DOE/CF-0165
Volume 4

Department of Energy
FY 2021 Congressional
Budget Request

ScienceFebruary 2020

Office of Chief Financial Officer

Volume 4

DOE/CF-0165
Volume 4

Department of Energy
FY 2021 Congressional
Budget Request

ScienceFebruary 2020

Office of Chief Financial Officer

Volume 4

FY 2021 Congressional Budget Request
Science
Table of Contents
Page
Appropriation Account Summary .............................................................................................................................................1
Appropriation Language ..........................................................................................................................................................11
Overview ..................................................................................................................................................................................13
Funding by Congressional Control ...........................................................................................................................................21
Advanced Scientific Computing Research................................................................................................................................25
Basic Energy Sciences ..............................................................................................................................................................57
Biological and Environmental Research.................................................................................................................................155
Fusion Energy Sciences ..........................................................................................................................................................185
High Energy Physics ...............................................................................................................................................................233
Nuclear Physics ......................................................................................................................................................................305
Isotope Production and Distribution Program Funds ............................................................................................................381
Workforce Development for Teachers and Scientists ...........................................................................................................385
Science Laboratories Infrastructure.......................................................................................................................................397
Safeguards and Security ........................................................................................................................................................533
Program Direction..................................................................................................................................................................541
Crosscuts ................................................................................................................................................................................551
Funding by Appropriation by Site ..........................................................................................................................................557
General Provisions .................................................................................................................................................................569

DEPARTMENT OF ENERGY
Appropriation Summary
FY 2021(Dollars in Thousands)

Department of Energy Budget by Appropriation
Energy Efficiency and Renewable Energy
Electricity
Cybersecurity, Energy Security and Emergency Response
Nuclear Energy*
Uranium Reserve
Interim Storage and Nuclear Waste Fund Oversight
Fossil Energy Research and Development
Strategic Petroleum Reserve
Naval Petroleum and Oil Shale Reserve
Strategic Petroleum Reserve Petroleum AccountNortheast Home Heating Oil Reserve
Total, Fossil Energy Petroleum Reserve Accounts
Total, Fossil Energy Programs
Uranium Enrichment Decontamination and Decommissioning (D&D) Fund
Energy Information Administration
Non‐Defense Environmental Cleanup
Science
Artificial Intelligence Technology Office
Advanced Research Projects Agency ‐ Energy
Departmental Administration
Indian Energy Policy and Programs
Inspector General
International Affairs
Title 17 Innovative Technology Loan Guarantee Program
Advanced Technology Vehicles Manufacturing Loan Program
Tribal Energy Loan Guarantee Program
Total, Credit Programs
Total, Energy ProgramsFederal Salaries and Expenses
Weapons Activities
Defense Nuclear Nonproliferation
Naval Reactors*
Total, National Nuclear Security Administration
Defense Environmental Cleanup
Nuclear Energy
Other Defense Programs
Total, Environmental and Other Defense Activities
Total, Atomic Energy Defense Activities
Southwestern Power Administration
Western Area Power Administration
Falcon and Amistad Operating and Maintenance Fund
Colorado River Basins Power Marketing Fund
Total, Power Marketing Administrations
Federal Energy Regulatory Commission
Total, Energy and Water Development and Related Agencies
Excess Fees and Recoveries, FERC
Title XVII Loan Guarantee Program Section 1703 Negative Credit Subsidy Receipt
Sale of Northeast Home Heating Oil Reserve
Sale of Oil from Strategic Petroleum Reserve**
Total, Funding by Appropriation
DOE Budget Function
NNSA Defense (050) Total
Non‐NNSA Defense (050) Total
Defense (050)
Science (250)Energy (270)
Non‐Defense (Non‐050)

FY 2021 Request vs. FY 2020 Enacted

FY 2019

FY 2020

FY 2021

EnactedEnactedRequest2,379,000
156,000
120,000
1,180,00000740,000
235,000
10,00010,00010,000265,000
1,005,000
841,129
125,000
310,000
6,585,000
0366,000
165,858
18,00051,330012,3115,000
1,000
18,311
13,320,628
410,000
11,100,000
1,930,000
1,788,618
15,228,618
6,024,000
146,090860,292
7,030,382
22,259,000
10,40089,372228
0100,000
035,656,628‐16,000‐107,0000035,533,628

2,777,277
190,000
156,000
1,340,00000750,000
195,000
14,00010,00010,000229,000
979,000
881,000
126,800
319,200
7,000,000
0425,000
161,000
22,00054,215029,0005,000
2,000
36,00014,467,492
434,699
12,457,097
2,164,400
1,648,396
16,704,592
6,255,000
153,408
906,000
7,314,408
24,019,000
10,40089,196
228‐42,800
57,024‐16,000
38,527,516
0‐15,0000038,512,516

719,563
195,045
184,621
1,042,131
150,000
27,500730,601
187,081
13,00600
200,087
930,688806,244
128,710275,820
5,837,806
4,912‐310,744
136,094
8,005
57,73932,959‐160,659
0‐8,500‐169,159
10,057,934
454,000
15,602,000
2,031,000
1,684,000
19,771,000
4,983,608
137,800
1,054,727
6,176,135
25,947,135
10,40089,372
228‐21,400
78,600036,083,669‐9,000‐49,000‐75,000‐589,000
35,361,669‐2,057,714
5,045
28,621‐297,869
150,000
27,500‐19,399‐7,919‐994‐10,000‐10,000‐28,913‐48,312‐74,756
1,910‐43,380‐1,162,194
4,912‐735,744‐24,906‐13,995
3,524
32,959‐189,659‐5,000‐10,500‐205,159‐4,409,558
19,301
3,144,903‐133,400
35,604
3,066,408‐1,271,392‐15,608
148,727‐1,138,273
1,928,135
0176
021,40021,576
16,000‐2,443,847‐9,000‐34,000‐75,000‐589,000‐3,150,847‐74.09%2.66%
18.35%‐22.23%0.00%
0.00%‐2.59%‐4.06%‐7.10%‐100.00%‐100.00%‐12.63%‐4.93%‐8.49%
1.51%‐13.59%‐16.60%0.00%‐173.12%‐15.47%‐63.61%6.50%
0.00%‐654.00%‐100.00%‐525.00%‐569.89%‐30.48%
4.44%
25.25%‐6.16%
2.16%
18.36%‐20.33%‐10.17%16.42%‐15.56%
8.03%
0.00%
0.20%
0.00%
‐50.00%37.84%‐100.00%‐6.34%
0.00%
226.67%0.00%
0.00%‐8.18%

35,533,628 38,512,516 35,361,669
15,228,618 16,704,592 19,771,000
7,030,382
7,314,408
6,176,135
22,259,000 24,019,000 25,947,135
6,585,000
7,000,000
5,837,806
6,689,628
7,493,516
3,576,728
13,274,628 14,493,516
9,414,534‐3,150,847
3,066,408‐1,138,273
1,928,135‐1,162,194‐3,916,788‐5,078,982‐8.18%
18.36%‐15.56%
8.03%‐16.60%‐52.27%‐35.04%$%* Funding does not reflect statutory transfer of funds from Naval Reactors to Nuclear Energy for maintenance and operation of the Advanced Test Reactor($85.5M in FY19; $88.5M in FY20).
**Includes a $50M sale from the Northeast Gasoline Supply Reserve.

Funding by Appropriation

1

FY 2021 Congressional Budget Justification

Science

Science

Science
Proposed Appropriation Language
For Department of Energy expenses including the purchase, construction, and acquisition of plant and capital equipment,
and other expenses necessary for science activities in carrying out the purposes of the Department of Energy Organization
Act (42 U.S.C. 7101 et seq.), including the acquisition or condemnation of any real property or any facility or for plant or
facility acquisition, construction, or expansion, and purchase of not more than [33] 35 passenger motor vehicles [including
one bus] for replacement only, [$7,000,000,000] $5,837,806,000, to remain available until expended: Provided, That of suchamount, [$186,300,000] $190,306,000 shall be available until September 30, [2021] 2022, for program direction.
(Energy and Water Development and Related Agencies Appropriations Act, 2020.)
Explanation of Change
Proposed appropriation language updates reflect the funding and replacement of passenger motor vehicle levels.
Public Law Authorizations
Science: Public Law 95-91, “Department of Energy Organization Act”, 1977
 Public Law 102-486, “Energy Policy Act of 1992”
 Public Law 108-153, “21st Century Nanotechnology Research and Development Act 2003”
 Public Law 108-423, “Department of Energy High-End Computing Revitalization Act of 2004”
 Public Law 109-58, “Energy Policy Act of 2005”
 Public Law 110-69, “America COMPETES Act of 2007”
 Public Law 111-358, “America COMPETES Reauthorization Act of 2010”
 Public Law 115-246, “American Super Computing Leadership Act of 2017”
 Public Law 115-246, “Department of Energy Research and Innovation Act”, 2018
 Public Law 115-368, “National Quantum Initiative Act”, 2018
Nuclear Physics:
 Public Law 101-101, “1990 Energy and Water Development Appropriations Act”, establishing the Isotope Production
and Distribution Program Fund
 Public Law 103-316, “1995 Energy and Water Development Appropriations Act”, amending the Isotope Production andDistribution Program Fund to provide flexibility in pricing without regard to full-cost recovery
Workforce Development for Teachers and Scientists: Public Law 101-510, “DOE Science Education Enhancement Act of 1991”
 Public Law 103-382, “The Albert Einstein Distinguished Educator Fellowship Act of 1994”

Science5

FY 2021 Congressional Budget Justification

6

Science(dollars in thousands)
FY 2019 Enacted$6,585,000

FY 2020 Enacted$7,000,000

FY 2021 Request$5,837,806

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 28 state-of-the-art national scientific user
facilities - the most advanced tools of modern science - propelling the U.S. to the forefront of science, technology
development, and deployment through innovation.
Science for energy and the environment―paving the knowledge foundation to spur discoveries and innovations foradvancing the Department’s mission in energy and environment. SC supports a wide range of funding modalities fromsingle principal investigators to large team-based activities to engage in fundamental research on energy production,
conversion, storage, transmission, and use, and on our understanding of the earth systems.

SC is an established leader of the U.S. scientific discovery and innovation enterprise. Over the decades, SC investments andaccomplishments in basic research and enabling research capabilities have provided the foundations for new technologies,
businesses, and industries, making significant contributions to our nation’s economy, national security, and quality of life.
Select scientific accomplishments in FY 2018 enabled by the SC programs are described in the program budget narratives.
Additional descriptions of recent science discoveries can be found at http://science.energy.gov/news/highlights.
Highlights and Major Changes in the FY 2021 Request
The FY 2021 Request for SC is $5,838 million, a decrease of 16.6 percent below the FY 2020 Enacted level to implement theAdministration’s objectives in order to advance bold, transformational leaps in U.S. science and technology (S&T), build adiverse workforce of the future, and ensure America remains the global S&T leader for generations to comea. The FY 2021
Request supports a balanced research portfolio of basic scientific research probing some of the most fundamental
questions in areas such as: high energy, nuclear, and plasma physics; materials and chemistry; biological and environmental
systems; applied mathematics; next generation high-performance computing and simulation capabilities; and basic
research for advancement in new energy technologies. The Request includes ongoing investments to support theAdministration’s Industries of the Future (IOTF) initiative through research in quantum information sciences (QIS) andartificial intelligence (AI) and machine learning (ML). The Request also supports research efforts in next-generation
microelectronics, genomic sciences to inform biosecurity research, and critical scientific infrastructure needs at DOE
laboratories. The Request also initiates new multidisciplinary research initiatives to include data and computational
collaboration with NIH, integrated computational and data infrastructure for scientific discovery, next generation biology,
rare earth and separation science, revolutionizing polymer upcycling, and strategic accelerator technology. These new
initiatives position SC to meet new research demands in a more collaborative effort. The Request supports SC’s basic
research portfolio, which includes extramural grants and contracts supporting over 23,000 researchers located at over 300
M-19-25, OMB/OSTP Memo: FY 2021 Administration R&D Budget Priorities (American Leadership in Industries of the Future, American Security,
American Energy and Environmental Leadership, American Health & Bioeconomic Innovation, Building and Leveraging a Diverse, Highly Skilled American
Workforce, Creation and Support of Research Environments that Reflect American Values, Support Transformative Research of High Risk and PotentiallyHigh Reward, Leverage the Power of Data, and Build, Strengthen, and Expand Strategic Multisector Partnerships.)a

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FY 2021 Congressional Budget Justification

institutions and the 17 DOE national laboratories, spanning all fifty states and the District of Columbia. In FY 2021, SC’s suiteof 28 scientific user facilities will continue to provide unmatched tools and capabilities for over 33,000 users per year fromuniversities, national laboratories, industry, and international partners. The Request will also support the construction of
new user facilities and the R&D necessary for future facilities and facility upgrades to continue to provide world classresearch capabilities to U.S. researchers. SC allocates Working Capital Fund charges for common administrative services tothe research programs and the Program Direction account.
Highlights of the FY 2021 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 $988.051 million, is an increase of $8.051 million, or 0.8 percent, above the
FY 2020 Enacted level. The Request continues support for the Department’s Exascale Computing Initiative (ECI),
including final application and software preparations through the Exascale Computing Project, and enable delivery
exascale-capable systems in calendar year 2021―reasserting U.S. leadership in this critical area. To ensure continued
progress during and after the ECI, this Request prioritizes basic research for AI/ML with a focus on foundational
research and data intensive science and on future computing technologies, including improving data accessibility andsecurity, leveraging AI and other emerging technologies. Leveraging ASCR’s world-class expertise in advanced
computing across multiple science programs, disciplines, laboratories, and facilities, the Request includes funding toinitiate development of an integrated computational and data infrastructure across the laboratories that will serve all
six SC research programs. The Request maintains support for ASCR’s Computational Partnerships with a focus oncontinuing strategic partnerships in quantum computing including the partnerships with other Science programs to
support the QIS centers selected in FY 2020, building new data and AI partnerships with NIH, and on supporting multidisciplinary microelectronics research with BES, FES, and HEP. The Request also provides strong support for ASCR user
facilities operations to ensure the availability of high performance computing and networking to the scientificcommunity and upgrades to maintain U.S. leadership in these essential areas. Funding for the Leadership Computing
Facilities (LCF’s) is increased to finish site preparations prior to the deployment for the of exascale systems at the
Argonne Leadership Computing Facility (ALCF) and at the Oak Ridge Leadership Computing Facility (OLCF). The Request
also supports the operations of the 200 petaflop (pf) Summit system at OLCF, and the 8.5 pf Theta system at the ALCF
for existing users. The National Energy Research Scientific Computing Center (NERSC) will operate the 30 pf Corisupercomputer, and funding will support the final site and early application preparations for NERSC-9. The Request also
supports continued operations of the Energy Sciences Network (ESnet) and the ESnet-6 upgrade to address the rapidly
growing volume of scientific data transmission. Funds are also requested in FY 2021 to support early stage research
associated with the first steps to establish a dedicated Quantum Network.

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 $1,935.673 million is a decrease of $277.327 million, or 12.5 percent, below the FY 2020 Enacted level. The
Request focuses resources toward early-stage fundamental research, the operation and maintenance of acomplementary suite of scientific user facilities, and the highest priority facility upgrades. High priority areas in coreresearch include QIS, next-generation microelectronics, AI/ML, exascale computing, critical materials, polymer
upcycling, next-generation biology, and strategic accelerator technology. The Request continues BES funding for themulti-disciplinary QIS centers to promote basic research and early stage development to accelerate the advancement
of QIS through vertical integration between systems and theory and hardware and software. The Request also
continues funding for the Energy Frontier Research Centers. The Request continues support for computational
materials and chemical sciences to deliver shared software infrastructure to the research communities as part of the
ECI, and supports the Batteries and Energy Storage and Fuels from Sunlight Energy Innovation Hubs. The Fuels from
Sunlight Energy Innovation Hub will complete its second five-year term with FY 2019 funding. Funding is requested forcontinued support of early-stage fundamental research on solar fuels generation that builds on the Hub’s uniquecapabilities and accomplishments to date. The Request also provides funds for the DOE Established Program to
Stimulate Competitive Research. BES maintains a balanced suite of complementary tools, including supporting Linac
Coherent Light Source (LCLS) operations at 97 percent of optimal. The Request also supports approximately 91 percent
of optimal operations at the four other x-ray facilities, both BES-supported neutron sources, and five nanoscale science

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FY 2021 Congressional Budget Justification

research centers (NSRCs). Funding for the Advanced Photon Source Upgrade project continues per the project plan.
The Request provides continued support for the Advanced Light Source Upgrade project, the Linac Coherent Light
Source-II High Energy project, the Proton Power Upgrade project, and the Second Target Station project. The Request
includes one new construction project, a Cryomodule Repair and Maintenance Facility (CRMF). The Request continues
two Major Item of Equipment projects: the NSLS-II Experimental Tools-II project for the phased build-out of beamlines
at NSLS-II and the NSRC Recapitalization project.
Biological and Environmental Research (BER) supports transformative science and scientific user facilities to achieve a
predictive understanding of complex biological, earth, and environmental systems for energy and infrastructure
security, independence, and prosperity. The BER Request of $516.934 million is a decrease of $233.066 million, or 31.1
percent, below the FY 2020 Enacted level. The Request implements Administration priorities for early-stage
fundamental research focused on biological and earth and environmental systems that will contribute to a future ofstable, reliable, and secure sources of American energy and advance transformative science for economic prosperity.
The Request for Biological Systems Science supports core research areas of Genomic Sciences and fully supports the
fourth year of the recompeted four DOE Bioenergy Research Centers (BRCs). The BRCs continue to perform new
fundamental research underpinning the production of fuels and products from sustainable biomass resources and thebuilding blocks of new technological advances for translation of basic research results to industry. Extended securebiosystems design activities will test the fundamental engineering principles that control plant and microbial systems,with a specific goal of enhancing the stability, resilience, and controlled performance of engineered biological systems.
New efforts begin in next-generation biology for new tools, capabilities, and computational approaches to probe andunderstand natural and novel engineered cellular and materials architectures as well as to enable upcycling polymers
for new functionalities. Biomolecular Characterization and Imaging Science research will continue to support structural,
spatial, and temporal understanding of functional biomolecules and processes occurring within living cells. Efforts in
QIS imaging and sensing approaches will expand experimental observation capabilities to advance systems-level
predictive understanding of biological processes. In the Earth and Environmental Systems Sciences subprogram, theRequest continues to prioritize development of the DOE high-resolution earth system model. Environmental System
Science will integrate terrestrial ecosystem and subsurface sciences to provide a robust and scale-aware predictive
understanding of ecosystems. 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). AI/ML tools help validate user facility observations and data fromenvironmental field experiments. The JGI will prioritize improved integration with the Systems Biology Knowledgebase.
The ARM user facility will continue testing and evaluation of the aerial capability Major Item of Equipment (MIE)acquired in FY 2019.



Fusion Energy Sciences (FES) supports research to expand the fundamental understanding of matter at very hightemperatures and densities and to build the scientific foundation needed to develop a fusion energy source. The FES
Request of $425.151 million is a decrease of $245.849 million, or 36.6 percent, below the FY 2020 Enacted. The
Request prioritizes keeping SC fusion user facilities world-leading, investing in FES-related high-performance computing
and preparing for exascale, exploring the potential of QIS and AI/ML, supporting high-impact research in fusionmaterials, strengthening collaborations that enable access to international facilities with unique capabilities, learning
how to predict and control transient events in fusion plasmas, continuing stewardship of discovery plasma science
including microelectronics-relevant low-temperature plasma science, and increasing partnership opportunities with theprivate sector. FES investments in DIII-D facility research and operations focus on utilizing the facility enhancements
implemented during the FY 2018 – FY 2019 Long Torus Opening; the Request supports 13 weeks of research
operations, which is 65 percent of optimal operations, along with machine improvements needed for new researchcapabilities. In FY 2021, the NSTX-U facility is down for recovery and repair; the Request for NSTX-U Operations will
support high-priority activities to implement repairs and corrective actions required to achieve research operations, aswell as to increase machine reliability. In addition, the Request includes funding for enhanced collaborative research atother facilities to support NSTX-U research program priorities. In FY 2021, the FES SciDAC portfolio, in partnership with
ASCR, will continue to address challenges in burning plasma science, with emphasis on integration and whole-device
modeling capability, as well as strengthening readiness for the Exascale era. In addition, research efforts focusing on
emerging technologies with transformational potential, such as AI/ML and computing aspects of QIS, will be enhanced.
The FY 2021 Request will continue support for leveraged research opportunities by U.S. scientists on international

Science9

FY 2021 Congressional Budget Justificationsuperconducting tokamaks, stellarators, and other facilities with unique capabilities, and core discovery plasma science
experiments on intermediate-scale collaborative facilities. The Request also supports research conducted on mediumscale laser facilities through the LaserNetUS network, and explores research opportunities of high energy density
science for QIS. Funding is requested for the Materials-Plasma Exposure eXperiment MIE project, which is expected to
be baselined in FY 2021, and will be a world-leading facility for steady-state, high-heat-flux testing of fusion materials.
The Request supports the initiation of a line-item construction project for a significant upgrade to the Matter in
Extreme Conditions instrument at the LCLS facility at SLAC National Accelerator Laboratory to support research in highenergy density laboratory plasmas. The FY 2021 Request includes funding for continued design and fabrication of thehighest priority “in-kind” hardware systems for ITER.
High Energy Physics (HEP) supports research to understand how the universe works at its most fundamental level by
discovering the most elementary constituents of matter and energy, probing the interactions among them, andexploring the basic nature of space and time itself. The HEP Request of $818.131 million is a decrease of $226.869
million, or 21.7 percent, below the FY 2020 Enacted level. The Request will focus support on the highest priority
elements identified in the 2014 High Energy Physics Advisory Panel (HEPAP) Particle Physics Project Prioritization Panel(P5) Report while minimizing significant impact to national laboratories, mainly to Fermi National Accelerator
Laboratory (FNAL), which is funded primarily by HEP. Support for Research will prioritize efforts that address thescience drivers of particle physics, Higgs boson, neutrinos, dark matter, dark energy, and exploring the unknown, andenable early and visible science results from HEP project investments. R&D that requires long-term investments,
including Advanced Technology R&D, Accelerator Stewardship, and cross-cutting efforts in QIS and AI/ML to accelerate
discovery in particle physics, will also be given higher priority in order to sustain world-leading efforts and support SC
priorities. HEP, in coordination with SC, will support multi-disciplinary QIS centers to promote basic research and earlystage development and to accelerate the advancement of QIS through vertical integration between systems andtheory, and hardware and software. HEP Research will support multi-disciplinary microelectronics research with ASCR,
BES and FES. The Traineeship Program for Accelerator Science and Technology will expand to research areas inAdvanced Technology R&D. The P5 report identified the High-Luminosity Large Hadron Collider (HL-LHC) accelerator
and A Toroidal LHC Apparatus (ATLAS) and Compact Muon Solenoid (CMS) Detector Upgrade Projects as the highest
priority in the near-term, and Long-Baseline Neutrino Facility and Deep Underground Neutrino Experiment(LBNF/DUNE) as the highest-priority large project in its timeframe. To continue SC’s strong international partnershipwith CERN, the FY 2021 Request will support these high-priority projects, and the Proton Improvement Plan II (PIP-II)
construction project. The Request will support a new MIE start for the next generation Cosmic Microwave Background(CMB-S4) experiment, and design studies for a new Fermilab Accelerator Control System. The Request will support theoperation of the Fermi National Accelerator Laboratory Accelerator Complex at 80 percent of optimal, the Brookhaven
National Laboratory Accelerator Test Facility at 86 percent of optimal, the SLAC Facility for Advanced Accelerator
Experimental Tests II (FACET-II) operations at 83 percent of optimal, and investments to enhance the Sanford
Underground Research Facility (SURF) to meet DOE expectations for reliable, efficient, and safe operations.



Nuclear Physics (NP) supports experimental and theoretical research to discover, explore, and understand all forms of
nuclear matter. The NP Request of $653.327 million is a decrease of $59.673 million, or 8.4 percent, below the FY 2020
Enacted level. The Request will support the highest priority research and scientific user facilities to maintain U.S.
leadership in nuclear science. The Request supports operations of the Relativistic Heavy Ion Collider (RHIC) to confirm
the origin of intriguing new phenomena observed in quark gluon plasma formation, and continues support for theStrongly Pioneering High Energy Nuclear Interaction eXperiment (sPHENIX) MIE, which will further explore theproperties of the quark gluon plasma. Operations support for the recently updated 12 gigaelectonvolt Continuous
Electron Beam Accelerator Facility (CEBAF) will enable the highly anticipated science program to make progress
towards unraveling the mechanism of quark confinement. At Argonne National Labratory, the Request also supports
the operations of the Argonne Tandem Linac Accelerator System (ATLAS) to provide opportunities for research innuclear structure and nuclear astrophysics. The Request will support the final year of construction of the Facility for
Rare Isotope Beams (FRIB) according to the performance baseline profile, and continues support for the Gamma-Ray
Energy Tracking Array (GRETA) and High Rigidity Spectrometer detector for FRIB. The Request will continue support for
the Measurement of a Lepton-Lepton Electroweak Reaction (MOLLER) MIE, which will search for physics beyond ourpresent understanding by measuring parity-violation in electron-electron scattering with the 12 GeV CEBAF machine iscontinued, and the Ton-Scale Neutrino-less Double Beta Decay (NLDBD) Experiment MIE, which will determine whether

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FY 2021 Congressional Budget Justification

the neutrino is its own antiparticle. The Request continues to support R&D, conceptual design, and project engineering
for the Electron Ion Collider at Brookhaven National Laboratory. The Request also increases support for the DOE
Isotope Program to produce, and develop cutting-edge approaches for producing, critical isotopes in short supply. The
Request also continues an Accelerator Improvement Project for the harvesting of isotopes at FRIB. The Request
continues a construction project for the U.S. Stable Isotope Production and Research Center to produce criticalenriched stable isotopes in short supply and mitigate U.S. dependence on foreign supply. The Request will continue
activities in support of the National Isotope Strategy to promote U.S. core competencies in isotope enrichment
technology. The Request for NP Research supports university and laboratory researchers to nurture critical corecompetencies and enable the highest priority theoretical and experimental activities to target compelling scientificopportunities at the frontier of nuclear science, including investments in QIS efforts in collaboration with other SC
programs, the development of quantum sensors based on atomic-nuclear interactions and quantum control
techniques, and the production of stable isotopes for next generation quantum information systems. The Request for
NP Research also commences two efforts which align with SC priorities: Artifical Intelligence and Machine Learning,which will seek breakthroughs in AI/ML of relevance to nuclear science research, accelerator facility operations, andautomated machine operations, and Strategic Accelerator R&D, which will pursue transformative accelerator R&D
initiatives including next generation electron ion source developments and advanced approaches in superconducting
radio frequency (SRF) technologies.
Reorganization and Restructure Initiative
SC continues to review its functions and the organizational structure to maximize efficiencies across all programs in an
attempt to reduce and streamline the Federal footprint. Through workforce analysis and restructuring, we will continue toreview, analyze, and prioritize mission requirements and identify those organizations and functions most in line with the
Administration and Department program objectives and SC strategic goals. SC completed the implementation of a
restructuring of the Field and mission support components following approval by the Secretary of Energy in November
2018. This restructuring merges two geographically separate service centers (Chicago and Oak Ridge) into a functionallyconsolidated center and consolidates corporate functions to improve consistency in operations, and pilots the merging of
two SC federal site offices at national laboratories in the same geographic area (Lawrence Berkeley National Laboratory Site
Office and the SLAC Site Office, both located in the San Francisco Bay area). This reorganization maximizes efficiencies
across all SC field components programs and will reduce and streamline the Federal footprint. With the field reorganization
complete, SC is focused on a reorganization of SC Headquarters. The changes for this reorganization are intended toaddress the needed evolution and re-alignment necessitated by current mission imperatives as well as to position SC forcontinued success in its strategic priorities. The reorganization will establish a new Principal Deputy Director position withtransferred staff and functions from the existing Deputy Director positions along with new organizational elements. The
vacant Deputy Director for Resource Management position will be eliminated and the reporting offices and staff reassigned
to other SC HQ elements. Through workforce analysis and restructuring, SC reviewed, analyzed and prioritized mission
requirements and identified those organizations and functions most in line with the Administration and Department
program objectives and SC strategic goals.
Basic and Applied R&D Coordination
Coordination between the Department’s basic research and applied technology programs is a high priority within DOE andis facilitated through joint planning meetings, technical community workshops, annual contractor/awardee meetings, joint
research solicitations, focused DOE program office working groups in targeted research areas, and collaborative program
management of DOE’s Small Business Innovation Research and Small Business Technology Transfer programs. Co-funding ofresearch activities and facilities at the DOE National Laboratories and partnership/collaboration-encouraging funding
mechanisms facilitate research integration within the basic and applied research communities. SC’s R&D coordination also
occurs at the interagency level. Specific collaborative activities are highlighted in the “Basic and Applied R&D Coordination”
sections of each individual SC program budget justification narrative.
High-Risk, High-Reward 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 ofa

In compliance with the reporting requirements in the America COMPETES Act of 2007 (P.L. 110-69, section 1008)

Science11

FY 2021 Congressional Budget Justification

science also depends on the continued availability of state-of-the-art scientific facilities, SC constructs and operates national
scientific facilities and instruments that comprise the world’s most sophisticated suite of research capabilities. SC’s basic
research is integrated within program portfolios, projects, and individual awards; as such, it is not possible to quantitatively
separate the funding contributions of particular experiments or theoretical studies that are high-risk, high-reward fromother mission-driven research in a manner that is credible and auditable. SC incorporates high-risk, high-reward basic
research elements in its research portfolios to drive innovation and challenge current thinking, using a variety ofmechanisms to develop topics: Federal advisory committees, triennial Committees of Visitors, program and topical
workshops, interagency working groups, National Academies’ studies, and special SC program solicitations. Many of these
topics are captured in formal reports, e.g., Basic Energy Sciences Roundtable: Chemical Upcycling of Polymers, Basic Energy
Sciences report (2019)a; Basic Research Needs for Microelectronics, joint BES, ASCR, and HEP workshop (2018) b; Basic
Research Needs for Scientific Machine Learning; Core Technologies for Artificial Intelligence, ASCR workshop (2018)c;
Building for Discovery: Strategic Plan for U.S. Particle Physics in the Global Context, by the High Energy Physics Advisory
Panel (2014)d; Quantum Computing Testbed for Science, ASCR workshop report (2017)e; Basic Energy Sciences Roundtable:
Opportunities for Basic Research for Quantum Computing in Chemical and Materials Sciences, Basic Energy Sciences report(2017); Basic Energy Science Roundtable: Opportunities for Basic Research for Next-Generation Quantum Systems, Basic
Energy Sciences report (2017) f; Challenges at the Frontiers of Matter and Energy: Transformative Opportunities for
Discovery Science, BES Advisory Committee (2015)g; Basic Research Needs Workshop on Quantum Materials for Energy
Relevant Technology, BES workshop report (2016)h; Grand Challenges for Biological and Environmental Research: Progress
and Future Vision, by the BER Advisory Committee (2017)i; Technologies for Characterizing Molecular and Cellular Systems,
BER workshop report (2016)j; Plasma: at the Frontier of Scientific Discovery, FES workshop report (2017)k; Transformative
Enabling Capabilities for Efficient Advance Toward Fusion Energy, FES Advisory Committee (2018)l; FES Roundtable on QIS(2018)m; Advancing Fusion with Machine Learning, joint FES-ASCR workshop report (2019)n; Isotope Research andProduction Opportunities and Priorities, by the Nuclear Science Advisory Committee (NSAC) (2015)o; and Nuclear Physics
Long Range Plan, by the NSAC (2015)p and Quantum Computing and Quantum Information Sciences (QIS), by the Nuclear
Science Advisory Committee (NSAC)l (2019).

https://science.osti.gov/-/media/bes/pdf/BESat40/Polymer_Upcycling_Brochure.pdf
https://science.osti.gov/-/media/bes/pdf/reports/2019/BRN_Microelectronics_rpt.pdf
c https://science.energy.gov/ascr/community-resources/program-documents/
d http://science.osti.gov/~/media/hep/hepap/pdf/May%202014/FINAL_P5_Report_Interactive_060214.pdf
e https://science.osti.gov/~/media/ascr/pdf/programdocuments/docs/2017/QTSWReport.pdf
f https://science.osti.gov/~/media/bes/pdf/reports/2018/Quantum_computing.pdf
g http://science.osti.gov/~/media/bes/besac/pdf/Reports/CFME_rpt_print.pdf
h https://science.osti.gov/~/media/bes/pdf/reports/2016/BRNQM_rpt_Final_12-09-2016.pdf
i https://science.osti.gov/~/media/ber/berac/pdf/Reports/BERAC-2017-Grand-Challenges-Report.pdf
j http://science.osti.gov/~/media/ber/pdf/workshop%20reports/VirtualEcosystems.pdf
k https://science.osti.gov/~/media/fes/pdf/program-news/Frontiers_of_Plasma_Science_Final_Report.pdf
l https://science.osti.gov/-/media/fes/fesac/pdf/2018/TEC_Report_1Feb20181.pdf
m https://science.osti.gov/-/media/fes/pdf/workshop-reports/FES-QIS_report_final-2018-Sept14.pdf
n https://science.osti.gov/-/media/fes/pdf/workshop-reports/FES_ASCR_Machine_Learning_Report.pdf
o https://science.osti.gov/~/media/ber/pdf/community-resources/Technologies_for_Characterizing_Molecular_and_Cellular_Systems.pdf
p https://science.osti.gov/np/nsac/reports/ab

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FY 2021 Congressional Budget Justification

Scientific Workforce
For more than 60 years SC and its predecessors have fostered the training of a highly skilled scientific workforce. In addition
to the undergraduate and graduate research opportunities provided through SC’s Office of Workforce Development for
Teachers and Scientists, the six SC research program offices train undergraduates, graduate students, and postdoctoral
researchers through sponsored research awards at universities and the DOE National Laboratories. The research program
offices also support targeted undergraduate and graduate-level experimental training in areas associated with 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. To
help attract critical talent, SC supports the Early Career Research Program, which funds individual research programs by
outstanding Ph.D. scientists early in their careers in the disciplines supported by SCa . To retain highly skilled researchers by
rewarding scientific excellence and leadership, SC initiated the Distinguished Scientist Fellows opportunity to recognize
innovative and accomplished DOE laboratory staff and sponsoring their efforts to develop, sustain, and promote scientificand academic excellence in SC research through collaborations between institutions of higher education and national
laboratories. SC coordinates with other DOE offices and other agencies on best practices for training programs and program
evaluation through internal DOE working groups and active participation in the National Science and Technology Council’s
Committee on Science, Technology, Engineering, and Mathematics Education. SC also participates in the American
Association for the Advancement of Science’s Science & Technology Policy Fellowships program and the Presidential
Management Fellows Program to bring highly qualified scientists and professionals to DOE headquarters for a maximum
term of two years.
Cybersecurity
DOE is engaged in two categories of cyber-related activities: protecting the DOE enterprise from a range of cyber threatsthat can adversely impact mission capabilities and improving cybersecurity in the electric power subsector and the oil andnatural gas subsector. SC supports the Cybersecurity Safeguards and Security Departmental Crosscut, which includes central
coordination of the strategic and operational aspects of cybersecurity and facilitates cooperative efforts such as the Joint
Cybersecurity Coordination Center for incident response, and the implementation of Department-wide Identity,
Credentials, and Access Management.

ahttps://science. osti.gov/early-career/

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FY 2021 Congressional Budget Justification

14

Science
Funding by Congressional Control(dollars in thousands)

Advanced Scientific Computing Research
Research
17-SC-20, Office of Science Exascale Computing Project (SC-ECP)
Total, Advanced Scientific Computing Research
Basic Energy Sciences
Research
Construction
21-SC-10, Cryomodule Repair & Maintenance Facility, SLAC
19-SC-14, Second Target Station (STS), ORNL
18-SC-10, Advanced Photon Source Upgrade (APS-U), ANL
18-SC-11, Spallation Neutron Source Proton Power Upgrade (PPU), ORNL
18-SC-12, Advanced Light Source Upgrade (ALS-U), LBNL (19-SC-10)
18-SC-13, Linac Coherent Light Source-II-High Energy (LCLS-II-HE), SLAC (19-SC-11)
13-SC-10, Linac Coherent Light Source-II (LCLS-II), SLAC
Total, Construction
Total, Basic Energy Sciences
Biological and Environmental Research
Fusion Energy Sciences
Research
Construction
20-SC-61, Matter in Extreme Conditions (MEC) Petawatt Upgrade
14-SC-60, U.S. Contributions to ITER
Total, Construction
Total, Fusion Energy Sciences

Science15

FY 2021 Request vsFY 2020 Enacted

FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

702,794
232,706
935,500

791,265
188,735
980,000

819,106
168,945
988,051+27,841-19,790+8,051

1,757,700

1,853,000

1,751,673-101,327—
1,000
130,000
60,00060,00028,000129,300
408,300
2,166,000—
20,000170,000
60,00060,00050,000—360,000
2,213,000

1,000
1,000
150,000
5,000
13,00014,000—184,000
1,935,673+1,000-19,000-20,000-55,000-47,000-36,000—-176,000-277,327

705,000

750,000

516,934-233,066

432,000

414,000

313,151-100,849—
132,000
132,000
564,000

15,000242,000
257,000
671,000

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

FY 2021 Congressional Budget Justification

(dollars in thousands)
High Energy Physics
Research
Construction
18-SC-42, Proton Improvement Plan II (PIP-II), FNAL
11-SC-40, Long Baseline Neutrino Facility/Deep Underground Neutrino Experiment(LBNF/DUNE), FNAL
11-SC-41, Muon to Electron Conversion Experiment, FNAL
Total, Construction
Total, High Energy Physics

FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

800,000

814,000

697,631-116,369

20,00060,00020,000-40,000

130,000

171,000

100,500-70,500

30,000180,000
980,000—
231,000
1,045,000—
120,500
818,131—-110,500-226,869

Nuclear Physics
Operation and MaintenanceConstruction
20-SC-51, U.S. Stable Isotope Production and Research Center, ORNL
20-SC-52, Electron Ion Collider, BNL
14-SC-50, Facility for Rare Isotope Beams, MSU
Total, Construction
Total, Nuclear Physics

615,000

660,000

635,027-24,973——
75,00075,000690,000

12,0001,000
40,00053,000713,000

12,0001,000
5,300
18,300653,327——-34,700-34,700-59,673

Workforce Development for Teachers and Scientists

22,50028,00020,500-7,500Science Laboratories Infrastructure
Infrastructure Support
Payment in Lieu of Taxes
Oak Ridge Landlord
Facilities and Infrastructure
Oak Ridge Nuclear Operations
Total, Infrastructure Support

1,713
6,434
45,54326,00079,6904,540
5,610
56,85026,00093,000

4,650
5,860
6,200
6,000
22,710+110+250-50,650-20,000-70,290

Science16

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

Construction
21-SC-71, Princeton Plasma Innovation Center, PPPL
21-SC-72, Critical Infrastructure Recovery & Renewal, PPPL
21-SC-73, Ames Infrastructure Modernization
20-SC-71, Critical Utilities Rehabilitation Project, BNL
20-SC-72, Seismic and Safety Modernization, LBNL
20-SC-73, CEBAF Renovation and Expansion, TJNAF (19-SC-75)
20-SC-74, Craft Resources Support Facility, ORNL (19-SC-76)
20-SC-75, Large Scale Collaboration Center, SLAC (19-SC-77)
20-SC-76, Tritium System Demolition and Disposal, PPPL
20-SC-77, Argonne Utilities Upgrade, ANL
20-SC-78, Linear Assets Modernization Project, LBNL
20-SC-79, Critical Utilities Infrastructure Revitalization, SLAC
20-SC-80, Utilities Infrastructure Project, FNAL
19-SC-71, Science User Support Center, BNL
19-SC-72, Electrical Capacity and Distribution Capability, ANL
19-SC-73, Translational Research Capability, ORNL
19-SC-74, BioEPIC, LBNL
18-SC-71, Energy Sciences Capability, PNNL
17-SC-71, Integrated Engineering Research Center, FNAL
17-SC-73, Core Facility Revitalization, BNL
Total, Construction
Total, Science Laboratories Infrastructure

—
—
—
—
—
—
—
—
—
—
—
—
—
7,000
30,00025,0005,000
24,00020,00042,200153,200
232,890———
20,00010,0002,000
15,00011,00013,000
500
500
500
500
20,00030,00025,00015,00023,00022,000—208,000
301,000

2,000
2,000
2,000
15,00010,0002,000
25,0008,000
19,400
2,000
2,000
2,000
2,000
7,000
—
10,0006,000
23,00012,000—151,400
174,110+2,000+2,000+2,000-5,000——+10,000-3,000+6,400+1,500+1,500+1,500+1,500-13,000-30,000-15,000-9,000—-10,000—-56,600-126,890

Safeguards and Security

106,110

112,700

115,623+2,923

Program Direction

183,000

186,300

190,306+4,006

6,585,000
810

7,000,000
785

5,837,806
785-1,162,194—

Total, Science
Federal FTEs

SBIR/STTR funding: FY 2019 Enacted: SBIR $148,264,000 and STTR $20,851,000 (SC only) FY 2020 Enacted: SBIR $159,140,000 and STTR $22,279,000 (SC only) FY 2021 Request: SBIR $139,901,000 and STTR $19,390,000 (SC only)

Science17

FY 2021 Congressional Budget Justification

18

Advanced Scientific Computing Research
Overview
The Advanced Scientific Computing Research (ASCR) program’s mission is to advance applied mathematics and computerscience; deliver the most sophisticated computational scientific applications in partnership with disciplinary science;advance computing and networking capabilities; and develop future generations of computing hardware and software tools
for science and engineering in partnership with the research community, including U.S. industry. ASCR supports state-ofthe-art capabilities that enable scientific discovery through computation. The Computer Science and Applied Mathematics
activities in ASCR provide the foundation for increasing the capability of the national high performance computing (HPC)
ecosystem by focusing on long-term research to develop software, algorithms, methods, tools and workflows that
anticipate future hardware challenges and opportunities as well as science application needs. ASCR’s partnerships andcoordination with the other Office of Science (SC) programs and with industry are essential to these efforts. At the sametime, ASCR partners with disciplinary sciences to deliver some of the most advanced scientific computing applications inareas of strategic importance to SC and the Department of Energy (DOE). ASCR also supports world-class, open access highperformance computing facilities and high performance networks for scientific research.
For over half a century, the U.S. has maintained world-leading computing capabilities through sustained investments inresearch, development, and regular deployment of new computing systems and advanced networks along with the appliedmathematics and software technologies to effectively use leading edge systems. The benefits of U.S. computational
leadership have been enormous – huge gains in increasing workforce productivity, accelerated progress in both science andengineering, advanced manufacturing techniques and rapid prototyping, stockpile stewardship without testing, and theability to explore, understand, and harness natural and engineered systems, which are too large, too complex, too
dangerous, too small, or too fleeting to explore experimentally. Leadership in HPC has also played a crucial role insustaining America’s competitiveness internationally. As the Council on Competitiveness noted and documented in a seriesof case studies, "A country that wishes to out-compete in any market must also be able to out-compute its rivals." While
this continues to be true, there is also a growing recognition that the nation that leads in artificial intelligence (AI) andmachine learning (ML) and in the integration of the computing and data ecosystem will lead the world in developing newtechnologies, medicines, industries, and military capabilities. Most of the modeling and prediction necessary to produce thenext generation of breakthroughs in science, energy, medicine, and national security will come not from applying
traditional theory, but from employing data-driven methods at extreme scale tightly coupled to experiments and scientificuser facilities.
ASCR-supported activities are entering a new paradigm driven by sharp increases in the heterogeneity and complexity ofcomputing systems and the need to seamlessly and intelligently integrate simulation, AI, data analysis, and other tasks into
coherent and usable workflows for science. HPC has become an essential tool for understanding complex systems in
unprecedented detail; exploring systems of systems through ensembles of simulations; learning from extreme scale,complex data; and carrying out data analyses, especially when time is of the essence. These changes are being driven byenormous increases in the volume and complexity of data generated by SC user facilities – from simulations, experiments,and observations – and these new opportunities are propelled by advances already achieved through the DOE ExascaleComputing Initiative (ECI). The convergence of AI technologies with these existing investments creates a powerfulaccelerator for progress and gives the U.S. a distinct advantage over nations with less integrated investments. The FY 2021
Request strengthens partnerships with the other SC programs to build the computational and data infrastructure needed tosupport scientific computing from the edge to ASCR high performance computing facilities.
AI and ML are critical technologies in this new paradigm that are expected to be deployed at multiple stages of the scientificprocess using a variety of techniques. Many popular machine learning methods lack mathematical approaches to provide
robustness, reliability, and transparency and so require significant domain knowledge to be effectively applied. In addition,
AI/ML applications and tools are needed to extract knowledge and discovery of patterns and classification in data fromlarge scientific datasets that span SC programs. For example, to automate data collection and advanced control andsupervision of experiments at light sources, neutron sources, microscopes, and telescopes; to predict and avoid plasma
disruptions in fusion reactors; to control and optimize particle accelerators and improve the detection of events; and to
predict bio-design and the design of complex communities. There are significant infrastructure and integration challenges
to be addressed to realize the potential of these scientific investments. Because of its tradition of partnering with other SC
Science/Advanced Scientific Computing Research19

FY 2021 Congressional Budget Justification

programs, its history of supporting world-leading mathematics and computer science for computation and data analysis,
and its support of open access HPC facilities, which are now powerful tools for data analysis, ML, as well as simulation, ASCR
is uniquely positioned to support long-term research for scientific AI and ML.
The emerging field within quantum information science (QIS) – the ability to exploit intricate quantum mechanicalphenomena to create fundamentally new ways of obtaining and processing information – is opening new vistas of science
discovery and technology innovation that build on decades of investment across SC. QIS is currently at the threshold of apotentially disruptive revolution, creating opportunities and challenges for the Nation, as growing international interest andinvestments are starting a global quantum race. DOE envisions a future in which the cross-cutting field of QIS increasingly
drives scientific frontiers and innovations toward realizing the full potential of quantum-based applications, fromcomputing to sensing, connected through a quantum internet. This will require a detailed understanding of how quantum
systems behave, accurate knowledge of how to integrate the components into complex systems, and precise control of thestructures and functionalities. The traditional model of discovery science leading to design, development, and commercial
deployment will not meet these goals alone within an acceptable time due to the urgency and scale of this mission. Rather,
there is a need for bold approaches that better couple all elements of the technology innovation chain and combine thetalents of the program offices in SC, universities, national labs, and the private sector in concerted efforts to define andconstruct an internationally competitive U.S. economy. In support of the National Quantum Initiative, SC QIS Centersestablished in FY 2020 constitute an interdisciplinary partnership between ASCR and the other SC programs. Thispartnership complements a robust core research portfolio stewarded by the individual SC programs, including ASCR, tocreate the ecosystem across universities, national laboratories, and industry that is needed to advance developments in QIS
and related technology.
Moore’s Law – the historical pace of microchip innovation whereby feature sizes reduce by a factor of two approximately
every two years – is nearing an end due to limits imposed by fundamental physics and economics. As a result, numerous
emerging technologies are competing to help sustain productivity gains, each with its own risks and opportunities. The
challenge for ASCR is in understanding their implications for scientific computing and being ready for the potential
disruptions from rapidly evolving technologies without stifling innovation or hampering scientific progress. ASCR’s strategy
is to focus on technologies that build on expertise and core investments across SC, continuing engagements with industry
and the scientific community from the exascale computing project, investing in small-scale testbeds and increasing coreresearch investments in Applied Mathematics and Computer Science.
Today, significant investments in Asia and Europe are challenging U.S. dominance in computing, and nations around theglobe are enthusiastically investing in AI and QIS. The U.S. must invest in the fields and infrastructure that are critical toAmerican prosperity. Public-private partnerships remain vital as we push our state-of-the-art fabrication techniques to theirlimit to develop an exascale-capable (one billion billion operations per second) system while simultaneously preparing forthe artificial intelligence-big data surge, with its integration and infrastructure challenges, and the “Cambrian explosion” of
specialized hardware expected as we reach the end of the current technology roadmap. Maximizing the benefits of U.S.
leadership in computing in the coming decades will require an effective national response to increasing demands forcomputing capabilities and performance, emerging technological challenges and opportunities, and competition with othernations. DOE has a long history of making fundamental contributions to applied mathematics and computer science
associated with strategic computing, and foresees making a similar set of contributions for AI/ML in the science domain andrelated investments in advanced architectures, scientific data infrastructure, and emerging technologies. ASCR’s proposed
activities are in line with the Administration’s FY 2021 Research and Development (R&D) priority for American Leadership in
AI, Quantum Information Science (QIS), and Strategic Computing.
SC and the National Nuclear Security Administration (NNSA) continue to partner in the Department’s ECI to overcome key
exascale challenges in parallelism, energy efficiency, and reliability, with emphasis on the implications for both simulationand data science at this scale, leading to deployment of a diverse set of two exascale systems by SC in the calendar year
2021-2022 timeframe. The ECI’s goal for an exascale-capable system is a five-fold increase in sustained performance over
the Summit HPC system at Oak Ridge National Laboratory (ORNL), with applications that address next-generation science,engineering, and data problems. The ECI focuses on delivering advanced simulation through an exascale-capable computing
program, emphasizing sustained performance in science and national security mission applications and increased
convergence between exascale and large-data analytic computing.
Science/Advanced Scientific Computing Research20

FY 2021 Congressional Budget Justification

Highlights of the FY 2021 Request
The FY 2021 Request of $988,051,000 for ASCR will strengthen U.S. leadership in strategic computing, the foundations of AI
and QIS, and the infrastructure that enables data-driven science. To ensure ASCR is meeting SC’s HPC mission needs during
and after the exascale project, the Request prioritizes basic research in Applied Mathematics and Computer Science withemphasis on the challenges of data intensive science, including AI/ML, and future computing technologies, and significantly
increases support for ASCR’s Computational Partnerships with a focus on developing strategic partnerships in quantum
computing and data intensive applications and new partnerships that broaden the impact of both exascale and data
infrastructure investments in areas of strategic importance to DOE and SC. The Request also provides strong support for
ASCR user facilities operations to ensure the availability of high performance computing, data, and networking to thescientific community and upgrades to maintain U.S. leadership in these essential areas. Funding supports upgrades at the
Oak Ridge Leadership Computing Facility (OLCF), the Argonne Leadership Computing Facility (ALCF), the National Energy
Research Scientific Computing Center (NERSC), and the Energy Sciences Network (ESnet). The Request supports testbeds
both at the facilities and through the Advanced Computing Research activity. The Request maintains support for theComputational Sciences Graduate Fellowship (CSGF) with increased emphasis on foundational research in AI and QIS. It
provides robust support for ECI, which includes the SC-Exascale Computing Project (SC-ECP) and site preparations, testbeds,
and non-recurring engineering (NRE) activities at the LCFs in support of the delivery of at least one exascale computing
system in calendar year 2021.
The Request provides funding to meet the baseline schedules for the OLCF-5, NERSC-9, and ALCF-3 upgrades. In addition, toensure the rapid and agile adoption of Big Data and AI solutions, ASCR will also support the integration of data andcomputing resources through the ESnet-6 upgrade and building on the research and partnership investments in data
infrastructure, tools, and workflows.
Research Advances in exascale computing, AI/ML, and a robust data infrastructure when combined can significantly improvescientific productivity by managing complex simulations and augmenting first principle simulations with data driven
predictive models. The Request supports foundational research to improve the robustness, reliability, and transparencyof Big Data and AI technologies, uncertainty quantification, and development of software tools to tightly couple
simulation, data analysis, and AI for DOE mission applications. Investments focus on areas unique to science such as thetransparency and interpretability of AI/ML, uncertainty quantification, and the computer science and software
infrastructure for AI/ML applications, including tools for data management. The Request also supports partnerships
among computer scientists, applied mathematicians, and domain scientists to develop hybrid models where current
DOE applications, which are characterized by complex, multi-scale physics as well as large-scale, multi-faceted data, aremerged with AI/ML techniques—providing the combined benefits of both techniques. These efforts will be combinedwith new efforts to develop the computational and data infrastructure to more seamlessly integrate SC user facilities
and data repositories with compute resources and other tools for extracting scientific insights.


Recognizing the limits of Moore’s Law, ASCR began activities in FY 2017 to explore future computing technologies, suchas QIS and neuromorphic computing, that are not based on silicon microelectronics. QIS remains a principal emphasis
due to the potential for disruption and the significant expertise and investments across SC. ASCR will continue topartner with the other SC programs to support multi-disciplinary QIS Centers. These centers promote basic researchand early stage development to accelerate the advancement of QIS through vertical integration between systems andtheory and hardware and software. ASCR’s Quantum Testbeds activities, which provide researchers with access tonovel, early-stage quantum computing resources and services, will continue. In addition, basic research in quantum
information networks will focus on the opportunities and challenges of transporting and storing quantum information
over interconnects and networks toward a vision to deliver a fundamentally new capability. In FY 2021, ASCR will
support early stage research associated with the first steps to establishing a dedicated Quantum Network.



The Computer Science and Applied Mathematics activities in ASCR provide the foundation for increasing the capabilityof the national HPC ecosystem by focusing on long-term research to develop smart software, algorithms, and methods
that explore the wide array of emerging technologies and anticipate future hardware challenges and opportunities aswell as science application needs. In FY 2021, these activities will be expanded to address the combined challenges ofincreasingly heterogeneous computer architectures, and the changing ways in which HPC systems are used –Science/Advanced Scientific Computing Research21

FY 2021 Congressional Budget Justification

incorporating and addressing critical data science research to support the incorporation of AI into simulation andexperiments including greater connectivity with distributed systems and resources, such as other SC user facilities.
Emerging AI and data infrastructure technologies are a significant focus of this portfolio.
The Computational Partnerships activity is primarily focused on the Scientific Discovery through Advanced Computing(SciDAC) computational partnerships and Institutes to advance and apply the software, tools, and methods developed
by ASCR core research efforts in Applied Mathematics and Computer Science. This allows the other scientific programs
in SC to more effectively use the current and immediate next-generation HPC facilities. The SciDAC portfolio willcontinue to support recently recompeted SciDAC Institutes, and will recompete the SciDAC applications with emphasis
on ECP and emerging AI and data infrastructure technologies. The research results emerging from the ECI inform
SciDAC investments, which will, whenever possible, incorporate the software, methods, and tools developed by that
initiative. Building on the success of the ECI funded partnership with the National Cancer Institute, funding is requested
to partner with the NIH to expand the capabilities of DOE’s tools and address NIH’s rapidly growing data andcomputational challenges.

ASCR will partner with SC’s Offices of Basic Energy Sciences (BES), High Energy Physics (HEP), and Fusion Energy
Sciences (FES) to support multi-disciplinary microelectronics research that will promote basic research to accelerate theadvancement of microelectronic technologies in a co-design innovation ecosystem in which materials, chemistries,
devices, systems, architectures, algorithms, and software are developed in a closely integrated fashion.



The current and predicted computing and data-intensive needs of DOE research and applications aggregate to a needfor a robust, integrated, computing and data infrastructure. All research activities will also support partnerships withother SC programs to ensure the seamless integration of Big Data and AI with computing resources to support thelarge-scale computing and data requirements from SC user facilities as well as to prepare for future technology throughpartnerships in emerging areas such as QIS.



To address the need for strong connections between core research and prototype development, the Research and
Evaluation Prototypes (REP) activity is transferred from the Facilities subprogram to the Research subprogram underthe Advanced Computing Research activity beginning in FY 2021. This activity continues to support, in partnership with
NNSA, the Computational Sciences Graduate Fellowship in FY 2021 at $10,000,000 with increased focus on AI and QIS.
This activity also supports the Quantum computing testbeds and early stage research activities associated with a
Quantum internet (Qnet) as well as small investments in cybersecurity and microelectronics research.

Facility Operations
 In FY 2021, ASCR’s high performance computing and high performance networking user facilities will continue toadvance scientific discovery through optimal operations. The Leadership Computing Facilities (LCFs) will continue todeliver HPC capabilities for large-scale applications to ensure that the U.S. research community and DOE’s industry
partners continue to have access to the most capable supercomputing resources in the world. NERSC will provide aninnovative platform to advance SC mission research. ESnet will continue to expand capacity to meet the Department’s
exponential growth in scientific data traffic while executing a major upgrade to the core network.


In 2021, the ALCF will install the first U.S. exascale computing system, named Aurora, and begin acceptance and earlyscience testing. In addition, the ALCF will continue to operate the Theta system and provide additional testbeds fortesting SC applications and software technologies, including AI, at scale.



The OLCF Summit system became the world’s fastest supercomputer in June 2018 and remains the fastest according to
the November 2019 Top500 Lista. Summit will remain in operation throughout FY 2021. In addition to scientificmodeling and simulation, Summit offers unparalleled opportunities for the integration of AI and data intensive
scientific discovery, enabling researchers to apply techniques like machine learning and deep learning to problems inhigh energy physics, materials discovery, and other areas. ORNL will make final site preparations and NRE investmentsahttps://www.top500.org/list/2019/11/

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FY 2021 Congressional Budget Justification

for an exascale upgrade (OLCF-5), named Frontier, in the calendar year 2021-2022 timeframe. Frontier will bearchitecturally diverse from the Aurora ALCF-3 system.


NERSC will continue operations of the 30 petaflop (pf) NERSC-8 supercomputer, named Cori and begin operations of
the 75 petaflop NERSC-9 system, named Perlmutter after LBNL Nobel Laureate Saul Perlmutter. To keep pace with theincreasing demand from SC researchers for AI, simulation, and data-intensive applications on NERSC, the Request also
supports planning for expanded capacity and investments to ensure that the diverse NERSC user community is
prepared to utilize exascale and emerging computing systems.



In FY 2021, ESnet will continue to provide networking connectivity for large-scale scientific data flows while
modernizing the network to meet the future needs of the DOE community. The last significant upgrade of the ESnet
was in calendar year 2010, and the current optical and routing equipment is at or near the end of its operational
effectiveness. The forthcoming delivery of exascale machines and the dramatically accelerating data rates from many
SC user facilities and research projects demand not only ever-greater network capacity and security but also new
flexibility and data infrastructure integration to deliver on-demand data management. The ESnet-6 upgrade is designed
to achieve these capabilities and provide DOE with a fully integrated network backbone completely under DOE control
with enhanced cyber resiliency. Funding for the upgrade continues in FY 2021.

The Department recognizes the significant and sustained competition among employers for trained computational
data/network professionals, and the impact of workforce needs on achievement of the accelerated timeline for thedelivery of an exascale system. Experienced computational scientists who assist a wide range of users in taking
effective advantage of DOE’s advanced computing resources are critical assets at both the LCFs and NERSC. To address
this DOE mission need, the Request continues support for post-doctoral programs at the ASCR user facilities for highend computational science and engineering through facilities operations funding. In addition, the three ASCR HPC user
facilities will continue to prepare their users for future architectures through the deployment of experimental testbeds.

Projects
 Exascale computing is a central component of a long-term collaboration between SC’s ASCR program and NNSA’s
Advanced Simulation and Computing (ASC) program to maximize the benefits of DOE’s investments, avoid duplication,and leverage the significant expertise across the DOE complex. The ASCR FY 2021 Request includes $438,945,000 for
SC’s contribution to DOE’s ECI to support the development of an exascale computing software ecosystem, prepare
mission critical applications to address the challenges of exascale, and deploy at least one exascale system in calendar
year 2021 to meet national needs.


Exascale computing systems, capable of at least one billion billion (1 x 1018) calculations per second, are needed toadvance science objectives in the physical sciences, such as materials and chemical sciences, high-energy and nuclear
physics, weather and energy modeling, genomics and systems biology, as well as to support national security objectives
and energy technology advances in DOE. Exascale systems’ computational capabilities are also needed for increasing
data-analytic and data-intense applications across the DOE science and engineering programs and other Federal
organizations that rely on large-scale simulations, e.g., DOD and NIH. The importance of exascale computing to theother SC 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 ECIwill impact computing at all scales, ranging from the largest scientific computers and data centers to Department-scalecomputing to home computers and laptops and help sustain U.S. leadership in information technology.

The results of Exascale’s previous investments with vendors in the Hardware and Integration focus area were evident in
the vendor’s responses to the CORAL (Collaboration of Oak Ridge, Argonne and Livermore) II request for proposals andselected architectures for the exascale systems.



Investments in ECI follow the project funding plan and will help to maintain U.S. leadership in HPC into the next
generation of exascale computing, which is of critical strategic importance to science, engineering, and national
security. The ASCR FY 2021 Request funds two components of the ECI: final site preparations, and NRE at the
Leadership Computing Facilities (LCF) to prepare for deployment of at least one exascale system in calendar year 2021,

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FY 2021 Congressional Budget Justification

and the ASCR-supported Office of Science Exascale Computing Project (SC-ECP), first proposed in the FY 2017 Request,
which includes the related R&D activities required to develop exascale-capable computers. The SC-ECP focuses on
three areas aimed at increasing the convergence of big compute and big data, which then creates a holistic exascale
HPC ecosystem:






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

Funding for ECI ($438,945,000) continues with a focus on final preparation of applications and software in SC-ECP and
the final preparations at the LCFs to support the installation of Aurora at ANL, followed by Frontier at ORNL. Thisapproach will reduce the project risk:

A total of $168,945,000 for the SC-ECP project for the final preparation of applications and the software stack fortesting on both exascale platforms, and continued support for co-design centers preparation for exascale systeminstallation in calendar year 2021.
A total of $270,000,000 in LCFs activity to support operations of the ALCF’s Theta system and testbeds, final site
preparation investments needed just prior to the installation of Aurora, and to support final site preparations at
the OLCF needed just prior to installation of Frontier. The deployment of exascale systems to these two LCFs will
occur as part of their usual upgrade processes and, once accepted, the systems’ the lease payments will be fundedas part of operations.
FY 2021 Research Initiatives

Advanced Scientific Computing Research supports the following FY 2021 Research Initiatives.
(dollars in thousands)
FY 2020
FY 2021
EnactedRequestFY 2019
EnactedNew Research Initiatives
Data and Computational Collaboration
with NIH
Integrated Computational and Data
Infrastructure for Scientific Discovery
Total, New Research Initiatives
Ongoing Research Initiatives
Artificial Intelligence and Machine Learning
Exascale Computing Initiative
Quantum Information Science
Microelectronics Innovation
Total, Ongoing Research Initiatives

Science/Advanced Scientific Computing Research

FY 2021 Request vsFY 2020 Enacted

—

—

1,000

+1,000——11,845+11,845——

12,845+12,845

15,000472,706
33,666—521,372

36,000463,735
54,680—554,415

56,000438,945
86,162
5,000
586,107+20,000-24,790+31,482+5,000+31,69224

FY 2021 Congressional Budget Justification

Advanced Scientific Computing Research
Funding(dollars in thousands)

Mathematical, Computational, and Computer Sciences
Research
Applied Mathematics
Computer Science
Computational Partnerships
Advanced Computing Research
SBIR/STTR
Total, Mathematical, Computational, and Computer Sciences
Research
High Performance Computing and Network Facilities
High Performance Production Computing
Leadership Computing Facilities
Research and Evaluation Prototypes
High Performance Network Facilities and Testbeds
SBIR/STTR
Total, High Performance Computing and Network Facilities
Subtotal, Advanced Scientific Computing Research
Construction
17-SC-20 Office of Science Exascale Computing Project (SCECP)
Total, Advanced Scientific Computing Research

FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

28,20622,00075,667—
4,768

41,50038,70069,142—
5,658

53,72849,60575,051
76,007
9,637+12,228+10,905+5,909+76,007+3,979130,641

155,000

264,028+109,028

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

110,000
375,000
39,00090,00022,265636,265
791,265

85,000370,000—
80,00020,078555,078
819,106-25,000-5,000-39,000-10,000-2,187-81,187+27,841

232,706

188,735

168,945-19,790935,500

980,000

988,051+8,051

SBIR/STTR funding: FY 2019 Enacted: SBIR $22,329,000 and STTR $3,140,000
 FY 2020 Enacted: SBIR $25,160,000 and STTR $3,538,000
 FY 2021 Request: SBIR $26,051,000 and STTR $3,664,000

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FY 2021 Congressional Budget Justification

Advanced Scientific Computing Research
Explanation of Major Changes

Mathematical, Computational, and Computer Sciences Research
The Computer Science and Applied Mathematics activities will continue to increase their efforts on the combined challenges of increasingly
heterogeneous architectures, and the changing ways in which HPC systems are used, incorporating AI and ML into simulations and dataintensive applications while increasing greater connectivity with distributed systems and resources including other SC user facilities. The
Computational Partnerships activity will continue to infuse the latest developments in applied math and computer science, particularly in theareas of AI and data infrastructure tools, into strategic applications, including new areas such as revolutionizing microelectronics, to get themost out of the leadership computing systems and data infrastructure investments. In addition, the Computational Partnerships activity will
increase investments in new algorithms, applications, and data infrastructure, focused on both artificial intelligence and on future computing
technologies, such as QIS and bio-inspired/bio-accelerated computing in partnership with the other SC programs and other partners such as
NIH. Increases in Computer Science for quantum information networks will focus on addressing new opportunities and challenges oftransporting and storing quantum information. Within the Advanced Computing Research activity, Research and Evaluation Prototypes
provides support for emerging technology testbeds with emphasis on Quantum, in close coordination with the other SC programs. This
includes early stage research activities for a Quantum internet (Qnet). This activity also supports the Computational Sciences Graduate
Fellowship (CSGF).

(dollars in thousands)
FY 2021 Request vsFY 2020 Enacted+109,028

High Performance Computing and Network Facilities
Facilities funding is reduced due to the shift of Research and Evaluation Prototypes activities to the Research subprogram, and to thecompletion of significant site preparation activities at the LCFs and NERSC. The Request supports final site preparations to deploy an Aurora
exascale system at the ALCF in calendar year 2021 and the architecturally distinct Frontier exascale system at the OLCF, to be deployed in thecalendar year 2021-2022 timeframe. Both facilities will continue to provide testbed resources to the SC-ECP and other SC researchers to test
and scale application codes and continuously test and deploy software technologies. In addition, funding supports operation of the NERSC-9
and Cori systems and supports the ESnet-6 upgrade to significantly increase capacity and security at all DOE sites. Funding also supports
operations, including increased power costs, equipment, staffing, planning, and lease payments at ASCR’s facilities.

-81,187

Exascale Computing
The FY 2021 Request will support efforts in the SC-ECP for the finalization of co-design efforts in application and software development for
both planned exascale architectures and partnerships with the ASCR facilities that are providing resources for continuous integration andtesting of exascale-ready software. The decrease represents completion of ASCR supported vendor partnerships with the six computer vendorsthat developed critical technologies, such as interconnects, processors and memory, needed for the exascale system and accelerated thetransition from research to testing of applications and software on the exascale testbeds.

-19,790

Total, Advanced Scientific Computing Research+8,051

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FY 2021 Congressional Budget Justification

Basic and Applied R&D Coordination
Coordination across disciplines and programs is a cornerstone of the ASCR program. Partnerships within SC are mature andcontinue to advance the use of HPC and scientific networks for science. New partnerships with other SC Programs havebeen established in QIS; and the DOE activities in AI and QIS are coordinated with other agencies through the National
Science and Technology Council (NSTC). There are growing areas of collaboration in the area of data-intensive science, AI,
and readying applications for exascale. ASCR continues to have a strong partnership with NNSA for achieving the
Department’s goals for exascale computing. In April 2011, ASCR and NNSA strengthened this partnership by signing amemorandum of understanding for collaboration and coordination of exascale research within the DOE. Through the
National Information Technology R&D Subcommittee of the NSTC Committee on Technology, the interagency networking
and information technology R&D coordination effort, ASCR also coordinates with programs across the Federal Government.
In FY 2021, cross-agency interactions and collaborations will continue in coordination with the Office of Science andTechnology Policy.
Program Accomplishments
Getting Ready for Exascale.
The efficiency of the Spectral Neighbor Analysis Potential (SNAP) machine-learning kernel on various architectures
displayed a worrisome decrease in terms of performance relative to the theoretical peak of the hardware, particularly on
GPU accelerated architectures. Addressing this concern has become a central effort of the Exascale Computing Project's(ECP) Exascale Atomistics for Accuracy, Length, and Time (EXAALT) project. A team comprised of NERSC staff, the ECP Codesign center for Particle Applications (CoPA), and the ECP software team has completely re-engineered the SNAP kernel
from the ground up. Beginning with a stand-alone Compute Unified Device Architecture (CUDA) prototype, re-engineered
SNAP kernel has been implemented in the widely used molecular dynamics software, Large-scale Atomic/Molecular
Massively Parallel Simulator (LAMMPS) using an ECP library for performance portability. This implementation reversed thetrend and led to a five times improvement in performance. Deploying the new SNAP kernel on Summit results in asimulation throughput of 175,100 atoms-steps/wall-clock second per node, exploiting all 6 General Processing Units (GPUs)
and 42 Central Processing Unit (CPU) cores.
HP-CONCORD Enables Machine Learning in HPC at Unprecedented Scale.
Understanding the interactions between millions of variables such as how a disease may be caused by a subset of thehuman genes is among the most challenging problems in data-driven science. A powerful machine learning algorithm called
CONCORD can identify these relationships however until recently it could only be applied to modest-sized data sets.
Researchers from LBNL supported by SciDAC along with their collaborators from Google Brain, University of California Santa
Barbara and Carnegie Mellon University developed a high-performance computing version of the algorithm called HPCONCORD. Using NERSC, they then demonstrated this parallel algorithm on an enormous set of data from the Human
Connectome Project, which computed estimates for about 4 billion parameters, and an even larger demonstration problem
with over 800 billion parameters. The HP-CONCORD team used functional magnetic resonance imaging data to estimate theunderlying conditional dependency structure of the brain and then used the resulting estimate to automatically identifyfunctional regions of the brain. The researchers expect that many other science areas will benefit from HP-CONCORD in the
future: In biology it can be used to reconstruct gene regulatory networks, or in environmental sciences it can help in
estimating temperature-to-environmental-proxy relationships. HP-CONCORD may also be useful for hypothesis generationin exploratory data analysis to guide further experimental study.
Autonomous AI-driven approach maximizes the value of high-throughput experiments.
What can be done to help a scientist decide which sequence of experiments to run in order to get the most information as
quickly as possible? Researchers in the Center for Advanced Mathematics for Energy Research Applications (CAMERA) havedeveloped a way to optimize beamline experiments and automatically choose the best next experiment to perform. New
computational methods were developed to quickly explore the parameter space of predicted physical effects in a way that
reduces the overall beamline time used and increases the yield from the experiment. Actions are carried out in real-time inbeamline experiments at NSLS-II (BNL) and the ALS (LBNL). At BNL, beamline utilization increased from 20 percent to 80
percent, with a six-fold decrease in the number of experiments required to achieve similar results.

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Quantum Noise Mitigation for the Masses.
While quantum computers today are very noisy, much of the noise is systematic and can be characterized with goodprecision. A team at ORNL and Virginia Tech have adapted a standard technique in experimental physics — amplifying noisein order to treat it as a “signal” and then examine how that noise varies with respect to a degree of freedom, or “knob” that
we have control over – to develop a post-processing technique to mitigate the effect of noise on the output of today’squantum processors. A U.S. company took note of the result and made a pull request to the ASCR-funded team, who
responded by making their technique available as a new module in the company’s widely used, open source softwaredevelopment kit for quantum computing.
Dark optical fiber proves to be a promising earthquake sensor.
In one of the first case studies to employ a large regional network as an earthquake sensor, researchers from Lawrence
Berkeley National Laboratory used distributed acoustic sensing along a 20-mile segment of the 13,000-mile-long ESnet Dark
Fiber Testbed to collect and analyze seven months of passive seismic data. Because the ESnet Testbed has regional
coverage, they were able to monitor seismic activity and environmental noise with finer detail than previous studies. The
research team used ambient noise interferometry techniques to process 300 terabytes of collected data and extract surface
wave velocity information, which enabled them to map shallow structural profiles and groundwater depth and detect
regional and teleseismic earthquakes. In traditional seismology, researchers studying how the earth moves in the moments
before, during, and after an earthquake rely on sensors that cost tens of thousands of dollars to make and installunderground. This new approach could augment the performance of earthquake early warning systems currently being
developed in the Western U.S., with higher sensitivity and at lower cost.
Hackathon Leads to Game-Changing Code Speedup for General Electric (GE).
GE Power technologies generate approximately one-third of the world’s electricity. In 2018, Hyperion Research published acase study on how GE engineers were able to nearly double the efficiency of their gas turbines with the help ofsupercomputing simulationa. Recently, GE has become increasingly interested in improving GPU performance to harness
the power of new HPC architectures to run its codes faster to create more design iterations and better end designs. A teamfrom GE participated in two of the OLCF’s 2019 hackathons—the first at Brookhaven National Laboratory last September
and the second at the Massachusetts Institute of Technology—and used the CUDA programming model on the Summit
supercomputer to gain 50-fold to 300-fold speedups in portions of their computational fluid dynamics code GEneralized
Nonlinear Extension of Surface Integral Schemes (GENESIS). GENESIS can help engineers predict turbulence in complex
geometries, such as those in multiple rows of turbine blades. These predictions can lead to more efficient gas turbine
engines, increasing their competitiveness. The GE team has taken a typical month-long simulation down to just over twohours and has gained the ability to simulate several rows of turbine blades rather than just a single blade, demonstrating aleap from component-level to system-level simulations. Additionally, the simulations have better predictive accuracy andhigher resolution than any of the company’s previous simulations. The value gained from running on Summit’s GPUs has
also enabled the team to plan for GE’s next high-performance computing investment.
New biofuel process is identified through HPC screening.
Separation of ethanol from water, essential for biofuel production, is usually effected via distillation. A new, patented
process—by which ethanol would be preferentially adsorbed from a water mixture through a zeolite-containing adsorbent
or membrane—would permit significant energy savings over traditional distillation-based separation. The material for themembrane was identified by a team of researchers from the University of Minnesota who used ALCF resources to conduct
high throughput computational screening to identify promising microporous zeolites for various biofuel production
processes. The team scaled their codes to more than 100,000 cores and simulate approximately 400 zeolites over a range ofsolution-phase compositions (ranging from 0.1 to 40 percent ethanol by weight). Each candidate zeolite required numerous
simulations so that meaningful statistics could be collected and subsequently averaged to attain a higher degree of fidelity.
Without access to supercomputer and a large allocation of computer time, it would have taken much longer to examine far
fewer zeolites and the best performing ones may not have been found.

a

https://insidehpc.com/white-paper/understanding-behaviors-extreme-environment-natural-gas-turbine-generators/

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FY 2021 Congressional Budget Justification

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

new mathematics and algorithms required to more accurately model systems involving processes taking place across awide range of time and length scales and incorporate AI and ML techniques into HPC simulations;the software needed to support DOE mission applications, including new paradigms of data-intensive applications, AI
and scientific machine learning, on current and increasingly more heterogeneous future systems;
insights about computing systems and workflow performance and usability leading to more efficient and productive
use of computing, storage and networking resources;
collaboration tools, data infrastructure and partnerships to make scientific resources readily available to scientists inuniversity, national laboratory, and industrial settings;
expertise in applying new algorithms and methods, and scientific software tools to advance scientific discovery throughmodeling and simulation in areas of strategic importance to SC and DOE; andlong-term, basic research on future computing technologies with relevance to the DOE mission.

Applied Mathematics
The Applied Mathematics activity supports basic research leading to fundamental mathematical advances andcomputational breakthroughs across DOE and SC missions. Basic research in scalable algorithms and libraries, multiscale
and multiphysics modeling, AI/ML, 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, multiscalemodeling and coupling, mesh discretization, time integration, advanced solvers for large-scale linear and nonlinear systemsof equations, methods that use 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 withadvanced computing, scientific AI/ML, and for enabling greater capabilities for scientific discovery, design, and decisionsupport in complex systems.
Computer Science
The Computer Science research activity supports basic research that enables computing and networking at extreme scales
and the understanding of extreme scale, or complex data from both simulations and experiments. Through thedevelopment of adaptive software tools, it aims to make high performance scientific computers and networks highly
productive and efficient to solve scientific challenges while attempting to reduce domain science application complexity asmuch as possible. ASCR-supported activities are entering a new paradigm driven by sharp increases in the heterogeneityand complexity of computing systems. In addition, and in partnership with the other SC programs and their scientific user
facilities, the Computer Science activity supports basic research that addresses the need to seamlessly and intelligently
integrate simulation, data analysis, and other tasks into coherent and usable workflows— from the edge of experiments,
through simulation and AI, to data analytics and visualization.
The Computer Science activity supports long-term, basic research on the software infrastructure that is essential for theeffective use of the most powerful high performance computing systems in the country, tools and data infrastructure to
Science/Advanced Scientific Computing Research29

FY 2021 Congressional Budget Justification

manage and analyze data at scale, and cybersecurity innovation that can enable the scientific integrity of extreme scalecomputation, networks, and scientific data. ASCR Computer Science plays a key role in developing and evolving thespecialized software required for future Leadership Computers. Supercomputer vendors often take software developedwith ASCR Computer Science investments and integrate it with their own software.
Computational Partnerships
The Computational Partnerships activity primarily supports the SciDAC program, a recognized leader for the employment ofhigh-performance computing (HPC) for scientific discovery. Established in 2001, SciDAC involves ASCR collaboration withthe other SC programs and other DOE program offices with a goal to dramatically accelerate progress in scientificcomputing through deep collaborations between discipline scientists, applied mathematicians, and computer scientists.
SciDAC does this by providing the intellectual resources in applied mathematics and computer science, expertise inalgorithms and methods, and scientific software tools to advance scientific discovery through modeling and simulation inareas of strategic importance to SC and DOE.
The Computational Partnerships activity also supports collaborations in the areas of data analysis and future computing.
Collaboratory and data analysis projects enable large distributed research teams to share data and develop tools for realtime analysis of the massive data flows from SC scientific user facilities, as well as the research and development ofsoftware to support a distributed data infrastructure and computing environment. The partnerships with BES, BER, FES,
HEP, and NP enable development of new algorithms and applications targeted for future computing platforms, including
quantum information systems.
Advanced Computing ResearchThis activity supports Research and Evaluation Prototypes (REP) and the Computational Sciences Graduate Fellowship(CSGF).
REP has a long history of partnering with U.S. vendors to develop future computing technologies and testbeds that push thestate-of-the-art and enabled DOE researchers to better understand the challenges and capabilities of emerging
technologies. This activity supports testbeds for next-generation systems and for future computing technologies beyond
Moore’s law, specifically in the area of quantum computing testbeds and emulators. As the challenges in this regime are
increasingly linked with advances in the research program, this activity is realigned from the Facilities subprogram to the
Research subprogram beginning in FY 2021.
In addition, this activity partners with the NNSA to support the CSGF.

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FY 2021 Congressional Budget Justification

Advanced Scientific Computing Research
Mathematical, Computational, and Computer Sciences Research
Activities and Explanation of Changes(dollars in thousands)
Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

FY 2020 Enacted

FY 2021 Request

Mathematical, Computational, andComputer Sciences Research$155,000
Applied Mathematics$41,500
Funding supports Applied Mathematics core programsin new algorithmic techniques and strategies thatextract scientific advances and engineering insightsfrom massive data for DOE missions. Applied
Mathematics will increase investments in research todevelop foundational capabilities in scientific AI/ML.

$264,028$53,728
The Request will expand support of core research
efforts in algorithms, libraries and methods that
underpin high-end scientific simulations, scientific
AI/ML techniques, and methods that help scientists
extract insights from massive scientific datasets with
an emphasis on foundational capabilities in AI/ML.

+$109,028+$12,228
The increase will support new efforts that develop
the advanced mathematics and methods to enable
an integrated computational and data infrastructure
for scientific discovery. It also will support expanded
investments to develop foundational capabilities inscientific AI/ML, with a focus on the requirements ofSC’s critical applications and scientific datasets.

$49,605
The Request will continue support for core
investments in software that improves the utility of
HPC and advanced networks for science, including AI
techniques, workflows, tools, data management,
analytics and visualizations with strategic increases
focused on critical tools, including AI, to enable an
integrated computational and data infrastructure.
Funding for this activity will also expand long-term
efforts that explore and prepare for emerging
technologies, such as quantum networking,specialized and heterogeneous hardware andaccelerators, quantum and neuromorphic
computing.

+$10,905
The increase will support new efforts that develop
workflows, software, and edge technologies toenable an integrated computational and data
infrastructure for scientific discovery. Also, it will
support expanded investments to develop scientific
AI/ML software and tools with a focus on therequirements of SC’s critical applications andscientific datasets. The increase will include
additional funding for basic research in Quantum
networking.

Computer Science$38,700
Funding supports Computer Science to address the
combined challenges of increasingly heterogeneousarchitecture, and the changing ways in which HPC
systems are used—incorporating more data intensive
applications and greater connectivity with distributed
systems and resources including other SC user
facilities. The activity also expands funding for efforts
in quantum networking.

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FY 2021 Congressional Budget Justification

(dollars in thousands)
Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

FY 2020 Enacted

FY 2021 Request

Computational Partnerships$69,142
Funding supports the SciDAC institutes andpartnerships awarded in FY 2017- FY 2018, this activity
maintains efforts in QIS in partnership with the other
SC programs, and efforts to bring the power of HPC todata intensive science.

$75,051
The Request will continue support for the SciDAC
Institutes, and ASCR will recompete partnerships
with SC and DOE applications. Partnerships onscientific data and AI will be continued with newpartners added. Building on these efforts, theRequest will support the foundations of a new
integrated computational and data infrastructure forscience that will more effectively and efficiently
address SC’s data needs. A new partnership with NIH
will leverage DOE infrastructure to address the data
analytics needs of the connectome project andensure that data is widely available for SC’s AI
development efforts to incorporate the results. The
Request also includes support for a partnership with
BES, HEP, and FES on microelectronics research.

+$5,909
The increase will support expanded efforts in AI data
partnerships, QIS partnerships and Centers, and therecompetition of the SciDAC applications inpartnership with other SC Programs. It also supports
new efforts in data infrastructure and analytics, inmicroelectronics, and in partnerships with SC andinteragency efforts, to maximize the public benefit
and accelerate development of AI techniques forscience.

Advanced Computing Research$—$76,007
Research and Evaluation Prototypes$—$66,007
In FY 2020, REP is funded within the High Performance The Request will continue to support quantum
Computing and Network Facilities subprogram.
testbed efforts, with emphasis on partnerships with
the new QIS centers, as well as small investments incyber security and testbeds for microelectronics
research. Building on basic research in quantum
information networks, ASCR will support early stage
research associated with the first steps toestablishing a dedicated Quantum Network.

+$76,007+$66,007
To address the need for strong connections between
core research efforts and beyond Moore’s Law
prototypes, this activity is realigned from the
Facilities subprogram to the Research subprogram in
FY 2021.

Science/Advanced Scientific Computing Research32

The increase will support early stage research for a
Quantum internet and new testbed activities insupport of SC efforts to revolutionize
microelectronics.

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted
Computational Sciences Workforce
Programs
In FY 2020, Computational Science Graduate
Fellowship (CSGF) is funded within the High
Performance Computing and Network Facilities
subprogram.

FY 2021 Request$—$10,000
The Request will provide support for the CSGF
fellowship at $10,000,000, in partnership with NNSA.
The goal of CSGF to increase availability of a trained
workforce for exascale, AI, and beyond Moore’s Law
capabilities such as QIS.

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted+$10,000
To address the need for strong connections between
core research efforts and beyond Moore’s Law
prototypes, this activity is shifted from the Facilities
subprogram to the Research subprogram in FY 2021.
The fellowship will emphasize high performancecomputational applications of AI and QIS.

SBIR/STTR$5,658$9,637+$3,979
In FY 2020, SBIR/STTR funding is set at 3.65 percent of In FY 2021, SBIR/STTR funding is set at 3.65 percent
The SBIR/STTR funding will be consistent with the
non-capital funding.
of non-capital funding.
ASCR total budget.

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33

FY 2021 Congressional Budget Justification

34

Advanced Scientific Computing ResearchHigh Performance Computing and Network Facilities
Description
The High Performance Computing and Network Facilities subprogram supports the operations of forefront computationaland networking user facilities to meet critical mission needs. ASCR operates three high performance computing (HPC) user
facilities: the National Energy Research Scientific Computing Center (NERSC) at Lawrence Berkeley National Laboratory(LBNL), which provides high performance computing resources and large-scale storage to a broad range of SC researchers;
and the two Leadership Computing Facilities (LCFs) at Oak Ridge National Laboratory (ORNL) and Argonne National
Laboratory (ANL), which provide leading-edge high performance computing capability to the U.S. research and industrial
communities. ASCR’s high performance network user facility, ESnet, delivers highly reliable data transport capabilities
optimized for the requirements of large-scale science. Finally, operations of these facilities also include investments in
upgrades: for the HPC user facilities, this scope includes electrical and mechanical system enhancements to ensure eachremains state-of-the-art and can install future systems; for ESnet, the upgrades include rolling capacity growth to ensure nobottlenecks occur in the network. As the challenges within the Research and Evaluation Prototypes (REP) activity are
increasingly linked with advances in the research program, this activity is being realigned to the Mathematical,
Computational, and Computer Sciences Research subprogram beginning in FY 2021.
ASCR regularly gathers requirements from the other SC research programs through formal processes, including workshops
and technical reviews, to inform upgrade plans. These requirements activities are also vital to planning for SciDAC and other
ASCR research efforts to prioritize research directions and inform the community of new computing and data trends,
especially as the computing industry moves toward exascale computing and explores new architectures and technologies.
Allocation of computer time at ASCR HPC facilities follows the merit review public-access model used by other SC scientificuser facilities. Two of ASCR’s allocation programs include the Innovative and Novel Computational Impact on Theory andExperiment (INCITE) projects for access to the LCFs and the ASCR Leadership Computing Challenge (ALCC) projects toprovide an allocation path for critical DOE mission applications and to broaden the community of users.
High Performance Production ComputingThis activity supports NERSC at LBNL to deliver high-end production computing services for the SC research community.
Approximately 7,500 computational scientists conducting about 700 projects use NERSC annually to perform scientificresearch across a wide range of disciplines including astrophysics, chemistry, earth systems modeling, materials, highenergy and nuclear physics, fusion energy, and biology. NERSC users come from nearly every state in the U.S., with about 49
percent based in universities, 46 percent in DOE laboratories, and 5 percent in other government laboratories and industry.
NERSC’s large and diverse user population ranges from experienced to neophyte. NERSC aids users entering the HPC arena
for the first time, as well as those preparing leading-edge codes that harness the full potential of the machine.
NERSC currently operates the 30 petaflops (pf) Intel/Cray system (Cori). NERSC is a vital resource for the SC researchcommunity 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.
NERSC will transition NERSC-9 to operations in FY 2021 while initiating preparations for a NERSC-10 upgrade that is needed
to meet SC’s growing computational needs.
Leadership Computing Facilities
The LCFs enable open scientific applications, including industry applications, to harness the potential of leadershipcomputing to advance science and engineering. The success of this effort is built on the gains made in REP and ASCR
research efforts. Another LCF strength is the staff, who operate and maintain the forefront computing resources andprovide support to INCITE and ALCC projects, scaling tests, early science applications, and tool and library developers. LCF
staff experience is critical to the success of industry partnerships to address the challenges of next-generation computing.
The Oak Ridge Leadership Computing Facility (OLCF) at ORNL currently operates testbeds in support of ECI and the 200 pf
IBM/NVIDIA system (Summit), which achieved the global number one ranking as the world’s fastest system in June 2018,
November 2018, June 2019, and November 2019. INCITE applications at Summit include: simulating how neutron star
Science/Advanced Scientific Computing Research

35

FY 2021 Congressional Budget Justification

collisions produce heavy elements like gold and platinum; understanding how drug receptors select which signaling
proteins to activate so as to enable the development of finely tuned medicines that yield desired effects with fewer side
effects; closing, evaluating, and validating multiphase flow models in porous medium systems; new insights into themechanisms leading to the complex phases and physical behavior observed in unconventional superconductors andquantum spin liquids and Monte Carlo simulations that will provide high-accuracy data for the adsorption of water ongraphene with potential applications in water purification, desalinization and drug delivery. OLCF staff shares its expertisewith industry to broaden the benefits of petascale computing for the nation. For example, OLCF works with industry to
reduce the need for costly physical prototypes and physical tests in the development of high-technology products. These
efforts often result in upgrades to in-house computing resources at U.S. companies. Also, the OLCF will undertake final
preparations for the deployment of a Cray/AMD exascale system to be named Frontier in the calendar year 2021-2022
timeframe.
The Argonne Leadership Computing Facility (ALCF) at ANL operates an 8.5 pf Intel/Cray system (Theta) and testbeds toprepare their users and SC-ECP applications and software technology for the ALCF-3 upgrade, to be known as Aurora.
Aurora, will be the Nation’s first exascale system when deployed in calendar year 2021 and is being designed by Intel/Cray
to support the largest-scale computational simulations possible as well as large-scale data analytics and machine learning.
INCITE applications at the ALCF include developing an understanding of the structure and reactions of nuclei to guide newexperiments at the Facility for Rare Isotope Beams and at Thomas Jefferson National Accelerator Facility; identifying novel
therapies to rationally design new treatments for a broad range of human cancers; discovering how water cycles affects
river flow and freshwater supplies; and increasing the fidelity of earthquake models to improve the accuracy of seismic
hazard assessment. Through INCITE, ALCF also transfers its expertise to industry, for example, helping scientists andengineers to understand the fundamental physics of turbulent mixing to transform product design and to achieve improved
performance, lifespan, and efficiency of aircraft engines. The ALCF and OLCF systems are architecturally distinct, consistent
with DOE’s strategy to foster diverse capabilities that provide the Nation’s HPC user community with the most effective
resources. The demand for 2018 INCITE allocations at the LCFs outpaced the available resources by more than a factor oftwo.
Research and Evaluation Prototypes
To address the need for strong connections between core research efforts and beyond Moore’s Law prototypes, thisactivity is shifted to the Mathematical, Computational, and Computer Sciences Research subprogram under the Advanced
Computing Research activity in FY 2021.
High Performance Network Facilities and Testbeds
The Energy Sciences Network (ESnet) is SC’s high performance network user facility, delivering highly reliable data transport
capabilities optimized for the requirements of large-scale science. 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 that spans thecontinental United States and the Atlantic Ocean. ESnet interconnects all 17 DOE national laboratories, dozens of other DOE
sites, and approximately 200 research and commercial networks around the world, enabling many tens of thousands ofscientists at DOE laboratories and academic institutions across the country to transfer vast data streams and access remoteresearch resources in real-time. ESnet also supports the data transport requirements of all SC user facilities. ESnet’s traffic
continues to grow exponentially—roughly 66 percent 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 ofexternal connections, benchmark future needs, expand capacity, and respond to new requests for site access andspecialized services. As a user facility, ESnet engages directly in efforts to improve end-to-end network performance
between DOE facilities and U.S. universities. ESnet is recognized as a global leader in innovative network design andoperations. ESnet is currently designing and executing a complete upgrade of its backbone network (the ESnet-6 upgrade).

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36

FY 2021 Congressional Budget Justification

Advanced Scientific Computing ResearchHigh Performance Computing and Network Facilities
Activities and Explanation of Changes(dollars in thousands)
FY 2020 Enacted
High Performance Computing and$636,265
Network Facilities
High Performance Production
Computing$110,000
Funding continues operations and user support at the
NERSC facility–including power, space, leases andstaff. Funding also supports site preparation activities
for the NERSC-9 upgrade, such as increased powerand cooling capacity.

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

FY 2021 Request$555,078-$81,187$85,000-$25,000
The Request will support operations at the NERSC
Funding will support the operations of the Cori andfacility, including user support, power, space, system NERSC-9 systems as well as early stage designs for theleases, and staff. The Request will also support
NERSC-10 upgrade.
completion and transition to operations for the
NERSC-9 upgrade, including site preparation activities,
system acquisition, and application readiness.

Leadership Computing Facilities$375,000
Funding supports operations and user support at the
LCF facilities–including power, space, leases, and staff.
Long-lead site preparations for planned upgrades,such as increased power and cooling capacity andsignificant NRE efforts and testbeds, are also
supported.

$370,000
The Request will support operations at the LCF
facilities at ANL and ORNL, including user support,
power, space, system leases, and staff. The Request
also will support final site preparation for the ALCF-3
upgrade and OLCF-5 upgrade, and early access system
testbeds.

Argonne Leadership Computing
Facility (ALCF)$150,000
Funding supports continual operation of Theta andtestbeds that were deployed in FY 2019 to support
SC-ECP. The ALCF continues site preparations andsignificant NRE efforts to deploy a novel architecture
capable of delivering more than an exaflop ofcomputing capability in the calendar year 2021
timeframe as part of ECI, while decommissioning
MIRA.

$150,000
The Request will continue support for the operation
Funding will continue operations at the ALCF.
and competitive allocation of the Theta system. In
support of ECP, the ALCF will provide access to Thetaand other testbeds for ECP application and software
projects. The ALCF will continue activities to enabledeployment of the ALCF-3 exascale system, Aurora in
the calendar year 2021 timeframe under CORAL I.

Science/Advanced Scientific Computing Research

37-$5,000
Funding will support the 2021-2022 deployment
schedule for both LCF upgrades. The decrease at the
OLCF will result in the shifting of some milestone
payments for Frontier to the lease agreement.

$—

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted
Oak Ridge Leadership Computing$225,000
Facility (OLCF)
Funding supports continual operation and allocationof Summit. In support of ECP, the OLCF provides
access to Summit and other testbeds for theapplication and software projects to scale and test
their codes. The OLCF also continues activities toenable deployment of an exascale system in thecalendar year 2021-2022 timeframe under the CORAL
II.
Research and Evaluation Prototypes$39,000
Funding supports the CSGF fellowship at $10,000,000
in partnership with the NNSA to increase availabilityof a trained workforce for exascale and beyond
Moore’s Law capabilities. In addition, funding
provides continued support for quantum testbedefforts to provide resources for the researchers
supported through the quantum information science
partnerships with the other SC programs.
High Performance Network Facilities
and Testbeds (ESnet)$90,000
Funding supports operations of the ESnet at 99.9
percent reliability. In addition, funding supports the
ESnet-6 upgrade to increase network capacity andmodernize the network architecture.

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted$220,000-$5,000
The Request will continue support for the operation
The reduction at the OLCF will result in the shifting ofand competitive allocation of the Summit system. In
milestone payments for Frontier to the lease
support of ECP, the OLCF will provide access toagreement.
Summit and other testbeds for ECP application andsoftware projects. The OLCF will continue activities toenable deployment of the OLCF-5 exascale system,
Frontier in the calendar year 2021-2022 timeframe
under CORAL II.
$—-$39,000
To address the need for strong connections between This reduction reflects the realignment of thiscore research efforts and beyond Moore’s Law
program to the Research subprogram.
prototypes, this activity is realigned to the Advanced
Computing Research activity within the research
subprogram in FY 2021.

$80,000-$10,000
The Request will support operations of ESnet at 99.9 Funding will support the upgrade in accordance withpercent reliability, including user support, operations the project baseline as well as continued operation ofand maintenance of equipment, fiber leases, R&D
ESnet-5.
testbed, and staff. The Request will continue support
for the ESnet-6 upgrade to build the next generation
network with new equipment, increased capacity, andan advanced network architecture.

SBIR/STTR$22,265$20,078-$2,187
In FY 2020, SBIR/STTR funding is set at 3.65 percent of In FY 2021, SBIR/STTR funding is set at 3.65 percent of The SBIR/STTR funding will be consistent with the
non-capital funding.
non-capital funding.
ASCR total budget.
Science/Advanced Scientific Computing Research

38

FY 2021 Congressional Budget Justification

Advanced Scientific Computing Research
Exascale Computing
Description
SC and NNSA will continue to execute the Exascale Computing Initiative (ECI), which is an effort to develop and deploy an
exascale-capable computing system with an emphasis on sustained performance for relevant applications and analytic
computing to support DOE missions. The deployment of these systems includes necessary site preparations and nonrecurring engineering (NRE) at the Leadership Computing Facilities (LCF) that will ultimately house and operate the exascale
systems.
The Office of Science Exascale Computing Project (SC-ECP) captures the research aspects of ASCR’s participation in the ECI,
to ensure the hardware and software R&D, including applications software, for an exascale system is completed in time tomeet the scientific and national security mission needs of DOE. The SC-ECP is managed following the principles of DOE
Order 413.3B, tailored for this fast-paced research effort and similar to that which has been used by SC for the planning,
design, and construction of all of its major computing projects, including the LCFs at ANL and ORNL, and NERSC at LBNL.
Overall project management for the SC-ECP is conducted via a Project Office established at ORNL because of its
considerable expertise in developing computational science and engineering applications; in managing HPC facilities, bothfor the Department and for other federal agencies; and experience in managing distributed, large-scale projects, such as theSpallation Neutron Source project. A Memorandum of Agreement is in place between the six DOE national laboratories
participating in the SC-ECP: LBNL, ORNL, ANL, Lawrence Livermore National Laboratory (LLNL), Los Alamos National
Laboratory (LANL), and Sandia National Laboratories (SNL). The Project Office at ORNL is executing the project andcoordinating among partners.
The FY 2021 Request includes $168,945,000 for the SC-ECP. These funds will support the final preparation of mission criticalapplications and development of a software stack for exascale platforms, and the initiation of testing on exascale early
access platforms. Deployment of exascale systems in calendar years 2021-2022 will be through the LCFs as part of theirusual upgrade processes.

Science/Advanced Scientific Computing Research

39

FY 2021 Congressional Budget Justification

Advanced Scientific Computing Research
Exascale Computing
Activities and Explanation of Changes(dollars in thousands)
FY 2020 Enacted
Construction$188,735a
17-SC-20 Office of Science ExascaleComputing Project (SC-ECP)$188,735
Funding supports the acceleration of application andsoftware stack development in preparation fordelivery of the first exascale system in calendar year
2021.

FY 2021 Request$168,945$168,945
The Request will support project management; codesign activities between application and thesoftware stack; and integration between SC-ECP and
the LCF to provide continuous integration and testingof the ECP funded applications and software on
exascale testbed.

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted-$19,790-$19,790
Funding will decrease with the completion of vendor
partnerships as well as the project’s focus moving
more to the final preparations for testing and final
execution on the exascale platforms following
acceptance rather than on exploratory research.

In addition, $275,000,000 of ECI funding is provided within the Leadership Computing Facilities activity in FY 2020 and $270,000,000 is requested in FY 2021 in the Leadership Computing Facilities activity to
begin planning, non-recurring engineering, and site preparations for at least one exascale system to be delivered in calendar year 2021.
a

Science/Advanced Scientific Computing Research40

FY 2021 Congressional Budget Justification

Advanced Scientific Computing Research
Capital Summary

Capital Operating Expenses
Capital Equipment
Total, Capital Operating Expenses

Total

Prior Years

N/A
N/A

N/A
N/A

(dollars in thousands)
FY 2019
FY 2020
EnactedEnactedFY 2021
Request

5,000
5,000

5,000
5,000

5,000
5,000

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

Capital Equipment

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

Total

Prior Years

N/A
N/A

N/A
N/A

5,000
5,000

5,000
5,000

5,000
5,000

FY 2021 Request vsFY 2020 Enacted——

Funding Summary(dollars in thousands)
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

408,500
527,000
935,500

405,000
575,000
980,000

453,051
535,000
988,051

Research
Facility Operations
Total, Advanced Scientific Computing Research

Science/Advanced Scientific Computing Research

41

FY 2021 Request vsFY 2020 Enacted+48,051-40,000+8,051

FY 2021 Congressional Budget Justification

Advanced Scientific Computing Research
Scientific User Facility Operations
The treatment of user facilities is distinguished between two types: TYPE A facilities that offer users resources dependent on a single, large-scale machine; TYPE B
facilities that offer users a suite of resources that is not dependent on a single, large-scale machine.
Definitions for TYPE A facilities:
Achieved Operating Hours – The amount of time (in hours) the facility was available for users.
Planned Operating Hours – For Past Fiscal Year (PY), the amount of time (in hours) the facility was planned to be available for users.
 For Current Fiscal Year (CY), the amount of time (in hours) the facility is planned to be available for users.
 For the Budget Fiscal Year (BY), based on the proposed Budget Request the amount of time (in hours) the facility is anticipated to be available for users.
Optimal Hours – The amount of time (in hours) a facility would be available to satisfy the needs of the user community if unconstrained by funding levels.
Percent of Optimal Hours – An indication of utilization effectiveness in the context of available funding; it is not a direct indication of scientific or facility productivity.
 For BY and CY, Planned Operating Hours divided by Optimal Hours expressed as a percentage.
 For PY, Achieved Operating Hours divided by Optimal Hours.
Unscheduled Downtime Hours – The amount of time (in hours) the facility was unavailable to users due to unscheduled events. NOTE: For type “A” facilities, zero
Unscheduled Downtime Hours indicates Achieved Operating Hours equals Planned Operating Hours.
(dollars in thousands)
FY 2019 Enacted

FY 2019 Current

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted$104,000
7,500
8,482
8,585
8,585
99%
1%

$104,000
7,500
8,482
8,585
8,585
99%
1%

$110,000
7,500
N/A
8,585
8,585
N/A
N/A

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

-$25,000
—
N/A
—
—
N/A
N/A

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

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42

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2019 Enacted

FY 2019 Current

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

OLCF
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$199,000
1,450
7,000
7,008
7,008
99%
1%

$199,000
1,450
7,000
7,008
7,008
99%
1%

$225,000
1,450
N/A
7,008
7,008
N/A
N/A

$220,000
1,450
N/A
7,008
7,008
N/A
N/A

-$5,000
—
N/A
—
—
N/A
N/A

ALCF
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$140,000
950
6,945
7,008
7,008
99%
1%

$140,000
950
6,945
7,008
7,008
99%
1%

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

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

$—
—
N/A
—
—
N/A
N/A

ESnet
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$84,000
N/A
8,760
8,760
8,760
100%
0%

$84,000
N/A
8,760
8,760
8,760
100%
0%

$90,000
N/A
N/A
8,760
8,760
N/A
N/A

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

-$10,000
—
N/A
—
—
N/A
N/A

Total, Facilitiesa
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hoursb
Unscheduled downtime hours$527,000
9,900
31,18731,361
31,36199%
1%$527,000
9,900
31,18731,361
31,36199%
1%$575,000
9,900
N/A
31,361
31,361
N/A
N/A$535,000
9,900
N/A
31,361
31,361
N/A
N/A-$40,000
—
N/A
—
—
N/A
N/A

a

ASCR prioritizes operations of the facilities. Annual budget shifts at ASCR facilities are driven by or impact upgrade projects and do not change operating hours.

b

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

Science/Advanced Scientific Computing Research∑1[(%OH for facility n) × (funding for facility n operations)]
Total funding for all facility operations

43

FY 2021 Congressional Budget Justification

Advanced Scientific Computing Research
Scientific Employment
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

634
315
407
196

683
331
438
212

783
350
525
205

+100
+19
+87
-7

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

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

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FY 2021 Congressional Budget Justification

17-SC-20 Office of Science Exascale Computing Project (SC-ECP)
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2017 Budget Request included funding to initiate research, development, and computer-system procurements todeliver an exascale (1018 operations per second) computing capability by the mid-2020s. This activity, referred to as the
Exascale Computing Initiative (ECI), is a partnership between the Office of Science (SC) and the National Nuclear Security
Administration (NNSA) and addresses Department of Energy’s (DOE) science and national security mission requirements.
In FY 2017, SC initiated the Office of Science Exascale Computing Project (SC-ECP) within Advanced Scientific Computing
Research (ASCR) to support a large research and development (R&D) co-design project between domain scientists,
application and system software developers, and hardware vendors to develop an exascale ecosystem as part of the ECI.
Other activities included in the ECI but not the SC-ECP include $270,000,000 in FY 2021 to support the final site
preparations and the start of installation of the exascale systems at both the Argonne and Oak Ridge Leadership Computing
Facilities (LCFs). Supporting parallel development at both LCFs will reduce the overall risk of ECI and broaden the range ofapplications able to utilize this new capability. Procurement costs of exascale systems, which is not included in the SC-ECP,
will be funded within the ASCR facility budgets in the outyears. This Project Data Sheet (PDS) is for the SC-ECP only; prioryear activities related to the SC-ECP are also included.
The FY 2021 Request for SC-ECP will support project management; co-design activities between application development,
software technologies, and hardware node and system design; continuous integration and testing of ECP-funded
application and software tools and technologies onto SC LCF pre-exascale resources; and increased engagement andintegration between SC-ECP and the LCFs in readying the ECP software stack and applications via testing and development
on early access exascale hardware.
Significant Changes
The FY 2021 Request for SC-ECP is $168,945,000. The FY 2021 Request supports investments in the ECP technical focus
areas—application development, software technology and hardware and integration—to finalize a capable exascale
software ecosystem that supports the successful delivery of the first exascale-capable computer in the calendar year 2021
timeframe. The decrease reflects the completion of vendor partnerships as well as project focus moving more todevelopment and deployment rather than on research.
The most recent DOE Order 413.3B approved Critical Decision (CD) is CD-1/3A, Approve Alternative Selection and Cost
Range and Approve Phase One Funding of Hardware and Software Research Projects and Application Development, which
was approved on January 3, 2017. The project is scheduled to achieve CD-2 in the second quarter of FY 2020. The estimatedTotal Project Cost (TPC) range of the SC-ECP is $1.0 billion to $2.7 billion.
Critical Milestone History
FiscalYear
FY 2017
FY 2018
FY 2019

Conceptual
DesignComplete
3Q FY 2016
TBD
7/28/16
2Q FY 2019
7/28/16
2Q FY 2019
CD-0

CD-1

CD-2

TBD
1/03/17
1/03/17TBD
4Q FY 2019
4Q FY 2019

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

45

Final
DesignComplete
TBD
3Q FY 2019
3Q FY 2019

CD-3B

D&D
Complete

CD-4TBD
4Q FY 2019
4Q FY 2019

N/A
N/A
N/A

TBD
4Q FY 2023
4Q FY 2023

FY 2021 Congressional Budget Justification

FiscalYear

CD-0

FY 2020
FY 2021

7/28/16
7/28/16

Conceptual
DesignComplete
2Q FY 20193/22/16

CD-1

CD-2

1/03/17
1/03/17

1Q FY 2020
2Q FY 2020

Final
DesignComplete
3Q FY 2019
6/06/19

CD-3B

D&D
Complete

CD-4

1Q FY 2020
2Q FY 2020

N/A
N/A

4Q FY 2023
4Q FY 2024

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-3B – Approve Start of Construction
D&D Complete – Completion of D&D workCD-4 – Approve Start of Operations or Project Closeout

Fiscal Year
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021

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

CD-3A
TBD
1/03/17
1/03/17
1/03/17
1/03/17

CD-3A – Approve Long Lead Time Procurements

Project Cost History
The preliminary cost range for the SC-ECP is estimated to be between $1.0 billion and $2.7 billion. The cost range will be
updated and a project baseline (scope, schedule, and cost) will be established at CD-2.
FiscalYear
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021

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

TEC,
Construction
TBD
390,000
426,735
426,735
507,680(dollars in thousands)
OPC, Except
TEC, Total
D&D
TBD
TBD
390,000
763,524
426,735
807,230
426,735
829,650
507,680
818,526

OPC, D&D

OPC, Total

Total

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

TBD
763,524807,230
829,650
818,526

TBD
1,153,524
1,233,965
1,256,385
1,326,206

2. Project Scope and Justification
Scope
Four well-known challengesa are key to requirements and Mission Need of the SC-ECP. These challenges are:





a

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.

http://www.isgtw.org/feature/opinion-challenges-exascale-computing

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FY 2021 Congressional Budget Justification

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

Justification
The SC-ECP is managed in accordance with the principles of DOE Order 413.3B, Program and Project Management for theAcquisition of Capital Assets, which SC uses for the planning, design, and construction of all of its major projects, including
the LCFs at Argonne and Oak Ridge National Laboratories and the National Energy Research Scientific Computing Center(NERSC) at Lawrence Berkeley National Laboratory. Computer acquisitions use a tailored version of Order 413.3B. The first
four years of SC-ECP were focused on research in software (new algorithms and methods to support application and system
software development) and hardware (node and system design), and these costs will be reported as Other Project Costs.
During the last three years of the project, activities will focus primarily on hardening the application and the system stacksoftware, and on additional hardware technology investments, and these costs will be included in the Total Estimated Costs
for the project.
Key Performance Parameters (KPPs)
The Threshold KPPs represent the minimum acceptable performance that the project must achieve. The Objective KPPs
represent the desired project performance. Achievement of the Threshold KPPs will be a prerequisite for approval of CD-4,
Project Completion.
Performance Measure
Exascale performance improvements
for mission-critical challenge problems
Broaden exascale science and mission
capability
Productive and sustainable software
ecosystem
Enrich the HPC Hardware Ecosystem

Threshold50 percent of selected applications
achieve Figure of Merit improvement
greater than or equal to 50x
50 percent of the selected applications
can execute their challenge problema
50 percent of the weighed impact goals
are metVendors meet 80 percent of all the
PathForward milestones

Objective
100 percent of selected applications
achieve Figure of Merit improvement
greater than or equal to 50x
100 percent of selected applications
can execute their challenge problem
100 percent of the weighted impact
goals are met
Vendors meet 100 percent of all the
PathForward milestones

a This KPP assesses the successful creation of new exascale science and mission capability. An exascale challenge problem is deﬁned for every scientificapplication in the project. The challenge problem is reviewed annually to ensure it remains both scientiﬁcally impactful to the nation and requires
exascale-level resources to execute.

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FY 2021 Congressional Budget Justification

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

Costs

Total Estimated Cost (TEC)
Construction
FY 2020

174,735

174,735

174,735

FY 2021

154,945

154,945

154,945

Outyears

178,000

178,000

178,000

507,680

507,680

507,680

FY 2016a

146,820

146,820

2,191

FY 2017

164,000

164,000

90,425FY 2018

205,000

205,000

177,363

FY 2019

232,706

232,706

216,728

FY 2020

14,00014,000136,040

FY 2021

14,00014,000153,779

Outyears

42,00042,00042,000818,526

818,526

818,526

FY 2016a

146,820

146,820

2,191

FY 2017

164,000

164,000

90,425FY 2018

205,000

205,000

177,363

FY 2019

232,706

232,706

216,728

FY 2020

188,735

188,735

310,775

FY 2021

168,945

168,945

308,724

Outyears

220,000

220,000

220,000

1,326,206

1,326,206

1,326,206

Total, TEC
Other Project Cost (OPC)(Research for Application
Development, System
Software Technology, andHardware Technology)

Total, OPC
Total Project Cost (TPC)

Total, TPC

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

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FY 2021 Congressional Budget Justification

4. Details of Project Cost Estimate
The SC-ECP will be baselined at CD-2. The estimated Total Project Cost for the SC-ECP is represented in the table below.
(dollars in thousands)
Original
Validated
Baseline

Current Total
Estimatea

Previous Total
Estimate

236,759
142,661
128,260

211,800
147,190
67,745

N/A
N/A
N/A

507,680

426,735

N/A

102,595
333,568
199,754
182,609

123,715
298,824
167,970
239,141

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

818,526

829,650

N/A

1,326,206

1,256,385

N/A

Total Estimated Cost (TEC)
Application Development
Production Ready Software
Hardware Partnership
Total, TEC
Other Project Cost (OPC)
Planning/Project Mgmt
Application Development
Software Research
Hardware Research
Total, OPC
Total Project Cost
5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear
FY 2017

FY 2018

FY 2019

FY 2020

FY 2021Type

Prior Yearsb

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

—
311,894
311,894—
518,524
518,524—
518,524
518,524—
526,944526,944—515,820515,820

FY 2019
TBD
TBD
TBD
—
189,000
189,000—
232,706
232,706—
232,706
232,706—
232,706
232,706

FY 2020
TBD
TBD
TBD
175,000
14,000
189,000
174,735
14,000188,735
174,735
14,000188,735
174,735
14,000188,735

FY 2021
TBD
TBD
TBD
—
—
—
—
—
—
—
—
—
154,945
14,000168,945

Outyears
TBD
TBD
TBD
215,000
42,000257,000
252,000
42,000294,000
252,000
56,000308,000
178,000
42,000220,000

Total
TBD
TBD
TBD
390,000
763,524
1,153,524
426,735
807,230
1,233,965
426,735
829,650
1,256,385
507,680
818,526
1,326,206

a Estimate includes distribution of contingency funds based on percentage of planned cost; these values will be adjusted as contingency is distributed.
b Funding was provided to ASCR in FY 2016 to support the Department’s ECI efforts at ANL and ORNL. For completeness, that information is shown here.

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FY 2021 Congressional Budget Justification

6. Related Operations and Maintenance Funding Requirements
System procurement activities for the exascale-capable computers are not part of the SC-ECP. The exascale-capable
computers will become part of existing facilities and operations and maintenance funds, and will be included in the ASCR
facilities’ operations or research program’s budget. A Baseline Change Proposal (BCP) was executed in March 2018 toreflect this change. In the FY 2021 Budget Request, $270,000,000 is included in the Argonne and Oak Ridge National
Laboratories’ LCF budgets to begin planning non-recurring engineering and site preparations for the delivery anddeployment for the exascale systems. These funds are included in ECI but not in SC-ECP.
Start of Operation or Beneficial Occupancy
Expected Useful Life
Expected Future Start of D&D of this capital asset

FY 2022
5 years
4Q 2030

7. D&D Information
N/A, no construction.
8. Acquisition Approach
The early years of the SC-ECP, approximately four years in duration, supported 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.

