/2014CD-1
10/14/2011
10/14/2011
10/14/2011
8/22/2014
8/22/2014
8/22/2014
8/22/2014

Science/Basic Energy Sciences/13-SC-10, Linac Coherent Light Source-II(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
3/21/2016 4Q FY 2018

95

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
3/21/2016

N/A
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
6/30/2022

FY 2019 Congressional Budget Justification

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
FY 2019

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

CD-3A a3/14/2012
3/14/2012
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
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
FY 2019 b
4.

18,00018,00047,00047,00047,00047,00047,000TEC,
Construction
367,000
367,000
799,400
869,400
946,100
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
51,900993,100
51,900

OPC, D&D

OPC, Total

TPC

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

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

Project Scope and Justification

Scope
SLAC’s advances in the creation, compression, transport, and monitoring of bright electron beams have spawned a newgeneration 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 peak brightness of the LCLS is 10 billion times greater thancurrent 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 in the chemical, material, and biological sciences. LCLS-II willbuild on the success of LCLS by expanding the spectral range of hard x-rays produced at the facility by adding a new higha CD-3A was approved as part of the original project scope prior to the July 2013 BESAC recommendation. All original project scope longlead 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

96

FY 2019 Congressional Budget Justification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 high average brightness x-rays that will be unique worldwide.
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 three kilometer linac is being used to operate the LCLS
facility, and the first two 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 feet.
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 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 is

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critically 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
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 Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Threshold KPPs, represent the minimum acceptable performance that the project must achieve. Achievement of theThreshold KPPs will be a prerequisite for approval of CD-4, Project Completion. The Objective KPPs represent the desired
project performance. 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 beam energy
Normal 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
120 Hz0.1 nC
1,000–15,000 eV≥21010 (lasing @ 15,000 eV)

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

a Fractional bandwidth. The specified KPPs are the number of photons with an energy within 0.1% of the specified central value.

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5.

Preliminary Financial Schedule(dollars in thousands)
Appropriations
Obligations
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
FY 2018
Total, Line item construction funding
Total, Design phase
Construction phase
MIE funding
FY 2012FY 2013b
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
TEC
MIE funding
FY 2012FY 2013b
FY 2014
FY 2015
FY 2016
FY 2017
Total, MIE funding

Costs a

2,000
5,000
7,000

2,000
5,000
7,000

2,000
5,000
7,000

4,000
21,00015,0000040,00047,0004,000
21,00015,0000040,00047,0002,040
9,089
20,5006,040
2,331
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
226,933
270,000
180,000
1,576
886,100
946,100

44,500c
22,5000000
67,00022,00045,0000000
67,00015,862
38,423
12,256455
0
467,000a Costs through FY 2017 reflect actual costs; costs for FY 2018 and the outyears are estimates.
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 LCLC-II project during FY

2013.

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

Costs a75,700138,700
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
232,973272,331180,000
1,576
926,100
993,100

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

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

938
8,033
8,893
116
439
10
0
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
758
12,0009,000
716
33,30051,9001,126
9,474
52,50022,5000000085,6001,126
9,474
30,00045,0000000085,600938
8,033
24,75538,53912,695465
0
4
17185,600a Costs through FY 2017 reflect actual costs; costs for FY 2018 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.

c FY 2013 funding was requested as a line item, but due to a Continuing Resolution, FY 2013 funds were executed as an MIE.

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(dollars in thousands)
Appropriations
Obligations
Line item construction funding
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, Line item construction funding
Total, TPCb
6.

85,700148,000
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

Costs a26,855
77,181
146,010
233,731284,331
189,000
2,292
959,400
1,045,000

Details of Project Cost Estimate
Current Total
Estimate(dollars in thousands)
Previous Total
Original Validated
Estimate
Baseline

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

43,2003,800
47,00042,4004,600
47,00042,125
4,875
47,00024,700776,11258,50086,788946,100
993,100
90,58824,700692,742
58,500170,158
946,100
993,100
174,758

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

Other Project Cost (OPC)
OPC except D&D
Conceptual Planning
Conceptual Design
Research and Development
Start-UpContingency
Total, OPC
Contingency, OPC

1,980
23,408
1,972
15,7908,750
51,9008,750

1,980
23,408
1,972
15,7908,750
51,9008,750

1,980
23,408
1,972
15,7908,750
51,9008,750

1,045,000
99,3381,045,000
183,508

1,045,000
198,320

Total, TPCb
Total, Contingency

a Costs through FY 2017 reflect actual costs; costs for FY 2018 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.

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7.

Schedule of Appropriations Requests

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

FY 2015

FY 2016

FY 2017

FY 2018

FY 2019

8.

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
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
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
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
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
199,919
0
199,919
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
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
129,381
6,100
135,481
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
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
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
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)
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.

a FY 2013 funding was requested as a line item, but due to a Continuing Resolution, FY 2013 funds were executed as an MIE.

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

Square Feet
~20,0000~20,000

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

0

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

~20,000

0

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 determined that the LCLS-II project was to be acquired by the SLAC National Accelerator Laboratory under the existing
DOE M&O contract.
A Conceptual Design Report for the LCLS-II project was completed and was revised based on the new technical parameters.
Key design activities, requirements, and high-risk subsystem components were identified to reduce cost and schedule risk to
the project and expedite the startup. The necessary project management systems are fully up-to-date, operating, and aremaintained 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.
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.

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18-SC-10, Advanced Photon Source-Upgrade
Argonne National Laboratory, Argonne, 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 2018 CPDS and does not include a new start for thebudget year. The FY 2018 CPDS included removal and installation of storage ring components in preparation forcommissioning as part of Other Project Costs (OPC) in FY 2021-2023. These activities are properly classified as construction
costs and included in Total Estimated Cost (TEC). The FY 2019 CPDS has been updated for this change. The preliminary
estimate for Total Project Cost (TPC) of $770,000,000 is unchanged.
Summary
The FY 2019 Request for the Advanced Photon Source-Upgrade (APS-U) project is $60,000,000. The most recent DOE Order413.3B 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, certified to level IV, has been assigned to this project and has approved this CPDS.
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 2017, APS-U continued with R&D, engineering design, pre-production prototyping, fabrication, and initiated long leadand advanced procurements (LLP/APs) of critical systems. In FY 2018 funding will support targeted R&D, engineering design,
equipment prototyping, testing, fabrication, site preparation, installation, and additional LLP/APs. Planned activities for
FY 2019 include targeted R&D, engineering design, equipment prototyping, testing, fabrication, site preparation,
installation, and LLP/APs.
2.

Critical Milestone History

CD-0
FY 2018
FY 2019 a

04/22/2010
04/22/2010

Conceptual
DesignComplete
09/18/2015
09/18/2015(fiscal quarter or date)
Final
CD-1
CD-2
DesignCD-3Complete
02/04/2016 1Q FY 2019 2Q FY 2020 4Q FY 201902/04/2016 2Q FY 2019 4Q FY 2021 1Q FY 2020

D&D
Complete

CD-4

N/A
N/A

1Q FY 2026
2Q FY 2026

CD-0 – Approve Mission Need for a construction project with a conceptual scope and cost range
Conceptual Design Complete – Actual date the conceptual design was 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)a This project is pre-CD-2; the estimated cost and schedule are preliminary. Construction will not be executed without appropriate CD

approvals.

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FY 2019 Congressional Budget Justification

CD-3 – Approve Start of Construction
D&D Complete – Completion of D&D workCD-4 – Approve Project Completion

FY 2018
FY 2019

Performance
Baseline
Validation
1Q FY 2019
2Q FY 2019CD-3A
8/30/2012
8/30/2012

CD-3B
10/6/2016
10/6/2016

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

Project Cost History

TEC, Design
FY 2018
FY 2019 a4.

157,015167,000

TEC,
Construction
561,985
590,100(dollars in thousands)
OPC, Except
TEC, Total
OPC, D&D
D&D
719,000
51,000N/A
757,100
12,900N/A

OPC, Total

TPC

51,00012,900770,000
770,000

Project Scope and Justification

Scope
There is a growing need to study materials under real conditions in real time through the use of groundbreaking scientifictechniques. These techniques must provide the capability to observe, understand, and ultimately control the functions ofmaterials down to the nanoscale and beyond with atomic resolution. To sustain U.S. leadership in this technology frontier,
the U.S. Department of Energy’s (DOE’s) Office of Basic Energy Sciences (BES) will upgrade an existing hard x-ray synchrotron
radiation facility to provide world-leading coherence and brightness at levels that are orders of magnitude higher thancurrently available. High-energy penetrating x-rays are critical for probing materials under real working environments, suchas in a battery or fuel cell under load conditions.
By building capability on the existing APS facility, for significantly less than the replacement cost of the 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. a complementary set of storage
ring and free-electron laser x-ray light sources.
The APS-U project will upgrade the existing APS to provide scientists with an x-ray 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 MBA lattice utilizing the existing tunnel, new insertion devices
optimized for brightness and flux, superconducting undulators for selected beamlines, new or upgraded front-ends, and any
required modifications to the linac, booster, and RF systems. The MBA lattice will provide 100-1000 times increased
brightness and coherent flux. The project will construct new beamlines and incorporate substantial refurbishment ofexisting beamlines, along with new optics and detectors that will enable the beamlines to take advantage of the improved
accelerator performance. Two best-in-class beamlines require conventional civil construction to extend the beamlines
beyond the existing APS Experimental Hall to achieve the desired nano-focused beam spot size.
a This project is pre-CD-2; the estimated cost and schedule are preliminary. Construction will not be executed without appropriate CD

approvals.

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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
The BES mission is to “support fundamental research to understand, predict, and ultimately control matter and energy atthe electronic, atomic, and molecular levels in order to provide the foundations for new energy technologies and to support
DOE missions in energy, environment, and national security.” APS-U is in direct support of the DOE Strategic Plan, 20142018, Strategic Objective 3 which includes a strategy to "provide the nation's researchers with world-class scientific user
facilities that enable mission-focused research and advance scientific discovery."Worldwide investments in accelerator-based x-ray light source user facilities threaten U.S. leadership in light source
technology within the next 6-10 years. The European Synchrotron Radiation Facility (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 MBA-based machine, and will
provide a beam with a natural emittance that is orders of magnitude lower than what is currently available with thirdgeneration light sources. With this investment and the current APS infrastructure, the APS-U will position the APS as theleading storage ring-based hard x-ray source in the U.S. for decades to come.
The high-energy penetrating x-rays will provide a unique scientific capability directly relevant to problems in energy, theenvironment, new and improved materials, and biological studies. The upgraded APS will complement the capabilities of xray free electron lasers (e.g., the Linac Coherent Light Source and Linac Coherent Light Source-II), which occupy different
spectral, flux, and temporal range of technical specifications.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The threshold KPPs, which will define the official performance baseline at CD-2, Approve Project Performance Baseline,
represent the minimum acceptable performance that the project must achieve. Achievement of the threshold KPPs will be aprerequisite for CD-4, Approve Project Completion. The objective KPPs represent the desired project performance. The KPPs
presented here are preliminary and may change as the project continues towards CD-2. The final key parameters will beestablished as part of CD-2, Approve Project Performance Baseline.
Preliminary APS-U Key Performance Parameters
Performance Measure
Storage Ring Energy

ThresholdObjective> 5.7 GeV, with systems installed
6 GeV
for 6 GeV operation
Beam Current> 25 mA in top-up with systems
200 mA in top-up
installed for 200 mA operation
Horizontal Emittance< 150 pm-rad
75 pm-radBrightness @ 20 keV1
> 2 x 1020
2.5 x 1021219Brightness @ 65 keV> 2 x 106 x 1020
New MBA Beamlines
5
≥6
1
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

Science/Basic Energy Sciences/18-SC-10, Advanced Photon Source-Upgrade107

FY 2019 Congressional Budget Justification

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

108

Costs

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

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

8,679
17,825
13,122
19,67822,52916,441
14,000
8,941
121,2159,300
27,9858,500
0
045,785167,000

9,300
27,9858,500
0
045,785167,000

8,500
26,000
8,000
2,885
400
45,785167,000

800
5,000
2,985
0
0
12,500021,285

800
5,000
2,985
0
0
12,500021,285

416
3,391
4,301
677
0
7,046
5,454
21,285

10,70032,015
141,500
159,780
133,100
91,72000568,815
590,100

10,70032,015
141,500
159,780
133,100
91,72000568,815
590,100

9,500
31,515
130,600
150,000
125,500
82,00026,00013,700568,815
590,100

FY 2019 Congressional Budget Justification

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

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

109

Costs

20,00020,00020,00020,00020,00042,50000142,500

20,00020,00020,00020,00020,00042,50000142,500

9,095
21,216
17,423
20,35522,52923,487
19,454
8,941
142,500

20,00060,000150,000
159,780
133,100
91,72000614,600
757,100

20,00060,000150,000
159,780
133,100
91,72000614,600
757,100

18,00057,515
138,600
152,885
125,900
82,00026,00013,700614,600
757,100

1,000
7,500
0
8,500

1,000
7,500
0
8,500

587
3,696
4,217
8,500

2,200
2,200
0
4,400
12,900

2,200
2,200
0
4,400
12,900

2,000
2,000
400
4,400
12,900FY 2019 Congressional Budget Justification

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
20,00020,00020,00020,00020,00042,5000
0151,000

1,000
7,500
20,00020,00020,00020,00020,00042,5000
0151,000

587
3,696
13,312
21,216
17,423
20,35522,52923,487
19,454
8,941
151,000

20,00060,000150,000
159,780
135,300
93,92000619,000
770,000

20,00060,000150,000
159,780
135,300
93,92000619,000
770,000

18,00057,515
138,600
152,885
127,900
84,00026,40013,700619,000
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

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

157,150
9,850
167,000

151,375
5,640
157,015

N/A
N/A
N/A

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

395,625
12,700153,660
561,985
719,000
159,300

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

110

FY 2019 Congressional Budget Justification

(dollars in thousands)
Current Total
Previous Total
Original Validated
Estimate
Estimate
Baseline

Other Project Cost (OPC)
OPC except D&D
Conceptual Planning
Conceptual Design
Start-UpContingency
Total, OPC
Contingency, OPC
Total, TPC
Total, Contingency
7.

1,000
7,500
31,80010,70051,00010,700

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

770,000
160,000

770,000
170,000

N/A
N/A

Schedule of Appropriations Requests

RequestFY 2018
FY 2019 a

8.

1,000
7,500
3,250
1,150
12,900
1,150

TEC
OPC
TPC
TEC
OPC
TPC

Prior
Years
80,0008,500
88,50080,0008,500
88,500(dollars in thousands)
FY 2016
20,0000
20,00020,0000
20,000FY 201742,500042,50042,500042,500FY 2018
20,0000
20,00020,0000
20,000FY 2019
81,772
081,77260,000060,000FY 2020
152,4190
152,419150,0000
150,000

FY 2021160,000
5,000
165,000
159,7800159,780

Outyears
162,30937,500199,809
224,8204,400
229,220

Total
719,000
51,000770,000
757,100
12,900770,000

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)

2Q FY 2026
25
2Q FY 2051

(Related Funding Requirements)

Operations andMaintenance

Annual Costs
Current Total
Previous Total
Estimate
Estimate$12M

N/A

Life Cycle Costs
Current Total
Previous Total
Estimate
Estimate
$300M

N/A

The numbers presented are the incremental lifecycle operations and maintenance costs above the existing APS. The
estimate will be updated and additional details will be provided after CD-2, Approve Project Performance Baseline.

a This project has not yet received CD-2 approval; funding and cost estimates are preliminary.

Science/Basic Energy Sciences/18-SC-10, Advanced Photon Source-Upgrade111

FY 2019 Congressional Budget Justification

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 ..........................................................................................

0

Approximately 7,000-10,000 square feet of new construction is needed for the 2 beamlines extending beyond the current
APS experimental facility.
10. Acquisition Approach
The APS-U project will be acquired by the Argonne National Laboratory (ANL) under the existing DOE M&O contract
between DOE and UChicago Argonne, LLC, which operates ANL. The acquisition of equipment and systems for large researchfacilities 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 MBA magnet lattice, insertion devices, front ends,
beamlines/experimental stations, and any required modifications to the linac, booster, and RF systems. ANL has establishedan APS-U project organization with project management, procurement management, and ES&H management with staff
qualified to specify, select and oversee procurement and installation of the accelerator and beamline components and othertechnical equipment. These items will be procured from a variety of sources, depending on the item. Procurements will becompetitively bid on a ‘best value’ basis following all applicable ANL procurement requirements. The APS-U project will
most likely be accomplished using the design-bid-fabricate method. This proven approach provides the project with directcontrol over the accelerator components and beamline design, equipment specification and selection, and all contractors.

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

FY 2019 Congressional Budget Justification

19-SC-10 Advanced Light Source Upgrade
Lawrence Berkeley National Laboratory, Berkeley, California
Project is for Design and Construction
1.

Significant Changes and Summary

Significant Changes
This Construction Project Data Sheet (CPDS) is new and includes a new start for the budget year.
Summary
The FY 2019 Request for the Advanced Light Source Upgrade (ALS-U) project is $12,000,000, including $10,000,000 in Total
Estimated Cost (TEC) funds and $2,000,000 in Other Project Costs (OPC) funds. The most recent DOE Order 413.3B approved
Critical Decisions (CD) is CD-0 (Approve Mission Need), approved September 27, 2016. The preliminary total project cost(TPC) range, based on early concepts under consideration, is $260,000,000 - $420,000,000.
A Federal Project Director, certified to level III, has been assigned to this project and has approved this CPDS.
The ALS-U project will upgrade the existing ALS facility by replacing the existing electron storage ring with a new electron
storage ring based on a multi-bend achromat lattice design to provide a soft x-ray source that is orders of magnitudes
brighter—a 10-1000 times increase in brightness over the current ALS—and to provide a significantly higher fraction ofcoherent light in the soft x-ray region (~50-2,000 eV) than is currently available at ALS. With an aggressive accelerator
design, ALS-U will provide the highest coherent flux of any existing or planned storage ring facility worldwide, up to a
photon energy of about 3.5 keV. This range covers the entire soft x-ray regime. To make use of the new source, the project
may also include construction activities to build new beamlines or reconfigure existing beamlines. The ALS-U project is themost cost effective way to meet the soft x-ray capability gap stated in the mission need statement at this stage of project
development.
FY 2019 funding will be used for planning, engineering design, R&D and prototyping activities.
2.

Critical Milestone History

CD-0
FY 2019 a

9/27/2016(fiscal quarter or date)
Conceptual
Final
DesignCD-1
CD-2
DesignCD-3Complete
Complete
4Q FY 2019 4Q FY 2019 4Q FY 2020 4Q FY 2022 4Q FY 2021

D&D
Complete

CD-4

N/A

4Q FY 2026

CD-0 – Approve Mission Need for a construction project with a conceptual scope and cost range
Conceptual Design Complete – Actual date the conceptual design was completed (if applicable)
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
Final Design Complete – Estimated/Actual date the project design will be/was completedCD-3 – Approve Start of Construction
D&D Complete – Completion of D&D workCD-4 – Approve Start of Operations or Project Closeouta The project is pre-CD-2; the estimated cost and schedule shown are preliminary. Construction will not be executed without appropriate

CD approvals.

Science/Basic Energy Sciences/19-SC-10 Advanced Light Source Upgrade113

FY 2019 Congressional Budget Justification

FY 2019a

Performance
Baseline
Validation
4Q FY 2020

CD-3A
4Q FY 2020

CD-3A – Approve Long-Lead Procurements: As the project planning and design matures, long lead procurement may berequested in FY 2020 to mitigate cost and schedule risk to the project.
3.

Project Cost History

TEC, Design
FY 2019 a4.

39,000TEC,
Construction
243,000(dollars in thousands)
OPC, Except
TEC, Total
D&D
282,000
38,000

OPC, D&D

OPC, Total

TPC

N/A

38,000320,000

Project Scope and Justification

Scope
The ALS-U project will upgrade the existing ALS facility by replacing the existing electron storage ring with a new electron
storage ring based on a multi-bend achromat (MBA) lattice design to provide a soft x-ray source that is orders of magnitudes
brighter—a 10-1000 times increase in brightness over the current ALS—and to provide a significantly higher fraction ofcoherent light in the soft x-ray region (~50-2,000 eV) than is currently available at ALS. The project will replace the existing
triple-bend achromat storage ring with a new, high-performance storage ring based on a nine-bend achromat design. In
addition, the project will add a low-emittance, full-energy accumulator ring to the existing tunnel to enable on-axis, swapout injection using fast kicker magnets. The new source will require upgrading x-ray optics on existing beamlines with somebeamlines being realigned or relocated. The project adds three new undulator beamlines that are optimized for the novel
science made possible by the beam’s new high coherent flux. If possible, the project intends to reuse the existing building,utilities, electron gun, linac, and booster synchrotron equipment currently at ALS. Related scope may be added as necessary
to optimize the final design and provide the maximum performance achievable to support the science needs and goals
contained in the Mission Need Statement. With an aggressive accelerator design, ALS-U will provide the highest coherent
flux of any existing or planned storage ring facility worldwide, up to a photon energy of about 3.5 keV. This range covers theentire soft x-ray regime.
Justification
At this time, our ability to observe and understand materials and material phenomena in real-time and as they emerge andevolve is limited. Soft x-rays (~50 to 2,000 eV) are ideally suited for revealing the chemical, electronic, and magnetic
properties of materials, as well as the chemical reactions that underpin these properties. This knowledge is crucial for thedesign and control of new advanced materials that address the challenges of new energy technologies.
Existing storage ring light sources lack a key attribute that would revolutionize x-ray science: stable, nearly continuous soft
x-rays with high brightness and high coherent flux—that is, smooth, well organized soft x-ray wave fronts. Such a stable,high brightness, high coherent flux source would enable 3D imaging with nanometer resolution and the measurement of
spontaneous nanoscale motion with nanosecond resolution—all with electronic structure sensitivity.
Currently the Office of Basic Energy Sciences (BES) operates advanced ring-based light sources that produce soft x-rays. The
National Synchrotron Light Source-II (NSLS-II), commissioned in 2015, is the brightest soft x-ray source in the U.S. The ALS,
completed in 1993, is competitive with NSLS-II for x-rays below 200 eV but not above that. NSLS-II is somewhat lower inbrightness than the new Swedish light source, MAX-IV, which is currently under commissioning and represents the first useof a MBA lattice design in a light source facility. Neither NSLS-II nor ALS make use of the newer MBA lattice design.
a The project is pre-CD-2 and is not baselined. The cost and schedule shown are preliminary and may change as the project matures

towards CD-2. Construction will not be executed without appropriate CD approvals.

Science/Basic Energy Sciences/19-SC-10 Advanced Light Source Upgrade114

FY 2019 Congressional Budget Justification

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

Science/Basic Energy Sciences/19-SC-10 Advanced Light Source Upgrade115

FY 2019 Congressional Budget Justification

Preliminary Key Performance Parameters
Performance Measure
Storage Ring Energy
Beam Current
Horizontal Emittance
Brightness @ 1 keV1
New MBA Beamlines
5.

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

Objective
2.0 GeV
500 mA
<75 pm-rad
2 x 1021
3

Preliminary Financial Schedule

Total Estimated Cost (TEC)
DesignFY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Total, Design
Construction
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
FY 2024
FY 2025
FY 2026
Total, ConstructionTEC
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
FY 2024
FY 2025
FY 2026
Total, TEC

Science/Basic Energy Sciences/19-SC-10 Advanced Light Source Upgrade

Appropriations(dollars in thousands)
Obligations

Costs

6,000
15,00012,0006,000
039,0006,000
15,00012,0006,000
039,0002,000
13,00012,0009,000
3,000
39,0004,000
11,54020,64045,56063,53063,35034,3800
243,000

4,000
11,54020,64045,56063,53063,35034,3800
243,000

4,000
11,00020,00045,00065,00060,00030,0008,000
243,000

10,00026,54032,64051,56063,53063,35034,3800
282,000

10,00026,54032,64051,56063,53063,35034,3800
282,000

6,000
24,00032,00054,00068,00060,00030,0008,000
282,000

116

FY 2019 Congressional Budget Justification

Other Project Cost (OPC)
OPC except D&D
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
FY 2024
FY 2025
FY 2026
Total, OPC
Total Project Cost (TPC)FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
FY 2024
FY 2025
FY 2026
Total, TPC a
6.

(dollars in thousands)
Appropriations
Obligations

Costs

5,000
5,000
0
2,000
5,000
0
0
5,000
6,000
10,000038,000

5,000
5,000
0
2,000
5,000
0
0
5,000
6,000
10,000038,000

1,500
5,500
3,000
2,000
5,000
0
0
3,000
6,000
8,000
4,000
38,000

5,000
5,000
0
12,00031,54032,64051,56068,53069,35044,3800
320,000

5,000
5,000
0
12,00031,54032,64051,56068,53069,35044,3800
320,000

1,500
5,500
3,000
8,000
29,00032,00054,00071,00066,00038,00012,000320,000

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

30,0009,000
39,0005,000
170,000
0
68,000243,000
282,000
77,000

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

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

a The project is pre-CD-2 and is not baselined. The cost and schedule shown are preliminary and may change as the project matures

towards CD-2. Construction will not be executed without appropriate CD approvals.

Science/Basic Energy Sciences/19-SC-10 Advanced Light Source Upgrade117

FY 2019 Congressional Budget Justification

Other Project Cost (OPC)
OPC except D&D
Conceptual Planning
Conceptual Design
Research and Development
Start-UpContingency
Total, OPC
Contingency, OPC
Total, TPC a
Total, Contingency
7.

(dollars in thousands)
Current Total
Previous Total
Original Validated
Estimate
Estimate
Baseline
N/A
N/A
N/A
N/A
2,000
N/A
N/A
12,000
N/A
N/A
10,000
N/A
N/A
6,000
N/A
N/A
8,000
N/A
N/A
38,000
N/A
N/A
8,000
N/A
N/A
320,000
85,000

N/A
N/A

N/A
N/A

Schedule of Appropriations Requests

RequestFY 2019

Prior
Years
TEC
OPC
TPC

0
10,00010,000(dollars in thousands)
FY 2019
10,0002,000
12,000FY 2020
26,5405,000
31,540FY 202132,640032,640FY 2022
51,560051,560FY 2023
63,5305,000
68,530FY 2024
63,3506,000
69,350Outyears
34,38010,00044,380

Total
282,000
38,000320,000

8. Related Operations and Maintenance Funding Requirements
Operations and maintenance funding requirements will be provided when the project receives CD-2 approval.
9. D&D Information
At this stage of project planning and development, it is anticipated that there will be no new area being constructed in theconstruction project.
10. Preliminary Acquisition Approach
DOE has determined that the ALS-U project will be acquired by the Lawrence Berkeley National Laboratory under the
existing DOE M&O contract.
A Conceptual Design Report for the ALS-U project will be prepared. Key design activities, requirements, and high-risk
subsystem components will be identified to reduce cost and schedule risk to the project and expedite the startup. The
necessary project management systems will be fully up-to-date, operating, and are maintained as a LBNL-wide resource.
LBNL may partner with other laboratories for design and procurement of key technical subsystem components. Technicalsystem designs will require research and development activities. Preliminary cost estimates for these systems are based on
ALS actual costs and other similar facilities, to the extent practicable. Recent cost data from similar projects will be exploited
fully in planning and budgeting for the project. Design of the technical systems will be completed by LBNL or partner
laboratory staff. Technical equipment will either be fabricated in-house or subcontracted to vendors with the necessary
capabilities. All subcontracts will be competitively bid and awarded based on best value to the government.
Lessons learned from other Office of Science projects and other similar facilities will be exploited fully in planning andexecuting ALS-U.
a The project is pre-CD-2 and is not baselined. The cost and schedule shown are preliminary and may change as the project matures

towards CD-2. Construction will not be executed without appropriate CD approvals.

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FY 2019 Congressional Budget Justification

19-SC-11 Linac Coherent Light Source-II High Energy
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 new and includes a new start for the FY 2019 budget year.
Summary
The FY 2019 Request for the Linac Coherent Light Source-II High Energy (LCLS-II-HE) project is $7,000,000, including$5,000,000 in Total Estimated Cost (TEC) funds and $2,000,000 in Other Project Costs (OPC) funds. The most recent DOE
Order 413.3B approved Critical Decisions (CD) is CD-0 (Approve Mission Need), approved on December 15, 2016. The
preliminary total project cost (TPC) range, based on early concepts under consideration, is $260,000,000 - $450,000,000.
A Federal Project Director, certified to level IV, has been assigned to this project and has approved this CPDS.
The Linac Coherent Light Source-II High Energy (LCLS-II-HE) project will increase the energy of the superconducting linac
currently under construction as part of the LCLS-II project from 4 GeV to 8 GeV. To make use of the new source, the project
may also include construction activities to build new beamlines or reconfigure existing beamlines. The project will upgrade
the facility infrastructure as needed. The LCLS-II-HE project is the most cost effective way to meet the hard x-ray capability
gap described in the mission need statement.
FY 2019 funding will be used for planning, engineering, design, R&D, prototyping activities, and long lead procurements.
2.

Critical Milestone History

FY 2019 a(fiscal quarter or date)
Conceptual
Final
CD-0
DesignCD-1
CD-2
DesignCD-3Complete
Complete
12/15/2016 3Q FY 2019 3Q FY 2019 1Q FY 2021 1Q FY 2023 2Q FY 2022

D&D
Complete

CD-4

N/A

2Q FY 2026

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

FY 2019a

Performance
Baseline
Validation
1Q FY 2021

CD-3A
4Q FY 2019

CD-3A – Approve Long-Lead Procurements: As the project planning and design matures, long lead procurement may berequested in FY 2019 to mitigate cost and schedule risk to the project.
a The project is pre-CD-2; the estimated cost and schedule shown are preliminary. Construction will not be executed without appropriate

CD approvals.

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FY 2019 Congressional Budget Justification

3.

Project Cost History

TEC, Design
FY 2019 a4.

34,000TEC,
Construction
266,000(dollars in thousands)
OPC, Except
TEC, Total
D&D
300,000
20,000

OPC, D&D

OPC, Total

TPC

N/A

20,000320,000

Project Scope and Justification

Scope
There is a limited ability to observe and understand the structural dynamics of complex matter at the atomic scale with hard
x-rays, at ultrafast time scales, and in operational environments. Overcoming this capability gap is crucial for the design,
control and understanding of new advanced materials necessary to develop new energy technologies. To achieve thisobjective, the Department needs a hard x-ray source capable of producing high energy ultrafast bursts, with full spatial andtemporal coherence, at high repetition rates. Possession of a hard x-ray source with a photon energy range from 5 keV to 12
keV and beyond would enable spectroscopic analysis of additional key elements in the periodic table, deeper penetration
into materials, and enhanced resolution. This capability cannot be provided by any existing or planned light source.
The Linac Coherent Light Source-II (LCLS-II) project at SLAC National Accelerator Laboratory (SLAC), which is currently underconstruction and will begin operations in 2020-2021, only partially addresses this capability gap. LCLS-II will be the premier
x-ray free electron laser (XFEL) facility in the world at energies ranging from 200 eV up to approximately 5 keV. The
cryomodule technology that underpins LCLS-II is a major advance from prior designs that will allow continuous operation up
to 1 MHz.
When completed, LCLS-II will be powered by SLAC’s 4 GeV superconducting electron linear accelerator (linac). Over the past
years, the cryomodule design for LCLS-II has performed beyond expectations, providing the technical basis to double theelectron beam energy. It is therefore conceivable to add additional acceleration capacity at SLAC to double the electron
beam energy from 4 GeV to 8 GeV. Calculations indicate that an 8 GeV linac will deliver a hard x-ray photon beam with peakenergy of 12.8 keV, which will meet the mission need.
The LCLS-II High Energy (LCLS-II-HE) project will upgrade the LCLS-II to maintain U.S. leadership in XFEL science. The upgrade
will provide world leading experimental capabilities for the U.S. research community by extending the x-ray energy of LCLS-IIfrom 5 keV to 12 keV and beyond. The flexibility and detailed pulse structure associated with the proposed LCLS-II-HE facility
will not be matched by other facilities under development worldwide.
The LCLS-II-HE project will increase the superconducting linac energy from 4 GeV to 8 GeV by installing additional
cryomodules in the first kilometer of the existing linac tunnel. The electron beam will be transported to the existing
undulator hall to extend the x-ray energy to 12 keV and beyond. The project will also modify or upgrade existing
infrastructure and x-ray transport, optics and diagnostics system, and provide new or upgraded instrumentation to augment
existing and planned capabilities.
Justification
The leadership position of LCLS-II will be challenged by the European XFEL at DESY in Hamburg, Germany, which began
operations in 2017. The European XFEL has a higher electron energy, which allows production of shorter (i.e., harder) x-ray
wavelength pulses compared to LCLS-II. More recent plans emerging from DESY have revealed how the European XFEL could
be extended from a pulsed operation mode to continuous operation, which would create a profound capability gap
compared to LCLS-II. The continuous operation improves the stability of the electron beam and provides uniformly spaced

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

CD approvals.

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FY 2019 Congressional Budget Justification

pulses of x-rays or, if desired, the ability to customize the sequence of x-ray pulses provided to experiments to optimize themeasurements being made.
In the face of this challenge to U.S. scientific leadership, extending the energy reach of x-rays beyond the upper limit of
LCLS-II (5 keV) is a high priority. 12 keV x-rays correspond to an x-ray wavelength of approximately 1 Ångstrom, which isparticularly important for high resolution structural determination experiments since this is the characteristic distance
between bound atoms in matter. Expanding the photon energy range beyond 5 keV will allow U.S. researchers to probe
earth-abundant elements that will be needed for large-scale deployment of photo-catalysts for electricity and fuelproduction; it allows the study of strong spin-orbit coupling that underpins many aspects of quantum materials; and it
reaches the biologically important selenium k-edge, used for protein crystallography.
Based on the factors described above, the most effective and timely approach for DOE to meet the Mission Need and realize
the full potential of the facility is by upgrading the LCLS-II, currently under construction at SLAC, by increasing the energy ofthe superconducting accelerator and upgrading the existing infrastructure and instrumentation.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The threshold KPPs, which will define the official performance baseline at CD-2, Approve Project Performance Baseline,
represent the minimum acceptable performance that the project must achieve. Achievement of the threshold KPPs will be aprerequisite for CD-4, Approve Project Completion. The objective KPPs represent the desired project performance. The KPPs
presented here are preliminary and may change as the project continues towards CD-2. The final key parameters will beestablished as part of CD-2, Approve Project Performance Baseline.
Preliminary Key Performance Parameters
Performance Parameters
Superconducting linac electron beam energy
Electron bunch repetition rate
Superconducting linac charge per bunch
Photon beam energy range
High repetition rate capable, hard X-ray end stations
FEL photon quantity (10-3 BW)
5.

Threshold≥ 7 GeV
93 kHz0.02 nC
200 to ≥ 8,000 eV≥3

Objective≥ 8 GeV929 kHz0.1 nC
200 to ≥ 12,000 eV≥55x10 (10x spontaneous @8 keV)> 10 @ 12 keV

8

11Preliminary Financial Schedule

Total Estimated Cost (TEC)
DesignFY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Total, Design

Science/Basic Energy Sciences/19-SC-11 Linac Coherent Light Source-II High Energy

Appropriations(dollars in thousands)
Obligations

Costs

2,000
8,000
10,00010,0004,000
34,0002,000
8,000
10,00010,0004,000
34,0002,000
8,000
10,00010,0004,000
34,000121

FY 2019 Congressional Budget Justification

Appropriations

Obligations

Costs

3,000
12,06015,00040,00057,37578,00060,5650
266,000

3,000
12,06015,00040,00057,37578,00060,5650
266,000

3,000
12,00015,00040,00055,00078,00055,0008,000
266,000

Total, TEC

5,000
20,06025,00050,00061,37578,00060,5650
300,000

5,000
20,06025,00050,00061,37578,00060,5650
300,000

5,000
20,00025,00050,00059,00078,00055,0008,000
300,000

Other Project Cost (OPC)
OPC except D&D
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
FY 2024
FY 2025
FY 2026
Total, OPC

2,000
4,000
0
0
0
4,000
10,0000
20,000

2,000
4,000
0
0
0
4,000
10,0000
20,000

2,000
3,000
1,000
0
0
4,000
9,000
1,000
20,000Total Project Cost (TPC)FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
FY 2024
FY 2025
FY 2026
Total, TPC a

7,000
24,06025,00050,00061,37582,00070,5650
320,000

7,000
24,06025,00050,00061,37582,00070,5650
320,000

7,000
23,00026,00050,00059,00082,00064,0009,000
320,000

Construction
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
FY 2024
FY 2025
FY 2026
Total, ConstructionTEC

FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
FY 2024
FY 2025
FY 2026

a The project is pre-CD-2 and is not baselined. The cost and schedule shown are preliminary and may change as the project matures

towards CD-2. Construction will not be executed without appropriate CD approvals.

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FY 2019 Congressional Budget Justification

6.

Details of Preliminary Project Cost Estimate(dollars in thousands)
Current Total
Previous Total
Original Validated
Estimate
Estimate
Baseline

7.

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

30,5003,500
34,000

N/A
N/A
N/A

N/A
N/A
N/A

3,000
182,000
9,000
72,000266,000
300,000
75,500

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

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

Other Project Cost (OPC)
OPC except D&D
Conceptual Planning
Conceptual Design
Research and Development
Start-UpContingency
Total, OPC
Contingency, OPC

1,500
4,000
4,000
8,000
2,500
20,000
2,500

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

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

Total, TPC a
Total, Contingency

320,000
78,000

N/A
N/A

N/A
N/A

Schedule of Appropriations Requests

RequestFY 2019(dollars in thousands)

Prior
Years
TEC
OPC
TPC

0
0
0

FY 2019
5,000
2,000
7,000

FY 2020
20,0604,000
24,060FY 202125,000025,000FY 202250,000050,000FY 2023
61,375061,375FY 202478,0004,000
82,000Outyears
60,565
10,00070,565

Total
300,000
20,000320,000

8. Related Operations and Maintenance Funding Requirements
Operations and maintenance funding requirements will be provided when the project receives CD-2 approval.
9. D&D Information
At this stage of project planning and development, it is anticipated that there will be no new area being constructed in theconstruction project.

a

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

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FY 2019 Congressional Budget Justification

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

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Biological and Environmental Research
Overview
The mission of the Biological and Environmental Research (BER) program is to support transformative science and scientificuser facilities to achieve a predictive understanding of complex biological, earth, and environmental systems for energy andinfrastructure security, independence, and prosperity.
The program seeks to understand the biological, biogeochemical, and physical principles needed to understandfundamentally and be able to predict the processes occurring at scales ranging from the molecular and genomics-controlled
smallest scales to environmental and ecological processes at the scale of planet Earth. Starting with the genetic information
encoded in organisms’ genomes, BER research seeks to discover the principles that guide the translation of the genetic code
into the functional proteins and the metabolic and regulatory networks underlying the systems biology of plants andmicrobes as they respond to and modify their environments. This predictive understanding will enable design andreengineering of microbes and plants underpinning energy independence and a broad clean energy portfolio, including
improved biofuels and bioproducts, improved carbon storage capabilities, and controlled biological transformation ofmaterials such as nutrients and contaminants in the environment. An equally important focus is ensuring that emerging
technologies in gene editing and genomics are developed using approaches that enhance the stability, resilience, andcontrolled performance of biological systems in the environment. BER research also advances the fundamental
understanding of dynamic, physical, and biogeochemical processes required to systematically develop Earth System models
that integrate across the atmosphere, land masses, oceans, sea ice, and subsurface. These predictive tools and approaches
are needed to inform policies and plans for ensuring the security and resilience of the Nation’s critical infrastructure.
Over the last 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), as well as in the four DOE Bioenergy Research Centers (BRCs), are using the powerful tools of plant andmicrobial systems biology to pursue the innovative early-stage research that will lead to the development of futuretransformative bio-based products, clean energy, and next generation technologies.
Since the 1950s, BER and its predecessor organizations have been critical contributors to fundamental scientificunderstanding of the atmospheric, land, ocean, and environmental systems in which life exists. The earliest work included
atmospheric and ocean circulation studies initiated to understand the effects of fallout from nuclear explosions in the early
period of the Cold War. These efforts were the forerunners of the modern Earth System models that are in use today.
Presently, BER research contributes to model development and analysis and intercomparison; in the last decade, DOE
research has made considerable advances in increasing the reliability and predictive capabilities of these models using
applied mathematics and systematic comparisons with observational data to reduce uncertainties. BER-supported researchalso has produced the software and algorithms that enable the productive application of these models on DOE
supercomputers, which are among the most capable in the world. These leading U.S. models are used to further
fundamental understanding of two of the most critical areas of uncertainty in contemporary Earth system sciences—theimpacts of clouds and aerosols—with data provided by the Atmospheric Radiation Measurement Research Facility (ARM), a
DOE user facility serving hundreds of scientists worldwide. Also, BER research has pioneered ecological and environmental
studies in terrestrial ecosystems, seeking to describe the continuum of biological, biogeochemical, and physical processes
across the multiple scales that control the flux of environmentally-relevant compounds between the terrestrial surface andthe atmosphere. BER’s Environmental Molecular Sciences Laboratory (EMSL) provides the scientific community with apowerful suite of tools to characterize biological organisms and molecules as well as atmospheric aerosol particulates.
Highlights of the FY 2019 Budget Request
The FY 2019 BER Request continues the Administration decisions in FY 2018 to prioritize early-stage, innovative research andtechnologies that show promise in harnessing American energy resources safely and efficiently. This program supports
research that advances the core missions of the DOE while maintaining American leadership in the area of scientific inquiry
and discovery. BER’s support of basic research today will contribute to a future of stable, reliable, and secure sources ofAmerican energy based on transformative science for economic prosperity. BER activities continue to support core researchin genomics and high-resolution Earth System models, leveraging investments and scientific user facilities in key areas of
bioenergy and secure biosystems design, Earth systems modeling and observations, and environmental sciences.
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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 in reports such as the “Grand Challenges for Biological and Environmental Research: Progress andFuture Vision” a.
Biological Systems Science
Investments in the Biological Systems Science subprogram provide the fundamental understanding to underpin
transformative science in sustainable bioenergy production and to gain a predictive understanding of plant and microbial
physiology, microbiomes, and biological systems in support of DOE’s energy and environmental missions. The Genomic
Sciences activity will prioritize support for the second year of four next phase DOE Bioenergy Research Centers (BRCs),
performing new fundamental research underpinning the production of fuels and chemicals from sustainable biomass
resources and the building blocks of new technological advances for translation of basic research results to industry. Within
the Genomics Sciences activity, Genomics Analysis and Validation and Metabolic Synthesis and Conversion will be combined
and retitled Environmental Genomics. New secure biosystems design activities will be initiated to identify the fundamental
engineering principles that control biological systems, with a specific goal of enhancing the stability, resilience, andcontrolled performance of engineered biological systems. These fundamental genomic science activities will consolidate andcoordinate ongoing environmental genomics efforts on sustainability and microbiomes research in mission-relevant
ecosystems. Computational Biosciences efforts will continue to combine 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 to Molecules and Structural Biology Infrastructure will be combined and retitled Biomolecular Characterization
and Imaging Science. Research will continue to support structural, spatial, and temporal understanding of functional
biomolecules and processes occurring within living cells. New efforts in advanced bioimaging and characterization ofquantum information science (QIS) and advanced sensors will contribute to a systems-level predictive understanding of
biological processes.
The DOE Joint Genome Institute (JGI) will continue to be an essential component for DOE systems biology efforts, providing
high quality genome sequence data and analysis techniques for a wide variety of plants and microbial communities. The JGIwill continue to implement its strategic plan to incorporate new capabilities to sequence DNA and also to interpret,
manipulate, and synthesize DNA in support of sustainable, renewable bioenergy and bioproducts research, andenvironmental research. The JGI will initiate a slow ramp down of activities in preparation for a FY 2020 move into theIntegrative Genomics Building on the Lawrence Berkeley National Laboratory campus.
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. The Subsurface
Biogeochemistry Research activity will focus on modeling of the flows of subsurface nutrients and materials. Investments
will continue to support the E3SM (Energy Exascale Earth System Model) capability, tailored to DOE requirements for avariety of scenarios applied to spatial scales as small as 10 km. The model system will have improved resolution that will
include advanced software for running on numerous processors, flexibility toward future DOE computer architectures, andenhanced usability, testing, adaptability, multi-scale treatments, and provenance. The modeling efforts will be validated
against new atmospheric and terrestrial observations.
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. ARM will
limit operations of the Arctic mobile facility at Oliktok and maintain operations at the Azores fixed site. The mobile facility
will be deployed to the Cloud, Aerosol, and Complex Terrain Interactions (CACTI) field campaign in the Andes to improveunderstanding of cloud life cycle and organization in relation to environmental conditions so that cumulus, microphysics,ahttps://science.energy.gov/~/media/ber/berac/pdf/Reports/BERAC-2017-Grand-Challenges-Report.pdf

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FY 2019 Congressional Budget Justification

and aerosol parameterizations in multiscale models can be improved. The ARM facility will acquire and replace the aerial
capability.
EMSL will focus on a research agenda aligned with priority BER biology and environmental program research areas enabling
characterization and quantification of the biological and chemical constituents as well as dynamics of complex natural
systems in the environment, with a focus on microbial communities, and soil and rhizosphere ecosystems.
The Data Management effort will focus on field observations and data from environmental field experiments.

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FY 2019 Congressional Budget Justification

Biological and Environmental Research
Funding ($K)
FY 2017 Enacted
Biological Systems Science
Genomic Science
Foundational Genomics Research
Environmental Genomics b
Computational Biosciences
Bioenergy Research Centers
Total, Genomic Science
Biomolecular Characterization and Imaging Science c
Biological Systems Facilities and Infrastructure
Joint Genome InstituteTotal, Biological Systems Facilities and Infrastructure
SBIR/STTR
Total, Biological Systems Science
Earth and Environmental Systems Sciences
Atmospheric System Research
Environmental System Science
Terrestrial Ecosystem Science
Subsurface Biogeochemical Research
Total, Environmental System Science
Earth and Environmental Systems Modeling dEarth 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

FY 2018 Annualized
CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

89,571
25,51016,39575,000206,476
19,623

–
–
–
–
–
–

80,00016,00016,000100,000
212,000
24,908-9,571-9,510-395+25,000+5,524+5,28569,463
69,463
11,159306,721––––70,00070,000
11,589318,497

+537
+537
+430
+11,776

25,836–

12,000-13,836

40,03522,14362,17890,564––––14,0005,000
19,00033,626-26,035-17,143-43,178-56,938

65,42943,191
7,066

–
–
–

66,00042,0003,000+571-1,191-4,066

115,686–

111,000-4,686a

A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing Appropriations Act, 2018
(Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts are shown only at the Congressional control level andabove; below that level, a dash (—) is shown).
bEnvironmental Genomics contains previous subprograms of Genomics Analysis and Validation, and Metabolic Synthesis and Conversion.

cBiomolecular Characterization and Imaging Science contains previous Mesoscale to Molecules, and Structural Biology Infrastructure.

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

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FY 2019 Congressional Budget Justification

FY 2017 Enacted
SBIR/STTR
Total, Earth and Environmental Systems Sciences
Total, Biological and Environmental Research

11,015305,279
612,000

FY 2018 Annualized
CR a––607,844

FY 2019 Request
5,877
181,503
500,000

FY 2019 Request vsFY 2017 Enacted-5,138-123,776-112,000

SBIR/STTR Funding: FY 2017 transferred: SBIR $19,440,000; STTR $2,734,000
 FY 2019 Request: SBIR $15,313,000; and STTR $2,153,000aA full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing Appropriations Act, 2018
(Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts are shown only at the Congressional control level andabove; below that level, a dash (—) is shown).

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Biological and Environmental Research
Explanation of Major Changes ($K)
FY 2019 Request
vs FY 2017
Enacted
Biological Systems Science: Within Genomic Sciences, the Request prioritizes research activities to continue early-stage core research tounderstand the complex mechanisms controlling the interplay of microbes and plants within broader organized biological systems. Foundational
Genomics research supports secure biosystems design research to understand the fundamental genome structure and functional relationships that
result in specific new and beneficial plant and microbial traits. Environmental Genomics (formerly Genomics Analysis and Validation, and Metabolic
Synthesis and Conversion) supports research on understanding environmentally relevant microbiomes and the interdependencies between plants
and microbes in a sustainable and resilient ecosystem. The four DOE Bioenergy Research Centers will be fully supported in their second year of
bioenergy research to underpin efforts to produce innovative biofuels and bioproducts from renewable biomass resources. Development of new
bioimaging, measurement and characterization approaches through the Biomolecular Characterization and Imaging Science activity (formerly
Mesoscale to Molecules and Structural Biology Infrastructure) will include new integrative imaging and analysis platforms, including using QIS
materials, to understand the expression, structure, and function of genome information encoded within cells.
Earth and Environmental Systems Sciences: The Request continues to support the development of high-resolution Earth system modeling, analysis,
and intercomparison capabilities focused on DOE mission needs for energy and infrastructure resilience and security. Environmental System Science
will continue a focus on Arctic field studies and the fate and transport of nutrients. ARM will acquire and replace its aerial capability. Usingobservations from the ARM facility, Atmospheric System Research will continue to advance knowledge and improve model representations ofatmospheric gases, aerosols, and clouds on the Earth’s energy balance. The ARM mobile facility will be deployed to the Andes; operations of the
Arctic mobile facility at Oliktok will be seasonally limited. EMSL will focus on biological and environmental molecular science.
Total, Biological and Environmental Research

Science/Biological and Environmental Research+11,776-123,776-112,000

130FY 2019 Congressional Budget Justification

Basic and Applied R&D Coordination
BER research underpins the needs of DOE’s energy and environmental missions, and is coordinated through the National
Science and Technology Council (NSTC). This includes all biological, Earth and environmental systems modeling, renewableenergy, and field experiments involving atmospheric, ecological, and hydro-biogeochemical sciences research. Basic
research on microbes and plants provides fundamental knowledge that can be used to develop new bioenergy crops andimproved biofuel and bioproduct production processes that enable a more sustainable bioeconomy, coordinated with otherfederal agencies on priority bioeconomy science needs occurs through the Biomass Research and Development Board, aCongressionally-mandated interagency group created by the Biomass Research and Development Act of 2000, as amended
by the Energy Policy Act of 2005 and the Agricultural Act of 2014.
In general, BER coordinates with DOE’s applied technology programs through regular joint program manager meetings, byparticipating in their internal program reviews and in joint principal investigator meetings, as well as conducting joint
technical workshops.
Program Accomplishments
Fundamental Bioenergy Research. Efforts at the DOE BRCs continue to lead the world in basic research to underpin thedevelopment of biofuels and bioproducts from sustainable biomass resources.
Bioenergy Research Centers: Ten years of research from the original three BRCs has led to significant advances in bioenergy
research. The prospect of developing dedicated bioenergy crops with specific engineered traits capable of thriving in theenvironment was recently demonstrated by researchers at the BioEnergy Science Center (BESC). Switchgrass engineered toexpress an altered lignin structure thrived in field trials over a 3-year period relative to controls. The crops retained the
reduced recalcitrance phenotype and yielded 25-32% more sugar release upon deconstruction demonstrating the viabilityof a specifically designed bioenergy crop. Progress in biomass deconstruction has led Great Lakes Bioenergy Research Center(GLBRC) researchers towards development of new solvents that can break down biomass into defined component streams.
Research with gamma-valerolactone dissolves and separates up to 80% of biomass into cellulose, hemicellulose and lignin.
These components can be further converted to useful biofuels, specialty chemicals and lignin-based carbon foam, allcommercially valuable products, as a basis for an integrated biorefinery process producing fuels and chemicals fromrenewable biomass. Research at the Joint BioEnergy Institute (JBEI) built on previous metabolic engineering advances to
produce advanced jet fuel compounds from cellulosic sugars. A constructed mevalonate pathway was designed to produce
linalool and eucalyptol, jet fuel components from cellulosic glucose. The research is a culmination of a series of metabolicengineering advances at JBEI laying a foundation for a broader biotechnology industry producing fuels and chemicals fromrenewable biomass.
Genomic Science: Basic research efforts continue to gain insights into the functioning of biological systems relevant to DOE
missions.
• Researchers at Massachusetts Institute of Technology have designed a yeast strain that accumulates 25% more
lipids than control strains, useful for renewable biodiesel fuel production. The research uses an innovative
combination of computational hypothesis generation and experimental testing to guide metabolic engineering
techniques, an important approach for systematizing biosystems design techniques.
• Oak Ridge National Laboratory researchers using multi-omics approaches identified 417 specific genes in Populusthat may serve as signaling molecules between plants and microbial communities. These molecules secreted by theplant were shown to be present in fungal nuclei and may serve as regulatory proteins for symbiotic interactions, a
key finding for understanding controls on plant-microbe interactions.
• Lawrence Berkeley National Laboratory (LBNL)-led researchers are developing new tools to experimentally identify
genes of unknown function in bacterial genomes, a major limitation in systems biology research. The new highthrough-put technique tracks the impact of random mutations in bacteria during growth under a broad range ofconditions to identify genes of unknown function. Using this system, the team identified ~8,500 genes whosefunctions were not previously known from a set of 25 tested bacteria.
• Researchers from the University of Washington examining methane oxidation in lake sediments have developed a
new approach to understand microbial community dynamics. Using a combination of constructed microbialcommunities and multi-omics techniques, the researchers could track gene expression within the community andobserved nutritional dependencies within the population to explain changes in observed methane oxidation

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patterns from the environment. The work demonstrates an approach to use advanced “-omics” techniques of
microbial communities to explain larger biogeochemical processes in the environment.
Joint Genome Institute: The JGI continues to be the primary source for genomic information on plants, microorganisms andmicrobial communities for BER programs and a leader in developing new genomics techniques for BER research. Deep
sequencing of environmental samples continues to reveal the breadth of microbial species and the diversity of genes
detected in the environment. JGI, in a collaboration led by the University of Washington are using metagenomics to identify
protein encoding genes from environmental samples. Using the Rosetta software, researchers were able to generate 614
model structures of protein families with no known structure. Many of these structures contained unique protein folds not
currently represented in the Protein Data Bank. The work highlights a unique attempt to marry structural biology withenvironmental metagenomics to uncover the diversity of protein structures detectable in nature, with broad implications forbioenergy, environmental and health research.
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 April 2018 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 on spatial resolutions that spanfrom 10 km down to 500 m. These analyses resulted in identification and reduction of significant errors and biases in Earth
System models that have previously been limiting confidence in model analyses and predictions. In addition, superparameterization of clouds in the high 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 Atmospheric Radiation Measurement Research Facility (ARM), a SC scientific user facility, were used
to develop and evaluate new formulations of low cloud processes for global models. Low clouds, which are highly reflectiveof 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 thevariability of cloud water content in different geographic regions.

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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 the DOE Bioenergy Research Centers (BRCs) and the DOE Joint Genome Institute(JGI) scientific user facility.
Genomic Science
The Genomic Science activity supports research seeking to reveal the fundamental principles that drive biological systems
relevant to DOE missions in energy security and resilience. These principles guide the interpretation of the genetic code intofunctional proteins, biomolecular complexes, metabolic pathways, and the metabolic/regulatory networks underlying thesystems biology of plants, microbes, and communities. Advancing fundamental knowledge of these systems will enable new
solutions to clean energy production, breakthroughs in genome-based biotechnology, understanding the role of biologicalsystems in the environment, and adapting biological design paradigms to physical and material systems.
The major objectives of the Genomic Science activity are to determine the molecular mechanisms, regulatory elements, andintegrated networks needed to understand genome-scale functional properties of microbes, plants, and communities; todevelop “-omics” experimental capabilities and enabling technologies needed to achieve a dynamic, system-level
understanding of organism and community functions; and to develop the knowledgebase, computational infrastructure, andmodeling capabilities to advance predictive understanding, manipulation and design of biological systems.
Foundational Genomics supports fundamental research on discovery and manipulation of genome structural and regulatory
elements and epigenetic controls to scale from genotype to phenotype in microbes and plants. Efforts in biosystems design
research build on and complement existing genomics-based research, through development of new secure gene-editing andmulti-gene stacking techniques for microbes and plants. The results will yield an increased range of microorganisms andplants as model research organisms to expand and complement available biological systems for bioenergy andbiotechnology research.
Environmental Genomics combines previous Genomics Analysis and Validation, and Metabolic Synthesis and Conversion
activities, and supports research focused on understanding plants and soil microbial communities and how they impact thecycling and fate of carbon, nutrients, and contaminants in the environment. The activity includes the study of a range ofnatural and model microbiomes in targeted field environments relevant to BER’s research efforts. With a long history inplant and microbial genomics research coupled with substantial biotechnological and computational capabilities available
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within the DOE user facilities, BER is well positioned to make transformative contributions in biotechnology andunderstanding microbiome and phytobiome function.
Computational Biosciences supports all Genomic Science systems biology activities through the ongoing development of
bioinformatics and computational biology capabilities within the DOE Systems Biology Knowledgebase (KBase). The
integrative KBase project seeks to develop the necessary hypothesis-generating analysis techniques and simulation
capabilities on high performance computing platforms to accelerate collaborative and reproducible systems biology
research within the Genomic Sciences.
The major DOE BRCs effort within the Genomic Science portfolio seeks to provide a fundamental understanding of thebiology of plants and microbes as a basis for developing innovative processes for bioenergy and bioproducts production
from inedible cellulosic biomass. The four BRCs develop a range of advanced biofuels and bioproducts from sustainablebiomass resources and provide high-payoff technology and early-stage research results that can be adapted for industry
adoption and development of transformative commercial products and services.
Biomolecular Characterization and Imaging Science (formerly known as Mesoscale to Molecules, and Structural Biology
Infrastructure) supports approaches to systems biology that focus on translating information encoded in an organism’s
genome to those traits expressed by the organism. These genotype to phenotype translations are key to gaining a predictive
understanding of cellular function under a variety of environmental and bioenergy-relevant conditions. The Biomolecular
Characterization and Imaging Science activity will enable development of new bioimaging, measurement, andcharacterization technologies to visualize the structural, spatial, and temporal relationships of key metabolic processes andcritical biomaterials governing phenotypic expression in plants and microbes. The activity will include new efforts tocharacterize quantum information science materials in new environmental sensors. 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
The DOE JGI is the only federally funded major genome sequencing center focused on genome discovery and analysis inplants and microbes for energy and environmental applications, and is widely used by researchers in academia, the national
laboratories, and industry. High-throughput DNA sequencing underpins modern systems biology research, providing
fundamental biological data on organisms and groups of organisms. By understanding shared features of multiple genomes,scientists can identify key genes that may link to biological function. These functions include microbial metabolic pathways
and enzymes that are used to generate fuel molecules, affect plant biomass formation, degrade contaminants, or capture
CO 2 , leading to the optimization of these organisms for cost effective biofuels and bioproducts production and other DOE
missions.
The DOE JGI is developing aggressive new strategies for interpreting complex genomes through new high-throughput
functional assays, DNA synthesis and manipulation techniques, and genome analysis tools in association with the DOE
KBase. These advanced capabilities are part of the DOE JGI’s latest strategic plan to provide users with additional, highly
efficient, capabilities supporting biosystems design efforts for biofuels and environmental process research. The DOE JGI
also performs metagenome (genomes from multiple organisms) sequencing and analysis from environmental samples andsingle cell sequencing techniques for hard-to-culture microorganisms from understudied environments relevant to the DOE
missions.

