DOE/CF-0122
Volume 4

Department of Energy
FY 2017 Congressional
Budget Request

Science
Advanced Research Projects Agency−Energy

February 2016

Office of Chief Financial Officer

Volume 4

DOE/CF-0122
Volume 4

Department of Energy
FY 2017 Congressional
Budget Request

Science
Advanced Research Projects Agency−Energy

February 2016

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

Volume 4

Volume 4
Table of Contents
Page
Appropriation Account Summary ...........................................................................................................................................................1
Science ....................................................................................................................................................................................................3
Advanced Research Projects Agency - Energy ................................................................................................................................... 391
General Provisions ............................................................................................................................................................................. 433

Volume 4

FY 2017 Congressional Budget Justification

FUNDING BY APPROPRIATION($K)
FY 2017 vs. FY 2016

FY 2015

FY 2015

FY 2016

FY 2017

EnactedCurrent

EnactedRequest1,914,195
146,975
833,379001,840,847
143,901
821,883002,069,194
206,000
986,161002,898,400
262,300
993,896
8,400
1,335,000+829,206+56,300+7,735+8,400+1,335,000+40.1%+27.3%
+0.8%
N/A
N/A

‐6,600560,587
0
19,95015,580200,000
1,600
791,117‐2,876548,885
020,64015,580200,000
1,600
783,8290
632,000
0
17,5000
212,000
7,600
869,1000
600,000‐240,000
14,9500257,000
6,500
638,4500‐32,000
0‐2,5500+45,000‐1,100‐230,650

N/A
‐5.1%
N/A
‐14.6%
N/A+21.2%‐14.5%‐26.5%

625,000
117,000
246,000
5,067,738
279,982
125,043
040,500625,000
117,000
246,030
5,132,813
279,982
135,686040,500673,749
122,000
255,000
5,347,000
291,000
130,971046,424

673,749
131,125
218,400
5,672,069
500,000
144,866
22,93044,4240+9,125‐36,600+325,069+209,000+13,895+22,930‐2,000N/A+7.5%‐14.4%+6.1%+71.8%+10.6%
N/A
‐4.3%

1

$

%

Department of Energy Budget by Appropriation
Energy and Water Development, and Related Agencies
Energy Programs
Energy Efficiency and Renewable Energy
Electricity Delivery and Energy Reliability
Nuclear Energy
Office of Technology Transitions
21st Century Clean Transportation Plan Investments
Fossil Energy Programs
Clean Coal Technology
Fossil Energy Research and Development
Use of Prior Year Balances
Naval Petroleum and Oil Shale Reserves
Elk Hills School Lands Fund
Strategic Petroleum Reserve
Northeast Home Heating Oil Reserve
Total, Fossil Energy Programs
Uranium Enrichment Decontamination and Decommissioning(UED&D) Fund
Energy Information Administration
Non‐Defense Environmental Cleanup
Science
Advanced Research Projects Agency ‐ Energy (ARPA‐E)
Departmental Administration
Office of Indian Energy
Office of the Inspector General
Title 17 ‐ Innovative Technology
Loan Guarantee Program
Advanced Technology Vehicles Manufacturing Loan Program
Total, Energy Programs
Atomic Energy Defense Activities
National Nuclear Security Administration
Weapons Activities
Defense Nuclear Nonproliferation
Naval Reactors
Office of the Administrator
Federal Salaries and Expenses
Total, National Nuclear Security Administration

17,0004,000
10,207,929

17,0004,000
10,188,471

17,0006,000
11,019,599

10,0005,000
13,559,009‐7,000‐1,000+2,539,410‐41.2%‐16.7%+23.0%

8,180,359
1,615,248
1,233,840‐413
370,000
11,399,034

8,180,609
1,612,651
1,233,840‐413
370,000
11,396,687

8,846,948
1,940,302
1,375,496
0363,766
12,526,512

9,243,147
1,807,916
1,420,120
0412,817
12,884,000+396,199‐132,386+44,6240+49,051+357,488

+4.5%
‐6.8%
+3.2%
N/A
+13.5%+2.9%

Environmental and Other Defense Activities
Defense Environmental Cleanup
Other Defense Activities
Total, Environmental and Other Defense Activities
Total, Atomic Energy Defense Activities

4,990,017
753,449
5,743,466
17,142,500

4,989,555
753,449
5,743,004
17,139,691

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

5,226,950
791,552
6,018,502
18,902,502‐62,792+15,127‐47,665+309,823

‐1.2%
+1.9%
‐0.8%
+1.7%

0
11,40091,740228‐23,000
80,3680
11,40091,740228‐23,000
80,3680
11,40093,372
228‐23,000
82,000011,057
95,581
232‐23,000
83,8700‐343+2,209+4
0+1,870

N/A
‐3.0%
+2.4%
+1.8%
N/A
+2.3%

0
27,430,797

027,408,530

029,694,278

0
32,545,381

0+2,851,103

N/A
+9.6%

‐463,000‐463,000

0‐155,100‐155,100

N/A

463,000‐28,485

463,000‐17,325

0‐23,587

155,100‐9,426+155,100+14,161

N/A+60.0%

027,402,312

027,391,205‐68,000
29,602,691‐37,000
32,498,955+31,000+2,896,264+45.6%+9.8%

Power Marketing Administrations
Southeastern Power Administration
Southwestern Power Administration
Western Area Power Administration
Falcon and Amistad Operating and Maintenance Fund
Colorado River Basins Power Marketing Fund
Total, Power Marketing Administrations
Federal Energy Regulatory Commission (FERC)
Subtotal, Energy and Water Development and Related Agencies
Uranium Enrichment Decontamination and Decommissioning Fund
Discretionary Payments
Uranium Enrichment Decontamination and Decommissioning FundContribution
Excess Fees and Recoveries, FERC
Title XVII Loan Guarantee Program Section 1703 Negative Credit Subsidy
Receipt
Total, Funding by Appropriation
1

FY 2017 Request includes mandatory spending: $1.335B for Clean Transportation Plan, $674M for UED&D Fund, $150M for ARPA‐E, and $100M for Science.

Funding by Appropriation

1

FY 2017 Congressional Budget Justification

2

Science3

Science

4

Science
Table of Contents
Page
Appropriation Language .........................................................................................................................................................................7
Overview .................................................................................................................................................................................................9
Advanced Scientific Computing Research .............................................................................................................................................17
Basic Energy Sciences............................................................................................................................................................................51
Biological and Environmental Research ............................................................................................................................................. 111
Fusion Energy Sciences ...................................................................................................................................................................... 137
High Energy Physics ........................................................................................................................................................................... 175
Nuclear Physics .................................................................................................................................................................................. 239
Workforce Development for Teachers and Scientists .........................................................................................................................295
Science Laboratories Infrastructure ....................................................................................................................................................303
Safeguards and Security..................................................................................................................................................................... 345
Program Direction .............................................................................................................................................................................. 351
Crosscuts ............................................................................................................................................................................................ 365
Isotope Production and Distribution Program Fund .......................................................................................................................... 375
Funding by Appropriation by Site ...................................................................................................................................................... 377

Volume 4

5

FY 2017 Congressional Budget Justification

6

Science
Proposed Appropriation Language
For Department of Energy expenses including the purchase, construction, and acquisition of plant and capital equipment,
and other expenses necessary for science activities in carrying out the purposes of the Department of Energy Organization
Act (42 U.S.C. 7101 et seq.), including the acquisition or condemnation of any real property or facility or for plant or facility
acquisition, construction, or expansion, and purchase of not more than [17] 15 passenger motor vehicles for replacement
only, [including one ambulance] and one bus, [$5,350,200,000,] $5,572,069,000, to remain available until expended:
Provided, That of such amount, [$185,000,000] $204,481,000, shall be available until September 30, [2017] 2018, forprogram direction[: Provided further, That of such amount, not more than $115,000,000 shall be made available for the inkind contributions and related support activities of ITER: Provided further, That not later than May 2, 2016, the Secretaryof Energy shall submit to the Committees on Appropriations of both Houses of Congress a report recommending either that
the United States remain a partner in the ITER project after October 2017 or terminate participation, which shall include,
as applicable, an estimate of either the full cost, by fiscal year, of all future Federal funding requirements for construction,
operation, and maintenance of ITER or the cost of termination].
Explanation of Change
Proposed appropriation language updates reflect the funding and replacement of passenger motor vehicle levels requested
in FY 2017. In addition, the fiscal year 2016 restrictions on the obligation of funding for in-kind contributions and related
support activities and reporting requirements for ITER are proposed for elimination.
Public Law Authorizations
Science: Public Law 95-91, “Department of Energy Organization Act”, 1977
 Public Law 102-486, “Energy Policy Act of 1992”
 Public Law 108-153, “21st Century Nanotechnology Research and Development Act 2003”
 Public Law 109-58, “Energy Policy Act of 2005”
 Public Law 110-69, “America COMPETES Act of 2007”
 Public Law 111-358, “America COMPETES Reauthorization Act of 2010”
Nuclear Physics:
 Public Law 101-101, “1990 Energy and Water Development Appropriations Act,” establishing the Isotope Production
and Distribution Program Fund
 Public Law 103-316, “1995 Energy and Water Development Appropriations Act,” amending the Isotope Production andDistribution Program Fund to provide flexibility in pricing without regard to full-cost recovery
Workforce Development for Teachers and Scientists: Public Law 101-510, “DOE Science Education Enhancement Act of 1991”
 Public Law 103-382, “The Albert Einstein Distinguished Educator Fellowship Act of 1994”

Science7

FY 2017 Congressional Budget Justification

8

Science($K)
FY 2015 Enacted
5,067,738

FY 2015 Current a
5,132,813

FY 2016 Enacted
5,347,000

FY 2017 Request
5,672,069

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—discovering 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 the SC supports research probing the most fundamental
disciplinary questions.