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FY 2021 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 DOE missions in energy, environment, and national security. BES accomplishes its
mission through excellence in scientific discovery in the energy sciences, and through stewardship of world-class scientificuser facilities that enable cutting-edge research and development.
The research disciplines that BES supports—condensed matter and materials physics, chemistry, geosciences, and aspectsof biosciences—touch virtually every important aspect of energy resources, production, conversion, transmission, storage,
efficiency, and waste mitigation, providing a knowledge base for achieving a secure and sustainable energy future. The
2018 Basic Energy Sciences Advisory Committee (BESAC) report, “A Remarkable Return on Investment in Fundamental
Research,”a provides key examples of major technological, commercial, and national security impacts directly traceable to
BES-supported basic research. This mission-relevance of BES research results from a long-standing established strategicplanning process, which encompasses BESAC reports, topical in-depth community workshops and reports, and rigorous
program reviews.
BES scientific user facilities consist of a complementary set of intense x-ray sources, neutron sources, and research centers
for nanoscale science. Capabilities at BES facilities probe materials and chemical systems with ultrahigh spatial, temporal,
and energy resolutions to investigate the critical functions of matter—transport, reactivity, fields, excitations, and motion—
and answer some of the most challenging science questions. The above-noted BESAC report recounts the central role ofthese shared resources as a key to U.S. scientific and industrial leadership. BES has a long history of delivering major
construction projects on time and on budget, and of providing reliable availability and support to users for operating
facilities. This record follows from rigorous community-based processes for conceptualization, planning, and execution ofprojects, and from performance assessment of operating facilities.
Key to exploiting scientific discoveries for future energy systems is the ability to create new materials using sophisticatedsynthesis and processing techniques, to precisely define the atomic arrangements in matter, and to design chemical
processes, which will enable control of physical and chemical transformations and conversions of energy from one form toanother. Such materials will need to be more functional than today’s energy materials. These new chemical processes will
require ever-increasing control to the levels of electrons. These advances are not found in nature; rather they must be
designed and fabricated to exacting standards using principles revealed by basic science. Today, BES-supported activities
are entering a new era in which materials can be built with atom-by-atom precision, chemical processes at the molecularscale can be controlled with increasing accuracy, and computational models can predict the behavior of materials andchemical processes before they exist. Collectively, these new tools and capabilities convey a significant strategic advantage
for the Nation to advance the scientific frontiers while laying the foundation for future innovations and economic
prosperity.
Highlights of the FY 2021 Request
The BES FY 2021 Request of $1,935,673,000 focuses resources toward the highest priorities in early-stage fundamental
research, in operation and maintenance of scientific user facilities, and in facility upgrades. Key elements in the FY 2021
Request are summarized below.
Research
The Request continues funding for the Energy Frontier Research Centers (EFRCs), the Batteries and Energy Storage Energy
Innovation Hub, and the Fuels from Sunlight Energy Innovation Hub. Core research priorities in the FY 2021 Request
include:aCritical materials: Critical materials, including rare earth elements, are vital to the Nation’s security and economic
prosperity. In BES, the Request increases support for research to advance our understanding of fundamental properties

https://science.osti.gov/~/media/bes/pdf/BESat40/BES_at_40.pdf

Science/Basic Energy Sciences51

FY 2021 Congressional Budget Justification














of these materials, identify methodologies to reduce their use and to discover substitutes, and enhance chemical
processing and separation science for rare earths.
Artificial Intelligence (AI) and Machine Learning (ML) for data-driven science: The Request increases investments in AI
methods and ML tools to accelerate fundamental research for the discovery of new chemical mechanisms and material
systems with exceptional properties and function.
Exascale computing: The Request continues support for computational materials and chemical sciences to deliver
shared software infrastructure to the research communities as part of the Exascale Computing Initiative.
Microelectronics: BES increases its investment in microelectronics with a focus on materials, chemistry, andfundamental device science. BES will partner with Advanced Scientific Computing Research (ASCR), High Energy Physics(HEP), and Fusion Energy Sciences (FES) to support multi-disciplinary microelectronics research to accelerate theadvancement of microelectronic technologies in a co-design innovation ecosystem in which materials, chemistries,
devices, systems, architectures, algorithms, and software are developed in a closely integrated fashion.
Next-generation biology: There is a significant opportunity to cross-fertilize and leverage discoveries and approaches
across the biological, physical, and computational sciences to develop bio-inspired, biohybrid and biomimetic systems.
Areas of focus include neuromorphic computing, programmable biomaterials and biocatalysts, and next-generation
tools for characterization of chemical, biological, biomaterial, and biohybrid systems.
Polymer upcycling: Fundamental research can provide the foundational knowledge for polymer upcycling, that is, theselective deconstruction of the polymers that constitute plastics, followed by reassembly into high-value chemicals,
fuels, or materials in a repeating cycle. Areas of focus include transformative chemistry and biology for polymer
upcycling, design of next-generation polymeric materials, and next-generation tools for elucidating chemical andbiological mechanisms.
Quantum information science (QIS): In support of the National Quantum Initiative, SC QIS Center(s) established in
FY 2020 will constitute an interdisciplinary partnership among SC programs. This partnership complements a robust
core research portfolio stewarded by the individual SC programs to create the ecosystem across universities, national
laboratories, and industry that is needed to advance developments in QIS and related technology.
Strategic accelerator technology: Accelerator R&D is a core capability, which SC stewards for the Nation. Support forthis initiative will allow the U.S. to continue to provide the world’s most comprehensive and advanced acceleratorbased facilities for scientific research, and to continue to attract and train the workforce needed to design and operatethese facilities.

Facility Operations
In the Scientific User Facilities subprogram, BES maintains a balanced suite of complementary tools. The Advanced Light
Source (ALS), Advanced Photon Source (APS), National Synchrotron Light Source-II (NSLS-II), and the Stanford Synchrotron
Radiation Lightsource (SSRL) will continue operations and are supported at approximately 91 percent of optimum. The Linac
Coherent Light Source (LCLS) operations continue at 97 percent of optimum. Both BES-supported neutron sources, theSpallation Neutron Source (SNS) and the High Flux Isotope Reactor (HFIR), will be operational in FY 2021 and funded at
approximately 91 percent of optimum. The Request provides funding for the five Nanoscale Science Research Centers (NSRCs)
for continued QIS-related tools development.
Projects
The Request provides continued support for the Advanced Photon Source Upgrade (APS-U), Advanced Light Source Upgrade(ALS-U), Linac Coherent Light Source-II High Energy (LCLS-II-HE), Proton Power Upgrade (PPU), and Second Target Station(STS) projects. The FY 2021 Request includes one new construction project, the Cryomodule Repair and Maintenance
Facility (CRMF). The FY 2021 Request also continues two Major Item of Equipment projects: NSLS-II Experimental Tools-II(NEXT-II) and NSRC Recapitalization.

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FY 2021 Congressional Budget Justification

FY 2021 Research Initiatives
Basic Energy Sciences supports the following FY 2021 Research Initiatives.
(dollars in thousands)
FY 2020
FY 2021
EnactedRequestFY 2019
EnactedFY 2021 Request vsFY 2020 Enacted

New Research Initiatives
Next Generation Biology Initiative
Rare Earth / Separation Science Initiative
Revolutionizing Polymer Upcycling
Strategic Accelerator Technology Initiative
Total, New Research Initiatives

—
—
—
—
—

—
—
—
—
—

3,750
25,0008,250
6,250
43,250+3,750+25,000+8,250+6,250+43,250

Ongoing Research Initiatives
Artificial Intelligence and Machine Learning
Exascale Computing Initiative
Microelectronics Innovation
Quantum Information Science
Total, Ongoing Research Initiatives

3,214
26,000—49,51778,731

10,00026,0005,000
72,270113,270

20,00026,00030,00072,270148,270+10,000—+25,000—+35,000

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FY 2021 Congressional Budget Justification

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

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

71,235
132,463
65,443

71,235
144,963
65,44365,205
166,875
67,489-6,030+21,912+2,046

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

19,27024,0887,001-17,087

55,80024,08813,00014,445395,744

57,50024,08813,00015,165415,482

57,50024,08813,00015,197416,355

—
—
—
+32
+873

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

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

101,567
97,83675,72457,50020,00013,0001,000
13,851
380,478

99,611
101,385
67,41357,50020,00013,0001,000
13,596
373,505-1,956+3,549-8,311————-255-6,973

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FY 2021 Congressional Budget Justification

(dollars in thousands)

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
Construction
21-SC-10 Cryomodule Repair & Maintenace Facility (CRMF)
19-SC-14 Second Target Station (STS), ORNL
18-SC-10 Advanced Photon Source Upgrade (APS-U), ANL
18-SC-11 Spallation Neutron Source Proton Power Upgrade(PPU), ORNL
18-SC-12 Advanced Light Source Upgrade (ALS-U), LBNL
18-SC-13 Linac Coherent Light Source-II-High Energy(LCLS-II-HE), SLAC
13-SC-10 Linac Coherent Light Source-II (LCLS-II), SLAC
Total, Construction
Total, Basic Energy Sciences

FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

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

518,791
289,701
138,687
23,00010,50039,87936,482
1,057,040
1,853,000

494,830
260,088
129,938
7,000
2,000
36,20631,751
961,813
1,751,673-23,961-29,613-8,749-16,000-8,500-3,673-4,731-95,227-101,327

1,000
130,000—

20,000170,000

—

1,000
1,000
150,000+1,000-19,000-20,000

60,00060,0005,000-55,000

60,00060,00013,000-47,000

28,00050,00014,000-36,000

129,300
408,300
2,166,000—
360,000
2,213,000—
184,000
1,935,673—-176,000-277,327

SBIR/STTR funding: FY 2019 Enacted: SBIR $52,617,000 and STTR $7,400,000
 FY 2020 Enacted: SBIR $57,423,000 and STTR $8,075,000
 FY 2021 Request: SBIR $53,080,000 and STTR $7,464,000

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FY 2021 Congressional Budget Justification

Basic Energy Sciences
Explanation of Major Changes

Materials Sciences and Engineering
Research will continue to support fundamental scientific opportunities, including those identified in recent BESAC and Basic Research Needs
workshop reports. Research priorities include critical materials, computational materials sciences, AI/ML for data-driven science, nextgeneration microelectronics, QIS, and strategic accelerator technology. The Request also includes funding for continued support of the EFRCs
and the Batteries and Energy Storage Energy Innovation Hub.

(dollars in thousands)
FY 2021 Request vsFY 2020 Enacted+873

Chemical Sciences, Geosciences, and Biosciences
Research will continue to support fundamental scientific opportunities, including those identified in recent BESAC, Basic Research Needs, andRoundtable workshop reports. Research priorities include critical materials, computational chemical sciences, AI/ML for data-driven science,next-generation biology, next-generation microelectronics, polymer upcycling, and QIS. The Request also includes funding for continued
support of the EFRCs and the Fuels from Sunlight Energy Innovation Hub.

-6,973

Scientific User Facilities
The Advanced Light Source (ALS), Advanced Photon Source (APS), National Synchrotron Light Source-II (NSLS-II), and the Stanford Synchrotron
Radiation Lightsource (SSRL) user facilities will operate at approximately 91 percent of optimum. The Linac Coherent Light Source (LCLS)
operations continue at 97 percent of optimum. Both BES-supported neutron sources, the Spallation Neutron Source (SNS) and the High Flux
Isotope Reactor (HFIR), will operate at approximately 91 percent of optimum. The Request continues to support all five NSRCs, with funding forcontinued QIS-related tools development. Research priorities include strategic accelerator technology and applications of AI methods and ML
techniques to accelerator optimization, control, prognostics, and data analysis. The Request also continues two major items of equipment: theNEXT-II beamline project for NSLS-II and the NSRC recapitalization project.

-95,227

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

-176,000

Total, Basic Energy Sciences-277,327

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FY 2021 Congressional Budget Justification

Basic and Applied R&D Coordination
As a program that supports fundamental scientific research relevant to many DOE mission areas, BES strives to build andmaintain close connections with other DOE program offices. BES coordinates with DOE R&D programs through a variety of
Departmental activities, including joint participation in research workshops, strategic planning activities, solicitation
development, and program review meetings. BES also coordinates with DOE technology offices in the Small Business
Innovation Research (SBIR) and Small Business Technology Transfer (STTR) program, including topical area planning,
solicitations, reviews, and award recommendations.
BES program managers regularly participate in intra-departmental meetings for information exchange and coordination on
solicitations, program reviews, and project selections in the research areas of polymer upcycling; biofuels derived frombiomass; solar energy utilization, including solar fuels; energy storage; advanced nuclear energy systems; vehicle
technologies; and improving efficiencies in manufacturing and industrial processes. These activities facilitate cooperationand coordination between BES and the DOE technology offices and defense programs. DOE program managers from basic
and applied programs have also established formal technical coordination 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 DOE national laboratory system
plays a crucial role in achieving integration of basic and applied research.
Program Accomplishments
Harnessing quantum phenomena to accelerate discovery in QIS.
Novel approaches to exploit quantum mechanical phenomena in quantum devices, such as quantum computers andquantum sensors, hold the promise of providing unprecedented insight into the origins of material functionalities andchemical processes.
 Researchers discovered a new superconductor composed of a single layer of iron selenide on a strontium titanate
substrate. Generally, superconductors do not respond to light. However, for this new superconductor, ultrafast laser(or low power, ultra violet) pulses can be used to increase the temperature at which the material becomessuperconducting from 24 to 30 Kelvin. This superconducting state persisted for days, but could be reversed by highvoltage pulses. This newly discovered, photo-induced superconductivity effect is being explored for novel quantum
devices.
 Scientists reported the first demonstration of electrically tunable superconductivity in a device composed of three
atomically thin (2D) layers of graphene sandwiched between 2D layers of boron nitride to form a repeating patterncalled a moiré superlattice. Application of an electric field changes the electron density in the graphene layers, allowing
highly controllable switching between electrically insulating and superconducting states in a single sample. The device
can be used to study the interplay between atoms and electrons in exotic new materials with potential use in quantum
computation and related electronics.
 A new quantum algorithm for simulating molecules was developed, which reduces quantum hardware requirements by
allowing the quantum computer to determine its own circuit automatically and algorithmically customized for eachmolecule being simulated. This is an important step toward simulating more complicated and larger molecules ontoday’s noisy, intermediate-scale quantum computers.
Precision science to discover, understand, and control chemical processes and materials.
Advanced synthesis and characterization techniques are used to explore chemical and physical behaviors to enable
understanding and control of their functionality for energy-relevant and information applications.
 Researchers explained how single-atom catalysts affect the stability of reaction intermediates in important energyrelevant transformations, resulting in more efficient and selective catalysts. These recent advances not only validate
the utilization of these catalysts for fundamental structure-reactivity relationship studies, but also indicate theiruntapped potential to manipulate chemical reactions.
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FY 2021 Congressional Budget JustificationResearchers demonstrated that optically transparent and electrically conductive functional materials can be rapidly
fabricated from polymer templates with exquisite microstructural organization using a chemical synthesis techniquecalled sequential infiltration synthesis. Materials synthesized by these methods have been applied to important
applications in lithography, oil sorption, protein separations, and optical coatings.
Resilient and flexible borophene holds promise for fabricating atomically thin electronic devices. However, only
nanoscale phase domains had been produced, preventing detailed analyses and device fabrication. Scientists usedadvanced electron microscopy techniques to directly visualize and verify that use of a copper substrate formed muchlarger single-crystal domains. The large crystals of this previously unknown borophene phase are expected to allow
electrons to move through the structure quickly, which is crucial for developing flexible electronic devices.

Learning from biology to inspire new approaches to advanced energy technologies.
The development of energy technologies critically depends on discovery and creation of new chemical processes and highperformance materials with functions and properties exceeding those currently available. Biological systems provide
inspiration for new approaches to manipulate matter, energy, entropy, and information across multiple length scales.
 Researchers discovered a new class of material that absorbs and fixes atmospheric carbon dioxide to grow and selfrepair using incident sunlight. In a cascade of reactions, the prototype material uses embedded chloroplasts extracted
from plants to capture carbon through photosynthetically produced sugars (glucose). Ultimately, these sugars aretransformed into a continuously regenerating, expanding, and densifying polymer matrix capable of self-repair.
 In photosynthesis, solar energy is used to extract and use electrons from water and to make energy-dense compounds
from carbon dioxide. In plants, the combination of two protein complexes, Photosystems I and II, is required toaccomplish this energy-intensive process with high efficiency. Researchers found that these natural membrane-boundproteins can self-assemble with synthetic cobalt or nickel catalysts and use light to make hydrogen gas, suggesting
natural/synthetic hybrid systems could be used for solar fuel production.
 Industry relies on high temperature and pressure to convert nitrogen into ammonia, a key component in fertilizers. In
nature, the nitrogenase enzyme performs this same chemistry at room temperature and pressure. Replicating this featat an industrial scale would help reduce energy costs and global carbon emissions. Using computational andexperimental methods, scientists discovered that biology couples the production of hydrogen, which releases energy,
with cleaving nitrogen, which requires energy, enabling the enzyme to convert nitrogen to ammonia efficiently. These
results provide new insights for design of synthetic catalysts for ammonia synthesis.
Data science to advance discovery in basic energy sciences.
AI/ML techniques are enabling researchers to identify reaction pathways, predict physical and chemical properties, anddesign new chemicals and materials. Development and application of machine learning algorithms can be limited by theavailability of extensive databases of experimental and simulated data and the throughput by which data can be generated.
New, interpretable data models are helping to accelerate scientific discovery.
 Researchers coupled data infrastructure to high throughput experimentation to yield the world’s largest database ofmaterials experiments. Using the extensive database, they created a model that predicts the optical absorption
spectrum from a material’s image and vice versa. Light absorption characteristics of photocatalysts andphotoelectrodes have been difficult to predict, but this result advances ML for discovery and characterization of thesematerials for energy conversion.
 Tectonic faults slip in various manners, ranging from ordinary earthquakes to slow slip events. Using new machinelearning techniques trained on laboratory data, researchers discovered a new geophysical signal in the Cascadia
subduction zone in the Pacific Northwest. This signal occurs as a continuously broadcasting low-amplitude tremor thatprecisely relates to the fault displacement rate throughout the slow slip cycle. These insights may prove useful indetermining if and how a slow slip may couple to or evolve into a major earthquake.
 The Materials Project at Lawrence Berkeley National Laboratory has been a leader in producing material property
databases and is now developing software to evaluate electronic and mechanical properties from such data. Recent
applications include calculations of hundreds of electronic surface parameters, the largest database of such properties.
Machine learning algorithms were developed to accelerate the optimization of two-dimensional layered materials fornext generation electronics. Experimental data and calculations were combined for high throughput screening oftransparent conductors for next generation optoelectronics.

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New techniques and capabilities at BES facilities.
Advances in tools and instruments often drive scientific discovery. Recent developments and upgrades at the scientific user
facilities provide users with cutting-edge capabilities for ground-breaking science.
 The Dynamic Diffraction Direct Detector (4D Camera) at the Molecular Foundry achieved an unprecedented 87,000
frames per second. This is 60 times faster than previous high speed electron detectors. The detector enables real-time
contrast ptychographic imaging. This new capability is a breakthrough in nanoscale strain mapping and quantificationof materials using scanning electron diffraction imaging methods at high resolution.
 An advanced nano-diffraction capability developed at the National Synchrotron Light Source-II is able to obtain strain
mapping with a few nanometer resolution for microprocessors with complex 3D structure. This capability is a criticalresearch tool for next-generation microelectronics.
 The upgraded WAND diffractometer at the High Flux Isotope Reactor provides wide angle coverage and high flux,
useful for monitoring in-situ material synthesis under complex environment and stroboscopic measurements offerroelectric switching. This capability will help identify new routes for the synthesis of advanced energy materials thatare difficult to synthesize.
BES user facilities help industry advance the technology frontiers.
In FY 2019, more than 600 industrial users conducted experiments at the BES scientific user facilities using the advanced
instrumentation and methods available to test, probe, and develop their technologies.
 A team of Molecular Foundry scientists and Dow Chemical users developed a method to apply pulsed-electron beams
to image a beam-sensitive material with atomic resolution. This is the first time that beam-sensitive and air-sensitive
magnesium chloride has been studied with atomic resolution. The new technique could be used to study other soft
materials and could aid the development of sustainable plastics.
 Neutron diffraction at SNS provided important information on the chemical reactions during the “batch to glass” (sand,alumina, and additives to glass) process in real time at 1400 degrees Celsius. This information will be useful to build
new models that will improve production processes and decrease the amount of time required to bring new and more
durable types of glasses for commercial applications (e.g., car windows, screens on electronic devices, etc.) and to
improve the efficiency and reliability of the glass manufacturing processes.
 Center for Functional Nanomaterials staff worked with users from the Toyota Research Institute and Michigan State
University to study the mechanism of rechargeable batteries with magnesium metal anodes. Experiments revealed thatthe combination of a highly functional solid electrolyte interphase at the anode and magnesium nanocrystals formed
during operation are key to improved performance. Magnesium has five times more volumetric energy storage density
compared to graphite anodes used in commercial lithium-ion batteries.

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60

Basic Energy Sciences
Materials Sciences and Engineering
Description
Materials are critical to nearly every aspect of energy generation and end-use. Materials limitations are often a significant
barrier to improved energy efficiencies, longer lifetimes of infrastructure and devices, or the introduction of new energy
technologies. The BESAC report on transformative opportunities for discovery science, coupled with the Basic Research
Needs workshop reports on energy technologies and roundtable reports on quantum information, polymer upcycling, andultrafast science, 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 discoveryof 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 and extreme conditions.
Condensed Matter and Materials Physics—Understanding the foundations of material functionality and behavior
including electronic, thermal, optical, mechanical, and rare-earth properties, the impact of extreme environments, andmaterials whose properties arise from the 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 approaches learned from biological systems, that limit the use of rare earth and other criticalmaterials, and that enable more effective polymer chemistries.

The portfolio emphasizes understanding of how to direct and control energy flow in materials systems over multiple time(from femtoseconds to seconds) and length (from the nanoscale to mesoscale) scales, 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, accelerator technologies, and most industrial settings. To maintain leadership inmaterials discovery, the research that this subprogram supports explores new frontiers of unpredicted, emergent materials
behavior; utilization of nanoscale control; and materials systems that are metastable or far from equilibrium. This research
includes investigation of the interfaces between physical and biological sciences to explore new approaches to novel
materials design. A growing emphasis in materials chemistry is understanding and novel approaches to enable polymer
recycling to higher value molecular systems. Also essential is the development of advanced characterization tools,
instruments and techniques that can assess a wide range of space and time scales, especially in combination and underdynamic operando conditions to analyze non-equilibrium materials, conditions, and excited-state phenomena. Growing
research activities in quantum materials highlight the importance and challenges for materials science in understanding andScience/Basic Energy Sciences

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guiding the development of systems that realize unique properties for QIS and can contribute to SC QIS Centers. Materials
science for next generation microelectronics will provide the needed advances for future computing, sensors, and detectorsthat are critical for national priorities in energy and for leadership in advanced research over a wide range of fields. An
increasingly important aspect of materials research is the use of AI/ML for data-driven science to enhance the utility of boththeoretical and experimental data for predictive design and discovery of materials.
In addition to single-investigator and small-group research, this subprogram supports Computational Materials Sciences,
EFRCs, and the Batteries and Energy Storage Hub. The subprogram also supports, in partnership with other SC programs, SC
QIS Centers beginning in FY 2020. These research modalities support multi-investigator, multidisciplinary research andfocus 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 development of validated
community codes and the associated databases for predictive design of materials that will take advantage of advanced
exascale computing platforms. The EFRCs support teams of investigators to perform basic research to 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. In support of the National Quantum Initiative, SC QISCenters will push the current state-of-the-art science and technology toward realizing the full potential of quantum-based
applications, from computing to communication to sensing.
The Materials Sciences and Engineering subprogram also includes the DOE Established Program to Stimulate Competitive
Research (EPSCoR). The DOE EPSCoR program strengthens investments in early stage energy research for states and U.S.
territories that do not historically have large federally-supported academic research programs.
Scattering and Instrumentation Sciences Research
Advanced characterization tools with very high precision in space and time are essential to understand, predict, andultimately control matter and energy at the electronic, atomic, and nanoscale levels. Research in Scattering andInstrumentation Science supports innovative techniques and instrumentation development for advanced materials science
research with scattering, spectroscopy, and imaging using electrons, neutrons, and x-rays, including development of science
to understand ultrafast dynamics. These techniques provide precise and complementary information on the relationshipamong structure, dynamics, and properties. The major advances in materials sciences from DOE’s world-leading electron,
neutron, and x-ray scattering facilities provide continuing evidence of the importance of this research field. In addition, the
BESAC report on transformative opportunities for discovery science identified imaging as one of the pillars for futuretransformational advances. The use of multimodal platforms to reveal the most critical features of a material has been afinding in several of the Basic Research Needs reports. These tools and techniques are also critical in advancing
understanding and discovery of novel quantum materials, including materials for next generation systems to advance QIS
and support the work of SC QIS Centers.
The unique interactions of electrons, neutrons, and x-rays with matter enable a range of complementary tools withdifferent sensitivities and resolution for the characterization of materials at length- and time-scales spanning many ordersof magnitude. A distinct aspect of this activity is the development of innovative instrumentation and techniques for
scattering, spectroscopy, and imaging needed to correlate the microscopic and macroscopic properties of energy materials,
including the use of cryogenic environments to evaluate properties only occurring at these temperatures and to learn aboutprocesses and interfaces in materials that are damaged by the probes used to characterize them. The use of multiscale andmultimodal techniques to extract heretofore unattainable information on multiple length and time scales is a growing
aspect of this research. For example, to design transformational new materials for energy-related applications, operando
experiments contribute to understanding the atomic and nanoscale changes that lead to materials failure in nonequilibrium and extreme environments (temperature, pressure, stress, radiation, magnetic fields, and electrochemical
potentials). Information from these characterization tools is the foundation for the creation of new materials that haveextraordinary tolerance and can function within an extreme environment without property degradation.
Condensed Matter and Materials Physics Research
Understanding and controlling the fundamental properties of materials are critical to improving their functionality on every
level and are essential to fulfilling DOE’s energy mission. The Condensed Matter and Materials Physics activity supports
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experimental and theoretical research to advance the 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. New materials are increasingly
critical to advance accelerator technologies, including magnets, optics, sensors, and detectors.
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 and coherent
interactions of the constituent electrons with each other, the atomic lattice, or light. This activity emphasizes investigationof low-dimensional systems, including nanostructures and two-dimensional layered structures such as graphene,
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 the elementary energy
conversion steps related to photovoltaics, and the electron spin-phenomena and basic semiconductor physics relevant tonext generation electronics and quantum information technologies. Fundamental studies of the quantum mechanicalbehavior 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 understanding is critical in the search for ways to reduce or eliminate
the need for rare earth and other critical materials in energy-relevant technologies.
This activity also emphasizes research to understand how materials respond to their environments, including the influenceof temperature, electromagnetic fields, radiation, corrosive chemicals, and other extreme conditions. This research includes
the defects in materials and their effects on materials’ electronic properties, strength, structure, deformation, and failure
over a wide range of length and time scales. Research in this area 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 knowledgeof radiation effects to enable predictive capabilities for the multiple extreme environments envisioned for future nuclear
reactors.
There is a critical need to advance theories used to describe material properties across a broad range of length and timescales, from the atomic scale to the macroscale where the influence of size, shape, and composition is not adequately
understood. In addition, current theories fail to describe the time evolution of these properties from femtoseconds toseconds and to much longer time scales. Theoretical research also includes development of advanced computational anddata-oriented techniques and predictive theory and modeling for discovery of materials with targeted properties. New
techniques for AI/ML for data-driven science are seeing increasing applications in materials science research to extract
value from large databases of theoretical calculations and experimental measurements.
Quantum materials research as it relates to QIS is a priority with important connections to national security and energy,
including the development of the understanding to enable future generations of sensors, computers, and related
technologies. BES is establishing research priorities and its unique role in this critical field through community engagement
in roundtable discussions, interactions with other SC programs, and at the interagency level. The research will couple
materials expertise in quantum materials, theory for materials discovery, and prototypes of next generation devices. Theseadvances will be key components of the activities of SC QIS Centers. Quantum materials are also important for nextgeneration microelectronics and accelerator technologies, including magnets, detectors, and sensors.
This activity includes the SC QIS Centers, which promote basic research and early stage development to accelerate theadvancement of QIS through vertical integration between systems and theory, and hardware and software. As identified by
BES strategic planning reports, including the Basic Research Needs Workshop on Quantum Materialsa and the Roundtableon Opportunities for Basic Research for Next-Generation Quantum Systemsb, key materials-related technical areas will
include fundamental theory of materials and molecular systems for quantum applications; research leading to materials
and molecular systems that meet quantum communication, computation, and sensor requirements; fundamental researchon device physics for next generation QIS systems, including interface science and modeling of materials performance; andsynthesis and fabrication research for quantum materials and processes, including integration in novel device architectures.
a https://science.osti.gov/-/media/bes/pdf/reports/2016/BRNQM_rpt_Final_12-09-2016.pdf
b https://science.osti.gov/-/media/bes/pdf/reports/2018/Quantum_systems.pdf

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In FY 2021, BES, in partnership with other SC programs, will continue support for the multi-disciplinary multi-institutional
QIS center(s), selected through a merit review process in FY 2020. The SC QIS centers will focus on a set of QIS applications
or cross-cutting topics that collectively cover the development space that may impact SC Programs, including work on
sensors, quantum emulators/simulators and enabling technologies that will pave the path to exploit quantum computing in
the longer term.
This activity also contributes to microelectronics research, including basic research to accelerate the advancement of
microelectronic technologies in a co-design innovation ecosystem. Computing systems encompassing new materials,
devices, architectures, algorithms, and software are needed to maintain the continued upward trajectory in performancethat Moore’s law scaling has historically provided. Optimization must occur at every level of computing and power
microelectronics systems, and co-design principles are essential to meet the future needs of SC and the nation. Among thechallenges is discovery science that can lead to microelectronics for exascale computers and beyond with a small footprint
and low power utilization. Such high performance computation will be necessary for analyzing and managing the vast
amount of data that will be generated by future SC facilities to enable new discoveries. Furthermore, transforming powerelectronics and the electricity grid into a modern, agile, resilient, and energy-efficient system requires advances in new
microelectronics materials, and their integration within a co-design framework. In FY 2021, BES will partner with ASCR, HEP,
and FES to support multi-disciplinary microelectronics research. Informed by community strategic planning efforts including
the Basic Research Needs for Microelectronics report, key technical areas will include materials, chemistry, andfundamental device science; component integration, architecture, and algorithms; and next-generation tools for synthesis,
fabrication, and characterization of devices and systems.
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. BES will enhance thisprogram in FY 2021 to expand the application of materials discovery and synthesis research to understand the uniqueproperties of rare earth and other critical materials, with the goal of reducing their use through development of substitutes,
reducing the quantities required for specific properties, and developing novel synthesis techniques. New research
directions will be inspired by the roundtable report on upcycling of polymers, the molecules that make-up plastics.
Understanding of the synthesis process will enable design of new systems that are easier to recycle into similar productswith comparable complexity and value.
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 biology-inspired approaches to design and synthesize novel materials with some of
the unique properties found in nature, e.g., self-repair and adaptability to the changing environment. Major research
directions include the controlled synthesis and assembly of nanoscale materials into functional materials with desired
properties; porous materials with customized porosities and reactivities; mimicking the low energy synthesis approaches of
biology to produce materials; bio-inspired materials that assemble autonomously and, in response to external stimuli,
dynamically assemble and disassemble to form non-equilibrium structures; and adaptive and resilient materials that also
possess self-repairing and self-regulating capabilities. The portfolio also supports fundamental research in solid statechemistry to enable discovery of new functional materials and the development of new crystal growth methods and thinfilm deposition techniques to create complex materials with targeted structure and properties. An important element of
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.
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Established Program to Stimulate Competitive Research (EPSCoR)
The DOE EPSCoR program funds early stage research that supports DOE’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 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 designatedstates 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. Through broadened participation, DOE EPSCoR seeks to augment the network of energy-related research
performers across the Nation.
Annual EPSCoR funding opportunities alternate between a focus on research performed in collaboration with the DOE
national laboratories and a focus on implementation awards that facilitate larger team awards for the development ofresearch infrastructure. The FY 2021 program will focus on implementation awards for larger teams and will consider
renewals of the FY 2019 awards as well as proposals for new teams. The program supports a small cadre of early career
scientists from EPSCoR jurisdictions on an annual basis and provides complementary support for research grants to eligible
institutions.
Energy Frontier Research Centers (EFRCs)
The EFRC program is a unique research modality, bringing together the skills and talents of teams of investigators to
perform energy-relevant, basic research with a scope and complexity beyond what is possible in standard singleinvestigator or small-group awards. These multi-investigator, multi-disciplinary centers foster, encourage, and enabletransformative scientific advances. They allow experts from a variety of disciplines to collaborate on shared challenges,
combining their strengths to uncover new and innovative solutions to the most difficult problems in materials sciences. The
EFRCs also support numerous graduate students and postdoctoral researchers, educating and training a scientific workforce
for the 21st century economy. The EFRCs supported in this subprogram focus on the following topics: the design, discovery,
synthesis, characterization, and understanding of novel, solid-state materials that convert energy into electricity; theunderstanding of materials and processes that are foundational for electrical energy storage, gas separation, and defectevolution in radiation environments; future nuclear energy; and quantum materials that can optimize the transmission,utilization, and control of energy and information. After ten years of research activity, the program has produced an
impressive breadth of scientific accomplishments, including over 11,600 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 reviewsby outside experts. Each EFRC undergoes a review of its management structure and approach in the first year of the award
and a midterm assessment of scientific progress compared to its scientific goals. To facilitate communication of results toother EFRCs and DOE, BES holds meetings of the EFRC researchers biennially.
Energy Innovation Hubs—Batteries and Energy Storage
The Joint Center for Energy Storage Research (JCESR) focuses on early stage research to tackle forefront, basic scientificchallenges for next-generation electrochemical energy storage. JCESR is a multi-institutional research team led by Argonne
National Laboratory (ANL) in collaboration with four other national laboratories, eleven universities, the Army ResearchLaboratory, and industry. In the initial five-year award (2013-2018), JCESR created a library of fundamental scientificknowledge including: demonstration of a new class of membranes for anode protection and flow batteries; elucidation of
the characteristics required for multi-valent intercalation electrodes; understanding the chemical and physical processes
that must be controlled in lithium-sulfur batteries to greatly improve cycle life; and computational screening of over 16,000
potential electrolyte compounds using the Electrolyte Genome protocols.

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For the current award (2018-2023, pending annual progress reviews and appropriations), JCESR used its past research toidentify a number of critical scientific gaps to serve as a foundation for the proposed research. The research directions are
consistent with the priorities established in the recent BES workshop report Basic Research Needs for Next Generation
Electrical Energy Storagea including discovery science for exploration of new battery chemistries and materials with novel
functionality. It is anticipated that advances will elucidate cross-cutting scientific principles for electrochemical stability;
ionic and electronic transport at interfaces/interphases, in bulk materials or membranes; solvation structures and dynamics
in electrolytes; nucleation and growth of materials, new phases, or defects; coupling of electrochemical and mechanicalprocesses; and kinetic factors that govern reversible and irreversible reactions. Close coupling of theory, simulation, andexperimentation is expected to accelerate scientific progress; to unravel the complex, coupled phenomena ofelectrochemical energy storage; to bridge gaps in knowledge across length and temporal scales; and to enhance thepredictive capability of electrochemical models. In the current research, prototypes will be used to demonstrate the impact
of materials advances for specific battery architectures and designs.
Based on established best practices for managing large awards, BES will continue to require quarterly reports, frequent
teleconferences, and annual progress reports and peer reviews to communicate progress, provide input on the technicaldirections, and ensure high quality research.
Computational Materials Sciences
Major strides in materials synthesis, processing, and characterization, combined with concurrent advances in computational
science—enabled by enormous improvements in high-performance computing capabilities—have opened an
unprecedented opportunity to design new materials with specific functions and properties. The goal is to leap beyond
simple extensions of current theory and models of materials towards a paradigm shift in which specialized computational
codes and software enable the design, discovery, and development of new materials, and in turn, create new advanced,
innovative technologies. Given the importance of materials to virtually all technologies, computational materials sciences
are critical for American competitiveness and global leadership in innovation.
This paradigm shift will accelerate the design of revolutionary materials to meet the Nation’s energy security and enhance
economic competitiveness. Development of fundamentally new design principles could enable stand-alone research 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 skillsof experts in materials theory, modeling, computation, synthesis, characterization, and processing/fabrication. The research
includes development of new ab initio theory, mining the data from both experimental and theoretical databases,
performing advanced in situ/operando characterization to generate the specific parameters needed to validate
computational models, and well-controlled synthesis to confirm the predictions of the codes. It uses the unique world
leading tools and instruments at DOE’s user facilities, from ultrafast free electron lasers to aberration-corrected electron
microscopes and neutron and x-ray scattering and includes instrumentation for atomically controlled synthesis. The
computational codes will advance the predictive capability for functional materials, use DOE’s leadership classcomputational capabilities, and be positioned to take advantage of today’s petascale and tomorrow’s exascale leadershipclass computers. This research will result in publicly accessible databases of experimental/computational data, appropriate
data analytics tools for materials research, and open source, robust, validated, user friendly software that captures theessential physics and chemistry of relevant materials systems. The ultimate goal is use of these codes/data by the broader
research community and by industry to accelerate the design of new functional materials.
BES manages the computational materials science research activities using the approaches developed for similar large teammodalities. Management reviews by a peer review panel are held in the first year of the award, followed by a mid-term
a https://science.osti.gov/-/media/bes/pdf/reports/2017/BRN_NGEES_rpt.pdf

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peer review to assess scientific progress, with regular teleconferences, annual progress reports, and active management by
BES throughout the performance period.

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Basic Energy Sciences
Materials Sciences and Engineering
Activities and Explanation of Changes(dollars in thousands)
FY 2020 Enacted
Materials Sciences and Engineering$415,482
Scattering and Instrumentation
Sciences Research$71,235
Funding continues to emphasize the development
and use of forefront characterization tools to address
challenges in materials science including
understanding of quantum phenomena. The research
will explore dynamics across many orders ofmagnitude in length and time scales to understandthe evolution of emergent phenomena and inmaterials and their properties. Research includes
complex quantum behavior and performance in theenvironments experienced by materials used inenergy generation and use. Investments in x-ray
science will emphasize hypothesis-driven researchusing x-ray free electron laser (XFEL) sources,
exploiting tailored excitations, and imaging withcoherent x-rays. Neutron scattering research will
focus on emergent quantum phenomena and soft
materials, especially at interfaces. Electron scatteringresearch will focus on innovative techniques to assess
quantum phenomena.

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Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

FY 2021 Request$416,355+$873$65,205-$6,030
The Request will continue to push the frontiers ofFunding emphasizes forefront R&D of novel
instrumentation and techniques needed totechniques to understand quantum phenomena andunderstand materials properties and enable materials soft materials, including cryogenic techniques.
discovery, including quantum phenomena, materials
behavior in extreme energy-related environments,and multidimensional phenomena (requiring
simultaneous assessment crossing space, time, andchemical evolution). Investments will emphasize
hypothesis driven research with x-ray free electron
lasers, imaging with coherent x-rays, advanced
neutron scattering probes of interfaces and soft
materials, cryogenic electron microscopy probes, andmultimodal techniques that combine probes.
Research will focus on innovation that will enableassessment of new regimes not amenable to current
characterization approaches.

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FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted
Condensed Matter and Materials
Physics Research$144,963
Funding continues to focus on forefront experimental
and theoretical condensed matter research,emphasizing quantum phenomena including new andemergent behavior for QIS such as spintronics,
topological states, and novel 2D materials. Physicalbehavior research will emphasize innovative science
to understand coherent light-matter interactions.
Mechanical behavior and radiation effects research
will continue to focus on the mechanisms of materials
failure due to mechanical strain, corrosion, andradiation environments, including the coupledextremes envisioned for future nuclear reactors. BES
will partner with other SC Program Offices to establish
at least one multi-disciplinary multi-institutional QIS
center, which will be selected through a merit
reviewed process conducted in FY 2020. The scope of
the SC QIS center will be on a set of QIS applications
or cross-cutting topics that collectively cover thedevelopment space that may impact SC Programs andinclude work on sensors, quantum emulators/
simulators and enabling technologies that will pave
the path to exploit quantum computing in the longer
term.

Science/Basic Energy Sciences

FY 2021 Request$166,875
The Request will continue to support research tounderstand, better design, and discover new
quantum materials, and to advance the theory
needed to understand quantum phenomena.
Included is a specific focus on research to support QIS
and related systems. This activity will provide
continued support for the QIS Centers established in
FY 2020. The Request will also continue to establish
the science base for next generation optical andelectronic materials, including a new emphasis on
materials for next generation microelectronics and foraccelerator magnets, optics, and detectors. The
Request increases support to investigate the uniqueproperties associated with rare earth and criticalmaterials to identify opportunities for substitutions
and reduced use of these elements in energy relevant
technologies. Theory and modeling research will
include AI/ML for data-driven science to enhancematerials discovery.

69

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted+$21,912
Funding emphasizes new tools and approaches toaccelerate the discovery of new materials that will
reduce or eliminate the use of rare earth elements
while retaining their unique functionality for energy
relevant technologies. Activities include enhancementof AI/ML techniques to better use data from bothexperiments and calculations. In addition, theincrease will support a new focus on the scienceneeded to provide the materials required for next
generation microelectronics and for accelerator
magnets, optics, detectors, and sensors.

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted
Materials Discovery, Design, andSynthesis Research$65,443
Funding continues to focus on understanding thefundamentals of predictive design and synthesis ofmaterials across multiple length scales using chemical,
physical and bio-inspired techniques. Development of
insights on the dynamics of materials structure andchemistry during the early stages of materials
synthesis will be stressed, as will research thatincorporates both experiment and theory. For
complex materials and materials systems, research
will focus on the fundamentals of growth kinetics,
self-assembly, directed and dissipative assembly, andthe role of interfaces and defect management.
Discovery of new functional materials and new
synthesis and computational techniques to create
complex materials with targeted structure andproperties will be emphasized.
Established Program to Stimulate
Competitive Research (EPSCoR)$24,088
Funding continues to span science in support of the
DOE mission, with emphasis on early stage sciencethat underpins DOE energy technology programs.
Following the prior year focus on implementation
award investments, the focus for this year will be on
broadening EPSCoR jurisdiction-laboratory
partnerships, leveraging the DOE national laboratory
energy research expertise and user facilities.
Investment will continue in early career researchfaculty from EPSCoR designated jurisdictions and in
co-investment with other programs for awards toeligible institutions.

Science/Basic Energy Sciences

FY 2021 Request$67,489
The Request will continue research on innovativesynthesis and discovery of materials through scientificunderstanding of the basic chemical and physicalphenomena, and science-based utilization of
biological concepts. Support will be maintained forinvestigation of fundamental dynamics and kinetics ofsynthesis and self-assembly over multiple length andtimescales, including the role of defects andinterfaces. Research will emphasize new approaches
to replace or minimize the use of critical and rareearth materials.

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted+$2,046
The increase will support additional investment inresearch to better understand synthesis approaches
and materials discovery to enable rare earth
substitution and reduced use of critical materials,
utilizing synthetic advances in related fields andpredictive theory, modeling, and data mining/AI toaccelerate progress.

$7,001-$17,087
The Request will continue to support early stage
Funding focuses on implementation awards thatscience, including research that underpins DOE
facilitate larger team awards for the development ofenergy technology programs. Following the previous research capabilities.
year’s focus on state-lab partnership awards, FY 2021
will emphasize implementation awards, larger
multiple principal investigator grants that develop
research capabilities in EPSCoR jurisdictions. The
FY 2021 funding opportunity will consider bothrenewals of FY 2019 awards and new proposals.
Investment will continue in early career researchfaculty from EPSCoR designated jurisdictions and in
co-investment with other programs for awards toeligible institutions.
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FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted
Energy Frontier Research Centers(EFRCs)$57,500
Funding continues to support four-year EFRC awards
that were made in FY 2018. In addition, FY 2020 funds
support a solicitation that will recompete the fouryear EFRC awards made in FY 2016, which focused on
science relevant to DOE’s environmental
management mission, and make new awards that are
responsive to recent BES strategic planning workshop
reports, including use-inspired science relevant toadvanced microelectronics, QIS, and polymer
upcycling.
Energy Innovation Hubs—Batteries
and Energy Storage$24,088
Funding continues to focus on early stage research fornext generation electrical energy storage for the gridand vehicles. Research will emphasize understanding
the fundamentals of electrochemistry (transport,solvation, evolution of chemistries and materials
during charge/ discharge) and discovery science,
including close coupling of theory, simulation, andexperimentation, to elucidate the impact of coupledphenomena and for predictive design of newmaterials for batteries.

Science/Basic Energy Sciences

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted$57,500
The Request will provide the fourth year of support
No changes.
for four-year EFRC awards that were made in FY 2018
and the second year of support for four-year EFRC
awards that were made in FY 2020.

$—$24,088
The Request will continue the prior year’s focus,
No changes.
based on the renewal of the JCESR Hub in FY 2018.
Early stage research for next generation electricalenergy storage for the grid and vehicles will continue
to emphasize understanding the fundamentals ofelectrochemistry (transport, solvation, evolution ofchemistries and materials during charge/ discharge)
and discovery of the coupled factors that govern
performance. The research will closely integratetheory, simulation, and experimentation to elucidate
the impact of coupled phenomena and enablepredictive design of new materials for batteries.

$—

71

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted
Computational Materials Sciences$13,000
Funding continues research on current Computational
Materials Sciences (CMS) awards that focus ondevelopment of research-oriented, open-source,
experimentally validated software and the associateddatabases required to predictively design materials
with specific functionality. Software will utilize
leadership class computers, and be made available tothe broad research community. The codes will also
incorporate frameworks suited for future exascalecomputer systems. Awards that complete their fourthyear of research will be considered for renewal in asolicitation that also considers new applications.

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted$13,000
The Request will continue research on current CMS
No changes.
awards that focus on development of researchoriented, open-source, experimentally validated
software and the associated databases required to
predictively design materials with specificfunctionality. Software will utilize leadership classcomputers, and be made available to the broadresearch community. The codes will incorporate
frameworks suited for future exascale computer
systems.

$—

SBIR/STTR$15,165$15,197+$32
In FY 2020, SBIR/STTR funding will be set at 3.65
In FY 2021, SBIR/STTR funding will be set at 3.65
The SBIR/STTR funding will be consistent with the BES
percent of non-capital funding.
percent of non-capital funding.
total budget.

Science/Basic Energy Sciences

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FY 2021 Congressional Budget Justification

Basic Energy Sciences
Chemical Sciences, Geosciences, and Biosciences
Description
Transformations of energy among forms, and rearrangements of matter across multiple scales, starting at the atomic level,
are essential 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 forenergy-relevant chemical processes, such as catalysis, synthesis, and light-induced chemical transformations. Research
addresses the challenge of understanding how physical and chemical phenomena at the scales of electrons, atoms, andmolecules control complex and collective behavior of macro-scale energy conversion systems. At the most fundamental
level, understanding of quantum mechanical behavior is rapidly evolving into the ability to control and direct such behavior
to achieve desired outcomes. This subprogram seeks to extend the new era of control science to include the capability to
tailor chemical transformations with atomic and molecular precision. Here, the challenge is to achieve predictive
understanding of complex chemical, geochemical, and biochemical systems at the same level of detail now known forsimple molecular systems.
To address these challenges, the portfolio includes coordinated research activities in three areas:

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

This portfolio encompasses five synergistic, fundamental research themes that are at the intersections of multiple research
focus areas. An important component of ultrafast science, Ultrafast Chemistry, develops and applies approaches to probe
the dynamics of electrons that control chemical bonding and reactivity; to understand energy flow underlying energy
conversions in molecular, condensed phase, and interfacial systems; and to elucidate structural dynamics accompanying
bond breaking and bond making in chemical transformations. Chemistry at Complex Interfaces addresses the challenge ofunderstanding how the complex environment created at interfaces influences chemical phenomena such as reactivity andtransport that are important in photochemical, catalytic, separation, biochemical and geochemical systems. These complex
interfaces are structurally and functionally disordered, exhibit complex dynamic behavior, and have disparate properties ineach phase. Charge Transport and Reactivity explores how the dynamics of charges contribute to energy flow andconversion and how charge transport and reactivity are coupled. Reaction Pathways in Diverse Environments discovers theinfluence of nonequilibrium, heterogeneous, nanoscale, and extreme environments on complex reaction mechanisms inchemical conversions. Research in this area increases understanding of the factors controlling chemical processes andprovides mechanistic insights into the efficiency, control, and selectivity of reaction pathways. Chemistry in Aqueous
Environments addresses the unique properties of water, particularly how they manifest in extreme environments such asconfinement (e.g., nanoscale pores) and multi-component, multi-phase solutions (e.g., concentrated electrolytes), and therole aqueous systems play in energy and chemical conversions. The advancement of characterization tools andinstrumentation with high spatial and temporal resolution and ability to study real-world systems under operating
conditions, as well as computational and theoretical tools that provide predictive capabilities for studies of progressively
more complex systems, are essential for advancing fundamental science in these areas.
In addition to single-investigator and small-group research, the subprogram supports multi-investigator, cross-disciplinary
teams—through EFRCs, the Fuels from Sunlight Energy Innovation Hub, Computational Chemical Sciences, data science, and
QIS—to focus on forefront scientific challenges that relate to the DOE energy mission. The subprogram also supports, inpartnership with other SC programs, SC QIS Centers beginning in FY 2020.
The Request continues to focus resources toward the highest priorities in early-stage fundamental research. High priority
areas include ultrafast science to probe the dynamics of electrons, atoms, and molecules that underlie photochemical
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processes, chemical transformations, and energy flow; QIS research to understand the quantum nature of atomic andmolecular systems and research to exploit recent advances in quantum computing to address scientific challenges that are
beyond the capabilities of classical computers; photo and electrochemical processes associated with the capture of solar
energy and conversion to fuels; conversions of increasingly complex chemical systems such as polymers and mixed
feedstocks; and the use of AI/ML for data-driven science.
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 thegas and liquid phases. New algorithms for computational chemistry are developed for an accurate and efficient descriptionof chemical 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 ofchemical physics: gas phase chemical physics, condensed phase and interfacial molecular science, and computational andtheoretical chemistry. AMOS research emphasizes the fundamental interactions of atoms and molecules with electrons andphotons, particularly intense, ultrafast x-ray pulses, to characterize and control their behavior. The goal, which will befundamental to the work of SC QIS Centers, is to develop accurate quantum mechanical descriptions of ultrafast dynamical
processes such as chemical bond breaking and forming, interactions in strong fields, and electron correlation. Novelattosecond sources and x-ray free electron laser sources such as the LCLS are used to image the dynamics of electrons andcharge transport. Chemical physics research builds from the AMOS foundation by examining the reactivity of molecules
whose chemistry is profoundly affected by the environment, such as at complex interfaces. The transition from molecularscale chemistry to collective phenomena is explored at a molecular level in condensed phase systems, such as the effects ofsolvation or interfaces on chemical structure and reactivity. The goal is to understand reactivity and dynamical processes inliquid systems and at complex interfaces using model systems. Understanding of such collective behavior is critical in a wide
range of energy and environmental applications, including solar energy conversion, radiolytic effects, and catalysis. In
addition, unraveling complex mechanisms of chemical reactions at interfaces can inform the design and synthesis of newmaterials relevant to microelectronics and QIS. Gas-phase chemical physics emphasizes experimental and theoreticalstudies of the ultrafast dynamics and rates of chemical reactions, as well as the chemical and physical properties of key
intermediates relevant to catalysis and combustion. Computational and theoretical chemistry research supports thedevelopment and integration of new and existing theoretical and computational approaches for accurate and efficientdescriptions of ultrafast processes relevant to catalysis and charge transport and to understand quantum effects, such as
coherence in molecular systems, which are the foundation for creating novel QIS systems. Of special interest is foundational
research on computational design of molecular- to meso-scale materials, and on next-generation simulation of complex
dynamical processes. Research in this area is crucial to utilize planned exascale computing facilities and to optimize use ofexisting petascale computers, leveraging U.S. leadership in the development of computational chemistry codes. In thecontext of SC QIS Centers, this research also lays the groundwork for applications of future quantum computers tocomputational quantum chemistry. Additional emphasis will be placed on codes that contribute to a fundamental
understanding of how molecules might function as components of quantum computers.
This activity includes the SC QIS Centers which will promote basic research and early stage development to accelerate theadvancement of QIS through vertical integration of systems and theory and hardware and software. As identified by BES
strategic planning reports including the Roundtable on Opportunities for Quantum Computing in Chemical and Materials

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Sciences and the Roundtable on Opportunities for Basic Research for Next-Generation Quantum Systems,a key technicalareas will include fundamental theory of materials and molecular systems for quantum applications; research leading tomaterials and molecular systems that meet quantum communication, computation, and sensor requirements; fundamental
research on device physics for next generation QIS systems, including interface science; and synthesis and fabrication
research for quantum materials and processes, including integration in novel device architectures.
In FY 2021, BES, in partnership with other SC programs, will continue support for the multi-disciplinary multi-institutional
QIS center(s), selected through a merit review process in FY 2020. The SC QIS centers will focus on a set of QIS applications
or cross-cutting topics that collectively cover the development space that may impact SC Programs, including work on
sensors, quantum emulators/simulators and enabling technologies that will pave the path to exploit quantum computing in
the longer term.
This activity also supports microelectronics research, including basic research to accelerate the advancement of
microelectronic technologies in a co-design innovation ecosystem. Computing systems encompassing new materials,
devices, architectures, algorithms, and software will be needed to maintain the continued upward trajectory inperformance that Moore’s law scaling has historically provided. Optimization must occur at every level of computing andpower microelectronics systems, and co-design principles will be essential to meet the future needs of DOE-SC and thenation. Among the challenges is discovery science that can lead to microelectronics for exascale computers and beyond
with a small footprint and low power utilization. Such high performance computation will be necessary for analyzing andmanaging the vast amount of data that will be generated by future DOE-SC facilities to enable new discoveries.
Furthermore, advances in new microelectronics materials, and their integration within a co-design framework, are required
to transform power electronics and the electricity grid into a modern, agile, resilient, and energy-efficient system. In
FY 2021, BES will partner with ASCR, HEP, and FES to support multi-disciplinary microelectronics research. Informed bycommunity strategic planning efforts including the Basic Research Needs for Microelectronics report,b key technical areas
will include materials, chemistry, and device physics; component integration, architecture, and algorithms; and nextgeneration tools for synthesis, fabrication, and characterization of devices and systems.
Chemical Transformations ResearchThis activity advances the knowledge of chemical reactivity, matter transport, and chemical separation and stabilization
processes to provide foundational knowledge in core research areas – catalysis science, separation science, heavy element
chemistry and geosciences – that are critical for developing the next generation of energy applications. The research uses
tools from Ultrafast Chemistry to identify transient species during reactions and refine theories of reactivity; advanceunderstanding of Charge Transport and Reactivity important in electrocatalytic, electroseparations, and geochemical redox
processes; explore Chemistry at Complex Interfaces in catalytic, geochemical and separation systems; and develop
understanding of Chemistry in Aqueous Environments that play important roles in geochemical transformations andchemical separations, including heavy elements. Reaction Pathways in Diverse Environments represent a major fraction of
the research in this activity, particularly focused on achieving predictability and control of catalytic conversions, which are
dominated by correlated structural and electronic dynamics under reaction conditions. This activity includes thedevelopment and application of theoretical, computational and data analytics methods to achieve a deeper understandingof reaction pathways in complex systems and design new molecules and materials (e.g., catalysts and membranes) thatenable control over chemical processes.
Chemical Transformations Research comprises four core areas: Catalysis Science, Separation Science, Heavy Element
Chemistry, and Geosciences. Catalysis science research emphasizes understanding of reaction mechanisms, precise
synthesis, operando characterization and manipulation of catalytic active sites and their environments, and control ofreaction conditions for optimized efficiency and selectivity. A primary goal is the molecular-level control of chemicaltransformations relevant to the sustainable conversion of energy resources, with a focus on thermal and electrochemical
conversions of complex feedstocks, including synthetic polymers and mixed hydrocarbons and carbohydrates. Separation
science research seeks to understand and ultimately predict and control the atomic and molecular interactions and energy
exchanges determining the efficiency of chemical separations. The major focus is to advance discovery of principles drivinga https://science.osti.gov/bes/Community-Resources/Reportsb https://science.osti.gov/-/media/bes/pdf/reports/2019/BRN_Microelectronics_rpt.pdf

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separation processes and predictive design of future chemical separation processes that demand less energy, as well as
media with the desired chemical and transport properties. Emphasis is placed on extracting actinides and rare earth
elements and efficiently separating gas, liquid, and solid mixtures. Heavy element chemistry provides foundational
knowledge on the influence of complex environments, such as liquid-solid and liquid-liquid interfaces, and extreme
conditions, such as temperature and radiation, on the dynamic and kinetic behavior of actinide compounds in theseenvironments. A primary goal is to gain an understanding of the unique chemistry of f-electron systems that is required todesign new ligands and processes for actinide separations processes, predict the chemical evolution of actinides in nuclear
wastes and next-generation reactors, and improve models of actinide environmental transport. 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). Areas of emphasis include themolecular-level understanding of phase equilibria, reaction mechanisms and rates associated with aqueous geochemical
processes, and a mechanistic understanding of the origins of subsurface physical properties and the response of earthmaterials associated with processes such as chemo-mechanical stress corrosion and strain localization. This knowledge will
advance abilities to model and predict phenomena such as subsurface migration, mineralization, crack propagation andsubsurface fracture that occur over multiple scales of time and space.
This activity supports efforts central to revolutionizing polymer upcycling and to addressing challenges in critical materials,
rare earth elements, and separation science. As identified by the BES strategic planning report from the Roundtable on
Chemical Upcycling of Polymers,a fundamental research can provide the foundational knowledge needed to enable polymer
upcycling—the selective deconstruction of polymers that make up plastic followed by reassembly into high-value chemicals,
fuels, or materials. Research opportunities include transformative chemistry and biology for chemical conversion andupcycling of polymers, design of next generation polymers and polymeric materials, and next generation tools fordetermining chemical and biochemical mechanisms with potential benefit for polymer upcycling. Research will build uponthis activity’s efforts in catalysis science and separation science to develop efficient, selective processes for polymer
deconstruction and reconstruction, including the upcycling of complex mixtures of polymeric materials. Rare earth
elements provide enhanced performance and new materials functionality based on their rich electronic properties.
Research opportunities includes the discovery, design, and synthesis of new materials and processes that limit the use ofrare earths, and separation science to enhance recovery of rare earth elements from both minerals and recycled materials.
Research will build on this activity’s efforts in heavy element chemistry, geosciences, separation science, and catalysis
science for understanding the chemistry and physics of f-electron systems to advance the predictive design of controlled
molecular and material structures; for understanding the interactions of solutions with interfaces, including mineralinterfaces, to provide foundational knowledge needed to advance separations of rare earth elements from critical minerals
and recycled materials; and the design of new catalysts that limit the use of rare earths and noble metals.
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 inthe support of basic research in both solar photochemistry and natural photosynthesis. The fundamental chemical andphysical concepts resulting from studies of both natural systems (e.g. photosynthetic and affiliated downstream biologicalprocesses) and man-made chemical systems provide crucial foundational knowledge on processes of energy capture,
conversion, and storage and can foster the development of bioinspired, biomimetic, and biohybrid energy systems.
Research on the structural and chemical dynamics of energy absorption, transfer, conversion and storage across multiple
spatial and temporal scales provides fundamental knowledge of Charge Transport and Reactivity. Efforts target the basic
understanding of mechanisms and dynamics of chemical and biochemical processes such as water oxidation, chargetransfer, and redox interconversion of small molecules (e.g. carbon dioxide/methane, nitrogen/ammonia, andprotons/hydrogen). A breadth of approaches and tools, including those in Ultrafast Chemistry, are used to investigate
quantum phenomena in natural and artificial systems; these studies of the potential role and manipulation of photodriven
quantum coherence in natural photosynthesis and artificial molecular systems could not only enhance fundamental
understanding of energy transfer but also inspire new methods for quantum information processing, potentially in theportfolio of SC QIS Centers. Crosscutting research on the synthesis, dynamics, and function of natural and artificiala https://science.osti.gov/-/media/bes/pdf/BESat40/Polymer_Upcycling_Brochure.pdf

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membranes and nano- to meso-scale structures increases knowledge of both Chemistry at Complex Interfaces andChemistry in Aqueous Environments. Multidisciplinary studies of the structural, functional and mechanistic properties of
enzymes, enzyme systems, and energy-relevant biological reactions advance understanding of Reaction Pathways in Diverse
Environments and identify principles important for catalyst function, selectivity, and stability.
The biosciences research supported under this activity sits at the interface between chemistry/physics and biology. This
multidisciplinary integration enables research in biological systems to provide insights for understanding and enhancing
man-made chemical systems while, in a reciprocal manner, studies of chemical (non-biological) systems provide insights
into the dynamics and chemical reactivity underlying biochemical processes. Research in natural photosynthesis advances
knowledge of biological mechanisms of solar energy capture and conversion and encompasses light harvesting, quantum
coherent energy transfer, electron and proton transport, photosynthetic uptake and reduction of carbon dioxide, andmechanisms of self-assembly, self-regulation, and self-repair exhibited by photosynthetic proteins, membranes and cellularcompartments. The mechanistic understanding of natural photosynthesis can inspire development of bio-hybrid,biomimetic, and artificial photosynthetic systems for solar fuels production and inform strategies to enhancephotosynthetic efficiency in natural systems. Physical science tools are used extensively to probe structural, functional, andmechanistic properties of enzymes, enzyme systems, and reactions and pathways related to energy capture, conversion,and storage in natural systems, including complex multielectron redox reactions, electron transfer and bifurcation, metal
uptake and use, and processes beyond primary photosynthesis such as nitrogen reduction and deposition of reduced
carbon into energy-dense carbohydrates and lipids. This knowledge of energy conversion and storage in biological systems
will identify principles for the design of highly selective and efficient catalysts, for instance, for ammonia synthesis or
polymer conversion; the control of electron flow to achieve desired metabolic products; and the design of next-generationenergy conversion technologies. Complementary research on solar energy conversion in artificial systems focuses on theelementary steps of light absorption, charge separation, and charge transport within a number of chemical systems.
Supported research incorporates organic and inorganic photochemistry, catalysis and photocatalysis, light-driven electron
and energy transfer in the condensed phase and across interfaces, photoelectrochemistry, photodriven generation ofquantum coherence in artificial molecular systems, and artificial assemblies for charge separation and transport. Thesestudies provide essential foundational knowledge for the use of solar energy for fuel production and electricity generation.
Research also addresses the fundamental physical and chemical effects produced by the absorption of energy from ionizing
radiation. A common theme is the exploration of radiolytic processes that occur across solid-liquid and solid-gas interfaces,
where surface chemistry can be activated and changed by radiolysis. These studies increase fundamental knowledge of thechemical reactions that occur in the extreme environments of nuclear reactors, including in their fuel and coolants, and canprovide insights for effective nuclear waste remediation, fuel-cycle separation and design of nuclear reactors.
Research focused on molecular-level understanding of biochemical processes advances SC’s Next-Generation Biology
initiative. New efforts in this activity will build on BES biochemistry and biophysics research to discover and design chemical
processes and complex structures that can enable development of bio-inspired, biohybrid, and biomimetic energy systems
with desired functions and properties. Studies will target the molecular-level mechanisms nature uses to control complex
chemical conversions, including error-correcting and defect-managing mechanisms, and to manage information and signaltransduction in complex hierarchical systems. Research will also continue to develop new approaches for dynamic and insitu imaging and characterization, including capabilities at SC facilities, and computational tools for understanding complex
assembly and other biochemical processes.
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 singleinvestigator or small-group awards. These multi-investigator, multi-disciplinary centers foster, encourage, and acceleratebasic research to enable transformative scientific advances. They allow experts from a variety of disciplines to collaborate
on shared challenges, combining their strengths to uncover new and innovative solutions to the most difficult problems inchemical sciences, geosciences, and biosciences. The EFRCs also support numerous graduate students and postdoctoral
researchers, educating and training a scientific workforce for the 21st century economy. The EFRCs supported in thissubprogram focus 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
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fuels, chemicals, and separations; interdependent energy-water issues; future nuclear energy; and advanced interrogationand characterization of the earth’s subsurface. After ten years of research activity, the program has produced an impressive
breadth of scientific accomplishments, including over 11,600 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
Based on competitive merit review, new multi-investigator, cross-disciplinary solar fuels research awards will be initiated in
FY 2020 to address both emerging new directions and long-standing challenges in the use of solar energy, water, andcarbon dioxide as the only inputs for fuels production. The FY 2021 Request will continue support for this early-stage
fundamental research on solar fuels generation that is building on the unique accomplishments of the first Fuels from
Sunlight Hub and is addressing key scientific challenges identified by the strategic planning report from the Roundtable on
Liquid Solar Fuels.aComputational 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 andmatter can be built with atom-by-atom precision. At the foundation of this new era are computational models that canaccurately 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 performancecomputing platforms, because most existing computational chemistry codes are unable to use efficiently more than one
percent of the processors available on existing leadership-class supercomputers. While recent breakthroughs incomputational 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 andanticipated exascale architectures.
BES launched research awards in FY 2017 to perform computational chemical sciences research that focuses on thecreation of computational codes and associated experimental/computational databases for the design of chemical
processes and assemblies. Additional awards were initiated in FY 2018. The FY 2017 awards will be recompeted in FY 2021.
These research efforts combine the skills of experts in theoretical chemistry, modeling, computation, and appliedmathematics. 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 databasesof experimental/computational data and open source, robust, validated, user friendly software that captures the essential
physics and chemistry of relevant chemical systems. The ultimate goal is use of these codes/data by the broader researchcommunity and by industry to dramatically accelerate chemical research in the U.S.
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.

a https://science.osti.gov/-/media/bes/pdf/reports/2020/Solar_Fuels_Brochure.pdf

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General Plant Projects (GPP)
GPP funding provides for minor new construction, for other capital alterations and additions, and for improvements to land,buildings, and utility systems to maintain the productivity and usefulness of DOE-owned facilities and to meet requirements
for safe and reliable facilities operation.

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Basic Energy Sciences
Chemical Sciences, Geosciences, and Biosciences
Activities and Explanation of Changes(dollars in thousands)
FY 2020 Enacted
Chemical Sciences, Geosciences, andBiosciences$380,478
Fundamental Interactions Research$101,567
Funding continues to develop forefront ultrafast
approaches to study and control energy flow and bondrearrangements in gas-phase, condensed phase andinterfacial chemical phenomena. Gas-phase researchcontinues studies of reaction pathways in heterogeneousenvironments and expands to examine quantum
phenomena in tailored molecules. Research efforts
extend to understand and control chemical and quantum
phenomena in increasingly complex multiphaseenvironments. Understanding, leading to control ofinterfacial reactivity, informs the design and synthesis of
new materials relevant to microelectronics. This activity
continues to develop advanced theoretical andcomputational approaches, including AI/ML for datadriven science, that will operate on future exascalecomputers, and to drive advances in the application ofquantum computing for molecular calculations. BES will
partner with other SC Program Offices to establish atleast one multi-disciplinary multi-institutional QIS center,
which will be selected through a merit reviewed process
conducted in FY 2020. The scope of the SC QIS center will
be on a set of QIS applications or cross-cutting topics thatcollectively cover the development space that may
impact SC Programs and include work on sensors,quantum emulators/ simulators and enabling
technologies that will pave the path to exploit quantum
computing in the longer term.
Science/Basic Energy Sciences

FY 2021 Request$373,505$99,611
The Request will continue to develop forefront ultrafast
approaches, with emphasis on the use of x-ray freeelectron lasers, including LCLS and its upgrades. Gasphase research will continue studies of how reactive
intermediates in heterogeneous environments impact
reaction pathways, and quantum phenomena underlying
QIS, such as coherence and entanglement, in tailoredmolecules. Research will extend efforts to understandand control chemical processes and quantum
phenomena at the molecular level in increasingly
complex aqueous and interfacial systems. Research tounderstand and control interfacial chemical reactions
will increase with the aim of designing and synthesizing
new materials relevant to microelectronics. This activity
will continue to develop advanced theoretical andcomputational approaches that can be scaled to operateon exascale computers. Development of AI/ML methods
will increase to enable novel data science approaches
for knowledge discovery. Research will emphasize
efforts to drive advances in the application of quantum
information science for understanding and exploiting
quantum phenomena in chemical systems. This activity
provides continued support for the QIS Centersestablished in FY 2020.

80

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted-$6,973-$1,956
Funding will emphasize new efforts tounderstand and control interfacial chemical
reactions that can enable new materials for
microelectronics and will support research instudies of quantum phenomena important for
QIS and the impact of molecular environmentson these phenomena. Support will continue thedevelopment of advanced theoretical andcomputational approaches, with increased
emphasis on the development and applicationof AI/ML methods that will enable novel data
science approaches for knowledge discovery.

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted
Chemical Transformations Research$97,836
Funding continues to support predictive fundamental
research on the design and synthesis of novel catalysts toefficiently convert chemical feedstocks, includinghydrocarbons, biomass, and synthetic polymers, to highvalue fuels and chemicals. Fundamental studies also
target the understanding and control of the synthesis andreconstruction of molecular structures with advanced(opto)electronic and spin properties. Fundamental
separation science research continues on innovative
approaches for separating chemical mixtures withemphasis on the use of computational approaches,
including data science tools and multi-scale methods, toinvestigate molecular recognition at complex interfaces,
predict transport and separation in confinedenvironments, and bonding and dynamics. Support
continues to understand geochemical and geophysicalmechanisms of reaction and transport processes in thesubsurface environments, such as nucleation, growth andmineralization, solvation in aqueous environments atextreme conditions, and dynamics at mineral-waterinterfaces. Heavy element research continues to expand
the knowledge of the chemistry of actinide reactivity,
bonding, synthesis, and separation, supports training in
nuclear chemistry, and advances theoretical methods toaccurately describe the chemistry of f-electron systems.

Science/Basic Energy Sciences

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted$101,385+$3,549
The Request will continue support for fundamental
Funding will emphasize atomically precise
research to understand mechanisms of catalysis and tosynthesis and control of new catalytic andpredict, design, and synthesize novel catalysts andchemically active functions; understanding
bioinspired metal complexes with enhanced
multiscale phenomena in extreme andperformance for thermo- and electro-chemical
constrained environments; and developing
conversions, with an increased emphasis on chemical
integrated computational and data scienceupcycling of polymers. Separation science research willapproaches to predict multiscale andcontinue to focus on novel approaches to separate
multiphysics processes. Support will increase
complex chemical mixtures with high efficiency, with afor research on catalysis and separations,
new emphasis on separations processes, including
including reactive separations, for chemical
reactive separations that will facilitate the chemical
upcycling of polymers. Increased emphasis on
upcycling of polymers. Geosciences research will
the chemistry of rare earths will include
continue to elucidate subsurface phenomena, such as
selective separations from solutions, dynamics
mineral nucleation, and rock fracture propagation, with and reactivity at mineral-water interfaces
an emphasis on the intersection of geochemical andduring extraction and recovery, utilization ofgeophysical processes under extreme subsurface
the f-electron properties of rare-earth
conditions. Heavy element research will continue toelements, and understanding the promotor
deepen understanding of actinide speciation andproperties of rare-earth elements used forreactivity, fundamental theories of f-electron systems,
catalysis.
and approaches to synthesize and separate actinide
compounds. New efforts on the chemistry of rare earth
elements, including heavy elements such as lanthanides,
will focus on understanding their reactivity to limit theiruse in catalytic processes, their interactions andchemical processes in multiphase systems relevant toseparations from complex mixtures, and their behavior
in rare-earth containing minerals, particularly theinteraction of these minerals with aqueous solutions,that are relevant to extraction in geologicalenvironments.
FY 2021 Request

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FY 2021 Congressional Budget Justification

(dollars in thousands)
Explanation of Changes
FY 2021 Request vs FY 2020 Enacted
Photochemistry and Biochemistry Research$75,724$67,413-$8,311
Funding continues to support fundamental research and The Request will continue to support fundamental
Funding will emphasize charge transport,
innovative approaches to understand physical, chemical, research that emphasizes an understanding of theenergy transfer, light harvesting, separations,and biochemical processes of light energy capture andphysical, chemical, and biochemical processes of light
photo- and biocatalytic mechanisms, selfconversion in chemical and biological systems. Studies of energy capture and conversion in biological andassembly/repair of complex structures, andlight absorption, energy transfer, charge transport andchemical systems. Studies of light absorption, energy
excited-state dynamics of processes important
separation, and photocatalysis continue to betransfer, charge transport and separation, separations
for energy capture and conversion in biologicalemphasized in both natural and artificial systems toprocesses, and photocatalysis in both natural andand chemical systems. Such research will place
advance foundational knowledge of solar energy capture artificial systems will provide fundamental knowledge to an increased emphasis on fundamental
and conversion with an emphasis on solar fuels
guide the design of new energy systems. The Request
principles for bioinspired design andgeneration. Understanding of molecular mechanisms ofwill increase focus on biochemical processes anddevelopment of biomimetic and biohybrid
photon capture and electron transfer advance solar fuels complex structures that can enable development of bio- energy systems and processes.
research as well as provide insights into quantum
inspired, biohybrid, and biomimetic energy systems withphenomena in energy transfer. Research on biocatalysis
desired functions and properties. Research on molecular
continues to focus on a mechanistic understanding of
mechanisms of biocatalysis, revealed by studies of
enzyme structure and function with a particular emphasis enzyme structure and function, multi-electron redox
on multi-electron redox reactions, electron bifurcation,
reactions, and electron bifurcation, will informand co-factor tuning. Efforts to understand processes and bioinspired design of catalysts and reaction pathways,
reactions on ultrafast timescales for energy conversion in for instance to guide new approaches for polymer
natural and artificial systems continue as well as studies
upcycling. Research on metal uptake and use byof reactivity across complex interfaces, in aqueous
biological systems will inform bio-inspired separation
environments, and under dynamic conditions.
processes. Studies will also increase understanding of
how rare elements can be minimized in photo-absorbers
and catalysts for solar fuels. Advances in solar fuels willcontinue via research on molecular mechanisms ofphoton capture, electron transfer, and productselectivity and separation from non-target molecules.
Studies of light energy capture will address therelationship between quantum phenomena and theefficiency and fidelity of energy transfer and conversion.
FY 2020 Enacted

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FY 2021 Request

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FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted
Energy Frontier Research Centers (EFRCs)$57,500
Funding continues to support four-year EFRC awards thatwere made in FY 2018. In addition, FY 2020 funds will
support a solicitation that will recompete the four-year
EFRC awards made in FY 2016, which focused on science
relevant to DOE’s environmental management mission,and make new awards that are responsive to recent BES
strategic planning workshop reports, including useinspired science relevant to advanced microelectronics,
QIS, and polymer upcycling.
Energy Innovation Hubs—Fuels from
Sunlight$20,000
Funding supports early-stage fundamental research on
solar fuels generation that builds on the uniquecapabilities and accomplishments of the Joint Center for
Artificial Photosynthesis. New awards of multiinvestigator, cross-disciplinary solar fuels researchsolicited in the FY 2020 recompetition will continue toaddress emerging new directions as well as long-standing
challenges in this transformational area of energy
science. Research focuses on tackling forefront,
fundamental scientific challenges for generating fuelsusing only sunlight, carbon dioxide, and water as inputs.
Advances in this area also benefit from consideration ofphotodriven generation of fuels from molecules otherthan carbon dioxide. The research capitalizes on uniquecapabilities and accomplishments developed to date toelucidate scientific principles for light energy capture andconversion into chemical bonds by integrating
experiment and theory, including coupling highthroughput experimentation with artificial intelligence toaccelerate progress.

Science/Basic Energy Sciences

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted$57,500
The Request will provide the fourth year of support for
No changes.
four-year EFRC awards that were made in FY 2018 andthe second year of support for four-year EFRC awards
that were made in FY 2020.

$—$20,000
The Request will continue to support early-stage
No changes.
fundamental research on solar fuels generation toaddress both emerging new directions and long-standing
scientific challenges in this area of energy science.
Research will continue to focus on generating fuels using
only sunlight, carbon dioxide, and water as inputs.
However, photodriven generation of fuels frommolecules other than carbon dioxide can also provide
important new insights and may be supported to reveal
principles for solar energy capture and conversion into
liquid fuels. Efforts that integrate experiment and theory
and couple high-throughput experimentation withartificial intelligence will continue to be emphasized.

$—

83

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted
Computational Chemical Sciences$13,000
Funding continues the Computational Chemical Sciences(CCS) awards made in FY 2017 and FY 2018, with ongoing
focus on developing public, open source codes for future
exascale computer platforms.

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted$13,000$—
The Request will continue CCS awards made in FY 2018, Funding will support priority research areas forwith ongoing focus on developing public, open source
CCS awards as identified in BES strategic
codes for future exascale computer platforms. In
planning workshop reports
addition, FY 2021 funds will support a recompetition of
CCS awards made in FY 2017, and make awards fordevelopment of new theoretical and computational
approaches and open source codes in areas relevant todirections identified in BES strategic planning workshop
reports.

General Plant Projects$1,000$1,000Funding supports minor facility improvements at Ames
The Request will support minor facility improvements at No changes.
Laboratory.
Ames Laboratory.

$—

SBIR/STTR$13,851$13,596-$255
In FY 2020, SBIR/STTR funding will be set at 3.65 percent In FY 2021, SBIR/STTR funding will be set at 3.65 percent The SBIR/STTR funding will be consistent withof non-capital funding.
of non-capital funding.
the BES total budget.

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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 unique tools to thousands of researchers from universities, industry, and government laboratories to advancea wide 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, researchers 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, and energy with the appropriate resolutions that can interrogate the inner workings of matter to answer
some of the most challenging 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 the natural 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. Keeping BES accelerator-based facilities at the forefront
requires continued, transformative advances in accelerator science and technology. Strategic investments in highbrightness electron injectors, superconducting undulators with strong focusing, and high gradient superconducting cavities
will have the most impactful benefits. X-ray free electron laser (FEL) oscillators offer the most near-future attainableadvances in x-ray science capabilities, requiring additional research efforts in x-ray resonant cavities and high heat-loaddiamond materials. Research in seeded FEL schemes for full coherent x-rays, and attosecond electron and x-ray pulse
generation are critical for multi-terawatt FEL amplifiers required by single-particle imaging.
The twelve BES scientific user facilities provide the nation with the most comprehensive and advanced x-ray, neutron, andelectron based experimental tools enabling fundamental discovery science. Hundreds of experiments are conductedsimultaneously around the clock generating vast quantities of raw experimental data that must be stored, transported, andthen analyzed to convert the raw data into information to unlock the answers to important scientific questions. Managing
the collection, transport and analysis of data at the BES facilities is a growing challenge as new facilities come online withexpanded scientific capabilities coupled together with advances in detector technology. Over the next decade, the data
volume, and the computational power to process the data, is expected to grow by several orders of magnitude.
Applications of AI/ML methods and tools are being implemented in new software and hardware to help address these dataand information challenges and needs. Challenges include speeding up high-fidelity simulations for online models, fasttuning in high-dimensional space, anomaly/breakout detection, ‘virtual diagnostics’ that can operate at high repetition
rates, and sophisticated compression/rejection data pipelines operating at the ‘edge’ (next to the detector) to save thehighest value data from user experiments.
In FY 2019, more than 16,000 scientists and engineers in many fields of science and technology used BES scientific facilities.
These facilities provide unique capabilities to the scientific community and industry and are a critical component ofmaintaining U.S. leadership in the physical sciences. Collectively, these user facilities and enabling tools contribute toimportant research results that span the continuum from basic to applied research and embrace the full range of scientificand technological endeavors, including chemistry, physics, geology, materials science, environmental science, biology, andbiomedical science. These capabilities enable scientific insights that can lead to the discovery and design of advanced
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 spinScience/Basic Energy Sciences85

FY 2021 Congressional Budget Justification

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 desired behaviors. To this end, x-rays have become a primary tool for probing the atomic andelectronic structure of materials internally and on their surfaces.
From its first systematic use as an experimental tool in the 1960s, large scale light source facilities have vastly enhanced theutility of pre-existing and contemporary techniques, such as x-ray diffraction, x-ray spectroscopy, and imaging and havegiven rise to scores of new ways to do experiments that would not otherwise be feasible with conventional x-ray machines.
Moreover, the wavelength can be selected over a broad range (from the infrared to hard x-rays) to match the needs ofparticular experiments. Together with additional features, such as controllable polarization, coherence, and ultrafast pulsed
time structure, these characteristics make x-ray light sources an important tool for a wide range of materials research. The
wavelengths of the emitted photons span a range of dimensions from the atom to biological cells, thereby providing incisiveprobes for advanced research in a wide range of areas, including materials science, physical and chemical sciences,metrology, geosciences, environmental sciences, biosciences, medical sciences, and pharmaceutical sciences. BES operates
a suite of five light sources, including a free electron laser, the Linac Coherent Light Source (LCLS) at SLAC, and four storage
ring based light sources—the Advanced Light Source (ALS) at LBNL, the Advanced Photon Source (APS) at ANL, the Stanford
Synchrotron Radiation Lightsource (SSRL) at SLAC, and the National Synchrotron Light Source-II (NSLS-II) at BNL. BES also
provides funds to support facility operations, to enable cutting-edge research and technical support, and to administer theuser program at these facilities, which are made available to all researchers with access determined via peer review of user
proposals.
Since completing construction of NSLS-II in FY 2015, BES has invested in the scientific research capabilities at this advanced
light source facility by building specialized experimental stations or “beamlines.” The initial suite of seven beamlines has
expanded to the current 28 beamlines with room for at least 30 more. In order to adopt the most up-to-date technologies
and to provide the most advanced capabilities, BES plans a phased approach to new beamlines at NSLS-II, as was done forthe other light sources in the BES portfolio. The NSLS-II Experimental Tools-II (NEXT-II) major item of equipment (MIE)project was started in FY 2020 to provide three best-in-class beamlines to support the needs of the U.S. researchcommunity. These beamlines will focus on the techniques of coherent diffraction imaging, soft x-ray spectromicroscopy,
and nanoscale probes of electronic excitations.
High Flux Neutron Sources
One of the goals of modern materials science is to understand the factors that determine the properties of matter on theatomic scale and to use this knowledge to optimize those properties or to develop new materials and functionality. This
process regularly involves the discovery of fascinating new physics, which itself may lead to previously unexpected
applications. Among the different probes used to investigate atomic-scale structure and dynamics, thermal neutrons haveunique advantages:


they have a wavelength similar to the spacing between atoms, allowing atomic resolution studies of structure, andhave an energy similar to the elementary excitations of atoms and magnetic spins in materials, thus allowing an
investigation of 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;

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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, isotope production, materials irradiation, andneutron 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.
The Spallation Neutron Source (SNS) at ORNL uses another approach for generating neutron beams where an accelerator
generates protons that strike a heavy-metal target such as mercury. As a result of the impact, neutrons are produced in aprocess known as spallation.
The SNS is the world’s brightest pulsed neutron facility and presently includes 19 instruments. These world-leading
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 fullsuite of high and low temperature, high magnetic field, and high pressure sample environment equipment is available oneach 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
that transform our understanding of energy and matter and advance national, economic, and energy security.
The NSRCs focus on interdisciplinary research at the nanoscale, serving as the basis for a national program thatencompasses new science, new tools, and new computing capabilities. They are a different class of facility than the x-ray
and neutron sources, as NSRCs are comprised of a suite of smaller unique tools and expert scientific staff rather than basedon a large accelerator or reactor. The five NSRCs BES currently supports are the Center for Nanoscale Materials at ANL, theCenter for Functional Nanomaterials at BNL, the Molecular Foundry at LBNL, the Center for Nanophase Materials Sciences
at ORNL, and the Center for Integrated Nanotechnologies at SNL and LANL. Each center has particular expertise andcapabilities, such as nanomaterials synthesis and assembly; theory, modeling and simulation; imaging and spectroscopy
including electron microscopy; and nanostructure fabrication and integration. Selected thematic areas include catalysis,electronic materials, nanoscale photonics, and soft and biological materials. The centers are housed in custom-designed
laboratory buildings near one or more other major BES facilities for x-ray, neutron, electron scattering, or computation
which complement and leverage the capabilities of the NSRCs. These laboratories contain clean rooms, nanofabrication
resources, one-of-a-kind signature instruments, and other instruments not generally available except at major user
facilities. The NSRC electron microscopy capabilities provide superior atomic-scale spatial resolution and the ability tosimultaneously obtain structural, chemical, and other types of information from sub-nanometer regions at short timescales. Operating funds enable cutting-edge research and technical support and are used to administer the user program atthese facilities, which are made available to academic, government, and industry researchers with access determinedthrough external peer review of user proposals.
The emerging field of QIS exploits intricate quantum mechanical phenomena such as entanglement to create fundamentally
new ways of obtaining and processing information. Harnessing these counterintuitive properties of matter promises toyield revolutionary new approaches to computing, sensing, communication, and metrology, as well as far-reachingadvances in our understanding of the world around us. The NSRCs will continue to develop nanoscience and QIS-related
research infrastructure and capabilities for materials synthesis, device fabrication, metrology, modeling and simulation. The
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FY 2021 Congressional Budget Justification

goal is to develop a flexible and enabling infrastructure so that U.S. institutions and industry can rapidly develop andcommercialize 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
to the 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 and capabilities.
Research
This activity supports targeted basic research in accelerator physics, x-ray and neutron detectors, and development 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
free electron lasers (FELs), new seeding techniques and other optical manipulations to reduce the cost and complexity andimprove performance of next generation FELs, and development of intense laser-based terahertz (THz) sources to study
non-equilibrium behavior in complex materials. As the complexity of accelerators and the performance requirements
continue to grow the need for more dynamic and adaptive control systems becomes essential. Particle accelerators arecomplicated interconnected machines and ideal for applications of artificial intelligence and machine learning algorithms to
improve performance optimization, rapid recovery of fault conditions, and prognostics to anticipate problems. Detector
research is a crucial component to enable the optimal utilization of user facilities, together with the development ofinnovative optics instrumentation to advance photon-based sciences, and data management techniques. The emphasis of
the detector activity is on research leading to new and more efficient photon and neutron detectors. X-ray optics research
involves development of systems for time-resolved x-ray science that preserve the spatial, temporal, and spectral
properties of x-rays. Research includes studies on creating, manipulating, transporting, and performing diagnostics ofultrahigh 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 andvolume of data generated by faster, higher resolution detectors and brighter light sources. This activity also supports
training in the field of particle beams and their associated accelerator technologies.

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Basic Energy Sciences
Scientific User Facilities
Activities and Explanation of Changes(dollars in thousands)
Explanation of Changes
FY 2021 Request vs FY 2020 Enacted
Scientific User Facilities$1,057,040$961,813-$95,227
X-Ray Light Sources$518,791$494,830-$23,961
Funding supports LCLS operations, which resume in the The Request will support operations at five BES light
Funding will support LCLS operations at 97 percent
third quarter of FY 2020 upon completion ofsources (LCLS, APS, ALS, NSLS-II, and SSRL).
of optimal. The remaining light source facilities will
installation of LCLS-II accelerator components. All light
operate at approximately 91 percent of optimal.
source facilities will operate at approximately 100
percent of optimal.
FY 2020 Enacted

FY 2021 Request

High-Flux Neutron Sources$289,701$260,088-$29,613
Funding supports SNS and HFIR operations. These
The Request will support operations at SNS and HFIR. Funding will support operations for SNS and HFIR at
facilities will operate at 100 percent of optimal.
approximately 91 percent of optimal.
Nanoscale Science Research Centers$138,687$129,938-$8,749
Funding supports operations of five NSRCs, with
The Request will provide funding for five NSRCs (CFN, Funding will support operations for the five NSRCs
funding for nanoscience, QIS research, and related
CNM, CNMS, TMF, and CINT). The NSRCs will continue as well as QIS-related research infrastructure anddevelopment of synthesis and characterization tools.
to develop nanoscience and QIS-related researchcapabilities.
infrastructure and capabilities for materials synthesis,
device fabrication, metrology, modeling andsimulation.
Other Project Costs$23,000
Funding supports Other Project Costs for the LCLS-II-HE
project at SLAC National Accelerator Laboratory, ALS-U
at Lawrence Berkeley National Laboratory, and theSecond Target Station at Oak Ridge National
Laboratory.

Science/Basic Energy Sciences$7,000
The Request will support Other Project Costs for the
Other Project Costs follow project plans.
LCLS-II-HE project at SLAC National Accelerator
Laboratory, PPU at Oak Ridge National Laboratory,
and the Second Target Station project at Oak Ridge
National Laboratory. The Request initiates the
Cryomodule Repair and Maintenance Facility (CRMF)
project.

89-$16,000

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

Major Items of Equipment$10,500
Funding initiates a beamline project for NSLS-II (NEXTII) at Brookhaven National Laboratory and will support
conceptual designs of new beamlines. The FY 2020
Enacted budget also initiates a recapitalization project
for the NSRCs and will support planning and design
activities in preparation for CD-1, along with possible
procurements.

$2,000
The Request will continue the beamline project for
Funding will support the NEXT-II and NSRC
NSLS-II (NEXT-II) at Brookhaven National Laboratory.
Recapitalization MIE projects.
Design work for NEXT-II will continue along with R&D,
prototyping, other supporting activities, and possible
long lead procurements. The recapitalization project
for the NSRCs will also continue with R&D, design,
engineering, prototyping, other supporting activities,
and possible procurements.

Research$39,879
Funding supports high-priority research activities for
detectors and optics instrumentation and applicationsof machine learning techniques to accelerator
optimization, control, prognostics, and data analysis.

$36,206
The Request will support high-priority research
activities for advanced seeded FEL schemes thatprovide several orders of magnitude performanceenhancement, detectors and optics instrumentation
and applications of machine learning techniques toaccelerator optimization, control, prognostics, anddata analysis. Research will emphasize transformativeadvances in accelerator science and technology thatlead to significant improvements in very highbrightness and high current electron sources and inhigh intensity proton sources.

-$8,500-$3,673
Funding will support investment in futureaccelerator technologies to continue to provide theworld’s most comprehensive and advanced
accelerator-based facilities for scientific research.
Funding will also continue the development of
AI/ML methods and tools to address data andinformation challenges at the BES user facilities,
including accelerator optimization, control,
prognostics, and data analysis.

SBIR/STTR$36,482$31,751-$4,731In FY 2020, SBIR/STTR funding will be set at 3.65
In FY 2021, SBIR/STTR funding will be set at 3.65
The SBIR/STTR funding will be consistent with thepercent of non-capital funding.
percent of non-capital funding.
BES total budget.

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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.
Advanced Photon Source Upgrade (APS-U)
The APS-U project will provide scientists with an x-ray source possessing world-leading transverse coherence and extreme
brightness. The magnetic lattice of the APS storage ring will be upgraded to a multi-bend achromat configuration to provide
100-1000 times increased brightness and coherent flux. APS-U will ensure that the APS remains a world leader in hard x-ray
science. The project received approval for CD-3, Approve Start of Construction, on July 25, 2019, with a Total Project Cost
(TPC) of $815,000,000 and CD-4, Approve Project Completion, in 2Q FY 2026.
Advanced Light Source Upgrade (ALS-U)
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, which will provide a soft x-ray source that is up to 1000 times
brighter and with a significantly higher coherent flux fraction. ALS-U will leverage two decades of investments in scientifictools at the ALS by making use of the existing beamlines and infrastructure. ALS-U will ensure that the ALS facility remains aworld leader in soft x-ray science. The project received CD-3A, Approve Long Lead Procurements, on December 19, 2019.
The current TPC range is $330,000,000 - $495,000,000.
Linac Coherent Light Source-II-HE (LCLS-II-HE)
The LCLS-II-HE project will increase the energy of the superconducting linac currently under construction as part of the
LCLS-II project from 4 giga-electronvolts (GeV) to 8 GeV and thereby expand the high repetition rate operation (1 million
pulses per second) of this unique facility into the hard x-ray regime (5-12 keV). LCLS-II-HE will add new and upgraded
instrumentation to augment existing capabilities and upgrade the facility infrastructure as needed. The LCLS-II-HE projectwill upgrade and expand the capabilities of the LCLS-II to maintain U.S. leadership in ultrafast x-ray science. The project
received CD-1, Approve Alternative Selection and Cost Range, on September 21, 2018. The current TPC range is$290,000,000 - $480,000,000.
Proton Power Upgrade (PPU)The PPU project will double the proton beam power capability of the Spallation Neutron Source (SNS) from 1.4 megawatts(MW) to 2.8 MW, upgrade the first target station to accommodate beam power up to 2 MW, and deliver a 2 MW qualified
target. PPU will fabricate and install seven new superconducting radio frequency (RF) cryomodules, with supporting RF
equipment, in the existing linac tunnel and klystron gallery respectively. Equipment will be upgraded to handle the higher
beam current. The ring will be upgraded with minor modifications to the injection and extraction areas. The increased beam
power of 2 MW to be provided to the first target station will be enabled by the additional cryomodules, and improved
target performance will be enabled by the addition of a new target gas injection system and a redesigned mercury target
vessel. The project received CD-3B, Approve Long Lead Procurements, on September 3, 2019. The current TPC range is$184,000,000 - $320,000,000.
Second Target Station (STS)The STS project will expand SNS capabilities for neutron scattering research by exploiting part of the higher SNS accelerator
proton power (2.8 MW) enabled by the PPU project. The STS will be a complementary pulsed source with a narrow proton
beam which increases the proton power density by up to 4.5 times compared to the first target station (FTS). This dense
beam of protons, when deposited on a compact, rotating, water-cooled tungsten target will create neutrons throughspallation and direct them to high efficiency coupled moderators to produce an order of magnitude higher brightness cold
neutrons than were previously achievable. By optimizing the design of the instruments with advanced neutron optics,
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optimized geometry for 10 Hz operation, and advanced detectors, the detection resolution will be up to two orders ofmagnitude higher, enabling new research opportunities. The project received CD-0, Approve Mission Need, on January 7,
2009. The current TPC range is $800,000,000 - $1,500,000,000.
Cryomodule Repair and Maintenance Facility (CRMF)
The CRMF project will provide a much needed capability to maintain, repair, and test superconducting radiofrequency (SRF)
accelerator components, including SRF cryomodules that make up the new superconducting accelerator being constructedby the LCLS-II and LCLS-II-HE projects. The facility will provide for the full disassembly and repair of the SRF cryomodule; theability to disassemble, clean, and reassemble the SRF cavities and cavity string; testing capabilities for the full cryomodule;
and separate testing capabilities for individual SRF cavities. To accomplish this, the project is envisioned to require a 19,000
to 23,000 gross square foot building to contain the necessary equipment. The building will need a concrete shielded
enclosure for cryomodule testing, a control room, vertical test stand area for testing SRF cavities and components, acryogen distribution box which is connected to a source of liquid helium and will distribute liquid helium within the CRMF
building, cryomodule fixtures used to insert and remove the cold mass from the cryomodule vacuum vessel, a cleanroom
partitioned into class 10 and class 1000 areas, a loading and cryomodule preparation area, storage areas, and a 15 ton
bridge crane for moving equipment from one area to another within the building. The project received CD-0, Approve
Mission Need, on December 5, 2019. The current TPC range is $70,000,000 - $98,000,000.
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 percent of the cost and schedule
performance baselines, established at CD-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(dollars in thousands)
FY 2020 Enacted
Construction
21-SC-10, Cryomodule Repair andMaintenance Facility (CRMF), SLAC
No funds were requested in FY 2020.

FY 2021 Request$360,000$—19-SC-14, Second Target Station (STS),
ORNL$20,000
Funding supports continued planning, targeted
R&D and engineering design, and other activities
required to advance the STS project. Construction
funds will be executed after the appropriate
critical decision approvals are received.
18-SC-10, Advanced Photon Source
Upgrade (APS-U), ANL$170,000
Funding supports targeted R&D, engineering
design, equipment prototyping, testing,fabrication, site preparation, installation, long leadand advanced procurements, and other activities
required to advance the APS-U project.

Science/Basic Energy Sciences$184,000

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted-$176,000$1,000+$1,000
The Request will support conducting an Analysis ofThis is the initial request for the CRMF project.
Alternatives to determine the project site and the basic
parameters on which to base a conceptual design.
Engineering and design activities may begin.
$1,000
The Request will continue planning, R&D, andFunding will support the STS project.
engineering activities to assist in maturing the project
design, scope, cost, schedule and key performanceparameters.

-$19,000$150,000
The Request will support advancing the final
Funding will support the APS-U project.
engineering designs, engineering, prototyping, testing,fabrication, procurement, integration, and installation
for the storage ring and experimental facilities, andfurther site preparation and civil construction
associated with the long beamlines.

-$20,000

93

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted
18-SC-11, Spallation Neutron Source
Proton Power Upgrade (PPU), ORNL
$60,000
Funding supports R&D, engineering, prototyping,
preliminary and final design, testing, fabrication,
procurement, component integration andinstallation, and other activities required toadvance the PPU project.

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted$5,000
The Request will continue support of R&D,
Funding will support the PPU project.
engineering, prototyping, preliminary and final designs,
testing, fabrication, procurement, component
integration and installation, and civil construction site
preparation. Advancing the target R&D, engineering,
design, and prototyping in conjunction with SNS
operations target improvement plans will be a highpriority.

18-SC-12, Advanced Light Source
Upgrade (ALS-U), LBNL
$60,000$13,000
Funding supports planning, engineering, design,
The Request will continue support of engineering,Funding will support the ALS-U project.
R&D, equipment prototyping, testing, and otherdesign, R&D prototyping and long lead procurements
activities to advance the ALS-U project.
of construction items.

-$55,000-$47,000

18-SC-13, Linac Coherent Light Source$50,000$14,000-$36,000
II High Energy (LCLS-II-HE), SLAC
Funding supports planning, engineering, design,
The Request will continue engineering, design, R&D
Funding will support the LCLS-II-HE project.
R&D, equipment prototyping, testing, and otherprototyping, and long lead procurements ofactivities required to advance the LCLS-II-HE
construction items.
project.

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Basic Energy Sciences
Capital Summary

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

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

N/A

N/A

76,61046,82535,325-11,500

N/A
N/A
N/A

N/A
N/A
N/A

3,000
48,045
127,655

1,000
10,70058,5251,000
56,612
92,937—+45,912+34,412(dollars in thousands)
FY 2019
FY 2020
EnactedEnactedFY 2021
RequestCapital Equipment

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

Science/Basic Energy Sciences

Prior Years

80,00080,000
N/A
N/A
N/A

—
—
N/A
N/A
N/A

95

—
—
—
76,61076,6105,500
5,000
10,50036,32546,825

1,000
1,000
2,000
33,32535,325FY 2021 Request vsFY 2020 Enacted-4,500-4,000-8,500-3,000-11,500

FY 2021 Congressional Budget Justification

Minor Construction Activities

Total
General Plant Projects (GPP)
Total GPPs less than $5Ma
Total, General Plant Projects (GPP)
Accelerator Improvement Projects (AIP)
Greater than or equal to $5M and less than $20M
VENUS, Spallation Neutron Source, ORNLDISCOVER, Spallation Neutron Source, ORNL
Full Scale SCL Chemistry Upgrade, Spallation
Neutron Source, ORNL
Guide Hall Extension, High Flux Isotope Reactor,
ORNL
Storage Ring HVAC System Upgrade, Advanced
Light Source, LBNL
Copper to Soft Xray, Linac Coherent Light Source,
SLAC
3rd Harmonic Cavity, National Synchrotron Light
Source-II, BNL
3rd RF Cavity, National Synchrotron Light SourceII, BNL
Total, AIPs (greater than or equal to $5M and lessthan $20M)
Total, AIPs less than $5Mc
Total, Accelerator Improvement Projects (AIP)
Total, Minor Construction Activities

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

N/A
N/A

N/A
N/A

3,000
3,000

1,000
1,000

1,000
1,000

—
—

13,40018,500

N/A
N/A

13,400————18,500—+18,500

5,000

N/A

—

—

5,000

+5,000

9,000

N/A

—

—

9,000

+9,000

6,900

N/A

650b

6,250b—-6,2507,664

N/A

7,664b

—

—

—

8,760

N/A

—

—

8,760

+8,760

9,300

5,100

4,200b

—

—

—

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

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

25,914
22,131
48,04551,0456,250
4,450
10,70011,70041,26015,352
56,612
57,612+35,010+10,902+45,912+45,912

GPP activities less than $5 million include design and construction for additions and/or improvements to land, buildings, replacements or additions to roads, and general area improvements.
Funding was not previously included in the FY 2020 Request because it was not required to be disclosed as minor construction project.
c AIP activities less than $5 million include minor construction at an existing accelerator facility.
ab

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Basic Energy Sciences
Major Items of Equipment Description(s)Scientific User Facilities MIEs:
NSLS-II Experimental Tools-II (NEXT-II) Project
The NEXT-II project proposes to add three world-class beamlines to the NSLS-II Facility as part of a phased buildout of
beamlines to provide advances in scientific capabilities for the soft x-ray user community. These beamlines will focus on thetechniques of coherent diffraction imaging, soft x-ray spectromicroscopy, and nanoscale probes of electronic excitations.
The project received CD-0, Approve Mission Need, on December 19, 2018. The current total project cost range is$40,000,000 to $80,000,000. The FY 2021 Request of $1,000,000 will continue R&D, prototyping, other supporting
activities, and possible long lead procurements.
Nanoscale Science Research Center (NSRC) Recapitalization Project
The NSRCs started early operations in 2006-2007 and now, a decade later, they need to recapitalize their instrumentation
to continue to perform cutting edge science to support and accelerate advances in the fields of nanoscience, materials,
chemistry, and biology. The recapitalization will also provide essential support for quantum information science andsystems. The project received CD-0, Approve Mission Need, on December 19, 2018. The current total project cost range is$50,000,000 to $90,000,000. The FY 2021 Request of $1,000,000 will continue R&D, design, engineering, prototyping, othersupporting activities, and possible procurements.

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Basic Energy Sciences
Construction Projects Summary

Total

a

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

21-SC-10, Cryomodule Repair and Maintenance
Facility (CRMF)
TEC
OPC
TPC

70,00010,00080,000

—
—
—

—
—
—

—
—
—

1,000
1,000
2,000

+1,000+1,000+2,00019-SC-14, Second Target Station (STS), ORNL
TEC
OPC
TPC

1,223,700
45,3001,269,000—
10,805
10,805

1,000
5,000
6,000

20,00017,00037,000

1,000
1,000
2,000

-19,000-16,000-35,000

18-SC-10, Advanced Photon Source Upgrade(APS-U), ANL
TEC
OPC
TPC

796,500
18,500815,000

235,500
8,500
244,000a

130,000—
130,000

170,000—
170,000

150,000—
150,000-20,000—-20,000

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

236,202
13,798250,000

36,00010,79846,79860,000—60,00060,000—60,000

5,000
3,000
8,000

-55,000+3,000-52,000

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

380,200
30,000410,200

16,00024,00040,00060,0002,000
62,00060,0002,000
62,00013,000—13,000-47,000-2,000-49,000

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

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Totala

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

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

408,000
20,000428,000

8,000
2,000
10,00028,0006,000
34,00050,0004,000
54,00014,0002,000
16,000-36,000-2,000-38,000

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

993,100
51,9001,045,000

863,800
45,800909,600a

129,300
6,100
135,400

—
—
—

—
—
—

—
—
—

Total, Construction
TEC
OPC
TPC

4,107,702
189,498
4,297,200

1,159,300
101,903
1,261,203

408,300
19,100427,400

360,000
23,000383,000

184,000
7,000
191,000-176,000-16,000-192,000

LCLS-II received $85,600,000 in FY 2010-FY 2013 as an MIE.

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

FY 2020 Enacted

FY 2021 Request

815,600
922,000

871,321947,179

856,817884,856

FY 2021 Request vsFY 2020 Enacted-14,504-62,323—
427,400
427,400
1,000
2,166,000

10,500383,000
393,500
1,000
2,213,000

2,000
191,000
193,000
1,000
1,935,673-8,500-192,000-200,500—-277,327

Research
Facility Operations
Projects
Major Items of Equipment
Construction
Total, Projects
OtheraTotal, Basic Energy SciencesaIncludes non-Facility related GPP.

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

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

FY 2019 Enacted

FY 2019 Current

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted$66,283
2,000
N/A
4,700
4,700
100%
<10%

$66,583
2,171
4,468
4,700
4,700
95.1%
<10%

$68,093
1,800
N/A
3,880
3,880a100%<10%$63,842
1,500
N/A
3,750
4,100
91.5%
<10%

-$4,251
-300
N/A
-130
+220
N/A
N/A

a Optimal hours decreased for maintenance and the PG&E Public Safety Power Shutoffs.

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(dollars in thousands)
FY 2019 Enacted

FY 2019 Current

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

Advanced Photon Source
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$136,743
5,700
N/A
5,000
5,000
100%
<10%

$138,743
5,426
4,909
5,000
5,000
98.2%
<10%

$140,477
4,900
N/A
5,000
5,000
100%
<10%

$131,708
4,700
N/A
4,550
5,000
91.0%
<10%

-$8,769
-200
N/A
-450
—
N/A
N/A

National Synchrotron Light Source-II, BNL
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$114,127
1,600
N/A
5,000
5,000
100%
<10%

$114,277
1,755
4,863
5,000
5,000
97.3%
<10%

117,244
1,700
N/A
5,000
5,000
100%
<10%

$109,925
1,500
N/A
4,550
5,000
91.0%
<10%

-$7,319
-200
N/A
-450
—
N/A
N/A

$42,847$43,497$44,017$41,268-$2,749

1,650
N/A
5,070
5,070
100%
<10%

1,761
5,004
5,070
5,070
98.7%
<10%

1,500
N/A
5,090
5,090
100%
<10%

1,400
N/A
4,900
5,400
90.7%
<10%

-100
N/A
-190
-310
N/A
N/A

$145,000
300
N/A
1,600
1,600a100%<10%$150,400
529
1,512
1,600
1,600
94.5%
<10%

$148,960
500
N/A
2,500
2,500
100%
<10%

$148,087
800
N/A
4,480
4,600
97.4%
<10%

-$873
+300
N/A
+1,980+2,100
N/A
N/A

Stanford Synchrotron Radiation
Lightsource
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours
Linac Coherent Light Source
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours

a

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

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(dollars in thousands)a

FY 2019 Enacted

FY 2019 Current

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

Spallation Neutron Source
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$205,714
800
N/A
4,900
4,900
100%
<10%

$206,214
758
3,771
4,900
4,900
77.0%
<10%

$187,048
800
N/A
4,600
4,600
100%
<10%

$165,588
730
N/A
4,550
5,000
91.0%
<10%

-$21,460
-70
N/A
-50
+400
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$76,286
560
N/A
4,000
4,000
100%
<10%

$76,286
—
3a
4,000
4,000
0.1%
<10%

$102,653
520
N/A
3,900
3,900
100%
<10%

$94,500
500
N/A
3,650
4,000
91.3%
<10%

-$8,153
-20
N/A
-250
+100
N/A
N/A

TYPE B FACILITIESCenter for Nanoscale Materials
Number of users$27,704600$27,704599$28,461530$26,665500-$1,796-30

Center for Functional Nanomaterials
Number of users$24,148580$24,148593$24,807510$23,243500-$1,564-10

Molecular Foundry
Number of users$31,237700$31,987
1,011$32,090800$30,065700-$2,025-100

Center for Nanophase Materials Sciences
Number of users$27,078600$27,078653$27,818630$26,063600-$1,755-30

Center for Integrated Nanotechnologies
Number of users$24,833600$24,833860$25,511700$23,902600-$1,609-100

HFIR was shut down in Q1 FY 2019 due to a fuel element failure. A corrective action plan was implemented and HFIR restarted in November 2019.

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(dollars in thousands)

Total Facilities
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hoursa
Unscheduled downtime hours

FY 2019 Enacted

FY 2019 Current

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted$922,000
15,690N/A
30,27030,270100%<10%$931,750
16,116
24,53030,27030,27082.2%<10%$947,179
14,890N/A
29,97029,970100%<10%$884,856
14,030N/A
30,43033,10092.3%<10%-$62,323
-860
N/A
-460
+3,130
N/A
N/A

n

a

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

Science/Basic Energy Sciences∑1[(%OH for facility n) × (funding for facility n operations)]
Total funding for all facility operations

104

FY 2021 Congressional Budget Justification

Basic Energy Sciences
Scientific Employment
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

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

4,950
1,370
2,140
3,100

4,680
1,310
2,060
2,890

-270
-60
-80
-210

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

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

Science/Basic Energy Sciences105

FY 2021 Congressional Budget Justification

106

21-SC-10, Cryomodule Repair and Maintenance Facility
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Cryomodule Repair and Maintenance Facility (CRMF) project is $2,000,000, including$1,000,000 in Total Estimated Cost (TEC) funds and $1,000,000 in Other Project Costs (OPC) funds. The most recent DOE
Order 413.3B approved Critical Decision (CD) is CD-0 (Approve Mission Need), approved on December 5, 2019. The notional
Total Project Cost (TPC) range, approved at CD-0 is $70,000,000 - $98,000,000 based on a point estimate of $80,000,000.
Significant Changes
This a new Construction Project Data Sheet (CPDS) and CRMF is a new start for FY 2021.
In FY 2020, SLAC National Accelerator Laboratory (SLAC) recognized a critical need for a facility capable of repairing andmaintaining the cryomodules being installed through the Linac Coherent Light Source-II (LCLS-II) and LCLS-II High Energy(LCLS-II-HE) construction projects. SLAC developed and submitted a proposal for the CRMF to Basic Energy Sciences forconsideration. The proposal was sent out to an independent group of experts in the field of superconducting
radiofrequency science and superconducting linac construction for review and comment. The proposal was well received by
the experts, and based on their support, BES developed a Mission Need Statement document as required to support CD-0,
Approve Mission Need. The FY 2021 Request will support conducting an Analysis of Alternatives to determine the projectsite and the basic design parameters on which to base a conceptual design. Depending on progress and appropriate CD
approvals, some of the FY 2021 Request funding may be used for engineering and design activities.
A Federal Project Director will be assigned to this project prior to CD-1.
Critical Milestone History
FiscalYear

CD-0

FY 2021a

12/05/2019

Conceptual
CD-1
DesignComplete
1Q FY 2021 1Q FY 2021

CD-2
1Q FY 2022

Final
DesignComplete
4Q FY 2022

CD-3

D&D
Complete

CD-4

1Q FY 2023

N/A

1Q FY 2027

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

Fiscal Year
FY 2021a

Performance
Baseline
Validation
4Q FY 2021

CD-3A
1Q FY 2022

CD-3A – Approve Long-Lead Procurements: As the project planning and design matures, long lead procurement may be requested in
FY 2022 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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Repair and Maintenance Facility

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Project Cost History
FiscalYear
FY 2021a

TEC, Design
4,000

TEC,
Construction
66,000(dollars in thousands)
OPC, Except
TEC, Total
D&D
70,00010,000

OPC, D&D

OPC, Total

TPC

N/A

10,00080,0002. Project Scope and Justification
Scope
The preliminary scope of the CRMF project is to construct a building to contain the necessary equipment to maintain,
repair, and test superconducting radiofrequency (SRF) accelerator components. The building will need a concrete shielded
enclosure for cryomodule testing, a control room, vertical test stand area for testing SRF cavities and components, acryogen distribution box which is connected to a source of liquid helium and will distribute liquid helium within the CRMF
building, cryomodule fixtures used to insert and remove the cold mass from the cryomodule vacuum vessel, a cleanroom
partitioned into class 10 and class 1000 areas, a loading and cryomodule preparation area, storage areas, and a 15 ton
bridge crane for moving equipment from one area to another within the building.
Optional scope to be considered and included in the preliminary scope includes a stand-alone cryoplant that would provide
a source of liquid helium (if one is not available at the selected site), a dedicated SRF injector test area which requires
extending the envisioned building length by 30 feet, and a 40 mega-electronvolt (MeV) SRF linac to provide the equipment
and diagnostics necessary for an integrated injector test stand.
Justification
SC, through the two current BES construction projects, LCLS-II and LCLS-II-HE, is making over a $1,400,000,000 capital
investment in a SRF linac at SLAC to support the science mission of DOE. The LCLS-II project is providing a 4 GeV SRF-based
linear accelerator capable of providing 1 megahertz (MHz) electron pulses to create a free electron, x-ray laser. Thismachine contains 35 SRF cryomodules to accelerate the electrons to 4 GeV. The LCLS-II-HE will increase the energy of the
LCLS-II linac to 8 GeV by providing an additional 20 SRF cryomodules of a similar design to the LCLS-II ones, but operating at
a higher accelerating gradient. SLAC has partnered with Fermi National Accelerator Laboratory (FNAL) and the Thomas
Jefferson National Accelerator Facility (TJNAF) to provide the accelerating cryomodules. The cryomodules are produced at
FNAL and TJNAF making use of specialized fabrication, assembly, and test capabilities available there. To make any repairs,
the cryomodules must currently be sent back to either FNAL or TJNAF at an increased risk of damage, cost, and schedule
delays.
The initial assumption was that cryomodules could be shipped back to the partner laboratories as needed for maintenanceat a rate of 1 to 2 cryomodules per year. However, cryomodules could be damaged during transportation, posing a risk tofacility operations. This approach also assumes that either FNAL or TJNAF would have the maintenance capabilities
available when needed. Recently, TFNAF has agreed to manufacture cryomodules for an accelerator upgrade to the
Spallation Neutron Source linac and the production facilities at FNAL will produce cryomodules for the Proton Improvement
Plan-II (PIP-II) linac upgrade at FNAL. At this time, the two partner laboratories have informed SLAC that they will need 6 to
12 months of advance notice to schedule maintenance or repairs to the SLAC hardware.
The proposed CRMF will provide the capability to maintain, repair, and test SRF accelerator components, the primary one
being the SRF cryomodules that make up the new superconducting accelerator being constructed by the LCLS-II and LCLS-IIHE construction projects. The facility will provide for the full disassembly and repair of the SRF cryomodule; the ability todisassemble, clean, and reassemble the SRF cavities and cavity string; testing capabilities for the full cryomodule; andseparate testing capabilities for individual SRF cavities.

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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The photon energy range for LCLS-II-HE could be extended by lowering the emittance of the electron injector which
requires an R&D effort. Progress in this area at SLAC has been hindered by lack of an appropriate research anddevelopment facility with testing capabilities. This needed R&D effort is currently being performed at LBNL and ANL in
partnership with SLAC. The CRMF project could provide this needed support to SLAC when constructed.
Prior to CD-1, SC will conduct an Analysis of Alternatives that, among other things, will examine the cost benefits of having a
dedicated CRMF facility at SLAC versus relying on partner laboratories or others to provide this capability. The risk inschedule and operations in terms of cost of having the facility sited somewhere other than SLAC will be included in this cost
analysis. SC will also evaluate the proposed project scope as part of the Analysis of Alternatives required for CD-1 approval.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance Measure
Conventional Facilities Building Area
Electron Beam Energy
Cryogenic Cooling Capacity at 2K

Threshold
22,000 gross square feet
50 MeV
100 Watts

Objective
25,000 gross square feet
128 MeV
250 Watts

3. Financial Schedule(dollars in thousands)
BudgetObligations
Authority(Appropriations)

Costs

Total Estimated Cost (TEC)
DesignFY 2021

1,000

1,000

1,000

Outyears

3,000

3,000

3,000

Total, Design

4,000

4,000

4,000

Outyears

66,00066,00066,000Total, Construction

66,00066,00066,000FY 2021

1,000

1,000

1,000

Outyears

69,00069,00069,00070,00070,00070,000109

FY 2021 Congressional Budget Justification

Construction

Total Estimated Cost (TEC)

Total, TEC

Science/Basic Energy Sciences/21-SC-10 Cryomodule
Repair and Maintenance Facility(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costs

Other Project Cost (OPC)FY 2021

1,000

1,000

1,000

Outyears

9,000

9,000

9,000

10,00010,00010,000FY 2021

2,000

2,000

2,000

Outyears

78,00078,00078,00080,00080,00080,000(dollars in thousands)
Current
Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

3,500
500

N/A
N/A

N/A
N/A

Total, Design

4,000

N/A

N/A

Construction
Site Preparation
Equipment
Other Construction
Contingency

1,000
35,00015,50014,500

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

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

Total, Construction

66,000

N/A

N/A

70,00015,000

N/A
N/A

N/A
N/A

Total, OPC
Total Project Cost (TPC)

Total, TPCa
4. Details of Project Cost Estimate

Total Estimated Cost (TEC)

Total, TEC
Contingency, TEC

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.
aScience/Basic Energy Sciences/21-SC-10 Cryomodule
Repair and Maintenance Facility

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(dollars in thousands)
Current
Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

OPC except D&D
R&D
Conceptual Planning
Conceptual Design
Start-UpContingency

1,000
1,000
2,000
3,000
3,000

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

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

Total, OPC

10,000

N/A

N/A

Contingency, OPC

3,000

N/A

N/A

Total Project Cost

80,000

N/A

N/A

Total, Contingency (TEC+OPC)

18,000

N/A

N/A

Outyears

Total

Other Project Cost (OPC)

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

Prior Years

FY 2021

TEC
OPC
TPC

—
—
—

FY 2021
1,000
1,000
2,000

69,0009,000
78,00070,00010,00080,000

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

Operations and Maintenance

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
N/A
5,500

FY 2027
25 years
FY 2052

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
N/A
286,000

Additional operations and maintenance costs are expected above the estimated costs to operate the LCLS-II facility. The
estimate will be updated and additional details will be provided after CD-1, Approve Alternate Selection and Cost Range.
7. D&D Information
At this stage of project planning and development, SC anticipates that a new 19,000 to 23,000 gsf building may beconstructed as part of this project.