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Biological and Environmental Research
Biological Systems Science
Activities and Explanation of Changes
FY 2017 Enacted
Biological Systems Science $306,721,000
Genomic Science $206,476,000
The funding for Foundational Genomics enabled BER
to lead the anticipated growth in synthetic biology
and biosystems design efforts for biofuels andbioproducts. This included 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 focused on improved bioinformatic tools for
microbiome gene annotation, high-throughput
approaches to cultivate organisms of interest,
characterized their physiological properties, anddeveloped genetic tool kits for their experimental
manipulation across a range of different plant hosts
and soil types.
Computational Biosciences continued and integrated
new datasets for protein structure, genome-based
biomaterials and biosystems design toolkits andsoftware.
BER selected four new BRCs from a recompetition in
FY 2017, and provided first year funding in FY 2018 at
reduced funding levels.

Science/Biological and Environmental Research

Explanation of Change
FY 2019 Request vs FY 2017 Enacted$318,497,000+$11,776,000$212,000,000+$5,524,000
Foundational Genomics research will support
Foundational Genomics will focus on development ofbiosystems design research to develop thea number of high priority platform organisms forunderstanding needed to engineer beneficial traits
secure biosystems design research. Environmental
into microbes, plants, and fungi for a variety of
Genomics will emphasize microbiome research efforts
bioenergy, bioproduct and biotechnological purposes. to understand interactions among plants andEnvironmental Genomics will focus on environmental microbes in soils.
microbiome research and develop new multi-omics
Computational Bioscience will emphasize multiomics
techniques with computational modeling andcapabilities supporting microbiome and bioenergy
experimentation to infer interactions among andresearch needs within the DOE Systems Biology
between microbial species and/or plants and fungi
Knowledgebase, in collaboration with the JGI.
and the impacts on the cycling of materials in theenvironment.
The BRCs are fully supported in FY 2019. The BRCs will
Computational Bioscience will focus on integration of prioritize research on bioenergy crops with thehigh priority multi-omic datasets for microbiome and greatest projected economic/agronomic benefit, costbioenergy-related research within the DOE Systems
efficient deconstruction processes, microbial
Biology Knowledgebase in collaboration withconversion pathways to valorize lignin and new
bioinformatics capabilities within the JGI.
methods to sustainably cultivate bioenergy crops.
FY 2019 Request

The four BRCs will begin their second year of support.
Research will focus on development of dedicatedbioenergy crops informed by economic/agronomic
modeling, feedstock agnostic deconstruction
processes, development of a broader range of
microbial conversion pathways to produce fuels andchemicals from cellulose and lignin, and new ways tosustainably cultivate bioenergy crops on marginallands.

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FY 2017 Enacted
Biomolecular Characterization and Imaging
Science 1$19,623,000
Biomolecular Characterization and Imaging Science
funding continued to augment advanced imaging
capabilities for biological systems through strategic
investments in end stations and beamlines for the
BES-supported light sources and neutron sources. BER
continues to need new capabilities beyond x-ray
crystallography, such as electron cryomicroscopy andother bioimaging techniques, including the use ofquantum materials, to support BER’s systems-levelapproach to understanding biological processes.
Advanced multi-functional imaging techniques
provided spatial and temporal understanding offunctional genomics within living cells; thisinformation can be integrated to gain a systems-level
predictive understanding of biological processes.
Biological Systems Science Facilities andInfrastructure $69,463,000
JGI continued to focus on sequencing very large andcomplex plant genomes and metagenomics samples,
especially from complex field environments. It
continued 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 also
allowed for incorporation of JGI bioinformatics
techniques.

FY 2019 Request

Explanation of Change
FY 2019 Request vs FY 2017 Enacted$24,908,000
Funding will support molecular science capabilities tocharacterize, measure and image basic metabolic
processes and critical biomaterials occurring in plantand microbial cells relevant to BER’s bioenergy andenvironmental research efforts. Development ofmulti-functional techniques will continue and include
quantum techniques providing atomic-level imaging
and characterization capabilities. These
characterization and imaging capabilities offer theability to validate current understanding and modelsof biological processes through direct visualization
and/or measurement.

+$5,285,000
Multifunctional imaging development will prioritizeon those methods most relevant to bioenergy andenvironmental research including quantum imaging,molecular characterization techniques andcharacterization of critical biomaterials to provide
unprecedented observations of biological processes
with which to validate current understanding andmodels.

$70,000,000
JGI will continue to serve as a primary source ofgenomic sequences of plants, microorganisms andmicrobial communities for BER programs and thebroader research community. It will continue todevelop its capabilities to support large complex
plant, metagenomics and environmental microbiome
sequencing efforts, including support for the four new
Bioenergy Research Centers. It will continue tocollaborate with the DOE Systems Biology
Knowledgebase and prepare for a move to the LBNL
campus.
Access to the Structural Biology Infrastructure at theStructural Biology Infrastructure is moved and
DOE Synchrotron light and Neutron sources continued combined within the Biomolecular Characterization
for high-resolution structural characterization of
and Imaging Science activity, as noted above.
biomolecules. Efforts began to link data resources(i.e., PDB) with the DOE KBase.

+$537,000
JGI will prioritize on supporting bioenergy researchand integrating its bioinformatics capabilities with the
DOE Systems Biology Knowledgebase. Support willcontinue for the Community Science Program tosupport plant, microbial, fungal and metagenomic
sequencing needs of the larger scientific communityand preparing for the move to the LBNL campus.

1 Formerly known as Mesoscale to Molecules and Structural Biology Infrastructure

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FY 2017 Enacted

FY 2019 Request

SBIR/STTR $11,159,000
In FY 2018, SBIR/STTR funding is set at 3.65% of noncapital funding.

$11,589,000
In FY 2019, SBIR/STTR funding is set at 3.65% of noncapital funding.

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137

Explanation of Change
FY 2019 Request vs FY 2017 Enacted+$430,000

FY 2019 Congressional Budget Justification

Science/Biological and Environmental Research

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Biological and Environmental Research
Earth and Environmental Systems Sciences
Description
The Earth and Environmental Systems Sciences subprogram supports fundamental science and research capabilities thatenable major scientific developments in Earth system-relevant atmospheric and ecosystem process and modeling researchin support of DOE’s mission goals for transformative science for energy and national security. This includes research oncomponents such as clouds, aerosols, and terrestrial ecology; modeling of component interdependencies under a variety offorcing conditions; interdependence of atmospheric, hydrological, ecosystem, and cryospheric variabilities; vulnerability andresilience of the full suite of energy and related infrastructures to extreme events; and uncertainty quantification. It also
supports subsurface biogeochemical research that advances fundamental understanding of coupled physical, chemical,hydrological, and biological processes controlling energy byproducts in the environment. This integrated portfolio of
research from molecular-level to field-scales emphasizes the coupling of multidisciplinary experimentation and advanced
computer models, with a goal to develop and enhance a predictive, systems-level understanding of the fundamental sciencethat addresses environmental and energy-related challenges associated with e.g. extreme phenomena. The Department willcontinue to advance the science necessary to further develop an understanding of Earth System models of variablesophistication, targeting resolution at the regional spatial scale and from seasonal to multi-decadal time scales, and to focus
on areas of critical uncertainty. In addition, environmental research activities will continue to advance basic science tooptimize and accelerate environmental cleanup and reductions in life cycle costs.
The subprogram supports three primary research activities, two SC scientific user facilities, and a data activity. The two SC
scientific user facilities are the Atmospheric Radiation Measurement Research Facility (ARM) and the Environmental
Molecular Sciences Laboratory (EMSL). ARM provides unique, multi-instrumented capabilities for continuous, long-term
observations and model–simulated high resolution information that researchers need to improve understanding anddevelop and test hypotheses involving the role of clouds and aerosols on the atmosphere’s spectrally-resolved radiativebalance over a variety of spatial scales, extending from local to global. EMSL provides integrated experimental andcomputational resources that researchers utilize in order to extend understanding of the physical, biogeochemical,
chemical, and biological processes that underlie DOE’s energy and environmental mission. The data activity encompasses
both observed and model-generated data that are collected by the ARM facility and during dedicated field experiments; thisactivity also archives information generated by Earth System models of variable complexity and sophistication.
Atmospheric System Research
Atmospheric System Research (ASR) is the primary U.S. research activity addressing two major areas of uncertainty in earthsystem models: the interdependence of clouds, atmospheric aerosols, and precipitation that in turn influences the radiation
balance. ASR coordinates with ARM, using the facility’s continuous long-term datasets that in turn provide threedimensional measurements of radiation, aerosols, clouds, precipitation, dynamics, and thermodynamics over a range ofenvironmental conditions at diverse geographic locations. The long-term observational datasets are supplemented withlaboratory studies and shorter-duration, ground-based and airborne field campaigns to target specific atmosphericprocesses under diverse locations and atmospheric conditions. Earth System models incorporate ASR research results toboth understand the processes that govern atmospheric components and to advance Earth System model capabilities withgreater certainty. ASR seeks to develop integrated, scalable test-beds that incorporate process-level understanding of thelife cycles of aerosols, clouds, and precipitation, that can be incorporated into dynamic models.
Environmental System Science
Environmental System Science supports research to provide a robust and scale-aware predictive understanding of terrestrial
surface and subsurface ecosystems, including the role of hydro-biogeochemistry from the subsurface to the top of thevegetative canopy that considers effects of seasonal to interannual variability and change on spatial scales that span frommolecular to global.
Using decadal-scale investments such as the Next Generation Ecosystem Experiment (NGEE) to study the variety of timescales and processes associated with ecological change, Environmental System Science research focuses on understanding,observing, and modeling the processes controlling exchange flows between the atmosphere and the terrestrial biosphere,
and improving and validating the representation of terrestrial ecosystems in coupled Earth System models. Subsurface
biogeochemical research supports integrated modeling research, ranging from molecular to field scales, to understand andScience/Biological and Environmental Research

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predict the role that hydrological and biogeochemical processes play in controlling the cycling and mobility of energyrelevant materials in the subsurface and across key surface-subsurface interfaces in 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, in coordination with other Federal efforts. The research specifically focuses on quantifying
and reducing the uncertainties in Earth System models based on more advanced process representations, sophisticatedsoftware, robust couplers, diagnostics, and performance metrics. Priority model components include the ocean, sea-ice,land-ice, atmosphere, and terrestrial ecosystems, where each are treated as interdependent and is able to exploit dynamic
grid technologies. Support of diagnostic and intercomparison activities, combined with scientific analysis, allows BER funded
researchers to exploit the best available science and practice within each of the world’s leading Earth system research
programs. In addition, DOE will continue to support the Energy Exascale Earth System Model (E3SM) as a computationallyefficient model adaptable to DOE’s emerging Leadership Computing Facility supercomputer architectures and with greater
sophistication and fidelity for high resolution simulation of extreme phenomena and complex processes. Earth systemmodeling, simulation, and analysis tools are essential for informing energy infrastructure investment decisions that have thefuture potential for large-scale deployment that in turn benefit our national security.
Earth and Environmental Systems Sciences Facilities and Infrastructure
The Earth and Environmental Systems Sciences Facilities and Infrastructure activity supports data management and two
scientific user facilities for the earth and environmental systems sciences communities. The scientific user facilities, ARM
and EMSL, provide the broad scientific community with technical capabilities, scientific expertise, and unique information tofacilitate science in areas integral to BER’s mission.
ARM is a multi-laboratory, multi-platform, multi-site, national scientific user facility, providing the world’s mostcomprehensive continuous and precise observations of clouds, aerosols, and related meteorological information. ARM
currently consists of three fixed, long-term measurement facility sites (in Oklahoma, Alaska, and the Azores), three mobile
observatories, and an airborne research capability that operates at sites selected by the scientific community. In FY 2019,
ARM will continue operations at the fixed sites, prioritizing measurements in Alaska and Oklahoma. In FY 2019, one mobile
facility will be deployed for targeted observations and measurements in the southern Andes. Each of the ARM fixed andmobile observatories includes scanning radars, lidar systems, and in situ meteorological observing capabilities; the sites arealso used to demonstrate technologies as they are developed by the community. ARM investigators study the impact of
evolving clouds, aerosols, and precipitation on the Earth’s radiative balance and rate of Earth system change, addressing themost significant scientific uncertainties in predictability research. ARM will continue to incorporate very high resolution
Large Eddy Simulations at the permanent Oklahoma site during specific campaigns requested by the scientific community.
BER is also maintaining the exponentially increasing data archive to support enhanced analyses and model development.
The data extracted from the archive are used to improve atmospheric process representations at higher resolution, greater
sophistication and robustness of ultra-high resolution models. Besides supporting BER atmospheric sciences and Earthsystem modeling research, the ARM facility freely provides key information to other agencies that are engaged in, e.g.,calibration and validation of space-borne sensors.
The G-1 aircraft used by ARM was built in 1961, is one of only 10 G-1’s that remain in service worldwide and is nearing theend of its service life. BER plans to retire and replace the aircraft in 2019. BER-supported scientists require high-quality andwell-characterized in situ aircraft observations of aerosol and cloud microphysical properties and coincident dynamical andthermodynamic properties in order to continue to improve fundamental understanding of the physical and chemical
processes that control the formation, life cycle, and radiative impacts of cloud and aerosol particles. To meet these needs,
the ARM user facility requires a replacement aircraft with the capacity to carry multi-sensor instrument packages; a flight
duration of at least 5 hours with full payload; the ability to fly safely at low altitudes at speeds suitable for gathering in situ
observations of aerosol and cloud microphysical properties; and multiple engines for safe operations within clouds, and over
the ocean or sea-ice.
EMSL provides integrated experimental and computational resources for discovery and technological innovation in theenvironmental molecular sciences. EMSL enables users to undertake molecular-scale experimental and theoretical researchon biological systems, biogeochemistry, and interfacial and surface (including aerosol) science relevant to energy and
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environmental challenges facing DOE and the nation. This includes science supporting improved catalysts and materials forindustrial applications and developing improved representations of biological and subsurface biogeochemical processes.
EMSL will address a more focused set of scientific topics that continue to exploit High Resolution and Mass Accuracy
Capability, live cell imaging, and more extensive utilization of other EMSL instrumentation into process and systems models
and simulations to address challenging problems in the biological and environmental system sciences.
Data sets generated by ARM, other DOE and Federal Earth observing activities, and Earth system modeling activities, areenormous. The information in Earth observations and model-generated data can be used to achieve broad benefits ranging
from planning and development of energy infrastructure to natural disaster impact mitigation to commercial supply chain
management to natural resource management. Accessibility and usage of these data sets are fundamental to supporting
decision-making, scientific discovery, technological innovation, and National security.
The BER Data Management activity will focus efforts to store data from the Earth System Grid Federation, ARM, and NGEE
field experiments.

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Biological and Environmental Research
Earth and Environmental Systems Sciences
Activities and Explanation of Changes
FY 2017 Enacted
Earth and Environmental Systems Sciences$305,279,000
Atmospheric System Research (ASR) $25,836,000
ASR conducted research on cloud, aerosol, andthermodynamic processes using data collected duringobservational campaigns involving in-situ sensors andUnmanned Aerial Systems, and the full suite of datafrom campaigns conducted in Alaska, Oklahoma,
Antarctica, the Southern Ocean, and Azores, has beenutilized in the research.
Environmental System Science (ESS) $62,178,000
Within Environmental System Science, NGEE projects
continued to provide new observations for model
development and validation. The Subsurface
Biogeochemistry Research subprogram focused on
fate and transport of subsurface elements andhydrological cycling, uptake, and acquisition by plants
and microbes, which allows for improved integration
with the Terrestrial Ecosystem Science subprogramand facilitate multi-scale, very high resolution processmodeling from the bedrock to the canopy.

Science/Biological and Environmental Research

FY 2019 Request$181,503,000$12,000,000
ASR will continue research on cloud, aerosol, andthermodynamic processes, with a focus on data fromthe fixed sites, and using data from prior and ongoing
field campaigns in the Southern Andes, Antarctica, theEastern Atlantic, and the Southern Ocean. ASR
research will increasingly make use of data generatedby Large Eddy Simulation at the ARM fixed site in
Oklahoma.
$19,000,000
ESS will continue to support research on permafrost
ecology, and will maintain its investments in modelingstudies involving boreal ecology and hydrobiogeochemistry of river catchments. Support to the
management of the Ameriflux network will continue
at a reduced level. ESS will initiate a pilot project on
ecology of Terrestrial-Aquatic Interfaces (TAIs).

142

Explanation of Change
FY 2019 Request vs FY 2017 Enacted-$123,776,000-$13,836,000
ASR will focus its investment on cloud and aerosol
science in regions that exhibit the greatest
uncertainties in earth system prediction, i.e., theArctic and convection in midlatitudes.

-$43,178,000
ESS will prioritize scientific challenges that demand
integrative observations of sensitive ecological system
in mountainous watersheds of the western U.S. andpermafrost regions of the Alaska Arctic. A small pilot
project on TAI will be initiated.

FY 2019 Congressional Budget Justification

FY 2017 Enacted
Earth and Environmental Systems Modeling$90,564,000
Earth and Environmental Systems Modeling — Earth
System Modeling continued investment in the highresolution E3SM project, with research to introduce a
non-hydrostatic dynamical core, dynamic coupling ofocean and ice, and basin and sub-basin treatments forthe land models. Activities aligned with anticipatedexascale developments in high-performancecomputing platforms and algorithms. The E3SM
version 1 will be released during FY 2018, with both
existing and new users conducting basic researchusing results derived from the newest DOE computerarchitectures.
Core research in model intercomparison anddiagnostics were continued. Research continued to
explore 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.
Earth and Environmental Systems Sciences Facilities
and Infrastructure $115,686,000
ARM continued to provide new observations, throughlong-term measurements at fixed sites in Alaska,
Oklahoma, and the Eastern North Atlantic; ;observations continued to be collected from the threemobile facilities, based on limit term deployments to
Alaska, Southern Oceans, and south Atlantic. ARM will
also maintain an aerial capability and explore thescience driven need for equipment refresh for archive
upgrades, aerial capabilities, and the mobile and fixed
observatories. All ARM activities have been prioritizedfor critical observations necessary to advance earthsystem models.

Science/Biological and Environmental Research

FY 2019 Request

Explanation of Change
FY 2019 Request vs FY 2017 Enacted$33,626,000
Earth and Environmental Systems Modeling will focus
its investment in further development of a nonhydrostatic dynamical cores for the atmosphericcomponent of the E3SM model that targets higher
resolution over scales that span from seasonal tomulti-decadal. Activities will continue to assimilate
the best available software for E3SM to exploit DOE’s
high-performance computing architectures in order toanalyze and characterize extreme events within theearth system.

-$56,938,000
The E3SM model development timetable will be lessambitious, with efforts prioritized on modeling theatmospheric and cryospheric components.

Core research in model intercomparison anddiagnostics will continue. Research will focus on thewater cycle, in order to understand how uncertainties
involving the spatial and temporal patterns of drought
can be characterized.

Research will prioritize the science of water cycle insystem models; and investments in tropicalextratropical-midlatitude interactions will beeliminated.

$111,000,000
ARM will continue to provide new observations,through long-term measurements at fixed sites in
Alaska, Oklahoma, and the Eastern North Atlantic.
ARM will utilize one of its mobile units for field
campaigns, and it will hold one mobile unit in reserve.
The mobile unit at Oliktok will operate seasonally. All
ARM activities will be prioritized for criticalobservations necessary to advance the E3SM model.
ARM will deploy a mobile facility to the Southern
Andes. ARM will acquire a manned aircraft, to replace
the existing G1 aircraft that will be retired in FY 2019.
The completed analysis of alternatives indicates thatpurchase of a used aircraft and subsequent-$4,686,000
ARM will prioritize investments in its two fixed sites in
Alaska and Oklahoma, and the mobile unit will be
deployed to the Southern Andes for seven months offield data collection. ARM will acquire a manned
aircraft to replace the current ARM G-1 aircraft thatwill be retired at the end of FY 2019.

143

FY 2019 Congressional Budget Justification

FY 2017 Enacted

FY 2019 Request

retrofitting to achieve functionality for scientificinstrumentation is the most cost-effective option.
EMSL focused on scientific topics that exploit recently EMSL will continue to focus on science that exploits its
installed capabilities involving HRMAC, live cell
unique capabilities, including the HRMAC, live cell
imaging, and more extensive use of integrating data
imaging, Quiet Wing, and high performancefrom other EMSL instrumentation into process andcomputing, in order to advance biological andsystems models and simulations that addressed
environmental sciences. EMSL will initiate building achallenging problems in the biological andnext generation Dynamic Transmission Electron
environmental sciences.
Microscope, to support future BER science.
The Earth and Environmental Systems Sciences Data
The Earth and Environmental Systems Sciences DataManagement activity emphasized the first phase ofManagement activity will provide support to maintainmetadata compatibility and consolidation via common existing software and data archives in support ofprotocols and standards, involving environmental
ongoing experimental and modeling research.
observations and the Earth System Grid Federation.
Essential data archiving and storing protocols,
Essential data archiving and storing protocols,
capacity, and provenance will be maintained.
capacity, and provenance were achieved, as part of aneffort to simplify scientific community access toobserved and model generated data produced by
DOE.
SBIR/STTR $11,015,000$5,877,000
In FY 2018, SBIR/STTR funding is set at 3.65% of non- In FY 2019, SBIR/STTR funding is set at 3.65% of noncapital funding.
capital funding.

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144

Explanation of Change
FY 2019 Request vs FY 2017 Enacted
EMSL will prioritize its investments on the science of
biological and biogeochemical systems, and surface
chemistry, using best-in-class sensors that combinewith high performance computing.

Data Management research efforts will prioritize
maintenance of existing software and capabilities insupport of ongoing DOE research. Research on
improved metadata compatibility and enhanced
consolidation via common protocols and standards
will be completed.

-$5,138,000

FY 2019 Congressional Budget Justification

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 2017

FY 2018

FY 2019

Performance Goal (Measure)

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

TargetExtend the capabilities of the DOE’s high- Demonstrate improved ocean model
Demonstrate in the coupled DOE-E3SM
resolution Earth System Model tosimulations with the new high-resolution model, the importance of environmental
simulate and evaluate human-natural
Model for Prediction Across Scales factors in affecting ecosysteminterdependencies for the carbon andOcean (MPAS-Ocean).
productivity and surface energy
water cycles.
exchanges.

Result

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 andcryospheric processes. Delivery of improved scientific data and models (with quantified uncertainties) about the earth’s
atmospheric, oceanic, cryospheric, and terrestrial system to more accurately predict the earth system responses to change.
The information is essential to plan for future national security, energy and infrastructure needs, water resources, and landuse. DOE will continue to advance the science necessary to further develop predictive earth system 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 ofplant and microbial genomes as a basis for biofuels development and predictive knowledge of carbon and nutrient cyclingin the environment.

TargetDevelop improved open access platforms Using genomics-based techniques,
Develop metagenomics approaches tofor computational analysis of large
develop an approach to explore theassess the functioning of microbial
genomic datasets.
functioning of plant-microbe interactions. communities in the environment.

ResultEndpoint Target

Met

TBD

TBD

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 oforganisms and determining how this information 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 to advance development of biotechnology and predict
impacts of changing environmental conditions on carbon cycling and other biogeochemical processes.
Capital Summary ($K)

Science/Biological and Environmental Research

145

FY 2019 Congressional Budget Justification

Capital Operating Expenses Summary
Total Non-MIE Capital equipment (projects under $5
million TEC)
Major Items of Equipment (TEC over $5 million)
Atmospheric Radiation Measurement Research
Facility (ARM) – ARM Aircraft project (TPC $17,700)
Total, Capital Summary

FY 2018
Annualized CR a

FY 2019
RequestFY 2019
Request vsFY 2017
Enacted

Total

Prior Years

FY 2017
Enacted

n/a

n/a

4,500

–

4,000

-500

17,700

200 b

–

–

17,500+17,500

n/a

n/a

4,500

–

21,500+17,000

Atmospheric Radiation Measurement Research Facility - BER-supported scientists require high-quality and well-characterized in situ aircraft observations of aerosol andcloud microphysical properties and coincident dynamical and thermodynamic properties to continue to improve fundamental understanding of the physical andchemical processes that control the formation, life cycle, and radiative impacts of cloud and aerosol particles. To meet these needs, the Atmospheric Radiation
Measurement (ARM) user facility has been using a dedicated large twin-turboprop Gulfstream-1 (G-1) aircraft to conduct weeks- to months-long intensive observational
campaigns over a range of meteorological conditions and locations around the world. The G-1 aircraft used by ARM was built in 1961, is one of only 10 G-1’s that remain
in service worldwide, and is rapidly nearing the end of its service life. BER will retire and replace the aircraft in 2019.
To replace the capability of the G-1 aircraft, ARM requires: an airborne platform with the payload capacity (floor space, weight, electricity) to carry multi-sensor
packages; the appropriate physical structure to install instruments including atmospheric inlets, free airstream sensors, and radiometers; a flight duration capability of atleast 5 hours with full payload; the ability to fly safely at low altitudes (200 ft) at speeds (100 m/s) suitable for gathering in situ observations of aerosol and cloud
microphysical properties; multiple engines for safe operations within clouds, and over the ocean or sea-ice; and the ability to operate in conditions ranging from the
Arctic to the Tropics with a full payload.

a

A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing Appropriations Act, 2018
(Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts are shown only at the Congressional control level andabove; below that level, a dash (—) is shown).

bReporting $200K in prior year ($100K in FY 2017 and $100K in FY 2018). $100K in FY 2017 not previously reported since below the DOE capitalization threshold of $500,000.

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FY 2019 Congressional Budget Justification

Funding Summary ($K)

Research
Scientific user facilities operations and research
Projects (Major Item of Equipment)
Total, Biological and Environmental Research

FY 2017 Enacted

FY 2018 Annualized CR a

FY 2019 Request

426,951
185,049–
612,000–––
607,844

319,000
163,500
17,500500,000

FY 2019 Request vsFY 2017 Enacted-107,951-21,549+17,500-112,000Scientific 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 2018 Annualized CRa

FY 2017 Enacted

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

TYPE B FACILITIESAtmospheric Radiation Measurement Research Facility(ARM)
Number of users$65,429–$66,000

+571

1,109

–

1,100

-9

Joint Genome Institute
Number of users$69,463
1,598––$70,000
1,600

+537
+2

Environmental Molecular Sciences Laboratory
Number of users$43,191616––$42,000
600-1,191-16

Total Facilities
Number of users$178,083
3,323

–
–

$178,000
3,300

-83
-23

a

A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing Appropriations Act, 2018
(Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts are shown only at the Congressional control level andabove; below that level, a dash (—) is shown).

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Scientific Employment
FY 2017 Enacted
Number of permanent Ph.D.’s
Number of postdoctoral associates
Number of graduate students
Other b

1,350
330
450
330

FY 2018 Annualized
CR a
–
–
–
–

FY 2019 Estimate
1,195
280
405
280

FY 2019 Request vsFY 2017 Enacted
-155
-50
-45
-50

a

A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing Appropriations Act, 2018
(Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts are shown only at the Congressional control level andabove; below that level, a dash (—) is shown).
bIncludes technicians, engineers, computer professionals and other support staff.

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Fusion Energy Sciences
Overview
The mission of the Fusion Energy Sciences (FES) program is to expand the fundamental understanding of matter at very hightemperatures and densities and to build the scientific foundation needed to develop a fusion energy source. This isaccomplished through the study of plasma, the fourth state of matter, and how it interacts with its surroundings.
Plasma science is wide-ranging, since 99% of the visible universe is composed of plasmas of various types. Hightemperature fusion plasmas at hundreds of millions of degrees occur in national security applications, albeit for very shorttimes. The same fusion plasmas could be exploited in the laboratory in a controlled fashion to become the basis for a futureclean nuclear power source, which will provide domestic energy independence and security. This is a large driver for the FES
subprograms focused on the scientific study of “burning plasma.” In the burning plasma state of matter, the nuclear fusion
process itself provides the dominant heat source for sustaining the plasma temperature. Such a self-heated plasma cancontinue to undergo fusion reactions that produce energy, without requiring the input of heating power from the outside,and thus resulting in large net energy yield.
In the FES program, foundational science for burning plasmas is obtained by investigating the behavior of laboratory fusion
plasmas confined with strong magnetic fields. The DIII-D National Fusion Facility and the National Spherical Torus
Experiment-Upgrade (NSTX-U) are world-leading Office of Science (SC) user facilities for experimental research available toand used by scientists from national laboratories, universities, and industry research groups. Complementing theseexperimental activities is a significant effort in fusion theory and simulation to predict and interpret the complex behaviorof plasmas as self-organized systems. As part of this effort, FES supports several Scientific Discovery through Advanced
Computing (SciDAC) centers in partnership with the Advanced Scientific Computing Research (ASCR) program office.
FES also investigates the behavior of plasmas that are confined near steady state. U.S. scientists take advantage ofinternational partnerships to conduct research on superconducting tokamaks and stellarators with long-duration
capabilities. In addition, the development of novel materials, a research area of high interest to many scientific fields, isespecially important for fusion energy sciences since fusion plasmas create an environment of high-energy neutrons andhuge heat fluxes that impinge on and damage the material structures containing the plasmas.
The frontier scientific area of the actual creation of strongly self-heated fusion burning plasmas will allow the discovery andstudy of new scientific phenomena relevant to fusion as a future energy source.
The FES program also supports discovery plasma science in research areas such as plasma astrophysics, high energy density
laboratory plasmas (HEDLP), and low temperature plasmas. Some of this research is carried out through partnerships with
the National Science Foundation (NSF) and the National Nuclear Security Administration (NNSA). Also, U.S. scientists areworld leaders in the invention and development of new high-resolution plasma measurement techniques. A recent report afrom the Fusion Energy Sciences Advisory Committee (FESAC) describes how plasma science advances have led to manyspinoff applications and enabling technologies with considerable economic and societal impact for the American quality oflife.
The FES program addresses several of the Administration’s research and development budget priorities. Research in fusion
has the potential to contribute to American energy dominance by making available to the American people a robust baseload electricity clean energy technology that relies on widely available and virtually inexhaustible fuel sources. Research inplasma science, within and beyond fusion, will contribute to American prosperity through the tremendous potential forspinoff applications as well as targeted investments in early-stage low temperature plasma research that can lead to thedevelopment of transformative technologies. Investments in our major fusion facilities and smaller-scale experiments will
help maintain and modernize our research infrastructure for continuing to conduct world-leading research. Establishedpartnerships within and outside DOE maximize leverage and increase the cost effectiveness of FES research activities.
Finally, the unique scientific challenges and rigor of fusion and plasma physics research lead to the development of a well-ahttps://science.energy.gov/~/media/fes/fesac/pdf/2015/2101507/FINAL_FES_NonFusionAppReport_090215.pdf

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FY 2019 Congressional Budget Justification

trained STEM-focused workforce, which will contribute to maintaining and advancing U.S. competitiveness and worldleadership in key areas of future technological and economic importance, as well as national security.
Highlights of the FY 2019 Request
Strategic choices in this Request are informed by the priorities described in “The Office of Science’s Fusion Energy Sciences
Program: A Ten-Year Perspective” (submitted to Congress in 2015), the research opportunities identified in a series ofcommunity engagement workshops held in 2015 a, and the FY 2017 FESAC investigation on the potential for transformative
developments in fusion science and technology. Priorities include keeping SC fusion user facilities world-leading, investingin high performance computing and preparing for Exascale, 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). Furthermore, research priorities for burning plasma science in FY 2019 are to be informed by the FY 2018
report of the National Academy of Sciences (NAS) burning plasma study commissioned by FES.
Key points in the FY 2019 Request include:
Modernizing and Managing Research Infrastructure•

DIII-D facility enhancements—DIII-D will focus on completion of facility modifications and enhancements thatbegan in FY 2018, which will maintain the world-leading status of the DIII-D tokamak. The time required for thefacility enhancements will allow 12 weeks of research operation.

•

Continued support for NSTX-U program research and recovery activities—The NSTX-U facility is down for recovery
and repair, which will continue in FY 2019. The FY 2019 NSTX-U Operations budget will support high-priority
activities to implement repairs and corrective actions required to obtain robust, reliable research operations. The
Request for NSTX-U Research will fund the continued analysis of high-impact data, a focused effort on physics
topics that directly support the recovery of robust NSTX-U plasma operations, and enhanced collaborative researchat other facilities to support NSTX-U research program priorities.

•

Major Item of Equipment (MIE) project for world-leading fusion materials research—Following the approval of the
Linear Divertor Simulator Mission Need (CD-0) and down-selection of alternatives in FY 2018, FES will pursue theMaterials Plasma Exposure eXperiment (MPEX) as an MIE project. MPEX will be able to address critical fusionmaterials science questions on the path toward proving the scientific viability of fusion power. It will provide aworld-leading, highly cost-effective experimental device with superior capability, high throughput, and versatility.

•

Fusion nuclear science―FES will initiate a study to evaluate options for a neutron source that will test materials in
fusion-relevant environments.

•

High energy density laboratory plasmas―FES will initiate a study to evaluate options for an upgrade to the Matterin Extreme Conditions (MEC) instrument on the Linac Coherent Light Source (LCLS) facility at SLAC National
Accelerator Laboratory.

•

Continued U.S. hardware development and delivery to ITER—The U.S. Contributions to ITER (U.S. ITER) First Plasma
subproject will continue in the design, fabrication, and delivery of U.S. hardware contributions in support of themulti-billion-dollar international ITER project. The primary focus will be on the continued design and fabrication of
the highest priority, in-kind contributions

Innovative Research Partnership Models• Scientific Discovery through Advanced Computing—SciDAC will address high-priority research on tokamak
disruptions and large-scale fusion data analysis challenges, and continue development of an integrated wholedevice modeling capability in partnership with the ASCR program.
• Long-pulse tokamak and stellarator research—Long-pulse tokamak research will provide research opportunities for
U.S. scientists on superconducting tokamaks with world-leading capabilities. In addition, there will be research
opportunities for U.S. collaborations in the deuterium–tritium (DT) experimental campaign on the Joint Europeanahttps://science.energy.gov/fes/community-resources/workshop-reports/

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FY 2019 Congressional Budget Justification

•

Torus (JET). Long-pulse stellarator research will enable U.S. teams to take full advantage of U.S. hardware
investments on Wendelstein 7-X (W7-X) and enhance the scientific output on this device.
Discovery plasma science—Basic plasma research is partially carried out in partnership with NSF and NNSA.
Research and operations will be focused on the intermediate-scale plasma science facilities selected in FY 2017 andon HEDLP research on the MEC instrument, an end station at LCLS, stewarded by the SC Basic Energy Sciences(BES) program.

American Prosperity• Discovery plasma science—Activities will continue in low temperature plasma research and HEDLP research, withconnections and spinoffs to U.S. industry.

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FY 2019 Congressional Budget Justification

Fusion Energy Sciences
Funding ($K)
FY 2017 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 U.S. Contributions to ITER
Total, Fusion Energy Sciences

FY 2018 Annualized
CR b

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

90,23876,78940,0005,000
212,027—————

90,35063,00036,0001,000
190,350+112-13,789-4,000-4,000-21,677

10,0007,569
24,00041,569

—
—
—
—

9,000
7,000
22,50038,500-1,000-569-1,500-3,06952,40910,255
13,74076,404330,000————
327,759

24,500011,65036,150265,000-27,909-10,255-2,090-40,254-65,000

50,000380,000

49,660377,41975,000340,000+25,000-40,000

SBIR/STTR:
 FY 2017 Enacted: SBIR: $8,814,000; STTR: $1,239,000
 FY 2019 Request: SBIR $8,323,000; and STTR $1,170,000

a The FY 2017 Enacted level includes SBIR and STTR.
b A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing Appropriations Act, 2018

(Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts are shown only at the Congressional control level andabove; below that level, a dash (—) is shown).

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Fusion Energy Sciences
Explanation of Major Changes ($K)
FY 2019 Request
vs FY 2017
EnactedBurning Plasma Science: Foundations: DIII-D will emphasize completion of facility improvements that began in FY 2018, followed by 12 weeks ofresearch operation. Funding for the NSTX-U program will support continued repair activities for the facility and enhanced collaborative research atother facilities to support NSTX-U research program priorities. SciDAC continues to make progress toward whole-device modeling, strengthening
research on plasma disruptions and addressing large-scale data analysis challenges. Funding is provided for General Plant Projects/General Purpose
Equipment (GPP/GPE), which supports Princeton Plasma Physics Laboratory (PPPL) infrastructure improvements, repair, and maintenance.

-21,677

Burning Plasma Science: Long Pulse: Efforts are focused on highest-priority international collaboration activities, both for tokamaks andstellarators. Materials research and fusion nuclear science research programs are focused on highest priorities. Funding will be initiated for the
Materials Plasma Exposure eXperiment (MPEX) Major Item of Equipment (MIE) project, which was identified as a priority in the community
workshop on Plasma Materials Interactions.

-3,069

Discovery Plasma Science: Research and operations of intermediate-scale scientific user facilities in General Plasma Science are emphasized. For
High Energy Density Laboratory Plasmas, the focus remains on supporting research utilizing the Matter in Extreme Conditions instrument of the
LCLS user facility at SLAC. No funding is requested for Exploratory Magnetized Plasma research and Measurement Innovation.

-40,254

Construction: The U.S. Contributions to ITER project will continue design, fabrication, and delivery of key First Plasma hardware components.

+25,000

Total Funding Change, Fusion Energy Sciences-40,000

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FY 2019 Congressional Budget Justification

Basic and Applied R&D Coordination
FES participates in coordinated intra- and inter-agency initiatives within DOE and with other federal agencies on science andtechnology issues related to fusion and plasma science. Within SC, FES operates the MEC instrument at the SLAC LCLS user
facility operated by BES, and supports high-performance computing research with ASCR. Within DOE, FES operates a joint
program with NNSA in HEDLP physics. FESAC provides technical and programmatic advice to FES and NNSA for the joint
HEDLP program. Outside DOE, FES carries out a discovery-driven plasma science research program in partnership with NSF,
with research extending to a wide range of natural phenomena, including the origin of magnetic fields in the universe andthe nature of plasma turbulence. The joint programs with NNSA and NSF involve coordination of solicitations, peer reviews,
and workshops.
Program Accomplishments
Heating the core of fusion reactors leads to sheared rotation that can improve plasma performance – New measurements
and simulations of plasma rotation at the DIII-D tokamak facility at General Atomics (GA) show that self-organized “intrinsic
rotation” in tokamaks is generated by turbulence. Such self-organized flow can be beneficial for fusion reactor performance
because it suppresses turbulent energy loss and magnetohydrodynamic instabilities. The experimental measurements showthat simply heating the plasma core can cause it to generate a sheared flow. The computer modeling provides aquantitative understanding of the amount of sheared flow that can be generated with the use of this self-generated
intrinsic torque.
Plasma instabilities can be eliminated when the heating power is increased – Alpha particles born from fusion reactions
drive plasma instabilities that can cause reactors to lose heat, reducing their efficiency. Results from the NSTX-U facility at
PPPL show for the first time that additional neutral beam heating can suppress plasma instabilities known as global Alfvén
eigenmodes (GAE). Eliminating the GAE instabilities may be a key first step toward achieving high plasma performance in acompact spherical tokamak. The ability to predict and control these instabilities is also important for burning plasmas andfuture fusion reactors, which are heated by a large population of fusion-generated alpha particles and neutral beam ions.
Massively parallel simulations shed light on long-standing magnetic confinement challenge – Efficient operation of tokamak
magnetic confinement fusion devices relies on attainment of the high-confinement mode (H-mode), which reduces theenergy leakage from the confinement region by at least a factor of two through suppression of turbulence at the plasmaedge. While the transition to H-mode has been known for at least 35 years and has been reproduced on all the world’s
tokamaks, a predictive understanding of this phenomenon has proved elusive. Recently, massively parallel simulations
performed by scientists in the SciDAC Edge Physics Simulation Center (a partnership with ASCR) have, for the first time,modeled this transition with the use of a first-principles plasma turbulence simulation code and SC leadership computing
resources. The simulations took three days and used 90% of the capacity of the Titan supercomputer at the Oak Ridge
Leadership Computing Facility.
Proto-MPEX points the way to world-leading capability for plasma-material interactions research – The Prototype Material
Plasma Exposure eXperiment (Proto-MPEX) at Oak Ridge National Laboratory (ORNL) successfully demonstrated a novel
plasma generator aimed at enabling new experimental capabilities that are needed for plasma-material interaction
research. Proto-MPEX allows the study of materials exposed to the extreme plasma conditions expected in future fusion
devices. Its versatile design, based on a high-density radio frequency helicon plasma source coupled with separate ion andelectron heating schemes, allows for independent control of vital plasma parameters such as density, electron
temperature, and ion temperature. Although currently limited to low power and short pulse, Proto-MPEX has
demonstrated the feasibility of the source concept and led to high confidence in the construction of a new world-leading
experimental capability.
New approach could solve a significant challenge in the design of stellarator coils – New research has shown that themathematical optimization methods used to compute the three-dimensional electromagnetic coil shapes for stellarators
can be modified to increase the space between the coils and smooth their sharp bends, while preserving the speed andreliability of the optimization. This new method will enable stellarator designs that have smoother coil shapes andincreased inter-coil spacing, which could be more feasible to construct and maintain.
U.S. international collaboration makes excellent start in optimizing the use of lithium to control fusion plasmas – For fusion
to generate substantial energy, the ultra-hot plasma that fuels fusion reactions must remain stable and be kept from
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FY 2019 Congressional Budget Justification

cooling. U.S. researchers have recently shown that lithium is effective in both respects in experiments on the Experimental
Advanced Superconducting Tokamak (EAST) in Hefei, China. The recent scientific effort deployed three different lithium
delivery systems in EAST. Each lithium delivery technology performed as designed and enabled improved modes ofoperation, including tokamak operation with external control of periodic edge instabilities, as well as control over theelemental composition of the surrounding edge plasma. These results motivate continued effort to develop sophisticatedboundary control solutions that use lithium.
Laboratory experiments explain the kink behavior of the Crab Nebula Jet – Using the high-power Omega laser at the
University of Rochester’s Laboratory for Laser Energetics, U.S. scientists conducted experiments to understand the
dynamics of the Crab Nebula jet evolution. Fusion protons from deuterium/helium-3 implosion were used to obtain spatial
visualization and detailed measurements of the electromagnetic fields. The data shows that the toroidal magnetic field,
embedded in the supersonic jet, triggers plasma instabilities and results in considerable deflections throughout the jet
propagation, mimicking the kinks in the Crab Nebula jet.
First-ever measurement of the optical spectrum of anti-hydrogen – The study of anti-hydrogen is important because any
measurable difference between its spectra and that of normal hydrogen will break basic principles of physics and help
explain the puzzling matter-antimatter imbalance in the universe. However, anti-hydrogen atoms have to be synthesizedfrom non-neutral anti-proton and positron plasmas, which is extremely challenging. Using techniques from plasma physics
research, U.S. scientists in the international ALPHA team have successfully trapped nearly 500 antihydrogen atoms at theLarge Hadron Collider of the European Organization for Nuclear Research (CERN). By illuminating these trapped antihydrogen atoms with two different wavelengths of laser light, the physicists were able to measure the optical spectrum ofanti-hydrogen for the first time ever. Their results, which showed that the anti-atoms interact with light at nearly the same
wavelength as for normal-matter hydrogen, received attention in the popular media.

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

Research at major experimental facilities aimed at resolving fundamental advanced tokamak and spherical tokamak
science issues.
Research on small-scale magnetic confinement experiments to elucidate physics principles underlying toroidal
confinement and to validate theoretical models and simulation codes.
Theoretical work on the fundamental description of magnetically confined plasmas and the development of advanced
simulation codes on current and emerging high-performance computers.
Research on technologies needed to support the continued improvement of the experimental program and facilities.
Support for infrastructure improvements at PPPL.

Research in the Burning Plasma Science: Foundations area in FY 2019 will focus on high-priority challenges andopportunities in the areas of transients in tokamaks, plasma-material interactions, and integrated modeling, as identified byrecent research needs workshops and other community-led studies.
Advanced Tokamak
The DIII-D user facility at General Atomics in San Diego, California, is the largest magnetic fusion research experiment in the
U.S. and can magnetically confine plasmas at temperatures relevant to burning plasma conditions. Its extensive set of
diagnostic systems, many unique in the world, and its extraordinary flexibility to explore various operating regimes make ita world-leading tokamak research facility. Researchers from the U.S. and abroad perform experiments on DIII-D for studying
stability, confinement, and other properties of fusion-grade plasmas under a wide variety of conditions. The DIII-D researchgoal is to establish the broad scientific basis to optimize the tokamak approach to magnetic confinement fusion. Much ofthis research concentrates on developing the advanced tokamak concept, in which active control techniques are used tomanipulate and optimize the plasma to obtain conditions scalable to robust operating points and high fusion gain for futureenergy-producing fusion reactors.
The Enabling Research and Development (R&D) element develops the technology to enhance the capabilities for existingand next-generation fusion research facilities, enabling these facilities to achieve higher levels of performance and flexibility
needed to explore new science regimes.
Research on versatile university-led small-scale advanced tokamak projects is complementary to the efforts at the majoruser facilities, providing cost-effective development of new techniques and exploration of new concepts. Recent efforts arefocused on improving fusion plasma control physics for advanced tokamaks through application of modern digital tokamak
control theory and validation of fundamental plasma stability theory.
Spherical Tokamak
The NSTX-U user facility at PPPL has been designed to explore the physics of plasmas confined in a spherical tokamak (ST)
configuration, characterized by a compact (apple-like) shape. If the predicted ST energy confinement improvements were
to be experimentally realized in NSTX-U, then the ST might provide a more compact fusion reactor than other geometries.
Following an extensive series of reviews (e.g., design validation and verification, extent of condition) in FY 2017 andFY 2018, NSTX-U activities will focus high-priority activities to implement repairs and corrective actions required to obtainrobust, reliable research operations.
Small-scale ST plasma research involves focused experiments to provide data in regimes of relevance to the ST magnetic
confinement program. This effort can help confirm theoretical models and simulation codes in support of the FES goal todevelop an experimentally validated predictive capability for magnetically confined fusion plasmas. This activity also
involves high-risk, but high-payoff, experimental efforts useful to advancing ST science.

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Theory and Simulation
The Theory and Simulation activity is a key component of the FES program’s strategy to develop the predictive capability
needed for a sustainable fusion energy source. It also represents a world-leading U.S. strength and competitive advantage
in fusion research. Its long-term goal is to enable a transformation in predictive power based on fundamental science andhigh-performance computing to minimize risk in future development steps and shorten the path toward the realization offusion energy. This activity includes two main interrelated but distinct elements: Theory and SciDAC.
The Theory element is focused on advancing the scientific understanding of the fundamental physical processes governing
the behavior of magnetically confined plasmas. The research supported ranges from foundational analytic theory to midand large-scale computational work using high-performance computing resources. In addition to its scientific discovery
mission, the Theory activity provides the scientific grounding for the physics models implemented in the advanced
simulation codes developed under the SciDAC activity described below and also supports validation efforts at major
experiments.
The FES SciDAC element, a component of the SC-wide SciDAC program, is aimed at accelerating scientific discovery in fusion
plasma science by capitalizing on SC investments in leadership-class computing systems and associated advances incomputational science. The portfolio that emerged from the FY 2017 SC-wide SciDAC-4 re-competition consists of eightmulti-institutional interdisciplinary partnerships, with seven jointly supported by FES and ASCR, and addresses the highpriority research directions identified in recent community workshops. The new portfolio emphasizes increased integration
and whole-device modeling, as well as synergy with the fusion-relevant projects of the SC Exascale Computing Project (SCECP) to increase the readiness of the fusion community for the upcoming Exascale era.
Additional objectives of this element include the evaluation of the potential of emerging computational approaches, such asmachine learning, to advance its mission and address the growing large-scale fusion data analysis challenges.
GPE/GPP/InfrastructureThis activity supports repairs of critical general infrastructure (e.g., utilities, roofs, roads, facilities) at the PPPL site.

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Fusion Energy Sciences
Burning Plasma Science: Foundations
Activities and Explanation of Changes
Explanation of Change
FY 2019 Request vs FY 2017 Enacted
Advanced Tokamak $90,238,000$90,350,000+$112,000
DIII-D Research $40,500,000$40,500,000$0DIII-D Operations $46,600,000$47,000,000+$400,000
Operations funding supported 17.6 weeks of research Operations funding will support 12 weeks of research Priority and balance of effort will be shifted fromoperations at the DIII-D facility. Research wasat the DIII-D facility and the completion of a neutral
research operations toward completion of the facility
conducted to prepare for burning plasmas in ITER,
beam modification to add bi-directional off-axis
improvements begun in FY 2018.
determine the optimal path to steady-state tokamak
injection capability. Research will continue toplasmas, and develop the plasma material interaction determine the optimal path to steady-state tokamak
boundary solutions necessary for future devices.
plasmas, explore techniques to avoid and mitigate
Specific research goals involved testing the predictive transients in tokamaks, and develop the plasmamodels of fast ion transport by multiple Alfvén
material interaction boundary solutions necessary for
eigenmodes, studying the physical processes that
future devices. Experiments will exploit additional
determine the edge pedestal density structure, andheating and current drive systems added in FY 2018.
examining the impurity generation and transport from The new neutral beam capability will be utilized tothe high-Z coated tiles. Targeted enhancements to the examine the physics of self-driven tokamak plasmas.
facility involved completion and commissioning of an Specific research goals will be aimed at further
additional high-power microwave heating system, as
integrating the core and edge conditions in highwell as continued work on improving the neutral
performance plasmas and studying the role of neutralbeam heating control system and designing thefueling and transport in determining the edge
modifications necessary for a second off-axis, co- and pedestal structure.
counter-directed neutral beam.
Enabling R&D $2,165,000$2,000,000-$165,000
Support continued to be provided for research in
Research will continue in superconducting magnet
Research efforts in heating, fueling, and magnet
superconducting magnet technology and plasma
technology and plasma fueling and heating
technology will be focused on the highest priorities.
fueling and heating technologies required to enhance technologies required to enhance the performancethe performance for existing and future magnetic
for existing and future magnetic confinement fusion
confinement fusion devices.
devices.
FY 2017 Enacted

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Explanation of Change
FY 2019 Request vs FY 2017 Enacted
Small-scale Experimental Research $973,000$850,000-$123,000
Research continued to provide experimental data in
Versatile university-led experiments will be focused
After the completion of diagnostic and control system
regimes relevant to mainline tokamak confinementon improving fusion plasma control physics forenhancements in FY 2018, the emphasis will be on
and experimental validation of models and codes.
advanced tokamaks.
research operations.
Spherical Tokamak $76,789,000$63,000,000-$13,789,000
NSTX-U Research $32,000,000$27,000,000-$5,000,000
NSTX-U Operations $42,090,000$34,000,000-$8,090,000
Operations funding supported the recovery activities
The NSTX-U Operations budget will support highPriority and balance of effort will be shifted fromfor the NSTX-U facility. Research focused on the study priority activities to implement repairs and corrective research operations toward repair and recovery ofof ST confinement improvements observed during the actions required to obtain robust, reliable research
the facility.
FY 2016 experimental run campaign. Modeling andoperations. The NSTX-U Research budget will fundmeasurement data allowed elucidation of the detailed the continued analysis of high-impact data, a focused
physical mechanisms responsible for these
effort on physics topics that directly support theconfinement improvements. In the absence of plasma recovery of robust NSTX-U plasma operations, andoperations at the NSTX-U facility, researchers carriedenhanced collaborative research at other facilities toout experiments on domestic and international
support NSTX-U research program priorities.
spherical tokamaks, and continued analysis andpublication of data obtained in FY 2016.
Small-scale Experimental Research $2,699,000$2,000,000-$699,000
Research continued to provide experimental data inExperimental studies of plasmas surrounded by liquid After the completion of minor facility enhancements
regimes relevant to mainline spherical torus
lithium material surfaces, which was identified as ain FY 2018, activities in this category will focus onconfinement and experimental validation of models
priority research direction in the recent plasmaresearch operations.
and codes.
materials interactions workshop, will continue. Also,
techniques to operate spherical tokamaks without
the use of a central solenoid will continue to beexperimentally tested.
Theory & Simulation $40,000,000$36,000,000-$4,000,000
Theory $22,000,000$18,000,000-$4,000,000
Theory continued to support theoretical andTheory will continue to focus on providing thePriority will be given to addressing the needs of thecomputational research addressing fundamental
scientific grounding for the physical models
advanced simulation efforts.
questions of magnetic confinement science. Emphasis implemented in the large-scale simulation codes
was placed on projects maximizing synergy with thedeveloped under SciDAC and addressing foundational
FES SciDAC portfolio and addressing the
problems in the science of magnetic confinement, as
recommendations from the 2015 community
identified in recent community workshops.
workshops.
FY 2017 Enacted

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FY 2017 Enacted

FY 2019 Request

SciDAC $18,000,000
The entire FES SciDAC portfolio was recompeted aspart of the SC-wide SciDAC-4 review. The selected
partnerships continued to focus on integrated
simulations and whole device modeling, addressing
the leading-priority research directions identified in
the 2015 community workshops.

$18,000,000
The SciDAC portfolio will continue to emphasize highpriority areas such as plasma disruptions, boundary
physics, and plasma-materials interactions. The
activities of all the partnerships will be coordinatedto accelerate progress toward whole-device
modeling. Synergy with whole-device modelingactivities supported by the DOE Exascale Computing
Project will be strengthened.
$1,000,000
Funding will support Princeton Plasma Physics
Laboratory (PPPL) infrastructure improvements,
repair, and maintenance.

GPE/GPP/Infrastructure $5,000,000
Funding provided support for general infrastructure
improvements for the PPPL site consistent with the
PPPL Campus Modernization Plan, based upon an
analysis of safety requirements, equipment reliability,
and research-related infrastructure needs.

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Explanation of Change
FY 2019 Request vs FY 2017 Enacted$0Studies will continue on highest-priority issues. In
addition, research will address large-scale fusion data
challenges.

-$4,000,000
The focus will be on highest-priority infrastructureneeds.

FY 2019 Congressional Budget Justification

Science/Fusion Energy Sciences

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Fusion Energy Sciences
Burning Plasma Science: Long Pulse
Description
The Burning Plasma Science: Long Pulse subprogram explores new and unique scientific regimes that can be achieved
primarily with long-duration superconducting international machines, and addresses the development of the materials andtechnologies required to withstand and sustain a burning plasma. The key objectives of this area are to utilize these newcapabilities to accelerate our scientific understanding of how to control and operate a burning plasma, as well as to develop
the basis for a future fusion nuclear science facility. This subprogram includes long-pulse international tokamak andstellarator research and fusion nuclear science and materials research.
Long Pulse: Tokamak
Multi-institutional U.S. research teams will continue their successful work on advancing the physics and technology basis forlong-pulse burning plasma operation via bilateral research on U.S. and international fusion facilities. Research on overseas
superconducting tokamaks, conducted onsite and also via fully remote facility operation, leverages progress made indomestic devices and allows the U.S. fusion program to gain the knowledge needed to operate long-duration plasma
discharges in future fusion energy devices. These efforts will be augmented by research on overseas non-superconducting
tokamaks and spherical tokamaks with unique capabilities.
Long Pulse: Stellarator
Stellarators offer the promise of steady-state confinement regimes without transient events such as harmful disruptions.
The three-dimensional (3-D) shaping of the plasma in a stellarator provides for a broader range in design flexibility than isachievable in a 2-D system. The participation of U.S. researchers on W7-X in Germany provides an opportunity to develop
and assess 3-D divertor configurations for long-pulse, high-performance stellarators. 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 strong U.S. contributions during the W7-X construction
phase have earned the U.S. formal partnership status. Accordingly, the U.S. is participating fully in W7-X research andaccess to data.
U.S. domestic compact stellarator research 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., offers an improved
solution for stable, well confined, steady-state stellarator plasma confinement.
Materials and Fusion Nuclear Science
The Materials and Fusion Nuclear Science activity seeks to address the large scientific and technical gaps that exist between
current-generation fusion experiments and future fusion reactors. Traditional materials used in present-day experiments
will not be acceptable in an intense fusion nuclear environment, and the development of components for fusion power
plants must be significantly improved in order to adequately provide the multiple functions of heat extraction, tritium
breeding, and particle control. The scientific challenge is understanding the complex fusion environment, which combines
extremely strong nuclear heating and damage, high temperatures, fluid-solid interactions, high tritium concentrations, andhigh magnetic fields, as well as large variations of these parameters from the first wall to the vacuum vessel, and the impact
on materials and component performance. To help develop solutions for this complex scientific challenge, newexperimental capabilities along with game-changing types of research will be required. Facilities with these experimental
capabilities will need to duplicate or effectively simulate various aspects of the harsh fusion environment. Theseexperimental capabilities should also lead to the development of new materials, which could be used in other applications
besides fusion.
A high-priority objective for the fusion materials science effort is to continue pursuing the design and fabrication of the newworld-leading experimental device, the Materials Plasma Exposure eXperiment (MPEX) at ORNL, which will allow for
dedicated studies of reactor-relevant heat and particle loads on neutron-irradiated materials. The overall motivation is to
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gain entry into a new class of fusion materials science wherein the combined effects of fusion-relevant heat, particle, andneutron fluxes can be studied for the first time anywhere in the world.

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Fusion Energy Sciences
Burning Plasma Science: Long Pulse
Activities and Explanation of Changes
FY 2017 Enacted

FY 2019 Request

Long Pulse: Tokamak $10,000,000
Multi-institutional U.S. research teams continued to
conduct high-impact research on the international
superconducting long-pulse tokamaks, taking
advantage of their upgraded capabilities.

$9,000,000
Research on the EAST and KSTAR superconducting
tokamaks will continue to establish the physics bases
and control tools for steady-state plasma scenarios,
disruption avoidance and mitigation, and control ofplasma-material interfaces. Also, a multi-institutional
U.S. team will continue to develop diagnostics for the
new Japanese superconducting tokamak JT-60SA. On
the Joint European Torus, U.S. scientists will finish
testing their shattered pellet disruption mitigation
system and then collaborate on optimization of burning
plasma scenarios with deuterium and tritium fuels.
$7,000,000$4,500,000
U.S. scientists will use data from the first major
experimental campaign on W7-X to strengthen thebasis for long-pulse operation with pellet fueling, test
the innovative island divertor concept, investigate
impurity recycling, study the effect of the U.S.-provided
trim coils on fast-ion confinement and on modulationof divertor heat loads, and determine the effect of theradial electric field on impurity transport.