The 21st Century tools of science—providing the Nation’s researchers with 27 state-of-the-art national scientific user
facilities, the most advanced tools of modern science propelling the U.S. to the forefront of science, technology
development and deployment through innovation.

Science for energy and the environment―advancing a clean energy agenda through fundamental research on energy
production, conversion, storage, transmission, and use by advancing our understanding of the earth and its climate.
Targeted investments include three DOE Bioenergy Research Centers (BRCs), the Energy Frontier Research Centers(EFRCs), two Energy Innovation Hubs, and atmospheric process and climate modeling research.

SC is an established leader of the U.S. scientific discovery and innovation enterprise. Over the decades, SC investments andaccomplishments in basic research have provided the foundations for new technologies, businesses, and industries, making
significant contributions to our Nation’s economy and quality of life. Select scientific accomplishments in FY 2015 enabledby 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 2017 Budget Request
The FY 2017 Budget Request for SC is $5.572 billion, an increase of $222 million or 4.1 percent, relative to the FY 2016
Enacted level. The FY 2017 Request supports a balanced research portfolio invested in discovery science research probing
the most fundamental questions: in high energy, nuclear, and plasma physics; materials and chemistry; biological systems;
the complex interactions between earth system components; mathematics; crosscutting high-performance computing andsimulation; and basic research that produces advances in clean energy. The Request supports over 24,000 investigators atover 300 U.S. institutions and the DOE laboratories. SC user facilities continue to provide unmatched tools and capabilities
for more than 31,000 researchers from universities, national laboratories, industry, and international partners. The FY 2017
Request supports the construction of new user facilities, and the operation, maintenance, and enhancement of the existing
network of user facilities, which provide world class research capabilities in the United States. The FY 2017 Request also
invests significantly in targeted research and development (R&D), such as accelerator R&D, necessary for future facilities andfacility upgrades to deliver desired capabilities and maximize scientific potential.
In addition to the FY 2017 Request, an authorization proposal for $100 million of mandatory funding for University Grants(Mandatory) will be transmitted to Congress, for a total FY 2017 Budget of $5.672 billion. SC will make the funds available
through a competitive, merit-based review of proposals solicited from and provided by the university community. Thea

Includes funding for Small Business Innovation Research (SBIR) and Small Business Technology Transfer Research (STTR)
transferred to SC by other Department of Energy components.
Science
FY 2017 Congressional Budget Justification
9

solicitation will be designed to leverage past accomplishments and accelerate ongoing activities, as well as open new paths
for future SC basic research endeavors in the mission areas of Advanced Scientific Computing Research, Basic Energy
Sciences, Biological and Environmental Research, Fusion Energy Sciences, High Energy Physics and Nuclear Physics.
Highlights of the FY 2017 Budget Request by Program Office include:Advanced Scientific Computing Research (ASCR) supports research to discover, develop, and deploy computational andnetworking capabilities to analyze, model, simulate, and predict complex phenomena important to the United States.
The ASCR Budget Request of $663.2 million is an increase of $42.2 million, or 6.8 percent, relative to the FY 2016
Enacted level. The increase supports research on the linked challenges of capable exascale and data-intensive science,and computational partnerships under the Scientific Discovery through Advanced Computing (SciDAC) program tosupport clean energy. In FY 2017, the ASCR portion of the SC component of the Department’s Exascale Computing
Initiative (ECI) is contained in a new line item, the Office of Science Exascale Computing Project (SC-ECP), which includes
only the activities required for the delivery of exascale computers. The four areas of focus of SC-ECP are hardware
technology R&D, system software technology R&D, application development, and system engineering for exascale
systems. With the creation of the new line item, funds are incorporated within SC-ECP research activities from existing
applied mathematics, computer science, computational partnerships, and research and evaluation prototypes
subprograms of the ASCR budget. The FY 2017 Request supports preparations at the two Leadership Computing
Facilities for 75–200 petaflop upgrades at each facility in the 2018–2019 timeframe. The National Energy Research
Scientific Computing Center (NERSC) will take delivery of the NERSC-8 supercomputer, which will expand the capacity of
the facility to 10–40 petaflops to address growing demand.



Basic Energy Sciences (BES) supports fundamental research to understand, predict, and ultimately control matter andenergy at the electronic, atomic, and molecular levels to provide foundations for new energy technologies. The BES
Budget Request of $1,936.7 million is an increase of $87.7 million or 4.7 percent from the FY 2016 Enacted level. The
FY 2017 Request includes increases for core research and the Energy Frontier Research Centers (EFRCs) in key areas
related to Departmental priorities, such as the Subsurface Technology and Engineering RD&D and the Advanced
Materials crosscutting initiatives. A new activity is initiated in Computational Chemical Sciences to advance U.S.
leadership in computational chemistry codes in preparation for exascale computing and supports the ECI. The Request
continues to support the Fuels from Sunlight and the Batteries and Energy Storage DOE Energy Innovation Hubs. The
FY 2017 Request also provides for the operations of five synchrotron light sources, five nanoscale research centers, andtwo neutron scattering centers. The Request continues to support construction of the Linac Coherent Light Source-II(LCLS-II), and it continues funding the Advanced Photon Source (APS) Upgrade Major Item of Equipment (MIE) request.

Biological and Environmental Research (BER) supports fundamental research and scientific user facilities to achieve a
predictive understanding of complex biological, climatic, and environmental systems for a secure and sustainableenergy future. The BER Budget Request of $661.9million is an increase of $52.9 million or 8.7 percent above the
FY 2016 Enacted level. The FY 2017 Request continues to support for core research in Genomic Science and the three
DOE Bioenergy Research Centers (BRC), and it increases support for research to understand microbiome interactions indiverse environments. The Request also continues to support core research to understand climate-relevant atmosphericand ecosystem processes, and requests increased support for field research and modeling to understand the dynamic
physical, biogeochemical, microbial, and plant processes interactions involved in the energy-water nexus. The Request
supports the 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 Climate Research Facility (ARM).



Fusion Energy Sciences (FES) supports research to expand the fundamental understanding of matter at very hightemperatures and densities, and to build the scientific foundation for fusion energy. The FES FY 2017 Request of$398.18 million decreases by $39.8 million or 9.1 percent from the FY 2016 Enacted level. The FES Budget Request
supports continued progress on the U.S. Contributions to ITER Project and core research in burning plasma science. It
requests increased funding for the operation of the National Spherical Torus Experiment Upgrade (NSTX-U) to support
16 weeks of run time and to conduct high priority plasma-materials interaction research. DIII-D operations funding
supports 560 hours of operation and the Request includes an increase to provide for targeted enhancements to thefacility. Increased funding for research at both DIII-D and NSTX-U will support research in areas identified as priorities
by the research community and for enhanced collaborations with MIT research staff.
Science10

FY 2017 Congressional Budget Justification

High Energy Physics (HEP) supports research to understand how the universe works at its most fundamental level by
discovering the most elementary constituents of matter and energy, probing the interactions among them, andexploring the basic nature of space and time itself. The HEP FY 2017 Request of $817.9 million increases by $22.9
million or 2.9 percent above the FY 2016 Enacted level. The Request continues to implement the recommendations of
the 2014 High Energy Physics Advisory Panel (HEPAP) Particle Physics Project Prioritization Panel (P5) Report. The
FY 2017 Request supports full operation of existing major HEP facilities and experiments, including optimal operations
for the upgraded Neutrinos at the Main Injector (NuMI) beamline of NuMI Off-axis ν e Appearance (NOvA) Experiment,
construction of the Muon to Electron Conversion Experiment (Mu2e), consistent with the planned construction funding
profile, and the MIEs for the Large Hadron Collider (LHC) upgrades the ATLAS (A Large Toroidal LHC Apparatus) andCompact Muon Solenoid (CMS) detectors. Consistent with the P5 Report recommendations, the FY 2017 Request
enhances support for technical design and construction associated with the Long Baseline Neutrino Facility(LBNF)/Deep Underground Neutrino Experiment (DUNE) project, and continued construction of three MIEs for nextgeneration dark-energy and dark-matter experiments. The Request includes funding for one new MIE, the Facility for
Advanced Accelerator Experimental Tests II (FACET-II), and for research and conceptual design of the Proton
Improvement Plan II (PIP-II) construction project. Funding increases for the fabrication of the Large Synoptic Survey
Telescope MIE according to the planned profile. Core research increases slightly to provide support for high priority
efforts.



Nuclear Physics (NP) supports experimental and theoretical research to discover, explore, and understand all forms of
nuclear matter. The FY 2017 Budget Request of $635.7 million increases $18.6 million or 3.0 percent relative to the
FY 2016 Enacted level. The Request provides for modest increases in core research at universities and DOE national
laboratories to support high priority research of the nuclear physics community, as well as the development of cuttingedge approaches for producing isotopes critical to the nation. It also supports the continued construction of the Facility
for Rare Isotope Beams (FRIB), which will provide world-leading capabilities for nuclear structure and astrophysics
research. The 12 GeV Upgrade for the Continuous Electron Beam Accelerator Facility (CEBAF) will be completed in
FY 2017 and the full 12 GeV scientific program initiated, enabling groundbreaking searches for exotic particles and new
physics. The FY 2017 Request also provides for increased operations of the Relativistic Heavy Ion Collider (RHIC) for
explorations of spin physics and intriguing new phenomena observed in quark gluon plasma formation, and for
operations of the Argonne Tandem Linac Accelerator System (ATLAS) utilizing newly completed instrumentation. Two
new MIEs are initiated in FY 2017 the Gamma-Ray Energy Tracking Array (GRETA) detector to exploit the world-leading
science capabilities of FRIB, and the Stable Isotope Production Facility (SIPF) to establish a domestic capability for the
production of a broad range of enriched stable isotopes for research and applications.