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8. Acquisition Approach
DOE has not determined the site of the CRMF project. If the selected site is a national laboratory, then the project would beacquired under the existing DOE Management and Operations contract for that laboratory.
The selected site will prepare a Conceptual Design Report for the CRMF project and demonstrate that they have therequired project management systems in place to execute the project.
The selected organization may partner with other laboratories for design and procurement of key technical subsystemcomponents. Technical system designs will require research and development activities. Preliminary cost estimates forthese systems are based on similar facilities at other national laboratories, to the extent practicable. The project will fully
exploit recent cost data from similar operating facilities in planning and budgeting. SLAC or partner laboratory staff may
assist with completing the design of the technical systems. The selected contractor or subcontracted vendors with thenecessary capabilities will fabricate technical equipment. All subcontracts will be competitively bid and awarded based onbest value to the government.
Lessons learned from other SC projects and other similar facilities will be exploited fully in planning and executing CRMF.

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Repair and Maintenance Facility

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19-SC-14, Second Target Station
Oak Ridge National Laboratory, Oak Ridge, Tennessee
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for Second Target Station (STS) project is $2,000,000, including $1,000,000 in Total Estimated Cost
(TEC) funds and $1,000,000 in Other Project Costs (OPC) funds. The most recent DOE O 413.3B approved Critical Decision(CD) is CD-0 (Approve Mission Need), approved on January 7, 2009. The current Total Project Cost (TPC) range is$800,000,000 - $1,500,000,000.
Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2020 CPDS and does not include a new start for FY 2021.
There are no significant changes.
In FY 2019, the project advanced the planning, research and development (R&D), and conceptual design and conducted
technical design reviews for the major systems (target, instruments, controls, accelerator, and conventional facilities). In
FY 2020, the project continues planning, R&D, design, engineering, and other activities required to advance the STS project
toward CD-1. The focus will be on project planning and initiation activities such as refining the initial cost estimates andrefining the scope definitions, key performance parameters, and TPC range. In FY 2021, the project will continue the FY
2020 activities of planning, R&D, and engineering to assist in maturing the project design, scope, cost, schedule and key
performance parameters.
A Federal Project Director, certified to level II, has been assigned to this project and has approved this CPDS.
Critical Milestone History
FiscalYear

CD-0

FY 2020
FY 2021a

1/07/09
1/07/09

Conceptual
DesignComplete
2Q FY 2022
2Q FY 2021

CD-1

CD-2

2Q FY 2022
2Q FY 2021

2Q FY 2023
3Q FY 2024

Final
DesignComplete
2Q FY 2025
3Q FY 2026

CD-3

D&D
Complete

CD-4

2Q FY 2024
3Q FY 2025

N/A
N/A

4Q FY 2031
2Q FY 2032

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

Project Cost History
FiscalYear
FY 2020
FY 2021aa

TEC, Design
65,50065,500TEC,
Construction
1,138,500
1,158,200(dollars in thousands)
OPC, Except
TEC, Total
D&D
1,204,000
45,3001,223,700
45,300

OPC, D&D

OPC, Total

TPC

N/A
N/A

45,30045,3001,249,300
1,269,000

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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2. Project Scope and Justification
Scope
To address the gap in advanced neutron sources and instrumentation, the SNS project will design, build, install, and test theequipment necessary to provide the four primary elements of the new SNS facility: the neutron target and moderators; theaccelerator systems; the instruments; and the conventional facilities. Costs for acceptance testing, integrated testing, andinitial commissioning to demonstrate achievement of the KPPs are included in the STS scope. The STS will be located inunoccupied space east of the existing first target station (FTS). The project requires approximately 380,000 ft2 of newbuildings, making conventional facility construction a major contributor to project costs.
Justification
The BES mission is to “support fundamental research to understand, predict, and ultimately control matter and energy atthe electronic, atomic, and molecular levels in order to provide the foundations for new energy technologies and to support
DOE missions in energy, environment, and national security.” BES accomplishes its mission by operation of large-scale user
facilities consisting of a complementary set of intense x-rays sources, neutron scattering centers, electron beamcharacterization capabilities, and research centers for nanoscale science.
In the area of neutron science, the scientific community conducted numerous studies since the 1970’s that have establishedthe scientific justification and need for a very high-intensity pulsed neutron source in the U.S. Since 2007, when it began its
user program at ORNL, the SNS has been fulfilling this need. In accordance with the 1996 BESAC (Russell Panel) Report
recommendation, SNS has many technical margins built into its systems to facilitate a power upgrade into the 2-4
megawatt (MW) range to maintain its position of scientific leadership in the future.
An upgraded SNS would enable many advances in the opportunities described in the 2015 BESAC report “Challenges at the
Frontiers of Matter and Energy: Transformative Opportunities for Discovery Science.” ORNL held four workshops to assess
the neutron scattering needs in quantum condensed matter, soft matter, biology, and the frontiers in materials discovery.
These four areas encompass and directly map to the transformative opportunities identified in the BES Grand Challenges
update. Quantum materials map most directly to harnessing coherence in light and matter, while soft matter and biology
are aligned primarily with mastering hierarchical architectures and beyond-equilibrium matter, and frontiers in materials
discovery explored many of the topics in beyond ideal materials and systems: understanding the critical roles ofheterogeneity, interfaces, and disorder. As an example, while neutrons already play an important role in the areas of
biology and soft matter, step change improvements in capability will be required to make full use of the unique propertiesof neutrons to meet challenges in mastering hierarchical architectures and beyond-equilibrium matter and understanding
the critical roles of heterogeneity and interfaces. The uniform conclusion from all workshops was that in the areas ofscience covered, neutrons play a unique and pivotal role in understanding structure and dynamics in materials required todevelop future technologies.
The STS will feature an optimally sized 30 cm2 proton beam that is concentrated into one-fifth the area of the FTS beam toproduce a very high density beam of protons that strikes a 1.1 meter diameter rotating solid tungsten target. The produced
neutron beam illuminates three moderators located above and below the target that will feed up to 22 experimental
beamlines with neutron energies conditioned for specific instruments. The small-volume cold neutron moderator system isgeometrically optimized to deliver higher peak brightness neutrons.
The SNS Proton Power Upgrade (PPU) project will double the power of the SNS accelerator complex to 2.8 MW so that STS
can use one out of every six proton pulses to produce cold neutron beams with the highest peak brilliance of any current or
projected neutron sources. The high-brightness pulsed source optimized for cold neutron production will operate at 15 Hz(as compared to FTS at 60 Hz) to provide the large time-of-flight intervals corresponding to the broad time and length scales
required to characterize complex materials. The project will provide a series of kicker magnets to divert every sixth proton
pulse away from the FTS to a new line feeding the STS. Additional magnets will further deflect the beam into the transportline to the new target. A final set of quadrupole magnets will tailor the proton beam shape and distribution to match thecompact source design.
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An initial set of 22 instrument concepts, developed with input from the user community, are largely built on known anddemonstrated technologies but will need some research and development to deliver unprecedented levels of performance.
Advanced neutron optics designs are needed for high alignment and stability requirements. The lower repetition rate of STS
pushes the chopper design to larger diameter rotating elements with tighter limits on allowed mechanical vibration. The
higher peak neutron production of STS will put a greater demand on neutron detector technology.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance Measure
Beam power on target
Beam energy
Number of operating instruments at CD-4

ThresholdObjective

0.25 MW at 1.3 giga-electronvolts(GeV)
1.3 GeV6

0.7 MW at 1.3 GeV
1.3 GeV8

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

Costs

Total Estimated Cost (TEC)
DesignFY 2019

1,000

1,000

—

FY 2020

20,00020,0002,000

FY 2021

1,000

1,000

17,500Outyears

43,50043,50046,000Total, Design

65,50065,50065,500Outyears

1,158,200

1,158,200

1,158,200

Total, Construction

1,158,200

1,158,200

1,158,200

FY 2019

1,000

1,000

—

FY 2020

20,00020,0002,000

Construction

Total Estimated Cost (TEC)FY 2021

1,000

1,000

17,500Outyears

1,201,700

1,201,700

1,204,200

1,223,700

1,223,700

1,223,700

Total, TEC

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costs

Other Project Cost (OPC)FY 2016

5,941

5,941

3,069

FY 2017

62

62

2,818

FY 2018

4,802

4,802

250

FY 2019

5,000

5,000

6,262

FY 2020

17,00017,00017,400FY 2021

1,000

1,000

2,950

Outyears

11,495

11,495

12,55145,30045,30045,300

5,941

5,941

3,069

Total, OPC
Total Project Cost (TPC)FY 2016
FY 2017

62

62

2,818

FY 2018

4,802

4,802

250

FY 2019

6,000

6,000

6,262

FY 2020

37,00037,00019,400FY 2021

2,000

2,000

20,450Outyears

1,213,195

1,213,195

1,216,751

1,269,000

1,269,000

1,269,000

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

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

48,50017,00048,50017,000

N/A
N/A

Total, Design

65,50065,500

N/A

Construction
Construction
Contingency

864,700
293,500

845,000
293,500

N/A
N/A

1,158,200

1,138,500

N/A

1,223,700
310,500

1,204,000
310,500

N/A
N/A

Total Estimated Cost (TEC)

Total, Construction
Total, TEC
Contingency, TEC

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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(dollars in thousands)
Current Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

4,502
20,852
8,621
11,3251,500
18,375
14,10011,325

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

Contingency, OPC

45,30011,32545,30011,325

N/A
N/A

Total Project Costa

1,269,000

1,249,300

N/A

321,825

321,825

N/A

Other Project Cost (OPC)
OPC except D&D
R&D
Conceptual Design
Start-UpContingency
Total, OPC

Total, Contingency (TEC+OPC)
5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear
FY 2020

FY 2021

Type

Prior
Years

FY 2019b

FY 2020

FY 2021

TEC
OPC
TPC
TEC
OPC
TPC

—
6,500
6,500
—
10,805
10,805

1,000
5,000
6,000
1,000
5,000
6,000

1,000
—
1,000
20,00017,00037,000

1,000
1,000
2,000
1,000
1,000
2,000

Outyears

Total

1,201,000
32,8001,233,800
1,201,700
11,495
1,213,195

1,204,000
45,3001,249,300
1,223,700
45,3001,269,000

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

2Q FY 2032
25 years
2Q FY 2057

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

N/A

45,000Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
N/A

1,125,000

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

ab

The project is pre-CD-2; the estimated cost and schedule shown are preliminary. Construction will not be executed without appropriate CD approvals.
While no funding was requested, Congress appropriated $6,000,000 for STS in FY 2019.

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7. D&D Information
The new area being constructed in this project is not replacing existing facilities.

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

Square Feet
~380,000—~380,000———

8. Acquisition Approach
DOE has determined that ORNL will acquire the STS project under the existing DOE Management and Operations (M&O)
contract.
The M&O contractor prepared a Technical Design Report for the STS project and identified key design activities,
requirements, and high-risk subsystem components to reduce cost and schedule risk to the project and expedite thestartup. The necessary project management systems are fully up-to-date, operating, and are maintained as an ORNL-wide
resource.
ORNL will partner with other laboratories for design and procurement of key technical subsystem components. Sometechnical system designs will require research and development activities. Preliminary cost estimates for these systems are
based on operating experience of SNS and vendor quotes. ORNL, partner laboratory staff, and/or vendors will complete
design of the technical systems. Vendors and/or partner labs with the necessary capabilities will fabricate the technicalequipment. ORNL will competitively bid and award all subcontracts based on best value to the government. The M&O
contractor’s performance will be evaluated through the annual laboratory performance appraisal process.
Lessons learned from other Office of Science projects and other similar facilities will be exploited fully in planning andexecuting STS.

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18-SC-10, Advanced Photon Source Upgrade
Argonne National Laboratory
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Advanced Photon Source-Upgrade (APS-U) project is $150,000,000. The most recent DOE
Order 413.3B approved Critical Decision, CD-3 (Approve Start of Construction), was approved on July 25, 2019, with a Total
Project Cost (TPC) of $815,000,000 and CD-4, Approve Project Completion, in 2Q FY 2026.
Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2020 CPDS and does not include a new start for FY 2021.
There are no significant changes.
In FY 2019, APS-U completed the majority of equipment prototyping and development work and awarded most of thecontracts for accelerator magnets, support structures, power supplies, vacuum chambers, experimental systems, front
ends, and insertion devices needed to maintain the project schedule. Deliveries of the production first articles are arriving
for receiving inspection and are successfully passing acceptance testing. FY 2020 funding enables the advancement of thestorage ring and experimental facilities final design, engineering, prototyping, testing, fabrication, procurement, integrationand installation, and site preparation for the long beamlines. The project will complete the final design of the long beamline
building, lease off-site space for storage, assembly and receiving, and start practicing integrated module assembly. The
FY 2021 Request will support ongoing FY 2020 activities to advance the final designs, engineering, prototyping, testing,fabrication, procurement, integration, and installation for the storage ring and experimental facilities. Further site
preparation and civil construction associated with the long beamlines will occur. System integration, test, and assembly in
preparation for the storage ring removal and installation during the experimental dark time will be a high priority.
A Federal Project Director, certified to Level III, has been assigned to this project and has approved this CPDS.
Critical Milestone History
FiscalYear

CD-0

FY 2018
FY 2019
FY 2020
FY 2021

4/22/10
4/22/10
4/22/10
4/22/10

Conceptual
DesignComplete
9/18/15
9/18/15
9/18/15
9/18/15

CD-1

CD-2

2/04/16
2/04/16
2/04/16
2/04/16

1Q FY 2019
2Q FY 201912/09/18
12/09/18

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

CD-3

D&D
Complete

CD-4

4Q FY 2019
1Q FY 2020
1Q FY 2020
7/25/19

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

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

CD-0 – Approve Mission Need for a construction project with a conceptual scope and cost range
Conceptual Design Complete – Actual date the conceptual design was 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 Project Completion

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FY 2021 Congressional Budget Justification

Fiscal Year
FY 2018
FY 2019
FY 2020
FY 2021

Performance
Baseline
Validation
1Q FY 2019
2Q FY 201912/09/18
12/09/18

CD-3A

CD-3B

8/30/128/30/128/30/128/30/1210/06/16
10/06/16
10/06/16
10/06/16

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

Project Cost History
FiscalYear
FY 2018
FY 2019
FY 2020
FY 2021

TEC, Design
157,015167,000
162,825
190,425

TEC,
Construction
561,985
590,100
633,675
606,075(dollars in thousands)
OPC, Except
TEC, Total
D&D
719,000
51,000757,100
12,900796,500
18,500796,500
18,500

OPC, D&D

OPC, Total

TPC

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

51,00012,90018,50018,500770,000
770,000
815,000
815,000

2. Project Scope and Justification
Scope
The APS-U project will upgrade the existing APS to provide scientists with an x-ray light source possessing world-leadingtransverse coherence and extreme brightness. The APS-U project’s scope includes constructing a new storage ring,incorporating an multi-bend achromat (MBA) lattice utilizing the existing tunnel, new insertion devices optimized forbrightness and flux, superconducting undulators for selected beamlines, new or upgraded front-ends, and any required
modifications to the linac, booster, and radiofrequency systems. The project will also construct new beamlines andincorporate substantial refurbishment of existing beamlines, along with new optics and detectors that will enable thebeamlines to take advantage of the improved accelerator performance. Two best-in-class beamlines require conventional
civil construction to extend the beamlines beyond the existing APS Experimental Hall to achieve the desired nano-focused
beam spot size.
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 will provide the nation's researchers with a world-classscientific user facility for mission-focused research and advanced 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 to 10 years. The European Synchrotron Radiation Facility in France, PETRA-III in Germany, andSPring-8 in Japan are well into campaigns of major upgrades of beamlines and are also incorporating technologicaladvancements in accelerator science to enhance performance. In 2015, China announced its intention to construct a nextgeneration six giga-electronvolt (GeV) hard x-ray synchrotron light source.
The APS-U will upgrade the APS, by replacing the existing 20-year-old storage ring with an MBA-based machine, and will
provide a beam with a natural emittance that is orders of magnitude lower than what is currently available with thirdgeneration light sources. The MBA lattice will provide 100 to 1000 times increased brightness and coherent flux. With thisinvestment and the current APS infrastructure, the APS-U will position the APS as the leading storage ring-based hard x-ray
source in the U.S. for decades to come.

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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.
By building capability on the existing APS facility at ANL, for significantly less than the replacement cost of the APS, the APSU 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.
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.
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. The Objective KPPs
represent the desired project performance. Achievement of the Threshold KPPs is a prerequisite for approval of CD-4,
Project Completion.
Performance Measure
Storage Ring Energy

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

Beam Current

Horizontal Emittance
Brightness @ 20 keV1
Brightness @ 60 keV1
New APS-U Beamlines Transitioned to7
Operations
1Units = photons/sec/mm2/mrad2/0.1% BW

6 GeV
200 mA in top-up injection mode
≤ 42 pm-rad at 200 mA
1 x 1022
1 x 1021≥9

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

Costs

Total Estimated Cost (TEC)
DesignMIE funding
FY 2012

19,20019,2009,095

FY 2013

15,00015,00017,825121

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

(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)Costs

FY 2014

17,01517,015

12,889FY 2015

20,00020,00019,782

FY 2016

20,00020,00022,529FY 2017

34,78534,78523,873

FY 2018——

15,991

FY 2019

—

—

4,016

126,000

126,000

126,000

FY 2018

26,00026,0007,838

FY 2019

14,65014,65022,340FY 2020

21,00021,00029,420FY 2021

2,775

2,775

4,827

Total, MIE fundingLine item funding

Total, Line item funding

64,42564,42564,425

190,425

190,425

190,425

FY 2012

800

800

—

FY 2013

5,000

5,000

3,391

FY 2014

2,985

2,985

4,534

FY 2015——573

Total, Design
Construction
MIE funding

FY 2016———

FY 2017

7,715

7,715

389

FY 2018

—

—

4,222

FY 2019

—

—

3,391

16,50016,50016,500FY 2018

67,00067,000FY 2019
FY 2020

115,350
149,000

115,350
149,000

2,085
18,638
153,950

FY 2021147,225

147,225

217,075

Outyears

111,000

111,000

197,827

589,575
606,075

589,575
606,075

589,575
606,075

Total, MIE fundingLine item funding

Total, Line item funding
Total, Construction

Science/Basic Energy Sciences/18-SC-10 Advanced Photon Source Upgrade122

FY 2021 Congressional Budget Justification

(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costs

Total Estimated Cost (TEC)
MIE funding
FY 201220,00020,0009,095

FY 2013

20,00020,00021,216

FY 201420,00020,00017,423

FY 2015

20,00020,00020,355FY 2016

20,00020,00022,529FY 201742,50042,50024,262

FY 2018——

20,213

FY 2019

—

—

7,407

142,500

142,500

142,500

FY 2018

93,00093,000FY 2019
FY 2020130,000
170,000

130,000
170,000

9,923
40,978183,370

FY 2021150,000

150,000

221,902

Outyears

111,000

111,000

197,827654,000

654,000

654,000

796,500

796,500

796,500

FY 2010

1,000

1,000

587

FY 2011

7,500

7,500

3,696

FY 2012

—

—

4,217

8,500

8,500

8,500

10,00010,00010,00010,00010,00010,00018,50018,50018,500123

FY 2021 Congressional Budget Justification

Total, MIE fundingLine item funding

Total, Line item funding
Total, TEC
Other Project Cost (OPC)
OPC except D&D
MIE funding

Total, MIE fundingLine item funding
Outyears
Total, Line item funding
Total, OPC

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

(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costs

Total Project Cost (TPC)
MIE funding
FY 2010

1,000

1,000

587

FY 2011

7,500

7,500

3,696

FY 201220,00020,00013,312

FY 2013

20,00020,00021,216

FY 201420,00020,00017,423

FY 2015

20,00020,00020,355FY 2016

20,00020,00022,529FY 201742,50042,50024,262

FY 2018——

20,213—151,000—
151,000

7,407
151,000

FY 2018

93,00093,000FY 2019
FY 2020130,000
170,000

130,000
170,000

9,923
40,978183,370

FY 2021150,000

150,000

221,902

Outyears

121,000

121,000

207,827

664,000

664,000

664,000

815,000

815,000

815,000

Current Total
Estimate

Previous Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

182,8257,600

146,825
16,000166,962
9,696

Total, Design

190,425

162,825

176,658

124

FY 2021 Congressional Budget Justification

FY 2019
Total, MIE fundingLine item funding

Total, Line item funding
Total, TPC
4. Details of Project Cost Estimate(dollars in thousands)

Total Estimated Cost (TEC)

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

(dollars in thousands)
Current Total
Estimate

Previous Total
Estimate

Original
Validated
Baseline

Construction
Equipment
Other Construction
Contingency

461,675
17,000127,400

483,575
15,000135,100

465,180
17,000137,662

Total, Construction

606,075

633,675

619,842796,500
135,000

796,500
151,100

796,500
147,358

OPC except D&D
Conceptual Planning
Conceptual Design
Start-UpContingency

1,000
7,500
7,100
2,900

1,000
7,500
7,800
2,200

1,000
7,500
7,100
2,900

Total, OPC

18,50018,50018,500Contingency, OPC

2,900

2,200

2,900

Total Project Cost
Total, Contingency(TEC+OPC)

815,000

815,000

815,000

137,900

153,300

150,258

Total, TEC
Contingency, TEC
Other Project Cost (OPC)

5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear
FY 2018

FY 2019

FY 2020

FY 2021Type

Prior Years

FY 2019

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

162,500
8,500
171,000
162,500
8,500
171,000
235,500
8,500
244,000
235,500
8,500
244,000

81,772—
81,77260,000—60,000130,000—
130,000
130,000—
130,000

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

FY 2020
152,419—
152,419150,000—
150,000
150,000—
150,000
170,000—
170,000

125

FY 2021

Outyears

160,000
5,000
165,000
159,780—
159,780
160,000
5,000
165,000
150,000—
150,000

162,30937,500199,809
224,8204,400
229,220
121,000
5,000
126,000
111,000
10,000121,000

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

FY 2021 Congressional Budget Justification

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

2Q FY 2026
25 years
2Q FY 2051

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

N/A

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate

18,000N/A

450,000

The numbers presented are the incremental operations and maintenance costs above the existing APS facility without
escalation. The estimate will be updated will be updated as the project is executed.
7. D&D Information
The new area being constructed in this project is not replacing existing facilities.

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

Square Feet
26,000-28,000—
26,000-28,000———

Approximately 7,000-10,000 square feet of new construction is needed for the 2 beamlines extending beyond the current
APS experimental facility.
8. Acquisition Approach
ANL will acquire the APS-U project under the existing DOE Management and Operations (M&O) contract between DOE andUChicago Argonne, LLC. The acquisition of equipment and systems for large research facilities is within the scope of the
DOE contract for the management and operations of ANL and consistent with the general expectation of the responsibilities
of DOE M&O contractors.
ANL will have prime responsibility for oversight of all contracts required to execute this project, which will include managing
the design and construction of the APS-U accelerator incorporating an MBA magnet lattice, insertion devices, front ends,
beamlines/experimental stations, and any required modifications to the linac, booster, and radiofrequency systems. ANL
has established an APS-U project organization with project management, procurement management, and ES&H
management with staff qualified to specify, select and oversee procurement and installation of the accelerator andbeamline components and other technical equipment. ANL will procure these items through competitive bids based on a‘best value’ basis from a variety of sources, depending on the item, and following all applicable ANL procurement
requirements. The APS-U project will most likely be accomplished using the design-bid-fabricate method. This provenapproach provides the project with direct control over the accelerator components and beamline design, equipment
specification and selection, and all contractors. The M&O contractor’s performance will be evaluated through the annuallaboratory performance appraisal process.
Science/Basic Energy Sciences/18-SC-10 Advanced Photon Source Upgrade126

FY 2021 Congressional Budget Justification

18-SC-11, Proton Power Upgrade
Oak Ridge National Laboratory, Oak Ridge, Tennessee
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Proton Power Upgrade (PPU) project is $8,000,000, including $5,000,000 in Total Estimated
Cost (TEC) funds and $3,000,000 in Other Project Costs (OPC) funds. The most recent DOE O 413.3B approved Critical
Decision (CD) is CD-3B (Approve Long Lead Procurements), approved on September 3, 2019. The preliminary Total Project
Cost (TPC) range, based on early concepts under consideration, is $184,000,000 - $320,000,000.
Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2020 CPDS and does not include a new start for FY 2021.
There are no significant changes.
In FY 2019, the project continued R&D, design, engineering, prototyping, preliminary and final design, long-leadprocurement, and activities aimed at further advancing the target performance in coordination with Spallation Neutron
Source (SNS) operations target management. Additional long lead procurement authority (CD-3B), approved in late FY 2019and executed in FY 2020, will advance the klystron gallery buildout, radiofrequency (RF) procurements, and cryomodule
hardware procurements and assembly. In FY 2020, the project will continue R&D, engineering, prototyping, preliminary andfinal design, testing, fabrication, procurement, and component integration and installation. Target R&D, engineering,
design, and prototyping to improve performance and reliability will also continue. In FY 2021, the project will prioritizethese continuing activities of R&D, engineering, prototyping, preliminary and final design, testing, fabrication, procurement,
component integration and installation, and civil construction site preparation. Advancing the target R&D, engineering,
design, and prototyping in conjunction with SNS operations target improvement plans will be a high priority.
A Federal Project Director, certified to level I, has been assigned to this project and has approved this CPDS.
Critical Milestone History
FiscalYear

CD-0

FY 2020
FY 2021a

1/07/09
1/07/09

Conceptual
DesignComplete
8/01/17
8/01/17

CD-1

CD-2

4/04/18
4/04/18

2Q FY 2021
2Q FY 2021

Final
DesignComplete
4Q FY 2022
4Q FY 2022

CD-3

D&D
Complete

CD-4

3Q FY 2022
2Q FY 2021

N/A
N/A

3Q FY 2027
3Q FY 2027

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 Closeouta

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

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Proton Power Upgrade

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FY 2021 Congressional Budget Justification

Fiscal Year
FY 2020
FY 2021a

Performance
Baseline
Validation
2Q FY 2021
2Q FY 2021

CD-3A

CD-3B

10/05/18
10/05/18

2Q FY 2020
9/03/19

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

Project Cost History
FiscalYear
FY 2020
FY 2021a

TEC, Design
27,30046,700TEC,
Construction
210,000
189,502(dollars in thousands)
OPC, Except
TEC, Total
D&D
237,300
12,700236,202
13,798

OPC, D&D

OPC, Total

TPC

N/A
N/A

12,70013,798250,000
250,000

2. Project Scope and Justification
Scope
The PPU project will design, build, install, and test the equipment necessary to double the accelerator power from 1.4
megawatts (MW) to 2.8 MW, upgrade the existing SNS target system to accommodate beam power up to 2 MW, anddeliver a 2 MW qualified target. PPU includes the provision for a stub-out in the SNS transport line to the existing target tofacilitate rapid connection to a new proton beamline. The project also includes modifications to some buildings andservices. Costs for acceptance testing, integrated testing, and initial commissioning to demonstrate achievement of the
KPPs are included in the PPU scope.
Justification
The BES mission is to “support fundamental research to understand, predict, and ultimately control matter and energy atthe electronic, atomic, and molecular levels in order to provide the foundations for new energy technologies and to support
DOE missions in energy, environment, and national security.” BES accomplishes its mission by operating large-scale user
facilities consisting of a complementary set of intense x-rays sources, neutron scattering centers, electron beamcharacterization capabilities, and research centers for nanoscale science.
In the area of neutron science, numerous studies by the scientific community since the 1970s have established the scientificjustification and need for a very high-intensity pulsed neutron source in the U.S. The SNS, which began its user program at
ORNL in 2007, currently fulfills the need. In accordance with the 1996 BESAC (Russell Panel) Report recommendation, theSNS was designed to be upgradeable so as to maintain its position of scientific leadership in the future, and many technicalmargins were built into the SNS systems to facilitate a power upgrade into the 2 to 4 MW range.
An upgraded SNS will enable many advances in the opportunities described in the 2015 BESAC report “Challenges at the
Frontiers of Matter and Energy: Transformative Opportunities for Discovery Science.” Four workshops were held by ORNL
to assess the neutron scattering needs in quantum condensed matter, soft matter, biology, and the frontiers in materials
discovery. These four areas encompass and directly map to the transformative opportunities identified in the BES Grand
Challenges update. Quantum materials map most directly to harnessing coherence in light and matter, while soft matterand biology align primarily with mastering hierarchical architectures and beyond-equilibrium matter, and frontiers inmaterials discovery explored many of the topics in beyond ideal materials and systems: understanding the critical roles ofheterogeneity, interfaces, and disorder. As an example, while neutrons already play an important role in the areas of
biology and soft matter, step change improvements in capability will be required to make full use of the unique propertiesof neutrons to meet challenges in mastering hierarchical architectures and beyond-equilibrium matter and understandingaThe 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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the critical roles of heterogeneity and interfaces. The uniform conclusion from all workshops was that in the areas ofscience covered, neutrons play a unique and pivotal role in understanding structure and dynamics in materials required todevelop future technologies.
The two neutron scattering facilities in the BES portfolio, the High Flux Isotope Reactor (HFIR) and the SNS, are both sited at
ORNL and address one of the DOE’s key research areas—the use of neutrons and sophisticated instrumentation to probe
materials. Many technical margins were built into SNS systems to facilitate a power upgrade to at least 2 MW, with theability to extract some of that power to a second target station.
PPU will accomplish the energy upgrade by fabricating and installing seven new superconducting RF cryomodules, withsupporting RF equipment, in the existing SNS linac tunnel and klystron gallery. The high voltage converter modulators andklystrons for some of the existing installed RF equipment will be upgraded to handle the higher beam current. The
accumulator ring will be upgraded with minor modifications to the injection and extraction areas. A new high-volume gas
injection system for pressure pulse and cavitation mitigation in the mercury target and a redesigned mercury target vessel
will allow the first target station to handle the increased beam power of 2 MW.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance Measure
Beam power on target

Threshold
1.7 MW at 1.25 giga-electronvolts(GeV)
Beam energy
1.25 GeV
Target operational time without failure 1,250 hours at 1.7 MWStored beam intensity in ring≥ 1.6x1014 protons at 1.25 GeV
Number of PPU installed cryomodules 6

Objective
2.0 MW at 1.3 GeV
1.3 GeV
1,250 hours at 2.0 MW≥ 2.24x1014 protons at 1.3 GeV
7

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

Costs

Total Estimated Cost (TEC)
DesignFY 2018

5,000

5,000

2,655

FY 2019

16,00016,00012,647FY 2020

20,70020,70017,640FY 2021

5,000

5,000

8,060

Outyears

—

—

5,698

Total, Design

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costs

Construction
FY 2018

31,00031,0001,794

FY 201944,00044,0008,480

FY 2020

39,30039,30086,000FY 2021——18,026Outyears

75,20275,20275,202

Total, Construction

189,502

189,502

189,502

FY 2018

36,00036,0004,449

FY 201960,00060,00021,127FY 202060,00060,000103,640

Total Estimated Cost (TEC)FY 2021

5,000

5,000

26,086Outyears

75,20275,20280,900236,202236,202236,202

FY 2016

4,059

4,059

1,267

FY 2017

6,739

6,739

3,773

FY 2018

—

—

3,004

FY 2019

—

—

1,567

Total, TEC
Other Project Cost (OPC)FY 2020

—

—

1,187

FY 2021

3,000

3,000

1,830

Outyears

—

—

1,170

13,798

13,798

13,798FY 2016

4,059

4,059

1,267

FY 2017

6,739

6,739

3,773

FY 2018

36,00036,0007,453

FY 201960,00060,00022,694

FY 202060,00060,000104,827

FY 2021

8,000

8,000

27,916Outyears

75,20275,202

82,070250,000

250,000

250,000

Total, OPC
Total Project Cost (TPC)

Total, TPC

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

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

38,8007,900

20,800
6,500

N/A
N/A

Total, Design

46,70027,300

N/A

Construction
Construction
Contingency

137,70251,800156,000
54,000

N/A
N/A

189,502

210,000

N/A

236,20259,700237,300
60,500

N/A
N/A

2,800
6,498
1,300
3,200

2,500
5,225
1,800
3,175

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

12,700

N/A

Contingency, OPC

13,798
3,200

3,175

N/A

Total Project Cost

250,000

250,000

N/A

Total, Contingency (TEC+OPC)

62,90063,675

N/A

Total Estimated Cost (TEC)

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

5. Schedule of Appropriations Requests(dollars in thousands)
Request Year
FY 2020

FY 2021a

Type

Prior Years

FY 2019a

FY 2020

FY 2021

TEC
OPC
TPC
TEC
OPC
TPC

36,00010,30046,30036,00010,79846,79860,000—60,00060,000—60,000

5,000
—
5,000
60,000—60,00030,000—30,000
5,000
3,000
8,000

Outyears
106,300
2,400
108,700
75,202—75,202

Total
237,300
12,700250,000
236,202
13,798250,000

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

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

3Q FY 2027
40 years
3Q FY 2067

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

N/A

9,325

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

373,000

7. D&D Information
The new area being constructed in this project is not replacing existing facilities.

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

Square Feet
3,000-4,000—
3,000-4,000———

8. Acquisition Approach
DOE has determined that the PPU project will be acquired by ORNL under the existing DOE Management and Operations(M&O) contract.
The M&O contractor has completed a Conceptual Design Report for the PPU project and identified key design activities,
requirements, and high-risk subsystem components to reduce cost and schedule risk to the project and expedite thestartup. The necessary project management systems are fully up-to-date, operating, and are maintained as an ORNL-wide
resource.
ORNL will partner with other laboratories for design and procurement of key technical subsystem components. Sometechnical system designs will require research and development activities. Preliminary cost estimates for these systems are
based on operating experience of SNS and vendor quotes. ORNL, partner laboratory staff, and/or vendors will complete thedesign of the technical systems. Vendors and/or partner labs with the necessary capabilities will fabricate technicalequipment. All subcontracts will be competitively bid and awarded based on best value to the government.
Lessons learned from other Office of Science projects and other similar facilities will be exploited fully in planning andexecuting PPU. The M&O contractor’s performance will be evaluated through the annual laboratory performance appraisal
process.

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18-SC-12, Advanced Light Source Upgrade
Lawrence Berkeley National Laboratory
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Advanced Light Source Upgrade (ALS-U) project is $13,000,000. The most recent DOE Order413.3B approved Critical Decision (CD) is CD-3A (Approve Long Lead Procurements), approved December 19, 2019. The
preliminary Total Project Cost (TPC) range, based on the reviewed conceptual design, is $330,000,000 - $495,000,000.
Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2020 CPDS and does not include a new start for FY 2021.
The project TPC estimate increased to $410,200,000 at the approval of CD-3A and the Project Completion Date (CD-4)
remains at 2Q FY 2028. The TPC estimate increase resulted from a maturing design effort for the project which identified
additional costs in the project office, accelerator systems, beamlines, and removal and installation elements. Cost increases
resulted from the addition of scope to reduce risks, correction of labor estimates, and updating of equipment costs
resulting from design improvements.
In FY 2019, the project continued planning, engineering, design, research and development (R&D), and prototyping
activities. FY 2020 funding continues the support of planning, engineering, design, and R&D prototyping activities, andinitiates long lead procurements. FY 2021 funding will continue support of engineering, design, R&D prototyping, and longlead procurements of construction items. Authorization of full construction activities is anticipated for late in FY 2021 or
early FY 2022.
A Federal Project Director, certified to Level III, has been assigned to this project and has approved this CPDS.
Critical Milestone History
FiscalYear

CD-0

FY 2019
FY 2020
FY 2021a

9/27/16
9/27/16
9/27/16

Conceptual
DesignComplete
4Q FY 2019
4/30/18
4/30/18

CD-1

CD-2

4Q FY 20199/21/18
9/21/18

4Q FY 2020
2Q FY 2021
2Q FY 2021

Final
DesignComplete
4Q FY 2022
4Q FY 2021
4Q FY 2021

CD-3

D&D
Complete

CD-4

4Q FY 2021
1Q FY 2022
1Q FY 2022

N/A
N/A
N/A

4Q FY 2026
2Q FY 2028
2Q FY 2028

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

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

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Fiscal Year
FY 2019
FY 2020
FY 2021a

Performance
Baseline
Validation
4Q FY 2020
2Q FY 2021
2Q FY 2021

CD-3A
4Q FY 2020
4Q FY 201912/19/19

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

Project Cost History
FiscalYear
FY 2019
FY 2020
FY 2021a

TEC, Design
39,00089,75089,750TEC,
Construction
243,000
248,250
290,450(dollars in thousands)
OPC, Except
TEC, Total
D&D
282,000
38,000338,000
30,000380,200
30,000

OPC, D&D

OPC, Total

TPC

N/A
N/A
N/A

38,00030,00030,000320,000
368,000
410,200

2. 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 ofmagnitudes brighter—a 10-1000 times increase in brightness over the current ALS—and to provide a significantly higher
fraction of coherent light in the soft x-ray region (approximately 50-2,000 electronvolts [eV]) than is currently available at
ALS. The project will replace the existing triple-bend achromat storage ring with a new, high-performance storage ringbased 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, swap-out injection using fast kicker magnets. The new source will require upgrading xray optics on existing beamlines with some beamlines 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, theproject 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 performanceachievable 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 the entire 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 (approximately 50 to 2,000 eV) are ideally suited for revealing the chemical, electronic, andmagnetic properties of materials, as well as the chemical reactions that underpin these properties. This knowledge is crucial
for the design 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, BES operates advanced ring-based light sources that produce soft x-rays. The NSLS-II, commissioned in 2015, isthe 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
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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but not above that. NSLS-II is somewhat lower in brightness than the new Swedish light source, MAX-IV, which is currently
under commissioning and represents the first use of a MBA lattice design in a light source facility. Neither NSLS-II nor ALS
make use of the newer MBA lattice design. Switzerland’s SLS-2 (an MBA-based design in the planning stage) will be abrighter soft x-ray light source than both NSLS-II and 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 toprovide competitive x-ray sources to domestic users. Neither NSLS-II nor ALS soft x-ray light sources possess sufficientbrightness or coherent flux to provide the capability to meet the mission need in their current configurations.
BES is currently supporting two major light source upgrade projects, the APS-U and 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 that demand stable, nearly continuous soft x-rays with high brightness and highcoherence.
APS-U, which is under construction at ANL, 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, which is under construction at SLAC, is a high repetition rate (up to 1 MHz) free electron laser (FEL) designed to
produce high brightness, coherent x-rays, but in extremely short bursts rather than as a nearly continuous beam. Storagerings 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 existing ALS is a 1.9 GeV storage ring operating at 500 milliamps (mA) of beam current. It is optimized to produce
intense beams of soft x-rays, which offer spectroscopic contrast, nanometer-scale resolution, and broad temporalsensitivity. The ALS facility includes an accelerator complex and photon delivery system that are capable of providing thefoundations for an upgrade that will achieve world-leading soft x-ray coherent flux. The existing ALS provides a ready-madefoundation, including conventional facilities, a $500,000,000 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 to 40) simultaneously operating beamlines and instrumentation, an experimental hall,
computing resources, ancillary laboratories, offices, and related infrastructure that will be heavily utilized in an upgrade
scenario. Furthermore, the upgrade 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 oftools that combine high resolution spatial imaging together with precise energy resolving spectroscopic techniques in thesoft x-ray range. To enable these cutting edge experimental techniques, it is necessary to possess an ultra-bright source ofsoft x-ray light that generates the high coherent x-ray flux required to resolve nanometer-scale features and interactions,and to allow 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 futureenergy 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.

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Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance MeasureThreshold
Storage Ring Energy≥ 1.9 GeV
Beam Current> 25 mA
Horizontal Emittance< 150 pm-rad
Brightness @ 1 keV1
> 2 x 1019
New MBA Beamlines
2
1Units = photons/sec/0.1% BW/mm2/mrad2

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

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

Costs

Total Estimated Cost (TEC)
DesignFY 2018

16,00016,000—FY 2019

35,00035,00022,054

FY 2020

10,00010,00027,946

FY 202113,00013,00024,000Outyears

15,75015,75015,750Total, Design

89,75089,75089,750FY 2019

25,00025,000—FY 2020

50,00050,00050,000FY 2021——22,000Outyears

215,450

215,450

218,450

Total, Construction

290,450

290,450

290,450

FY 2018

16,00016,000—FY 201960,00060,00022,054

FY 202060,00060,00077,946

FY 202113,00013,00046,000Outyears

231,200

231,200

234,200

380,200

380,200

380,200

Construction

Total Estimated Cost (TEC)

Total, TEC

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costs

Other Project Cost (OPC)FY 2016

5,000

5,000

1,430

FY 2017

5,000

5,000

5,306

FY 2018

14,00014,00011,699FY 2019

2,000

2,000

1,863

FY 2020

2,000

2,000

5,607

FY 2021———

Outyears

2,000

2,000

4,095

30,00030,00030,000

5,000

5,000

1,430

Total, OPC
Total Project Cost (TPC)FY 2016
FY 2017

5,000

5,000

5,306

FY 2018

30,00030,00011,699FY 201962,00062,00023,917FY 202062,00062,00083,553

FY 202113,00013,00046,000Outyears

233,200

233,200

238,295

410,200

410,200

410,200

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

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

69,80019,95069,80019,950

N/A
N/A

Total, Design

89,75089,750N/A

Total Estimated Cost (TEC)

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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(dollars in thousands)
Current Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

Construction
Site Preparation
Equipment
Other Construction
Contingency—
230,400—
60,050—188,500—
59,750

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

Total, Construction

290,450

248,250

N/A

380,200
80,000338,000
79,700

N/A
N/A

2,000
12,100
8,000
2,000

2,000
12,100
8,000
1,200

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

5,900

6,700

N/A

Total, OPC

30,00030,000

N/A

Contingency, OPC

5,900

6,700

N/A

Total Project Cost

410,200

368,000

N/A

Total, Contingency (TEC+OPC)

85,90086,400N/A

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

5. Schedule of Appropriations Requests(dollars in thousands)
Request Year
FY 2019

FY 2020

FY 2021Type

Prior Years

TEC
OPC
TPC
TEC
OPC
TPC
TEC
OPC
TPC

—
10,00010,00016,00024,00040,00016,00024,00040,000Science/Basic Energy Sciences/18-SC-12
Advanced Light Source Upgrade

FY 2019

FY 2020

10,0002,000
12,00060,0002,000
62,00060,0002,000
62,00026,5405,000
31,54013,0002,000
15,00060,0002,000
62,000138

FY 202132,640—32,64068,000—68,00013,000—13,000Outyears
212,820
212,820
21,000233,820
181,000
2,000
183,000
231,200
2,000
233,200

Total
282,000
38,000320,000
338,000
30,000368,000
380,200
30,000410,200

FY 2021 Congressional Budget Justification

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

2Q FY 2028
25 years
2Q FY 2053

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

N/A—

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

7. D&D Information
At this stage of project planning and development, SC anticipates that there will be no new area being constructed in theconstruction project.
8. Acquisition Approach
DOE has determined that the Lawrence Berkeley National Laboratory (LBNL) will acquire the ALS-U project under the
existing DOE Management and Operations (M&O) contract.
LBNL has prepared a Conceptual Design Report for the ALS-U project and identified key design activities, requirements, andhigh-risk subsystem components to reduce cost and schedule risk to the project and expedite the startup. The necessary
project management systems are fully up-to-date, operating, and are maintained as a LBNL-wide resource.
LBNL may partner with other laboratories for design and procurement of key technical subsystem components. Technicalsystem designs will require research and development activities. Preliminary cost estimates for these systems are based on
ALS actual costs and other similar facilities, to the extent practicable. Planning and budgeting for the project will exploit
recent cost data from similar projects. LBNL or partner laboratory staff will complete the design of the technical systems.
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. The M&O contractor’s
performance will be evaluated through the annual laboratory performance appraisal process.
Lessons learned from other SC projects and other similar facilities will be exploited fully in planning and executing ALS-U.

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140

18-SC-13, Linac Coherent Light Source-II High Energy
SLAC National Accelerator Laboratory
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Linac Coherent Light Source-II High Energy (LCLS-II-HE) project is $16,000,000, including$14,000,000 in Total Estimated Cost (TEC) funds and $2,000,000 in Other Project Costs (OPC) funds. The most recent DOE
Order 413.3B approved Critical Decision (CD) is CD-1 (Approve Alternate Selection and Cost Range), approved on September
21, 2018. The preliminary Total Project Cost (TPC) range based on the reviewed conceptual design is $290,000,000 $480,000,000.
Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2020 CPDS and does not include a new start for FY 2021.
The project underwent a successful Independent Project Review by the Office of Science in November 2019 to request
approval of CD-3A, Approve Long Lead Procurements. The CD-3A approval is anticipated in the 2Q FY 2020. The project’s
Total Project Cost (TPC) estimate increased to $428,000,000 at the time of the CD-3A review. The Project Completion Date
(CD-4) remains at 1Q FY 2029. The TPC estimate increase resulted from a maturing design effort that identified additionalcosts across the project scope and an increase in the project’s contingency to address several future risks. Two major risks
centered on the ability to operate the LCLS-II cryomodules above their design accelerating gradient and for the LCLS-II-HE
cryomodules to meet their design operating gradient which is significantly higher than previously achieved. The R&D
program in progress for the LCLS-II-HE cryomodules is showing promise but is not yet complete. The performance of the
LCLS-II cryomodules will not be known until sometime in FY 2020 when the LCLS-II project begins the accelerator
commissioning. Both risks can be mitigated by adding additional cryomodules to the project.
In FY 2019, the project continued planning, engineering, design, R&D, and prototyping activities. The project initiated an
R&D program aimed at further advancing the performance of the superconducting radio frequency (RF) cavities, which has
shown promise on meeting the technological goals required. FY 2020 funding continues the support of planning,
engineering, design, R&D prototyping, and long lead procurements, as appropriate. FY 2021 funding will continue
engineering, design, R&D prototyping, and long lead procurements of construction items.
A Federal Project Director, certified to Level IV, has been assigned to this project and has approved this CPDS.
Critical Milestone History
FiscalYear

CD-0

FY 2019
FY 2020
FY 2021a

12/15/16
12/15/16
12/15/16

Conceptual
DesignComplete
3Q FY 20193/23/18
3/23/18

CD-1

CD-2

1Q FY 20199/21/18
9/21/18

1Q FY 2021
2Q FY 2023
2Q FY 2023

Final
DesignComplete
1Q FY 2023
1Q FY 2023
1Q FY 2023

CD-3

D&D
Complete

CD-4

2Q FY 2022
2Q FY 2023
2Q FY 2023

N/A
N/A
N/A

2Q FY 2026
1Q FY 2028
1Q FY 2029

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 Constructiona

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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D&D Complete – Completion of D&D workCD-4 – Approve Start of Operations or Project Closeout

Fiscal Year
FY 2019
FY 2020
FY 2021a

Performance
Baseline
Validation
1Q FY 2021
2Q FY 2023
2Q FY 2023

CD-3A
4Q FY 2019
4Q FY 2019
2Q FY 2020

CD-3A – Approve Long-Lead Procurements for cryomodule associated parts and equipment.

Project Cost History
FiscalYear
FY 2019
FY 2020
FY 2021a

TEC, Design
34,00034,00034,000TEC,
Construction
266,000
314,000
374,000(dollars in thousands)
OPC, Except
TEC, Total
D&D
300,000
20,000348,000
20,000408,000
20,000

OPC, D&D

OPC, Total

TPC

N/A
N/A
N/A

20,00020,00020,000320,000
368,000
428,000

2. Project Scope and Justification
Scope
The LCLS-II-HE project’s scope includes increasing the superconducting linac energy from 4 giga-electronvolts (GeV) to 8
GeV by installing additional cryomodules in the first kilometer of the existing linac tunnel. The electron beam will betransported 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
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.
There is also a limited ability to observe and understand the structural dynamics of complex matter at the atomic scale withhard x-rays, at ultrafast time scales, and in operational environments. Overcoming this capability gap is crucial for thedesign, control and understanding of new advanced materials necessary to develop new energy technologies. To achieve
this objective, the Department needs a hard x-ray source capable of producing high energy ultrafast bursts, with full spatial
and temporal coherence, at high repetition rates. Possession of a hard x-ray source with a photon energy range from 5 keVa

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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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 lightsource.
The LCLS-II project at SLAC, which is currently under construction and will begin operations in 2020-2021, only partiallyaddresses 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 fromprior designs that will allow continuous operation up to 1 megahertz (MHz).
When completed, LCLS-II will be powered by SLAC’s 4 GeV superconducting electron linear accelerator (linac). Over the past
years, the cryomodule design for LCLS-II has performed beyond expectations, providing the technical basis to double theelectron beam energy. It is therefore conceivable to add additional acceleration capacity at SLAC to double the electron
beam energy from 4 GeV to 8 GeV. Calculations indicate that an 8 GeV linac will deliver a hard x-ray photon beam with peakenergy of 12.8 keV, which will meet the mission need.
The LCLS-II-HE project will upgrade the LCLS-II to maintain U.S. leadership in XFEL science. The upgrade will provide world
leading experimental capabilities for the U.S. research community by extending the x-ray energy of LCLS-II from 5 keV to 12
keV and beyond. The flexibility and detailed pulse structure associated with the proposed LCLS-II-HE facility will not bematched by other facilities under development worldwide.
Based on the factors described above, the most effective and timely approach for DOE to meet the Mission Need andrealize the full potential of the facility is by upgrading the LCLS-II, currently under construction at SLAC, by increasing theenergy of the 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 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. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance Measure
Superconducting linac electron beamenergyElectron 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)

ThresholdObjective≥ 7 GeV> 8 GeV

93 kHz0.02 nC

929 kHz0.1 nC

200 to > 8,000 eV>3

200 to > 12,000 eV>55x108 (50x spontaneous @ 8 keV)> 10 @ 8 keV (200 J) or

11
10> 10 @ 12.8 keV (20 J)

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

Costs

Total Estimated Cost (TEC)
DesignFY 2018

2,000

2,000

—

FY 2019

10,00010,0004,400

FY 2020

6,000

6,000

11,600FY 2021

6,000

6,000

8,000

Outyears

10,00010,00010,000Total, Design

34,00034,00034,000FY 2018

6,000

6,000

—

FY 2019

18,00018,000—FY 2020

44,00044,00064,000FY 2021

8,000

8,000

12,000Outyears

298,000

298,000

298,000

Total, Construction

374,000

374,000

374,000

FY 2018

8,000

8,000

—

FY 2019

28,00028,0004,400

FY 2020

50,00050,00075,600Construction

Total Estimated Cost (TEC)FY 2021

14,00014,00020,000Outyears

308,000

308,000

308,000

408,000

408,000

408,000

FY 2018

2,000

2,000

1,191

FY 2019

6,000

6,000

2,041

FY 2020

4,000

4,000

7,959

FY 2021

2,000

2,000

2,809

Total, TEC
Other Project Cost (OPC)

Outyears
Total, OPC

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6,000

6,000

6,000

20,00020,00020,000144

FY 2021 Congressional Budget Justification

(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costs

Total Project Cost (TPC)FY 2018

10,00010,0001,191

FY 2019

34,00034,0006,441

FY 202054,00054,00083,559FY 2021

16,00016,00022,809Outyears

314,000

314,000

314,000

428,000

428,000

428,000

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

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

30,5003,500

30,500
3,500

N/A
N/A

Total, Design

34,00034,000

N/A

Construction
Site Preparation
Equipment
Other Construction
Contingency

3,000
250,700
9,000
111,300

3,000
236,000
9,000
66,000

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

Total, Construction

374,000

314,000

N/A

408,000
114,800

348,000
69,500

N/A
N/A

Total Estimated Cost (TEC)

Total, TEC
Contingency, TEC

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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(dollars in thousands)
Current
Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

OPC except D&D
R&D
Conceptual Planning
Conceptual Design
Start-UpContingency

4,000
1,500
2,000
6,500
6,000

4,000
1,500
2,000
6,500
6,000

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

Total, OPC

20,00020,000

N/A

Contingency, OPC

6,000

6,000

N/A

Total Project Cost

428,000

368,000

N/A

Total, Contingency (TEC+OPC)

120,800

75,500

N/A

Other Project Cost (OPC)

5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear
FY 2019

FY 2020

FY 2021

Type
TEC
OPC
TPC
TEC
OPC
TPC
TEC
OPC
TPC

Prior
Yearsa
—
—
—
8,000
2,000
10,0008,000
2,000
10,000FY 2019

FY 2020

FY 2021

5,000
2,000
7,000
28,0006,000
34,00028,0006,000
34,00020,0604,000
24,06014,0004,000
18,00050,0004,000
54,00025,000—25,00060,000—60,00014,0002,000
16,000Outyears
249,940
14,000263,940
238,000
8,000
246,000
308,000
6,000
314,000

Total
300,000
20,000320,000
348,000
20,000368,000
408,000
20,000428,000

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

1Q FY 2029
25 years
1Q FY 2054

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

N/A

21,500Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
N/A

537,500

While no funding was requested, Congress appropriated $10,000,000 for LCLS-II-HE in FY 2018.

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The numbers presented are the incremental operations and maintenance costs above the LCLS-II facility without escalation.
The estimate will be updated and additional details will be provided after CD-2, Approve Project Performance Baseline.
7. D&D Information
At this stage of project planning and development, SC anticipates that there will be no new area being constructed in theconstruction project.
8. Acquisition Approach
DOE has determined that the SLAC National Accelerator Laboratory will acquire the LCLS-II-HE project under the existing
DOE Management and Operations (M&O) contract.
SLAC has prepared a Conceptual Design Report for the LCLS-II-HE project and identified key design activities, requirements,and high-risk subsystem components to reduce cost and schedule risk to the project and expedite the startup. The
necessary project management systems are fully up-to-date, operating, and are maintained as a SLAC-wide resource.
SLAC will partner with other laboratories for design and procurement of key technical subsystem components. Technicalsystem designs will require research and development activities. Preliminary cost estimates for these systems are based on
actual costs from LCLS-II and other similar facilities, to the extent practicable. The M&O contractor will fully exploit recent
cost data in planning and budgeting for the project. SLAC or partner laboratory staff will complete the design of thetechnical systems. SLAC or subcontracted vendors with the necessary capabilities will fabricate the technical equipment. All
subcontracts will be competitively bid and awarded based on best value to the government. The M&O contractor’s
performance will be evaluated through the annual laboratory performance appraisal process.
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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148

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 fundamental biological, biogeochemical, and physical principles needed to seamlessly
predict the processes ranging from the molecular and genome-controlled smallest scales to environmental and ecologicalprocesses at the scale of planet Earth. Starting with the genetic information encoded in organisms’ genomes, BER researchseeks to discover the principles that guide the translation of the genetic code into the functional proteins and the metabolicand regulatory networks underlying the systems biology of plants and microbes as they respond to and modify theirenvironments. This predictive understanding will enable design and reengineering of microbes and plants underpinningenergy independence and a broad clean energy portfolio, including improved biofuels and bioproducts, improved carbon
storage capabilities, and controlled biological transformation of materials such as nutrients and contaminants in theenvironment. An equally important focus is ensuring that emerging technologies in gene editing and genomics aredeveloped using approaches that enhance the stability, resilience, and controlled performance of biological systems in theenvironment. BER research also advances the fundamental understanding of dynamic, physical, and biogeochemical
processes required to systematically develop Earth System models that integrate across the atmosphere, land masses,
oceans, sea ice, and subsurface. These predictive tools and approaches are needed to inform policies and plans for ensuring
the security and resilience of the Nation’s critical infrastructure.
Over the last three decades, BER’s scientific impact has been transformative. Mapping the human genome through the U.S.supported international Human Genome Project that DOE initiated in 1990 ushered in a new era of modern biotechnology
and genomics-based systems biology. Today, researchers in the BER Genomic Sciences activity and the Joint Genome
Institute (JGI), as well as in the four DOE Bioenergy Research Centers (BRCs), are using the powerful tools of plant andmicrobial systems biology to pursue the innovative early-stage research that will lead to the development of futuretransformative bio-based products, clean energy, and next generation technologies.
Since the 1950s, BER and its predecessor organizations have been critical contributors to the 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. BER research pioneers ecological and environmental studies interrestrial ecosystems, seeking to describe the continuum of biological, biogeochemical, and physical processes across themultiple scales that control the flux of environmentally-relevant compounds between the terrestrial surface and theatmosphere. BER’s Environmental Molecular Sciences Laboratory (EMSL) provides the scientific community with a powerful
suite of tools to characterize biological organisms and molecules as well as atmospheric aerosol particulates.
Highlights of the FY 2021 Request
The FY 2021 Request for BER is $516,934,000, which directly aligns with the FY 2021 Administration research anddevelopment (R&D) Budget Priorities memoa issued by OMB and OSTP that identifies five high priority crosscutting actions
that span the five R&D budget priorities to ensure that America remains at the forefront of science. BER research on securebiodesign and high-resolution Earth System models aligns with the R&D priority American Security to underpin improvingahttps://www.whitehouse.gov/wp-content/uploads/2019/08/FY-21-RD-Budget-Priorities.pdf

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the security and resilience of the Nation from emerging threats from biological agents and extreme terrestrial events;
investments in novel quantum sensors for biological and ecological systems align with the R&D priority American
Leadership in Industries of the Future to develop advanced imaging capabilities that leverage and complement the SC QISCenter(s) established in FY 2020 as an interdisciplinary partnership among SC Program Offices’ research in support of the
National Quantum Initiative; investments in early-stage research and innovative technologies at the four BRC’s align with
the R&D priority American Health and Bioeconomic Innovation to lead to domestic sources of clean, affordable, and reliableenergy; and the BER foundational research on Earth Systems models and environmental systems directly aligns with the
R&D priority American Energy and Environmental Leadership with new observations and exascale-capable, high resolution
Earth system prediction models to obtain substantial improvements in computational model performance and spatial
resolution across all scales. All BER activities work to Build and Leverage a Diverse, Highly Skilled American Workforce;
Support Transformative Research of High Risk and Potential High Reward and Build, Strengthen, and Expand StrategicMultisector Partnerships thought the merit review process and interagency coordination. BER research continues to buildon the Administration decisions in FY 2018 to prioritize early-stage, innovative research and technologies that showpromise in harnessing American energy resources safely and efficiently. This program supports research that advances
DOE’s core missions while maintaining American leadership in the area of scientific inquiry and discovery. BER’s support ofbasic research today will contribute to a future of stable, reliable, and secure sources of American energy based ontransformative science for economic prosperity.
The federally chartered BER Advisory Committee (BERAC) advises BER on future development of effective researchstrategies for sustained leadership in biological and environmental research. BERAC holds targeted workshops, periodic
reviews, and forward looking overviews of BER relevant science, and the outcomes of these activities inform BER’s ongoingand future research in reports such as the “Grand Challenges for Biological and Environmental Research: Progress andFuture Vision”.a
Key elements in the FY 2021 Request include:
Research Investments in the Biological Systems Science subprogram to provide the fundamental understanding to underpin
transformative science in sustainable bioenergy production and to gain a predictive understanding of plant andmicrobial physiology, microbiomes, and biological systems in support of DOE’s energy and environmental missions.
Significant new experimental paradigms reflecting the Next-Generation Biology initiative will leverage new tools andapproaches across the Office of Science, to move from genomics and biochemistry of biological systems to
implementation of this new understanding in bio-inspired, biohybrid and biomimetic systems. The Genomic Sciences
activity will prioritize support for the fourth year of the four DOE BRCs, performing new fundamental researchunderpinning the production of fuels and chemicals from sustainable biomass resources and the building blocks of newtechnological advances for translation of basic research results to industry. Secure biosystems design activities will be
extended to test the fundamental engineering principles that control plant and microbial systems, with a specific goalof enhancing the stability, resilience, and controlled performance of engineered biological systems. New efforts intranslating biodesign rules to functional properties of novel biological polymers will be initiated. These fundamental
genomic science activities will consolidate and coordinate ongoing environmental genomics efforts on sustainability
and microbiomes research in mission-relevant ecosystems and testbeds. Computational Biosciences efforts will
integrate prior efforts on microbiome within the DOE Systems Biology Knowledgebase to develop integrated networks
and computational models of system dynamics and behavior.
Biomolecular Characterization and Imaging Science research, which will continue to support structural, spatial, andtemporal understanding of functional biomolecules and processes occurring within living cells. Efforts in advanced
bioimaging and characterization of QIS and advanced sensors will contribute to a systems-level predictive
understanding of biological processes.

Earth and Environmental Systems Sciences research activities, which will focus on scientific analysis of how physicaland biogeochemical processes impact the sensitivity and uncertainty of Earth system predictions. Environmentala https://science.osti.gov/~/media/ber/berac/pdf/Reports/BERAC-2017-Grand-Challenges-Report.pdf

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System Science will integrate terrestrial ecosystem and subsurface sciences to provide a robust and scale-aware
predictive understanding of ecosystems. Investments will continue to support, at a slower pace, the Energy Exascale
Earth System Model (E3SM) capability tailored to DOE requirements for a variety of scenarios applied to spatial scales
resolved to 10 km. The model system will include advanced software for running on numerous processors, flexibility
toward future DOE computer architectures, including exascale, and enhanced usability, testing, adaptability, multiscale treatments, and provenance. In addition to leveraging of existing data from other agencies, modeling efforts will
be validated against atmospheric and terrestrial observations.


The Data Management effort will continue to enhance data archiving and management capabilities but will also focus
on using and demonstrating artificial intelligence (AI) and machine learning (ML) tools to observations and data fromenvironmental field experiments

Facility Operations
 The DOE JGI will continue to be an essential component for DOE systems biology efforts, providing high quality genome
sequence data and analysis techniques for a wide variety of plants and microbial communities. The JGI will continue to
implement its strategic plana to incorporate new capabilities to sequence DNA and also to interpret, manipulate, andsynthesize DNA in support of sustainable, renewable bioenergy and bioproducts research, and environmental research.
In FY 2021, the JGI will prioritize improved integration with the Systems Biology Knowledgebase.


ARM investments will continue to provide new observations selected to represent the diversity of environmental
conditions necessary to advance Earth System models. ARM prioritizes long-term measurements at fixed sites in Alaska
and Oklahoma, while limiting activities at the East North Atlantic (Azores) site. In addition, the Arctic mobile facility
deployed at Oliktok Point will be closed and prepared for a future deployment. One mobile facility will be deployed to
the Houston, TX area for Tracking Aerosol Convection Interactions Experiment (TRACER). Scientists will use the second
generation C-band ARM Scanning Precipitation Radar (CSAPR2), and a small satellite site with radiosonde and aerosol
measurements to learn more about cloud and aerosol interactions in deep convection over the Houston area. The ARM
user facility will continue to develop and deploy aerial capabilities, including unmanned aerial system (UAS) andmanned aircraft. The newly acquired manned aircraft will continue to undergo testing and evaluation.



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.

ahttps://jgi.doe.gov/wp-content/uploads/2019/01/2019_JGI-Strategic-Plan.pdf

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FY 2021 Research Initiatives
Biological and Environmental Research supports the following FY 2021 Research Initiatives.
(dollars in thousands)
FY 2020
FY 2021
EnactedRequestFY 2019
EnactedNew Research Initiatives
Next Generation Biology Initiative
Revolutionizing Polymer Upcycling
Total, New Research Initiatives
Ongoing Research Initiatives
Artificial Intelligence and Machine Learning
Biosecurity
Exascale Computing Initiative
Quantum Information Science
Total, Ongoing Research Initiatives

Science/Biological and Environmental Research

FY 2021 Request vsFY 2020 Enacted

—
—
—

—
—
—

6,250
6,250
12,500+6,250+6,250+12,500—
4,000
15,0004,500
23,5003,000
20,00015,00012,00050,0003,000
25,00010,00012,00050,000—+5,000-5,000——152

FY 2021 Congressional Budget Justification

Biological and Environmental Research
Funding(dollars in thousands)

Biological Systems Science
Genomic Science
Bioenergy Research Centers (non-add)
Biomolecular Characterization and Imaging Science
Biological Systems Facilities and Infrastructure
SBIR/STTR
Total, Biological Systems Science
Earth and Environmental Systems Sciences
Atmospheric System Research
Environmental System Sciencea
Earth and Environmental Systems Modeling
Earth and Environmental Systems Sciences Facilities andInfrastructure
SBIR/STTR
Total, Earth and Environmental Systems Sciences
Total, Biological and Environmental Research

FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

249,695[100,000]
34,90870,00013,194
367,797268,235[100,000]
45,00077,00014,544
404,779

242,135[100,000]
24,90860,00012,257339,300-26,100[–]-20,092-17,000-2,287-65,479

28,00062,14397,00035,00077,63897,00012,00019,00037,643-23,000-58,638-59,357

138,500

123,110

102,635-20,475

11,560337,203
705,000

12,473345,221750,000

6,356
177,634
516,934-6,117-167,587-233,066

SBIR/STTR funding: FY 2019 Enacted: SBIR $21,702,000 and STTR $3,052,000
 FY 2020 Enacted: SBIR $23,687,000 and STTR $3,330,000
 FY 2021 Request: SBIR $16,318,000 and STTR $2,295,000aNew structure change in FY 2021 for Environmental System Science to reflect all previous Terrestrial Ecosystem Science and Subsurface Biogeochemical Research combined.

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Biological and Environmental Research
Explanation of Major Changes

Biological Systems Science
Within Genomic Sciences, the Request prioritizes research activities to continue early-stage core research to understand the complex
mechanisms controlling the interplay of microbes and plants within broader organized biological systems, forming the basis for the next
generation of biological discovery. Foundational Genomics research supports expanded secure biosystems design research to understand thefundamental genome structure and functional relationships that result in specific, stable and predictable, new, and beneficial traits in model
plant and microbial systems. Novel extensions of biodesign and synthetic biology approaches to the design of new plant and microbiallyderived polymers have the potential for sparking new biotechnology applications in resource recovery and recycling ventures. Environmental
Genomics will limit research to understanding environmentally relevant microbiomes and the interdependencies between plants and microbes
in a sustainable and resilient ecosystem. Computational Bioscience will focus on an integrated computational platform for microbiome. The
Request fully supports the four DOE BRCs in their fourth year of bioenergy research to underpin efforts to produce innovative biofuels andbioproducts from renewable biomass resources. Development of new bioimaging, measurement and characterization approaches through the
Biomolecular Characterization and Imaging Science activity will include expanded integrative imaging and analysis platforms and biosensors,
including using QIS materials, to understand the expression, structure, and function of genome information encoded within cells and for realtime measurements in ecosystems and field sites of mission relevance. The JGI will operate with reduced user support.

(dollars in thousands)
FY 2021 Request vsFY 2020 Enacted-65,479

Earth and Environmental Systems Sciences
The Request continues to support, at a reduced pace, the development of high-resolution Earth system modeling, analysis, andintercomparison 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 modeling the fate and transport of nutrients. Using observations from the ARM facility,
Atmospheric System Research will focus activities to advance knowledge and improve model representations of atmospheric gases, aerosols,and clouds on the Earth’s energy balance. One ARM mobile facility will be deployed to the Houston, TX area; operations of the Arctic mobile
facility at Oliktok, AK are completed and operations at the East North Atlantic fixed site will be limited. The newly acquired manned aircraft willcontinue to undergo testing and evaluation. EMSL will focus on biological and environmental molecular science with reduced user support.
Data management activities will include applying advanced AI methods to observations and environmental field data.

-167,587

Total, Biological and Environmental Research-233,066

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Basic and Applied R&D Coordination
BER research underpins the needs of DOE’s energy and environmental missions, and is coordinated through the National
Science and Technology Council (NSTC). This includes all biological, Earth and environmental systems modeling, renewableenergy, and field experiments involving atmospheric, ecological, and hydro-biogeochemical sciences research. Basic
research on microbes and plants provides fundamental knowledge that can be used to develop new bioenergy crops andimproved biofuel and bioproduct production processes that enable a more sustainable bioeconomy, coordinated with otherfederal agencies on priority bioeconomy science needs occurs through the Biomass Research and Development Board, aCongressionally-mandated interagency group created by the Biomass Research and Development Act of 2000, as amended
by the Energy Policy Act of 2005 and the Agricultural Act of 2014.
In general, BER coordinates with DOE’s applied technology programs through regular joint program manager meetings, byparticipating in their internal program reviews and in joint principal investigator meetings, as well as conducting joint
technical workshops.
Specifically, BER coordinates its fundamental research on bioenergy crops with other federal agencies through the Biomass
Research and Development Initiative (BRDi) Board. DOE-EERE and USDA jointly issue a solicitation for applied funding topics
informed by a BRDi federal technical advisory committee. BER supports some interagency projects to manage databases(such as the Protein Database) through interagency awards and funding for complementary community resources (such as
beamlines and electron cryomicroscopy), mostly with NIH and NSF.
All Earth systems research activities are specifically coordinated through the interagency U.S. Global Change Research
Program. For example, the DOE E3SM has evolved to become the world’s highest resolution capability; and the E3SM
version 1 released in April 2018 will be updated to a version 2 model that is anticipated to be released in FY 2022. Version 2
will provide numerous universities the ability to conduct much more sophisticated research based on higher resolution. The
new version will add advanced capabilities for exploring cryosphere-ocean dynamics’ impacts of climate variability on
Antarctic ice shelf melting, continental ice sheet evolution and sea level rise, and the effects of changing water cycles onwatershed and coastal hydrological systems. Other agencies, e.g., NOAA, NASA, the Navy, and NSF, are following
developments in E3SM via the Earth System Prediction Capability forum (led by DOD and NOAA weather services, but with
DOE as a member), so that their modeling platforms can adopt the best practices in physics and computing developed by
DOE. The National Geospatial-Intelligence Agency has indicated significant interest in E3SM, as a platform to incorporate
their data to address national security problems. The E3SM research also provides BER with strong linkages to DOE applied
programs and DOE Office of Policy.
Program Accomplishments
Genomic Science conducts fundamental research on a broad range of biological processes with a recent focus on plantmicrobe interactions in soil.
Results from a Lawrence Berkeley National Laboratory (LBNL)-led team examining changes in soil microbial community
structure found that plant root exudates exert a strong influence on soil community composition. This mechanistic
understanding offers the attractive possibility of altering soil microbiomes for beneficial purposes. Similarly, a researchteam from the University of Washington, Harvard Medical School, and Oak Ridge National Laboratory (ORNL) investigating
plant-microbe processes found a specific plant compound that induces a regulator of gene expression in an associatedbacteria. These types of inter-kingdom communication have important implications for mutualistic and antagonistic
interactions between plants and microbes and are key to understanding key control points for plant-microbe interactions.
These research findings on plant-microbe interactions are complemented by new technologies developed to image
metabolic processes in plants and microorganisms.
A team led by Pacific Northwest National Laboratory (PNNL) developed a mass spectrometry-based imaging capability at
the DOE EMSL and demonstrated 3-D imaging of cellular metabolites associated with nitrogen fixation in soybean root
nodules, a well-known example of a mutualistic plant-microbe interaction. The new technique can be extended to image

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similar processes in other systems to visualize and test hypotheses of plant-microbe interactions. More broadly, the activity
also supports research on CRISPRa-based systems.
Recent research from the University of Illinois, Urbana-Champaign, developed a new CRISPR method that can create tens of
thousands of yeast mutants with specific genome edits. This new technique enables the rapid editing of targeted genes
across an entire genome and adds to a vast array of new and powerful metabolic engineering techniques underpinning a
rapidly expanding global biotechnology industry.
Bioenergy Research Centers’ research continues to highlight significant basic science advances underpinning biofuels andbioproduct production from sustainable plant biomass.
At the Center for Bioenergy Innovation, continued research on switchgrass has led to the identification of a number ofgenes impacting cell wall recalcitrance to deconstruction and conversion to biofuels. Recent results showed that downregulation of a pectin biosynthesis gene resulted in a plant with enhanced growth characteristics and increased yield of
cellulosic sugars, a major step towards developing dedicated bioenergy crops.
Researchers at the Center for Advanced Bioenergy and Bioproducts Innovation working with the newly sequenced
sugarcane genome identified 178 genes associated with nitrogen transport. This is important because sugarcane isnotorious for a low nutrient uptake and these identified genes are now genomic targets for improving nutrient use
efficiency in sugarcane. At the Joint BioEnergy Institute researchers have developed a new CRISPR-based interference(CRISPRi) technique that silences gene expression in competing pathways within an engineered cell. The technique wasused to divert metabolic flux in an engineered E. coli cell towards increased production of isopentenol, an advanced biofuel.
Researchers at the Great Lakes BRC engineered a strain of bacteria capable of utilizing aromatic compounds derived fromlignin to produce an important chemical precursor for bioplastics. The work sets the stage for developing valuable chemical
products from lignin, a major goal of the BRCs and a major bottleneck towards cost effective production of bioenergy andbioproducts from renewable plant biomass.
Earth and Environmental Systems Sciences conducts research to improve the scale-aware predictability of the Earth system,with particular focus on the interdependencies of the physical, biogeochemical, and human processes that govern variability,change, and the evolution of extreme events.
Using improved process level understanding based on field observations that combines with advanced modeling concepts
and access to DOE’s high performance computing, DOE’s investments allow Earth System models to more confidently
capture changes to the hydrologic cycle, the cryosphere, and extreme weather events. As part of the Next-Generation
Ecosystem Experiments Arctic program, Los Alamos National Laboratory and University of Texas at Austin developed anovel machine-learning methodology that quickly delineates tundra (i.e., frozen soil) polygons from digital elevation
models, thereby providing an automated method to quantify rates and amounts of change in arctic permafrost.
Researchers at LBNL and Sandia National Laboratory developed a new sub-model to represent saturated and unsaturatedhydrologic processes in E3SM. The new sub-model unifies the physics of unsaturated and saturated zones, improving
model predictions based on comparison with observations. A large field experiment, known as the Spruce and Peatland
Responses Under Changing Environments (SPRUCE) and led by ORNL, demonstrated that increased ambient temperatures
prolonged the growing season, but also made ecosystems more vulnerable to late season frost damage and plant growth.
Lastly, an international team of scientists, including researchers at PNNL and LBNL, discovered that fungal spores make up
as much as 69 percent of airborne salt particles in the Amazon basin; never before have fungal spores been considered asignificant source of salt particle formation.
User Facilities house state-of-the-art tools and expertise to enable the scientific community to address and solve researchquestions for biological and environmental systems.
 JGI provides the necessary genome sequencing of plants and microorganisms as a basis for identifying beneficial
bioenergy properties and traits. The Eucalyptus family of plants is well known to produce a broad range of terpene
compounds which are important biofuel and bioproduct components. The sequencing and analysis of a member of the
CRISPR (Clustered Regularly Interspaced Short Palindromic Repeats) – advanced genome editing tools with broad potential for biotechnology
applications.
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Eucalyptus family (C. Citriodora) led to the identification of 102 new functional terpene synthase (TPS) genes. The work
broadens the known TPS gene family lineage in Eucalyptus species and provides new genomic targets for biofuel andbioproduct development.
Bioimaging capabilities developed by University of Idaho researchers and the EMSL are providing enhanced capabilities
to monitor metabolic processes within single cells. This was recently demonstrated by tracking net lipid (biofuel
precursors) production in yeast cells and quantifying the rates of metabolic processes. The work provides a new way toutilize imaging information to calculate rates of metabolism in single cells.
The ARM user facility used ground-based ARM observations to study how optical depth (i.e., low-cloud reflectivity)changes with warming at three ARM sites. Findings were consistent with satellite measurements, increasing confidence
in the data trends and enabling these ARM observations to be used to assess, calibrate, and improve the accuracy ofEarth system models.

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158

Biological and Environmental Research
Biological Systems Science
Description
Biological Systems Science integrates discovery- and hypothesis-driven science with technology development on plant andmicrobial systems relevant to national priorities in energy security and resilience and innovation in life sciences and biology.
Systems biology is the multidisciplinary study of complex interactions specifying the function of entire biological systems—
from single cells to multicellular organisms—rather than the study of individual isolated components. The Biological
Systems Science subprogram employs systems biology approaches to define the functional principles that drive living
systems, from microbes 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 BRCs and the DOE 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 in concert withintegrative, collaborative, and open access computational platforms will accelerate next generation of biological researchfor solutions to clean energy production, breakthroughs in genome-based biotechnology, understanding the role ofbiological systems 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,and modeling 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
and multi-gene stacking techniques for microbes and plants. The results will yield an increased range of microorganisms
and plants as model research organisms to expand and complement available biological systems for bioenergy andbiotechnology research. Building on knowledge gained from breaking down plant cell wall polymers for bioenergy,
engineered microbial and fungal systems will be explored for polymer recycling. Fungal systems and some bacteria utilize
powerful enzymatic machinery to breakdown polymers to monomers for use as substrates. BER’s contribution towards
understanding and anticipating the convergence of advanced genomics science with other fields is critical for foresight into
secure technology development, leveraging scientific communities across biological, physical, and computational science
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fields with the unique ability to evaluate systems across disciplinary boundaries. All secure biosystems design efforts onplant and microbial systems will be consistent with the National Biodefense Strategy framework.aEnvironmental Genomics supports research focused on understanding plants and soil microbial communities and how they
impact the cycling and fate of carbon, nutrients, and contaminants in the environment. The activity includes the study of arange of natural and model microbiomes in targeted field environments relevant to BER’s research efforts. With a long
history in plant and microbial genomics research coupled with substantial biotechnological and computational capabilities
available within the DOE user facilities, BER is well positioned to make transformative contributions in biotechnology andunderstanding microbiome and phytobiome function.
Computational Biosciences supports all Genomic Science systems biology activities through the ongoing development of
bioinformatics and computational biology capabilities within the DOE Systems Biology Knowledgebase (KBase) and the
National Microbiome Data Collaborative (NMDC). The integrative KBase project seeks to develop the necessary hypothesisgenerating analysis techniques and simulation capabilities on high performance computing platforms to acceleratecollaborative and reproducible systems biology research within the Genomic Sciences.
The major DOE BRCs effort within the Genomic Science portfolio seeks to provide a fundamental understanding of thebiology of plants and microbes as a basis for developing innovative processes for bioenergy and bioproducts production
from inedible cellulosic biomass. The four BRCs advance the development of a range of advanced biofuels and bioproducts
from sustainable biomass resources and provide high-payoff technology and early-stage research results that can beadapted for industry adoption and development of transformative commercial products and services.
Biomolecular Characterization and Imaging Science supports approaches to systems biology that focus on translating
information encoded in an organism’s genome to those traits expressed by the organism. These genotype to phenotypetranslations are key to gaining a predictive understanding of cellular function under a variety of environmental andbioenergy-relevant conditions. The Biomolecular Characterization and Imaging Science activity will enable development of
new bioimaging, measurement, and characterization technologies to visualize the structural, spatial, and temporal
relationships of key metabolic processes and critical biomaterials governing phenotypic expression in plants and microbes.
The activity will include new efforts to develop QIS materials for imaging and characterization and to advance design ofsensors and detectors based on correlated materials for real-time biological and environmental sensing technology. This
information is crucial for developing an understanding of the impact of various environmental and/or biosystems designs
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
carbon dioxide, leading to the optimization of these organisms for cost effective biofuels and bioproducts production andother DOE missions.
The DOE JGI is developing aggressive new strategies for interpreting complex genomes through new high-throughput
functional assays, DNA synthesis and manipulation techniques, and genome analysis tools in association with the DOE
KBase. Related efforts to use genomic information to infer natural product production from microorganisms and plants arealso underway. These advanced capabilities are part of the DOE JGI’s latest strategic plan to provide users with additional,
highly efficient, capabilities supporting biosystems design efforts for biofuels and bioproducts research, and environmental
process research. The DOE JGI also performs metagenome (genomes from multiple organisms) sequencing and analysis
from environmental samples and single cell sequencing techniques for hard-to-culture microorganisms from understudied
environments relevant to the DOE missions.
a https://www.whitehouse.gov/wp-content/uploads/2018/09/National-Biodefense-Strategy.pdf

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Biological and Environmental Research
Biological Systems Science
Activities and Explanation of Changes(dollars in thousands)
Explanation of Changes
FY 2021 Request vs FY 2020 Enacted-$65,479-$26,100
Funding will support new concepts in biosystems
design for programmable production (and/or
deconstruction) of organic/inorganic/hybridmaterials in modified plants andmicroorganisms. Building on knowledge gained
from breaking down plant cell wall polymers forbioenergy, engineered microbial and fungal
systems will be explored for polymer recycling.

FY 2020 Enacted

FY 2021 Request

Biological Systems Science$404,779
Genomic Science$268,235
Foundational Genomics supports biosystems design
techniques to modify microbes and plants for beneficial
bioenergy, bioproduct and biotechnology purposes.
Complementary efforts increase on genome-modification
techniques to identify and predict biosecurity
implications for energy and the environment.
Environmental Genomics focuses on sustainable plantand microbial community interactions in model andnatural microbiomes, and complementary research on
plant and microbial physiology for bioenergy andecosystem purposes. Computational analysis related to
low dose radiation exposure is supported.

$339,300$242,135
Foundational Genomics research will support expanded
secure biosystems design research to gain the ability tostably and securely modify microorganisms and plants
with specific beneficial traits for renewable bioenergy,
bioproduct and biomaterials production with particularemphasis on programmable materials production andprovide foundational research for the Next Generationof Biology. New efforts will be initiated in biologicalbased polymer recycling and upcycling research.
Environmental Genomics will focus research tounderstanding environmentally relevant microbiomes
and the interdependencies between plants andmicrobes in a sustainable and resilient ecosystem.

Computational Bioscience enhances research to merge
bioinformatics capabilities within the JGI and the DOE
Systems Biology Knowledgebase to produce an open
source, integrated computational platform for
microbiome and bioenergy-related research. The efforts
for the National Microbial Data Collaborative (NMDC)
continue.

Computational Bioscience will support open
computational platform development for microbiome
science integrative with the JGI and the DOE Systems
Biology Knowledgebase for bioenergy, bioproduct andprogrammable biomaterials design.

Funding will support new computational
techniques and design tools to enable
programmable organic/inorganic/hybridmaterials production in modified plants andmicroorganisms.

The four BRCs continue operations to develop bioenergy
crops with enhanced tolerance to environmental stress,
biomass deconstruction techniques to breakdown
biomass, biotechnology approaches to produce fuels,chemicals and products from lignocellulosic materials,

The four BRCs will begin their fourth year of operations
to develop modified bioenergy crops with expanded
traits for bioenergy and bioproduct production andtolerance to a range of environmental stresses,
development of biomass deconstruction process

The four BRCs will expand the knowledge
needed to develop a range of plants modified
with beneficial traits and conversion pathways in
microorganisms to sustainably produce a broad

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(dollars in thousands)
FY 2020 Enacted
and research to understand sustainable regional-scalebioenergy crop production.

Biomolecular Characterization andImaging Science$45,000
Biomolecular Characterization and Imaging Science
supports new multi-modal imaging, visualization andstructural characterization of biomolecular processes
occurring in plants and microbes in support of systems
biology research, including the use of neutrons.
Investments in electron cryomicroscopy instrumentation
at SC light sources are underway and will be completed.
Research funding continues support for new imaging,
characterization and/or sensor techniques that takeadvantage of quantum-enabled science concepts, with anemphasis on improvements in quantifying nutrient andmetabolite flows in situ in field environments.

Science/Biological and Environmental Research

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted
streams, design of new engineered pathways inspectrum of fuel components, bioproducts andmicrobes to convert biomass components to a range of biomaterials from renewable biomass.
fuels, chemicals and bioproducts, and new analysis
concepts for sustainable production of bioenergy crops
on marginal lands.
FY 2021 Request$24,908
Development of new bioimaging, measurement andcharacterization approaches through the Biomolecular
Characterization and Imaging Science activity will
include expanded integrative imaging and analysis
platforms and biosensors, including quantum scienceenabled techniques, to understand and validate
hypotheses of cellular metabolism and/or pathway
design relevant to bioenergy, bioproduct andbiomaterials production in plants and microorganisms.

162-$20,092
Funding will support the exploration of newquantum science-based concepts for bioimaging
and/or measurement and characterization
capabilities for analyses of biological processes
relevant to bioenergy/bioproduct/biomaterials
research.

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted
Biological Systems Science Facilities
and Infrastructure$77,000
JGI serves as a central source for genome sequence
production capabilities for plants, microbes and microbialcommunities. These services are crucial to BER programs,
such as the BRCs, and are also available to the larger
research community. JGI is enhancing efforts on
metagenomics efforts to support microbiome research,and production of complex plant, fungal and microbial
genomes supporting systems biology research within the
BRCs and the BER portfolio. The resulting data andanalyses are closely coupled with KBase for open accesson an integrated bioinformatics platform. JGI and KBase
move to Integrative Genomics Building on the LBNL
campus.

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted$60,000
JGI will provide users with expanded analysis
capabilities in a more integrative computational
platform for microbiome science through the NMDC
and within the DOE Systems Biology Knowledgebase.
New capabilities for natural product identification will
be explored in concert with expanded metagenomic
datasets and analysis techniques.

-$17,000
Integrative computational platforms among JGI,
the NMDC, and KBase will allow the researchcommunity to conduct large scale metagenomics
and microbiome analyses in a collaborative andreproducible manner facilitating BER’s larger
efforts in bioenergy, bioproduct andbiomaterials research.

SBIR/STTR$14,544$12,257-$2,287
In FY 2020, SBIR/STTR funding is set at 3.65 percent of
In FY 2021, SBIR/STTR funding is set at 3.65 percent of The SBIR/STTR funding will be consistent with
non-capital funding
non-capital funding.
the BER total budget.

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Biological and Environmental Research
Earth and Environmental Systems Sciences
Description
The Earth and Environmental Systems Sciences subprogram supports fundamental science and research capabilities thatenable major scientific developments in Earth system-relevant atmospheric and ecosystem process and modeling researchin support of DOE’s mission goals for transformative science for energy and national security. This includes research oncomponents such as clouds, aerosols, and terrestrial systems; modeling of component interdependencies under a variety offorcing conditions; interdependence of atmospheric, oceanic, hydrological, biogeochemical, ecological, and cryosphericvariabilities; vulnerability and resilience of the full suite of energy and related infrastructures to extreme events; anduncertainty quantification. This integrated portfolio of research from molecular-level to field-scales emphasizes thecoupling of multidisciplinary experimentation and advanced computer models, with a goal to develop and enhance a
predictive, systems-level understanding of the fundamental science that addresses environmental and energy-related
challenges associated with e.g. extreme phenomena. SC will continue to advance the science necessary to further develop
an understanding of Earth System models of variable sophistication, targeting resolution at the regional spatial scale andfrom seasonal to multi-decadal time scales, and to focus on areas of critical uncertainty. In addition, environmental
research activities will continue to support basic science to advance Earth system models as well as to optimize andaccelerate environmental cleanup and reductions in life cycle costs.
The subprogram supports three primary research activities: atmospheric sciences; environmental system science; andmodeling. In addition, the subprogram supports a data management activity, and two SC scientific user facilities: the ARM
and the EMSL. ARM provides unique, multi-instrumented capabilities for continuous, long-term observations and model–
simulated high resolution information that researchers need to improve understanding and develop and test hypotheses
involving the role of clouds and aerosols on the atmosphere’s spectrally-resolved radiative balance over a variety of spatial
scales, extending from local to global. EMSL provides integrated experimental and computational 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 management activity encompasses both observed andmodel-generated data that are collected by the ARM facility and dedicated field experiments; this activity 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 the main source 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 an integrated, robust and scale-aware predictive
understanding of environmental systems, 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, and short-term extreme events
that act on spatial scales that span from molecular to global. Multi-scale new data and understanding are essential toadvance Earth system modeling that can and is being used to achieve broad benefits ranging from planning anddevelopment of energy infrastructure to natural disaster impact mitigation to commercial supply chain management tonatural resource management and environmental stewardship. The vision for this activity is to develop a unified predictive
capability that integrates scale-aware process understanding with unique characteristics of watersheds, coastal zones, andterrestrial-aquatic interfaces that are present in, e.g., the Arctic, boreal zone, and the Tropics, including the Great Lakes.
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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 environmental systems in coupled Earth system models. Researchsupports the integration of observations with process modeling from molecular to field scales, to improve understanding ofhydrological, and biogeochemical processes that affect terrestrial environments.
The activity also supports Ameriflux, a network of 373 field sites funded by a variety of federal agencies and other research
institutions to measure the exchange of heat, moisture and other gases between the atmosphere and the surface tomaintain data quality and organizational support to the network and funding for 13 of the network sites.
Earth and Environmental Systems Modeling
Earth and Environmental Systems Modeling develops physical, chemical, and biological model components, as well as fully
coupled Earth System Models (ESMs), in coordination with other Federal efforts. The research specifically focuses on
quantifying and reducing the uncertainties in ESMs based on more advanced process representations, sophisticatedsoftware, robust couplers, diagnostics, and performance metrics. Priority model components include the ocean, sea-ice,land-ice, atmosphere, and terrestrial ecosystems, where each are treated as interdependent and 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 continues to support the Energy Exascale Earth System Model (E3SM), which is a partof the DOE Exascale Computing Initiative, and is a computationally efficient model adaptable to DOE’s Leadership
Computing Facility supercomputer architectures with greater sophistication and fidelity for high resolution simulation of
extreme phenomena and complex processes. Earth system modeling, simulation, and analysis tools are essential for
informing energy infrastructure investment decisions that have the future potential for large-scale deployment that in turnbenefit 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
to facilitate science in areas integral to BER’s mission.
ARM is a multi-laboratory, multi-platform, multi-site, national scientific user facility, providing the world’s mostcomprehensive, continuous, and precise observations of clouds, aerosols, and related meteorological information. Theseobservations provide new data to address the main source of uncertainty in Earth system models: the interdependence ofclouds, atmospheric aerosols, and precipitation that in turn influences the radiation balance. In addition to supportinginterdisciplinary science challenges, extreme events represented in DOE’s Earth system model are used to inform plans fordesigns and deployment of future energy infrastructures. 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 2021, ARM will continue operations at the three fixed sites.
One mobile facility will be deployed to the Houston, TX area for Tracking Aerosol Convection Interactions Experiment(TRACER). Scientists will use the second-generation C-band ARM Scanning Precipitation Radar (CSAPR2), and a small
satellite site with radiosonde and aerosol measurements to learn more about cloud and aerosol interactions in deep
convection over the Houston area. ARM investigators study the impact of evolving clouds, aerosols, and precipitation on
the Earth’s radiative balance and rate of Earth system change, addressing the most significant scientific uncertainties in
predictability research. ARM will continue to incorporate very high-resolution Large Eddy Simulations at the fixed Oklahomasite during specific campaigns requested by the scientific community. BER is also maintaining the exponentially increasingdata 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-highresolution atmospheric models. Besides supporting BER atmospheric sciences and Earth system modeling research, theARM facility freely provides key information to other agencies that are engaged in, e.g., calibration and validation of spaceborne sensors.
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BER-supported scientists require high-quality and well-characterized in situ aircraft observations of aerosol and cloud
microphysical properties and coincident dynamical and thermodynamic properties in order to continue to improve
fundamental understanding of the physical and chemical processes that control the formation, life cycle, and radiative
impacts of cloud and aerosol particles. To meet these needs, the ARM user facility will continue to develop the aerial
capabilities, including unmanned aerial system (UAS) and manned aircraft. In FY 2021, the newly acquired manned aircraft
will continue to undergo testing and evaluation, including modifications to the air frame as needed to install numerous
existing and new atmospheric aerosol, cloud, turbulence, and other sensors.
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, catalysts and materials, and interfacial and surface (including aerosol) science
relevant to energy and environmental challenges facing DOE and the Nation. This research informs the development ofadvanced biofuels and bioproducts, the design of novel methods to accelerate environmental cleanup, and an improved
understanding of Arctic infrastructure vulnerability due to biogenic processes that govern permafrost thaw. EMSL willaddress a more focused set of scientific topics that continue to exploit High Resolution and Mass Accuracy Capability(HRMAC), live cell imaging, and more extensive utilization of other EMSL instrumentation into process 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 new science derived from Earth observations and model-generated data can be used to achieve broad
benefits ranging from informing the design of robust resilient infrastructures to risk analysis involving natural disaster
impact mitigation to commercial supply chain management to natural resource management and environmental
stewardship. 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 on archiving scientifically useful data from the Earth System Grid
Federation, ARM, Ameriflux, NGEE field experiments, SPRUCE site observations, and long- term DOE investments tounderstand watershed systems.

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Biological and Environmental Research
Earth and Environmental Systems Sciences
Activities and Explanation of Changes(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

Earth and Environmental Systems
Sciences$345,221
Atmospheric System Research (ASR)$35,000
ASR accelerates research on clouds, aerosols, andthermodynamic processes, with a focus on data fromthe Oklahoma and Alaska fixed sites and using datafrom prior and ongoing field campaigns in Argentina,
Norway, and the Southern Ocean. Initial data fromthe Arctic campaign is included in the analyses. ASR
continues to make use of data generated by Large
Eddy Simulations at the ARM Oklahoma site.

$177,634-$167,587$12,000-$23,000
The Request for ASR will continue limited research on Reduced research will focus on using the newclouds, aerosols, and thermodynamic processes, with observations from ARM field studies to inform Eartha focus on data from the ARM fixed sites as well as
system model development.
recent field campaigns conducted in the Arctic during
FY 2020. ASR will continue to make use of data
generated by Large Eddy Simulations at the ARM
Oklahoma site.

Environmental System Science (ESS)$77,638
The ESS activity focuses research on permafrost andcontinues investments in studies of boreal ecology
and modeling hydrobiogeochemistry of watersheds
and terrestrial-aquatic interfaces, including the Great
Lakes. Research on tropical ecology and subsurface
biogeochemistry research on radionuclides andmercury continues.

$19,000
The Request for ESS will focus research on permafrost
and will maintain limited investments in studies of
boreal ecology and modeling hydrobiogeochemistryof watersheds and terrestrial-aquatic interfaces, witha focus on the coastal zones encompassed by the
Delaware and Susquehanna watersheds and theGreat Lakes.

Science/Biological and Environmental Research

168-$58,638
Funding for ESS will support investment in modelingactivities associated with the terrestrial-aquatic
project located in the mid-Atlantic and Great Lakes
region.

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted
Earth and Environmental Systems
Modeling$97,000
Earth and Environmental Systems Modelinginvestments focus on further refinement of thescience underpinning non-hydrostatic modeling andincorporating the necessary software for deploymentof the model onto exascale computing architectures.
The research continues to support activities on themodeling of extreme phenomena (e.g., hurricanes),
improved representation of biogeochemistry, and abetter understanding of the water cycle.

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted$37,643
The Request for Earth and Environmental Systems
Modeling will focus investments on further
refinement of the science underpinning nonhydrostatic adaptive mesh modeling andincorporating the necessary software for deploymentof the model onto exascale computing architectures.
The E3SM version 1 release in April 2018 will be
updated to a version 2 model that is anticipated to bereleased in FY 2022. Version 2 will enable moresophisticated research based on higher model
resolution, and the new version will add advanced
capabilities for exploring cryosphere-ocean dynamics’
impacts of climate variability on Antarctic ice shelf
melting, continental ice sheet evolution and sea levelrise, and the effects of changing water cycles onwatershed and coastal hydrological systems.

-$59,357
Funding will support development of Version 2 ofE3SM, with a planned release in FY 2022 to thescientific community in support of broad-based basic
research as well as to energy sector stakeholders who
require projections.

Core research continues to support modelintercomparisons and diagnostics. In addition,
research focuses on understanding the fine scale
physics and dynamics that govern interactions
between the Arctic and midlatitudes.

The Request will focus on core research in modelintercomparisons and diagnostics. In addition,
research will incorporate limited fine scale physics
and dynamics that can be applied to metrics that canbe applied to coastal zones and mid-latitude-Arctic
interactions.

Funding will support research with a shift in emphasis
from the science of just Arctic-midlatitudeinteractions to examine boundary regions that also
include coastal zones.

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169

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted
Earth and Environmental Systems
Sciences Facilities and Infrastructure$123,110
ARM activities continue to provide new observations,through long term measurements at fixed sites in
Alaska and Oklahoma and the Eastern North Atlantic.
The ARM continues the seasonal mobile facility
deployment at the Oliktok site. The research
prioritizes all ARM activities for critical observations
needed to improve the E3SM model. ARM is
deploying the third mobile facility to northern
Norway. Furthermore, ARM is completing a major
multi-agency and multi-national campaign in the
Arctic. Testing continues on the new aircraft acquired
in FY 2019 to evaluate performance.

EMSL continues to focus on science that exploits
unique capabilities of mass spectrometry (e.g., the
HRMAC and nuclear magnetic resonance), live cell
imaging, Quiet Wing, and high-performancecomputing. EMSL continues to build the Dynamic
Transmission Electron Microscope, in support of BER
science.

Science/Biological and Environmental Research

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted$102,635-$20,475
The Request for ARM will continue to provide new
Funding will support limited ARM Eastern Northobservations through long term measurements at
Atlantic site operations, and the mobile facility atfixed sites in Alaska and Oklahoma, while limiting
Oliktok, Alaska will complete its deployment.
active operations at the Eastern North Atlantic site.
ARM will complete a long-term deployment of its
Oliktok, AK, mobile facility in preparation for a newlocation in the southeastern U.S. in FY 2022. The
Request prioritizes all ARM activities for criticalobservations needed to improve the E3SM model.
ARM will initiate deployment of its second mobile
facility to Houston, TX. The newly acquired aircraft
will continue to undergo testing and evaluation,
including modifications to the air frame as needed to
install numerous existing and new atmosphericaerosol, cloud, turbulence, and other sensors.
The Request for EMSL will continue to focus on
science that exploits unique capabilities of mass
spectrometry (e.g., the HRMAC and nuclear magnetic
resonance), live cell imaging, Quiet Wing, and highperformance computing. EMSL will complete
construction of the Dynamic Transmission Electron
Microscope (DTEM) and provide some newcapabilities in support of BER science.

170

Funding will support the multiple experimental
capabilities of the new DTEM and a reduced numberof users.

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted
The Earth and Environmental Sciences DataManagement activity continues to maintain existing
critical software and data archives in support ofongoing experimental and modeling research.
Essential data archiving and storing protocols,
capacity is maintained. New analytical methodologies
are being explored to advance scientific insight basedon the fusion of model generated and observed data.

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted
The Request for the Earth and Environmental Sciences Funding will support new analytical methodologies toData Management activity will provide support toadvance scientific insight based on the fusion ofmaintain existing critical software and data archives in model generated and observed data.
support of ongoing experimental and modelingresearch. Essential data archiving and storing
protocols, capacity, and provenance will bemaintained. Advanced analytical methodologies such
as Machine Learning (ML) will be used to improve thepredictability of extreme events more rapidly using
Earth system models.
FY 2021 Request

SBIR/STTR$12,473$6,356-$6,117In FY 2020, SBIR/STTR funding is set at 3.65 percent of In FY 2021, SBIR/STTR funding is set at 3.65 percent of The SBIR/STTR funding will be consistent with the BER
non-capital funding.
non-capital funding.
total budget.

Science/Biological and Environmental Research

171

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172

Biological and Environmental Research
Capital Summary

Total
Capital Operating Expenses
Capital Equipment
Total, Capital Operating Expenses

Prior Years

N/A
N/A

N/A
N/A

(dollars in thousands)
FY 2019
FY 2020
EnactedEnacted26,80026,800FY 2021
Request

9,800
9,800

7,000
7,000

(dollars in thousands)
FY 2019
FY 2020
EnactedEnactedFY 2021
RequestFY 2021 Request vsFY 2020 Enacted-2,800-2,800Capital Equipment

Total
Capital Equipment
Major Items of Equipmenta
Earth and Environmental Systems Sciences
Atmospheric Radiation Measurement Research
Facility (ARM) – ARM Aircraft project
Total, MIEs
Total, Non-MIE Capital Equipment
Total, Capital Equipment

Prior Years

FY 2021 Request vsFY 2020 Enacted

17,700200b

17,500

—

—

—

N/A
N/A
N/A

N/A
N/A
N/A

17,5009,300
26,800

—
9,800
9,800

—
7,000
7,000

—
-2,800-2,800a Each MIE located at a DOE facility Total Estimated Cost (TEC) > $5M and each MIE not located at a DOE facility TEC > $2M.
b

Reporting $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 2021 Congressional Budget Justification

Biological and Environmental Research
Major Items of Equipment Description(s)Earth and Environmental Systems Sciences Facilities and Infrastructure MIE(s):Atmospheric Radiation Measurement Research Facility (ARM) – ARM Aircraft project
BER-supported scientists require high-quality and well-characterized in situ aircraft observations of aerosol and cloud
microphysical properties and coincident dynamical and thermodynamic properties to continue to improve fundamental
understanding of the physical and chemical processes that control the formation, life cycle, and radiative impacts of cloud
and aerosol particles. To meet these needs, the ARM user facility has been using a dedicated large twin-turboprop
Gulfstream-159 (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, was one of only
10 G-1s that remained in service worldwide and was at the end of its service life. BER initiated retirement and replacementof the aircraft in FY 2019. The FY 2019 Enacted budget included funding to replace the Battelle-owned G-1 aircraft that
supported airborne data collection as part of ARM field campaigns. The FY 2020 Enacted budget and the FY 2021 Request
will support continued testing and evaluation of the newly acquired DOE-owned Bombardier Challenger 850 Regional Jet
aircraft. This includes supporting modifications to the air frame as needed to install numerous existing and new
atmospheric aerosol, cloud, turbulence, and other sensors. This aircraft will allow for observations that will provide newdata to address the main source of uncertainty in Earth system models: the interdependence of clouds, atmosphericaerosols, and precipitation that in turn influences the radiation balance. Earth system modeling, simulation, and analysis
tools that will be enabled through this capability are essential for informing energy infrastructure investment decisions thathave the future potential for large-scale deployment that in turn benefit national security.

Science/Biological and Environmental Research

174

FY 2021 Congressional Budget Justification

Biological and Environmental Research
Funding Summary(dollars in thousands)
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

516,858
170,642a

570,500
179,500

367,684
149,250

FY 2021 Request vsFY 2020 Enacted-202,816-30,250

17,500—17,500705,000———
750,000———
516,934———-233,066

Research
Facility Operations
Projects
Major Items of Equipment
Construction
Total, Projects
Total, Biological and Environmental ResearchaFacility Operations amount less Air-ARM MIE – replacement aircraft.

Science/Biological and Environmental Research

175

FY 2021 Congressional Budget Justification

Biological and Environmental Research
Scientific User Facility Operations
The treatment of user facilities is distinguished between two types: TYPE A facilities that offer users resources dependent on a single, large-scale machine; TYPE B
facilities that offer users a suite of resources that is not dependent on a single, large-scale machine.
(dollars in thousands)a

FY 2019 Enacted

FY 2019 Current

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

TYPE B FACILITIESAtmospheric Radiation Measurement
Research Facility (ARM)
Number of users$85,500a
980$85,500a
980$70,110
1,100$54,500
900-$15,610-200

Joint Genome Institute
Number of users$70,000
1,933$70,000
1,933$77,000
1,925$60,000
1,550-$17,000-375

Environmental Molecular Sciences
Laboratory
Number of users$45,000
577$45,000
577$45,000
577$43,500
525-$1,500-52

Total Facilities
Number of users$200,500
3,490$200,500
3,490$192,110
3,602$158,000
2,975-34,110-627

Includes Air-ARM MIE - replacement aircraft.

Science/Biological and Environmental Research

176

FY 2021 Congressional Budget Justification

Biological and Environmental Research
Scientific Employment
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vs FY
2020 Enacted

1,425
350
490
350

1,500
370
520
370

1,250
280
400
280

-250
-90
-120
-90

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

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

Science/Biological and Environmental Research

177

FY 2021 Congressional Budget Justification

178

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

Science/Fusion Energy Sciences179

FY 2021 Congressional Budget Justification

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

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

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

—
4,000
—
2,000
6,000

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

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

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

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

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

130,500
96,00050,000
10,204—
286,704

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

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

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

14,0008,500
38,746
61,246

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

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

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

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

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

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

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FY 2021 Congressional Budget Justification

(dollars in thousands)

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

FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

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

15,000242,000
257,000
671,000

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

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

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FY 2021 Congressional Budget Justification

Fusion Energy Sciences
Explanation of Major Changes

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

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

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

-21,000

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

-21,349

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

-145,000

Total, Fusion Energy Sciences-245,849

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FY 2021 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 and, in FY 2020, conducted joint solicitations with the Advanced Research Projects
Agency-Energy (ARPA-E). FESAC provides technical and programmatic advice to FES and NNSA for the joint HEDLP program.
Outside DOE, FES carries out a discovery-driven plasma science research program in partnership with NSF. Researchsupported through this joint program extends to a wide range of natural phenomena, including the origin of magnetic fields
in the universe and the nature of plasma turbulence. The joint programs with NNSA and NSF involve coordination ofsolicitations, peer reviews, and workshops.
Program Accomplishments
The need for a new fusion materials irradiation capability.
The FES sponsored U.S. Virtual Laboratory for Technology (VLT) organized a workshop to discuss the need for a fusion
prototypic neutron source (FPNS) and to determine the parameters required to fill this need. The workshop reached theunanimous conclusion that a near term, moderate cost FPNS would significantly advance the scientific understanding ofmaterials degradation in the intense fusion neutron environment and would be a major asset to the U.S. fusion program. A
FPNS is a potential intermediate step to next generation sources such as the International Fusion Materials Irradiation
Facility (IFMIF) being pursued by the EU and Japan if it becomes available near-term. Achieving this role requires start ofconstruction within about three years.
The Innovation Network for Fusion Energy (INFUSE) pilot program.
Recognizing the surge in interest and investments by the private sector in the development of fusion energy, FES launched apilot program to accelerate progress in fusion energy by establishing research partnerships with the private sector. These
private-public research partnerships enable applicants to access and leverage the world-class expertise and capabilities infusion science available at the DOE national laboratories. This new FES program is modeled after the successful Gateway for
Accelerated Innovation in Nuclear (GAIN) Nuclear Energy Voucher program established by the Office of Nuclear Energy.
Machine learning allows NSTX-U to accurately model external heating during plasma discharges.
Neutral beam injectors are an effective source of heating for fusion experimental plasmas, but understanding this power
tends to be a slow, analysis intensive process requiring many discharges. Recently, researchers at the Princeton Plasma
Physics Laboratory (PPPL) were able to develop a new model of neutral beam injection that is fast and accurate enough to
be useful in controlling discharges as they evolve. The scientists used neural networks and trained the model using a
database of NSTX-U discharges. If this new model is used to control the plasma, it is expected that the optimization ofplasma performance scenarios could be achieved many times faster than is typical.
Establishment of LaserNetUS.
FES established a network of laser facilities in the U.S. that includes nine institutions: the University of Texas at Austin, The
Ohio State University, Colorado State University, The University of Michigan, University of Nebraska- Lincoln, University ofRochester, SLAC National Accelerator Laboratory, Lawrence Berkeley National Laboratory, and Lawrence Livermore
National Laboratory. LaserNetUS will provide scientists with access to these facilities, promote networking andcollaboration, develop next generation workforce for DOE laboratories, and help the U.S. regain the recently lost leadershipin high intensity laser science.
U.S. diagnostic is key to Wendelstein 7-X (W7-X) stellarator world record.
W7-X attained the stellarator world record for the fusion triple product of ion temperature, plasma density, and energy
confinement. This represents further progress towards achieving the reactor values needed to ignite a plasma. This value ofthe fusion triple product is excellent for a device of this size, achieved under realistic conditions, i.e. at a high temperatureof the plasma ions. The temperature was measured by the x-ray imaging crystal spectrometer, built and operated by PPPL.
The record could not have been confirmed without the crucial spectrometer measurement.

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

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

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

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

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

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

FY 2021 Request

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

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

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

FY 2021 Congressional Budget Justification

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

FY 2021 Request

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

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

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

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

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

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

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

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

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

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

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

Science/Fusion Energy Sciences

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

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

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

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

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FY 2021 Congressional Budget Justification

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

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

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

Science/Fusion Energy Sciences

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

195

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

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

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

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

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

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

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

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

Science/Fusion Energy Sciences

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

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

FY 2021 Congressional Budget Justification

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

The PSF activity stewards world-class plasma science experiments and collaborative research facilities at small andintermediate scales. These platforms not only facilitate addressing frontier plasma science questions but also provide
critical data for the verification and validation of plasma science simulation codes, and comparisons with spaceobservations. This effort maintains strong partnerships with NSF and NNSA.
Measurement Innovation
The Measurement Innovation activity supports the development of world-leading transformative and innovative diagnostic
techniques and their application to new, unexplored, or unfamiliar plasma regimes or scenarios. The challenge is to develop
diagnostics with the high spatial, spectral, and temporal resolution necessary to validate plasma physics models used to
predict the behavior of fusion plasmas. Advanced diagnostic capabilities successfully developed through this activity are
migrated to domestic and international facilities as part of the Burning Plasma Science: Foundations and Burning Plasma
Science: Long Pulse subprograms. The utilization of mature diagnostics systems is then supported via the research
Science/Fusion Energy Sciences197

FY 2021 Congressional Budget Justification

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

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

FY 2021 Request

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

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

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

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

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

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

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

Science/Fusion Energy Sciences

200

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

FY 2021 Congressional Budget Justification

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

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

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

FY 2021 Request

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

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

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Fusion Energy Sciences
Capital Summary

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

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

N/A

N/A

16,874

21,76048,112+26,352

N/A
N/A

N/A
N/A

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

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

Prior Years

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

—
N/A
N/A

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

Minor Construction Activities

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

Prior Years
N/A

N/A

9,134

6,350

FY 2021 Request vsFY 2020 Enacted

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

Science/Fusion Energy Sciences203

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

Science/Fusion Energy Sciences204

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Fusion Energy Sciences
Construction Projects Summary

Total

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

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

TBD
TBD
TBD

—
—
—

—
1,600
1,600

15,0004,500
19,500

5,000
—
5,000

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

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

TBD
TBD
TBD

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

132,000—
132,000

242,000—
242,000

107,000—
107,000-135,000—-135,000

Total, Construction
TEC
OPC
TPC

TBD
TBD
TBD

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

132,000
1,600
133,600

257,000
4,500
261,500

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

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

FY 2020 Enacted

FY 2021 Request

261,950
143,500

253,000
128,500

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

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

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

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

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

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

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

Science/Fusion Energy Sciences

FY 2019 Enacted

FY 2019 Current

FY 2020 Enacted

FY 2021 Request

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

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

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

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

-27,000
-118
N/A
-280
—
-29.2%N/A

206

FY 2021 Congressional Budget Justification

(dollars in thousands)

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

FY 2019 Enacted

FY 2019 Current

FY 2020 Enacted

FY 2021 Request

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

385
N/A
—
—
N/A
N/A

308
N/A
—
—
N/A
N/A

326
N/A
—
—
N/A
N/A

320
N/A
—
—
N/A
N/A

-6
N/A
—
—
N/A
N/A

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

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

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

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

-54,500
-124
N/A
-280
—
-29.2%
N/A

Fusion Energy Sciences
Scientific Employment

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

FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

932
114
310
1,390

859
106
287
1,284

646
79
216
964

-213
-27
-71
-320

n

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

207

FY 2021 Congressional Budget Justification

208

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

CD-0

CD-4
TBD
1Q FY 2028a

Project Cost History
FiscalYear
FY 2020
FY 2021a

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

OPC, D&D

OPC, Total

—
—

1,600
9,600

TPC
2,600
200,000a

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

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

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

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FY 2021 Congressional Budget Justification

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

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

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

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

FY 2021———

170,400
170,400

170,400
170,400

170,400
170,400

FY 2020

15,00015,00015,000FY 2021

5,000

5,000

5,000

170,400
190,400

170,400
190,400

170,400
190,400

FY 2019

1,600

1,600

280

FY 2020

4,500

4,500

5,820

Outyears
Total, Construction
Total Estimated Cost (TEC)

Outyears
Total, TEC
Other Project Cost (OPC)

a

Costs

FY 2021———

Outyears
Total, OPC
Total Project Cost (TPC)

3,500
9,600

3,500
9,600

3,500
9,600

FY 2019

1,600

1,600

280

FY 2020

19,50019,50020,820FY 2021

5,000

5,000

5,000

Outyears
Total, TPC

173,900
200,000a

173,900
200,000

173,900
200,000

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

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

Previous Total
Estimate

Original
Validated
Baseline

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

17,000
3,000

TBD
TBD

TBD
TBD

20,000

TBD

TBD—
60,80070,000—39,600

TBD
TBD
TBD
TBD
TBD

TBD
TBD
TBD
TBD
TBD

170,400

TBD

TBD

—
—

TBD
TBD

TBD
TBD

—
190,400
42,600

TBD
TBD
TBD

TBD
TBD
TBD

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

350
850
1,900
3,500
3,000

TBD
TBD
TBD
TBD
TBD

TBD
TBD
TBD
TBD
TBD

Total, OPC

9,600

TBD

TBD

Contingency, OPC

3,000

TBD

TBD

Total Project Cost

200,000

TBD

TBD

Total, Contingency (TEC+OPC)

45,600TBD

TBD

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

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

FY 2020

FY 2021

Type

Prior
Years

TEC
OPC
TPC
TEC
OPC
TPC

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

FY 2019

FY 2020

—
1,600
1,600
—
1,600
1,600

FY 2021

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

—
—
—
5,000
—
5,000

Total

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

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

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

1Q FY 2028
TBD
TBD

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

TBD

TBD

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
TBD

TBD

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

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

Square Feet
TBD
TBD
TBD
TBD
TBD
TBD

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

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

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214

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

CD-0

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

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

Conceptual
DesignComplete

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

CD-1

CD-2

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

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

Final Design
Complete

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

CD-3

D&D
Complete

CD-4

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

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

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

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

FiscalYear

Performance
Baseline
Validation

CD-1 Cost
Range
UpdateFY 2018m
FY 2019

7/05/05
7/05/05

1/13/17
1/13/17

CD-2/3

CD-4

CD-3B

SP-2

SP-1

SP-2

1/13/17
1/13/172019
2019

1Q FY 2027
1Q FY 2027

2034-2038
2034-2038

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

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FiscalYear

Performance
Baseline
Validation

CD-1 Cost
Range
UpdateFY 2020
FY 2021

7/05/05
7/05/05

1/13/17
1/13/17

CD-2/3

CD-4

CD-3B

SP-2

SP-1

SP-2

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

1Q FY 2028
1Q FY 2028

2034-2038
2034-2038

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

FiscalYear

TEC, Design

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

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

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

80,64180,64180,64170,30270,302

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

OPC, Total

TPC

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

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

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

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

a

Any additional costs would be funded by the ITER organization.