Long Pulse: Stellarators $7,569,000
Superconducting Stellarator Research $5,000,000
U.S. scientists participated in W7-X research on
topics important for understanding the physics oflong-pulse plasma confinement in 3-D magnetic
configurations. Topics included error fields,
magnetic island physics, energetic-particle
transport, impurity studies, plasma-materialinteractions, core plasma transport, and plasma
control. The U.S. team collaborated in the
preparation of equipment and plasma scenarios forlong-pulse operation.
Compact Stellarator Research $2,569,000
Research continued on experiments that areproviding data in regimes relevant to mainline
stellarator confinement and experimental validationof models and codes.

Science/Fusion Energy Sciences$2,500,000
Research will provide experimental data in regimes of
relevance to the mainline stellarator magnetic
confinement efforts and help confirm theoreticalmodels and simulation codes in support of the goal todevelop an experimentally-validated predictive
capability for magnetically confined fusion plasmas.

165

Explanation of Change
FY 2019 Request vs FY 2017 Enacted-$1,000,000
Sustained funding enables continued exploitation ofunique international capabilities by multi-institutional
teams from the U.S.

-$569,000-$500,000
Sustained funding enables continued exploitation of
the unique capabilities of the W7-X facility by a multiinstitutional team from the U.S.

-$69,000
Research efforts are continued on highest-priority
activities.

FY 2019 Congressional Budget Justification

FY 2017 Enacted
Materials & Fusion Nuclear Science $24,000,000
Fusion Nuclear Science $10,252,000
Utilization of existing experimental capabilities anddevelopment of new ones to conduct research in
the areas of plasma-facing materials and plasmamaterial interactions were a key emphasis. In
addition, research on understanding tritium
retention, permeation and processing, neutronics,
and material-corrosion issues for blankets andscoping studies on future fusion facilities
continued.
Materials Research $13,748,000
The program emphasized the utilization of existing
experimental capabilities and development of newones to conduct research in the area of material
response to simulated fusion neutron irradiation.
There was a continued focus on research toward
structural materials that can withstand high levelsof damage, increasing the ductility of tungsten, andmodeling of helium damage in numerous materials.
Projects $0

Science/Fusion Energy Sciences

FY 2019 Request

Explanation of Change
FY 2019 Request vs FY 2017 Enacted-$1,500,000-$1,752,000
Research efforts are focused on highest-priority
activities.

$22,500,000$8,500,000
Research will continue to focus on the priority areas ofplasma-facing components, safety, tritium fuel cycle,
and breeder blanket technologies. Opportunities will
be considered for high-priority research on liquid metal
plasma-facing components in response to the outcomeof the systems-level study conducted during theprevious two years. In addition, a study will be initiatedto evaluate options for a neutron source to test
materials in fusion-relevant environments.
$12,000,000-$1,748,000
Research efforts will continue to focus on the
Research efforts are focused on supporting thedevelopment of materials that can withstand theinitiation of design and fabrication activities for MPEX.
extreme fusion environment expected in future fusion
reactors.

$2,000,000
A new MIE project, the Materials Plasma Exposure
eXperiment (MPEX) at ORNL will develop a worldleading capability for reactor-relevant plasma
exposures of neutron irradiated materials. Detailed
project engineering and design efforts and some longlead procurements will be performed.

166+$2,000,000
The Request initiates funding for the MPEX MIE.

FY 2019 Congressional Budget Justification

Fusion Energy Sciences
Discovery Plasma Science
Description
The Discovery Plasma Science subprogram supports research that explores the fundamental properties and complex
behavior of matter in the plasma state to improve the understanding required to control and manipulate plasmas for abroad range of applications. Plasma science is not only fundamental to understanding the nature of visible matter
throughout the universe, but also to achieving the eventual production and control of fusion energy. Discoveries in plasma
science are leading to an ever-increasing array of practical applications, such as nanomaterials and artificial diamondsynthesis, micro- and opto-electronics fabrication, energy efficient lighting, plasma-enabled sterilization and tissue healing,
combustion enhancement, and satellite communication.
The Discovery Plasma Science subprogram is organized into two principal activities: Plasma Science Frontiers andMeasurement Innovation.
Plasma Science Frontiers
The Plasma Science Frontiers (PSF) activities involve research in largely unexplored areas of plasma science, with a
combination of theory, computer modeling, and experimentation. These frontiers encompass extremes of the plasma state,
ranging from the very small (several atom systems) to the extremely large (plasma structure spanning light years in length),from the very fast (attosecond processes) to the very slow (hours), from the diffuse (interstellar medium) to the extremely
dense (diamond compressed to tens of gigabar pressures), and from the ultra-cold (tens of micro-kelvin degrees) to theextremely hot (stellar core). Advancing the science of these unexplored areas creates opportunities for new andunexpected discoveries with potential to be translated into practical applications. These activities are carried out on smalland mid-scale experimental collaborative research facilities.
The PSF portfolio includes coordinated research activities in the following three areas:General Plasma Science – Research 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,
magnetohydrodynamics and magnetized plasmas, and plasma atomic physics and radiation transport.
Exploratory Magnetized Plasma – Basic research involving the creation, control, and manipulation of magneticallyconfined plasmas to increase our understanding of terrestrial, space, and astrophysical phenomena or
applications.

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

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

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Fusion Energy Sciences
Discovery Plasma Science
Activities and Explanation of Changes
FY 2017 Enacted

FY 2019 Request

Plasma Science Frontiers $52,409,000
General Plasma Science $24,000,000
Core research areas of this activity continued, with aprogram focus on intermediate-scale plasma scienceuser facilities, as well as research in areas identified in
the 2015 Frontiers of Plasma Science Workshops
Report.

$24,500,000$14,000,000
Core research areas of this activity will continue, withfocus on intermediate-scale plasma sciencecollaborative user facilities that address questions
related to plasma dynamo, magnetic reconnection,
particle acceleration, turbulence, and magnetic selforganization.
High Energy Density Laboratory Plasmas $18,000,000 $10,500,000
Research emphasized utilizing the MEC at LCLS,
Research will emphasize utilizing the MEC at LCLS for
including continued support for the MEC beam-line
warm dense matter studies. Support will continue forscience team, the experimental and theoretical HEDLP the MEC beam-line science team and theresearch groups at SLAC, and enhanced support ofexperimental HEDLP research groups at SLAC. A study
external HED science users of the MEC instrument.
will be initiated to evaluate options for a MEC
upgrade. Modest support is provided to makemedium-scale HEDLP facilities accessible to university
researchers.
Exploratory Magnetized Plasma $10,409,000$0Research efforts focused on discovery at the frontier
No funding is requested.
of laboratory magnetized-plasma physics,
emphasizing high-priority research as identified by theplasma science frontiers workshops held in FY 2015.

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169

Explanation of Change
FY 2019 Request vs FY 2017 Enacted-$27,909,000-$10,000,000
Basic plasma science research on the intermediatescale plasma science collaborative user facilities will
be emphasized.

-$7,500,000
Support will be focused on research and operations
for the MEC.

-$10,409,000
Due to higher priority activities, no funding isrequested.

FY 2019 Congressional Budget Justification

FY 2017 Enacted
Measurement Innovation $10,255,000
Measurement Innovation research activities
continued with special emphasis on diagnostics forplasma transient instabilities, plasma-materials
interactions, modeling validation, and basic plasma
science identified in the 2015 community workshops.
SBIR/STTR & Other $13,740,000
Funding continued to support USBPO activities,
HBCUs, peer reviews for solicitations, and FESAC.
SBIR/STTR funding is statutorily set at 3.65 percent of
noncapital funding in FY 2017.

Science/Fusion Energy Sciences

FY 2019 Request$0
No funding is requested.

$11,650,000
Support will continue for USBPO activities, HBCUs,
peer reviews for solicitations, and FESAC. SBIR/STTR
funding is statutorily set at 3.65 percent of noncapitalfunding in FY 2019.

170

Explanation of Change
FY 2019 Request vs FY 2017 Enacted-$10,255,000
Due to higher priority activities, no funding isrequested.

-$2,090,000
The SBIR/STTR funding will be consistent with the FES
total budget.

FY 2019 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,
Republic of Korea, and China, governed by an international agreement (the “ITER Joint Implementing Agreement”), through which the U.S. contributes in-kindhardware components, personnel, and direct monetary funding to the ITER Organization (IO).
Activities and Explanation of Changes
FY 2017 Enacted
U.S. Contributions to ITER $50,000,000
Funding was provided for the U.S. Contributions to
ITER project to support continued progress on criticalin-kind hardware contributions, including central
solenoid superconducting magnet modules andstructures, toroidal field magnet conductor,
steady-state electrical network components,
diagnostics development, tokamak cooling water
system, and vacuum system.

Science/Fusion Energy Sciences

FY 2019 Request$75,000,000
The primary focus will be on First Plasma hardware
including continued design and fabrication of thehighest priority, in kind deliverables.

171

Explanation of Change
FY 2019 Request vs FY 2017 Enacted+$25,000,000
Funding will sustain progress on highest-priority First
Plasma hardware contributions.

FY 2019 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.
FY 2017

FY 2018

FY 2019

Performance Goal (Measure)

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 andconfiguration optimization

TargetConduct research to examine the effect Conduct research to test predictive
Conduct research to understand the roleof configuration on operating space for models of fast ion transport by multiple of neutral fueling and transport indissipative divertors. Handling plasma
Alfvén eigenmodes. Fusion alphas anddetermining the pedestal structure. The
power and particle exhaust in theinjected energetic neutral particle beams edge pedestal is a key component indivertor region is a critical issue for future provide an important source of heating achieving overall high confinement in aburning plasma devices. The very narrow and current drive in advanced tokamak magnetic fusion device. Therefore,edge power exhaust channel projected operating scenarios and burning plasma obtaining a physics understanding andfor tokamak devices that operate at high regimes. Alfven eigenmode instabilities predictive capability for the pedestal
poloidal magnetic field is of particular
can cause the redistribution or loss ofheight and structure is a major goal ofconcern. Increased and controlled
fast ions and driven currents, as well as fusion research and requires advances indivertor radiation, coupled withpotentially decreasing fusion
the understanding of the separate
optimization of the divertor
performance and leading to localized
structure of density and temperature
configuration, are envisioned as thelosses. Measured fast ion fluxes in DIII-D profiles in the pedestal region. A key
leading approaches to reducing peakand NSTX-U plasmas with different levels challenge is to understand theheat flux on the divertor targets andof Alfven eigenmode activity will be used importance of particle sources inincreasing the operating window for
to determine the threshold for significant determining the density pedestal anddissipative divertors. Data obtained from fast ion transport, assess mechanisms
project to burning plasma scenarios.
DIII-D and NSTX-U and archived fromand models for such transport, andExperiments on DIII-D and archived data
Alcator C-Mod will be used to assess the quantify the impact on beam powerfrom C-Mod, DIII-D, and NSTX will be
impact of edge magnetic configurations deposition and current drive.
used to test how fueling, reduced
and divertor geometries on dissipative Measurements will be compared withrecycling, and transport affect the density
regimes, as well as their effect on thetheoretical predictions, including
pedestal structure. The role of divertor
width of the power exhaust channel, thus quantitative fluctuation data and fast ion geometry and its effect upon theproviding essential data to test anddensity, in order to validate models and pedestal structure will also bevalidate leading boundary plasma
improve understanding of underlying
investigated. U.S. researchers involved inmodels.
mechanisms. Model predictions will
collaborative activities on other relevant

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FY 2017

ResultFY 2018
guide the development of attractive
operating regimes.

Met

TBD

FY 2019experiments may also contribute to thiseffort.
TBD

Endpoint Target

Magnetic fields are the principal means of confining the hot ionized gas of a plasma long enough to make practical fusionenergy. The detailed shape of these magnetic containers leads to many variations in how the plasma pressure is sustained
within the magnetic bottle and the degree of control that experimenters can exercise over the plasma stability. These factors,
in turn, influence the functional and economic credibility of the eventual realization of a fusion power reactor. The key totheir 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 of magnetic fields, plasma currents,
and plasma shapes. By using a variety of plasma control tools, appropriate materials, and having the diagnostics needed tomeasure 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.

Performance Goal (Measure)

FES Facility Operations - Average achieved operation time of FES user facilities as a percentage of total scheduled annual
operation timeTarget≥ 90 %≥ 90 %≥ 90 %

Result

Met

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 be ruined or critically setback. In addition, taxpayers have invested millions or even hundredsof millions of dollars in these facilities. The greater the period of reliable operations, the greater the return on the taxpayers’
investment.

Performance Goal (Measure)

FES Theory and Simulation - Performance of simulations with high physics fidelity codes to address and resolve criticalchallenges in the plasma science of magnetic confinement

TargetLower hybrid current drive (LHCD) will be The interaction of the boundary plasma Understanding the relevant turbulent
indispensable for driving off-axis current with the material surfaces in magnetically transport mechanisms at the edge of aduring long-pulse operation of future
confined plasmas is among the mosthigh-performance tokamak is essential
burning plasma experiments, since it
critical problems in fusion energy science. for predicting and optimizing the H-mode
offers important leverage for controlling In FY 2018, perform high-performancepedestal structure in future burning
damaging transients caused bycomputational simulations with coupled plasma devices. Global electromagnetic
magnetohydrodynamic instabilities.
boundary plasma physics and materials gyrokinetic simulations will be performed
However, the experimentally
surface models to predict the fuelbased on representative experimental

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FY 2019 Congressional Budget Justification

FY 2017
FY 2018
FY 2019demonstrated high efficiency of LHCD is recycling and tritium retention of thepedestal scenarios in order to clarify
incompletely understood. In FY 2017,
divertor for deuterium-tritium burning which instabilities are most important for
massively parallel, high-resolution
plasma conditions, accounting foreach of the particle and heat transport
simulations with 480 radial elements and erosion, re-deposition and impurity
channels. Edge transport modeling will
4095 poloidal modes will be performed transport in the plasma boundary, and an be performed in order to estimate andusing full-wave radiofrequency fieldinitial evaluation of the influence ofbound the particle and heat sources—
solvers and particle Fokker-Planck codes material deposition on the recycling and e.g., the ionization density source and theto elucidate the roles of toroidicity and retention.
atomic energy loss channels due tofull-wave effects. The simulation
ionization, charge exchange, andpredictions will be compared withradiation. Comparisons will be made withexperimental data from thedata from the DIII-D, JET, C-Mod andsuperconducting EAST tokamak.
NSTX or MAST experiments.
ResultEndpoint Target

Science/Fusion Energy Sciences

Met

TBD

TBD

Advanced simulations based on high physics fidelity models offer the promise of advancing scientific discovery in the plasma
science of magnetic fusion by exploiting the Office of Science high performance computing resources and associatedadvances in computational science. These simulations are able to address the multiphysics and multiscale challenges of theburning plasma state and contribute to the FES goal of advancing the fundamental science of magnetically confined plasmas
to develop the predictive capability needed for a sustainable fusion energy source.

174

FY 2019 Congressional Budget Justification

Fusion Energy Sciences
Capital Summary ($K)
FY 2019 Request

FY 2019 Request
vs FY 2017
Enacted

—
—
—

4,600
321
4,921

+3,629-3,214
+415

0
971
971

—
—
—

2,000
2,600
4,600

+2,000+1,629+3,629

3,535

—

321

-3,214

Total

Prior Years

FY 2017 Enacted

n/a
n/a
n/a

n/a
n/a
n/a

971
3,535
4,506

Capital Equipment
Major items of equipment b
Materials Plasma Exposure eXperiment(MPEX)
Total Non-MIE Capital Equipment
Total, Capital equipment

40,000–60,000
n/a
n/a

0
n/a
n/a

General Plant Projects
General Plant Projects under $5 million TEC

n/a

n/a

Capital Operating Expenses Summary
Capital equipment
General plant projects (GPP)
Total, Capital Operating Expenses

FY 2018
Annualized CR a

Major Items of Equipment Descriptions
Materials Plasma Exposure eXperiment (MPEX): FES has conducted substantial research and development over the past five years to identify and develop an innovative
linear, high intensity plasma source capable of producing the extreme plasma parameters required to simulate a burning plasma environment. FES is now building on
this research to develop a first of a kind, world-leading, experimental capability which will be used to explore materials solutions to the daunting plasma materials
interactions challenge. MPEX, which will be located at ORNL, will allow dedicated studies of reactor-relevant heat and particle loads on neutron-irradiated materials.
The overall motivation is to gain entry into a new class of fusion materials science wherein the combined effects of fusion-relevant heat, particle, and neutron fluxes canbe studied for the first time anywhere in the world. The preliminary total project cost range is estimated to be $40–60M.

a

A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing Appropriations Act, 2018
(Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts are shown only at the Congressional control level andabove; below that level, a dash (—) is shown).
bEach MIE located at a DOE facility Total Estimated Cost (TEC) >$5M and each MIE not located at a DOE facility TEC > $2M.

Science/Fusion Energy Sciences175

FY 2019 Congressional Budget Justification

Construction Projects Summary ($K)

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

Total

Prior Years

FY 2017 Enacted

FY 2018
Annualized CR

FY 2019 Request

FY 2019 Request
vs FY 2017
Enacted

TBD
TBD
TBD

1,057,244
80,641
1,137,885

50,000050,00049,660—49,66075,000075,000+25,000
0+25,000

Funding Summary ($K)

Research
Scientific user facility operations
Major Item of Equipment
Other (GPP, GPE, and Infrastructure)
Construction
Total, Fusion Energy Sciences

FY 2017 Enacted

FY 2018 Annualized CR a

FY 2019 Request

236,310
88,6900
5,000
50,000380,000————
49,660377,419

181,000
81,0002,000
1,000
75,000340,000

FY 2019 Request vsFY 2017 Enacted-55,310-7,690+2,000-4,000+25,000-40,000a

A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing Appropriations Act, 2018
(Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts are shown only at the Congressional control level andabove; below that level, a dash (—) is shown).

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

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 2017 Enacted

FY 2018 Annualized CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted$87,100
603
704
680
1,000b
70.4%
N/A

—
—
—
—
—
—
—

$87,500
640
N/A
480
480 b
100.0%
N/A

+$400
+37
N/A
-200
-520
+29.6%N/Aa

A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing Appropriations Act, 2018
(Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts are shown only at the Congressional control level andabove; below that level, a dash (—) is shown).
b

Optimal hours in FY 2017 and FY 2019 are less than the standard 1,000 hours due to a planned outage for facility modifications and enhancements.

Science/Fusion Energy Sciences177

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FY 2017 Enacted

FY 2018 Annualized CR a

FY 2019 Request

National Spherical Torus Experiment—Upgrade
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$74,090
292
N/A
0
0
N/A
N/A

—
—
—
—
—
—
—

$61,000
307
N/A
0
0
N/A
N/A

FY 2019 Request vsFY 2017 Enacted-$13,090
+15
N/A
0
0
N/A
N/A

Total Facilities
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent of optimal hours b
Unscheduled downtime hours$161,190
895
704
680
1,000
70.4%
N/A

—
—
—
—
—
—
—

$148,500
947
N/A
480
480
100.0%
N/A-$12,690
+52
N/A
-200
-520
0.0%
N/A

FY 2017 Enacted

FY 2018 Annualized CRa

FY 2019 Request

765
96
239
1,161

—
—
—
—

597
76
197
895

a

Scientific Employment

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

FY 2019 Request vsFY 2017 Enacted
-168
-20
-42
-266

a

A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing Appropriations Act, 2018
(Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts are shown only at the Congressional control level andabove; below that level, a dash (—) is shown).
b

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

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

178

FY 2019 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 2018 CPDS and does not include a new start for FY 2019.
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
project increased such that the upper bound of the approved CD-1 cost range increased by more than 50%, triggering theneed for a reassessment of the project cost range and re-approval by the Project Management Executive (PME). The PME
for the U.S. ITER project is the Deputy Secretary of Energy. The cost range reassessment was completed in November 2016
and it was then subsequently approved by the PME on January 13, 2017. The CD-1 Revised cost range is now $4.7B to$6.5B.
As outlined in the May 2016 Secretary of Energy’s Report to Congress, DOE was to baseline the “First Plasma” portion of the
U.S. ITER project. As such, DOE has divided the U.S. ITER project hardware scope into two distinct subprojects, which
represent the two phases of the project; First Plasma (FP) subproject (SP-1) and Post-First Plasma subproject (SP-2). The FP
subproject scope consists of: 1) completing the design for all twelve systems the U.S. is contributing to ITER; 2) complete
fabrication and delivery of the Toroidal Field (TF) superconductor; the Steady-State Electrical Network (SSEN), and theCentral Solenoid (CS) superconducting magnet modules, assembly tooling, and associated structures; and 3) partial
fabrication and delivery of seven other subsystems: Tokamak Cooling Water, Roughing Pumps, Vacuum Auxiliary, Pellet
Injection, Ion Cyclotron Heating, Electron Cyclotron Heating, and two of seven Diagnostics. A review of CD-2, “Approve
Performance Baseline” for the SP-1 was completed in November 2016 and then subsequently approved by the PME on
January 13, 2017, with a total project cost of $2.5B, and a CD-4, “Project Completion” date of December 2027. In addition,
the PME also approved CD-3, “Approve the Start of Construction” for the SP-1 on January 13, 2017. This CPDS focuses on
the First Plasma subproject activities. Funding for the SP-2 will not be requested until FY 2020.
Establishment of an approved baseline for SP-2 will follow once the Administration has made a determination as towhether the U.S. will continue its participation in ITER. No procurements for SP-2 scope are anticipated until at the earliest
FY 2021. Outyear numbers for this datasheet are shown as TBD. In addition to SP-1 and SP-2, and U.S. monetary resources(i.e., cash contributions) to support the ITER Organization (IO) construction-phase activities comprise the third and final
element of the U.S. ITER project scope. The source of funds for all three project elements is the annual U.S. Contributions
to ITER Congressional Line-Item appropriations.
Summary
SP-1 is more than 50% complete, as are the fabrication and delivery of two of the twelve subsystems the U.S. is to provide
to ITER, specifically the Toroidal Field coil superconductor, and the Steady-State Electrical Network. The FY 2019 Request
will focus on the continued design and fabrication of the highest priority, in kind deliverables. ITER is a major fusion
research facility being constructed in St. Paul-lez-Durance, France by an international partnership of seven 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 ITER construction (in-kind hardware i.e., subsystems, equipment,
and components, as well as monetary resources to support the IO in France). Sections of this CPDS have been tailoredaccordingly to reflect the nature of this project.

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FY 2019 Congressional Budget Justification

The U.S. ITER project is managed as a DOE Office of Science (SC) project through the U.S. ITER Project Office (USIPO). The
USIPO is managed by Oak Ridge National Laboratory, in partnership with Princeton Plasma Physics Laboratory and theSavannah River National Laboratory. The project began as a Major Item of Equipment (MIE) in FY 2006, and was changed toa 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 (IPRs) are being applied with the same degree of rigor as other SC line-item projects. Progress
and performance are reported regularly in monthly performance metrics and project status reports.
Fabrication is underway in three of the U.S. hardware systems (CS magnet modules, structures, and assembly tooling)
Tokamak Cooling Water System [TCWS] and Vacuum Auxiliary Systems [VAS]). 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. CS magnet module fabrication includes six production and one spare. From 2006 through 2017, the U.S. ITER
project has awarded and obligated over $957 million to U.S. industry, universities, and DOE laboratories.
The U.S ITER Federal Project Director with certification level 3 has been assigned to this Project 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

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

TBD
TBD
4Q FY 2008
4Q FY 2010
4Q FY 2011
4Q FY 2011
3Q FY 2012
TBD hFinal Design
Complete

04/12/2011 d
05/02/2012 f
04/10/2013 i

CD-3

D&D
Complete

CD-4

TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD

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

TBD
2017
2017
2018
2019
2024
2028
2033

a Electron 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 EffectPolarimeter (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).

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(fiscal quarter or date)
Conceptual
DesignComplete

CD-0
FY 2014
FY 2015
FY 2016 b
FY 2017 c

7/5/2005
7/5/2005
7/5/2005
7/5/2005

CD-1

CD-2

1/25/2008
1/25/2008
1/25/2008
1/25/2008

TBD
TBD
TBD
TBD

Final Design
Complete
12/10/2013 a

CD-3

D&D
Complete

CD-4

TBD
TBD
TBD
TBD

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

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 Completion

FY 2018
FY 2019d

7/5/2005
7/5/2005

CD-2/3CD-1 Cost Range
Update
1/13/17
1/13/17

SP-1
1/13/17
1/13/17

CD-4
SP-2
2019
TBD

SP-1
1Q2027
1Q2027SP-2
2034-2038
2034-2038

3. Project Cost History
At the time of CD-1 approval in January 2008, the preliminary cost range was $1.45–$2.2 billion. Until recently, however, it
has not been possible to confidently baseline the project due to past delays in the international ITER construction schedule.
Various factors (e.g., schedule delays, design and scope changes, funding constraints, regulatory requirements, risk
mitigations, and 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 determinedthat the existing cost range estimate of $4.0 to $6.5B would likely encompass the final TPC. This range, recommended in2013, was included in subsequent Presidents Budget Requests and in the May 2016 DOE “Report on the Continued U.S.
Participation in the ITER Project” to Congress. In preparation for baselining SP-1, based on the results of the IPR, a decision
was made to update the lower end of this range to reflect updated cost estimates resulting in the current approved CD-1R
range of $4.7 to $6.5B. This updated CD-1R range incorporates increases in the projects hardware estimate that haveoccurred since August 2013. The SP-1 TPC has been baselined at $2.5B.
4.

Project Scope and Justification

Introduction
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, anda CS Modules and Structures (11/18/2013); VAS Main Piping B-2, L-1, L-2 (12/10/2013).
b CS AT Remaining Items (12/02/2015).
c 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).
d 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).

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decommissioning. 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 IO, which is an international legal entity located in France.
Scope
U.S. Contributions to ITER – Construction Project Scope
The overall U.S. ITER project includes three major elements:
 Hardware components, built under the responsibility of the U.S., then shipped to the ITER site for IO assembly,
installation, and operation.
 Funding to the IO to support common expenses, including ITER research and development (R&D), IO staff andinfrastructure, IO-provided hardware, on-site assembly/installation/testing of all ITER components, and IO Central
Reserve.
 Other project costs, including R&D and conceptual design related activities.
The U.S. is to contribute the following hardware to ITER:
 Tokamak Cooling Water System (TCWS): manages the thermal energy generated during the operation of the tokamak.
 15% of ITER Diagnostics: provides the measurements necessary to control, evaluate, and optimize plasma performanceand to further the understanding of plasma physics.
 Disruption Mitigation (DM) Systems: limits the impact of plasma disruptions to the tokamak vacuum vessel, blankets,and other components.
 Electron Cyclotron Heating (ECH) Transmission Lines: brings additional power to the plasma and deposits power in
specific areas of the plasma to minimize instabilities and optimize performance.
 Tokamak Exhaust Processing (TEP) System: separates hydrogen isotopes from tokamak exhaust.
 Tokamak Fueling System (Pellet Injection): injects fusion fuels in the form of deuterium-tritium ice pellets into thevacuum chamber.
 Ion Cyclotron Heating (ICH) Transmission Lines: bring additional power to the plasma.
 Central Solenoid (CS) Magnet System: confines, shapes and controls the plasma inside the vacuum vessel. All CS
workscope is SP-1.
 8% of Toroidal Field (TF) Conductor: component of the TF magnet that confines, shapes, and controls the plasma. All TF
work scope was completed in FY 2017.
 75% of the Steady-State Electrical Network (SSEN): supplies the electricity needed to operate the entire plant, including
offices and the operational facilities. All SSEN work scope was completed in FY 2017.
 Vacuum Auxiliary System (VAS): creates and maintains low gas densities in the vacuum vessel and connected vacuum
components.
 Roughing Pumps: evacuate the tokamak, cryostat, and auxiliary vacuum chambers prior to and during operations.
Justification
The purpose of ITER is to investigate and conduct research in the so-called “burning plasma” regime—a performance region
that exists beyond the current experimental state of the art. Creating a self-sustaining burning plasma will provide essential
scientific knowledge necessary for practical fusion power. There are two parts of this need that will be achieved by ITER.
The first part is to investigate the fusion process in the form of a "burning plasma," in which the heat generated by thefusion process exceeds that supplied from external sources (i.e., self-heating). The second part of this need is to sustain theburning plasma for a long duration (e.g., several hundred to a few thousand seconds), during which time equilibrium

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conditions can be achieved within the plasma and adjacent structures. ITER is the necessary next step to establish theconfidence in proceeding with development of a demonstration fusion power plant.
Although not classified as a Capital Asset, the U.S. ITER project is being conducted in accordance with the project
management principles of DOE Order 413.3B, Program and Project Management for the Acquisition of Capital Assets.

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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
FY 2019
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
FY 2019
Subtotal
Total, Cash Contributions
Total, TEC

Costs a13,754
34,58825,50085,401
85,26663,87591,441
107,635
161,605
128,682
115,000
50,00063,00075,0001,100,747
TBD

13,754
34,58825,50085,401
85,26663,87591,407
107,669
161,605
128,682
115,000
50,00063,00075,0001,100,747
TBD

6,169
24,23824,122
26,27846,052
84,321
99,215110,074
153,368
105,908
106,519
123,117
116,366
75,0001,100,747
TBD

2,112
7,412
2,644
23,59929,734
3,125
13,214
13,80532,895
15,957000
0144,497
TBD
TBD

2,112
7,412
2,644
23,59929,734
3,125
13,214
13,80532,895
15,957000
0144,497
TBD
TBD

2,112
7,412
2,644
23,59929,734
3,125
13,214
13,80532,895
15,957000
0144,497
TBD
TBD

a Costs through FY 2017 reflect actual costs; costs for FY 2018 and the outyears are estimates.

b Prior actuals adjusted to incorporate project funds utilized at PPPL and DOE. Obligation adjusted to reflect year-end PPPL settlement
funding.
c Appropriations prior to FY 2014 reflect major item of equipment funding. Starting in FY 2014, this project is funded as a Congressional
control point.
d FY 2016 funding for taxes and tax support is included in the FY 2017 Hardware funding amount.
e Includes cash payments, secondees, taxes and tax support.
f No FY 2016 funding is provided to support the ITER organization.

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(dollars in thousands)
Appropriations
Obligations
Other project costs (OPC)FY 2006
FY 2007
FY 2008
FY 2009
FY 2010
FY 2011
FY 2012 a
FY 2013
FY 2014 b
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
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
FY 2019
Subtotal
Total, TPC
6.

Costs a3,449
18,000-2,07415,00020,00013,000
345
2,560
5,000
5,361
0
0
0
0
80,641TBD

3,449
18,000-2,07415,00020,00013,000
345
2,560
5,000
5,361
0
0
0
0
80,641
TBD

1,110
7,607
7,513
5,072
7,754
10,032
22,336
5,984
2,717
5,500
3,958
1,058
0
0
80,641
TBD

19,31560,00026,070124,000
135,000
80,000105,000
124,000
199,500
150,000
115,000
50,00063,00075,0001,325,885
TBD

19,31560,00026,070124,000
135,000
80,000104,966
124,034
199,500
150,000
115,000
50,00063,00075,0001,325,885
TBD

9,391
39,25734,27954,94983,54097,478
134,765
129,863
188,980
127,365
110,477
124,175
116,366
75,0001,325,885
TBD

Details of the 2018 Project Cost Estimate

The project has an approved updated Critical Decision-1 Cost Range and DOE has chosen to divide the project hardware
scope into two distinct subprojects (First Plasm subproject (SP-1) and Post- First Plasma subproject SP-2). The baseline for
SP-1 was approved in January 2017. Baselining of SP-2 will follow Administration has made a decision on whether the U.S.
will continue its participation in ITER. No procurements for SP-2 scope are anticipated until FY 2021 at the earliest. An IPR of
U.S. ITER was conducted on November 14-17, 2016, to consider the project’s readiness for CD-2 (Performance Baseline) andCD-3 (Begin/Continue Fabrication) for SP-1 as well as the proposed updated CD-1 Cost Range. Outcomes from the IPR
indicated that the project was ready for approval of SP-1 CD-2/3 following a reassessment of contingency to account for riska Prior actuals adjusted to incorporate project funds utilized at PPPL and DOE. Obligation adjusted to reflect year-end PPPL settlement funding.

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

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in the areas of escalation and currency exchange. This recommendation has been addressed. In addition, the IPR
committee found no compelling reason to deviate from the cost range identified in the May 2016 Report to Congress($4.0B to $6.5B) and recommended that this range be adopted and approved as the Updated CD-1 cost range. However, as
noted above, in preparation for baselining SP-1 and based on the outcome of the IPR, a decision was made to update thelower end of this range to reflect updated cost estimates resulting in the current approved CD-1R range of $4.7 to 6.5B.
7.

Schedule of Appropriation Requests

FY 2006

FT 2007

FY 2008

FY 2009 a

FY 2010

FY 2011

FY 2012 b

FY 2013 c

FY 2014 d

FY 2015

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
1,038,000
84,0001,122,000
1,047,051
44,949
1,092,000
1,048,230
43,7701,092,000
266,366
38,075
304,441
294,366
70,019364,385
379,366
65,019444,385
394,566
75,019469,585
617,261
82,124
699,385
581,868
73,159655,027
603,105
70,280673,385

FY 201400030,000030,00030,000030,000
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

FY 2015
0
0
0
0
0
0
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

FY 2016
0
0
0
0
0
0
0
0
0
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD

FY 2017
0
0
0
0
0
0
0
0
0
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD

FY 2018
0
0
0
0
0
0
0
0
0
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD

FY 2019 Outyears
Total0
0 1,038,000
0084,0000
0 1,122,0000
0 1,077,051
0044,9490
0 1,122,0000
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

a The Prior Years column for FY 2009 through FY 2012 reflects the total of appropriations and funding requests only through the year ofthat 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 at that 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 full year and basedon the FY 2012 funding level for ITER.
d Prior to FY 2015, the requests were for a major item of equipment broken out by TEC, OPC, and TPC.

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FY 2016

FY 2017

FY 2018

FY 2019

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

Prior
Years
603,105
70,280673,385
603,105
70,280673,385
603,105
70,280673,385
603,105
70,280673,385

FY 2014
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
144,6395,361
150,000
144,6395,361
150,000
144,6395,361
150,000
144,6395,361
150,000

FY 2016150,0000
150,000
115,0000
115,000
115,0000
115,000
115,0000
115,000

FY 2017
TBD
TBD
TBD
125,0000
125,000
50,000050,00050,000050,000FY 2018
TBD
TBD
TBD
TBD
TBD
TBD
63,000063,00063,000063,000FY 2019 Outyears
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
75,000TBD
0TBD
75,000
TBD

Total
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD

8. Related Operations and Maintenance Funding Requirements
The U.S. Contributions to ITER operations is assumed to begin with initial integrated commissioning activities and continue
for a period of 15 to 25 years. The fiscal year in which commissioning activities begin depends on the international ITER
project schedule which currently indicates 2025.
Start of Operation or Beneficial Occupancy (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future start of D&D for new construction (fiscal quarter)

12/2025
15–25
TBD

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

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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. To guide
U.S. investments, the U.S. particle physics community developed a long-term strategic plan through a multi-year processthat culminated in the May 2014 report of the Particle Physics Project Prioritization Panel (P5), “Building for Discovery:
Strategic Plan for U.S. Particle Physics in the Global Context.” a The 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. The P5 report identified five intertwined science drivers ofparticle physics that provide compelling lines of inquiry with great promise for discovery:






Use the Higgs boson as a new tool for discovery
Pursue the physics associated with neutrino mass
Identify the new physics of dark matter
Understand cosmic acceleration: dark energy and inflation
Explore the unknown: new particles, interactions, and physical principles

The HEP program enables scientific discovery through three experimental frontiers of particle physics research aligned withthree HEP subprograms:Energy Frontier, 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 and accelerates and collides high-energy protons, while sophisticated detectors, some the size ofapartment buildings, observe newly produced particles that provide insight into fundamental forces of nature and theconditions of 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 interactions predicted by theStandard Model, and search for new physics. Measurements of the mass and other properties of neutrinos may haveprofound 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.

a High Energy Physics Advisory Panel, Department of Energy. Report of the Particle Physics Project Prioritization Panel (P5). Building for

Discovery: Strategic Plan for U.S. Particle Physics in the Global Context. May 2014.
https://science.energy.gov/~/media/hep/hepap/pdf/May-2014/FINAL_P5_Report_053014.pdf

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DOE’s support of the Theoretical and Computational Physics and the Advanced Technology Research and Development(R&D) subprograms formulates and enables this program of scientific discovery. The Theoretical and Computational Physics
subprogram provides the framework to explain experimental observations and gain a deeper understanding of nature.
Theoretical physicists take the lead in the interpretation of a broad range of experimental results and synthesize new ideas
as they search for deep connections and develop testable models. Computational Physics provides advanced computing
tools and simulations that are necessary for designing, operating, and interpreting experiments across the frontiers andenables discovery research via new techniques. Quantum Information Science (QIS) is a rapidly-developing field involving
understanding and manipulating quantum phenomena, and opens prospects for new capabilities in sensing, simulation, andcomputing. HEP activities will be a part of a larger national effort involving interagency coordination of programs. The
Advanced Technology R&D subprogram fosters fundamental research into particle acceleration and detection techniques
and instrumentation. These enabling technologies and new research methods advance scientific knowledge 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 impacts
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 the private sector and other users; near-term translational R&D toadapt HEP accelerator technology for potential uses in medical, industrial, security, and defense applications; and long-term
R&D for science and technology needed to build future generations of accelerators, with a focus on transformational
opportunities.
HEP supports individual investigators and small-scale collaborations, as well as very large international collaborations,chosen for their scientific merit and potential for significant impact. More than 20 HEP-supported physicists have received
the Nobel Prize in physics. Moreover, many of the advanced technologies, research tools, and analysis techniques originallydeveloped for high energy physics have proved widely applicable to other scientific disciplines as well as for health services,
national security, and the private sector.
Highlights of the FY 2019 Request
The P5 report identified the LHC upgrades, including the High-Luminosity Large Hadron Collider (HL-LHC) accelerator and A
Toroidal LHC Apparatus (ATLAS) and Compact Muon Solenoid (CMS) Detector Upgrade Projects, as the highest priority in thenear-term, and the Long Baseline Neutrino Facility and Deep Underground Neutrino Experiment (LBNF/DUNE) as thehighest-priority large project in the P5 report’s timeframe. To maintain the strong international partnership with CERN, theFY 2019 Request will increase support to these high-priority projects. The FY 2019 Request will support the planned funding
profiles of LBNF/DUNE, HL-LHC Accelerator Upgrade Project, Muon to Electron Conversion Experiment (Mu2e), the Large
Underground Xenon (LUX)-ZonEd Proportional scintillation in LIquid Noble gases (ZEPLIN) experiment (LZ), the Super
Cryogenic Dark Matter Search at Sudbury Neutrino Observatory Laboratory (SuperCDMS-SNOLAB), and the Dark Energy
Spectroscopic Instrument (DESI). The Mu2e and LZ projects will receive final funding needed to complete all remaining
project deliverables. The FY 2019 Request will support design and fabrication for the Facility for Advanced Accelerator
Experimental Tests II (FACET-II) project, and preliminary design and prototyping for the planned Proton Improvement Plan II(PIP-II) project. The FY 2019 Request will include funding for two new Major Items of Equipment (MIEs), the HL-LHC ATLAS
Detector Upgrade and the HL-LHC CMS Detector Upgrade projects. The FY 2019 Request will focus support for HEP researchon the laboratory research programs that are critical to executing the P5 recommendations, and on world-leading R&D
efforts that require long-term investments, including General Accelerator R&D (GARD), Detector R&D, Accelerator
Stewardship, and QIS.
Energy Frontier Experimental Physics
The FY 2019 Request will support U.S. responsibilities and leadership roles on the LHC ATLAS and CMS experiments. The
installation of the upgrades to the ATLAS and CMS detectors (MIE project funding for both completed in FY 2017) began inearly FY 2018, and will continue during a two-year long technical stop of the LHC, which will start in 2019, to prepare theaccelerator and detectors for a ramp up to the particle collision energy of 14 teraelectronvolts (TeV). In FY 2019, HEP willcontinue to invest in the future LHC program by contributing to the U.S. share of the HL-LHC Accelerator Upgrade Project
and the HL-LHC ATLAS and CMS Detector Upgrade Projects to increase the particle collision rate by a factor of three times to
explore new physics beyond the reach of the current LHC program.

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Intensity Frontier Experimental Physics
The FY 2019 Request will support 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. The SBN program consists of a coordinated set of liquid-argon neutrino detector
experiments, including the Short Baseline Neutrino Detector (SBND) and the Imaging Cosmic and Rare Underground Signals(ICARUS) detector, that will advance neutrino science and serve as an international R&D neutrino platform for LBNF/DUNE.
The protoDUNE detectors at the CERN Neutrino Platform are testing full-scale elements of the DUNE detectors, using singlephase and dual-phase liquid-argon detector technologies. Both SBN and protoDUNE will begin taking data in FY 2019. The
FY 2019 Request will support preliminary design and prototyping for the PIP-II project, which will upgrade the Fermilab
linear accelerator to increase beam power and sustain high reliability of the Fermilab Accelerator Complex. PIP-II will
provide the world’s highest proton beam intensity of greater than 1.2 megawatts for LBNF/DUNE, which is necessary toenable the science program envisioned in the P5 report. The FY 2019 Request will support operations of the Fermilab
Accelerator Complex at 75% of the optimal hours of service and two accelerator improvement projects (AIP) at Fermilab.
The Neutrinos at the Main Injector (NuMI) Target System AIP will replace or refurbish the NuMI production target, replace
its cooling systems, and upgrade critical infrastructure to make the overall system more robust and reliable for beam powers
up to 1.0 megawatt. The Booster Intensity AIP will fabricate and install new components to the Booster accelerator tocontrol the greater beam losses due to the increased proton beam intensity.
Cosmic Frontier Experimental Physics
The FY 2019 Request will support two complementary next-generation experiments that will advance our understanding of
dark energy. The three billion pixel Large Synoptic Survey Telescope camera (LSSTcam), which will be installed on the LSST
facility under construction by NSF in Chile, will scan half of the sky repeatedly with optical and near-infrared imaging
sensors, building up a “cosmic cinematography” of the changing universe. DESI, on the Mayall Telescope in Arizona, willmeasure the distances of 30 million galaxies and quasars and create three-dimensional maps of the distribution of matterover two-thirds of the age of the universe. The LSSTcam and DESI projects will be in their fabrication phases in FY 2019.
Commissioning and pre-operations activities for the overall LSST and DESI experiments will take place in FY 2019. The
FY 2019 Request will support two second-generation direct-detection dark matter experiments, LZ and SuperCDMS-SNOLAB,
which will carry out complementary searches for dark matter candidates over a broad range of masses. LZ will use a liquid
xenon based detector located at the Sanford Underground Research Facility (SURF) in Lead, South Dakota, and will receive
final funding in FY 2019 to complete fabrication. SuperCDMS-SNOLAB, done in partnership with NSF, will use lowtemperature solid-state detectors located at SNOLAB in Sudbury, Canada and will be in its fabrication phase in FY 2019. Preoperations activities for the LZ and SuperCDMS-SNOLAB experiments will take place in FY 2019.
Theoretical and Computational Physics
The FY 2019 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
will focus on advancing emerging computational science techniques, models, and technology necessary to meet the
projected computing and data management needs of the HEP program. The FY 2019 Request will increase funding for QIS toaccelerate discovery in particle physics while advancing the national program. HEP QIS efforts will focus on opportunities toaddress the P5 science drivers via foundational research including field theory and analog simulations, advanced technology
including quantum controls and precision sensors, and computing approaches including optimization and machine learning.
Advanced Technology R&D
The FY 2019 Request will support world-leading Advanced Technology R&D that will enable transformative technology forthe next-generation of accelerators and particle detectors. The FACET-II project at SLAC National Accelerator Laboratory(SLAC) will continue fabrication of the electron-beam driven plasma wakefield acceleration system. The Berkeley Laboratory
Laser Accelerator (BELLA) at the Lawrence Berkeley National Laboratory (LBNL) will continue its world-leading program inlaser-driven plasma wakefield accelerator research. Funding to initiate an AIP at LBNL will add a second beamline that candeliver an independently controlled laser pulse to a second laser-driven plasma wakefield acceleration structure, enabling
tests of multistage particle acceleration. The HEP General Accelerator R&D (GARD) activity will continue the Traineeship
Program for Accelerator Science and Technology, launched in FY 2017, to revitalize graduate level training and innovation in
the physics of particle accelerators for the benefit of HEP and other SC programs that rely on these enabling technologies.
The Detector R&D subprogram will be developing cutting-edge instrumentation to enable experimental research at theforefront of the field while training the next generation of detector experts.
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Accelerator Stewardship
The FY 2019 Request will support R&D to develop the fundamental building blocks of new technological advances inaccelerator technology, to empower the private sector to accelerate research discoveries from the laboratory to themarketplace, and to support the mission of other federal agencies. Funding to initiate an AIP at Brookhaven National
Laboratory (BNL) Accelerator Test Facility (ATF) is requested to upgrade the Carbon Dioxide (CO 2 ) laser to a world-leading
peak power of 20 Terawatts (TW).
Construction
The FY 2019 Request will include funding for the LBNF/DUNE project to continue the Critical Decision (CD)-3A approved
scope for the far site civil construction for the excavation of the underground equipment caverns and connecting drifts(tunnels), and for the continued design work for the near site, cryogenic systems, and the DUNE detectors. The Muon toElectron Conversion Experiment (Mu2e) will complete the procurements and installation of the accelerator beam anddetector equipment in FY 2019 according to its approved baseline funding profile.

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High Energy Physics
Funding ($K)
FY 2017 Enacted
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
Quantum Information Science
Total, Research
Projects
SBIR/STTR
Total, Theoretical and Computational Physics

FY 2018 Annualized
CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

74,911
52,42024,0175,185
156,533—————

56,11944,30977,0003,804
181,232-18,792-8,111+52,983-1,381+24,699

55,245
153,066
24,5697,768
240,648—————

41,246125,916
26,0007,008
200,170-13,999-27,150+1,431-760-40,478

48,75012,33574,4002,330
137,815—————

31,506
11,32030,8501,770
75,446-17,244-1,015-43,550-560-62,369

48,4297,696
056,1252,000
2,206
60,331

—
—
—
—
—
—
—

35,053
8,727
27,50071,28002,700
73,980-13,376+1,031+27,500+15,155-2,000+494+13,649a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).

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FY 2019 Congressional Budget Justification

193

FY 2017 Enacted
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 2018 Annualized
CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

44,05022,80016,98983,83930,4503,500
4,293
122,082

—
—
—
—
—
—
—
—

38,0430
15,24053,28325,5252,000
2,947
83,755-6,007-22,800-1,749-30,556-4,925-1,500-1,346-38,327

6,703
6,891
497
14,091
731,500————
726,532

8,032
3,950
435
12,417
627,000+1,329-2,941-62-1,674-104,500

50,00043,50093,500825,000

49,66043,20592,865
819,397

113,000
30,000143,000
770,000+63,000-13,500+49,500-55,000

SBIR/STTR Funding: FY 2017 Enacted: SBIR: $19,532,000; STTR: $2,747,000
 FY 2019 Request: SBIR $16,363,000; and STTR $2,301,000

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194

High Energy Physics
Explanation of Major Changes ($K)
FY 2019 Request
vs FY 2017
EnactedEnergy Frontier Experimental Physics: The Request includes funding to support the new MIE starts for the HL-LHC ATLAS and HL-LHC CMS Detector
Upgrade Projects, which will begin long-lead procurements, and an increase for the HL-LHC Accelerator Upgrade Project to begin full production of
focusing magnets. This increase will be partially offset by the planned conclusion of the LHC ATLAS and CMS Detector Upgrade projects initiated in
FY 2015. The Request prioritizes support to laboratory research activities critical to executing the P5 projects recommended to address Higgs boson
science. The Request includes funding for commissioning of the LHC ATLAS and CMS Detector Upgrade projects.
Intensity Frontier Experimental Physics: The Request prioritizes delivering particle beams and providing experimental operations at the Fermilab
Accelerator Complex. Research support places higher priority on laboratory activities critical to executing the P5 projects recommended to address
the neutrino mass and explore the unknown science drivers and carry out the early physics data analyses from operating experiments. The Request
includes funding to work with international partners on the preliminary design and prototyping for the PIP-II project and to SURF operations thatwill support LBNF/DUNE construction.
Cosmic Frontier Experimental Physics: The Request includes funding to complete the fabrication and installation of the LZ project, and continues
the fabrication of the DESI and SuperCDMS-SNOLAB projects. The LSSTcam project funding concludes as planned. The FY 2019 Request prioritizes
support to laboratory research activities critical to executing the P5 projects recommended to address the dark matter and dark energy sciencedrivers. The Request includes funding for the installation, commissioning, and pre-operations activities for LSST, DESI, LZ, and SuperCDMS-SNOLAB.
Theoretical and Computational Physics: The Request increases funding for Quantum Information Science (QIS) research, with a focus on quantum
computing, algorithms, controls and sensors. The Request prioritizes support to theoretical research that addresses the neutrino mass sciencedriver and to advanced computing research for HEP future needs. The Lattice Quantum Chromodynamics (LQCD) project received final funding in
FY 2017.
Advanced Technology R&D: The Request prioritizes support for world-leading, long-term R&D efforts at the national laboratories. The Request
includes funding that focuses on accelerator, test beam and detector facilities that support the highest priority activities in the P5 report. The startof the LBNL BELLA Second Beamline accelerator improvement project (AIP) will offset the completion of the SLAC Sector 10 Injector Infrastructure
AIP. The Muon Accelerator Program (MAP) completed its R&D goals in FY 2017, and the LHC Accelerator Research Program (LARP) anticipatescompleting its R&D goals before FY 2019.
Accelerator Stewardship: The Request prioritizes support for long-term R&D for the science and technology needed to build future generations ofaccelerators with broad applicability and provides support to an AIP to upgrade the BNL ATF’s Carbon Dioxide (CO 2 ) laser to a world-leading peak
power of 20 Terawatt (TW).
Construction: The Request increases funding to LBNF/DUNE in support of far site civil construction and excavation of the underground equipment
caverns and connecting drifts. This increase will be partially offset by a planned decrease in funding to Mu2e for its final year of construction
funding.
Total, High Energy Physics

Science/High Energy Physics+24,699-40,478-62,369+13,649-38,327-1,674+49,500-55,000

FY 2019 Congressional Budget Justification

195

Basic and Applied R&D Coordination
Accelerator Stewardship provides the fundamental building blocks of new technological advances in accelerator applications,
including advanced proton and ion beams for the treatment of cancer, in coordination with the National Institutes of Health(NIH). HEP developed the Accelerator Stewardship subprogram based on input from accelerator R&D experts drawn from otherfederal agencies, universities, national laboratories, and the private sector to help identify specific research areas andinfrastructure 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 to ensure federal
stakeholders have input in crafting funding opportunity announcements, reviewing applications, and evaluating the efficacy andimpact of funded activities. Use-inspired accelerator R&D for medical applications has been closely coordinated with the
NIH/National Cancer Institute (NCI); ultrafast laser technology R&D with the Department of Defense (DOD) and the National
Aeronautics and Space Administration (NASA); and microwave and high power accelerator R&D coordinated with the DOD, theDepartment of 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). Discussions
with the National Nuclear Security Administration (NNSA) on mission needs and R&D coordination in laser technology,
radioactive source replacement, and particle detector technologies are underway.
The Accelerator Stewardship subprogram conducts use-inspired basic R&D to provide the fundamental building blocks of newtechnological advances. Ensuring that the investments result in high-impact applications requires close coordination with otheragencies who will carry on the later-stage development. The implementation strategy is to work with applied R&D agencies tojointly define priority research directions at Basic Research Needs Workshops, and then guide R&D and facility investments
through joint participation of applied agency program managers in merit reviews and in the operations review of the
Brookhaven National Laboratory Accelerator Test Facility. Where an eventual marketable use is envisioned, R&D collaborations
are expected to involve a U.S. company to guide the early-stage R&D.
Specific funded examples include collaborative R&D on proton therapy delivery systems (joint with Varian Medical Systems),
advanced proton sources for therapy (joint with ProNova Solutions), advanced detectors for cancer therapy (joint with Best
Medical International) advanced microwave source development (joint with Communications Power Industries), and technicaldesign studies for high power accelerators for wastewater treatment (joint with Metropolitan Water Reclamation District ofGreater Chicago). 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 continues, enabling new avenues to explore the Higgs boson and perform precision tests of
the Standard Model (Energy Frontier). The LHC is the highest energy particle collider in the world and continues to breakperformance records and exceed its goals for producing particle collisions. The CMS experiment produced the first direct
observation of the Higgs boson decaying to tau leptons, the heaviest known cousin of an electron. These first results are
consistent with the prediction of the Standard Model of particle physics, but open a new window to exploring the universe
through precision tests of the Higgs boson. The ATLAS experiment measured the mass of the W boson, a carrier particle of the
weak nuclear force, to a precision of 2.4%, matching the precision of the best previous measurement. This new measurement
enables important tests of the self-consistency of the Standard Model. The LHC aims to continue running at its record pacethrough 2018, before a two-year long technical stop to perform machine and detector upgrades, which will enable more detailed
measurements of the Higgs boson and more sensitive searches for new physics.
COHERENT experiment uses the world’s smallest neutrino detector to make the first observation of coherent scattering of lowenergy neutrinos off nuclei (Intensity Frontier). In coherent scattering, a neutrino interacts with the entire atomic nucleus atonce, not just one of the protons or neutrons within. The research performed at the Oak Ridge National Laboratory’s (ORNL)
Spallation Neutron Source (SNS) by a collaboration of 80 researchers from 19 institutions and 4 nations confirms the process
originally predicted by theorists in 1974. Coherent scattering dominates neutrino dynamics during neutron star formation andsupernovae explosions. Understanding coherent scattering will improve the scientific reach of future neutrino and dark matter
experiments.
The Dark Energy Survey (DES) experiment produced its first precision measurements of dark energy (Cosmic Frontier). DES
released the first dark energy results based on its imaging measurements of 26 million galaxies from the 570 million pixel Dark
Energy camera on the Blanco telescope in Chile. The data was from the first year of the five-year wide-area survey, scheduled to
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end in 2018. The weak gravitational lensing effect, where gravity slightly distorts images of distant galaxies, was used toconstruct the largest-ever map of the distribution of ordinary and dark matter in the universe and its evolution over time. The
results, within the 5% measurement uncertainty, are consistent with dark energy being an inherent property of the universe as
opposed to a new kind of force. The full wide-area survey will cover approximately four times the area of the sky, include
measurements of 300 million galaxies and thousands of supernovae, and enable precision cosmology results using a variety ofmethods to yield further insight into the dark universe.
First demonstration of laser-controlled injection in a beam-driven plasma wakefield accelerator at the Facility for Advanced
Accelerator Experimental Tests (FACET) (Advanced Technology R&D). An experiment at FACET successfully used a laser pulse to
generate an electron bunch within a plasma wakefield. FACET experiments previously demonstrated the high gradient and highly
efficient wakefield acceleration of particles “surfing” on electromagnetic waves in plasma by using externally injected electron
bunches. The demonstration of laser-controlled injection shows that unprecedented beam control and quality are feasible inplasma wakefield accelerators. This technology may drastically improve the performance of particle accelerators, withapplications ranging from modern light sources to high energy colliders for future particle physics research.
First beam delivered to the Muon g-2 experiment at the Fermilab Muon Campus (Intensity Frontier). The Fermilab Muon Campus
will host precision experiments, including the Muon-to-Electron Conversion (Mu2e) and Fermilab Muon g-2 experiments, which
will search for new physics using beams of muons, heavy cousins of electrons. In May 2017, the Muon g-2 experiment received
its first muon beam from the Fermilab Accelerator Complex, marking the start of three year campaign to measure an intrinsic
property of the muon called the magnetic moment with unprecedented precision. The muons circulated in a 50-foot wide
magnetic storage ring at Fermilab in Illinois. In the summer of 2013, the storage ring traveled a 3,200 mile route from
Brookhaven National Laboratory in New York, where it was used for a previous Muon g-2 experiment in the 1990s.
Groundbreaking ceremony for the Long-Baseline Neutrino Facility and Deep Underground Neutrino Experiment (LBNF/DUNE)(Intensity Frontier). A new era in international particle physics research began on July 21, 2017, with a unique groundbreaking
ceremony held a mile underground at the Sanford Underground Research Facility in South Dakota. Dignitaries, scientists, andengineers from around the world gathered to mark the start of initial far-site construction for the international science facility
that will host massive experiments that may change our understanding of the universe. When complete, LBNF/DUNE will be thelargest experiment ever built in the United States to study the properties of neutrinos, which may hold the key to understanding
why matter and not antimatter dominates the universe today.

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High Energy Physics
Energy Frontier Experimental Physics
Description
The Energy Frontier subprogram’s focus is on the Large Hadron Collider (LHC). The LHC hosts two large multi-purpose particle
detectors, ATLAS and CMS, which are partially supported by DOE and the NSF and used by large international collaborations ofscientists. U.S. researchers account for approximately 20% and 25% of the ATLAS and CMS collaborations respectively, and play
critical leadership roles in all aspects of each experiment. Data collected by ATLAS and CMS will be used to address at least threeof the 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, and other exotic
phenomena. The LHC detectors will be increasingly more sensitive to potential deviations from the Standard Model that
may be exposed by the highest energy collisions in the world.
Identify the new physics of dark matter
If dark matter particles are light enough, they may be produced in LHC collisions and their general properties may bemeasured indirectly through the behavior of the accompanying normal matter. This indirect detection of dark matter iscomplementary to, and a powerful cross-check on, the ultra-sensitive direct detection experiments in the Cosmic Frontierand Intensity Frontier.