Basic and Applied R&D Coordination
Coordination between the Department’s basic research and applied technology programs is a high priority within DOE and isfacilitated through joint planning meetings, technical community workshops, annual contractor/awardee meetings, joint
research solicitations, focused “tech teams” and working groups in targeted research areas, and collaborative program
management of DOE’s Small Business Innovation Research (SBIR) and Small Business Technology Transfer Research (STTR)
programs. Co-funding of research activities and facilities at the DOE laboratories and partnership/collaboration encouraging
funding mechanisms facilitate research integration within the basic and applied research communities. Specific collaborative
activities are highlighted in the “Basic and Applied R&D Coordination” sections of each individual SC program budget
justification narrative.
High-Risk, High-Reward Research a
The Office of Science 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 of science also depends on the continued availability of state-of-the-art scientific facilities, SC constructs andoperates national scientific facilities and instruments that comprise the world’s most sophisticated suite of researchcapabilities. SC’s basic research is integrated within program portfolios, projects, and individual awards; as such, it is notpossible to quantitatively separate the funding contributions of particular experiments or theoretical studies that are highrisk, high-reward from other mission-driven research in a manner that is credible and auditable. SC incorporates high-risk,a In compliance with the reporting requirements in the America COMPETES Act of 2007 (P.L. 110-69, section 1008).

Science11

FY 2017 Congressional Budget Justification

high-reward basic research elements in its research portfolios to drive innovation and challenge current thinking, using avariety of mechanisms to develop topics: Federal advisory committees, triennial Committees of Visitors, program andtopical workshops, interagency working groups, National Academies studies, and special SC program solicitations. Many ofthese topics are captured in formal reports, e.g., Building for Discovery: Strategic Plan for U.S. Particle Physics in the Global
Context, by the High Energy Physics Advisory Panel (HEPAP-P5) (2014) a; Top Ten Exascale Research Challenges, by the
Advanced Scientific Computing Advisory Committee (ASCAC) (2014) b; Report of the BESAC Subcommittee on Future X-ray
Light Sources, by the Basic Energy Sciences Advisory Committee (BESAC) (2013) c; Challenges at the Frontiers of Matter andEnergy: Transformative Opportunities for Discovery Science, by BESAC (2015) d; Synergistic Challenges in Data-Intensive
Science and Exascale, ASCR workshop report (2012) e; Molecular Science Challenges, BER workshop report (2014) f; Building
Virtual Ecosystems: Computational Challenges for Mechanistic Modeling of Terrestrial Environments, BER workshop report(2014) g; Isotope Research and Production Opportunities and Priorities, by the Nuclear Science Advisory Committee (NSAC)(2015) h;and Nuclear Physics Long Range Plan, by the NSAC (2015) i.
Scientific Workforce
SC and its predecessors have fostered the training of a skilled scientific workforce for more than 50 years. In addition to theundergraduate and graduate research opportunities provided through SC’s Office of Workforce Development for Teachers
and Scientists (WDTS), the six SC research program offices train undergraduates, graduate students, and postdoctoral
researchers through sponsored research awards at universities and the DOE national laboratories. The research program
offices also support targeted, graduate-level experimental training in areas associated with scientific user facilities, such as
particle and accelerator physics, neutron and x-ray scattering, and nuclear physics. SC coordinates with other DOE offices
and other agencies on best practices for training programs and program evaluation through internal DOE working groups
and active participation in the National Science and Technology Council’s (NSTC’s) Committee on Science, Technology,
Engineering, and Mathematics Education (CoSTEM). SC also participates in the American Association for the Advancementof Science’s (AAAS) Science & Technology Policy Fellowships program and the Presidential Management Fellows (PMF)
Program to bring highly qualified scientists and professionals to DOE headquarters for a maximum term of two years.
Crosscutting Initiatives
The FY 2017 Budget Request for SC includes investments that serve as the first step in implementing the President’s
commitment to double Federal funding for clean energy research over the next five years. Through the government-wide
Mission Innovation initiative, SC and DOE will join other Federal entities in commitment to accelerate the pace of innovationand the research and development of affordable clean energy technologies to ensure a secure and clean energy future for
the United States. The FY 2017 Budget Request for SC’s ASCR, BES, BER, and FES programs will support a new generation ofscientists and engineers conducting fundamental research aimed at addressing complex scientific questions andaccelerating the transformation of that research into clean energy technology solutions. Specific proposed activities in thisarea are discussed in greater detail in the respective program’s budgets.
The Department is organized into three Under Secretariats—Science and Energy, Nuclear Security, and Management andPerformance—which recognize the complex interrelationship between the DOE Program Offices. The Budget Request
continues crosscutting programs coordinated across the Department and seek to tap DOE’s full capability to effectively andefficiently address the United States’ energy, environmental, and national security challenges. These crosscutting initiatives
are discussed further within the Programs in which the crosscuts are funded. SC participates in the following crosscuts:ahttp://science.energy.gov/~/media/hep/hepap/pdf/May%202014/FINAL_P5_Report_Interactive_060214.pdf
http://science.energy.gov/~/media/ascr/ascac/pdf/meetings/20140210/Top10reportFEB14.pdf
chttp://science.energy.gov/~/media/bes/besac/pdf/Reports/Future_Light_Sources_report_BESAC_approved_72513.pdfdhttp://science.energy.gov/~/media/bes/besac/pdf/Reports/CFME_rpt_print.pdf
ehttp://science.energy.gov/~/media/ascr/ascac/pdf/reports/2013/ASCAC_Data_Intensive_Computing_report_final.pdf
fhttp://genomicscience.energy.gov/biosystemsdesign/index.shtml
g
http://science.energy.gov/~/media/ber/pdf/workshop%20reports/VirtualEcosystems.pdf
hhttp://science.energy.gov/~/media/np/nsac/pdf/docs/2015/2015_NSACI_Report_to_NSAC_Final.pdf
iWorking title, to be released in Fall 2015, link TBDbScience12

FY 2017 Congressional Budget Justification

Advanced Materials (Adv Mat): Affordable, reliable, and high-performance materials are critical for clean energy
applications and for global manufacturing competitiveness in the 21st century. The new Advanced Materials crosscut,
identified as a priority in both the 2015 Quadrennial Technology Review and Quadrennial Energy Review, will employ
advanced synthesis, modeling, and characterization to accelerate and reduce the cost of materials qualification in a wide
variety of clean energy applications, from discovery through deployment. While materials RD&D underpins much of DOE’s
historic and current portfolio across both basic science and applied offices, this newly formed crosscut focuses on a subset
of materials R&D that will involve close coordination among the participating offices in forming a cohesive network with thefollowing capabilities: (1) materials design and synthesis, (2) functional (applied) design, (3) process scale-up,(4) qualification, and (5) digital data and informatics.
Exascale Computing Initiative (ECI): Exascale systems are needed to support areas of research that are critical to national
security objectives as well as applied research advances in areas such as earth-systems models, combustion systems, andnuclear reactor design that are not within the capacities of today’s systems. Exascale systems’ computational power isneeded for increasing capable data-analytic and data-intense applications across the entire Federal complex. Exascale is acomponent of long-term collaboration between the Office of Science’s Advanced Scientific Computing Research program
and the National Nuclear Security Administration’s Advanced Simulation and Computing Campaign (ASC) program.
Subsurface Technology and Engineering RD&D (Subsurface): Over 80 percent of our total energy supply comes from thesubsurface, and this importance is magnified by the ability to also use the subsurface to store and sequester fluids andwaste products. The subsurface crosscut, Subsurface, will address identified grand challenges in the subsurface throughhighly focused and coordinated research in Wellbore Integrity, Stress State and Induced Seismicity, Permeability
Manipulation, and New Subsurface Signals and Risk Assessment Tools to ensure enhanced energy security, material impact
on climate change via CO 2 sequestration, and significantly mitigated environmental impacts from energy-related activities
and operations.
Energy-Water Nexus (EWN): There is increasing urgency to address the energy-water nexus in an integrated way due tochanging precipitation and temperature patterns, accelerated drawdown of critical water supplies, population growth andregional migration trends, and the introduction of new technologies that could shift water and energy demands. Theenergy-water nexus crosscut is an integrated set of cross-program collaborations designed to accelerate the Nation’stransition to more resilient energy and coupled energy-water systems. The crosscut supports: (1) an advanced, integrated
data, modeling, and analysis platform to improve understanding and inform decision-making for a broad range of users andat multiple scales; (2) investments in targeted technology research opportunities within the system of water-energy flowsthat offer the greatest potential for positive impact; and (3) policy analysis and stakeholder engagement designed to buildfrom and strengthen the two preceding areas while motivating more rapid community involvement and response.
Cybersecurity: DOE is engaged in two categories of cyber-related activities: protecting the DOE enterprise from a range ofcyber threats that can adversely impact mission capabilities and improving cybersecurity in the electric power subsector andthe oil and natural gas subsector. The cybersecurity crosscut supports central coordination of the strategic and operational
aspects of cybersecurity and facilitates cooperative efforts such as the Joint Cybersecurity Coordination Center (JC3) for
incident response and the implementation of Department-wide Identity Credential and Access Management (ICAM).