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

Costs

Total Estimated Cost (TEC) a
Hardware
FY 2006

13,754

13,754

6,169

FY 2007

36,58836,58824,238FY 2008

23,50023,50024,121

FY 200985,40185,401

26,278FY 201085,26685,26646,052

FY 201163,87563,87584,321

FY 2012b

91,45391,441

99,249FY 2013

107,635

107,669

110,074

FY 2014c

166,605

166,605

153,995

FY 2015

134,043

134,043

114,129

FY 2016d

115,000

115,000

106,519

FY 201750,00050,000123,117

FY 2018

122,000

122,000

98,185FY 2019

102,000

102,000

126,726

FY 2020

157,000

157,000

167,182

FY 2021

107,000

107,000

100,348

TBD
1,461,120
TBD

TBD
1,461,142
TBD

TBD
1,410,703
TBD

FY 2006

2,112

2,112

2,112

FY 2007

7,412

7,412

7,412

FY 2008

2,644

2,644

2,644

FY 2009

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

FY 2011

3,125

3,125

3,125

FY 2012f

13,214

13,214

13,214

FY 2013

13,80513,80513,805

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

32,89532,89532,895FY 2015

15,957

15,957

15,957FY 2016———

FY 2017———

FY 2018———

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

TBD
TBD
259,497
TBD

TBD
TBD
259,497
TBD

TBD
TBD
259,497
TBD

FY 2006

15,866

15,8668,281

FY 200744,00044,00031,650FY 2008

26,144

26,144

26,765FY 2009

109,000

109,000

49,877FY 2010

115,000

115,000

75,786

FY 201167,00067,00087,446

FY 2012c

104,667

104,655

112,463

FY 2013

121,440

121,474

123,879

FY 2014d

199,500

199,500

186,890

FY 2015150,000

150,000

130,086

FY 2016

115,000

115,000

106,519

FY 201750,00050,000123,117

FY 2018

122,000

122,000

98,185FY 2019

132,000

132,000

156,726

FY 2020

242,000

242,000

252,182

FY 2021

107,000

107,000

100,348

Outyears
Subtotal

TBD
1,720,617

TBD
1,720,639

TBD
1,670,200

TBD

TBD

TBD

Outyears
Subtotal
Total, Cash Contributions
Hardware and Cash
Contributions

Total, TEC

a

Costs

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

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

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

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

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costs

Other Project Cost (OPC)FY 2006

3,449

3,449

1,110

FY 2007

16,00016,0007,606

FY 2008

-74

-74

7,513

FY 200915,00015,0005,072

FY 2010

20,00020,0007,754

FY 201113,00013,00010,032

FY 2012a

333

311

22,302

FY 2013

2,560
—

2,560
—

5,984

FY 2014b
FY 2015——600

FY 2016

34

34—

FY 2017

—

-50

58

FY 2018——

2

FY 2019——

107

70,302
TBD

70,230TBD

70,230TBD

FY 2006

19,315

19,3159,391

FY 2007

60,00060,00039,256

FY 2008

26,07026,07034,278FY 2009

124,000

124,000

54,949FY 2010135,000

135,000

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

105,000

104,966

134,765

FY 2013124,000

124,034

129,863

FY 2014d

199,500

199,500

188,980

FY 2015150,000

150,000

130,686

FY 2016

115,034

115,034

106,519

FY 201750,00049,950123,175

Subtotal
Total, OPC

2,090

Total Project Cost (TPC)c

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

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)Costs

FY 2018

122,000

122,000

98,187FY 2019

132,000

132,000

156,726

FY 2020

242,000

242,000

252,182

FY 2021
Outyears

107,000
TBD

107,000
TBD

100,348
TBD

Subtotal

1,790,919

1,790,869

1,740,323

Total, TPC

TBD

TBD

TBD

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

Original
Validated
Baseline

Total Estimated Cost (TEC)
DesignDesignContingency

573,660
122,365——

573,660
122,365

Total, Design

696,025—

696,025

Construction
Equipment
Contingency

1,362,521
371,152——

1,362,521
371,152

1,733,673—

1,733,673

2,429,698
493,517——2,429,698
493,517

Total, Construction
Total, TEC
Contingency, TECa

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

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

Original
Validated
Baseline

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

70,30270,302——70,30270,302

Total Project Costa

2,500,000—

2,500,000

493,517—493,517

FY 2021

Outyears

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

FY 2006

FY 2007

FY 2008

FY 2009b

FY 2010

FY 2011

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

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

FY 2019

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

—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—

—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—

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

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

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

FY 2012a

FY 2013b

FY 2014c

FY 2015

FY 2016

FY 2017

FY 2018

FY 2019

FY 2020

FY 2021

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

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

FY 2019

FY 2020

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

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

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

Outyears

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

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

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

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

12/2025
15–25 years
TBD

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

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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 percent of the universe, the remainder being 70 percent dark energy and 25 percent dark
matter, both “dark” because they are either nonluminous or unknown. The observation of very small but non-zero massesof the elementary particles known as neutrinos provides further hints of new physics beyond the Standard Model.
An international enterprise of particle physics research is underway to discover what lies beyond the Standard Model. To
guide U.S. investments, the U.S. particle physics community developed a long-term strategic plan through a multi-year
process that culminated in the May 2014 report of the Particle Physics Project Prioritization Panel (P5), “Building for
Discovery: Strategic Plan for U.S. Particle Physics in the Global Context.”a The report, which was unanimously approved by
the High Energy Physics Advisory Panel (HEPAP) to serve the DOE and National Science Foundation (NSF) as the ten-year
strategic plan for U.S. high energy physics in the context of a 20-year global vision, identified five intertwined sciencedrivers of particle physics that provide compelling lines of inquiry with great promise for discovery:






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

The HEP program enables scientific discovery through three experimental frontiers of particle physics research aligned withthree HEP subprograms:Energy Frontier Experimental Physics, where researchers accelerate particles to the highest energies ever made byhumanity and collide them to produce and study the fundamental constituents of matter. This requires some of thelargest machines ever built. The Large Hadron Collider (LHC) at the European Organization for Nuclear Research, known
as CERN, is 17 miles in circumference and accelerates and collides high-energy protons, while sophisticated detectors,some the size of apartment buildings, observe newly produced particles that provide insight into fundamental forces ofnature and the conditions of the early universe.
Intensity Frontier Experimental Physics, where researchers use a combination of intense particle beams and highly
sensitive detectors to make extremely precise measurements of particle properties, to study some of the rarest
interactions predicted by the Standard Model, and to search for new physics. Measurements of the mass and otherproperties of neutrinos may have profound consequences for understanding the evolution and ultimate fate of theuniverse.
Cosmic Frontier Experimental Physics, where researchers use naturally occurring cosmic particles and phenomena toreveal the nature of dark matter, understand the cosmic acceleration caused by dark energy and inflation, infer certain
neutrino properties, and explore the unknown. The highest-energy particles ever observed have come from cosmic
sources, and the ancient light from the early universe and distant galaxies allows researchers to map the distribution ofdark matter and perhaps unravel the nature of dark energy and inflation. Ultra-sensitive detectors deep undergrounda 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.osti.gov/~/media/hep/hepap/pdf/May2014/FINAL_P5_Report_053014.pdf

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may glimpse the dark matter passing through Earth. Observations of the cosmic frontier may reveal a universe far
stranger than ever thought possible.
HEP’s Theoretical, Computational, and Interdisciplinary Physics and Advanced Technology Research and Development(R&D) subprograms formulate and enable scientific discovery. The Theoretical, Computational, and Interdisciplinary Physics
subprogram provides the framework to explain experimental observations and gain a deeper understanding of nature.
Theoretical physicists take the lead in the interpretation of a broad range of experimental results and synthesize new ideas
as they search for deep connections and develop testable models. Computational Physics provides advanced computing
tools and simulations that are necessary for designing, operating, and interpreting experiments across the frontiers, andenables discovery research via new techniques in high performance computing. Artificial Intelligence (AI)/Machine Learning(ML) supports research to tackle the challenges of managing the increasingly high volumes and complexity of experimental
and simulated data across the HEP experimental frontiers, theory, and technology thrusts, and to address cross-cutting
challenges across the HEP program as part of Administration initiative in coordination with DOE investments in exascalecomputing and associated AI efforts. Quantum Information Science (QIS) is a rapidly-developing, inter-disciplinary field, and
HEP QIS efforts are aligned with the National Quantum Initiative and DOE priorities in this area. The HEP QIS research
program promotes the co-development of quantum information, theory, and technology with the science drivers andopens prospects for new capabilities in sensing, simulation, and computing. In support of the National Quantum Initiative,
the National QIS Research Centers constitute an interdisciplinary partnership between HEP and other SC programs. Thispartnership complements a robust core research portfolio that the individual SC programs, including HEP, steward to create
the ecosystem across universities, national laboratories, and industry that is needed to advance developments in QIS andrelated technology.
The Advanced Technology R&D subprogram fosters fundamental research into particle acceleration and detection
techniques and instrumentation. These enabling technologies and new research methods advance scientific knowledge inhigh energy physics and a broad range of related fields, advancing DOE’s strategic goals for science.
The Accelerator Stewardship subprogram supports R&D efforts that are synergistic with the HEP mission but also impacts
activities outside the traditional HEP boundaries. The activities of the Accelerator Stewardship subprogram include:
improving access to SC accelerator R&D infrastructure for the private sector and other users; near-term translational R&D
to adapt HEP accelerator technology for potential uses in medical, industrial, security, and defense applications; and longterm 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 2021 Request
The FY 2021 Request for $818,131,000 focuses resources toward the highest priorities in fundamental research, operationand maintenance of scientific user facilities, facility upgrades, and projects identified in the P5 report.
Key elements in the FY 2021 Request include:
Research
Support for university and laboratory researchers to preserve critical core competencies, enable high priority theoreticaland experimental activities in pursuit of discovery science, explore the potential of QIS and AI/ML, and invest in highperformance computing, including preparations for exascale, as well as world-leading R&D that requires long-term
investments. This includes:


LHC Support: U.S. responsibilities and leadership roles in the A Toroidal LHC Apparatus (ATLAS) and Compact Muon
Solenoid (CMS) experiments at the LHC. To prepare for a ramp up to higher particle collision energy, the installation

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FY 2021 Congressional Budget Justification



















and commissioning of the upgrades to the ATLAS and CMS detectors will continue during the scheduled two-year long
LHC technical stop from January 2019 to December 2020;
Fermi National Accelerator Laboratory: U.S.-hosted, world-leading neutrino and muon physics experiments at Fermi
National Accelerator Laboratory (FNAL), consisting of the Long Baseline Neutrino Facility/Deep Underground Neutrino
Experiment (LBNF/DUNE), the related Short-Baseline Neutrino (SBN) program, the NOvA neutrino oscillation
experiment, Muon g-2, and the Muon to Electron Conversion Experiment (Mu2e);
Cosmic Frontier: U.S. responsibilities and leadership roles in world-leading, next-generation experiments to advancethe understanding of the nature of dark energy and cosmic acceleration during inflation in the early universe, and thesearch for dark matter particles;
Theoretical Research: Intertwining the physics of the Higgs boson, neutrino masses, the dark universe, and exploring
the unknown;
QIS: R&D to accelerate discovery in particle physics while advancing the national effort;
QIS Research Centers: HEP, in partnership with other SC programs, will continue support for multi-disciplinary QISCenters initiated in FY 2020 to accelerate the advancement of QIS through vertical integration between systems andtheory, and hardware and software. QIS Center scope includes work relating to sensors, quantum computing,emulators/simulators, and enabling technologies that will pave the path to accelerate and exploit QISassociatedtechnologies in the longer term;
AI/ML: Research to tackle the challenges of managing increasingly high volumes and complexity of experimental andsimulated data across the HEP experimental frontiers, theory, and technology thrusts, and to address cross-cutting
challenges across the HEP program in coordination with DOE investments in exascale computing and associated AI
efforts;
Microelectronics: HEP will work together with Advanced Scientific Computing Research (ASCR), Basic Energy Sciences(BES), and Fusion Energy Sciences (FES) programs to support multi-disciplinary microelectronics research to accelerate
the advancement of microelectronic technologies;
Advanced Technology R&D: World-leading Advanced Technology R&D that will enable transformative technology forthe next-generation of accelerators and particle detectors and the training of experts who build them. The HEP General
Accelerator R&D (GARD) activity will increase support for the Traineeship Program for Accelerator Science andTechnology 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;
Accelerator Stewardship: Develop the fundamental building blocks of new technological advances in accelerator
technology, to empower the private sector to accelerate research discoveries from the laboratory to the marketplace,and to support the mission of other federal agencies; andTechnology R&D and pre-conceptual design studies: Research support for small projects searching for dark matter in
new areas, new concepts for neutrino experiments in the DUNE era, or for next-generation dark energy experiments.

Facility Operations
Funding for the operations of the HEP scientific user facilities and other facility operation costs. Requested funding directs
efforts to enable world-class science and the optimization of existing capabilities. This includes:






Fermilab Accelerator Complex: Operation of the Fermilab Accelerator Complex for 4,580 hours (80 percent of optimal);long-deferred infrastructure maintenance and improvements; the procurement of new computing hardware, software,and storage systems; and the hiring and training of highly-skilled accelerator and instrumentation experts;
Accelerator Test Facility (ATF): Operation of the Brookhaven National Laboratory (BNL) ATF for 2,150 hours (86 percent
of optimal);Facility for Advanced Accelerator Experimental Tests II (FACET-II): Commissioning, installation, and 2,500 hours ofoperation (83 percent of optimal) for FACET-II;
Sanford Underground Research Facility (SURF): Support services to enable operations of the Large Underground Xenon(LUX)-ZonED Proportional Scintillation in Liquid Noble gases (Zeplin) (LUX-ZEPLIN) (LZ) dark matter experiment, tocontinue operations of the neutrino-less double beta decay Majorana Demonstrator, and support investments toenhance SURF infrastructure;

Science/High Energy Physics

229

FY 2021 Congressional Budget JustificationVera C. Rubin Observatory: Commissioning and facility pre-operations activities for the Vera C. Rubin Observatory inChile; (formerly known as the Large Synoptic Survey Telescope (LSST) project and facilitya); andCosmic Frontier Operations: Science operations of the Dark Energy Spectroscopic Instrument (DESI), installed on the
Mayall telescope in Arizona, LZ at SURF, and the Super Cryogenic Dark Matter Search at Sudbury Neutrino Observatory
Laboratory (SuperCDMS-SNOLAB) dark matter experiment in the Creighton Mine near Sudbury, Ontario, Canada.

Projects
Funding for Construction and Major Items of Equipment (MIEs) includes:








HL-LHC Projects: Continued investments in the LHC by contributing to the U.S. share of the High-Luminosity (HL-LHC)
Accelerator Upgrade Project and the HL-LHC ATLAS and CMS Detector Upgrade Projects to increase the particle
collision rate by a factor of three to explore new physics beyond its current reach;
LBNF/DUNE: Support will enable the Critical Decision (CD)-3B approved scope for the activities: the Far Site excavationof the underground equipment caverns and connecting drifts (tunnels); design and procurement activities for the Far
Site cryogenics systems; LBNF Near Site (FNAL) beamline and conventional facilities design; and a site-preparation
construction subcontract at the Near Site for relocation of existing service roads and utilities, including
communications, power and water systems;
Proton Improvement Plan II (PIP II): Support will enable engineering design work for conventional facilities andtechnical systems, continuation of site-preparation activities, initiation of construction for cryogenic plant support
systems, and continued fabrication of prototype accelerator system components; andCosmic Microwave Background Stage 4 (CMB-S4): Support for a new start MIE. CMB-S4 is the remaining P5recommended MIE to commence. Currently operating CMB Stage 3 (CMB-S3) experiments were being built at the timeof the P5 report. While these CMB-S3 experiments will provide valuable information on cosmological properties, thesensitivity necessary to directly investigate the inflationary era of the early universe will require designing the next
generation project. CMB-S4 will also provide information about the nature of dark energy and neutrino properties.
FY 2021 Research Initiatives

High Energy Physics supports the following FY 2021 Research Initiatives.
(dollars in thousands)
FY 2020
FY 2021
EnactedRequestFY 2019
EnactedFY 2021 Request vsFY 2020 Enacted

New Research Initiatives
Strategic Accelerator Technology Initiative
Total, New Research Initiatives

—
—

—
—

6,250
6,250

+6,250+6,250Ongoing Research Initiatives
Artificial Intelligence and Machine Learning
Microelectronics Innovation
Quantum Information Science
Total, Ongoing Research Initiatives

3,750—
27,50031,25015,000—38,50053,50034,5005,000
43,80983,309+19,500+5,000+5,309+29,809

a The Vera C. Rubin Observatory Designation Act (H.R. 3196) was signed into law on December 20, 2019.

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High Energy Physics
Funding(dollars in thousands)
FY 2021 Request vsFY 2020 Enacted

FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

Energy Frontier Experimental Physics
Research
Facility Operations and Experimental Support
Projects
SBIR/STTR
Total, Energy Frontier Experimental Physics

76,53052,000105,000
5,390
238,920

71,12552,650100,000
4,663
228,438

50,05048,48078,0003,674
180,204-21,075-4,170-22,000-989-48,234

Intensity Frontier Experimental Physics
Research
Facility Operations and Experimental Support
Projects
SBIR/STTR
Total, Intensity Frontier Experimental Physics

61,646
155,035
16,0008,299
240,980

58,871
177,1225,494
8,747
250,234

35,520157,445
4,000
7,570
204,535-23,351-19,677-1,494-1,177-45,699

Cosmic Frontier Experimental Physics
Research
Facility Operations and Experimental Support
Projects
SBIR/STTR
Total, Cosmic Frontier Experimental Physics

50,741
20,07627,3502,869
101,036

48,072
41,3582,000
3,471
94,901

29,22037,4001,000
2,300
69,920-18,852-3,958-1,000-1,171-24,981

Theoretical, Computational, and Interdisciplinary Physics
Research
TheoryComputational HEP
Quantum Information Science
Artificial Intelligence and Machine Learning
Total, Research
SBIR/STTR
Total, Theoretical, Computational, and Interdisciplinary Physics

45,76013,351
27,500—86,611
3,223
89,83448,5049,430
38,50015,000111,434
4,093
115,527

29,48011,44043,80934,500119,229
3,412
122,641-19,024+2,010+5,309+19,500+7,795-681+7,114

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(dollars in thousands)
FY 2021 Request vsFY 2020 Enacted

FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

Advanced Technology R&D
Research
HEP General Accelerator R&D
Detector R&D
Total, Research
Facility Operations and Experimental Support
Projects
SBIR/STTR
Total, Advanced Technology R&D

48,447
23,694
72,141
27,625
10,0003,740
113,506

43,45420,93764,391
39,232—
3,783
107,406

45,606
19,45065,056
37,200—3,846
106,102+2,152-1,487+665-2,032—+63-1,304

Accelerator StewardshipResearch
Facility Operations and Experimental Support
SBIR/STTR
Total, Accelerator Stewardship
Subtotal, High Energy Physics

9,083
6,067
574
15,724800,000

10,7886,067
639
17,494
814,000

8,510
5,200
519
14,229697,631-2,278-867-120-3,265-116,369

20,00060,00020,000-40,000

130,000
30,000180,000
980,000

171,000—
231,000
1,045,000

100,500—
120,500
818,131-70,500—-110,500-226,869

Construction
18-SC-42 Proton Improvement Plan II, FNAL
11-SC-40, Long Baseline Neutrino Facility/Deep Underground
Neutrino Experiment, FNAL
11-SC-41, Muon to Electron Conversion Experiment, FNAL
Total, Construction
Total, High Energy Physics
SBIR/STTR funding: FY 2019 Enacted: SBIR $21,124,000 and STTR $2,971,000
 FY 2020 Enacted: SBIR $22,265,000 and STTR $3,131,000
 FY 2021 Request: SBIR $18,763,000 and STTR $2,558,000

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High Energy Physics
Explanation of Major Changes

Energy Frontier Experimental Physics
The Request will focus support on LHC data analysis activities that are prioritized through a competitive peer review process and which are
based on highest scientific merit and potential impact. Efforts associated with the HL-LHC ATLAS and HL-LHC CMS Detector upgrade activities
will continue as researchers prepare for project baselining. The Request will support detector operations activities and associated U.S.-based
computing infrastructure and resources needed to process the large volume of data anticipated when the LHC resumes running in Q3 of FY
2021. Support for HL-LHC Accelerator Upgrade and HL-LHC ATLAS and HL-LHC CMS Detector Upgrade Projects decreases and funding will
support critical path activities to best maintain synchronization with the international HL-LHC schedule. Support for lower priority research, as
determined by the FY 2018 HEPAP portfolio review, will ramp down.

(dollars in thousands)
FY 2021 Request vsFY 2020 Enacted-48,234

Intensity Frontier Experimental Physics
The Request will focus research support towards NOvA, the SBN program, Mu2e, and LBNF/DUNE. Support for lower priority small- to mid-scale
neutrino experiments, as determined by the FY 2018 HEPAP portfolio review, will ramp down. The Request will support the Fermilab Accelerator
Complex and the neutrino and muon experiments at 80 percent of optimal operations. Support for GPP funding is reduced as the Kautz Road
Sub-Station Radial Feed Electrical Upgrade, and the cleanroom consolidation and construction in Industrial Building 4 in support of cryomodule
assembly will be fully funded in FY 2020. The Request includes an increase of R&D for the PIP-II injector prototype, which is offset by thedecrease for LBNF/DUNE OPC as the pre-excavation construction work approaches completion and is ramping down.

-45,699

Cosmic Frontier Experimental Physics
The Request will support increased research on the experiments that have recently started and a new MIE start for CMB-S4, while support for
the Dark Energy Survey (DES) and research on lower priority experiments, as determined by the FY 2018 HEPAP portfolio review, will ramp
down. The Request supports a ramp up in detector and facility operations and data processing for the suite of next generation dark matter anddark energy experiments, while ramping down operations for lower priority experiments.

-24,981

Theoretical, Computational, and Interdisciplinary Physics
The Request will increase support for AI/ML to address cross-cutting challenges in AI/ML that will advance the mission of the HEP program. The
Request will prioritize theoretical support of the HEP experimental program and the highest-impact theoretical research as determined bycompetitive peer review. The Request supports transformative computational science, high performance computing, and exploratory researchon adapting software workflows and testing hardware to make efficient use of Exascale architecture. The Request will support increases forinterdisciplinary HEP-QIS consortia for focused research on foundational HEP-QIS including novel experiments, quantum computing, andquantum research technology and SC QIS Center activity in partnership with other SC programs.

+7,114

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Advanced Technology R&D
The Request will capitalize on the science opportunities at the newly completed FACET-II facility and increase the operational hours to 2,500 (83percent of optimal), grow the Traineeship Program, begin the Strategic Accelerator Technology Initiative to bolster efforts in superconducting
Magnet Development, accelerate ultrafast laser R&D, upgrade superconducting radio frequency (SRF) facilities and expand capabilities, and cofund a multi-office R&D initiative in superconducting materials. Detector R&D support will be prioritized at universities and national
laboratories, which enhance collaborative opportunities in support of new directions in HEP discovery science programs, and strengthen newtechnology developments and capabilities to align with the FY 2020 Basic Research Needs workshop priorities. The Request will support
Microelectronics initiative through collaboration with ASCR, BES, and FES to conduct R&D for detector materials, devices, advances in front-end
electronics, integrated sensor/processor architectures, and support multi-disciplinary microelectronics research.

(dollars in thousands)
FY 2021 Request vsFY 2020 Enacted-1,304

Accelerator Stewardship
The Request will enable the start of the Strategic Accelerator Technology Initiative to advance accelerator technologies that define the U.S.
competitive advantage in physical sciences research. The ATF at BNL will operate at 86 percent of optimal. Support for accelerator technologies
for industrial, medical and security uses, and advanced laser technology R&D will ramp down.

-3,265Construction
The Request will continue support for LBNF/DUNE completion of the Far Site civil construction activities for pre-excavation and the beginning of
excavation activities for the underground equipment caverns and connecting drifts (tunnels), as well as design and procurement activities for Far
Site cryogenics systems. The Request will also support Near Site (FNAL) beamline and conventional facilities design and continuation of a sitepreparation construction subcontract at the Near Site for relocation of existing service roads and utilities. Also, the Request will support thecontinuation of construction and fabrication for technical systems including contributions to the DUNE detectors, when design is final andauthorized by CD-3. The Request will continue support for PIP-II completion of civil engineering design for the conventional facilities, andtechnical design and prototyping for the accelerator components.

-110,500

Total, High Energy Physics-226,869

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Basic and Applied R&D Coordination
Accelerator Stewardship provides the fundamental building blocks of new technological advances in accelerator
applications, including advanced proton and ion beams for the treatment of cancer, in coordination with the National
Institutes of Health (NIH). HEP developed the Accelerator Stewardship subprogram based on input from accelerator R&D
experts drawn from other federal agencies, universities, national laboratories, and the private sector to help identify
specific research areas and infrastructure gaps where HEP investments would have sizable impacts beyond the SC research
mission. This subprogram is closely coordinated with BES, FES, and Nuclear Physics (NP) programs and partner agencies toensure federal stakeholders have input in crafting funding opportunity announcements, reviewing applications, andevaluating the efficacy and impact of funded activities. Use-inspired accelerator R&D for medical applications has beenclosely 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, the Department of Homeland Security’s Domestic Nuclear Detection Office in theCountering Weapons of Mass Destruction Office (DHS/CWMD), the NSF/Chemical, Bioengineering, Environmental andTransport (CBET) Systems Division; and the DOE’s Office of Environmental Management (EM). Discussions with the National
Nuclear Security Administration (NNSA) on mission needs and R&D coordination in laser technology, radioactive source
replacement, and particle detector technologies have led to a Basic Research Needs Workshop on Compact Accelerators for
Security and Medicinea that was held in May 2019 to establish research priorities for accelerator R&D in this critical area.
Ensuring that the Accelerator Stewardship subprogram’s use-inspired basic R&D investments result in high-impact
applications requires close coordination with other agencies who will carry on the later-stage development. The
implementation strategy is to work with applied R&D agencies to jointly define priority research directions at Basic
Research Needs Workshops, and then guide R&D and facility investments through joint participation of applied agencies inmerit reviews and in the operations review of the BNL ATF. Where an eventual marketable use is envisioned, R&D
collaborations are expected to involve a U.S. company to guide the early-stage R&D.
Specific funded examples include collaborative R&D on proton therapy delivery systems (joint with Varian Medical
Systems), advanced proton sources for therapy (joint with ProNova Solutions), advanced detectors for cancer therapy (joint
with Best Medical International), advanced microwave source development (joint with Communications Power Industries
and General Atomics), and technical design studies for high power accelerators for wastewater treatment (joint with
Metropolitan Water Reclamation District of Greater Chicago, the Air Force Research Laboratory, and General Atomics).
Funded R&D awards have drawn an average of 20 percent of voluntary cost sharing over the initial years of thesubprogram, providing evidence of the potential impact.
The HEP QIS research program has coordinated partnerships with the DOD Office of Basic Research (DOD/OBR) as well as
the Air Force’s Office of Scientific Research (AFOSR) on synergistic research connecting cosmic black holes with quantum
error correction in qubit devices, and a partnership with the Department of Commerce’s National Institute of Standards andTechnology on quantum metrology and quantum sensor development for experimental discovery along HEP science drivers
and for better understanding of fundamental constants. Furthermore, the SC QIS Center effort is a partnership across the
HEP, ASCR, and BES programs and engages industry to inform use-inspired research and connect to applied anddevelopment activities. These interdisciplinary QIS efforts are aligned with the National Quantum Initiative and SC QIS
priorities.
Program Accomplishments
LHC data enables sensitive studies of the Higgs boson and searches for the dark matter particle production (Energy Frontier
Experimental Physics).
Using data collected during the record-setting operations of the LHC through 2018, scientists from the ATLAS and CMS
collaborations continued their studies of Higgs boson interactions and searched for signs of dark matter being created inhigh energy particle collisions. Using AI/ML techniques to enhance their sensitivity, the CMS collaboration used the Higgs
boson as a tool for discovery by searching for evidence of it being produced in association with dark matter particles. Thissensitive search is the first to combine five Higgs boson decay channels, including some used in searches for the first time.
ahttps://science.osti.gov/-/media/hep/pdf/Reports/2020/CASM_WorkshopReport.pdf

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The ATLAS collaboration applied AI/ML techniques to the search for the Higgs boson decaying to pairs of muons, providing
the most sensitive analysis to date. While this challenging decay channel is predicted by the standard model at a low rate,
the analysis suggests that observation will be possible in the future era of the HL-LHC. These analyses demonstrate thepotential for discovery as the LHC will resume operations in 2021 after a scheduled two-year technical stop for accelerator
and detector upgrades.
Precision Reactor Oscillation and Spectrum Experiment (PROSPECT) produces first results in reactor based search for sterile
neutrinos (Intensity Frontier Experimental Physics).
One major unresolved question about neutrinos is whether there are additional types beyond the three that are known.
The known neutrinos change their type as they travel, a phenomenon known as neutrino oscillation, and is it possible that
this process allows neutrinos to change into “sterile” types that do not interact directly with other matter. Nuclear reactors
provide an intense source of neutrinos that can be used to search for signs of additional neutrino types through oscillations
over a few meters of distance. Using data collected during 33 live-days of reactor operation at the High Flux Isotope Reactor(HFIR), scientists on the PROSPECT experiment produced first results their search for sterile neutrinos. The results
significantly constrain the favored region for sterile neutrinos from previous experiments, and will continue to improve as
more data is recorded.
Dark Energy Survey completes observations and delivers first combined dark energy constraints from several cosmologicalprobes (Cosmic Frontier Experimental Physics).
The Dark Energy Survey (DES) aims to understand why the universe is accelerating in its expansion. If Einstein’s theory ofgeneral relativity is correct, then the dark energy that drives this expansion accounts for nearly 70 percent of the totalenergy in the universe. However, precise measurements of the history of this expansion may reveal that new dynamic
forces are in play. DES successfully completed an extended six years of observations in January 2019, reaching its goal of adeep, uniform survey of a large portion of the southern sky. The rich data have already led to over 200 scientificpublications, including detailed cosmology results from the first year of observations. In early 2019, the DES collaboration
combined several cosmological probes for the first time in order to constrain the properties of dark energy. These
combined constraints are competitive with previous experiments and in early 2020 the release of results from three yearsof observational data will continue to improve our knowledge.
Dark matter experiment produces world’s most sensitive search for axions (Cosmic Frontier Experimental Physics).
The Axion Dark-Matter eXperiment Generation 2 (ADMX-G2), successfully continued the world’s most sensitive search for a
candidate dark matter particle known as the axion. Axions are hypothetical dark matter particles with a very low mass,
almost a trillion times lighter than an electron, that would also solve a known issue in the theoretical framework of thestandard model of particle physics. The ADMX-G2 experiment sweeps through regions of potential axion mass by tuning aradiofrequency cavity through different frequency bands, and major steps in the scan require swapping the cavity. After
producing the world’s most sensitive search for axions in the frequency range of 680 MHz to 800 MHz in 2018, the ADMX
collaboration continued their search in frequencies up to 1,020 MHz in 2019. ADMX will continue operations in up to three
more configurations to eventually reach 2,000 MHz and span an important region of interest in the search for dark matteraxions.
Scrambling of quantum information successfully verified in experiment (Theoretical, Computational, and Interdisciplinary
Physics).
Quantum systems provide experimental testbeds for understanding the universe in new ways. In quantum simulations, thecorrelations and flow of information between quantum bits (qubits) in a laboratory experiment may provide insight into
difficult problems in many other areas including black holes. A major challenge is understanding how information from one
qubit is dispersed, or “scrambled,” into correlations with entangled qubits over the course of an experiment anddistinguishing scrambling from external effects that introduce noise in the quantum information. Using trapped atomic ionsas qubits, experimenters successfully measured aspects of quantum information scrambling in an entangled multi-bodysystem and provably distinguished it from external noise. The experimental validation of this process opens new doors for
exploring the quantum world and related problems through quantum simulation.

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World record magnetic field strength achieved for a superconducting accelerator magnet (Advanced Technology R&D).
In high-energy circular colliders, strong magnetic fields are needed to steer particle beams so they can be brought into
collision at the interaction points. Future particle colliders will require stronger magnets in order to push the frontiers of
discovery science. Stroger magnets reduce the ring size needed for a given particle energy or enable higher energies within
the same sized ring. In 2019, scientists at FNAL announced the achievement of the highest magnetic field strength everrecorded for an accelerator magnet. The world record field strength of 14.1 teslas was achieved with the advanced
superconducting material niobium-tin at a magnet temperature of 4.5 kelvins (minus 450 degrees Fahrenheit). Efforts areunderway to push the performance of the accelerator magnet to even higher fields.
Fermi National Accelerator Laboratory breaks ground on new heart of accelerator complex (Line Item Construction).
On March 15, 2019, FNAL held the groundbreaking ceremony for a major new accelerator project, the Proton Improvement
Plan II (PIP-II), which will provide a powerful beam for the future experiments served by the Fermilab Accelerator Complex.
As an innovative application of cutting-edge superconducting technology, PIP-II has attracted the attention of accelerator
experts from around the world and the project will benefit from significant contributions from international partners
including France, India, Italy, and the UK. The PIP-II accelerator will play a key role in the future Long Baseline Neutrino
Facility hosted by FNAL, enabling it to provide the world’s most intense neutrino beam to giant particle detectors in a repurposed mine a mile beneath the Black Hills of South Dakota. Over a thousand scientists from around the world arecollaborating to build the international Deep Underground Neutrino Experiment in order to precisely measure properties of
the ghostly neutrino, which may in turn help us understand why the universe today is made of matter instead of
antimatter.

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238

High Energy Physics
Energy Frontier Experimental Physics
Description
The Energy Frontier Experimental Physics subprogram’s focus is on support for the Large Hadron Collider (LHC). The LHC
hosts two large multi-purpose particle detectors, ATLAS and CMS, which are partially supported by DOE and NSF and areused by large international collaborations of scientists. U.S. researchers account for approximately 20 percent and 25
percent of the ATLAS and CMS collaborations respectively, and play critical leadership roles in all aspects of eachexperiment. Data collected by ATLAS and CMS will be used to address at least three of the five science drivers:

Use the Higgs boson as a new tool for discovery.
In the Standard Model of particle physics, the Higgs boson is a key ingredient responsible for generating the mass for
fundamental particles. Experiments at the LHC continue to actively measure the Higgs’s properties to establish its exact
character and to discover if there are additional effects that are the result of new physics beyond the Standard Model.
Explore the unknown: new particles, interactions, and physical principles.
Researchers at the LHC probe for evidence of what lies beyond the Standard Model or significantly constrain
postulated modifications to it, such as supersymmetry, mechanisms for black hole production, extra dimensions, andother exotic phenomena. The upgraded LHC detectors will be increasingly more sensitive to potential deviations fromthe 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 beinferred through the behavior of the accompanying normal matter. This “indirect” detection of dark matter iscomplementary to, and a powerful cross-check on, the ultra-sensitive direct detection experiments in the Cosmic
Frontier and Intensity Frontier Experimental Physics subprograms.

Research
The Energy Frontier Experimental Physics subprogram’s Research activity supports groups at U.S. academic and research
institutions and physicists from national laboratories. These groups, as part of the ATLAS and CMS collaborations, typicallyhave a broad portfolio of responsibilities and leadership roles in support of R&D, experimental design, fabrication,commissioning, operations, and maintenance, and they perform scientific simulations and physics data analyses. DOE
selects research efforts with the highest scientific impact and potential based on a competitive peer-review process. In
FY 2018, HEPAP evaluated the currently operating portfolio of experiments in the Energy Frontier and assessed the priorityof their science output in the context of the science drivers. The findings from this review, in combination with input on
strategic directions from regular, open community workshops will inform funding decisions in subsequent years. The
activity also supports long-term development to efficiently analyze large datasets anticipated during future LHC operations.
The next external peer review of the Energy Frontier laboratory research groups is planned for Q4 of FY 2020.
Facility Operations and Experimental Support
U.S. LHC Detector Operations supports the maintenance of U.S.-supplied detector systems for the ATLAS and CMS
detectors at the LHC, and the U.S.-based computer infrastructure used by U.S. physicists to analyze LHC data, including Tier
1 computing centers at BNL and FNAL. The Tier 1 centers provide around-the-clock support for the worldwide LHC
Computing Grid; are responsible 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 by a factor of three to explore new physics beyond its current reach. Through the HL-LHC Accelerator Upgrade Project,
HEP will contribute to this upgrade by constructing and delivering the next-generation of superconducting accelerator
components, where U.S. scientists have critical expertise. After the upgrade, the HL-LHC beam will make the conditions inwhich the ATLAS and CMS detectors must operate very challenging. As a result, the HL-LHC ATLAS and HL-LHC CMS
Detector Upgrades are critical investments to enable the experiments to operate for an additional decade and collect atleast a factor of ten more data.
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High Energy Physics
Energy Frontier Experimental Physics
Activities and Explanation of Changes(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Energy Frontier Experimental Physics$228,438$180,204
Research$71,125$50,050
Funding supports U.S. scientists leading high profile
The Request will support U.S. leadership roles in all
analysis topics using the large datasets collected by
aspects of the ATLAS and CMS experimental programs,
the ATLAS and CMS experiments.
including the analysis of the large datasets during thenext LHC run, which begins in Q3 of FY 2021.

Facility Operations and Experimental
Support$52,650
Funding supports ATLAS and CMS detector
maintenance and operations at CERN; the U.S.-based
computing infrastructure and resources necessary tostore and analyze LHC data; and commissioning
activities of U.S.-built detector components.

Projects$100,000
Funding supports baselining the detector upgrades
projects, and continues procurement of components
for the HL-LHC ATLAS and HL-LHC CMS Detector
Upgrades, and production of focusing magnets andradio-frequency cavities for the HL-LHC Accelerator
Upgrade Project.

Science/High Energy Physics$48,480
The Request will support ATLAS and CMS detector
maintenance and operations at CERN and the U.S.based computing infrastructure and resources used by
U.S. scientists to store and analyze the large volume of
LHC data acquired during the next LHC run starting in
Q3 of FY 2021.

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted-$48,234-$21,075
Funding will support LHC data analysis activities thatare prioritized through a competitive peer review
process and are based on highest scientific merit andpotential impact. Efforts associated with the HL-LHC
ATLAS and HL-LHC CMS Detector upgrade activities
continue in order to prepare for project baselining.
-$4,170
Funding will support additional compute nodes anddata storage needs that are anticipated as a result of
the higher demand placed on the U.S.-based
computing infrastructure during the next LHC running
period that resumes in Q3 of FY 2021. Support forcommissioning activities of the U.S.-built detector
components installed in prior years will ramp down.

$78,000-$22,000
The Request will continue support for the critical path Support will focus on critical path items to best
items in the production of quadrupole magnets andmaintain synchronization with the international LHC
crab cavities for the HL-LHC Accelerator Upgrade, and and HL-LHC schedules.
continue critical path items and procurements for the
Detector upgrades.

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(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

SBIR/STTR$4,663$3,674-$989
In FY 2020, SBIR/STTR funding is at 3.65 percent of
In FY 2021, SBIR/STTR funding will be at 3.65 percent
The SBIR/STTR funding will be consistent with the
non-capital funding.
of non-capital funding.
HEP total budget.

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242

High Energy Physics
Intensity Frontier Experimental Physics
Description
The Intensity Frontier Experimental Physics subprogram supports the investigation of some of the rarest processes innature, including unusual interactions of fundamental particles or subtle effects requiring large data sets to observe andmeasure. This HEP subprogram focuses on using high-power particle beams or other intense particle sources to makeprecision measurements of fundamental particle properties. These measurements in turn probe for new phenomena thatare not directly observable at the Energy Frontier, either because they occur at much higher energies and their effects may
only be seen indirectly, or because their interactions are too weak for detection in high-background conditions at the LHC.
Data collected from Intensity Frontier experiments will be used to address at least three of the five science drivers:

Pursue the physics associated with neutrino mass
Of all known particles, neutrinos are perhaps the most enigmatic and certainly the most elusive. HEP researchers
working at U.S. facilities discovered all of the three known varieties of neutrinos. HEP supports research into
fundamental neutrino properties that may reveal important clues about the unification of forces and the very early
history of the universe. The Intensity Frontier-supported portfolio of neutrino experiments will advance neutrino
physics while serving as an international platform for the R&D activities necessary to establish the U.S.-hosted
international LBNF/DUNE.
Explore the unknown, new particles, interactions, and physical principles
A number of observed phenomena are not described by the Standard Model, including the imbalance of matter andantimatter in the universe today. Precision measurements of the properties of known particles may reveal information
about what new particles and forces might explain these discrepancies and whether the known forces unify at energies
beyond the reach of the LHC.
Identify the new physics of dark matter
The lack of experimental evidence from current generation dark matter detectors has led to proposed theoreticalmodels with new particles and forces that rarely interact with normal matter. These theoretical particles and forces are
effectively invisible to conventional experiments, but may connect to the cosmic dark matter. Experiments use intense
accelerator beams at national laboratories outfitted with highly efficient high-rate detectors to explore these
theoretical models.

Research
The Intensity Frontier Experimental Physics subprogram’s Research activity supports groups at U.S. academic and research
institutions and national laboratories. These groups, as part of scientific collaborations, typically have a broad portfolio of
responsibilities and leadership roles in support of R&D, experimental design, fabrication, commissioning, operations, andmaintenance, as well as performing scientific simulations and physics data analyses on the experiments. DOE selects
research efforts with the highest scientific merit and potential impact based on a competitive peer review process. An
external peer review of the Intensity Frontier laboratory research groups was conducted in FY 2018; the next review isplanned for FY 2023. In FY 2018, HEPAP evaluated the currently operating portfolio of experiments on the Intensity Frontier
and assessed the priority of their science output in the context of the science drivers. In early FY 2019, HEP conducted a
Basic Research Needsa workshop to assess the science landscape and new opportunities for dark matter particle searches
and to identify which areas would be suitable for small projects in the HEP program. The findings from these reviews, in
combination with input on strategic directions from regular, open community workshops will inform funding decisions insubsequent years.
The largest component of the Intensity Frontier subprogram is the support for research in accelerator-based neutrino
physics centered at FNAL with multiple experiments running concurrently in two separate neutrino beams with different
beam energies. The flagship NuMI Off-Axis νe Appearance (NOvA) experiment uses the Neutrinos at the Main Injector(NuMI) beam. The Booster Neutrino Beam (BNB) is used by the Short-Baseline Neutrino (SBN) program, which includes aa The “Basic Research Needs for Dark Matter Small Projects New Initiatives” report can be found at: https://science.osti.gov/hep/Community-

Resources/Reports

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Near Detector (SBN-ND) and a Far Detector (SBN-FD) separated by about 1,600 feet, to definitively address hints ofadditional neutrinos types beyond the three currently described in the Standard Model. LBNF/DUNE will be the centerpieceof a U.S.-hosted world-leading neutrino research activities, using the world’s most intense neutrino beam and large,
sensitive underground detectors to make transformative discoveries.
The Research activity also includes efforts to search for rare processes in muons to detect physics beyond the reach of the
LHC. A new Muon g-2 experiment at FNAL, with four times better precision than previously achieved, is following up on
hints of new physics from an earlier experiment, while the Mu2e experiment will search for extremely rare muon decays
that, if detected, will provide clear evidence of new physics. The Intensity Frontier subprogram also supports U.S. physicists
to participate in select experiments at other international facilities, including experiments in Japan. In particular, the Tokaito-Kamioka (T2K) long-baseline neutrino experiment in Japan is complementary to NOvA, and together they will offer thebest available information on neutrino oscillations prior to LBNF/DUNE. There is also a significant U.S. contingent searchingfor new physics using the Belle II experiment at the High Energy Accelerator Research Organization (KEK) in Tsukuba, Japansupported by this activity.
Facility Operations and Experimental Support
There are several distinct facility operations and experimental support efforts in the Intensity Frontier Experimental Physics
subprogram. The largest is the Fermilab Accelerator Complex User Facility. This activity includes the operations of allaccelerators and beamlines at FNAL and the operation of the detectors that use those accelerators, as well as computing
support needed by both the accelerators and detectors. General Plant Project (GPP) and Accelerator Improvement Project(AIP) funding supports improvements to FNAL facilities.
HEP has a cooperative agreement with the South Dakota Science and Technology Authority, an agency of the State of South
Dakota, for the operation of the (SURF. Experiments supported by DOE, NSF, and private entities are conducted there. The
Nuclear Physics-supported Majorana Demonstrator is currently operating and the HEP-supported LZ experiment is being
installed by the LZ collaboration at SURF. Lawrence Berkeley National Laboratory (LBNL) is the lead lab for the LZ
collaboration. SURF will be the home of the DUNE far site detectors being built by the LBNF/DUNE project. All costs
associated with LBNF and DUNE at SURF are supported by the project and not the cooperative agreement supporting SURF.
Projects
In support of LBNF/DUNE, a lease with SDSTA provides the framework for DOE and FNAL to construct federally fundedbuildings and facilities on non-federal land and to establish a long-term (multi-decade) arrangement for DOE and FNAL touse SDSTA space to host the DUNE neutrino detector. Other Project Costs (OPC) have been identified by the LBNF/DUNE
project and DOE for the cost of SURF services used by LBNF/DUNE.
PIP-II will upgrade the FNAL linear accelerator to increase beam power and sustain high reliability of the Fermilab
Accelerator Complex, ultimately providing the world’s highest proton beam intensity of greater than 1.2 megawatts for
LBNF/DUNE. PIP-II achieved CD-1 approval on July 23, 2018, and the project is now completing its preliminary design. Two
French institutions with expertise in superconducting radio-frequency (SRF) technology have joined the effort, expanding
the list of partners that already includes institutions in India, Italy, and the United Kingdom.

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High Energy Physics
Intensity Frontier Experimental Physics
Activities and Explanation of Changes(dollars in thousands)
Explanation of Changes
FY 2021 Request vs FY 2020 Enacted
Intensity Frontier Experimental Physics$250,234$204,535-$45,699
Research$58,871$35,520-$23,351
Funding prioritizes support for world-leading research
The Request will support world-leading research
Funding will focus research support towards NOvA,
efforts on short- and long-baseline neutrino
efforts on short- and long-baseline neutrino
the SBN program, Mu2e, and LBNF/DUNE. Support
experiments, muon experiments, and technology
experiments, muon experiments, and technology
for research on lower priority small- to mid-scalestudies and science planning for LBNF/DUNE. The SBN
studies and science planning for LBNF/DUNE. The
neutrino experiments, as determined by the FY 2018
program is expected to produce its first physics data.
FNAL SBN program will move into full operations
HEPAP portfolio review, will ramp down.
The Muon g-2 experiment will achieve the world's most with all detectors, and the Muon g-2 experimentsensitive measurement of the anomalous magnetic
completes planned data taking. The MicroBoone
dipole moment of a muon. Updated results from NOvA collaboration will report on their key analyses of theon the neutrino mass ordering and matter-antimatter
neutrino spectrum anomalies. First joint analyses
asymmetry are expected.
combining NOvA and T2K data are planned. The
Request also will support completion of final
analyses on data taken by the Daya Bay and
MINERvA neutrino experiments.
FY 2020 Enacted

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(dollars in thousands)
FY 2020 Enacted
Facility Operations and Experimental
Support$177,122
Funding supports the Fermilab Accelerator Complex andthe neutrino and muon experiments at 85 percent of
optimal operations. The Kautz Road Sub-Station Radial
Feed Electrical Upgrade GPP will begin as will the
Industrial Building 4 cleanroom consolidation andconstruction GPP in support of cryomodule fabrication.
SURF operations will continue to enable operation of
the LZ experiment and Majorana Demonstrator.
Funding also supports additional investments toenhance SURF infrastructure for reliable and efficient
operation of the facility during the construction of
LBNF/DUNE.
Projects$5,494
Funding supports OPC for R&D related to the PIP-II
Injector Test Facility; a prototype for the front-end
injector; for plant support costs at SURF during
LBNF/DUNE construction; and an MIE to upgrade thecontrol system of the accelerator system which willallow the Fermilab Accelerator Complex to operate
more precisely and efficiently, resulting in better
performance and lower operating cost.

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted$157,445
The Request will support the Fermilab Accelerator
Complex and the neutrino and muon experiments at
80 percent of optimal operations; themodernization, repairs, or addition of redundantequipment to help mitigate the risk of slowing down
programs and projects; and SURF operations andinvestments to enhance SURF infrastructure.

-$19,677
Funding will focus support on delivering particle
beams at peak power and providing detector andcomputing operations for ongoing (e.g., NOvA,
Muon g-2) and new experiments (e.g., SBN). Overall
operations of the Fermilab Accelerator Complex will
decrease from 85 to 80 percent of optimal. Support
for SURF infrastructure improvements will continue,
but at a slightly lower amount.

$4,000
The Request will support OPC for developing
additional PIP-II project scope necessary for
upgrading the existing Booster, Recycler, and Main
Injector synchrotrons (downstream from the newlinac) to accept the increased beam intensity
enabled by the new linac. OPC will continue plant
support costs at SURF during LBNF/DUNE
construction. Also, the Request will continue OPC for
the Fermilab Accelerator Control System MIE.

-$1,494
The funding will decrease for the PIP-II injector
prototype and plant support costs at SURF for
LBNF/DUNE as the pre-excavation construction work
approaches completion and is ramping down.

SBIR/STTR$8,747$7,570-$1,177
In FY 2020, SBIR/STTR funding is at 3.65 percent of non- In FY 2021, SBIR/STTR funding will be at 3.65 percent The SBIR/STTR funding will be consistent with thecapital funding.
of non-capital funding.
HEP total budget.

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High Energy Physics
Cosmic Frontier Experimental Physics
Description
The Cosmic Frontier Experimental Physics subprogram uses measurements of naturally occurring cosmic particles andobservations of the universe to probe fundamental physics questions and offer new insight about the nature of dark
matter, dark energy, and inflation in the early universe, constraints on neutrinos, and other phenomena. The activities inthis subprogram use diverse tools and technologies, from ground-based telescopes and space-based missions, to large
detectors deep underground to address four of the five science drivers:








Identify the new physics of dark matter
Overwhelming evidence through the years, starting with measurements of motions within galaxies first made in the
1930s, show that dark matter accounts for five times as much matter in the universe as ordinary matter. Directdetection experiments provide the primary method to search for cosmic dark matter particles’ rare interactions withordinary matter, while indirect-detection experiments search for the products of dark matter annihilation. 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 experiments.
Understand cosmic acceleration: dark energy and inflation
The nature of dark energy, which drives the accelerating expansion of the universe, continues as one of the most
perplexing questions in science. Together, dark energy and dark matter comprise 95 percent of the matter and energy
in the universe, leaving approximately five percent ordinary matter, from which all the stars and galaxies, and we, aremade. Steady progress continues in a staged set of dark energy experiments of ever-increasing precision, using
complementary wide area sky imaging surveys and deep, precise light-spectrum surveys, to determine the nature ofdark energy. Experiments studying the oldest observable light in the universe, the cosmic microwave background(CMB), are increasing their sensitivity to explore directly the era of cosmic inflation, the rapid expansion in the early
universe shortly after the Big Bang.
Pursue the physics associated with neutrino mass
The study of the largest physical structures in the Universe may reveal the properties of particles with the smallest
known cross section, the neutrinos. Experiments studying dark energy and the CMB will put constraints on the numberof neutrino species and their masses. The properties of neutrinos affected the evolution of matter distribution in theuniverse, leading to changes in the CMB observables when measured in different directions. These measurements arecomplementary to, and a powerful cross check of, the ultra-sensitive measurements made in the Intensity Frontier.
Explore the unknown: new particles, interactions, and physical principles
High-energy cosmic rays and gamma rays probe energy scales well beyond what may be produced with man-madeparticle accelerators, albeit not in a controlled experimental setting. Searches for new phenomena and indirect signalsof dark matter in these surveys may yield surprising discoveries about the fundamental nature of the universe.

Research
The Cosmic Frontier Experimental Physics subprogram’s Research activity supports groups at U.S. academic and research
institutions and national laboratories who perform experiments using instruments on the surface, deep underground, andin space. These groups, as part of scientific collaborations, typically have a broad portfolio of responsibilities and leadershiproles in support of R&D, experimental design, fabrication, commissioning, operations, and maintenance, as well as performscientific simulations and physics data analyses on the experiments in the subprogram. DOE selects research efforts withthe highest scientific merit and potential impact based on a competitive peer-review process. HEP conducted an external
peer review of the Cosmic Frontier laboratory research groups in FY 2016; the next review is planned for Q4 of FY 2020. In
FY 2018, HEPAP evaluated the currently operating portfolio of experiments in the Cosmic Frontier and assessed the priorityof their science output in the context of the science drivers. In early FY 2019, HEP conducted a Basic Research Needsa

a The “Basic Research Needs for Dark Matter Small Projects New Initiatives” report can be found at: https://science.osti.gov/hep/Community-

Resources/Reports

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workshop to assess the science landscape and new opportunities for dark matter particle searches and to identify whichareas would be suitable for small projects in the HEP program. The findings from these reviews, in combination with input
on strategic directions from regular, open community workshops, are informing funding decisions in subsequent years.
The Research activity supports collaborations that enable all phases of experiments, from conceptual design throughfabrication and operations, in order to ensure delivery of Cosmic Frontier science. The largest investments support scientificefforts to understand cosmic acceleration, from dark energy and inflation, and to search for dark matter produced innature. The activity also supports R&D efforts to investigate the motivation and feasibility for possible future projects toenhance dark energy and dark matter studies with projects complementary to the current suite, as well as those using
potential new methods or opportunities.
Two complementary next-generation experiments will provide greatly increased precision in measuring the history of the
expansion of the universe in order to determine the nature of dark energy. The Vera C. Rubin Observatory (previously called
the Large Synoptic Survey Telescope) will carry out a 10-year wide-field, ground-based optical and near-infrared imaging
Legacy Survey of Space and Time (LSST), which will be used by the Dark Energy Science Collaboration (DESC). The Dark
Energy Spectrographic Instrument (DESI) is carrying out a five-year survey to make light-spectrum measurements of 30
million galaxies and quasars that span over two-thirds of the history of the universe. The current generation ofcomplementary dark energy experiments, Dark Energy Survey (DES) and extended Baryon Oscillation Spectroscopic Survey(eBOSS) completed operations in FY 2019 and continue to provide insight into the nature of dark energy as scientists
continue to explore the data and develop innovative analysis techniques. The next-generation Cosmic Microwave
Background-Stage 4 (CMB-S4) experiment will have unprecedented sensitivity and precision in measurements of thetemperature fluctuations of the early universe. It will allow us to peer directly into the inflationary era in the early momentsof the universe for the first time, at a time scale unreachable by other types of experiments.
The activity supports a portfolio of experiments to probe the most promising avenues in the search for the particle natureof dark matter. Two next-generation dark matter search experiments will use complementary technologies to search forweakly interacting massive particles (WIMP) over a wide range of masses, with LZ searching for heavier WIMPs andSuperCDMS-SNOLAB sensitive to lighter WIMPs. The Axion Dark-Matter eXperiment Generation 2 (ADMX-G2) searches foranother theoretical dark matter candidate, the axion. Recent advancements in particle theory and sensor technology havecreated new opportunities to search for dark matter in previously unexplored mass ranges using small, targeted
experiments.
In addition, recent new theoretical ideas have underscored that both candidates for Dark Matter, weakly interacting
massive particles (WIMPs) and axions, are special cases of a broader theoretical framework that have many of the same
attractive features and provide strong motivation for research and development support on possible future project(s) in
Dark Matter parameter space beyond HEP's current program’s sensitivity.
Facility Operations and Experimental Support
This activity supports the DOE share of expenses necessary for the successful pre-operations planning activities andmaintenance, operations, and data collection and processing during the operating phase of Cosmic Frontier experiments.
These experiments are typically not sited at national laboratories, but at telescopes and observatories that are groundbased, in space, or deep underground. The activity provides support for the experiments currently operating as well as forplanning and pre-operations activities for the next-generation experiments in the design or fabrication phase. HEP
continues to carry out a series of planning reviews to ensure readiness as each experiment transitions from project
fabrication to the science operations phase.
The DESI instrumentation is mounted and operating on the NSF’s Mayall Telescope at Kitt Peak National Observatory, with
operations of the instrumentation and telescope supported by DOE. The Vera C. Rubin Observatory, which includes the
DOE-provided camera, is being commissioned in Chile. DOE and NSF are partnering in observatory operations, withplanning activities in process. The DESC continues its pre-operations activities to prepare for the initation of the 10-year
survey.

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The LZ dark matter detector is located underground and operating in the Sanford Underground Research Facility (SURF) in
Lead, South Dakota, and the SuperCDMS-SNOLAB dark matter detector is located at Sudbury Neutrino Observatory in
Canada. The ADMX-G2 experiment is carrying out ultra-sensitive searches for axion dark matter particles at the Universityof Washington.
Projects
The next-generation CMB-S4 experiment is planned as a joint DOE and NSF project and will consist of an array of small andlarge telescopes working in concert at sites in the South Pole and Chile with 500,000 ultra-sensitive sensors and associatedreadout system.

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High Energy Physics
Cosmic Frontier Experimental Physics
Activities and Explanation of Changes(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Cosmic Frontier Experimental Physics$94,901
Research$48,072
Funding prioritizes support for world-leading research
efforts on all phases of dark matter and dark energy
experiments, as well as technology studies andplanning for a CMB-S4 experiment. The Dark Energy
Survey (DES) imaging experiment will release all its
data from its 5-year survey.

$69,920$29,220
The Request will support core research efforts in allphases of experiments. The collaborations expect tofinish data analyses on ADMX-G2 Run 1D, DES year 3
data, and the full data set for eBOSS. Researchers will
participate in data planning, collection, and analysis
for LZ, SuperCDMS-SNOLAB, and DESI. Researchers will
participate in commissioning of the Vera C. Rubin
Observatory and the DESC will continue planning forthe subsequent LSST. The Request also includes
funding for CMB-S4, Dark Matter and Dark Energy
planning as well as technology R&D for the future.

Facility Operations and Experimental
Support$41,358
Funding supports experiments in various phases: DESI
and LZ will start and ADMX-G2 will continue fullscience operations; effort will continue on the Vera C.
Rubin Observatory, including its associated Legacy
Survey of Space and Time (LSST) camera, to carry out
commissioning activities and a ramp up of preoperations planning; and SuperCDMS-SNOLAB willcontinue commissioning and pre-operations activities.

Science/High Energy Physics$37,400
The Request will support continued science operations
on DESI, LZ, ADMX-G2, and partial science operations
on SuperCDMS-SNOLAB. The Vera C. Rubin
Observatory will continue commissioning and preoperations efforts.

250

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted-$24,981-$18,852
Research support will prioritize efforts for theexperiments that have recently started and physics
studies for CMB-S4. Research on recently completed
and lower priority experiments, as determined by the
FY 2018 HEPAP portfolio review, will ramp down.

-$3,958
Support will prioritize the detector and observatory
operations and data processing for the next
generation dark matter and dark energy experiments,
while ramping down operations for lower priority
experiments.

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

Projects$2,000$1,000-$1,000
Funding supports OPC for technology R&D and
The Request will support a new MIE start for CMB-S4
The budget will transition support from OPC toplanning for the CMB-S4 project.
as it completes conceptual design and begins
preliminary design activities for CMB-S4.
preliminary design activities and starts long leadprocurements for sensors and cryostats.
SBIR/STTR$3,471$2,300-$1,171
In FY 2020, SBIR/STTR funding is at 3.65 percent of
In FY 2021, SBIR/STTR funding will be at 3.65 percent
The SBIR/STTR funding will be consistent with the HEP
non-capital funding.
of non-capital funding.
total budget.

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252

High Energy Physics
Theoretical, Computational, and Interdisciplinary Physics
Description
The Theoretical, Computational, and Interdisciplinary Physics subprogram provides the mathematical, phenomenological,
computational, and technological framework to understand and extend our knowledge of the dynamics of particles andfields, and the nature of space and time. This research is essential for proper interpretation and understanding of theexperimental research activities described in other HEP subprograms, and cuts across all five science drivers and the Energy,
Intensity, Cosmic Frontier Experimental Physics, and Advanced Technology R&D subprograms.
TheoryThe HEP theory activity supports world-leading research groups at U.S. academic and research institutions and national
laboratories. Both university and laboratory research groups play important roles in addressing the leading research areas
discussed above. Laboratory groups are typically more focused on data-driven theoretical investigations and precise
calculations of experimentally observable quantities. University groups usually focus on building models of physics beyond
the Standard Model and studying their phenomenology, as well as on formal and mathematical theory. DOE selects
research efforts with the highest scientific impact and potential based on a competitive peer-review process. HEP
conducted an external peer review of the Theory laboratory research groups in FY 2018; the next review is planned for
FY 2022. The findings from this review, in combination with input on strategic directions from regular, open community
workshops as well as a planned, future Basic Research Needs workshop, will inform funding decisions in subsequent years.
Computational HEP
The Computational HEP activity supports advanced simulations and computational science that extends the boundaries ofscientific discovery to regions not directly accessible by experiments, observations, or traditional theory. Computation isnecessary at all stages of HEP experiments—from planning and constructing accelerators and detectors, to theoreticalmodeling, to supporting computationally intensive experimental research and large-scale data analysis for scientificdiscovery in HEP. Computational HEP priorities are to promote computing research for HEP future needs across the
program, by exploiting the latest architectures like massively-parallel high performance computing platforms and future
exascale computer systems. Computational HEP partners with the Advanced Scientific Computing Research (ASCR)
program, including via the Scientific Discovery through Advanced Computing (SciDAC) activity, and with ASCR facilities andprojects to optimize the HEP computing ecosystem for the near and long term future.
Quantum Information Science (QIS)The HEP QIS activity supports the ‘science first’ goal of the national QIS strategic plan and advances both HEP and QIS
research. Key sub topics include: foundational research on connections between physics of the cosmos and qubit systems,
quantum gauge theory techniques, quantum computing for HEP experiments, precision quantum sensors that may yield
information on fundamental physics beyond the Standard Model, and applications of HEP research to advance QIS including
specialized quantum controls and decoherence. QIS Centers, jointly supported across SC programs, apply concepts andtechnology from the relevant foundational core research in the corresponding programs and foster partnerships in supportof the SC mission. The HEP QIS research activity is part of a broader SC initiative that is conducted in coordination with SC
programs, other federal agencies, and the private sector where relevant.
Artificial Intelligence and Machine Learning
The HEP AI/ML activity supports research to tackle the challenges of managing increasingly high volumes and complexity ofexperimental and simulated data across the HEP experimental frontiers, theory, and technology thrusts. This activity also
addresses cross-cutting challenges across the HEP program in coordination with DOE investments in exascale computing
and associated AI efforts. Priorities include advancing AI/ML capabilities to provide more efficient processing of large data
sets, modeling and mitigation of systematic uncertainties, high-throughput data selection, real-time data classification, andimproved operations of particle accelerators and detectors. The activity routinely seeks input on key strategic directions in
HEP AI/ML best aligned to support programmatic priorities from open community workshops and relevant federal advisorycommittees. The HEP AI/ML research activity is part of a broader Administration initiative that is conducted in coordination
with DOE and SC programs, other federal agencies, and the private sector, where relevant.
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High Energy Physics
Theoretical, Computational, and Interdisciplinary Physics
Activities and Explanation of Changes(dollars in thousands)
FY 2020 Enacted
Theoretical, Computational, andInterdisciplinary Physics$115,527
Theory$48,504
Funding supports world-leading research that
addresses the neutrino mass, the interpretation ofexperimental results, the development of new ideas for
future projects, and the advancement of thetheoretical understanding of nature.

FY 2021 Request$122,641$29,480
The Request will support world-leading research that
addresses the interactions of neutrinos with matter,the interpretation of experimental results, thedevelopment of new ideas for future projects, and theadvancement of the theoretical understanding of
nature.

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted+$7,114-$19,024
Funding will prioritize theoretical support of the HEP
experimental program and the highest-impact
theoretical research as determined by competitive
peer review.

Computational HEP$9,430Funding supports transformative computational
science, high performance computing, and SciDAC 4
activities to provide crosscut computational science
tools for HEP science.

$11,440+$2,010The Request will support transformative
Funding will support increased focus on highcomputational science, high performance computing, performance computing for particle physics and for
and SciDAC 4 activities; cross cut computational
computational science driven discovery.
science tools for HEP science and computational
science driven discovery; and exploratory research on
adapting software workflows and testing hardware to
make efficient use of the Exascale architecture.

Quantum Information Science$38,500
Funding supports interdisciplinary HEP-QIS consortia
and exploratory Pioneering Pilots to strengthenfoundational HEP-QIS research, quantum computing
and quantum research technology. Funding also
supports up to five new QIS Centers in partnership withother SC program offices.

$43,809+$5,309
The Request will support interdisciplinary HEP-QIS
Increased funding will support quantum simulation
consortia for focused research on foundational HEPexperiments and QIS Centers.
QIS including novel experiments, quantum computing,and quantum research technology. The Request will
also continue support for QIS Centers in partnershipwith other SC program offices.

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(dollars in thousands)
FY 2020 Enacted
Artificial Intelligence and Machine
Learning$15,000
Funding supports new and existing AI/ML research to
explore how DOE high performance computing
resources can scale up the optimization, performance,and validation studies of AI/ML tracking models, use
pattern recognition to develop production-quality
tracking for online triggering systems for HEP
experiments, and use statistics and AI/ML to better
analyze simulated data.

FY 2021 Request$34,500
The Request will support AI/ML research to tackle
challenges across the HEP program, including newtechniques to support the analysis of the large
datasets that will be produced in the next LHC run;further enhancements to the science output of dataintensive experiments through improved patternrecognition, anomaly detection, and backgroundrejection; increased operations automation of large
detectors and accelerators; and more sophisticatedproduction of large simulated data sets to reduce
steeply growing computational demands.

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted+$19,500
Funding will support cross-cutting challenges in AI/ML
that will advance the HEP program. Science
community input and programmatic priorities will
inform key investment strategies. HEP will selectresearch efforts with the highest scientific impact andpotential based on a competitive peer-review process.

SBIR/STTR$4,093$3,412-$681
In FY 2020, SBIR/STTR funding is at 3.65 percent of non- In FY 2021, SBIR/STTR funding will be at 3.65 percent The SBIR/STTR funding will be consistent with the HEP
capital funding.
of non-capital funding.
total budget.

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256

High Energy Physics
Advanced Technology R&D
Description
The Advanced Technology Research and Development (R&D) subprogram fosters cutting-edge research in the physics ofparticle beams, accelerator R&D, and particle detection—all of which are necessary for continued progress in high energy
physics. Long-term multi-purpose accelerator research, applicable to fields beyond HEP, is carried out under the Accelerator
Stewardship subprogram.
HEP General Accelerator R&D
The HEP General Accelerator R&D (GARD) activity supports the science underlying the technologies used in particle
accelerators and storage rings, as well as the fundamental physics of charged particle beams. Long-term research goals
include developing technologies to enable breakthroughs in particle accelerator size, cost, beam intensity, and control. The
GARD activity supports groups at U.S. academic and research institutions and national laboratories performing research
activity categorized into five areas: accelerator and beam physics; advanced acceleration concepts; particle sources andtargetry; radio-frequency acceleration technology; and superconducting magnet and materials. DOE selects research efforts
with the highest scientific impact and potential based on a competitive peer-review process. HEP conducted an external
peer review of the GARD laboratory research groups in FY 2018; the next review is planned for FY 2022. The findings fromthis review, in combination with input on strategic directions from regular, open community workshops as well as future
Basic Research Needs workshops, will inform funding decisions in subsequent years.
The state-of-the-art SC facilities attract the world’s leading researchers, bringing knowledge and ideas that enhance U.S.
science and create high technology jobs. As competing accelerator-based facilities are built abroad, they are beginning to
draw away scientific and technical talent. Sustaining world-class accelerator-based SC facilities requires continued,
transformative advances in accelerator science and technology, and a workforce capable of performing leading accelerator
research for future application. The SC Strategic Accelerator Technology Initiative will address these needs by reinforcing
high-risk, high-reward accelerator R&D that will invest in SC facilities to stay at the global forefront, and develop a worldleading workforce to build and operate future generations of facilities. HEP, BES, FES, NP, and ASCR will enhancecoordination and jointly pursue accelerator R&D topics that will have a strong impact on the scientific capabilities of SC
facilities.
In addition to providing support for the highly successful U.S. Particle Accelerator School, the GARD activity also supports
the Traineeship Program for Accelerator Science and Technology to revitalize education, training, and innovation in thephysics of particle accelerators for the benefit of HEP and other SC programs that rely on these enabling technologies. The
Traineeship Program is aimed at university and national laboratory consortia to provide the academic training and researchexperience needed to meet DOE’s anticipated workforce needs. HEP holds a competition for traineeship awards forgraduate level students to increase workforce development in areas of critical need. These traineeships leverage existing
GARD research activities as well as the capabilities and assets of DOE laboratories.
Detector R&D
The Detector R&D activity supports the development of the next generation instrumentation and particle detectors
necessary to maintain U.S. scientific leadership in a worldwide experimental endeavor that is broadening into new researchareas. To meet this challenge, HEP aims to foster an appropriate balance between evolutionary, near-term, low-risk
detector R&D and revolutionary, long-term, high-risk detector R&D, while training the next generation of experts. The
Detector R&D activity consists of groups at U.S. academic and research institutions and national laboratories performing
research into the fundamental physics underlying the interactions of particles and radiation in detector materials. This
activity also supports technology development that turns these insights into working detectors. DOE selects research efforts
with the highest scientific impact and potential based on a competitive peer-review process. HEP conducted an external
peer review of the Detector R&D laboratory research groups in FY 2016; the next review is planned for FY 2021. In FY 2020,
HEP conducted a Basic Research Needs workshop to assess the science landscape and new opportunities for potentiallytransformative detector technologies, and to identify which R&D areas would be most suitable for new investments in the
HEP program. The findings from this workshop, in combination with input on strategic directions from regular, open
community workshops will inform funding decisions in subsequent years.
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The Detector R&D activity, as well as the GARD activity, supports the Traineeship Program for Accelerator Science andTechnology to revitalize education, training, and innovation in the physics of particle detectors and next generation
instrumentation for the benefit of HEP and other SC programs that rely on these enabling technologies. The Traineeship
Program is aimed at university and national laboratory consortia to provide the academic training and research experienceneeded to meet DOE’s anticipated workforce needs. HEP holds a competition for traineeship awards for graduate level
students to increase workforce development in areas of critical need. These traineeships leverage existing Detector R&D
research activities as well as the capabilities and assets of DOE laboratories.
SC is in a unique position to both play a critical role in the advancement of microelectronic technologies over the coming
decades, and also to benefit from the resultant capabilities in detection, computing, and communications. Four SC
programs – ASCR, BES, FES, and HEP – will work together to advance Microelectronics technologies . While there is asignificant emphasis across the Federal government on (QIS, including quantum computing, this initiative is intentionallyfocused on establishing the foundational knowledge base for future microelectronics and computing technologies that arecomplementary to quantum computing. Radiation and particle detection specifically will benefit from detector materials
R&D, device R&D, advances in front-end electronics, and integrated sensor/processor architectures.
Facility Operations and Experimental Support
This activity supports GARD laboratory experimental and test facilities: Berkeley Lab Laser Accelerator (BELLA), the laserdriven plasma wakefield acceleration facility at LBNL; FACET-II, the beam-driven plasma wakefield acceleration facility at
SLAC National Accelerator Laboratory (SLAC); and superconducting radio-frequency accelerator and magnet facilities at
FNAL. This activity supports the test beam at FNAL, and detector test and fabrication facilities such as the Microsystems
Laboratory at LBNL and the Silicon Detector Facility at FNAL. Accelerator Improvement Projects (AIP) support improvements
to GARD facilities.
Projects
The Advanced Technology R&D subprogram supports the development of new tools for particle physics through thedevelopment of more advanced accelerators and detectors. Plasma wakefield accelerators may have a transformative
impact on the size, capabilities, and cost of future machines. FACET-II will be the world’s premier beam driven plasma
wakefield acceleration facility and provide intense ultra-short electron beams for other applications in accelerator andrelated sciences. The FY 2019 Appropriation provided sufficient funds to complete all remaining deliverables. In FY 2020,
the project will be completing its Accelerator Readiness Review and final checks of its electronic control systems inanticipation of receiving final CD-4 approval.

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High Energy Physics
Advanced Technology R&D
Activities and Explanation of Changes(dollars in thousands)
Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

FY 2020 Enacted

FY 2021 Request

Advanced Technology R&D$107,406
HEP General Accelerator R&D$43,454
Funding supports world-leading General Accelerator
R&D that will enable transformative technologies forthe next-generation of accelerators for High Energy
Physics. Funding also provides support for theTraineeship Program for Accelerator Science andTechnology.

$106,102$45,606
The Request will support world-leading research
activities in the areas of accelerator and beam physics,
advanced acceleration concepts, particle sources andtargetry, radio-frequency acceleration technology andsuperconducting magnet and materials. The Request
will also support the Traineeship Program for
Accelerator Science and Technology, and will initiate
support for the Strategic Accelerator Technology
Initiative.

-$1,304+$2,152
Funding will support capitalization on the science
opportunities at the newly completed FACET-II facility,
grow the Traineeship Program, begin the Strategic
Accelerator Technology Initiative to bolster efforts insuperconducting Magnet Development, accelerate
ultrafast laser R&D, upgrade SRF facilities and expand
capabilities, and co-fund a multi-program R&D
initiative in superconducting materials.

Detector R&D$20,937
Funding supports cutting-edge Detector R&D activities
at universities and national laboratories, targeted at
the most promising, high-impact directions led by U.S.
efforts.

$19,450
The Request will support world-leading Detector R&D
activities at universities and national laboratories, withincreased emphasis on long-term, high-risk, and highpotential impact R&D efforts, informed by the findingsof the FY 2020 Basic Research Needs study on HEP
Detector R&D. HEP will collaborate with ASCR, BES,
and FES to advance Microelectronics technologies. The
Request will also expand the Traineeship Program toDetector R&D.

-$1,487
Funding will support efforts toward theMicroelectronic initiative and the Traineeshipprogram, while ongoing Detector R&D support will beprioritized at universities and national laboratories
that enhance collaborative opportunities in support ofnew directions in HEP discovery science programs andstrengthen new technology developments andcapabilities that address priorities identified in the
FY 2020 Basic Research Needs study.

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(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

Facility Operations and Experimental
Support$39,232
Funding supports the operation of accelerator, test
beam, and detector facilities at FNAL, LBNL, and SLAC
and improvements to superconducting radiofrequency facilities. Funding also supports final
commissioning, installation, and 1,500 hours (50percent of optimal) of initial operations for FACET-II.

$37,200
The Request will support the operation of accelerator,
test beam, and detector facilities at FNAL, LBNL, andSLAC and improvements to superconducting radiofrequency and magnet test facilities. The Request also
includes support for 2,700 hours (90 percent of
optimal) facility operations for FACET-II.

-$2,032
Funding will support FACET-II for additional beam timefor experiments and to improve its capabilities. The
increase will be offset by a decrease at the facilities at
ANL, FNAL, LBNL, and SLAC, which will be guided byrecent comparative reviews of the laboratory
programs.

SBIR/STTR$3,783$3,846+$63
In FY 2020, SBIR/STTR funding is at 3.65 percent of
In FY 2021, SBIR/STTR funding will be at 3.65 percent
The SBIR/STTR funding will be consistent with the HEP
non-capital funding.
of non-capital funding.
total budget.

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High Energy Physics
Accelerator Stewardship
Description
The Accelerator Stewardship subprogram has three principal activities: facilitating access to unique state-of-the-art SC
accelerator R&D infrastructure for the private sector and other users; supporting innovative early-stage applied research toadapt accelerator technology for medical, industrial, security, and defense applications; and driving a limited number of
specific accelerator applications towards practical, testable prototypes in a five to seven year timeframe. HEP manages thissubprogram as a coordinated interagency initiative, consulting with other SC programs, principally BES, FES, NP; other DOE
program offices, principally EM; and other federal stakeholdersa of accelerator technology. Ongoing interagency
consultation guides research and development (R&D) investments, ensuring agency priorities are addressed, exploitingsynergies where possible, and identifying new cross-cutting areas of research.
Research
The Research activity supports both near-term translational R&D and long-term basic accelerator R&D, which is conducted
at national laboratories, universities, and in the private sector. The needs for applications have been specifically identified
by federal stakeholders and developed further by technical workshops. Near-term R&D funding opportunities are
specifically structured to foster strong partnerships with the private sector to improve health outcomes while lowering cost,develop technologies that may destroy pollutants and pathogens, detect contraband and radioactive material, and support
new tools of science. Long-term R&D funding is targeted at scientific innovations enabling breakthroughs in particle
accelerator size, cost, beam intensity, and control.
The state-of-the-art SC facilities attract the world’s leading researchers, bringing knowledge and ideas that enhance U.S.
science and create high technology jobs. As competing accelerator-based facilities are built abroad they are beginning to
draw away scientific and technical talent. Sustaining world-class accelerator-based SC facilities requires continued,
transformative advances in accelerator science and technology, and a workforce capable of performing leading accelerator
research for future application. SC’s Strategic Accelerator Technology Initiative will address these needs by reinforcing highrisk, high-reward accelerator R&D that will invest in SC facilities to stay at the global forefront, and develop a world-leading
workforce to build and operate future generations of facilities. HEP, BES, FES, NP, and ASCR will enhance coordination andjointly pursue accelerator R&D topics that will have a strong impact on the scientific capabilities of SC facilities.
Facility Operations and Experimental Support
The Facility Operations and Experimental Support activity supports the BNL ATF, which is an SC User Facility providing aunique combination of high quality electron and infrared laser beams in a well-controlled user-friendly setting. Beam timeat the BNL ATF is awarded based on merit-based peer review process. The facility remains at the cutting edge of scienceand works to increase its cost efficiency through ongoing facility R&D. Accelerator Improvement Projects (AIP) support
improvements to Accelerator Stewardship facilities.

a Partner agencies for the Accelerator Stewardship subprogram currently are: the National Nuclear Security Administration; National Institutes of Health’s

National Cancer Institute; the Department of Defense’s Office of Naval Research, the Air Force Office of Scientific Research, and the Defense Advanced
Research Projects Agency; the NSF’s Physics Division; Department of Homeland Security’s Countering Weapons of Mass Destruction office.

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High Energy Physics
Accelerator Stewardship
Activities and Explanation of Changes(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Accelerator Stewardship$17,494
Research$10,788
Funding supports new research activities atlaboratories, universities, and in the private sector fortechnology R&D areas such as accelerator technology
for industrial, medical and security uses, and advanced
laser technology R&D.

$14,229$8,510
The Request will support new research activities atlaboratories, universities, and in the private sector fortechnology R&D areas such as accelerator technology
for industrial, medical and security uses, and advanced
laser technology R&D. The Request will initiate
funding for the Strategic Accelerator Technology
Initiative.

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted-$3,265-$2,278
Funding will enable the start of the Strategic
Accelerator Technology Initiative to advanceaccelerator technologies that define the U.S.
competitive advantage in physical sciences research.
There will be an offsetting decrease in R&D on
accelerator technologies for industrial, medical andsecurity uses, and advanced laser technology R&D.

Facility Operations and Experimental
Support
$6,067$5,200-$867
Funding supports the BNL ATF operations at 100
The Request will support the BNL ATF operations at 86 Operating hours will be decreased to 86 percent ofpercent of optimal levels and supports facility
percent of optimal levels.
optimal levels.
refurbishments to provide increased reliability andexpanded capability to users.
SBIR/STTR
$639
$519
-$120
In FY 2020, SBIR/STTR funding is at 3.65 percent of
In FY 2021, SBIR/STTR funding will be at 3.65 percent
The SBIR/STTR funding will be consistent with the HEP
non-capital funding.
of non-capital funding.
total budget.

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High Energy Physics
Construction
Description
This subprogram supports all line-item construction for the entire HEP program. All Total Estimated Costs (TEC) are fundedin this subprogram, including both engineering, design, and construction.
Proton Improvement Plan II (PIP-II)
The PIP-II project will enhance the Fermilab Accelerator Complex to enable it to deliver higher-power proton beams to theneutrino-generating target for groundbreaking discovery in neutrino physics. The project will design and construct an 800
megaelectronvolts (MeV) superconducting radio-frequency (SRF) proton linear accelerator, beam transfer line andinfrastructure. PIP-II will modify the existing FNAL Booster, Recycler and Main Injector accelerators to accept the increased
beam intensity. Some of the new components and the cryoplant will provide through international, in-kind contributions.
The most recent DOE Order 413.3B approved Critical Decision (CD) is CD-1 (Approve Alternative Selection and Cost Range),approved on July 23, 2018. The TPC cost range is $653,000,000 to $928,000,000. The funding profile supports the currently
estimated TPC of $888,000,000. The CD-4 milestone is Q1 FY 2030.
Long Baseline Neutrino Facility/Deep Underground Neutrino Experiment (LBNF/DUNE)
The LBNF/DUNE construction project is a federal, state, private, and international partnership developing and implementing
the technologies of particle accelerators and detectors to enable world-leading research into the fundamental physics ofneutrinos, which are the most ubiquitous particles in the universe while at the same time among the most mysterious.
LBNF/DUNE will study the transformations of muon neutrinos that occur as they travel to a large detector in South Dakota,
800 miles away from FNAL, where they are produced in a high-energy beam. The experiment will analyze the rare, flavorchanging transformations of neutrinos in flight, from one lepton flavor to another, which are expected to help explain thefundamental physics of neutrinos and the puzzling imbalance of matter and antimatter that enables our existence in amatter-dominated universe.
The LBNF/DUNE project is a national flagship particle physics initiative. LBNF/DUNE will be the first-ever large-scale,international science facility hosted by the U.S. The LBNF/DUNE project consists of two multinational collaborative efforts.
LBNF is responsible for the beamline at FNAL and other experimental and civil infrastructure at FNAL and at the SURF in
South Dakota. DUNE is an international scientific collaboration responsible for defining the scientific goals and technicalrequirements for the beam and detectors, as well as the design, construction and commissioning of the detectors andsubsequent research.
DOE’s High Energy Physics program manages both activities as a single, line-item construction project—LBNF/DUNE. LBNF,
with DOE/FNAL leadership and minority participation by a small number of international partners including CERN, will
construct a megawatt-class neutrino source and related facilities at FNAL (the “Near Site”), as well as underground caverns
and cryogenic facilities in South Dakota (the “Far Site”) needed to house the DUNE detectors. DUNE has international
leadership and participation by about 1,160 scientists and engineers from 175 institutions in 32 countries. DOE will fundless than a third of DUNE.
The most recent approved DOE Order 413.3B Critical Decision is CD-3A, approval for Initial Far Site Construction. Thisapproval initiated excavation and construction for the LBNF Far Site conventional facilities in order to mitigate risks andminimize delays for providing a facility ready to accept detectors for installation. The preliminary Total Project Cost (TPC)
range is $1,260,000,000 to $1,860,000,000, as approved on September 1, 2016, with a preliminary CD-4 date of Q4 FY 2030.
Updated planning and analysis has the TPC point estimate for LBNF/DUNE at $2,600,000,000. The cost estimate increased
for two reasons. The first is due to the cost of the excavation. The excavation contractor is now on site and has identified
deficiencies in the greater than 100 year old infrastructure that will need to be repaired to support the large volume of rockremoval. In addition, the time required to complete the excavation was previously underestimated. An independent costestimator employed by the project and the design firm verified these new findings. The second reason for the increased

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FY 2021 Congressional Budget Justificationcost estimate is that contributions from international partners have been lower than expected. DOE and the laboratory arecontinuing engagement with potential partners. Scope reductions will be considered to reduce the TPC by the time ofbaseline.

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High Energy Physics
Construction
Activities and Explanation of Changes(dollars in thousands)
FY 2020 Enacted
Construction$231,000
18-SC-42, Proton Improvement Plan II,
FNAL$60,000
Funding supports engineering design work forconventional facilities and technical systems,
continuation of site-preparation activities andinitiation of construction for cryogenic plant support
systems, as well as continued procurement ofprototype accelerator system components.
11-SC-40, Long Baseline Neutrino
Facility/Deep Underground Neutrino
Experiment, FNAL
$171,000
Funding supports the continuation of pre-construction
activities to support the Far Site cavern excavation;
design and procurement activities for Far Sitecryogenics systems; and beamline and conventional
facilities design and site preparation at the Near Site.
Funding also supports the start of construction andfabrication for technical systems where design is final
and authorized by CD-3, including U.S. contributions
to the DUNE detectors.

Science/High Energy Physics

FY 2021 Request$120,500

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted-$110,500$20,000-$40,000
The Request will support completion of civil
Support will continue completion of the design phaseengineering design for the conventional facilities,
of PIP-II, including the fabrication of prototypes.
technical design and prototyping for the accelerator
components, and initiation of construction andprocurement for technical systems when design is final
and construction is authorized by CD-3.

$100,500
The Request will support completion of the Far Sitecivil construction activities for pre-excavation and the
beginning of excavation activities for the undergroundequipment caverns and connecting drifts (tunnels), as
well as design and procurement activities for Far Sitecryogenics systems. The Request will also support Near
Site (FNAL) beamline and conventional facilities designand continuation of a site-preparation construction
subcontract at the Near Site for relocation of existing
service roads and utilities. The Request supports thecontinuation of construction and fabrication fortechnical systems including contributions to the DUNE
detectors, when design is final and construction
authorized by CD-3.

265-$70,500
Support will continue for the transition of Far Siteconstruction work from preexcavation to excavationand the ramp-up of design effort on the Near Sitefacilities.

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High Energy Physics
Capital Summary

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

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

N/A

N/A

125,260

105,350

84,700-20,650

N/A
N/A
N/A

N/A
N/A
N/A

8,000
5,600
138,860

10,900—116,250

1,000—
85,700-9,900—-30,550(dollars in thousands)
FY 2019
FY 2020
EnactedEnactedFY 2021
RequestCapital Equipment

Capital Equipment
Major Items of Equipmenta
Energy Frontier Experimental Physics
HL-LHC Accelerator Upgrade Projectb
HL-LHC ATLAS Detector Upgradec
HL-LHC CMS Detector Upgraded

Total

Prior Years

236,672
136,000
121,800

21,572——50,00027,50013,75052,02524,50023,47543,00017,50017,500FY 2021 Request vsFY 2020 Enacted-9,025-7,000-5,975

Each MIE located at a DOE facility Total Estimated Cost (TEC) > $5M and each MIE not located at a DOE facility TEC > $2M.
Critical Decision CD-2/3b for HL-LHC Accelerator Upgrade project was approved on February 11, 2019. The TPC is $242,720,000.
c Critical Decision CD-1 for HL-LHC ATLAS Detector Upgrade Project was approved September 21, 2018. The estimated cost range was $149,000,000 to $181,000,000. Critical Decision CD-3a was approved
October 16, 2019.
d Critical Decision CD-1 for HL-LHC CMS Detector Upgrade Project was approved December 19, 2019. The estimated cost range was $144,100,000 to $183,000,000.
ab

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Cosmic Frontier Experimental Physics
Dark Energy Spectroscopic Instrumenta (DESI)LUX-ZEPLINb (LZ)Super CDMS-SNOLABc
CMB-S4d
Advanced Technology R&D
FACET IIe
Total, MIEs
Total, Non-MIE Capital Equipment
Total, Capital Equipment(dollars in thousands)
FY 2019
FY 2020
EnactedEnactedFY 2021
RequestFY 2021 Request vsFY 2020 Enacted

Total

Prior Years

45,25052,05015,725350,000

39,80037,60013,175—5,450
14,450
2,550
—

—
—
—
—

—
—
—
1,000

—
—
—
+1,00020,500
N/A
N/A
N/A

10,500
N/A
N/A
N/A

10,000123,700
1,560
125,260—
100,000
5,350
105,350—
79,0005,700
84,700—-21,000+350-20,650(dollars in thousands)
FY 2019
FY 2020
EnactedEnactedFY 2021
RequestMinor Construction Activities

Total
General Plant Projects (GPP)
Greater than or equal to $5M and less than $20M
Utility Corridor
Kautz Road Sub-Station
Total GPPs (greater than or equal to $5M and lessthan $20M)
Total GPPs less than $5Mf
Total, General Plant Projects (GPP)

Prior Years

FY 2021 Request vsFY 2020 Enacted

8,000
7,500

—
—

8,000
—

—
7,500

—
—

—
-7,500

N/A

N/A

8,000

7,500

—

-7,500

N/A
N/A

N/A
N/A

—
8,000

3,400
10,900

1,000
1,000

-2,400-9,900

Critical Decision CD-3 for DESI project was approved on June 22, 2016. The TPC is $56,328,000.
Critical Decision CD-3 for LZ project was approved February 9, 2017. The TPC is $55,500,000.
c Critical Decisions CD-2/3 for SuperCDMS-SNOLAB project were approved May 2, 2018. The TPC is $18,600,000.
d Critical Decision CD-0 for CMB-S4 was approved July 25, 2019. The estimated cost range was $320,000,000 to $395,000,000.
e Critical Decisions CD-2/3 for FACET-II project were approved June 8, 2018. The TPC is $25,600,000.
f GPP activities less than $5M include design and construction for additions and/or improvements to land, buildings, replacements or additions to roads, and general area improvements.
ab

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Total
Accelerator Improvement Projects (AIP)
Greater than or equal to $5M and less than $20M
NuMI Target Systems
Total, AIPs (greater than or equal to $5M and less than
$20M)
Total, AIPs less than $5Ma
Total, Accelerator Improvement Projects (AIP)
Total, Minor Construction Activitiesa

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

5,600

—

5,600

—

—

—

N/A

N/A

5,600

—

—

—

N/A
N/A
N/A

N/A
N/A
N/A

—
5,600
13,600——10,900

—
—
1,000

—
—
-9,900

AIP activities less than $5M include minor construction at an existing accelerator facility.

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High Energy Physics
Major Items of Equipment Description(s)Energy Frontier Experimental Physics MIEs:
High Luminosity Large Hadron Collider Accelerator Upgrade Project (HL-LHC Accelerator Upgrade Project)
The High Luminosity Large Hadron Collider Accelerator Upgrade Project (HL-LHC Accelerator Upgrade Project) received
CD-2/3b approval on February 11, 2019 with a TPC of $242,720,000. Following the major upgrade, the CERN LHC machine
will further increase the particle collision rate by a factor of three to explore new physics beyond its current reach. This
project will deliver components for which 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 LBNL, BNL, and FNAL, exploiting special expertise and unique capabilities at each laboratory. The FY
2021 Request of TEC funding of $43,000,000 will focus support on critical path items in the production of quadrupole
magnets and crab cavities to best maintain international schedule synchronization.
High Luminosity Large Hadron Collider ATLAS Detector Upgrade Project (HL-LHC ATLAS)
The High Luminosity Large Hadron Collider ATLAS Detector Upgrade Project (HL-LHC ATLAS) received CD-1 approval on
September 21, 2018 with an estimated cost range of $149,000,000 to $181,000,000 and received CD-3a approval on
October 16, 2019. CD-2 is planned for FY 2021. The ATLAS detector will integrate a factor of ten higher amount of data perrun, compared to the period prior to the HL-LHC upgrades, making the physical conditions in which the detectors run very
challenging. To operate for an additional decade in these new conditions, the ATLAS detector will require upgrades to thesilicon pixel and strip tracker detectors, the muon detector systems, the calorimeter detectors and associated electronics,
and the trigger and data acquisition systems. The National Science Foundation (NSF) begins support for a Major Research
Equipment and Facility Construction (MREFC) Project in FY 2020 to provide different scope to the HL-LHC ATLAS detector.
DOE and NSF are coordinating their contributions to avoid duplication. The FY 2021 Request of TEC funding of $17,500,000
will focus support on critical path items to best maintain international schedule synchronization.
High Luminosity Large Hadron Collider CMS Detector Upgrade Project (HL-LHC CMS)The High Luminosity Large Hadron Collider CMS Detector Upgrade Project (HL-LHC CMS) received CD-1 approval on
December 19, 2019, with an estimated cost range of $144,100,000 to $183,000,000. The project is planning CD-3a approvalof long lead procurements in spring 2020, with CD-2 planned for FY 2021. The CMS detector will integrate a factor of ten
higher amount of data per run, compared to the period prior to the HL-LHC upgrades, making the physical conditions inwhich the detectors run very challenging. To operate for an additional decade in these new conditions, the CMS detector
will require upgrades to the silicon pixel tracker detectors, outer tracker detector, the muon detector systems, thecalorimeter detectors and associated electronics, the trigger and data acquisition systems and the addition of a novel
timing detector. NSF begins support for a MREFC Project in FY 2020 to provide different scope to the HL-LHC CMS detector.
DOE and NSF are coordinating their contributions to avoid duplication. The FY 2021 Request of TEC funding of $17,500,000
will focus support on critical path items to best maintain international schedule synchronization.
Cosmic Frontier Experimental Physics MIEs:
Dark Energy Spectroscopic Instrument (DESI)The Dark Energy Spectroscopic Instrument (DESI) project received CD-2 approval on September 17, 2015 with a TPC of$56,328,000. CD-3 was approved on June 22, 2016. DESI fabricated a next-generation, fiber-fed, ten-arm spectrograph for
operation on NSF’s Mayall 4-meter telescope at Kitt Peak National Observatory in Arizona, with operations of the telescope
supported by DOE. DESI will measure the effects of dark energy on the expansion of the universe using dedicatedspectroscopic measurements and will provide a strong complement to the imaging Legacy Survey of Space and Time carriedout by the Vera C. Rubin Observatory. The FY 2019 Appropriation for DESI provided sufficient funds to complete allremaining project deliverables. In FY 2020, the project completed all deliverables, including the installation andcommissioning of all ten spectrographs and associated systems, and starts full science operations. CD-4 approval is
expected in FY 2020.
LUX-ZEPLIN (LZ)
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
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Generation Mission Need and the concept for the experiment was developed by a merger of the LUX and ZEPLIN
collaborations from the U.S. and the U.K. respectively. The project will fabricate a detector using seven tons of liquid xenon
inside a time projection chamber to search for xenon nuclei that recoil in response to collisions with an impinging flux ofdark matter particles known as Weakly Interacting Massive Particles (WIMPs). The detector will be located 4,850 feet deepin the Sanford Underground Research Facility (SURF) in Lead, South Dakota. The FY 2019 Appropriation for LZ provided
sufficient funds to complete all remaining project deliverables. In FY 2020, the project will finish underground installation,functional testing, and filling of the detector’s chambers with liquid xenon, liquid scintillator, and water, and will start fullscience operations. CD-4 approval is expected in FY 2020.
Super Cryogenic Dark Matter Search at Sudbury Neutrino Observatory Laboratory (SuperCDMS-SNOLAB)
The Super Cryogenic Dark Matter Search at Sudbury Neutrino Observatory Laboratory (SuperCDMS-SNOLAB) project
received CD-2/3 approval on May 2, 2018 with a TPC of $18,600,000 and a project completion date at the end of FY 2021.
SuperCDMS-SNOLAB is one of the two MIEs selected to meet the Dark Matter Second Generation Mission Need. The
project will fabricate instrumentation that uses ultra-clean, cryogenically-cooled silicon (Si) and germanium (Ge) detectors
to search for Si or Ge nuclei recoiling in response to collisions with WIMPs, and will optimize to detect low mass WIMPs tocover 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 Appropriation for SuperCDMS-SNOLAB provided sufficient funds tocomplete all remaining project deliverables in FY 2021, including installation of the seismic platform and assembly of theshielding, cryostat, and calibration system.
Cosmic Microwave Background Stage 4 (CMB-S4)
The Cosmic Microwave Background Stage 4 (CMB-S4) project received CD-0 approval on July 25, 2019, with an estimatedcost range of $320,000,000 to $395,000,000. The project is expected to be carried out as a partnership with NSF, with DOE
as the lead agency and a distribution of scope determined by FY 2021. The project consists of fabricating an array of small
and large telescopes at two locations: the NSF Amundsen-Scott South Pole Station and the Atacama high desert in Chile. It
will include 500,000 ultra-sensitive sensors with associated readout systems. The project is expected to obtain CD-1
approval in mid FY 2021, along with CD-3a approval of long lead procurements at the same time. In FY 2021, plans for thesensors and readout systems as well as the conceptual design will be completed and the preliminary design and preproduction efforts will start. The FY 2021 Request of TEC funding of $1,000,000 will enable long lead procurement for
sensor production and testing, as well as associated systems and infrastructure.
Advanced Technology R&D MIE:
Facility for Accelerator and Experimental Tests II (FACET-II)
The Facility for Accelerator and Experimental Tests II (FACET-II) project received CD-2/3 on June 8, 2018 with a TPC of$25,600,000. FACET-II will be the world’s premier beam driven plasma wakefield acceleration facility. FACET-II is being
designed to deliver beams using only one third of the SLAC linear accelerator. FACET-II installation and commissioning workin the SLAC accelerator housing will be constrained by the installation of the Linac Coherent Light Source II (LCLS-II). The
FY 2019 Appropriation provided sufficient funds to complete all remaining deliverables. In FY 2020, the project will becompleting its Accelerator Readiness Review and final checks of its electronic control systems and receive final CD-4
approval.

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High Energy Physics
Construction Projects Summary

Total

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

18-SC-42, Proton Improvement Plan II, FNAL
TEC
OPC
TPC

801,200
86,800888,000

1,000
57,03558,03520,00015,00035,00060,000494
60,49420,0002,000
22,000-40,000+1,506-38,49411-SC-40, Long Baseline Neutrino Facility/Deep
Underground Neutrino Experiment, FNAL
TEC
OPC
TPC

2,476,375
123,6252,600,000

206,781
86,625
293,406

130,000
1,000
131,000

171,000
4,000
175,000

100,500
1,000
101,500-70,500-3,000-73,500

250,000
23,677
273,677

220,000
23,677
243,677

30,000—30,000

—
—
—

—
—
—

—
—
—

N/A
N/A
N/A

N/A
N/A
N/A

180,000
16,000196,000

231,000
4,494
235,494

120,500
3,000
123,500-110,500-1,494-111,994

11-SC-41, Muon to Electron Conversion Experiment,
FNAL
TEC
OPC
TPC
Total, Construction
TEC
OPC
TPC

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High Energy Physics
Funding Summary(dollars in thousands)
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

380,847
260,803

390,077
316,429

328,906
285,725

FY 2021 Request vsFY 2020 Enacted-61,171-30,704

141,350
196,000
1,000
338,350
980,000

103,000
235,494–
338,494
1,045,000

80,000123,500–
203,500
818,131-23,000-111,994–-134,994-226,869

Research
Facility Operations
Projects
Major Items of Equipment
Construction
Other Projects
Total, Projects
Total, High Energy Physics

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

TYPE A FACILITIES
Fermilab Accelerator Complex
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours

Science/High Energy Physics

FY 2019 Enacted

FY 2019 Current

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted$132,650
2,489
N/A
5,740
5,740
100.0%
N/A$133,585
2,610
4,911
5,740
5,740
85.6%
829

$141,520
2,450
N/A
4,900
5,740
85.4%
N/A

$126,440
2,280
N/A
4,580
5,740
79.8%
N/A

-$15,080
-170
N/A
-320
—
-5.6%
N/A

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FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2019 Enacted

FY 2019 Current

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

Accelerator Test Facility (BNL)
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$6,067
118
N/A
2,500
2,500
100.0%
N/A$4,812
127
2,274
2,020
2,500
91.0%
388

$6,067
127
N/A
2,500
2,500
100.0%
N/A$5,200
101
N/A
2,150
2,500
86.0%
N/A

-$867
-26
N/A
-350
—
-14.0%
N/A

FACET-II (SLAC)
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$1,000
N/A
N/A
N/A
N/A
N/A
N/A

$1,300
N/A
N/A
N/A
N/A
N/A
N/A

$6,000
200
N/A
1,500
3,000
50.0%
N/A

$10,000
250
N/A
2,500
3,000
83.3%
N/A

+$4,000+50
N/A+1,000—+33.3%
N/A

Total Facilities
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hoursa
Unscheduled downtime hours$139,717
2,607
N/A
8,240
8,240
100.0%
N/A$139,697
2,737
7,185
7,760
8,240
85.7%
N/A

$153,587
2,777
N/A
8,900
11,24084.6%
N/A$141,640
2,631
N/A
9,230
11,24080.3%
N/A-$11,947
-146
N/A
+330
—
-4.3%
N/A

n

a

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

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High Energy Physics
Scientific Employment

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

FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

830
340
500
1,745

788
361
486
1,625

648
295
390
1,379

-140
-66
-96
-246

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

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18-SC-42, Proton Improvement Project II (PIP-II)
Fermi National Accelerator Laboratory
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Proton Improvement Project II (PIP-II) is $20,000,000. Initial construction funding was provided
in FY 2018 through the Consolidated Appropriations Act. The most recent DOE Order 413.3B approved Critical Decision (CD)is CD-1 (Approve Alternative Selection and Cost Range), approved on July 23, 2018, with a preliminary Total Project Cost
(TPC) range of $653,000,000 to $928,000,000. The current point estimate is $888,000,000.
Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2020 CPDS. This project was initiated with Total
Estimated Cost (TEC) funds in FY 2018.
The estimated TPC was increased during design work in FY 2019 as the project plan was revised to incorporate a
combination of:







Upgrades to the Fermi National Accelerator Laboratory (FNAL) Booster, Recycler and Main Injector synchrotrons,
downstream from the new linear accelerator (Linac), enabling the accelerator complex to achieve the ultimate beam
intensity goal of 1.2 megawatts to be delivered for experimental physics;
Better cost estimates enabled by more mature designs;
Improved risk analysis;
Additional prototyping plans to reduce technical risk; andBudgeting for spares.

FY 2021 funds will support completion of civil engineering design for the conventional facilities, technical design andprototyping for the accelerator components, and initiation of construction and procurement for technical systems when
design is final, and construction is authorized by CD-3.
A Federal Project Director (FPD) has been assigned to this project and has approved this CPDS. The FPD completed Level 3
certification in FY 2018, and Level 4 certification is in process.
Critical Milestone History
FiscalYear

CD-0

FY 2020
FY 2021

11/12/15
11/12/15

Conceptual
DesignComplete
7/23/18
7/23/18

CD-1

CD-2

7/23/18
7/23/18

3Q FY 2020
3Q FY 2020

Final
DesignComplete
4Q FY 2021
4Q FY 2025

CD-3

D&D
Complete

CD-4

4Q FY 2021
4Q FY 2021

TBD
N/A

1Q FY 2030
1Q FY 2030

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

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FiscalYear
FY 2020
FY 2021

Performance
Baseline
Validation
2Q FY 2020
2Q FY 2020

CD-3A
3Q FY 2020
3Q FY 2020

CD-3A – Approve long-lead procurement of niobium for superconducting radiofrequency (SRF) cavities, other long lead components for
SRF cryomodules, completion of the remaining site preparation work, and construction of the building that will house the cryogenic plant.

Project Cost History
FiscalYear
FY 2020
FY 2021a

TEC, Design
91,000184,000

TEC,
Construction
547,965
617,200(dollars in thousands)
OPC, Except
TEC, Total
D&D
638,965
82,035801,200
86,800

OPC, D&D

OPC, Total

TPC

N/A
N/A

82,03586,800721,000
888,000

2. Project Scope and Justification
Scope
Specific scope elements of the PIP-II project include construction of (a) the SRF Linac, (b) cryoplant to support SRF
operation, (c) beam transfer line, (d) modifications to the Booster, Recycler and Main Injector synchrotrons, and (e)conventional facilities:a)

800-MeV Superconducting H− Linac consisting of a 2.1 MeV warm front-end injector and five types of SRF
cryomodules that are CW-capable but operating initially in pulsed mode. The cryomodules include Half Wave
Resonator cavities (HWR) at 162.5 MHz, two types of Single Spoke Resonator cavities (SSR1 and SSR2) at 325 MHz,
Low-Beta and High-Beta elliptical cavities at 650 MHz (LB-650 and HB-650). The warm front-end injector consists ofan H− ion source, Low Energy Beam Transport (LEBT), Radiofrequency Quadrupole (RFQ) and Medium Energy BeamTransport (MEBT) that prepare the beam for injection into the SRF cryomodules. The scope includes the associatedelectronic power sources, instrumentation and controls to support Linac operation.

The PIP-II Injector Test Facility at FNAL is an R&D prototype for the low-energy proton injector at the front-end of
the Linac, consisting of H− ion source, LEBT, RFQ, MEBT, HWR, and SSR1 cryomodule. It is being developed toreduce technical risks for the project, with participation and in-kind contributions from the India Department ofAtomic Energy (DAE) Labs.
b) Cryoplant with storage and distribution system to support SRF Linac operation. The cryoplant is an in-kind
contribution by the India DAE Labs that is similar to the cryoplant being designed and constructed for a highintensity superconducting proton accelerator project in India.bc) Beam Transfer Line from the Linac to the Booster Synchrotron, including accommodation of a beam dump andfuture delivery of beam to the FNAL Muon Campus.
d) Modification of the Booster, Recycler and Main Injector synchrotrons to accommodate a 50 percent increase inbeam intensity and construction of a new injection area in the Booster to accommodate 800-megaelectronvolt(MeV) injection.
e) Civil construction of conventional facilities, including housings, service buildings, roads, access points and utilities
with the special capabilities required for the Linac and beam transport line. The Linac housing will be constructedwith adequate length to accommodate a future possible extension of the Linac energy to 1.0 GeV.

The project is Pre-CD-2 and has not been baselined. All estimates are preliminary. The preliminary TPC range at CD-1 is $653,000,000 to $928,000,000.
The TPC point estimate is $888,000,000.
b See Section 8.
a

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Significant pieces of the Linac and cryogenic scope (a and b above) will be delivered as in-kind international contributions
not funded by DOE. These include assembly and/or fabrication of Linac SRF components and the cryoplant. The rationale ormotivation behind these contributions are institutional and/or industrial technical capability, and interest in SRF
technology. The construction phase scope of in-kind contributions is divided between U.S. DOE Labs, India Department ofAtomic Energy (DAE) Labs, Italy National Institute for Nuclear Physics (INFN) Labs, French Atomic Energy Commission (CEA)and National Center for Scientific Research (CNRS)-National Institute of Nuclear and Particle Physics (IN2P3) Labs, and UK
Science & Technology Facilities Council (STFC) Labs, tentatively as indicated in the following table of Scope Responsibilities
for PIP-II.a
Construction-phase Scope Responsibilities for PIP-II Linac RF Components
Components
RFQ
HWR
Cryomodule
SSR1
Cryomodule
SSR2
Cryomodule
LB-650
Cryomodule
HB-650
Cryomodule

Quantity
1

Freq.
SRF
Responsibility for(MHz) Cavities
Cavity Fabrication
162.5 N/A
N/A

Responsibility for
Module Assembly
U.S. DOE (LBNL)

Responsibility for
Cryogenic
RF Amplifiers
Cooling Source
U.S. DOE (FNAL)
N/A

1

162.5

8

U.S. DOE (ANL)

U.S. DOE (ANL)

U.S. DOE (FNAL)

India DAE Labs

2

325

16

U.S. DOE (FNAL),
India DAE Labs

U.S. DOE (FNAL)

India DAE Labs

India DAE Labs

7

325

35

France CNRS (IN2P3 Lab)

U.S. DOE (FNAL)

India DAE Labs

India DAE Labs

9

650

36

Italy INFN (LASA)France CEA (Saclay Lab)

India DAE Labs

India DAE Labs

4

650

24

UK STFC Labs

UK STFC Labs,
U.S. DOE (FNAL)

India DAE Labs

India DAE Labs

Justification
The PIP-II project will enhance the Fermilab Accelerator Complex by providing the capability to deliver higher-power proton
beams to the neutrino-generating target that serves the LBNF/DUNE programa for groundbreaking discovery in neutrino
physics, a major field of fundamental research in high energy particle physics. Increasing the neutrino beam intensity
requires increasing the proton beam power on target. The higher proton beam power will come from a 1.2-megawatt (MW)beam on target over an energy range of 60-120 GeV, a significant increase of beam power beyond the current proton beam
capability. The PIP-II project will provide more flexibility for future science-driven upgrades to the entire accelerator
complex and increase the systems overall reliability by addressing some of the accelerator complex’s elements that are far
beyond their design life.
PIP-II was identified as one of the highest priorities in the 10-year strategic plan for U.S. High Energy Physics developed by
the High Energy Physics Program Prioritization Panel (P5) and unanimously approved by the High Energy Physics Advisory
Panel (HEPAP), advising DOE and NSF, in 2014.b
The 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.

ab

LBNF/DUNE is the DOE Long Baseline Neutrino Facility / Deep Underground Neutrino Experiment.
“Building for Discovery: Strategic Plan for U.S. Particle Physics in the Global Context,” HEPAP, 2014.

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Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance Measure
SRF Linac and Beam Transfer Line
Booster, Recycler and Main Injector
Synchrotron Modifications
Cryogenic Infrastructure
Civil Construction

ThresholdObjective

700 MeV proton beam delivered to the
Booster Injection Region
Booster injection region, Recycler andMain Injector RF Upgrades installed.
Linac beam injected and circulated in
the Booster.
Cryogenic plant and distribution lines
ready to support pulsed RF operation,and operated to 2°K.
Tunnel enclosures and service buildings
ready to support 700 MeV SRF Linac
and Beam Transfer Line to the Booster.

800 MeV proton beam delivered to the
Booster Injection Region
8 GeV proton beam transmitted
through Recycler and Main Injector to
the Main Injector beam dump.
Cryogenic plant and distribution lines
ready to support CW RF operation, andoperated to 2°K.
Tunnel enclosures ready to support 1
GeV SRF Linac and transfer line to the
Booster. Service Buildings ready tosupport 800 MeV SRF Linac and BeamTransfer Line to the Booster.

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

CostsaTotal Estimated Cost (TEC)
DesignFY 2018

1,000

1,000

—

FY 2019

20,00020,00017,812b

FY 2020

51,00051,00051,000FY 2021

10,00010,00010,000Outyears

102,000

102,000

105,188

Total, Design

184,000

184,000

184,000

9,000

9,000

9,000

Construction
FY 2020
FY 2021

10,00010,00010,000Outyears

598,200

598,200

598,200

617,200

617,200

617,200

Total, Constructionab

Costs through FY 2019 reflect actual costs; costs for FY 2020 and the outyears are estimates.
Includes initiation of civil engineering design and site preparation for the cryoplant housing.

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

CostsaTotal Estimated Cost (TEC)FY 2018

1,000

1,000

—

FY 2019

20,00020,00017,812

FY 202060,00060,00060,000a

FY 2021

20,00020,00020,000Outyears

700,200

700,200

703,388

801,200

801,200

801,200

FY 2016

18,71518,715

12,724

FY 2017

15,22014,155

17,494

FY 2018

23,10024,165b22,214

FY 2019

15,00015,00015,000FY 2020

494

494

494

FY 2021

2,000

2,000

6,603

Outyears

12,271

12,271

12,27186,80086,80086,800FY 2016

18,71518,715

12,724

FY 2017

15,22014,155

17,494

FY 2018

24,10025,16522,214

FY 2019

35,00035,00032,812

FY 2020

60,49460,49460,494

FY 202122,00022,00026,603Outyears

712,471

712,471715,659

888,000

888,000

888,000

Total, TEC
Other Project Cost (OPC)

Total, OPC
Total Project Cost (TPC)

Total, TPC

ab

Planned TEC activities are completion of site preparation and initiation of procurement for the cryoplant housing and the cryomodules.
$1,065,000 of FY 2017 funding was attributed towards the Other Project Costs activities in FY 2018.

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

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

170,000
14,00076,00015,000——Total, Design

184,000

91,000—Construction
Site Work
Civil Construction
Technical Equipment
Contingency

18,000145,000
245,000
209,200

20,00081,000246,965
200,000————

Total, Construction

617,200

547,965—

801,200
223,200

638,965
215,000——

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

67,700
9,000
4,000
6,100

50,93515,0004,000
12,100————Total, OPC

86,80082,035—

Contingency, OPC

6,100

12,100—Total Project Cost

888,000

721,000—

Total, Contingency (TEC+OPC)

229,300

227,100—

Total Estimated Cost (TEC)

Total, TEC
Contingency, TEC
Other Project Cost (OPC)

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

Prior Years

FY 2020

TEC
OPC
TPC

1,000
57,03558,035FY 2019

FY 2020

20,00015,00035,00020,0005,000
25,000FY 2021

Outyearsa———

597,965
5,000
602,965

Total
638,965
82,035721,000

a Outyear requests are grouped as the project is pre-CD-2 and has not been baselined. All estimates are preliminary. For the first column of Request Year,the outyears represent the time period beyond that specific requested Budget Year.

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(dollars in thousands)
Request YearType

Prior Years

FY 2021a

TEC
OPC
TPC

1,000
57,03558,035FY 2019

FY 2020

20,00015,00035,00060,000494
60,494

FY 2021

Outyearsa

20,0002,000
22,000Total

700,200
12,271
712,471801,200
86,800888,000

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

FY 2030
20 years
FY 2050FNAL will operate the PIP-II Linac as an integral part of the entire Fermilab Accelerator Complex. Related funding estimatesfor operations, utilities, maintenance and repairs are incremental to the balance of the FNAL accelerator complex for which
the present cost of operation, utilities, maintenance and repairs is approximately $100,000,000 annually.
Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
Operations
Utilities
Maintenance and Repair
Total, Operations and Maintenance

4,000
3,000
2,000
9,000

4,000
3,000
2,000
9,000

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
80,00060,00040,000180,000

80,00060,00040,000180,000

7. D&D Information
The new area being constructed in this project is not replacing existing facilities.

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

Square Feet
127,540———
127,540—

a The project is Pre-CD-2 and has not been baselined. All estimates are preliminary. The preliminary TPC range at CD-1 is $653,000,000 to $928,000,000.

The TPC point estimate is $888,000,000.