Research
The Energy Frontier experimental research activity consists of groups at U.S. academic and research institutions and physicists
from national laboratories. These groups, as part of the ATLAS and CMS collaborations, typically have a broad portfolio of
responsibilities and leadership roles in support of R&D, experimental design, fabrication, commissioning, operations, andmaintenance, and they perform scientific simulations and physics data analyses. DOE selects research efforts with the highest
scientific impact and potential based on a competitive peer-review process. An external peer review of the Energy Frontierlaboratory research groups was conducted in 2015; the next review will be in 2019. The findings from this review are being used
to inform the funding decisions in subsequent years.
Facility Operations and Experimental Support
U.S. LHC Detector Operations funding supports the maintenance of U.S.-supplied detector systems for the ATLAS and CMS
detectors at the LHC, and the U.S.-based computer infrastructure used by U.S. physicists to analyze LHC data, including Tier 1
computing centers at Fermilab and BNL. The Tier 1 centers provide around-the-clock support for the LHC Computing Grid; areresponsible for storing a portion of raw and processed data; perform large-scale data reprocessing; and store the corresponding
output.
Projects
During the next decade, CERN will undergo a major upgrade to the LHC machine to further increase the particle collision rate bya factor of three times to explore new physics beyond the reach of the current LHC program. Through the HL-LHC Accelerator
Upgrade Project, HEP will contribute to this upgrade by constructing and delivering the next-generation of superconducting
accelerator components in which U.S. scientists have critical expertise. After the upgrade, the HL-LHC beam will make theconditions in which the ATLAS and CMS detectors must operate very challenging. As a result, the HL-LHC ATLAS and HL-LHC CMS
Detector Upgrades (new MIE starts) are critical investments to enable the experiments to operate for an additional decade andcollect more data by a factor of ten.

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High Energy Physics
Energy Frontier Experimental Physics
Activities and Explanation of Changes
Explanation of Changes
FY 2019 Request vs FY 2017 Enacted

FY 2017 Enacted

FY 2019 Request

Energy Frontier Experimental Physics$156,533,000
Research $74,911,000
Funding supported U.S. scientists leading highprofile analysis topics using the data collected by
the ATLAS and CMS experiments at the LHC.

$181,232,000$56,119,000
The FY 2019 Request will support U.S. leadership roles
in all aspects of the ATLAS and CMS experiments.

+$24,699,000-$18,792,000
Higher priority will be given to support laboratory
research activities critical to executing the P5 projects
recommended to address the Higgs boson science driver,and to carry out the final analyses on the data collectedprior to the two-year long technical stop of the LHC,
which will start in 2019.

$44,309,000
The FY 2019 Request will support ATLAS and CMS
detector maintenance activities, including those related
to commissioning of U.S.-built detector components
during the two-year long technical stop of the LHC,
which will start in 2019.

-$8,111,000
Focus of support will be on the commissioning following
the installation of the LHC ATLAS and CMS Detector
Upgrade projects initiated in FY 2015. Reduced support
for compute nodes and data storage will be anticipated
as a result of lower demand on the U.S.-based computing
infrastructure during the two-year long technical stop of
the LHC.
+$52,983,000
Funding will support new MIE starts for the HL-LHC ATLAS
and HL-LHC CMS Detector Upgrade Projects and theplanned increase for the HL-LHC Accelerator Upgrade
Project. The funding for the LHC ATLAS Detector Upgrade
and the LHC CMS Detector Upgrade projects concluded
as planned in FY 2017.

Facility Operations and Experimental Support$52,420,000
Funding supported ATLAS and CMS detector
maintenance and operations including the U.S.based computing infrastructure and resources
used by U.S. scientists to analyze LHC data.

Projects $24,017,000
Funding supported the fabrication andcomponent installation for the LHC ATLAS
Detector Upgrade and the LHC CMS Detector
Upgrade projects. Funding supported theconceptual design activities for the HL-LHC
Accelerator Upgrade Project and the HL-LHC
ATLAS and HL-LHC CMS Detector Upgrade
Projects.
SBIR/STTR $5,185,000
In FY 2017, SBIR/STTR funding was at 3.65% of
non-capital funding.

Science/High Energy Physics$77,000,000
The FY 2019 Request will support the procurement ofsolid-state detecting components for the HL-LHC ATLAS
and HL-LHC CMS Detector Upgrade Projects (new MIE
starts), and the production of focusing magnets for the
HL-LHC Accelerator Upgrade Project.

$3,804,000
In FY 2019, SBIR/STTR funding will be at 3.65% of noncapital funding.

200-$1,381,000
A decrease in funding will represent mandated
percentages for non-capital funding.

FY 2019 Congressional Budget Justification

High Energy Physics
Intensity Frontier Experimental Physics
Description
The Intensity Frontier subprogram investigates some of the rarest processes in nature including unusual interactions offundamental particles or subtle effects requiring large data sets to observe and measure. 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 science drivers identified by the P5
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.
Explore the unknown, new particles, interactions, and physical principles
A number of observed phenomena are not described by the Standard Model, including the imbalance of matter andantimatter in the universe today. Precision measurements of the properties of known particles can reveal information
about what new particles and forces could explain these discrepancies and whether the known forces unify at energies
beyond the reach of the LHC.
Identify the new physics of dark matter
The lack of experimental evidence from current generation dark matter detectors has led to proposed theoreticalmodels with new particles and forces that rarely interact with normal matter. These theoretical particles and forces are
effectively invisible to conventional experiments, but may be connected to the cosmic dark matter. Experiments use
intense accelerator beams at national laboratories outfitted with highly efficient high-rate detectors to explore these
theoretical models.

Research
The Intensity Frontier experimental research activity 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. DOE selects research efforts with the highest scientific merit and potential impact based on a competitive
peer-review process. An external peer review of the Intensity Frontier laboratory research groups is planned for 2018. The
findings from this review will inform the funding decisions in subsequent years.
The largest component of the Intensity Frontier subprogram is the support for research in accelerator-based neutrino
physics centered at Fermilab with multiple experiments running concurrently in two separate neutrino beams with different
beam energies. The flagship NuMI Off-Axis ν e Appearance (NOvA) experiment uses the Neutrinos at the Main Injector(NuMI) beam, and the Booster Neutrino Beam (BNB) are used to study different aspects of neutrino physics and muon
physics. The SBN program, which includes the Imaging Cosmic and Rare Underground Signals (ICARUS) and Short Baseline
Neutrino Detector (SBND) experiments, use the BNB to definitively address hints of additional neutrinos types beyond thethree currently described in the Standard Model. The protoDUNE detectors are testing single-phase and dual-phase liquidargon detector technologies to inform the design efforts for DUNE. LBNF/DUNE will be the centerpiece of a U.S.-hosted
world-leading neutrino program, using the world’s most intense neutrino beam and large, sensitive underground detectors
to make transformative discoveries.
The Intensity Frontier muon program at Fermilab studies rare processes in muons to detect physics beyond the reach of the
LHC. The Muon g-2 experiment, with four times better precision, is following up on hints of new physics from an earlier
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experiment, while the Mu2e experiment searches for extremely rare muon decays that (if detected) will be clear evidence of
new physics. The Intensity Frontier subprogram supports U.S. physicists to participate in select experiments at foreign
facilities, including neutrino experiments in China and Japan. There is a U.S. contingent studying heavy particles containing
b-quarks using the Belle II experiment at the High Energy Accelerator Research Organization (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 the operations of all accelerators andbeamlines at Fermilab and the operation of the detectors that use those accelerators as well as computing support neededby both the accelerators and detectors. General Plant Project (GPP) and Accelerator Improvement Project (AIP) funding
supports improvements to Fermilab facilities.
Fermilab contracts with the South Dakota Science and Technology Authority (SDSTA), an agency of the State of South
Dakota, for services at the Sanford Underground Research Facility (SURF) to support DOE experiments being conducted
there. The Nuclear Physics-supported Majorana Demonstrator is currently operating and the HEP-supported LZ experimentis being installed at SURF, which will be the home of the DUNE far detectors built by the LBNF/DUNE project.
Projects
In support of LBNF/DUNE, a lease with SDSTA provides the framework for DOE and Fermilab to construct federally fundedbuildings and facilities on non-federal land, and to establish a long-term (multi-decade) arrangement for DOE and Fermilab
to use SDSTA space to host the DUNE neutrino detector. Other Project Costs (OPC) funding has been identified for SURF
plant support costs provided by SDSTA.
The planned 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 front-end is the oldest part of the Fermilab Accelerator 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 establishingpartnerships with institutions in India, Italy, and the United Kingdom to contribute to the project.

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High Energy Physics
Intensity Frontier Experimental Physics
Activities and Explanation of Changes
FY 2017 Enacted
Intensity Frontier Experimental Physics $240,648,000
Research $55,245,000
Funding supported research efforts to analyze datafrom operating long- and short-baseline neutrino
experiments, beam-based dark matter experiments,
precision measurement experiments that explore theunknown, and for design and physics optimization for
projects in their fabrication phase.

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted$200,170,000-$40,478,000$41,246,000-$13,999,000
The FY 2019 Request will support U.S. leadership on Higher priority will be given to support laboratory
all aspects of the neutrino and muon experiments
research activities critical to executing the P5
including NOvA, ICARUS and Muon g-2, and the
projects recommended to address the neutrino
future projects including LBNF/DUNE and Mu2e. The mass and explore the unknown science drivers, andfirst physics data results from Belle II will be
to carry out the early physics data analyses fromanticipated.
Muon g-2, Belle II, SBN program and protoDUNE.
FY 2019 Request

Facility Operations and Experimental Support$153,066,000
Funding supported the operation of the Fermilab
Accelerator Complex and the neutrino and muon
experiments. The refurbishment of the Linac and BNB
continued. Construction of an addition to the Industrial
Center Building (ICB) began as a new GPP. SURF
operations supported the ongoing Majorana
demonstrator activities and preparations for the LZ
experiment and LBNF/DUNE construction.

$125,916,000
The FY 2019 Request will support the operation of
the Fermilab Accelerator Complex and the neutrino
and muon experiments, while the running time of
the Main Injector and Booster accelerators will be
shortened to 75% of optimal. SURF operations willcontinue to support the LBNF/DUNE construction
and the commissioning of the LZ experiment. The
Fermilab NuMI Target System and Booster Intensity
AIPs will begin.
Projects $24,569,000$26,000,000
Funding supported the fabrication of the Muon g-2
The FY 2019 Request will support OPC for the
beamline and detectors, OPC to continue thepreliminary design and prototyping of the mostconceptual design for the PIP-II project, and subsystems technologically advanced accelerator components
integration and infrastructure for the SBN program.
for the PIP-II project, and the OPC for plant support
costs at SURF during LBNF/DUNE construction.

-$27,150,000
Support will prioritize delivering the particle beams
and providing experimental operations for ongoingexperiments, including NOvA, the SBN program, andMuon g-2, in a manner that will optimize addressing
the P5 science drivers.

SBIR/STTR $7,768,000$7,008,000+$1,431,000
Focus of support will be on working withinternational partners on preliminary design andprototyping for the PIP-II project. Funding for Muong-2 project concluded as planned. OPC will begin for
LBNF/DUNE with the ramp-up of CD-3A
construction.
-$760,000

In FY 2017, SBIR/STTR funding was at 3.65% of noncapital funding.

In FY 2019, SBIR/STTR funding will be at 3.65% of
non-capital funding.

A decrease in funding will represent mandated
percentages for non-capital funding.

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Science/High Energy Physics

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High Energy Physics
Cosmic Frontier Experimental Physics
Description
The Cosmic Frontier subprogram uses measurements of naturally occurring cosmic particles and observations of theuniverse to probe fundamental physics questions and offer new insight about the nature of dark matter, dark energy, andinflation in the early universe, constraints on neutrinos and other phenomena. The activities in this subprogram use diverse
tools and technologies, from ground-based telescopes and space-based missions to large detectors deep underground toaddress four of the five science drivers identified in the P5 report:
•

•

•

•

Identify the new physics of dark matter
Overwhelming evidence through the years, starting with measurements of motions within galaxies first made in the
1930s, show that dark matter accounts for five times as much matter in the universe as ordinary matter. Directdetection experiments provide the primary method to search for cosmic dark matter particles’ rare interactions withordinary matter, while indirect-detection experiments search for the products of dark matter annihilation in the core ofgalaxies. A staged series of direct-detection experiments search for the leading theoretical candidate particles using
multiple technologies to cover a wide range in mass with increasing sensitivity. Accelerator-based dark matter searches
performed in the Intensity Frontier and the Energy Frontier subprograms are complementary to these direct-detection
experiments.
Understand cosmic acceleration: dark energy and inflation
Since its 1999 discovery and subsequent 2011 Nobel Prize in Physics, the nature of dark energy, which drives theaccelerating expansion of the universe, continues to be one of the most perplexing questions in science. Together, darkenergy and dark matter comprise 95% of the matter and energy in the universe, leaving approximately 5% ordinary
matter, from which all the stars and galaxies, and we, are made. Steady progress continues in a staged set of darkenergy experiments, using complementary fast sky-scanning surveys and deep, high-accuracy surveys, which provide
ever-increasing precision. Experiments studying the oldest observed light in the universe, the cosmic microwave
background (CMB), are increasing their sensitivity to target the era of cosmic inflation, the rapid expansion in the early
universe shortly after the Big Bang.
Pursue the physics associated with neutrino mass
Remarkably, the study of the largest physical structures in the Universe can reveal the properties of particles with thesmallest known cross-section, the neutrinos. Experiments studying dark energy and the CMB will put constraints on thenumber of neutrino species and their masses. The properties of neutrinos affected the evolution of matter distribution
in the universe, leading to changes in the CMB observables when measured in different directions. These
measurements are complementary to, and a powerful cross check of, the ultra-sensitive measurements made in the
Intensity Frontier.
Explore the unknown: new particles, interactions, and physical principles
High-energy cosmic rays and gamma rays probe energy scales well beyond what can be produced with man-madeparticle accelerators, albeit not in a controlled experimental setting. Searches for new phenomena and indirect signalsof dark matter in these surveys may yield surprising discoveries about the fundamental nature of the universe.

Research
The Cosmic Frontier experimental research activity 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. DOE selects research efforts with the highest
scientific merit and potential impact based on a competitive peer-review process. An external peer review of the Cosmic
Frontier laboratory research groups was conducted in 2016; the next review will be in 2020. The findings from this review
are being used to inform the funding decisions in subsequent years.
Facility Operations and Experimental Support
This activity 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 ground-based
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telescopes and observatories, in space, or deep underground. Support is provided for the experiments currently operating
as well as for planning and pre-operations activities for the next generation experiments in the design or fabrication phase.
HEP conducted a peer review of Cosmic Frontier operations in early FY 2015; the next review is planned for FY 2019. In theinterim, HEP has held subsequent status reviews and operations planning reviews. HEP uses the findings from the reviews
to monitor the experiments and inform decisions concerning the level of operations support needed in subsequent years.
Projects
P5 recommended a robust suite of next-generation dark energy and dark matter projects, with a potential CMB project
starting later in the ten-year plan. Two experiments will use different survey types and methods to measure the effect ofdark energy on the expansion of the universe, which allows differentiation between models of dark energy. The LSSTcam
that will be installed on the LSST facility will scan half of the sky repeatedly with optical and near-infrared imaging sensors,building up a “cosmic cinematography” of the changing universe, while DESI will study 30 million galaxies and quasars with
spectroscopy over two-thirds of the age of the universe. Two experiments will use different technologies to search for dark
matter: LZ will use a liquid xenon detector and SuperCDMS-SNOLAB will use low-temperature solid-state detectors. LZ isbetter at detecting heavier dark matter particles while SuperCDMS-SNOLAB will be sensitive to lighter dark mass particles,
so the two combine to provide the largest search currently feasible.

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High Energy Physics
Cosmic Frontier Experimental Physics
Activities and Explanation of Changes
FY 2017 Enacted

FY 2019 Request

Cosmic Frontier Experimental Physics $137,815,000
Research $48,750,000
Funding supported research efforts to analyze current
dark matter and dark energy experiments and fordesign and physics optimization for projects in theirfabrication phase.

$75,446,000$31,506,000
The FY 2019 Request will support world-leading
research efforts in support of design and optimization
on dark matter and dark energy experiments in theirfabrication and commissioning phases, as well as onplanning for future experiments, including CMB-S4.

Facility Operations and Experimental Support$12,335,000
Funding supported the start of the early operations
activities necessary for projects near completion, such
as LSSTcam, and the operations of on-goingexperiments in the physics data-taking phase.

Projects $74,400,000
Funding supported continued fabrication for the
LSSTcam, LZ and DESI projects, and design work
towards SuperCDMS-SNOLAB project baseline.

SBIR/STTR $2,330,000
In FY 2017, SBIR/STTR funding was at 3.65% of noncapital funding.

Science/High Energy Physics

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted-$62,369,000-$17,244,000
Higher priority will be given to support laboratory
research activities critical to executing the P5 projects
recommended to address the dark matter and darkenergy science drivers, and to carry out the final data
analyses on Cosmic Frontier experiments completingin FY 2019.

$11,320,000
The FY 2019 Request will support the start of
installation and commissioning activities for the
LSSTcam, as well as early planning for the LSST facility
and science operations. Planning, commissioning, andpre-operations activities will begin for DESI, LZ, andSuperCDMS-SNOLAB. Support for the currently
operating experiments will continue.
$30,850,000
The FY 2019 Request will support the completion of
fabrication and installation of the LZ dark matterproject, and will support the fabrication of the DESI
dark energy project and the SuperCDMS-SNOLAB dark
matter project.

-$1,015,000
Focus of support will be on the installation,commissioning and pre-operations activities for
LSSTcam, DESI, LZ, and SuperCDMS-SNOLAB as theseprojects will begin the transition to experimental
operations.

$1,770,000
In FY 2019, SBIR/STTR funding is at 3.65% of noncapital funding.

-$560,000
A decrease in funding will represent mandated
percentages for non-capital funding.

207-$43,550,000
Priority will be given to support the fabrication andinstallation of the DESI, LZ, and SuperCDMS-SNOLAB
projects. The LSSTcam project funding will conclude
as planned.

FY 2019 Congressional Budget Justification

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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 and time.
This research is essential for proper interpretation and understanding of the experimental research activities described in other
HEP subprograms. Theory and computation cut across all five P5 science drivers and the Energy, Intensity, and Cosmic Frontier
Experimental Physics subprograms.
TheoryThe HEP theory activity supports world-leading research groups at U.S. academic and research institutions and national
laboratories. Both university and laboratory research groups play important roles in addressing the leading research areas
discussed above. Laboratory groups are typically more focused on data-driven theoretical investigations and precise calculationsof experimentally observable quantities. University groups usually focus on building models of physics beyond the Standard
Model and studying their phenomenology as well as on formal and mathematical theory. DOE selects research efforts with thehighest scientific impact and potential based on a competitive peer-review process. An external peer review of the Theorylaboratory research groups is planned for 2018. The findings from this review will inform the funding decisions in subsequent
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 near and 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. Computational HEP activities have fostered HEP connections with the national effort on
Quantum Information Science (QIS) and sponsored reports and pilot projects in support of the P5 science drivers and to advancediscovery.
Quantum Information Science
The HEP QIS efforts will focus on foundational research on techniques and algorithms, quantum computing for HEP experiments
and modeling, development and use of specialized quantum controls, and precision sensors that may yield information on
fundamental physics beyond the Standard Model. This research area is part of an SC initiative that will be conducted incoordination with SC programs, other federal agencies, and the private sector where relevant.
Projects
The Projects activity funds acquisition of dedicated hardware for the Lattice Quantum Chromodynamics (LQCD) computing
effort. This activity received final funding in FY 2017.

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High Energy Physics
Theoretical and Computational Physics
Activities and Explanation of Changes
FY 2017 Enacted
Theoretical and Computational Physics$60,331,000
Theory $48,429,000
Funding supported the theoretical research programat universities and national laboratories for theinterpretation of experimental results, thedevelopment of new ideas for future projects, and theadvancement of the theoretical understanding of
nature.
Computational HEP $7,696,000
Funding supported the computational science efforts
focused at the national laboratories and the HEP
contributions to the SciDAC 4 projects which werecompeted in FY 2017.
Quantum Information Science $0
N/A

Projects $2,000,000
Funding was provided for the acquisition of new LQCD
hardware.
SBIR/STTR $2,206,000
In FY 2017, SBIR/STTR funding was at 3.65% of noncapital funding.

Science/High Energy Physics

FY 2019 Request

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted$73,980,000$35,053,000
The FY 2019 Request will support world-leading
theoretical research program at universities andnational laboratories.

+$13,649,000-$13,376,000
Higher priority will be given to research that
addresses the neutrino mass science driver.

$8,727,000
The FY 2019 Request will support transformative
computational science and SciDAC 4 activities.

+$1,031,000
Higher priority will be given to advance computing
research for HEP future needs, and working with
ASCR to optimize the high performance computing
for the near and long term future.
+$27,500,000
Focus of support will be on QIS research techniques
and algorithms, quantum computing for HEP
experiments and modeling, development and use of
specialized quantum controls and precision sensors.

$27,500,000
The FY 2019 Request will support new foundational
QIS research and supporting technology. HEP will
employ the latest developments in QIS from theprivate sector, contribute to the national effort, andpromote American competiveness.
$0
No funding will be requested for this activity.
$2,700,000
In FY 2019, SBIR/STTR funding will be at 3.65% of
non-capital funding.

210-$2,000,000
LQCD received final funding in FY 2017.
+$494,000
An increase in funding will represent mandated
percentages for non-capital funding.

FY 2019 Congressional Budget Justification

High Energy Physics
Advanced Technology R&D
Description
The Advanced Technology Research and Development (R&D) subprogram fosters cutting-edge research in the physics of particle
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 five P5 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 a. DOE selects research efforts with the highest scientificimpact and potential based on a competitive peer-review process. An external peer review of the GARD laboratory researchgroups is planned for 2018. The findings from this review will inform the funding decisions in subsequent years.
GARD supports the Traineeship Program for Accelerator Science and Technology, launched in FY 2017 to revitalize education,
training, and innovation in the physics of particle accelerators for the benefit of HEP and other SC programs that rely on theseenabling technologies. A component of this program allows graduate students to participate in mentored accelerator researchand technology development and enable leveraging the capabilities and assets of DOE laboratories. HEP holds a competition for
traineeship awards to increase workforce development in areas of critical need. These traineeships leverage existing GARD
research programs to develop new curricula and course materials in areas of workforce needs. The Traineeship Program is aimed
at a university and national laboratory consortium to provide the academic training and research experience needed to meet
DOE’s anticipated workforce needs.
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
Muon Accelerator Program (MAP) completed its R&D goals in FY 2017 by delivering and then commissioning components for the
Muon Ionization Cooling Experiment at Rutherford Appleton Laboratory in the United Kingdom. The LHC Accelerator Research
Program (LARP) is anticipated to complete its R&D goals to produce prototypes for U.S. deliverables to the HL-LHC Accelerator
Upgrade Project at CERN before FY 2019.
Detector R&D
Detector R&D addresses the need for continuing development of the next generation instrumentation and particle detectors tokeep scientific leadership in a worldwide experimental program that is broadening into new research areas. To meet thischallenge, HEP aims to foster a program appropriately balanced between evolutionary, near-term, low-risk detector R&D andrevolutionary, 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. DOE selects research efforts with the highest scientific impact and potential
based on a competitive peer-review process. An external peer review of the Detector R&D laboratory research groups was
conducted in 2016; the next review will be in 2020. The findings from this review are being used to inform the funding decisions
in subsequent years.

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

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Facility Operations and Experimental Support
This activity provides funding for GARD laboratory experimental and test facilities, including BELLA, the laser-driven plasma
wakefield acceleration facility at LBNL, and the facility for studying intense beam dynamics, the superconducting radio-frequency
accelerator facilities, and the magnet facilities at Fermilab. This activity funds detector test beams at SLAC National Accelerator
Laboratory (SLAC) and Fermilab, and detector test and fabrication facilities like the Microsystems Laboratory at LBNL and the
Silicon Detector Facility at Fermilab. Accelerator Improvement Project (AIP) funding supports improvements to GARD facilities.
Projects
The Advanced Technology R&D subprogram supports the development of new tools for particle physics through thedevelopment of more advanced accelerators and detectors. Plasma wakefield accelerators may have a transformative impact on
the size, capabilities, and cost of future machines. FACET-II will support the continuation of the plasma wakefield acceleration
research started at FACET which was displaced by the construction of Linac Coherent Light Source II (LCLS-II). FACET-II fabricationand installation will occur at SLAC during the LCLS shutdown in FY 2019 in preparation for LCLS-II.

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High Energy Physics
Advanced Technology R&D
Activities and Explanation of Changes
FY 2017 Enacted
Advanced Technology R&D $122,082,000
HEP General Accelerator R&D $44,050,000
Funding supported research activities following theroadmap developed with the Accelerator R&D
community, with focus in the areas of advanced
accelerator concepts and superconducting magnets.
The Traineeship Program for Accelerator Science andTechnology was started.
HEP Directed Accelerator R&D $22,800,000
Funding supported LARP to continue the R&D needed
to produce prototypes for U.S. deliverables to the HLLHC Accelerator Upgrade Project at CERN. MAP
delivered the final components in FY 2017.
Detector R&D $16,989,000
Funding supported research activities at universities
and national laboratories, with increased emphasis on
long-term, high-risk, and high potential impact
Detector R&D efforts and strengthening of theuniversity efforts.
Facility Operations and Experimental Support$30,450,000
Funding supported operation of accelerator, test
beam and detector facilities at Fermilab, LBNL and
SLAC. The SLAC Sector 10 Injector Infrastructure AIP
began.

Science/High Energy Physics

FY 2019 Request

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted-$38,327,000-$6,007,000
High priority will be given to world-leading efforts
supported at national laboratories, and to research
programs recommended by the HEPAP Accelerator
Subpanel.

$83,755,000$38,043,000
The FY 2019 Request will support world-leading
research activities in the areas of accelerator andbeam physics, advanced acceleration concepts,
particle sources and targetry, radio-frequency
acceleration technology and superconducting magnet
and materials. The Traineeship Program for
Accelerator Science and Technology will be supported.
$0-$22,800,000
No funding will be provided as LARP anticipates
The LARP and MAP goals will have been met.
completing its goals before FY 2019, and MAP
completed its goals in FY 2017.
$15,240,000
The FY 2019 Request will support world-leading
Detector R&D activities at universities and national
laboratories, with increased emphasis on long-term,high-risk, and high potential impact R&D efforts.

-$1,749,000
Near-term Detector R&D activities will be ramped
down.

$25,525,000
The FY 2019 Request will support the operation ofaccelerator, test beam and detector facilities at
Fermilab, LBNL and SLAC. The LBNL BELLA Second
Beamline AIP will begin.

-$4,925,000
Funding support will be focused on the accelerator,
test beam, and detector facilities at Fermilab. Fundingfor LBNL and SLAC will support the highest priority
research and fabrication activities informed by the P5
report. The LBNL BELLA Second Beamline AIP will
begin, offset by the completion of the SLAC Sector 10
Injector Infrastructure AIP.

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FY 2019 Congressional Budget Justification

FY 2017 Enacted

FY 2019 Request

Projects $3,500,000
Funding supported the start of fabrication for FACETII.

$2,000,000
The FY 2019 Request will support continued
fabrication for FACET-II.

SBIR/STTR $4,293,000
In FY 2017, SBIR/STTR funding was at 3.65% of noncapital funding.

$2,947,000
In FY 2019, SBIR/STTR funding will be at 3.65% of
non-capital funding.

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Explanation of Changes
FY 2019 Request vs FY 2017 Enacted-$1,500,000
Focus of support will be on the critical FACET-II
infrastructure that needs to be installed during the
shutdown of the linac for the LCLS-II installation.
-$1,346,000
A decrease in funding will represent mandated
percentages for non-capital funding.

FY 2019 Congressional Budget Justification

High Energy Physics
Accelerator Stewardship
Description
The Accelerator Stewardship subprogram has three principal activities: facilitating access to unique state-of-the-art SC
accelerator R&D infrastructure for the private sector and other users; supporting innovative early-stage applied research toadapt accelerator technology for medical, industrial, security, and defense applications; and driving a limited number of specificaccelerator applications towards practical, testable prototypes in a five to seven year timeframe. HEP manages this program as acoordinated interagency initiative, consulting with other SC programs (principally NP and BES), other DOE program offices(principally EM and NNSA), and other federal stakeholders a of accelerator technology, most notably NIH, DOD, NSF, and DHS.
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. Ongoing interagency consultation guides R&D investments,
ensuring agency priorities are addressed and exploiting synergies where possible. As the program evolves, it will identify new
cross-cutting areas of research based on input from the federal stakeholders, R&D performers, and the U.S. private sector.
Research
Accelerator Stewardship research is conducted at national laboratories, universities, and in the private sector. The stewardshipprogram supports both near-term translational R&D and long-term basic accelerator R&D. The needs for applications chosen forthis category have been specifically identified by federal stakeholders and developed further by technical workshops. Near-term
R&D funding opportunities are specifically structured to foster strong partnerships with the private sector to improve healthoutcomes while lowering cost, develop technologies that can destroy pollutants and pathogens, detect contraband andradioactive material, and support new tools of science. Long-term R&D funding is targeted at scientific innovations enabling
breakthroughs in particle accelerator size, cost, beam intensity, and control.
Facility Operations and Experimental Support
The Accelerator Stewardship subprogram supports the Brookhaven National Laboratory (BNL) Accelerator Test Facility (ATF),
which is an SC User Facility providing a unique combination of high quality electron and infrared laser beams in a well-controlleduser-friendly setting. Beam time at the BNL ATF is awarded based on merit-based peer review process. The facility remains at the
cutting edge of science and works to increase its cost efficiency through an ongoing program of facility R&D. Accelerator
Improvement Project (AIP) funding supports improvements to Accelerator Stewardship facilities.

a Partner agencies for the Accelerator Stewardship program currently are: the National Institutes of Health’s National Cancer Institute; theDepartment 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.

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High Energy Physics
Accelerator Stewardship
Activities and Explanation of Changes
FY 2017 Enacted
Accelerator Stewardship $14,091,000
Research $6,703,000
Funding supported a robust program of early-stagetranslational R&D at laboratories, universities, andindustry for technology R&D areas such as laser, ionbeam therapy, and accelerator technology.

FY 2019 Request$12,417,000$8,032,000
The FY 2019 Request will support new research
activities at laboratories, universities, and in theprivate sector for technology R&D areas such as
accelerator technology for industrial and security
uses, laser, and ion-beam therapy.

Facility Operations and Experimental Support$6,891,000$3,950,000
Funding supported the BNL ATF operations. The ATF II The FY 2019 Request will support the BNL ATF
Upgrade AIP was completed.
operations. The 20TW CO2 Laser Upgrade AIP will
begin.
SBIR/STTR $497,000$435,000In FY 2017, SBIR/STTR funding was at 3.65% of nonIn FY 2019, SBIR/STTR funding will be at 3.65% of noncapital funding.
capital funding.

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Explanation of Changes
FY 2019 Request vs FY 2017 Enacted-$1,674,000+$1,329,000
Priority will be given to long-term R&D for the scienceand technology needed to build future generations ofaccelerators.

-$2,941,000
The ATF II Upgrade AIP, completed under budget, will
be partially offset by the start of the 20TW CO2 Laser
Upgrade AIP.
-$62,000
A decrease in funding will represent mandated
percentages for non-capital funding.

FY 2019 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 in thissubprogram, including both engineering design and construction.
Long Baseline Neutrino Facility/Deep Underground Neutrino Experiment (LBNF/DUNE)
The LBNF/DUNE construction project is a federal, state, private, and international partnership developing and implementing thetechnologies of particle accelerators and detectors to enable world-leading research into the fundamental physics of neutrinos,
which are the most ubiquitous particles in the universe while at the same time among the most mysterious. Neutrinos are
intimately involved in nuclear decay processes and high energy nuclear reactions. LBNF/DUNE will study the transformations ofmuon neutrinos that occur as they travel to a large detector in South Dakota, 800 miles away from Fermilab, where they are
produced in a high-energy beam. The experiment will analyze the rare, flavor-changing transformations of neutrinos in flight,
from one lepton flavor to another, which are expected to help explain the fundamental physics of neutrinos and the imbalanceof matter and antimatter in the universe today.
The LBNF/DUNE is being managed as a single project that encompasses the construction of a particle beam at Fermilab and theinfrastructure for DUNE detectors at SURF. Fermilab, as host, will oversee all LBNF/DUNE construction and is responsible fordesign, construction, and operation of the LBNF beamline; design, construction, and operation of the conventional facilities andexperiment infrastructure on the Fermilab site required for the near detector; and design, construction, and operation of theconventional facilities and experiment infrastructure at SURF, including the cryostats and cryogenics systems, required for the far
detector. DUNE is an international 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, and operation of the near detector at Fermilab and the far detectors at SURF; and the scientific research
program conducted with the DUNE detectors. The DUNE collaboration currently consists of about 1,000 scientists and engineersfrom over 160 institutes in over 30 countries. Each of the collaborating institutions is responsible for delivering 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.
The near-term critical path item for LBNF/DUNE is excavation of the equipment caverns. Installation of the cryogenic systems
and detectors cannot start until the caverns are ready. Critical site preparations such as safety and reliability refurbishments forthe underground infrastructure as well as a waste-rock handling system must be completed before excavation can begin. CD-3A
approval for excavation of the underground equipment caverns at SURF was approved September 1, 2016. The FY 2019 Requestof $113,000,000 will support the excavation of the underground equipment caverns and connecting drifts (tunnels), and support
continued design work for the near site, cryogenic systems, and the DUNE detectors.
Muon to Electron Conversion Experiment (Mu2e)
Mu2e, under construction at Fermilab, will search for evidence that a muon can change directly into an electron, a process thatprobes energy scales beyond the collision energy of the Large Hadron Collider. If observed, this major discovery would signal theexistence of new particles or new forces beyond the Standard Model. The Mu2e project completed its technical design phase(CD-3) on July 14, 2016 and moved into full construction at that time. Civil construction of the underground detector housing
and the surface building for the experiment were completed in 2017. The FY 2019 Request of $30,000,000 will conclude theplanned funding for this project and will support the completion of the procurements and equipment installation.

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High Energy Physics
Construction
Activities and Explanation of Changes
FY 2017 Enacted
Construction $93,500,000
11-SC-40, Long Baseline Neutrino Facility/Deep
Underground Neutrino Experiment $50,000,000
Funding supported the completion of site preparation
activities, and initiated the procurement of civil
construction for excavation of the undergroundequipment caverns. Funding supported design
activities for the cryogenics system, detectors, andneutrino beam.
11-SC-41, Muon to Electron Conversion Experiment$43,500,000
Funding supported the continued accelerator
modifications and procurement of technicalcomponents for the experiment.

Science/High Energy Physics

FY 2019 Request$143,000,000

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted+$49,500,000$113,000,000
The FY 2019 Request will support the far site civil
construction for the excavation of the undergroundequipment caverns and connecting drifts (tunnels). In
addition, the project will continue to do design workfor the near site, cryogenic systems, and the DUNE
detectors.

+$63,000,000
Far site civil construction for the excavation of thecaverns will ramp up to its full level in FY 2019. The
excavation will take approximately four years tocomplete.

$30,000,000
The FY 2019 Request will support the completion of
the procurements and the beginning of equipment
installation.

-$13,500,000
FY 2019 will be the last year of funding for this line
item construction project, and support will be inaccordance with the approved funding plan.

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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 2017
Performance Goal (Measure)

FY 2018

FY 2019

HEP Construction/MIE Cost & Schedule - Cost-weighted mean percentage variance from established cost and schedulebaselines for major construction, upgrade, or equipment procurement projects

Target< 10 %< 10 %< 10 %

Result

Met

TBD

TBD

Endpoint Target

Adhering to the cost and schedule baselines for a complex, large scale, science project is critical to meeting the scientificrequirements for the project and for being good stewards of the taxpayers’ investment in the project.

Performance Goal (Measure)

HEP Facility Operations - Average achieved operation time of HEP user facilities as a percentage of total scheduled annual
operation timeTarget≥ 80 %≥ 80 %≥ 80 %

Result

Met

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 be ruined or critically setback. In addition, taxpayers have invested millions or even hundredsof millions of dollars in these facilities. The greater the period of reliable operations, the greater the return on the taxpayers’
investment.

Performance Goal (Measure)

HEP Neutrino Model - Carry out series of experiments to test the standard 3-neutrino model of mixing

TargetFermilab switches operations mode over MicroBooNE data taking will complete
NOvA will present important results on
from neutrino beam to antineutrino
final year of phase-1. NOvA will publish whether neutrino mixing is “maximal”
beam delivery to the NOvA experiment. the first muon and electron anti-neutrino and the mass ordering of neutrino states.
NOvA accumulates physics data inoscillation results. ICARUS data taking will MicroBooNE will address the low-energy
antineutrino mode.
begin. SBND physics commissioning will anomalies observed in neutrino
continue.
interactions. First results from ICARUS
will be presented.

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Result
Endpoint Target

Science/High Energy Physics

FY 2017

FY 2018

FY 2019

Met

TBD

TBD

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 iscorrect. Such a model is needed to correctly extract evidence for CP violation in the neutrino sector.

220

FY 2019 Congressional Budget Justification

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 Accelerator Upgrade Project e
HL-LHC ATLAS Detector Upgrade f
HL-LHC CMS Detector Upgrade g
Intensity Frontier Experimental Physics
Muon g-2 Experiment h

FY 2018
Annualized CR a

FY 2019
RequestFY 2019
Request vsFY 2017
Enacted

Total

Prior Years

FY 2017
Enacted

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

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

98,946
7,400
7,925
114,271————

106,450
1,500
7,700
115,650+7,504-5,900-225+1,37920,821
22,629200,000
128,485
128,500

12,321
14,662
0
0
0

8,500
7,967
0
0
0

—
—
—
—
—

0
0
42,00017,50017,500-8,500-7,967+42,000+17,500+17,500

27,54921,200

6,349

—

0

-6,349a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown 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.
d Critical Decisions CD-2 and 3 for the LHC CMS Detector Upgrade Project were approved on November 12, 2014. The TPC is $33,217,000.
e Critical Decision CD-1/3a for HL-LHC Accelerator Upgrade Project was approved October 13, 2017. The estimated cost range was $208,600,000 to $252,400,000.
f Critical Decision CD-0 for HL-LHC ATLAS Detector Upgrade Project was approved April 13, 2016. The estimated cost range was $125,000,000 to $155,000,000.
g Critical Decision CD-0 for HL-LHC CMS Detector Upgrade Project was approved April 13, 2016. The estimated cost range was $125,000,000 to $155,000,000.
h Critical Decision CD-4 for Muon g-2 Experiment was approved January 16, 2018. The TPC is $46,400,000.

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Cosmic Frontier Experimental Physics
Large Synoptic Survey Telescope Camera(LSSTcam) a
Dark Energy Spectroscopic Instrument b (DESI)LUX-ZEPLIN c (LZ)SuperCDMS-SNOLAB d
Advanced Technology R&D
FACET II e
Total MIEs
Total Non-MIE Capital Equipment
Total, Capital equipment
General Plant Projects (GPP)
Industrial Center Building addition
Central Utility Building (CUB) Improvement
Other projects under $5 million TEC
Total, Plant Project (GPP)FY 2018
Annualized CR a

FY 2019
RequestFY 2019
Request vsFY 2017
Enacted

Total

Prior Years

FY 2017
Enacted150,300

95,50045,000—0-45,000

45,45052,05018,725

10,30011,0002,375

12,00012,500
3,400

—
—
—

7,500
14,4505,000-4,500+1,950+1,60017,400
n/a
n/a
n/a

0
n/a
n/a
n/a

500
96,216
2,730
98,946

—
—
—
—

2,000
105,950500
106,450+1,500+9,734-2,230+7,504

8,250
8,839
n/a
n/a

0
0
n/a
n/a

6,750
0
650
7,400

—
—
—
—

0
1,500
0
1,500

-6,750+1,500-650-5,900a Critical Decision CD-3 for the LSSTcam project was approved on August 27, 2015. The TPC is $168,000,000.
b Critical Decision CD-3 for DESI project was approved on June 22, 2016, with a TPC of $56,328,000.
c Critical Decision CD-3 for LZ project was approved February 9, 2017. The TPC is $55,500,000.
d The estimated cost range for SuperCDMS-SNOLAB at Critical Decision CD-1 approved December 21, 2015 was $16,000,000–$21,500,000.

e The estimated cost range for FACET II at CD-1 approved on December 21, 2015 was $46,000,000–$60,000,000. Funding at the proposed FY 2019 request level would require an evaluationof the project scope from CD-1.

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FY 2019 Congressional Budget Justification

Accelerator Improvement Projects (AIP)
Muon Campus Cryogenics
Sector 10 Injector Infrastructure
20TW CO2 Laser Upgrade
NuMI Target System
Booster Intensity
Bella Second Beamline
Other projects under $5 million TEC a
Total, Accelerator Improvement Projects

Total

Prior Years

FY 2017
Enacted

9,600
5,025
9,000
6,100
6,200
7,795
n/a
n/a

8,200
0
0
0
0
0
n/a
n/a

1,400
3,525
0
0
0
0
3,000
7,925

FY 2018
Annualized CR a

FY 2019
RequestFY 2019
Request vsFY 2017
Enacted

—
—
—
—
—
—
—
—

0
0
500
3,700
3,000
500
0
7,700

-1,400-3,525+500+3,700+3,000+500-3,000-225

a ATF II Upgrade was previously estimated to be $5,000,000 and was listed as a separate line in the FY 2018 Congressional submission. The project was completed under budget in FY 2017and is now included in the Other projects under $5 Million TEC line.

Science/High Energy Physics

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FY 2019 Congressional Budget Justification

Major Items of Equipment Descriptions
Energy Frontier Experimental Physics MIEs:
The LHC ATLAS Detector Upgrade Project was baselined (CD-2) and approved on November 12, 2014, for a fabrication start(CD-3), with a total project cost of $33,250,000 and a project completion date in FY 2019. The U.S. scope includes upgrades tothe muon subsystem, the liquid-argon calorimeter detector, and the trigger and data acquisition system to take advantage of theincreased LHC luminosity. The project is producing subsystem components for installation beginning in 2018. The FY 2019
Request will not include funding for this project, as it will have sufficient funds to complete all remaining deliverables.
The LHC CMS Detector Upgrade Project was baselined (CD-2) and approved on November 12, 2014, for a fabrication start (CD-3),
with a total project cost of $33,217,000 and a project completion date in FY 2020. The planned U.S. scope includes upgrades tothe pixelated inner tracking detector, the hadron calorimeter detector, and the trigger system to take advantage of the increased
LHC luminosity. The project has successfully installed the pixelated inner tracking detector and portions of the trigger andhadron calorimeter; the remaining components are being produced and for installation in FY 2018. The FY 2019 Request will notinclude funding for this project, as it will have sufficient funds to complete all remaining deliverables.
The High Luminosity Large Hadron Collider Accelerator Upgrade Project (HL-LHC Accelerator Upgrade Project) requested to start
as a new MIE in the FY 2018 President’s Budget Request with $27,000,000 of initial TEC funding. The HL-LHC Accelerator
Upgrade Project received CD-1/3a approval on October 13, 2017 with an estimated cost range of $208,600,000 to $252,400,000.
Following the major upgrade, the CERN LHC machine will further increase the particle collision rate by a factor of three times to
explore new physics beyond the reach of the current LHC program. The project will deliver components for which the U.S.
scientists have critical expertise: interaction region focusing quadrupole magnets, and special superconducting RF crab cavities
that are capable of generating transverse electric fields. The magnets will be assembled at Lawrence Berkeley National
Laboratory, Brookhaven National Laboratory, and Fermilab, exploiting special expertise and unique capabilities at eachlaboratory. The FY 2019 Request of TEC funding will be $42,000,000 supporting the production of quadrupole magnets and crab
cavities.
The High Luminosity Large Hadron Collider ATLAS Detector Upgrade Project (HL-LHC ATLAS) will start as a new MIE in FY 2019with $17,500,000 of initial TEC funding. The HL-LHC ATLAS Detector Upgrade Project received CD-0 approval on April 13, 2016
with an estimated cost range of $125,000,000 to $155,000,000. The ATLAS detector is expected to integrate a factor of ten
higher amount of data per run, compared to the period prior to the HL-LHC upgrades, making the physical conditions in which
the detectors run very challenging. To operate for an additional decade in these new conditions, the ATLAS detector will require
upgrades to the silicon pixel and strip tracker detectors, the muon detector systems, the calorimeter detectors and associatedelectronics, and the trigger and data acquisition systems. The National Science Foundation (NSF) is preparing a Major Research
Equipment and Facility Construction (MREFC) Project to provide different scope to the HL-LHC ATLAS detector. DOE and NSF arecoordinating their contributions to avoid duplication. The FY 2019 Request of TEC funding will be $17,500,000 supporting the
procurement of solid-state detecting components for the ATLAS inner tracking detectors.
The High Luminosity Large Hadron Collider CMS Detector Upgrade Project (HL-LHC CMS) will start as a new MIE in FY 2019 with
$17,500,000 of initial TEC funding. The HL-LHC CMS Detector Upgrade Project received CD-0 approval on April 13, 2016 with anestimated cost range of $125,000,000 to $155,000,000. The CMS detector is expected to integrate a factor of ten higher amountof data per run, compared to the period prior to the HL-LHC upgrades, making the physical conditions in which the detectors runvery challenging. To operate for an additional decade in these new conditions, the CMS detector will require upgrades to thesilicon pixel tracker detectors, outer tracker detector, the muon detector systems, the calorimeter detectors and associatedelectronics, and the trigger and data acquisition systems. NSF is preparing a MREFC Project to provide different scope to the HLLHC CMS detector. DOE and NSF are coordinating their contributions to avoid duplication. The FY 2019 Request of TEC funding
will be $17,500,000 supporting the procurement of solid-state detecting components for the CMS inner tracking detectors.
Intensity Frontier Experimental Physics MIE:
The Muon g-2 Project completion date will be in FY 2019. The FY 2019 Request will not include funding for this project, as it will
have sufficient funds to complete all remaining deliverables.

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FY 2019 Congressional Budget Justification

Cosmic Frontier Experimental Physics MIEs:
The Large Synoptic Survey Telescope Camera (LSSTcam) project received CD-2 approval on January 7, 2015, with a DOE TPC of$168,000,000 and a project completion date in FY 2022. CD-3 was approved on August 27, 2015. LSSTcam is fabricating a stateof-the-art three billion pixel digital imaging camera for the next-generation, wide-field, ground-based optical and near-infrared
LSST facility, located in Chile. LSST is designed to provide deep images of half the sky every few nights, enabling study of thenature of dark energy. LSSTcam is DOE’s responsibility in the collaboration with the NSF, which leads the LSST project, along withprivate and foreign contributions. The project is currently producing many of the camera components, which are being tested
and integrated before shipment to Chile in 2020. The FY 2019 Request will not include funding for this project, as it will havesufficient funds to complete all remaining deliverables.
The Dark Energy Spectroscopic Instrument (DESI) project received CD-2 approval on September 17, 2015 with a TPC of$56,328,000, and a project completion date of FY 2021. CD-3 was approved on June 22, 2016. DESI will fabricate a nextgeneration, fiber-fed, ten-arm spectrograph to be operated on Mayall 4-meter telescope at Kitt Peak National Observatory in
Arizona, with operations of the telescope supported by DOE. DESI will measure the effects of dark energy on the expansion of
the universe using dedicated spectroscopic measurements and will provide a strong complement to the LSST imaging survey. The
FY 2019 Request of TEC funding will be $7,500,000, which will enable the project to continue its fabrication phase, producing
and testing the instrument components, along with integration of the components on the telescope.
The LUX-ZEPLIN (LZ) project received CD-2 approval on August 8, 2016 with a TPC of $55,500,000, and a project completion date
in FY 2022. CD-3 was approved on February 9, 2017. LZ is one of two MIEs selected to meet the Dark Matter Second Generation
Mission Need and the concept for the experiment was developed by a merger of the LUX and ZEPLIN collaborations from the
U.S. and the U.K. respectively. The project will fabricate a detector using seven tons of liquid xenon inside a time projection
chamber to search for xenon nuclei that recoil in response to collisions with an impinging flux of dark matter particles known as
Weakly Interacting Massive Particles (WIMPs). The detector will be located 4,850 feet deep in the Sanford UndergroundResearch Facility (SURF) in Lead, South Dakota. The FY 2019 Request of TEC funding will be $14,450,000, which will support final
procurement, fabrication, testing, and integration of detector components at SURF. This will be the final funding request for the
LZ MIE.
The Super Cryogenic Dark Matter Search at Sudbury Neutrino Observatory Laboratory (SuperCDMS-SNOLAB) project received
CD-1 approval on December, 21, 2015 with an estimated cost range of $16,000,000 to $21,500,000. SuperCDMS-SNOLAB is oneof the two MIEs selected to meet the Dark Matter Second Generation Mission Need. The project will fabricate instrumentationthat uses ultra-clean, cryogenically-cooled silicon (Si) and germanium (Ge) detectors to search for Si or Ge nuclei recoiling in
response to collisions with WIMPs, and will be optimized to detect low mass WIMPs to cover a range of masses complementary
to that of LZ’s sensitivity. The detector will be located 2 km deep in the SNOLAB facility in Sudbury, Ontario, Canada. The FY 2019
Request of TEC funding for SuperCDMS-SNOLAB will be $5,000,000, which will enable the project, in its fabrication phase, tocontinue producing and testing the instrument components, along with integration of the components at SNOLAB.
Advanced Technology R&D MIE:
The Facility for Accelerator and Experimental Tests II (FACET-II) project started MIE fabrication in FY 2017. CD-1 was approved
December 21, 2015 with an estimated cost range of $46,000,000–$60,000,000. FACET-II will succeed FACET as the world’s
premier beam driven plasma wakefield facility and provide intense ultra-short electron beams for other applications inaccelerator and related sciences. The successful FACET program ended due to the construction of the Linac Coherent Light
Source II (LCLS-II) in the portion of the SLAC tunnel used by FACET. FACET-II is being designed to deliver beams using only one
third of the SLAC linac. The FY 2019 Request of TEC funding for FACET-II will be $2,000,000. In FY 2019, work will continue on
fabricating the beamline components 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 2017 Enacted

FY 2018
Annualized CR a

FY 2019 Request

FY 2019 Request
vs FY 2017
Enacted

11-SC-40, Long Baseline Neutrino
Facility/Deep Underground Neutrino
Experiment
TEC
OPC
TPC

1,465,000
95,0001,560,000

61,781
85,625
121,320

50,000050,00049,660—b
51,660113,000
1,000
114,000+63,000+1,000+64,000

11-SC-41, Muon to Electron Conversion
Experiment
TEC
OPC
TPC

250,000
23,677
273,677

132,100
23,677
115,677

43,500043,50043,205—
43,20530,000030,000-13,500
0-13,500

n/a
n/a
n/a

n/a
n/a
n/a

93,500093,50092,865—
94,865143,000
1,000
144,000+49,500+1,000+50,500

Total, Construction
TEC
OPC
TPC

a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).
b $2,000,000 is planned for FY 2018 Annualized CR.

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FY 2019 Congressional Budget Justification

Funding Summary ($K)

Research
Facilities Operations
Scientific User Facilities Operations
Other Facilities
Total, Facilities Operations
Projects
Major Items of Equipment b
Other Projects
Constructionb
Total, Projects
Total, High Energy Physics

FY 2017
Enacted
347,852

FY 2018
Annualized CR a—

FY 2019
Request280,130

FY 2019 Request vsFY 2017 Enacted-67,722

136,472
118,690
255,162———

111,150
99,870211,020-25,322-18,820-44,142

107,566
5,700
108,720
221,986
825,000————
819,397

109,8500
169,000
278,850770,000+2,284-5,700+60,280+56,864-55,000

a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).
b Includes Other Project Costs.

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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 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 2017
EnactedFY 2018
Annualized CR a

FY 2019
RequestFY 2019 Request vsFY 2017 Enacted$130,781
2,246
4,823
4,800
4,800
100.5%
658

—
—
—
—
—
—
—

$107,200
2,096
N/A
3,600
4,800
75.0%
N/A

-$23,581-150
N/A-1,2000-25.5%N/A

a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).

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FY 2019 Congressional Budget Justification

Accelerator Test Facility (BNL)
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours

FY 2017
Enacted$5,691
97
2,273
2,060
2,500
90.9%
256

FY 2018
Annualized CR a
—
—
—
—
—
—
—

FY 2019
Request$3,950
64
N/A
1,751
2,050
85.4%
N/A

FY 2019 Request vsFY 2017 Enacted-$1,741
-33
N/A
-309
-450
-5.5%
N/A

Total Facilities
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent of optimal hours a
Unscheduled downtime hours$136,472
2,343
7,096
6,860
7,300
100.1%
914

—
—
—
—
—
—
—

$111,150
2,160
N/A
5,351
6,850
75.4%
N/A

-$25,322-183
N/A-1,509-450-24.7%
N/A

Scientific Employment
FY 2017 Enacted
Number of permanent Ph.D.’s (FTEs)
Number of postdoctoral associates (FTEs)
Number of graduate students (FTEs)
Other c

895
335
495
1,870

𝑛𝑛

FY 2018 Annualized
CR b
—
—
—
—

FY 2019 Request
740
260
395
1,785

FY 2019 Request vsFY 2017 Enacted
-155
-75
-100
-85

a For total facilities only, this is a “funding weighted” calculation FOR ONLY TYPE A facilities: ∑1 [(%𝑂𝑂𝑂𝑂 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛)×(𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜)]

𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑎𝑎𝑎𝑎𝑎𝑎 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑡𝑡𝑖𝑖𝑖𝑖𝑖𝑖𝑖𝑖

bA full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).
c Includes technicians, engineers, computer professionals, and other support staff.

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FY 2019 Congressional Budget Justification

Science/High Energy Physics

230

FY 2019 Congressional Budget Justification

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 2018 CPDS and does not include a new start for FY 2019.
Development of the design and cost estimates have been refined since the FY 2018 Budget Request to Congress, resulting in
an increase to the TPC point estimate from $1,536,000 to $1,560,000 as 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 andare being incorporated in development of the project design. A Construction Manager/General Contractor (CM/GC) was
selected in FY 2017 for delivery of the Far Site conventional facilities scope that was approved at the end of FY 2016.
Summary
The FY 2019 Request for Long Baseline Neutrino Facility (LBNF)/Deep Underground Neutrino Experiment (DUNE) is$113,000,000. The most recent approved DOE Order 413.3B is CD-3A, approval for Initial Far Site Construction: initiating
excavation and construction for the LBNF Far Site conventional facilities in order to mitigate risks and minimize delays forproviding 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 fullcost of the LBNF host facility excluding foreign contributions, as well as the full cost of the DOE contribution to the DUNE
experimental apparatus.
The LBNF/DUNE construction project is a federal, state, private, and international partnership developing and implementing
the technologies of particle accelerators and detectors to enable world-leading research into the fundamental physics ofneutrinos, which are the most ubiquitous particles in the universe while at the same time among the most mysterious.
Neutrinos are intimately involved in nuclear decay processes and high energy nuclear reactions. LBNF/DUNE will study thetransformations of muon neutrinos that occur as they travel to a large detector in South Dakota, 800 miles away from
Fermilab where they are produced in a high-energy beam. The experiment will analyze the rare, flavor-changing
transformations of neutrinos in flight, from one lepton flavor to another, which are expected to help explain thefundamental physics of neutrinos and the puzzling matter-antimatter asymmetry that enables our existence in a matterdominated universe.
The LBNF/DUNE project comprises a national flagship particle physics initiative. LBNF/DUNE will be the first-ever large-scaleinternational science facility hosted by the United States. As part of implementation of High Energy Physics Advisory PanelParticle Physics Project Prioritization Panel (P5) recommendations, the LBNF/DUNE project consists of two multinational
collaborative efforts:

LBNF is responsible for the beamline at Fermilab and other experimental and civil infrastructure at Fermilab and at the
Sanford Underground Research Facility (SURF) in South Dakota. It is currently operated by the South Dakota Science andTechnology Authority (SDSTA), an agency of the State of South Dakota, and hosts experiments supported by DOE, NSF,
and major research universities.
DOE entered into a land lease with the SDSTA on May 20, 2016 covering the area on which the DOE funded facilities will
be housed and the LBNF and DUNE detector will be built. The lease provides the framework for DOE and Fermilab toconstruct 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 neutrino detector. Other Project Costs (OPC) funding
has been identified in years FY 2018-FY 2026 for plant support costs provided by SDSTA.

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

DUNE is an international scientific collaboration responsible for defining the scientific goals & technical requirements
for the beam and detectors, as well as the design, construction & commissioning of the detectors and subsequent
research program.

DOE’s High Energy Physics program manages both activities as a single, line-item construction project—LBNF/DUNE. LBNF,
with DOE/Fermilab leadership and minority participation by a small number of international partners including CERN, will
construct a megawatt-class neutrino source and related facilities at Fermilab (the “near site”), as well as undergroundcaverns and cryogenic facilities in South Dakota (the “far site) needed to house the DUNE detectors. DUNE has international
leadership and participation by about 1,000 scientists and engineers from over 160 institutions in over 30 countries. The
mass of the detectors totaling 40 kilotons will be distributed in four cryostats housed in large caverns at SURF. An additional
cavern at SURF will accommodate the cryogenic and other utility systems. DOE will fund less than a third of DUNE.
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.
Contributions from the international partners to LBNF/DUNE are currently being negotiated by Fermilab and DOE. The DOE
and CERN signed an agreement in May 2017 that CERN will provide in-kind contributions worth $165,000,000 for
LBNF/DUNE. In September 2017, the United Kingdom announced an $88,000,000 grant to a UK collaboration that will
provide in-kind contributions to LBNF/DUNE and the Proton Improvement Plan II project. The detailed distribution between
the projects is still being finalized. For the DUNE detectors, the collaboration has put in place a process to complete atechnical design of the detectors and divide the work of building the detectors between the collaborating institutions. The
first review of the design will take place in summer of 2018 and the final design report with a complete set of funding
responsibilities will be reviewed by the Long Baseline Neutrino Committee in spring of 2019. All DOE contributions to thefacility and the detectors will be managed according to DOE Order 413.3B, and Fermilab 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 andunderground construction.
The FY 2019 Request will support the far site civil construction for the excavation of the underground equipment caverns
and connecting drifts (tunnels), which will be initiated late in FY 2018 and will ramp up to its full level in FY 2019. The
excavation will take approximately four years to complete.
A Federal Project Director with a certification level 4 has been assigned to this project and has approved this CPDS.

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2.