Science13

FY 2017 Congressional Budget Justification

FY 2017 Crosscuts ($K)

Advanced Scientific Computing Research
Basic Energy Sciences
Biological and Environmental Research
Safeguards and Security
Total, Crosscutsa

Adv Mat

ECI

Subsurface

EWN

017,600 a0017,600154,000
26,00010,0000
190,000

041,3000041,3000024,300024,300Cyber
security00027,197 b
27,197

Total
154,000
84,90034,30027,197300,397

The $17,600K supports the Department’s Advanced Materials Crosscut. An additional $11,500K in BES for Quantum
Materials is also included in SC’s total investment, as described in the advanced materials crosscut narrative.
b
The $27,197K supports the Department’s Cybersecurity Crosscut. An additional $6,039K for CyberOne in the Safeguards
and Security program is also included in SC’s total investment to support cybersecurity. CyberOne is funded through theWorking Capital Fund (WCF).
Science
FY 2017 Congressional Budget Justification
14

Science
Funding by Congressional Control ($K)

Advanced Scientific Computing Research
Research
17-SC-20 Office of Science Exascale Computing Project (SC-ECP)
Total, Advanced Scientific Computing Research
Basic Energy Sciences
Research
Construction
13-SC-10 Linac Coherent Light Source-II, SLAC
Total, Basic Energy Sciences
Biological and Environmental Research
Fusion Energy Sciences
Research
Construction
14-SC-60 ITER
Total, Fusion Energy Sciences
High Energy Physics
Research
Construction
11-SC-40 Long Baseline Neutrino Facility/Deep Underground
Neutrino Facility, FNAL
11-SC-41 Muon to Electron Conversion Experiment, FNAL
Total, Construction
Total, High Energy Physics
Nuclear Physics
Operation and MaintenanceConstruction
14-SC-50 Facility for Rare Isotope Beams, Michigan State
University
06-SC-01 12 GeV CEBAF Upgrade, TJNAF
Total, Construction
Total, Nuclear Physics
Workforce Development for Teachers and Scientists

Science

FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request

FY 2017 vsFY 2016 Enacted

541,0000541,000

523,411
0523,411

621,0000
621,000

509,180
154,000
663,180-111,820+154,000+42,180

1,594,500

1,544,224

1,648,700

1,746,730+98,030

138,700
1,733,200
592,000

138,700
1,682,924
572,618

200,300
1,849,000
609,000

190,000
1,936,730
661,920-10,300+87,730+52,920

317,500

307,366

323,000

273,178-49,822150,000
467,500

150,000
457,366

115,000
438,000

125,000
398,178+10,000-39,822729,000

708,232

728,900

729,476+576

12,00025,00037,000766,000

12,00025,00037,000745,232

26,00040,10066,100795,000

45,021
43,50088,521
817,997+19,021+3,400+22,421+22,997

489,000

474,244509,600

535,658+26,058

90,00016,500106,500
595,500
19,50090,00016,500106,500
580,744
19,500100,000
7,500
107,500
617,100
19,500100,0000
100,000
635,658
20,9250-7,500-7,500+18,558+1,42515

FY 2017 Congressional Budget Justification

FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request

FY 2017 vsFY 2016 Enacted

Science Laboratories Infrastructure
Infrastructure Support
Payment in Lieu of Taxes
1,713
1,713
1,713
1,764
+51
Oak Ridge Landlord
5,777
5,777
6,177
6,182
+5
Facilities and Infrastructure
6,100
6,100
24,80032,603+7,803
Oak Ridge Nuclear Operations
0.
0
12,00026,000+14,000
Total, Infrastructure Support
13,59013,59044,69066,549+21,859
Construction
17-SC-71 Integrated Engineering Research Center, FNAL
0
0
0
2,500
+2,50017-SC-73 Core Facility Revitalization at BNL
0
0
0
1,800
+1,80015-SC-75 Infrastructure and Operational Improvements at
PPPL
25,00025,00000015-SC-76 Materials Design Laboratory at ANL
7,000
7,000
23,91019,590-4,32015-SC-77 Photon Science Laboratory Building at SLAC
10,00010,00025,00020,000-5,00015-SC-78 Integrative Genomics Building at LBNL
12,09012,09020,00019,561-439
12-SC-70 Science and User Support Building, SLAC
11,92011,9200
00
Total, Construction
66,01066,01068,91063,451-5,459Total, Science Laboratories Infrastructure
79,60079,600113,600
130,000+16,400
Safeguards and Security
93,00093,000103,000
103,000
0
Program Direction
183,700
183,700
185,000
204,481+19,481
University Grants (Mandatory)
000100,000+100,000
Small Business Innovation/Technology Transfer Research (SCportion)
0132,905000Subtotal, Science
5,071,000
5,071,000
5,350,200
5,672,069+321,869
Small Business Innovation/Technology Transfer Research (DOE
transfer)
065,0750
00
Rescission of prior year balances-3,262-3,262-3,2000+3,200Total, Science
5,067,738
5,132,813
5,347,000
5,672,069 a+325,069
Federal FTEs
940
902
905
930
+25
SBIR/STTR:
 FY 2015 Transferred: SBIR: $116,796,000 was reprogrammed within SC and $57,381,000 was transferred from other DOE programs; STTR: $16,109,000 was
reprogrammed within SC and $7,694,000 was transferred from other DOE programs.
 FY 2016 projected: SBIR: $125,763,000 and STTR: $18,865,000 (SC only).
 FY 2017 Request: SBIR: $140,541,000; STTR: $19,764,000 (SC Only).
a

In the FY 2017 Budget Request, most funding for the Working Capital Fund (WCF) is transferred to Program Direction to establish a consolidated source of funding forgoods and services provided by the WCF. CyberOne is still funded through program dollars. In FY 2016 and prior years, WCF costs were shared by SC research programs
and Program Direction.
Science
FY 2017 Congressional Budget Justification
16

Advanced Scientific Computing Research
Overview
The Advanced Scientific Computing Research (ASCR) program’s mission is to advance applied mathematics and computerscience; deliver the most advanced computational scientific applications in partnership with disciplinary science; advance
computing and networking capabilities; and develop future generations of computing hardware and software tools forscience, in partnership with the research community, including U.S. industry. The strategy to accomplish this has twothrusts: developing and maintaining world-class computing and network facilities for science; and advancing research inapplied mathematics, computer science and advanced networking.
During the past six decades, U.S. computing capabilities have been maintained through sustained research and thedevelopment and deployment of new computing systems with rapidly increasing performance on applications of major
significance to government, industry, and academia. The Department of Energy (DOE) and its predecessor organizations
have played a key role in that process–advancing national security, science, and industrial competitiveness. To maximize thebenefits of high performance computing (HPC) in the coming decades, DOE will sustain and enhance its scientific,
technological, and economic leadership position in HPC research, development, and deployment as part of a coordinatedFederal strategy guided by four principles:

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

On July 29, 2015, an executive order established the National Strategic Computing Initiative (NSCI) to ensure a coordinatedFederal strategy in HPC research, development, and deployment. DOE, along with the Department of Defense and the
National Science Foundation, have been selected to co-lead the NSCI. Specifically, the DOE Office of Science (SC) and the
DOE National Nuclear Security Administration (NNSA) are responsible for the execution of a joint program focused on
advanced simulation through a capable exascale computing program, with an emphasis on sustained performance on
science and national security mission applications and increased convergence between exascale and large-data analytic
computing.
DOE will meet its NSCI assignment through the Exascale Computing Initiative (ECI), which began in FY 2016. The ECI, which isa partnership between SC and NNSA, will accelerate the research and development (R&D) to overcome key exascalechallenges in parallelism, energy efficiency, and reliability, leading to deployment of exascale systems in the mid-2020s. The
acceleration or advancement is defined as a hundred-fold increase in sustained performance over today’s computing
capabilities, enabling applications to address next-generation science, engineering, and data problems. The plan for the ECI
has been reviewed by the interagency community and the Advanced Scientific Computing Advisory Committee (ASCAC).
In addition to underpinning DOE’s mission in science, capabilities developed in the ECI will also support DOE’s appliedenergy technology developments. ECI is critical to advancing energy technologies. The DOE’s Quadrennial Technology
Review (QTR), released in September 2015, identifies R&D opportunities across the six energy technology areas anddocuments a cross-cutting need for modeling, simulation, and analytics. ECI is a critical tool in support of advancing energy
technologies.
In FY 2017, the ASCR portion of the Office of Science component of the ECI is contained in the Office of Science ExascaleComputing Project (SC-ECP), which includes only the activities required for the delivery of exascale computers.

Science/Advanced Scientific Computing Research

17

FY 2017 Congressional Budget Justification

The scope of the SC-ECP has four focus areas:








Hardware Technology: The Hardware Technology focus area supports vendor-based R&D activities required to deploy
at least two exascale systems with diverse architectural features. Within this focus area, a node design effort targets
component technologies needed to build exascale nodes, including the required software, while a system design effort
performs the engineering and R&D activities required to build a full exascale computer and the required systems
software;
System Software Technology: The System Software Technology focus area spans low-level operational software toprogramming environments for high-level applications software development, including the software infrastructure to
support large data management and data science for the DOE at exascale;
Application Development: The Application Development focus area includes: extreme parallelism, reliability andresiliency, deep hierarchies of hardware processors and memory, scaling to larger systems, and data-intensive science;andExascale Systems: The Exascale Systems focus area supports advanced system engineering development by the vendors
needed to produce capable exascale systems. System procurement activities will be executed in coordination with each
DOE HPC facility’s existing system acquisition timelines. It also includes acquisition and support of prototypes andtestbeds for the application, software, and hardware testing activities.