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The one-for-one replacement will be met through banked space. A waiver from the one-for-one requirement to eliminate
excess space at FNAL to offset PIP-II and other projects was approved by DOE Headquarters on November 12, 2009. The
waiver identified and transferred to FNAL 575,104 square feet of excess space to accommodate new facilities including
Mu2e, LBNF, DUNE, and other facilities, as-yet unbuilt, from space that was banked at other DOE facilities. The PIP-II Project
is following all current DOE procedures for tracking and reporting space utilization.
8. Acquisition Approach
DOE is acquiring the PIP-II project through Fermi Research Alliance (FRA), the Management and Operating (M&O)
contractor responsible for FNAL, rather than have the DOE compete a contract for fabrication to a third party. FRA has astrong relationship with the high energy physics community and its leadership, including many FNAL scientists andengineers. This arrangement will facilitate close cooperation and coordination for PIP-II with an experienced team ofproject leaders managed by FRA, which will have primary responsibility for oversight of all subcontracts required to executethe project. The arrangement is expected to include subcontracts for the purchase of components from third party vendors
as well as delivery of in-kind contributions from non-DOE partners.
Project partners will deliver significant pieces of scope as in-kind international contributions, not funded by U.S. DOE. The
rationale or motivation behind these contributions are institutional and/or industrial technical capability, and interest in
SRF technology. Scientific institutions from several countries, tabulated below, are engaged in discussion of potential PIP-II
scope contributions within the framework of international, government-to-government science and technology
agreements.
Scientific Agencies and Institutions Discussing Potential Contributions of Scope for PIP-II
Country

Funding Agency

U.S.

Department of Energy (DOE)

India

Department of Atomic Energy (DAE)

Italy

National Institute for Nuclear Physics (INFN)FranceAtomic Energy Commission (CEA)
National Center for Scientific Research(CNRS)
Science & Technology Facilities Council(STFC)

UK

Institutions

Fermi National Accelerator Laboratory (FNAL);
Lawrence Berkeley National Laboratory (LBNL);
Argonne National Laboratory (ANL)
Bhabha Atomic Research Centre (BARC), Mumbai;Inter University Accelerator Centre (IUAC), New Delhi;
Raja Ramanna Centre for Advanced Technology (RRCAT),
Indore;Variable Energy Cyclotron Centre (VECC), Kolkata
Laboratory for Accelerators and Applied Superconductivity(LASA), Milan
Saclay Nuclear Research Center;
National Institute of Nuclear & Particle Physics (IN2P3), Paris
Daresbury Laboratory

For example, joint participation by U.S. DOE and the India DAE in the development and construction of high intensity
superconducting proton accelerator projects at FNAL and in India is codified in Annex I to the “Implementing Agreement
between DOE and Indian Department of Atomic Energy in the Area of Accelerator and Particle Detector Research andDevelopment for Discovery Science for High Intensity Proton Accelerators,” signed in January 2015 by the U.S. Secretary ofEnergy and the India Chairman of DAE. FNAL and DAE Labs subsequently developed a “Joint R&D Document” outlining thespecific roles and goals of the collaborators during the R&D phase of the PIP-II project. This R&D agreement is expected tolead to a similar agreement for the construction phase, describing roles and in-kind contributions. DOE and FNAL aredeveloping similar agreements with Italy, France, and the UK for PIP-II.
SC is putting mechanisms into place to facilitate joint consultation between the partnering funding agencies, such thatcoordinated oversight and actions will ensure the success of the overall program. SC is successfully employing similar
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mechanisms for international partnering for the DOE LBNF/DUNE project and for DOE participation in LHC-related projects
hosted by CERN.
Domestic engineering and construction subcontractors will perform the civil construction at FNAL. FNAL is utilizing a firm
fixed-price contract for architectural-engineering services to complete all remaining designs for conventional facilities with
an option for construction support. The general construction subcontract will be placed on a firm-fixed-price basis.
All subcontracts will be competitively bid and awarded based on best value to the government. Fermi Site Office provides
contract oversight for FRA’s plans and performance. Project performance metrics for FRA are included in the M&O
contractor’s annual performance evaluation and measurement plan.

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286

11-SC-40, Long Baseline Neutrino Facility/Deep Underground Neutrino Experiment (LBNF/DUNE)
Fermi National Accelerator Laboratory
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for Long Baseline Neutrino Facility (LBNF)/Deep Underground Neutrino Experiment (DUNE) is$100,500,000. The most recent approved DOE Order 413.3B critical decision 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 for providing a facility ready to accept detectors for installation. The preliminary Total Project Cost
(TPC) has been revised to $2,600,000,000 which exceeds by 40 percent the top of the cost range of $1,260,000,000 to$1,860,000,000 that was approved for CD-1(R) on November 5, 2015. (If the top end of the original approved CD-1 cost
range grows by more than 50 percent as the project proceeds toward CD-2 then the Program, in coordination with the
Project Management Executive, must reassess the alternative selection process.a) The TPC range includes the full cost of the
DOE contribution to the LBNF host facility and the DUNE experimental apparatus excluding foreign contributions. The
preliminary CD-4 date is 4Q FY 2033.
Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2020 CPDS. This project was initiated with TEC funds in
FY 2012.
Updated planning and analysis in FY 2019 have increased the TPC point estimate for the LBNF/DUNE project to$2,600,000,000 which exceeds by 40 percentb the upper end of the Cost Range of $1,260,000,000 to $1,860,000,000 that
was approved for CD-1(R) on November 5, 2015. The cost estimate increased for two reasons. The first is due to the cost of
the excavation. The excavation contractor is now on site and has identified deficiencies in the greater than 100 year old
infrastructure that will need to be repaired to support the large volume of rock removal. In addition, the time required tocomplete the excavation was underestimated. The independent cost estimator employed by the project and the design firm
verified these findings. The second reason for the increased cost is that contributions from international partners have been
lower than expected. DOE and the laboratory are continuing engagement with potential partners. Scope reductions will beconsidered to reduce the TPC by the time of baseline. The increased estimates will be reviewed by Independent Cost
Review (ICR) and Independent Project Review (IPR) in FY 2020.
A Baseline Change Proposal (BCP) has been submitted to DOE for approval. It seeks approval to reduce the approved scope
and authorized expenditures related to work previously approved by CD-3A. The BCP was triggered by higher cost estimates
for the scope approved by CD-3A. The baseline change transfers some of the scope that had been advanced by CD-3A backto CD-3B, where it will be executed in regular order following CD-2 in FY 2021.
The FY 2021 Request will support completion of the Far Site civil construction activities for pre-excavation and the
beginning of excavation activities for the underground equipment caverns and connecting drifts (tunnels), as well as design
and procurement activities for Far Site cryogenics systems. The Request will also support Near Site (FNAL) beamline andconventional facilities design and continuation of a site-preparation construction subcontract at the Near Site for relocationof existing service roads and utilities. The Request supports the continuation of construction and fabrication for technicalsystems, including contributions to the DUNE detectors, when design is final and construction authorized by CD-3
A Federal Project Director with a certification level 4 has been assigned to this project and has approved this CPDS.

aPer DOE Order 413.3B, Appendix A-6, 11/29/2010.
b If the top end of the original approved CD-1 cost range grows by more than 50% as the project proceeds toward CD-2, the Program, in coordination with

the AE, must reassess the alternative selection process. (From DOE Order 413.3B, Appendix A-6, 11/29/2010.)

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Critical Milestone History
FiscalYear

CD-0

FY 2011
FY 2012FY 2016a
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021

1/08/10
1/08/10
1/08/10
1/08/10
1/08/10
1/08/10
1/08/10
1/08/10

Conceptual
DesignComplete

12/10/12
11/05/15b
11/05/15b
11/05/15b
11/05/15b
11/05/15b

CD-1

CD-2

1Q FY 2011
2Q FY 201212/10/12
11/05/15b
11/05/15b
11/05/15b
11/05/15b
11/05/15b

TBD
TBD
4Q FY 2017
4Q FY 2017
1Q FY 2021
1Q FY 2021
1Q FY 2021
1Q FY 2021

Final
DesignComplete
4Q FY 2013
2Q FY 2015
4Q FY 2019
4Q FY 2019
1Q FY 2022
1Q FY 2022
1Q FY 2022
4Q FY 2023

CD-3

D&D
Complete

CD-4

TBD
TBD
4Q FY 2019
4Q FY 2019
1Q FY 2022
1Q FY 2022
1Q FY 2022
4Q FY 2023

TBD
TBD
N/A
N/A
N/A
N/A
N/A
N/A

TBD
TBD
4Q FY 2027
4Q FY 2030
4Q FY 2030
4Q FY 2030
4Q FY 2030
4Q FY 2033

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

FiscalYear
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021

Performance
Baseline
Validation
1Q FY 2020
1Q FY 2021
1Q FY 2021
1Q FY 2021
1Q FY 2021

CD-1R

CD-3A

11/05/15 2Q FY 201611/05/15
9/01/16
11/05/15
9/01/16
11/05/15
9/01/16
11/05/15
9/01/16

CD-3B

CD-3(C)

3Q FY 2018
1Q FY 2021
1Q FY 2021
1Q FY 2021
1Q FY 2021

1Q FY 2020
1Q FY 2022
1Q FY 2022
1Q FY 2022
4Q FY 2023

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 orderto 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-3C – Approve Start of Near Site Construction: procurement of Near Site scope and any remaining LBNF/DUNE scope. (Same as CD-3.)

No CPDS was submitted for FY 2013, FY 2014 or FY 2015 because no TEC funds were requested; however, design funds were provided in each year’s
appropriation.
b Critical Decision CD-1 was approved for the new conceptual design (CD-1R) on November 5, 2015.
a

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Project Cost History
FiscalYear
FY 2011
FY 2012FY 2016a
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021b,c

TEC, Design
102,000
133,000
127,781
123,781234,375
231,000
259,000
300,000

TEC,
Construction
TBD
TBD
655,6121,290,680
1,199,000
1,234,000
1,496,000
2,176,375(dollars in thousands)
OPC, Except
TEC, Total
D&D
TBD
22,180TBD
42,621
783,393
89,5391,414,461
89,5391,433,375
102,625
1,465,000
95,0001,755,000
95,0002,476,375
123,625

OPC, D&D

OPC, Total

TPC

TBD
TBD
N/A
N/A
N/A
N/A
N/A
—

TBD
TBD
89,53985,539102,625
95,00095,000123,625

TBD
TBD
872,932
1,500,000
1,536,000
1,560,000
1,850,000
2,600,000

2. 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 FNAL for monitoring the neutrino beam near its source. A primarybeam of protons will produce a neutrino beam directed into a target for converting the protons into a secondary beam ofparticles (pi mesons and muons) that decay into neutrinos, followed by a decay tunnel hundreds of meters long where thedecay neutrinos will emerge and travel through the earth to the massive detector. The Neutrinos at the Main Injector(NuMI) beam at FNAL is an existing example of this type of configuration for a neutrino beam facility. The new LBNF beamline will provide a neutrino beam of lower energy and greater intensity than the NuMI beam, and would point to a far
detector at a greater distance than is used with NuMI experiments.d
For the LBNF/DUNE project, FNAL 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 FNAL site required
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 matterantimatter asymmetry, in the quark sector, is too small to account for the observed matter dominance.
No CPDS was submitted for FY 2013, FY 2014 or FY 2015 because no TEC funds were requested; however, design funds were provided in each year’s
appropriation.
b The project is Pre-CD-2 and has not been baselined. All estimates are preliminary. The preliminary TPC range at CD-1 was $1,260,000,000 to$1,860,000,000. The TPC estimate has increased to $2,600,000,000 and will be reviewed by Independent Cost Review (ICR) and Independent Project
Review (IPR) in FY 2020.
c No construction, other than site preparation, approved civil construction or long-lead procurement will be performed prior to validation of the
Performance Baseline and approval of CD-3.
d Detailed analyses of alternatives compared the NuMI beam to a new, lower-energy neutrino beam directed toward SURF in South Dakota, and also
compared different neutrino detection technologies for the DUNE detector.
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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 FNAL,
where they are produced in a high-energy beam. The experiment will analyze the rare, flavor-changing transformations ofneutrinos in flight, from one lepton flavor to another, which are expected to help explain the fundamental physics ofneutrinos and the puzzling matter-antimatter asymmetry that enables our existence in a matter-dominated universe.
The LBNF/DUNE project comprises a national flagship particle physics initiative. LBNF/DUNE will be the first-ever large-scaleinternational science facility hosted by the United States. As part of implementation of High Energy Physics Advisory Panel(HEPAP)-Particle Physics Project Prioritization Panel (P5) recommendations, the LBNF/DUNE project consists of two
multinational collaborative efforts:

LBNF is responsible for the beamline and other experimental and civil infrastructure at FNAL 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,
the National Science Foundation, and major research universities.



DUNE is an international scientific collaboration responsible for defining the scientific goals and technicalrequirements for the beam and detectors, as well as the design, construction and 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/FNAL leadership and minority participation by a small number of international partners including CERN, will
construct a megawatt-class neutrino source and related facilities at FNAL (the “Near Site”), as well as underground caverns
and cryogenic facilities in South Dakota (the “Far Site”) needed to house the DUNE detectors. DUNE has international
leadership and participation of over 1,000 scientists and engineers from over 170 institutions in over 30 countries. DOE willfund less than a third of DUNE. DOE continues to refine the development of the design and cost estimates as the U.S. DOE
contributions to the multinational effort are now better understood. FNAL continues to identify and incorporate additional
design activities and prototypes into the project design.
FNAL and DOE have confirmed contributions documented in international agreements from CERN and the UK to LBNF.
Discussions are ongoing with several other countries for additional contributions. For the DUNE detectors, the collaboration
put in place a process to complete a technical design of the detectors and divide the work of building the detectors
between the collaborating institutions. The review of the detector design with a complete set of funding responsibilities by
the Long Baseline Neutrino Committee began in 2019, and development of the set of funding responsibilities continues
progress. SC will manage all DOE contributions to the facility and the detectors according to DOE Order 413.3B, and FNAL
will provide unified project management reporting.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.

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The preliminary Key Performance Parameters (KPPs) for project completion that were approved by CD-1 in FY 2015 include
the primary beam and neutrino beam production systems as well as underground caverns excavated for four separate, 10
kiloton detectors (of liquid-argon, time-projection detectors) at the SURF site, 1000-1500 kilometers (km) from the neutrino
source. The DOE contribution for DUNE will include technical components for two of the four detectors, which will be
installed and tested with cosmic rays, and components of the cryogenic systems for the detectors, which will be installed
and pressure tested.
Performance Measure
Primary Beam to produce neutrinos
directed to the far detector site

ThresholdBeamline hardware commissioning
complete and demonstration of
protons delivered to the target

Far Site-Conventional Facilities

Caverns excavated for 40 kiloton
fiducial detector massa; beneficial
occupancy granted for cavern space tohouse 20 kiloton fiducial detectormassa
DOE-provided components for
Cryogenic subsystems installed andpressure tested for 20 kiloton fiducial
detector mass

Detector Cryogenic InfrastructureLong-Baseline Distance between
neutrino source and far detector
Far Detector

1,000-1,500 km
DOE-provided components installed incryostats to support 20 kiloton fiducial
detector mass, with cosmic ray
interactions detected in each detector
moduleObjective
In addition to Threshold KPPs, systemenhancements to maximize neutrino
flux, enable tunability in neutrinoenergy spectrum or to improveneutrino beam capability
In addition to Threshold KPPs,
Beneficial Occupancy granted forremaining cavern space
In addition to Threshold KPPs,
additional DOE contributions tocryogenic subsystems installed andpressure tested for additional 20
kiloton fiducial detector mass; DOE
contributions to cryostats
1,000-1,500 km
In addition to Threshold KPPs,
additional DOE contributions to
support up to 40 kiloton fiducial
detector mass

Fiducial detector mass pertains to the mass of the interior volume of the detection medium (liquid argon) that excludes the external portion of thedetection medium where most background events would occur.
a

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

Costsb

Total Estimated Cost (TEC)
Designc
FY 2012

4,000

4,000

—d

FY 2013

3,781

3,781

801

FY 2014

16,00016,0007,109

FY 2015

12,00012,00015,791

FY 2016

26,00026,00026,436e

FY 2017

48,58548,58536,924

FY 2018

25,00025,00044,749f

FY 201970,00070,00053,841

FY 2020

20,00020,00020,000FY 2021

10,00010,00010,000Outyears

64,63464,63484,349Total, Design

300,000

300,000

300,000

FY 2017

1,415

1,415

333

FY 201870,00070,0001,427g

FY 201960,00060,00025,865FY 2020

151,000

151,000

151,000h

FY 202190,50090,50090,500Outyears

1,803,460

1,803,460

1,907,250

Total, Construction

2,176,375

2,176,375

2,176,375

Construction

The project is Pre-CD-2 and has not been baselined. All estimates are preliminary. The preliminary TPC range at CD-1 is $1,260,000,000 to$1,860,000,000. Design and international collaboration plans are currently being developed; outyears are preliminary. An Independent Project Review washeld January 8-10, 2019.
b Costs through FY 2019 reflect actual costs; costs for FY 2019 and the outyears are estimates.
c Design Only CPDS was prepared in FY 2012; no CPDS was prepared FY 2013-2015. Funding amounts shown for traceability. FY 2016 and onward CPDS
prepared as Design and Construction.
d $1,078,000 was erroneously costed to this project in FY 2012, the accounting records were adjusted in early FY 2013.
e Costs were for starting Far Site preparation including safety and reliability refurbishment of the underground infrastructure, which was needed prior toinitiating excavation of the equipment caverns.
f Costs were for continuing project engineering design in preparation for CD-2.
g Costs were for initiating excavation of the equipment caverns at the Far Site as approved by CD-3A.
h Estimated costs are for the Far Site civil construction excavation activities as well as design and procurement for Far Site cryogenics systems. Also will
support beamline and conventional facilities design and a site-preparation construction subcontract at the Near Site (FNAL).
a

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costsb

Total Estimated Cost (TEC)FY 2012

4,000

4,000

—

FY 2013

3,781

3,781

801

FY 2014

16,00016,0007,109

FY 2015

12,00012,00015,791

FY 2016

26,00026,00026,436

FY 201750,00050,00037,257FY 2018

95,00095,00046,176

FY 2019

130,000

130,000

79,706

FY 2020

171,000

171,000

171,000

FY 2021

100,500

100,500

100,500

Outyears

1,868,094

1,868,094

1,991,599

2,476,375

2,476,375

2,476,375

FY 2009a

12,486

12,486—

FY 2010

14,17814,178

11,032

FY 2011

7,768

7,750

18,554

FY 201217,00017,018b

18,497FY 2013

14,107

14,107

13,389FY 2014

10,00010,00011,348FY 2015

10,00010,00010,079FY 2016

86

86

2,284

FY 2017——120

FY 2018

1,000

1,000

86

FY 2019

1,000

1,000

347

FY 2020

4,000

4,000

4,000

FY 2021

1,000

1,000

1,000

Outyears

31,00031,00032,889123,625

123,625

123,625

FY 200912,486

12,486—

FY 2010

14,17814,178

11,032

Total, TEC
Other Project Cost (OPC)

Total, OPC
Total Project Cost (TPC)a $13,000,000 of Recovery Act funding was originally planned for the conceptual design, although $12,486,000 was attributed to the project fromrecategorization for pre-conceptual design activities ($511,000) and closeout of expired funds ($3,000) in subsequent years.
b $18,000 of FY 2011 funding was attributed towards the Other Project Costs activities in FY 2012.

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costsb

FY 2011

7,768

7,750

18,554

FY 201221,00021,01818,497FY 2013

17,88817,88814,190FY 201426,00026,00018,457FY 2015

22,00022,00025,870FY 2016

26,08626,08628,720FY 201750,00050,00037,377FY 2018

96,00096,00046,262

FY 2019

131,000

131,000

80,053

FY 2020

175,000

175,000

175,000

FY 2021

101,500

101,500

101,500

Outyears

1,899,094

1,899,094

2,024,488

2,600,000

2,600,000

2,600,000

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

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

270,000
30,000234,000
25,000

N/A
N/A

Total, Design

300,000

259,000

N/A

Construction
Constructiona
Equipmentb

1,146,000
381,000

891,000
308,000

N/A
N/A

Contingency

649,375

297,000

N/A

2,176,375

1,496,000

N/A

2,476,375
679,375

1,755,000
322,000

N/A
N/A

Total Estimated Cost (TEC)

Total, Construction
Total, TEC
Contingency, TEC

Construction involves excavation of caverns at SURF, 4850 ft. below the surface, for technical equipment including particle detectors and cryogenic
systems and construction of the housing for the neutrino-production beam line and the near detector.
b Technical equipment in the DOE scope, estimated here, will be supplemented by in-kind contributions of additional technical equipment, for theaccelerator beam and particle detectors, from non-DOE partners as described in Section 1.
a

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(dollars in thousands)
Current Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

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

20,62530,00035,00038,000—20,62530,00035,000
9,375
—

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

Total, OPC

123,625

95,000

N/A

Contingency, OPC

—

—

N/A

Total Project Cost

2,600,000

1,850,000

N/A

679,375

322,000

N/A

Other Project Cost (OPC)

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

FY 2011

FY 2012FY 2016

FY 2017

FY 2018

FY 2019

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

Prior Years
102,000
22,180124,180
133,000
42,621
175,62151,78189,539141,320
106,80285,539192,341
166,681
85,725
252,406
166,681
85,725
252,406

FY 2019

FY 2020

—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
113,000
1,000
114,000

Outyearsa

FY 2021
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—

—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—
—

—
—
—
—
—
—
731,612—731,6121,307,659—
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

a Outyear requests are grouped as the project is pre-CD-2 and has not been baselined. All estimates are preliminary. For the first column of Request Year,the outyears represent the time period beyond that specific requested Budget Year.

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(dollars in thousands)
Request Year

FY 2020a

FY 2021

Type
TEC
OPC
TPC
TEC
OPC
TPC

Prior Years
206,781
86,625
293,406
206,781
86,625
293,406

FY 2019

FY 2020130,000
1,000
131,000
130,000
1,000
131,000

100,000
4,000
104,000
171,000
4,000
175,000

FY 2021———
100,500
1,000
101,500

Outyearsa

Total

1,318,219
3,375
1,321,594
1,868,094
31,0001,899,094

1,755,000
95,0001,850,000
2,476,375
123,6252,600,000

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

FY 2030
20 years
FY 2050

Operations and maintenance funding of this experiment will become part of the existing Fermilab Accelerator Complex.
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.

Operations
Utilities
Maintenance and Repair
Total, Operations and Maintenance

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
9,000
9,000
8,000
8,000
1,000
1,000
18,00018,000Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
180,000
180,000
160,000
160,000
20,00020,000360,000
360,000

7. D&D Information
The new area being constructed in this project is replacing existing facilities.

New area being constructed by this project at Fermi National Accelerator Laboratory....................
New area being constructed by this project at Sanford Underground Research Facility (SURF).......
Area of D&D in this project at Fermi National Accelerator Laboratory..............................................
Area at Fermi National Accelerator Laboratory to be transferred, sold, and/or D&D outside 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
48,20093,800—48,200—93,800—The project is Pre-CD-2 and has not been baselined. All estimates are preliminary. The preliminary TPC range at CD-1 was $1,260,000,000 to$1,860,000,000. An Independent Project Review was held January 8-10, 2019.
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The one-for-one replacement has been met through banked space. A waiver from the one-for-one requirement toeliminate excess space at FNAL to offset the LBNF/DUNE project was approved by DOE Headquarters on November 12,
2009. The waiver identified and transferred to FNAL 575,104 square feet of excess space to accommodate the new
LBNF/DUNE facilities and other as yet unbuilt facilities from space that was banked at other DOE facilities.
8. Acquisition Approach
The Acquisition Strategy, approved as part of CD-1, documents the acquisition approach. DOE is acquiring design,
construction, fabrication, and operation of LBNF through the M&O contractor responsible for FNAL, Fermi Research Alliance(FRA). FRA and FNAL, through the LBNF Project based at FNAL, is responsible to DOE to manage and complete constructionof LBNF at both the near and remote site locations. FRA and FNAL are assigned oversight and management responsibility
for execution of the international DUNE project, to include management of the DOE contributions to DUNE. The basis forthis choice and strategy is that:










FNAL 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.
FNAL can best ensure that the design, construction, and installation of key LBNF and DUNE components arecoordinated effectively and efficiently with other research activities at FNAL.
FNAL has a DOE-approved procurement system with established processes and acquisition expertise needed to obtainthe necessary components and services to build the scientific hardware, equipment and conventional facilities for theaccelerator beamline, and detectors for LBNF and DUNE.
FNAL 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.
FNAL, through the LBNF Project, has established a close working relationship with SURF and the South Dakota Scienceand Technology Authority (SDSTA), organizations that manage and operate the remote site for the far detector in Lead,SD;
FNAL 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, FNAL will collaborate and work with many institutions, including other DOE national laboratories (e.g. BNL, LBNL
and SLAC), dozens of universities, foreign research institutions, and the SDSTA. FNAL will be responsible for overall project
management, Near Site conventional facilities, and the beamline. FNAL will work with SDSTA to complete the conventional
facilities construction at the remote site needed to house and outfit the DUNE far detector. With the DUNE collaboration,
FNAL is also responsible for technical and resource coordination to support the DUNE far and near detector design andconstruction. DOE will be providing in-kind contributions to the DUNE collaboration for detector systems, as agreed uponwith the international DUNE collaboration.
International participation in the design, construction, and operation of LBNF and DUNE will be of essential importancebecause the field of High Energy Physics is international by nature; necessary talent and expertise are globally distributed,
and DOE does not have the procurement or technical resources to self-perform all of the required construction andfabrication work. Contributions from other nations will be predominantly through the delivery of components built in theirown countries by their own researchers. DOE will negotiate agreements in cooperation with the Department of State on abilateral basis with all contributing nations to specify their expected contributions and the working relationships during theconstruction and operation of the experiment.
DOE will provide funding for the LBNF/DUNE Project directly to FNAL and collaborating DOE national laboratories via
approved financial plans, and under management control of the LBNF/DUNE-U.S. Project Office at FNAL, which will also
manage and control DOE funding to the combination of university subcontracts and direct fixed-price vendor procurements
Science/High Energy Physics/11-SC-40,
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Deep Underground Neutrino Experiment (LBNF/DUNE)

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that are anticipated for the design, fabrication and installation of LBNF and DUNE technical components. All actions will
perform in accordance with DOE approved procurement policies and procedures.
FNAL staff, or by subcontract, temporary staff working directly with FNAL personnel will perform much of the neutrino
beamline component design, fabrication, assembly, and installation. The acquisition approach includes both new
procurements based on existing designs, and re-purposed equipment from the Fermilab Accelerator Complex. For somehighly specialized components, FNAL will have the Rutherford Appleton Laboratory (RAL) in the United Kingdom design andfabricate the components. RAL is a long-standing FNAL collaborator who has proven experience with such components.
FNAL has chosen the Construction Manager/General Contractor (CM/GC) model to execute the delivery of LBNF
conventional facilities at the SURF Far Site. The Laboratory is contracting with an architect/engineer (A/E) firm for design of
LBNF Far Site conventional facilities at SURF and with a CM/GC subcontractor to manage the construction of LBNF Far Sitefacilities. FNAL selected this strategy to reduce risk, enhance quality and safety performance, provide a more collaborative
approach to construction, and offer the opportunity for reduced cost and shortened construction schedules, via options for
the CM/GC to self-perform or competitively bid subcontract award packages.
For the LBNF Near Site conventional facilities at FNAL, the laboratory will subcontract with an A/E firm for design, and has
initially planned for a CM/GC subcontractor to manage construction of LBNF Near Site facilities. The Laboratory reevaluated this strategy based on a gap that developed between when Near Site conventional facilities design would becompleted and construction could start based on funding constraints. This resulted in selection of a design-bid-build
traditional construction method supported by additional procurements for preconstruction and construction phaseservices.
For the LBNF Far Site conventional facilities at SURF, DOE entered into a land lease with SDSTA on May 20, 2016 covering
the area on which the DOE-funded facilities housing and supporting the LBNF and DUNE detector will be built. The lease
and related realty actions provides the framework for DOE and FNAL to construct federally-funded buildings and facilities
on non-federal land, and to establish a long-term (multi-decade) arrangement for DOE and FNAL to use SDSTA space to hostthe DUNE experiment. Modifications, repairs, and improvements to the SDSTA infrastructure to support the LBNF/DUNE
project are costed to the project. Repairs and improvements for the overall facility are costed to the cooperative agreementthat HEP has with SDSTA for operation of the facility. Protections for DOE’s real property interests in these infrastructuretasks are acquired through the lease with SDSTA, contracts and other agreements such as easements. DOE plans for FNAL
to have responsibility for managing and operating the LBNF and DUNE far detector and facilities for a useful lifetime of 20
years, and may contract with SDSTA for day-to-day management and maintenance services. At the end of useful life, federal
regulations permit transfer of ownership to SDSTA, which is willing to accept ownership as a condition for the lease. FNAL
developed an appropriate decommissioning plan prior to lease signing.

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Nuclear Physics
Overview
One of the enduring mysteries of the universe is the nature of matter—what are its basic constituents and how do theyinteract to form the properties we observe? The largest contribution by far to the mass of the visible matter we are familiar
with comes from protons and heavier nuclei. The mission of the Nuclear Physics (NP) program is to discover, explore, andunderstand all forms of nuclear matter. Although the fundamental particles that compose nuclear matter—quarks andgluons—are themselves relatively well understood, exactly how they interact and combine to form the different types ofmatter observed in the universe today and during its evolution remains largely unknown. Nuclear physicists seek tounderstand not just the familiar forms of matter we see around us, but also exotic forms such as those that existed in thefirst moments after the Big Bang and that exist today inside neutron stars, and to understand why matter takes on thespecific forms now observed in nature.
Nuclear physics addresses three broad, yet tightly interrelated, scientific thrusts: Quantum Chromodynamics (QCD); Nuclei
and Nuclear Astrophysics; and Fundamental Symmetries:

QCD seeks to develop a complete understanding of how the fundamental particles that compose nuclear matter, thequarks and gluons, assemble themselves into composite nuclear particles such as protons and neutrons; how nuclear
forces arise between these composite particles that lead to nuclei; and how novel forms of bulk, strongly interacting
matter behave, such as the quark-gluon plasma that formed in the early universe.
Nuclei and Nuclear Astrophysics seeks to understand how protons and neutrons combine to form atomic nuclei,
including some now being observed for the first time, and how these nuclei have arisen during the 13.8 billion years
since the birth of the cosmos.
Fundamental Symmetries seeks to develop a better understanding of fundamental particle interactions by studying
the properties of neutrons and by performing targeted, single focus experiments using nuclei to study whether theneutrino 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 also uses low-energy,
precision nuclear experiments, many enabled by new quantum sensors to search for a deeper understanding offundamental symmetries and nuclear interactions. Comparing experimental observations and theoretical predictions tests
the limits of our understanding of nuclear matter and suggests new directions for experimental and theoretical research.
Highly trained scientists who conceive, plan, execute, and interpret transformative experiments are at the heart of the NP
program. NP supports these university and national laboratory scientists, and U.S. participation in select international
collaborations, resulting in an average of approximately 90 Ph.D. degrees awarded annually to students for researchsupported by the program. DOE NP is the steward of the nation’s fundamental nuclear physics research portfolio; in
FY 2019, DOE provided over 91 percent and the National Science Foundation (NSF) less than 9 percent of the total
investment in the U.S. nuclear physics basic research portfolio. As documented in the 2015 Nuclear Science Advisory
Committee (NSAC) Long Range Plan (LRP) for Nuclear Science, Reaching for the Horizona, over 40 percent of the scientists
who receive Ph.D.’s in nuclear science find careers in sectors other than academia and DOE research laboratories, serving
national needs in defense, computing, cutting-edge technology, government, and industry. DOE’s mission and priorities
guide NP research, which in turn develop the core competencies and expertise needed to achieve the goals of the NP
a “Reaching for the Horizon: The 2015 Long Range Plan for Nuclear Science.” Nuclear Science Advisory Committee, October 2015(https://science.osti.gov/~/media/np/nsac/pdf/2015LRP/2015_LRPNS_091815.pdf).

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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 acquire and analyze large
volumes of data, and to construct, support, and maintain the advanced instrumentation and world-class accelerator
facilities used in experiments. The national laboratories provide state-of-the-art resources for targeted detector andaccelerator R&D for future upgrades and new facilities. This research develops knowledge, technologies, and trained
scientists to design and build next-generation NP accelerator facilities, and is relevant to machines being developed byother domestic and international programs. The technologies developed to simulate, sense, collect, and analyze nuclear
physics data have synergy with quantum information science (QIS), artificial intelligence (AI), machine learning (ML),
microelectronics, isotope production science, and data integration.
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 2015 LRP. In FY 2021, these facilities will provide particle beams for aninternational user community of almost 2,000 research scientists. Approximately 35 percent of these researchers are frominstitutions outside of the U.S., and they provide very significant benefits including leveraging the U.S. program throughcontributed capital, human capital, and experimental equipment, as well as intellectual contributions. Researchers
supported by other SC programs such as High Energy Physics (HEP) and Basic Energy Sciences (BES); other DOE offices suchas the National Nuclear Security Administration (NNSA) and Nuclear Energy (NE); other Federal agencies such as NSF, theNational Aeronautics and Space Administration (NASA), and the Department of Defense (DOD); and industries, use NP
scientific user facilities and core competencies to carry out research programs important for their respective missions.
Construction of the Facility for Rare Isotope Beams (FRIB), a world-class nuclear physics scientific user facility with uniquecapabilities in nuclear structure and astrophysics, is nearing completion at Michigan State University (MSU), according to
the baseline cost and schedule. This project is over 92 percent complete and will provide exciting new capabilities in nuclear
structure and astrophysics to better understand the landscape of the periodic table of elements. In FY 2021, FRIB willtransition to operations as a DOE SC User Facility for nuclear physics.
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. Consistent with that vision, in 2016 NP commissioned a National
Academy of Sciences (NAS) study by an independent panel of external experts to assess the uniqueness and scientific meritof such a facility. The reporta, released in July 2018, strongly supports the scientific case for building a U.S.-based EIC,
documenting that an EIC will advance the understanding of the origins of nucleon mass, the origin of the spin properties ofnucleons, and the behavior of gluons. Subsequently, DOE determined that the construction of an EIC is the highest priority
for new facility construction in the U.S. Nuclear Physics Program to maintain U.S. leadership in nuclear physics andaccelerator science. The EIC will enable scientists to investigate and answer questions about the basic building blocks ofnuclei and how quarks and gluons, the particles inside neutrons and protons, interact dynamically via the strong force togenerate the fundamental properties of neutrons and protons, such as mass and spin.
The Secretary of Energy approved Critical Decision-0, Approve Mission Need, on December 19, 2019, with a rough order ofmagnitude cost range of $1.6 billion to $4.2 billion. An Independent Cost Review, conducted by the DOE Office of ProjectManagement as is required for projects of this magnitude, determined the cost range for CD-0. DOE conducted an
Independent Site Selection Assessment and selected BNL to host the EIC facility for the Nation. This selection establishes a
cost range of $1.6 billion to $2.6 billion for the EIC. Both BNL and TJNAF will have essential and major roles in both theconstruction of the EIC and the realization of the facility’s full scientific opportunities.
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 collateralNational Academies of Sciences, Engineering, and Medicine. 2018. An Assessment of U.S.-Based Electron-Ion Collider Science. Washington, D.C.: The
National Academies Press. https://doi.org/10.17226/25171
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benefits such as the creation of new technologies with broad-based applications in industry and society, such as AI/ML ,QIS, and computational and data infrastructure . NP supports cutting-edge accelerator R&D that is specific to theprogrammatic needs of its current and planned facilities. In the process, transformative technological advances and corecompetencies in accelerator science that are developed by NP are also often relevant to other 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. NP coordinates
closely with other SC accelerator R&D activities to exploit synergies and avoid duplication of efforts.
Highlights of the FY 2021 Request
The FY 2021 Request for $653,327,000 supports the highest priority efforts and capabilities in nuclear science to optimize
scientific productivity and impact on national priorities. World-class experimental user facilities and theoretical andexperimental nuclear physics research will continue to enable advances in science. Core research groups will be reorganized and to target select scientific opportunities to promote U.S. competitiveness in nuclear physics. NP will prioritize
increasing operations of scientific user facilities and participation in administration research priorities. Supported
instrumentation, facilities and construction projects closely align to guidance from NAS studies and the NSAC LRP, andpromote U.S. leadership in nuclear science. The Request will continue support for world-class discovery science researchand R&D integration to facilitate the development of state-of-the-art applications for medicine, commerce, and national
security. The Request continues support for the EIC at BNL, with partnership of TJNAF andother national labs essential to its
success.
The Request places an emphasis on Administration research priorities, with increased participation of NP in coordinated SC
initiatives, including QIS and AI/ML. The Request also prioritizes research to support the DOE Isotope Initiative, and NP
participation in the Strategic Accelerator Technology Initiative. FY 2021 will be the first year of support for the Strategic
Accelerator Technology Initiative and the first year of NP support for AI/ML. A community roundtable discussion in FY 2020
on the role of NP in AI/ML highlighted how the NP community could best incorporate AI/ML research, for example by using
ML to facilitate effective accelerator operations. Initial funding for the Strategic Accelerator Technology Initiative will
enable the pursuit of transformative accelerator R&D initiatives, including next generation electron ion source
developments and advanced approaches in SRF technology. There are strong synergies between these different activities
and the unique needs and core competencies of the nuclear physics community.
The Request also increases support for the DOE Isotope Program (DOE IP), a DOE priority, to introduce new medical
isotopes to the community for clinical trials and cancer therapy, and create isotope harvesting capability at FRIB. The
Request supports development of isotope processing core competencies and capabilities at universities and laboratories toincrease isotope availability for a suite of applications, including industrial radiography, medical isotope production
feedstock, and explosives detection. New stable isotope enrichment capabilities replenish U.S. inventory and reduce foreigndependence on isotopes of strategic importance for the Nation. The Request continues funding for the U.S. Stable Isotope
Production and Research Center (U.S. SIPRC). U.S. SIPRC’s objective is to mitigate U.S. dependence on foreign sources ofenriched stable isotopes for research and applications. DOE continues its focus on an isotope initiative that will expand anddevelop core competencies and technology critical for long-term U.S. leadership and independence in isotope production.
The Request supports research activities in Nuclear Structure and Astrophysics described separately from the Fundamental
Symmetries activities within the Low Energy Subprogram, in an effort to better articulate the breadth of the program andcapture the growing effort in fundamental symmetries of nuclear physics. Limited fundamental symmetries researchsupported in the Medium Energy Subprogram, primarily those efforts associated with the Moller Experiment that will
operate at TJNAF, are moved into the Fundamental Symmetries Subprogram to promote consistency between the scientificfocus of the MOLLER experiment and the intellectual thrust of the Fundamental Symmetries portfolio.
Research
The Request for Research supports key university and laboratory researchers to nurture critical core competencies andenable the highest priority theoretical and experimental activities to target compelling scientific opportunities at thefrontier of nuclear science, and in concert with guidance from the NAS and the NSAC. Research funding is also provided for
QIS, AI/ML, transformative accelerator R&D, and isotope production R&D. The Request supports world-class research in all
scientific thrusts of nuclear science including:
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
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Experimental and theoretical research aimed at unravelling the mechanism of quark confinement with the upgraded 12
gigaelectronvolt (GeV) CEBAF.
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), a form of matter discovered at RHIC that last
existed at the beginning of the cosmos.
Targeted collaboration in the heavy ion program at the CERN Large Hadron Collider (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.
Challenging new experiments at ATLAS to study nuclear structure and nuclear reactions occurring under extreme
conditions in the cosmos that are conjectured to play a central role in the synthesis of heavy elements.
Pioneering R&D in the search for neutrino-less double beta decay, a process that if observed would prove that theneutrino is its own anti-particle is supported.
Continuation of the High Rigidity Spectrometer (HRS) instrumentation for FRIB, which will enable the most sensitive
experiments across the entire span of known nuclei, thereby enabling experiments with the most neutron-rich nuclei
available at FRIB.
Research delving into the nature of the neutron at the Fundamental Neutron Physics Beamline at the Spallation
Neutron Source (SNS), and the continued development of the high-risk, high-discovery potential Neutron Electric
Dipole Moment (nEDM) experiment, that could shed light on why there is more matter than anti-matter in theuniverse.
Other Project Cost (OPC) activities including accelerator and detector R&D for the EIC.
Continuation of funding for the SC QIS Center(s) that will be established in FY 2020 and which will be aninterdisciplinary partnership among SC programs in support of the National Quantum Initiative. This partnershipcomplements a robust core research portfolio stewarded by the individual SC programs to create the ecosystem acrossuniversities, national laboratories, and industry that is needed to advance developments in QIS and related technology.
Innovative NP research in QIS enables precision nuclear physics measurements, quantum simulations with trapped
ions, quantum computing solutions to otherwise intractable QCD challenges, development of quantum sensors basedon atomic-nuclear interactions and quantum control (coherent control) techniques, and the production of stable
isotopes for next generation QIS.
Accelerator R&D , which is a core capability SC stewards for the Nation. Sustained investment is needed for the U.S. tocontinue to provide the world’s most comprehensive and advanced accelerator-based facilities for scientific research,and to continue to attract and train the workforce needed to design and operate these facilities. NP will support highpriority accelerator R&D of relevance to NP next-generation machines and optimal performance of existing machines.
Targeted cutting-edge techniques based on AI/ML of relevance to nuclear science research, accelerator facility
operations, and automated machine operations within the DOE IP.
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 dependence on foreign supplies and produce isotopes forquantum computing.
Support for core competencies in developing and operating a broad array of isotope enrichment technologies, critical
for research and applications, through research in support of the initiation of the DOE Isotope Initiative.

Facility Operations
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
including:Support for RHIC to operate for 2,580 hours (100 percent optimal) in FY 2021. Operating hours are capped in FY 2021
due to planned installation requirements. Planned operations with the completed Low Energy RHIC e-Cooler (LEReC)
will further increase luminosity to carry out a definitive search for a critical point in the phase diagram of QCD matter.
Investments in accelerator improvement projects and capital equipment maintain robust operations and upgrades of
the RHIC Access Control System continue.

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

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

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Support for CEBAF to operate for 3,010 hours (68 percent optimal) in FY 2021, enabling the highest priority
experiments of the 12 GeV science program. Targeted investments in accelerator improvement projects and capital
equipment modernize SRF equipment.
Support for ATLAS to operate as the world’s premiere stable ion beam facility for 2,980 hours (44 percent optimal) to
enable the most compelling experiments in nuclear structure and astrophysics. Investments in high priority accelerator
improvement projects and capital equipment focus on new scientific instrumentation and the Multi-User Upgrade.
Operations funding for FRIB in FY 2021, which partially supports a transition from a construction project to operationsof a scientific user facility, including the movement of key operational staff from the project to the facility operations
budget.
Support for the experimental physics University Centers of Excellence including the Center for Experimental Nuclear
Physics and Applications (CENPA) at the University of Washington, the Research and Engineering Center at theMassachusetts Institute for Technology (MIT), the High Intensity Gamma Source (HIGS) at Duke University, and theTexas A&M Cyclotron Institute at the Texas A&M University . These centers provide niche capabilities and unique“hands-on” experiences in nuclear science.
Funding to fully support mission readiness and nurture critical core competencies at the isotope production facilities.
These facilities produce isotopes in short supply that are critical to the nation’s federal complex, research enterpriseand industry. University isotope production capabilities are increased and networked into the DOE IP for the
production of high priority short-lived isotopes. Operation of the Enriched Stable Isotope Prototype Plant (ESIPP)
increases to replenish U.S. inventory, reduce dependence on foreign suppliers for research quantities of stable
isotopes, and produce isotopes for quantum systems. Investments are made to enhance processing capabilities to keep
pace with the growing portfolio of radioisotopes, generate inventories of isotopes in short supply, increase helium-3
supply, continue the FRIB Isotope Harvesting accelerator project, develop electromagnetic separation capabilities forthe enrichment of radio-isotopes and heavy stable isotopes, and extract valuable isotopes from the legacy Mark 18atargets, in coordination with NNSA.

Projects
The Request for Construction and Major Items of Equipment (MIEs) includes:
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The final year of construction funding for the Facility for Rare Isotope Beams (FRIB), which will provide world-leading
capabilities for nuclear structure and nuclear astrophysics. The project continues to make impressive progress and isover 92 percent complete. Construction funding continues according to the baselined profile.
Continuation of design efforts and Project Engineering Design (PED) activities for the EIC. The FY 2018 NAS confirmed
the importance of a domestic EIC to sustain U.S. world leadership in nuclear science and accelerator R&D corecompetencies. The Secretary of Energy approved CD-0, Approve Mission Need, in December 2019.
Continuation of engineering design and long lead procurements for U.S. SIPRC to significantly increase the domestic
production capabilities of stable isotopes for scientific, industrial, national security and medical uses. U.S. SIPRC will
mitigate. U.S. dependency on foreign supply of stable isotopes.
Continuation of the Gamma-Ray Energy Tracking Array (GRETA) MIE, which will enable provision of advanced, highresolution gamma ray detection capabilities for FRIB.
Continuation of the super Pioneering High Energy Nuclear Interaction eXperiment (sPHENIX) MIE, which will haveenhanced capabilities that will further RHIC’s scientific mission by studying high rate jet production. This project is
implemented with funding from within the RHIC facility operations budget.
Continuation of the Measurement of a Lepton-Lepton Electroweak Reaction (MOLLER) MIE, which will measure theparity-violating asymmetry in polarized electron-electron scattering with the 12 GeV CEBAF machine. This experimentwill search for evidence of physics beyond our current understanding with unprecedented levels of precision, bycomparing extremely small deviations in the outcomes of scattering experiments with the predictions of theory.
Continuation of the international Ton-scale Neutrinoless Double Beta Decay MIE to determine whether the neutrino is
its own antiparticle. CD-0, Approve Mission Need, was approved in FY 2019. Funding in FY 2021 supports high priority
activities and the management team.

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FY 2021 Research Initiatives
Nuclear Physics supports the following FY 2021 Research Initiatives.
(dollars in thousands)
FY 2020
FY 2021
EnactedRequestFY 2019
EnactedFY 2021 Request vsFY 2020 Enacted

New Research Initiatives
Strategic Accelerator Technology Initiative
Total, New Research Initiatives

—
—

—
—

1,000
1,000

+1,000+1,000Ongoing Research Initiatives
Artificial Intelligence and Machine Learning
DOE Isotope Initiative
Quantum Information Science
Total, Ongoing Research Initiatives

—
—
8,300
8,300

—
3,241
10,30013,541

4,000
16,50013,00034,500+4,000+13,259+2,700+20,959

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Nuclear Physics
Funding(dollars in thousands)
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

Medium Energy Nuclear Physics
Research
Operations
Other Research
SBIR/STTR
Total, Medium Energy Nuclear Physics

43,286
117,390
3,553
19,961
184,190

41,154
122,1103,600
20,725
187,589

36,000118,000
2,800
19,438176,238-5,154-4,110-800-1,287-11,351

Heavy Ion Nuclear Physics
Research
Operations
Other Project Costs
Total, Heavy Ion Nuclear Physics

37,354
193,125—
230,479

37,661
196,651
10,000244,31231,518
194,9281,500
227,946-6,143-1,723-8,500-16,366

Low Energy Nuclear Physics
Research
Operations
Total, Low Energy Nuclear Physics

70,53030,215
100,745

70,99855,739126,737

60,33650,241
110,577-10,662-5,498-16,160

Nuclear Theory
Theory Research
Nuclear Data
Total, Nuclear Theory

46,4698,858
55,32743,0628,800
51,862

46,5407,726
54,266+3,478-1,074+2,404

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(dollars in thousands)
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

9,808
33,9451
500

11,50035,9002,100

22,00044,000—+10,500+8,100-2,100

Isotope Development and Production for Research andApplications
Research
Operations
Other Project Costs
Total, Isotope Development and Production for Research andApplicationsa
Subtotal, Nuclear Physics

44,25949,50066,000+16,500

615,000

660,000

635,027-24,973

Construction
20-SC-51, U.S. Stable Isotope Production and Research Center
20-SC-52, Electron Ion Collider
14-SC-50, Facility for Rare Isotope Beams
Total, Construction
Total, Nuclear Physics——
75,00075,000690,000

12,0001,000
40,00053,000713,000

12,0001,000
5,300
18,300653,327——-34,700-34,700-59,673

SBIR/STTR funding: FY 2019 Enacted: SBIR $17,588,000 and STTR $2,373,000
 FY 2020 Enacted: SBIR $18,257,000 and STTR $2,468,000
 FY 2021 Request: SBIR $17,220,000 and STTR $2,218,000

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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Nuclear Physics
Explanation of Major Changes

Medium Energy Nuclear Physics
The Request provides support for the CEBAF accelerator complex, including mission readiness of the four experimental halls, mission readinessof the accelerator, all power and consumables of the site, computing capabilities for data collection and analysis, cryogenics plant, scientificresearchers on site and at other laboratories and universities, on site accelerator scientists and technicians, and operation of the recently
upgraded CEBAF accelerator to support 3,010 operating hours (68 percent optimal), to exploit the capabilities afforded by the 12 GeV CEBAF
Upgrade to address the highest priority scientific opportunities. Funding supports high priority research in heavy ion nuclear physics atuniversities and national laboratories. The Request provides support for experimental activities that will utilize the newly upgradedexperimental halls to implement the 12 GeV CEBAF physics program. The Request continues high priority investments in capital equipment andaccelerator improvement projects for CEBAF to maintain viability of the facility, and continues targeted investments in maintenance activities
and cryomodule refurbishment at CEBAF to improve the performance and reliability of the machine. Key 12 GeV researchers from national
laboratories and universities will implement, commission, and operate high priority new experiments at CEBAF. Scientists will play a leadingrole in the development of scientific instrumentation and accelerator components for the EIC. The Request provides support to initiate
investment in the Strategic Accelerator Technology initiative.
Heavy Ion Nuclear Physics
The Request provides funding for the RHIC accelerator complex, including mission readiness and development of the experimental halls andinstrumentation, mission readiness of the suite of accelerators, all power and consumables of the site, cryogenics plant, computing capabilities
for data taking and analysis, scientific researchers on site and at other laboratories and universities, on-site accelerator scientists andtechnicians, operation of RHIC for a 2,580 hour run (at 100 percent of the capped FY 2021 maximum operations), high priority corecompetencies, and experimental activities to prepare scientific instrumentation and infrastructure for the scientific program. The Request
continues high priority investments in capital equipment and accelerator improvement to maintain viability of the facility. Funding from RHIC
operations is provided for the base-lined sPHENIX MIE, which will study high rate jets of particles at RHIC. Funding supports the highest
priorities in the NP program, including heavy ion nuclear physics at universities and national laboratories. The Request provides support toinitiate the Strategic Accelerator Technology initiative. The Request continues OPC for the EIC, which will enable scientists to play a leading rolein R&D and the development of scientific instrumentation and accelerator components for the EIC.

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307(dollars in thousands)
FY 2021 Request vsFY 2020 Enacted-11,351-16,366

FY 2021 Congressional Budget Justification

Low Energy Nuclear Physics
The Request provides support for operations of two low energy user facilities: the ATLAS facility, which operates for 2,980 hours (about 44
percent optimal), and FRIB operations and research. Funding will support the highest priorities in the NP Program including investments incapital equipment and accelerator improvement; these investments will maintain viability of the ATLAS facility and add multi-user capability toaddress the oversubscription of the facility. The Request sustains operations of the 88-Inch Cyclotron at the Lawrence Berkeley National Lab(LBNL) for a limited in-house nuclear science program and an electronics irradiation capability for DOD and NASA. Funding for core researchgroups supports the highest priorities in the NP program, including research nuclear structure and astrophysics at universities and national
laboratories. Funding supports the ongoing GRETA MIE; implementation of this detector at FRIB 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. Funding iscontinued for the compelling High Rigidity Spectrometer to exploit the fast beam capabilities at FRIB. Funding continues cost-effective
operations of the three experimental University Centers of Excellence: the Texas A&M Cyclotron Facility, the HIGS at the Triangle Universities
Nuclear Laboratory, and the CENPA at the University of Washington.

(dollars in thousands)
FY 2021 Request vsFY 2020 Enacted-16,160

Targeted support continues for neutrinoless double beta decay research to determine whether the neutrino is its own antiparticle; funding iscontinued for a world-leading ton-scale experiment MIE to reach unprecedented sensitivities. Funding in Fundamental Symmetries also
supports efforts such as the Fundamental Neutron Physics Beamline at the SNS and the continued development of its flagship experiment, thenEDM experiment, to study neutron properties and matter/anti-matter asymmetries in the universe. Funding is continued for the MOLLER
MIE, which will measure the parity-violating asymmetry in polarized electron-electron scattering at CEBAF.
Nuclear Theory
Funding for Nuclear Theory is targeted to high priority activities, including theory research efforts at laboratories and universities, the U.S.
Nuclear Data Program, specialized Lattice Quantum Chromodynamics (LQCD) computing hardware at TJNAF, and participation in the Science
Discovery through Advanced Computing (SciDAC) program. The Request increases investments in QIS and quantum computing (QC), including
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. The Request initiates
support for NP-related activities in AI/ML of relevance to nuclear science research, accelerator facility operations and automated machine
operations.

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Isotope Development and Production for Research and Applications
Operations funding increases to support mission readiness at the expanding suite of isotope production and processing sites to meet U.S.
demand for isotopes in short supply. Increased funding supports the production and processing capability for Actinium-225 and otherpromising cancer therapeutic isotopes for clinical trials and applications. The Request increases support for the FRIB Isotope Harvesting projectat MSU that will add isotope harvesting capabilities to FRIB. The Request provides additional funding to increase isotope availability andproduction capabilities, including Helium-3 for cryogenics, Lithium (Li)-7 for reactor operations, infrastructure investments to increase
processing capabilities of radioisotopes, and the development of new enrichment capabilities for stable and radio-isotopes. ESIPP operates to
produce research quantities of enriched stable isotopes; efforts to develop production capabilities for isotopes of interest to next generation
quantum information systems continues. The Request increases university and laboratory research in new isotope production techniques,particularly the development of novel isotopes for cancer therapy. Research in support of the DOE Isotope Initiative will enhance corecompetencies in the development and operation of a broad array of isotope enrichment technologies, critical for research and applications.
The Request supports university operations for a network of university accelerators and reactors for cost-effective, regional production ofshort-lived isotopes for research and medical applications; this includes the University of Washington cyclotron and University of Missouri
Research Reactor.

(dollars in thousands)
FY 2021 Request vsFY 2020 Enacted+16,500

Construction
Construction funding decreases according to the baselined profile for the Facility for Rare Isotope Beams. Engineering effort and long-leadprocurements continue on the new U.S. SIPRC to expand the Nation’s capabilities for enriched stable isotopes. The Request includes funding
for the EIC to continue Project Engineering and Design.

-34,700

Total, Nuclear Physics-59,673

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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 and/or
technical expertise through the SciDAC projects and Lattice QCD research to determine the properties of as-yet unobserved
exotic particles predicted by the theory of QCD, advance progress towards a model of nuclear structure with predictive
capability, and dramatically improve modeling of neutrino interactions during core collapse supernovae. The U.S. Nuclear
Data Program provides evaluated cross-section and decay data relevant to a broad suite of Federal missions and topics suchas reactor design (e.g., of interest to the NE and Fusion Energy Sciences (FES) programs), materials under extreme
conditions (of interest to the BES and FES programs), and nuclear forensics (NNSA and the Federal Bureau of Investigations(FBI)). NP leads an Interagency working group including NNSA, Department of Homeland Security (DHS), NE, the DOE IP andother Federal Agencies to coordinate targeted experimental efforts on opportunistic measurements to address serious gaps
and uncertainties in existing nuclear data archives. NP research develops technological advances relevant to thedevelopment of advanced fuel cycles for next generation nuclear reactors (NE); advanced cost-effective accelerator
technology and particle detection techniques for medical diagnostics and treatment (National Institutes of Health (NIH));
and research in developing neutron, gamma, and particle beam sources with applications in cargo screening (NNSA, DHS,
and the FBI).
R&D coordination and integration are hallmarks of the NP Isotope Development and Production for Research andApplications subprogram (DOE IP), which produces commercial and research isotopes in short supply that are critical forbasic research and applications. It also supports research on the development of new or improved production andseparation techniques for stable and radioactive isotopes. NP continues to align the Federal, industrial, and researchstakeholders of the DOE IP and has strong communication between the various communities. To ascertain current andfuture demands of the research and applied communities, NP organizes working groups, workshops, symposia, anddiscussions with Federal agencies and community and industrial stakeholders on a continuous basis. It also works
collaboratively with other DOE Offices (NNSA, Intelligence and Counterintelligence (IN), Environmental Management (EM),and NE) to help ensure adequate supplies of isotopes needed for their missions, such as Li-7, which is used by nuclear
power plants as a coolant reagent. The DOE IP conducts biennial Federal workshops to identify isotope demand and supply
across a broad range of Federal agencies (including NIH, NASA, FBI, DOD, DHS, Department of Transportation, NSF, theNational Institute of Standards and Technology, Office of the Director of National Intelligence, Department of State, andother DOE offices) to ensure that isotopes are available for the federal complex to accomplish its missions.
Program Accomplishments
First beam from the world’s highest energy continuous-wave hadron linear accelerator
In March 2019, FRIB became the world’s highest energy continuous-wave (non-pulsed beam)hadron linear accelerator
following the successful demonstration of an accelerated beam of Argon ions up to 20.3 million electron-volts per nucleon(MeV/u) with 100 percent transmission and no detectable beam losses. The use of superconducting technology enables
FRIB operation in continuous-wave mode in contrast to normal conducting accelerating structures that operate in pulsedbeam mode. FRIB has 100 superconducting radiofrequency cavities capable of a total accelerating voltage of 166 megavolts(MV) for any ion species. Existing heavy-ion superconducting linear accelerators are only capable of providing 100 MV total
voltage for acceleration of hadron beams in continuous-wave mode. FRIB construction will be completed in 2022, at which
point the number of isotopes available for nuclear structure and nuclear astrophysics research will more than double,
including neutron –rich isotopes of great interest for understanding the synthesis of heavy elements (e.g. gold, platinum,etc.) in the cosmos.
New evidence of a ‘super-allowed’ alpha-decay
For the first time, researchers at the ATLAS facility located at ANL observed alpha (helium nucleus) emission in a relatively
heavy ‘self-conjugate’ nucleus. Self-conjugate nuclei have the same number of protons and neutrons. They are particularlyinteresting since their characteristics can yield important insights for understanding nuclear structure and advancing
theoretical models. Theoretical predictions suggest that self-conjugate nuclei might pre-form alpha particles inside themprior to their radioactive decay. The rate of alpha emission observed would then be faster than normal, appearing toevidence a so-called ‘super-allowed’ decay. New results searching for super-allowed decay rates on a number of nuclei thatdecay via alpha emission suggest, for example, that 108Xenon (Xe) and 104Tellurium (Te) may be thought of as a 100Tin (Sn)Science/Nuclear Physics

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FY 2021 Congressional Budget Justificationcore nucleus coupled to one or two alpha particles, which are kept inside the nucleus by electromagnetic effects. This
picture is a dramatic departure from previous models advancing understanding of how pre-formed clusters can exist in the
structure of heavy nuclei.
Groundbreaking Advances in Accelerator Technology
Since its initial commissioning, RHIC has consistently exceeded performance expectations and provided scientificdiscoveries and technological advances unattainable at any other facility in the world. Research at RHIC often requires highrates of collisions between heavy nuclei fully stripped of their electron cloud, known as heavy ions. Achieving a highluminosity (rate of collisions) can be challenging due to the tendency of the heavy ion bunches in the beams to “blow up” orexpand through intra-beam scattering. A “first ever” achievement recently accomplished at RHIC was the successful
demonstration of bunched-beam electron cooling. The project, known as LEReC for Low-Energy RHIC electron Cooling,
successfully demonstrated that “bunched” beams of electrons could be successfully matched using radio frequency (RF)technology to bunched beams of ions in the RHIC collider, allowing the electrons to dissipate unwanted motion of the ions,“cooling” the ion bunches in order to prevent their physical expansion with a corresponding loss in luminosity. The
successful demonstration of bunched-beam electron cooling is a crucial advance necessary to enable the high-quality
hadron beams required by future accelerators, including the planned EIC.
Fifty-year-old enigma solved
Beta decay, the process by which a nucleus converts one of its neutrons into a proton, accompanied by the emission of anelectron, is largely responsible for synthesizing the heaviest elements in the cosmos during cataclysmic events like neutronstar mergers. The details of this process are predictable in nuclear theory, so deviations from this behavior can provide anessential tool in searches for new physics beyond our present understanding. For over 50 years however, use of aphenomenological factor has been necessary to bring theoretical beta-decay calculations into agreement with experimental
observations. Recently, state-of-the-art computations of beta decay in light and medium mass nuclei, as well as in theheavy nucleus 100Sn were carried out by nuclear theorists at Oak Ridge National Laboratory (ORNL) and their international
collaborators. These calculations, enabled in part by leadership class computing capabilities, included the effects of strong
correlations in the nucleus and the coupling felt by two-nucleon pairs due to the weak force of nature, as well as thecoupling of the weak force to two nucleons. The resulting calculations showed excellent agreement between theory andexperiment, with no need for a phenomenological factor. This groundbreaking advance will be particularly important in
future searches for neutrino-less double beta decay to determine whether the neutrino is its own anti-particle.
Jets at the planned Electron-Ion Collider
As evidenced at RHIC, high energy jets, appearing as collimated sprays of particles, are powerful tools for exploring theproperties of the hot, dense matter created in head-on collisions of nuclei traveling nearly the speed of light. Theoretical
nuclear physicists at Lawrence Berkeley National Laboratory recently demonstrated that jets can also be used to study theproperties of “cold” nuclear matter under less extreme conditions. Specifically, sensitive “signatures” were developed to
guide future experimental research by developing challenging jet reconstruction algorithms for use at the planned EIC, anext-generation, high-energy, high-luminosity particle accelerator with polarized beams for exploring the structure of
nucleons and nuclei in unprecedented detail. The proposed measurements, electron-jet correlation studies, will play acentral role in uncovering how the “macroscopic” properties of the proton (e.g. mass, spin) are dynamically generated byinteractions of the quarks and gluons it contains.
Availability of a heavy element named for the father of nuclear physics enables scientific advanceFor the first time in over sixteen years, Fermium was produced in the U.S. Fermium, named after Enrico Fermi who built thefirst nuclear reactor, is a heavy element in the periodic table. It is extraordinarily challenging to make in significant
quantities, and can only be made in the U.S. in the High Flux Isotope Reactor (HFIR) at ORNL. In FY 2019, the DOE IP
produced Fermium for the first time since 2003, enabling compelling heavy element chemistry research supported by BES.
Fermium is of keen interest in heavy element chemistry research because it has a sufficiently massive nucleus that causes
its electrons to behave in ways that depart from well-tested atomic theory. The research attributes this anomalous
behavior to the possibility that for such heavy nuclei, the inner atomic electrons must travel so close to the speed of lightthat relativistic effects become significant. Fermium is now the heaviest element ever studied in the effort to further
develop this aspect of atomic theory which promises groundbreaking new insights.
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Proton Radius Puzzle
The charge radius of the proton, one of the most important building blocks of nature, is an urgent, unanswered puzzle ofmodern physics. By precisely measuring the energy levels of electrons orbiting a proton, its charge radius can be measured
to an accuracy of about one percent. However, a new measurement in which a muon orbits the proton instead of anelectron found the proton charge radius to be about four percent smaller. The discrepancy has led to speculation that thedifferent between the two measurements might be due to physics beyond our present understanding. Recently, a precisionexperiment designed to measure the proton charge radius (the Proton Radius [PRaD] experiment) by a completely different
technique was completed at TJNAF. PRaD scatters electrons off of protons contained in hydrogen gas, and improves uponprevious electron-proton scattering experiments by catching electrons that scatter away at very small forward angles. This
helps to accurately determine the protons’ size by probing the outermost edges of its charge distribution. New results from
PRaD bolster the case that the proton charge radius is smaller than previously thought, consistent with the measurements
made using muons.
Routine production achieved for actinium (Ac)-225 to support clinical trials of targeted alpha therapy
A tri-lab effort with scientists from LANL, BNL and ORNL are routinely producing 100 milliCuries (mCi) batches of Ac-225 in a
reliable and reproducible way. This milestone enabled the DOE IP to enter the market for Ac-225 and support a suite ofclinical trials and medical research focused on targeted alpha therapy for metastasized cancers. In the past, targeted cancer
therapy research using the promising alpha emitter Ac-225 had been limited by its availability. Leveraging the capabilities of
LANL, BNL and ORNL, a new production route for Ac-225 was developed, utilizing the proton beams available at LANL and
BNL and the processing capabilities at ORNL. The DOE IP is now scaling up production capability to be able to meet theneeds of the growing number of clinical trials and patient treatment.

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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 thequark and 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 provides
support for spin physics research at RHIC, which is 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 andgluon structure of protons and neutrons from measurements of how the electrons scatter when they collide with nuclei.
CEBAF also uses highly polarized electrons to make very challenging precision measurements to search for processes that
violate a fundamental symmetry of nature, called parity, in order to search for physics beyond what is currently describedby the Standard Model of particle physics. 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 secures continued U.S. world
leadership in this area of physics. The upgrade construction project was successfully completed on cost and schedule in2017, and the highly anticipated science program was launched in FY 2018. Some of the science goals of the 12 GeV
experimental program include the search for exotic new quark anti-quark particles to advance our understanding of thestrong force, evidence of new physics from sensitive searches for violations of nature’s fundamental symmetries, and a
microscopic understanding in the 12 GeV energy regime of the internal structure of the proton, including origin of its spin,and how this structure is modified when the proton is inside a nucleus. Next generation instrumentation to fully exploit thecapabilities of the 12 GeV CEBAF are implemented in FY 2021. Research at RHIC using colliding beams of spin-polarized
protons, a capability unique to RHIC, is providing information on 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. Researchsupport for CEBAF and RHIC includes laboratory and university scientific and technical staff needed to conduct high priority
data analysis to extract scientific results. Complementary special focus experiments that require different capabilities canbe conducted at the High Intensity Gamma-Ray Source (HIGS) at the Triangle Universities Nuclear Laboratory (TUNL) – an
NP University Center of Excellence, FNAL, European laboratories, and elsewhere. The Research and Engineering Center ofthe Massachusetts Institute of Technology has specialized infrastructure used to develop and fabricate advanced
instrumentation and accelerator equipment for the nuclear physics community.
A high scientific priority for this community is understanding how the fundamental properties of the proton such as its massand spin are dynamically generated by the extraordinarily strong color fields resulting from dense systems of gluons in
nucleons and nuclei. The answer to this question is key to addressing an outstanding grand challenge problem of modern
physics: how QCD, the theory of the strong force, which explains all strongly interacting matter in terms of points-likequarks interacting via the exchange of gluons, acts in detail to generate the “macroscopic” properties of protons andneutrons. The planned facility to address this science is the EIC, to be located at BNL; the DOE approved CD-0, Approve
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Mission Need, in December 2019. Scientists and accelerator physicists from the Medium Energy sub-program are strongly
engaged and play significant leadership roles in the development of the scientific agenda and implementation of the EIC.
Transformative accelerator R&D efforts are pursued within the Strategic Accelerator Technology Initiative, including next
generation electron ion source developments and advanced approaches in SRF technology. Accelerator scientist also
pursue accelerator science aimed at improving the operations of existing facilities and developing next-generation facilities
for nuclear physics.
The SBIR/STTR 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. The “Other” category includes funding to meet other obligations, such as the annual
Lawrence Awards and Fermi Awards.
Research
The subprogram supports targeted, high priority research at universities, TJNAF, BNL, ANL, the Los Alamos National
Laboratory (LANL), and LBNL and carries out high priority experiments at CEBAF, RHIC, and elsewhere. Scientists conduct
targeted research to advance knowledge and to identify and develop the science opportunities and goals for next
generation instrumentation and facilities, primarily for CEBAF and the EIC. Scientists participate in the development andimplementation of targeted advanced instrumentation, including state-of-the-art detectors for experiments that may also
have application in areas such as medical imaging instrumentation and homeland security. TJNAF staff focus on the 12 GeV
experimental program, including implementation of select experiments, acquisition of data, and data analysis at select
CEBAF experimental halls (Halls A, B, C, and D). Staff also participate in the RHIC spin program, and play critical roles in
instrumentation development for the EIC. Researchers participate in the conceptual design of the EIC and development ofscientific and experimental plans for the proposed machine. The subprogram also supports a visiting scientist program at
TJNAF and bridge positions with regional universities as a cost-effective approach to augmenting scientific expertise at thelaboratory and boosting research experience opportunities.
ANL scientists play a leadership role in new experiments in the 12 GeV scientific program, and are engaged incommissioning experiments, instrumentation development, and data taking. ANL scientists are engaged in planning for theconstruction of the EIC and its scientific instrumentation. Scientists continue precise measurements of the electric dipole
moments of laser-trapped atoms as part of an intensive world-wide effort to set limits on QCD parameters and contributeto 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 TJNAF
are developing high current, polarized electron sources for next generation NP facilities.
Accelerator R&D research proposals for accelerator R&D from universities and laboratories specific to improving operationsof 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. FY 2021 is the first year of funding for theStrategic Accelerator Technology Initiative, which builds on the unique core competencies of NP accelerator scientists todevelop transformative technology for the Nation, including next-generation accelerator ion sources, innovative and costeffective cryogenic systems, high gradient SRF cavities, and advancements in hadron beam cooling.
Operations
The subprogram provides Accelerator Operations funding for a team of accelerator physicists at TJNAF that operate CEBAF,
as well as for power costs of operations and maintenance of the 12 GeV CEBAF. The Request supports high priority
accelerator improvements aimed at addressing CEBAF reliability, and high priority capital equipment for research andfacility instrumentation. Activities to increase the reliability and energy gradient of the machine remain a priority. Targeted
efforts in developing advances in SRF technology relevant to improving operations of the existing machine continue. The
core competency in SRF technology plays a crucial role in many DOE projects and facilities outside of nuclear physics (suchas the BES Linac Coherent Light Source (LCLS II) project), and has broad applications in medicine and homeland security. For
example, SRF R&D at TJNAF has led to improved land-mine detection techniques and carbon nanotube and nano-structure
manufacturing techniques for constructing super-lightweight composites such as aircraft fuselages. TJNAF also has a corecompetency in cryogenics and has developed award-winning techniques that have led to more cost-effective operations at
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TJNAF and several other SC facilities; their cryogenics expertise is being applied to the FRIB project and LCLS-II. TJNAF
accelerator physicists help train the next generation of accelerator physicists, enabled in part by a close partnership withnearby universities and other institutions with accelerator physics expertise. Accelerator scientists play critical roles in thedesign development of the EIC. The subprogram provides Experimental 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 andcomplex CEBAF experiments. Simultaneous continuous wave (cw) polarized beam delivery to four experimental halls is oneof the world-wide unique features of the CEBAF accelerator.

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Nuclear Physics
Medium Energy Nuclear Physics
Activities and Explanation of Changes(dollars in thousands)
Explanation of Changes
FY 2021 Request vs FY 2020 Enacted
Medium Energy Nuclear Physics$187,589
176,238-$11,351
Research$41,154$36,000-$5,154
Funding supports key scientists participating in the
The Request will support scientists, resident at TJNAF, Funding will support core scientific workforce at
highest priority experiments at the four experimental RHIC, and outside universities and national
universities and national laboratories conducting
halls with 12 GeV CEBAF. This includes support forlaboratories, for participation in high priority
research related to CEBAF, RHIC, EIC and othercritical scientific workforce resident at TJNAF andexperiments to acquire data; develop, implement,
facilities. The Request funding will initiate theoutside universities and national laboratories thatand maintain scientific instrumentation; analyze data Strategic Accelerator Technology Initiative.
plan the scientific program; develop, implement andand publish experimental results; and train students
maintain scientific instrumentation; participate in the in nuclear science. The Request will continue targeted
experimental runs to acquire data; analyze data andanalysis of RHIC polarized proton beam data to learn
publish experimental results; and train students inmore about the origin of the proton’s spin. The
nuclear science. Funding also continues targeted
Request will support the development of concepts foranalysis of RHIC polarized proton beam data to learn detectors to be used at the EIC and further develop
more about the origin of the proton’s spin andthe scientific program. The Request will also enablefocused support for high priority accelerator R&D, as researchers to pursue accelerator science pertinent towell as funding for the development of scientificimproving current operations of NP facilities including
instrumentation and plans for the EIC.
applications of artificial intelligence, and it will
provide initial support for the Strategic Accelerator
Technology Initiative.
FY 2020 Enacted

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(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Operations$122,110
Funding for operations of the newly upgraded CEBAF
facility supports the continuation of high priority
experiments in the 12 GeV science program. Funding
supports 2,560 operational hours for research, tuning,and beam studies. The number of hours is limited byinstallation of cryoplant infrastructure. Funding also
provides support for CEBAF operations, including
mission readiness of the accelerator, all power andconsumables of the site, cryogenics plant, highpriority facility and instrumentation capital
equipment, high priority accelerator improvement
projects, and the key computing capabilities for datataking and analysis. Support is provided to maintaincritical core competencies and essential accelerator
scientists, engineers, and technicians, and RHIC
operations staff. The End Station Refrigerator GPP
project is fully funded. Funding supports accelerator
R&D.

$118,000
The Request for operations of the newly upgraded
CEBAF facility will support the continuation of thehigh priority experiments in the 12 GeV science
program. Funding will provide 3,010 operational
hours for research, tuning, and beam studies. The
Request supports CEBAF operations, including mission
readiness of the accelerator, all power andconsumables of the site, cryogenics plant, activities toreduce Helium consumption, high priority facility andinstrumentation capital equipment, high priority
accelerator improvement and GPP projects, and the
key computing capabilities for data taking andanalysis. The Request also will support maintenanceof critical core competencies and accelerator
scientists, engineers, and technicians, and operations
staff. The Request will support targeted facility capital
equipment and accelerator improvements tomodernize SRF equipment. Lab GPP investments will
advance the most urgent components of the Campus
Strategy for infrastructure. The Request will also
support the participation of accelerator scientists inaccelerator R&D activities, including those for the EIC.

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted-$4,110
Funding will support increased CEBAF run time by 450
hours to approximately 68 percent of optimal
operations. Within the overall funding level, GPP
funding will decrease as the End Station Refrigerator
project was fully funded in FY 2020.

Other Research$3,600$2,800-$800
Funding provides for DOE and SC requirements.
The Request will meet DOE and SC requirements.
Funding will meet DOE and Office of Science central IT
and working capital requirements.
SBIR/STTR$20,725$19,438-$1,287
In FY 2020, SBIR/STTR funding is 3.65 percent of non- In FY 2021, SBIR/STTR funding will be at 3.65 percent The SBIR/STTR funding will be consistent with the NP
capital funding.
of non-capital funding.
total budget.

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318

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 bitsof normal 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 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. RHIC 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 full energy and a numberof other beam settings. This flexibility and performance enable a groundbreaking science program to answer outstanding
questions about this exotic and fundamental form of matter and whether a critical point exists in the phase diagram ofnuclear matter. Scientists participate in instrumentation upgrades, such as enhancements to the capabilities of the Solenoid
Tracker at RHIC (STAR) detector, and an upgrade of the PHENIX detector to sPHENIX with funds previously used to operate
the PHENIX detector. Accelerator physicists conduct accelerator R&D at RHIC in critical areas that include various types ofcooling of high-energy hadron beams, high intensity polarized electron sources, and high-energy, high-current energy
recovery linear accelerators. The RHIC facility is typically used by about 1,000 DOE, NSF, and foreign agency-supported
researchers annually.
A compelling, persistent, high scientific priority for the U.S. nuclear science community has been understanding how thefundamental properties of the proton such as its mass and spin are dynamically generated by the extraordinarily strong
color fields resulting from dense systems of gluons in nucleons and nuclei. The answer to this question is key to addressing
an outstanding grand challenge problem of modern physics: how Quantum Chromodynamics, the theory of the strong
force, which explains all strongly interacting matter in terms of points-like quarks interacting via the exchange of gluons,acts in detail to generate the “macroscopic” properties of protons and neutrons. In 2018, a National Academies study gavea strong endorsement to a U.S.-based EIC, and recognized its critical role in maintaining U.S. leadership in nuclear scienceand accelerator R&Da. In December 2019, DOE approved CD-0, Approve Mission Need, for the EIC with a Rough Order ofMagnitude TPC range of $1.6 billion to $4.2 billion. In January 2020, BNL was selected as the location for the EIC resulting ina revised cost range of $1.6 billion to $2.6 billion. Scientists and accelerator physicists from the Medium Energy subprogram are strongly engaged and will play significant leadership roles in the development of the scientific agenda andimplementation of the EIC.
The SC Strategic Accelerator Technology initiative leverages accelerator science core competencies within the NP programand supports transformative technology needed for the next generation of SC facilities. Core competencies exist at NPa

Report: https://www.nap.edu/read/25171/chapter/1

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facilities in the areas of beam and collider physics, hadron beam cooling, high field superconducting magnets,
superconducting radio frequency (SRF) technologies, ion source technologies, and AI/ML applications in operation of user
facilities. This support is essential for maintaining strategic accelerator technology core competencies at SC-supported
laboratories. Accelerator scientists also pursue accelerator science aimed at improving the operations of existing facilities
and developing next-generation facilities for nuclear physics.
Collaboration in the heavy ion program at the LHC at CERN provides U.S. researchers the opportunity to investigate statesof matter under substantially different initial conditions than those provided by RHIC, providing complementary
information regarding the matter that existed during the infancy of the universe. Data collected by the ALICE, CMS, andATLAS detectors confirm that the quark-gluon plasma discovered at RHIC is also seen at the higher energy, and comparisonsof results from LHC to those from RHIC have led to important new insights. U.S. researchers have been making importantscientific contributions to the emerging results from all three LHC experiments. In ALICE and CMS, U.S. researchers havebeen participating in developing and upgrading instrumentation for future heavy ion campaigns at the LHC.
Research
This activity supports targeted, high priority research at universities and at BNL, LBNL, LANL, and ORNLORNL to participate
in essential efforts at RHIC and the LHC. U.S. commitments to the LHC “common funds”, which are fees based on the levelof U.S. scientist participation in the LHC program and the use of LHC computing capabilities, are deferred to FY 2022.
Supported university and national laboratory research groups employ personnel and graduate students for taking data
within the RHIC heavy ion program; analyzing data; publishing results; conducting R&D of next-generation detectors;
developing and implementing scientific equipment; and planning for future experiments. BNL, LBNL, and ORNL provide
computing infrastructure for petabyte-scale data analysis and state-of-the-art facilities for detector and instrument
development. Researchers participate in the conceptual design of the EIC and its scientific instrumentation, anddevelopment of experimental plans for the proposed facility.
Research proposals for accelerator R&D from universities and laboratories specific to improving operations of current NP
facilities or developing new NP facilities are evaluated by peer review through a single competition for funding that isincluded under the Heavy Ion and Medium Energy subprograms. FY 2021 will be the first year of funding for the Strategic
Accelerator Technology Initiative, which will exploit the unique core competencies of NP accelerator scientists to developtransformative technology for the nation, including next-generation accelerator ion sources, innovative and cost-effective
cryogenic systems, high gradient SRF cavities, and advancements in hadron beam cooling.
Operations
The Heavy Ion activity supports the operations and power costs of the RHIC accelerator complex at BNL, which includes theElectron Beam Ion Source (EBIS), Booster, and the Alternating Gradient Synchrotron (AGS) accelerators that together serveas the injector for RHIC. Staff provides key experimental support to the facility, including the development, implementation,and commissioning of scientific equipment associated with the RHIC program. The FY 2021 Request supports high priority
capital equipment and accelerator improvement projects at RHIC to promote enhanced and robust operations. In FY 2021,
the only detector operating at RHIC will be STAR; PHENIX operations funding is redirected to continue the sPHENIX MIE.
sPHENIX will enable scientists to study how the near-perfect Quark Gluon Plasma liquid, which has the lowest shear
viscosity ever observed, arises from the strongly interacting quarks and gluons from which it is formed. The Low Energy
RHIC electron Cooling (LEReC) Accelerator Improvement Project was commissioned in FY 2019 and has demonstrated
cooling of low energy heavy ion beams with bunched electron beam; this achievement is projected to increase the RHIC
luminosity by up to another factor of ten at the lowest beam energies.
RHIC operations have led to advances in accelerator physics which have, in turn improved RHIC performance and NP
capabilities. These core competencies provide collateral benefits to applications in industry, medicine, homeland security,and other scientific areas outside of NP. RHIC accelerator physicists are providing leadership and expertise to reduce
technical risk of relevance to a possible next-generation collider, including beam cooling techniques and energy recovery
linacs. Accelerator physicists also play an important role in the training of next generation accelerator physicists, throughsupport of graduate students and post-doctoral associates.
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RHIC operations allow for parallel and cost-effective operations of the Brookhaven Linac Isotope Producer Facility (BLIP),
supported by the DOE Isotope Program for the production of research and commercial isotopes critically needed by the
Nation, and of the NASA Space Radiation Laboratory Program for the study of space radiation effects applicable to humanspace flight as well as electronics. Support for the mission readiness of BLIP is included in the Isotope subprogram, whilecollected revenues from customers support the production costs of the isotopes.
Other Project Costs
Scientists and accelerator physicists from both the Medium Energy and Heavy Ion subprograms are actively engaged in thedevelopment of the conceptual design of the EIC and its scientific instrumentation for the proposed facility. Activities
advance the conduct of an alternative analysis and preparations for CD-1 approval. Consideration to integration oflaboratory core competencies and participation from across the national laboratory complex and universities continues.
Accelerator and detector R&D focus on reduction of remaining technical risks and value engineering.

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Nuclear Physics
Heavy Ion Nuclear Physics
Activities and Explanation of Changes(dollars in thousands)
FY 2020 Enacted
Heavy Ion Nuclear Physics$244,312
Research$37,661
Researchers participate in high priority analysis andcollection of data from RHIC to explore newphenomena in quark-gluon plasma formation. Funding
provides targeted support for scientific workforce
resident at RHIC and outside universities and national
laboratories to develop, fabricate, implement andmaintain scientific instrumentation; participate inselect experimental runs to acquire data; analyze dataand publish experimental results; develop scientificplans and instrumentation for the proposed EIC; andtrain students in nuclear science. Funding supports
scientists to implement the sPHENIX MIE for the studyof high rate particle jets. U.S. scientists participate in
the highest priority heavy ion efforts at theinternational ALICE, CMS, and ATLAS LHC experiments.
In addition, funding supports high priority accelerator
R&D relevant to NP programmatic needs and EIC
Conceptual Design.

Science/Nuclear Physics

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted$227,946-$16,366$31,518-$6,143
The Request will support scientists resident at RHIC
Funding will support the core scientific workforce atand outside universities and national laboratories touniversities and national laboratories to conduct
develop, fabricate, implement and maintain scientific research at RHIC, the LHC, and for EIC detector
instrumentation; participate in select experimental
development. U.S. contributions to the LHC “common
runs to acquire data; analyze data and publish
funds,” fees to support individual U.S. scientist
experimental results; develop scientific plans andparticipation in the LHC program and the use of LHC
instrumentation for the proposed EIC; and train
computing capabilities, are deferred until FY 2022. The
students in nuclear science. The Request will also
first year of funding for the Strategic Accelerator
enable scientists to continue to fabricate the sPHENIX Technology Initiative will be supported within the NP
MIE for the study of high rate particle jets. The
Medium Energy and Heavy Ion subprograms.
Request will also support modest and cost effective
upgrades at STAR in preparation for a polarized
proton run in 2022. U.S. scientists will participate in
the highest priority heavy ion efforts at theinternational ALICE, CMS, and ATLAS LHC
experiments, and the request will support upgrades atthese facilities. The Request will support targeted
accelerator R&D relevant to NP programmatic needs.
The FY 2021 Request also will support the new SC
Strategic Accelerator Technology Initiative.

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(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Operations$196,651
RHIC operates for 3,260 hours (88 percent of
optimum) and focuses on the beam energy scan,
including the newly implemented Low Energy RHIC
Electron Cooling to increase luminosity of low energy
beams. Funding supports the RHIC accelerator
complex, including mission readiness anddevelopment of the experimental halls andinstrumentation, mission readiness of the suite ofaccelerators, all power and consumables of the site,
cryogenics plant, high priority facility andinstrumentation capital equipment, high priority
accelerator improvement projects, and the key
computing capabilities for data taking and analysis.
Support is provided to maintain critical corecompetencies and essential accelerator scientists,
engineers, and technicians, and RHIC operations staff.
The sPHENIX MIE, which will enable the study of highrate particle jets, receives operations funding inaccordance with the planned profile. Accelerator
scientists participate in high priority accelerator R&D.

$194,928
The Request will support RHIC operations for 2,580
hours (100 percent optimal). Operating hours of 2,580
are lower than the typical hours RHIC can operate,
however, the operating hours are capped in FY 2021
due to planned installation requirements. ). The
Request also will support the RHIC accelerator
complex, including mission readiness anddevelopment of the experimental halls andinstrumentation, mission readiness of the suite ofaccelerators, all power and consumables of the site,
cryogenics plant, activities to reduce helium
consumption, high priority facility and instrumentation
capital equipment, high priority accelerator
improvement projects, and computing capabilities fordata taking and analysis. Support will maintain criticalcore competencies and accelerator scientists,
engineers, and technicians, for RHIC operations and
EIC design. Limited operations funding will be
redirected to the sPHENIX MIE, which will study highrate particle jets. Accelerator scientists will participate
in high priority accelerator R&D.

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted-$1,723
Funding supports maximum operations of RHIC, which
require reduced operating hours (2,580 hours) toaccommodate installation requirements at the facility.
Funding continues for the sPHENIX MIE.

Other Project Costs$10,000$1,500-$8,500
Funding provides the first year of Other Project Costs
The Request will provide for OPC for the EIC, aimed at Funding will continue for OPC funding for EIC.
(OPC) for the EIC, aimed at research to reduce
research to reduce technical risk and the development
technical risk and the development of a conceptualof a conceptual design.
design. While requested in the Theory subprogram in
FY 2020, with a site selection of BNL announced in
January 2020, the funding is now included in the
Heavy Ion Program.

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324

Nuclear Physics
Low Energy Nuclear Physics
Description
The Low Energy Nuclear Physics subprogram includes two scientific subprograms that focus on using nuclear interactions
and decays to answer overarching questions related to 1) Nuclear Structure and Nuclear Astrophysics, and 2) Fundamental
Symmetries.
Nuclear Structure and Nuclear Astrophysics
Questions associated with Nuclear Structure 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 are the origins of the elements in the cosmos?
What are the nuclear reactions that drive stars and stellar explosions?

The Nuclear Structure and Nuclear Astrophysics subprogram addresses these questions through support of research todevelop a comprehensive description of nuclei using beams of stable and rare isotopes to yield new insights and reveal new
nuclear phenomena. The subprogram also measures the cross sections of the nuclear reactions that power stars and lead tospectacular stellar explosions, which are responsible for the synthesis of the elements.
The ATLAS scientific user facility at ANL is the DOE-supported facility providing research opportunities in Nuclear Structure
and Nuclear Astrophysics, serving approximately 350 domestic and international scientists per year. 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 (radioactive) nuclei to study nuclear properties under extreme conditions and reactions ofinterest to nuclear astrophysics, using the Californium Rare Ion Breeder Upgrade (CARIBU) ion source. Technologicallycutting-edge and unique instrumentation are a hallmark of the facility, and ATLAS continues to be significantly
oversubscribed by the user community. ATLAS is also an essential training ground for scientists and students. The facility
nurtures an expert core competency in accelerator science with superconducting radio frequency cavities for heavy ionsthat are relevant to next generation high-performance proton and heavy ion linacs. This competency is important to the SC
mission and international stable and radioactive ion beam facilities. ATLAS stewards a target development laboratory, theNational Center for Accelerator Target Science, a national asset for the low energy community, including FRIB.
FRIB, under construction at Michigan State University (MSU), will advance understanding of rare nuclear isotopes and theevolution 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 Gamma-Ray Energy Tracking Array (GRETA) MIE is one of the
primary tools that the nuclear science community has identified necessary to leverage the capabilities of FRIB. GRETA’s
unprecedented combination of full coverage with high efficiency, and excellent energy and position resolution, will extend
the reach of FRIB’s ability to study the nuclear landscape, provide new opportunities to discover and characterize key nuclei
for electric dipole moment searches, and open new areas of study in nuclear astrophysics. The High Rigidity Spectrometer(HRS) will specifically exploit FRIB’s fast beam capabilities and enabling the most sensitive experiments across the entire
chart of nuclei with the most neutron-rich nuclei available.
Scientists participate in the international effort to discover and characterize new “super heavy” elements in the periodic
table. U.S. researchers played a prominent role in the recent discovery of Elements 115, 117, and 118, and Element 117 wasnamed Tennessine to acknowledge the leadership role of the U.S. in these efforts. Research is ongoing to characterize these
new elements and also to discover Elements 119 and 120. All of these past and future experiments were/are made viableby the provision of rare isotopes produced at HFIR through the DOE Isotope Program. 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 propertiesof newly discovered elements on the periodic table, as well as conducting independent searches for new elements. DOD
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and NASA exploit materials irradiation capabilities at the 88 Inch to develop radiation-resistant electronics for their
missions.
There are three university Centers of Excellence within the Low Energy subprogram, each with specific goals and unique
physics programs: the Cyclotron Institute at Texas A&M University (TAMU), the accelerator facility at the TUNL at Duke
University, and unique expertise and capabilities for instrumentation development at the Center for Experimental Nuclear
Physics and Astrophysics (CENPA) at the University of Washington.
Fundamental Symmetries
Questions related to Fundamental Symmetries of nature addressed in low energy nuclear physics experiments include:What is the nature of 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 decay (NLDBD) 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 precise measurements in electron scattering and the decay of nuclei indicate forces present at the dawn of theuniverse that disappeared from view as the universe evolved?

The Fundamental Symmetries portfolio addresses these questions through precision studies using neutron beams anddecays of nuclei, including beta decay, double-beta decay, and NLDBD, and electron beams. U.S. scientists are world leadersin the global research effort aimed at neutrino science and owing to the importance of nuclear beta decay in understanding
neutrino properties, NP is the steward of neutrino mass measurements and NLDBD in SC. Often in partnership with NSF, NP
has invested neutrino experiments both domestically and overseas, playing critical roles in international experiments that
depend on U.S. leadership for their ultimate success (Cryogenic Underground Observatory for Rare Events (CUORE),
KATRIN), and R&D of candidate technologies for next–generation experiments, including germanium (LEGEND), xenon(nEXO) and molybdenum (CUPID). In partnership with NSF, NP participates in the international LEGEND-200 experiment.
The NSAC 2015 LRP recommended “the timely development and deployment of a U.S.-led ton-scale neutrinoless double
beta decay experiment.” NLDBD can only occur if neutrinos are their own anti-particles and such events would haveprofound, game changing consequences for the present understanding of the physical universe. The Ton-Scale NLDBD MIE
is expected to provide unprecedented resolution for the detection of the rare process; the MIE received CD-0, Approval ofMission Need, in November 2018.
Very precise measurements in parity violating electron scattering, the decay of nuclei, and the properties of neutrons
provide sensitivity to new forces and address questions about the matter/anti-matter imbalance rivaling, and evenexceeding, the reach of high energy colliders. The MOLLER MIE will measure the parity-violating asymmetry in electronelectron scattering at CEBAF which is uniquely sensitive to the possible existence of new as yet unforeseen particles.
Evidence for electric dipole moments of the neutron and atoms violate time reversal invariance and would shed light on thematter/anti-matter imbalance in the universe. Beams of cold and ultracold neutrons with the dedicated Fundamental
Neutron Physics Beamline (FNPB) at the SNS are used to study fundamental properties of neutrons, including the flagshipexperiment to measure the electric dipole moment of the neutron.

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Nuclear Structure and Nuclear Astrophysics ResearchThis activity supports high priority research groups at ANL, LBNL, LLNL, and ORNL and at universities. Scientists develop,
fabricate, and use specialized instrumentation at ATLAS, and participate in the acquisition and analysis of data. Scientists
participate in the design and fabrication of instrumentation for FRIB and development of upcoming scientific program.
Funds transition key scientists that used to be supported by NSF at the National Superconducting Cyclotron Laboratory(NSCL) to this DOE portfolio to support the FRIB scientific mission. The Request continues funding for the GRETA MIE andmaintains the HRS project. Scientists participate in research to characterize and discover new super-heavy elements atinternational facilities and the 88 Inch cyclotron. The Request will provide support to the university Centers of Excellence at
TUNL and TAMU for the conduct of nuclear structure and nuclear astrophysics experiments at these niche facilities.
Fundamental Symmetries Research
The activity supports high priority research at BNL, LANL, LBNL, LLNL, ORNL, PNNL, and SLAC, and at universities. R&D for achallenging experiment to measure the electric dipole moment of the neutron, which could shed light on the asymmetry ofmatter versus antimatter in the universe, and other experiments at the SNS FNPB continue. First-generation NLDBD
experiments continue to acquire data, such as the CUORE experiment at Gran Sasso Laboratory in Italy. Conceptual design
efforts continue for an international ton-scale NLDBD MIE, along with targeted R&D. Scientists at TJNAF continue to
implement the MOLLER MIE. Scientists participate in the operations of the KATRIN experiment at the Karlsruhe Institute ofTechnology in Karlsruhe, Germany to provide a measurement of the neutrino mass. University Centers of Excellence at
TUNL, CENPA, and TAMU with unique capabilities are exploited to advance research in Fundamental Symmetries.
Nuclear Structure and Nuclear Astrophysics Operations
The activity supports facility and operations costs associated with ATLAS, FRIB, and the 88-Inch Cyclotron. ATLAS provides
highly reliable and cost-effective stable and selected radioactive beams and specialized instrumentation. Funding provides
support for the operations and power costs of the ATLAS, and targeted support for high priority accelerator and scientificinstrumentation capital equipment, accelerator improvement projects, and experimental support. ATLAS efficiency andcomplexity has been increasing with the addition of the Electron Beam Ion Source (EBIS), the cutting edge CARIBU
radioactive beam system for accelerated radioactive ion beams, the in-flight radioactive ion separator to increase theintensity of radioactive beams, and a gas-filled analyzer.
The ATLAS facility nurtures a core competency in accelerator science with superconducting radio frequency cavities forheavy ions that are relevant to the next generation of high-performance proton and heavy ion linacs. This competency isimportant to the Office of Science mission and international stable and radioactive ion beam facilities. Critical efforts
continue to address facility oversubscription and increase available beam time, with development of the cost-effective
multi-user upgrade Accelerator Improvement Project which will significantly increase the beam hours available forexperiments to the scientific community.
The Request includes funding to support FRIB operations in advance of the first year of operations in FY 2022. The funds
retain the most critical operations staff as accelerator components are completed on the project and direct their efforts
towards the transition to operations, including commissioning, system tests, and developing operational performance ofsystems.
The Request also sustains operations of the 88-Inch Cyclotron for a focused in-house nuclear physics program which
includes characterization and searches for new elements and nuclear data measurements.

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Nuclear Physics
Low Energy Nuclear Physics
Activities and Explanation of Changes(dollars in thousands)
Explanation of Changes
FY 2021 Request vs FY 2020 Enacted
Low Energy Nuclear Physics$126,737$110,577-$16,160
Research$70,998$60,336-$10,662
Funding supports focused university and laboratory
The Request will support high priority university andSupport focuses on high priority efforts and essential
nuclear structure and nuclear astrophysics efforts atlaboratory nuclear structure and nuclear astrophysics workforce at universities and national laboratories.
ATLAS, the world’s premiere stable beam facility, and efforts at ATLAS and development of the FRIB
Funding for the ton-scale NLDBD MIE is increased
development of the FRIB scientific program. As NSCL scientific program. of the Request includes researchslightly. Funding for the GRETA and Moller MIEs arestaff transition to FRIB, funding is provided tosupport for FRIB scientific personnel. The Request will decreased.
transition scientific personnel from NSF to DOE
continue funding for the GRETA and HRS MIEs.
support. Research continues at the unique university- Scientists will participate in the characterization of
based Centers of Excellence at TUNL, CENPA andrecently discovered elements and search for new
TAMU. Scientists participate in first generation NLDBD ones. Research will continue at the university-based
experiments. The ton-scale NLDBD and MOLLER MIEs Centers of Excellence at TUNL, CENPA, and TAMU.
are initiated. Scientists participate in the international
KATRIN. Funding continues for the GRETA MIE. The
High priority research in NLDBD will continue with
HRS MIE for FRIB is initiated.
CUORE, LEGEND-200, and nEXO. The Request willcontinue the ton-scale NLDBD MIE and the MOLLER
MIE. The Request will continue support for U.S.
participation in the operations of the international
KATRIN experiment.
FY 2020 Enacted

Science/Nuclear Physics

FY 2021 Request

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FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted
Operations$55,739
Funding supports operation of ATLAS to address thehigh demand for ATLAS beam time, which continues
to far exceed availability. ATLAS funding at this costeffective facility will support 5,950 hours of beamtime, operations staff, maintenance, and accelerator
improvement projects and capital equipment for thefacility and scientific instrumentation, including an
upgrade to CARIBU. Funding also sustains operationsof the LBNL 88-Inch Cyclotron. Funding provides FRIB
with support for activities and transition staff fromthe construction effort to FRIB operations.

Science/Nuclear Physics

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted$50,241-$5,498
The Request will support operations of ATLAS at 2,980 Funding supports high priorities in the program, offset
hours (44 percent of optimal), and will provide
by reduced operations support for FRIB, ATLAS, andfunding for staff, maintenance, and high priority
the LBNL 88-Inch Cyclotron.
accelerator improvement projects and capital
equipment for the facility and scientificinstrumentation, including the development of amulti-user capability. Funding will sustain operationsof the 88-Inch Cyclotron for high priority experiments
studying newly discovered elements. The Request will
support high priority activities necessary to prepare
for FRIB operations in FY 2022.

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FY 2021 Congressional Budget Justification

330

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. One major theme of theoretical research is the development of an understanding of themechanisms and effects of quark confinement and deconfinement. A quantitative description of these phenomena throughQCD is one of this subprogram’s greatest intellectual challenges. New theoretical and computational tools are also being
developed by the community to describe nuclear many-body phenomena; these approaches will likely also see important
applications in condensed matter physics and in other areas of the physical sciences. Another major research area is nuclear
astrophysics, which includes efforts to understand the origins of the elements and the consequences that neutrino masses
have for nuclear astrophysics.
This subprogram supports the Institute for Nuclear Theory (INT) at the University of Washington. It also supports topicalcollaborations within the university and national laboratory communities to address only the highest priority topics innuclear theory that merit a concentrated theoretical effort.
The U.S. Nuclear Data Program (USNDP) aims to provide current, accurate, and authoritative data to workers in basic andapplied areas of nuclear science and engineering. It addresses this goal primarily through maintaining and providing publicaccess to extensive nuclear physics databases, which summarize and cross-correlate the results of over 100 years of
research on nuclear science. These databases are an important national and international resource, and they currently
serve approximately four and a half million retrievals of nuclear data annually. The USNDP also addresses important gaps innuclear data through targeted experiments and the development and use of theoretical models. The program involves the
combined efforts of approximately 50 nuclear scientists at 10 national laboratories and universities, and is managed by the
National Nuclear Data Center (NNDC) at BNL. The USNDP provides evaluated cross-section and decay data relevant to abroad suite of federal missions and topics. NP leads an interagency working group including NNSA, NE, the DOE IP, andother federal agencies to coordinate targeted experimental efforts.
Nuclear physicists participate in activities related to QIS and quantum computing (QC), in coordination with other SC
research programs. NP-specific efforts include R&D on quantum sensors to enable precision NP measurements,
development of quantum sensors based on atomic-nuclear interactions, and development of quantum computing
algorithms applied to quantum mechanical systems and NP topical problems. In support of the National Quantum Initiative,
SC QIS Center(s) that will be established in FY 2020 will constitute an interdisciplinary partnership among SC Program
Offices, including NP. Support for the SC QIS centers continues in FY 2021.
Scientists will develop cutting-edge techniques based on AI/ML of relevance to nuclear science research, accelerator facility
operations and automated machine operations in the DOE IP. NP has been supporting applications of artificial neuralnetworks in the analysis of nuclear physics data for decades. Additionally, NP is supporting technical development at theintersections between real-time ML and control and the optimization of accelerator systems operations and detector
design using AI models. Future “intelligent” experiments will seek to incorporate next generation AI hardware andelectronics into detector systems. NP also supports researchers engaged in developing learning techniques focused on
improving efficiencies of accelerator operations.
The Nuclear Theory subprogram supports and leverages LQCD calculations that are critical for understanding andinterpreting many of the experimental results from RHIC, LHC, and CEBAF. NP supports LQCD computing needs for
dedicated computational resources with investments at TJNAF.
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 computationallyintensive research projects jointly with other SC and DOE offices in areas of mutual interest.
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Theory ResearchThis activity supports targeted, high priority research at seven national laboratories (ANL, BNL, LANL, LBNL, LLNL, ORNL, and
TJNAF). This research advances our fundamental understanding of nuclear physics, interpreting the results of experiments
carried out under the auspices of the experimental nuclear physics program, and identifies and explores compelling newareas of research. The Request supports a new cohort of topical collaborations within available funds to bring together
theorists to address specific high-priority theoretical challenges. The activity supports high priority efforts on FRIB theory,
which is critical to theory research associated with the planned FRIB scientific program in order to optimize theinterpretation of the experimental results.
The Request supports increases for research related to QIS and QC to provide technological and computational advances
relevant to NP and other fields. Following exploratory QIS/QC workshops at the Institute for Nuclear Theory and at ANL, as
well as a QC “test-bed” simulation to demonstrate proof-of-principle use of quantum computing for scientific applications,
the NSAC published a reporta in October 2019 to articulate further priority areas in QIS/QC where unique opportunities
exist for nuclear physics contributions. For example, the report noted that the intersection of Quantum Field Theory and QC
was an exciting opportunity for important advances achieved through nuclear physics research.
SciDAC-4 awards selected in FY 2017 continue as planned in FY 2021, with progress monitored via peer review. In addition
to addressing specific problems relevant for nuclear physics research, SciDAC-4 projects continue to serve as a water-shed
for training scientists who can address national needs.
Funding for a new AI/ML initiative is requested within the Nuclear Theory subprogram in FY 2021, which will support efforts
throughout NP. The AI/ML Initiative will provide targeted investments to develop cutting-edge techniques based on AI of
relevance to nuclear science research, accelerator facility operations, and automated machine operations.
The Request also includes funding to support the most essential activities of the USNDP to collect, evaluate, anddisseminate nuclear physics data for basic nuclear research and for applied nuclear technologies and their development. In
addition to improving the completeness and reliability of data already archived that is used for industry and for a variety ofFederal missions, NP funding enables targeted experiments to address gaps in the data archives deemed of high priority
and urgency. Examples of targeted measurements include gamma ray spectroscopy of relevance for medical isotope
science; nuclear beta decay data and reactor decay heat data of relevance for optimizing the emergency cooling systems of
nuclear reactors and for the control of fast breeder reactors, anti-neutrino data relevant for basic research, and uranium238 cross section data using neutron-gamma coincidences important for several Federal missions. Experimental
measurements targeted by NP for funding are carried out in coordination with projects funded by other Federal offices in
response to the annual joint Funding Opportunity Announcement for Nuclear Data issued by the NP-led Inter-Agency
Nuclear Data Working Group.

a “Nuclear Physics and Quantum Information Science” Nuclear Science Advisory Committee, October 2015(https://science.osti.gov/~/media/np/nsac/pdf/2015LRP/2015_LRPNS_091815.pdf).

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Nuclear Physics
Nuclear Theory
Activities and Explanation of Changes(dollars in thousands)
FY 2020 Enacted
Nuclear Theory$51,862
Theory Research$43,062
Funding supports high priority QIS efforts. LQCD
computing hardware investments are supported at
TJNAF. Funding supports high priority theoreticalresearch at universities and national laboratories forthe interpretation of experimental results obtained at
NP facilities, and the exploration of new ideas andhypotheses that identify potential areas for future
experimental investigations. Theorists 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
and reactions continue to focus on activities related
to the research program at the upgraded 12 GeVCEBAF facility, the planned research program at FRIB,
and ongoing and planned RHIC experiments. Funding
supports the fourth year of SciDAC-4 grants and thefinal year of theory topical collaborations initiated in
FY 2017.

Science/Nuclear Physics

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted$54,266+$2,404$46,540+$3,478
The Request will support high priority QIS efforts.
The increase in funding will support QIS research,
LQCD computing investments continue at TJNAF.
reflecting the growing importance of this field in
Funding will support high priority theoretical research nuclear physics, and a new initiative in AI/ML.
at universities 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 planned research program at FRIB, andongoing and planned RHIC experiments. The Request
will support the fifth and final year of SciDAC-4 grants
and the final year of theory topical collaborations
initiated in FY 2017. Funding will target investments in
an initiative to develop cutting-edge AI techniques of
relevance to nuclear science research, accelerator
facility operations, and automated machine
operations.

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(dollars in thousands)
FY 2020 Enacted
Nuclear Data
$8,800Funding supports the high priority USNDP efforts tocollect, evaluate, and disseminate nuclear physics
data for basic nuclear research and for applied
nuclear technologies and their development. Funding
also supports some critical experimental
measurements to address gaps in existing nuclear
data.

Science/Nuclear Physics

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted$7,726-$1,074
The Request will provide support for high priority
Funding continues for the high priority experimental
USNDP efforts to collect, evaluate, and disseminate
nuclear data efforts.
nuclear physics data for basic nuclear research and for
applied nuclear technologies and their development.
The Request will also provide funding for criticalexperimental measurements to address gaps inexisting nuclear data.

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Nuclear Physics
Isotope Development and Production for Research and Applicationsa
Description
The Isotope Development and Production for Research and Applications subprogram (DOE Isotope Program, or DOE IP)
supports the production, distribution, and development of production techniques for radioactive and stable isotopes inshort supply and critical 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 programis to make key isotopes more readily available to meet U.S. needs and mitigate U.S. dependence on foreign supplies ofisotopes. 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 critically important isotopes. The subprogram also
supports R&D efforts associated with developing new and more cost-effective and efficient production and processing
techniques, and on the production of isotopes needed for research purposes. The R&D activities provide collateral benefits
for training, contributing to workforce development, and helping to ensure a future U.S.-based expertise in the fields ofnuclear chemistry and radiochemistry. These disciplines are foundational not only to radioisotope production, but to manyother critical aspects of basic and applied nuclear science as well.
All funding for DOE IP is executed through the Isotope Production and Distribution Program revolving fund. The isotope
revolving fund maintains its financial viability by utilizing the appropriations for this subprogram along with revenues fromthe sale of isotopes and services. These resources are used to maintain the staff, facilities, and capabilities at user-readylevels 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 that the high priority research requiring them does not become cost prohibitive. DOE IP
makes investments in new capabilities to meet the growing demands of the Nation and foster future research inapplications that will support national security and the health and welfare of the public.
Isotopes are critical national resources used to improve the accuracy and effectiveness of medical diagnoses and therapy,
to enhance national security, to improve the efficiency of industrial processes, and to provide precise measurement andinvestigative tools for materials, biomedical, archeological, and other research. Some examples of produced isotopes are:









actinium-225, actinium-227, tungsten-188, lutetium-177, strontium-89, strontium-90, and cobalt-60 for cancer therapy;
americium-241 and californium-252 for oil and gas exploration and production well logging;bismuth-213, lead-212, astatine-211, copper-67, thorium-227, and radium-223 for cancer and infectious disease
therapy and research; cadmium-109 for X-ray fluorescence imaging and environmental research;berkelium-249, americium-243, plutonium-242, californium-251, einsteinium-255, and curium-248 for use as targets
for discovery of new super heavy elements;
fermium-257 for heavy element chemistry research;selenium-75 for industrial radiography;
nickel-63 for explosives detection, and lithium-6 and helium-3 for neutron detectors for homeland security
applications; andarsenic-73, iron-52, and zinc-65 as tracers in metabolic studies.

Research to support the DOE Isotope Initiative builds upon existing core competencies in the DOE IP to grow expertise andenhance capabilities that promote U.S. independence in isotope supply and leadership in advanced isotope production
technology, which does not necessitate immediate sale of product to be viable, enabling longer term and high-risk, highpay-off endeavors. Activities include the establishment of “not for sale” reserves of critical isotopes to mitigate
unanticipated disruptions in foreign supply; development of transformative isotope production core competencies;
exploration of isotope production techniques used globally; and pursuit of innovative, next-generation technology for

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 Public Law (P.L.) 101–101 and as modified by P.L. 103–316.
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development of long-term product availability. This activity involves partnerships with NNSA, the Office of Nuclear Energy(NE), and other federal agencies.
Stable and radioactive isotopes are vital to the missions of many Federal agencies including the National Institutes of Health(NIH), National Institute of Standards and Technology (NIST), Department of Agriculture, Department of Homeland Security(DHS), NNSA, and other SC programs. The DOE IP continues to work in close collaboration with all federal organizations todevelop strategic plans for isotope production and to forecast isotope needs and leverage resources. The DOE IP conductsbiennial workshops, attended by representatives of all Federal agencies that require stable and radioactive isotopes, toprovide a comprehensive assessment of national needs for isotope products and services, to inform priorities forinvestments in research for developing new isotope production and processing techniques, to communicate advances inisotope production research and availability, and to communicate concerns about potential constrained supplies ofimportant isotopes to the Federal complex. The DOE IP participates in a number of Federal Working Groups andInteragency groups to promote communication, including the White House Office of Science and Technology Policy (OSTP)
National Science and Technology Committee Subcommittee on Critical and Strategic Mineral Supply Chains, and theInteragency Group on Helium-3 (He-3), which it leads and that reports to the White House National Security Staff. The DOE
IP participates in the Certified Reference Material Working Group which ensures material availability for nuclear forensics
applications that support national security missions and also the Nuclear Regulatory Commission Task Force on Radiation
Source Protection and Security. As a service, the DOE IP collects demand and usage information on helium-4 from thefederal 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 IP supports innovative research to develop new or improved production and separation techniques for highpriority isotopes in short supply. Priorities in isotope production research are informed by guidance from NSAC as
described in the 2015 Long Range Plan for the DOE IP published in July 2015 under the title “Meeting Isotope Needs andCapturing Opportunities for the Futurea.” Emphasis is placed on providing training opportunities to students and post-docs
to help assure a vibrant workforce essential to the technologies associated with isotope production. The DOE IP also invests
in the Nation’s future nuclear chemistry and biomedical researchers through support for the Nuclear Chemistry Summer
School (NCSS) program. The NCSS, jointly supported with SC’s BES program, consists of an intensive six-week program offormal accredited lectures on the fundamentals of nuclear science, radiochemistry, and their applications in related fields,
as well as laboratory practicums focusing on state-of-the-art instrumentation and technology used routinely in basic andapplied nuclear science.
The DOE IP is the steward of the Isotope Production Facility (IPF) at LANL, the Brookhaven Linac Isotope Producer (BLIP)
facility at BNL, the Enriched Stable Isotope Prototype Plant (ESIPP) at ORNL, and hot cell facilities for processing andhandling irradiated materials and purified products at ORNL, BNL, and LANL. Funding provides mission readiness for isotope
production at all of these facilities and the Low Energy Accelerator Facility (LEAF) at ANL. Isotope production is also
supported at other sites, such as the High Flux Isotope Reactor (HFIR) at ORNL for the production of californium-252,
actinium-227 and many other reactor-produced radioactive isotopes, the Idaho National Laboratory Advanced Test Reactor(ATR) for the production of cobalt-60, PNNL for processing and packaging strontium-90, the Y-12 National Security Complex
for processing and packaging lithium-6 and lithium-7, the LANL Plutonium Facility for extracting americium-241 from NNSA
plutonium processes, and the Savannah River Site for the extraction and distribution of He-3. The DOE IP also supports a
network of university facilities for cost-effective production of unique isotopes for research and industry.
Because the U.S. inventory is limited or has even been depleted in the cases of some specific isotopes, the U.S. isdependent on foreign sources for supplies of certain stable isotopes. The DOE IP has developed and implemented modern
stable isotope enrichment devices to provide the Nation with enrichment capabilities that were absent since the DOE
calutrons ceased operation in 1998. The ESIPP operates at ORNL to produce research quantities of enriched stable isotopes
using gas centrifuge and electromagnetic ion separation technology. The Stable Isotope Production Facility (SIPF) MIE adds
additional gas centrifuge capability and the new Stable Isotope Production and Research Center (SIPRC) enables theestablishment of multiple full scale production lines in each technology. These efforts mitigate U.S. dependence on foreignaReport: https://science.osti.gov/-/media/np/nsac/pdf/docs/2015/2015_NSACI_Report_to_NSAC_Final.pdf

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supply. The DOE IP participates in the QIS initiative within SC, and develops stable isotope production capabilities forisotopes of interest to next generation quantum computers.
While the DOE IP is not responsible for the production of molybdenum-99 (Mo-99), 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, DOE IP also oversees proceedings of the NSAC in response to a charge to annually assess progress by NNSA
toward ensuring a domestic supply of Mo-99. Additionally, DOE IP participates in the international High-Level Group on the
Security of Supply of Medical Isotopes lead by the Organisation for Economic Co-operation and Development.
The mission of the DOE IP is facilitated by the National Isotope Development Center (NIDC), located at ORNL, whichinterfaces with the user community and manages business operations involved in the production, marketing, sale, anddistribution of isotopes.
Research
The research activity has two primary components: (1) support of R&D via competitive funding opportunity announcements
open to both universities and national laboratories, and (2) the provision of core R&D funding to national laboratories anduniversities with expert competencies in isotope production and processing to nurture that technical expertise andaccomplish high priority R&D. In FY 2021, core R&D is increased to strengthen core competencies at LANL, BNL, ORNL,
PNNL, the University of Washington, and most recently at ANL and Michigan State University. The Request will increase
support for ANL, where the newest addition to the portfolio of accelerators resides – the LEAF accelerator. Years of
research support from the DOE IP have enabled isotope production using photo-nuclear reactions at this high powerelectron linac, culminating in the recent announcement that the isotope copper-67 (a dual purpose diagnostic/therapeutic
for cancer treatment) is now routinely available for clinical trials. Likewise, core R&D support is ramped up at Facility for
Rare Isotope Beams (FRIB), where the laboratory is establishing capabilities to harvest isotopes. Efforts to create novel
approaches to enable the provision of isotopes for targeted alpha therapy for cancer treatments and theragnostic isotopes(combined diagnostic and therapeutic applications) are enhanced at all sites. The DOE IP has become the world leader inthe provision of alpha—emitting isotopes for cancer therapy.
Competitive R&D efforts are increased at universities and laboratories to support a myriad of activities focused on making
novel and critical isotopes to the Nation for a suite of applications and research, and to develop pathways to promote U.S.
independence in isotope supply. A high priority of the DOE IP remains the dedicated research effort to develop large scale
production capabilities of actinium-225 (Ac-225), a high priority isotope that has shown stunning success in the treatment
of diffuse cancers and infections; in the past, available quantities have limited clinical trials and applications. The DOE IP
now routinely produces accelerator-produced Ac-225 and is ramping up research to develop efficient full-scale production
and processing capabilities to enable sufficient supply of the isotope for cancer treatment. Research efforts havedemonstrated that the accelerator produced Ac-225 functions equivalently to the material derived from the decay ofthorium-229 which used to be the only viable source of small quantities of Ac-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 Request will increase funding for research to explore
approaches for production of other isotopes for targeted alpha therapy and promising theragnostic isotopes.
Competitive research increases to continue ongoing and new efforts, including research to alleviate the current U.S.
dependence on foreign sources of deuterium, which was last produced in the U.S. in 1981. Deuterium is used in thedevelopment, production, and sale of compounds used in chemistry, biomedical and diagnostic research, environmental
analysis and physics. There are two pathways being investigated: (1) new and efficient production and (2) recovery of
deuterium from heavy water. Research also addresses topics such as Li-7 enrichment for molton salt reactors, new sourcesof He-3 for cryogenics, critical nuclear data measurements, radioisotope enrichment technology, next generation targetry,and Np-236 production feasibility for nuclear forensics.
The DOE IP is developing renewed enrichment capability with both electromagnetic separators and gas centrifuges and isactively enriching isotopes. Research increases to enhance stable isotope enrichment capabilities as well as to enrich newisotopes. Every stable isotope enriched requires an independent research campaign. Current efforts focus on ytterbium-176
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FY 2021 Congressional Budget Justification

as feedstock for prostate cancer treatment, xenon-129 for polarized lung imaging, Mo-100 as feedstock for Mo-99
production, and isotopes of interest for quantum computing. In addition, as this technology tends to be dual-use; nurturinga core competency in this technology is vital to the Nation. R&D associated with purification and processing of the existing
isotope inventory continues. Increased research also enables exploration of other enrichment technologies.
Operations
The Request will support personnel and infrastructure essential to ensure mission readiness for the production andprocessing of isotopes at a growing portfolio of production sites; the isotope production costs are paid by the customer.
Operating and capital investments enable substantial and compelling enhancements to productivity or new production orprocessing capability, including recovery of valuable isotopes from legacy reactor targets (Mark 18A); development ofenrichment capabilities for heavier stable isotopes; upgrades and operations of hot cell facilities at BNL, ORNL, LANL anduniversities to increase the quantity and reliability of radioisotope processing capabilities in order to support the growing
demand for radioisotopes like Ac-225 and Lu-177; and infrastructure to support the fabrication and assembly of enrichment
technology. In addition, funding will support implementation of Food and Drug Administration (FDA) regulatory
requirements for production of isotopes used in FDA-approved pharmaceuticals. Efforts supported the development of a
Drug Master File for the accelerator-produced material, submitted to the FDA in FY 2020, and efforts now look towards thedevelopment of other Drug Master Files. Mission readiness for reactor-produced actinium-227, the world’s first source of
new material, is enhanced. Actinium-227 decays to radium-223, which is used in new radiopharmaceutical drugs to treat
prostate cancer. The provision of actinium-227 by the DOE IP ensures that prostate cancer patients can have a reliablesupply of palliative care drugs.
The DOE IP is increasing funding for production and processing at universities with unique capabilities, such as the multiparticle clinical cyclotron at the University of Washington where full-scale production of astatine-211 was developed tosupport research into the use of the isotope in cancer therapy; and the University of Missouri Research Reactor which the
DOE IP uses for the production of lutetium-177 for cancer therapy research, and 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 at academic institutions which are generally more suited to low-energy production reactions and can support
nationwide availability of short-lived radioisotopes. Actions to include additional university sites in the network continue in
FY 2021. The Request will increase funding to continue the addition of isotope harvesting at the FRIB.
DOE IP increases operations of ESIPP at ORNL to produce research quantities of enriched stable isotopes through the use ofelectromagnetic separation and centrifuge technology. The first campaign at ESIPP produced ruthenium-96 in FY 2018 toprovide the otherwise unavailable world-wide target material to the RHIC for its planned physics program. ESIPP is now
focused on production of Yb-176, currently only produced in Russia, needed for the production of Lu-177, which is used totreat prostate cancer. The DOE IP continues support for the development of production approaches for enriched stable
isotopes of interest for future QIS-driven technologies.
The Request will provide funding for the DOE Isotope Initiative. Funding will be invested to explore and grow competence instable isotope enrichment technologies beyond the current electromagnetic ion separation and gas centrifuge technologies
to consider efficiencies in isotope production.
The SIPF MIE is adding additional gas centrifuge capability to the existing ESIPP; the last year of funding for SIPF was in
FY 2020. No additional funding is required in FY 2021 for the SIPF MIE. Staff will participate in fabrication activities aiming
towards a completion date of FY 2024. Developing modern enrichment technology is high-risk and challenging, and aphased approach in implementing technology is being pursued. Additional capabilities in both electromagnetic ion
separation and gas centrifuge capability beyond SIPF and ESIPP are needed to meet the quickly rising demands of the
Nation for enriched stable isotopes and fully mitigate U.S. dependence on foreign supply, and operate multiple productionlines simultaneously. The Request will continue funding for the U.S. Stable Isotope Production and Research Center (U.S.
SIPRC) project to meet those needs. Scientists and engineers are supported in FY 2020 to advance the Conceptual Design ofU.S. SIPRC and prepare for CD-1. The Request will support staff to participate in design and long lead procurement activities
for U.S. SIRPC.
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Nuclear Physics
Isotope Development and Production for Research and Applications
Activities and Explanation of Changes(dollars in thousands)
FY 2020 Enacted
Isotope Development and Production
for Research and Applications$49,500
Research$11,500
Funding supports high priority competitive R&D
activities at universities and national laboratories
leading to new isotope production technologies.
Support for core research groups at national
laboratories and universities enhance isotope
production capabilities specifically relevant to thephysical resources and expertise available at theinstitution. Funding supports the development of two
new core R&D groups, one at MSU to support the
new isotope harvesting capability being established at
FRIB, and the other at ANL to support the new isotope
production effort at the LEAF electron facility at ANL.
Research activities aimed at the development of
production approaches for isotopes of interest to
next-generation QIS systems continues. Research todevelop enrichment capability for new isotopes ofimportance increases.