Critical Milestone History

FY 2011
FY 2012FY 2016 a
FY 2017
FY 2018
FY 2019CD-0
1/8/2010
1/8/2010
1/8/2010
1/8/2010
1/8/2010
1/8/2010(fiscal quarter or date)

Conceptual
DesignComplete
12/10/2012
11/5/2015 b
11/5/2015b
11/5/2015b

CD-1
1Q FY 2011
2Q FY 201212/10/2012
11/5/2015b
11/5/2015b
11/5/2015b

CD-2
TBD
TBD
4Q FY 2017
1Q FY 2020
1Q FY 2021
1Q FY 2021

Final Design
Complete
4Q FY 2013
2Q FY 2015
4Q FY 2019
1Q FY 2020
1Q FY 2022
1Q FY 2022

D&D
CD-3
Complete
CD-4
TBD
TBD
TBD
TBD
TBD
TBD
4Q FY 2019
N/A
4Q FY 2027
1Q FY 2020
N/A
4Q FY 2030
1Q FY 2022
N/A
4Q FY 2030
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
FY 2019

CD-1R

CD-3A

CD-3B

CD-3(C)

11/5/2015
11/5/2015
11/5/2015

2Q FY 2016
9/1/2016
9/1/2016

3Q FY 2018
1Q FY 2021
1Q FY 2021

1Q FY 2020
1Q FY 2022
1Q FY 2022

Performance
Baseline Validation
1Q FY 2020
1Q FY 2021
1Q FY 2021

CD-1R – Refresh of CD-1 approval for the new Conceptual Design.
CD-3A – Approve Initial Far Site Construction: initiating excavation and construction for the LBNF Far Site conventional
facilities in order to mitigate risks and minimize delays for providing a facility ready to accept detectors for installation.
CD-3B – Approve Start of Far Site Construction: procurement of the remaining Far Site scope for conventional facilities,
cryogenic systems and detectors.
CD-3(C) – Approve Start of Near Site Construction: procurement of Near Site scope and any remaining LBNF/DUNE scope.
(Same as CD-3.)

a No CPDS was submitted for FY 2013, FY 2014 or FY 2015 because no TEC funds were requested; however, design funds were provided ineach 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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3.

Project Cost History

FY 2011
FY 2012FY 2016 a
FY 2017
FY 2018
FY 2019 bc
4.

TEC, Design
102,000
133,000
127,781
123,781234,375
231,000

TEC,
Construction
TBD
TBD
655,6121,290,680
1,199,000
1,234,000(dollars in thousands)
OPC Except
TEC, Total
D&D
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
1,465,000
95,000N/A

OPC, Total
TBD
TBD
89,53985,539102,625
95,000TPC
TBD
TBD
872,932
1,500,000
1,536,000
1,560,000

Project Scope and Justification

Scope
LBNF/DUNE will be composed of a neutrino beam created by new construction as well as modifications to the existingFermilab accelerator complex, massive neutrino detectors (at least 40,000 tons in total) and associated cryogenics
infrastructure located in one or more large underground caverns to be excavated at least 800 miles “downstream” from theneutrino source, and a much smaller neutrino detector at Fermilab for monitoring the neutrino beam near its source. A
primary beam of protons will produce a neutrino beam directed into a target for converting the protons into a secondary
beam of particles (pi mesons and muons) that decay into neutrinos, followed by a decay tunnel hundreds of meters longwhere the decay neutrinos will emerge and travel through the earth to the massive detector. The Neutrinos at the Main
Injector (NuMI) beam at Fermilab is an existing example of this type of configuration for a neutrino beam facility. The new
LBNF beam line will provide a neutrino beam of lower energy and greater intensity than the NuMI beam, and would point toa far detector at a greater distance than is used with NuMI experiments.
For the LBNF/DUNE project, Fermilab will be responsible for design, construction and operation of the major components of
LBNF including: the primary proton beam, neutrino production target, focusing structures, decay pipe, absorbers andcorresponding beam instrumentation; the conventional facilities and experiment infrastructure on the Fermilab siterequired for the near detector; and the conventional facilities and experiment infrastructure at SURF for the large detectors
including the cryostats and cryogenics systems.
Justification
Recent international progress in neutrino physics, celebrated by the Nobel Prizes for Physics in 1988, 1995, 2002, and 2015,
provides the basis for further discovery opportunities. Determining relative masses and mass ordering of the three known
neutrinos will give guidance and constraints to theories beyond the Standard Model of particle physics. The study andobservation of the different behavior of neutrinos and antineutrinos will offer insight into the dominance of matter overantimatter in our universe and therefore, the very structure of our universe. The only other source of the matter-antimatterasymmetry, in the quark sector, is too small to account for the observed matter dominance.
Among the technical issues addressed in the alternatives analysis were the preferred detector technology and the neutrino
beamline design. After a thorough study, both technologies were found 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
a No CPDS was submitted for FY 2013, FY 2014 or FY 2015 because no TEC funds were requested; however, design funds were provided ineach 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 $1,560,000,000.
c No construction, other than site preparation, approved civil construction or long-lead procurement will be performed prior to validationof the Performance Baseline and approval of CD-3.

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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 preliminary Key Performance Parameters (KPPs) for project completion that were approved by CD-1 in FY 2015 include
the primary beam and neutrino beam production systems as well as underground caverns excavated for four separate,
10 kton detectors (of liquid-argon, time-projection detectors) at the SURF site, 1000-1500 km from the neutrino source. The
DOE contribution for DUNE will include technical components for two of the four detectors, which will be installed andtested with cosmic rays, and components of the cryogenic systems for the detectors, which will be installed and pressure
tested. The KPPs will be finalized at CD-2.
Preliminary Key Performance Parameters
Scope
Threshold KPP
Primary Beam to produce neutrinos
Beamline hardware commissioning
directed to the far detector site
complete and demonstration of
protons delivered to the target

Objective KPP
In addition to Threshold KPPs, systemenhancements to maximize neutrino
flux, enable tunability in neutrinoenergy spectrum or to improveneutrino beam capability

Far Site-Conventional Facilities

Caverns excavated for 40 kiloton
fiducial detector mass a; beneficial
occupancy granted for cavern space tohouse 20 kiloton fiducial detector
massa

In addition to Threshold KPPs,
Beneficial Occupancy granted forremaining cavern space

Detector Cryogenic Infrastructure

DOE-provided components for
Cryogenic subsystems installed andpressure tested for 20 kiloton fiducial
detector mass

In addition to Threshold KPPs,
additional DOE contributions tocryogenic subsystems installed andpressure tested for additional 20
kiloton fiducial detector mass; DOE
contributions to cryostats

Long-Baseline Distance between
neutrino source and far detector

1,000-1,500 kilometers

1,000-1,500 kilometers

Far Detector

DOE-provided components installed incryostats to support 20 kiloton fiducial
detector mass, with cosmic ray
interactions detected in each detector
moduleIn addition to Threshold KPPs,
additional DOE contributions to
support up to 40 kiloton fiducial
detector massa Fiducial detector mass pertains to the mass of the interior volume of the detection medium (liquid argon) that excludes the external
portion of the detection medium where most background events would occur.

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5.

Financial Schedule a

Appropriations
Total Estimated Cost (TEC)
Design Only c
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
Subtotal, Design Only
Design (Design andConstruction)
FY 2016
FY 2017
FY 2018
FY 2019
Outyears
Subtotal, Design (Design andConstruction)
Total, Design(dollars in thousands)
Recovery Act
Obligations
Costs

Costs b

4,000
3,781
16,00012,000035,781

4,000
3,781
16,00012,000035,781

0
0
0
0
0
0

0d
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

0
0
0
0
0

14,356 e37,257
11,000 f
20,000112,606

N/A

N/A

0

195,219

N/A

N/A

0

231,000

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

13,00043,900 g
93,0001,084,100
1,234,000

Construction
FY 2017
FY 2018
FY 2019
Outyears
Total, Construction

a The project is Pre-CD-2 and has not been baselined. All estimates are preliminary. The preliminary TPC range at CD-1 is $1,260,000,000

to $1,860,000,000. The TPC point estimate is $1,560,000,000. Design and international collaboration plans are currently being developed;
outyears are preliminary.
b Costs through FY 2017 reflect actual costs; costs for FY 2018 and the outyears are estimates.
c Design Only CPDS was prepared in FY 2012; no CPDS was prepared FY 2013-2015. Funding amounts shown for traceability. FY 2016 andonward CPDS prepared as Design and Construction.
d$1,078,000 was erroneously costed to this project in FY 2012, the accounting records were adjusted in early FY 2013.
e Costs were for Far Site preparation including safety and reliability refurbishment of the underground infrastructure, which is needed
prior to initiating excavation of the equipment caverns.
f Estimated costs are for continuing project engineering design in preparation for CD-2.
g Estimated costs are for initiating excavation of the equipment caverns at the Far Site as approved by CD-3A.

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TEC
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
Outyears
Total, TEC

Appropriations(dollars in thousands)
Recovery Act
Obligations
Costs

Costs b

4,000
3,781
16,00012,00026,00050,00054,900113,000
1,185,319
1,465,000

4,000
3,781
16,00012,00026,00050,00054,900113,000
1,185,319
1,465,000

0
0
0
0
0
0
0
0
0
0

0
801
7,109
15,791
26,43650,25754,900113,000
1,196,706
1,465,000

Other 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
FY 2019
Outyears
Total, OPC

12,486 a
14,178
7,768
17,00014,107
10,00010,000
86
0
100
1,000
8,275
95,00012,486
14,1787,750
17,018 b
14,107
10,00010,000
86
0
100
1,000
8,275
95,000

0
4,696
7,233
557 c
0
0
0
0
0
0
0
0
12,4860
6,336
11,321
17,94013,232
11,505
10,079
2,284
120
100
1,000
8,597
82,514

Total Project Cost (TPC)FY 2009 Recovery Act
FY 2010
FY 2011
FY 2012FY 2013
FY 2014
FY 2015

12,486
14,178
7,768
21,00017,88826,00022,00012,486
14,1787,750
21,01817,88826,00022,000

0
4,696
7,233
557
0
0
0

0
6,336
11,321
17,94014,033
18,61425,870

a $13,000,000 of Recovery Act funding was originally planned for the conceptual design; the difference of $512,000 relates to preconceptual 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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FY 2016
FY 2017
FY 2018
FY 2019
Outyears
Total, TPC
6.

(dollars in thousands)
Recovery Act
Obligations
Costs
26,086050,000055,0000
114,0000
1,193,594
0
1,560,000
12,486

Appropriations
26,08650,00055,000114,000
1,193,594
1,560,000

Costs b28,72050,37755,000114,000
1,205,303
1,547,514

Details of Project Cost Estimate
Current Total
Estimate(dollars in thousands)
Previous Total
Original Validated
Estimate
Baseline

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Far Site Civil Construction a
Fermilab Site Civil Construction b
Far Site Technical Infrastructure c
Fermilab Site Beamlinec
DUNE Detectors
Contingency
Total, Construction
Total, TEC
Contingency, TEC

208,000
23,000231,000

201,375
33,000234,375

N/A
N/A
N/A

360,375
317,375
108,125
125,125
82,000241,000
1,234,000
1,465,000
264,000

300,000
281,000
98,000110,000
75,000335,000
1,199,000
1,433,375
368,000

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
Total, OPC
Total, TPC
Total, Contingency

20,62530,00035,0009,375
95,0001,560,000
264,000

20,62530,00035,00017,000102,625
1,536,000
368,000

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

a Far Site civil construction involves excavation of caverns at SURF, 4850 ft. below the surface, for technical equipment including particle
detectors and cryogenic systems.
b Fermilab Site civil construction involves construction of the housing for the neutrino-production beam line and the near detector.
c Technical equipment in the DOE scope, estimated here, will be supplemented by in-kind contributions of additional technical equipment,
for the accelerator beam and particle detectors, from non-DOE partners as described in Section 1.

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7.

Schedule of Appropriation Requestsa

RequestYear
Prior Years
FY 2011 TEC
102,000
OPC
22,180TPC
124,180
FY 2012 TEC
91,000OPC
42,621
TPC
133,621
FY 2016 TEC
23,781OPC
75,539TPC
99,320FY 2017 TEC
23,781OPC
75,539TPC
99,320FY 2018 TEC
23,781OPC
75,539TPC
99,320b
FY 2019 TEC
23,781OPC
75,539TPC
99,3208.

FY 201500042,000042,00012,00010,00022,00012,00010,00022,00012,00010,00022,00012,00010,00022,000FY 201600
0
0
00
16,0004,000
20,00026,000026,00026,00086
26,08626,00086
26,086(dollars in thousands)
FY 2017
FY 2018
FY 2019
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
45,021
TBD
TBD
0
0
TBD
45,021
TBD
TBD
50,00054,90000100
050,00055,000050,00054,900113,000
0100
1,000
50,00055,000114,000

Outyears
0
0
0
0
0
0
TBD
TBD
TBD
1,307,659
0
1,307,659
1,266,694
16,9001,283,594
1,185,319
8,275
1,193,594

Total
102,000
22,180124,180
133,000
42,621
175,621783,393
89,539872,932
1,414,461
85,5391,500,000
1,433,375
102,625
1,536,000
1,465,000
95,0001,560,000

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(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

a Design and international collaboration plans are currently being developed; outyears are preliminary.
b 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 $1,560,000,000.

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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 to eliminate
excess space at Fermilab to offset the LBNF/DUNE project was approved by DOE Headquarters on November 12, 2009. The
waiver identified and transferred to Fermilab 575,104 square feet of excess space to accommodate the new LBNF/DUNE
facilities and other as yet unbuilt facilities from space that was banked at other DOE facilities.
10. Acquisition Approach
The acquisition approach is documented in the Acquisition Strategy approved as part of CD-1. DOE is acquiring design,
construction, fabrication, and operation of LBNF through the M&O contractor responsible for Fermilab, Fermi Research
Alliance (FRA). FRA and Fermilab, through the LBNF Project based at Fermilab, is responsible to DOE to manage andcomplete construction of LBNF at both the near and remote site locations. FRA and Fermilab are assigned oversight andmanagement responsibility for execution of the international DUNE project, to include management of the DOE
contributions to DUNE. The basis for this choice and strategy is that:










Fermilab is the site of the only existing neutrino beam facility in the U.S. and, in addition to these facilities, provides asource of existing staff and expertise to be utilized for beamline and detector construction.
Fermilab can best ensure that the design, construction, and installation of key LBNF and DUNE components arecoordinated effectively and efficiently with other research activities at Fermilab.
Fermilab has a DOE-approved procurement system with established processes and acquisition expertise needed toobtain the necessary components and services to build the scientific hardware, equipment and conventional facilities
for the accelerator beamline, and detectors for LBNF and DUNE.
Fermilab has extensive experience in managing complex construction, fabrication, and installation projects involving
multiple national laboratories, universities, and other partner institutions, building facilities both on-site and at remoteoff-site locations.
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.

The LBNF/DUNE construction project is a federal, state, private and international partnership. Leading the LBNF/DUNE
Project, Fermilab will collaborate and work with many institutions, including 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 tocomplete the conventional facilities construction at the remote site needed to house and outfit the DUNE far detector. With
the DUNE collaboration, Fermilab is also responsible for technical and resource coordination to support the DUNE far andnear detector design and construction. DOE will be providing in-kind contributions to the DUNE collaboration for detector
systems, as agreed upon with the international DUNE collaboration.

Science/High Energy Physics/11-SC-40,
Long Baseline Neutrino Facility/Deep Underground
Neutrino Experiment (LBNF/DUNE)240

FY 2019 Congressional Budget Justification

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 (A/E) companies for design services and contracts will be incrementally phase-fundedsince 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 andwith an A/E firm for design of LBNF far site conventional facilities at SURF. Fermilab will solicit bids for CM/GC services tomanage the construction of LBNF far site facilities. The CM/GC subcontractor will furnish all labor, equipment and materials
for far site conventional facilities construction management. Work includes 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 and heavy construction
projects. The CM/GC firm will provide support services to the LBNF and A/E teams, including input regarding the selection ofmaterials, building systems and equipment, construction feasibility, value engineering, and factors related to construction,plus cost estimates and schedules, including estimates of alternative designs or materials. The CM/GC will also provide
recommendations of actions designed to minimize adverse effects 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.
Science/High Energy Physics/11-SC-40,
Long Baseline Neutrino Facility/Deep Underground
Neutrino Experiment (LBNF/DUNE)241

FY 2019 Congressional Budget Justification

DOE entered into a land lease with SDSTA on May 20, 2016 covering the area on which the DOE funded facilities housing
and supporting the LBNF and DUNE detector will be built. The lease provides the framework for DOE and Fermilab toconstruct 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 to have
responsibility for managing and operating the LBNF and DUNE far detector and facilities for a useful lifetime of 20 years andmay 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.

Science/High Energy Physics/11-SC-40,
Long Baseline Neutrino Facility/Deep Underground
Neutrino Experiment (LBNF/DUNE)

242

FY 2019 Congressional Budget Justification

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 2018 CPDS and does not include a new start for FY 2019.
Summary
The FY 2019 Request for the Muon to Electron Conversion Experiment (Mu2e) is $30,000,000, consistent with the approved
baseline funding profile, and is the last year of planned funding for the construction project. The most recent DOE Order413.3B approved Critical Decision (CD) is CD-3 (Approve Start of Construction), concurrent with completion of the final
design, approved on July 14, 2016. In FY 2015, CD-2 established the scope, cost, and schedule baseline, and CD-3B initiatedcivil 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 3 has been assigned to this project and has approved this CPDS.
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.
Construction progressed according to plan in FY 2017. Civil construction of the building and underground housing for theexperiment was completed in April 2017. This civil facility has special capabilities required to house the primary beam target
and transport systems for producing the muons and stopping them in the detector system. FY 2018 and FY 2019 funding
will support 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
11/24/2009

7/11/2012
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
3/4/2015

2Q FY 2015
2Q FY 2015
3Q FY 2016
3Q FY 2016
7/14/2016
7/14/2016

4Q FY 2015
4Q FY 2014
3Q FY 2016
3Q FY 2016
7/14/2016
7/14/2016

N/A
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
1Q FY 2023

CD-0
FY 2011
FY 2012FY 2013
FY 2014
FY 2013
Reprogramming
FY 2015
FY 2016
FY 2017 PB
FY 2018
FY 2019

Conceptual
DesignComplete

7/11/2012
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
Science/High Energy Physics/11-SC-41, Muon toElectron Conversion Experiment (Mu2e)243

FY 2019 Congressional Budget Justification

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
Performance Baseline
Validation
FY 2014
FY 2013 Reprogramming
FY 2015
FY 2016
FY 2017 PB
FY 2018
FY 20192Q FY 2015
3/4/2015
3/4/2015
3/4/2015

CD-3A

CD-3B

CD-3(C)

3Q FY 2013
3Q FY 2013
3Q FY 2014
7/10/2014
7/10/2014
7/10/2014
7/10/2014

2Q FY 2015
3/4/2015
3/4/2015
3/4/2015

3Q FY 2016
3Q FY 2016
7/14/2016
7/14/2016

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 2018
FY 2019
4.

TEC,
Design35,00036,50044,00061,00049,00047,00057,00057,00060,598 b
60,598TEC,
Construction
TBD
TBD
N/A
162,000
162,000
162,900
193,000
193,000
189,402
189,402(dollars in thousands)
OPC Except
TEC, Total
OPC, D&D
D&D
TBD
10,000
TBD
TBD
18,777
TBD
N/A
24,1770
223,000
26,1770
211,000
23,677
0209,900
23,6770
250,000
23,677N/A
250,000
23,677N/A
250,000
23,677N/A
250,000
23,677
N/A

OPC, Total

TPC

TBD
TBD
24,177
26,177
23,677
23,677
23,677
23,677
23,677
23,677

TBD
TBD
68,177249,177
234,677
233,577
273,677
273,677 a
273,677
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 isa

No construction, other than approved long-lead procurement and detector hall civil construction, was performed prior CD-3 approval.

b Increased final design development work in FY 2016 reduced the estimated construction cost with modest delay of final design completion and Critical

Decision CD-3.

Science/High Energy Physics/11-SC-41, Muon toElectron Conversion Experiment (Mu2e)244

FY 2019 Congressional Budget Justification

surrounded 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.
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 completed construction of a 25,000 square foot civil facility with the special capabilities required
to house the primary 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 thenecessary equipment and infrastructure that can be accessed while the multikilowatt proton beam is being delivered to theexperiment. The building includes radiation shielding and design features for safe operation of the beam line andexperimental 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

a “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).

Science/High Energy Physics/11-SC-41, Muon toElectron Conversion Experiment (Mu2e)245

FY 2019 Congressional Budget Justification

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.

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.

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
Appropriations(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

0
9,907
24,30026,86840,00040,000Total 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 2019a Costs through FY 2017 reflect actual costs; costs for FY 2018 and the outyears are estimates.

Science/High Energy Physics/11-SC-41, Muon toElectron Conversion Experiment (Mu2e)246

FY 2019 Congressional Budget Justification

FY 2020
FY 2021
FY 2022
Total, ConstructionaAppropriations
N/A
N/A
N/A
N/A

(dollars in thousands)
Obligations
N/A
N/A
N/A
N/A

Costs a37,132
10,000
1,195
189,402TEC
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
Total, TEC

24,0008,000 a35,000 b
25,000 c
40,10043,50044,40030,000000250,000

24,0008,000
35,00025,00040,10043,50044,40030,000000250,000

0
14,653
15,404
26,79937,94926,86840,00040,00037,132
10,0001,195
250,000

Other Project Costs (OPC)
OPC except D&D
FY 2010
FY 2011
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
Total, OPC

4,777
8,400
8,000
2,500
0
0
0
0
0
23,677

4,777
8,400
8,000
2,500
0
0
0
0
0
23,677

3,769
8,940
6,740
1,020
2,136
159
252
11
650
23,677

Congress approved a reprogramming that reduced the FY 2013 funding to $8,000,000 from the $22,685,000 that was originally appropriated.

b $5,162,907 was for long-lead procurements of superconducting wire for the magnet systems.

c $25,000,000 was for long-lead procurements for the superconducting solenoid magnet modules and for civil construction of the detector hall.

Science/High Energy Physics/11-SC-41, Muon toElectron Conversion Experiment (Mu2e)247

FY 2019 Congressional Budget Justification

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

Appropriations(dollars in thousands)
Obligations

Costs a

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

3,769
8,940
6,740
15,673
17,54026,95838,201
26,87940,65040,00037,132
10,000
1,195
273,677

Science/High Energy Physics/11-SC-41, Muon toElectron Conversion Experiment (Mu2e)248

FY 2019 Congressional Budget Justification

6.

Details of Project Cost Estimate

Current Total
Estimate(dollars in thousands)
Previous Total
Estimate

Original Validated
Baseline

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design

60,598060,59860,598060,59849,0008,000
57,000Construction
Site Work
Construction
Equipment
Contingency
Total, Construction
Total, TEC
Contingency, TEC

1,390
18,477
133,535
36,000189,402250,000
36,0002,000
13,000129,400
45,002
189,402250,000
45,0022,000
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

Total, TPC
Total, Contingency

273,677
36,000273,677
45,002

273,677
53,000Science/High Energy Physics/11-SC-41, Muon toElectron Conversion Experiment (Mu2e)249

FY 2019 Congressional Budget Justification

7.

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
FY 2019 TEC
OPC
TPC(dollars in thousands)

Prior
Years
FY 20125,000
30,00010,0000
15,00030,000024,00012,7776,000
12,77730,000024,00013,1776,000
13,17730,000024,00013,1778,000
13,17732,000024,00013,1778,000

FY 201300012,500012,50020,0005,000
25,00024,147
8,049
32,196 a
8,000 b2,500

FY 2014
0
0
0
0
0
0
0
0
0
35,000035,00035,0000

FY 2015
0
0
0
0
0
0
0
0
0
32,000032,00032,0000

FY 2016
0
0
0
0
0
0
0
0
0
44,000044,00044,0000

FY 2017
0
0
0
0
0
0
0
0
0
45,000045,00045,0000

FY 2018
0
0
0
0
0
0
0
0
0
23,000023,00023,0000

FY 2019
0
0
0
0
0
0
0
0
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
13,1770
13,177
13,177

10,5008,000
2,500
10,5008,000
2,500
10,5008,000
2,500
10,5008,000
2,500
10,5008,000
2,500
10,50035,00035,000035,00035,000035,00035,000035,00035,000035,00035,000035,00032,00025,000025,00025,000025,00025,000025,00025,000025,00025,000025,00044,00042,000042,00040,100040,10040,100040,10040,100040,10040,100040,10045,00043,000043,00043,500043,50043,500043,50043,500043,50043,500043,50023,00032,900032,90044,400044,40044,400044,40044,400044,40044,400044,400000030,000030,00030,000030,00030,000030,00030,000030,000234,677
209,900
23,677
233,577
250,000
23,677
273,677
250,000
23,677
273,677
250,000
23,677
273,677
250,000
23,677
273,677

32,00024,0008,000
32,00024,0008,000
32,00024,0008,000
32,00024,0008,000
32,00024,0008,000
32,000a 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.
b Congress approved a reprogramming that reduced the FY 2013 funding to $8,000,000 from the $22,685,000 that was originally appropriated.

Science/High Energy Physics/11-SC-41, Muon toElectron Conversion Experiment (Mu2e)

250

FY 2019 Congressional Budget Justification

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

FY 2023
10 years
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

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
~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.
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
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FY 2019 Congressional Budget Justification

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 that existed in thefirst moments after the Big Bang and that exist today inside neutron stars, and to understand why matter takes on thespecific forms now observed in nature.
Nuclear physics addresses three broad, yet tightly interrelated, scientific thrusts: Quantum Chromodynamics (QCD); Nuclei
and Nuclear Astrophysics; and Fundamental Symmetries:

QCD seeks to develop a complete understanding of how the fundamental particles that compose nuclear matter, thequarks and gluons, assemble themselves into composite nuclear particles such as protons and neutrons, how nuclear
forces arise between these composite particles that lead to nuclei, and how novel forms of bulk, strongly interacting
matter behave, such as the quark-gluon plasma that formed in the early universe.
Nuclei and Nuclear Astrophysics seeks to understand how protons and neutrons combine to form atomic nuclei,
including some now being observed for the first time, and how these nuclei have arisen during the 13.8 billion years
since the birth of the cosmos.
Fundamental Symmetries seeks to develop a better understanding of fundamental interactions by studying theproperties of neutrons and by performing targeted, single focus experiments using nuclei to study whether the neutrino
is its own anti-particle. Neutrinos are very light, nearly undetectable fundamental particles produced during
interactions involving the weak force, through which they were first indirectly observed in nuclear beta decay
experiments.

The quest to understand the properties of different forms of nuclear matter requires long-term support for both theoreticaland experimental research efforts within the NP portfolio. Theoretical approaches are based on calculations of theinteractions of quarks and gluons described by the theory of QCD using today’s most advanced computers. Quantum
computing holds great potential for obtaining solutions to many-body QCD problems that are intractable with today’s
computers. Other theoretical research that models the forces between nucleons seeks to understand and predict thestructure of nuclear matter. Most experimental approaches in nuclear physics use large accelerators that collide particles atnearly the speed of light, producing short-lived forms of matter for investigation. Nuclear physics uses low-energy, precision
nuclear experiments, many enabled by new quantum sensors to search for a deeper understanding of fundamental
symmetries and nuclear interactions. Comparing experimental observations and theoretical predictions tests the limits ofour understanding of nuclear matter and suggests new directions for experimental and theoretical research.
Highly trained scientists who conceive, plan, execute, and interpret transformative experiments are at the heart of the NP
program. NP supports these university and national laboratory scientists and U.S. participation in select international
collaborations and provides approximately 93 percent of the nuclear science research funding in the U.S., resulting in an
average of 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 (LRP) for Nuclear Science, Reachingfor the Horizon a, over 40% of the scientists who receive Ph.D.’s in nuclear science find careers in sectors other thanacademia and DOE research laboratories, serving national needs in defense, government, and industry. DOE’s mission andpriorities guide NP research, which in turn develop the core competencies and expertise needed to achieve the goals of the
NP program and train the next generation of nuclear scientists. National laboratory scientists work and collaborate withacademic scientists and other national laboratory experimental and theoretical researchers to collect and analyze data, andto construct, support, and maintain the advanced instrumentation and world-class facilities used in experiments. The
a “Reaching for the Horizon: The 2015 Long Range Plan for Nuclear Science.” Nuclear Science Advisory Committee, October 2015(https://science.energy.gov/~/media/np/nsac/pdf/2015LRP/2015_LRPNS_091815.pdf).

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national laboratories provide state-of-the-art resources for targeted detector and accelerator research and development(R&D) for future upgrades and new facilities. This research develops knowledge, technologies, and trained scientists todesign and build next-generation NP accelerator facilities, and is relevant to machines being developed by other domestic
and international programs.
The world-class scientific user facilities and associated instrumentation necessary to advance the U.S. nuclear science
program are large and complex, and account for a significant portion of the NP budget. NP supports three scientific user
facilities: the Relativistic Heavy Ion Collider (RHIC) at Brookhaven National Laboratory (BNL); the Continuous Electron Beam
Accelerator Facility (CEBAF) at Thomas Jefferson National Accelerator Facility (TJNAF); and the Argonne Tandem Linac
Accelerator System (ATLAS) at Argonne National Laboratory (ANL). Each of these facilities has unique capabilities that
advance the scientific thrusts outlined in the LRP. In FY 2019, these facilities will provide particle beams for an internationaluser community of over 2,800 research scientists. In FY 2018, approximately 30 percent of these researchers are frominstitutions outside of the U.S. and they provide very significant benefits, including leveraging the U.S. program throughcontributed capital, human capital, and experimental equipment, as well as intellectual contributions. Researchers
supported by other SC programs such as High Energy Physics (HEP) and Basic Energy Sciences (BES), DOE Offices such as
National Nuclear Security Administration (NNSA) and Nuclear Energy (NE), Federal agencies such as the National Science
Foundation (NSF), the National Aeronautics and Space Administration (NASA), and the Department of Defense (DOD), andindustries, use NP scientific user facilities and core competencies to carry out research programs important for theirrespective missions. The 12 GeV CEBAF Upgrade project, completed in FY 2017 on cost and schedule, offers exciting
opportunities to researches to study quark structure. 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), according to a new baseline cost and schedule. This project is over 82% complete and will
provide exciting new capabilities in nuclear structure and astrophysics to better understand the landscape of the periodic
table of elements.
The 2015 NSAC LRP for Nuclear Science recommended a high-energy, high-luminosity polarized Electron-Ion Collider (EIC) as
the highest priority for new facility construction following the completion of FRIB. Consistent with that vision, in 2016 NP
commissioned a National Academy of Sciences (NAS) study by an independent panel of external experts to assess theuniqueness and scientific merit of such a facility; their report is expected in FY 2018. Further, in 2017 NP commissioned thenuclear physics community to convene a panel of technical experts to carry out a peer review to identify critical R&D
needed to reduce risk and establish the basic feasibility of various machine concepts for an EIC. The subsequent 2017
report, Report of the Community Review of EIC Accelerator R&D for the Office of Nuclear Physics a (the Jones report), wasinvaluable in aligning R&D efforts to the highest priority efforts.
Involving students in the development and construction of NP facilities and advanced instrumentation, as well as accelerator
technology and computational techniques, helps to develop the highly trained workforce needed in the field of nuclear
science. In addition to significant advances in discovery science, these facilities and techniques provide collateral benefits
such as the creation of new technologies with broad-based applications in industry and society. NP supports short- and midterm accelerator R&D that is specific to the programmatic needs of its current or planned facilities. In the process,technological advances and core competencies in accelerator science that are developed by NP are also often relevant toother applications and other SC programs. For example, superconducting radio frequency (SRF) particle acceleration
developed for NP programmatic missions has provided technological advances for a broad range of applications including
materials research, cancer therapy, food safety, bio-threat mitigation, national defense, waste treatment, and commercial
fabrication. The Office of Science programs coordinate closely on the different types of accelerator R&D activities to exploit
synergies and avoid duplication of efforts.
Highlights of the FY 2019 Budget Request
The FY 2019 Budget Request continues support for the highest priority efforts and capabilities in nuclear science to optimize
scientific productivity. Critical infrastructure, scientific user facilities, and R&D efforts are supported to maintain U.S.
leadership in nuclear science. The Request will continue support for world-class discovery science research and R&D
ahttps://science.energy.gov/~/media/np/pdf/Reports/Report_of_the_Community_Review_of_EIC_Accelerator_RD_for_the_Office_of_Nu

clear_Physics_20170214.pdf

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FY 2019 Congressional Budget Justification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. The Request also provides funding for nascent quantum information science (QIS)
efforts, including quantum computing (QC), for NP experiments and modeling in collaboration with the other SC program
offices. This effort includes the development of quantum sensors based on atomic-nuclear interactions and quantum
control (coherent control) techniques, the production of stable isotopes for next generation quantum information systems,
and the development of quantum computing algorithms.
The DOE Isotope Program will continue to introduce new medical isotopes to the community for clinical trials and cancer
therapy, and modest support is provided for stable isotope enrichment capabilities in the United States to replenish U.S.
inventory and reduce foreign dependence on isotopes of strategic importance for the nation.
The Request for Research supports university and laboratory researchers to preserve critical core competencies and enablehigh priority theoretical and experimental activities to target compelling scientific opportunities at the frontier of nuclear
science. The FY 2019 Request supports world-class research in multiple scientific thrusts of nuclear science. These include:












Experimental and theoretical exploitation of the new capabilities enabled by the 12 GeV CEBAF Upgrade to unravel themechanism of quark confinement;
Discovery research at RHIC, the nation’s only remaining collider, to search for a critical point in the phase diagram of
QCD matter and further characterize the quark-gluon plasma (QGP) discovered at RHIC that last existed at the beginningof the cosmos;
Collaboration in the heavy ion program at the CERN LHC to provide 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;
Research in QIS to enable precision nuclear physics measurements, quantum simulations with trapped ions, andquantum computing solutions to otherwise intractable QCD problems;
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). All current EIC-related R&D efforts within the community
funded by NP are now aligned with the priorities identified in the Jones report;
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 and produce
isotopes for quantum computing.

The Request for Facility Operations includes funding for the operations of the NP scientific user facilities. Requested funding
directs efforts to operations of the facilities to enable world-class science and the optimization of existing capabilities.






Funding supports RHIC to operate for 2,795 hours (~19 weeks) in FY 2019. The Request allows for the implementationof the Low Energy RHIC e-Cooler (LEReC) project, an accelerator improvement project, which will enable 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;Funding supports CEBAF to operate for 2,035 hours (~19 weeks) in FY 2019. This continues the highly anticipatedscience program of the newly constructed 12 GeV machine with associated experimental instrumentation;
ATLAS operates as the world’s premiere stable ion beam facility for 5,300 hours (~34 weeks) to enable compelling
experiments in nuclear structure and astrophysics;
Operations funding will be provided to FRIB to support the operational optimization of accelerator components as they
complete fabrication and commissioning on the project, and the transition of associated operational to a facility
operations budget;

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FY 2019 Congressional Budget JustificationMission readiness is supported at isotope production facilities. These facilities produce isotopes in short supply that are
critical to the nation’s federal complex, research enterprise and industry. University isotope production capabilities are
networked into the DOE Isotope Program for the eventual coordination of regional production of high priority shortlived isotopes. Operation of the Enriched Stable Isotope Prototype Plant (ESIPP) replenishes U.S. inventory, reduces
dependence on foreign suppliers for research quantities of stable isotopes, and produces isotopes for quantum
systems.

The request for Construction and Major Items of Equipment (MIEs) includes:Construction funding for the Facility for Rare Isotope Beams (FRIB), which will provide world-leading capabilities fornuclear structure and nuclear astrophysics, continues; the project has made impressive progress since it started
construction in FY 2014 and it is over 82% complete. Construction funding continues according to the currently
baselined profile.
Support for the Gamma-Ray Energy Tracking Array (GRETA) MIE, will enable provision of advanced, high resolution
gamma ray detection capabilities for FRIB, and was initiated in FY 2017. GRETA will be funded at a reduced level relative
to the planned profile at CD-1.
Support for the Stable Isotope Production Facility (SIPF) MIE, initiated in FY 2017, will provide increased domestic
capability for production of critically needed enriched stable isotopes, and reduce the nation’s dependence on foreign
supply. This technically driven funding profile will support completion of the facility in FY 2023.
Funding is provided to initiate the sPHENIX MIE, which will have enhanced capabilities that will further RHIC’s scientificmission by studying high rate jet production. This project will be implemented with funding from within the RHIC facility
budget.

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FY 2019 Congressional Budget Justification

Nuclear Physics
Funding ($K)
FY 2018 Annualized CR a

FY 2017 Enacted
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 b
Subtotal, Nuclear Physics

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

35,334
99,99020,783
156,107————33,487
98,514
20,347
152,375-1,847-1,449-436-3,732

38,035
174,538
212,573———

34,017
171,598
205,615-4,018-2,940-6,95856,66923,49980,168———55,06027,49982,559-1,609+4,000+2,39136,725
7,572
44,297———42,075
7,572
49,647+5,3500+5,3508,829
20,02628,855522,000———
520,576

8,829
25,97534,804
525,000

0+5,949+5,949+3,000a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown.
b 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.

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Construction
14-SC-50, Facility for Rare Isotope Beams
Total, Construction
Total, Nuclear Physics

FY 2017 Enacted

FY 2018 Annualized CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

100,000
100,000
622,000

97,20097,200617,776

75,00075,000600,000-25,000-25,000-22,000

SBIR/STTR Funding: FY 2017 Enacted: SBIR: $15,366,000; STTR: $2,161,000
 FY 2019 Request SBIR $15,747,000 and STTR $2,300,000

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Nuclear Physics
Explanation of Major Changes ($K)
FY 2019
Request vsFY 2017
Enacted•••Medium Energy Nuclear Physics: The Request provides support for the CEBAF accelerator complex, including mission readiness of the four
experimental halls, mission readiness of the accelerator, all power and consumables of the site, computing capabilities for data taking andanalysis, cryogenics plant, scientific researchers on site and at other laboratories and universities, on site accelerator scientists and technicians,
operation of the recently upgraded CEBAF accelerator to support 2,035 operating hours, and experimental activities in some of the newly
upgraded experimental halls to pursue the highly anticipated 12 GeV CEBAF physics program. CEBAF facility investments in capital equipment
and accelerator improvement projects are deferred. 12 GeV researchers from national laboratories and universities implement, commission,and operate new experiments at CEBAF.
Heavy Ion Nuclear Physics: The Request supports world-leading research in heavy ion nuclear physics and spin physics. It provides funding for
the RHIC accelerator complex including mission readiness and development of the experimental halls and instrumentation, mission readiness ofthe suite of accelerators, all power and consumables of the site, cryogenics plant, computing capabilities for data taking and analysis, scientificresearchers on site and at other laboratories and universities, on site accelerator scientists and technicians, operation of RHIC for a 2,795 hour
run, and experimental activities to prepare scientific instrumentation and infrastructure for the scientific program; this includes the initiation of
the sPHENIX MIE for studying high rate lets of particles. The FY 2019 run will initiate a high precision scan of the QCD phase diagram and search
for the critical point by looking for signs of critical phenomena in event-by-event fluctuations. RHIC facility investments in capital equipment andaccelerator improvement projects are deferred. The Request supports U.S. commitments to and U.S. participation in the complementary LHC
program, including computing commitments and the implementation of new experimental capabilities for the heavy ion LHC ALICE detector.
Low Energy Nuclear Physics: The Request supports high priority university and laboratory nuclear structure and nuclear astrophysics efforts tofocus on research at the over-subscribed ATLAS facility, which will operate for 5,300 hours. ATLAS facility investments in accelerator andscientific instrumentation capital equipment are deferred. Funding for Fundamental Symmetries research supports ongoing effects inneutrinoless double beta decay domestically and abroad to determine whether the neutrino is its own antiparticle; no funding is requested for
R&D towards next-generation experiments. Funding in Fundamental Symmetries also includes a suite of efforts such as the Fundamental
Neutron Physics Beamline at the Spallation Neutron Source and its ongoing suite of experiments to study neutron properties. The Request
supports operations of the 88-Inch Cyclotron at the Lawrence Berkeley National Lab (LBNL) for an in-house nuclear science program and anelectronics irradiation capability for the Department of Defense and NASA. There is an increase planned in FY 2019 for FRIB operations support.
Operations of all three experimental University Centers of Excellence, the Texas A&M Cyclotron Facility, the High Intensity Gamma Source (HIGS)at Duke University, and the Center for Experimental Nuclear Physics and Astronomy (CENPA) at the University of Washington are supported. An
increase is requested for the GRETA MIE, started in FY 2017, to address certain aspects of engineering design and long-lead procurement; asuccessful 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.

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FY 2019 Congressional Budget Justification

•

•

•

FY 2019
Request vsFY 2017
EnactedNuclear Theory: The Request supports high priority theory research efforts at laboratories and universities, and the U.S. Nuclear Data Program.
The Request also provides support for a targeted investment in quantum information science and quantum computing, in coordination withother SC programs, including the enhancement of specialized Lattice Quantum Chromodynamics (LQCD) computing hardware that is oriented
towards the research directions in quantum devices and quantum computing supported by the QIS effort. Such efforts will include R&D on
quantum sensors to enable precision NP measurements, development of quantum sensors based on atomic-nuclear interactions, anddevelopment of quantum computing algorithms applied to quantum mechanical systems and NP topical problems. NP-related QIS and QC
efforts have direct relevance for this area of interest in general, and can lead to advances that are important for applications in QIS and QC.
Isotope Development and Production for Research and Applications: The Request provides funding for high priority university and laboratory
research in new isotope production techniques; efforts continue to develop Ac-225 and other promising cancer therapeutic isotopes for clinical
trials. Operations funding increases to restore mission readiness for production activities at national laboratory facilities. The Request provides
an increase in university operations for a network of university accelerators and reactors establishes cost-effective, regional production of shortlived isotopes for research and medical applications, and includes the University of Washington and University of Missouri Research Reactor. A
modest increase in staff at the National Isotope Development Center aids in addressing the required workforce needed to market thesignificantly expanded Isotope Program product portfolio. ESIPP is operated to produce research quantities of enriched stable isotopes for next
generation quantum information systems, as part of the QIS and QC enhanced efforts. Funding is increased for the Stable Isotope Production
Facility (SIPF) MIE, started in FY 2017.
Construction: Construction funding continues according to the baselined profile for the Facility for Rare Isotope Beams. Support for the 12 GeV
Upgrade at CEBAF completed in 2017.

Total, Nuclear Physics

Science/Nuclear Physics+5,350+5,949-25,000-22,000

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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 High Energy Physics (HEP), NP, andAdvanced Scientific Computing Research (ASCR) programs coordinate and leverage forefront computing resources andtechnical expertise through the Lattice Quantum Chromodynamics (LQCD) and SciDAC projects to determine the propertiesof as-yet unobserved exotic particles predicted by the theory of QCD, advance progress towards a model of nuclear
structure with predictive capability, and dramatically improve modeling of neutrino interactions during core collapse
supernovae. The U.S. Nuclear Data Program, which recently stood up an Inter-Agency working group including NNSA, theDepartment of Homeland Security (DHS), and DOE’s Office of Nuclear Energy (NE), provides evaluated cross-section anddecay data relevant to a broad suite of Federal missions and topics such as reactor design (e.g., of interest to the NE andFusion Energy Sciences [FES] programs), materials under extreme conditions (of interest to the BES and FES programs), andnuclear 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 (National Institutes of
Health [NIH], HEP); and research in developing neutron, gamma, and particle beam sources with applications in cargo
screening and nuclear forensics (NNSA, DHS, and FBI).
R&D coordination and integration are hallmarks of the NP Isotope Development and Production for Research andApplications subprogram (DOE Isotope Program), which produces commercial and research isotopes in short supply that are
critical for basic research and applications. It also supports research on the development of new or improved production
and separation techniques for stable and radioactive isotopes. NP continues to further align the Federal, industrial, andresearch stakeholders of the DOE Isotope Program and has strong communication between the various communities. To
ascertain current and future demands of the research and applied communities, NP organizes working groups, workshops,
symposia, and discussions with Federal agencies and community and industrial stakeholders on a continuous basis. It also
works collaboratively with other DOE Offices (NNSA and NE) to help ensure adequate supplies of isotopes needed for their
missions, such as lithium-7, which is used by nuclear power plants as a coolant reagent. The DOE Isotope Program conductsbiennial Federal workshops to identify isotope demand and supply across a broad range of Federal agencies (including NIH,
NASA, FBI, DOD, DHS, DOT, NSF, NIST, ONDI, DOS, and DOE) to ensure that isotopes are available for the federal complex toaccomplish its missions.
Program Accomplishments
RHIC Collisions Create a Vortex of Quark-Gluon Plasma. The Quark-Gluon Plasma (QGP), a hot soup of unbound quarks andgluons discovered in high energy collisions of gold (Au) ions at the RHIC at Brookhaven National Laboratory, is thought toalso have existed a few microseconds after the Big Bang. Previous measurements have demonstrated that the QGP is one of
the hottest, densest, and least viscous fluids known. New measurements at RHIC have demonstrated that this hot soup ofparticles is also rapidly swirling, much faster than any other known fluid. The measurements promise to illuminate detailed
properties of the hot dense fluid and more precise data in the future may provide a direct measurement of what ispredicted to be the strongest magnetic field in the universe.
The 12 GeV Continuous Electron Beam Accelerator Facility (CEBAF) Upgrade Project is completed. The 12 GeV CEBAF
Upgrade project has received final approval (CD-4) to start operations. This project, ongoing since March 2004, wascompleted within its approved cost, schedule, and scope baseline. This formal start of operations promises a watershed in
new scientific knowledge on how protons and neutrons collectively act together to yield the properties of nuclei observed in
the lab; whether new, predicted, but as-yet unobserved exotic particles, can be found which further elucidate the theory of
the strong nuclear force; and whether small violations of nature’s fundamental symmetries will be observed which reveal
new physics beyond our present understanding.
Facility for Rare Isotope Beams (FRIB) Construction continues. The construction of FRIB to provide unprecedented capability
for research on neutron-rich nuclei is NP’s highest priority construction project. Even though ground breaking of this stateof-the-art, highly complex facility started a little over three years ago in March 2014, FRIB construction has alreadysurpassed the ~80% completion mark as of July 31, 2017. A notable accomplishment is that beneficial occupancy of the
facilities completed as part of the civil construction was achieved in March 2017, ahead of schedule. These facilities can now
be used for their intended purposes. That includes early commissioning of the ion source that will “feed” FRIB with the

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highly charged atoms it will accelerate to create rare isotope beams. Final completion efforts will continue in parallel,
including the installation of technical components such as the beamlines, cryogenics systems, and superconducting
cryomodules used for particle acceleration. Over 1,400 scientists eagerly await the physics opportunities that FRIB will
provide, and new collaborations to deepen theoretical understanding of FRIB science and develop new detector
instrumentation are actively underway.
Building a National University Isotope Production Network for Regional and Unique Isotope Needs. The DOE Isotope
Program has recently established a partnership agreement with the University of Missouri Research Reactor (MURR) to
enable MURR to supply selenium-75, a biological tracer and research isotope. Addressing a recommendation in the NSACIsotope 2015 Long Range Plan for the DOE Isotope Program, the partnership with MURR marks the second agreement (firstreactor-based production agreement) established to create a network of university-based isotope production capabilities topromote availability of high priority isotopes. Consideration of additional university sites to the network is underway.
Pioneering the Development of a Novel Isotope for Positron Emission Tomography. Positron Emission Tomography (PET)
scans provide physicians with the capability to not only obtain internal images of patients, such as cancer metastases, butalso to study organ functionality, such as cardiac blood flow. The variety of studies that can be performed increases with thedevelopment of radioactive isotopes with different physical properties (e.g., chemistry, radioactive half-life). Isotope
production research at the Brookhaven and Los Alamos National Laboratories has led to the availability of a novel PET
isotope, scandium-44, for researchers to develop new PET diagnostics. The research involved developing methods ofproduction of titanium-44, the long half-life parent of scandium-44, and a chemical “generator” from which clinicalresearchers can extract scandium-44 from the titanium-44. Scandium-44 can be used with existing tumor targeting agents toprovide high resolution imaging results over its short half-life, which are crucial to metabolic tracking and therapeutic
treatment planning. The generator also offers a convenience in distribution and application as other PET isotopes are
typically cyclotron-produced.
Important Milestones Reached Deep Under Ground: First Data From Recently Commissioned Detectors. One of the mosturgent Grand Challenge questions of modern physics is why the neutrino mass is so small, and whether the neutrino is its
own anti-particle. Several first-generation experiments are attempting to demonstrate their capability to answer thesequestions by detecting rare decays predicted to happen for a single nucleus only once every 1028 years or, for example, for1028 nuclei, once per year. A prototype detector named the Majorana Demonstrator (MJD), an experiment jointly funded by
NP and NSF, was recently commissioned at the Sanford Underground Research Facility in Lead, South Dakota to study thefeasibility of that technology. The MJD detector demonstrated the best energy resolution of any experiment looking forthese rare decays and published its first results on physics beyond the Standard Model. Another experiment, the Cryogenic
Underground Observatory for Rare Events detector was also commissioned deep underground at the Laboratori Nazionaliedel Gran Sasso in Italy as part of this international scientific quest that could help illuminate the reason for the relatively
small amount of anti-matter in our present-day universe. The data these projects will provide is a crucial first step inunderstanding the deeper nature of the neutrino and its role in the evolution of the cosmos.
A New Measurement of the Neutron Lifetime with Unprecedented Precision. While protons remain stable for atleast 1034 years, if not bound inside a nucleus, a neutron survives just 15 minutes before it decays into a proton, electron,
and an antineutrino. Astrophysicists need to know the precise value of the free neutron lifetime to calculate the rate ofnucleosynthesis during the "Big Bang”, and nuclear and particle physicists can use the lifetime to constrain fundamental
parameters of the Standard Model. To do so, the lifetime of the neutron needs to be known to better than half a second.
Given discrepancies in the world’s data however, the current uncertainty is larger than 8 seconds. NP researchers at Los
Alamos National Laboratory used an array of magnets to trap ultra-slow neutrons and count how many survive with time.
The experiment determined the lifetime to within one second uncertainty and showed that its ultimate sensitivity would besmaller than half a second. This result adds excitement to the world-wide effort to finally determine with sufficient accuracy
how long the neutron lives.
FIONA to take on the periodic table’s heavyweights. A new tool at the DOE’s LBNL will be taking on some of the periodic
table’s latest heavyweight champions (a.k.a. “super-heavy nuclei”) to see how their masses measure up to predictions.
Nuclear physicists have used the known masses of radioactive decay “daughter atoms” as a framework for determining themasses for these heavier “parent” elements. But determining the mass number of some of the heaviest elements has

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remained out of reach because it is challenging to produce isolated atoms and to measure them before they rapidly decay.
The new “For the Identification of Nuclide A” (FIONA) detector provides an opportunity to measure both the mass numbers,
A and the charges, Z of the new super heavy elements at the same time. Commissioning is complete and FIONA will now be
used to study decay processes associated with element 115, which was recently named Moscovium by the International
Union of Pure and Applied Science along with Nihonium, Oganesson, and Tennesine in honor of important contributions to
the discovery of these new elements.
Creating Heavy Nuclei in Mergers of Massive Stellar Objects. Working with an international team, scientists at the LBNL havedeveloped new computer models to explore what happens when a black hole joins with a neutron star – the super-dense
remnant of an exploded star. The simulations are intended to help detectors home in on the gravitational-wave signals. Oneof these studies models the first milliseconds (thousandths of a second) in the merger of a black hole and neutron star, andanother details separate simulations that model the formation of a disk of material formed within seconds of the merger,
and of the evolution of matter that is ejected in the merger. The studies provide insight into the astrophysical conditions of
the possible site where nucleosynthesis happens, and provide predictions for observable consequence of gravitational wave
sources.

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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 that scatter electrons off of protons, neutrons and nuclei are used to clarify the effects of the quarkand gluon spins within nucleons, and the effect of the nuclear medium on the quarks and gluons. The subprogram also
supports experimental searches for higher-mass “excited states” and exotic hadrons predicted by QCD, as well as studies of
their various production mechanisms and decay properties.
The Medium Energy Nuclear Physics subprogram supports research at and operation of the subprogram’s primary researchfacility, CEBAF at TJNAF, as well as the spin physics research that is carried out using RHIC at BNL. The subprogram has
provided support for spin physics research at RHIC, the only collider in the world that can provide polarized proton beams.
CEBAF provides high quality beams of polarized electrons that allow scientists to extract information on the quark and gluon
structure of protons and neutrons from measurements of how the electrons scatter when they collide with nuclei. CEBAF
also uses polarized electrons to make precision measurements to search for processes that violate a fundamental symmetryof nature, called parity, in order to search for physics beyond what is currently described by the Standard Model. These
capabilities are unique in the world. The increase in beam energy provided by the 12 GeV CEBAF Upgrade continues to open
up exciting new scientific opportunities and will secure continued U.S. world leadership in this area of physics. The upgradeconstruction project was successfully completed on cost and schedule in 2017, and the highly anticipated science program is
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 regimeof the internal structure of the proton, including the origin of its spin, and how this structure is modified when the proton is
inside a nucleus. Research at RHIC using colliding beams of spin-polarized protons, a capability unique to RHIC, will provide
information on the origin of the spin of the proton in a kinematic range complementary to that at CEBAF to extend present
knowledge beyond the kinematic boundaries accessible at CEBAF alone. Research support for CEBAF and RHIC includes
laboratory and university scientific and technical staff needed to conduct high priority data analysis to extract scientificresults. Complementary special focus experiments that require different capabilities are also supported at the High Intensity
Gamma Source (HIGS) at Triangle Universities Nuclear Laboratory, Europe, and elsewhere. Efforts are supported at the
Research and Engineering Center of the Massachusetts Institute of Technology (MIT), which has specialized infrastructureused to develop and fabricate advanced instrumentation and accelerator equipment.
The “SBIR/STTR and Other” category provides funding in accordance with the Small Business Innovation Development Act
and related legislation, resulting in commercialization opportunities in medicine, homeland security, defense, and industry,
as well as products and services that benefit NP. This category includes funding to meet other obligations, such as theannual Lawrence Awards and Fermi Awards.
Research
The Medium Energy Research subprogram supports a focused effort of medium energy research groups at TJNAF, BNL, ANL,
the Los Alamos National Laboratory (LANL), and the LBNL to carry out the highest priority research programs and conduct

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experiments at CEBAF, RHIC, and elsewhere. Scientists participate in the development and implementation of selectadvanced instrumentation, including state-of-the-art detectors for experiments that may also have application in areas suchas medical imaging instrumentation and homeland security. TJNAF staff research efforts will focus on continuing the 12 GeV
experimental program, including the implementation of select experiments, acquiring data, and performing data analysis atselect CEBAF experimental halls (Halls A, B, C, and D) and RHIC. Scientists conduct targeted research to advance knowledge
and to identify and develop the science opportunities and goals for next generation instrumentation and facilities. The
subprogram also supports a visiting scientist program at TJNAF and bridge positions with regional universities as a costeffective approach to augmenting scientific expertise at the laboratory and boosting research experience opportunities.
ANL scientists play a leadership role in new experiments in the 12 GeV scientific program, and are engaged in commissioning
experiments, instrumentation development, and data taking. ANL scientists continue precise measurements of the electric
dipole moments of laser-trapped atoms as part of an intensive world-wide effort to set limits on QCD parameters andcontribute to the search for possible explanations of the excess of matter over antimatter in the universe. Research groups
at BNL and LBNL play leading roles in RHIC data analysis critical for determining the spin structure of the proton.
Researchers at MIT and at TJNAF are developing high current, polarized electron sources for next generation NP facilities.
Accelerator R&D research proposals for short and mid-term accelerator R&D from universities and laboratories specific toimproving operations of current NP facilities or developing new NP facilities are evaluated by peer review through a single
competition for funding that is included under the Heavy Ion and Medium Energy subprograms. 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 science user community, including a strong international component, uses CEBAF’s polarized electron beam capabilities
to study the contributions of quarks and gluons to the properties of hadrons. The subprogram provides Accelerator
Operations funding for a focused team of accelerator physicists at TJNAF that operate CEBAF, as well as for maintenance andpower costs in the second year of operations following the completion of the 12 GeV CEBAF Upgrade project in 2017. The
Request defers investments in accelerator improvements aimed at addressing CEBAF reliability, GPP investments forinfrastructure, and capital equipment for research and facility instrumentation. Support is provided for the most importantefforts in developing advances in superconducting radiofrequency (SRF) technology relevant to improving operations of theexisting machine. The core competency in SRF technology plays a crucial role in many DOE projects and facilities outside ofnuclear physics (such as the Basic Energy Sciences project LCLS II) and has broad applications in medicine and homeland
security. For example, SRF R&D at TJNAF has led to improved land-mine detection techniques and carbon nanotube andnano-structure manufacturing techniques for constructing super-lightweight composites such as aircraft fuselages. TJNAF
also has a core competency 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 partnershipwith nearby universities and other institutions with accelerator physics expertise. The subprogram provides focusedExperimental Support for 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 from three prior to the 12 GeV upgrade, are now capable of providing new and enhanced capabilities forscientists world-wide.

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Nuclear Physics
Medium Energy Nuclear Physics
Activities and Explanation of Changes
FY 2017 Enacted

FY 2019 Request

Medium Energy Nuclear Physics $156,107,000
Research $35,334,000
Researchers participated in the early 12 GeV physics
program at TJNAF and continued to implement anddevelop experimental instrumentation. Researchers
published in FY 2017 the first 12 GeV GlueX physics
result showing that polarization provides powerful
new information on meson production. Researchers
participated in the high luminosity RHIC spin run totest and confirm the QCD structure of color spin
interactions. Analysis of prior RHIC polarized proton
beam data to learn more about the origin of the
proton’s spin, and support for short and mid-term
accelerator R&D, continued.

$152,375,000$33,487,000
The Request continues the 12 GeV experimental
program at CEBAF, with high priority experiments
taking data in experimental halls. Science goals
include the search for 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.
This includes support for scientific workforce resident
at TJNAF and outside universities and national
laboratories that plan the scientific program; develop,
implement and maintain scientific instrumentation;
participate in the experimental runs to acquire data;
analyze data and publish experimental results; andtrain students in nuclear science. Analysis of prior
RHIC polarized proton beam data to learn more about
the origin of the proton’s spin, and support for shortand mid-term accelerator R&D, continues.
Operations $99,990,000$98,541,000
Funding supported the required machine
Operations of the newly upgraded CEBAF facility willdevelopment, and its associated incremental power
support the continuation of the high priority 12 GeV
costs, the completion of the 12 GeV CEBAF project on science program, following the successful completion
cost and schedule, and beam time for the earlyof the project in 2017. Funding will support 2,035
physics program in select Halls. Funding was provided operational hours of running for research, tuning, andfor Other Project Costs (within project TPC), as part of beam studies. Experiments in multiple halls will be
the 12 GeV CEBAF Upgrade project profile. CEBAF
operated for data taking.
operated for 2,191 hours or 17 weeks in FY 2017.

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Explanation of Changes
FY 2019 Request vs FY 2017 Enacted-$3,732,000-$1,847,000
Funding supports a focused group of 12 GeV
researchers from national laboratories anduniversities to mount, implement, and operate thehighest priority experiments at CEBAF. The Request
prioritizes the implementation of the scientificexperimental program at TJNAF.

-$1,449,000
Accelerator operations and experimental support
funding supports ~19 weeks of operations. Funding is
not requested for facility capital equipment,
accelerator improvement funding, and General Plant
Projects. Funding supports a more focused operations
staff, power costs, materials, and supplies.