The SC-ECP will be managed following the principles of DOE Order 413.3B, Program and Project Management for theAcquisition of Capital Assets, which has been used by the Office of Science for the planning, design, and construction of allof its major projects, including the Leadership Computing Facilities at Argonne and Oak Ridge National Laboratories (ORNL)
and NERSC at Lawrence Berkeley National Laboratory (LBNL). Computer acquisitions use a tailored version of Order 413.3B.
The first four years of SC-ECP will focus on research in software (new algorithms and methods to support application andsystem software development) and hardware (node and system design). During the last six years of the SC-ECP, activities will
focus on delivering application software, the system software stack, and hardware technologies that will be deployed in theexascale systems.
Overall project management for SC-ECP will be conducted via a Project Office that has been established at ORNL, which has
considerable expertise in developing computational science and engineering applications and in managing HPC facilities,
both for the Department and for other federal agencies. ORNL also has experience in managing distributed, large-scalescientific research projects, such as the Spallation Neutron Source project—a collaboration among six DOE national
laboratories with a TPC of $1.4 billion. The Project Office is now initiating coordination among partners and developing thebases for pending Critical Decisions for the SC-ECP.
Highlights of the FY 2017 Budget Request
The FY 2017 Budget Request for ASCR continues support for the basic and applied research activities that support the broad
scientific objectives of the Office of Science. The ASCR budget also implements the DOE responsibilities defined in the
Administration’s National Strategic Computing Initiative and supports the Department’s Agency Priority Goal on highperformance computing, by accelerating the delivery of a capable exascale computing system. A capable exascalecomputing system integrates hardware and software capability to deliver approximately 100 times the performance of
current 10 petaflop systems across a range of applications representing government needs, including data-intensive science.
In the FY 2017 Budget Request, most funding for the Working Capital Fund (WCF) is transferred to Science Program
Direction to establish a consolidated source of funding for goods and services provided by the WCF. CyberOne is still fundedthrough program dollars in the Office of Science Safeguards and Security program. In FY 2016 and prior years, WCF costs
were shared by SC research programs and Program Direction.
Mathematical, Computational, and Computer Sciences ResearchWith the initiation of the SC-ECP, research efforts that are on the critical path for the ECI have been shifted from the
Mathematical, Computational, and Computer Sciences Research subprogram to the Exascale Computing subprogram.
As noted in the NSCI, the era of silicon-based microchips advancing in accordance with Moore’s Law (feature sizes reducing
by a factor of two approximately every two years) is nearing an end due to limits imposed by fundamental physics. ASCR will
invest $12 million across research and facilities to understand the impacts these technologies may have on our applications.
Beginning in FY 2017, the computer science and computational partnerships activities will invest $7 million to initiate new
Science/Advanced Scientific Computing Research18

FY 2017 Congressional Budget Justification

research efforts on technologies “Beyond Moore’s Law,” responding to the NSCI and recommendations made by the
Secretary of Energy Advisory Board, to understand the challenges that these dramatically different technologies pose to
DOE mission applications and to identify the hardware, software and algorithms that will need to be developed for DOE
mission applications to harness these developing technologies.
The NSCI also drew attention to the need to increase the capacity and capability of an enduring national HPC ecosystem by
employing a holistic approach that addresses relevant factors such as networking technology, workflow, downward scaling,foundational algorithms and software, accessibility, and workforce development. Activities in applied mathematics,
computer science, and next generation networking for science that are not included in the ECI provide the foundation forincreasing the capability of the national HPC ecosystem. In FY 2017, these activities will continue to develop the methods,
software, and tools to ensure DOE applications can fully exploit the most advanced computing systems available and use
HPC systems for data-intensive and computational science at the exascale and beyond.
Software, tools, and methods developed by these core research efforts are used by the Scientific Discovery throughAdvanced Computing (SciDAC) computational partnerships. This allows the other scientific programs in the Office of Science
to more effectively use the current and immediate next generation high performance computing facilities. In FY 2017, theSciDAC activity will be re-competed and expanded. The focus of the new SciDAC portfolio will be on developing the mission
critical applications of the other Office of Science programs. These efforts will be informed by the research results emerging
from the exascale computing initiative and will, whenever possible, incorporate the software, methods, and tools developedby that initiative. The increase in Computational Partnerships also initiates: a partnership with BES and BER to develop new
tools and technologies for the BRAIN initiative, a partnership with NNSA on seismic simulation, and partnerships supporting
the Administration’s Clean Energy Initiatives.
High Performance Computing and Network Facilities
With the initiation of the SC-ECP, research efforts that are on the critical path for the ECI have been shifted from the High
Performance Computing and Network Facilities subprogram to the Exascale Computing Subprogram.
In FY 2017, the Leadership Computing Facilities (LCFs) will continue preparations for planned 75-200 petaflops (pf) upgradesat each site to be completed in the 2018-2019 timeframe. The Argonne LCF (ALCF) will also deploy an interim system in
FY 2017 to transition ALCF users to the new many-core architecture being introduced by computer vendors in that timeframe. Because these upgrades represent technological advances in both hardware and software, funds are included in
Research and Evaluation Prototypes (REP) to continue supporting non-recurring engineering efforts for the ASCR facilities
that incorporate custom features to meet the Department’s mission requirements.
The National Energy Research Scientific Computing Center (NERSC) will begin operation of the NERSC-8 supercomputer,named Cori, which will expand the capacity of the facility to approximately 30pf to address the continued increase indemand from Office of Science researchers. To keep pace with the growing demand for capacity computing to meet mission
needs, the Department has begun planning for deployment of NERSC-9 in 2020, which will have three to five times thecapacity of NERSC-8.
Given the significant external competition for trained workforce across the ASCR portfolio and the need to develop theworkforce to support the objectives of the NSCI, the REP activity will continue to support the Computational Sciences
Graduate Fellowship at $10,000,000 in FY 2017. Experienced computational scientists who assist a wide range of users intaking effective advantage of the advanced computing resources are critical assets at both the LCFs and NERSC. To address
this DOE mission need, support also continues for a post-doctoral training program for high end computational science andengineering. In addition, the three ASCR HPC user facilities will continue coordinating efforts to quantify scientist’s
computational requirements and to prepare their users for future architectures.
To support the new research effort within the computer science and computational partnerships activities, REP will support
a small-scale testbed for technologies that are “Beyond Moore’s Law.” Given the increasing threat from cyber-attacks onfederal resources and the expertise within the ASCR research community, the research and evaluation prototypes activity
will also initiate a modest research effort in cybersecurity in FY 2017 with an emphasis on the unique challenges of the
Department’s HPC facilities, which are not currently addressed by ongoing cyber-security R&D.
In FY 2017, the Energy Science Network (ESnet) will provide increases in bandwidth to address the growing datarequirements of SC facilities, such as the Department’s light sources, neutron sources, and particle accelerators at CERN.
Science/Advanced Scientific Computing Research19

FY 2017 Congressional Budget Justification

This includes upgrading high-traffic links to 400 gigabits per second (gbps). ESnet will also continue to extend scienceengagement efforts to solve the end-to-end network issues between DOE facilities and universities.
Exascale Computing
With the initiation of the SC-ECP, activities that are on the critical path for the ECI have been shifted to this new
subprogram.
The primary goal of the ECI in SC is to provide the forefront computing resources needed to meet and advance theDepartment’s science missions into the next decade. This will require major advances in technology, the most important of
which are increased parallelism, energy efficiency, and reliability, which are needed for scalable use of these computing
systems. Because DOE partners with HPC vendors to accelerate the development of commodity parts, these research
investments will impact computing at all scales, ranging from the largest scientific computers and data centers to
department-scale computing to home computers and laptops. The FY 2017 Request includes $154,000,000 for the SC-ECP.
The investment strategy for the ECI has five components:






Conduct research, development, and design efforts in hardware, software, and mathematical technologies leading
toward capable exascale systems.
Prepare today’s scientific and data-intensive computing applications to exploit fully the capabilities of exascale systems
by coordinating their development with the emerging technologies from the research, development, and design efforts.
Partner with HPC vendors to accelerate the pace of implementation of technologies required for capable exascalecomputing.
Acquire and operate increasingly capable computing systems, starting with hundred-plus petaflop machines thatincorporate emerging technologies from research investments.
Collaborate with other Federal agencies to ensure broad applicability and use of capable exascale computing across the
US Government.