Science/Nuclear Physics

FY 2021 Request$66,000$22,000
The Request will support high impact R&D activities atuniversities and national laboratories leading toadvanced and novel isotope production andprocessing technologies, to increase the availability of
isotopes in short supply. Funding will increase for the
new R&D groups at MSU for FRIB isotope harvesting,and at ANL to support the new isotope production
effort at the LEAF. A priority of the research program
will be to continue the development of full scale
processing and technology for the production ofalpha-emitters for cancer therapy, such as Ac-225.
The Request will increase competitive R&D efforts atuniversities and laboratories to support a myriad ofactivities focused on making novel and criticalisotopes to the Nation for a suite of applications andresearch, and to develop pathways to promote U.S.
independence in isotope supply. The Request will also
increase funding to expand theUniversity Isotope
Network to perform the R&D necessary to enableroutine production. Research activities aimed at thedevelopment of production approaches for isotopes
of interest to next-generation QIS systems willcontinue. Research to develop enrichment capability
for new isotopes of importance will increase.

339

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted+$16,500+$10,500
The increase will support the strengthening of coreresearch groups at national laboratories anduniversities to nurture unique core competencies andaccomplish high priority R&D that addresses
shortages of isotopes important to the nation. The
increase also will establish research groups at the new
production sites at ANL and MSU, and provides
additional funding for research for enriched stable
and radioisotope technology, such as therapeuticalpha-emitting isotopes like Ac-225. The increase also
will provide additional funds for competitive R&D toconsider new opportunities for improving ordeveloping new and unique capabilities for isotope
production and processing, enabling U.S. leadership in
research and applications, such as discovery of newelements, forefront cancer treatments. Also, theincrease provides additional funding for enrichedstable isotope production R&D to enable new
production campaigns of rare isotopes.

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Operations$38,000
Funding supports mission readiness of the isotope
production facilities and nurtures critical corecompetencies in isotope production anddevelopment, ensuring that isotope orders for cancer
therapy and other commitments are reliably met. The
NIDC activities are increased to effectively interface
with the growing stakeholder community and isotope
portfolio. Funding expands operations of the
University Isotope Production Network and ESIPP
operations. Increased funding supports thedevelopment of production approaches for isotopes
of interest for next generation QIS-driven
technologies. Final funding is provided for the SIPF
MIE, according to the planned profile. Investments
support electromagnetic separation technology
optimized to heavy elements, enriched radioisotope
separation technology, modest upgrades at BLIP and
the IPF for new capabilities, enhanced processing
capabilities at universities and national laboratories,
infrastructure for assembly and fabrication of stableenrichment components, and the initiation of isotope
harvesting capabilities at FRIB. Other Project Costs for
SIPRC are supported to advance the Conceptual
Design and prepare for CD-1.

$44,000
The Request will support mission readiness of theisotope production facilities and nurtures critical corecompetencies in isotope production anddevelopment, ensuring that isotope orders for cancer
therapy and other commitments are reliably met.
Core competencies in isotope production anddevelopment will grow to ensure that isotope orders
for cancer therapy and other commitments arereliably met. Support will maintain NIDC activities tointerface with the growing stakeholder community
and rapidly expanding isotope portfolio. Production
approaches for isotopes of interest for next
generation QIS-driven technologies will bemaintained. Funding will continue support ofelectromagnetic separation technology optimized toheavy elements, enriched radioisotope separation
technology, modest upgrades at BLIP and the IPF fornew capabilities, enhanced processing capabilities atuniversities and national laboratories, infrastructure
for assembly and fabrication of stable enrichment
components, and ramp up of funding for isotope
harvesting capabilities at FRIB. The Request will
support the DOE Isotope Initiative with a focus on
creating core competencies in developing andoperating a broad array of isotope enrichment
technologies, critical for research and applications.

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340

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted+$6,000
The funding increase will support the DOE Isotope
Initiative, which in FY 2021, explores and growcompetence in stable isotope enrichment
technologies beyond the current electromagnetic ion
separation and gas centrifuge technologies toconsider efficiencies in isotope production. The
increase also will support the implementation of
isotope harvesting at FRIB.

FY 2021 Congressional Budget Justification

Nuclear Physics
Construction
Description
This subprogram supports all line-item construction for the entire NP program. All Total Estimated Costs (TEC) are funded inthis subprogram, including engineering, design, and construction. Other Project Costs (OPC) are funded in the relevant
subprograms.
Consistent with the 2015 NSAC Long-Range Plan’s highest priority, the FY 2021 Request includes funding to capitalize on
NP’s prior scientific facilities investments. Funding provides for design and construction of scientific research facilities
needed to meet overall objectives of the Nuclear Physics program. NP currently has two ongoing projects, which receive
construction line item funding in FY 2021. In addition, the DOE IP, managed by NP, also continues a line item construction
project in FY 2021.
The FRIB at MSU will continue construction activities in FY 2021, with a funding request aligned to the current baseline.
FY 2021 is the final budget request for FRIB. The project is proceeding on track within the established project baseline. FRIB
will provide intense beams of rare isotopes for world-leading research opportunities in nuclear structure, nuclear
astrophysics, and fundamental symmetry studies that will advance knowledge of the origin of the elements and theevolution of the cosmos. It offers a facility for exploring the limits of nuclear existence and identifying new phenomena,
with the possibility that a broadly applicable theory of the structure of nuclei will emerge. FRIB will provide an essential
scientific tool for over 1,400 scientists each year from across academic, industrial, and government institutions. The projectis funded through a cooperative agreement with MSU. The project has a baseline DOE Total Project Cost (TPC) of$635,500,000.
The FY 2021 Request continues the construction effort for the Electron-Ion Collider (EIC). Since the 2002 LRP for Nuclear
Science was developed and released, a compelling, persistent, high scientific priority for the U.S. nuclear science
community has been understanding how the fundamental properties of the proton, such as its mass and spin, aredynamically generated by the extraordinarily strong color fields resulting from dense systems of gluons in nucleons andnuclei. The answer to this question is key to addressing an outstanding grand challenge problem of modern physics: how
QCD, the theory of the strong force, which explains all strongly interacting matter in terms of points like quarks interacting
via the exchange of gluons, acts in detail to generate the “macroscopic” properties of protons and neutrons. The 2015 LRP
for Nuclear Science concluded, “…a high energy, polarized electron ion collider is the highest priority for new facility
construction...” A National Academies study, charged to independently assess the impact, uniqueness, and merit of thescience that would be enabled by U.S. construction of an electron ion collider, gave a strong endorsement to a U.S.-based
EIC, and recognized its critical role in maintaining U.S. leadership in nuclear science and accelerator R&D. Scientists andaccelerator physicists from both the Medium Energy and Heavy Ion subprograms are actively engaged in the developmentof the scientific agenda, design of the facility and development of scientific instrumentation related to a proposed EIC.
Critical Decision-0 (CD-0), Approve Mission Need, was received on December 19, 2019. The Department selected andannounced Brookhaven National Laboratory (BNL) as the site for the EIC on January 9, 2020. The Rough Order ofMagnitude Total Project Cost range for the EIC project at CD-0 approval was $1.6 billion to $4.2 billion, with an updated
post-site selection cost range of $1.6 billion to $2.6 billion.
The FY 2021 Request will continue design efforts for the U.S. Stable Isotope Production and Research Center (U.S. SIPRC)
and support long lead procurements. The demand for enriched stable isotopes continues to grow substantially. Demand
drivers include enriched stables isotopes for medical, national security and fundamental research projects. DOE produced alegacy inventory of enriched stable isotopes using the former Y-12 plant Calutrons from the 1940s to 1990s, until they were
decommissioned. DOE’s supply of certain key enriched stable isotopes has been depleted, making the U.S. increasingly
dependent on foreign imports for enriched stable isotopes. With support from the DOE IP, ORNL is advancing production
capabilities for these stable isotopes, primarily electromagnetic isotope separation (EMIS) and gas centrifuge (GC)technologies. Electromagnetic isotope separators can separate isotopes for many elements to very high purity and at lower
production rates while gas centrifuge production cascades can produce much larger quantities of isotopes but is limited tothose isotopes that have compatible feedstock chemicals. The prototype capabilities of the Enriched Stable Isotope
Prototype Plant (ESIPP), developed through DOE IP-supported research, demonstrated the feasibility of new EMIS and GC
technology. The ongoing Stable Isotope Production Facility (SIPF) MIE modestly increases GC production capability. U.S.
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FY 2021 Congressional Budget Justification

SIPRC further expands GC production capability and significantly increases EMIS production capability to meet the Nation’s
growing demand for stable isotopes. SIPRC will mitigate the Nation’s dependence on foreign countries for stable isotope
supply. CD-0, Approve Mission Need, was received on January 4, 2019. The current Total Project Cost (TPC) point estimate
is $229,000,000 with an updated preliminary TPC range of $175,000,000 to $298,000,000 in preparation for CD-1
consideration.

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Nuclear Physics
Construction
Activities and Explanation of Changes(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted-$34,700

Construction$53,000$18,300
20-SC-51, U.S. Stable Isotope
Production and Research Center(ORNL)$12,000$12,000$—
Funding supports engineering design of the U.S. SIPRC The Request will support the continuation ofFunding will support engineering design of the U.S.
and long lead procurements for known designs ofengineering design of the U.S. SIPRC and long lead
SIPRC project.
technologies developed for prior efforts.
procurements, such as site preparations and materials
for known designs of technologies developed underprevious projects.
20-SC-52, Electron Ion Collider (EIC)$1,000Funding provides the first year of TEC funding for the
EIC. The funds will be used for engineering and design
to reduce technical risk after completion of theconceptual design.
14-SC-50, Facility for Rare Isotope
Beams (FRIB)$40,000
Funding continues to support the fabrication,assembly, and testing of cryomodules, as well as theirinstallation within the FRIB linear accelerator locatedin the tunnel area. As portions of the linear
accelerator nears completion, commissioning efforts
will also continue in order to validate accelerator’s
performance according to project requirements. In
addition, fabrication, assembly, installation andtesting of the experimental technical systems willcontinue; project completion is planned in FY 2022.

Science/Nuclear Physics$1,000$—
The Request will continue TEC funding for the EIC. The Funding will support ongoing engineering and design
funds will be used for engineering and design toefforts.
reduce technical risk after completion of theconceptual design.
$5,300-$34,700
The Request will complete cryomodule installation,
Funding will support the final efforts necessary toexperimental systems installation, and testing. The
complete the FRIB according to its performancefunds will also continue commissioning effortsbaseline cost, schedule, and scope in FY 2022.
associated with technical components as they arecompleted. This is the final year of funding. Projectcompletion is planned in FY 2022.

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344

Nuclear Physics
Capital Summary

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

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

N/A

N/A

38,02535,392

26,660-8,732

N/A
N/A
N/A

N/A
N/A
N/A

2,060
5,077
45,162

9,616
7,268
52,276

2,143
8,783
37,586-7,473+1,515-14,690(dollars in thousands)
FY 2019
FY 2020
EnactedEnactedFY 2021
RequestCapital Equipment

Total
Capital Equipment
Major Items of Equipment
Heavy Ion Nuclear Physics
Super-PHENIX (sPHENIX) MIEa
Low Energy Nuclear Physics
Gamma-Ray Energy Tracking Array (GRETA) MIE
High Rigidity Spectrometer (HRS)cTon-Scale Neutrinoless Double Beta Decay MIE
MOLLER MIE

Prior Years

FY 2021 Request vsFY 2020 Enacted

27,000

N/A

5,310

9,520

3,000

-6,52052,000-65,000b
80,000-90,000
215,000-250,000
25,000-28,000

5,700
N/A
N/A
N/A

6,600
—
—
—

6,600
1,000
1,000
2,000

2,500
1,000
1,440
300

-4,100—+440-1,700sPHENIX 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. This MIE has been baselined.
The impact of the Request will be assessed upon a FY 2021 Appropriation.
b Total Project Cost range at CD-3a Approval.
c HRS will be funded through a cooperative agreement with MSU and is not a capital asset. The HRS has CD-0 approval.
a

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Isotope Development and Production for Researchand Development
Stable Isotope Production Facility (SIPF) MIE
Total, MIEs
Total, Non-MIE Capital Equipment
Total Capital Equipment

Total

Prior Years

25,500-28,000
N/A
N/A
N/A

12,50018,200
N/A
N/A(dollars in thousands)
FY 2019
FY 2020
EnactedEnacted

11,50023,65014,37538,025FY 2021
Request

1,500
21,62013,77235,392—
8,240
18,42026,660(dollars in thousands)
FY 2019
FY 2020
EnactedEnactedFY 2021
RequestFY 2021 Request vsFY 2020 Enacted-1,500-13,380+4,648-8,732

Minor Construction Activities

Total
General Plant Projects (GPP)
Greater than or equal to $5M and less than $20M
End Station Refrigerator at TJNAF
Total GPPs (greater than or equal to $5M and less than
$20M)
Total GPPs less than $5Ma
Total, General Plant Projects (GPP)
Accelerator Improvement Projects (AIP)
Greater than or equal to $5M and less than $20M
RHIC Low Energy Electron Cooling
FRIB Isotope Harvestingb
Total, AIPs (greater than or equal to $5M and less than
$20M)
Total, AIPs less than $5M
Total, Accelerator Improvement Projects (AIP)
Total, Minor Construction Activitiesab

Prior Years

FY 2021 Request vsFY 2020 Enacted

9,500

—

—

9,500

—

-9,500

9,500

—

—

9,500

—

-9,500

N/A
N/A

N/A
N/A

2,060
2,060

116
9, 616

2,143
2,143

+2,027-7,4738,321
9,000-11,000

8,321
N/A

—
—

—
2,000

—
3,500

—
+1,500

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

N/A
3,652
11,973
N/A

—
5,077
5,077
7,137

2,000
5,268
7,268
16,884

3,500
5,283
8,783
10,926+1,500+15+1,515-5,958GPP activities less than $5M include design and construction for additions and/or improvements to land, buildings, replacements or additions to roads, and general area improvements.
FRIB Isotope Harvesting will be funded through a cooperative agreement with MSU and is not a capital asset.

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Nuclear Physics
Major Items of Equipment Description(s)Heavy Ion Nuclear Physics MIE:
Super Pioneering High Energy Nuclear Interaction Experiment (sPHENIX)sPHENIX directly supports the NP mission by using precision, high rate jet measurements to further characterize the quarkgluon plasma (QGP) discovered at RHIC in order to understand the anomalous energy loss observed in the QGP. sPHENIX
will enable scientists to study how the near perfect QGP liquid with the lowest shear viscosity ever observed arises from thestrongly interacting quarks and gluons from which it is formed. CD-0 was approved September 13, 2016 and Project
Decision (PD)-2/3, which approves the performance baseline and start of construction, was approved in September 19,
2019 with a TPC $27,000,000. This MIE is funded within the existing funds for RHIC operations. Operating funds that are
typically used to maintain and operate the PHENIX detector will be used to upgrade the detector. No funding beyond thatprovided for existing RHIC operations 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 2021 Request for
sPHENIX of $3,000,000 is the third year of TEC funding.
Low Energy Nuclear Physics: Nuclear Structure and Nuclear Astrophysics MIEs:
Gamma-Ray Energy Tracking Array (GRETA)
GRETA directly supports the NP mission by addressing the goal to understand the structure of nuclear matter, the processesof nuclear astrophysics, and the nature of the cosmos. A successful implementation of this detector will represent a majoradvance in gamma-ray tracking detector technology that will impact nuclear science, as well as detection techniques inhomeland security and medicine. GRETA will provide unprecedented gains in detection sensitivity, addressing several highpriority scientific topics, including how weak binding and extreme proton-to-neutron asymmetries affect nuclear properties
and how the properties of nuclei evolve with changes in excitation energy and angular momentum. GRETA will provide
transformational improvements in efficiency, peak-to-total ratio, and higher position resolution than the current generationof detector arrays. In particular, the capability of reconstructing the position of the interaction with millimeter resolution
will fully exploit the physics opportunities of FRIB. Without GRETA, FRIB will rely on existing instrumentation. In that event,beam-times necessary for the proposed experiments will be expanded significantly, and some proposed experiments will
not be feasible at all. CD-0 for GRETA was approved September 15, 2015 and CD-1 was obtained October 4, 2017. CD-3a,
which approves long lead procurements, was obtained August 16, 2018 with an estimated TPC of $52,000,000 $65,000,000. The FY 2021 Request for GRETA of $2,500,000 is the fifth year of TEC funding.
High Rigidity Spectrometer (HRS)The HRS at FRIB will increase the scientific potential of state-of-the-art and community-priority devices, such as GRETA, andother ancillary detectors. FRIB will be the world’s premier rare-isotope beam facility producing a majority (approximately 80
percent) of the isotopes predicted to exist. Eleven of the 17 NSAC Rare Isotope Beam Taskforce benchmarks, which wereintroduced to characterize the scientific research of a rare-isotope facility, require the use of fast beams at FRIB. The
scientific impact of the FRIB fast beam science program will be substantially enhanced (by luminosity gain factors of
between two and one hundred for neutron-rich isotopes, with the largest gains for the most neutron-rich species) byconstruction of the HRS. The HRS will allow experiments with beams of rare isotopes at the maximum production rates forfragmentation or in-flight fission. This enhancement in experimental sensitivity provides access to critical isotopes notavailable otherwise. The 2015 NSAC LRP recognized that the “HRS…will be essential to realize the scientific reach of FRIB.”
The HRS will be funded through a cooperative agreement with MSU and is not a capital asset. CD-0 was approved
November 2018 with a TPC range of $80,000,000 - $90,000,000. CD-1 approval is planned in 4Q 2020. The FY 2021 Request
for the HRS of $1,000,000 is the second year of funding.
Low Energy Nuclear Physics: Fundamental Symmetries MIEs:
Ton-Scale Neutrino-less Double Beta Decay (NLDBD) Experiment
The Ton-Scale NLDBD Experiment, implemented by instrumenting a large volume of a specially selected isotope to detect
neutrino-less nuclear beta decays (where within a single nucleus, two neutrons decay into two protons and two electrons
with no neutrinos emitted), directly supports NP’s mission to explore all forms of nuclear matter. NLDBD can only occur if
neutrinos are their own anti-particles and the observation of “lepton number violation” in such neutrino-less beta decay
events would have profound consequences for present understanding of the physical universe. For example, one exciting
Science/Nuclear Physics

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FY 2021 Congressional Budget Justification

prospect is that the observation of NLDBD would elucidate the mechanism, completely unknown at present, by which themass of the neutrino is generated. The observation of lepton number violation would also have major implication for thepresent day matter/anti-matter asymmetry which has perplexed modern physics for decades. In the current experimental
outlook, through FY 2018 a number of demonstrator efforts using smaller volumes of isotopes and various technologies(bolometry in tellurium dioxide (TeO2) crystals, light collection in LXe, charge collection in enriched germanium-76) havebeen in progress for several years, and all are in the process of delivering new state-of-the-art lifetime limits for neutrinoless double beta decay which are of order a few times 1025 years. The goal of a next generation ton-scale experiment is toreach a lifetime limit of 1028 years. For reference, the “lifetime limit” discussed is the time one might have to wait toobserve neutrino-less double beta decay if observing a single nucleus only. Fortunately, in the ton of isotope planned forthe ton-scale neutrino-less double beta decay experiment there are many trillions of nuclei. Thus, such decays, if they exist,
should be observable on a much more reasonable timescale (five to ten years) similar to other large modern physics
experiments. CD-0 was approved in November 2018 with a TPC range of $215,000,000 - $250,000,000. The FY 2021 Requestof $1,440,000 is the second year of TEC funding.
Measurement of a Lepton-Lepton Electroweak Reaction (MOLLER)
The MOLLER experiment directly supports the NP mission by measuring the parity-violating asymmetry in polarized
electron-electron (Møller) scattering. This extremely small asymmetry is predicted to be on the order of 35 parts per billion(ppb), which requires unprecedented experimental techniques employed for this experiment. CD-0 was approved
December 2016 with an estimated Total Project Cost of $25,000,000 to $35,000,000. The proposed MOLLER experiment is
an ultra-precise measurement of the weak mixing angle using Møller scattering which will improve on existingmeasurements by a factor of five, yielding the most precise measurement of the weak mixing angle at low or high energy
anticipated over the next decade. This new result would be sensitive to the interference of the electromagnetic amplitudewith new neutral current amplitudes as weak as approximately 10−3 GF (Fermi Factor) from as yet undiscovered dynamics
beyond the Standard Model. The resulting discovery reach is unmatched by any proposed experiment measuring a flavorand CP-conserving process over the next decade, and yields a unique window to new physics at MeV and multi-TeV scales,
complementary to direct searches at high energy colliders such as the Large Hadron Collider (LHC). The MOLLER MIE, which
was initiated in the Medium Energy subprogram prior to the establishment of a targeted portfolio in Fundamental
Symmetries, transitions to the Low Energy subprogram in the FY 2021 Request. The FY 2021 Request for MOLLER of$300,000 is the second year of TEC funding.
Isotope Development and Production for Research and Applications MIE:
Stable Isotope Production Facility (SIPF)
SIPF will enhance production capability of stable enriched isotopes to the kilogram throughput to help mitigate thedependence of the U.S. on foreign suppliers and better meet the high demands for enriched stable isotopes for the Nation.
This MIE will provide infrastructure and optimized centrifuge capability for isotopes of interest. Fabrication continues until
the project’s planned completion in FY 2024. There is a high demand for a domestic capability to produce enriched stable
isotopes for basic research, medical and industrial applications. For example, foreign NLDBD experiments in nuclear physics
and dark matter experiments in high-energy physics are interested in kg quantities of enriched stable isotopes, which are
not available in the U.S. The accelerator production route for molybdemnum-99 (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 notavailable domestically. Stable isotopic nuclides of heavier elements are used for agricultural, nutritional, industrial,
ecological and computing applications could also be produced. CD-1/3a was approved in May 2018 with an estimated TPC
range of $25,500,000-$28,000,000. No funding is requested for this MIE in FY 2021, as final funding was requested andprovided in FY 2020. Fabrication continues until the project’s planned completion in FY 2024. No funding is requested forthis MIE in FY 2021, as final funding was requested and provided in FY 2020.

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Nuclear Physics
Construction Projects Summary

Total
14-SC-50, Facility for Rare Isotope Beams
TEC
OPC
TPC

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

635,500a—
635,500

514,700b—514,700

75,000—75,00040,000—40,000

5,300
—
5,300

-34,700—-34,700

175,000-298,000—
175,000-298,000

—
—
—

—
500
500

12,0002,100
14,10012,000—12,000—-2,100-2,10020-SC-52, Electron Ion Colliderc
TEC
OPC
TPC

TBD
—
TBD

—
—
—

—
—
—

1,000
10,00011,000

1,000
1,500
2,500

—
-8,500-8,500Total, Construction
TEC
OPC
TPC

TBD
TBD
TBD

TBD
TBD
TBD

75,000500
75,50053,00012,10065,10018,3001,500
19,800-34,700-10,600-45,300

20-SC-51, U.S. Stable Isotope Production andResearch Center
TEC
OPC
TPC

This is the DOE TPC; MSU’s cost share is $94,500,000 bringing the total project cost to $730,000,000. FRIB is funded with operating dollars through a Cooperative Agreement financial assistance award with awork breakdown structure (WBS) that is slightly different from typical federal capital assets. The WBS totals $730,000,000 including MSU’s cost share. Because the WBS scope is not pre-assigned to DOE or MSU
funds, DOE’s baseline of $635,500,000 cannot be broken down between TEC and OPC.
b A portion of the PY funding was provided within the Low Energy subprogram. The FY 2014 appropriation established FRIB as a control point.
c The preliminary TPC at CD-0 approval was $1.6 billion to $4.2 billion. On January 9, 2020, DOE selected Brookhaven National Laboratory as the location for the EIC. This selection establishes a new cost range of$1.6 billion to $2.6 billion for the EIC.
a

Science/Nuclear Physics

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FY 2021 Congressional Budget Justification

Nuclear Physics
Funding Summary(dollars in thousands)
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

209,705
357,521202,575
399,380

197,880
405,169

FY 2021 Request vsFY 2020 Enacted-4,695+5,78923,76075,50099,26023,514690,000

21,62065,10086,72024,325713,000

8,240
19,80028,04022,238653,327-13,380-45,300-58,680-2,087-59,673

Research
Facility Operations
Projects
Major Items of Equipment
Construction
Total, Projects
Other
Total, Nuclear Physics

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FY 2021 Congressional Budget Justification

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

TYPE A FACILITIESCEBAF (TJNAF)a
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours

FY 2019 Enacted

FY 2019 Current

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted$128,067
1,690
N/A
4,080
4,250
96.0%
N/A

$131,269
1,690
4,362
4,080
4,250
102.6%—$133,907
1,690
N/A
2,560
2,560
100.0%
N/A$128,409
1,560
N/A
3,010
4,430
67.9%
N/A

-$5,498
-130
N/A
+450
+1,870-32.1%
N/A

During FY 2017, the planned operating hours and optimal hours include 330 hours of operations (commissioning) that are supported from 12 GeV CEBAF Upgrade OPC funding, or pre-ops, that are part of the
project TPC. FY 2018 is the first year of operations after project completion; optimal hours increase in FY 2018 and FY 2019 as operational experience is gained.
a

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FY 2021 Congressional Budget Justification

(dollars in thousands)a

FY 2019 Enacted

FY 2019 Current

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

RHIC (BNL)
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hoursa
Unscheduled downtime hours$199,705
990
N/A
3,290
3,700
88.9%
N/A

$198,833
990
3,798
3,290
3,700
102.6%—$203,323
990
N/A
3,260
3,700
88.1%
N/A

$201,044
990
N/A
2,580
2,580
100.0%
N/A-2,279—N/A-680-1,120+11.9%N/A

ATLAS (ANL)
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$25,947
310
N/A
6,400
6,800
94.1%
N/A

$26,638
310
6,775
6,400
6,800
99.6%
—

$25,846
340
N/A
5,950
6,400
93.0%
N/A

$23,077
300
N/A
2,980
6,800
43.8%
N/A

-$2,769-40
N/A-2,970+400-49.1%
N/A

FRIB (MSU)
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$3,950
N/A
N/A
N/A
N/A
N/A
N/A

$3,950
N/A
N/A
N/A
N/A
N/A
N/A

$28,500
N/A
N/A
N/A
N/A
N/A
N/A

$25,620
N/A
N/A
N/A
N/A
N/A
N/A

-$2,880
N/A
N/A
N/A
N/A
N/A
N/A

RHIC was able to exceed planned optimal hours in FY 2018 due to unanticipated high reliabilities associated with the low energy beam scans.

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FY 2021 Congressional Budget Justification

(dollars in thousands)

Total Facilities
Number of users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hoursa
Unscheduled downtime hours

FY 2019 Enacted

FY 2019 Current

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted$357,669
2,990
N/A
13,77014,75091.9%
N/A$360,690
2,990
14,935
13,77014,750102.4%—$391,576
3,020
N/A
11,77012,66092.8%
N/A$378,150
2,850
—
8,570
13,06084.6%
N/A-$13,426-170—-3,200
-400
-8.2%
N/A

FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

830
350
550
1,060

839
326
530
1,030

821
319
481
964

-18
-7
-49
-66

Nuclear Physics
Scientific Employment

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

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

353

FY 2021 Congressional Budget Justification

354

20-SC-51, United States Stable Isotope Production and Research Center (U.S. SIPRC)
Oak Ridge National Laboratory, Oak Ridge, Tennessee
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 request for the United States Stable Isotope Production and Research Center (U.S. SIPRC) is $12,000,000 of TEC
funding. The current Total Project Cost (TPC) point estimate is $229,000,000 with an updated preliminary TPC range of$175,000,000 to $298,000,000 in preparation for CD-1 consideration.
Significant Changes
This project data sheet (PDS) is an update of the FY 2020 PDS; the project is not a new start in FY 2021. The most recent
DOE O 413.3B approved Critical Decision (CD) is CD-0, Approve Mission Need, which was approved on January 4, 2019. FY
2021 funding will continue support for project engineering and design activities and planned long lead procurements, suchas site preparations and materials for known designs of technologies developed under previous projects. The prior projects
referenced include the completed Enriched Stable Isotope Production Prototype (ESIPP) and the ongoing Stable Isotope
Production Facility (SIPF) Major Item of Equipment.
A Federal Project Director (FPD) with certification level 3 has been assigned to the U.S. SIPRC.
Critical Milestone History
FiscalYear

CD-0

FY 2020a

1/04/19

FY 2021b

1/04/19

Conceptual
DesignComplete
2Q
FY 2020
4Q
FY 2020

CD-1

CD-2

2Q
FY 2020
4Q
FY 2020

2Q
FY 2021
3Q
FY 2022

Final
DesignComplete

CD-3
2Q
FY 2022
3Q
FY 2022

TBD
2Q
FY 2022

D&D
Complete
N/A
N/A

CD-4
4Q
FY 2026
4Q
FY 2027

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

FiscalYear
FY 2021

Performance
Baseline
Validation
3Q FY2022

CD-3A
4Q FY 2020

CD-3A – Approve Long-Lead Procurements, (Site preparations, EMIS components)aDates presented in FY 2020 are pre-CD-1 and are notional.

b The project does not have CD-1 or CD-2 approval. The schedules are only estimates and are consistent with the high end of the schedule ranges.

Science/Nuclear Physics/20-SC-51,
U.S. Stable Isotope Production and Research Center

355

FY 2021 Congressional Budget Justification

Project Cost History
This project is at CD-0 with an updated point estimate of $229,000,000 and Total Project Cost (TPC) range of $175,000,000
to $298,000,000. The point estimate increased as the footprint of the building increased to accommodate the evolving
conceptual design of the gas centrifuges. The table below reflects the upper cost of the TPC range as there is not yet abaseline. No construction, excluding for approved long lead procurement, will be performed until the project performancebaseline has been validated and CD-3 has been approved.
FiscalYear
FY 2020
FY 2021a

TEC, Design
TBD
14,000TEC,
Construction
TBD
274,000(dollars in thousands)
OPC, Except
TEC, Total
D&D
TBD
TBD
288,000
10,000

OPC, D&D

OPC, Total

TPC

TBD
N/A

TBD
10,000

TBD
298,000

2. Project Scope and Justification
Scope
The scope of this project includes design and construction of a building and associated instrumentation for enrichingisotopes. Electromagnetic isotope separator systems and gas centrifuge cascades will be designed and implemented in thisnew single facility to promote operational, cost and security effectiveness, with space for future growth. The planned
facility will include adequate space for test stands and prototype development and will be a purely technical facility (i.e.,
minimal office and staff amenities), and located on the ORNL main campus. Gas centrifuges and electromagnetic separators
are leveraged by existing designs developed from prior projects and R&D supported by DOE IP. The laboratory is
considering the optimal number of each type of technology as part of the alternatives analysis for Critical Decision-1 (CD-1).
Justification
U.S. SIPRC is critical to the DOE Isotope Program within SC’s Office of Nuclear Physics (NP). The facility will expand thestable isotope production capability to address multiple production capabilities to meet the demand of the nation, while
also mitigating our Nation’s dependencies on foreign suppliers for critical isotopes. The current capacity within the UnitedStates is insufficient to meet the Nation’s growing demands, and is spread out geographically at ORNL in smaller buildings,
which increases operating complexity, operating costs, and complicates security protection strategies. U.S. SIPRC will
provide an adequately sized building and consolidated approach to address our Nation’s isotope needs in a more
economical and operational efficient manner.
U.S. SIPRC will expand current production capabilities for enriched stable isotopes and provide a new building that will
facilitate efficient operations and provide space, not only for all of the current needs, but will also accommodate theprojected large-scale expansion of production systems.
The project is being conducted in accordance with the project management requirements in DOE O 413.3B, Program andProject Management for the Acquisition of Capital Assets, and all appropriate project management requirements will be
met.

a The project does not have CD-1 or CD-2 approval. The schedules and costs are only estimates and are consistent with the high end of the schedule andcost ranges.

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Key Performance Parameters (KPPs)aPreliminary Key Performance Parameters (KPPs) are defined at CD-1 and may change as the project continues towards CD2. At CD-2 approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance thatthe project must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold
KPPs will be a prerequisite for approval of CD-4, Project Completion.
Performance Measure
TBD

Threshold
TBD

3. Funding Schedule

Objective
TBD(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costs

Total Estimated Cost (TEC)bPED
FY 2020

12,00012,0002,700

FY 2021

2,000
—

2,000
—

11,300—14,00014,00014,000FY 2020———

FY 2021

10,00010,0008,000

Outyears

N/A

N/A

266,000

Total, Construction

N/A

N/A

274,000

FY 2020

12,00012,0002,700

FY 2021

12,000c

12,00019,300Outyears

264,000

264,000

266,000

288,000

288,000

288,000

FY 2019

500

500

171

FY 2020

2,100

2,100

2,429

FY 2021———

Outyears
Total, PED
Construction

Total Estimated Cost (TEC)

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

Outyears
Total, OPC

7,400

7,400

7,400

10,00010,00010,000a The project does not have CD-1 approval. Preliminary KPPs are defined at CD-1. CD-1 is planned for 2020.

The project does not have CD-1 or CD-2 approval. The schedules and costs are only estimates and are consistent with the high end of the schedule andcost ranges.
c Includes an estimated $10,000,000 for long lead procurements associated with site preparations and EMIS components.
b

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costs

Total Project Cost (TPC)FY 2019

500

500

171

FY 2020

14,10014,1005,129

FY 2021

12,00012,00019,300Outyears

271,400

271,400

273,400

298,000

298,000

298,000

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

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

12,0002,000

11,700b
2,000

N/A
N/A

Total, Design

14,00013,700

N/A

Construction
Construction
Contingency

210,000
64,000

TBD
TBD

N/A
N/A

274,000

TBD

N/A

288,000
66,00013,700
2,000

N/A
N/A

OPC except D&D
R&D
Conceptual Design
Start-upContingency

—
2,600
5,000
2,400

TBD
500
TBD
TBD

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

Total, OPC

10,000TBD

N/A

Contingency, OPC

2,400

TBD

N/A

Total Project Costa

298,000

TBD

N/A

Total, Contingency (TEC+OPC)

68,400TBD

N/A

Total Estimated Cost (TEC)

Total, Construction
Total, TEC
Contingency, TEC
Other Project Cost (OPC)

The project does not have CD-1 or CD-2 approval. The schedules and costs are only estimates and are consistent with the high end of the schedule andcost ranges.
b The “Previous Total Estimate” of $5,000 for Design in the FY 2020 submitted PDS represented only the value requested in that year, not the total
estimate.
a

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5. Schedule of Appropriations Requestsa(dollars in thousands)
RequestYear
FY 2020

FY 2021Type

Prior Years

TEC
OPC
TPC
TEC
OPC
TPC

—
—
—
—
—
—

FY 2019

FY 2020

—
500
500
—
500
500

FY 20215,000——
12,0002,100
14,100———12,000—12,000Outyears

Total

—
—
—
264,000
7,400
271,400

TBD
TBD
TBD
288,000
10,000
298,000a

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

4Q FY 2027——

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

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

—
—
—
—

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

—
—
—
—

7. D&D Information

Area of new construction ...................................................................................................................
Area of existing facility(ies) being replaced........................................................................................
Area of any additional D&D space to meet the “one-for-one” requirement.....................................

Square Feet
43,000
N/A
N/A

The new area being constructed in this project is not replacing existing facilities. Any existing space that is freed up fromconsolidating activities into SIPRC will likely be repurposed.

This project does not yet have CD-1 approval. CD-1 approval is scheduled for FY 2020. Section 6 will be filled out in the next budget cycle, after CD-1
approval.
a

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8. Acquisition Approach
The acquisition approach will be approved with CD-1 approval, anticipated to be in FY 2020. ORNL will manage allacquisitions with appropriate DOE oversight. DOE and ORNL will monitor cost, schedule, and technical performance using
an earned-value process consistent with DOE O 413.3B, Program and Project Management for the Acquisition of Capital
Assets. ORNL will construct the building and production machines, including the acquisition of specialty equipment.

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20-SC-52, Electron-Ion Collider (EIC)Brookhaven National Laboratory
Project is for Design
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Electron-Ion Collider is $2,500,000 in Total Project Cost (TPC) funding. DOE O 413.3B Critical
Decision (CD)-0, Approve Mission Need, was received on December 19, 2019. The preliminary TPC at CD-0 approval was$1.6 billion to $4.2 billion. On January 9, 2020, DOE selected Brookhaven National Laboratory as the location for the EIC.
This selection establishes a new cost range of $1.6 billion to $2.6 billion for the EIC.
Significant Changes
The EIC was initiated in the FY 2020 Enacted Appropriation. This initial construction project data sheet for FY 2021 funding
does not represent a new start for the budget year.
Of the $2,500,000 TPC funding requested in FY 2021, $1,500,000 will continue to support the conceptual design andresearch and development efforts funded under Other Project Costs. The remaining $1,000,000 of Total Estimated Costs
will support engineering and design efforts.
A Federal Project Director (FPD) will be assigned by CD-1.
Critical Milestone History
FiscalYear

CD-0

FY 2021a

12/19/19

Conceptual
DesignComplete
4Q FY 2021

CD-1

CD-2

4Q FY 2021

4Q FY 2023

Final
DesignComplete
4Q FY 2024

CD-3

D&D
Complete

CD-4

4Q FY 2024

N/A

4Q FY 2032

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

FiscalYear
FY 2021

Performance
Baseline
Validation
4Q 2023

CD-3A

CD-3B

TBD

N/A

CD-3A – Approve Long-Lead Procurements, Original Scope
CD-3B – Approve Long-Lead Procurements, Revised Scopea The project is pre-CD-2; therefore, funding and schedule estimates are preliminary.

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Project Cost History
FiscalYear
FY 2020
FY 2021a

TEC, Design
TBD
340,000

TEC,
Construction
TBD
2,010,000(dollars in thousands)
OPC, Except
TEC, Total
D&D
TBD
TBD
2,350,000
250,000

OPC, D&D

OPC, Total

TPC

TBD
N/A

TBD
250,000

TBD
2,600,000

The preliminary TPC at CD-0 approval was $1.6 billion to $4.2 billion. On January 9, 2020, DOE selected Brookhaven
National Laboratory as the location for the EIC. This selection establishes a new cost range of $1.6 billion to $2.6 billion for
the EIC. The project does not have CD-1 or CD-2 approval. The schedules and costs are only estimates and are consistent
with the high end of the schedule and cost ranges.
2. Project Scope and Justification
Scope
The scope of this project includes the key EIC machine parameters required to address the scientific agenda listed in the2015 Nuclear Science Advisory Committee (NSAC) Long Range Plans (LRP). These parameters include a high degree of beampolarization (approximately 70 percent) for electrons and light ions, availability of ion beams from deuterons to theheaviest stable nuclei, variable center of mass energies about 20–100 GeV, upgradable to about 140 GeV (e-p), highcollision luminosity about 1033-34 cm-2s-1, and possibly more than one interaction region. The scope will also include theancillary facilities, such as power and cryoplants, necessary to support the operations of the EIC.
Justification
The last three NSAC LRP reports have supported the EIC with recommendations ranging from investing in accelerator
research and development (R&D) in the 2002 NSAC LRP, to reducing technical risks in the 2007 NSAC LRP, to the actual
construction of a U.S.-based EIC in the 2015 NSAC LRP. Specifically, the 2015 NSAC LRP for Nuclear Science recommended ahigh-energy, high-luminosity polarized EIC as the highest priority for new facility construction following the completion of
FRIB. Consistent with that vision, in 2016 NP commissioned a National Academies of Sciences (NAS) study by anindependent panel of external experts to assess the uniqueness and scientific merit of such a facility. The report, released inJuly 2018, strongly supports the scientific case for building a U.S.-based EIC, documenting that an EIC will advance theunderstanding of the origins of nucleon mass, the origin of the spin properties of nucleons, and the behavior of gluons.
The project is being conducted in accordance with the project management requirements in DOE O 413.3B, Program andProject Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)b
Preliminary Key Performance Parameters (IPPs) are defined at CD-1 and may change as the project continues towards CD-2.
At CD-2 approval, the KPPs are baselined. The Threshold KPPs represent the minimum acceptable performance that the
project must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs
will be a prerequisite for approval of CD-4, Project Completion.
Performance Measure
TBD

Threshold
TBD

Objective
TBD

a The project does not have CD-1 or CD-2 approval. The schedules and costs are only estimates and are consistent with the high end of the schedule andcost ranges.
b The project does not have CD-1 approval. Preliminary KPPs are defined at CD-1. CD-1 is planned for 2021.

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3. Financial Schedulea(dollars in thousands)
BudgetAuthority(Appropriations)

Obligations

Costs

Total Estimated Cost (TEC)
DesignFY 2020

1,000

1,000

—

FY 2021

1,000

1,000

1,750

Outyears

338,000

338,000

338,250

Total, Designb

340,000

340,000

340,000

FY 2020———

FY 2021———

Outyears

2,010,000

2,010,000

2,010,000

2,010,000

2,010,000

2,010,000

FY 2020

1,000

1,000

—

FY 2021

1,000

1,000

1,750

Outyears

2,348,000

2,348,000

2,348,250

2,350,000

2,350,000

2,350,000

FY 2020

10,00010,0009,500

FY 2021

1,500

1,500

2,000

Outyears

238,500

238,500

238,500

250,000

250,000

250,000

11,00011,0009,500

Construction

Total, Constructionb
Total Estimated Costs (TEC)

Total, TECb
Other Project Costs (OPC)

Total, OPCb
Total Project Costs (TPC)FY 2020
FY 2021

2,500

2,500

3,750

Outyears

2,586,500

2,586,500

2,586,750

2,600,000

2,600,000

2,600,000

Total, TPCba This project is at the CD-0 stage. Dollars presented are through current budget request only. An estimated financial schedule will be provided in the

FY 2022 President’s Request.
b The project does not have CD-1 or CD-2 approval. The schedules are costs are only estimates and are consistent with the high end of the schedule andcost ranges.

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

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

250,000
90,000

N/A
N/A

N/A
N/A

Total, Design

340,000

N/A

N/A

Construction
Construction
Contingency

1,490,000
520,000

N/A
N/A

N/A
N/A

2,010,000

N/A

N/A

2,350,000
610,000

N/A
N/A

N/A
N/A

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

30.00040,000115,000
65,000

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

—
N/A
N/A
N/A

Total, OPC

250,000

N/A

N/A

Contingency, OPC

65,000N/A—

Total Project Costa

2,600,000

TBD

TBD

675,000

TBD

TBD

FY 2021

Outyears

Total Estimated Cost (TEC)

Total, Construction
Total, TEC
Contingency, TEC
Other Project Cost (OPC)

Total, Contingency (TEC+OPC)
5. Schedule of Appropriations Requestsb(dollars in thousands)
RequestYear

Type

Prior Years

FY 2021

TEC
OPC
TPC

—
—
—

FY 2019

FY 2020
—
—
—

1,000
10,00011,000

1,000
1,500
2,500

—
—
—

Total
—
—
—

a This project does not have CD-1 or CD-2 approval. The schedules and costs are only estimates and are consistent with the high end of the schedule andcost ranges.
b This project is at the CD-0 stage. Dollars presented are through current budget request only. Estimated values for the schedule of appropriation requests
will be provided in the FY 2022 President’s Request.

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

Operations and Maintenance

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
TBD
TBD

4Q FY 2032
TBD
TBD

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
TBD
TBD

7. D&D Information
The new area being constructed in this project is not replacing existing facilities.
New area being constructed by this project at Site TBD....................................................................
Area of D&D in this project at Site TBD..............................................................................................
Area at Site TBD 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
TBD
TBD
TBD
TBD
TBD
TBD

8. Acquisition Approach
The acquisition approach will be approved with CD-1, anticipated to be in FY 2020. Brookhaven National Laboratory has
been selected as the site. It will manage all acquisitions with appropriate Department of Energy oversight, and monitor
cost, schedule, and technical performance with DOE using an earned-value process consistent with DOE O 413.3B, Programand Project Management for the Acquisition of Capital Assets.

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366

14-SC-50, Facility for Rare Isotope Beams (FRIB)
Michigan State University (MSU), East Lansing, MI
Project is for a Cooperative Agreement
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Facility for Rare Isotope Beams (FRIB) project is $5,300,000. The Total Project Cost (TPC) at CD3B approval is $635,500,000, with a scheduled CD-4 by 3Q FY 2022. Michigan State University (MSU) is providing an
additional cost share of $94,500,000, bringing the total project cost to $730,000,000.
Significant Changes
This PDS is an update of the FY 2020 PDS and does not include a new start for FY 2021. The most recent Critical Decision(CD) for the FRIB project is CD-3B, Approve Start of Technical Construction of the Accelerator and Experimental Systems,
which was approved on August 26, 2014.
Start of civil construction officially began in March 2014, and technical construction began in August 2014. Since the start ofthe civil and technical construction, multiple independent project assessments, the most recent being in May 2019, havedetermined the project is proceeding on track and within the established project baseline. There are no changes in the
project’s scope since the establishment of the project’s baseline. The Request will complete installation and testing of
cryomodules and experimental systems, as well as commissioning efforts associated with technical components as they arecompleted.
FRIB is funded through a cooperative agreement financial assistance award with MSU per 2 CFR 200, and the project isrequired by this agreement to follow the principles of the DOE Order 413.3B. Funding tables contained in sections 3 and 4of this PDS differ slightly from a traditional PDS for a federal capital asset construction project for how the baseline ispresented in that they include the MSU cost share. The table in section 5, Schedule of Appropriations Requests, displays
only DOE funding.
A Federal Project Director with certification Level 4 has been assigned to this project and approves this PDS.
Critical Milestone History
CD-1

CD-2

Final
DesignComplete

CD-3A

CD-3B

D&D
Complete

2/09/04

4Q
FY 2010

TBD

TBD

TBD

TBD

N/A

FY 2012

2/09/04

9/01/10

TBD

TBD

TBD

N/A

FY 2013

2/09/04

9/01/10

TBD

TBD

N/A

FY 2014

2/09/04

9/01/10

TBD
3Q
FY 2013

FY 20172019
FY 20182020
TBD

TBD

N/A

TBD

FY 2015

2/09/04

9/01/104Q
FY 2014N/A

3Q
FY 2022

FiscalYear

CD-0

FY 2011

Conceptual
DesignComplete

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4Q
FY 2012TBD
3Q
FY 2013
8/01/13

TBD
4Q
FY 2014367

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CD-4

FY 2021 Congressional Budget Justification

FiscalYear

CD-0

Conceptual
DesignComplete

CD-1

CD-2

Final
DesignComplete

CD-3A

CD-3B

D&D
Complete

FY 2016

2/09/04

9/01/10

9/01/108/01/13

8/26/14a

8/01/13

8/26/14N/A

FY 2017

2/09/04

9/01/10

9/01/108/01/13

8/26/14a

8/01/13

8/26/14N/A

FY 2018

2/09/04

9/01/10

9/01/108/01/13

8/26/148/01/13

8/26/14N/A

FY 2019

2/09/04

9/01/10

9/01/108/01/13

8/26/148/01/13

8/26/14N/A

FY 2020

2/09/04

9/01/10

9/01/108/01/13

8/26/148/01/13

8/26/14N/A

FY 2021

2/09/04

9/01/10

9/01/108/01/13

8/26/148/01/13

8/26/14

N/A

CD-4
3Q
FY 2022
3Q
FY 2022
3Q
FY 2022
3Q
FY 2022
3Q
FY 2022
3Q
FY 2022CD-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
CD-3A – Approve Long-Lead Procurements, Original Scope
CD-3B – Approve Long-Lead Procurements, Revised Scope
D&D Complete – Completion of D&D workCD-4 – Approve Start of Operations or Project Closeout

Project Cost History b
Fiscal Year

Design/Construction

FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021655,700
655,700
655,700
655,700
655,700
655,700
655,700(dollars in thousands)
R&D/
Conceptual
Design/NEPA
24,60024,60024,60024,60024,60024,60024,600Pre-Operations

Total TPC

Less MSU Cost
Share

DOE TPC

49,70049,70049,70049,70049,70049,70049,700730,000
730,000
730,000
730,000
730,000
730,000
730,000-94,500-94,500-94,500-94,500-94,500-94,500-94,500

635,500
635,500
635,500
635,500
635,500
635,500
635,500

2. 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 from
This date represents when the design was substantially complete to allow the start of technical construction (CD-3B). A limited amount of design effort
continued through 4Q FY 2017.
b Because this project is funded with operating dollars through a financial assistance award, its baseline is categorized through a work breakdown structure(WBS), which is slightly different from typical federal capital assets. Note that the project’s WBS totals $730,000,000 including MSU’s cost share. The WBS
scope is not pre-assigned to DOE or MSU funds.
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FY 2021 Congressional Budget Justification

unwanted fragments by magnetic analysis. In support of these capabilities, the civil construction portion includes a
structure of approximately 220,000 square feet that will house the linac tunnel, target high bay area, linac support area,
and cryoplant area. The technical scope includes a 2K/4.5K cryogenics plant, linac front end, cryomodules, and experimental
systems.
Justification
The science that underlies the FRIB mission is a core competency of nuclear physics: understanding how protons andneutrons combine to form various nuclear species; understanding how long chains of different nuclear species survive; andunderstanding how one nuclear species decays into another and what is emitted when that happens. Forefront knowledge
and capability in this competency is essential, both for U.S. leadership in this scientific discipline and to provide theknowledge and workforce needed for numerous activities and applications relevant to national security and economic
competitiveness.
FRIB will provide intense beams of rare isotopes for a wide variety of studies in nuclear structure, nuclear astrophysics, andother topics in nuclear physics. This facility will enable the study of the origin of the elements and the evolution of thecosmos, and offers an opportunity for exploring the limits of nuclear existence and identifying new phenomena, with thepossibility that a more broadly applicable theory of nuclei will emerge. The facility will offer new glimpses into the origin of
the elements, leading to a better understanding of key issues by creating exotic nuclei that, until now, have existed only innature’s most spectacular explosion, the supernova.
FRIB is optimized to produce large quantities of a wide variety of rare isotopes by breaking stable nuclei into these rareisotopes. High intensity primary beams of stable isotopes are produced in Electron Cyclotron Resonator ion sources andaccelerated up to a minimum energy of 200 MeV per nucleon by a superconducting linear accelerator capable of delivering
400 kW of beam power at full energy. Secondary beams of rare isotopes are produced “in-flight” and separated fromunwanted fragments by magnetic analysis. These rare isotope beams are delivered to experimental areas or stopped in asuite of ion-stopping stations where they can be extracted and used for experiments at low energy, or reaccelerated for
astrophysical experiments or for nuclear structure experiments. The project includes the necessary infrastructure andsupport facilities for operations and the 1,000-person user community.
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.
Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
SystemParameter

Accelerator System

Accelerate heavy-ion beam

Experimental Systems

Produce a fast rare isotope beam of
Selenium-84
Stop a fast rare isotope beam in gas
and reaccelerate a rare isotope beam

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Performance Criteria
Measure FRIB driver linac Argon-36
beam with energy larger than 200 MeV
per nucleon and a beam current larger
than 20 pico nano amps (pnA)
Detect and identify Selenium-84
isotopes in FRIB fragment separator
focal plane
Measure reaccelerated rare isotope
beam energy larger than 3 MeV per
nucleon

FY 2021 Congressional Budget Justification

SystemParameter

Conventional Facilities

Linac tunnel

Cryogenic helium liquefier plant—
building and equipment
Target area

Performance Criteria
Beneficial occupancy of subterraneantunnel structure of approximately 500
feet path length (minimum) to house
FRIB driver linear accelerator
Beneficial occupancy of the cryogenic
helium liquefier plant building andinstallation of the helium liquefierplant complete
Beneficial occupancy of target area andone beam line installed and ready forcommissioning

3. Financial Schedulea(dollars in thousands)
BudgetObligations
Authority(Appropriations)

Costsb

DOE Total Project Cost (TPC)FY 2009

7,000

7,000

4,164

FY 2010

12,00012,00013,283

FY 2011

10,00010,00011,553

FY 201222,00022,00018,919FY 201322,00022,00020,677FY 2014c

55,00055,00048,369FY 2015

90,00090,00079,266

FY 2016

100,000

100,000

121,769

FY 2017

100,000

100,000

100,000

FY 2018

97,20097,20084,124

FY 201975,00075,00038,344

FY 2020

40,00040,00042,000FY 2021

5,300

5,300

31,000Outyears——

22,032

Total, DOE TPC

635,500

635,500

635,500

The funding profile represents DOE’s requested portion, which is less than the current baselined TPC which includes MSU’s cost share.
Costs through FY 2018 reflect actual costs; costs for FY 2019 and the outyears are estimates.
c The first project data sheet submitted for FRIB was in the FY 2015 Congressional Budget Request. It was established as a control point in the FY 2014
appropriation. Funding for the project in FY 2013 and prior years was provided within the Low Energy subprogram.
ab

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

Previous
Total
Estimate

Original
Validated
Baseline

39,599208,100
301,551
81,686
24,81437,288208,100
295,21675,52039,62635,400165,300
241,400
55,000158,650

655,750

655,750

655,750

24,641
34,187

24,641
34,65924,60035,50015,422

14,95014,150Total, OPC

74,25074,25074,250Total, TPC

730,000

730,000

730,000

MSU Cost Share

94,50094,50094,500Total Project Cost (DOE Share)

635,500

635,500

635,500

Total, Contingency (DOE Held)

40,23654,576

172,800

FY 2021

Outyears

DOE Total Estimated Cost (TEC)
Design & Construction
Management and Support
Conventional Facilities
Accelerator Systems
Experimental Systems
Contingency (DOE Held)
Total, Design & Construction
Other Project Cost (OPC)
Conceptual Design/Tech R&D/NEPA
Pre-ops/Commissioning/SparesContingency (DOE Held)

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

FY 2011

FY 2012

Type
TEC
OPC
TPC
TEC
OPC
TPC

Prior Years

FY 2019——
29,000——59,000FY 2020
—
—
—
—
—
—

—
—
—
—
—
—

—
—
—
—
—
—

Total
—
—
—
—
—
—

—
—
29,000——59,000This section shows a breakdown of the total project cost of $730,000,000 as of 6/30/2019, which includes MSU’s cost share. The scope of work is not preassigned to DOE or MSU funds.
b The funding profile represents DOE’s portion of the baselined TPC to be provided through federal appropriations. TEC/OPC type efforts are managed at
the DOE and MSU funding levels ($730,000,000) and not available for the DOE funding portion only.
a

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(dollars in thousands)
Request Year

FY 2013

FY 2014

FY 2015

FY 2016

FY 2017

FY 2018

FY 2019

FY 2020

FY 2021

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

Prior Years

FY 2019——73,000——128,000——
515,200——
515,200——
515,200——
498,000——
498,000——
515,200——
515,200

FY 2020

—
—
—
—
—
—
—
—
75,000——75,000——75,000——75,000——75,000——75,000——75,000FY 2021

—
—
—
—
—
—
—
—
40,000——40,000——40,000——57,200——57,200——40,000——40,000Outyears

—
—
—
—
—
—
—
—
5,300
—
—
5,300
—
—
5,300
—
—
5,300
—
—
5,300
—
—
5,300
—
—
5,300

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

—
—
73,000——128,000——
635,500——
635,500——
635,500——
635,500——
635,500——
635,500——
635,500

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

3Q FY 2022
20 years
N/Aa

Related Funding Requirements(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
Operationsb

90,00090,000Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
1,800,000c

1,800,000

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.
ab

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7. D&D Information
The FRIB project is being constructed at MSU under a cooperative agreement financial assistance award. The one-for-one
requirement, which requires the demolition of a square foot of space for every square foot added, is not applicable, since
this is not a federal capital acquisition.
8. Acquisition Approach
FRIB project activities will be accomplished following all procurement requirements, which include using fixed-priced
competitive contracts with selection based on best value. MSU has contracted for the services of an architect-engineer firm
for the design of the conventional facilities. The Driver Linac and Experimental System components will be self-performedby the MSU design staff with assistance from outside vendors and from DOE national laboratories that possess specificareas of unique expertise unavailable from commercial sources. Integration of the conventional facilities with the Driver
Linac and Experimental Systems will be accomplished by the MSU FRIB Project Team.

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374

Isotope Production and Distribution Program Fund
Overview
The Department of Energy’s Isotope Program (DOE IP) produces and sells radioactive and stable isotopes, byproducts,
surplus materials, and related isotope services worldwide. It operates under a revolving fund, the Isotope Production andDistribution Program Fund, established by the 1990 Energy and Water Development Appropriations Act (Public Law 101101), as amended by the 1995 Energy and Water Development Appropriations Act (Public Law 103-316). Funding for the
Isotope Production and Distribution Program Fund is provided by the combination of annual appropriations from the
Isotope Development and Production for Research and Applications subprogram within the Nuclear Physics (NP) program in
the Science appropriation account, and collections from isotope sales; both are needed to maintain the Isotope Program’s
viability. This revolving fund allows continuous and smooth operations of isotope production, sales, and distribution
independent of the federal budget cycle and fluctuating sales revenue. An independent cost review of the fund’s revenues
and expenses is conducted annually by an external contractor.
Annual appropriations in NP funds a payment into the revolving fund to maintain mission-readiness of facilities, including
the support of core scientists and engineers needed to carry out the Isotope Program and the maintenance of isotope
facilities to assure reliable production. In addition, appropriated funds provide support for research and development(R&D) activities associated with development of new production and processing techniques for isotopes, production ofresearch isotopes, and training of new personnel in isotope production. Each site’s production expenses, including
processing and distributing isotopes, are offset by revenue generated from sales. About 80 percent of the resources in therevolving fund are used for operations, maintenance, isotope production, and R&D for new isotope production techniques,with approximately 20 percent available for process improvements, unanticipated changes in volume, and purchases ofsmall capital equipment, such as assay equipment and shipping containers needed to ensure on-time deliveries.
The Department supplies isotopes and related services to the Nation under the authority of the Atomic Energy Act of 1954,
which specifies the role of the U.S. Government in isotope distribution. Substantial national and international scientific,
medical, and research infrastructure relies upon the use of isotopes and is strongly dependent on the Department’s
products and services. Isotopes are used for hundreds of applications that benefit society every day, such as diagnostic
medical imaging, cancer therapy, smoke detectors, neutron detectors for homeland security applications, explosives
detection, oil exploration, and tracers for environmental research. For example, radioisotopes are used in the diagnosis ortreatment of about one-third of all patients admitted to hospitals.a More than 20 million Americans benefit each year from
nuclear medicine procedures used to diagnose and treat a wide variety of diseases.b Such nuclear medicine procedures areamong the safest and most effective diagnostic tests available and enhance patient care by avoiding exploratory surgery
and other invasive procedures. DOE IP 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 thegreatest availability of isotopes.
Radioisotopes are primarily produced and processed at three facilities stewarded by DOE IP: the Brookhaven Linac Isotope
Producer (BLIP) and associated processing labs at Brookhaven National Laboratory (BNL), the Isotope Production Facility(IPF) and associated processing labs at Los Alamos National Laboratory (LANL), and the processing labs at Oak Ridge
National Laboratory (ORNL). Enriched stable isotopes are produced at the Enriched Stable Isotope Prototype Plant (ESIPP)
also at ORNL. In addition, production and distribution activities are supported at the Advanced Test Reactor (ATR) at Idaho
National Laboratory (INL), the High Flux Isotope Reactor (HFIR) at ORNL, the Y-12 National Security Complex near ORNL, theLow Energy Accelerator Facility (LEAF) at Argonne National Laboratory (ANL), and processing facilities at the PacificNorthwest National Laboratory (PNNL) and the Savannah River Site. IPF, BLIP, and LEAF provide accelerator production
capabilities, while HFIR and ATR provide reactor production capability. HFIR has the highest neutron flux available forisotope production in the United States. ESIPP represents the re-establishment of general enriched stable isotope
production capabilities in the U.S. and started operations in 2016. DOE IP is further broadening capability by including
university-supported accelerator and reactor facilities used for research, education, and isotope production that canab

https://www.nrc.gov/reading-rm/doc-collections/fact-sheets/med-use-radioactive-materials.html
http://www.snmmi.org/ClinicalPractice/content.aspx?ItemNumber=4825

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provide cost-effective and unique production capabilities, as the University of Washington and the Missouri University
Research Reactor are now part of the DOE IP University Production Network. Many other universities have expressedinterest in participating in the network.
In FY 2019, a total of $102,421,821 was deposited into the revolving fund. This consisted of the FY 2019 appropriation of$44,259,000 paid into the revolving fund from the Nuclear Physics program, plus collections of $58,162,821 to recover costs
related to isotope production and isotope services. Collections in FY 2019 included, for example, sales of actinium-225,
actinium-227, strontium-82, strontium-89, germanium-68, californium-252, helium-3, cobalt-60, nickel-63, selenium-75,
and barium-133.
Actinium-225 (Ac-225) is used in pharmaceuticals under development to more effectively treat cancer and other diseases.
Actinium-227 provides radium-223 for Xofigo®, which was the first alpha particle-emitting radioisotopic drug approved by
the Federal Drug Administration; Xofigo® extends patient survival as well as alleviates the excruciating pain associated withcancer that has metastasized to bone. Strontium-82 has gained world-wide acceptance for use in heart imaging andstrontium-89 alleviates the pain associated with bone metastases. Germanium-68 supports development of gallium-68
diagnostic imaging pharmaceuticals and the FDA-approved drug NETSPOTTM for detection of neuroendocrine tumors.
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 and cryogenics; cobalt-60 is used in gamma-ray cancer
surgery; nickel-63 enhances national security through its use in detectors for explosives and illicit material; selenium-75 isused as a radiography source; and barium-133 is a gamma-ray source used for calibration standards, including as a standard
for iodine-131 for calibration of medical equipment.
In FY 2020, the DOE IP expects to sell about 160 different radioactive and stable isotopes to a broad range of research andcommercial customers, including major pharmaceutical companies, industrial stakeholders, and researchers at hospitals,
national laboratories, other Federal agencies, universities, and private companies. Among the isotopes produced, elevenare high-volume isotopes often with commercial applications and the remaining are low-volume, mostly research isotopes,
which are more expensive to produce. 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 that the highpriority research requiring them does not become cost prohibitive.
Program Accomplishments
Eliminating U.S. Dependence on Foreign Supply.
Strontium-90 is used as a generator of yttrium-90 which is used in medical applications such as the treatment of livercancer. Until 2019, the U.S. had been dependent on Russia, the only world-wide supplier. The DOE IP is supporting an effort
at PNNL to separate approximately 3,000 curies from legacy material. The first material was distributed to customers in2019 and the DOE IP is now capable of fully meeting U.S. annual demand.
Inventory of Scarce Isotope Created.
The Enriched Stable Isotope Prototype Plant (ESIPP) at Oak Ridge National Laboratory completed its first production
campaign for the rare isotope ruthenium-96 in FY 2019, generating the only ruthenium-96 available on the globe. Part ofthis inventory was used to enable a crucial nuclear physics experiment at Brookhaven’s Relativistic Heavy Ion Collider tostudy matter that has not existed since the early Universe. The production was accomplished via electromagnetic
separation technology. Efforts have now transitioned to ytterbium-176, another highly scarce isotope currently in demand
to produce lutetium-177 for the treatment of prostate cancer.
Commercialization of Strontium-82 (Sr-82) Production.
The DOE IP worked with industry to establish the first domestic commercial producer of Sr-82, an isotope widely used for
cardiac imaging. DOE IP introduced Sr-82 to the market decades ago, and has steadily increased production and thecustomer base to create an economically viable isotope, ready for commercialization. DOE IP provided technical assistanceto private companies interested in developing Sr-82 production capabilities, and one was successful in entering the market
in the U.S. DOE IP provided assistance in keeping them stable until their product was qualified to be used for FDA-approved
cardiac imaging procedures. They are now the first domestic commercial producer of Sr-82, mitigating U.S. reliance on
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Russian and Canadian producers. The DOE IP remains as a backup supplier, poised to cover any supply shortages, should
they occur.
Highlights of the FY 2021 Request
For FY 2021, 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 DOE IP portfolio
continues to grow rapidly as isotope availability increases. The FY 2021 Request of $66,000,000 is an increase of$16,500,000, or 33.3 percent above the FY 2020 Enacted level. Revolving fund resources will be used to: maintain isotope production infrastructure and core competencies
 perform research and development on new isotope production and enrichment technology
 produce isotopes in short supply, add isotope harvesting to the Facility for Rare Isotope Beams (FRIB) enhance processing and production capabilities to increase isotope availability
 reduce U.S. dependence on foreign supply of isotopes, increase helium-3 extraction capabilities
 develop and operate radioisotope enrichment capabilities
 explore and enhance stable isotope enrichment capabilities
 increase production of Ac-225 and other high-in-demand alpha emitters for cancer therapy
 introduce new isotopes to the market for research and applications
 develop isotope production capabilities for quantum information science
The FY 2021 Request includes $3,500,000 to continue the FRIB Isotope Harvesting accelerator improvement effort. FRIB is anext generation scientific user facility being constructed at Michigan State University for nuclear structure and astrophysics
measurements. This project will add isotope harvesting capabilities to the FRIB, which will provide access to a wide range ofisotopes, including unusual isotopes for exploratory studies.
The FY 2021 Request for the Nuclear Physics program includes $12,000,000 to continue the U.S. Stable Isotope Production
and Research Center at ORNL, which will significantly enhance stable isotope production capacity for the Nation. This Line
Item Construction Project has a Total Project Cost (TPC) range of $200,000,000 - $260,000,000. This new facility will build
upon the expertise in centrifuge and electromagnetic isotope separation technology nurtured by the Stable Isotope
Production Facility (SIPF) major item of equipment.

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378

Workforce Development for Teachers and Scientists
Overview
The Workforce Development for Teachers and Scientists (WDTS) program mission is to help ensure that DOE has asustained pipeline for the science, technology, engineering, and mathematics (STEM) workforce. Accomplishing this mission
depends on continued support for undergraduate internships, graduate thesis research opportunities, and visiting faculty
research appointments; administration of the Albert Einstein Distinguished Educator Fellowship for K–12 STEM teachers forthe federal government; and annual, nationwide, middle and high school science competitions culminating in the National
Science Bowl® finals in Washington, D.C. These activities support the development of the next generation of scientists andengineers 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 DOE workforce development mission.
Highlights of the FY 2021 Request
The FY 2021 Request for $20,500,000 prioritizes funding for programs that place highly qualified applicants in authentic
STEM learning, training, and research experiences at DOE laboratories. The Request increases support for outreachactivities to the scientific community targeting Office of Science (SC) mission-driven disciplinary workforce needs. It alsoprioritizes support for the DOE National Science Bowl®, a signature STEM competition testing middle and high school
students’ knowledge in science and mathematics. By encouraging students to pursue STEM careers, these programs
address the DOE’s STEM mission critical workforce pipeline needs required to advance national security and promote
American competitiveness.
Description
Activities at the DOE Laboratories
WDTS supports activities such as the Science Undergraduate Laboratory Internships (SULI) program, the Community College
Internships (CCI) program, the Office of Science Graduate Student Research (SCGSR) program, and the Visiting Faculty
Program (VFP). One of the primary goals of these programs is to prepare students to enter STEM careers that are especiallyrelevant to the DOE mission. By providing research experiences at DOE laboratories under the direction of scientific andtechnical laboratory staff who serve as research advisors and mentors, these activities provide opportunities forparticipants 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’s Committee on STEM Education (CoSTEM) Federal STEM Education 5-Year Strategic Plan, and the Administration’s
goals for educating and training an American workforce for the 21st century economy.
SULI 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 the summer term and 16 weeks during the fall and spring terms.
CCI places community college students as paid interns in technological activities at DOE laboratories, working under thesupervision of a laboratory technician or researcher. Appointments are for 10 weeks during the summer, fall, and springterms.
SCGSR’s 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
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FY 2021 Congressional Budget Justificationcentral to the SC mission. U.S. graduate students pursuing Ph.D. degrees in physics, chemistry, materials sciences, nonmedical biology, mathematics, computer or computational sciences, or specific areas of environmental sciences alignedwith 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 VFP goal is to increase the research competitiveness of faculty members and students at institutions of higher
education historically underrepresented in the research community. Through direct collaboration with research staff at
DOE host laboratories, VFP appointments provide an opportunity for faculty and their students to develop skills applicableto programs at their home institutions; this helps increase the STEM workforce in DOE science mission areas at institutions
historically under-represented within the DOE enterprise. Appointments are in the summer term for 10 weeks.
Albert Einstein Distinguished Educator Fellowship
The Albert Einstein Distinguished Educator Fellowship Act of 1994 charges the Department of Energy (DOE) withadministering a fellowship program for elementary and secondary school mathematics and science teachers that focuses onbringing teachers’ real-world expertise to government to help inform federal STEM education programs. Selected teachers
spend 11 months in a Federal agency or a Congressional office. WDTS manages the Albert Einstein Distinguished Educator
Fellowship (AEF) Program for the Federal government. Fellows are supported by DOE and other Federal agencies. SC
sponsors placement opportunities in WDTS and in Congressional offices. Other Federal agencies sponsor placement
opportunities in their own offices. Participating agencies have included the National Science Foundation (NSF), the National
Aeronautics and Space Administration (NASA), the Library of Congress, the Department of Defense, the Smithsonian, andthe U.S. Geological Survey (USGS). The Fellows provide educational expertise, years of teaching experience, and personal
insights to these offices to advance Federal 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 305,000 students have participated in the National Science Bowl® throughout its 29year history, and it is one of the nation’s largest science competitions. The DOE Office of Science manages the National
Science Bowl®, and sponsors the National Science Bowl® finals competition. Regional competitions rely upon volunteers
and are supported 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
an advisor and coach. SC sponsors the National Science Bowl® finals, and provides central management of its regional
events.
In FY 2019, more than 5,400 middle school students (from 649 schools) and 9,200 high school students (from 1,200 schools)
participated in 111 regional competitions, with 48 middle school teams (215 students) and 64 high school teams (310students) participating in the National Finals in Washington, D.C. All 50 U.S. States, the District of Columbia, and Puerto Ricowere represented at regionals. More than 5,000 volunteers also participate in the local and national competitions.
The National Science Bowl® championship finals are held at the Lisner Auditorium, located on the campus of The George
Washington University, and features a live web-streaming broadcast of the event.
Technology Development and On-Line Application
This activity modernizes on-line systems used to manage application solicitations, review applications, facilitate datacollection, perform outreach, and integrate evaluation for WDTS programs. A project to develop, build, and launch new
online application and program support systems continues, with evolving new elements that improve accessibility toapplicants, advance program oversight and evaluation by WDTS program staff, and allow more efficient management andexecution of programs by DOE laboratory staff. An important component 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 andScience/Workforce Development
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quantitative analyses for measuring progress and optimizing program management.
Evaluation Studies
The Evaluation Studies activity supports work to assess whether WDTS programs meet established goals. This isaccomplished through the use of triennial reviews of its program performers, and of WDTS itself. These reviews are either
subject matter program peer reviews, or Federal Advisory Committee commissioned Committee of Visitors reviews,
respectively. Additional supported activities that measure and assess program performance involve the collection andanalysis of data and other materials, including pre- and post-participation questionnaires, participant deliverables, notableoutcomes (publications, presentations, patents, etc.), and longitudinal participant tracking. As directed by the 2018 CoSTEM 5-Year Plan on STEM Educationa, WDTS is also tracking and reporting how its programs, and activities at DOE labs and
SC scientific user facilities, fulfill the objectives of that plan.
The Evaluation Studies activity is aligned with the Government Performance and Results Act (GPRA) Modernization Act of2010, which emphasizes the need for federal programs (including STEM education programs) to demonstrate theireffectiveness through rigorous evidence-based evaluation. WDTS works cooperatively with SC programs, other DOE
programs, and other federal agencies through CoSTEM to share best practices for STEM program evaluation to ensure theimplementation of evaluation processes appropriate to the nature and scale of the program effort.
Outreach
WDTS engages in outreach activities, some in cooperation with other DOE program offices and select federal agencies, towidely publicize its opportunities. The WDTS website is the most widely used tool for prospective program participants toobtain information about WDTS and provides a gateway to accessing the online applications for the WDTS programs. To
help diversify the applicant pool, outreach is also conducted via presentations to targeted stakeholder groups, and via the
web using virtual webinar meetings that highlight the programs, their opportunities, and the WDTS internship experience.
Additional online tools have been implemented to directly publicize opportunities for students via their academic
institutional career offices, which is a rapidly expanding outreach modality amongst student populations seeking internshipopportunities.
WDTS also annually solicits proposals from DOE host laboratories and facilities to develop and execute outreach activities
aimed at recruiting a more diverse spectrum of applicants to WDTS laboratory-based programs, and encouraging thepipeline of WDTS program participants to pursue careers supporting the SC and DOE mission at DOE National Laboratories.
Emphasis of laboratory outreach activities is on reaching potential applicants who are underrepresented in STEM fields,
including targeted outreach to minority serving institutions. Eligible laboratories and facilities are those that hostparticipants in the SULI, CCI, VFP, and/or SCGSR programs. Based upon reported outcomes of annually completed activities,
a portfolio of model practices is evolving to help ensure that WDTS activities are fully open and accessible to all members of
the population.
The Laboratory Equipment Donation Program (LEDP) is operated under Outreach and provides excess laboratory
equipment to STEM faculty at accredited post-secondary educational institutions. Through the General Services
Administration Energy Asset Disposal System, DOE sites identify excess equipment and colleges and universities can thensearch for equipment of interest and apply via the website. The equipment is free, but the receiving institution pays forshipping costs. This consolidation does not alter the scope of this activity.

ahttps://www.whitehouse.gov/wp-content/uploads/2018/12/STEM-Education-Strategic-Plan-2018.pdf

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Workforce Development for Teachers and Scientists
Funding(dollars in thousands)
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

Activities at the DOE Laboratories
Science Undergraduate Laboratory Internships
Community College Internships
Office of Science Graduate Student Research Program
Visiting Faculty Program
Total, Activities at the DOE Laboratories
Albert Einstein Distinguished Educator Fellowship
National Science Bowl®
Technology Development and On-Line Application
Evaluation Studies
Outreach
Total, Workforce Development for Teachers and Scientists

10,300
1,000
3,500
1,700
16,500
1,200
2,900
750
600
550
22,50013,600
1,700
4,500
2,000
21,800
1,200
2,900
700
600
800
28,000

9,100
1,100
2,600
1,700
14,500
800
2,900
500
300
1,500
20,500-4,500-600-1,900-300-7,300
-400
—
-200
-300
+700
-7,500Science/Workforce Development
for Teachers and Scientists

382

FY 2021 Congressional Budget Justification

Program Accomplishments
Science Undergraduate Laboratory Internships (SULI) — FY 2019 funding supported approximately 940 placements, ofwhich more than 65 were from Minority Serving Institutions (MSIs), and approximately 41 percent were women. 97 percentof the participants reported receiving a high quality internship experience, with 98 percent reporting impacts to theireducational and career goals, and would recommend SULI to their peers. As in prior years, participants continue to makenotable contributions to research projects as evidenced by co-authorship in peer reviewed journals, patents, and/or
presentations at scientific meetings. A new SULI eligibility category called "Recent Graduates" was implemented in theSummer 2019 Term application period, which replaced "Graduating Seniors” and extends the period of eligibility forgraduates of 4-year institutions and community colleges to two years (formerly one year) between the date of graduationand the start of the SULI term. This change provides additional experience based learning opportunities for students
considering a STEM research career and addresses recommendations from the 2016 COV review.
Community College Internships (CCI) — In FY 2019, approximately 25 percent of the participants were from MSIs. 98
percent of the participants reported receiving a high quality internship experience, with 100 percent reporting impacts totheir educational and career goals, and would recommend CCI to their peers. In FY 2019 General Atomics (San Diego, CA)also joined the CCI program as a host institution.
Office of Science Graduate Student Research Program (SCGSR) — In FY 2019, SCGSR added new research areas that
address STEM disciplines not well represented in academic curricula; that address STEM disciplines in high demand,nationally and/or internationally, resulting in difficulties in recruitment and retention at U.S. universities and at DOE
laboratories; that address STEM disciplines for which the DOE laboratories may play a role in providing needed workforce
development; and at the graduate student level that can address SC discipline-specific workforce development needs.
Additionally, the program developed new convergence research areas (e.g. data science, microelectronics, and accelerator
science) to address workforce needs able to fulfill SC’s long-range vision on emerging frontiers in science discovery andinnovation that increasingly require transdisciplinary approaches. Convergence is a recognized priority in the National
Science and Technology Council CoSTEM Federal STEM Education 5-Year Strategic Plan, and it supports the Administration’s
goals for educating and training an American workforce for the 21st century economy. Since 2014, there have been 489
SCGSR awardees from 135 institutions across the U.S.
Visiting Faculty Program (VFP) — FY 2019 funding supported 55 faculty and 39 student placements, and of theseparticipants, at least 23 were women and 24 were from MSIs. The Savannah River National Laboratory (Aiken, SC) alsojoined the VFP program as a host institution. All VFP Faculty participants reported a positive impact on their careers, with
98 percent expressing interest in continuing their research collaboration. All would recommend VFP to their peers. All VFPStudent participants reported receiving a high quality internship experience, with 98 percent reporting impacts to theireducational and career goals, and would recommend VFP to their peers.
Albert Einstein Distinguished Educator Fellowship (AEF) — In FY 2019, one of the six WDTS sponsored AEF participants helda WDTS office appointment. In addition to engaging in WDTS programmatic activities, as nationally recognized STEM
educators, the WDTS placed Fellow collaborated onsite with Brookhaven National Laboratory, the National Renewable
Energy Laboratory, Fermi National Accelerator Laboratory, Argonne National Laboratory, and Los Alamos National
Laboratory, applying their expertise to portions of the laboratories’ STEM education outreach activities. In efforts to expand
federal agency participation, the incoming 2019-2020 cohort includes a placement at the Department of Defense’s Naval
Surface Warfare Center, and WDTS established partnerships with other agencies who have expressed interest in hosting a
Fellow for the FY 2019 application cycle (2020-2021 cohort), including USGS and the Smithsonian’s National Air and Space
Museum.
The National Science Bowl® — The National Finals of the 29th DOE National Science Bowl® took place in the Washington,
DC, area from April 25 - 29, 2019. The Administrator of the National Nuclear Security Administration delivered
congratulatory remarks to the 64 high schools and 48 middle schools at the finals, and conferred awards to the winningteams.
Science/Workforce Development
for Teachers and Scientists

383

FY 2021 Congressional Budget Justification

The National Science Bowl®’s Science Day is a cornerstone event, opening the finals competition with a tradition of
attracting prominent speakers, including outstanding researchers from DOE laboratories, who are able to connect DOE
laboratory workplace experience and careers to these students’ STEM areas of study. Having Science Day speakers fromacross the DOE laboratory complex is particularly relevant from a workforce mission perspective, as this is often the firsttime that these students become aware of DOE mission research, and the national laboratory complex. The 2019 National
Science Bowl® Science Day for high-school finalists had as its theme DOE National Scientific User Facilities, comprising themost advanced tools of modern science, helping researchers propel the U.S. to the forefront of science, technology
development, and deployment through innovation.
The Cyber-Challenge middle school activity continued in FY 2019. This Cyber-Challenge activity leverages NNSA’s
Cybersecurity Workforce Pipeline Consortium investments, and is based upon activities developed at Lawrence Livermore
National Laboratory. The National Science Bowl® event provides an opportunity to develop and test these cybersecurity
outreach and training activities at large concurrent participant scales. Based upon this success, as well as on additional
activities sponsored under WDTS Outreach, Cyber Challenge events is being piloted at 4 different FY 2020 Middle School
Regional Competitions hosted by DOE laboratories. This expansion will provide additional access to computational thinking
activities prioritized in the CoSTEM Federal STEM Education 5-Year Strategic Plan, in alignment with the Administration’s
goals for educating and training an American workforce for the 21st century economy. It also expands DOE’s portfolio ofcyber challenge activities currently focused on more advanced STEM students.
Technology Development and On-Line Application — In FY 2019, under WDTS direction, the technical development
performed by the Oak Ridge Institute for Science and Education (ORISE) for a National Science Bowl® alumni website
commenced, with development for the National Science Bowl® Travel Portal completed and pending final testing andacceptance for launch in FY 2020. Additionally, the technical requirements and information architecture for a virtual
National Science Bowl® training site on SC’s website have been defined, with development commencing for a planned
launch in FY 2020. Technical requirements for enhancements and features supporting WDTS online systems also include anational virtualized National Science Bowl® scoring system, a national virtualized Cyber Challenge capability developed incoordination with Lawrence Livermore National Laboratory, and integration of toolsets to establish a virtual workspaceenvironment/portal for WDTS program collaboration with its program performers enabling labs to leverage, share, and use
participant professional development content and capabilities. Additional development focused on embedded commercial
outreach toolsets such as Handshake, and a STEM activity reporting tool with inputs that include event type, sponsorship,targeted audience(s), amplification, and connection to the 2018 CoSTEM 5-Year Plan on STEM Education. This reporting tool
provides a single point-of-contact portal enabling facile data collection, management, and archiving in a manner thatminimizes burdens of specialized unscheduled data calls to the DOE labs.
Evaluation — In FY 2019, WDTS completed a triennial program external peer review of SULI, CCI, and VFP. As in past
program peer reviews, labs received individual guidance and feedback on their programs, with findings also used toadvance operational baselines through complex-wide discussion and feedback. The peer review criteria, established by
WDTS, evaluated whether host institutions are managing and executing SULI, CCI, and VFP through WDTS established
Model Practices so that: 1) participants receive best-in-class faculty or intern experiences and, as a result of the program,
have increased their preparedness for a STEM career; 2) the activities support DOE’s goal “to develop the next generationof scientists and engineers to support Department missions, administer its programs, and conduct the research that willrealize the nation’s science and innovation agenda”; and 3) the programmatic baseline as defined by the WDTS Core
Requirements is being met. The review criteria and inputs also included elements of the 2018 CoSTEM 5-Year Plan on STEM
Education, so that the review’s outcomes can help guide SC/WDTS when implementing that plan.
Outreach — DOE host laboratories and facilities executed projects aimed at recruiting a more diverse applicant pool to
WDTS laboratory-based programs, targeting recruitment of individuals traditionally underrepresented in STEM andaddressing needs to increase the applicant pool diversity for one or more of the WDTS programs currently implemented at
DOE host laboratories and facilities. As one outcome, a “Mini-Semester” experience that brings prospective applicants fromunderrepresented communities to DOE labs in a week-long immersion experience is proving successful and being adopted
by increasing numbers of host labs. A complex-wide virtual career was also held where labs were able to access and recruit
potential applicants using an online “recruitment booth” presence.
Science/Workforce Development
for Teachers and Scientists

384

FY 2021 Congressional Budget Justification

WDTS completed the LEDP online system migration from the Office of Scientific and Technical Information (OSTI) to the Oak
Ridge Institute for Science and Education (ORISE) that integrates LEDP’s equipment catalog, applications, reviews, andprocessing into WDTS online systems. By using established online resources, and their capabilities, this migration improves
the client experience when accessing and applying for equipment, and also improves management and execution ofequipment transfer processes. Updates to eligibility and use requirements better align LEDP to SC and DOE workforce
mission priorities, as well as improves accountability for the excess donated equipment.

Science/Workforce Development
for Teachers and Scientists

385

FY 2021 Congressional Budget Justification

Workforce Development for Teachers and Scientists
Activities and Explanation of Changes(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

Workforce Development for
Teachers and Scientists$28,000$20,500
Activities at the DOE Laboratories$21,800$14,500
Science Undergraduate Laboratory$13,600$9,100Internships
Funding for SULI supports approximately 1,170
The Request for SULI will support approximately 785
Funding will support 385 fewer students.
students. Student stipends, which have been flat for students.
eight years, modestly increase to keep up withmarket value.
Community College Internships$1,700$1,100Funding for CCI supports approximately 150
The Request for CCI will support approximately 100
Funding will support 50 fewer students.
students. Student stipends, which have been flat for students.
eight years, modestly increase to keep up withmarket value.
Graduate Student Research Program$4,500Funding for the SCGSR program supports
approximately 185 graduate students. Targetedpriority research areas will be informed by SC’s
workforce training needs studies.

$2,600
The Request for the SCGSR program will support
Funding will support 70 fewer students.
approximately 115 graduate students. Targeted priority
research areas will be informed by SC’s workforce
training needs studies.

-$7,500-$7,300-$4,500-$600-$1,900

Visiting Faculty Program$2,000$1,700-$300
Funding for the VFP supports approximately 70
The Request for the VFP will support approximately 62
Funding will support 8 fewer faculty and 9 fewer
faculty and 45 students. Faculty and student
faculty and 36 students.
students.
stipends, which have been flat for eight years,
modestly increase to keep up with market value.

Science/Workforce Development
for Teachers and Scientists

386

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted
Albert Einstein Distinguished Educator
Fellowship
Funding supports 6 Fellows.

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

FY 2021 Request$1,200National Science Bowl®
$2,900Funding continues support to sponsor the finals
competition and provide central management of
116 regional events, involving 14,300 students fromall fifty states, the District of Columbia, Puerto Rico,and the U.S. Virgin Islands.

$800
The Request will support 4 Fellows.

-$400
Funding will support 2 fewer Fellows.

$2,900
The Request will provide support to sponsor the finals
No change.
competition and provide central management of 116
regional events, involving 14,300 students from all fifty
states, the District of Columbia, Puerto Rico, and the U.S.
Virgin Islands.

$—

Technology Development and On-line
Application Systems
$700
$500
-$200
Funding continues development and operation of
The Request will continue development and operation of Funding will maintain operation of the on-line
the on-line systems, including continued
the on-line systems.
systems; the rate of development will be slowed.
enhancements for operations of the NSB.
Evaluation$600
Funding continues support for evaluation activities, The Request will continue support for evaluation
including data archiving, curation, and analyses.
activities, including data archiving, curation, and
WDTS continues a systematic review of dataanalyses.
derived evidence from its current and past program
participants, to be further augmented by the design
and implementation of a longitudinal study of its
cohorts of prior SULI participants, looking backmore than 20 years.

Science/Workforce Development
for Teachers and Scientists

387

$300

-$300
No new longitudinal evaluation activities will be
initiated.

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Outreach$800
Funding supports 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. Support continues for the LEDP
program.

$1,500
The Request will support outreach activities to thescientific community targeting Office of Science missiondriven disciplinary workforce needs in the next 5 to 10
years, including additional outreach activity proposal
solicitations from DOE host labs and facilities. Support
continues for the LEDP program.

Science/Workforce Development
for Teachers and Scientists

388

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted+$700
WDTS will increase support of activities such as thosethat promote inclusion and diversity; reflect one ormore goals/objectives/pathways of the 2018 CoSTEM
Five Year Plan on STEM Education; and/or prioritize
recruitment of STEM students to DOE research anddevelopment workforce mission-relevant fields ofstudy, and particularly to fields related to Office of
Science research programs. Laboratories and facilities
eligible for funding are those that hosted FY 2019
WDTS participants in SULI, CCI, VFP, and SCGSR.

FY 2021 Congressional Budget Justification

Workforce Development for Teachers and Scientists
Funding Summary(dollars in thousands)
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

22,50022,50028,00028,00020,50020,500

Other
Total, Workforce Development for Teachers and Scientists

Science/Workforce Development
for Teachers and Scientists

389

FY 2021 Request vsFY 2020 Enacted-7,500-7,500FY 2021 Congressional Budget Justification

390

Science Laboratories Infrastructure
Overview
The Science Laboratories Infrastructure (SLI) program mission is to support scientific and technological innovation at the
Office of Science (SC) laboratories by funding and sustaining general purpose infrastructure and fostering safe, efficient,reliable, and environmentally responsible operations. The main priorities of the SLI program are improving SC’s existing
physical assets (including major utility systems) 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 as well as Nuclear Operations at Oak Ridge National Laboratory (ORNL)
and landlord responsibilities across the Oak Ridge Reservation.
SC manages an infrastructure portfolio worth nearly $22.0 billion, which is composed of 13 sites with nearly 23 million grosssquare feet (gsf) in 1,570 government owned buildings. SC assets at their 10 national laboratories include major researchand user facilities, laboratory and office buildings, support facilities, and a vast network of utilities that form the backboneof each site. While SC has provided significant stewardship of research facilities, the renovation and replacement of general
purpose infrastructure, including buildings and support infrastructure, continues to lag behind. Of the buildings, 47 percent
are rated substandard or inadequate to meet mission needs. In addition, 64 percent of support infrastructure, including
utility systems, is rated as substandard or inadequate, resulting in unplanned outages, costly repairs, and inefficiencies.
Collectively, these deficiencies impede mission accomplishment and scientific progress. In collaboration with SC programsand the laboratories, the SLI program works to address identified deficiencies.
SC laboratories conduct rigorous and consistent analyses of the condition, utilization, and functionality of the facilities andinfrastructure which are most critical to mission accomplishment. SC and the laboratories use these assessments to develop
comprehensive Campus Strategies in the annual laboratory planning process. Each laboratory’s Campus Strategy identifies
activities and infrastructure investments (e.g., Line-Item (LI) Construction and General Plant Projects (GPPs)) required tosupport the core capabilities and achieve the scientific vision of the laboratory. SC leadership uses these Campus Strategies
to determine the facilities and infrastructure needs and priorities, which, combined with complex-wide infrastructure
analyses, form the basis of SLI Budget requests.
To sustain and enhance its general purpose infrastructure, SC invested nearly $500,000,000 in maintenance, repair, andupgrades in FY 2019. These investments came from a variety of funding sources including Federal appropriations for lineitem and general plant projects and overhead funding of Institutional GPP (IGPP) projects and maintenance and repair. The
SLI investments in line-item construction and science-supporting infrastructure are key elements of this overall investment
strategy.
Highlights of the FY 2021 Request
The SLI program Request for $174,110,000 continues to focus on improving infrastructure across the SC national laboratorycomplex. The FY 2021 Request includes funding for three new construction starts: the Princeton Plasma Innovation Centerat Princeton Plasma Physics Laboratory (PPPL), the Critical Infrastructure Recovery & Renewal project at PPPL, and theAmes Infrastructure Modernization project at Ames Laboratory.
The Request also supports fifteen ongoing construction projects: the Critical Utilities Rehabilitation Project at Brookhaven
National Laboratory (BNL), the Seismic and Safety Modernization project at Lawrence Berkeley National Laboratory (LBNL),
the Continuous Electron Beam Accelerator Facility (CEBAF) Renovation and Expansion project at Thomas Jefferson National
Accelerator Facility (TJNAF), the Large Scale Collaboration Center at SLAC National Accelerator Laboratory (SLAC), theArgonne Utilities Upgrade project at Argonne National Laboratory (ANL), the Linear Assets Modernization Project at LBNL,
the Critical Utilities Infrastructure Revitalization project at SLAC, the Utilities Infrastructure Project at Fermi National
Accelerator Laboratory (FNAL), the Science User Support Center at BNL, the Translational Research Capability project at Oak
Ridge National Laboratory (ORNL), the Biological and Environmental Program Integration Center (BioEPIC) at LBNL, and theIntegrated Engineering Research Center at FNAL, and provides final funding for three construction projects: the Craft
Resources Support Facility at ORNL, the Tritium System Demolition and Disposal project at PPPL, and the Energy Sciences
Capability project at Pacific Northwest National Laboratory (PNNL). These ongoing projects, along with the newly proposed
Science/Science Laboratories Infrastructure391

FY 2021 Congressional Budget Justification

projects, will upgrade and improve aging utility systems and facilities and provide new laboratory space with the necessary
performance capabilities to enhance SC’s mission.
The FY 2021 Request also includes funding for general purpose infrastructure projects that will address high priority core
infrastructure and utility needs across SC laboratories and facilities. The laboratory infrastructure needs and priorities arerevaluated annually by SLI.

Science/Science Laboratories Infrastructure392

FY 2021 Congressional Budget Justification

Science Laboratories Infrastructure
Funding(dollars in thousands)
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

Infrastructure Support

79,69093,00022,710FY 2021 Request vsFY 2020 Enacted-70,290

Construction
21-SC-71, Princeton Plasma Innovation Center, PPPL
21-SC-72, Critical Infrastructure Recovery & Renewal, PPPL
21-SC-73, Ames Infrastructure Modernization, Ames
20-SC-71, Critical Utilities Rehabilitation Project, BNL
20-SC-72, Seismic and Safety Modernization, LBNL
20-SC-73, CEBAF Renovation and Expansion, TJNAF
20-SC-74, Craft Resources Support Facility, ORNL
20-SC-75, Large Scale Collaboration Center, SLAC
20-SC-76, Tritium System Demolition and Disposal, PPPL
20-SC-77, Argonne Utilities Upgrade, ANL
20-SC-78, Linear Assets Modernization Project, LBNL
20-SC-79, Critical Utilities Infrastructure Revitalization, SLAC
20-SC-80, Utilities Infrastructure Project, FNAL
19-SC-71, Science User Support Center, BNL
19-SC-72, Electrical Capacity and Distribution Capability, ANL
19-SC-73, Translational Research Capability, ORNL
19-SC-74, BioEPIC, LBNL
18-SC-71, Energy Sciences Capability, PNNL
17-SC-71, Integrated Engineering Research Center, FNAL
17-SC-73, Core Facility Revitalization, BNL
Total, Construction
Total, Science Laboratories Infrastructure

—
—
—
—
—
—
—
—
—
—
—
—
—
7,000
30,00025,0005,000
24,00020,00042,200153,200
232,890———
20,00010,0002,000
15,00011,00013,000
500
500
500
500
20,00030,00025,00015,00023,00022,000—208,000
301,000

2,000
2,000
2,000
15,00010,0002,000
25,0008,000
19,400
2,000
2,000
2,000
2,000
7,000
—
10,0006,000
23,00012,000—151,400
174,110+2,000+2,000+2,000-5,000——+10,000-3,000+6,400+1,500+1,500+1,500+1,500-13,000-30,000-15,000-9,000—-10,000—-56,600-126,890

Science/Science Laboratories Infrastructure393

FY 2021 Congressional Budget Justification

Science Laboratories Infrastructure
Explanation of Major Changes

Infrastructure Support
The Request continues funding to support Payment in Lieu of Taxes (PILT), nuclear facilities at ORNL, and landlord responsibilities at the Oak
Ridge Reservation. Overall funding decreases due to the request for final funding in FY 2020 for the de-inventory, removal, and transfer ofnuclear material at Building 350, formerly the site of New Brunswick National Laboratory (NBL) on the ANL campus. Funding for critical core
infrastructure across the SC complex also decreases in FY 2021.

(dollars in thousands)
FY 2021 Request vsFY 2020 Enacted-70,290

Construction
Funding supports fifteen ongoing line-item projects at FNAL, PNNL, LBNL, ANL, ORNL, BNL, SLAC, PPPL, and TJNAF. The increase also supports
the initiation of three new line-item projects at Ames and PPPL.

-56,600

Total, Science Laboratories Infrastructure-126,890

Science/Science Laboratories Infrastructure394

FY 2021 Congressional Budget Justification

Program Accomplishments
Since FY 2006, the SLI program has invested over $1.5 billion in general purpose infrastructure across the SC-stewardedlaboratory complex. These investments have provided state-of-the-art science user support facilities, renovated andrepurposed aged facilities, upgraded inadequate core infrastructure and systems, and removed excess.
Line-Item Construction Projects.
Since FY 2006, the SLI program has successfully completed 15 line-item projects while garnering eleven 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 these investments, the SLI program constructed morethan 1,120,000 gsf of new space and modernized more than 450,000 gsf of existing space. As a result, an estimated 2,500
laboratory users and researchers now occupy newly constructed and/or modernized buildings that better support scientificand technological innovation in a collaborative environment.
Core General Plant Project upgrades across SC Laboratories.
Since FY 2016, SLI has funded over $150,000,000 in laboratory core infrastructure improvements including over
$97,000,000 in electrical and utility improvements and over $44,000,000 in facility improvements. Examples of recent SLI
investments in core infrastructure include renovating post-World War II era laboratory and support space andcontamination mitigation at BNL, upgrading an outdated legacy fabrication facility at ORNL, and renovating mission criticalbuildings at Ames Laboratory. At LBNL, SLI funded the replacement of inadequate critical portions of the supply water andstorm water drainage systems that serve all SC programs. At ANL, SLI funded upgrades to the laboratory’s water and sewer
system. At the Oak Ridge Institute for Science and Education (ORISE), SLI funded electrical and infrastructure
improvements. Lastly, at SLAC, SLI funded the replacement of the low conductivity water cooling system and cooling towers
serving the Stanford Synchrotron Radiation Light Source and the Linac Coherent Light Source.
Building 350 Legacy Project at Argonne National Laboratory (ANL).
As of the end of FY 2019, this SLI-funded project removed 16,944 of the approximately 20,000 nuclear material items fromthe former New Brunswick Laboratory building. The project also cleaned up approximately 20,481 square feet of thebuilding’s 28,598 total square feet that is within this project’s scope for cleanout, a part of which is currently being used forprogrammatic work. The project continues to remove the remaining nuclear materials and clean-up space so the building
can eventually be renovated and repurposed as a radiological facility by ANL, with project completion scheduled for
FY 2022.
Infrastructure and Operational Improvements project at PPPL.
This project addressed inadequate facilities at PPPL that were impeding progress towards achieving research goals as wellas hindering the attraction and retention of talented staff. It included renovation of 70,000 gsf of space in existing buildings
to provide space for offices and equipment, and demolition of trailers used for office space and storage of equipment. This
project was completed in FY 2019 and has provided the laboratory with upgraded infrastructure to support its mission ofadvancing the fields of fusion energy and plasma physics research necessary to realize fusion as an energy source.
Photon Science Laboratory Building at SLAC.
This project provided modern day laboratory space to accommodate a range of simulation, theory, and modeling forsynthetic and characterization capabilities, while also supporting research collaborations with outside scientists engaged
with SLAC’s LCLS and SSRL user facilities. This was accomplished through a partnership with Stanford University, SLAC, andDOE. Stanford University provided a three-story building shell and the DOE provided 65,000 gsf of wet labs, dry labs,
vibration-sensitive labs, cleanrooms, offices, and meetings rooms in support of the project’s Mission Need Statement. The
project was completed in FY 2019.

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FY 2021 Congressional Budget Justification

Material Design Laboratory at ANL.
This project provided a 124,000 gsf high performance laboratory building, with a variety of laboratories (including
radiological labs), offices, meeting rooms, interaction areas and support functions for energy-related research anddevelopment. The building was programmed to meet the minimum needs of the Materials for Energy programs consistent
with SC’s vision for these programs at ANL: Frontiers of materials, molecular synthesis, and fabrication of devices;
Interfacial engineering for energy applications; Materials under extreme conditions; and In situ characterization andmodeling.

Science/Science Laboratories Infrastructure396

FY 2021 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) ensurethat facilities and utilities are upgraded or replaced when they approach end-of-life, have improved reliability, efficiency,
and performance, and that excess space is removed so that it no longer requires operation and maintenance funding andfrees up valuable space for re-utilization. Without this type of investment, SC laboratories would not be able to keep up
with needed upgrades and repairs. The funded activities include core infrastructure upgrades at various laboratories,
general infrastructure support, and support for the nuclear facilities at ORNL.
This subprogram also funds Payment In Lieu of Taxes (PILT) to local communities around ANL, BNL, and ORNL, as well as
stewardship-type needs (e.g., roads and grounds maintenance) across the Oak Ridge Reservation.
Facilities and InfrastructureThis activity funds infrastructure support investments that focus on laboratory core infrastructure and operations. SC
laboratories conduct rigorous condition assessments of their core infrastructure, which determine the need for investmentsin these basic systems that form the backbone of their campuses. Each year, the SLI program continues this focus andcollaborates with the SC research programs to review proposed investments and maintains an active list of critical core
infrastructure needs. Priorities are evaluated continuously and the highest priority projects are selected for funding uponentry into the corresponding execution year.
Nuclear Operations
To support critical DOE nuclear operations, this Request includes base funding to operate ORNL’s nuclear facilities (i.e.,
Buildings 7920, 7930, 3525, and 3025E). These facilities support a variety of users including the National Nuclear Security
Agency (NNSA), SC, the Office of Nuclear Energy (NE), and other agencies. This funding supports maintenance and repair of
hot cells and supporting systems while ensuring compliance with safety standards and procedures.
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; andsupport and improvement of environmental protection, safety, and health.
Payments in Lieu of Taxes
Funding within this activity supports SC stewardship responsibilities for PILT. The Department is authorized to provide
discretionary payments to state and local government authorities for real property that is not subject to taxation because itis owned by the United States Federal Government and operated by the Department. Under this authorization, PILT isprovided to communities around ANL, BNL, and ORNL 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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Science Laboratories Infrastructure
Infrastructure Support
Activities and Explanation of Changes(dollars in thousands)
Explanation of Changes
FY 2021 Request vs FY 2020 Enacted
Infrastructure Support$93,000$22,710-$70,290
Facilities and Infrastructure$56,850$6,200-$50,650
Funding continues to support de-inventory and
The Request will continue to support the highest
Funding decreases to reflect the request for final
removal of nuclear material at the former New
priority core infrastructure needs across the SC
funding in FY 2020 for both the NBL de-inventory
Brunswick Laboratory (NBL) Building at ANL, and thecomplex.
project and the completion of acquisition of realhighest priority core infrastructure needs. In addition,
property at PNNL. Funding is also reduced for criticalthis funding supports the acquisition of real property
core infrastructure needs.
at PNNL.
FY 2020 Enacted

FY 2021 Request

Nuclear Operations$26,000$6,000-$20,000
Funding continues to support critical nuclear
The Request will continue to support critical nuclear
Funding supports the most critical nuclear operations
operations and provides funding to manage ORNL’soperations and will provide funding to manage
and facilities at ORNL.
nuclear facilities.
ORNL’s nuclear facilities.
Oak Ridge Landlord$5,610Funding supports landlord responsibilities across the
Oak Ridge Reservation. Activities include maintenanceof roads, grounds, and other infrastructure; andsupport and improvement of environmental
protection, safety, and health.

$5,860
The Request will continue support of landlord
Funding increases to address necessary roadresponsibilities across the Oak Ridge Reservation.
maintenance and repairs.
Activities include maintenance of roads, grounds, andother infrastructure; and support and improvementof environmental protection, safety, and health.

+$250

Payment in Lieu of Taxes$4,540$4,650Funding supports PILT payments to communities
The Request will provide funding for PILT payments to Funding increases to support anticipated PILT
around ANL, BNL, and ORNL.
communities around ANL, BNL, and ORNL.
requirements in FY 2021.

+$110

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FY 2021 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 2021 Request includes funding for:Three new line-item construction projects:
 Princeton Plasma Innovation Center at PPPL; Critical Infrastructure Recovery & Renewal at PPPL; and Ames Infrastructure Modernization at Ames.
Fifteen ongoing line-item construction projects:
 Critical Utilities Rehabilitation Project at BNL; Seismic and Safety Modernization at LBNL; CEBAF Renovation and Expansion at TJNAF;
 Craft Resources Support Facility at ORNL; Large Scale Collaboration Center at SLAC; Tritium System Demolition and Disposal at PPPL; Argonne Utilities Upgrade at ANL; Linear Assets Modernization Project at LBNL; Critical Utilities Infrastructure Revitalization at SLAC; Utilities Infrastructure Project at FNAL;
 Science User Support Center at BNL; Translational Research Capability at ORNL;
 Biological and Environmental Program Integration Center (BioEPIC) at LBNL; Energy Sciences Capability project at PNNL; and,
 Integrated Engineering Research Center at FNAL.
Princeton Plasma Innovation Center, PPPLThe Princeton Plasma Innovation Center (PPIC) will provide a multi-purpose facility to PPPL, with laboratory and officespace to support the Office of Science mission and fulfill the research needs of the Fusion Energy Sciences (FES), Advanced
Scientific Computing Research (ASCR), and Basic Energy Sciences (BES) programs.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on September 9, 2019.
The preliminary estimate for CD-1, Approve Alternative Selection and Cost Range, is anticipated in the fourth quarter of
FY 2020. This project is pre-CD-2; therefore, schedule estimates are preliminary and subject to change. The current
preliminary Total Estimated Cost (TEC) range for this project is $65,500,000 to $109,000,000 and the preliminary Total
Project Cost (TPC) range of $68,000,000 to $111,500,000. These cost ranges encompass the most feasible preliminary
alternatives at this time.
Critical Infrastructure Recovery & Renewal, PPPLThe Critical Infrastructure Recovery & Renewal (CIRR) project at PPPL will revitalize critical infrastructure that supports the
PPPL campus. Upgrades that may be completed as part of the CCIR project include: the electrical distribution system;
standby power; chilled water generation and distribution; distribution networks for steam, compressed air, sanitary waste,and condenser, storm, canal, and potable water; HVAC systems; and communication systems.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on September 16, 2019.
The preliminary estimate for CD-1, Approve Alternative Selection and Cost Range, is anticipated in the second quarter of
FY 2020. This project is pre-CD-2; therefore, schedule estimates are preliminary and subject to change. The current
preliminary Total Estimated Cost (TEC) range for this project is $48,900,000 to $80,400,000. The preliminary Total Project
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Cost (TPC) range for this project is $50,400,000 to $81,900,000. These cost ranges encompass the most feasible preliminary
alternatives at this time.
Ames Infrastructure Modernization, Ames
The Ames Infrastructure Modernization (AIM) project will support the SC mission by providing a safer and more
operationally efficient campus for the employees, visitors, and guests at Ames, as well as reduce deferred maintenancecosts. This project is designed to support DOE mission-critical programs and initiatives, increase the reliability of utility
infrastructure, minimize facility costs through effective and efficient operations, and modernize laboratories in Ames
Laboratory’s research buildings, thereby enhancing Ames Laboratory’s ability to continue to deliver on SC’s mission acrossmultiple program offices.
Specifically, this project will provide updated infrastructure building systems in existing research and operations buildings at
Ames Laboratory, such as plumbing systems; building envelopes; electrical systems-emergency, backup power, anduninterruptible power supplies; and telecommunication systems. In addition, some of the laboratory spaces will be
modernized to support the SC mission and associated equipment.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on September 16, 2019.
The preliminary estimate for CD-1, Approve Alternative Selection and Cost Range, is anticipated in the third quarter of
FY 2021. This project is pre-CD-2; therefore, schedule estimates are preliminary and subject to change. The current
preliminary Total Estimated Cost (TEC) range for this project is $21,000,000 to $88,000,000. The preliminary Total Project
Cost (TPC) range for this project is $23,000,000 to $90,000,000. These cost ranges encompass the most feasible preliminary
alternatives at this time.
Critical Utilities Rehabilitation Project, BNL
The Critical Utilities Rehabilitation Project at BNL will revitalize and upgrade highest risk major utility systems to meet theneeds of supporting SC facilities and Nuclear Physics (NP), Basic Energy Sciences (BES), High Energy Physics (HEP), Biologicaland Environmental Research (BER), and Advanced Scientific Computing Research (ASCR) program missions.
Specifically, this project will replace piping in areas prone to water main breaks and provide other water system
improvements to improve system operations and reliability. Select sections of the sanitary utility systems with failingpumps, controllers, and/or manholes will be replaced. This project will also provide several required modifications to thecentral chilled water system in order to support growth of process loads and ensure reliability. Deteriorated and leaking
steam systems along Cornell Avenue will be replaced to ensure safe, reliable, and efficient steam service to mission-criticalfacilities on the north side of the campus. In addition, older feeder cables and inadequate breakers will be replaced along
Cornell Avenue, increasing capacity, reliability and personnel safety.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on July 20, 2018. The
preliminary estimate for CD-1, Approve Alternative Selection and Cost Range, is anticipated in the second quarter of
FY 2020. This project is pre-CD-2; therefore, schedule estimates are preliminary and subject to change. The preliminary TEC
range for this project is $70,000,000 to $92,000,000. The preliminary TPC range for this project is $70,800,000 to$92,800,000. These cost ranges encompass the most feasible preliminary alternatives at this time.
Seismic and Safety Modernization, LBNLThe Seismic and Safety Modernization project will address seismic safety issues and emergency response capabilities,
specifically related to facilities with large congregation areas as well as improve facilities that are necessary for emergency
response personnel and to maintain continuity of operations. The facilities that are the primary focus of this project are theCafeteria, Health Services, and Fire House sleeping quarters.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-1, Approve Alternative Selection and Cost Range, approved
on September 4, 2019. The preliminary estimate for CD-2, Approve Performance Baseline, is anticipated in the third quarterof FY 2021. This project is pre-CD-2; therefore, schedule estimates are preliminary and subject to change. This project has apreliminary TEC range of $65,600,000 to $95,400,000 and the preliminary TPC range of $67,800,000 to $97,600,000. These
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FY 2021 Congressional Budget Justificationcost ranges encompass the most feasible preliminary alternatives at this time. The preliminary TEC point estimate for thisproject is $95,400,000 and the preliminary TPC point estimate for this project is $97,600,000.
CEBAF Center Renovation and Expansion, TJNAF
The CEBAF Renovation and Expansion project will renovate existing space and provide new research, administrative, andsupport service space enabling TJNAF to better support SC missions. The CEBAF center at TJNAF is currently overcrowded
and has inadequate utility systems that are experiencing frequent failures. This project will renovate 123,000 to 250,000
gross square feet (gsf) of existing space in the CEBAF center and the Applied Research Center (ARC), upgrade high risk utility
systems, and provide 82,000 to 150,000 gsf of additional space for visitors, users, research, education, and support.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on July 20, 2018. The
preliminary estimate for CD-1, Approve Alternative Selection and Cost Range, is anticipated in the first quarter of FY 2020.
This project is pre-CD-2; therefore, schedule estimates are preliminary and subject to change. This project has a preliminary
TEC range of $47,000,000 to $96,000,000 and a preliminary TPC range of $48,900,000 to $99,300,000. These cost ranges
encompass the most feasible preliminary alternatives at this time.
Craft Resources Support Facility, ORNLThe Craft Resources Support Facility project will relocate and consolidate craft resource services that are currently housedin multiple, inadequate facilities spread across the campus in the 7000 area. ORNL supports the mission work of all six ofSC’s research program offices and three scientific user facilities. The complex infrastructure required to support the SC
mission and associated one-of-a-kind large scale facilities places a substantial demand on craft resource support functions,which is comprised of 28 different trades ranging from automotive mechanics to instrument technicians. Craft resource
support services are currently housed in multiple facilities spread across the 7000 campus area which are outdated andpoorly configured resulting in inefficient operations, congested vehicle and pedestrian traffic patterns, and increased safety
risks. These conditions are creating inefficient, and unreliable operations, which are directly impacting many high-priority
SC programs at ORNL.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on July 20, 2018. The
preliminary estimate for CD-1, Approve Alternative Selection and Cost Range, is anticipated in the second quarter of
FY 2020. This project is pre-CD-2; therefore, schedule estimates are preliminary and subject to change. This project has apreliminary TEC range of $34,000,000 to $48,000,000 and a preliminary TPC range of $35,000,000 to $49,000,000. These
cost ranges encompass the most feasible preliminary alternatives at this time.
Large Scale Collaboration Center, SLACThe Large Scale Collaboration Center project will construct a multi-office building of approximately 38,000 to 45,000 gsf toconsolidate and provide space for 100-150 occupants in a common building, provide synergies among all major SCsponsored programs at SLAC, and provide a centralized office and collaboration space for cross-functional teams with thenecessary performance capabilities to grow the science research programs. With the growth in SC mission activities at SLAC
– from the Linac Coherent Light Source (LCLS), LCLS-II, LCLS-II-HE projects to Facility for Advanced Accelerator Experimental
Tests (FACET)-II and the Matter in Extreme Conditions project – the lab currently lacks office spaces for scientists and staff
as current spaces are fully occupied or oversubscribed, and therefore do not support the needs for joint collaborations for
exploring challenges and developing solutions using large-scale data sets. Adjacent office spaces that enable researchers tobenefit from collaboration with subject matter experts in computational science, machine learning, artificial intelligence,
exascale computing, data management, data acquisition, simulation, imaging, visualization, and modeling are also notcurrently available.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-1, Approve Alternative Selection and Cost Range, approvedon November 18, 2019. The preliminary estimate for CD-2, Approve Performance Baseline, is anticipated in the first quarterof FY 2022. This project is pre-CD-2; therefore, schedule estimates are preliminary and subject to change. This project has apreliminary TEC range of $56,000,000 to $90,400,000 and a preliminary TPC range of $59,400,000 to $92,400,000. These
cost ranges encompass the most feasible preliminary alternatives at this time. The preliminary TEC point estimate for thisproject is $64,000,000 and the preliminary TPC point estimate for this project is $66,000,000.
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Tritium System Demolition and Disposal, PPPLThe Tritium System Demolition and Disposal (TSDD) project at PPPL will remove tritium-contaminated items, components,
equipment, sub-systems, etc., through demolition and disposal off-site. Execution of the TSDD project will result in reducing
the risk of tritium release, reducing the risk of worker exposure to tritium, and reducing operating dollars expended on alegacy system.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on September 16, 2019.
The preliminary estimate for CD-1, Approve Alternative Selection and Cost Range, is anticipated in the fourth quarter of
FY 2020. This project is pre-CD-2; therefore, schedule estimates are preliminary and subject to change. The current
preliminary Total Estimated Cost (TEC) range for this project is $19,500,000 to $32,400,000. The preliminary Total Project
Cost (TPC) range for this project is $20,500,000 to $33,400,000. These cost ranges encompass the most feasible preliminary
alternatives at this time.
Argonne Utilities Upgrade, ANL
The Argonne Utilities Upgrade project at ANL is proposed to revitalize and selectively upgrade ANL’s existing major utility
systems including steam, water, sanitary sewer, chilled water, and electrical systems.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on May 17, 2019. The
preliminary estimate for CD-1, Approve Alternative Selection and Cost Range, is anticipated in the fourth quarter of
FY 2020. This project is pre-CD-2; therefore, schedule estimates are preliminary and subject to change. The preliminary
Total Estimated Cost (TEC) range for this project is $72,000,000 to $215,000,000. The preliminary Total Project Cost (TPC)
range for this project is $73,000,000 to $216,000,000. These cost ranges encompass the most feasible preliminary
alternatives at this time.
Linear Assets Modernization Project, LBNL
The Linear Assets Modernization Project at LBNL is proposed to upgrade high priority utility systems to increase thereliability, capability, and safety of LBNL’s infrastructure to meet the DOE’s mission. The project will upgrade utility systems
including, but not limited to, domestic water, natural gas, storm drain, sanitary sewer, electrical, and communication.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, approved on May 17, 2019. The
preliminary estimate for CD-1, Approve Alternative Selection and Cost Range, is anticipated in the fourth quarter of
FY 2020. This project is pre-CD-2, therefore schedule estimates are preliminary and subject to change. The preliminary Total
Estimated Cost (TEC) range for this project is $142,000,000 to $236,000,000. The preliminary Total Project Cost (TPC) range
for this project is $146,000,000 to $240,000,000. These cost ranges encompass the most feasible preliminary alternatives atthis time.
Critical Utilities Infrastructure Revitalization, SLAC
The primary objective of CUIR is to close infrastructure gaps to support multi-program science missions as technologies,
instruments, experimental parameters, sensitivities, and complexity associated with evolving science demand increases
required reliability, resiliency, and service levels in electrical, mechanical, and civil systems site wide. The CUIR project willaddress the critical campus-wide utility and infrastructure issues by replacing, repairing, and modernizing the highest risk
water/fire protection, sanitary sewer, storm drain, electrical, and cooling water system deficiencies. Subject matter experts
responsible for stewardship of the systems have identified these needs through condition assessments, inspections, andrecommendations.
The most recent DOE Order 413.3B approved Critical Decision (CD) is CD-0, Approve Mission Need, approved May 17, 2019.
The preliminary estimate for CD-1, Approve Alternative Selection and Cost Range, is anticipated in the fourth quarter of
FY 2020. This project is pre-CD-2; therefore, schedule estimates are preliminary and subject to change. The preliminary
Total Estimated Cost (TEC) range for this project is $80,000,000 to $186,000,000. The preliminary Total Project Cost (TPC)
range for this project is $83,000,000 to $189,000,000. These cost ranges encompass the most feasible preliminary
alternatives at this time.