FY 2019 Congressional Budget Justification

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted
SBIR/STTR and Other $20,783,000$20,347,000-$436,000
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 Officeof Science obligations.
of Science obligations.
FY 2017 Enacted

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Nuclear Physics
Heavy Ion Nuclear Physics
Description
The Heavy Ion Nuclear Physics subprogram focuses on studies of nuclear matter at extremely high densities andtemperatures, directed primarily at answering overarching questions in Nuclear Physics, including:What are the phases of strongly interacting matter, and what roles do they play in the cosmos?
What governs the transition of quarks and gluons into pions and nucleons?
What determines the key features of QCD and their relation to the nature of gravity and space-time?

At the Relativistic Heavy Ion Collider (RHIC) facility, scientists continue to pioneer the study of condensed quark-gluon
matter at the extreme temperatures characteristic of the infant universe. The goal is to explore and understand uniquemanifestations of QCD in this many-body environment and their influence on the universe’s evolution. In the aftermath ofcollisions at RHIC and at the Large Hadron Collider (LHC) at CERN, researchers have seen signs of the same quark-gluon
plasma that is believed to have existed shortly after the Big Bang. With careful measurements, scientists are accumulating
data that offer insights into the processes early in the creation of the universe, and how protons, neutrons, and other bits ofnormal matter developed from that plasma. Important avenues of investigation are directed at learning more about thephysical characteristics of the quark-gluon plasma including exploring the energy loss mechanism for quarks and gluons
traversing the plasma, determining the speed of sound in the plasma, establishing the threshold conditions (minimum
nucleus mass and energy) under which the plasma can be formed, and discovering whether a the critical point exists where
there is a phase transition between normal nuclear matter and the quark-gluon plasma.
The RHIC facility places heavy ion research at the frontier of discovery in nuclear physics. The RHIC facility is uniquely
flexible, providing a full range of colliding nuclei at variable energies spanning the transition to the quark gluon plasma
discovered at RHIC. The facility continues to set new records in performance for both integrated Au-Au luminosity at fullenergy and a number of other beam settings. This flexibility and performance enables a groundbreaking science program
extending into the next decade to answer outstanding questions about this exotic form of matter. The FY 2017 run tested
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 2019, researchers at RHIC will utilize significant accelerator
improvements developed over the past couple of years to increase luminosity, enabling a campaign to search for a criticalpoint in the phase diagram of nuclear matter the following year. The Request will continue to support efforts, within
available, existing resources, to enhance the capabilities of the STAR detector, and initiate an upgrade of the PHENIX
detector to sPHENIX with funds previously used to operate the PHENIX detector. In addition, the Request will supportmodest short and mid-term accelerator R&D at RHIC in critical areas that may include the cooling of high-energy hadronbeams, high intensity polarized electron sources, and high-energy, high-current energy recovery linear (ERL) accelerators.
The RHIC facility is typically used by about 1,200 DOE, NSF, and foreign agency-supported researchers annually.
Collaboration in the heavy ion program at the LHC at CERN provides U.S. researchers the opportunity to investigate states ofmatter under substantially different initial conditions than those provided by RHIC, providing complementary information
regarding the matter that existed during the infant universe. Data collected by the ALICE, CMS, and ATLAS detectors confirm
that the quark-gluon plasma discovered at RHIC is also seen at the higher energy, and comparing these results to the results
at RHIC has led to important new insights. U.S. researchers have been making important scientific contributions to theemerging results from all three LHC experiments. In ALICE and CMS, U.S. researchers have been participating in developing
and upgrading instrumentation for future heavy ion campaigns at the LHC.
Research
The subprogram will support heavy ion research groups at BNL, LBNL, LANL, and the Oak Ridge National Laboratory (ORNL)
to participate in experiments at RHIC and the LHC. In FY 2019, laboratory and university workforce will be focused on thehighest priority efforts at RHIC; research commitments to the LHC program are fully met.
The university and national laboratory research groups provide focused personnel and graduate students for taking data
within the RHIC heavy ion program; analyzing data; publishing results; conducting R&D of next-generation detectors;

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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 Advanced Scientific Computing Research (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. Accelerator R&D funding in
Medium Energy and Heavy Ion accelerator R&D supports the most critical pre-conceptual EIC accelerator R&D based on thepriorities identified by the NP community’s EIC R&D review. The focus is on the most significant 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 2019, the subprogram focuses support on RHIC operations and does not request support for capital equipment andaccelerator improvement projects. The accelerator complex includes the Electron Beam Ion Source (EBIS), Booster, and theAlternating Gradient Synchrotron (AGS) accelerators that together serve as the injector for RHIC. Staff provide experimental
support to the facility, including the development, implementation, and commissioning of scientific equipment associatedwith the RHIC program. In FY 2019, the only detector operating at RHIC is STAR; the remaining available funding will be used
to initiate the proposed upgrade of PHENIX to “super PHENIX” (sPHENIX). sPHENIX will enable scientists to study how thenear-perfect QGP liquid, which has the lowest shear viscosity ever observed arises from the strongly interacting quarks andgluons from which it is formed.
Through operations of the RHIC complex, important core competencies have been nurtured in accelerator physics
techniques to improve RHIC performance and support the NP mission. These core competencies provide collateral benefits
to applications in industry, medicine, homeland security, and other scientific projects outside of NP. Accelerator
Improvement Projects in prior years have focused on cooling of low energy heavy ion beams with bunched electron beam,
which is projected to increase the luminosity by up to another factor of 10; the full system is planned to be implemented in
FY 2018. RHIC accelerator physicists are providing leadership to the effort to address technical feasibility issues of relevanceto a possible next-generation collider, including beam cooling techniques and energy recovery linacs. Accelerator physicists
also play an important role in the training of next generation accelerator physicists, with support of graduate students andpost-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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Nuclear Physics
Heavy Ion Nuclear Physics
Activities and Explanation of Changes

Heavy Ion Nuclear Physics $212,573,000$205,615,000

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted-$6,958,000

Research $38,035,000$34,017,000-$4,018,000

Researchers completed the heavy flavor
measurements at RHIC, enabled by the STAR Heavy
Flavor Tracker MIE, and continued to analyze data.
Researchers completed taking data with the PHENIX
detector and performed R&D and conceptual designof the sPHENIX detector. NP provided scientificleadership 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 and an upgrade
to the ALICE instrumentation. Competitive accelerator
R&D relevant to NP programmatic needs was also
supported.

Researchers will participate in the analysis andcollection of data from RHIC to explore newphenomena in quark-gluon plasma formation, with aparticular search for signs of critical phenomena inevent-by-event fluctuations that could reveal thecritical point in the QCD Phase Diagram. Modest
scientific efforts will initiate the sPHENIX MIE for the
study of high rate particle jets. This includes support
for scientific workforce resident at RHIC and outside
universities and national laboratories that plan thescientific program; develop, fabricate, implement andmaintain scientific instrumentation; participate in theexperimental runs to acquire data; analyze data andpublish experimental results; and train students innuclear science. U.S. scientists play a leadership rolein the heavy ion efforts at the international ALICE,
CMS, and ATLAS LHC experiments, and provide therequired funding to the LHC for U.S. commitments for
management and operating costs, computing, andcontributions towards upgrades of the ALICE
detector. Mid- and short-term accelerator R&D
relevant to NP programmatic needs will also be
supported.

The Request will support a narrowed focus ofuniversity and national laboratory RHIC research. U.S.
scientists participate in the Nuclear Physics programat the LHC.

FY 2017 Enacted

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FY 2017 Enacted
Operations $174,538,000
RHIC operations provided for 2,631 beam hours,
which was approximately 21 weeks in support of theplanned RHIC research program that is taking
advantage of dramatic improvements in collider
performance and versatility made possible by recent
RHIC upgrades. The facility is now operating at 44
times its design luminosity.

Science/Nuclear Physics

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted$171,598,000-$2,940,000
RHIC will operate for 2,795 hours and will focus on the Funding will provide for ~19 weeks of operation. The
beam energy scan with the newly implemented Low
Request does not include support for capital
Energy electron Cooling to increase luminosity of low equipment and Accelerator Improvement Projects.
energy beams. Funding supports the RHIC accelerator
complex (four different particle accelerators notincluding the RHIC collider rings that are 2.4 miles incircumference), including mission readiness anddevelopment of the experimental halls andinstrumentation, mission readiness of the suite ofaccelerators, all power and consumables of the site,
cryogenics plant, computing capabilities for datataking and analysis, accelerator scientists, engineers,
and technicians, and RHIC operations staff. Highpriority facility specific accelerator R&D will continue.
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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 Nuclei and
Nuclear Astrophysics and Fundamental Symmetries that can be probed by studying neutrons and nuclei.
Questions associated with Nuclei and Nuclear Astrophysics include:






What is the nature of the nuclear force that binds protons and neutrons into stable nuclei and rare isotopes?
What is the origin of simple patterns in complex nuclei?
What is the nature of neutron stars and dense nuclear matter?
What is the origin of the elements in the cosmos?
What are the nuclear reactions that drive stars and stellar explosions?

This subprogram addresses these questions through support of research to develop a comprehensive description of nuclei
using beams of stable and rare isotopes to yield new insights and reveal new nuclear phenomena. The subprogram alsomeasures the cross sections of the nuclear reactions that power stars and lead to spectacular stellar explosions, which areresponsible for the synthesis of the elements.
Questions addressed in the area of Fundamental Symmetries that can be probed by studying neutrons and nuclei include:What is the nature of the neutrinos, what are their masses, and how have they shaped the evolution of the cosmos?
What experimental approach for a next generation, ton-scale neutrino-less double beta day detector is capable ofachieving the sensitivity necessary to determine if the neutrino is its own anti-particle?
Why is there now more matter than antimatter in the universe? Is there evidence from the electric-dipole moments ofatomic nuclei and the neutron that indicate our current understanding of the fundamental laws governing nuclear
physics is incomplete?
Will evidence for time-reversal violation in electron scattering and possible lepton number violation in the decay of
nuclei indicate forces present at the dawn of the universe that disappeared from view as the universe evolved?

The Fundamental Symmetries portfolio currently addresses these questions through precision studies using neutron beams
and decays of nuclei, including neutrinoless double-beta decay. U.S. scientists are world leaders in the global research effort
aimed at neutrino science and NP is the steward of neutrinoless double beta decay in the Office of Science. In partnershipwith the NSF, NP has invested in past, current and future neutrino experiments both domestically and overseas, playing
critical roles in international experiments which depend on U.S. leadership for their ultimate success (CUORE, KATRIN).
Beams of cold and ultracold neutrons at the Spallation Neutron Source are used to study fundamental properties ofneutrons, and R&D towards an experiment for this beamline to measure the electric dipole moment of the neutron, which
could shed light on the asymmetry of matter versus antimatter in the universe, is addressing technical feasibility and on thepath towards becoming the flagship experiment at this beamline. Precision studies to observe or set a limit on violation oftime-reversal invariance—the principle that the physical laws 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 DOE-supported facility providing research opportunities in Nuclear Structure
and Nuclear Astrophysics, serving a combined international community of about 400 scientists. ATLAS is the world’s
premiere facility for stable beams and provides high-quality beams of all the stable elements up to uranium as well as
selected beams of short-lived nuclei for experimental studies of nuclear properties under extreme conditions and reactionsof interest to nuclear astrophysics. ATLAS also provides some capabilities in radioactive or rare isotope beams with the
Californium Rare Ion Breeder Upgrade (CARIBU) ion source. The facility continues to provide increasingly higher intensity
stable beams and improved quality radioactive beams with modest accelerator improvements. Technologically cutting-edge
and unique instrumentation are a hallmark at the facility, and the ATLAS Facility continues to be significantly oversubscribedby the user community. In addition to its world-class, standalone scientific program, ATLAS is also an essential training
ground for scientists and students as they prepare for the FRIB research program. The ATLAS facility nurtures a corecompetency in accelerator science with superconducting radio frequency cavities for heavy ions that are relevant to the next
generation of high-performance proton and heavy ion linacs. This competency is important to the SC mission andScience/Nuclear Physics

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FY 2019 Congressional Budget Justificationinternational stable and radioactive ion beam facilities. ANL maintains a target development laboratory in direct support ofongoing low energy research undertaken at ATLAS. In FY 2017, this core competency was strengthened to establish the
National Center for Accelerator Target Science, a national asset for the low energy community, including FRIB.
Disposition activities of the ORNL Holifield Radioactive Ion Beam Facility, which ceased operations in FY 2012, are completed
in FY 2017.
Accelerator operations are supported at 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. A third university center, the Center for Experimental Nuclear Physics andAstrophysics (CENPA) at the University of Washington, provides unique expertise and capabilities for instrumentation
development. NP also supports operations of the LBNL 88-Inch Cyclotron to provide beams for a small in-house nuclear
science program focused on studying the properties of newly discovered elements on the periodic table, and unique testing
capabilities in materials irradiation important for external users and other critical missions, such as the Department of
Defense and NASA.
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 Request includes
funds to support FRIB operations and retain critical operations staff as accelerator components on the project arecompleted and efforts transition to operations. The Gamma-Ray Energy Tracking Array (GRETA) MIE, initiated in FY 2017, is
continued in the FY 2019 Request. This advanced instrumentation is one of the primary tools that the nuclear science
community has identified to leverage the capabilities of FRIB. GRETA will have ten times the gamma-ray resolving power ofcurrent 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 andposition resolution, will extend the reach of FRIB’s ability to study the nuclear landscape, provide new opportunities todiscover and characterize key nuclei for electric dipole moment (EDM) searches, and open new areas of study in nuclear
astrophysics.
Research
The subprogram will support focused efforts of Low Energy research groups at ANL, BNL, LBNL, LANL, LLNL, ORNL, and
PNNL. About half of the scientists conduct nuclear structure and astrophysics research primarily using specialized
instrumentation at the ATLAS scientific user facility, as well as the smaller accelerator facilities at university-based Centers of
Excellence. The GRETA MIE continues at a pace slower than planned to provide unprecedented gamma-ray tracking
capabilities for the future FRIB facility. GRETA will revolutionize gamma-ray spectroscopy providing more than an order ofmagnitude increased sensitivity for gamma ray coincidence measurements. The remaining groups primarily conduct
research in fundamental symmetries, including experiments at the Fundamental Neutron Physics Beamline (FNPB) at theSpallation Neutron Source; double beta-decay experiments such as the Cryogenic Underground Observatory for Rare Events(CUORE) experiment at Gran Sasso Laboratory in Italy and the Majorana Demonstrator R&D effort at the Sanford
Underground Research Facility in Lead, South Dakota; a measurement of the neutrino mass with the Karlsruhe Tritium
Neutrino (KATRIN) experiment at the Karlsruhe Institute of Technology in Karlsruhe, Germany; and R&D to measure theneutron electric dipole moment. Support is not requested for next-generation R&D aimed at a ton-scale neutrinoless double
beta decay experiment. Support is also provided to the university Centers of Excellence to maintain and nurture their uniquecapabilities.
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
operations, power costs, accelerator improvement projects and experimental support of ATLAS. In FY 2019, efforts will befocused on operating the machine, and the Program does not request support for accelerator and scientific instrumentation
capital equipment. Recent or to be completed in 2018 accelerator and scientific instrumentation include the Electron Beam
Ion Source (EBIS), the cutting edge CARIBU radioactive beam system for accelerated radioactive ion beams, the in-flightradioactive ion separator to increase the intensity of radioactive beams, and a new gas filled analyzer completed in FY 2017.

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The ATLAS facility nurtures a core competency in accelerator science with superconducting radio frequency cavities forheavy ions that are relevant to the next generation of high-performance proton and heavy ion linacs. This competency isimportant to the Office of Science mission and international stable and radioactive ion beam facilities. Efforts continue indeveloping technology that could reduce the backlog of experiments and increase available beam time, such as thecapability to operate stable and radioactive ion beams simultaneously.
Support is provided to maintain operations support of the 88-Inch Cyclotron. Modest funds are provided to support FRIB
operations, which will be initiated in FY 2018. These funds retain critical operations staff as accelerator components arecompleted on the project and efforts transition to operations.

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Nuclear Physics
Low Energy Nuclear Physics
Activities and Explanation of Changes
FY 2017 Enacted

FY 2019 Request

Low Energy Nuclear Physics $80,168,000
Research $56,669,000
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 and EXO to demonstratetechnical feasibility of a next generation detector in
double beta decay. Support is continued for
operations of the GRETINA detector, operations of the
KATRIN experiment, operations of the FNPB,
operations of CUORE and R&D on setting a world
leading limit on the electric dipole moment of theneutron and R&D on the lifetime of the neutron.

$82,559,000$55,060,000
The Request supports high priority university andlaboratory nuclear structure and nuclear astrophysics
efforts to focus on research at ATLAS, the world’s
premiere stable beam facility, as well as developmentof the FRIB scientific program. Research andoperations continue at the unique university-based
Centers of Excellence. Research will continue with the
Majorana Demonstrator and EXO to consider
performance of different technologies in neutrinolessdouble beta decay experiments. U.S. participation in
the operations of the international KATRIN and
CUORE experiments will continue, as does ongoing
R&D at the FNPB on the feasibility of setting a world
leading limit on the electric dipole moment of theneutron. The Request continues to support the GRETA
MIE.
$27,499,000
The Request supports the operation of ATLAS toaddress the high demand for ATLAS beam time, which
continues to far exceed availability. ATLAS funding at
this cost-effective facility will support 5,300 hours ofbeam time. Funding is also provided to ramp up theoperations activities for FRIB.

Operations $23,499,000
Continued operation of ATLAS was a high priority as
demand for ATLAS beam time continues to far exceedavailability. In FY 2017, ATLAS cost-effectively
delivered 5,468 hours or ~34 weeks. The AGFA gas
filled analyzer was completed on cost and schedule,
and the AIRIS spectrometer is on track for completingas planned in FY 2018. The National Center for
Accelerator Target Science, an asset for the entire Low
Energy community and leveraged by ATLAS staff, waslaunched in FY 2017.

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Explanation of Changes
FY 2019 Request vs FY 2017 Enacted+$2,391,000-$1,609,000
No funding is requested for the R&D effort aimed atdeveloping technology for the next generation
neutrinoless double beta decay (0vbb) experiment in
partnership with NSF. The GRETA MIE will continue, as
will research on the neutron electric dipole moment
experiment.

+$4,000,000
Funding supports operations of ATLAS for ~34 weeks.
Funding supports an increase in FRIB operations andmaintenance of operations at the 88-Inch Cyclotron.

FY 2019 Congressional Budget Justification

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. Currently, Nuclear Theory addresses all three of NP’s scientific thrusts and in FY 2019, it
will focus on the two remaining thrusts, that of QCD and Nuclear Structure and Astrophysics. 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 fourth year of fiveyear topical collaborations within the university and national laboratory communities will be supported in FY 2019 within
available funds to address only the highest priority topics in nuclear theory that merit a concentrated theoretical effort.
The U.S. Nuclear Data Program (USNDP) provides current, accurate, and authoritative data for workers in pure and applied
areas of nuclear science and engineering. It addresses this goal primarily through maintaining and providing public access toextensive nuclear physics databases, which summarize and cross-correlate the results of over 100 years of research on
nuclear science. These databases are an important national and international resource, and they currently serve
approximately three million retrievals of nuclear data annually. The USNDP also addresses important gaps in nuclear data
through targeted experiments and the development and use of theoretical models. The program involves the combined
efforts of approximately 50 nuclear scientists at 10 national laboratories and universities, and is managed by the National
Nuclear Data Center (NNDC) at BNL. The USNDP recently established two university efforts, 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 also recently stood up an Inter-Agency
working group including NNSA, DHS, NE, and other Federal Agencies to provide evaluated cross-section and decay data
relevant to a broad suite of Federal missions and topics. Plans have been underway for the USNDP to support efforts onopportunistic measurements to address serious gaps and uncertainties in existing nuclear data archives.
Much of the research supported by the Nuclear Theory subprogram requires extensive access to leading-edge
supercomputers. One area that has a particularly pressing demand for large, dedicated computational resources is Lattice
QCD (LQCD). LQCD calculations are critical for understanding and interpreting many of the experimental results from RHIC,
LHC, and CEBAF. A five-year computer hardware project “LQCD-ext II” started in FY 2015 and has been carried out jointlywith HEP to ensure effective coordination through FY 2017. It follows the previous joint efforts that address thecomputational requirements of LQCD research by continuing to provide specialized computing resources for LQCD research.
NP requires this type of computing capability in order to conduct simulations that address its science program. In FY 2019,
NP will support LQCD computing needs for dedicated computational resources with investments at JLab, and support isaugmented from the new SC quantum information science (QIS) initiative to accommodate new developments in quantum
devices and quantum computing algorithms.
The Request provides support for NP activities related to QIS and quantum computing (QC), in collaboration with efforts by
the other SC research program offices. NP-specific efforts could include R&D on quantum sensors to enable precision NP
measurements, development of quantum sensors based on atomic-nuclear interactions, and development of quantum
computing algorithms applied to quantum mechanical systems and NP topical problems. NP-related QIS and QC efforts havedirect relevance for this area of interest in general, and can lead to advances that are important for applications in QIS and
QC in many fields.
The Nuclear Theory subprogram also supports SciDAC, a collaborative program with ASCR that partners scientists andcomputer experts in research teams to address major scientific challenges that require supercomputer facilities performingat current technological limits. The NP SciDAC program operates on a five year cycle, and supports computationally intensive
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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. A new group of SciDAC-4 awards were selected in FY 2017 and continue in FY 2019.
Theory Research
The Nuclear Theory subprogram supports the highest priority research programs of nuclear theory groups at seven national
laboratories (ANL, BNL, LANL, LBNL, LLNL, ORNL, and TJNAF). This research 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. Based on mission need, thesuccess of the initial cohort of topical collaborations, and community support of this program, the subprogram will continue
to support the 5-year topical collaborations initiated in FY 2016/FY 2017 within available funds to bring together theorists toaddress specific high-priority theoretical challenges. The ongoing topical collaborations will receive continued support in FY
2019: the Beam Energy Scan Theory (BEST) Collaboration, the Coordinated Theoretical Approach to Transverse Momentum
Dependent Hadron Structure in QCD (TMD) Collaboration, the Nuclear Theory for Double Beta Decay and Fundamental
Symmetries Collaboration and the Fission in R-process Elements (FIRE) Collaboration. The BEST and TMD proposals are
intimately related to LQCD, one of nuclear theory’s greatest intellectual challenges. BEST addresses “hot” QCD and the RHIC
beam-energy scan, while TMD deals with “cold” QCD, three-dimensional hadron structure and spin physics, and looks
forward in the direction of a future EIC. FIRE is jointly funded by NP and the NNSA to advance the theory of nuclear fission
and explore the role of fission recycling in the creation of atomic nuclei in astrophysical environments. The subprogram willcontinue efforts 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 the experimental results. Efforts related to QIS and QC are
initiated to address the needs of the NP program and provide technological and computational advances relevant to otherfields.
Nuclear Data
Funding is requested to support the USNDP to collect, evaluate, and disseminate nuclear physics data for basic nuclear
research and for applied nuclear technologies and their development.

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Nuclear Physics
Nuclear Theory
Activities and Explanation of Changes
FY 2017 Enacted

FY 2019 Request

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted

Nuclear Theory $44,297,000$49,647,000+$5,350,000

Theory Research $36,725,000$42,075,000+$5,350,000

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 provide for QIS efforts, including support
for QIS research and LQCD computing. Funding will
support high priority theoretical research atuniversities and national laboratories for theinterpretation of experimental results obtained at NP
facilities, and the exploration of new ideas andhypotheses that identify potential areas for future
experimental investigations. Theorists will focus on
applying QCD to a wide range of problems from
nucleon structure and hadron spectroscopy, throughthe force between nucleons, to the structure of lightnuclei. Advanced dynamic calculations to describe
relativistic nuclear collisions and nuclear structure andreactions will continue to focus on activities related to
the research program at the upgraded 12 GeV CEBAF
facility, the research program at the planned FRIB, andongoing and planned RHIC experiments. Funding will
also support the third year of support for SciDAC-4
grants and the fourth year for the theory topicalcollaborations initiated in FY 2016.

Increased funding will be provided for QIS researchand LQCD computing aimed at QIS and QC activities.
Funding supports the highest priority theoreticalresearch efforts across the Nuclear Physics program,and supports a theoretical collaboration focused on
the science at FRIB.

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FY 2017 Enacted
Nuclear Data $7,572,000
Nuclear data evaluation was the prime nuclear data
product, combining experiment with theory andlinking basic science with applications. The emphasis
in FY 2017 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.

Science/Nuclear Physics

FY 2019 Request

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted$7,572,000$0Funding is requested to support the USNDP to collect, The Request supports the highest priority USNDP
evaluate, and disseminate nuclear physics data forefforts at universities and national laboratories.
basic nuclear research and for applied nuclear
technologies and their development. A modest
experimental component to address gaps in theexisting nuclear data will be considered.

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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;
actinium-227, 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 NIH, the National Institute ofStandards and Technology, the Department of Agriculture, DHS, NNSA, and DOE SC programs. NP continues to work in close
collaboration with all federal organizations to develop strategic plans for isotope production and to establish effective
communication to better forecast isotope needs and leverage resources. NP conducts biennial workshops, attended byrepresentatives of all Federal agencies that require stable and radioactive isotopes, to provide a comprehensive assessmentof national needs for isotope products and services, to inform priorities for investments in research for developing new
isotope production and processing techniques, to communicate advances in isotope production research and availability,
a 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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and to communicate concerns about potential constrained supplies of important isotopes to the federal complex. The
Isotope Program participates in a number of federal Working Groups and Interagency groups to promote communication,
including the White House Office of Science and Technology Policy (OSTP) working group on molybdenum-99 (Mo-99), theNational Science and Technology Committee (NSTC) Subcommittee on Critical and Strategic Mineral Supply Chains, theInteragency Group on Helium-3, which it leads, that reports to the White House 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 assures material availability for nuclear forensics
applications that support national security missions and also the Nuclear Regulatory Commission Committee on Alternatives
to Sealed Sources. As a service, the Isotope Program collects demand and usage information on helium-4 from the federal
complex and provides it to the Bureau of Land Management (BLM) so that BLM can optimize their plans for the helium-4
federal reserve.
The DOE Isotope Program also invests in the nation’s future nuclear chemistry and biomedical researchers through support
for the Nuclear Chemistry Summer School (NCSS) program. The NCSS 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 wellas laboratory practicums focusing on state-of-the-art instrumentation and technology used routinely in basic and applied
nuclear science.
While the Isotope Program is not responsible for the production of Mo-99, which is the most widely used isotope indiagnostic medical imaging in the Nation, it works closely with NNSA, the lead entity responsible for domestic Mo-99
production, offering technical and management support. Consistent with the National Defense Authorization Act for Fiscal
Year 2013, NP also oversees proceedings of the Nuclear Science Advisory Committee in response to a charge to annuallyassess progress by NNSA toward ensuring a domestic supply of Mo-99. Additionally, NP participates in the international
High-Level Group on the Security of Supply of Medical Isotopes lead by the Organisation for Economic Co-operation andDevelopment.
The mission of the Isotope Program is facilitated by the National Isotope Development Center (NIDC), which is a virtual
center that interfaces with the user community and manages the coordination of isotope production across the facilities
and business operations involved in the production, sale, and distribution of isotopes. The NIDC includes the Isotope
Business Office, which is located at ORNL.
Research
The subprogram supports 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 activity 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. 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 suppliesof lithium-7 which are not always reliable; this successful research could provide a path for re-establishing domestic
production of lithium-7. Also, in anticipation of the opportunity FRIB will provide as a unique source of many important

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isotopes for research and applications, scientists are exploring technologies to potentially harvest some of the isotopes thatwill be produced during physics research experiments.
A high priority is a dedicated research effort to produce actinium-225, an isotope that shows great promise in the treatment
of diffuse cancers and infections if it can be produced in sufficient quantity and quality. Research efforts have demonstrated
that the accelerator produced actinium-225 functions equivalently to the material derived from the decay of thorium-229
which is presently the only viable source of small quantities of actinium-225. In coordination with NIH, samples of theisotope produced by the accelerator production approach were evaluated by several different researchers involved in
medical applications research to confirm these results. The accelerator route of production has the potential to provide
quantities sufficient to support both research trials and ultimately clinical applications in the future.
Research supported for the past couple of years has culminated in the demonstration of reactor-produced actinium-227,
representing the world’s first source of new material. Actinium-227 decays to radium-223, which is used in new
radiopharmaceutical drugs to treat prostate cancer. The provision of actinium-227 by the Isotope Program ensures thatprostate cancer patients can have a reliable supply of palliative care drugs.
Operations
The Isotope Program is the steward of the Isotope Production Facility (IPF) at LANL and the Brookhaven Linac Isotope
Producer (BLIP) facility at BNL, and provides support for hot cell facilities for processing and handling 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 andpackaging strontium-90, the Y-12 National Security Complex for processing and packaging lithium-6 and lithium-7, the LANL
Plutonium Facility for extracting americium-241 from NNSA plutonium processes, the Low Energy Accelerator Facility (LEAF)
at Argonne National Laboratory for the production of the medical isotope copper-67, and the Savannah River Site for the
extraction and distribution of helium-3. In addition to isotope production at DOE facilities, the Isotope Program is funding
production at universities with capabilities beyond those available at the stewarded facilities, such as an alpha-particle
cyclotron at the University of Washington where full-scale production of astatine-211 was developed to support research
into the use of the isotope in cancer therapy, and the recently added University of Missouri Research Reactor (MURR) where
the Isotope Program supported the development of reactor production of selenium-75 for industrial gamma radiography.
The establishment of a coordinated network of university-based isotope production was a recommendation in the 2015
NSAC-Isotope Long Range Plan. The network is designed to leverage the unique and often underutilized facilities available atacademic institutions which are generally more suited to low-energy production reactions and can support nationwide
availability of short-lived radioisotopes. Investments in FY 2019 increase the size of the University Network to more
efficiently meet domestic isotope production needs. The suite of facilities that the Isotope Program supports continues toexpand, with the above mentioned LANL Plutonium Facility, ANL LEAF, MURR and the University of Washington being themost recent additions.
The DOE Isotope Program has invested funds to develop stable isotope separation technology, first identified as a highpriority by the NSAC Subcommittee on Isotopes in 2009. The R&D effort has resulted in an Enriched Stable Isotope
Prototype Plant (ESIPP) to produce research quantities of enriched stable isotopes through the use of electromagnetic
separation and centrifuge technology. The SIPF MIE was initiated in FY 2017 to establish kilogram production capability tohelp meet the nation’s demand for enriched stable isotopes for basic research, medical, national security and industrial
applications as recommended by the NSAC Subcommittee on Isotopes in 2015. The FY 2019 Request supports the SIPF MIEwith a technically-driven profile for completion in FY 2023, reducing the nation’s dependence for these critical isotopes on aforeign source. Examples of discovery research efforts that could benefit from the facility are foreign neutrinoless double
beta decay experiments and dark matter experiments in high energy physics that are interested in kilogram quantities ofenriched stable isotopes, which are not presently available in the U.S. Similarly, the accelerator-production route for Mo-99,
a critical medical isotope for cardiac imaging, relies on a feedstock of enriched Mo isotopes, which are also unavailable
domestically. Stable isotopic nuclides of heavier elements used for agricultural, nutritional, industrial, ecological, andcomputing applications can also be produced. ESIPP focuses on ruthenium-96 production in FY 2017 and FY 2018 to provide
the otherwise unavailable target material to RHIC for its planned physics program. In FY 2019, funding is provided to
produce specialty enriched stable isotopes for future QIS-drive technologies.

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Nuclear Physics
Isotope Development and Production for Research and Applications
Activities and Explanation of Changes

Isotope Development and Production for Researchand Applications $28,855,000
Research $8,829,000$34,804,000

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted+$5,949,000$8,829,000$0Funding 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.

Funding will continue for high priority competitive
Funding for national laboratory and university
R&D activities at universities and national laboratories research will support the highest priority efforts.
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.

FY 2017 Enacted

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FY 2019 Request

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FY 2019 Congressional Budget Justification

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted
Operations $20,026,000$25,975,000+$5,949,000
Support was provided for infrastructure andFunding supports mission readiness of the isotope
Funding is increased for the SIPF MIE with planned
maintenance of facilities, core competencies in
production facilities and the most critical corecompletion in FY 2023. Support for the mission
isotope production and development, and for thecompetencies in isotope production andreadiness of isotope production facilities will be
NIDC. The maintenance of aging facilities continued to development, ensuring that isotope orders for cancer modestly increased to account for additional
be a funding priority to maintain isotope production
therapy and other commitments are reliably met.
production capabilities and competencies needed tocapabilities. Funding for program investments and
NIDC activities will support the effective interfaces
meet customer commitments. NIDC workforce isproduction of particular isotopes was informed by the with the growing stakeholder community. Funding will modestly increased to address the growing isotope
NSAC’s updated long-range plan for the Isotope
provide mission readiness of the newly commissioned program portfolio. Funding will provide for production
Program (completed in FY 2015) and the Federal
ESIPP for the production of important enriched stable of isotopes critical for QIS research and nextworkshop held in the fall of 2016.
isotopes for the nation. In FY 2019, funding will also
generation quantum computing technologies. Funding
provide to produce stable isotopes for next generation will be provided to grow the university production
QIS-driven technologies. The SIPF MIE will be
network for production of unique isotopes.
supported for completion in FY 2023. Funding will
support the addition of several new universities into
the National University Isotope Production Network,
which will emphasize production of astatine-211 forcancer therapy.
FY 2017 Enacted

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FY 2019 Request

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FY 2019 Congressional Budget Justification

Nuclear Physics
Construction
Description
Consistent with the 2015 NSAC Long-Range Plan’s highest priority, the FY 2019 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 2019.
The Facility for Rare Isotope Beams (FRIB) at Michigan State University (MSU) will continue construction activities in
FY 2019, with a funding request aligned to the current baseline. The project is proceeding on track within the establishedproject baseline and working towards an “early finish,” FRIB will provide intense beams of rare isotopes for world-leading
research opportunities in nuclear structure, nuclear astrophysics, and fundamental symmetry studies that will advanceknowledge of the origin of the elements and the evolution of the cosmos. It offers a facility for exploring the limits ofnuclear existence and identifying new phenomena, with the possibility that a broadly applicable theory of the structure of
nuclei will emerge. FRIB will provide an essential scientific tool for over 1,400 scientists each year from across academic,
industrial and government institutions. The project is funded through a cooperative agreement with MSU and wasestablished as a control point in the FY 2014 appropriation. Prior to that time, funding was provided within the Low Energy
subprogram.
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 was completed in 2017, on cost and schedule.

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Nuclear Physics
Construction
Activities and Explanation of Changes
FY 2017 Enacted
Construction $100,000,000
14-SC-50, Facility for Rare Isotope Beams (FRIB)$100,000,000
The FY 2017 funding supported conventional
construction which resulted in the project achieving
Beneficial Occupancy of its buildings in March 2017,
approximately ten weeks ahead of schedule. The
funds also supported fabrication, assembly,
installation and testing of the technical systems
including the Front End system, cryomodules, andexperimental systems. A technically related
achievement in FY 2017 regarding the front end
system was that the FRIB project successfully
produced its first ion beam from its ARTEMIS electroncyclotron-resonance (ECR) ion source.

Science/Nuclear Physics

FY 2019 Request

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted$75,000,000-$25,000,000$75,000,000
The FY 2019 funding will support the ongoing
fabrication, assembly and testing of cryomodules thatwill also be installed and tested in the newly
constructed tunnel. Other technical systems, such as
the experimental related systems will also be
fabricated, assembled, installed and tested. As thevarious systems near completion, the linear
accelerator commissioning effort will occur to validate
their performance according to projectrequirements.

-$25,000,000
Funding decreases, as planned, relative to FY 2017.
FRIB will proceed on track within the establishedproject baseline.

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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.
Performance Goal (Measure)
TargetResultEndpoint Target
Performance Goal (Measure)
TargetResultEndpoint Target

Performance Goal (Measure)
TargetResultEndpoint Target

Science/Nuclear Physics

FY 2017
FY 2018
FY 2019
NP Construction/MIE Cost & Schedule - Cost-weighted mean percentage variance from established cost and schedulebaselines for major construction, upgrade, or equipment procurement projects< 10 %
N/A< 10 %Met
N/A
TBD
Adhering to the cost and schedule baselines for a complex, large scale, science project is critical to meeting the scientificrequirements for the project and for being good stewards of the taxpayers’ investment in the project.
NP Facility Operations - Average achieved operation time of NP user facilities as a percentage of total scheduled annual
operation time
≥ 80 %≥ 80 %≥ 80 %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 be ruined or critically setback. In addition, taxpayers have invested millions or even hundredsof 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.
Demonstrate the capability to extend
Perform measurements in experimental Initiate a search for a Critical Point in
the sensitivity of searches forhalls with CEBAF to enhance ourthe Phase Diagram of Nuclear Matter.
neutrinoless double-beta decay by atunderstanding of the QCD structure ofleast a factor of 5.
nuclei and hadronic matter.
Met
TBD
TBD
Increase the understanding of the existence and properties of nuclear matter under extreme conditions, including thatwhich 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
Stable Isotope Production Facility (SIPF) MIE
Super-PHENIX (sPHENIX) MIE c
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 2018
Annualized CR a

FY 2019
RequestFY 2019
Request vsFY 2017
Enacted

Total

Prior Years

FY 2017
Enacted

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

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

13,4001,000
4,608
19,008

—
—
—
—

9,887
0
1,504
11,391-3,513-1,000-3,104-7,61752,000–67,000 b
9,500–10,500
29,000-35,000
n/a
n/a

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

500
2,500
—
10,40013,400

—
—
—
—
—

2,500
5,000
1,200
1,187
9,887

+2,000+2,500+1,200-9,213-3,513

n/a

2,200

1,000

—

0

-1,000

8,300
n/a
n/a

7,000
3,652
10,652

1,300
3,308
4,608

—
—
—

0
1,504
1,504

-1,300-1,804-3,104a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing
Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown.
b Total Project Cost range
c sPHENIX MIE will be funded through existing operations funding which would typically be used to operate the previous version of the detector, PHENIX; no new funds are required.

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Major Items of Equipment Descriptions
Low Energy Nuclear Physics
The Gamma-Ray Energy Tracking Array (GRETA) detector directly supports the NP mission by addressing the goal tounderstand 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 was obtained in
September FY 2017. The FY 2019 Request for GRETA of $2,500,000 is the third year of Total Estimated Cost (TEC) funding.
The Total Project Cost Range will be re-evaluated in FY 2019 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
completed 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, foreign neutrinoless double beta decay experiments in nuclear physics and dark
matter experiments in high-energy physics are interested in kg quantities of enriched stable isotopes, which are notavailable 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 of heavier elements are used for agricultural, nutritional, industrial, ecological and computing applications
could also be produced. The FY 2017 appropriation initiated this Major Item of Equipment to initiate fabrication of adomestic production facility for full-scale production of stable enriched isotopes to help mitigate the dependence of the U.S.
on foreign suppliers and meet the high demands for enriched stable isotopes for the Nation. MIE funding provides
infrastructure, and optimizes the design of centrifuges to isotopes of interest. CD-0 was approved September 2015 with anestimated Total Project Cost of $9,500,000–$10,500,000. CD-1 is planned for 2018. The FY 2019 Request of $5,000,000
represents a technically-driven project implementation.
Heavy Ion Nuclear Physics
The Super Pioneering High Energy Nuclear Interaction Experiment (sPHENIX) directly supports the Nuclear Physics mission
by using precision, high rate jet measurements to further characterize the quark-gluon plasma (QGP) discovered at RHIC inorder to understand the anomalous energy loss observed in the QGP. sPHENIX will enable scientists to study how the near
perfect QGP liquid with the lowest shear viscosity ever observed arises from the strongly interacting quarks and gluons fromwhich it is formed. CD-0 was approved September 2016 with an estimated Total Project Cost of $29,000,000 to $35,000,000.
CD-1 is planned for 2018. This MIE is funded within the existing funds for RHIC operations. Operating funds that are typicallyused to maintain and operate the PHENIX detector will be used to upgrade the detector. No new funding is required.
sPHENIX adds electron and hadron calorimeters to the existing silicon tracking capabilities and makes use of a recycled
solenoid magnet for a cost effective upgrade. The FY 2019 Request for sPHENIX of $1,200,000 is the first year of Total
Estimated Cost (TEC) funding.

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Nuclear Physics
Construction Projects Summary ($K)

14-SC-50, Facility for Rare Isotope Beams
DOE TPC
Total, Construction (TPC) All Construction Projects

Total

Prior Years

FY 2017 Enacted

FY 2018
Annualized CR a

FY 2019 Request

FY 2019
Request vsFY 2017 Enacted

635,500 bn/a318,000 c
n/a

100,000
100,000

97,20097,20075,00075,000-25,000-25,000

Funding Summary ($K)
FY 2017 Enacted
Research
Scientific User Facilities Operations
Other Facility Operations
Projects
Major Items of Equipment
Facility for Rare Isotope Beams
Total Projects
Other dTotal Nuclear Physics

FY 2018 Annualized CR

FY 2019 Request

200,015
292,727
21,826———

196,587
292,138
25,275

4,176
100,000
104,1763,256
622,000————
617,776

8,700
75,00083,7002,300
600,000

FY 2019 Request vsFY 2017 Enacted-3,428-589+3,449+4,524-25,000-20,476-956-22,000

a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown.
b This is the DOE TPC; MSU’s cost share is $94,500,000 bringing the total project cost to $730,000,000. FRIB is funded with operating dollars through a Cooperative Agreement financial
assistance award with 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.
c A portion of the PY funding was provided within the Low Energy subprogram. The FY 2014 appropriation established FRIB as a control point.
d Includes 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 2017 Enacted

FY 2018 Annualized CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted$111,076
1,597
2,191
2,190

—
—
—
—

$108,767
1,600
N/A
2,035

-$2,309
+3
N/A
-155

a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown.
b During FY 2017, the planned operating hours and optimal hours include 330 hours of operations (commissioning) that are supported from 12 GeV CEBAF Upgrade OPC funding, or preops, that are part of the project TPC. FY 2018 is the first year of operations after project completion; optimal hours increase in FY 2018 and FY 2019 as operational experience is gained.

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FY 2019 Request vsFY 2017 Enacted

FY 2017 Enacted

FY 2018 Annualized CR a

FY 2019 Request

3,330
65.8%

—
—

3,940
51.6%
N/A

+610
-14.2%

RHIC (BNL)
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$181,921
985
2,631
2,640
4,100
64.2%

—
—
—
—
—
—

$178,162
985
N/A
2,795
4,100
68.2%
N/A

-$3,659
0
N/A
+155
0
+4.0%

ATLAS (ANL)
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$23,946
231
5,468
5,300
6,600
82.8%

—
—
—
—
—
—

$17,695
272
N/A
5,300
6,600
80.3%
N/A

-$6,251
+41
N/A
0
0
-2.5%

FRIB (MSU)
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours a
Percent optimal hours
Unscheduled downtime hours

$0
—
—
—
—
—
—

—
—
—
—
—
—
—

$4,000
N/A
N/A
N/A
N/A
N/A
N/A

+$4,000
N/A
N/A
N/A
N/A
N/A
N/A

$316,943—$291,834-$25,109

TYPE A FACILITIES
Optimal hours
Percent optimal hours
Unscheduled downtime hours

Total Scientific User Facility Operations

a ATLAS was able to achieve 103.2% of the planned operating hours in FY 2017 as a result of very high reliability.

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FY 2019 Congressional Budget Justification

TYPE A FACILITIES
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent of optimal hours a
Unscheduled downtime hours

FY 2017 Enacted

FY 2018 Annualized CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

2,813
10,290
10,13014,030
66.2%

—
—
—
—
—

2,857
N/A
10,13014,640
63.3%

+44
N/A
0
+610
-2.9%

FY 2018 Annualized CR b————

FY 2019 Request
757
335
481
979

FY 2019 vs FY 2017
-45
-20
-26
-77

Scientific Employment

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

FY 2017 Enacted
802
355
507
1,056

𝑛𝑛

a For total facilities only, this is a “funding weighted” calculation FOR ONLY TYPE A facilities: ∑1 [(%𝑂𝑂𝑂𝑂 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛)×(𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜)]

𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑎𝑎𝑎𝑎𝑎𝑎 𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝐴𝐴 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜b A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing
Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown.
c Includes technicians, engineers, computer professionals, and other support staff.

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Science/Nuclear Physics

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FY 2019 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 2018 PDS and does not include a new start for FY 2019.
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.
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

TBD

FY 2014
FY 2015
FY 2016

2/9/2004
2/9/2004
2/9/2004

9/1/2010

9/1/2010
9/1/2010
9/1/2010

3Q FY 2013
8/1/2013
8/1/2013

TBD
4Q FY 2014
8/26/2014 a

3Q FY 2013
8/1/2013
8/1/2013

TBD
4Q FY 2014
8/26/2014

N/A
N/A
N/A

TBD
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
FY 2019

2/9/2004
2/9/2004

9/1/2010
9/1/2010

9/1/2010
9/1/2010

8/1/2013
8/1/2013

8/26/2014
8/26/2014

8/1/2013
8/1/2013

8/26/2014
8/26/2014

N/A
N/A

3Q FY 2022
3Q FY 2022

CD-0 – Approve Mission Need
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance BaselineaThis date represents when the design was substantially complete to allow the start of technical construction (CD-3B). A
limited amount of design effort continued through 4Q FY 2017.
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FY 2019 Congressional Budget Justification

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
FY 2019
4.

Design/Construction
655,700
655,700
655,700
655,700
655,700

R&D/Conceptual
Design/NEPA
24,60024,60024,60024,60024,600Pre-Operations
49,70049,70049,70049,70049,700Total TPC
730,000
730,000
730,000
730,000
730,000

Less MSU Cost
Share
-94,500-94,500-94,500-94,500-94,500

DOE TPC
635,500
635,500
635,500
635,500
635,500

Project Scope and Justification

Scope
FRIB scope includes the design, construction, fabrication, assembly, testing, and commissioning of the civil and technicalscope that will enable high intensity primary beams of stable isotopes to be accelerated up to a minimum energy of 200
MeV per nucleon by a superconducting linear accelerator (linac) capable of delivering 400 kW of beam power at full energy.
The scope also includes the capability for secondary beams of rare isotopes to be produced “in-flight” and separated fromunwanted fragments by magnetic analysis. In support of these capabilities, the civil construction portion includes a structureof approximately 220,000 square feet that will house the linac tunnel, target high bay area, linac support area, and cryoplantarea. The technical scope includes a 2K/4.5K cryogenics plant, linac front end, cryomodules, and experimental systems.
As contractually required under the financial assistance award agreement, FRIB is being constructed in accordance with the
project management principles in DOE Order 413.3B, Program and Project Management for the Acquisition of Capital
Assets, and all appropriate project management requirements have been met.
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.

aBecause 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.
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FY 2019 Congressional Budget Justification

FRIB is optimized to produce large quantities of a wide variety of rare isotopes by breaking stable nuclei into rare isotopes.
High intensity primary beams of stable isotopes are produced in Electron Cyclotron Resonator ion sources and accelerated
up to a minimum energy of 200 MeV per nucleon by a superconducting linear accelerator capable of delivering 400 kW ofbeam power at full energy. Secondary beams of rare isotopes are produced “in-flight” and separated from unwanted
fragments by magnetic analysis. These rare isotope beams are delivered to experimental areas or stopped in a suite of ionstopping stations where they can be extracted and used for experiments at low energy, or reaccelerated for astrophysicalexperiments or for nuclear structure experiments. The project includes the necessary infrastructure and support facilities for
operations and the 1,000-person user community.
Key Performance Parameters
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 commissioning

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 2019

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
80,00075,000a

The 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 2017 reflect actual costs; costs for FY 2018 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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Appropriations
57,2005,300
0635,500

FY 2020
FY 2021
FY 2022
Total, DOE TPC
6.

(dollars in thousands)
Obligations
57,2005,300
0635,500

Costs b47,20010,3005,000
635,500

Details of Project Cost Estimate a(dollars in thousands)
Current Total
Previous Total Original Validated
Estimate
Estimate
Baseline

7.

Design & Construction
Management and Support
Conventional Facilities
Accelerator Systems
Experimental Systems
Contingency (DOE Held)
Total, Design & Construction

37,153
208,100
289,726
74,207
46,564
655,750

39,268208,201
282,974
67,175
58,132655,750

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

24,641
34,65914,95074,25024,64034,658
14,952
74,25024,60035,50014,15074,250Total, TPC
Less MSU Cost ShareTotal, DOE TPC
Total, Contingency (DOE Held)

TBD-94,500
635,500
61,514730,000-94,500
635,500
73,084730,000-94,500
635,500
172,800

Schedule of Appropriation Requests b

FY 2011
FY 2012FY 2013
FY 2014
FY 2015 PB c
FY 2016

TPC
TPC
TPC
TPC
TPC
TPC

Prior
Years
29,00059,00073,000128,000
218,000
218,000(Dollars in Thousands)
FY 2016
TBD
TBD
TBD
TBD
100,000
100,000

FY 2017
TBD
TBD
TBD
TBD
100,000
100,000

FY 2018
TBD
TBD
TBD
TBD
97,20097,200FY 2019
TBD
TBD
TBD
TBD
75,00075,000FY 2020
TBD
TBD
TBD
TBD
40,00040,000FY 2021
TBD
TBD
TBD
TBD
5,300
5,300

Outyears
TBD
TBD
TBD
TBD
0
0

Total
TBD
TBD
TBD
TBD
635,500
635,500aThis section shows a breakdown of the total project cost of $730,000,000 as of 11/30/2017, which includes MSU’s costshare. The scope of work is not pre-assigned to DOE or MSU funds.
b
The funding profile represents DOE’s portion of the baselined TPC to be provided through federal appropriations.
c
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.
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FY 2017
FY 2018
FY 2019
8.

TPC
TPC
TPC

Prior
Years
218,000
218,000
218,000(Dollars in Thousands)
FY 2016
100,000
100,000
100,000

FY 2017
100,000
100,000
100,000

FY 2018
97,20080,00080,000FY 201975,00075,00075,000FY 2020
40,00057,20057,200FY 2021
5,300
5,300
5,300

Outyears
0
0
0

Total
635,500
635,500
635,500

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 a

(Related Funding requirements)(dollars in thousands)

Operations b

Annual Costs
Current Total
Previous Total
Estimate
Estimate
90,00090,000Life Cycle Costs
Current Total
Previous Total
Estimate
Estimate
1,800,000 c
1,800,000

9. 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 ofunique expertise unavailable from commercial sources. Integration of the conventional facilities with the Driver Linac andExperimental Systems will be accomplished by the MSU FRIB Project Team.

a

Per the financial assistance award agreement, MSU is responsible for D&D.
Utilities, maintenance, and repair costs are included within the Operations amounts.
c
The total operations and maintenance (O&M) is estimated at an average annual cost of approximately $90,000,000(including escalation) over 20 years.
b

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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) workforce. Accomplishing this mission depends oncontinued support for undergraduate internships and graduate thesis research; administration of the Albert Einstein
Distinguished Educator Fellowship for K–12 STEM teachers for federal agencies; and annual, nationwide, middle- and highschool science competitions culminating in the National Science Bowl® in Washington, D.C. These investment activities
support the development of the next generation of scientists and engineers to address the DOE mission, administer
programs, and conduct research.
WDTS activities rely significantly on DOE’s 17 national laboratories and scientific facilities, which employ more than 30,000
individuals with STEM backgrounds. The DOE laboratory system provides access to leading scientists; world-class scientificuser facilities and instrumentation; and large-scale, multidisciplinary research programs unavailable in universities orindustry. WDTS leverages these assets to develop and train post-secondary students and educators in support of the DOE
mission. WDTS experience-based STEM learning opportunity programs enable highly qualified applicants to conduct
research at DOE laboratories and facilities in support of the workforce mission.
Highlights of the FY 2019 Request
The FY 2019 Request prioritizes funding for programs that place highly qualified applicants in authentic STEM learning andtraining experience opportunities at DOE laboratories. It also prioritizes support for the DOE National Science Bowl® (NSB), asignature STEM competition testing middle and high school students’ knowledge in science and mathematics. By
encouraging students to pursue STEM careers, these programs address the DOE’s STEM mission critical workforce pipeline
needs required to advance national security and promote American competitiveness.
Description
Activities at the DOE Laboratories
WDTS supports activities such as the Science Undergraduate Laboratory Internships program, the Community College
Internships program, the Office of Science (SC) Graduate Student Research Program, and the Visiting Faculty Program. Oneof the primary goals of these programs is to prepare students to enter STEM careers that are especially relevant to the DOE
mission. By providing research experiences at DOE laboratories under the direction of scientific and technical laboratory
staff who serve as research advisors and mentors, these activities provide opportunities for participants to engage in
research requiring specialized instrumentation; large-scale, multidisciplinary efforts; and/or scientific user facilities. WDTS
activities are aligned with the STEM workforce training recommendations of the Federal advisory committees of SC’s six
research program offices, the strategic objectives of the National Science and Technology Council Committee on STEM
Education (CoSTEM) Federal STEM Education 5-Year Strategic Plan, a and the Administration’s goals for developing a futurefocused workforce. b
The Science Undergraduate Laboratory Internships (SULI) program places students from two- and four year undergraduate
institutions as paid interns in science and engineering research activities at DOE laboratories, working with laboratory staff
scientists and engineers on projects related to ongoing research programs. Appointments are for 10 weeks during thesummer term and 16 weeks during the fall and spring terms.
The Community College Internships (CCI) program places community college students as paid interns in technologicalactivities at DOE laboratories, working under the supervision of a laboratory technician or researcher. Appointments are for
10 weeks during the summer, fall, and spring terms.

a https://www.whitehouse.gov/sites/whitehouse.gov/files/ostp/Federal_STEM_Strategic_Plan.pdf
b https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2017/m-17-30.pdf

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The Office of Science Graduate Student Research (SCGSR) program goal is to prepare graduate students for STEM careers
critically important to the SC mission by providing graduate thesis research opportunities at DOE laboratories. The SCGSR
program provides supplemental awards for graduate students to pursue part of their graduate thesis research at a DOE
laboratory or facility in areas that address scientific challenges central to the SC mission. U.S. graduate students 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.
The Visiting Faculty Program (VFP) goal is to increase the research competitiveness of faculty members and students atinstitutions of higher education historically underrepresented in the research community. Through direct collaboration withresearch staff at DOE host laboratories, VFP appointments provide an opportunity for faculty and their students to develop
skills applicable to programs at their home institutions; this helps increase the STEM workforce in DOE science mission areasat institutions historically under-represented within the DOE enterprise. Appointments are in the summer term for 10
weeks.
Albert Einstein Distinguished Educator Fellowship
The Albert Einstein Distinguished Educator Fellowship Act of 1994 charges the Department of Energy (DOE) withadministering a fellowship program for elementary and secondary school mathematics and science teachers that focuses onbringing teachers’ real-world expertise to government to help inform federal STEM education programs. Selected teachers
spend eleven months in a Federal agency or a Congressional office. WDTS manages the Albert Einstein Distinguished
Educator Fellowship (AEF) Program for the Federal government. Fellows are supported by DOE and other Federal agencies.
Typically, SC supports six Fellows each year; five are placed in Congressional offices and one is placed in SC. Participating
agencies have included the National Science Foundation (NSF), the National Aeronautics and Space Administration (NASA),
and the National Oceanic and Atmospheric Administration (NOAA), as well as other DOE offices. The Fellows provide
educational expertise, years of teaching experience, and personal insights to these offices to advance science, mathematics,
and technology education programs.
National Science Bowl®
The DOE National Science Bowl® 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 U.S. Department of Energy Office of Science manages
the National Science Bowl®, and sponsors the NSB finals competition. Regional competitions rely upon volunteers and aresupported by numerous local organizations, both public and private.
The National Science Bowl® regional winning teams receive expenses-paid trips to Washington, D.C. to compete at the
National Finals in late April. Competing teams are composed of four students, one alternate, and a teacher who serves as anadvisor and coach. SC manages the National Science Bowl®, provides central management of 116 regional events, 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, the 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, and features 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.

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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 participant trends andprogram 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.
Evaluation Studies
The Evaluation Studies activity supports work to assess whether WDTS programs meet established goals. This isaccomplished through the use of triannual reviews of its program performers, and of WDTS itself. These reviews are either
subject matter program peer reviews, or Federal Advisory Committee commissioned Committee of Visitors reviews,
respectively. Additional supported activities that measure and assess program performance involve the collection andanalysis of data and other materials, including pre- and post-participation questionnaires, participant deliverables, notableoutcomes (publications, presentations, patents, etc.), and longitudinal participant tracking. In FY 2014, evaluation plans foreach WDTS activity were completed. In FY 2015, a data management and analysis plan was completed and a set of technicalrequirements developed, which were used to define a project plan in FY 2016 and begin its execution to develop andimplement a data-driven analysis, visualization, and reporting toolset. In FY 2017, development of this toolset wascompleted. In FY 2018, a pilot longitudinal study of program outcomes has commenced.
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.
The Evaluation Studies activity 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 best practices for STEM program evaluation to ensure the implementation of evaluation processes appropriate to
the nature and scale of the program effort.
Outreach
WDTS engages in outreach activities, some in cooperation with other DOE program offices and select federal agencies, towidely publicize its opportunities. The WDTS website a is the most widely used tool for prospective program participants toobtain information about WDTS and is the gateway to accessing the online applications for the WDTS programs. To help
diversify the applicant pool, outreach is conducted via presentations to targeted key stakeholder groups, and via the web
using virtual webinar meetings that highlight the programs, their opportunities, and the WDTS internship experience. A
portfolio of recorded webinars is available on the WDTS website.
a https://science.energy.gov/wdts

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In FY 2016, DOE host laboratories and facilities issued a pilot proposal solicitation to develop and execute outreach activities
aimed at recruiting a more diverse spectrum of applicants to WDTS laboratory-based programs. Eligible laboratories andfacilities are those that hosted FY 2016 participants in the SULI, CCI, VFP, and/or SCGSR programs. Based upon this pilot andits reported deliverables, a more programmatically focused solicitation was issued in FY 2017 for outreach activities
commencing in FY 2018.
The Laboratory Equipment Donation Program has been consolidated under Outreach, and it continues to provide excess
laboratory equipment to faculty at non-profit research institutions and post-secondary educational institutions. Through theEnergy Asset Disposal System, DOE sites identify excess equipment and colleges and universities can then search forequipment of interest and apply via the website. The equipment is free, but the receiving institution pays for shipping costs.
This consolidation does not alter the scope of this activity.

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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 2017 Enacted

FY 2018 Annualized
CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

8,300
1,000
2,500
1,700
13,500
1,200
2,900
750
600
500
50
19,500

—
—
—
—
—
—
—
—
—
—
—
19,368

8,300
1,000
2,500
1,700
13,500
1,200
2,900
550
350
500
0
19,000

0
0
0
0
0
0
0
-200
-250
0
-50
-500

aA full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).