Within the FY 2017 Budget Request, ASCR supports the Department’s ECI goal to significantly accelerate the development ofcapable exascale computing systems to meet national needs through the SC-ECP. Exascale computing systems, capable of atleast one billion billion (1 x 1018) calculations per second, are needed to advance science objectives in the physical sciences,such as materials and chemical sciences, high-energy and nuclear physics, climate and energy modeling, genomics andsystems biology, as well as to support national security objectives and applied-energy research advances in DOE. Exascale
systems’ computational power is also needed for increasing data-analytic and data-intense applications across the set of
DOE science programs and other Federal organizations that rely on large-scale simulations, e.g., the National Oceanographic
and Atmospheric Administration and the National Institutes of Health. The importance of exascale computing to the DOE
science programs is documented in previous and ongoing individual requirements reviews for each SC program office.
Exascale computing is a central component of long-term collaboration between the SC’s Advanced Scientific Computing
Research (ASCR) program and the National Nuclear Security Administration’s (NNSA) Advanced Simulation and Computing
Campaign (ASC) program.
FY 2017 Crosscuts ($K)
ECI
154,000

Advanced Scientific Computing Research

Science/Advanced Scientific Computing Research20

FY 2017 Congressional Budget Justification

Advanced Scientific Computing Research
Funding ($K)

Mathematical, Computational, and Computer Sciences Research
Applied Mathematics
Computer Science
Computational Partnerships
Next Generation Networking for Science
SBIR/STTR
Total, Mathematical, Computational, and Computer Sciences
Research
High Performance Computing and Network Facilities
High Performance Production Computing
Leadership Computing Facilities
Research and Evaluation Prototypes
High Performance Network Facilities and Testbeds
SBIR/STTR
Total, High Performance Computing and Network Facilities
Exascale Computing
17-SC-20 Office of Science Exascale Computing Project (SC-ECP)
Total, Advanced Scientific Computing Research
SBIR/STTR funding: FY 2015 Enacted: SBIR $15,457,000 and STTR $2,132,000
 FY 2016 Request: SBIR $18,450,000 and STTR $2,767,000
 FY 2017 Request: SBIR $21,062,000 and STTR $2,962,000a

FY 2015 Enacted

FY 2015 Current a

FY 2016 Enacted

FY 2017 Request b

FY 2017 vsFY 2016

49,15555,767
46,91819,0005,830

49,45455,25943,996
19,011049,22956,84847,91819,0006,181

39,22939,29645,59619,000
7,733-10,000-17,552-2,3220+1,552

176,670

167,720

179,176

150,854-28,32275,605
184,637
57,32935,00011,759364,330

75,905
190,698
53,29835,7900355,691

86,000181,317
121,471
38,00015,036441,824

92,145
187,000
17,89045,000
16,291
358,326+6,145+5,683-103,581+7,000+1,255-83,49800

0

154,000+154,000

541,000

523,411

621,000

663,180+42,180

Reflects the transfer of Small Business Innovation/Technology Transfer Research (SBIR/STTR) funds within the Office of Science.
A transfer of $1,364,000 to Science Program Direction is to consolidate all Working Capital Funds in one program.
Science/Advanced Scientific Computing Research
FY 2017 Congressional Budget Justification
21bAdvanced Scientific Computing Research
Explanation of Major Changes ($K)
FY 2017 vsFY 2016
Mathematical, Computational, and Computer Sciences Research: With the initiation of the SC-ECP, $46,106,000 in research efforts that are on thecritical path for the exascale computing initiative have been shifted to the Exascale Computing Subprogram. The computer science andcomputational partnerships activities will initiate efforts to investigate the impact of technologies “Beyond Moore’s Law;” the SciDAC portfolio will
be recompeted and expanded to initiate a partnership with BES and BER to develop new tools and technologies for the BRAIN initiative, apartnership with NNSA on seismic simulation, and partnerships supporting the Administration’s Clean Energy Initiatives.

-28,322High Performance Computing and Network Facilities: With the initiation of the SC-ECP, $107,894,000 of Research and Evaluation Prototypes efforts
that are on the critical path for the exascale computing initiative have been shifted to the Exascale Computing Subprogram. Increased facilities
funding supports: operations, including increased power costs at the facilities; initial site preparation activities for NERSC-9; LCF completion of site
preparations for planned upgrades in FY 2018–19—including support for OLCF to exercise the option to take delivery of a 200pf system, which is 50pf
larger than planned for in FY 2016; ALCF deployment of an interim system to help ALCF users transition to the new many-core architecture in theirplanned upgrade; Research and Evaluation Prototypes, which will support the Computational Sciences Graduate Fellowship at $10,000,000 andinitiate testbeds for exploring computer technologies “Beyond Moore’s Law” and a modest new effort in cybersecurity for HPC systems; and ESnet
efforts to provide increases in bandwidth for the growing data requirements of SC facilities, such as upgrading high-traffic links to 400gbps.

-83,498

Exascale Computing: With the initiation of the SC-ECP, research efforts that are on the critical path for the exascale computing initiative have beenshifted to the Exascale Computing subprogram.

+154,000

Total, Advanced Scientific Computing Research+42,180

Science/Advanced Scientific Computing Research

22

FY 2017 Congressional Budget Justification

Basic and Applied R&D Coordination
Coordination across disciplines and programs is a cornerstone of the ASCR program. Partnerships within the Office of
Science are mature and continue to advance the use of high performance computing and scientific networks for science.
Growing areas of collaboration will be in the area of data-intensive science and readying applications for exascale. ASCR
continues to have a strong partnership with NNSA for achieving the Department’s goals for exascale computing. In April
2011, ASCR and NNSA strengthened this partnership by signing a memorandum of understanding for collaboration andcoordination of exascale research within the Department. Areas of mutual interest between ASCR and the DOE technology
programs, particularly the Office of Electricity Delivery and Energy Reliability (OE) and the Office of Nuclear Energy (NE), areapplied mathematics for the optimization of complex systems, control theory, and risk assessment. Through the National
Information Technology Research and Development Subcommittee of the National Science and Technology Council’s (NSTC)
Committee on Technology, the interagency networking and information technology R&D coordination effort, ASCR also
coordinates with programs across the Federal Government. In FY 2016, cross-agency interactions and collaborations willcontinue, fostered by the NSCI, in coordination with OSTP.
Program Accomplishments
Advances in Materials Science to Reduce Friction in Energy Systems. Advances in materials science and nanotechnology
often underpin technological improvements in energy delivery. For example, it is estimated that 1/3 of the energy
consumed in passenger cars is to overcome mechanical friction. a In a collaboration at Argonne, involving materials scientists
at the Argonne Center for Nanoscale Materials, computational scientists, and an applied-energy program laboratory fellow,
the Mira supercomputer was used to identify and improve a new mechanism for reducing friction, which is feeding into thedevelopment of a hybrid material that exhibits superlubricity at the macroscale for the first time. Computer simulations
revealed that when the lubricant materials—graphene and diamond-like carbon (DLC)—slid against each other, thegraphene began rolling up to form hollow cylindrical “scrolls” that helped to practically eliminate friction. These so-callednanoscrolls represent a completely new mechanism for superlubricity, a state in which friction essentially disappears.
Superlubricity is a highly desirable property in a host of mechanical systems. Considering that nearly one-third of every tankof fuel is spent overcoming friction in automobiles, a material that can achieve superlubricity would provide a significant
economic advantage and would benefit industry and consumers alike. The research team is in the process of seeking apatent for the hybrid material, which could potentially be used for applications in dry environments, such as computer hard
drives, wind turbine gears, and mechanical rotating seals for microelectromechanical and nanoelectromechanical systems.
The team’s groundbreaking nanoscroll discovery would not have been possible without a supercomputer like Mira.
Replicating the experimental setup required simulating up to 1.2 million atoms for dry environments and up to 10 million
atoms for humid environments. This work was published in Science Magazine in June 2015.
Harnessing Large Scale Turbulence to Improve Clean Coal Combustion. Fundamental understanding in chemistry andturbulence often holds the keys for improving the efficiency of large-scale combustion devices, such as those used in coalfired power plants. Researchers at the University of Utah and its NNSA–funded Carbon Capture Multi-Disciplinary
Simulation Center (CCMSC) are using the Oak Ridge LCF (OLCF) to improve modeling capabilities to enable petascale
simulations to guide the design of next-generation oxy-coal boilers for clean electric energy. The scale of these boilers (up to
300 feet tall), their cost (hundreds of millions of dollars), and their ability to provide electricity for up to a million people
underscore the importance of optimizing the design. The computational models developed by CCMSC use large-eddy
simulation, derived from long-term investments by ASCR and Basic Energy Sciences (BES) to model turbulence in the boilers
and to include ray-tracing approaches to model thermal radiation, which is the dominant mode of heat transfer. In order toshow that these models are capable of being used to model a complete boiler, the team used the OLCF to develop,
implement, and test Reverse Monte Carlo Ray Tracing (RMCRT), a unique technique for modeling radiative heat transfer inclean coal boilers, at large scale on both CPUs and GPUs. The OLCF GPUs reduced the team’s time to solution by a factor of
two and enabled simulations previously too computationally expensive to perform. These achievements lay the groundworkfor full-architectural utilization—CPU and GPU—of OLCF to perform multi-physics simulation for oxy-coal boiler modeling,including combustion, fluid flow and radiative heating, necessary to achieve CCMSC’s goal of simulating during the next five
years clean coal boiler of between a 350MWe and 1000MWe. This technology was recently acquired by GE Power Systems.

ahttp://www.stle.org/resources/lubelearn/friction/

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FY 2017 Congressional Budget Justification