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Utilities Infrastructure Project, FNALThe Utilities Infrastructure Project at FNAL will identify, recapitalize, and upgrade the highest risk major utility systems
across the FNAL campus. Specifically, this project will evaluate the current condition of the industrial cooling water system,
potable water distribution system, sanitary sewer and storm collection systems, natural gas distribution system, electrical
distribution system, and the Central Utility Building. Selected portions of the systems will be recapitalized or replaced toassure safe, reliable, and efficient service to mission critical facilities. In addition, upgrades to obsolete, end-of-life
components will increase capacity, reliability, and personnel safety for critical utilities.
The most recent DOE Order 413.3B approved Critical Decision (CD) is CD-0, Approve Mission Need, approved on May 17,
2019. The preliminary estimate for CD-1, Approve Alternative Selection and Cost Range, is anticipated in the first quarter of
FY 2021. This project is pre-CD-2; therefore, schedule estimates are preliminary and subject to change. The current
preliminary Total Estimated Cost (TEC) range for this project is $146,000,000 to $310,000,000 and the preliminary Total
Project Cost (TPC) range of $150,000,000 to $314,000,000. These cost ranges encompass the most feasible preliminary
alternatives at this time.
Science User Support Center, BNL
Construction of the Science User Support Center will provide convenient and efficient facilities for processing andsupporting the users of BNL’s premier research facilities by replacing the current dispersed and inefficient facilities. It will
also provide conference facilities to support the collaborative science and research agenda for the user community and BNL
scientists. BNL user facilities and capabilities supported by DOE and partnering agencies attract over 40,000 visiting
scientists, guests, users, and contractors annually to conduct research in a broad range of basic and applied sciences.
However, the ability to efficiently process and support the needs of this growing community of researchers is limited by theage, deteriorated condition, and dispersed nature of BNL’s current facilities.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-1, Approve Alternative Selection and Cost Range, approvedon December 18, 2018. The preliminary estimate for CD-2, Approve Performance Baseline, is anticipated in the fourth
quarter of FY 2020. This project is pre-CD-2; therefore, schedule estimates are preliminary and subject to change. This
project has a preliminary TEC range of $70,800,000 to $94,800,000. The preliminary total TPC range for this project is$72,000,000 to $96,000,000. These cost ranges encompass the most feasible preliminary alternatives at this time. The
preliminary TEC point estimate for this project is $85,000,000 and the preliminary TPC point estimate for this project is$86,200,000.
Translational Research Capability, ORNLThe Translational Research Capability project is proposed to provide a new building with laboratory space to support
mission-critical research sponsored by ASCR, BES, FES and HEP. Currently, ORNL has a shortage of modern, flexible, andadaptable space, wet and dry laboratories, and high bay space needed to support research directed by these SC programs.
Aging infrastructure and utilities have caused severe temperature, humidity and power quality problems, particularly in theadvanced materials development and research. Finally, dispersed research space across the ORNL campus remains achallenge in supporting the increasingly interdisciplinary and collaborative research required to advance SC program
mission areas.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-3A, Approve Long-Lead Procurements and Start of Early
Construction Activities, approved on February 5, 2019. The preliminary estimate for CD-2, Approve Performance Baseline, isanticipated in the third quarter of FY 2020. This project is pre-CD-2, therefore schedule estimates are preliminary andsubject to change. This project has a preliminary TEC range of $80,300,000 to $93,500,000 and a preliminary TPC range of$81,800,000 to $95,000,000. These cost ranges encompass the most feasible preliminary alternatives at this time. The
preliminary TEC point estimate for this project is $93,500,000 and the preliminary TPC point estimate for this project is$95,000,000.
Biological and Environmental Program Integration Center (BioEPIC), LBNL
The BioEPIC project will construct a new, state-of-the-art facility with laboratory space to support high performanceresearch by the BER, ASCR and BES programs. LBNL has grown from a pioneering particle and nuclear physics laboratory
into a multidisciplinary research facility with broad capabilities in physical, chemical, computational, biological, andScience/Science Laboratories Infrastructure403

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environmental systems research in support of the DOE mission. Much of the biological sciences program at LBNL is locatedoff-site and away from the main laboratory and other parts are dispersed across several locations on the LBNL campus. This
arrangement has posed a challenge to research and operational capabilities limiting scientific progress and the kind ofcollaborative science that is required for understanding, predicting, and harnessing the Earth’s microbiome for energy andenvironmental benefits.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-1, Approve Alternative Selection and Cost Range, approvedon May 9, 2019. The preliminary estimate for CD-2, Approve Performance Baseline, is anticipated in the fourth quarter of
FY 2021. This project is pre-CD-2; therefore, schedule estimates are preliminary and subject to change. This project has apreliminary TEC range of $110,000,000 to $190,000,000 and a preliminary TPC range of $112,200,000 to $192,200,000.
These cost ranges encompass the most feasible preliminary alternatives at this time. The preliminary TEC point estimate forthis project is $140,000,000 and the preliminary TPC point estimate for this project is $142,200,000.
Energy Sciences Capability, PNNL
The Energy Sciences Capability project will enhance PNNL’s core fundamental science programs by addressing many
infrastructure capability gaps, including insufficient hood space for catalysis synthesis and collaboration, lack of proper
environmental controls for state-of-the-art in situ characterization, limited space to integrate experimental capabilities forvisualization supporting research in data analytics, modeling, and simulation, and performance modeling (for the Center for
Advanced Technology Evaluation/ASCR related capability), and limited collaboration space for users and strategic partners.
The most recent DOE Order 413.3B Critical Decision (CD) is CD-2/3, Approve Project Performance Baseline and Approve
Start of Construction, approved on December 7, 2018. The preliminary estimate for CD-4, Approve Start of Operations or
Project Completion, is anticipated in the fourth quarter of FY 2023. The Total Estimated Cost (TEC) for this project is$90,000,000. The Total Project Cost (TPC) for this project is $93,000,000.
Integrated Engineering Research Center, FNALThe Integrated Engineering Research Center project will construct a scientific user support facility to accommodate
increased collaboration and interactions among staff at FNAL, who will in turn be working with scientific collaborators andinternational partners in the design, construction, and operation of physics experiments. Currently, FNAL staff and theirassociated manufacturing, assembly, engineering, and technical facilities are scattered among three parts of the campus. As
a result, they are unable to efficiently collaborate on ongoing and planned projects in support of the mission of thelaboratory. The Integrated Engineering Research Center will provide FNAL with a collaborative, multi-divisional andinterdisciplinary research center, will reduce the overall footprint of outdated facilities and collocate engineering andassociated research staff near the central campus, and will improve operational efficiency and collaboration because groups
working on key projects would be in close proximity.
The most recent DOE Order 413.3B approved Critical Decision (CD) is CD-3A, Approve Long Lead Procurement, which wasapproved on July 16, 2019. The preliminary estimate for CD-2/3, Approve Project Baseline and Approve Start ofConstruction Activities, is anticipated in the fourth quarter of FY 2020. This project is pre-CD-2, therefore schedule
estimates are preliminary and subject to change. This project has a preliminary TEC range of $73,000,000 to $98,000,000.
The TPC range for this project is $74,000,000 to $99,000,000. The preliminary TEC point estimate for this project is$85,000,000 and the preliminary TPC point estimate for this project is $86,000,000.

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Science Laboratories Infrastructure
Construction
Activities and Explanation of Changes(dollars in thousands)
FY 2020 Enacted
Construction
21-SC-71, Princeton Plasma Innovation
Center, PPPLNo funding was appropriated.

FY 2021 Request$208,000$—21-SC-72, Critical Infrastructure
Recovery & Renewal, PPPLNo funding was appropriated.

$—

21-SC-73, Ames Infrastructure
Modernization
No funding was appropriated.

$—$151,400

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted-$56,600$2,000+$2,000
The Request will initiate Project Engineering and Design The increase will support the initiation of PED(PED) activities.
activities for this new project.
$2,000+$2,000
The increase will support the initiation of PED
activities for this new project.

$2,000+$2,000
The increase will support the initiation of PED
activities for this new project.

The Request will initiate PED activities.

The Request will initiate PED activities.

20-SC-71, Critical Utilities Rehabilitation
Project, BNL$20,000$15,000-$5,000
Funding supports the initiation of PED and construction The Request will support construction activities.
Funding will support ongoing construction
activities.
activities for this project.
20-SC-72, Seismic and Safety
Modernization, LBNL
$10,000$10,000$—
Funding fully supports PED activities for this project.
The Request will initiate construction activities.
Funding initiates construction activities for thisproject.

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(dollars in thousands)
FY 2020 Enacted
20-SC-73, CEBAF Renovation andExpansion, TJNAF
Funding initiates PED activities for this project.

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

FY 2021 Request$2,000$2,000
The Request will support ongoing PED activities.

$—
Funding continues ongoing PED activities for thisproject.

20-SC-74, Craft Resources Support
Facility, ORNL
$15,000$25,000+$10,000
Funding initiates PED and construction activities for this The Request will support ongoing construction
Requested funding will provide final funding for
project.
activities.
this project.
20-SC-75, Large Scale Collaboration
Center, SLAC
$11,000$8,000-$3,000
Funding initiates PED and construction activities for this The Request will support ongoing construction
Funding supports ongoing construction for thisproject.
activities.
project.
20-SC-76, Tritium System Demolition
and Disposal, PPPL
$13,000$19,400+$6,400
Funding initiates PED and construction activities.
The Request will support ongoing construction
Increase provides final funding for this project
activities.
and supports ongoing construction.
20-SC-77, Argonne Utilities Upgrade,
ANL
Funding initiates PED activities.

$500

20-SC-78, Linear Assets Modernizaton,
LBNL
Funding initiates PED activities.

$500

20-SC-79, Critical Utilities Infrastructure
Revitalization, SLAC
Funding initiates PED activities.

$500

Science/Science Laboratories Infrastructure$2,000+$1,500
The increase will provide funding to support
ongoing PED activities for this project.

$2,000+$1,500
The increase will provide funding to support
ongoing PED activities for this project.

$2,000+$1,500
The increase will provide funding to support
ongoing PED activities for this project.

The Request will support ongoing PED activities.

The Request will support ongoing PED activities.

The Request will support ongoing PED activities.

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FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted
20-SC-80, Utilities Infrastructure
Project, FNAL
Funding initiates PED activities.

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

FY 2021 Request$500$2,000
The Request will support ongoing PED activities.

+$1,500
The increase will support ongoing PED activities
for this project.

19-SC-71, Science User Support Center,
BNL$20,000$7,000-$13,000
Funding supports the completion of PED activities and
The Request will support construction activities.
Funding supports ongoing construction activities
start of construction activities.
for this project.
19-SC-72, Electrical Capacity andDistribution Capability, ANL$30,000
Funding supports the completion of construction
No funding is requested.
activities.
19-SC-73, Translational Research
Capability, ORNL
Funding supports construction activities.

$25,000$—-$30,000
Final funding was provided in FY 2020 for thisproject.

$10,000-$15,000
The Request will support construction activities.
Funding will support ongoing construction
activities for this project.

19-SC-74, BioEPIC, LBNL
$15,000$6,000-$9,000
Funding supports the completion of PED activities and
The Request will support construction activities
Funding supports ongoing construction activities
start of construction activities.
for this project.
18-SC-71, Energy Sciences Capability,
PNNL
Funding supports construction activities.

$23,000

17-SC-71, Integrated Engineering
Research Center, FNAL
Funding supports construction activities.

$22,000

Science/Science Laboratories Infrastructure$23,000
The Request will support the completion of
construction activities.

$—
Requested funding will provide final funding forthis project.

$12,000-$10,000
The Request will support construction activities.
Funding supports ongoing construction activities
for this project.

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Science Laboratories Infrastructure
Capital Summary

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

Prior Years

N/A
N/A
N/A

N/A
N/A
N/A

(dollars in thousands)
FY 2019
FY 2020
EnactedEnacted

13,18886,40899,596

FY 2021
Request38,57887,835
126,413

FY 2021 Request vsFY 2020 Enacted

6,000
85,45091,450-32,578-2,385-34,963

Minor Construction Activities

Total
General Plant Projects (GPP)
Greater than or equal to $5M and less than $20M
Cooling Water Tower System at SLAC
Accelerated PFAS Source Area Groundwater
Characterization and Remediation at BNL
Grizzly Substation Yard Expansion at LBNL
Village Sanitary Improvements/Lift Station at
FNAL
Cryogenics Test Facility (CTF) Upgrade at TJNAF
Total GPPs (greater than or equal to $5M and lessthan $20M)
Total GPPs less than $5M
Total, General Plant Projects (GPP)aa

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

N/A

N/A

9,400

—

—

—

N/A

N/A

—

10,900—-10,900

N/A

N/A

—

15,000—-15,000

N/A

N/A

—

6,000

—

-6,000

N/A

N/A

—

5,200

—

-5,200

N/A

N/A

9,400

37,100—-37,100

N/A
N/A

N/A
N/A

3,788
13,188

1,478
38,578

6,000
6,000

+4,522-32,578

GPP activities less than $5M include design and construction for additions and/or improvements to land, buildings, replacements or additions to roads, and general area improvements.

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TotalaInstitutional General Plant Projects (IGPP)
Greater than or equal to $5M and less than $20M
Bayview Site Utility Replacement Project at LBNL
Sitewide Electrical Safety and Maintenance
Upgrades Phase 1 at LBNL
Sitewide Mechanical Plant Maintenance
Upgrades Phase 1 at LBNL
7000 Area Storage at ORNL
7000 Area Utility Modernization at ORNL
4500N General Use Office Space at ORNL
2000/3000 Area Utility Modernization at ORNL
Building 6010 Generic Research & Office Swingspace Buildout at ORNL
B77 Enclosure Installation at LBNL
B77 Engineering Facility Capabilities
Modernization at LBNL
B73 Seismic Upgrade and Modernization at LBNL
Transit Hub and Utility Improvements at LBNL
Secondary Sewage Treatment Upgrade at ORNL
Centennial Bridge Replacement at LBNL
Grizzly Substation Upgrade at LBNL
General Purpose Data Center Expansion at LBNL
Total IGPPs (greater than or equal to $5M and lessthan $20M)
Total IGPPs less than $5M
Total, Institutional General Plant Projects (IGPP)a
Total, Direct Funded Minor Construction
Total, Indirect Funded Minor Construction
Total, Minor Construction Activities

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

N/A

N/A

8,500

—

—

—

N/A

N/A

17,800

—

—

—

N/A

N/A

17,150

—

—

—

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

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

6,330
7,600
5,850
9,200

—
—
—
—

—
—
—
—

—
—
—
—

N/A

N/A

9,000

—

—

—

N/A

N/A

—

5,150

—

-5,150

N/A

N/A

—

6,000

—

-6,000

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

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

—
—
—
—
—
—

12,615
14,86519,000——————13,00018,50016,000-12,615-14,865-19,000+13,000+18,500+16,000

N/A

N/A

81,43057,63047,500-10,130

N/A
N/A

N/A
N/A

4,978
86,40830,20587,83537,95085,450+7,745-2,385

N/A
N/A
N/A

N/A
N/A
N/A

13,18886,40899,596

38,57887,835
126,4136,000
85,45091,450-32,578-2,385-34,963

Institutional General Plant Projects (IGPPs) are indirect funded minor construction activities that are general institutional in nature and address general purpose, site-wide needs.

Science/Science Laboratories Infrastructure

410

FY 2021 Congressional Budget Justification

Science Laboratories Infrastructure
Construction Projects Summary

Total

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

21-SC-71, Princeton Plasma Innovation Center,
PPPL
TEC
OPCb
TPC

109,000a
2,500
111,500a

—
—
—

—
300
300

—
2,000
2,000

2,000
—
2,000

+2,000-2,000—21-SC-72, Critical Infrastructure Recovery &Renewal, PPPL
TEC
OPCb
TPC

80,400a
1,500
81,900a

—
—
—

—
100
100

—
1,200
1,200

2,000
—
2,000

+2,000-1,200+800

21-SC-73 Ames Infrastructure Modernization
TEC
OPCb
TPC

30,000a
1,000
31,000a

—
—
—

—
—
—

—
250
250

2,000
250
2,250

+2,000—+2,00020-SC-71, Critical Utilities Rehabilitation
Project, BNL
TEC
OPCb
TPC

92,000a800
92,800a

—
—
—

—
800
800

20,000—20,00015,000—15,000-5,000—-5,00020-SC-72, Seismic and Safety Modernization,
LBNL
TEC
OPCb
TPC

95,400a2,200
97,600a

—
—
—

—
1,500
1,500

10,000100
10,10010,000—10,000

—
-100
-100

a
b

This project has not received CD-2 approval; therefore, preliminary estimates are shown for TEC and TPC.
Other Project Costs (OPC) are funded through laboratory overhead.

Science/Science Laboratories Infrastructure411

FY 2021 Congressional Budget Justification

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

20-SC-73, CEBAF Renovation and Expansion,
TJNAF
TEC
OPCb
TPC

87,000a2,300
89,300a

—
—
—

—
1,000
1,000

2,000
700
2,700

2,000
—
2,000

—
-700
-700

20-SC-74, Craft Resources Support Facility,
ORNL
TEC
OPCb
TPC

40,000a
1,000
41,000a

—
—
—

—
800
800

15,000—15,00025,000—25,000+10,000—+10,000

20-SC-75, Large Scale Collaboration Center,
SLAC
TEC
OPCb
TPC

64,000a
2,000
66,000a

—
—
—

—
500
500

11,000200
11,200

8,000
1,300
9,300

-3,000+1,100-1,90020-SC-76, Tritium System Demolition and
Disposal, PPPL
TEC
OPCb
TPC

32,400a
1,000
33,400a

—
—
—

—
100
100

13,000800
13,80019,400100
19,500+6,400-700+5,70020-SC-77, Argonne Utilities Upgrade, ANL
TEC
OPCb
TPC

215,000a
1,000
216,000a

—
—
—

—
100
100

500
600
1,100

2,000
300
2,300

+1,500-300+1,200abThis project has not received CD-2 approval; therefore, preliminary estimates are shown for TEC and TPC.
Other Project Costs (OPC) are funded through laboratory overhead.

Science/Science Laboratories Infrastructure412

FY 2021 Congressional Budget Justification

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

20-SC-78, Linear Assets Modernization Project,
LBNL
TEC
OPCb
TPC

236,000a
4,000
240,000a

—
—
—

—
300
300

500
1,700
2,200

2,000
—
2,000

+1,500-1,700-200

20-SC-79, Critical Utilities Infrastructure
Revitalization, SLAC
TEC
OPCb
TPC

186,000a
3,000
189,000a

—
—
—

—
—
—

500
1,000
1,500

2,000
1,000
3,000

+1,500—+1,50020-SC-80, Utilities Infrastructure Project, FNAL
TEC
OPCb
TPC

310,000a
4,000
314,000a

—
—
—

—
100
100

500
1,900
2,400

2,000
—
2,000

+1,500-1,900-400

19-SC-71, Science User Support Center, BNL
TEC
OPCb
TPC

85,000a1,200
86,200a

—
1,000
1,000

7,000
200
7,200

20,000—20,000

7,000
—
7,000

-13,000—-13,000

19-SC-72, Electrical Capacity and Distribution
Capability, ANL
TEC
OPCb
TPC

60,000a
1,000
61,000a———30,000—30,00030,000—30,000———-30,000—-30,000abThis project has not received CD-2 approval; therefore, preliminary estimates are shown for TEC and TPC.
Other Project Costs (OPC) are funded through laboratory overhead.

Science/Science Laboratories Infrastructure413

FY 2021 Congressional Budget Justification

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

19-SC-73, Translational Research Capability,
ORNL
TEC
OPCb
TPC

93,500a
1,500
95,000a

—
1,190
1,190

25,000210
25,21025,000—25,00010,000—10,000-15,000—-15,000

19-SC-74, BioEPIC, LBNL
TEC
OPCb
TPC

140,000a
2,200
142,200a

—
—
—

5,000
1,500
6,500

15,000—15,000

6,000
—
6,000

-9,000—-9,00018-SC-71, Energy Sciences Capability, PNNL
TEC
OPCb
TPC

90,0003,000
93,00020,0001,236
21,23624,000—24,00023,000—23,00023,000—23,000———17-SC-71, Integrated Engineering ResearchCenter, FNAL
TEC
OPCb
TPC

85,000a
1,000
86,000a

22,500930
23,43020,000—20,00022,000—22,00012,000—12,000-10,000—-10,000

17-SC-73, Core Facility Revitalization, BNL
TEC
OPCb
TPC

74,000850
74,85031,800850
32,65042,200—42,200

—
—
—

—
—
—

—
—
—

N/A
N/A
N/A

N/A
N/A
N/A

153,200
7,410
160,610208,000
10,450218,450

151,400
2,950
154,350-56,600-7,500-64,100

Total, Construction
TEC
OPCb
TPC

a
b

This project has not received CD-2 approval; therefore, preliminary estimates are shown for TEC and TPC.
Other Project Costs (OPC) are funded through laboratory overhead.

Science/Science Laboratories Infrastructure414

FY 2021 Congressional Budget Justification

Science Laboratories Infrastructure
Funding Summary(dollars in thousands)
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

153,200
79,690232,890

208,000
93,000301,000

151,400
22,710174,110

Projects
Other
Total, Science Laboratories Infrastructure

Science/Science Laboratories Infrastructure415

FY 2021 Request vsFY 2020 Enacted-56,600-70,290-126,890

FY 2021 Congressional Budget Justification

416

21-SC-71, Princeton Plasma Innovation Center
Princeton Plasma Physics Laboratory (PPPL)
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Princeton Plasma Innovation Center (PPIC) project is $2,000,000. This project has a preliminary
Total Estimated Cost (TEC) range of $65,500,000 to $109,000,000 and a preliminary Total Project Cost (TPC) range of$68,000,000 to $111,500,000. These cost ranges encompass the most feasible preliminary alternatives at this time. The
preliminary TPC estimate for this project is $111,500,000.
This project will provide a multi-purpose facility with modern, flexible, efficient, and agile research laboratories and officespace to conduct plasma research activities in support of multiple SC programs.
Significant Changes
This project is a new start in FY 2021. The most recent DOE Order 413.3B approved Critical Decision (CD) is CD-0, Approve
Mission Need, which was approved September 9, 2019. FY 2021 funds will initiate Project Engineering and Design (PED)
activities.
A Federal Project Director with the appropriate certification level will be assigned to this project prior to CD-1 approval.
Critical Milestone History
FiscalYear

CD-0

FY 2021

9/09/19

Conceptual
DesignComplete
N/A

CD-1

CD-2

4Q FY 2020a 2Q FY 2022a

Final
DesignComplete
N/A

CD-3

D&D
Complete

CD-4

2Q FY 2023a

N/A

4Q FY 2029a

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

Fiscal Year
FY 2021

Performance
Baseline
CD-3A
Validation
N/A
2Q FY 2022a

CD-3A – Approve Long-Lead Procurements and Start of Early Construction Activities

aThis project is pre-CD-2 approval: therefore, schedule estimates are preliminary.

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Project Cost History
FiscalYear
FY 2021

TEC, Design
9,000

TEC,
Construction
100,000b(dollars in thousands)
OPCa, Except
TEC, Total
D&D
109,000
2,500

OPC, D&D

OPC, Total

TPC

N/A

2,500

111,500b

2. Project Scope and Justification
Scope
The Princeton Plasma Innovation Center (PPIC) is envisioned as a 67,000 to 84,000 gross square feet (gsf) multi-story officeand laboratory building at Princeton Plasma Physics Laboratory (PPPL) to serve as a single new multi-use facility that willhouse space for offices, medium bay research labs for diagnostics and fabrication, remote participation and collaboration,and research support.
Justification
In order to advance the plasma science and fusion frontier in support of the DOE mission, PPPL requires new or enhanced
facilities and infrastructure to foster innovation to make fusion energy a practical reality and further U.S. economic
competitiveness. The primary SC program relevant to the PPIC project is Fusion Energy Sciences (FES), and the primary Core
Capability is Plasma and Fusion Energy Sciences. The missions of SC’s Advanced Scientific Computing Research and Basic
Energy Sciences programs are also relevant to the mission need for the PPIC with second order effect to Large Scale User
Facilities/Advanced Instrumentation and Systems Engineering and Integration.
PPPL is a United States DOE national laboratory operated by Princeton University, and plays a key role in assisting FES
achieve its strategic goals. The PPPL vision is “enabling a world powered by safe, clean, and plentiful fusion energy whileleading discoveries in plasma science and technology.” To support this vision, PPPL carries out experiments and computer
simulations of the behavior of plasma, which is hot electrically-charged gas. Plasmas with sufficient temperature generate
fusion reactions. Therefore, PPPL’s aim is to be a leading center for future fusion concepts. The understanding of plasma
and its related technologies also has a broad impact on many other scientific fields and applications that are central to U.S.
economic health and competitiveness. This impact extends to astrophysics and space sciences, plasma-materialinteractions, plasma processing, particle acceleration, and high energy density plasmas. Many industries, such as the
microelectronics industry, utilize plasmas to synthesize and shape the materials in their products. These industries are
increasingly seeking collaboration with PPPL to improve their understanding of existing plasma processes and to develop
new modeling and measurement techniques potentially leading to new processes and applications. PPPL, in collaboration
with Princeton University, is strengthening its efforts to develop innovations for the next generation microelectronics toadvance economic competitiveness, national security, and future energy applications.
However, the current condition, capabilities, and configuration of PPPL infrastructure do not support current or plannedscientific efforts, in particular, the lack of adequate laboratory infrastructure, modern collaboration space, and modern
office infrastructure. PPPL would benefit from office and laboratories capabilities that can effectively accomplish theadvancement of the FES mission.
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.

abOther Project Costs (OPC) are funded through laboratory overhead.
This project has not received CD-2 approval, therefore, funding estimates are preliminary.

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FY 2021 Congressional Budget Justification

Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance MeasureMulti-Story Building

Threshold67,000 gsf

Objective
84,000 gsf

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

Costs

Total Estimated Cost (TEC)
DesignFY 2021

2,000

2,000

2,000

Outyears

7,000

7,000

7,000

Total, Design

9,000

9,000

9,000

100,000

100,000

100,000

100,000

100,000

100,000

FY 2021

2,000

2,000

2,000

Outyears

107,000

107,000

107,000

109,000

109,000

109,000

FY 2019

300

300

11

FY 2020

2,000

2,000

2,289

Construction
Outyears
Total, Construction
Total Estimated Cost (TEC)

Total, TECa
Other Project Cost (OPC)

Outyears

200

200

200

2,500

2,500

2,500

FY 2019

300

300

11

FY 2020

2,000

2,000

2,289

FY 2021

2,000

2,000

2,000

Outyears

107,200

107,200

107,200

111,500

111,500

111,500

Total, OPCb
Total Project Cost (TPC)

Total, TPCaabThis project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

7,500
1,500

N/A
N/A

N/A
N/A

Total, Design

9,000

N/A

N/A

Construction
Construction
Contingency

83,30016,700

N/A
N/A

N/A
N/A

100,000

N/A

N/A

109,000
18,200

N/A
N/A

N/A
N/A

OPC except D&D
Conceptual Planning
Conceptual Design
Contingency

300
2,000
200

N/A
N/A
N/A

N/A
N/A
N/A

Total, OPC

Total Estimated Cost (TEC)

Total, Construction
Total, TECa
Contingency, TEC
Other Project Cost (OPC)b

2,500

N/A

N/A

Contingency, OPC

200

N/A

N/A

Total Project Costa

111,500

N/A

N/A

Total, Contingency (TEC+OPC)

18,400N/A

N/A

5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear

Type

FY 2021

TEC
OPCb
TPC

FY 2019

FY 2020—300
300

FY 2021

—
2,000
2,000

Outyears

2,000
—
2,000

107,000
200
107,200

Total
109,000a
2,500
111,500a

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

4Q FY 2029
50 years
4Q FY 2079

This project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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

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

Life Cycle Costsa
Previous Total
Current Total
Estimate
Estimate

TBD
TBD
TBD
TBD

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

TBD
TBD
TBD
TBD

7. D&D Information
The new area being constructed in this project is not replacing existing facilities.

New area being constructed by this project at Princeton Plasma Physics Laboratory ......................
Area of D&D in this project at Princeton Plasma Physics Laboratory ................................................
Area at Princeton Plasma Physics 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
67,000-84,000
13,400
Noneb
None
None
13,4008. Acquisition Approach
The PPPL Management and Operating (M&O) Contractor, Princeton University, will perform the acquisition for this project,overseen by the Princeton Site Office. The M&O Contractor will be responsible for awarding and managing all subcontracts
related to the project. It will evaluate various acquisition and project delivery methods prior to achieving CD-1 and potential
benefits of using single or multiple contracts to procure materials, equipment, construction, commissioning and otherproject scope elements. The M&O Contractor’s annual performance and evaluation measurement plan will include project
performance metrics on which it will be evaluated.

Life-Cycle costs will be performed as part of CD-1.
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.
ab

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FY 2021 Congressional Budget Justification

422

21-SC-72, Critical Infrastructure Recovery & Renewal (CIRR)
Princeton Plasma Physics Laboratory (PPPL)
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Critical Infrastructure Recovery & Renewal (CIRR) project is $2,000,000. The current
preliminary Total Estimated Cost (TEC) range for this project is $48,900,000 to $80,400,000. The preliminary Total Project
Cost (TPC) range for this project is $50,400,000 to $81,900,000. These cost ranges encompass the most feasible preliminary
alternatives at this time. The preliminary TPC estimate for this project is $81,900,000.
PPPL’s aging utility infrastructure is non-redundant and increasingly unreliable, which negatively impacts lab operations.
Scientific productivity is dependent on a capable, available, flexible, maintainable, and reliable support infrastructure. This
project will provide critical infrastructure needed to safely and efficiently operate the laboratory missions. These systems
will be modern and energy efficient, reducing the operating cost of the facility.
Significant Changes
This project is a new start in FY 2021. The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission
Need, which was approved on September 16, 2019. FY 2021 funds will initiate Project Engineering and Design (PED)
activities.
A Federal Project Director with the appropriate certification level will be assigned to this project prior to CD-1 approval.
Critical Milestone History
FiscalYear

CD-0

FY 2021

9/16/19

Conceptual
DesignComplete
N/A

CD-1

CD-2

2Q FY 2020a 4Q FY 2022a

Final
DesignCD-3Complete
4Q FY 2023 4Q FY 2023a

D&D
Complete

CD-4

N/A

4Q FY 2029a

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

Fiscal Year
FY 2021

Performance
Baseline
CD-3A
Validation
4Q FY 2022a 1Q FY 2023a

CD-3A – Approve Long-Lead Procurements and Start of Early Construction ActivitiesaThis project is pre-CD-2 approval: therefore, schedule estimates are preliminary.

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Project Cost History
FiscalYear
FY 2021

TEC, Design
8,000

TEC,
Construction
72,400b(dollars in thousands)
OPCa, Except
TEC, Total
D&D
80,4001,500

OPC, D&D

OPC, Total

TPC

N/A

1,500

81,900b2. Project Scope and Justification
Scope
The CIRR project’s preliminary scope includes upgrades that may include: the electrical distribution system; standby power;
chilled water generation and distribution; distribution networks for steam, compressed air, sanitary waste, and condenser,
storm, canal, and potable water; HVAC systems; and communication systems.
Justification
Princeton Plasma Physics Laboratory (PPPL) is a significant element of the DOE capability in plasma science and directly
supports the DOE mission to make fusion energy a practical reality and further U.S. economic competitiveness. In order tomaintain system operability, it is essential to have reliable infrastructure in place. The current systems are outdated, at
capacity, unreliable, and inefficient. Portions of the current system are part of the original infrastructure built in 1958. In
order to maintain current missions and enable future ones, the infrastructure must be upgraded with modern, efficient,and reliable systems.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance MeasureRehabilitate and selectively
upgrade PPPL’s existing major
utility systems

Threshold








a
b

Objective

Renovate select electricalgeneration and distribution systems
and components
Renovate chilled water facility
Renovate select building HVAC
equipment
Renovate select data andcommunication systems
Renovate select sections steam
piping and components
Renovate select sections ofsanitary/storm water systemReplace additional electrical
distribution system components
Replace additional building HVAC
equipment
Replace additional sections ofunderground piping

Other Project Costs (OPC) are funded through laboratory overhead.
This project has not received CD-2 approval; therefore, funding estimates are preliminary.

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

Costs

Total Estimated Cost (TEC)
DesignFY 2021

2,000

2,000

2,000

Outyears

6,000

6,000

6,000

Total, Design

8,000

8,000

8,000

Outyears

72,40072,40072,400Total, Construction

72,40072,40072,400FY 2021

2,000

2,000

2,000

Outyears

78,40078,40078,40080,40080,40080,400FY 2019

100

100

100

FY 2020

1,200

1,200

1,200

Outyears

200

200

200

1,500

1,500

1,500

FY 2019

100

100

100

FY 2020

1,200

1,200

1,200

Construction

Total Estimated Cost (TEC)

Total, TECa
Other Project Cost (OPC)

Total, OPCb
Total Project Cost (TPC)FY 2021

2,000

2,000

2,000

Outyears

78,60078,60078,60081,90081,90081,900(dollars in thousands)
Current
Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

6,700
1,300

N/A
N/A

N/A
N/A

Total, Design

8,000

N/A

N/A

Total, TPCa
4. Details of Project Cost Estimate

Total Estimated Cost (TEC)abThis project has not received CD-2 approval; therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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(dollars in thousands)
Current
Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

Construction
Contingency

60,30012,100

N/A
N/A

N/A
N/A

Total, Construction

Construction

72,400

N/A

N/A

Total, TECa

80,400

N/A

N/A

Contingency, TEC

13,400N/A

N/A

OPC except D&D
Conceptual Planning
Conceptual Design
Contingency

100
1,200
200

N/A
N/A
N/A

N/A
N/A
N/A

Total, OPC

Other Project Cost (OPC)b

1,500

N/A

N/A

Contingency, OPC

200

N/A

N/A

Total Project Costa

81,900

N/A

N/A

Total, Contingency (TEC+OPC)

13,600N/A

N/A

5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear

Type

FY 2021

TEC
OPCb
TPC

FY 2019

FY 2020—
100
100

FY 2021

—
1,200
1,200

Outyears

2,000
—
2,000

78,400200
78,600Total
80,400a
1,500
81,900a

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

4Q FY 2025
50 years
N/A

This project has not received CD-2 approval; therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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

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

Life Cycle Costsa
Previous Total
Current Total
Estimate
Estimate

TBD
N/A
TBD
TBD

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

TBD
N/A
TBD
TBD

7. D&D Information
The new area being constructed in this project is not replacing existing facilities.

New area being constructed by this project at Princeton Plasma Physics Laboratory ......................
Area of D&D in this project at Princeton Plasma Physics Laboratory ................................................
Area at Princeton Plasma Physics 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
Noneb
None
None
None

8. Acquisition Approach
The PPPL Management and Operating (M&O) Contractor, Princeton University, will perform the acquisition for this project,overseen by the Princeton Site Office. The M&O Contractor will be responsible for awarding and managing all subcontracts
related to the project. It will evaluate various acquisition and project delivery methods prior to achieving CD-1 and potential
benefits of using a single or multiple contracts to procure materials, equipment, construction, commissioning and otherproject scope elements. The M&O Contractor’s annual performance and evaluation measurement plan will include project
performance metrics on which it will be evaluated.

Life-Cycle costs will be performed as part of CD-1.
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.
ab

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428

21-SC-73, Ames Infrastructure Modernization
Ames Laboratory
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Ames Infrastructure Modernization (AIM) project is $2,000,000. This project has a preliminary
Total Estimated Cost (TEC) range of $21,000,000 to $88,000,000 and a preliminary Total Project Cost (TPC) range of$23,000,000 to $90,000,000. These cost ranges encompass the most feasible preliminary alternatives at this time. The
preliminary TPC estimate for this project is $31,000,000.
AIM’s objective is to support the SC mission by providing a safer and more operationally efficient campus for theemployees, visitors, and guests at Ames, as well as to reduce deferred maintenance costs. This project is designed tosupport DOE mission-critical programs and initiatives, increase the reliability of utility infrastructure, minimize facility costs
through effective and efficient operations, and modernize laboratories in Ames Laboratory’s research buildings, thereby
enhancing Ames Laboratory’s ability to continue to deliver on SC mission across multiple program offices.
Significant Changes
This project is a new start in FY 2021. The most recent DOE Order 413.3B approved Critical Decision (CD) is CD-0, Approve
Mission Need, which was approved September 16, 2019. FY 2021 funds will initiate Project Engineering and Design (PED)
activities.
A Federal Project Director with the appropriate certification level will be assigned to this project prior to CD-1 approval.
Critical Milestone History
FiscalYear

CD-0

FY 2021

9/16/19

Conceptual
Final
DesignDesign
CD-1
CD-2
CD-3
Complete
Complete
4Q FY 2020 3Q FY 2021a 3Q FY 2022a 1Q FY 2023a 2Q FY 2023a

D&D
Complete

CD-4

N/A

4Q FY 2026a

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

Fiscal Year
FY 2021

Performance
Baseline
CD-3A
Validation
3Q FY 2022 3Q FY 2022a

CD-3A – Approve Long-Lead Procurements and Start of Early Construction ActivitiesaThis project is pre-CD-2 approval: therefore, schedule estimates are preliminary.

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Project Cost History
FiscalYear
FY 2021

TEC, Design
3,000

TEC,
Construction
27,000b(dollars in thousands)
OPCa, Except
TEC, Total
D&D
30,0001,000

OPC, D&D

OPC, Total

TPC

N/A

1,000

31,000b2. Project Scope and Justification
Scope
The AIM project will provide updated infrastructure building systems in existing research and operations buildings at Ames
Laboratory, such as: plumbing systems; building envelopes; electrical systems-emergency, backup power, anduninterruptible power supplies; and telecommunication systems. In addition, some existing laboratory spaces will be
modernized to support the SC mission and associated equipment.
Justification
SC utilizes the capabilities of Ames Laboratory to execute three of SC’s 24 core capabilities and the mission of multiple SC
program offices, including research by the offices of Basic Energy Sciences, Advanced Scientific Computing Research,
Biological and Environment Research, and to a lesser extent, Fusion Energy Sciences. These core capabilities are 1)
Condensed Matter Physics and Materials Science, 2) Chemical and Molecular Science, and 3) Applied Materials Science andEngineering. Ames Laboratory is dedicated to creating materials, inspiring minds to solve problems, and addressing global
challenges. Ames Laboratory provides SC with the ability for research in the discovery, synthesis, analysis, and use of newmaterials, novel chemistries, and transformational analytical tools. In pursuing its SC Mission to deliver scientificdiscoveries, Ames Laboratory invents materials with new physical and chemical functionalities, especially those thatharness the potential of rare-earth elements, through creative and innovative synthesis techniques; determines novel
physics and chemistry of quantum materials and molecules using instrumentation developed at Ames Laboratory; shares
these materials and knowledge with partners and collaborates nationwide and worldwide to advance fundamental
knowledge in physics, chemistry, and materials science; and promotes the applications of these materials for economic andnational security through in-house activities and external collaborations.
The current condition of the building systems and infrastructure impedes the execution and advancement of the SC mission
for the following reasons: 1) aging plumbing systems result in unplanned events such as sanitary sewer or major water leaks
that lead to disruption of scientific operations, jeopardizing instrumentation, and presenting a safety and health risk to
personnel; 2) deteriorating building envelopes negatively impact the SC mission through increased operational costs,
elevated risk to research equipment, and a poor work environment for Ames Laboratory staff; 3) lack of an adequate
electrical supply and distribution, including reliability during outages, places sensitive scientific equipment at risk ofdamage, prevents program expansion, and limits SC continued investment in state-of-the-art equipment andinstrumentation; 4) inadequate telecommunication systems impede program expansion and limits SC investment in stateof-the-art equipment and instrumentation; and 5) limited amount of modern research laboratory space impacts SC mission
through several outcomes, such as the inability to house state-of-the-art equipment and instrumentation; implement bestsafety management practices; create collaborative environments; and attract, recruit, and retain the scientific talent.
Therefore, to better accommodate the current and future DOE Office of Science mission, minimize disruptions to criticalresearch activities, reduce risks to operations, and improve the safety and reliability, Ames Laboratory needs improved
infrastructure systems and work spaces.
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.

abOther Project Costs (OPC) are funded through laboratory overhead.
This project has not received CD-2 approval, therefore, funding estimates are preliminary.

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Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance MeasureRehabilitate and selectively
upgrade Ames’ existing major
utility systems

ThresholdObjective

Replace and upgrade plumbing
systems in research buildings
Upgrade the building envelope on
mission critical research buildings
Replace two backup generators

Improve emergency/backup power
distribution systems
Modernize 23,000 sf of wet anddry labs, and office space inresearch buildings

3. Financial Schedule(dollars in thousands)
BudgetObligations
Authority(Appropriations)

Costs

Total Estimated Cost (TEC)
DesignFY 2021

2,000

2,000

2,000

Outyears

1,000

1,000

1,000

Total, Design

3,000

3,000

3,000

Outyears

27,00027,00027,000Total, Construction

27,00027,00027,000Construction

Total Estimated Cost (TEC)FY 2021

2,000

2,000

2,000

Outyears

28,00028,00028,00030,00030,00030,000FY 2020

250

250

25

FY 2021

250

250

475

Outyears

500

500

500

1,000

1,000

1,000

FY 2020

250

250

25

FY 2021

2,250

2,250

2,475

Outyears

28,50028,50028,50031,00031,00031,000Total, TECa
Other Project Cost (OPC)

Total, OPCb
Total Project Cost (TPC)

Total, TPCaabThis project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

2,500
500

N/A
N/A

N/A
N/A

Total, Design

3,000

N/A

N/A

Construction
Construction
Contingency

22,500
4,500

N/A
N/A

N/A
N/A

27,000

N/A

N/A

30,000
5,000

N/A
N/A

N/A
N/A

250
250
500

N/A
N/A
N/A

N/A
N/A
N/A

Total Estimated Cost (TEC)

Total, Construction
Total, TECa
Contingency, TEC
Other Project Cost (OPC)b
OPC except D&D
Conceptual Planning
Conceptual Design
Contingency
Total, OPC

1,000

N/A

N/A

Contingency, OPC

500

N/A

N/A

Total Project Costa

31,000

N/A

N/A

Total, Contingency (TEC+OPC)

5,500

N/A

N/A

5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear

Type

FY 2021

TEC
OPCb
TPC

FY 2020

FY 2021—250
250

Outyears
2,000
250
2,250

Total

28,000500
28,50030,000a
1,000
31,000a

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

4Q FY 2026
25 years
4Q FY 2051

This project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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

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

Life Cycle Costsa
Previous Total
Current Total
Estimate
Estimate

TBD
TBD
TBD
TBD

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

TBD
TBD
TBD
TBD

7. D&D Information
The new area being constructed in this project is not replacing existing facilities.

New area being constructed by this project at Ames Laboratory......................................................
Area of D&D in this project at Ames Laboratory................................................................................
Area at Ames 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
Noneb
None
None
None

8. Acquisition Approach
The Ames Management and Operating (M&O) contractor, Iowa State University, will perform the acquisition for thisproject, overseen by the Ames Site Office. It will evaluate various acquisition approaches and consider project delivery
methods prior to achieving CD-1. The M&O contractor will be responsible for awarding and administering all subcontracts
related to this project. The M&O contractor’s annual performance evaluation and measurement plan will include project
performance metrics on which it will be evaluated.

Life-Cycle costs will be performed as part of CD-1.
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.
ab

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434

20-SC-71, Critical Utilities Rehabilitation Project
Brookhaven National Laboratory (BNL)
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Critical Utilities Rehabilitation Project (CURP) is $15,000,000. The current preliminary Total
Estimated Cost (TEC) range for this project is $70,000,000 to $92,000,000. The preliminary Total Project Cost (TPC) range forthis project is $70,800,000 to $92,800,000. These cost ranges encompass the most feasible preliminary alternatives at thistime. The preliminary TPC estimate for this project is $92,800,000.
This project will upgrade failing utility infrastructure that is still in use from BNL’s origins as World War II Army Camp Upton.
Utility systems including steam, water, sanitary sewer, chilled water, and electrical systems will be revitalized and upgradedto meet the needs of supporting SC facilities and the Nuclear Physics (NP), Basic Energy Sciences (BES), High Energy Physics(HEP), Biological and Environmental Research (BER), and Advanced Scientific Computing Research (ASCR) programs.
Significant Changes
This project was initiated in FY 2020. The most recent DOE Order 413.3B approved Critical Decision (CD) is CD-0, Approve
Mission Need, which was approved on July 20, 2018. The project performed an analysis of Alternatives, which wasapproved by the SLI program, and approval of CD-1 is expected in the second quarter of FY 2020. The selected alternative isto repair or replace critical systems and components of the utility systems. FY 2021 funds will support long-leadprocurement and early construction activities after the appropriate CD approvals.
A Federal Project Director with the appropriate certification level (Level II: TPC greater than $50,000,000 and equal to orless than $100,000,000) will be assigned to this project.
Critical Milestone History
FiscalYear

CD-0

FY 2020
FY 2021

7/20/18
7/20/18

Conceptual
DesignComplete
4Q FY 2019
4Q FY 2019

CD-1

CD-2

4Q FY 2019a 4Q FY 2020a
2Q FY 2020a 2Q FY 2021a

Final
DesignCD-3Complete
4Q FY 2021 4Q FY 2021a
3Q FY 2021 4Q FY 2021a

D&D
Complete

CD-4

N/A
N/A

4Q FY 2026a
4Q FY 2024a

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

FiscalYear
FY 2020
FY 2021

Performance
Baseline
Validation
4Q FY 2020a
4Q FY 2020a

CD-3A
N/A
2Q FY 2020

CD-3A – Approve Long-Lead Procurements, Original ScopeaThis project is pre-CD-2; therefore, funding and schedule estimates are preliminary.

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Project Cost History
FiscalYear
FY 2020
FY 2021

TEC, Design
8,500
7,100

TEC,
Construction
76,50084,900(dollars in thousands)
OPCa, Except
TEC, Total
D&D
85,000800
92,000b800

OPC, D&D

OPC, Total

N/A
N/A

800
800

TPC
85,80092,800b2. Project Scope and Justification
Scope
CURP’s scope is to revitalize and upgrade highest risk major utility systems across the BNL campus by replacing piping inareas prone to water main breaks and provide other water system improvements to improve system operations andreliability. The project will also replace select sections of the sanitary utility systems with failing pumps, controllers, and/or
manholes, and provide several required modifications to the central chilled water system in order to support growth ofprocess loads and assure reliability. CURP will replace deteriorated and leaking steam systems along Cornell Avenue toassure safe, reliable, and efficient steam service to mission critical facilities on the north side of the campus, and older
feeder cables and inadequate breakers along Cornell Avenue, which will increase capacity, reliability, and personnel safety.
Justification
BNL is a multi-program DOE national laboratory with recognized impact on national science needs. BNL provides scientificleadership in NP, photon sciences, energy science for BES, and data-driven discovery for ASCR, with leading programs inselected areas of HEP, BER, accelerator science and technology, and national security and non-proliferation. BNL utilizes
world-class facilities and core expertise to: advance energy and environment-related basic research and apply them to 21stCentury problems of critical importance to the Nation; and advance fundamental research in nuclear and particle physics togain a deeper understanding of matter, energy, space, and time.
Although there has been substantial investment in recent years to modernize and construct new research facilities at BNL,
much of BNL’s utility infrastructure serving these facilities is over 50 years old and some is over 70 years old, dating to BNL’s
origin as a U. S. Army base during World Wars I and II. Efficient, maintainable, and reliable utilities are critical to the successand mission capability of BNL’s research facilities. Currently, a significant portion of BNL’s utility infrastructure is beyond
useful life and suffering from failures, decreased reliability, lack of redundancy, and limitations in capacity. As such, there isan urgent need to revitalize and selectively upgrade BNL’s existing major utility systems to assure reliable service, meetcapacity requirements, and enable readiness of facilities critical to the research mission.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.

a Other Project Costs (OPC) are funded through laboratory overhead.
bThis project has not received CD-2 approval, therefore, funding estimates are preliminary.

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Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance MeasureRehabilitate and selectively

upgrade BNL’s existing major utility
systems including steam, water,sanitary sewer, chilled water andelectrical systems.







ThresholdObjective

Renovate the Central Chilled Water
Facility
Replace 3,000 linear feet (LF) of
steam/condensate piping
Renovate Building 610 (B610)
Renovate Wellhouse #12
Replace 300,000 gallon water tank
Install new 13.8 kilovolt feeder
Renovate substation 603
Re-line 200 LF of sewer lines








Renovate chilled water system
Upgrade B610 Building Envelope
Replace up to 45 miles of water
service lines
Renovate 1 million gallon watertank
Renovate electrical system
Renovate sanitary sewer system.

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

Costs

Total Estimated Cost (TEC)
DesignFY 2020

7,100

7,100

7,100

Total, Design

7,100

7,100

7,100

FY 2020

12,90012,9002,900

FY 2021

15,00015,00015,000Outyears

57,00057,00067,000Total, Construction

84,90084,90084,900FY 2020

20,00020,00010,000FY 2021

15,00015,00015,000Outyears

57,00057,00067,00092,00092,00092,000

800

800

800

800

800

800

Construction

Total Estimated Cost (TEC)

Total, TECa
Other Project Cost (OPC)b
FY 2019
Total, OPC

a This project has not received CD-2 approval, therefore, funding estimates are preliminary.
b Other Project Costs (OPC) are funded through laboratory overhead.

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costs

Total Project Cost (TPC)FY 2019

800

800

800

FY 2020

20,00020,00010,000FY 2021

15,00015,00015,000Outyears

57,00057,00067,00092,80092,80092,800(dollars in thousands)
Current
Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

5,680
1,420

6,800
1,700

N/A
N/A

Total, Design

7,100

8,500

N/A

Construction
Construction
Contingency

70,32014,58061,20015,300N/A
N/A

84,90076,500N/A

92,00016,00085,00017,000N/A
N/A

OPC except D&D
Other OPC Costs
Contingency

800
—

800
—

N/A
N/A

Total, OPCb

800

800

N/A

Contingency, OPC

—

—

N/A

Total Project Costa

92,80085,800N/A

Total, Contingency (TEC+OPC)

16,00017,000N/A

Total, TPCa
4. Details of Project Cost Estimate

Total Estimated Cost (TEC)

Total, Construction
Total, TECa
Contingency, TEC
Other Project Cost (OPC)abThis project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear
FY 2020

FY 2021

Type
TEC
OPCb
TPC
TEC
OPCb
TPC

FY 2019

FY 2020

—
800
800
—
800
800

FY 2021

12,000——20,000—20,000———15,000—15,000Outyears

Total

73,000—73,00057,000—57,00085,000a800
85,800a
92,000a800
92,800a

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

N/A
Varies by System
N/A

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

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

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

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

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

7. D&D Information
This project replaces critical infrastructure components and minimal, if any, support buildings will be constructed. The newarea being constructed in this project is not replacing existing facilities.

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

Square Feet
None
None
Nonec
None
None
None

This project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.
c With the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using the Facility
Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property Efficiency Plan.
ab

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8. Acquisition Approach
The BNL Management and Operating (M&O) Contractor, Brookhaven Science Associates, will perform the acquisition forthis project, overseen by the Brookhaven Site Office. The M&O contractor is responsible for awarding and managing all
subcontracts related to this project and will evaluate various acquisition alternatives and project delivery methods prior toachieving CD-1. Potential acquisition and project delivery methods include, but are not limited to, firm-fixed-price contracts
for design-bid-build and construction manager/general contractor methods. The M&O contractor will also evaluate
potential benefits of using a single or multiple contracts to procure materials, equipment, construction, commissioning andother project scope elements. The M&O contractor’s annual performance and evaluation measurement plan will include
project performance metrics on which it will be evaluated.

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20-SC-72, Seismic and Safety Modernization
Lawrence Berkeley National Laboratory (LBNL)
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Seismic and Safety Modernization (SSM) project is $10,000,000. The preliminary Total
Estimated Cost (TEC) range is $76,320,000 to 95,400,000 and the preliminary the Total Project Cost (TPC) range is$78,520,000 to $97,600,000. These cost ranges encompass the most feasible preliminary alternatives at this time. The
preliminary TPC estimate for this project is $97,600,000.
Significant Changes
This project was initiated in FY 2020. The most recent DOE Order 413.3B Critical Decision (CD) is CD-1, Approve Alternative
Selection and Cost Range, which was approved on September 4, 2019. FY 2021 funds will initiate long-lead procurement
and early construction activities after the appropriate CD approvals.
A Federal Project Director with the appropriate certification level (Level II: TPC greater than $50,000,000 and equal to orless than $100,000,000) has been assigned to this project.
Critical Milestone History
FiscalYear

CD-0

FY 2020
FY 2021

9/06/18
9/06/18

Conceptual
DesignComplete
4Q FY 20196/17/19

CD-1

CD-2

4Q FY 2019a 4Q FY 2021a
9/04/193Q FY 2021a

Final Design
Complete

CD-3

D&D
Complete

CD-4

4Q FY 2022
1Q FY 2022

4Q FY 2022a
2Q FY 2022a

N/A
N/A

4Q FY 2027a
2Q FY 2027a

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

Fiscal Year
FY 2020
FY 2021

Performance
Baseline
Validation
4Q FY 2021
3Q FY 2021

CD-3A

CD-3B

N/A
3Q FY 2021

N/A
N/A

CD-3A – Approve Long-Lead Procurement and Site Preparation Activities
CD-3B – Approve Start of Remaining Construction ActivitiesaThis project is pre-CD-2; therefore, schedule estimates are preliminary.

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Project Cost History
FiscalYear
FY 2020
FY 2021

TEC, Design
10,00010,000TEC,
Construction
85,40085,400(dollars in thousands)
OPCa, Except
TEC, Total
D&D
95,400b2,200
95,400b2,200

OPC, D&D

OPC, Total

TPC

N/A
N/A

2,200
2,200

97,600b97,600b2. Project Scope and Justification
Scope
The SSM project will construct a new facility on the existing cafeteria site to house the cafeteria, health services andoperational support services (human resources, conferencing and other potential groups) to meet the requirements of Risk
Category IV of the California Building Code (CBC). In addition, the second floor of the B48 (Fire House) will be seismicallyupgraded to meet Risk Category IV of the CBC.
Justification
The Lawrence Berkeley National Laboratory executes 22 of the Office of Science’s (SC’S) 24 core capabilities and the missionof multiple SC program offices, with specifically strong presences of the Advanced Scientific Computing Research, Biologicaland Environment Research, Basic Energy Sciences, and High Energy Physics programs. LBNL is located on a 202 acre site in
the hills above the University of California, Berkeley campus employs approximately 3,400 full time employees; and is home
to five SC national user facilities: the Advanced Light Source, the Energy Sciences Network, the Joint Genome Institute, theMolecular Foundry, and the National Energy Research Scientific Computing Center. In FY 2016, over 11,000 researchers
used these facilities, representing roughly one third of the total for all SC user facilities. In pursuing the SC mission, LBNL
leverages collaborative science to bring together teams of individuals with different fields of expertise to work together oncommon solutions to the SC mission. However, these research activities must be executed with a unique caution since LBNL
is located less than one mile from the Hayward Fault and less than 25 miles from the San Andreas Fault, which would bothpose a life safety risk to employees, visitors, and guests during a significant seismic event.
The U.S. Geological Survey’s newest earthquake forecast, the third Uniform California Earthquake Rupture Forecast(UCERF3), states a 98 percent probability of a 6.0 magnitude or higher earthquake in the San Francisco Bay Area before
2043. Recent engineering evaluations from a San Francisco Bay Area structural engineering firm have identified significant
and extensive seismic safety hazards in critical LBNL support buildings, including the Cafeteria, Health Services, and Fire
House. Structural deficiencies identified in these buildings will likely cause significant structural damage with life safety
hazards during a magnitude 6.0+ earthquake on the Hayward Fault or a magnitude 8.3 earthquake on the San Andreas Fault
and will impede LBNL’s ability to resume operations.
The SSM project will address seismic safety issues and emergency response capabilities, specifically related to facilities withlarge congregation areas as well as improve facilities and transportation capabilities that are necessary for emergency
response personnel and maintaining continuity of operations. The facilities that are the primary focus of this project are theCafeteria, Health Services, and Fire House sleepquarters. Demolition of the cafeteria is anticipated to allow for constructionof a new facility. Additional supporting functions such as utilities or site modifications may be included in the project, if they
are deemed necessary.
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.

abOther Project Costs (OPC) are funded through laboratory overhead.
This project is pre-CD-2; therefore, funding estimates are preliminary.

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Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance Measure
New Facility to include a Cafeteria,
Health Services & Operational Support
Services
Seismic Upgrade of B48 (Fire House)

Threshold

35,000 gross square feet (gsf)
Meet requirements of Risk
Category III of the CBC
Meet requirements of Risk
Category IV of CBC

Objective

60,000 gsf
Meet requirements of Risk
Category III of the CBC

N/A

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

Costs

Total Estimated Cost (TEC)
DesignFY 2020

10,000FY 2021

10,000

8,000

—

—

2,000

10,00010,00010,000FY 2021

10,00010,0005,000

Outyears

75,40075,40080,40085,40085,40085,400FY 2020

10,00010,0008,000

FY 2021

10,00010,0007,000

Outyears

75,40075,40080,40095,40095,40095,400FY 2019

1,500

1,500

1,490

FY 2020

100

100

100

Outyears

600

600

610

2,200

2,200

2,200

Total, Design
Construction

Total, Construction
Total Estimated Cost (TEC)

Total, TECa
Other Project Cost (OPC)

Total, OPCbab

This project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costs

Total Project Cost (TPC)FY 2019

1,500

1,500

1,490

FY 2020

10,10010,1008,100

FY 2021

10,00010,0007,000

Outyears

76,00076,00081,01097,60097,60097,600(dollars in thousands)
Current
Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

8,300
1,700

8,500
1,500

N/A
N/A

Total, Design

10,00010,000

N/A

Construction
Construction
Contingency

70,40015,00068,40017,000N/A
N/A

85,40085,400N/A

95,40016,70095,40018,500N/A—

OPC except D&D
OPC except D&D
Contingency

2,000
200

2,000
200

N/A
N/A

Total, OPCb

2,200

2,200

N/A

Contingency, OPC

200

200

N/A

Total Project Costa

97,60097,600N/A

Total, Contingency (TEC+OPC)

16,90018,700N/A

Total, TPCa
4. Details of Project Cost Estimate

Total Estimated Cost (TEC)

Total, Construction
Total, TECa
Contingency, TEC
Other Project Cost (OPC)abThis project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear
FY 2020

FY 2021

Type
TEC
OPCb
a
TPC
TEC
OPCb
TPC

FY 2019

FY 2020

—
1,500
1,500
—
1,500
1,500

FY 2021

5,000
—
5,000
10,000100
10,100———10,000—10,000Outyears

Total

90,400700
91,10075,400600
76,00095,400a2,200
97,600a95,400a2,200
97,600a

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

4Q FY 2027
50 years
4Q FY 2077

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

TBD
TBD
TBD
TBD

N/A
53
318
371

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
TBD
TBD
TBD
TBD

N/A
2,658
15,882
18,540

7. D&D Information
The new area being constructed in this project is replacing existing facilities.

New area being constructed by this project at Lawrence Berkeley National Laboratory..........
Area of D&D in this project at Lawrence Berkeley National Laboratory....................................
Area at Lawrence Berkeley National Laboratory to be transferred, sold, and/or D&D outside
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
35,000 - 60,000
None
Nonec
None
None
15,000 - 60,000

This project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.
c With the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using the Facility
Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property Efficiency Plan.
ab

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8. Acquisition Approach
The LBNL Management and Operating (M&O) Contractor, University of California, will perform the acquisition for thisproject, overseen by the Bay Area Site Office. The M&O contractor evaluated various acquisition approaches and projectdelivery methods prior to achieving CD-1, and selected a Construction Manager/General Contractor approach as the best
method to deliver the project. The M&O contractor is also responsible for awarding and administering all subcontracts
related to this project. Its annual performance evaluation and measurement plan will include project performance metrics
on which it will be evaluated.

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20-SC-73, CEBAF Renovation and Expansion
Thomas Jefferson National Accelerator Facility (TJNAF)
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the CEBAF Renovation and Expansion project is $2,000,000. The preliminary Total Estimated Cost
(TEC) range for this project is $47,000,000 to $96,000,000. The preliminary Total Project Cost (TPC) range for this project is$48,900,000 to $99,300,000. These cost ranges encompass the most feasible preliminary alternatives at this time. The
preliminary TPC estimate for this project is $89,300,000.
The CEBAF center at TJNAF is currently overcrowded and has inadequate utility systems that are experiencing frequent
failures. This project will renovate 123,000 to 250,000 gross square feet (gsf) of existing space in the CEBAF center and theApplied Research Center (ARC), upgrade high risk utility systems, and provide 82,000 to 150,000 gsf of additional space forvisitors, users, research, education, and support.
Significant Changes
This project was initiated in FY 2020. The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission
Need, which was approved on July 20, 2018. FY 2021 funds will support the continuation of Project Engineering and Design(PED) activities.
A Federal Project Director with the appropriate certification (Level II: TPC greater than $50,000,000 and equal to or less than$100,000,000) has been assigned to this project.
Critical Milestone History
FiscalYear

CD-0

FY 2020
FY 2021

7/20/18
7/20/18

Conceptual
DesignComplete
4Q FY 2019
4Q FY 2019

CD-1

CD-2

4Q FY 2019
2Q FY 2020

4Q FY 2020a
4Q FY 2020a

Final
DesignCD-3Complete
3Q FY 2021 4Q FY 2021a
3Q FY 2021 4Q FY 2021a

D&D
Complete

CD-4

N/A
N/A

4Q FY 2026a
4Q FY 2026a

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

Fiscal Year
FY 2020
FY 2021

Performance
Baseline
CD-3A
Validation
4Q FY 2020a
N/A
4Q FY 2020a 4Q FY 2020a

CD-3B
N/A
4Q FY 2021a

CD-3A – Approve Long-Lead Procurements and Start of Early Construction Activities
CD-3B – Approve Start of Remaining Construction ActivitiesaThis project is pre-CD-2; therefore, schedule estimates are preliminary.

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Project Cost History
FiscalYear
FY 2020
FY 2021

TEC, Design
4,200
5,000

TEC,
Construction
61,80082,000(dollars in thousands)
OPCa, Except
TEC, Total
D&D
66,000b1,900
87,000b2,300

OPC, D&D

OPC, Total

TPC

N/A
N/A

1,900
2,300

67,900b89,300b2. Project Scope and Justification
Scope
The scope of the CEBAF Renovation and Expansion project will include renovating 123,000 to 250,000 gsf of existing spaceand providing 82,000 to 150,000 gsf of additional office and laboratory space (including acquisition of the ARC) for 120 to
200 research, education, and support staff. The renovation will include reconfiguration to provide more functional, flexible,
and efficient spaces that meet current code standards. The CEBAF Renovation and Expansion project will replace themechanical systems in the existing CEBAF Center, which have exceeded their service life and experienced multiple failures.
The renovated building will be energy sustainable and will meet high performance building standards, including energy
conservation, green building principles, and sustainable design, and the project will design the building to meet Federal
legislative objectives. Upon completion, SC will relocate administrative and support staff from the Service Support Center(SSC) (leased space) into the ARC, and TJNAF will dedicate the CEBAF Center to scientific staff to more efficiently address
functional workspace needs for TJNAF staff and users.
Justification
With a population of nearly 1,600 users, TJNAF supports one of the largest nuclear physics user communities in the world.
The expanded scientific scope associated with the 12 GeV upgrade (e.g., double the energy with simultaneous delivery tofour experimental halls) is creating more and larger collaborations, requiring more technical workshops, and resulting in
more visitors to the Lab. The Laboratory expects staff and user population to increase 2 percent per year for the next 10
years and will soon exceed available space, which is already near capacity. Further, TJNAF is actively pursuing a number oflarge inter-entity transfer projects such as the cryomodules and cryogenics plants for LCLS-I, LCLS-II-HE, FRIB, and UUP thatit projects will require additional staffing. TJNAF will continue to play a key role in the design and development of emerging
SC initiative(s).
Currently TJNAF is lacking technically-equipped and functional space to accommodate advanced scientific research andmajor missions on the immediate horizon. The existing CEBAF Center is well beyond full capacity. The current occupantdensity of this building is 110 gsf per occupant which is significantly below the DOE standard of 180 gsf per occupant. In
addition, utility systems at the CEBAF center are inadequate, failing, and inefficient for the existing usage, let alone thepotential anticipated usage in the near future.
TJNAF also continues to advance a strategic campus plan designed to deliver more attractive, mission-focused, andfunctional workspaces by consolidating the Lab workforce scattered over several leased buildings in a single center thatprovides more effective and efficient operations. This includes appropriately consolidating workers currently housed in the
ARC and SSC leased spaces. This would allow for costly leases to be discontinued and reduce the cost to sustain existingbuildings and infrastructure and more efficiently address functional workspace needs for TJNAF staff and users.
TJNAF must be prepared to accommodate planned staff and user growth which means additional office space must be
programmed soon. The Laboratory is pursuing Major Items of Equipment, several large inter-entity transfer projects forother National Labs, and a pivotal technical role in a proposed Electron Ion Collider.

abOther Project Costs (OPC) are funded through laboratory overhead.
This project is pre-CD-2; therefore, funding estimates are preliminary.

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The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance Measure
CEBAF Center Renovation
CEBAF Center Expansion
ARC Renovation

Threshold
66,000 gsf
22,000 gsf
57,000 gsf

Objective
128,000 gsf
82,000 gsf
121,000 gsf

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

Costs

Total Estimated Cost (TEC)
DesignFY 2020

2,000

2,000

2,000

FY 2021

2,000

2,000

2,000

Outyears

1,000

1,000

1,000

Total, Design

5,000

5,000

5,000

Outyears

82,00082,00082,000Total, Construction

82,00082,00082,000

2,000

2,000

2,000

Construction

Total Estimated Cost (TEC)FY 2020
FY 2021

2,000

2,000

2,000

Outyears

83,00083,00083,00087,00087,00087,000FY 2019

1,000

1,000

1,000

FY 2020

700

700

700

Outyears

600

600

600

2,300

2,300

2,300

Total, TECa
Other Project Cost (OPC)

Total, OPCbab

This project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costs

Total Project Cost (TPC)FY 2019

1,000

1,000

1,000

FY 2020

2,700

2,700

2,700

FY 2021

2,000

2,000

2,000

Outyears

83,60083,60083,60089,30089,30089,300(dollars in thousands)
Current
Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

4,200
800

3,400
800

N/A
N/A

Total, Design

5,000

4,200

N/A

Construction
Construction
Contingency

68,30013,70049,80012,000

N/A
N/A

82,00061,800N/A

87,00014,50066,00012,800

N/A
N/A

2,300
—

1,900
N/A

N/A
N/A

Contingency, OPC

2,300
—

1,900
N/A

N/A
N/A

Total Project Costa

89,30067,900N/A

Total, Contingency (TEC+OPC)

14,50012,800N/A

Total, TPCa
4. Details of Project Cost Estimate

Total Estimated Cost (TEC)

Total, Construction
Total, TECa
Contingency, TEC
Other Project Cost (OPC)
OPC except D&D
OPC except D&D
Contingency
Total, OPCaThis project has not received CD-2 approval, therefore, funding estimates are preliminary

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5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear
FY 2020

FY 2021Type

Prior Years

TEC
OPCb
TPC
TEC
OPCb
TPC

—
20
20
—
—
—

FY 2019

FY 2020

—
1,465
1,465
—
1,000
1,000

FY 2021

2,000
—
2,000
2,000
700
2,700

Outyears

—
—
—
2,000
—
2,000

Total

64,000415
64,41583,000600
83,60066,000a
1,900
67,900a87,000a2,300
89,300a

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

4Q FY 2026
50 years
4Q FY 2076

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

288
432
1,008
1,728

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate

288
432
1,008
1,728

14,40021,60050,40086,40014,40021,60050,40086,400

7. D&D Information
The new area being constructed in this project is not replacing existing facilities.

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

Square Feet
82,000 - 150,000
None
Nonec
None
None
None

This project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.
c With the implementation of OMB’s Reduce the Footprint initiative, DOE no longer maintains the space bank. Footprint is managed using the Facility
Information Management System, with decisions on additions and offsets made in accordance with the DOE Real Property Efficiency Plan.
ab

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8. Acquisition Approach
The TJNAF Management and Operating (M&O) contractor, Jefferson Science Associates, will perform the acquisition for thisproject, overseen by the Thomas Jefferson Site Office. The M&O contractor will consider various acquisition approaches
and project delivery methods prior to achieving CD-1 and will be responsible for awarding and administering all
subcontracts related to this project. Its annual performance evaluation and measurement plan will include project
performance metrics on which it will be evaluated.

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20-SC-74, Craft Resources Support Facility
Oak Ridge National Laboratory (ORNL)
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Craft Resources Support Facility (CRSF) is $25,000,000. The preliminary Total Estimated Cost
(TEC) range for this project is $34,000,000 to $48,000,000 and the preliminary Total Project Cost (TPC) range for this projectis $35,000,000 to $49,000,000. These cost ranges encompass the most feasible preliminary alternatives at this time. The
preliminary TPC estimate for this project is $41,000,000.
This project will provide a new facility for ORNL craft services (vehicle maintenance, etc.) to facilitate more efficient andconsolidated operations. Additional meeting space and shower facilities will be provided for many ORNL craft groups as
efficiencies are achieved. It will also demolish small buildings currently within the footprint of the proposed building.
Significant Changes
This project was initiated in FY 2020. The most recent DOE Order 413.3B Critical Decision (CD) is CD-0, Approve Mission
Need, which was approved on July 20, 2018. The project recently held an independent project review for CD-1, Alternatives
Selection and Cost Range, which occurred in August 2019. FY 2021 funds will support construction and associated activities
after the appropriate CD approvals.
A Federal Project Director with the appropriate certification level (Level I: TPC greater than $5,000,000 and equal to or lessthan $50,000,000) was assigned to this project.
In an August 2, 2018 memorandum, Dr. Stephen Binkley set an SC policy “… to initiate a process that devolves the
responsibility for planning, executing, and successfully delivering selected SC projects to a lower level in DOE’s line
management. The intent is to exempt capital asset projects with a Total Project Cost (TPC) less than $50 million from therequirements of DOE Order 413.3B, and delegate responsibility for their successful delivery from SC Associate Director’s tothe cognizant SC Laboratory Director…” In keeping with the intent of this policy, ORNL is seeking to have the responsibility
for management of the CRSF project delegated to the laboratory, and will have submitted a formal delegation request, that
may also be approved at CD-1. If it is delegated, a notable outcome will be inserted into the annual Performance Evaluationand Measurement Plan for the ORNL M&O contractor that will allow DOE to evaluate the M&O’s performance in meeting
this project’s established milestones.
Critical Milestone History
Conceptual
Final Design
D&D
CD-0
Design
CD-1
KD-2a
KD-3a
KD-4a
Complete
Complete
Complete
FY 2020
7/20/18 4Q FY 2019 4Q FY 2019b 3Q FY 2020b 3Q FY 2019 3Q FY 2020b
N/A
4Q FY 2023bbbb
FY 2021
7/20/18 4Q FY 2019 2Q FY 2020 2Q FY 2021 4Q FY 2021 1Q FY 2022
N/A
4Q FY 2025b
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
KD-2 – “Key Decision” to indicate responsibility for project management has been delegated to the Laboratory. Approve
Performance Baseline
Final Design Complete – Estimated/Actual date the project design will be/was complete(d)KD-3 – Approve Start of Construction
FiscalYearab

If Delegation is approved, Critical Decisions (CD) will transition to “Key Decisions (KD)” for the duration of the project.
This project is pre-CD-2; therefore, schedule estimates are preliminary.

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KD-4 – Approve Start of Operations or Project Closeout
KD-4B / KD-4 – Completion of D&D work / Approve Start of Operations or Project Closeout
FiscalYear
FY 2020
FY 2021

Performance
Baseline
CD-2/3a
Validation
3Q FY 2020b 3Q FY 2020b
2Q FY 2021b
N/A

CD-3AaCD-3Ba

N/A
N/A

N/A
N/A

KD-4A

KD-4B

N/A
N/A
4Q FY 2024b 4Q FY 2025b

CD-2/3 – Approve Performance Baseline and Start of Construction
CD-3A – Approve Long-Lead Procurement and Site Preparation Activities
CD-3B – Approve Start of Remaining Construction Activities
KD-4A – Completion of CRSF construction
KD-4B/KD-4 – Completion of potential demolition of vacated buildings / Project Closeout

Project Cost History
FiscalYear
FY 2020
FY 2021

TEC, Design
4,000
3,600

TEC,
Construction
36,00036,400(dollars in thousands)
OPCc, Except
TEC, Total
D&D
40,000b500
40,000b
1,000

OPC, D&D

OPC, Total

TPC

N/A
N/A

500
1,000

40,500b41,000b2. Project Scope and Justification
Scope
The CRSF project’s scope includes constructing an estimated 60,900 gross square feet (gsf) to 79,300 gsf building that will
provide modern space with an appropriate design, configuration, and environmental conditions to maintain ORNL
infrastructure and support activities in support of multiple SC research programs. Activities to be relocated from obsolete
buildings into new facility include skilled craft services like vehicle garage and maintenance, grounds maintenance, painting
and signage, hoisting and rigging, etc., as well as storage for high-value equipment and materials. The project also includes
demolition of several small buildings (approximately 3,600 gsf) currently within the footprint of the proposed building.
Additive scope would include demolition of up to 50,000 gsf of vacated facilities once construction of CRSF facilities iscomplete and would be based on the accomplishment of the base scope.
Justification
SC utilizes over 20 core capabilities supported by ORNL and core mission facilities at ORNL, such as the Spallation Neutron
Source (SNS), the High Flux Isotope Reactor (HFIR), and the Oak Ridge Leadership Computing Facility (OLCF). These corecapabilities and facilities support the mission of Basic Energy Sciences, Fusion Energy Sciences, Nuclear Physics, Biological &Environmental Research, and Advanced Scientific Computing Research.
The complex infrastructure required to support the SC mission and associated facilities places a substantial demand on craft
resource support functions, which is comprised of 28 different trades ranging from automotive mechanics to instrument
technicians. Craft resources within ORNL’s Facilities and Operations Directorate maintains and/or supports the Laboratory’s
5.7 million square feet of space, maintains a fleet of over 400 vehicles, and supplies utilities to this footprint including
nearly 50 miles of water distribution piping, 670 million pounds of high-pressure steam distributed over 10 miles of steamlines, three major electrical substations, 60 miles of overhead transmission lines, and 14,000 tons of chilled waterproduction.
If Delegation is approved, Critical Decisions (CD) will transition to “Key Decisions (KD)” for the duration of the project.
This project is pre-CD-2; therefore, funding and schedule estimates are preliminary.
c Other Project Costs (OPC) are funded through laboratory overhead.
ab

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Continued research at ORNL that supports over 3,200 users utilizing the many user facilities, as well as experimental anddevelopmental research facilities, are dependent on support services provided by craft resources. Due to the distinctive
nature and complexity of many of ORNL infrastructure systems, in house craft services are often required to respond tounique circumstances. Similarly, operational inefficiencies in these areas result in a ripple effect that increases risk to SC
research productivity and the ORNL science mission. Inefficient operation of craft resource support services directly impacts
many high-priority science programs at ORNL.
ORNL mission support personnel provide multiple services supporting the ORNL science mission such as roads, grounds
maintenance, vehicle maintenance and repair garage, electricians, inspectors, and others. These support services are
currently housed in multiple inadequate facilities spread across the 7000 area, which are outdated and poorly configured,
resulting in inefficient operations, congested vehicle and pedestrian traffic patterns, and increased safety risks. These
conditions are creating inefficient, unreliable operations that are directly impacting many high-priority SC programs at
ORNL. Current facilities also lack conditioned space and covered storage that reduces life for high value equipment andmaterials as well provide poor working conditions for staff.
This project provides modern space with appropriate design, configuration, and environmental conditions to support
activities conducted at user, experimental, and developmental research facilities for multiple SC research programs
including SNS, HFIR, and OLCF.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets through CD-1, after which, project management is expected
to be delegated.
Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance Measure
Craft services support buildings

Threshold60,900 gsf

Objective
79,300 gsf

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

Costs

Total Estimated Cost (TEC)
DesignFY 2020

3,600

3,600

1,600

FY 2021

—

—

2,000

Total, Design
Construction

3,600

3,600

3,600

FY 2020

11,40011,400—FY 2021
Outyears

25,000—36,40025,000—36,400—36,40036,400Total, Construction

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costs

Total Estimated Cost (TEC)FY 2020

15,00015,0001,600

FY 202125,00025,0002,000

Outyears——

36,40040,00040,00040,000FY 2019

800

800

800

Outyears

200

200

200

1,000

1,000

1,000

FY 2019

800

800

800

FY 2020

15,00015,0001,600

FY 202125,00025,0002,000

Outyears

200

200

36,60041,00041,00041,000(dollars in thousands)
Current
Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

2,790
780

3,500
500

N/A
N/A

Total, Design

3,570

4,000

N/A

Construction
Construction
Contingency

28,5107,920

30,000
6,000

N/A
N/A

36,43036,000N/A

40,0008,700

40,000
6,500

N/A
N/A

Total, TECa
Other Project Cost (OPC)

Total, OPCb
Total Project Cost (TPC)

Total, TPCa
4. Details of Project Cost Estimate

Total Estimated Cost (TEC)

Total, Construction
Total, TECa
Contingency, TEC

abThis project has not received CD-2 approval; therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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(dollars in thousands)
Current
Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

800
200

420
80

N/A
N/A

1,000

500

N/A

Contingency, OPC

200

80

N/A

Total Project Costb

41,00040,500N/A

Total, Contingency (TEC+OPC)

8,900

6,580

N/A

Other Project Cost (OPC)
OPC except D&D
Conceptual Design
Contingency
Total, OPCa

5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear
FY 2020

FY 2021

Type
TEC
OPCa
TPC
TEC
OPCa
TPC

FY 2019

FY 2020
—
400
400
—
800
800

FY 2021

20,000—20,00015,000—15,00020,000100
20,10025,000—25,000Outyears
—
—
—
—
200
200

Total
40,000b500
40,500b
40,000b
1,000
41,000b6. 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
50 years
4Q FY 2074

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

a
b

101
146
194
441

135
90
145
370

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
4,249
6,141
8,161
18,551

6,750
4,500
7,250
18,500

Other Project Costs (OPC) are funded through laboratory overhead.
This project has not received CD-2 approval; therefore, funding estimates are preliminary.

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7. D&D Information
The new area being constructed in this project is replacing existing facilities.

New area being constructed by this project at Oak Ridge National Laboratory........................
Area of D&D in this project at Oak Ridge National Laboratory..................................................
Area at Oak Ridge National Laboratory to be transferred, sold, and/or D&D outside 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 (in base scope) ........................................................................................

Square Feet
60,900 - 79,300
3,568
Nonea
None
None
3,568

8. Acquisition Approach
The ORNL Management and Operating (M&O) Contractor, UT-Battelle, will perform the acquisition for this project overseenby the ORNL Site Office. The M&O Contractor will be responsible for awarding and managing all subcontracts related to theproject. The M&O contractor will evaluate various acquisition and project delivery methods prior to achieving CD-1 and will
evaluate potential benefits of using a single contract or multiple contracts to procure materials, equipment, construction,commissioning and other project scope elements. The M&O’s annual performance and evaluation measurement plan will
include project performance metrics on which it will be evaluated.

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.
a

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20-SC-75, Large Scale Collaboration Center
SLAC National Accelerator Laboratory (SLAC)
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Large Scale Collaboration Center (LSCC) is $8,000,000. The current preliminary Total Estimated
Cost (TEC) range for this project is $56,000,000 to $90,400,000. The current preliminary Total Project Cost (TPC) range forthis project is $59,400,000 to $92,400,000. These cost ranges encompass the most feasible preliminary alternatives at thistime. The preliminary TPC estimate for this project is $66,000,000.
This project will construct a new facility allowing for collocation of cross-functional teams in a common building, providing
synergies between all major SC-sponsored programs.
Significant Changes
This project was initiated in FY 2020. The most recent DOE Order 413.3B Critical Decision (CD) is CD-1, Approve Alternative
Selection and Cost Range, which was approved on November 18, 2019. The project performed an analysis of Alternatives,
which was approved by the SLI program, and determined the preferred alternative is to construct a new building. FY 2021
funds will support long-lead procurements and early construction activities after the appropriate CD approvals.
A Federal Project Director with the appropriate certification level (Level II: TPC greater than $50,000,000 and equal to orless than $100,000,000) has been assigned to this project.
Critical Milestone History
FiscalYear

CD-0

FY 2020
FY 2021

7/20/18
7/20/18

Conceptual
DesignComplete
4Q FY 2019
4Q FY 2019

CD-1
4Q FY 2019a
11/18/19

Final Design
Complete

CD-2

CD-3

4Q FY 2020a 4Q FY 2020 4Q FY 2020a
1Q FY 2022a 1Q FY 2023a 1Q FY 2023a

D&D
Complete

CD-4

N/A
3Q FY 2023

4Q FY 2026a
4Q FY 2027a

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

FiscalYear
FY 2020
FY 2021

Performance
Baseline
Validation
TBD
TBD

CD-3A

CD-3B

N/A
1Q FY 2020a

N/A
1Q FY 2023a

CD-3A – Approve Long-Lead Procurements and Start of Early Construction
CD-3B – Approve Remaining Construction ActivitiesaThis project is pre-CD-2; therefore, schedule and funding estimates are preliminary.

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Project Cost History
FiscalYear
FY 2020
FY 2021

TEC, Design
6,000
9,000

TEC,
Construction
54,000b55,000b(dollars in thousands)
OPCa, Except
TEC, Total
D&D
60,000b
1,000
64,000b
2,000

OPC, D&D

OPC, Total

TPC

N/A
N/A

1,000
2,000

61,000b
66,000b2. Project Scope and Justification
Scope
The Large Scale Collaboration Center (LSCC) project will construct a multi-office building of approximately 34,000 to 42,000
gross square feet (gsf) to consolidate and provide space for 100-150 occupants in a common building. The LSCC will provide
synergies among all major SC-sponsored programs at SLAC and provide a centralized office and collaboration space forcross-functional teams with the necessary performance capabilities to grow the science research programs.
Justification
Advances in scientific exploration require the coordinated development of an extensive range of sophisticated imaging
tools and extremely large amounts of data sets and images for current and future user facilities and research programs,
including the Linac Coherent Light Source (LCLS), the LCLS-II and LCLS-II-HE, the Stanford Synchrotron Radiation Laboratory(SSRL), Cryo-Electron Microscopy (EM), ATLAS at the Large Hadron Collider (LHC), the Large Synoptic Survey Telescope(LSST), the Deep Underground Neutrino Experiment (DUNE), and the Facility for Advanced Accelerator Experimental Tests(FACET)-II.
Existing buildings provide sufficient laboratory and experimental space. Current office spaces near experimental areas,
however, are fully occupied or oversubscribed, and projected staff and user increases exceed availability of adequate space.
Office spaces in current buildings are not properly configured and do not address the pressing need to accommodate teams
that are developing critical algorithms and data analysis techniques alongside staff scientists or visiting researchers andusers.
With growing numbers of scientific staff and users dealing with increased rates of data generation on the order of terabytes
per second streaming from detectors, it is essential to reduce data volumes while preserving the science content of thedata. This can be accomplished by collaborating with expertise in data science and massive-scale data analytics. The realtime computing for data reduction and, most importantly, for feedback defines the scale of the computing infrastructure
required onsite and offsite. This real-time feedback, done during experiment operation and between shifts, is instrumental
for the user to optimize the experiment and receive datasets as complete as possible before leaving the facility. Crossfunctional teams that understand accelerator and instrument operations also need to collaborate to address the commonand expanding need for substantial computation support.
Furthermore, the High Energy Density program is also working closely with SLAC’s LCLS directorate and the U.S. scientificcommunity to advance the Matter in Extreme Conditions (MEC) project, which will result in much improved optical and xray laser capabilities that will enable novel experiments to push the scientific frontier. Scientists at the MEC project will
perform these activities in collaboration with LCLS and academic partners and users ahead of full-scale experiments at LCLS.
SLAC currently lacks office spaces for scientists and staff to jointly explore challenges and develop solutions using largescale data sets. Adjacent office spaces that enable researchers to benefit from collaboration with subject matter experts incomputational science, AI/ML, exascale computing, data management, data acquisition, simulation, imaging, visualization,and modeling are also not currently available.

abOther Project Costs (OPC) are funded through laboratory overhead.
This project is pre-CD-2; therefore, funding estimates are preliminary.

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To address these capability gaps, SLAC proposes to construct a new LSCC. Without it, SLAC will be unable to collocate crossfunctional teams that understand accelerator and instrument operations, provide synergies between all major SCsponsored programs at SLAC, engage a broad spectrum of researchers in a common building to explore materials science,chemical science, cosmology, computational support, AI/ML, exascale applications, and quantum information science (QIS);
engage in private partnerships; and provide a centralized office and collaboration space with the necessary performancecapabilities to grow the photon science research program.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance MeasureMulti-Story Office Building

Threshold34,000 gsf

Objective
45,000 gsf

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

Costs

Total Estimated Cost (TEC)
DesignFY 2020

9,000

9,000

7,000

FY 2021

—

—

2,000

Total, Design

9,000

9,000

9,000

FY 2020

2,000

2,000

—

FY 2021

8,000

8,000

1,000

Outyears

45,00045,00054,000Total, Construction

55,00055,00055,000FY 2020

11,00011,0007,000

FY 2021

8,000

8,000

3,000

Outyears

45,00045,00054,00064,00064,00064,000Construction

Total Estimated Cost (TEC)

Total, TECaa

This project has not received CD-2 approval; therefore, funding estimates are preliminary.

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costs

Other Project Cost (OPC)FY 2019

500

500

500

FY 2020

200

200

200

FY 2021

1,300

1,300

1,300

2,000

2,000

2,000

FY 2019

500

500

500

FY 2020

11,200

11,2007,200

FY 2021

9,300

9,300

4,300

Outyears

45,00045,00054,00066,00066,00066,000(dollars in thousands)
Current
Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

7,200
1,800

4,800
1,200

N/A
N/A

Total, Design

9,000

6,000

N/A

Construction
Construction
Contingency

45,00010,00043,00011,000

N/A
N/A

55,00054,000N/A

64,00060,000N/A

11,80012,200N/A

Total, OPCa
Total Project Cost (TPC)

Total, TPCb
4. Details of Project Cost Estimate

Total Estimated Cost (TEC)

Total, Construction
Total, TECb
Contingency, TECabOther Project Costs (OPC) are funded through laboratory overhead.
This project has not received CD-2 approval; therefore, funding estimates are preliminary.

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(dollars in thousands)
Current
Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

Other Project Cost (OPC)
OPC except D&D
OPC Costs
Contingency

1,600
400

1,000
—

N/A
N/A

Total, OPCa

2,000

1,000

N/A

Contingency, OPC

400

—

N/A

Total Project Costb

66,00061,000N/A

Total, Contingency (TEC+OPC)

12,20012,200N/A

5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear
FY 2020

FY 2021

Type
TEC
OPCa
TPC
TEC
OPCa
TPC

FY 2019

FY 2020
—
700
700
—
500
500

FY 2021

3,000
—
3,000
11,000200
11,200

—
—
—
8,000
1,300
9,300

Outyears
57,000300
57,30045,000—45,000Total
60,000b
1,000
61,000b64,000b2,000
66,000b6. 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 2026
50 years
4Q FY 2076

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

a
b

81
154
170
405

81
154
170
405

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
4,050
7,700
8,500
20,250

4,050
7,700
8,500
20,250

Other Project Costs (OPC) are funded through laboratory overhead.
This project has not received CD-2 approval; therefore, funding estimates are preliminary.

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7. D&D Information
The new area being constructed in this project is not replacing existing facilities.

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

Square Feet
34,000-45,000
8,260
Nonea
None
None
None

8. Acquisition Approach
The SLAC Management and Operating (M&O) contractor, Stanford University, will perform the acquisition for this project,overseen by the Bay Area Site Office. The M&O contractor is responsible for awarding and managing all subcontracts
related to this project. Various acquisition alternatives were considered for this project, such as traditional design-bid-build,design-build, and construction manager/general contractor. After considering these alternatives in relation to the schedule,size, and risk, the design-build approach was selected. The M&O contractor’s annual performance evaluation andmeasurement plan will include project performance metrics on which it will be evaluatedWith 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.
a

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20-SC-76, Tritium System Demolition and Disposal (TSDD)
Princeton Plasma Physics Laboratory (PPPL)
Project is for Design and Demolition
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Tritium System Demolition and Disposal (TSDD) project is $19,400,000. The current preliminary
Total Estimated Cost (TEC) range for this project is $19,500,000 to $32,400,000. The current preliminary Total Project Cost
(TPC) range for this project is $20,500,000 to $33,400,000. These cost ranges encompass the most feasible preliminary
alternatives at this time. The preliminary TPC estimate for this project is $33,400,000.
This project will remove tritium contaminated legacy systems at PPPL.
Significant Changes
This project was initiated through FY 2020 Enacted Appropriations. The most recent DOE Order 413.3B approved Critical
Decision (CD) is CD-0, Approve Mission Need, which was approved September 16, 2019. FY 2021 funds will support Project
Engineering and Design (PED) and construction activities after the appropriate CD approvals.
A Federal Project Director with the appropriate certification level (Level I: TPC greater than $5,000,000 and equal to or lessthan $50,000,000) will be assigned to this project prior to CD-1 approval.
Critical Milestone History
FiscalYear

CD-0

FY 2021

9/16/19

Conceptual
DesignComplete
2Q FY 2020a

CD-1

CD-2

4Q FY 2020a 4Q FY 2021a

Final
DesignCD-3Complete
4Q FY 2021 4Q FY 2021a

D&D
Complete

CD-4

N/A

2Q FY 2025a

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

Fiscal Year
FY 2021

Performance
Baseline
Validation
4Q FY 2021a

Project Cost History
FiscalYear
FY 2021ab

TEC, Design
4,000

TEC,
Construction
28,400a(dollars in thousands)
OPCb, Except
TEC, Total
D&D
32,4001,000

OPC, D&D

OPC, Total

TPC

N/A

1,000

33,400aThis project is pre-CD-2 approval: therefore, schedule and funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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2. Project Scope and Justification
Scope
The Tritium System Demolition and Disposal (TSDD) project’s scope includes removing tritium contaminated items,
components, equipment, and sub-systems, including glove boxes, gas holding tanks, tritium purification system (TPS)
process piping, contaminated HVAC ductwork and neutral beam boxes, through demolition and disposal.
Justification
The aging tritium systems pose a risk to personnel at PPPL, are expensive to maintain, and take up valuable space that could
be put to better use. The TSDD project will reduce the risk of tritium release, the risk of public or worker radiological
exposure, and operating dollars expended on a legacy system, as well as free-up laboratory space for other uses. The
project would remove and dispose of the legacy tritium that remains on PPPL by: Eliminating risk of tritium release on-site and off-site, Eliminating worker exposure to tritium, Attenuating operational costs by reducing radiological monitoring, compliance and oversight. This includes greatly
reducing the need for (tritium) occupational radiological worker safety requirements (for most of the site) at theconclusion of the work, Creating available high value research space.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance Measure
PPPL Tritium Areas

Threshold

TFTR Test Cell (TTC)

Objective

Remove and dispose of all of theN/Atritium contaminated processequipment, contaminatedductwork, and waste from PPPL
Tritium Areas
Eliminate or reduce surface
contamination in contaminatedareas
Remove, and dispose of tritiumN/A
contaminated Neutral Beam Boxes
from the TTC — with the exceptionof any parts identified for re-use
on NSTX-U
Remove all Tritium contaminatedductwork
Decontaminate or encapsulate
floors and walls.

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

Costs

Total Estimated Cost (TEC)
DesignFY 2020

4,000

4,000

4,000

Total, Design

4,000

4,000

4,000

FY 2020

9,000

9,000

2,000

FY 2021

19,40019,40010,000Outyears——

16,40028,40028,40028,400FY 2020

13,00013,0006,000

FY 2021

19,40019,40010,000Outyears——

16,40032,40032,40032,400FY 2019

100

100

100

FY 2020

800

800

800

FY 2021

100

100

100

1,000

1,000

1,000

FY 2019

100

100

100

FY 2020

13,80013,8006,800

FY 2021

19,50019,50010,100Outyears——

16,40033,40033,40033,400Construction

Total, Construction
Total Estimated Cost (TEC)

Total, TECa
Other Project Cost (OPC)

Total, OPCb
Total Project Cost (TPC)

Total, TPCaabThis project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

3,200
800

N/A
N/A

N/A
N/A

Total, Design

4,000

N/A

N/A

Construction
Construction
Contingency

23,400
5,000

N/A
N/A

N/A
N/A

28,400

N/A

N/A

32,400
5,800

N/A
N/A

N/A
N/A

OPC except D&D
Conceptual Planning
Conceptual Design
Contingency

200
800
N/A

N/A
N/A
N/A

N/A
N/A
N/A

Total, OPC

1,000

N/A

N/A

Contingency, OPC

N/A

N/A

N/A

Total Project Costa

33,400

N/A

N/A

Total, Contingency (TEC+OPC)

5,800

N/A

N/A

Total Estimated Cost (TEC)

Total, Construction
Total, TECa
Contingency, TEC
Other Project Cost (OPC)b

5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear

Type

FY 2021

TEC
OPCb
TPC

FY 2019

FY 2020—
100
100

13,000800
13,800FY 2021

Total

19,400100
19,50032,400a
1,000
33,400a

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

a
b

N/A
N/A
N/A

This project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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

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

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate

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

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

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

7. D&D Information
The new area being constructed in this project is not replacing existing facilities.

New area being constructed by this project at Princeton Plasma Physics Laboratory ......................
Area of D&D in this project at Princeton Plasma Physics Laboratory ................................................
Area at Princeton Plasma Physics 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 FeetNone
13,400
Nonea
None
None
None

8. Acquisition Approach
The PPPL Management and Operating (M&O) Contractor, Princeton University, will perform the acquisition for this project,overseen by the Princeton Site Office. The M&O Contractor will be responsible for awarding and managing all subcontracts
related to the project. It will evaluate various acquisition and project delivery methods prior to achieving CD-1 and potential
benefits of using a single or multiple contracts to procure materials, equipment, construction, commissioning and otherproject scope elements. The M&O Contractor’s annual performance and evaluation measurement plan will include project
performance metrics on which it will be evaluated.

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.
a

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470

20-SC-77, Argonne Utilities Upgrade Project
Argonne National Laboratory (ANL)
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Argonne Utilities Upgrade (AU2) project is $2,000,000. This project has a preliminary Total
Estimated Cost (TEC) range of $72,000,000 to $215,000,000 and a preliminary Total Project Cost (TPC) range of $73,000,000
to $216,000,000. These cost ranges encompass the most feasible preliminary alternatives at this time. The preliminary TPC
estimate for this project is $216,000,000.
AU2 is proposed to revitalize and selectively upgrade ANL’s existing major utility systems including steam, water, sanitary
sewer, chilled water, and electrical systems.
Significant Changes
This project was initiated in FY 2020 Enacted Appropriations. The most recent DOE Order 413.3B Critical Decision (CD) is CD0, Approve Mission Need, which was approved on May 17, 2019. FY 2021 funds will support Project Engineering and Design(PED) activities.
A Federal Project Director with the appropriate certification level will be assigned to this project prior to CD-1 approval.
Critical Milestone History
FiscalYear

CD-0

FY 2021

5/17/19

Conceptual
Final
DesignDesign
CD-1
CD-2
CD-3
Complete
Complete
4Q FY 2020a 4Q FY 2020a 4Q FY 2021a 4Q FY 2021a 4Q FY 2022a

D&D
Complete

CD-4

N/A

4Q FY 2026a

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

FiscalYear
FY 2021

Performance
Baseline
Validation
4Q FY 2021a

CD-3A

CD-3B

1Q FY 2021a

N/A

CD-3A – Approve Long-Lead Procurements and Start of Early Construction
CD-3B – Approve Remaining Construction ActivitiesaThis project is pre-CD-2; therefore, schedule estimates are preliminary.

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Project Cost History
FiscalYear
FY 2021

TEC, Design
21,000(dollars in thousands)
OPCa, Except
TEC, Total
D&D
215,000b
1,000

TEC,
Construction
194,000

OPC, D&D

OPC, Total

N/A

1,000

TPC
216,000b

2. Project Scope and Justification
Scope
The AU2 project is in the pre-conceptual stage of development, and the preliminary scope includes upgrading failing 1940'sera utilities across the ANL campus. These utilities include steam, water, sanitary sewer, chilled water, and electricalsystems.
Justification
An efficient, maintainable, and reliable infrastructure is critical to the success and mission capability of ANL’s researchfacilities. As such, there is an urgent mission need to revitalize and selectively upgrade ANL’s existing major utility systems
including steam, water, sanitary sewer, chilled water and electrical systems.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance MeasureCooling, Water, Steam,Condensate and Sewer Systems

Threshold






a
b

Objective

Repair, replace or construct new
distribution piping for 10,000
linear feet of sewer, potable/nonpotable water, steam andcondensate piping and support
structures (e.g. steam vaults, pipe
supports, valves, culverts, etc.)
Replace boiler house control
systemConstruct new >6,300 ton chilledwater plant
Replace or retrofit 4,000 tons ofexisting chilled water capacity
including support infrastructure(e.g. cooling towers, pumps, heatexchangers, etc.)

Repair, replace or construct new
distribution piping for >10,000
linear feet of sewer, potable/nonpotable water, steam andcondensate piping and support
structures (e.g. steam vaults, pipe
supports, valves, culverts, etc.)
Install secondary potable water
connection to site
Replace or retrofit >4,000 tons ofexisting chilled water capacity
including support infrastructure(e.g. cooling towers, pumps, heatexchangers, etc.)

Other Project Costs (OPC) are funded through laboratory overhead.
This project is pre-CD-2; therefore, funding estimates are preliminary.

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

Costs

Total Estimated Cost (TEC)
DesignFY 2020

500

500

500

FY 2021

2,000

2,000

1,000

Outyears

35,00035,00036,000Total, Design

37,50037,50037,500177,500

177,500

177,500

177,500

177,500

177,500

500

500

500

Construction
Outyears
Total, Construction
Total Estimated Cost (TEC)FY 2020
FY 2021

2,000

2,000

1,000

Outyears

212,500

212,500

213,500

215,000

215,000

215,000

FY 2019

100

100

100

FY 2020

600

600

600

FY 2021

300

300

300

1,000

1,000

1,000

FY 2019

100

100

100

FY 2020

1,100

1,100

1,100

FY 2021

2,300

2,300

1,300

Outyears

212,500

212,500

213,500

216,000

216,000

216,000

Total, TECa
Other Project Cost (OPC)

Total, OPCb
Total Project Cost (TPC)

Total, TPCaabThis project is pre-CD-2; therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

30,000
7,500

N/A
N/A

N/A
N/A

Total, Design

37,500

N/A

N/A

Construction
Construction
Contingency

142,000
35,500

N/A
N/A

N/A
N/A

177,500——

215,000
43,000

N/A
—

N/A
—

OPC except D&D
OPC Costs
Contingency

1,000
—

N/A
N/A

N/A
N/A

Total, OPCb

1,000

N/A

N/A

Contingency, OPC

—

N/A

N/A

Total Project Costa

216,000

N/A

N/A

Total, Contingency (TEC+OPC)

43,000

N/A

N/A

Total Estimated Cost (TEC)

Total, Construction
Total, TECa
Contingency, TEC
Other Project Cost (OPC)

5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear

Type

FY 2021

TEC
OPCb
TPC

FY 2019

FY 2020—
100
100

FY 2021

500
600
1,100

Outyears

2,000
300
2,300

212,500—
212,500

Total
215,000a
1,000
216,000a

6. Related Operations and Maintenance Funding Requirements
N/A

a
b

This project is pre-CD-2; therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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7. D&D Information
The new area being constructed in this project is not replacing existing facilities.

New area being constructed by this project at Argonne National Laboratory ..................................
Area of D&D in this project at Argonne National Laboratory.............................................................

Square Feet
None
None

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

Nonea
None

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

None
None

8. Acquisition Approach
The ANL Management and Operating (M&O) Contractor, UChicago Argonne, LLC, will perform the acquisition for thisproject, overseen by the Argonne Site Office. The M&O contractor is responsible for awarding and managing all
subcontracts related to this project. The M&O contractor will evaluate various acquisition alternatives and project delivery
methods prior to achieving CD-1. Potential acquisition and project delivery methods include, but are not limited to, firmfixed-price contracts for design-bid-build and design-build. The M&O contractor will also evaluate potential benefits ofusing a single or multiple contracts to procure materials, equipment, construction, commissioning, and other project scopeelements. Its annual performance and evaluation measurement plan will include project performance metrics for ANL, on
which it will be evaluated.

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.
a

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476

20-SC-78, Linear Assets Modernization Project (LAMP)
Lawrence Berkeley National Laboratory (LBNL)
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Linear Assets Modernization Project (LAMP) at LBNL is $2,000,000. The preliminary Total
Estimated Cost (TEC) range for this project is $142,000,000 to $236,000,000. The Total Project Cost (TPC) range for thisproject is $146,000,000 to $240,000,000. The cost range encompasses the most feasible preliminary alternative at this time.
The preliminary TPC estimate for this project is $240,000,000.
LAMP is proposed to upgrade high priority utility systems to increase the reliability, capability, and safety of LBNL’s
infrastructure to meet DOE’s mission. The project will upgrade utility systems, including, but not limited to, domestic water,
natural gas, storm drain, sanitary sewer, electrical, and communication.
Significant Changes
This project was initiated the in FY 2020 Enacted Appropriations. The most recent DOE Order 413.3B Critical Decision (CD) is
CD-0, Approve Mission Need, which was approved on May 17, 2019. FY 2021 funds will support Project Engineering and
Design (PED) activities.
A Federal Project Director with the appropriate certification level will be assigned to this project prior to CD-1 approval.
Critical Milestone History
FiscalYear

CD-0

FY 2021

5/17/19

Conceptual
DesignComplete
4Q FY 2020a

CD-1
4Q FY 2020

CD-2

Final Design
Complete

CD-3

4Q FY 2021a 3Q FY 2022a 4Q FY 2022a

D&D
Complete

CD-4

N/A

4Q FY 2032a

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

Fiscal Year
FY 2021

Performance
Baseline
Validation
4Q FY 2021

CD-3A
1Q FY 2021a

CD-3A – Approve Long-Lead Procurements and Start of Early ConstructionaThis project is pre-CD-2; therefore, funding and schedule estimates are preliminary.

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Project Cost History
FiscalYear
FY 2021

TEC, Design
48,000a

TEC,
Construction
188,000a(dollars in thousands)
OPCa, Except
TEC, Total
D&D
236,000a
4,000

OPC, D&D

OPC, Total

TPC

N/A

4,000

240,000a2. Project Scope and Justification
Scope
The Linear Assets Modernization project will implement a multi-system-based, common geographical approach (“corridors”
across the lab with a number of different systems included in corridor) to repair, improve, and modernize linear systems
which could include domestic water, natural gas, storm drain, sanitary sewer, electrical, and communication. The projectwill identify locations where utility corridors would provide operational and construction efficiencies while reducing
deferred maintenance. The project may also address improvements to roadways or other traffic circulation elements,
particularly where utility reconfigurations may necessitate or otherwise provide opportunities for enhancement.
Justification
Established in 1931, LBNL is the oldest DOE national laboratory. SC utilizes the capabilities of LBNL to execute 23 of the 24
core capabilities and the mission of multiple SC program offices, including a strong presence of Advanced Scientific
Computing Research, Biological and Environmental Research, Basic Energy Sciences, and High Energy Physics. The missionneed of this project is to support the SC mission and multiple scientific programs by increasing the reliability, capability, andsafety of LBNL’s underground utility infrastructure while significantly reducing deferred maintenance. Utility infrastructure
represents 48 percent of the current $249,000,000 deferred maintenance backlog and represents a significant capability
gap in the LBNL’s ability to provide reliable and safe services to meet DOE’s mission needs. Direct investment is necessary
to enable transformational infrastructure improvements to accelerate deferred maintenance reduction, restore operationalreliability, and enhance support for scientific advancements. Moreover, existing infrastructure is insufficient to support the
future vision of planned facility modernization and growth. Without a modern utility infrastructure backbone, future
growth of the science mission at LBNL may not be able to be fully accommodated.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.

aOther Project Costs (OPC) are funded through laboratory overhead.

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Performance MeasureRehabilitate and selectively
upgrade LBNL’s existing major
underground utility systems

ThresholdObjective

Renovate and modernize selectunderground linear corridors
containing distribution systems andcomponents for:o Electricalo Natural Gas
o Domestic water supply/Sanitary/storm water; and/oro Data and communication
Establish critical loops for redundancy

Renovate additional underground
corridors

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

Costs

Total Estimated Cost (TEC)
DesignFY 2020

500

500

500

FY 2021

2,000

2,000

1,000

Outyears

45,50045,50046,500Total, Design

48,00048,00048,000Outyears

188,000

188,000

188,000

Total, Construction

188,000

188,000

188,000

FY 2020

500

500

500

FY 2021

2,000

2,000

1,000

Outyears

233,500

233,500

234,500

236,000

236,000

236,000

FY 2019

300

300

300

FY 20201,700

1,70001,700

Outyears

2,000

2,000

2,000

4,000

4,000

4,000

Construction

Total Estimated Cost (TEC)

Total, TECa
Other Project Cost (OPC)b

Total, OPC

abThis project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costs

Total Project Cost (TPC)aFY 2019

300

300

300

FY 2020

2,200

2,200

2,200

FY 2021

2,000

2,000

1,000

Outyears

235,500

235,500

236,500

240,000

240,000

240,000

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

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

38,00010,000

N/A
N/A

N/A
N/A

Total, Design

48,000

N/A

N/A

Construction
Construction
Contingency

150,000
38,000

N/A
N/A

N/A
N/A

188,000

N/A

N/A

236,000
48,000

N/A
N/A

N/A
N/A

OPC except D&D
Conceptual Design
Start-upContingency

1,700
1,600
700

N/A
N/A
N/A

N/A
N/A
N/A

Total, OPC

Total Estimated Cost (TEC)

Total, Construction
Total, TECa
Contingency, TEC
Other Project Cost (OPC)b

a
b

4,000

N/A

N/A

Contingency, OPC

700

N/A

N/A

Total Project Costa

240,000

N/A

N/A

Total, Contingency (TEC+OPC)

47,700

N/A

N/A

This project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear

Type

FY 2021

TEC
OPCb
TPC

FY 2019

FY 2020—300
300

FY 2021

500
1,700
2,200

Outyears

2,000
—
2,000

Total

233,500
2,000
235,500

236,000a
4,000
240,000a

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

TBD
50 years
N/A

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

TBD
TBD
TBD
TBD

TBD
TBD
TBD
TBD

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
TBD
TBD
TBD
TBD

TBD
TBD
TBD
TBD

7. D&D Information
This project replaces critical infrastructure components; no new construction area is anticipated to be constructed in thisproject and it 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 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
Noned
None
None
None

This project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.
c This project has not received CD-1 approval; related operations and maintenance funding requirements are yet to be determined.
d 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 the decisions on additions and offsets made in accordance with the DOE Real Property Efficiency Plan.
ab

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8. Acquisition Approach
The LBNL Management and Operating (M&O) Contractor, University of California, will perform the acquisition for thisproject, overseen by the Bay Area Site Office. The M&O contractor is responsible for awarding and managing all
subcontracts related to this project. It will evaluate various acquisition approaches and project delivery methods prior toachieving CD-1 and potential benefits of using a single or multiple contracts to procure materials, equipment, construction,commissioning, and other project scope elements. The M&O contractor’s annual performance and evaluation
measurement plan will include Project performance metrics for LBNL on which it will be evaluated.