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Program Accomplishments
Science Undergraduate Laboratory Internships (SULI) — In FY 2017, approximately 50% of the 780 participants 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 SC research mission relevancy, andillustrates willingness of SC principal investigators to serve as mentors. More than 50 of the FY 2017 participants were from
Minority Serving Institutions (MSIs).
Community College Internships (CCI) — In FY 2017, approximately 35% of the participants were from Minority Serving
Institutions (MSIs).
Office of Science Graduate Student Research Program (SCGSR) — In FY 2017, with the addition of a placement at the
National Energy Technology Laboratory, SCGSR had participants at all 17 DOE national laboratories. To date, there has been
about 260 awardees from 102 graduate institutions across the U.S.
WDTS coordinated with SC’s Office of Fusion Energy Sciences to support the DIII-D tokomak user facility to host SCGSR
awardees. As an outcome, beginning in FY 2017 DIII-D is a new host site for SCGSR applicants. General Atomics, where DIII-D
is sited, has a 20+ year record of hosting undergraduate and graduate students performing research and using DIII-D to train
students in plasma and fusion sciences.
Visiting Faculty Program (VFP) — In FY 2017, approximately 50% of the faculty participants were from MSIs.
Albert Einstein Distinguished Educator Fellowship (AEF) — In FY 2017, two of six WDTS sponsored AEF participants held
WDTS office appointments. In addition to engaging in WDTS programmatic activities, one of these participants, as anationally recognized STEM educator, also collaborated with Brookhaven National Laboratory and the Savannah River
National Laboratory to apply their expertise to portions of their STEM education outreach activities.
The National Science Bowl® (NSB) — The National Finals of the 27th DOE National Science Bowl® took place in the
Washington, DC, area from April 27 – May 1, 2017. The White House Deputy Chief Technology Officer and Senior Advisor,delivered congratulatory remarks to the 63 high schools and 48 middle schools at the finals, and conferred awards to thewinning teams.
The NSB’s Science Day is a cornerstone event, opening the finals competition with a tradition of attracting prominent
speakers, including outstanding researchers from DOE laboratories, who are able to connect workplace experience andrelevancy to these students’ STEM area studies. Having Science Day speakers from across the DOE laboratory complex isparticularly relevant from a workforce mission perspective, as this is often the first time that these students become awareof DOE mission research, and the its national laboratory complex. The 2017 NSB Science Day for high-school finalists had as
its theme Quantum Information Sciences (QIS), a rapidly-developing interdisciplinary field, with substantial intersections
with the program offices within SC and significant implications for the Nation as a whole.
A new Cyber-Challenge middle school activity successfully replaced the middle school electric car competition. This CyberChallenge activity leverages NNSA’s Cybersecurity Workforce Pipeline Consortium investments, and is based upon activities
developed at Lawrence Livermore National Laboratory. The NSB provided an opportunity to develop and test thesecybersecurity outreach and training activities at large concurrent participant scales.
Technology Development and On-Line Application — WDTS completed an initial phase of a project to develop andimplement a data-dictionary/data-warehouse based analytics and visualization toolset supporting data-driven program
evaluation. Completed activities include the development of a participant relational database and data dictionary, selection
and implementation of a business intelligence server-side solution using a commercial software package, QlikSense(QlikTech Inc., Radnor, PA) for efficient data analyses, and the development and implementation of a related evaluation
toolset and reporting portal.

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Evaluation — An external peer review of DOE host labs was completed resulting in updated guidance for the SULI, CCI, and
VFP Core Requirements and Model Practices, which will be used by host labs in their updated program Implementation
Plans. These plans establish an execution roadmap for host labs to follow as means to achieve the Core Requirements,
thereby helping ensure that participants receive a substantially equivalent internship experience regardless of host lab
placement, as well as providing a measurement framework for future program reviews and process improvement cycles. A
Committee of Visitors (COV) review of WDTS activities implemented at DOE laboratories (i.e. SULI, CCI, VFP, and SCGSR) was
held in FY 2017, with its final report presented and approved by the Basic Energy Sciences Advisory Committee. The COV
report and WDTS responses to the report’s recommendations are posted on appropriate SC webpages. The COV found thatall programs reviewed as either very good or excellent, and noted that the developed suite of online system tools used to
manage applications and their reviews, data collection and archiving, and data evaluation and reporting for WDTS programs
greatly enhances program management and oversight efficacy and increases program execution efficiencies at host labs.
Outreach — DOE host laboratories and facilities executed pilot projects aimed at recruiting a more diverse applicant pool to
WDTS laboratory-based programs. These projects all targeted recruitment of individuals traditionally underrepresented in
STEM and address needs to increase the applicant pool diversity for one or more of the WDTS programs currently
implemented at DOE host laboratories and facilities. Based upon outcomes, this pilot is being used to establish a baseline
for ongoing outreach activities and future solicitations.

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Workforce Development for Teachers and Scientists
Activities and Explanation of Changes
FY 2017 Enacted

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted

FY 2019 Request

Activities at the DOE Laboratories $13,500,000
Science Undergraduate Laboratory Internships($8,300,000)$13,500,000
Science Undergraduate Laboratory Internships($8,300,000)$0
Science Undergraduate Laboratory Internships ($0)

SULI supported approximately 800 students.

SULI will support approximately 800 students.

No change.

Community College Internships ($1,000,000)

Community College Internships ($1,000,000)

Community College Internships ($0)

CCI supported approximately 100 students.

CCI will support approximately 100 students.

No change.

Graduate Student Research Program ($2,500,000)
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.

Graduate Student Research Program ($2,500,000)
The SCGSR program will support 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 will be
informed by SC’s workforce training needs studies.

Graduate Student Research Program ($0)
No change.

Visiting Faculty Program ($1,700,000)

Visiting Faculty Program ($1,700,000)

Visiting Faculty Program ($0)

VFP supported approximately 65 faculty and 40
students.

VFP will support approximately 65 faculty and 40
students.

No change.

Albert Einstein Distinguished Educator Fellowship$1,200,000
FY 2017 funding supported 6 Fellows.

$1,200,000$0FY 2019 funding will support 6 Fellows.

No change.

National Science Bowl $2,900,000$2,900,000$0WDTS sponsored the finals competition andprovided central management of 116 regional
events, involving 14,300 students from all fifty
states, the District of Columbia, Puerto Rico, andthe U.S. Virgin Islands.

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.

No change.

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FY 2017 Enacted
Technology Development and On-line Application
Systems $750,000
Funding continued development and operation of
the on-line systems.

FY 2019 Request

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted$550,000$-200,000
Funding will continue development and operation of the The requested funding prioritizes programmaticallyon-line systems.
required on-line system operations.

Evaluation $600,000$350,000
Funding continued support for evaluation activities, Funding will continue support for evaluation activities,
including data archiving, curation, and analyses.
including data archiving, curation, and analyses.

$-250,000
The requested funding prioritizes programmaticallyrequired evaluation activities.

Outreach $500,000
Funding supported outreach activities to thescientific community targeting Office of Science
mission-driven disciplinary workforce needs in thenext 5 to 10 years, including additional outreachactivity proposal solicitations from DOE host labs
and facilities.

$500,000
Funding will support outreach activities to the scientificcommunity targeting Office of Science mission-driven
disciplinary workforce needs in the next 5 to 10 years,
including additional outreach activity proposal
solicitations from DOE host labs and facilities.

$0
No change.
The requested funding prioritizes critical outreachactivities at DOE host labs and facilities.

Laboratory Equipment Donation Program $50,000
Funding supported Laboratory Education
Equipment Donation Program (LEDP) activities.

$0
Program is funded in FY 2019 under the Outreachprogram.

$-50,000
No impact.

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Science/Workforce Development for Teachers and Scientists

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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 rigorous and consistent analyses of the condition, utilization, and functionality of the facilities andinfrastructure that are the most critical to mission accomplishment. SC works with each of its laboratories to use theseassessments in developing comprehensive Campus Strategies, which are integrated into the SC Annual Laboratory Planning
process. Each laboratory’s Campus Strategy identifies activities and infrastructure investments (e.g., Line-Item Construction,
General Plant Projects [GPPs]) required to achieve the core capabilities and scientific vision for the laboratory. SC leadershipuses these Campus Strategies to establish the corporate facilities and infrastructure priorities, which form the basis for SLI
Budget Requests.
A thorough analysis of SC’s physical assets reveals the continued need to focus on our deferred maintenance backlog as wellas the inadequacies of SC facilities, including the core infrastructure across its laboratory campuses. In FY 2016, SC invested
over $475 million dollars in needed maintenance, repair, and upgrades of general purpose infrastructure. These investment
activities were from a variety of funding sources, including federal appropriations for line-item construction projects and
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 investments that focus on laboratory core infrastructure and operations.
Highlights of the FY 2019 Request
The SLI program continues to focus on improving infrastructure across the SC national laboratory complex. The FY 2019
Request includes funding for two new construction starts, the Electrical Capacity and Distribution Capability project at the
Argonne National Laboratory (ANL) and the Science User Support Center at the Brookhaven National Laboratory (BNL). The
Electrical Capacity and Distribution Capability project at ANL will retire major risks associated with capacity limitations andsingle points of failure, and will support the anticipated FY 2021 electrical demands of the exascale computing program, as
well as current mission critical operations in multiple facilities across the laboratory complex. The Science User Support
Center at BNL will collocate support organization into a single facility, and provide modern, efficient, and collaborative space
to support world-class research.
The Request supports five on-going construction projects: the Materials Design Laboratory project at ANL, the Integrative
Genomics Building project at Lawrence Berkeley National Laboratory (LBNL), the Core Facility Revitalization project at BNL,
the Integrated Engineering Research Center at Fermi National Accelerator Laboratory (FNAL), and the Energy Sciences
Capability project at Pacific Northwest National Laboratory (PNNL). These ongoing projects will provide new laboratorybuildings, renovated facilities, and upgraded utilities and are proceeding towards on-time completion within budget. The FY
2019 Request includes funding for general purpose infrastructure projects that will address critical core infrastructure issues
across SC laboratories and facilities. Funding requested in FY 2019 supports modernizing water and sewer utilities at ANL,
removing excess facilities at FNAL, and enhancing and updating ALS Support HVAC systems and utiltiies at LBNL. Lastly, theRequest provides funding to continue de-inventory, removal, and transfer of nuclear material at Building 350, formerly thesite of the New Brunswick Laboratory (NBL) on the ANL campus.

Science/Science Laboratories Infrastructure

FY 2019 Congressional Budget Justification

313

Science Laboratories Infrastructure
Funding ($K)

66,549FY 2018 Annualized
CR a66,097

–
–
–
2,500
1,800
19,59020,00019,561
63,451130,000

–
–
–
2,483
1,788
19,457
19,864 b
19,42863,020129,117

FY 2017 Enacted
Infrastructure Support
Construction
19-SC-71, Science User Support Center, BNL
19-SC-72, Electrical Capacity and Distribution Capability, ANL
18-SC-71, Energy Sciences Capability, PNNL
17-SC-71, Integrated Engineering Research Center, FNAL
17-SC-73, Core Facility Revitalization, BNL
15-SC-76, Materials Design Laboratory, ANL
15-SC-77, Photon Science Laboratory Building, SLAC
15-SC-78, Integrative Genomics Building, LBNL
Total, Construction
Total, Science Laboratories Infrastructure

48,671

FY 2019 Request vsFY 2017 Enacted-17,878

2,000
20,0004,000
5,000
13,63220,000–13,54978,181
126,852+2,000+20,000+4,000+2,500+11,832+410-20,000-6,012+14,730-3,148FY 2019 Request

a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).
b Photon Science Laboratory Building at SLAC received final year of funding in FY 2017.

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2314

FY 2019 Congressional Budget Justification

Science Laboratories Infrastructure
Explanation of Major Changes ($K)
FY 2019 Request vsFY 2017 Enacted
Science Laboratories Infrastructure
Infrastructure Support: Funding continues to support PILT, nuclear facilities at Oak Ridge National Laboratory (ORNL) and landlord
responsibilities at the Oak Ridge Reservation. Support continues for critical core infrastructure at SC laboratories, the Oak Ridge Institute for
Science and Education (ORISE), and the Office of Scientific and Technical Information (OSTI). The Request includes funding for the deinventory, removal, and transfer of nuclear material at Building 350, formerly the site of NBL on the ANL campus.
Construction: Funding supports five on-going line-item projects at Argonne National Laboratory (ANL), Lawrence Berkeley National Laboratory,
Fermi National Accelerator Laboratory, Brookhaven National Laboratory (BNL), and Pacific Northwest National Laboratory and two new lineitem projects at BNL and ANL.
Total, Science Laboratories Infrastructure

Science/Science Laboratories Infrastructure

3315-17,878+14,730-3,148FY 2019 Congressional Budget Justification

Program Accomplishments
Since FY 2006, the SLI program has invested over $770 million in infrastructure and has successfully completed 11 line- item
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 Materials Design Laboratory project at ANL and the Integrative Genomics Building project at LBNL. Construction has
started and foundation work has been completed for both of these projects.
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. The SLI program
continues to transfer the remaining nuclear materials from NBL so the building can eventually be renovated and repurposed.
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.
Core General Plant Project upgrades across SC Laboratories. The SLI program funded a suite of investments in core
infrastructure whose efficiency and reliability are critical to the success of SC missions. To date, SLI funded the replacementof nine 12kV -480 V substations (K-subs) serving the SLAC Linac, upgraded approximately 1.5 miles of high voltage electricalcable and associated substation equipment at ANL, and upgraded electrical distribution systems at Ames National
Laboratory. At FNAL, SLI funded renovations to Wilson Hall that will provide for increased collaboration space on two of the
15 floors in the lab’s largest building and correct deficiencies on the building exterior. At LBNL, SLI funded the enhancementof HVAC systems by adding capacity to provide more cooling for approximately 130,000 square feet and updating controls
to approximately 140,000 square feet. Lastly, at the Thomas Jefferson National Accelerator Facility, SLI funded thereplacement of the 27 year old SC1 cold box in the Central Helium Liquifier plant serving the accelerator.

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FY 2019 Congressional Budget Justification

Science Laboratories Infrastructure
Infrastructure Support
Description
This subprogram funds infrastructure support investments that focus on laboratory core infrastructure and operations.
Continuing Investments in core infrastructure (e.g., utility systems, site-wide services, and general-purpose facilities) ensure
facilities and utilities are upgraded when they approach end-of-life, systems are improved to increase reliability andperformance, and excess space is removed so that it no longer requires operation and maintenance funding. Without thistype of investment, SC laboratories would not be able to keep up with the pace of needed upgrades and repairs. Activities
include 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)

Infrastructure Support
Facilities and Infrastructure
Nuclear Operations
Oak Ridge Landlord
Payments in Lieu of Taxes
Total, Infrastructure Support

FY 2017 Enacted

FY 2018 Annualized
CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

32,60326,0006,182
1,764
66,54932,38225,8236,140
1,752
66,09730,72410,0006,434
1,513
48,671-1,879-16,000+252-251-17,878

Facilities and InfrastructureThis activity funds infrastructure support investments that focus on laboratory core infrastructure and operations. SC
laboratories conduct rigorous condition assessments of their core infrastructure which validate the need for investments inthese basic systems that form the backbone of their campuses. Each year, the SLI program continues this focus andcollaborates with the SC research programs to review investment needs. This activity also supports general facilities andinfrastructure support, as well as operations and maintenance, de-inventory, removal, and transfer of nuclear material in
the former NBL building on the site of ANL. SC is working to transfer the DOE Certified Reference Material (CRM) program,formerly operated out of the NBL building, to NNSA.
Nuclear Operations
To support critical DOE nuclear operations, this Request includes funding to manage ORNL’s nuclear facilities (i.e., Buildings
7920, 7930, 3525, and 3025E) to current expectations, in accordance with federal regulations and DOE Directives. This
funding supports critical nuclear complex equipment and infrastructure to support compliance with safety standards.
Oak Ridge Landlord
This funding supports landlord responsibilities, including infrastructure for the 24,000 acre Oak Ridge Reservation and DOE
facilities in the city of Oak Ridge, Tennessee. Activities include maintenance of roads, grounds, and other infrastructure;
support and improvement of environmental protection, safety, and health; and PILT to Oak Ridge communities.
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 A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes thisaccount is operating under the Continuing Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for2018 reflect the annualized level provided by the continuing resolution. (These amounts are shown only at the Congressional control level
and above; below that level, a dash (—) is shown).

Science/Science Laboratories Infrastructure317

FY 2019 Congressional Budget Justification

is owned by the United States Federal Government and operated by the Department. Under this authorization, PILT isprovided to communities around the ANL and BNL to compensate for lost tax revenues for land removed from local tax rolls.
PILT payments are negotiated between the Department and local governments based on land values and tax rates.

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FY 2019 Congressional Budget Justification

Science Laboratories Infrastructure
Infrastructure Support
Activities and Explanation of Changes
FY 2017 Enacted
Infrastructure Support $66,549,000
Facilities and Infrastructure $32,603,000
Funding supported investments in critical core
infrastructure at SLAC, ANL, FNAL, general
infrastructure support at OSTI and ORISE, andsupported operations, de-inventory and removal of
nuclear material at the former NBL Building at ANL.

FY 2019 Request$48,671,000$30,724,000
The FY 2019 Request will continue to support deinventory and removal of nuclear material at theformer NBL Building at ANL, and critical core
infrastructure at SC laboratories, ORISE, and OSTI.

Nuclear Operations $26,000,000
Funding supported critical nuclear operations andprovides funding to manage ORNL’s nuclear facilities.

$10,000,000
The FY 2019 Request will continue to support critical
nuclear operations and provides funding to manage
ORNL’s nuclear facilities.
Oak Ridge Landlord $6,182,000$6,434,000
Funding supported landlord responsibilities across the The FY 2019 Request will provide funding to support
Oak Ridge Reservation. Activities include maintenance landlord responsibilities across the Oak Ridgeof roads, grounds, and other infrastructure; support
Reservation. Activities include maintenance of roads,
and improvement of environmental protection, safety, grounds, and other infrastructure; support andand health; and PILT to Oak Ridge communities.
improvement of environmental protection, safety, andhealth; and PILT to Oak Ridge communities.
Payment in Lieu of Taxes $1,764,000$1,513,000
Funding supported PILT payments to communities
The FY 2019 Request will provide funding for PILT
around ANL and BNL.
payments to communities around ANL and BNL.

Science/Science Laboratories Infrastructure319

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted-$17,878,000-$1,879,000
Funding decreases overall as a result of completed
core infrastructure projects at SLAC, ANL, and FNAL.
Funding increases in FY 2019 to support de-inventory,
removal, and transfer of nuclear material at Building
350, formerly the site of NBL on the ANL campus.
Funding for general purpose infrastructure at OSTI
and ORISE is no longer provided on an annual basis asfunding for infrastructure at these sites is now
included as part of the core infrastructure planning
process.
-$16,000,000
Funding supports the most critical nuclear operations
efforts at ORNL.
+$252,000
Funding supports increased PILT requirements at Oak
Ridge communities.

-$251,000
Funding reflects anticipated PILT payments in FY 2019.

FY 2019 Congressional Budget Justification

Science/Science Laboratories Infrastructure

320

FY 2019 Congressional Budget Justification

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 2019 Request includes funding for:• two new line-item construction projects:o Science User Support Center at BNLo Electrical Capacity and Distribution Capability project at ANL• and five ongoing line-item construction projects:
o Energy Sciences Capability project at PNNL.
o Integrated Engineering Research Center at FNALo Core Facility Revitalization project at BNLo Materials Design Laboratory project at ANLo Integrative Genomics Building project at LBNL
Science User Support Center, BNL
BNL user facilities and capabilities supported by DOE and partnering agencies attract over 40,000 visiting scientists, guests,
users, and contractors annually to conduct research in a broad range of basic and applied sciences. However, the ability toefficiently process and support the needs of this growing community of researchers is limited by the age, condition, anddispersed nature of BNL’s current facilities. The scientific impact of BNL can be expanded by an improved user support
building that facilitates improved administrative functions and the availability of accessible conferencing and collaboration
facilities. BNL also has many World War II-era structures dispersed around the site that house research support
organizations in deteriorated facilities that are no longer sustainable and contribute to operational inefficiencies.
Construction of the Science User Support Center will provide convenient and efficient facilities for processing andsupporting the users of BNL’s premier research facilities by replacing the current substandard, dispersed and inefficientfacilities. It will also provide conference facilities to support the collaborative science and research agenda for the user
community and BNL scientists.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on December 12, 2016.
This project has a preliminary total project cost range of $72,000,000 to $96,000,000. The preliminary total project cost is
estimated to be $85,000,000.
Electrical Capacity and Distribution Capability, ANL
Mission critical improvements to ANL’s high voltage electrical distribution systems are needed to address the anticipated2021 electrical demands of the exascale computing program as well as current mission critical operations in multiple
facilities across the laboratory complex. Elements of ANL’s high voltage electrical distribution systems are rated in poor
condition due to age, limiting the ability to support the electricity requirements of new and expanding facilities andscientific programs. Much of the main electrical supply infrastructure was constructed in the 1960’s and is now beyond its
useful life. The Electrical Capacity and Distribution Capability project will improve and expand critical electrical distribution
systems to support the electrical capacity growth needed to support the Advanced Scientific Computing Research
investments in an exascale-capable supercomputer, as part of the DOE Exascale Computing Initiative. Other SC facilities will
also be positively impacted by these critical high voltage electrical and distribution upgrades, including the Advanced
Photon Source and the Center for Nanoscale Materials, among others.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on September 11, 2017.
This project has a preliminary total project cost range of $53,000,000 to $96,000,000. The preliminary total project cost is
estimated to be $61,000,000.

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Energy Sciences Capability, PNNLThe 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 (for the Center for
Advanced Technology Evaluation/ASCR related capability); and limited collaboration space for users and strategic partners.
Closing these gaps will provide for mission-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 Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on December 12, 2016.
This project has a preliminary total project cost range of $73,000,000 to $99,000,000. The preliminary total project cost is
estimated to be $93,000,000.
Integrated Engineering Research Center, FNALThe Integrated Engineering Research Center project will construct a scientific user support facility to accommodate
increased collaboration and interactions among staff at FNAL, who will in turn be working with scientific collaborators andinternational partners in the design, construction, and operation of physics experiments.
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 long-baseline
neutrino program as an internationally designed, coordinated, and funded program with [FNAL] as host.” SC and the HighEnergy Physics (HEP) program accepted the recommendations in the P5 report and are committed to implementing a
successful program based on this 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, 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. 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 most recent DOE Order 413.3B approved Critical Decision (CD) is CD-1, Approve Alternative Selection and Cost Range,
which was approved on April 18, 2017. The preliminary total project cost is estimated to be $86,000,000.
Core Facility Revitalization, BNL
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 HEP. The RACF also provides mid-scalecomputing support to other research programs funded by SC, research efforts funded by strategic partners, andcomputationally-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
Science/Science Laboratories Infrastructure322

FY 2019 Congressional Budget Justification

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.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-1, Approve Alternative Selection and Cost Range, wasapproved on April 18, 2017. This project has a total project cost range of $68,500,000 to $84,500,000. The preliminary total
project cost is estimated to be $74,850,000
Materials Design Laboratory, ANL
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 gsf in size and located adjacent to the recently
completed Energy Sciences Building. The existing research buildings at ANL dedicated to this SC research mission are allmore than 40 years old, some as old as 55 years. These structures require frequent repair, resulting in interruptions toresearch activities, and they are unable to meet modern standards for instruments requiring vibration, electromagnetic,
and/or thermal stability.
This project is currently in construction and will receive final year of funding in FY 2019. The most recent DOE Order 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.
Integrative Genomics Building, LBNLThe 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.
This project is currently in construction and will receive final year of funding in FY 2019. The most recent DOE Order 413.3B
approved Critical Decision (CD) is CD-3, Approve Start of Construction, which was approved on October 7, 2016. The TPC for
this project is $91,500,000.

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FY 2019 Congressional Budget Justification

Science Laboratories Infrastructure
Activities and Explanation of Changes
FY 2017 Enacted
Construction $63,451,000
19-SC-71, Science User Support Center, BNL $0
19-SC-72, Electrical Capacity and Distribution
Capability, ANL $0

FY 2019 Request$78,181,000$2,000,000
Funding will support Project Engineering and Design(PED) activities.
$20,000,000
Funding will support PED and construction activities.

18-SC-71, Energy Sciences Capability, PNNL $0
17-SC-71, Integrated Engineering Research Center,
FNAL $2,500,000
Funding supported PED activities.
17-SC-73, Core Facility Revitalization, BNL$1,800,000
Funding supported Project Engineering and Design
activities.
15-SC-76, Materials Design Laboratory, ANL$19,590,000
Funding supported on-going construction of the
project.
15-SC-77, Photon Science Laboratory Building, SLAC
$20,000,000
Funding supported completion of construction of the
project.
15-SC-78, Integrative Genomics Building, LBNL
$19,561,000
Funding supported on-going construction of the
project.

Science/Science Laboratories Infrastructure$4,000,000
Funding will support PED activities.
$5,000,000

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted+$14,730,000+$2,000,000
Funding will initiate PED for this new construction
project.
+$20,000,000
Funding will initiate PED as well as construction forthis new project.
+$4,000,000
Funding will support continued PED activities.
+$2,500,000

Funding will support PED activities as well as
construction activities.
$13,632,000

Funding will support PED and construction activities.

Funding will support PED activities as well as
construction activities.
$20,000,000

Funding will support PED and construction activities.

Funding will support completion of construction ofthis project.
$0

Funding supports on-going construction activities.

Final year of funding was received in FY 2017.

Final year of funding was received in FY 2017.

$13,549,000-$6,012,000

Funding will support completion of construction of
the project.

The decrease in funding is consistent with the
project’s baseline funding profile.

324+$11,832,000+$410,000-$20,000,000

FY 2019 Congressional Budget Justification

Science Laboratories Infrastructure
Capital Summary ($K)
Total

Prior Years

FY 2017 Enacted

FY 2018
Annualized CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

Capital Operating Expense Summary
General Plants Projects
ALS HVAC System Upgrade at LBNL(TEC $9.0M)
Electrical Distribution Upgrades at SLAC(TEC $10.0M)
Cryogenics Upgrades at TJNAF (TEC $8.0M)
Linac K-sub Remediation at SLAC(TEC $9.8M)
Wilson Hall Renovations at FNAL(TEC $9.0M)
Water and Sewer Utilities Modernization at
ANL (TEC $8.5M)
ALS Support HVAC System and Utility
Upgrade at LBNL ($8.5M)
Other GPP (TEC <$5M)
Total, Capital Operating Expenses

9,000

–

9,000

–

–

-9,00010,0008,000––

10,000
8,000

–
–

–
–

-10,000-8,000

9,800

9,800

–

–

–

–

9,000

9,000

–

–

–

–

–

–

–

–

8,500

+8,500

–
n/a
n/a

–
n/a
n/a

–
3,200
30,200

–
–
–

8,500
3,000
20,000+8,500-200-10,200

a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).

Science/Science Laboratories Infrastructure

325

FY 2019 Congressional Budget Justification

Construction Projects Summary ($K)
Total Project
Cost (TPC)
19-SC-71, Science User Support Center, BNL
TEC
OPC c
TPC
19-SC-72, Electrical Capacity and Distribution Capability, ANL
TEC
OPCc
TPC
18-SC-71, Energy Sciences Capability, PNNL
TEC
OPCc
TPC
17-SC-71, Integrated Engineering Research Center, FNAL
TEC
OPCc
TPC
17-SC-73, Core Facility Revitalization, BNL
TEC
OPCc
TPC

Prior Years

FY 2017
EnactedFY 2018
Annualized
CR a

FY 2019
RequestFY 2019 Request
vs FY 2017
Enacted80,000 b
1,000
81,000b

0
0
0

0
800
800

0
–
–

2,000
0
2,000

+2,000-800+1,20060,000b
1,000
61,000b

0
0
0

0
0
0

0
–
–

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

90,000b
3,000
93,000b

0
0
0

0
1,100
1,100

1,000
–
–

4,000
0
4,000

+4,000-1,100+2,90085,000b2,000
87,000b

0
630
630

2,500
300
2,800

2,483
–
–

5,000
0
5,000

+2,500-300+2,20074,000b850
74,850b

0
850
850

1,800
0
1,800

1,788
–
–

13,632
0
13,632+11,832
0+11,832

a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).
b This project has not received CD-2 approval; therefore, preliminary cost estimates are shown for TEC and TPC.
c Other Project Costs (OPC) are funded through laboratory overhead.

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FY 2019 Congressional Budget Justification

15-SC-76, Materials Design Laboratory, ANL
TEC
OPC b
TPC
15-SC-77, Photon Sciences Laboratory Building, SLAC
TEC
OPCb
TPC
15-SC-78, Integrative Genomics Building, LBNL
TEC
OPCb
TPC
Total, Construction
TEC
OPCb
TPC

Prior Years

FY 2017
EnactedFY 2018
Annualized
CR a

FY 2019
RequestFY 2019 Request
vs FY 2017
Enacted

95,0001,000
96,00030,9101,000
31,91019,590019,59019,457––20,0000
20,000

+410
0
+410

55,0002,000
57,00035,0001,541
36,541

20,000459
20,45919,864 c
–
–

0
0
0

-20,000-459-20,459

90,0001,500
91,50032,0901,500
33,59019,5610
19,561

19,428––13,5490
13,549-6,0120-6,012

n/a
n/a
n/a

n/a
n/a
n/a

63,451
2,659
66,11063,020––78,181
0
78,181+14,730-2,659+12,071

Total Project
Cost (TPC)a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).
b Other Project Costs (OPC) are funded through laboratory overhead.
c Photon Science Laboratory Building at SLAC received final year of funding in FY 2017.

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Science/Science Laboratories Infrastructure328

FY 2019 Congressional Budget Justification

19-SC-71, Science and User Support Center
Brookhaven National Laboratory (BNL), Upton, NY
Project is for Design and Construction
1.

Significant Changes and Summary

Significant Changes
This Construction Project Data Sheet (CPDS) includes a new start for FY 2019.
Summary
The FY 2019 Request for the Science and User Support Center is $2,000,000. The most recent DOE Order 413.3B Critical
Decision (CD) is CD-0, Approve Mission Need, which was approved on December 12, 2016.
This project has a preliminary Total Estimated Cost (TEC) range of $71,000,000 to $95,000,000 and a preliminary Total
Project Cost (TPC) range of $72,000,000 to $96,000,000. These cost ranges encompass the most feasible preliminary
alternatives. This preliminary information reflects funding for a project that will provide a facility to serve the researchcommunity and improve scientific and operational productivity by consolidating visitor and support services.
A Federal Project Director with the appropriate certification level will be assigned to this project prior to CD-1 approval.
FY 2019 funds will initiate Project Engineering and Design activities.
2.

Critical Milestone History(fiscal quarter or date)

FY 2019

Conceptual
CD-0
DesignCD-1
Complete
12/12/2016 4Q FY 2018 2Q FY 2019a

CD-2

Final Design
Complete

CD-3

D&D
Complete

CD-4

4Q FY 2020 a

3Q FY 2021

4Q FY 2021a

N/A

4Q FY 2025a

CD-0 – Approve Mission Need
Conceptual Design Complete – Actual date the conceptual design was completed
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
Final Design Complete – Actual date the final design was completedCD-3 – Approve Start of Construction
D&D Complete – Completion of D&D Work
CD-4 – Approve Project Completion
3.

Preliminary Project Cost History

FY 2019

TEC, Design
9,400

TEC,
Construction
75,600a(dollars in thousands)
OPC b
TEC, Total
Except D&D
OPC, D&D
85,000a
1,000
N/A

OPC, Total
1,000

TPC
86,000aa This project is pre-CD-2; schedule and funding estimates are preliminary.
b Other project costs (OPC) are funded through laboratory overhead.

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4.

Preliminary Project Scope and Justification

Scope
The Science and User Support Center (SUSC) project is in the pre-conceptual stage of development and several alternatives
will be considered in preparation for CD-1. It is currently conceived as a project to construct a multi-story office building ofapproximately 70,000 – 120,000 gross square feet (gsf) to consolidate and provide space for visitor processing, offices forapproximately 200-350 occupants, space for conferences, extension of utilities to the building, and related roadway
modifications and parking lot development.
Key Performance Parameters (Preliminary)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve.
Description
Multi-story Building

Threshold Value (Minimum)
70,000 gsf

Objective Value (Maximum)
120,000 gsf

Justification
Brookhaven National Laboratory (BNL) has nine user facilities that attract over 40,000 visiting scientists, guests, users, andcontractors annually to conduct research in a broad range of basic and applied sciences, however the ability to efficiently
process and support the needs of this growing community of researchers is limited by the age, condition and dispersed
nature of BNL’s current facilities. The Laboratory’s scientific impact can be improved by a facility that centralizes theadministrative support functions and provides easier visitor access to conferencing and collaboration space to support the
Office of Science research agenda. BNL also has many World War II era facilities dispersed around the site that houseresearch support organizations in deteriorated facilities that are no longer sustainable and contribute to operational
inefficiencies. Construction of the SUSC will provide convenient and efficient facilities for processing and supporting theusers of BNL’s premier research facilities, which would enable for the demolition of the current substandard, dispersed, andinefficient facilities. It will also provide conference facilities to support the collaborative science and research agenda for theuser community and BNL scientists.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
5.

Financial Schedule
Appropriations(dollars in thousands)
Obligations

Costs aTotal Estimated Cost (TEC)
DesignFY 2019
FY 2020
Total, Design

2,000
7,400
9,400

2,000
7,400
9,400

2,000
7,400
9,400

Construction
FY 2021
FY 2022
FY 2023
FY 2024
Total, Construction

20,03930,31125,250075,60020,03930,31125,250075,60015,00030,00025,0005,600
75,600(dollars in thousands)

a Costs for FY 2018 and the outyears are estimates.

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Appropriations

Obligations

Costs aFY 2019
FY 2020
FY 2021
FY 2022
FY 2023
FY 2024
Total, TEC

2,000
7,400
20,03930,31125,250085,0002,000
7,400
20,03930,31125,250085,0002,000
7,400
15,00030,00025,0005,600
85,000

Other Project Cost (OPC) b
OPC except D&D
FY 2018
Total, OPC

1,000
1,000

1,000
1,000

1,000
1,000

Total Project Cost (TPC)FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
FY 2024
Total, TPC

1,000
2,000
7,400
20,03930,31125,250086,000

1,000
2,000
7,400
20,03930,31125,250086,000

1,000
2,000
7,400
15,00030,00025,0005,600
86,000TEC

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

7,800
1,600
9,400

N/A
N/A
N/A

N/A
N/A
N/A

Construction
Construction
Contingency
Total, Construction

63,00012,60075,600

N/A
N/A
N/A

N/A
N/A
N/A

85,00014,200

N/A
N/A

N/A
N/A

Total, TEC
Contingency, TEC

a Costs for FY 2018 and the outyears are estimates.

b Other Project Costs (OPC) are funded through laboratory overhead.

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(dollars in thousands)
Current Total
Previous Total Original Validated
Estimate
Estimate
Baseline

7.

Other Project Cost (OPC) a
OPC except D&D
Conceptual Planning
Conceptual Design
Contingency
Total, OPC
Contingency, OPC

400
400
200
1,000
200

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

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

Total, TPC
Total, Contingency

86,00014,400

N/A
N/A

N/A
N/A

Schedule of Appropriation Requests
Request Year
FY 2019 TEC
OPCa
TPC

8.

FY 2018
0
1,000
1,000

FY 2019
2,000
0
2,000

(dollars in thousands)
FY 2020
FY 2021
FY 2022
7,400
20,03930,311000
7,400
20,03930,311

FY 2023
25,250025,250Total
85,0001,000
86,000Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy Expected ..........................................................4Q FY 2025
Useful Life .............................................................................................................................50 years
Expected Future Start of D&D of this capital asset ...............................................................N/A(Related Funding Requirements)(dollars in thousands)
Annual Costs
Life-Cycle Costs

Operations
Utilities
Maintenance and Repair
Total – Operations and Maintenance

Current
Total
Estimates

Previous
Total
Estimates

Current Total
Estimates

Previous
Total
Estimates

166
78
384
628

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

8,307
3,879
19,20031,386

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

a Other Project Costs (OPC) are funded through laboratory overhead.

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9.

D&D Information
There is no new area being constructed in this construction project.
New area being constructed by this project at Brookhaven National Laboratory ....
Area of D&D in this project at Brookhaven National Laboratory ..............................
Area at Brookhaven National Laboratory to be transferred, sold, and/or D&D
outside the project including area previously banked” .............................................
Area of D&D in this project at other sites .................................................................
Area at other sites to be transferred, sold, and/or D&D outside the project
including area previously “banked”...........................................................................
Total area eliminated .................................................................................................

Square Feet
70,000 – 120,000
None
None aNone
None
70,000 – 120,000

10. Preliminary Acquisition Approach
Acquisition for this project will be performed by the BNL Management and Operating (M&O) Contractor, Brookhaven
Science Associates. The M&O Contractor will be responsible for awarding and managing all subcontracts related to theproject. The Brookhaven Site Office will be responsible for overseeing the performance of the M&O Contractor. Various
acquisition and project delivery methods will be evaluated prior to achieving CD-1. The M&O Contractor will evaluate
potential benefits of using a single or multiple contracts to procure materials, equipment, construction, commissioning andother project scope elements. Project performance metrics will be included in the M&O Contractor’s annual performanceand evaluation measurement plan.

a With the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using

the Facility Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property
Efficiency Plan.

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19-SC-72, Electrical Capacity and Distribution Capability
Argonne National Laboratory (ANL), Argonne, IL
Project is for Construction
1.

Significant Changes and Summary

Significant Changes
This Construction Project Data Sheet (CPDS) includes a new start for FY 2019.
Summary
The FY 2019 Request for the Electrical Capacity and Distribution Capability project is $20,000,000.The most recent DOE
Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, which was approved on September 22, 2017.
This project has a Total Estimated Cost (TEC) of $60,000,000 and a Total Project Cost (TPC) of $61,000,000. This preliminary
information reflects funding for a project to improve high voltage electrical distribution systems to support the anticipatedelectrical demands of the exascale computing program as well as current mission critical operations in multiple facilities
across Argonne National Laboratory (ANL).
A Federal Project Director with the appropriate certification level will be assigned to this project prior to CD-1 approval.
FY 2019 funds will initiate Project Engineering and Design, and Construction activities.
2.

Critical Milestone History(fiscal quarter or date)

FY 2019CD-0
09/22/2017

Conceptual
DesignComplete
N/A

CD-1
4Q FY 2018

CD-2
3Q FY 2019

Final Design
Complete
CD-3
2Q FY 2019 3Q FY 2019

D&D
Complete
N/A

CD-4
4Q FY 2022

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

FY 20193.

Performance
Baseline
Validation
N/A

Project Cost History

FY 2019

TEC, Design
6,000

TEC,
Construction
54,000(dollars in thousands)
OPC a
TEC, Total
Except D&D
OPC, D&D
60,0001,000
N/A

OPC, Total
1,000

TPC
61,000a Other Project Costs (OPC) are funded through laboratory overhead.

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4.

Project Scope and Justification

Scope
The scope of this project includes the design and construction of a new power supply to the site in a location physicallyseparated from existing location such that redundancy is provided to prevent single point failure. Additionally, increased
high voltage electrical capacity will be provided. Upgrades to supply lines and substations as well as redundant electricalconnections will be analyzed and provided, if they prove to provide a positive benefit to cost ratio.
Key Performance Parameters (Preliminary)
The Key Performance Parameters are preliminary and may change as the project continues towards CD-2. At CD-2 approval,
the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project mustachieve.
Description
Provide new power supply
Provide increased high voltage
electrical capacity
Upgrade existing 138kV supply line
and 549A substation
Provide redundant electricalconnections

Threshold Value (Minimum)>150MVa

Objective Value (Maximum)>200MVa>60MVa>110MVa

Maintain 138kV supply line

Support >150MVa

Maintain existing electricalconnections between major ANL
substations

Between major ANL substations

Justification
The high voltage electrical distribution system consists of substations, transformers, high voltage electrical supply, anddistribution cabling. High voltage power is supplied to the laboratory via a single ComEd managed substation facility. Onceon site, electricity is distributed through laboratory managed substations, transformers, and finally facilities. Elements of thehigh voltage electrical distribution system are rated in poor condition due to age, limiting the ability to support theelectricity requirements of new and expanding facilities and scientific programs. Much of the main electrical supply
infrastructure was constructed in the 1960’s and is now beyond its useful life.
Mission critical improvements to the high voltage electrical distribution systems are needed to support ANL’s uniquecompetencies and eliminate these gaps. Expansion of the electrical distribution system would significantly reduce the risk of
inadequate electrical capacity to support future scientific program growth and/or new initiatives; specifically those
associated with advanced computer science, visualization, and data, large scale user facilities/advanced instrumentation andnuclear physics core capabilities. By filling these gaps, there will be a significant reduction in operational risk associated with
unplanned outages. The Electrical Capacity and Distribution Capability project will improve and expand critical electrical
distribution systems to support the electrical capacity growth needed to support the SC/Advanced Scientific Computing
Research program’s planned delivery of an exascale computer to the ANL Leadership Computing Facility. Other sciencefacilities will also be positively impacted by these critical high voltage electrical and distribution upgrades such as theAdvanced Photo Source and the Center for Nanoscale Materials.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.

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5.

Financial Schedule(dollars in thousands)
Appropriations
Obligations
Total Estimated Cost (TEC)
DesignFY 2019
Total, Design

6,000
6,000

6,000
6,000

6,000
6,000

Construction
FY 2019
FY 2020
FY 2021
Total, Construction

14,00040,000054,00014,00040,000054,00010,00027,00017,00054,000FY 2019
FY 2020
FY 2021
Total, TEC

20,00040,000060,00020,00040,000060,00016,00027,00017,00060,000

Other Project Cost (OPC) b
OPC except D&D
FY 2018
Total, OPC

1,000
1,000

1,000
1,000

1,000
1,000

Total Project Cost (TPC)FY 2018
FY 2019
FY 2020
FY 2021
Total, TPC

1,000
20,00040,000061,0001,000
20,00040,000061,0001,000
16,00027,00017,00061,000TEC

6.

Costs a

Details of Project Cost Estimate

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Construction
Contingency
Total, Construction

Current Total
Estimate(dollars in thousands)
Previous Total Original Validated
Estimate
Baseline

5,100
900
6,000

N/A
N/A
N/A

N/A
N/A
N/A

45,0009,000
54,000

N/A
N/A
N/A

N/A
N/A
N/A

a Costs for FY 2018 and the outyears are estimates.

b Other Project Costs (OPC) are funded through laboratory overhead.

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(dollars in thousands)
Current Total
Previous Total Original Validated
Estimate
Estimate
Baseline

7.

60,000
9,900

N/A
N/A

N/A
N/A

Other Project Cost (OPC) a
OPC except D&D
Conceptual Planning
Conceptual Design
Contingency
Total, OPC
Contingency, OPC

750
250
0
1,000
0

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

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

Total, TPC
Total, Contingency

61,000
9,900

N/A
N/A

N/A
N/A

Schedule of Appropriation Requests

Request Year
FY 2019 TEC
OPCa
TPC
8.

Total, TEC
Contingency, TEC

FY 2018
0
1,000
1,000

FY 2019
20,0000
20,000(dollars in thousands)
FY 2021
FY 2022
0
0
0
0
0
0

FY 2020
40,000040,000FY 2023000FY 2024
0
0
0

Total
60,0001,000
61,000Related Operations and Maintenance Funding Requirements

Start of Operation or Beneficial Occupancy Expected………………………………………………………………………………..
Useful Life…………………………………………………………………………………………………………………………………………………..
Expected Future Start of D&D of this capital asset……………………………………………………………………………………..

4Q FY 2021
50 years
4Q FY 2071

(Related Funding Requirements)(dollars in thousands)
Annual Costs
Life-Cycle Costs
Current
Total
Estimates

Previous
Total
Estimates

Current
Total
Estimates

Previous
Total
Estimates

1,117
162
536
1,815

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

107,628
21,57151,646
180,845

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

Operations
Utilities
Maintenance and Repair
Total – Operations and Maintenancea Other Project Costs (OPC) are funded through laboratory overhead.

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9.

D&D Information

There is no new area being constructed in this construction project.
New area being constructed by this project at Argonne National
Laboratory…………………………………………………………………………………………………….
Area of D&D in this project at Argonne National Laboratory…………………………..
Area at Argonne National Laboratory to be transferred, sold, and/or D&D
outside the project including area previously banked”……………………………………
Area of D&D in this project at other sites………………………………………………………..
Area at other sites to be transferred, sold, and/or D&D outside the project
including area previously “banked”…………………………………………………………………
Total area eliminated………………………………………………………………………………………

Square Feet
None
None
None a
None
None
None

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 will be
evaluated prior to achieving CD-1. A tailored Design-Build approach is being considered 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.

a With the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using

the Facility Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property
Efficiency Plan.

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18-SC-71, Energy Sciences Capability
Pacific Northwest National Laboratory (PNNL), Richland, WA
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 2018 CPDS and does not include a new start for FY 2019.
Summary
The FY 2019 Request for the Energy Sciences Capability (ESC) project is $4,000,000, consistent with the preliminary funding
profile. The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, which was approved on
December 12, 2016. The Total Estimated Cost (TEC) range for this project is $70,000,000 to $96,000,000. The Total Project
Cost (TPC) range for this project is $73,000,000 to $99,000,000.
A Federal Project Director with the appropriate certification level will be assigned to this project prior to CD-1 approval.
This project will provide a facility for the consolidation of multidisciplinary efforts related to the advancement of catalysis
science which are currently located in multiple facilities, on and off the Pacific Northwest National Laboratory (PNNL)
Richland campus.
FY 2019 funds will support Project Engineering and Design activities.
2.

Critical Milestone History

CD-0
FY 2018
FY 2019

12/12/2016
12/12/2016

Conceptual
DesignCD-1
Complete
N/A
4Q FY 2018
3Q FY2018 2Q FY 2018

CD-2
4Q FY 2019 a
4Q FY 2019a(fiscal quarter or date)
Final
D&D
DesignCD-3
CD-4
Complete
Complete
N/A
N/A
4Q FY 2020a
4Q FY 2025aaa
4Q FY 2019 4Q FY 2019
N/A
4Q FY 2025a

CD-0 – Approve Mission Need
Conceptual Design Complete – Actual date the conceptual design was completed (if applicable)
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
Final Design Complete – Estimated/Actual date the project design will be/was completed
CD-3– Approve Start of Construction
D&D Complete – Completion of D&D work (see Section 9)
CD-4 – Approve Project Completiona This project is pre-CD-2 and schedule estimates are preliminary.

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3.

Project Cost History

FY 2018
FY 2019
4.

TEC, Design

TEC, Construction

9,000
9,000

81,00081,000(dollars in thousands)
OPC a Except
OPC, D&D
TEC, Total
D&D
90,000 b
3,000
N/A
90,000b
3,000
N/A

OPC, Total
3,000
3,000

TPC
93,000b
93,000b

Project Scope and Justification

Scope
The scope of the proposed project is to construct new capital assets, including utilities and infrastructure capabilities. The
ESC project will design, construct and turnover facilities and infrastructure that provides nominally 110,000 to 145,000 grosssquare feet of wet chemistry, instrumentation, and computational space in 40 to 52 laboratory modules along with offices
for 150 to 200 research and support staff.
Key Performance Parameters (Preliminary)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve.
Description
Multi-story Laboratory Building

Threshold Value (Minimum)
110,000 gross square feet (GSF)

Objective Value (Maximum)
145,000 GSF

Justification
PNNL operates facilities for research in chemistry, materials sciences, subsurface science, biology, physics, medicine, andapplied science, as well as for the study of a diverse range of advanced technologies. PNNL’s science mission, which
supports DOE’s mission, is to understand, predict, and control complex adaptive systems for earth, energy, and security
missions. PNNL’s recognized Core Capabilities are essential to advance and accelerate research sponsored by BES, BER, andASCR. All of these research areas benefit from multidisciplinary approaches that accelerate scientific advances.
The objective behind the ESC project is to increase the impact of chemical conversion research and development at PNNL
and expand the reach of user programs. Ultimately, greater multidisciplinary collaboration, controlled environments, andincreasing computational needs beyond current capabilities will be needed to accomplish this end state. Currently, key
PNNL staff members and instrumentation driving multidisciplinary efforts are located in multiple facilities, separated miles
apart, on and off of the PNNL Richland campus. With less than 0.25% available vacant lab space and less than 1.5% vacant
office space scattered across the campus, PNNL needs a new facility to allow for collaboration. This consolidation will free
up space that also allows for increased optimization and greater colocation of Environmental Molecular Sciences
Laboratories and Atmospheric Radiation Measurement user missions.
The geographic separation of scientific capabilities at PNNL creates a capability gap by impacting collaborative work andlimits interdisciplinary research required to realize the critical advances offered through integration (i.e., “convergence”). As
stated in the report “The Convergence of the Life Sciences, Physical Sciences, and Engineering” from the Massachusetts
Institute of Technology, convergence “involves the coming together of different fields of study—particularly engineering,
physical sciences, and life sciences—through collaboration among research groups and the integration of approaches” and“is a new paradigm that can yield critical advances in a broad array of sectors, from health care to energy, food, climate, andwater.” It also entails “a broad rethinking of how all scientific research can be conducted, so that we capitalize on a range ofknowledge bases.”a Other project costs (OPC) are funded through laboratory overhead.

b This project has not received CD-2 approval, therefore, funding estimates are preliminary. The preliminary TEC range for this project is$70,000,000 to $96,000,000. The preliminary TPC range for this project is $73,000,000 to $99,000,000.

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The ESC project will provide for the needed space of the proper configuration and types to afford acceleration of convergent
science—a need that can be achieved only through material means. It also will enable a cascade of moves to enable locationof synergistic capabilities in optimal spaces without losing those capabilities for extended time periods and negatively
impacting research. The ESC project also further advances the PNNL campus strategy to modernize and increase federal
ownership of the Laboratory and seeks to directly impact PNNL’s core capabilities by creating space that enables research insupport of BES, BER, and ASCR programs.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
5.

Financial Schedule
Appropriations(dollars in thousands)
Obligations

Costs aTotal Estimated Cost (TEC)
DesignFY 2018
FY 2019
FY 2020
Total, Design

1,000
4,000
4,000
9,000

1,000
4,000
4,000
9,000

400
4,600
4,000
9,000

Construction
FY 2020
FY 2021
FY 2022
FY 2023
FY 2024
Total, Construction

4,194
22,20930,50024,0970
81,0004,194
22,20930,50024,0970
81,0000
12,00018,00022,00029,00081,000FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
FY 2024
Total, TEC b

1,000
4,000
8,194
22,20930,50024,097090,000

1,000
4,000
8,194
22,20930,50024,097090,000

400
4,600
4,000
12,00018,00022,00029,00090,000

Other Project Cost (OPC) c
OPC except D&D
FY 2017
FY 2018
FY 2023
Total, OPC except D&D

1,100
1,500
400
3,000

1,100
1,500
400
3,000

1,100
1,500
400
3,000

TEC

a Costs through 2016 reflect actual Costs; costs for FY 2017 and the outyears are estimates.

b This project has not received CD-2 approval, therefore, funding estimates are preliminary. The preliminary TEC range for this project is$70,000,000 to $96,000,000. The preliminary TPC range for this project is $73,000,000 to $99,000,000.

c Other Project Costs (OPC) are funded through laboratory overhead.

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(dollars in thousands)
Appropriations
Obligations
Total Project Cost (TPC)FY 2017
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
FY 2024
Total, TPCb
6.

1,100
2,500
4,000
8,194
22,20930,50024,4970
93,000

1,100
2,500
4,000
8,194
22,20930,50024,4970
93,000Costs a
1,100
1,900
4,600
4,000
12,00018,00022,40029,00093,000Details of Project Cost Estimate
Current Total
Estimate(dollars in thousands)
Previous Total
Estimate

Original Validated
Baseline

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design

7,500
1,500
9,000

7,500
1,500
9,000

N/A
N/A
N/A

Construction
Construction
Contingency
Total, Construction

70,00011,00081,00070,00011,00081,000

N/A
N/A
N/A

Total, TEC b
Contingency, TEC

90,00012,50090,00012,500

N/A
N/A

Other Project Cost (OPC) c
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

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

Total, TPCb
Total, Contingency

93,00012,75093,00012,750

N/A
N/A

a Costs through 2016 reflect actual Costs; costs for FY 2017 and the outyears are estimates.

b This project has not received CD-2 approval, therefore, funding estimates are preliminary. The preliminary TEC range for this project is$70,000,000 to $96,000,000. The preliminary TPC range for this project is $73,000,000 to $99,000,000.
c Other Project Costs (OPC) are funded through laboratory overhead.

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7.

Schedule of Appropriation Requests

Request Year
FY 2018 TEC
OPC b
TPC
FY 2019 TEC
OPCb
TPC
8.

Prior Years
0
0
0
0
1,100
1,100

FY 2018
1,000
0
1,000
1,000
1,500
2,500

FY 2019
TBD
0
TBD
4,000
0
4,000

(dollars in thousands)
FY 2020
FY 2021
FY 2022
TBD
TBD
TBD
0
0
0
TBD
TBD
TBD
8,194
22,20930,50000
08,194
22,20930,500FY 2023
TBD
0
TBD
24,097400
24,497FY 2024
TBD
0
TBD
0
0
0

Total
90,000 a
3,000
93,000a90,000a
3,000
93,000a

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……………………………………………………………………..

2Q FY 2025
50 years
2Q FY 2075

(Related Funding Requirements)(dollars in thousands)
Annual Costs
Life-Cycle Costs

Operations
Utilities
Maintenance and Repair
Total – Operations and Maintenance9.

Current
Total
Estimates

Previous
Total
Estimates

Current
Total
Estimates

Previous
Total
Estimates

480
547
1,222
2,249

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

23,98927,37061,121
112,480

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

D&D Information

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

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

Square Feet
110,000 to
145,000
None
None
None
None cNone

a This project has not received CD-2 approval, therefore, funding estimates are preliminary. The preliminary TEC range for this project is$70,000,000 to $96,000,000. The preliminary TPC range for this project is $73,000,000 to $99,000,000.
b Other Project Costs (OPC) are funded through laboratory overhead.
c With the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using
the Facility Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property
Efficiency Plan.

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10. 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.

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17-SC-71, Integrated Engineering Research Center
Fermi National Accelerator Laboratory (FNAL), Batavia, IL
Project is for Design and Construction
1.

Summary

Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2018 CPDS and does not include a new start for FY 2019.
Summary
The FY 2019 Request for the Integrated Engineering Research Center project is $5,000,000. The most recent DOE Order413.3B Critical Decision (CD) is CD-1, Approve Alternative Selection and Cost Range, which was approved on April 18, 2017.
The Total Estimated Cost (TEC) range for this project is $73,000,000 to $98,000,000. The Total Project Cost (TPC) range forthis project is $74,000,000 to $99,000,000.
A Federal Project Director with the appropriate certification level has been assigned to this project.
This project will design and construct new space to accommodate increased collaboration and interactions among FNAL
staff. The project is intended to close an infrastructure capability gap which will impede the establishment of aninternational neutrino campus as recommended by the Particle Physics Project Prioritization Panel (P5).
FY 2019 funds will support Project Engineering and Design activities as well as construction and associated activities.
2.

Critical Milestone History(fiscal quarter or date)
CD-0

FY 2017
FY 2018
FY 2019

Conceptual
DesignComplete

07/17/2015
N/A
07/17/2015
N/A
07/17/2015 3Q FY 2018

CD-1

CD-2/3A

Final Design
Complete

CD-3

D&D
Complete

CD-4

1Q FY 2017
4/18/2017
4/18/2017a

3Q FY 2018 a
3Q FY 2019a
3Q FY 2019a

N/A
N/A
3Q FY 2019a

3Q FY 2019a
3Q FY 2020a
3Q FY 2020a

N/A
N/A
N/A

4Q FY 2023a
4Q FY 2024a
4Q FY 2024a

CD-0 – Approve Mission Need
Conceptual Design Complete – Actual date the conceptual design was completed
CD-1 – Approve Alternative Selection and Cost Range
CD-2/3A – Approve Performance Baseline/Long Lead Procurement
Final Design Complete – Actual date the final design was completedCD-3 – Approve Start of Construction
D&D Complete – Completion of D&D Work (see section 9)
CD-4 – Approve Project Completion

FY 2017
FY 2018
FY 2019

Performance
Baseline
Validation
N/A
N/A
3Q FY 2019a This project is pre-CD-2 and schedule estimates are preliminary.

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3.

Project Cost History

FY 2017
FY 2018
FY 2019
4.

TEC, Design
10,00010,0007,000

TEC, Construction
75,000 b
75,000b78,000b(dollars in thousands)
OPC a Except
TEC, Total
D&D
85,000b2,000
85,000b
1,000
85,000b
1,000

OPC, D&D

OPC, Total

N/A
N/A
N/A

2,000
1,000
1,000

TPC
87,000b86,000b86,000b

Project Scope and Justification

Scope
The Integrated Engineering Research Center project will construct a scientific user support facility to accommodate
increased collaboration and interactions among staff at Fermilab (FNAL), who will in turn be working with scientificcollaborators and international partners in the design, construction, and operation of physics experiments.
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 long-baseline
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 the recommendations 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 scientific programs
because they are obsolete (e.g., leaking roofs, inadequate HVAC systems) and do not support the configuration or
specification needs of current and future technical programs. The Integrated Engineering Research Center will provide FNAL
with a collaborative, multi-divisional, and interdisciplinary research center. This research center will close existing capability
and infrastructure gaps by reducing the overall footprint of outdated facilities, and collocating engineering and associatedresearch staff in a new or renovated facility near the central campus. This approach will complement the ongoing andplanned renovations of Wilson Hall by establishing the main campus as the anchor point of the site. It will improvea Other project costs (OPC) are funded through laboratory overhead.

b This project has not received CD-2 approval; funding estimates are consistent with the approved cost ranges. The approved TEC for thisproject is $73,000,000 to $98,000,000. The approved TPC range for this project is $74,000,000 to $99,000,000.

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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 collaborationnecessary to establish an international neutrino program and support other HEP science opportunities described in the P5
report.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand all Project Management for the Acquisition of Capital Assets.
5.