Basic Science of Converting CO 2 Into Fuel and Useful Chemicals. BES-funded basic research in the functional role ofpyridinium during aqueous electrochemical reduction of CO 2 on platinum, coupled with simulations run on NERSC’s Hopper
supercomputer explain why submerging a platinum semiconductor into an acidic solution of pyridine and CO 2 and charging
it with just 600 millivolts of electricity, the CO 2 can be transformed into formic acid, formaldehyde and methanol.
Simulations reveal that, unexpectedly, the CO 2 conversion process is initiated by a reaction with hydrogen atoms bound to aplatinum surface. Other mechanisms had been proposed before these simulations settled the issue. Although platinum
catalysts would be too expensive to use at scale, this research opens the door to systematic exploration of catalysts that are
more affordable. The findings are expected to be useful in the design and development of new technologies that cangenerate fuels that are consumed without producing CO 2 , a long held goal in reducing the carbon footprint of chemical
manufacturing and energy production.
Advancing Next Generation Nuclear Energy. Although nuclear fission of uranium has been used in commercial power plants
for decades across the U.S. and generates about 20 percent of the nation’s electricity in a carbon-free manner, significant
fundamental intricacies of the process remain unknown. Basic research in nuclear physics, coupled with ASCR simulation
capabilities are allowing scientists to delve into these questions in the study of the model system of fission of fermium-264
as it splits into two symmetric nuclei of tin-132. They combined sophisticated calculations and techniques that consideredthe variations in the shape of a single fermium-264 atom as it breaks apart and found that the optimal fission path isstrongly impacted by nucleonic pairing, also known as superfluidity. The coupling between shape and pairing can lead to adramatic departure from the standard picture of fission. For the first time, researchers are able to study spontaneous fission
microscopically with a computational model that considers factors which were previously estimated. When extended to themore complex case of uranium fission, this research could open doors for improving the performance and safety of nuclear
reactors, as well as for national security applications. The research team from the Michigan State University, funded by
NNSA and using the OLCF supercomputer, is working to develop a predictive framework to describe nuclear fission.
ESnet Support of High-Energy Physics Experiments and Secretarial Recognition. In 2015, ESnet transatlantic circuit capacity
was expanded to 340 gigabits/second, to support resumption of experiments at the Large-Hadron Collider at the CERN
(Organisation Européenne pour la Recherche Nucléaire) in Geneva, Switzerland. The capacity expansion was designed andimplemented on time to support the start of LHC Run2, which began in June 2015. ESnet staff received a Secretarial HonorAward—DOE's highest non-monetary recognition—for developing the On-demand Secure Circuits and Reservation System(OSCARS), a widely-used software application that creates dedicated bandwidth 'highways' for scientists to transfer massive,
time-critical data sets over long distances.
Delivering on Exascale technologies. As part of the ASCR Fast Forward computer-science research activity, NVIDIA developed
a signaling technology called GRS (ground-referenced signaling) that ultimately led to the development of the NV Link
technology, which is a key technology in their Pascal and Volta generation GPUs. GRS is a high-speed (20 gigabits/second)
low-energy (0.5-picojoule/bit) signaling technology. During the development of GRS, NVIDIA sketched a number ofapplication scenarios including using the technology to provide a high-bandwidth channel between the CPU and GPU—andhence enabling full-bandwidth GPU access to CPU memory via NV Link. NVLink 1.0 will be available on the Pascal GP100
GPU and on the IBM Power 8+ CPU (and several other yet unannounced CPUs). It provides high-bandwidth, low-latency
communication between the CPU and the GPU in a heterogeneous system, which will be critical in exascale systems. This
link enables the GPU to use the full memory bandwidth of the CPU memory, which will greatly simplify the programmabilityof scientific and engineering algorithms on heterogeneous HPCs.

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FY 2017 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
use the current and future generations of DOE’s computer and networking capabilities. Computational science isincreasingly central to progress at the frontiers of science and to our most challenging engineering problems. Accordingly,
the subprogram delivers:







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

The research program will develop methods, software, and tools to use HPC systems for data-intensive and computational
science at the exascale and beyond. This requires a focus on increased parallelism, energy efficiency, and reliability.
Deriving scientific insights and knowledge from vast amounts of data flowing from Office of Science user facilities will
require a focused research effort to develop the necessary theories, software tools, and technologies to manage the full
data lifecycle from generation or collection through integration, transformation, analysis, and visualization, to capturing thehistoric record of the data and archiving, and sharing them.
With the initiation of the SC-ECP, research efforts that are on the critical path for the exascale computing initiative havebeen shifted to the Exascale Computing Subprogram.
Applied Mathematics
The Applied Mathematics activity supports the R&D of applied mathematical models, methods, and algorithms forunderstanding complex natural and engineered systems related to DOE’s mission. These mathematical models, methods,
and algorithms are the fundamental building blocks for describing physical and energy-related biological systems
computationally. This activity’s research underpins all of DOE’s modeling and simulation efforts. Significant innovation inapplied mathematics is needed to realize the potential of next generation HPC systems. High-fidelity modeling andsimulation require a number of new algorithmic techniques and strategies supported by this activity, including advanced
solvers for large linear and nonlinear systems of equations, time integration schemes, multi-physics coupling, methods thatuse asynchrony or randomness, adaptively evolving mesh techniques, algorithmic resilience, and uncertainty quantification.
Computer Science
The Computer Science activity supports research on extreme-scale computing and extreme-scale data. Information fromcomputer vendors indicates that, because of power constraints, data movement, rather than arithmetic operations, will be aconstraining factor within future systems. Memory per core is projected to decline sharply, due to power requirements andthe cost of memory relative to CPUs and the performance growth of storage systems will continue to lag behind thecomputational capability of the systems. Multi-level storage architectures that span multiple types of memory hardware are
anticipated and will require research within this activity to develop new approaches for run-time data management andanalysis.
Significant innovation in computer science is needed to realize the computational and data-analytic potential of nextgeneration HPC systems and other scientific user facilities in a timeframe consistent with their anticipated availability. There
will be continued emphasis on data-intensive science challenges with particular attention to the intersection with exascale
Science/Advanced Scientific Computing Research
FY 2017 Congressional Budget Justification
25

computing challenges and the unique needs of DOE scientific user facilities including data management. There also will besignificant efforts in software tools, user interfaces, the HPC software stack that can dynamically deal with time-varying
energy efficiency and reliability requirements–including operating systems, file systems, compilers, and performance tools–
and visualization and analytics tools that scale to extremely massive datasets. These efforts are essential to ensure DOE
mission applications are able to use commercially available HPC hardware.
Computational Partnerships
The Computational Partnerships activity supports the SciDAC program, which accelerates progress in scientific computing
through partnerships among applied mathematicians, computer scientists, and scientists in other disciplines. These
partnerships enable scientists to conduct complex scientific and engineering computations on leadership-class and high-end
computing systems at a level of fidelity needed to simulate real-world conditions. Current SciDAC applications include
climate science, fusion research, high energy physics, nuclear physics, astrophysics, materials science, chemistry, andaccelerator physics.
SciDAC focuses on the high-end of high-performance computational science and engineering and addresses two challenges:
to broaden the community and thus the impact of high performance computing, particularly to address the Department’s
missions, and to ensure that progress at the frontiers of science is enhanced by advances in computational technology, mostpressingly, the emergence of the hybrid, multi-core and many-core architectures.
Next Generation Networking for Science
ASCR has played a leading role in the development of the high-bandwidth networks connecting researchers to facilities,
data, and to one another. ASCR-supported researchers helped establish critical protocols on which the internet is based.
Next Generation Networking for Science research provides underpinning technologies used in international collaborations
such as the Large Hadron Collider, including virtual meeting and other commercial collaboration tools. These research
efforts build upon results from Computer Science and Applied Mathematics to develop integrated software tools andadvanced network services to use new capabilities in ESnet to advance DOE missions.

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FY 2017 Congressional Budget Justification

Advanced Scientific Computing Research
Mathematical, Computational, and Computer Sciences Research
Activities and Explanation of Changes
FY 2016 Enacted
Mathematical, Computational, and Computer
Sciences Research $179,176,000
Applied Mathematics $49,229,000
Applied Mathematics continues efforts to develop new
algorithmic techniques and strategies that extractscientific advances and engineering insights frommassive data for DOE missions. Applied Mathematics
addresses many of the challenges of exascale
including: advanced solvers, uncertainty
quantification, algorithmic resilience, and strategies
for reducing global communications.

$150,854,000

Computer Science $56,848,000
Computer Science continues efforts to develop
software, new programming models and metrics forevaluating system status. This activity is primarily
focused on addressing the challenges of exascale anddata-intensive science. Emphasis remains on efforts topromote ease of use; increase parallelism, energy
efficiency, and reliability, and ensures that research
efforts are tightly coupled to application requirements
and developments in industry, particularly those
identified by the co-design centers and developed inpartnerships supported by the Research and
Evaluation Prototypes activity.

$39,296,000
Computer Science will continue efforts to develop
software, new programming models, new operating
systems and efforts to promote ease of use.
As Moore’s law reaches its final phase, impacts will beseen in several technology areas, including HPC andknowledge extraction from large datasets resulting
from next-generation scientific experiments. Given the
Department’s significant investment in these areas, it
is essential that our research community understands
and is ready to mitigate these impacts to our mission
applications.

Science/Advanced Scientific Computing Research

Explanation of Changes
FY 2017 vs FY 2016

FY 2017 Request-$28,322,000$39,229,000-$10,000,000
Applied Mathematics will continue efforts to develop$10,000,000 of Applied Mathematics efforts havenew algorithmic techniques and strategies that extract been moved to the Exascale Computing subprogram.
scientific advances and engineering insights frommassive data for DOE missions including: uncertainty
quantification, algorithmic resilience, and strategies
for reducing global communications.

27-$17,552,000$20,106,000 of Computer Science efforts have been
moved to the Exascale Computing subprogram.
The computer science activity will initiate new efforts
to begin to investigate the impact of technologies“Beyond Moore’s Law.”

FY 2017 Congressional Budget Justification

FY 2016 Enacted

FY 2017 Request

Computational Partnerships $47,918,000
The SciDAC Institutes are recompeted at the end of
FY 2016. These Institutes continue to provide thebridge between the core research program and the
DOE science applications. The development of SciDAC
tools and resources by the Institutes is primarily foruse on computational systems, such as those existingand planned for at the Oak Ridge and Argonne
Leadership Computing Facilities, the National Energy
Research Scientific Computing Center, and similar
world-class computing facilities over the following five
years.

$45,596,000
The SciDAC institutes continue to play a key role inassisting DOE mission critical applications to effectively
use the ASCR production and leadership computing
facilities. The science application partnerships, withthe other Office of Science programs, will berecompeted and expanded in FY 2017 to address thechallenges in moving toward larger data sets and more
complex computing systems on the path to exascale.