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20-SC-79, Critical Utilities Infrastructure Revitalization (CUIR)SLAC National Accelerator Laboratory (SLAC)
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Critical Utilities Infrastructure Revitalization (CUIR) project is $2,000,000. The preliminary Total
Estimated Cost (TEC) range for this project is $80,000,000 to $186,000,000. The preliminary Total Project Cost (TPC) range
for this project is $83,000,000 to $189,000,000. These cost ranges encompass the most feasible preliminary alternatives atthis time. The preliminary TPC estimate for this project is $189,000,000.
The primary objective of this project is to close utilities infrastructure gaps to support multi-program science missions at
SLAC. Evolving technologies, instruments, experimental parameters, sensitivities, and complexity require increased
reliability, resiliency, and service levels in electrical, mechanical, and civil systems site wide. The CUIR project will address
the critical campus-wide utility and infrastructure issues by replacing, repairing, and modernizing the highest risk water/fire
protection, sanitary sewer, storm drain, electrical, and cooling water system deficiencies. These needs have been identified
through condition assessments, inspections, and recommendations from subject matter experts responsible forstewardship of the systems.
Significant Changes
This project was initiated in FY 2020 Enacted Appropriations. The most recent DOE Order 413.3B approved Critical Decision(CD) is CD-0, Approve Mission Need, which was approved May 17, 2019. FY 2021 funds will support Project Engineering and
Design (PED) activities.
A Federal Project Director with the appropriate certification level will be assigned to this project prior to CD-1 approval.
Critical Milestone History
FiscalYear

CD-0

FY 2021

5/17/19

Conceptual
Final Design
Design
CD-1
CD-2
CD-3
Complete
Complete
4Q FY 2020a 4Q FY 2020a 4Q FY 2021a 3Q FY 2022a 4Q FY 2022a

D&D
Complete

CD-4

N/A

4Q FY 2032a

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

Fiscal Year
FY 2021

Performance
Baseline
CD-3A
Validation
4Q FY 2021a 1Q FY 2021a

CD-3A – Approve Long-Lead Procurements, Original ScopeaThis project has not received CD-2 approval; therefore, schedule estimates are preliminary.

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Project Cost History
FiscalYear
FY 2021

TEC, Design
20,000TEC,
Construction
166,000b(dollars in thousands)
OPCa, Except
TEC, Total
D&D
186,000
3,000

OPC, D&D

OPC, Total

TPC

N/A

3,000

189,000b

2. Project Scope and Justification
Scope
CUIR’s preliminary scope is to provide underground domestic water/fire protection, sanitary sewer, and storm drain
systems site-wide. Additionally, it will provide updated major electrical gear, instrumentation, and cooling water systems
for the two-mile long klystron gallery and accelerator housing constructed in 1962.
Justification
SLAC is currently implementing a Campus Strategy based on its goals, which are designed to support the DOE Science
Mission, increase reliability, and minimize costs through safe, effective, and efficient operations. The objective of the CUIR
project is to reduce risks and close the capability gaps identified in SLAC’s infrastructure assessments and surveys as they
relate to storm water, sanitary sewer, domestic water/fire protection, electrical, and cooling water systems.
Disruptions caused by utility piping breaks, power fluctuations, faults, and cooling water interruptions, have frequently
impacted science research site wide. Electrical systems, pumps, and motors fail, valves on piping systems freeze, and there
are inoperable or unsafe electrical components that require broad outages to respond and repair, which impact morescience research and the greater SLAC population. Work-arounds and administrative controls placed on existing equipment
and systems, which are under-rated, not operating as intended, or not designed/operational for today’s science needs,
create tremendous inefficiencies and safety concerns, and sub-optimize operations.
The proposed project will retire $18,000,000 in deferred maintenance. The timely delivery of this project is essential for
current and future success of SLAC’s science programs. Alternatives will be evaluated prior to CD-1 during acquisition
strategy development.
The CUIR project will also reduce operational risks in critical infrastructure and utility support systems for all science
programs, decrease utilization of unique, old and outdated equipment; and increase operational reliability, flexibility, andsustainability throughout our site infrastructure. If these existing reliability gaps are not fulfilled, the operational efficiency,
reliability, productivity, and competitive viability in science programs and other related science research breakthroughs willcontinue to be impeded.
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.

abOther Project Costs (OPC) are funded through laboratory overhead.
This project has not received CD-2 approval; therefore, funding estimates are preliminary.

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Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance MeasureDeliver identified undergroundutility capabilities

Threshold








Deliver identified coolingcapabilities

Objective

Repair/Replace 1,500 linear feet(LF) sanitary sewer piping and one
lift station.
Repair/Replace 9,000 LF ofdomestic water/ fire protection
piping.
Repair/Replace 1,500 LF of storm
water drain piping and one liftstation.
Provides one new 5 megawatt(MW) cooling towers at Linac
Increase the existing underground
cooling tower header pipe capacity
to 18 inches.
















Deliver identified electrical power
capabilities







Replace one Motor Control Center
on Linac
Replace five electrical switchgear
in substations in Linac
Install two new 12 kilovolt (kV)electrical feeder and switchingequipment for Linac
Provide partial SCADA (supervisory
control and data acquisition) for of
the SLAC power system in master
substation and Linac

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




Repair/Replace 5,000 LF ofsanitary sewer piping and two liftstations.
Repair/Replace 28,000 LF ofdomestic water/ fire protection
piping.
Repair/Replace 6,000 LF of storm
water drain piping and three liftstations.
Provides two new 5 MW cooling
towers at Linac.
Increase the existing underground
cooling tower header pipe capacity
to 20 inches.
Install new non-radioactive Low
Conductivity Water systems forcooling at sectors 4-10
Provide new controls andinstrumentation for the LCW
system at sectors 4-10
Replace twelve Motor Control
Centers on Linac
Replace sixteen electricalswitchgear in substations in Linac
Replace six 12kV electrical feeders
across site
Provide complete SCADA of the
SLAC power system in master
substation and Linac

FY 2021 Congressional Budget Justification

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

Costs

Total Estimated Cost (TEC)
DesignFY 2020

500

500

500

FY 2021

2,000

2,000

1,000

Outyears

35,00035,00036,000Total, Design

37,50037,5000

37,500Outyears

148,500

148,500

148,500

Total, Construction

148,500

148,500

148,500

500

500

500

Construction

Total Estimated Cost (TEC)FY 2020
FY 2021

2,000

2,000

1,000

Outyears

183,500

183,500

184,500

186,000

186,000

186,000

FY 2020

1,000

1,000

1,000

FY 2021

1,000

1,000

1,000

Outyears

1,000

1,000

1,000

3,000

3,000

3,000

FY 2020

1,500

1,500

1,500

FY 2021

3,000

3,000

2,000

Outyears

184,500

184,500

185,500

189,000

189,000

189,000

Total, TECa
Other Project Cost (OPC)

Total, OPCb
Total Project Cost (TPC)

Total, TPCaabThis project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

16,000
4,000

N/A
N/A

N/A
N/A

Total, Design

20,000

N/A

N/A

Construction
Construction
Contingency

132,000
34,000

N/A
N/A

N/A
N/A

166,000

N/A

N/A

186,000
38,000

N/A
N/A

N/A
N/A

OPC except D&D
OPC except D&D
Contingency

3,000
—

N/A
N/A

N/A
N/A

Total, OPC

3,000

N/A

N/A

Contingency, OPC

—

N/A

N/A

Total Project Costa

189,000

N/A

N/A

Total, Contingency (TEC+OPC)

38,000

N/A

N/A

Total Estimated Cost (TEC)

Total, Construction
Total, TECa
Contingency, TEC
Other Project Cost (OPC)b

5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear

Type

FY 2021

TEC
OPCb
TPC

FY 2020

FY 2021

500
1,000
1,500

2,000
1,000
3,000

Outyears

Total

183,500
1,000
184,500

186,000a
3,000
189,000a

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

4Q FY 2026
50 years
4Q FY 2076

This project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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

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

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate

7,805
14,9405,700
28,445

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

885,000
158,930
702,000
1,745,930

7. D&D Information
The new area being constructed in this project is not replacing existing facilities.

New area being constructed by this project at SLAC National Accelerator Facility ...........................
Area of D&D in this project at SLAC National Accelerator Facility .....................................................
Area at SLAC National Accelerator Facility 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
Nonea
None
None
None

8. Acquisition Approach
The SLAC Management and Operating (M&O) contractor, Stanford University, will perform the acquisition for this project,overseen by the Bay Area Site Office. The M&O contractor is responsible for awarding and managing all subcontracts
related to this project. The M&O contractor will evaluate various acquisition alternatives and project delivery methods priorto achieving CD-1. Potential acquisition and project delivery methods include, but are not limited to, firm-fixed-pricecontracts for design-bid-build, construction management, and design-build subcontracts. The M&O contractor will also
evaluate potential benefits of using a single or multiple contracts to procure materials, equipment, construction,commissioning and other project scope elements. Its annual performance and evaluation measurement plan will include
project performance metrics for SLAC on which it will be evaluated.

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.
a

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20-SC-80, Utilities Infrastructure ProjectFermi National Accelerator Laboratory (FNAL)
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Utilities Infrastructure Project (UIP) is $2,000,000. This project has a preliminary Total
Estimated Cost (TEC) range of $146,000,000 to $310,000,000 and a preliminary Total Project Cost (TPC) range of$150,000,000 to $314,000,000. These cost ranges encompass the most feasible preliminary alternatives at this time. The
preliminary TPC estimate for this project is $314,000,000.
This project will modernize aging, obsolete, and severely deteriorated utilities infrastructure at Fermi National Accelerator
Laboratory (FNAL).
Significant Changes
This project was initiated in FY 2020 Enacted Appropriations. The most recent DOE Order 413.3B approved Critical Decision(CD) is CD-0, Approve Mission Need, which was approved on May 17, 2019. FY 2021 funds will support Project Engineeringand Design (PED) activities.
A Federal Project Director with the appropriate certification level will be assigned to this project prior to CD-1 approval.
Critical Milestone History
FiscalYear

CD-0

FY 2021

5/17/19

Conceptual
Final Design
Design
CD-1
CD-2
CD-3
Complete
Complete
4Q FY 2020 4Q FY 2020a 4Q FY 2021a 3Q FY 2022a 4Q FY 2022a

D&D
Complete

CD-4

N/A

4Q FY 2034a

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

Fiscal Year
FY 2021

Performance
Baseline
CD-3A
Validation
4Q FY 2021a 4Q FY 2020a

CD-3A – Approve Long-Lead Procurements and Start of Early Construction ActivitiesaThis project is pre-CD-2; therefore, schedule estimates are preliminary.

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Project Cost History
FiscalYear
FY 2021

TEC, Design
73,000TEC,
Construction
237,000b(dollars in thousands)
OPCa, Except
TEC, Total
D&D
310,000
4,000

OPC, D&D

OPC, Total

N/A

4,000

TPC
314,000b

2. Project Scope and Justification
Scope
The UIP’s preliminary scope includes upgrading the highest risk major utility systems across the FNAL campus. Specifically,
this project will first evaluate the current condition of the industrial cooling water system, potable water distribution
system, sanitary sewer and storm collection systems, natural gas distribution system, electrical distribution system, and theCentral Utility Building. Selected portions of the systems will then be replaced to assure safe, reliable, and efficient service
to mission critical facilities. In addition, the project will perform upgrades to obsolete, end-of-life components, which will
increase capacity, reliability, and personnel safety for critical utilities.
Justification
DOE’s Office of Science (SC) advances new experiments, international partnerships, and research programs to transform theunderstanding of nature and to advance U.S. energy, economic and national security interests. This mission requires themodernization of aging, obsolete, and severely deteriorated utilities infrastructure at FNAL. SC has identified a need torecapitalize FNAL’s Central Utilities Building and distributed site utility infrastructure to ensure the stewardship of SC’s
investments and to provide modern, world-class facilities for scientific experiments and research.
Although there has been substantial investment in recent years to modernize and construct new research facilities at FNAL,
much of FNAL’s utility infrastructure serving these facilities is over 50 years old. Efficient, maintainable, and reliable utilities
are critical to the success and mission capability of FNAL’s research facilities. Currently, a significant portion of FNAL’s utility
infrastructure is beyond useful life and suffering from failures, decreased reliability, lack of redundancy, and limitations incapacity. As such, there is an urgent need to revitalize and selectively upgrade FNAL’s existing major utility systems toensure reliable service, meet capacity requirements, and enable readiness of facilities critical to the research mission.
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.

abOther Project Costs (OPC) are funded through laboratory overhead.
This project has not received CD-2 approval, therefore, funding estimates are preliminary.

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Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance MeasureRehabilitate and selectively
upgrade FNAL’s existing major
utility systems

Threshold









Objective

Revitalize 20% of the Industrial
Cooling Water (ICW) system
extending from backbone
Replace 70% of the Domestic
Water System (DWS) identified as
inadequate or sub-standard
Replace 50% of the Sanitary Sewer& Storm Collection systems
identified as inadequate or substandard
Replace 2 miles of underground
Natural Gas lines
Provide necessary repairs to theCentral Utility Building (CUB) toensure viability for current andnear future (PIP-II, IERC, LBNFDune) projects











Revitalize 60% of the Industrial
Cooling Water (ICW) system
extending from backbone
Replace 100% of the Domestic
Water System (DWS) identified as
inadequate or sub-standard
Replace 100% of the Sanitary
Sewer & Storm Collection systems
identified as inadequate or substandard
Replace 22 miles of underground
Natural Gas lines
Provide Safety / Reliability
upgrades to Kautz Road Substation
Replace Central Utility Building

3. Financial Schedule(dollars in thousands)
BudgetObligations
Authority(Appropriations)

Costs

Total Estimated Cost (TEC)
DesignFY 2020

500

500

500

FY 2021
Outyears

2,000
70,5002,000
70,5001,000
71,500Total, Design

73,00073,00073,000237,000

237,000

237,000

237,000

237,000

237,000

FY 2020

500

500

500

FY 2021

2,000

2,000

1,000

Outyears

307,500

307,500

308,500

310,000

310,000

310,000

Construction
Outyears
Total, Construction
Total Estimated Cost (TEC)

Total, TECaa

This project has not received CD-2 approval, therefore, funding estimates are preliminary.

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

Costs

Other Project Cost (OPC)FY 2019

100

100

26

FY 2020

1,900

1,900

1,974

Outyears

2,000

2,000

2,000

4,000

4,000

4,000

FY 2019

100

100

26

FY 2020

2,400

2,400

2,474

FY 2021

2,000

2,000

1,000

Outyears

309,500

309,500

310,500

314,000

314,000

314,000

Total, OPCa
Total Project Cost (TPC)

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

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

60,80012,200

N/A
N/A

N/A
N/A

Total, Design

73,000

N/A

N/A

Construction
Construction
Contingency

197,500
39,500

N/A
N/A

N/A
N/A

Total Estimated Cost (TEC)

Total, Construction
Total, TECb
Contingency, TECab237,000

N/A

N/A

310,000
51,700

N/A
N/A

N/A
N/A

Other Project Costs (OPC) are funded through laboratory overhead.
This project has not received CD-2 approval, therefore, funding estimates are preliminary.

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(dollars in thousands)
Current
Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

Other Project Cost (OPC)
OPC except D&D
OPC except D&D
Contingency

3,300
700

N/A
N/A

N/A
N/A

Total, OPCa

4,000

N/A

N/A

Contingency, OPC

700

N/A

N/A

Total Project Costb

314,000

N/A

N/A

Total, Contingency (TEC+OPC)

52,400N/A

N/A

5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear

Type

FY 2021

TEC
OPCa
TPC

FY 2019

FY 2020—
100
100

FY 2021

500
1,900
2,400

Outyears

2,000
—
2,000

Total

307,500
2,000
309,500

310,000b
4,000
314,000b

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

TBDc
50 years
TBDc

Related Funding Requirementsc(dollars in thousands)
Annual Costs
Previous Total
Current Total
Estimate
Estimate
Operations
Utilities
Maintenance and Repair
Total, Operations and Maintenance

TBD
TBD
TBD
TBD

TBD
TBD
TBD
TBD

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

TBD
TBD
TBD
TBD

Other Project Costs (OPC) are funded through laboratory overhead.
This project has not received CD-2 approval, therefore, funding estimates are preliminary.
c This project has not received CD-1 approval; the related operations and maintenance funding requirements are yet to be determined.
ab

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7. D&D Information
The new area being constructed in this project is not replacing existing facilities.

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

Square Feet
TBD
TBD
Nonea
None
None
TBD

8. Acquisition Approach
The FNAL Management and Operating (M&O) contractor, Fermi Research Alliance LLC, will perform the acquisition for thisproject. The M&O contractor is responsible for awarding and managing all subcontracts related to this project and will
evaluate various acquisition alternatives and project delivery methods prior to achieving CD-1. The M&O will also evaluate
potential benefits of using a single or multiple contracts to procure materials, equipment, construction, commissioning, andother project scope elements. Its annual performance and evaluation measurement plan will include project performance
metrics for FNAL on which will be evaluated.

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.
a

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19-SC-71, Science User Support Center
Brookhaven National Laboratory (BNL)
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Science User Support Center (SUSC) is $7,000,000. This project has a preliminary Total Estimated
Cost (TEC) range of $70,800,000 to $94,800,000 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 at this time. The preliminary TPC
estimate for this project is $86,200,000.
This project will provide a facility to serve the research community and improve scientific and operational productivity byconsolidating visitor and support services.
Significant Changes
This project was initiated in FY 2019. The most recent DOE Order 413.3B Critical Decision (CD) is CD-1, Approve Alternative
Selection and Cost Range, which was approved on December 18, 2018. FY 2021 funds will support construction andassociated activities.
A Federal Project Director with the appropriate certification level (Level II: TPC greater than $50,000,000 and equal to orless than $100,000,000) has been assigned to this project.
Critical Milestone History
FiscalYear

CD-0

FY 2019
FY 2020
FY 2021

12/12/16
12/12/16
12/12/16

Conceptual
DesignComplete
4Q FY 2018
9/07/18
9/07/18

CD-1

CD-2

Final Design
Complete

CD-3

D&D
Complete

CD-4

3Q FY 2021
3Q FY 2021
3Q FY 2021

4Q FY 2021a
4Q FY 2021a
3Q FY 2021a

N/A
N/A
N/A

4Q FY 2025a
4Q FY 2025a
4Q FY 2026a

2Q FY 2019a 4Q FY 2020a
12/18/18 4Q FY 2020a
12/18/18 4Q FY 2020a

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

FiscalYear
FY 2019
FY 2020
FY 2021

Performance
Baseline
Validation
4Q FY 2020
4Q FY 2020
4Q FY 2020a

CD-3A
N/A
4Q FY 2019
4Q FY 2020a

CD-3A – Approve Long Lead Procurements and Site PreparationaThis project is pre-CD-2; therefore, schedule estimates are preliminary.

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Project Cost History
FiscalYear
FY 2019
FY 2020
FY 2021

TEC, Design
9,400
9,400
9,400

TEC,
Construction
75,600b75,600b75,600b(dollars in thousands)
OPCa, Except
TEC, Total
D&D
85,000b
1,000
85,000b1,200
b85,0001,200

OPC, D&D

OPC, Total

TPC

N/A
N/A
N/A

1,000
1,200
1,200

86,000b86,200b86,200b2. Project Scope and Justification
Scope
The scope of the SUSC project is to construct a multi-story office building of approximately 70,000 to 120,000 gross square
feet (gsf) to consolidate and provide space for visitor processing, offices for approximately 200-350 occupants, space for
conferences, extension of utilities to the building, and related roadway modifications and parking lot development.
Demolition of excess facilities to meet offsetting space requirements will be done off-project, unless specific facilities are
required to be included on-project. Additional supporting functions such as utilities or site modifications may be included in
the project, if they are deemed necessary.
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 its
administrative support functions and provides easier visitor access to conferencing and collaboration space to support the
Office of Science (SC) research mission. 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 is conceived to provide convenient and efficient facilities for processing andsupporting the users of BNL’s premier research facilities, which would enable for the demolition of the current substandard,dispersed, and inefficient facilities. It will also provide conference facilities to support the collaborative science and research
mission for the user community and BNL scientists.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance MeasureMulti-story Buildingab

Threshold70,000 gsf

Objective
120,000 gsf

Other Project Costs (OPC) are funded through laboratory overhead.
This project has not received CD-2 approval, therefore, funding estimates are preliminary.

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

CostsaTotal Estimated Cost (TEC)
DesignFY 2019

7,000

7,000

398

FY 2020

2,400

2,400

9,002

Total, Design

9,400

9,400

9,400

FY 2020

17,60017,6004,000

FY 2021

7,000

7,000

16,000Outyears

51,00051,00055,60075,60075,60075,600Construction

Total, Construction
Total Estimated Cost (TEC)FY 2019

7,000

7,000

398

FY 2020

20,00020,00013,002

FY 2021

7,000

7,000

16,000Outyears

51,00051,00055,60085,00085,00085,000FY 2017

700

700

700

FY 2018

300

300

286

Total, TECb
Other Project Cost (OPC)FY 2019

200

200

214

1,200

1,200

1,200

FY 2017

700

700

700

FY 2018

300

300

286

FY 2019

7,200

7,200

612

FY 2020

20,00020,00013,002

FY 2021

7,000

7,000

16,000Total, OPCc
Total Project Cost (TPC)

Outyears
Total, TPCb

51,00051,00055,60086,20086,20086,200Costs through 2019 reflect actual Costs; costs for FY 2020 and the outyears are estimates.
This project has not received CD-2 approval, therefore, funding estimates are preliminary.
c Other Project Costs (OPC) are funded through laboratory overhead.
ab

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

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

7,800
1,600

7,800
1,600

N/A
N/A

Total, Design

9,400

9,400

N/A

Construction
Construction
Contingency

63,00012,60063,00012,600N/A
N/A

75,60075,600N/A

85,00014,20085,00014,200

N/A
N/A

500
500
200

500
500
200

N/A
N/A
N/A

1,200

1,200

N/A

Contingency, OPC

200

200

N/A

Total Project Costa

86,20086,200N/A

Total, Contingency (TEC+OPC)

14,40014,400N/A

Total Estimated Cost (TEC)

Total, Construction
Total, TECa
Contingency, TEC
Other Project Cost (OPC)
OPC except D&D
Conceptual Planning
Conceptual Design
Contingency
Total, OPCb

5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear
FY 2019

FY 2020

FY 2021ab

Type

Prior Years

TEC
OPCb
TPC
TEC
OPCb
TPC
TEC
OPCb
TPC

—
1,000
1,000
—
1,000
1,000
—
1,000
1,000

FY 2019
2,000
—
—
7,000
200
7,200
7,000
200
7,200

FY 2020
7,400
—
7,400
6,400
—
6,400
20,000—20,000FY 2021
—
—
—
—
—
—
7,000
—
7,000

Outyears
75,600—75,60071,600—71,60051,000—51,000Total
85,000a
1,000
86,000a85,000a1,200
86,200a85,000a1,200
86,200aThis project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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

4Q FY 2026
60 years
4Q FY 2086

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

166
78
384
628

166
78
384
628

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
8,307
3,879
19,20031,386

8,307
3,879
19,20031,386

7. D&D Information
The new area being constructed in this project is not replacing existing facilities.

New area being constructed by this project at 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
70,000 - 120,000
None
Nonea
None
None
70,000 - 120,000

8. Acquisition Approach
The BNL Management and Operating (M&O) Contractor, Brookhaven Science Associates, will perform the acquisition forthis project, overseen by the Brookhaven Site Office and will be responsible for awarding and managing all subcontracts
related to the project. The M&O contractor evaluated various acquisition and project delivery methods prior to achieving
CD-1 and selected a Construction Manager/General Contractor approach as the best method to deliver the project. The
M&O Contractor will evaluate potential benefits of using single or multiple contracts for site preparation activities. The
M&O Contractor’s annual performance and evaluation measurement plan includes Project performance metrics on which it
will be evaluated.

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.
a

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500

19-SC-73, Translational Research Capability
Oak Ridge National Laboratory (ORNL)
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Translational Research Capability (TRC) project is $10,000,000. The preliminary Total Estimated
Cost (TEC) range for this project is of $80,300,000 to $93,500,000. The preliminary Total Project Cost (TPC) range for thisproject is $81,800,000 to $95,000,000. These cost ranges encompass the most feasible preliminary alternatives at this time.
The preliminary TPC estimate for this project is $95,000,000.
This project will provide laboratory, high bay, office, and collaboration space to support advancement in high-performancecomputing and materials science in support of multidisciplinary research.
Significant Changes
This project was initiated in FY 2019. The most recent DOE Order 413.3B Critical Decision (CD) is CD-3A, Approve Long-Lead
Procurements and Start of Early Construction Activities, which was approved on February 05, 2019. FY 2021 funds will
support construction and associated activities.
A Federal Project Director with the appropriate certification (Level II: TPC greater than $50,000,000 and equal to or lessthan $100,000,000) has been assigned to this project.
Critical Milestone History
FiscalYear

CD-0

FY 2020
FY 2021

10/26/17
10/26/17

Conceptual
DesignComplete
7/20/18
7/20/18

CD-1

CD-2

11/02/18a
11/02/18a

1Q FY 2020a
3Q FY 2020a

Final
DesignCD-3Complete
4Q FY 2019 1Q FY 2020a
4Q FY 2019 3Q FY 2020a

D&D
Complete

CD-4

N/A
N/A

4Q FY 2025a
4Q FY 2025a

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

FiscalYear
FY 2020
FY 2021

Performance
Baseline
Validation
N/A
N/A

CD-3A

CD-2/3CD-3B

2Q FY 2019
2/05/19

1Q FY 2020a
3Q FY 2020a

N/A
N/A

CD-2/3 – Approve Performance Baseline and Start of Construction Activities
CD-3A – Approve Long-Lead Procurements, Original Scope
CD-3B – Approve Long-Lead Procurements, Revised Scopea This project is pre-CD-2; therefore, schedule estimates are preliminary.

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Project Cost History
FiscalYear
FY 2020
FY 2021

TEC, Design
9,700
7,400

TEC,
Construction
83,80086,100(dollars in thousands)
OPCa , Except
TEC, Total
D&D
93,500b1,500
93,500b
1,500

OPC, D&D

OPC, Total

TPC

N/A
N/A

1,500
1,500

95,000b
95,000b2. Project Scope and Justification
Scope
The scope of the TRC project is to provide 79,700 to 115,000 gross square feet (gsf) of laboratory, high bay, office, andcollaboration space to support advancement in high-performance computing and materials science in support ofmultidisciplinary research. Additional supporting functions such as utilities or site modifications may be included in the
project, if they are deemed necessary.
Justification
The Office of Science (SC) has 24 core capabilities distributed across ten of the world-class national laboratories with thefollowing four core capabilities that are relevant to this project in support of the SC mission at Oak Ridge National
Laboratory (ORNL): advanced computer science, visualization, and data; materials science and engineering; decision scienceand analysis; and plasma and fusion energy science. Several SC Advisory Committee reports support the continuing need forthese core capabilities encouraging development and integration of several multidisciplinary efforts, such as developing
computational tools and the increasing necessity for interdisciplinary collaboration. This project will provide modern,
flexible, and adaptable space that is that will enable ORNL to respond to the pressing demand to support advancement incomputing and materials science in support of multidisciplinary research.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance MeasureThresholdMultifunction Laboratory and Office Building 79,700 gsf

ab

Objective
115,000 gsf

Other Project Costs (OPC) are funded through laboratory overhead.
This project has not received CD-2 approval, therefore, funding estimates are preliminary.

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

Costs

Total Estimated Cost (TEC)
DesignFY 2019

7,400

7,400

460

FY 2020

—

—

4,000

FY 2021

—

—

2,940

Total, Design

7,400

7,400

7,400

FY 2019

17,60017,6001,900

FY 2020

25,00025,0003,100

FY 2021

10,00010,00030,000Outyears

33,50033,50051,100Total, Construction

86,10086,10086,100FY 2019

25,00025,0002,360

FY 2020

25,00025,0007,100

FY 2021

10,00010,00032,940Outyears

33,50033,50051,10093,50093,50093,500FY 2017

190

190

190

FY 2018

1,000

1,000

1,000

FY 2019

210

210

89

Outyears

100

100

221

1,500

1,500

1,500

190

190

190

Construction

Total Estimated Cost (TEC)

Total, TECa
Other Project Cost (OPC)b
OPC except D&D

Total, OPC
Total Project Cost (TPC)FY 2017
FY 2018

1,000

1,000

1,000

FY 2019

25,21025,2102,449

FY 2020

25,00025,0007,100

FY 2021

10,00010,00032,940Outyears

33,60033,60051,321

95,00095,00095,000Total, TPCaabThis project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

6,400
1,000

8,200
1,500

N/A
N/A

Total, Design

7,400

9,700

N/A

Construction
Construction
Contingency

70,10016,00070,50013,300

N/A
N/A

86,10083,800N/A

93,50017,00093,50014,800

N/A
N/A

500
800
200

500
800
200

N/A
N/A
N/A

Total Estimated Cost (TEC)a

Total, Construction
Total, TEC
Contingency, TEC
Other Project Cost (OPC)b
OPC except D&D
Conceptual Planning
Conceptual Design
Contingency
Total, OPC

1,500

1,500

N/A

Contingency, OPC

200

200

N/A

Total Project Costa

95,00095,000N/A

Total, Contingency (TEC+OPC)

17,20015,000N/A

5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear
FY 2020

FY 2021ab

Type

Prior Years

TEC
OPCb
TPC
TEC
OPCb
TPC

—
1,190
1,190
—
1,190
1,190

FY 2019
25,000—25,00025,000210
25,210FY 2020
15,000—15,00025,000—25,000FY 2021———
10,000—10,000Outyears
53,500310
53,81033,500100
33,600Total
93,500a
1,500
95,000a93,500a
1,500
95,000aThis project has not received CD-2 approval, therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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

4Q FY 2025
50 years
4Q FY 2075

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

—
—
—
—

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate

742
258
720
1,720

—
—
—
—

26,823
9,030
25,201
61,054

7. D&D Information
The new area being constructed in this project is not replacing existing facilities.

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

Square Feet
79,700-115,000
None
Nonea
None
None
79,700-115,000

8. Acquisition Approach
The ORNL Management and Operating (M&O) Contractor, UT-Battelle, will perform the acquisition for this project overseenby the ORNL Site Office and will be responsible for awarding and managing all subcontracts related to the project. The M&O
contractor evaluated various acquisition and project delivery methods prior to achieving CD-1, and selected a design/build
best value technical qualification approach as the best method to deliver the project. The ORNL M&O Contractor will
evaluate potential benefits of using a single or multiple contracts to procure materials, equipment, construction,commissioning and other project scope elements. The M&O Contractor’s annual performance and evaluation measurement
plan includes project performance metrics on which it will be evaluated.

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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506

19-SC-74, Biological and Environmental Program Integration Center (BioEPIC)
Lawrence Berkeley National Laboratory (LBNL)
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Biological and Environmental Program Integration Center (BioEPIC) project is $6,000,000. The
preliminary Total Estimated Cost (TEC) range for this project is $110,000,000 to $190,000,000. The preliminary Total Project
Cost (TPC) range for this project is $112,200,000 to $192,200,000. These cost ranges encompass the most feasible
preliminary alternatives at this time. The preliminary TPC estimate for the project is $142,200,000.
This project will construct a new building with high performance laboratory space in close proximity to key LBNL facilities
and programs. Research operations currently located in commercially leased space and dispersed across the campus will be
collocated into this building allowing for better facilitation of Biological and Environmental Research (BER), Advanced
Scientific Computing Research (ASCR), and Basic Energy Sciences (BES) program research activities.
Significant Changes
This project was initiated in FY 2019. The most recent DOE Order 413.3B Critical Decision (CD) is CD-1, Approve Alternative
Selection and Cost Range, which was approved on May 9, 2019. FY 2021 funds will support construction and associatedactivities after the appropriate CD approvals.
A Federal Project Director with the appropriate certification level (Level III: TPC greater than $100,000,000 and equal to orless than $400,000,000) has been assigned to this project.
Critical Milestone History
FiscalYear

CD-0

FY 2020
FY 2021

3/13/18
3/13/18

Conceptual
DesignComplete
2Q FY 2019
5/09/19

CD-1

Final Design
Complete

CD-2

3Q FY 2019
5/09/194Q FY 2020a 2Q FY 2022a
4Q FY 2021a 2Q FY 2021a

CD-3

D&D
Complete

CD-4

4Q FY 2021a
4Q FY 2021a

N/A
N/A

4Q FY 2027a
4Q FY 2027a

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

Fiscal Year
FY 2020
FY 2021aPerformance
Baseline
Validation
4Q FY 2020a
4Q FY 2021a

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

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Project Cost History
FiscalYear
FY 2020
FY 2021

TEC, Design
13,000b
13,000b

TEC,
Construction
127,000b
127,000b(dollars in thousands)
OPCa , Except
TEC, Total
D&D
140,000b
2,200
140,000b
2,200

OPC, D&D

OPC, Total

TPC

N/A
N/A

2,200
2,200

142,200b142,200b

2. Project Scope and Justification
Scope
The scope of the BioEPIC project is to construct a new, state-of-the-art facility between 55,000 and 90,000 gross square feet(gsf) with laboratory space to support high performance research by BER, ASCR, and BES programs. This facility will be
constructed in close proximity to key LBNL facilities and programs. Research operations currently located in commerciallyleased space and dispersed across the campus will be collocated to the BioEPIC building. Collocation of researchers in thisunique experimental facility, near other important Office of Science (SC) assets, will increase synergy and efficiency, which
will better facilitate collaborative research in support of the SC mission.
Justification
The mission need of this project is to increase the synergy and efficiency of biosciences and other SC research at LBNL. LBNL
has grown from a pioneering particle and nuclear physics laboratory into a multidisciplinary research facility with broadcapabilities in physical, chemical, computational, biological, and environmental systems research in support of the DOE
mission. Much of the biological sciences program at LBNL is located off-site, away from the main laboratory, while others
are dispersed across several locations on the LBNL campus. This arrangement has produced research and operational
capability gaps that limit scientific progress and is a significant roadblock to the kind of collaborative science that is required
for understanding, predicting, and harnessing the Earth’s microbiome for energy and environmental benefits. This projectwill close the present capability gap by providing a state-of-the-art facility that will collocate biosciences research and otherprograms.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance Measure
Biosciences and other research spaceabThreshold
55,000 gsf

Objective
90,000 gsf

Other Project Costs (OPC) are funded through laboratory overhead.
This project has not received CD-2 approval; therefore, funding estimates are preliminary.

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

Costs

Total Estimated Cost (TEC)
DesignFY 2019

5,000

5,000

5,000

FY 2020

8,000

8,000

8,000

Total, Design

13,00013,00013,000Construction
FY 2020

7,000

7,000

—

FY 2021

6,000

6,000

8,000

Outyears

114,000

114,000

119,000

Total, Construction

127,000

127,000

127,000

FY 2019

5,000

5,000

5,000

FY 2020

15,00015,0008,000

FY 2021

6,000

6,000

8,000

Total Estimated Cost (TEC)

Outyears

114,000

114,000

119,000

140,000

140,000

140,000

FY 2019

1,500

1,500

1,500

Outyears

700

700

700

2,200

2,200

2,200

FY 2019

6,500

6,500

6,500

FY 2020

15,00015,0008,000

FY 2021

6,000

6,000

8,000

Outyears

114,700

114,700

119,700

142,200

142,200

142,200

Total, TECa
Other Project Cost (OPC)b

Total, OPC
Total Project Cost (TPC)a

Total, TPCaa This project has not received CD-2 approval; therefore, funding estimates are preliminary.
b Other Project Costs (OPC) are funded through laboratory overhead.

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

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

10,6002,400

12,800
3,200

N/A
N/A

Total, Design

13,00016,000

N/A

Construction
Construction
Contingency

105,000
22,000103,000
21,000

N/A
N/A

127,000

124,000

N/A

140,000
24,400140,000
24,200N/A
N/A

OPC except D&D
Conceptual Design
Start-upContingency

1,500
600
100

1,300
600
300

N/A
N/A
N/A

Total, OPC

Total Estimated Cost (TEC)

Total, Construction
Total, TECa
Contingency, TEC
Other Project Cost (OPC)b

2,200

2,200

N/A

Contingency, OPC

100

300

N/A

Total Project Costa

142,200

142,200

N/A

Total, Contingency (TEC+OPC)

24,50024,500N/A

5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear
FY 2020

FY 2021

a
b

Type
TEC
OPCb
TPC
TEC
OPCb
TPC

FY 2019
5,000
1,500
6,500
5,000
1,500
6,500

FY 2020

FY 2021

6,000
—
6,000
15,000—15,000

—
—
—
6,000
—
6,000

Outyears
129,000700
129,700
114,000
700
114,700

Total
140,000a
2,200
142,200a
140,000a
2,200
142,200a

This project has not received CD-2 approval; therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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

4Q FY 2027
50 years
1Q FY 2077

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

150
270
530
950

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate

150
270
530
950

5,700
11,90020,60038,2005,700
11,90020,60038,200

7. D&D Information
The new area being constructed in this project is not replacing existing facilities.

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

Square Feet
55,000 -90,000
None
Nonea
None
None
None

8. Acquisition Approach
The LBNL Management and Operating (M&O) Contractor, University of California, will perform the acquisition for thisproject, overseen by the Bay Area Site Office. The M&O contractor evaluated various acquisition approaches and projectdelivery methods prior to achieving CD-1 and selected a tailored Design-Bid-Build approach with a Construction Manager as
General Contractor as the overall best project delivery method with the lowest risk to DOE. The M&O contractor is also
responsible for awarding and administering all subcontracts related to this project. The M&O contractor’s annual
performance evaluation and measurement plan includes project performance metrics on which it will be evaluated.

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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512

18-SC-71, Energy Sciences Capability
Pacific Northwest National Laboratory (PNNL)
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Energy Sciences Capability project is $23,000,000. The Total Estimated Cost (TEC) for thisproject is $90,000,000 and the Total Project Cost (TPC) for this project is $93,000,000.
This project will provide a facility for the consolidation of multidisciplinary efforts related to the advancement of catalysis
science which are currently located in multiple facilities, on and off the PNNL Richland campus.
Significant Changes
This project was initiated in FY 2018. The most recent DOE Order 413.3B Critical Decision (CD) is CD-2/3, Approve
Performance Baseline and Approve Start of Construction, which was approved on December 7, 2018. FY 2021 funds will
support construction and associated activities.
A Federal Project Director with the appropriate certification level (Level II: TPC greater than $50,000,000 and equal to orless than $100,000,000) has been assigned to this project.
Critical Milestone History
FiscalYear

CD-0

FY 2018
FY 2019
FY 2020
FY 2021

12/12/16
12/12/16
12/12/16
12/12/16

Conceptual
DesignComplete
N/A
3Q FY 2018
3Q FY 2018
2/13/18

CD-1

CD-2

Final Design
Complete

CD-3

D&D
Complete

CD-4

4Q FY 2018
2Q FY 2018
2/13/18
2/13/18

4Q FY 2019
4Q FY 201912/07/18
12/07/18

N/A
4Q FY 201912/07/18
12/07/18

4Q FY 2020
4Q FY 2019
120/7/18
12/07/18

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

4Q FY 2025
4Q FY 2025
12/31/23
4Q FY 2023

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

Fiscal Year
FY 2018
FY 2019
FY 2020
FY 2021

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Performance
Baseline
Validation
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4Q FY 201912/07/18
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Project Cost History
FiscalYear
FY 2018
FY 2019
FY 2020
FY 2021

TEC, Design
9,000
9,000
9,000
9,000

TEC,
Construction
81,00081,00081,00081,000(dollars in thousands)
OPCa, Except
TEC, Total
D&D
90,0003,000
90,0003,000
90,0003,000
90,0003,000

OPC, D&D

OPC, Total

TPC

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

3,000
3,000
3,000
3,000

93,00093,00093,00093,0002. Project Scope and Justification
Scope
The scope of the proposed ESC project is to design, construct and turnover facilities and infrastructure that nominallyprovides 110,000 to 145,000 gross square feet of wet chemistry, instrumentation, and computational space in 40 to 52
laboratory modules along with offices for 150 to 200 research and support staff.
Justification
PNNL operates facilities for research in chemistry, materials sciences, subsurface science, biology, physics, medicine, andapplied science, as well as for the study of a diverse range of advanced technologies. PNNL’s science mission, which
supports DOE’s mission, is to understand, predict, and control complex adaptive systems for earth, energy, and security
missions. PNNL’s recognized Core Capabilities are essential to advance and accelerate SC research sponsored by BES, BER,
and ASCR. 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, PNNL requires greater multidisciplinary collaboration, controlledenvironments, and increasing computational needs beyond current capabilities 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 0.25percent vacant lab space and less than 1.5 percent
vacant office space currently available and scattered across the campus, PNNL needs a new facility to allow forcollaboration. This consolidation will free up space that also allows for increased optimization and greater colocation ofEnvironmental 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”b from the Massachusetts
Institute of Technology, convergence “involves the coming together of different fields of study—particularly engineering,
physical sciences, and life sciences—through collaboration among research groups and the integration of approaches” and“is a new paradigm that can yield critical advances in a broad array of sectors, from health care to energy, food, climate,
and water.” It also entails “a broad rethinking of how all scientific research can be conducted, so that we capitalize on a
range of knowledge bases.”
The ESC project will provide for the needed space of the proper configuration and types to afford acceleration of
convergent science—a need that can be achieved only through material means. It also will enable a cascade of moves toenable location of synergistic capabilities in optimal spaces without losing those capabilities for extended time periods andnegatively impacting research. The ESC project also further advances the PNNL campus strategy to modernize and increase
federal ownership of the Laboratory and seeks to directly impact PNNL’s core capabilities by creating space that enables
research in support of BES, BER, and ASCR programs.
abOther Project Costs (OPC) are funded through laboratory overhead.
https://www.aplu.org/projects-and-initiatives/research-science-and-technology/hibar/resources/MITwhitepaper.pdf

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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.
Performance MeasureMulti-story Laboratory Building

Threshold
110,000 gross square feet (gsf)

Objective
145,000 gsf

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

CostsaTotal Estimated Cost (TEC)
DesignFY 2018

9,000

9,000

489

FY 2019

—

—

8,511

Total, Design

9,000

9,000

9,000

FY 2018

11,00011,000—FY 2019

24,00024,00020,000FY 2020

23,00023,00020,000FY 202123,00023,00020,000Outyears——

21,00081,00081,00081,000FY 2018

20,00020,000489

FY 2019

24,00024,00028,511

FY 2020

23,00023,00020,000FY 202123,00023,00020,000Outyears——

21,00090,00090,00090,000FY 2017

839

839

839

FY 2018

397

397

397

Outyears

1,764

1,764

1,764

3,000

3,000

3,000

Construction

Total, Construction
Total Estimated Cost (TEC)

Total, TEC
Other Project Cost (OPC)

Total, OPCbab

Costs through 2019 reflect actual Costs; costs for FY 2020 and the outyears are estimates.
Other Project Costs (OPC) are funded through laboratory overhead.

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)

CostsaTotal Project Cost (TPC)aFY 2017

839

839

839

FY 2018

20,397

20,397886

FY 2019

24,00024,00028,511

FY 2020

23,00023,00020,000FY 202123,00023,00020,000Outyears

1,764

1,764

22,76493,00093,00093,000(dollars in thousands)
Current
Total
Estimate

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

7,500
1,500

7,500
1,500

7,500
1,500

Total, Design

9,000

9,000

9,000

Construction
Construction
Contingency

70,00011,00070,00011,00070,00011,00081,00081,00081,00090,00012,50090,00012,50090,00012,500

OPC except D&D
OPC except D&D
Conceptual Planning
Conceptual Design
Contingency

1,650
100
1,000
250

1,650
100
1,000
250

1,650
100
1,000
250

Total, OPCb

3,000

3,000

3,000

Contingency, OPC

250

250

250

Total Project Cost

93,00093,00093,000Total, Contingency (TEC+OPC)

12,75012,75012,750Total, TPC
4. Details of Project Cost Estimate

Total Estimated Cost (TEC)

Total, Construction
Total, TEC
Contingency, TEC
Other Project Cost (OPC)ab

Costs through 2019 reflect actual Costs; costs for FY 2020 and the outyears are estimates.
Other Project Costs (OPC) are funded through laboratory overhead.

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5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear
FY 2018

FY 2019

FY 2020

FY 2021Type

Prior Years

TEC
OPCa
TPC
TEC
OPCa
TPC
TEC
OPCa
TPC
TEC
OPCa
TPC

20,000—20,000
1,000
2,600
3,600
20,0001,639
21,63920,0001,236
21,236

FY 2019

FY 2020

TBD
—
TBD
4,000
—
4,000
24,000—24,00024,000—24,000FY 2021

TBD
—
TBD
8,194
—
8,194
9,000
—
9,000
23,000—23,000Outyears

TBD—
TBD
22,209—22,20920,000—20,00023,000—23,000

TBD—
TBD
54,597400
54,997
17,0001,361
18,361
—
1,764
1,764

Total
90,0003,000
93,00090,0003,000
93,00090,0003,000
93,00090,0003,000
93,000

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

1Q FY 2024
50 years
1Q FY 2074

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

a

480
547
1,222
2,249

480
547
1,222
2,249

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
23,98927,37061,121
112,480

23,98927,37061,121
112,480

Other Project Costs (OPC) are funded through laboratory overhead.

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7. D&D Information
The new area being constructed in this project is not replacing existing facilities.

New area being constructed by this project at 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 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
110,000 to 145,000
None
Nonea
None
None
None

8. Acquisition Approach
The PNNL Management and Operating (M&O) contractor, Battelle Memorial Institute, will perform the acquisition for thisproject, overseen by the Pacific Northwest Site Office. The M&O contractor considered various acquisition approaches andproject delivery methods prior to achieving CD-1 and will be responsible for awarding and administering all subcontracts
related to this project. The M&O contractor’s annual performance evaluation and measurement plan will include project
performance metrics on which they will be evaluated.

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.
a

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17-SC-71, Integrated Engineering Research Center
Fermi National Accelerator Laboratory (FNAL)
Project is for Design and Construction
1. Summary, Significant Changes, and Schedule and Cost History
Summary
The FY 2021 Request for the Integrated Engineering Research Center (IERC) project is $12,000,000. The Total Estimated Cost
(TEC) range for this project is $73,000,000 to $98,000,000. The Total Project Cost (TPC) range for this project is $74,000,000
to $99,000,000. The preliminary TPC estimate for this project is $86,000,000.
This project will construct new space to accommodate increased collaboration and interactions among Fermi National
Accelerator Laboratory (FNAL) staff. The project is intended to close an infrastructure capability gap which will impede theestablishment of an international neutrino campus as recommended by the Particle Physics Project Prioritization Panel (P5).
Significant Changes
This project was initiated in FY 2017. The most recent DOE Order 413.3B Critical Decision (CD) is CD-3A, Long Lead
Procurement, which was approved on July 16, 2019. FY 2021 funds will support the continuation of construction andassociated activities after the appropriate CD approvals.
A Federal Project Director with the appropriate certification level (Level II: TPC greater than $50,000,000 and equal to orless than $100,000,000) has been assigned to this project.
Critical Milestone History
FiscalYear

CD-0

FY 2017
FY 2018
FY 2019
FY 2020
FY 2021

7/17/15
7/17/15
7/17/15
7/17/15
7/17/15

Conceptual
DesignComplete
N/A
N/A
3Q FY 2018
4/18/17
4/18/17

CD-1

CD-2

1Q FY 2017
4/18/17
4/18/17
4/18/17
4/18/173Q FY 2018a
3Q FY 2019a
3Q FY 2019a
3Q FY 2019a
4Q FY 2020a

Final
DesignComplete
N/A
N/A
3Q FY 2019
3Q FY 2019
2Q FY 2020

CD-3

D&D
Complete

CD-4

3Q FY 2019a
3Q FY 2020a
3Q FY 2020a
3Q FY 2019a
4Q FY 2020a

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

4Q FY 2023a
4Q FY 2024a
4Q FY 2024a
2Q FY 2024a
3Q FY 2024a

CD-0 – Approve Mission Need for a construction project with a conceptual scope and cost range
Conceptual Design Complete – Actual date the conceptual design was completed
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
Final Design Complete – Estimated/Actual date the project design will be/was complete(d)CD-3 – Approve Start of Construction
D&D Complete – Completion of D&D workCD-4 – Approve Start of Operations or Project CloseoutaThis project is pre-CD-2; therefore, schedule estimates are preliminary.

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Fiscal Year
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021

Performance
Baseline
Validation
N/A
N/A
3Q FY 2019
4/18/18
4/18/18

CD-3A
N/A
N/A
N/A
N/A
7/16/19

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

Project Cost History
FiscalYear
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021

TEC, Design
10,00010,000
7,000
7,000
7,000

TEC,
Construction
75,000b75,000b78,000b78,00078,000(dollars in thousands)
OPCa, Except
TEC, Total
D&Db85,0002,000
85,000b
1,000
85,000b
1,000
85,000b
1,000
85,000b
1,000

OPC, D&D

OPC, Total

TPC

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

2,000
1,000
1,000
1,000
1,000

87,000b86,000b86,000b86,000b86,000b2. Project Scope and Justification
Scope
The IERC project will construct an approximately 67,000 gross square feet (gsf) to 134,000 gsf building to accommodate
increased collaboration and interactions among staff at Fermi National Accelerator Laboratory (FNAL), who will in turn beworking with scientific collaborators and international partners in the design, construction, and operation of physics
experiments.
Justification
In May 2014, the Particle Physics Project Prioritization Panel (P5) issued a report that included recommendations to“…develop a coherent short- and long-baseline neutrino program hosted at Fermilab,” and to “reformulate the longbaseline neutrino program as an internationally designed, coordinated, and funded program with [Fermi National
Accelerator Laboratory, FNAL or Fermilab] as host.” SC and the High Energy Physics (HEP) program accepted therecommendations in the P5 report and are committed to implementing a successful program based on this new vision.
Implementing these recommendations will require significantly increased collaboration and interactions among FNAL staff,
who will in turn be working with scientific collaborators and international partners in the design, construction, andoperation of physics experiments. Currently, these staff and their associated manufacturing, assembly, engineering, andtechnical facilities are scattered among three parts of the campus – the Silicon Detector Complex, the Village, and Wilson
Hall. As a result, they are unable to efficiently collaborate on ongoing and planned projects in support of the laboratory’s
mission.
Collocation 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 scientificabOther project costs (OPC) are funded through laboratory overhead.
This project has not received CD-2 approval; therefore, funding estimates are preliminary.

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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 IERC will provide FNAL with a collaborative, multidivisional, and interdisciplinary research center, which will close existing capability and infrastructure gaps by reducing theoverall footprint of outdated facilities, and collocating engineering and associated research staff in a new or renovatedfacility near the central campus. This approach will complement the ongoing and planned renovations of Wilson Hall by
establishing the main campus as the anchor point of the site. It will improve operational efficiency and collaboration
because groups working on key projects would be in close proximity to one another. Such a facility will provide technicaland engineering staff the necessary environment for interdisciplinary collaboration necessary to establish an international
neutrino program and support other HEP science opportunities described in the P5 report.
The project is being conducted in accordance with the project management requirements in DOE Order 413.3B, Programand Project Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Key Performance Parameters (KPPs) are preliminary and may change as the project continues towards CD-2. At CD-2
approval, the KPPs will be baselined. The Threshold KPPs represent the minimum acceptable performance that the project
must achieve. The Objective KPPs represent the desired project performance. Achievement of the Threshold KPPs will be aprerequisite for approval of CD-4, Project Completion.
Performance MeasureMultistory Laboratory/Office Building

Threshold67,000 gsf

Objective
134,000 gsf

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

CostsaTotal Estimated Cost (TEC)
DesignFY 2017

2,500

2,500

38

FY 2018

4,500

4,500

1,552

FY 2019

—

—

3,190

FY 2020

—

—

2,220

Total, Design

7,000

7,000

7,000

FY 2018

15,50015,500—FY 2019

20,00020,0004,810

FY 2020

22,00022,00020,190FY 2021

12,00012,00025,000Outyears

8,500

8,500

28,000Total, Construction

78,00078,00078,000ConstructionaCosts through 2019 reflect actual Costs; costs for FY 2020 and the outyears are estimates.

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(dollars in thousands)
BudgetAuthority
Obligations(Appropriations)
Total Estimated Cost (TEC)FY 2017

Costsa

2,500

2,500

38

FY 2018

20,00020,0001,552

FY 2019

20,00020,0008,000

FY 2020

22,00022,00022,410FY 2021

12,00012,00025,000Outyears

8,500

8,500

28,00085,00085,00085,000FY 2015

120

120

120

FY 2016

510

510

510

FY 2017

300

300

300

Outyears

70

70

70

1,000

1,000

1,000

120

120

120

Total, TECa
Other Project Cost (OPC)b

Total, OPC
Total Project Cost (TPC)FY 2015
FY 2016

510

510

510

FY 2017

2,800

2,800

338

FY 2018

20,00020,0001,552

FY 2019

20,00020,0008,000

FY 2020

22,00022,00022,410FY 2021

12,00012,00025,000Outyears

8,570

8,570

28,07086,00086,00086,000Total, TPCbabThis project has not received CD-2 approval; therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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FY 2021 Congressional Budget Justification

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

Previous
Total
Estimate

Original
Validated
Baseline

DesignDesignContingency

6,000
1,000

6,000
1,000

N/A
N/A

Total, Design

7,000

7,000

N/A

Construction
Contingency

63,00015,00063,00015,000

N/A
N/A

Total, Construction

78,00078,000N/A

85,00016,00085,00016,000

N/A
N/A

250
530
150
70

250
530
150
70

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

1,000

1,000

N/A

Contingency, OPC

70

70

N/A

Total Project Cost

86,00086,000N/A

Total, Contingency (TEC+OPC)

16,07016,070N/A

Total Estimated Cost (TEC)

Construction

Total, TECa
Contingency, TEC
Other Project Cost (OPC)
OPC except D&D
Conceptual Planning
Conceptual Design
Other OPC Costs
Contingency
Total, OPCb

5. Schedule of Appropriations Requests(dollars in thousands)
RequestYear
FY 2017

FY 2018

FY 2019

a
b

Type
TEC
OPCb
TPC
TEC
OPCb
TPC
TEC
OPCb
TPC

Prior
Years
2,500
500
5,000
4,000
1,000
5,000
4,000
930
4,930

FY 2019

FY 2020

FY 2021

Outyears

TBD
TBD
TBD
TBD
—
TBD
5,000
—
5,000

TBD
TBD
TBD
TBD
—
TBD
20,000—20,000——————28,096—28,096

TBD
TBD
TBD
TBD
—
TBD
27,90470
27,974

Total
85,000a2,000
87,000a85,000a
1,000
86,000a85,000a
1,000
86,000aThis project has not received CD-2 approval; therefore, funding estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.

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FY 2021 Congressional Budget Justification

(dollars in thousands)
RequestYear
FY 2020

FY 2021

Type

Prior
Years

TEC
OPCb
TPC
TEC
OPCb
TPC

22,500930
23,43022,500930
23,430FY 2019

FY 2020

FY 2021

Outyears

20,000—20,00020,000—20,00010,000—10,00022,000—22,000———12,000—12,00032,50070
32,570
8,500
70
8,570

Total
85,000a
1,000
86,000a85,000a
1,000
86,000a

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

3Q FY 2024
50 years
3Q FY 2074

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

508
94
1,525
2,127

508
94
1,525
2,127

Life Cycle Costs
Previous Total
Current Total
Estimate
Estimate
25,4284,670
76,285
106,383

25,4284,670
76,285
106,383

7. D&D Information
The new area being constructed in this project is not replacing existing facilities.

New area being constructed by this project at 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 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
67,000 - 134,000
None
55,200None
Nonea
55,200With 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.
a

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FY 2021 Congressional Budget Justification

8. Acquisition Approach
The FNAL Management and Operating (M&O) contractor, Fermi Research Alliance, LLC will perform the acquisition for thisproject, overseen by the Fermi Site Office. The M&O contractor evaluated various acquisition approaches and projectdelivery methods prior to achieving CD-1 and selected a Construction Manager/General Contractor (CM/GC) projectdelivery with best value procurement approach 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. The annual performance
evaluation and measurement plan includes project performance metrics on which they are evaluated.

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FY 2021 Congressional Budget Justification

526

Safeguards and Security
Overview
The Department of Energy’s (DOE) Office of Science (SC) Safeguards and Security (S&S) program is designed to ensure
appropriate security measures are in place to support the SC mission requirements of open scientific research and toprotect critical assets within SC laboratories. Accomplishing this mission depends on providing physical controls that will
mitigate possible risks to the laboratories’ employees, nuclear and special materials, classified and sensitive information,and facilities. The SC S&S program also provides funding for cybersecurity for the laboratories’ information technology
systems to protect computers, networks, and data from unauthorized access.
Highlights of the FY 2021 Request
The FY 2021 Request for S&S is $115,623,000. The FY 2021 Request supports sustained levels of operations in S&S program
elements including Protective Forces, Security Systems, Information Security, Cyber Security, Personnel Security, Material
Control and Accountability, and Program Management.
The FY 2021 Request ensures that the S&S program’s highest priority is accomplished, which is to provide adequate security
for the special nuclear material housed in Building 3019 at the Oak Ridge National Laboratory (ORNL). The Request also
ensures the Cyber Security program can adequately detect, mitigate, and recover from cyber intrusions and attacks against
DOE laboratories.
The 2018 revision of DOE’s Design Basis Threat (DBT) and the then Deputy Secretary’s DOE International Science andTechnology Engagement Policy (S&T Policy) have shifted DOE’s security direction. The DBT addresses protection measures
for a more encompassing range of threats and assets than just special nuclear material and classified matter. This revised
DBT mandates additional risk assessments and security planning for the protection of chemicals and radioactive sourcesthat could affect persons on-site, whereas, the previous protection standard only addressed quantities that could have an
impact off-site. The DBT also calls for “Active Shooter” and “Insider Threat” mitigation. The S&T Policy is designed toprotect U.S.-funded research and technologies from sensitive nations who pose high security risks. This includes denying
access to restricted areas within DOE laboratories as well as including foreign visitor’s Curriculum Vitae (CV) in the Foreign
Access Central Tracking System (FACTS).
Implementing both the revised DBT and the S&T Policy is the near- and long-term basis for S&S program and risk mitigating
funding decisions at SC laboratories. SC completed implementation planning for the DBT in March 2019 through rigorous
Security Risk Assessments and full compliance (based on the most complex laboratories milestones) is expected by
September 30, 2022. The S&S program received funding in FY 2020 to begin initial implementation by installing andupdating automated access controls to ensure the protection of personnel and intellectual property at SC laboratories. The
FY 2021 Request includes an additional $2,923,000 in Security Systems to continue addressing the highest priority items of
the DBT and the new S&T Policy.
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 that control access and 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 and SC facilities. The Protective Forces mission
includes providing effective response to emergency situations, random prohibited article inspections, security alarm
monitoring, and performance testing of the protective force response to various event scenarios.
Security Systems
The Security Systems program element provides DBT and S&T policy implementation through the physical protection of
Departmental personnel, material, equipment, property, and facilities, and includes fences, barriers, lighting, sensors,
Science/Safeguards and Security

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FY 2021 Congressional Budget Justification

surveillance devices, entry control devices, access control systems, and power systems operated and used to support theprotection of people, DOE property, classified information, and other interests of national security.
Information Security
The Information Security program element provides support to ensure that sensitive and classified information isaccurately, 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 access programs, 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 includes central coordination of the strategic and operational aspects of cybersecurity andfacilitates cooperative efforts such as the Joint Cybersecurity Coordination Center (JC3) for incident response and theimplementation of Department-wide Identity, Credentials, and Access Management (ICAM).
Personnel Security
The Personnel Security program element encompasses the processes for employee suitability and security clearance
determinations at each site to ensure that individuals are trustworthy and eligible for access to classified information or
matter. This element also includes the management of security clearance programs, adjudications, security education,awareness programs for Federal and contractor employees, and processing and hosting approved foreign visitors.
Material Control and Accountability (MC&A)
The MC&A program element provides assurance that Departmental materials are properly controlled and accounted for at
all times. This element supports administration, including testing performance and assessing the levels of protection,
control, and accountability required for the types and quantities of materials at each facility; documenting facility plans formaterials control and accountability; assigning authorities and responsibilities for MC&A functions; and establishingprograms to detect and report occurrences such as material theft, the loss of control or inability to account for materials, orevidence of malevolent acts.
Program Management
The Program Management program element coordinates the management of Protective Forces, Security Systems,
Information Security, Personnel Security, Cyber Security, and MC&A to achieve and ensure appropriate levels of protections
are in place.

Science/Safeguards and Security

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FY 2021 Congressional Budget Justification

Safeguards and Security
Funding(dollars in thousands)

Protective Forces
Security Systems
Information Security
Cyber Security
Personnel Security
Material Control and Accountability
Program Management
Total, Safeguards and Security

Science/Safeguards and Security

FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

43,545
10,3704,356
33,346
5,444
2,431
6,618
106,11043,545
16,9604,356
33,346
5,444
2,431
6,618
112,700

43,54519,883
4,356
33,346
5,444
2,431
6,618
115,623529

FY 2021 Request vsFY 2020 Enacted—+2,923—————+2,923

FY 2021 Congressional Budget Justification

Safeguards and Security
Explanation of Major Changes(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

Safeguards and Security$112,700$115,623+$2,923
Protective Forces$43,545$43,545$—
Funding supports security officers and their required The Request will maintain support for security officers Funding provides sustained support for the Protective
equipment and training necessary to maintain proper and their required equipment and training necessary Forces activity.
protection levels at all SC laboratories.
to maintain proper protection levels at all SC
laboratories.
Security Systems$16,960
Funding supports physical protection of Departmental
personnel, material, equipment, property, andfacilities, and security infrastructure and systems.
Funding also supports initial implementation of
security modifications identified in the revised DBT.

$19,883
The Request will maintain support for the security
systems in place as well as continued implementationof security modifications that address both therevised DBT and S&T Policy.

+$2,923
Funding increases to continue implementation of DBT
and S&T Policy mandated physical security
modifications at SC laboratories. In an effort toaddress both new initiatives, automated access
controls are the program’s first priority to protect theworkforce and intellectual property and mitigate
active shooter and workplace violence threats.

Information Security$4,356$4,356$—
Funding supports personnel, equipment, and systems The Request will continue support for the personnel, Funding provides sustained support for Informationnecessary to ensure sensitive and classified
equipment, and systems necessary to ensure sensitive Security activities.
information is safeguarded at SC laboratories.
and classified information is safeguarded at SC
laboratories.
Cyber Security$33,346$33,346$—
Funding supports protection of laboratory computers, The Request will continue support for the protection Funding provides sustained support for Cybersecurity
networks, and data from unauthorized access.
of laboratory computers, networks, and data from
activities.
unauthorized access.
Personnel Security$5,444$5,444$—
Funding supports Personnel Security efforts at SC
The Request will continue support for Personnel
Funding provides sustained support for Personnel
laboratories.
Security efforts at SC laboratories as well as SC
Security activities.
Headquarters security investigations.
Science/Safeguards and Security

530

FY 2021 Congressional Budget Justification

(dollars in thousands)
FY 2020 Enacted

FY 2021 Request

Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

Materials Control and Accountability$2,431$2,431
Funding supports functions ensuring Departmental
The Request will maintain support for functions
Funding provides sustained support for MC&A
materials are properly controlled and accounted for
ensuring Departmental materials are properly
activities.
at all times.
controlled and accounted for at all times.

$—

Program Management$6,618Funding supports oversight, administration, andplanning for security programs at SC laboratories andwill support security procedures and policy support
for SC Research missions.

$—

Science/Safeguards and Security$6,618The Request will maintain support for oversight,
Funding provides sustained support for Programadministration, and planning for security programs at Management activities.
SC laboratories and will support security proceduresand policy support for SC Research missions.

531

FY 2021 Congressional Budget Justification

Safeguards and Security
Funding Summary(dollars in thousands)
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

106,110
106,110

112,700
112,700

115,623
115,623

Other
Total, Safeguards and Security

Science/Safeguards and Security

532

FY 2021 Request vsFY 2020 Enacted+2,923+2,923

FY 2021 Congressional Budget Justification

Safeguards and Security
Estimates of Cost Recovered for Safeguards and Security Activities
In addition to the direct funding received from S&S, sites recover Safeguards and Security costs related to Strategic Partnerships Projects (SPP) activities from SPP
customers, including the cost of any unique security needs directly attributable to the customer. Estimates of those costs are shown below.
FY 2019 Actual Costs
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

70
1,000
851
749
571
5,163
5,500
55
179
14,138533(dollars in thousands)
FY 2020 Planned Costs
75
1,000
836
751
572
5,396
5,100
30
190
13,950FY 2021 Planned Costs
70
1,000
835
1,297
577
5,396
5,000
30
308
14,513

FY 2021 Congressional Budget Justification

534

Program Direction
Overview
The Office of Science (SC) Program Direction (PD) budget 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 theAmerican scientific enterprise. SC research and facility investments transform our understanding of nature and advance theenergy, economic, and national security of the United States. In addition, SC accelerates discovery and innovation by
providing broad public access to all DOE research and development findings.
SC requires sophisticated and experienced scientific and technical program and project managers, as well as experts inacquisition; finance; legal; construction management; and environmental, safety, and health oversight. The SC basic
research portfolio includes extramural grants and contracts supporting over 23,000 researchers located at over 300
institutions and the 17 DOE national laboratories, spanning all 50 states and the District of Columbia. The portfolio of 28
scientific user facilities serves over 33,000 users per year. SC also oversees ten of DOE’s 17 national laboratories.
Headquarters (HQ)The SC HQ includes the six SC research program offices (Advanced Scientific Computing Research, Basic Energy Sciences,
Biological and Environmental Research, Fusion Energy Sciences, High Energy Physics, and Nuclear Physics), and theWorkforce Development for Teachers and Scientists, Project Assessment, and SBIR/STTR Programs Offices, as well as
several resource management functions, and HQ-based field management functions. The SC HQ federal staff:









Conduct scientific program and research infrastructure planning, execution, and management across SC, in part byextensive engagement with the scientific community to identify research opportunities and develop priorities.
Establish and maintain competitive research portfolios, which include high-risk, high-reward research, to achieve
mission goals and objectives.
Conduct rigorous external peer review of research proposals and ongoing programs. Each year, SC manages nearly
5,000 ongoing laboratory, university, non-profit, and private industry research awards and conducts nearly 20,000 peer
reviews of new and renewal proposals.
Provide safety, security, and infrastructure oversight and management of all SC user facilities and other current
research investments.
Provide oversight and management of all line item construction projects and other capital asset projects.
Provide oversight and management of the maintenance and operational integrity of the ten SC-stewarded national
laboratories.
Provide policy, strategy, and resource management in the areas of laboratory oversight, information technology, grants
and contracts, budget, and human capital.

Office of Scientific and Technical Information (OSTI)
OSTI fulfills the Department’s responsibilities for providing public access to the unclassified results of its research
investments and limited access to classified research results. DOE researchers produce over 50,000 research publications,datasets, software, and patents annually. OSTI's physical and electronic collections exceed one million research outputs
from the 1940s to the present, providing access to the results of DOE’s research investments. OSTI implements DOE’s publicaccess mandates, including the government-wide requirement that peer-reviewed publications resulting from federal
funding is made available to the public within 12 months of publication in a journal.
Consolidated Service Center (CSC)
The CSC provides business management to support SC’s federal responsibilities. These functions include legal and technicalsupport; financial management; grant and contract processing; safety, security, and health management; intellectual
property and patent management; environmental compliance; facility infrastructure operations and maintenance; andinformation systems development and support. As part of this, the CSC:

Monitors the multi-appropriation, multi-program funding allocations for all ten SC national laboratories throughadministration of laboratory Management and Operating (M&O) contracts and is responsible for over 3,000 financial

Science/Program Direction

535

FY 2021 Congressional Budget Justification

assistance awards (grants and cooperative agreements) per year to university, non-profit, and small business-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 the 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 2021 Request
The FY 2021 Request is $190,306,000 and will support a total level of approximately 785 FTEs. SC will utilize available
human capital workforce reshaping tools to manage federal staff in a manner consistent with its long-term workforce
restructuring plan as part of the DOE Agency Reform Plana. SC will continue to review, analyze, and prioritize mission
requirements and identify those organizations and functions aligning with Administration and Department program
objectives and SC strategic goals while maximizing efficiency through functional consolidation.
The FY 2021 Request supports:









a
b

Three-hundred (300) SC 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.
Two (2) FTEs in the DOE Office of Planning and Management Oversight to support the Office of the Under Secretary for
Science.
Twenty-five (25) FTEs in the Office of the Chief Human Capital Officer operating the Shared Service Center (SSC) andsupporting HR Advisory Offices.
Two (2) FTEs supporting the President’s Council of Advisors on Science and Technology (PCAST).b
Forty-two (42) OSTI federal staff to manage SC’s public access program.
Three-hundred and seventy-seven (377) Consolidated Service Center (CSC) and site office federal staff.
Thirty-seven (37) FTEs in Office of Chief Council within the Field Offices activity.

OMB Memo M-17-22
PCAST is required by Executive Order 13539, as amended by Executive Order 13596.

Science/Program Direction

536

FY 2021 Congressional Budget Justification

Program Direction
Funding(dollars in thousands)
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

Program Direction
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Working Capital Fund
Total, Program Direction
Federal FTE

134,139
4,200
23,437
13,0748,150
183,000
810

135,6114,300
24,626
13,1888,575
186,300
785

138,597
4,470
25,64013,024
8,575
190,306
785+2,986+170+1,014-164—+4,006—

Science/Program Direction

537

FY 2021 Congressional Budget Justification

Program Direction
Activities and Explanation of Changes(dollars in thousands)
Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

FY 2020 Enacted

FY 2021 Request

Program Direction$186,300
Salaries and Benefits$135,611
Funding supports 785 FTEs to perform scientificoversight, program and project management,
essential operations support associated with science
program portfolio management, and support for the
Office of the Chief Human Capital Officer operating
the SSC and supporting HR Advisory Offices.

$190,306$138,597
The Request will support 785 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.

Funding supports Federal employees salary andbenefits, including health insurance costs andretirement allocations in the Federal Employees
Retirement System (FERS).

The Request will support costs associated with
Federal employee benefits, including health insurance
costs and retirement allocations in FERS.

Travel$4,300Funding supports facility visits where the use ofelectronic telecommunications is not practical for
mandated on-site inspections and facility operations
reviews. Ensuring scientific management, compliance,
safety oversight, and external review of researchfunding across all SC programs requires staff to travel,
since SC senior program managers are not co-locatedwith grantees or at national laboratories.

$4,470
The Request will support facility visits where the use
The increase will support the projected travelof electronic telecommunications is not practical for
requirements for FY 2021.
mandated on-site inspections and facility operations
reviews. Ensuring scientific management, compliance,
safety oversight, and external review of researchfunding across all SC programs requires staff to travel,
since SC senior program managers are not co-locatedwith grantees or at national laboratories.

Science/Program Direction

538+$4,006+$2,986
The increase will support the projected salary andbenefit requirements for the requested FTE levels.
Also, the increase reflects a one percent pay raise forfederal staff in 2021, a FERS contribution increase,and increased awards pool funding.

+$170

FY 2021 Congressional Budget Justification

(dollars in thousands)
Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

FY 2020 Enacted

FY 2021 Request

Funding also supports 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.

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.

Funding supports the PCAST advisory committee
travel.

The Request will support the PCAST advisorycommittee travel.

Support Services$24,626
Funding supports select administrative andprofessional services including: support for the
SBIR/STTR program; grants and contract processing
and close-out activities; accessibility to DOE’s
corporate multi-billion dollar R&D program throughinformation systems managed and administered by
OSTI; travel processing; correspondence control;
select reports or analyses directed toward improving
the effectiveness, efficiency, and economy of services
and processes; and safeguards and security oversightfunctions.

$25,640+$1,014The Request will support select administrative and
The increase will support annual escalation in contract
professional services including: support for the Small labor rates.
Business Innovation Research/Small BusinessTechnology Transfer program; grants and contract
processing and close-out activities; accessibility to
DOE’s corporate multi-billion dollar R&D program
through information systems managed andadministered by OSTI; travel processing;correspondence control; select reports or analyses
directed toward improving the effectiveness,
efficiency, and economy of services and processes;
and safeguards and security oversight functions.

Funding supports essential information technology
infrastructure; necessary upgrades to SC’s financial
management system; ongoing operations andmaintenance of IT systems; and safety management
support.

The Request will support essential information
technology infrastructure; necessary upgrades to SC’s
financial management system; ongoing operations
and maintenance of IT systems; and safety
management support.

Science/Program Direction

539

The increase will support the projected costs
associated with the use of the Department’s Office of
the Chief Information Officer Business Operations
Support Services (CBOSS) contract.

FY 2021 Congressional Budget Justification

(dollars in thousands)
Explanation of Changes
FY 2021 Request vs FY 2020 Enacted

FY 2020 Enacted

FY 2021 Request

Funding supports federal staff training and education
to maintain appropriate certification and update
skills.

The Request will fund federal staff training andeducation to maintain appropriate certification andupdate skills.

Other Related Expenses$13,188
Funding supports fixed requirements associated withrent, utilities, and telecommunications; building andgrounds maintenance; computer/video maintenanceand support; IT equipment leases, purchases, andmaintenance; and site-wide health care units. It also
includes miscellaneous purchases for supplies,
materials, and subscriptions.
Working Capital Fund
$8,575
Funding supports the SC contribution to the WCF for
business lines: building occupancy, supplies, printing
and graphics, health services, corporate training
services, and corporate business systems. SC research
programs also contribute to WCF.

Science/Program Direction$13,024
The 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.

-$164
The decrease will account for projected fixed
requirements for FY 2021.

$8,575The Request will support the SC contribution to theProjections for Working Capital Fund costs are
WCF for business lines: building occupancy, supplies, unchanged.
printing and graphics, health services, corporate
training services, and corporate business systems. SC
research programs also contribute to WCF.

540

$—

FY 2021 Congressional Budget Justification

Program Direction
Funding(dollars in thousands)
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

Headquarters
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Working Capital Fund
Total, Headquarters

58,995
2,383
17,171
5,407
8,150
92,066

63,672
2,432
17,884
5,339
8,575
97,90265,604
2,553
19,437
5,357
8,575
101,526+1,932+121+1,553+18—+3,624

Office of Scientific and Technical Information
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Office of Scientific and Technical Information

6,109
100
1,931
980
9,120

6,216
73
2,081
1,027
9,397

6,384
100
2,010
980
9,474

+168
+27
-71
-47
+77

Field Offices
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Field Offices

69,075
1,717
4,335
6,687
81,81465,723
1,795
4,661
6,822
79,001

66,609
1,817
4,193
6,687
79,306

+886
+22
-468
-135
+305

Total Program Direction
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Working Capital Fund
Total, Program Direction
Federal FTE

134,139
4,200
23,437
13,0748,150
183,000
810

135,6114,300
24,626
13,1888,575
186,300
785

138,597
4,470
25,64013,024
8,575
190,306
785+2,986+170+1,014-164—+4,006—

Science/Program Direction

541

FY 2021 Congressional Budget Justification

Program Direction
Funding Detail(dollars in thousands)
FY 2019 Enacted
Technical Support
System review and reliability analyses

FY 2020 Enacted

FY 2021 Request

FY 2021 Request vsFY 2020 Enacted

973

2,051

1,000

-1,051

Management Support
Automated data processing
Training and education
Reports and analyses, management, and generaladministrative services
Total, Management Support
Total, Support Services

9,080
740

10,500954

12,500797+2,000-157

12,644
22,46423,437

11,121
22,575
24,626

11,34324,64025,640+222+2,065+1,014

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

637
1,424
2,653
2,181
2
1,512
690
3,975
13,074

637
1,412
3,234
1,978
—
1,515
426
3,986
13,188

637
1,424
2,653
2,131
2
1,512
690
3,975
13,024

—
+12
-581
+153
+2
-3
+264
-11
-164

Working Capital Fund

8,150

8,575

8,575

—

Science/Program Direction

542

FY 2021 Congressional Budget Justification

Program Direction
Funding Summary(dollars in thousands)
FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

183,000
183,000

186,300
186,300

190,306
190,306

Other
Total, Program Direction

Science/Program Direction

543

FY 2021 Request vsFY 2020 Enacted+4,006+4,006

FY 2021 Congressional Budget Justification

Public Accessa
The Department of Energy’s Public Access Plan, issued in July 2014 in response to policy memorandum issued by the WhiteHouse Office of Science and Technology Policy (OSTP), outlines DOE’s model and policy for increasing public access toscholarly publications and digital data resulting from DOE research funding. DOE’s enabling authorization and subsequent
legislation require DOE to provide publicly available collections of unclassified R&D results; the DOE Public Access Plan
added peer-reviewed, final accepted manuscripts to the types of unclassified scientific and technical information alreadymade publicly accessible as required by these longstanding statutes. For digital data resulting from sponsored research (asdefined by OMB Circular A-110), the Plan requires the submission of data management plans with funding proposals to DOE
and provides guidelines for preserving and provide access to digital research data as appropriate.
Implementation of the Plan has been carried out through DOE internal agency policy directive, with requirements specified
in national labs management & operating contracts and annual performance plans, and in the terms and conditions of DOE
financial assistance awards (grants and cooperative agreements). Under the DOE policy, DOE-funded researchers are
required to submit metadata and final accepted manuscripts to DOE or to their institutional repositories, and DOE makesthese research papers freely accessible to the public within 12 months of publication through the portal DOE PAGES (Public
Access Gateway for Energy and Science). DOE’s public access model also includes cooperation with the publishingcommunity and with other federal agencies. Since implementation of the DOE policy, DOE is among the top agencies in
implementing public access, with DOE PAGES providing free access to over 86,400 scholarly publications resulting from DOE
research funding. To promote discovery, DOE enables broad indexing of this content by commercial search engines,
provides an application programming interface (API) to DOE PAGES, and includes this collection in the cross-agency searchportal Science.gov.

Responds to the reporting requirement specified by the FY 2018 House Energy and Water Development Appropriations Committee Report 115-230 toprovide an update on the DOE Public Access Plan; https://www.energy.gov/downloads/doe-public-access-plan; https://www.osti.gov/public-access-policy;
https://www.energy.gov/datamanagement/doe-policy-digital-research-data-management.
aScience/Program Direction

544

FY 2021 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 tomeet Department of Energy (DOE) goals and objectives.
Costs for Direct-Funded Maintenance and Repair (including Deferred Maintenance Reduction)

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 2019
Planned Cost
4,870
8,532
130
18,441
4,492
364
3,150
191
40,170(dollars in thousands)
FY 2019
FY 2020
Actual Cost
Planned Cost
5,991
4,821
4,273
8,612
185
124
26,43518,994
4,007
6,479
343
382
3,497
3,276
122
195
44,85342,883

FY 2021
Planned Cost
4,917
3,900
125
19,564
6,673
421
3,407
198
39,205General purpose infrastructure includes multiprogram research laboratories, administrative and support buildings, as wellas 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 ofspace.
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.
Indirect-Funded Maintenance and Repair (including Deferred Maintenance Reduction)
Facilities maintenance and repair activities funded indirectly through overhead charges at SC laboratories are displayed in
the table above. Since this funding is allocated to all work done at each laboratory, the cost of these activities is charged tofunding from SC 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 costs acrossall SC laboratories.

Science/Science Crosscuts

545

FY 2021 Congressional Budget Justification

Science
Costs for Indirect-Funded Maintenance and Repair (including Deferred Maintenance Reduction)

Ames Laboratory
Argonne National Laboratory
Brookhaven National Laboratory
Fermi National Accelerator Laboratory
Lawrence Berkeley National Laboratory
Notre Dame Radiation Laboratory
Oak Ridge Institute for Science and Education
Oak Ridge National Laboratory and Y-12
Oak Ridge Office
Pacific Northwest National Laboratory
Princeton Plasma Physics Laboratory
SLAC National Accelerator Laboratory
Thomas Jefferson National Accelerator Facility
Total, Indirect-Funded Maintenance and Repair

FY 2019
Planned Cost
2,300
44,90031,747
20,75927,683—387
69,592
1,511
8,622
6,450
13,124
8,366
235,441(dollars in thousands)
FY 2019
FY 2020
Actual Cost
Planned Cost
1,962
2,700
42,69945,82333,85829,61915,82920,99424,923
28,77853—598
468
55,92871,680
1,498
1,492
7,499
10,591
6,856
6,644
12,525
13,6496,986
9,988
211,214
242,426

FY 2021
Planned Cost
2,400
46,76830,211
21,70429,749—480
73,8301,537
10,322
6,843
14,195
10,188248,227

Report on FY 2019 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 DOE to provide an annual year-end report on maintenance expenditures to theCommittees on Appropriations. This report compares the actual maintenance expenditures in FY 2019 to the amountplanned for FY 2019, including Congressionally directed changes.
Science
Total Costs for Maintenance and Repair(dollars in thousands)
FY 2019 Planned Costs FY 2019 Actual Costs
2,300
1,962
44,90042,69936,617
39,84920,75915,82936,21529,196
130
238
387
598
88,03382,363
6,003
5,505
364
343
8,622
7,499
6,450
6,856
16,274
16,022
8,557
7,108
275,611
256,067

Ames Laboratory
Argonne National Laboratory
Brookhaven National Laboratory
Fermi National Accelerator Laboratory
Lawrence Berkeley 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
SLAC National Accelerator Laboratory
Thomas Jefferson National Accelerator Facility
Total, Maintenance and Repair

Science/Science Crosscuts

546

FY 2021 Congressional Budget Justification

Science
Excess Facilities
Excess Facilities are facilities no longer required to support the Department’s needs, present or future missions orfunctions, or the discharge of its responsibilities. The table below reports the funding to deactivate and dispose of excess
infrastructure, including stabilization and risk reduction activities at high-risk excess facilities. These activities result insurveillance and maintenance cost avoidance and reduced risk to workers, the public, the environment, and programs. This
includes reductions in costs related to maintenance of excess facilities (including high-risk excess facilities) necessary tominimize the risk posed by those facilities prior to disposition. SC has no direct funded excess facilities costs to report.
Costs for Indirect-Funded Excess Facilities

Argonne National Laboratory
Brookhaven National Laboratory
Fermi National Accelerator Laboratory
Lawrence Berkeley National Laboratory
Oak Ridge National Laboratory
SLAC National Accelerator Laboratory
Total, Indirect-Funded Excess Facilities

FY 2019
Planned Cost
400a
893
243
66
1,000
50
2,652

(dollars in thousands)
FY 2019
FY 2020
Actual Cost
Planned Cost
400
400
965
958
20
20
47
16
500
500
52
54
1,984
1,948

FY 2021
Planned Cost
400
978
20
16
500
56
1,970

a This figure was reported erroneously as 6,750 in the FY 2020 Congressional Budget Justification.

Science/Science Crosscuts

547

FY 2021 Congressional Budget Justification

Science
Research and Development(dollars in thousands)

Basic
AppliedSubtotal, R&D
Equipment
Construction
Total, R&D

Science/Science Crosscuts

FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

4,964,670—
4,964,670
277,069
1,275,310
6,517,049

5,324,920—
5,324,920
217,526
1,380,554
6,923,000

4,734,211—
4,734,211
198,332
827,763
5,760,306

548

FY 2021 Request vsFY 2020 Enacted-590,709—-590,709-19,194-552,791-1,162,694

FY 2021 Congressional Budget Justification

Science
Small Business Innovative Research/Small Business Technology Transfer (SBIR/STTR)(dollars in thousands)

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 SBIRa
Total, Office of Science STTRa

FY 2021 Request vsFY 2020 Enacted

FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

22,3293,140

25,1603,538

26,051
3,664

+891
+126

52,617
7,400

57,423
8,075

53,0807,464-4,343-611

21,702
3,052

23,6873,330

16,3182,295-7,369-1,035

12,992
1,827

12,348
1,737

8,469
1,191

-3,879-546

21,124
2,971

22,265
3,131

18,763
2,558-3,502-573

17,5002,461
148,264
20,851

18,257
2,468
159,140
22,27917,2202,218
139,901
19,390-1,037-250-19,239-2,889The other DOE programs SBIR/STTR funding amounts are listed in the other DOE budget volumes.

Science/Science Crosscuts

549

FY 2021 Congressional Budget Justification

Science
Safeguards and Security Crosscut(dollars in thousands)

Protective Forces
Security Systems
Information Security
Cyber Security
Personnel Security
Material Control and Accountability
Program Management
Total, Safeguards and Security

Science/Science Crosscuts

FY 2019 Enacted

FY 2020 Enacted

FY 2021 Request

43,545
10,3704,356
33,346
5,444
2,431
6,618
106,11043,545
16,9604,356
33,346
5,444
2,431
6,618
112,700

43,54519,883
4,356
33,346
5,444
2,431
6,618
115,623550

FY 2021 Request vsFY 2020 Enacted—+2,923—————+2,923

FY 2021 Congressional Budget Justification

Department of Energy
FY 2021 Congressional Budget
Funding by Appropriation by Site($K)
Science
FY 2019 Total Enacted
Ames Laboratory
Basic Energy Sciences
Basic Energy Sciences
Biological & Environmental Research
Biological & Environmental Research
Safeguards and Security
Field Security
Science Laboratories Infrastructure
Science Laboratories Infrastructure
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Ames Laboratory Total
Ames Site Office
Program Direction
Program Direction
Ames Site Office Total
Argonne National Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences
Basic Energy Sciences
Biological & Environmental Research
Biological & Environmental Research
Fusion Energy Sciences
Fusion Energy Sciences
High Energy Physics
High Energy Physics
Nuclear Physics
Nuclear Physics
Safeguards and Security
Field Security
Science Laboratories Infrastructure
Science Laboratories Infrastructure
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Argonne National Laboratory Total
Argonne Site Office
Program Direction
Program Direction
Argonne Site Office Total

Science551

FY 2020 Enacted

FY 2021 Request

17,62017,620
1,250
1,250
1,231
1,231
0
0
538
538
20,63917,57817,578
1,250
1,250
1,231
1,231
0
0
0
0
20,05917,57817,578
0
0
1,231
1,231
2,000
2,000
0
0
20,809

658
658
658

678
678
678

690
690
690

153,798
153,798
360,799
360,799
32,25032,2500
015,695
15,69533,38433,384
9,996
9,996
53,39353,3931,494
1,494
660,809

160,042
160,042409,274
409,274
30,85230,852
181
181
13,913
13,91331,43331,433
10,01910,01941,30041,3000
0697,014

154,856
154,856
378,709378,709
20,222
20,222
189
189
9,670
9,670
29,506
29,506
10,01910,019
2,000
2,000
0
0
605,171

4,415
4,415
4,415

4,424
4,424
4,424

4,590
4,590
4,590

FY 2021 Congressional Budget Justification

Department of Energy
FY 2021 Congressional Budget
Funding by Appropriation by Site($K)
Science
FY 2019 Total Enacted

FY 2020 Enacted

FY 2021 Request

Bay Area Site Office
Program Direction
Program Direction
Bay Area Site Office Total

0
0
0

5,834
5,834
5,834

5,947
5,947
5,947

Berkeley Site Office
Program Direction
Program Direction
Berkeley Site Office Total

3,588
3,588
3,588

0
0
0

0
0
0

1,590
1,590
169,571
169,571
17,306
17,30682,25582,255
209,914
209,914
13,933
13,93349,20049,2002,506
2,506
546,275

1,228
1,228
182,858
182,858
11,998
11,998
83,10983,109223,778
223,778
14,01314,01340,00040,00000556,984

1,233
1,233
169,475
169,475
9,448
9,448
84,847
84,847
212,353
212,353
14,01314,01322,00022,00000513,369

4,905
4,905
4,905

4,575
4,575
4,575

4,546
4,546
4,546

Brookhaven National Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences
Basic Energy Sciences
Biological & Environmental Research
Biological & Environmental ResearchHigh Energy Physics
High Energy Physics
Nuclear Physics
Nuclear Physics
Safeguards and Security
Field Security
Science Laboratories Infrastructure
Science Laboratories Infrastructure
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Brookhaven National Laboratory Total
Brookhaven Site Office
Program Direction
Program Direction
Brookhaven Site Office Total

Science552

FY 2021 Congressional Budget Justification

Department of Energy
FY 2021 Congressional Budget
Funding by Appropriation by Site($K)
Science
FY 2019 Total Enacted
Chicago Office
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences
Basic Energy Sciences
Biological & Environmental Research
Biological & Environmental Research
Fusion Energy Sciences
Fusion Energy Sciences
High Energy Physics
High Energy Physics
Nuclear Physics
Nuclear Physics
Program Direction
Program Direction
Safeguards and Security
Field Security
Science Laboratories Infrastructure
Science Laboratories Infrastructure
Chicago Office Total
Consolidated Service Center
Program Direction
Program Direction
Consolidated Service Center Total
Fermi National Accelerator Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences
Basic Energy Sciences
High Energy Physics
High Energy Physics
Nuclear Physics
Nuclear Physics
Safeguards and Security
Field Security
Science Laboratories Infrastructure
Science Laboratories Infrastructure
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Fermi National Accelerator Laboratory Total

Science553

FY 2020 Enacted

FY 2021 Request

16,885
16,885339,965
339,965
154,065
154,065
140,519
140,519
110,234
110,234
153,940
153,940
24,54624,546
50
50
1,713
1,713
941,917

17,464
17,464363,064
363,064
158,308
158,308
104,123
104,123
95,23895,238
149,474
149,474
0
0
50
50
1,650
1,650
889,371

15,06015,060368,906
368,906
94,476
94,476
91,793
91,793
81,822
81,822111,224
111,224
0
0
50
50
1,650
1,650
764,98100045,24245,24245,24245,37745,37745,377

174
174
135
135
519,303519,303
0
0
7,037
7,037
20,00020,000257
257
546,906

874
874
135
135
552,052
552,052
500
500
7,877
7,877
22,50022,50000583,938

874
874
135
135
375,014375,014
0
0
7,877
7,877
14,00014,00000397,900

FY 2021 Congressional Budget Justification

Department of Energy
FY 2021 Congressional Budget
Funding by Appropriation by Site($K)
Science
FY 2019 Total Enacted

FY 2020 Enacted

FY 2021 Request

Fermi Site Office
Program Direction
Program Direction
Fermi Site Office Total

2,581
2,581
2,581

3,070
3,070
3,070

2,937
2,937
2,937

Idaho National Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences
Basic Energy Sciences
Fusion Energy Sciences
Fusion Energy Sciences
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Idaho National Laboratory Total

70
70
4,592
4,592
5,510
5,510
384
384
10,556

70
70
3,723
3,723
2,500
2,500
0
0
6,293

70
70
3,723
3,723
2,500
2,500
0
0
6,293

0
0
0

369
369
369

369
369
369

213,107
213,107
225,806
225,806
161,607
161,607
895
895
82,42782,427
26,121
26,121
7,155
7,155
5,000
5,000
1,298
1,298
723,416

215,822
215,822230,004
230,004
162,828
162,828
1,525
1,525
68,664
68,66425,13825,1387,175
7,175
25,50025,50000736,656

176,028
176,028
174,728
174,728
122,887
122,887765
765
52,86852,86819,801
19,801
7,175
7,175
18,00018,00000572,252

Idaho Operations Office
Basic Energy Sciences
Basic Energy Sciences
Idaho Operations Office Total
Lawrence Berkeley National Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences
Basic Energy Sciences
Biological & Environmental Research
Biological & Environmental Research
Fusion Energy Sciences
Fusion Energy Sciences
High Energy Physics
High Energy Physics
Nuclear Physics
Nuclear Physics
Safeguards and Security
Field Security
Science Laboratories Infrastructure
Science Laboratories Infrastructure
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Lawrence Berkeley National Laboratory Total

Science554

FY 2021 Congressional Budget Justification

Department of Energy
FY 2021 Congressional Budget
Funding by Appropriation by Site($K)
Science
FY 2019 Total Enacted

FY 2020 Enacted

FY 2021 Request

Lawrence Livermore National Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences
Basic Energy Sciences
Biological & Environmental Research
Biological & Environmental Research
Fusion Energy Sciences
Fusion Energy Sciences
High Energy Physics
High Energy Physics
Nuclear Physics
Nuclear Physics
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Lawrence Livermore National Laboratory Total

5,531
5,531
1,804
1,804
31,58731,587
8,819
8,819
2,315
2,315
1,728
1,728
423
423
52,207

2,472
2,472
2,948
2,948
29,55829,558
8,062
8,062
3,750
3,750
1,769
1,769
0
0
48,559

1,724
1,724
2,948
2,948
18,03618,036
8,537
8,537
3,445
3,445
1,484
1,484
0
0
36,174

Los Alamos National Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences
Basic Energy Sciences
Biological & Environmental Research
Biological & Environmental Research
Fusion Energy Sciences
Fusion Energy Sciences
High Energy Physics
High Energy Physics
Nuclear Physics
Nuclear Physics
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Los Alamos National Laboratory Total

3,626
3,626
23,337
23,33732,03432,034
3,087
3,087
2,640
2,640
9,360
9,360
532
532
74,6162,930
2,930
27,422
27,42230,29130,291
3,910
3,910
2,040
2,040
8,314
8,314
0
0
74,9072,071
2,071
26,585
26,58520,321
20,321
3,410
3,410
1,145
1,145
8,821
8,821
0
0
62,353National Renewable Energy Laboratory
Basic Energy Sciences
Basic Energy Sciences
Biological & Environmental Research
Biological & Environmental Research
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
National Renewable Energy Laboratory Total

12,60012,600
827
827
1,368
1,368
14,795

12,10912,109848
848
0
0
12,957

12,10912,109877
877
00
12,986

Science555

FY 2021 Congressional Budget Justification

Department of Energy
FY 2021 Congressional Budget
Funding by Appropriation by Site($K)
Science
FY 2019 Total Enacted
Oak Ridge Institute for Science and Education
Biological & Environmental Research
Biological & Environmental Research
Fusion Energy Sciences
Fusion Energy Sciences
Nuclear Physics
Nuclear Physics
Safeguards and Security
Field Security
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Oak Ridge Institute for Science and Education Total
Oak Ridge National Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences
Basic Energy Sciences
Biological & Environmental Research
Biological & Environmental Research
Fusion Energy Sciences
Fusion Energy Sciences
High Energy Physics
High Energy Physics
Nuclear Physics
Nuclear Physics
Safeguards and Security
Field Security
Science Laboratories Infrastructure
Science Laboratories Infrastructure
Oak Ridge National Laboratory Total
ORNL Site Office
Program Direction
Program Direction
ORNL Site Office Total

Science556

FY 2020 Enacted

FY 2021 Request

4,103
4,103
750
750
467
467
1,892
1,892
11,176
11,176
18,388

3,187
3,187
700
700
697
697
1,894
1,894
0
0
6,478

2,102
2,102
700
700
636
636
1,894
1,894
0
0
5,332

446,543446,543
410,799
410,799
82,29482,294
162,283
162,283920
920
18,20618,206
12,864
12,86451,00051,0001,184,909

423,766
423,766
454,486
454,486
78,92378,923
273,362
273,362697
697
30,26330,26329,97329,97366,00066,0001,357,470

397,037
397,037
336,118
336,118
59,39359,393
136,272
136,272407
407
28,87928,87929,97329,97341,00041,0001,029,079

5,551
5,551
5,551

5,934
5,934
5,934

6,074
6,074
6,074

FY 2021 Congressional Budget Justification

Department of Energy
FY 2021 Congressional Budget
Funding by Appropriation by Site($K)
Science
FY 2019 Total Enacted

FY 2020 Enacted

FY 2021 Request

Oak Ridge Office
Nuclear Physics
Nuclear Physics
Program Direction
Program Direction
Safeguards and Security
Field Security
Science Laboratories Infrastructure
Science Laboratories Infrastructure
Oak Ridge Office Total

50
50
24,177
24,17723,472
23,4726,434
6,434
54,133

0
0
0
0
4,558
4,558
15,772
15,772
20,330

0
0
0
0
4,558
4,558
8,860
8,860
13,418

Office of Science and Technical Information
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Biological & Environmental Research
Biological & Environmental ResearchHigh Energy Physics
High Energy Physics
Nuclear Physics
Nuclear Physics
Program Direction
Program Direction
Safeguards and Security
Field Security
Science Laboratories Infrastructure
Science Laboratories Infrastructure
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Office of Science and Technical Information Total

155
155
296
296
0
0
285
285
9,120
9,120
759
759
0
0
200
200
10,815

157
157
177
177
189
189
285
285
9,397
9,397
759
759
200
200
0
0
11,164

155
155
159
159
0
0
128
128
9,515
9,515
759
759
200
200
0
0
10,916

Science557

FY 2021 Congressional Budget Justification

Department of Energy
FY 2021 Congressional Budget
Funding by Appropriation by Site($K)
Science
FY 2019 Total Enacted
Pacific Northwest National Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences
Basic Energy Sciences
Biological & Environmental Research
Biological & Environmental Research
Fusion Energy Sciences
Fusion Energy Sciences
High Energy Physics
High Energy Physics
Nuclear Physics
Nuclear Physics
Safeguards and Security
Field Security
Science Laboratories Infrastructure
Science Laboratories Infrastructure
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Pacific Northwest National Laboratory Total
Pacific Northwest Site Office
Program Direction
Program Direction
Pacific Northwest Site Office Total
Princeton Plasma Physics Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Fusion Energy Sciences
Fusion Energy Sciences
Safeguards and Security
Field Security
Science Laboratories Infrastructure
Science Laboratories Infrastructure
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Princeton Plasma Physics Laboratory Total
Princeton Site Office
Program Direction
Program Direction
Princeton Site Office Total

Science558

FY 2020 Enacted

FY 2021 Request

5,597
5,597
33,21633,216141,297
141,297
250
250
1,460
1,460
500
500
12,45912,45924,00024,0001,022
1,022
219,801

4,360
4,360
33,83833,838107,127
107,127
650
650
1,855
1,855
830
830
12,75912,75923,00023,00000184,419

1,915
1,915
33,83833,838
84,114
84,114
1,663
1,663
1,160
1,160
287
287
12,75912,75923,00023,0000
0158,736

5,084
5,084
5,084

5,186
5,186
5,186

5,036
5,036
5,036

385
385
107,770
107,770
3,354
3,354
0
0
512
512
112,021335
335
83,35083,3503,358
3,358
13,00013,00000100,043

335
335
74,49974,4993,358
3,358
23,40023,40000101,592

1,862
1,862
1,862

1,910
1,910
1,910

1,950
1,950
1,950

FY 2021 Congressional Budget Justification

Department of Energy
FY 2021 Congressional Budget
Funding by Appropriation by Site($K)
Science
FY 2019 Total Enacted
Sandia National Laboratories
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences
Basic Energy Sciences
Biological & Environmental Research
Biological & Environmental Research
Fusion Energy Sciences
Fusion Energy Sciences
High Energy Physics
High Energy Physics
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Sandia National Laboratories Total
Savannah River National Laboratory
Basic Energy Sciences
Basic Energy Sciences
Biological & Environmental Research
Biological & Environmental Research
Fusion Energy Sciences
Fusion Energy Sciences
Savannah River National Laboratory Total
SLAC National Accelerator Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences
Basic Energy Sciences
Biological & Environmental Research
Biological & Environmental Research
Fusion Energy Sciences
Fusion Energy Sciences
High Energy Physics
High Energy Physics
Nuclear Physics
Nuclear Physics
Safeguards and Security
Field Security
Science Laboratories Infrastructure
Science Laboratories Infrastructure
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
SLAC National Accelerator Laboratory Total

Science559

FY 2020 Enacted

FY 2021 Request

17,331
17,331
28,21928,219
11,149
11,149
1,265
1,265
100
100
130
130
58,194

14,92014,92026,90026,90010,16010,160
1,669
1,669
0
0
0
0
53,64912,455
12,455
26,12826,128
6,639
6,639
1,614
1,614
50
50
0
0
46,886

420
420
150
150
0
0
570

410
410
150
150
400
400
960

410
410
150
150
400
400
960

1,366
1,366
389,853
389,853
7,394
7,394
2,340
2,340
64,00764,007
1,015
1,015
4,304
4,304
9,400
9,400
460
460
480,139

1,170
1,170
281,945
281,945
4,100
4,100
21,80021,80066,58966,589
1,336
1,336
4,328
4,328
11,50011,50000392,768

670
670
240,323
240,3233,600
3,600
10,00010,00057,49657,496
1,005
1,005
4,328
4,328
10,00010,00000327,422

FY 2021 Congressional Budget Justification

Department of Energy
FY 2021 Congressional Budget
Funding by Appropriation by Site($K)
Science
FY 2019 Total Enacted
SLAC Site Office
Program Direction
Program Direction
SLAC Site Office Total
Thomas Jefferson National Accelerator Facility
Advanced Scientific Computing Research
Advanced Scientific Computing ResearchHigh Energy Physics
High Energy Physics
Nuclear Physics
Nuclear Physics
Safeguards and Security
Field Security
Science Laboratories Infrastructure
Science Laboratories Infrastructure
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Thomas Jefferson National Accelerator Facility Total
Thomas Jefferson Site Office
Program Direction
Program Direction
Thomas Jefferson Site Office Total

Science560

FY 2020 Enacted

FY 2021 Request

2,476
2,476
2,476

0
0
0

0
0
0

387
387
350
350
129,017129,017
3,021
3,021
0
0
200
200
132,975

382
382
750
750
133,267
133,267
3,037
3,037
2,000
2,000
0
0
139,436

360
360
400
400
128,609
128,609
3,037
3,037
2,000
2,000
0
0
134,406

1,971
1,971
1,971

2,148
2,148
2,148

2,241
2,241
2,241

FY 2021 Congressional Budget Justification

Department of Energy
FY 2021 Congressional Budget
Funding by Appropriation by Site($K)
Science
FY 2019 Total Enacted
Washington Headquarters
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences
Basic Energy Sciences
Biological & Environmental Research
Biological & Environmental Research
Fusion Energy Sciences
Fusion Energy Sciences
High Energy Physics
High Energy Physics
Nuclear Physics
Nuclear Physics
Program Direction
Program Direction
Safeguards and Security
Field Security
Science Laboratories Infrastructure
Science Laboratories Infrastructure
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Washington Headquarters Total
Y‐12 National Security Complex
Science Laboratories Infrastructure
Science Laboratories Infrastructure
Y‐12 National Security Complex Total
Total, Science

Science561

FY 2020 Enacted

FY 2021 Request

68,955
68,955147,264
147,264
27,391
27,391
130,512130,512
98,29498,294106,013106,01392,066
92,066
4,583
4,583
11,50011,50000686,578

134,008
134,008
165,937
165,937
120,243
120,243
168,768
168,768
156,154
156,154
105,916
105,916
97,902
97,902
11,66911,66938,57838,57828,00028,0001,027,175

223,208
223,208
143,591
143,591
74,51074,51092,80992,809149,807
149,807
110,594
110,594
101,403
101,403
14,592
14,592
6,000
6,000
20,50020,500937,014

1,250
1,250
1,250

0
0
0

0
0
0

6,585,000

7,000,000

5,837,806

FY 2021 Congressional Budget Justification

562

GENERAL PROVISIONS—DEPARTMENT OF ENERGY(INCLUDING TRANSFER AND CANCELLATION OF FUNDS)

SEC. 301. (a) No appropriation, funds, or authority made available by this title for the Department of Energy shallbe used to initiate 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 atleast 3 full business days in advance, none of the funds made available in this title may be used to—(A) make a grant allocation or discretionary grant award totaling $1,000,000 or more;(B) make a discretionary contract award or Other Transaction Agreement totaling $1,000,000 or more,
Including a contract covered by the Federal Acquisition Regulation;(C) issue a letter of intent to make an allocation, award, or Agreement in excess of the limits in
subparagraph (A) or (B); or(D) announce publicly the intention to make an allocation, award, or Agreement in excess of the limits in
subparagraph (A) or (B).
(2) The Secretary of Energy shall submit to the Committees on Appropriations of both Houses of Congresswithin 15 days of the conclusion of each quarter a report detailing each grant allocation or discretionary grantaward 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 therecipient of the award, the amount of the award, the fiscal year for which the funds for the award wereappropriated, the account and program, project, or activity from which the funds are being drawn, the title of
the award, and a brief description of the activity for which the award is made.
(c) The Department of Energy may not, with respect to any program, project, or activity that uses budget
authority made available in this title under the heading "Department of Energy-Energy Programs", enter into a
multiyear contract, award a multiyear grant, or enter into a multiyear cooperative agreement unless—(1)the contract, grant, or cooperative agreement is funded for the full period of performance as anticipated at
the time of award; or(2) the contract, grant, or cooperative agreement includes a clause conditioning the Federal Government's
obligation on the availability of future year budget authority and the Secretary notifies the Committees on
Appropriations of both Houses of Congress at least 3 days in advance.
(d) Except as provided in subsections (e), (f), [and] (g), and (h), 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 of Energy" table included under the heading "Title III-Department of Energy" in the explanatory
statement described in section 4 (in the matter preceding division A of this consolidated Act).
(e) The amounts made available by this title may be reprogrammed for any program, project, or activity, and theDepartment shall notify, and obtain the prior approval of, the Committees on Appropriations of both Houses ofCongress at least 30 days prior to the use of any proposed reprogramming that would cause any program,project, or activity funding level to increase or decrease by more than $5,000,000 or 10 percent, whichever is less,during 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 of funds that—(1) creates, initiates, or eliminates a program, project, or activity;(2) increases funds or personnel for any program, project, or activity for which funds are denied or restrictedby this Act; or(3) reduces funds that are directed to be used for a specific program, project, or activity by this Act.
(g) (1) The Secretary of Energy may waive any requirement or restriction in this section that applies to the use offunds made available for the Department of Energy if compliance with such requirement or restriction would
pose a substantial risk to human health, the environment, welfare, or national security.

General Provisions

563

FY 2021 Congressional Budget Justification

(2) The Secretary of Energy shall notify the Committees on Appropriations of both Houses of Congress of any
waiver under paragraph (1) as soon as practicable, but not later than 3 days after the date of the activity towhich a requirement or restriction would otherwise have applied. Such notice shall include an explanation of
the substantial risk under paragraph (1) that permitted such waiver.
(h) EXCLUSIONS.—Subsections (d), (e), and (f) shall not apply to applied energy program funds transferred or
reprogrammed under —(1) the small business innovation research program under section 9 of the Small Business Act (15 U.S.C 638); or(2) the small business technology transfer program under that section.
([h]i) The unexpended balances of prior appropriations provided for activities in this Act may be available tothe same appropriation accounts for such activities established pursuant to this title. Available balances may
be merged with funds in the applicable established accounts and thereafter may be accounted for as one fund
for the same time period as originally enacted.
SEC. 302. Funds appropriated by this or any other Act, or made available by the transfer of funds in this Act, forintelligence activities are deemed to be specifically authorized by the Congress for purposes of section 504 of the
National Security Act of 1947 (50 U.S.C. 3094) during fiscal year 2020 until the enactment of the Intelligence
Authorization Act for fiscal year 2020.
SEC. 303. None of the funds made available in this title shall be used for the construction of facilities classified as
high-hazard nuclear facilities under 10 CFR Part 830 unless independent oversight is conducted by the Office ofEnterprise Assessments to ensure the project is in compliance with nuclear safety requirements.
SEC. 304. None of the funds made available in this title may be used to approve critical decision–2 or criticaldecision–3 under Department of Energy Order 413.3B, or any successive departmental guidance, for construction
projects where the total project cost exceeds $100,000,000, until a separate independent cost estimate has beendeveloped for the project for that critical decision.
SEC. 305. (a) None of the funds made available in this or any prior Act under the heading "Defense Nuclear
Nonproliferation" may be made available to enter into new contracts with, or new agreements for Federal
assistance to, the Russian Federation.
(b) The Secretary of Energy may waive the prohibition in subsection (a) if the Secretary determines that suchactivity is in the national security interests of the United States. This waiver authority may not be delegated.
(c) A waiver under subsection (b) shall not be effective until 15 days after the date on which the Secretarysubmits to the Committees on Appropriations of both Houses of Congress, in classified form if necessary, areport on the justification for the waiver.
SEC. 306. Notwithstanding section 161 of the Energy Policy and Conservation Act (42 U.S.C. 6241), upon adetermination by the President in this fiscal year that a regional supply shortage of refined petroleum product ofsignificant scope and duration exists, that a severe increase in the price of refined petroleum product will likely
result from such shortage, and that a draw down and sale of refined petroleum product would assist directly andsignificantly in reducing the adverse impact of such shortage, the Secretary of Energy may draw down and sell
refined petroleum product from the Strategic Petroleum Reserve. Proceeds from a sale under this section shall bedeposited into the SPR Petroleum Account established in section 167 of the Energy Policy and Conservation Act (42U.S.C. 6247), and such amounts shall be available for obligation, without fiscal year limitation, consistent with that
section.
[SEC. 307. Of the offsetting collections, including unobligated balances of such collections, in the "Department ofEnergy-Power Marketing Administration-Colorado River Basins Power Marketing Fund, Western Area Power
Administration", $21,400,000 shall be transferred to the "Department of Interior-Bureau of Reclamation-Upper
Colorado River Basin Fund" for the Bureau of Reclamation to carry out environmental stewardship and endangered
species recovery efforts.]

General Provisions

564

FY 2021 Congressional Budget Justification

[SEC. 308. (a) Of the unobligated balances available from amounts appropriated in prior Acts under the heading"Title III-Department of Energy-Energy Programs", $12,723,000 is hereby rescinded.
(b) No amounts may be rescinded under (a) from amounts that were designated by the Congress as an
emergency requirement pursuant to a concurrent resolution on the budget or the Balanced Budget andEmergency Deficit Control Act of 1985.][SEC. 309. Beginning in fiscal year 2021 and for each fiscal year thereafter, fees collected pursuant to subsection(b)(1) of section 6939f of title 42, United States Code, shall be deposited in "Department of Energy-Energy
Programs-Non-Defense Environmental Cleanup" as discretionary offsetting collections.][SEC. 310. During fiscal year 2020 and each fiscal year thereafter, notwithstanding any provision of title 5, UnitedStates Code, relating to classification or rates of pay, the Southeastern Power Administration shall pay any powersystem dispatcher employed by the Administration a rate of basic pay and premium pay based on those prevailingfor similar occupations in the electric power industry. Basic pay and premium pay may not be paid under thissection to any individual during a calendar year so as to result in a total rate in excess of the rate of basic pay forlevel V of the Executive Schedule (section 5316 of such title).]SEC. 307. Section 611 of the Energy and Water Development Appropriations Act,
2000 (P.L. 106–60; 10 U.S.C 2701 note) is amended as follows:(a) In subsection (a) in the matter preceding paragraph (1), by striking "the Army, acting through the Chief ofEngineers" and inserting "Energy".
(b) In subsection (a)(6), by striking "by the Secretary of the Army, acting through the Chief of Engineers," andstriking ", which may be transferred upon completion of remediation to the administrative jurisdiction of theSecretary of Energy".
(c) In subsection (a), by adding after paragraph (6) the following undesignated matter: "Upon completion ofremediation of a site acquired by the Secretary of the Army prior to fiscal year 2021, the Secretary of the Army
may transfer administrative jurisdiction of such site to the Secretary of Energy.".
(d) In subsection (b), by striking "the Army, acting through the Chief of Engineers," and inserting "Energy".
(e) In subsection (c), by striking "amounts made available to carry out that program and shall be available until
expended for costs of response actions for any eligible site" and inserting "'Other Defense Activities'
appropriation account or successor appropriation account and shall be available until expended for costs of
response actions for any eligible Formerly Utilized Sites Remedial Action Program Site".
(f) By redesignating subsection (f) as subsection (g).
(g) By inserting after subsection (e) the following new subsection:"(f) The Secretary of Energy, in carrying out subsection (a), shall enter into an agreement with the Secretary of
the Army to carry out the remediation functions and activities described in subsections (a)(1) through (a)(6).".
SEC. 308. Section 2307 of the Energy Policy Act of 1992 (42 U.S.C 13526) is repealed.
SEC. 309. Notwithstanding section 161 of the Energy Policy and Conservation Act (42 U.S.C. 6241), the Secretary ofEnergy shall draw down and sell 15 million barrels of refined petroleum product from the Strategic Petroleum
Reserve during fiscal year 2021. Proceeds from sales under this section shall be deposited into the general fund of
the Treasury during fiscal year 2021, with the exception of $242,000,000 from such proceeds to be deposited in the"Naval Petroleum and Oil Shale Reserves" account for comprehensive remediation of the Naval Petroleum Reserve–
1 site near Elk Hills, California, to remain available until expended.
SEC. 310. 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

General Provisions

565

FY 2021 Congressional Budget Justification

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) of this section, 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. 311. Pursuant to a request by the Secretary of Defense, and upon determination by the Director of the Office ofManagement and Budget in consultation with the Secretary of Energy that such action is necessary, the Secretaryof Energy may, with the approval of the Office of Management and Budget, transfer not to exceed $2,500,000,000
of funds made available in this Act to the Department of Energy for National Nuclear Security Administration
functions to the Department of Defense, to be merged with and to be available for the same purposes, and for thesame time period, as the appropriation or fund to which transferred: Provided, That the Secretary of Energy shallnotify the Congress promptly of all transfers made pursuant to this authority or any other authority in this Act:
Provided further, That this transfer authority is in addition to any other transfer authority provided in this Act.

General Provisions

566

FY 2021 Congressional Budget Justification

TITLE V—GENERAL PROVISIONS(INCLUDING TRANSFER OF FUNDS)

SEC. 501. None of the funds appropriated by this Act may be used in any way, directly or indirectly, to influencecongressional action on any legislation or appropriation matters pending before Congress, other than tocommunicate to Members of Congress as described in 18 U.S.C. 1913.
[SEC. 502. (a) None of the funds made available in title III of this Act may be transferred to any department,
agency, or instrumentality of the United States Government, except pursuant to a transfer made by or transfer
authority provided in this Act or any other appropriations Act for any fiscal year, transfer authority referenced in
the explanatory statement described in section 4 (in the matter preceding division A of this consolidated Act), or
any authority whereby a department, agency, or instrumentality of the United States Government may provide
goods or services to another department, agency, or instrumentality.
(b) None of the funds made available for any department, agency, or instrumentality of the United States
Government may be transferred to accounts funded in title III of this Act, except pursuant to a transfer madeby or transfer authority provided in this Act or any other appropriations Act for any fiscal year, transfer
authority referenced in the explanatory statement described in section 4 (in the matter preceding division A ofthis consolidated Act), or any authority whereby a department, agency, or instrumentality of the United States
Government may provide goods or services to another department, agency, or instrumentality.
(c) The head of any relevant department or agency funded in this Act utilizing any transfer authority shallsubmit to the Committees on Appropriations of both Houses of Congress a semiannual report detailing thetransfer authorities, except for any authority whereby a department, agency, or instrumentality of the UnitedStates Government may provide goods or services to another department, agency, or instrumentality, used in
the previous 6 months and in the year-to-date. This report shall include the amounts transferred and the
purposes for which they were transferred, and shall not replace or modify existing notification requirements
for each authority.]
SEC. 503. None of the funds made available by this Act may be used in contravention of Executive Order No. 12898
of February 11, 1994 (Federal Actions to Address Environmental Justice in Minority Populations and Low-Income
Populations).
SEC. 504. (a) None of the funds made available in this Act may be used to maintain or establish a computer
network unless such network blocks the viewing, downloading, and exchanging of pornography.
(b) Nothing in subsection (a) shall limit the use of funds necessary for any Federal, State, tribal, or local law
enforcement agency or any other entity carrying out criminal investigations, prosecution, or adjudication
activities.

General Provisions

567

FY 2021 Congressional Budget Justification

568