Financial Schedule
Appropriations(dollars in thousands)
Obligations

Costs aTotal Estimated Cost (TEC)
DesignFY 2017
FY 2018
FY 2019
Total, Design

2,500
1,500
3,000
7,000

2,500
1,500
3,000
7,000

38
3,962
3,000
7,000

Construction
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Total, Construction

2,000
20,00028,09627,904078,0002,000
20,00028,09627,904078,0000
17,00023,00020,00018,00078,000FY 2017
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Total, TEC b

2,500
1,500
5,000
20,00028,09627,904085,000

2,500
1,500
5,000
20,00028,09627,904085,000

38
3,962
3,000
17,00023,00020,00018,00085,000

Other Project Cost (OPC) c
OPC except D&D
FY 2015
FY 2016
FY 2017
FY 2022
Total, OPC except D&D

120
510
300
70
1,000

120
510
300
70
1,000

120
510
300
70
1,000

TEC

a Costs through 2017 reflect actual Costs; costs for FY 2018 and the outyears are estimates.

b This project has not received CD-2 approval; funding estimates are consistent with the approved cost ranges. The approved TEC for thisproject is $73,000,000 to $98,000,000. The approved TPC range for this project is $74,000,000 to $99,000,000.
c Other Project Costs (OPC) are funded through laboratory overhead.

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Total Project Cost (TPC)FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Total, TPC b
6.

Appropriations

Obligations

Costs a

120
510
2,800
1,500
5,000
20,00028,09627,974086,000

120
510
2,800
1,500
5,000
20,00028,09627,974086,000

120
510
338
3,962
3,000
17,00023,00020,07018,00086,000Details of Project Cost Estimate
Current Total
Estimate(dollars in thousands)
Previous Total
Original Validated
Estimate
Baseline

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design

6,000
1,000
7,000

8,000
2,000
10,000

N/A
N/A
N/A

Construction
Construction
Contingency
Total, Construction

63,00015,00078,00061,00014,00075,000Total, TECb
Contingency, TEC

85,00016,00085,00016,000

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

Other Project Cost (OPC) c
OPC except D&D
Conceptual Planning
Conceptual Design
Start-upContingency
Total, OPC

250
530
150
70
1,000

250
530
150
70
1,000

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

Total, TPCb
Total, Contingency

86,00016,07086,00016,070

N/A
N/A

a Costs through 2017 reflect actual Costs; costs for FY 2018 and the outyears are estimates.

b This project has not received CD-2 approval; funding estimates are consistent with the approved cost ranges. The approved TEC for thisproject is $73,000,000 to $98,000,000. The approved TPC range for this project is $74,000,000 to $99,000,000.
c Other Project Costs (OPC) are funded through laboratory overhead.

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7.

Schedule of Appropriation Requests

Request Year
FY 2017 TEC
OPC b
TPC
FY 2018 TEC
OPCb
TPC
FY 2019 TEC
OPCb
TPC
8.

Prior
Years
0
500
0
0
500
500
0
630
630

(dollars in thousands)
FY 2017
2,500
0
2,500
2,500
0
2,500
2,500
300
2,800

FY 2018
TBD
TBD
TBD
1,500
500
2,000
1,500
0
1,500

FY 2019
TBD
TBD
TBD
TBD
0
TBD
5,000
0
5,000

FY 2020
TBD
TBD
TBD
TBD
0
TBD
20,0000
20,000FY 2021
TBD
TBD
TBD
TBD
0
TBD
28,096
0
28,096

FY 2022
TBD
TBD
TBD
TBD
0
TBD
27,90470
27,974

FY 2023
TBD
TBD
TBD
TBD
0
TBD
0
0
0

Total
85,000 a
2,000
87,000a85,000a
1,000
86,000a85,000a
1,000
86,000a

Related Operations and Maintenance Funding Requirements

Start of Operation or Beneficial Occupancy Expected………………………………………………………………………………..
Expected Useful Life........…………………………………………………………………………………………………………………………..
Expected Future Start of D&D of this capital asset…………………………………………………………………………………….

4Q FY 2024
50 years
4Q FY 2074

(Related Funding Requirements)(dollars in thousands)
Annual Costs
Life-Cycle Costs

Operations
Utilities
Maintenance and Repair
Total – Operations and Maintenance

Current
Total
Estimates

Previous
Total
Estimates

Current
Total
Estimates

Previous
Total
Estimates

508
94
1,525
2,127

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

25,4284,670
76,285
106,383

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

a This project has not received CD-2 approval; funding estimates are consistent with the approved cost ranges. The approved TEC for thisproject is $73,000,000 to $98,000,000. The approved TPC range for this project is $74,000,000 to $99,000,000.
b
Other Project Costs (OPC) are funded through laboratory overhead.

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

Square Feet
67,000 to
134,000
None
55,200None
None a55,200

10. 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.

a With the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using
the Facility Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property
Efficiency Plan.

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17-SC-73, Core Facility Revitalization
Brookhaven National Laboratory (BNL), Upton, NY
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 2018 CPDS and does not include a new start for FY 2019.
Summary
The FY 2019 Request for the Core Facility Revitalization project is $13,632,000. The most recent DOE Order 413.3B approved
Critical Decision (CD) is CD-1, Approve Alternative Selection and Cost Range, which was approved on April 18, 2017.
The Total Estimated Cost (TEC) range for this project is $67,650,000 to $83,650,000. The Total Project Cost (TPC) range forthis project is $68,500,000 to $84,500,000.
A Federal Project Director with the appropriate certification level has been assigned to this project.
This project will provide the most urgent computation and data storage capabilities in time to support BNL’s expanding core
mission computing requirements, such as the computationally-intensive research associated with the Relativistic Heavy Ion
Collider (RHIC) and the US-A Toroidal Large Hadron Collider Apparatus (US-ATLAS) at the European Organization for Nuclear
Research (CERN) in Geneva, Switzerland.
FY 2019 funds will support Project Engineering and Design activities as well as construction and associated activities.
2.

Critical Milestone History

FY 2017
FY 2018
FY 2019CD-0
9/10/2015
9/10/2015
9/10/2015

Conceptual
DesignComplete
08/05/2016
08/05/2016
08/05/2016(fiscal quarter to date)
CD-1
CD-2
3Q FY 2017 3Q FY 2019 a
04/18/2017 3Q FY 2019a
04/18/2017 2Q FY 2019a

Final Design
Complete
CD-3
3Q FY 2020 3Q FY 2020a
1Q FY 2020 1Q FY 2020a
4Q FY 2019 4Q FY 2019a

D&D
Complete
N/A
N/A
N/A

CD-4
4Q FY 2024a
4Q FY 2024a
4Q FY 2024a

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 completed
CD-3– Approve Start of Construction
D&D Complete – Completion of D&D Work (see section 9)
CD-4 – Approve Project Completion

FY 2017
FY 2018
FY 2019

Performance Baseline
Validation
N/A
N/A
N/A

a This project is pre-CD-2 and schedule estimates are preliminary.

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3.

Project Cost History

TEC, Design
FY 2017
FY 2018
FY 2019
4.

6,400
7,000
7,000

TEC,
Construction
57,000 b
67,000b
67,000b(dollars in thousands)
OPC a Except
TEC, Total
OPC, D&D
D&D
63,400b1,100
N/A
74,000b850
N/A
74,000b
850
N/A

OPC, Total

TPC

1,100
850
850

64,500b74,850b74,850b

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.
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 and associatedinfrastructure

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 gross square feet

60,600 gross square feet

Justification
BNL is a multi-purpose research institution funded primarily by SC to operate 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 the RHIC ATLAS Computing Facility(RACF) 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, which indirectly
supports the broader SC mission. In addition, other SC program offices may conduct additional core mission computing
activities enabled by infrastructure upgrades 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 to become functionally obsolete and incapable of accommodating 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

a Other project costs (OPC) are funded through laboratory overhead.

b This project has not received CD-2 approval; funding estimates are consistent with the approved cost ranges. The approved TEC for thisproject is $67,650,000 to $83,650,000. The approved TPC range for this project is $68,500,000 to $84,500,000.

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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 utilizing thebeamlines at BNL’s National Synchrotron Light Source-II, and funded by SC’s Basic Energy Science program office are fully
developed, additional core mission computing will be required. A mission need therefore exists to provide sufficient, midrange computation and data storage capabilities to support the current and planned experiments at BNL.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
5.

Financial Schedule
Appropriations(dollars in thousands)
Obligations

Costs aTotal Estimated Cost (TEC)
DesignFY 2017
FY 2018
FY 2019
Total, Design

1,800
1,500
3,700
7,000

1,800
1,500
3,700
7,000

28
2,500
4,472
7,000

Construction
FY 2019
FY 2020
FY 2021
FY 2022
Total, Construction

9,932
25,00032,068067,0009,932
25,00032,068067,0008,000
20,00025,00014,00067,0001,800
1,500
13,63225,00032,068074,0001,800
1,500
13,63225,00032,068074,00028
2,500
12,47220,00025,00014,00074,000

659
80
111
850

659
80
111
850

659
80
111
850

TEC

FY 2017
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
Total, TEC b
Other Project Cost (OPC) c
OPC except D&D
FY 2016
FY 2017
FY 2023
Total, OPC

a Costs through FY 2017 reflect actual costs; costs for FY 2018 and the outyears are estimates.

b This project has not received CD-2 approval; funding estimates are consistent with the approved cost ranges. The approved TEC for thisproject is $67,650,000 to $83,650,000. The approved TPC range for this project is $68,500,000 to $84,500,000.
c Other Project Costs (OPC) are funded through laboratory overhead.

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Appropriations(dollars in thousands)
Obligations

Costs a

850
1,800
1,500
13,63225,00032,0680074,850

850
1,800
1,500
13,63225,00032,0680074,850

659
108
2,500
12,47220,00025,00014,000111
74,850Total Project Cost (TPC)FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
FY 2023
Total, TPC b
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

5,600
1,400
7,000

5,600
1,400
7,000

N/A
N/A
N/A

Construction
Construction
Contingency
Total, Construction

53,60013,40067,00053,60013,40067,00074,00014,80074,00014,800

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

534
201
72
43
850
43

229
451
0
170
850
170

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

74,85014,84374,85014,970

N/A
N/A

Total, TECb
Contingency, TEC
Other Project Cost (OPC) c
OPC except D&D
Conceptual Planning
Conceptual Design
Start-upContingency
Total, OPC
Contingency, OPC
Total, TPCb
Total, Contingency

a Costs through FY 2017 reflect actual costs; costs for FY 2018 and the outyears are estimates.

b This project has not received CD-2 approval; funding estimates are consistent with the approved cost ranges. The approved TEC for thisproject is $67,650,000 to $83,650,000. The approved TPC range for this project is $68,500,000 to $84,500,000.

c Other Project Costs (OPC) are funded through laboratory overhead.

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7.

Schedule of Appropriation Requests

RequestYear
FY 2017

FY 2018

FY 2019

8.

TEC
OPC b
TPC
TEC
OPCb
TPC
TEC
OPCb
TPC

FY 2016
0
850
850
0
850
850
0
850
850

FY 2017
1,800
0
1,800
1,800
0
1,800
1,800
0
1,800

FY 2018
TBD
TBD
TBD
1,500
0
1,500
1,500
0
1,500

(dollars in thousands)
FY 2019
FY 2020
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
13,63225,0000
013,63225,000FY 2021
TBD
TBD
TBD
TBD
TBD
TBD
32,0680
32,068FY 2022
TBD
TBD
TBD
TBD
TBD
TBD
0
0
0

Total
74,000 a
850
74,850a74,000a850
74,850a74,000a850
74,850a

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

4Q FY 2024
25 years
N/A(Related Funding requirements)(dollars in thousands)
Annual Costs
Life Cycle Costs
Current
Previous
Current
Previous
Total
Total
Total
Total
Estimate
Estimate
Estimate
Estimate
Operations
N/A
N/A
N/A
N/A
Utilities
2,000
N/A
44,284
N/A
Maintenance and Repair
723
N/A
16,011
N/A
Total, Operations & Maintenance
2,723
N/A
60,295
N/A
9.

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 Brookhaven National Laboratory…………………….
Area of D&D in this project at Brookhaven National Laboratory ……………………………………………
Area at Brookhaven National Laboratory to be transferred, sold, and/or D&D outside theproject including area previously “banked……………………………………………………………………………..
Area of D&D in this project at other sites……………………………………………………………….………………
Area at other sites to be transferred, sold, and/or D&D outside the project including area
previously “banked…………………………………………………………………………………………………………………
Total area eliminated………………………………………………………………………………………………………………

Square Feet
None
None
None c
None
None
None

a This project has not received CD-2 approval; funding estimates are consistent with the approved cost ranges. The approved TEC for thisproject is $67,650,000 to $83,650,000. The approved TPC range for this project is $68,500,000 to $84,500,000.
b Other Project Costs (OPC) are funded through laboratory overhead.
c With the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using
the Facility Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property
Efficiency Plan.

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10. Acquisition Approach
Acquisition for this project will be performed by the BNL Management and Operating (M&O) Contractor, Brookhaven
Science Associates, and overseen by the Brookhaven Site Office. Various acquisition 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 and evaluation measurement plan.

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15-SC-76, Materials Design Laboratory
Argonne National Laboratory (ANL), Argonne, IL
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 2018 CPDS and does not include a new start for FY 2019.
Summary
The most recent DOE Order 413.3B approved Critical Decision (CD) is CD-3, Approve Start of Construction, which wasapproved on August 12, 2016. The approved Total Estimated Cost (TEC) for this project is $95,000,000. The approved 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. Construction began in February 2017.
FY 2019 funds represent final funding for the project and will be used to complete construction.
2.

Critical Milestone History(fiscal quarter or date)

FY 2015
FY 2016
FY 2017
FY 2018
FY 2019CD-0
08/27/2010
08/27/2010
08/27/2010
08/27/2010
08/27/2010

Conceptual
DesignComplete
N/A
1Q FY 201511/12/2014
11/12/2014
11/12/2014

CD-1
4Q FY 2014
2Q FY 201501/30/2015
01/30/2015
01/30/2015

CD-2
4QFY 2015
2Q FY 2016
2Q FY 201603/18/2016
03/18/2016

Final Design
Complete
CD-3
4Q FY 2016 3Q FY 2016
3Q FY 2017 1Q FY 2017
3Q FY 2017 1Q FY 201705/09/2016 08/12/2016
05/09/2016 08/12/2016

D&D
Complete
N/A
N/A
N/A
N/A
N/A

CD-4
2Q FY 2020
3Q FY 2020
3Q FY 2020
3Q FY 2021
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

FY 2015
FY 2016
FY 2017
FY 2018
FY 2019

Performance
Baseline
Validation
N/A
1Q FY 2017
3Q FY 201603/18/2016
03/18/2016

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3.

Project Cost History

FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
4.

TEC, Design
7,000
7,000
7,000
7,000
7,000

TEC,
Construction
88,00088,00088,00088,00088,000(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
95,0001,000
N/A

OPC, Total
1,000
1,000
1,000
1,000
1,000

TPC
96,00096,00096,00096,00096,000

Project Scope and Justification

Scope
The scope of this project includes the design and construction of a Materials Design Laboratory building approximately
115,000 gross square feet in size and located adjacent to the recently completed Energy Sciences Building.
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 Order 413.3B, Programand all Project Management for the Acquisition of Capital Assets.
The table below outlines the Key Performance Parameters.
Key Performance Parameters
Description
Multi-story laboratory building
5.

Threshold Value (Minimum)
97,000 gross square feet

Objective Value (Maximum)
130,000 gross square feet

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

a Other project costs (OPC) are funded through laboratory overhead.

b Costs through FY 2017 reflect actual costs; costs for FY 2018 and the outyears are estimates.

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(dollars in thousands)
Appropriations
Obligations
Construction
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, Construction

Costs a23,91019,59024,50020,000088,00023,91019,59024,50020,000088,0000
17,55127,00032,00011,44988,000FY 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
17,78027,00032,00011,44995,000

Other Project Cost (OPC) b
OPC except D&D
FY 2010
FY 2011
FY 2014
FY 2015
Total, OPC except D&D

382
0c
328
290
1,000

382
0c
328
290
1,000

382
0c
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

382
0c
328
7,290
23,91019,59024,50020,000096,000

382
0c
328
7,290
23,91019,59024,50020,000096,000

382
0c
328
3,063
3,998
17,78027,00032,00011,44996,000TEC

a Costs through FY 2017 reflect actual costs; costs for FY 2018 and the outyears are estimates.
b OPC are funded through laboratory overhead.

c OPC Funding was adjusted to reflect FY 2010 actuals ($382,000 for OPC funding in FY 2010).

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6.

Details of Project Cost Estimate(dollars in thousands)
Current Total
Previous Total Original Validated
Estimate
Estimate
Baseline

7.

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design

7,000
0
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

95,00011,99695,00016,00095,00011,991Other Project Cost (OPC) a
OPC except D&D
Conceptual Planning
Conceptual Design
Contingency
Total, OPC
Contingency, OPC

382
618
0
1,000
0

382
500
118
1,000
118

382
618
0
1,000
0

Total, TPC
Total, Contingency

96,00011,99696,000
16,11896,00011,991

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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Request Year
FY 2019 TEC
OPC a
TPC
8.

Prior Years
0
382
382

FY 20140328
328

FY 2015
7,000
290
7,290

(dollars in thousands)
FY 2016
FY 2017
23,91019,5900
023,91019,590FY 2018
24,500024,500FY 2019
20,0000
20,000Total
95,0001,000
96,000Related Operations and Maintenance Funding Requirements

Start of Operation or Beneficial Occupancy Expected………………………………………………………………………………..
Useful Life…………………………………………………………………………………………………………………………………………………..
Expected Future Start of D&D of this capital asset……………………………………………………………………………………..

2Q FY 2021
50 years
2Q FY 2071

(Related Funding Requirements)(dollars in thousands)
Annual Costs
Life-Cycle Costs

Operations
Utilities
Maintenance and Repair
Total – Operations and Maintenance9.

Current
Total
Estimates

Previous
Total
Estimates

Current
Total
Estimates

Previous
Total
Estimates

376
429
958
1,763

376
429
958
1,763

18,80021,45047,90088,15018,80021,45047,90088,150D&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………………………………………………………………………………………

a

Square Feet
115,000
None
None
None
None bNone

OPC are funded through laboratory overhead.

b With the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using

the Facility Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property
Efficiency Plan.

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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.

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15-SC-78, Integrative Genomics Building
Lawrence Berkeley National Laboratory (LBNL), Berkeley, CA
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 2018 CPDS and does not include a new start for FY 2019.
Summary
The most recent DOE Order 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
this project 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 Lawrence Berkeley National Laboratory (LBNL) campus. Final Design was completed
in May 2016. Construction started in December 2016.
FY 2019 funds represent final funding for the project and will be used to complete construction.
2.

Critical Milestone History(fiscal quarter to date)

FY 2015
FY 2016
FY 2017
FY 2018
FY 2019CD-0
9/17/2013
9/17/2013
9/17/2013
9/17/2013
9/17/2013

Conceptual
DesignComplete
N/A
1Q FY 201510/28/2014
10/28/2014
10/28/2014

CD-1
1Q FY 2015
2Q FY 201502/20/2015
02/20/2015
02/20/2015

CD-2
3Q FY 2016
2Q FY 2016
2Q FY 2016
3/18/2016
3/18/2016

Final Design
Complete
CD-3
4Q FY 2016 3Q FY 2016
3Q FY 2016 4Q FY 2016
3Q FY 2016 1Q FY 2017
5/2/2016
10/7/2016
5/2/2016
10/7/2016

D&D
Complete
N/A
N/A
N/A
N/A
N/A

CD-4
1Q FY 2021
1Q FY 2021
1Q FY 2021
1Q FY 2021
1Q 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 – 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 20172Q FY 2016
FY 2018PB 3/18/2016
FY 2019
3/18/2016
3.

Project Cost History

TEC, Design
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
4.

12,090
9,590
6,500
6,900
6,900

TEC,
Construction
77,91080,41083,50083,10083,100(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
090,0001,500
0OPC, Total

TPC

1,500
1,500
1,500
1,500
1,500

91,50091,50091,50091,50091,500

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
approximately 80,800 gross square feet in size and located on the main LBNL campus in Berkeley, California. The facility will
be physically located on the former site of the demolished Bevatron particle accelerator.
The table below outlines the Key Performance Parameters.
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 LBNL. LBNL
has grown from a pioneering particle and nuclear physics laboratory into a multidisciplinary research facility with broadcapabilities in physical, chemical, computational, biological, and environmental systems research in support of the
Department of Energy (DOE) mission. Portions of the biosciences program at LBNL are located off-site, away from the mainlaboratory, 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 theenvironment. This project will close the present capability gaps by providing a state-of-the-art facility that will collocate
biosciences research and other programs.
FY 2019 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 Order 413.3B, Programand all Project Management for the Acquisition of Capital Assets.

a Other 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
018,07750,00015,023
83,100FY 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
18,35050,00015,02390,000

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
18,35050,00015,02391,500TEC

a Costs through FY 2017 reflect actual costs; costs for FY 2018 and the outyears are estimates.
b Other Project Costs (OPC) are funded through laboratory overhead.

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6.

7.

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

Original Validated
Baseline

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design

6,900
0
6,900

5,964
536
6,500

6,216
684
6,900

Construction
Construction
Contingency
Total, Construction

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

91,50012,77191,50012,289

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
91,500a Other Project Costs (OPC) are funded through laboratory overhead.

Science/Science Laboratories Infrastructure/
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368

FY 2019 Congressional Budget Justification

Request
Year
FY 2019

8.

TEC
OPC a
TPC

FY 2014
0
1,500
1,500

FY 2015
12,0900
12,090(dollars in thousands)
FY 2016
FY 2017
FY 2018
20,00019,56124,80000
020,00019,56124,800FY 2019
13,5490
13,549Total
90,0001,500
91,500Related Operations and Maintenance Funding Requirements

Start of Operation or Beneficial Occupancy
Expected Useful Life
Expected Future Start of D&D of this capital asset

1QFY 2021
50 years
1QFY 2071(Related Funding requirements)(dollars in thousands)
Annual Costs
Life Cycle Costs
Current
Previous
Current
Previous
Total
Total
Total
Total
Estimate
Estimate
Estimate
Estimate
Operations
179
179
5,735
5,735
Utilities
324
324
11,91911,919Maintenance and Repair
644
644
20,662
20,662
Total, Operations & Maintenance
1,147
1,147
38,31638,316
9.

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
80,880None
None b
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 asa Other Project Costs (OPC) are funded through laboratory overhead.

b With the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using

the Facility Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property
Efficiency Plan.

Science/Science Laboratories Infrastructure/
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369

FY 2019 Congressional Budget Justification

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.

Science/Science Laboratories Infrastructure/
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FY 2019 Congressional Budget Justification

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 requirements of open scientific research and protecting critical assets within SC
laboratories. Accomplishing this mission depends on providing physical controls that will mitigate possible risks to thelaboratories’ employees, nuclear and special materials, classified and sensitive information, and facilities. The SC S&S
program also provides funding for cybersecurity for the laboratories’ information technology systems to protect computers,
networks, and data from unauthorized access.
Highlights of the FY 2019 Budget Request
The FY 2019 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).
Another key priority in the FY 2019 Request is to ensure that the Cyber Security element maintains the ability to detect,
mitigate, and recover from cyber intrusions and attacks against protected information. In addition, the Request addresses
cybersecurity infrastructure necessary to provide security for commensurate investments in IT.
Within the S&S FY 2019 Request, SC supports the Cybersecurity Departmental Crosscut. This includes the Department’s
CyberOne strategy for managing enterprise-wide cybersecurity and identity authentication for Department of Energy (DOE)
IT systems. The CyberOne strategy provides improved Department-wide capabilities for incident management and logicalaccess to federal IT systems.
FY 2019 Crosscuts ($K)
Cybersecurity
Safeguards and Security

35,332 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.
Information Securitya The Cyber Security amount includes $6,435,000 for CyberOne funded through the Working Capital Fund (WCF).

Science/Safeguards and Security

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FY 2019 Congressional Budget Justification

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
SC is engaged in protecting the enterprise from a range of cyber threats that can adversely impact mission capabilities. The
Cyber Security program element, which supports the Cybersecurity Departmental Crosscut, provides central coordination of
the strategic and operational aspects of cybersecurity and facilitates cooperative efforts such as the Joint Cybersecurity
Coordination Center (JC3) for incident response and the implementation of Department-wide Identity, Credentials, andAccess Management (ICAM).
Personnel Security
The Personnel Security program element encompasses the processes for employee suitability and security clearance
determinations at each site to ensure that individuals are trustworthy and eligible for access to classified information or
matter. This element also includes the management of security clearance programs, adjudications, security education,awareness programs for Federal and contractor employees, and processing and hosting approved foreign visitors.
Material Control and Accountability (MC&A)
The MC&A program element provides assurance that Departmental materials are properly controlled and accounted for at
all times. This element supports administration, including testing performance and assessing the levels of protection,
control, and accountability required for the types and quantities of materials at each facility; documenting facility plans formaterials control and accountability; assigning authorities and responsibilities for MC&A functions; and establishingprograms to detect and report occurrences such as material theft, the loss of control or inability to account for materials, orevidence of malevolent acts.
Program Management
The Program Management program element coordinates the management of Protective Forces, Security Systems,
Information Security, Personnel Security, Cyber Security, and MC&A to achieve and ensure appropriate levels of protections
are in place.

Science/Safeguards and Security

372

FY 2019 Congressional Budget Justification

Safeguards and Security
Funding ($K)
FY 2017 Enacted
Protective Forces
Security Systems
Information Security
Cyber Security b
Personnel Security
Material Control and Accountability
Program Management
Total, Safeguards and Security

39,63810,357
4,467
33,236
6,086
2,458
6,758
103,000

FY 2018 Annualized
CR a
–
–
–
–
–
–
–
102,301

FY 2019 Request
41,55910,3704,356
35,332
5,444
2,431
6,618
106,110

FY 2019 Request vsFY 2017 Enacted+1,921+13-111+2,096
-642
-27
-140
+3,110a
A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing Appropriations Act, 2018
(Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts are shown only at the Congressional control level andabove; below that level, a dash (—) is shown).
b

The Cyber Security amount includes $6,039,000 in FY 2017 and $6,435,000 in FY 2019 for CyberOne through the Working Capital Fund (WCF).

Science/Safeguards and Security

373

FY 2019 Congressional Budget Justification

Safeguards and Security
Activities and Explanation of Changes
FY 2017 Enacted
Protective Forces $39,638,000

FY 2019 Request$41,559,000

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted+$1,921,000

Provided funding to maintain proper protection levels, Continues funding to maintain proper protection
equipment, and technical training needed to ensurelevels, equipment, and technical training needed toeffective performance at all SC laboratories.
ensure effective performance at all SC laboratories.

The increase supports protection of the special
nuclear material housed in Building 3019 at ORNL,
addresses contractual cost of living adjustments, andsupports sustained levels of operations across all SC
laboratories.

Security Systems $10,357,000$10,370,000+$13,000

Provided funding to maintain the security systems
currently in place.

Continues funding to maintain the security systems
currently in place.

The increase will ensure proper physical security
systems are in place across the SC complex.

Information Security $4,467,000$4,356,000-$111,000

Provided funding to maintain personnel, equipment,
and systems necessary to ensure sensitive andclassified information is safeguarded at SC
laboratories.

Continues funding to maintain personnel, equipment,
and systems necessary to ensure sensitive andclassified information is safeguarded at SC
laboratories.

Information Security decreases to focus efforts onhigh priority cybersecurity activities.

Cyber Security $33,236,000$35,332,000+$2,096,000

Provided funding to maintain protection of laboratorycomputers, networks, and data from unauthorizedaccess. This level also continued support of the
Department’s CyberOne strategy.

Continues funding to maintain a proper level ofprotection of laboratory computers, networks, anddata from unauthorized access. The Request also
continues support of the Department’s CyberOne
strategy.

The increase will provide funding to support
enhanced Cyber Security protection from cyber
intrusions and attacks against protected
information. The increase also supports the
Department’s CyberOne strategy.

Personnel Security $6,086,000$5,444,000-$642,000

Provided funding to maintain Personnel Security
efforts at SC laboratories.

Continues funding to maintain Personnel Security
efforts at SC laboratories. Funding is requested tosupport SC Headquarters security investigations.

Personnel Security decreases to focus efforts on highpriority cybersecurity activities. The Request includes
additional funding for security investigations that will
support the consolidation of Headquarters security
investigations and clearances in SC.

Science/Safeguards and Security

374

FY 2019 Congressional Budget Justification

FY 2017 Enacted
Materials Control and Accountability $2,458,000

FY 2019 Request$2,431,000

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted-$27,000

Provided funding to maintain protection of material at Continues funding to maintain protection of material
SC laboratories.
at SC laboratories.

Materials Control and Accountability decreases
slightly to focus efforts on high priority cybersecurity
activities.

Program Management $6,758,000$6,618,000-$140,000

Provided funding to maintain oversight,
administration, and planning for security programs at
SC laboratories and supported security proceduresand policy support for SC Research missions.

Continues funding to maintain oversight,
administration, and planning for security programs at
SC laboratories and will support security proceduresand policy support for SC Research missions.

Program management decreases to focus efforts onhigh priority cybersecurity activities.

Science/Safeguards and Security

375

FY 2019 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 2017 Planned Costs
40
1,100
1,218
1,010
677
4,710
4,781
50
135
13,721376

FY 2018 Planned Costs
40
1,100
915
1,007
509
5,428
5,000
55
158
14,212

FY 2019 Planned Costs
75
1,500
911
966
512
5,428
5,001
55
235
14,683

FY 2019 Congressional Budget Justification

Program Direction
Overview
Program Direction (PD) in the Office of Science (SC) supports a highly skilled federal workforce to develop and oversee SC
investments in basic research and construction and operation of scientific user facilities, which are critical to the American
scientific enterprise. SC is the largest federal sponsor of basic research in the physical sciences in the U.S. SC research andfacility investments transform our understanding of nature and advance the energy, economic, and national security of theUnited States. In addition, SC accelerates discovery and innovation by providing broad public access to all DOE research anddevelopment findings.
SC requires sophisticated and experienced scientific and technical program and project managers, as well as experts inacquisition; finance; legal; construction management; and environmental, safety, and health oversight. The SC basic
research portfolio includes extramural grants and contracts supporting over 22,000 researchers located at over 300
institutions and the 17 DOE national laboratories, spanning all fifty states and the District of Columbia. The portfolio of 26
scientific user facilities serves nearly 32,000 users per year.
Headquarters (HQ)The SC HQ includes the six SC research program offices (Advanced Scientific Computing Research, Basic Energy Sciences,
Biological and Environmental Research, Fusion Energy Sciences, High Energy Physics, and Nuclear Physics), Workforce
Development for Teachers and Scientists, Project Assessment, and SBIR/STTR Programs Offices, as well as several resource
management functions, and HQ-based field management functions. The SC HQ federal staff:
•
•
•

•
•
•
•
•

Conduct scientific program and research infrastructure planning, execution, and management across SC, in part byextensive engagement with the scientific community to identify research opportunities and develop priorities.
Establish and maintain competitive research portfolios, which include high-risk, high-reward research, to achieve
mission goals and objectives.
Conduct rigorous external peer review of research proposals and ongoing programs. Each year, SC manages nearly
5,000 ongoing laboratory, university, non-profit, and private industry research awards and conducts over 12,000 peer
reviews of new and renewal proposals.
Provide safety, security, and infrastructure oversight and management of all SC user facilities and other current research
investments.
Ensure the production, certification, and distribution of nuclear reference materials for a wide variety of users.
Provide oversight and management of all line item construction projects and other capital asset projects.
Provide oversight and management of the maintenance and operational integrity of the ten SC-stewarded national
laboratories.
Provide policy, strategy, and resource management in the areas of laboratory oversight, information technology, grants
and contracts, budget, and human capital.

Office of Scientific and Technical Information (OSTI)
OSTI fulfills the Department’s responsibilities for providing public access to the unclassified results of its research
investments and limited access to classified research results. DOE researchers produce over 50,000 research publications,datasets, software, and patents annually. OSTI's physical and electronic collections exceed one million research outputs
from the 1940s to the present, providing access to the results of DOE’s research investments. OSTI implements DOE’s publicaccess mandates, including the government-wide requirement that peer-reviewed publications resulting from federal
funding is made available to the public within 12 months of publication in a journal.
Integrated Support Center (ISC)
The ISC, located at the Chicago and Oak Ridge Offices, provides business management to support SC’s federal
responsibilities. These functions include legal and technical support; financial management; grant and contract processing;safety, security, and health management; intellectual property and patent management; environmental compliance; facility
infrastructure operations and maintenance; and information systems development and support. As part of this, the ISC:

Science/Program Direction

FY 2019 Congressional Budget Justification

377

•

•

Monitors the multi-appropriation, multi-program allotments for all ten SC national laboratories through administrationof laboratory Management and Operating (M&O) contracts and is responsible for over 3,000 grants per year touniversity-based 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.

Site Offices
SC site offices provide contract management and critical support for the scientific mission execution at ten SC national
laboratories. This includes day-to-day business management; approvals to operate hazardous facilities; safety and security
oversight; leases; property transfers; sub-contracts; and activity approvals required by laws, regulations, and DOE policy. As
part of this, the site offices:•••

Maintain a comprehensive contract management program to ensure contractual mechanisms are managed effectively
and consistently with guidelines and regulations.
Evaluate laboratory activities including nuclear, radiological, and other complex hazards.
Provide federal project directors to oversee construction projects and other major capital asset projects.

Highlights of the FY 2019 Request
The FY 2019 Request of $180,000,000 will support a total level of approximately 835 FTEs. SC will utilize available humancapital workforce reshaping tools to manage its FTEs in a manner consistent with its long-term workforce restructuring planas part of the DOE Agency Reform Plan a. SC will continue to review, analyze, and prioritize mission requirements andidentify those organizations and functions aligning with Administration and Department program objectives and SC strategic
goals while maximizing efficiency through functional consolidation.
The FY 2019 Request includes:• Two (2) FTEs in the Office of Planning and Management Oversight to support the Office of the Under Secretary for
Science.
• Twenty-two (22) FTEs in the Office of the Chief Human Capital Officer operating the Shared Service Center (SSC) andsupporting HR Advisory Offices.
• Three-hundred and four (304) SC Headquarters (HQ) federal staff, spread among the six research program offices,
Workforce Development for Teachers and Scientists, Project Assessment, and SBIR/STTR Programs Offices, as well as
several resource management functions, and HQ-based field management functions, including the NBL Program Office.
The NBL Program Office was established in 2016 as part of a reorganization that restructured the functions anddispositioned the inventory of the New Brunswick Laboratory. The NBL Program Office is organized under the Deputy
Director for Field Operations with responsibility for ensuring the production, certification, and distribution of nuclear
reference materials for a wide variety of users.
• Forty (40) OSTI federal staff to manage SC’s public access program.
• Four-hundred and sixty-seven (467) Integrated Service Center (ISC) and site office federal staff.

a OMB Memo M-17-22

Science/Program Direction

FY 2019 Congressional Budget Justification

378

Science Program Direction
Funding ($K)
FY 2017 Enacted
Headquarters
Science HQSalaries and Benefits
TravelSupport Services
Other Related Expenses
Working Capital Fund
Total, Science HQ
Under Secretary for Science
Salaries and Benefits
Other Related Expenses
Total, Under Secretary for Science
Human Capital Shared Service Center
Salaries and Benefits
Other Related Expenses
Total, Human Capital Shared Service Center
Total Headquarters
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Working Capital Fund
Total, Headquarters

FY 2018
Annualized CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

57,652
1,151
16,956
2,706
8,142
86,607

–
–
–
–
–
–

57,075
1,513
15,0404,345
8,150
86,123-577+362-1,916+1,639
+8
-484

460
0
460

–
–
–

440
400
840

-20
+400
+380

3,455
456
3,911

–
–
–
–

2,750
400
3,150

-705
-56
-761

61,567
1,151
16,956
3,162
8,142
90,978

–
–
–
–
–
–

60,265
1,513
15,0405,145
8,150
90,113-1,302+362-1,916+1,983+8-865

a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).

Science/Program Direction

FY 2019 Congressional Budget Justification

379

FY 2017 Enacted

FY 2018
Annualized CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

Office of Scientific and Technical Information
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Office of Scientific and Technical Information

6,020
65
1,569
903
8,557

–
–
–
–
–

5,720
76
1,931
920
8,647

-300
+11
+362
+17
+90

Field Offices
Chicago Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Chicago Office

21,312
124
411
1,767
23,614–––––

20,562
210
680
2,269
23,721

-750
+86
+269
+502
+107

Oak Ridge Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Oak Ridge Office

18,864
173
659
3,943
23,639–––––18,492
220
1,937
3,362
24,011-372+47+1,278-581+372

Ames Site Office
Salaries and Benefits
TravelSupport Services
Total, Ames Site Office

636
11
2
649

–
–
–
–

620
20
2
642

-16
+9
0
-7

Argonne Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Argonne Site Office

3,680
40
138
39
3,897

–
–
–
–
–

4,150
70
195
20
4,435

+470
+30
+57
-19
+538

Science/Program Direction

FY 2019 Congressional Budget Justification

380

FY 2017 Enacted

FY 2018
Annualized CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

Berkeley Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Berkeley Site Office

3,114
30
144
131
3,419

–
–
–
–
–

3,560
65
215
105
3,945

+446
+35
+71
-26
+526

Brookhaven Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Brookhaven Site Office

4,163
63
360
220
4,806

–
–
–
–
–

4,071
80
334
287
4,772

-92
+17
-26
+67
-34

Fermi Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Fermi Site Office

2,535
38
50
40
2,663

–
–
–
–
–

2,240
80
42
28
2,390

-295
+42
-8
-12
-273

New Brunswick Laboratory Program Office b
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, New Brunswick Laboratory Program Office

1,043
63
489
898
2,493

–
–
–
–
–

0
0
0
0
0

-1,043
-63
-489
-898
-2,493b The New Brunswick Laboratory was closed and functions have been distributed across multiple national laboratories with a HQ program office overseeing operations. FY 2019 Request for

Science HQ will support the NBL Program Office.

Science/Program Direction

FY 2019 Congressional Budget Justification

381

FY 2017 Enacted

FY 2018
Annualized CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

Oak Ridge National Laboratory Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Oak Ridge National Laboratory Site Office

5,776
50
330
30
6,186

–
–
–
–
–

5,145
80
215
25
5,465

-631
+30
-115
-5
-721

Pacific Northwest Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Pacific Northwest Site Office

4,896
67
38
104
5,105

–
–
–
–
–

4,970
110
34
56
5,170

+74
+43
-4
-48
+65

Princeton Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Princeton Site Office

1,540
19
14
74
1,647

–
–
–
–
–

1,859
45
15
59
1,978

+319
+26
+1
-15
+331

SLAC Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, SLAC Site Office

2,220
25
140
57
2,442

–
–
–
–
–

2,340
45
198
40
2,623

+120
+20
+58
-17
+181

Thomas Jefferson Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Thomas Jefferson Site Office

1,831
30
10
34
1,905

–
–
–
–
–

2,004
45
8
31
2,088

+173
+15
-2
-3
+183

Science/Program Direction

FY 2019 Congressional Budget Justification

382

FY 2017 Enacted

FY 2018
Annualized CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

Total Field Offices
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Field Offices

71,610
733
2,785
7,337
82,465–––––70,013
1,070
3,875
6,282
81,240-1,597+337+1,090-1,055-1,225

Total Program Direction
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Working Capital Fund
Total, Program Direction
Federal FTEs

139,197
1,949
21,31011,4028,142
182,000
870

–
–
–
–
–
180,764–

135,998
2,659
20,846
12,3478,150
180,000
835-3,199
+710
-464
+945
+8
-2,000
-35

500
884
462
1,846

–
–
–
–

0
973
0
973

-500
+89
-462
-873

10,390
718

–
–

9,080
740

-1,310+22

8,356
19,464
21,310–––10,053
19,873
20,846+1,697+409-464

Technical Support
Development of specifications
System review and reliability analyses
Surveys or reviews of technical operations
Total, Technical Support
Management Support
Automated data processing
Training and education
Reports and analyses, management, and generaladministrative services
Total, Management Support
Total, Support Services

Science/Program Direction

FY 2019 Congressional Budget Justification

383

FY 2017 Enacted
Other Related Expenses
Rent to GSA
Rent to others
Communications, utilities, and miscellaneous
Other services
Operation and maintenance of equipment
Operation and maintenance of facilities
Supplies and materials
Equipment
Total, Other Related Expenses
Working Capital Fund

960
1,173
2,511
1,454
142
1,413
853
2,896
11,4028,142

FY 2018
Annualized CR a
–
–
–
–
–
–
–
–
–
–

Science/Program Direction

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

612
1,374
2,623
2,379
2
1,242
690
3,425
12,347
8,150

-348
+201
+112
+925
-140
-171
-163
+529
+945
+8

FY 2019 Congressional Budget Justification384

Program Direction
Activities and Explanation of Changes
FY 2017 Enacted

FY 2019 Request

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted

Program Direction $182,000,000$180,000,000-$2,000,000

Salaries and Benefits $139,197,000$135,998,000-$3,199,000

The FY 2017 Enacted level supported 870 FTEs toperform scientific oversight, program and project
management, essential operations support associatedwith science program portfolio management, andsupport for the Office of the Chief Human Capital
Officer operating the SSC and supporting HR Advisory
Offices.

The FY 2019 Request will support 835 FTEs to performscientific oversight, program and project
management, essential operations support associatedwith science program portfolio management, andsupport for the Office of the Chief Human Capital
Officer operating the SSC and supporting HR Advisory
Offices.

The reduction in salaries and benefits will be driven
by ongoing and planned reductions in federal staff
consistent with SC’s long-term workforce
restructuring plans and the DOE Agency Reform Plan.

Funding also supported expenses such as increases in This funding will also support health insurance costs
general schedule pay rates, health insurance costs and and retirement allocations in the Federal Employees
retirement allocations in the Federal Employees
Retirement System.
Retirement System.
Travel $1,949,000$2,659,000+$710,000

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. The Enacted levelsupported facility visits where the use of electronic
telecommunications were not practical for mandated
on-site inspections and facility operations reviews.

Ensuring scientific management, compliance, safety
oversight, and external review of research funding
across all SC programs requires staff to travel, since SC
senior program managers are not co-located with
grantees or at national laboratories. The FY 2019
Request will support facility visits where the use ofelectronic telecommunications are not practical for
mandated on-site inspections and facility operations
reviews.

The increase in travel funding will allow for increased
SC program manager participation in major scientificmeetings and provide effective management andoversight of major programs and user facilities
through on-site visits.

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385

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted

FY 2017 Enacted

FY 2019 Request

Funding also supported travel for the SC Federal
Advisory Committees which included 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 also support travel for the SC Federal
Advisory Committees, which will include 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.

Support Services $21,310,000$20,846,000-$464,000

The FY 2017 Enacted level supported selectadministrative and professional services including:
support for the Small Business Innovation
Research/Small Business Technology Transfer
program; grants and contract processing and closeout activities; accessibility to DOE’s corporate multibillion dollar R&D program through information
systems managed and administered by OSTI; travel
processing; correspondence control; select reports oranalyses directed toward improving the effectiveness,
efficiency, and economy of services and processes;
and safeguards and security oversight functions.

The FY 2019 Request will support selectadministrative and professional services including:
support for the Small Business Innovation
Research/Small Business Technology Transfer
program; grants and contract processing and closeout activities; accessibility to DOE’s corporate multibillion dollar R&D program through information
systems managed and administered by OSTI; travel
processing; correspondence control; select reports oranalyses directed toward improving the effectiveness,
efficiency, and economy of services and processes;
and safeguards and security oversight functions.

The decrease will come from reductions in contractor
staff. SC continuously reviews PD-funded support
contract requirements and identifies functions or
tasks that can be eliminated or scaled back to achievesavings. Through these analyses and ongoing efforts, a
reduction of contractor staff will be achieved.

The FY 2017 Enacted level supported essential
information technology infrastructure, ongoing
operations and maintenance of IT systems and safety
management support.

The FY 2019 Request will support essential
information technology infrastructure, ongoing
operations and maintenance of IT systems and safety
management support.

Funding also supported federal staff training andeducation to maintain appropriate certification andupdate skills.

The FY 2019 Request will fund federal staff training
and education to maintain appropriate certification
and update skills.

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386

FY 2017 Enacted

Explanation of Changes
FY 2019 Request vs FY 2017 Enacted

FY 2019 Request

Other Related Expenses $11,402,000$12,347,000+$945,000

The FY 2017 Enacted level supported fixed
requirements associated with rent, utilities, andtelecommunications; building and grounds
maintenance; computer/video maintenance andsupport; IT equipment leases, purchases, andmaintenance; and site-wide health care units. It also
included miscellaneous purchases for supplies,
materials, and subscriptions.

The FY 2019 Request will support fixed requirements
associated with rent, utilities, andtelecommunications; building and grounds
maintenance; computer/video maintenance andsupport; IT equipment leases, purchases, andmaintenance; and site-wide health care units. It will
also include miscellaneous purchases for supplies,
materials, and subscriptions.

The increase will support normal inflation forrequirements such as rent and utilities. The increase
will also support critical IT investments which havebeen deferred in previous years.

Working Capital Fund $8,142,000$8,150,000+$8,000

The FY 2017 Enacted level provided SC’s contribution
to the WCF for business lines: building occupancy,
supplies, printing and graphics, health services,
corporate training services, and corporate businesssystems. Other SC programs also contribute toadditional WCF business lines.

The FY 2019 Request will support the SC contribution
to the WCF for business lines: building occupancy,
supplies, printing and graphics, health services,
corporate training services, and corporate businesssystems. Other SC programs also contribute to WCF.

The increase will support current estimates for the
WCF business lines for PD.

Science/Program Direction

FY 2019 Congressional Budget Justification

387

Science/Program Direction

FY 2019 Congressional Budget Justification

388

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 annual appropriations from the
Isotope Development and Production for Research and Applications subprogram within the Nuclear Physics (NP) program in
the Science appropriation account, and collections from isotope sales; both are needed to maintain the Isotope Program’s
viability. This revolving fund allows continuous and smooth operations of isotope production, sales, and distribution
independent of the federal budget cycle and fluctuating sales revenue. An independent cost review of the fund’s revenues
and expenses is conducted annually by an external contractor.
Annual appropriations in NP funds a payment into the revolving fund to maintain mission-readiness of facilities, including
the support of core scientists and engineers needed to carry out the Isotope Program and the maintenance of isotope
facilities to assure reliable production. In addition, appropriated funds provide support for research and development (R&D)
activities associated with development of new production and processing techniques for isotopes, production of researchisotopes, and training of new personnel in isotope production. Each site’s production expenses, including processing anddistributing isotopes, are offset by revenue generated from sales. About 80 percent of the resources in the revolving fundare used for operations, maintenance, isotope production, and R&D for new isotope production techniques, withapproximately 20 percent available for process improvements, unanticipated changes in volume, and purchases of small
capital equipment, such as assay equipment and shipping containers needed to ensure on-time deliveries.
The Department supplies isotopes and related services to the Nation under the authority of the Atomic Energy Act of 1954,
which specifies the role of the U.S. Government in isotope distribution. Substantial national and international scientific,
medical, and research infrastructure relies upon the use of isotopes and is strongly dependent on the Department’s
products and services. Isotopes are used for hundreds of applications that benefit society every day, such as diagnostic
medical imaging, cancer therapy, smoke detectors, neutron detectors for homeland security applications, explosives
detection, oil exploration, and tracers for environmental research. For example, radioisotopes are used in the diagnosis ortreatment of about one-third of all patients admitted to hospitals. a 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 including biennial Federal workshops to evaluate stakeholder
requirements in order to optimize the utilization of resources and assure 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 and the
Enriched Stable Isotope Prototype Plant (ESIPP) at Oak Ridge National Laboratory (ORNL). In addition, production anddistribution activities are supported at the Advanced Test Reactor (ATR) at Idaho National Laboratory, the High Flux Isotope
Reactor (HFIR) at ORNL, the Y-12 National Security Complex at ORNL, the Low Energy Accelerator Facility at Argonne
National Laboratory, and processing facilities at the Pacific Northwest National Laboratory and the Savannah River Site. IPF
and BLIP provide accelerator production capabilities, while HFIR and ATR provide reactor production capability. HFIR has thehighest neutron flux available for isotope production in the United States. ESIPP represents the re-establishment of generalenriched stable isotope production capabilities in the U.S. and started operations in 2016. The Isotope Program is further
broadening capability by including university-supported accelerator and reactor facilities used for research, education, andisotope production that can provide cost-effective and unique production capabilities, as the University of Washington anda http://www.nrc.gov/reading-rm/doc-collections/fact-sheets/med-use-radioactive-materials.html
b http://interactive.snm.org/docs/whatisnucmed2.pdf

Science/Isotope Production and Distribution Program Fund389

FY 2019 Congressional Budget Justification

the Missouri University Research Reactor are now part of the DOE Isotope Program University Production Network. Manyother universities have expressed interest in participating in the network.
In FY 2017, a total of $93.22 million was deposited into the revolving fund. This consists of the FY 2017 appropriation of$28.85 million paid into the revolving fund from the Nuclear Physics program, plus collections of $64.37 million to recover
costs related to isotope production and isotope services. Collections in FY 2017 included sales of actinium-227, californium252, helium-3, selenium-75, cobalt-60, nickel-63, germanium-68, actinium-225, and strontium-82. Actinium-227 provides
radium-223 for Xofigo, which was recently the first alpha particle-emitting radioisotopic drug approved by the FDA; Xofigo
extends patient survival and alleviates the excruciating pain associated with cancer that has metastasized to bone.
Californium-252 has a variety of industrial applications, including oil and gas well-logging, and fission start-up in nuclear
reactors; helium-3 is used in neutron detectors for national security; selenium-75 is used as a radiography source; cobalt-60
is used in gamma-ray cancer surgery; nickel-63 enhances national security through its use in detectors for explosives andillicit material; germanium-68 supports development of gallium-68 diagnostic imaging pharmaceuticals; actinium-225 isused in pharmaceuticals being developed to more effectively treat cancer and other diseases; and strontium-82 has gained
world-wide acceptance for use in heart imaging. In FY 2017, the Isotope Program sold 172 different radioactive and stable
isotopes to a broad range of research and commercial customers, including major pharmaceutical companies, industrial
users, and researchers at hospitals, national laboratories, other Federal agencies, universities, and private companies.
Among the isotopes produced, nine 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 made investments in R&D and prototype capabilities to develop 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 operationin 2017. U.S. inventories of important enriched stable isotopes have started to be replenished, and research quantities ofenriched stable isotopes will be fabricated to support a broad range of U.S. research in fields such as medicine, biology,
chemistry, physics, and national security. This prototype facility is the basis for the Stable Isotope Production Facility (SIPF)
Major Item of Equipment (MIE), which will enable production of kilogram quantities of high priority isotopes, reducing U.S.
dependency on foreign supplies.
Adding Functionality, Efficiency, and Reliability to Dramatically Increase Isotope Production at IPF. The growth in demand of
isotopes produced at the Isotope Production Facility (IPF) at LANL drove the need for increased production capabilities. To
address this need, the DOE Isotope Program implemented an upgrade to the IPF. The goal of this increased capability was toincrease beam current and to design and install an “active-adjustable collimator” and beam monitoring detectors. These
improvements enhance facility reliability by increasing the beam current from 230 µA to 380 µA (a projected 65% increasein production yields). Also, they afford the ability to dynamically make beam energy, current, profile, and emittancemeasurements in real time. The active adjustable collimator provides the ability to expand or narrow down the beam,
improving R&D capabilities and efficiency.
DOE Works to Re-establish Americium-241 production. Americium-241 (Am-241) was once produced by DOE’s Isotope
Program to support a number of commercial and industrial uses. Most notably, domestic oil and gas production is heavily
reliant upon using Am-241 sealed sources to take crucial measurements of rock porosity in new oil wells in the UnitedStates. Since 2004, the petroleum industry has been reliant upon Am-241 imported from foreign countries to meet thiscritical need. In FY 2017, Los Alamos National Laboratory completed construction of a new Am-241 production line and the
DOE/NNSA field office granted safety authorization to begin operations. In 2018, DOE’s objective is to deliver the first 200
grams of newly produced Am-241 to its customers.
Highlights of the FY 2019 Budget Request
For FY 2019, the Department foresees growth in isotope demand, with particular interest in alpha-emitters for cancer
therapy and stable isotopes to exploit the newly established domestic production capabilities. The portfolio of the isotope
Science/Isotope Production and Distribution Program Fund390

FY 2019 Congressional Budget Justification

program continues to grow as isotope availability is increased by the program. Revolving fund resources will be used tosupport efforts to produce isotopes and increase radioisotope production capabilities and availability to meet demand. SC isrequesting continued funding in the FY 2019 Nuclear Physics budget for the SIPF MIE, with planned completion of the
facility in FY 2023 based on a technically-driven schedule. Initiated in 2017, 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 maintain productivity and to provide
enhanced facility infrastructure for increased production of Ac-225, a promising cancer therapeutic.

Science/Isotope Production and Distribution Program Fund

391

FY 2019 Congressional Budget Justification

Science/Isotope Production and Distribution Program Fund392

FY 2019 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 (DOE) goals and objectives.
Costs for Direct-Funded Maintenance and Repair (including Deferred Maintenance Reduction) ($K)

Argonne National Laboratory
Brookhaven National 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 2017
Planned Cost
0
5,791
9,000
175
14,853
9,079
402
3,740
73
43,113

FY 2017
Actual Cost
0
5,511
2,001
120
13,700
4,059
366
2,742
223
28,722

FY 2018
Planned Cost
11,9005,908
18,500175
15,298
6,324
412
4,878
75
63,470FY 2019
Planned Cost
4,000
4,272
12,950125
15,260
4,223
381
4,761
232
46,204General 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 Office of Science (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 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 2017
Actual Cost
2,248
57,82533,663
16,55629,431
2,926
623
567
65,940
8,134
6,016
2,998
11,9475,165
244,039

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

FY 2019
Planned Cost
2,600
70,95037,14620,801
29,318
3,044
648
499
79,260
8,635
6,577
3,119
15,8095,374
283,780

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
Science/Science Crosscuts

393

FY 2019 Congressional Budget Justification

and other DOE organizations, as well as other Federal agencies and other entities doing work at SC laboratories.
Maintenance reported to SC for non-SC laboratories is also shown. The figures are total projected expenditures across all SC
laboratories.
Report on FY 2017 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 2017
to the amount planned for FY 2017, including Congressionally directed changes.
Science
Total Costs for Maintenance and Repair ($K)
FY 2017 Planned Costs
2,600
57,20050,762
19,12636,860
2,926
623
175
489
77,229
9,079
402
6,805
8,000
2,998
13,8606,433
295,567

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

394

FY 2017 Actual Costs
2,248
57,82539,174
16,556
31,432
2,926
623
120
567
79,640
4,059
366
8,134
6,016
2,998
14,6895,388
272,761

FY 2019 Congressional Budget Justification

Science
Research and Development ($K)

Basic
AppliedSubtotal, R&D
Equipment
Construction
Total, R&D

FY 2017 Enacted

FY 2018 Annualized CR a

FY 2019 Request

4,429,054
0
4,429,054
186,796
726,624
5,342,474

4,459,276
0
4,459,276
141,029
707,184
5,307,489

4,301,848
04,301,848
171,937
861,2125,334,997

FY 2019 Request vs FY 2017
Enacted-127,206
0-127,206-14,859+134,588-7,477a A full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).

Science/Science Crosscuts

395

FY 2019 Congressional Budget Justification

Science
Small Business Innovative Research/Small Business Technology Transfer (SBIR/STTR) ($K)
FY 2017 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 b
Total, DOE SBIR
Total, DOE STTRFY 2018 Annualized
CR a

FY 2019 Request

FY 2019 Request vsFY 2017 Enacted

19,675
2,766——

21,162
2,976+1,487+210

51,1897,198——

51,175
7,196

-14
-2

19,4402,734——

15,313
2,153-4,127
-581

8,814
1,239

—
—

8,323
1,170

-491
-69

19,532
2,747——

16,3632,301-3,169-446

15,3662,161
134,016
18,845
TBD
134,016
18,845

—
—
—
—
—
—
—

15,7472,300
128,083
18,096
TBD
128,083
18,096+381+139-5,933-749
TBD-5,933-749

aA full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).
b The other DOE programs SBIR/STTR funding amounts are listed in the other DOE budget volumes.

Science/Science Crosscuts

396

FY 2019 Congressional Budget Justification

Science
Safeguards and Security Crosscut ($K)
FY 2017 Enacted
Protective Forces
Security Systems
Information Security
Cyber Security b
Personnel Security
Material Control and Accountability
Program Management
Total, Safeguards and Security

39,63810,357
4,467
33,236
6,086
2,458
6,758
103,000

FY 2018 Annualized
CR a
–
–
–
–
–
–
–
102,301

FY 2019 Request
41,55910,3704,356
35,332
5,444
2,431
6,618
106,110

FY 2019 Request vsFY 2017 Enacted+1,921+13-111+2,096
-642
-27
-140
+3,110aA full-year 2018 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing

Appropriations Act, 2018 (Division D of P.L. 115-56, as amended). The amounts included for 2018 reflect the annualized level provided by the continuing resolution. (These amounts areshown only at the Congressional control level and above; below that level, a dash (—) is shown).
b The Cyber Security amount includes $6,039,000 in FY 2017 and $6,435,000 in FY 2019 for CyberOne through the Working Capital Fund (WCF).

Science/Science Crosscuts

397

FY 2019 Congressional Budget Justification

Science/Science Crosscuts

398

FY 2019 Congressional Budget Justification

GENERAL PROVISIONS—DEPARTMENT OF ENERGY(INCLUDING TRANSFER OF FUNDS)

SEC. 301. (a) No appropriation, funds, or authority made available by this title for the Department of Energy shall be used 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(D) of the limits in subparagraph (A) or (B); or announce publicly the intention to make an allocation, award, orAgreement 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 daysof 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 theaward, the amount of the award, the fiscal year for which the funds for the award were appropriated, the account andprogram, project, or activity from which the funds are being drawn, the title of the award, and a brief description of theactivity 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.

General Provisions

399

FY 2019 Congressional Budget Justification

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 inthe 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 2019 until the enactment of the Intelligence Authorization Act for fiscal year
2019.
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 product reserve
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. 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 be consistent
with the Federal Acquisition Regulation 48 C.F.R. 31.205–22.
SEC. 309. Not to exceed 5 percent of any appropriation made available for Department of Energy activities funded in this Act
may be transferred between such appropriations, but no such appropriation, except as otherwise provided, shall be
increased or decreased by more than 5 percent by any such transfers, and notification of any such transfers shall be
submitted promptly to the Committees on Appropriations of the House of Representatives and the Senate.
SEC. 310. 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

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fiscal year 2019. Proceeds from sales under this section shall be deposited into the general fund of the Treasury during
fiscal year 2019.
SEC. 311. The Secretary of Energy may draw down and sell up to 1 million barrels of crude oil from the Strategic Petroleum
Reserves during fiscal year 2019. The proceeds of such sale shall be deposited into the SPR Petroleum Account and shallremain available until expended.

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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).

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