In addition, the exascale Co-design centers will
undergo a comprehensive external peer review in
FY 2015 to document progress and impact, and to
inform the recompetition of these efforts in FY 2016.

FY 2017 marks the beginning of the fourth iteration of
the SciDAC portfolio. This highly successful program
has never been more important to bridge the gap
between core research efforts in computer scienceand applied math and the applications supported by
the other Office of Science programs. The focus on
SciDAC over the next four years will be on readying
Office of Science applications to harness the potentialof the upgraded ASCR leadership and production
computing facilities with priority emphasis on efforts
that are needed to advance the science goals in
partnerships with the Offices of Basic Energy Sciences(BES), Biological and Environmental Research (BER),
High Energy Physics, Nuclear Physics, and Fusion
Energy Sciences (FES). ASCR will continue to work with
the DOE Applied Energy programs and other Federal
agencies, in support of the whole-of-government
objective of the NSCI.

Explanation of Changes
FY 2017 vs FY 2016-$2,322,000$16,000,000 of co-design efforts have been moved to
the Exascale Computing subprogram.
Funding supports recompetition and expansion of theSciDAC partnerships including new efforts with BES,
BER and FES supporting the Administration’s Clean
Energy Initiatives.
Funding also initiates a partnership with BES and BER
to develop new tools and technologies for the BRAIN
initiative, a partnership with NNSA on seismic
simulation, and partnerships within the Office of
Science to begin to explore technologies “Beyond
Moore’s Law.”

As part of ASCR efforts to understand the impacts oftechnologies “Beyond Moore’s Law,” this activity will
initiate partnerships within the Office of Science forapplication specific efforts to begin to explore thesetechnologies.

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FY 2017 Congressional Budget Justification

FY 2016 Enacted

Explanation of Changes
FY 2017 vs FY 2016

FY 2017 Request

Next Generation Networking for Science $19,000,000
The Next Generation Networking for Science activity
continues to work closely with SC user facilities andapplications, to develop the necessary tools—
networking software, middleware and hardware—to
address the challenges of moving, sharing andvalidating massive quantities of data via next
generation optical networking technologies. This focus
allows DOE scientists to productively collaborate
regardless of the geographical distance between
scientists and user facilities or the size of the data.

$19,000,000$0The Next Generation Networking for Science activity
No change
will continue to work closely with SC user facilities andapplications, to develop the necessary tools—
networking software, middleware and hardware—to
address the challenges of moving, sharing andvalidating massive quantities of data via next
generation optical networking technologies.

SBIR/STTR $6,181,000
In FY 2016, SBIR/STTR funding is set at 3.45% of noncapital funding.

$7,733,000
In FY 2017, SBIR/STTR funding is set at 3.65% of noncapital funding.

Science/Advanced Scientific Computing Research

29+$1,552,000

FY 2017 Congressional Budget Justification

30

Advanced Scientific Computing ResearchHigh Performance Computing and Network Facilities
Description
The High Performance Computing and Network Facilities subprogram delivers forefront computational and networking
capabilities. These include high performance production computing at the National Energy Research Scientific Computing
Center (NERSC) at LBNL and Leadership Computing Facilities (LCFs) at ORNL and ANL. These computers, and the other Officeof Science research facilities, generate many petabytes of data each year. Moving data to where it is needed requires
advanced scientific networks and related technologies provided through High Performance Network Facilities and Testbeds,
which includes the Energy Science Network (ESnet). Finally, the operation of the facilities also includes investments toensure the facilities remain state-of-the-art and can accept future systems such as electrical and mechanical systemenhancements.
The Research and Evaluation Prototypes activity addresses the challenges of next generation computing systems. By actively
partnering with the research community, including industry, on the development of technologies that enables nextgeneration machines, ASCR ensures that commercially available architectures serve the needs of the scientific community.
The Research and Evaluation Prototypes activity also prepares researchers to effectively use the next generation of scientificcomputers and seeks to reduce risk for future major procurements.
Allocation of computer time at ASCR facilities follows the peer-reviewed, public-access model used by other SC scientificuser facilities. To help address the workforce issues at the ASCR facilities, each facility established a postdoctoral training
program in FY 2015 for high-end computational science and engineering. These programs teach PhD scientists with limited
experience in HPC the skills to be computational scientists adept at using high performance production and leadershipsystems.
High Performance Production ComputingThis activity supports NERSC, which delivers high-end production computing services for the SC research community.
Approximately 6,000 computational scientists in about 800 projects use NERSC annually to perform scientific researchacross a wide range of disciplines including astrophysics, chemistry, climate modeling, materials, high energy and nuclear
physics, fusion, and biology. NERSC users come from nearly every state in the U.S., with about 65% based in universities,
25% in DOE laboratories, and 10% in other government laboratories and industry. NERSC’s large and diverse user baserequires an agile support staff to aid users entering the high performance computing arena for the first time, as well as
those preparing codes to run on the largest machines available at NERSC and other Office of Science computing facilities. In
FY 2015, NERSC moved into the new Computational Research and Theory building located on the Lawrence Berkeley
National Laboratory campus.
NERSC is a vital resource for the Office of Science research community and is consistently oversubscribed, with requests
exceeding capacity by a factor of 3–10. This gap between demand and capacity exists despite upgrades to the primary
computing systems approximately every three years. NERSC regularly gathers requirements from Office of Science domain
programs through a long-established, robust process and uses these requirements to inform upgrade plans. These
requirements activities are also vital to planning for SciDAC and other ASCR efforts to prioritize research directions andinform the community of new computing trends, especially as the computing industry moves toward exascale computing.
Leadership Computing Facilities
The LCFs enable open scientific applications, including industry applications, to harness the potential of leadershipcomputing to advance science and engineering. The success of this effort is built on the gains made in Research and
Evaluation Prototypes and ASCR research efforts. Another LCF strength is the staff, which operate and maintain the forefront
computing resources and provide support to Innovative and Novel Computational Impact on Theory and Experiment(INCITE) projects, ASCR Leadership Computing Challenge (ALCC) projects, scaling tests, early science applications, and tooland library developers. Support staff experience is critical to the success of industry partnerships to address the challengesof next-generation computing.

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FY 2017 Congressional Budget Justification

The Oak Ridge Leadership Computing Facility’s (OLCF) 27 petaflop (pf) system is one of the most powerful computers in theworld for scientific research, and is ranked number two on the June 2015 Top 500 list. a Through allocations at the OLCF,
many applications, including the water cycle and cryosphere systems in advanced climate simulations, developing models of
astrophysical explosions, direct-numerical simulation of turbulent combustion flexible-fuel gas turbines, dynamical
simulations of magnetic fields in high-energy-density plasmas, first-principles based statistical physics of alloys andfunctional materials, simulations of high-temperature superconductors, molecular design of next-generation nanostructured
polymer electrolytes, simulation of fundamental energy conversion processes in cells, simulations of neutron transport in
fast-fission reactor cores, and earthquake simulations, are running at the multi-petaflop scale. 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.
The Argonne Leadership Computing Facility (ALCF) operates a 10-pf IBM Blue Gene Q (Mira), developed through a joint
research project with support from the NNSA, industry, and ASCR’s Research and Evaluation Prototypes activity. This HPC
system achieves high performance with relatively lower electrical power consumption than other current petascalecomputers. The ALCF will also begin operations of an 8.5 pf Intel-based machine to prepare their users for the ALCF-3
upgrade in 2019.
The ALCF and OLCF systems are architecturally distinct, consistent with DOE’s strategy to foster a diversity of capabilities
that provides the Nation’s HPC user community the most effective resources. ALCF supports many applications, including
molecular dynamics and materials, for which it is better suited than OLCF or NERSC. Through INCITE, ALCF also transfers its
expertise to industry, for example, helping scientists and engineers to understand the fundamental physics of turbulent
mixing to transform product design and to achieve improved performance, lifespan and efficiency.
The demand for 2015 INCITE allocations at the LCFs outpaced the available resources by a factor of three.
Research and Evaluation Prototypes
Research and Evaluation Prototypes (REP) has a long history of partnering with U.S. vendors to develop future computing
technologies and testbeds that push the state-of-the-art and allowed DOE researchers to better understand the challenges
and capabilities of emerging technologies. This activity supports testbeds for next-generation systems and for technologies“Beyond Moore’s Law.” This activity also supports some near-term research efforts needed by the ASCR facilities andfocused on their unique needs—such as cybersecurity efforts focused on the unique challenges of open HPC systems.
In addition, this activity partners with the NNSA on the Computational Sciences Graduate Fellowship (CSGF).
With the initiation of the SC-ECP, research and evaluation prototype efforts that are on the critical path for the exascalecomputing initiative and activities, such as the vendor partnerships on critical technologies, nodes and system integration,
have been shifted to the Exascale Computing Subprogram.
High Performance Network Facilities and Testbeds
The Energy Sciences Network (ESnet) provides the national and international network and networking infrastructure
connecting DOE science facilities, experiments, and SC laboratories with other institutions connected to peer academic orcommercial networks. The costs for ESnet are dominated by operations, including maintaining the fiber optic backbone andrefreshing switches and routers on the schedule needed to ensure the 99. 999% reliability required for large-scale scientific
data transmission. Additional funds are used to support the growth in science data traffic and for testing and evaluation of
400-gbps technologies and software-defined networking services that will be required to keep pace with the expected data
volume.

a

http://www.top500.org/lists/2014/11/

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FY 2017 Congressional Budget Justification

Advanced Scientific Computing ResearchHigh Performance Computing and Network Facilities
Activities and Explanation of Changes
FY 2016 Enacted
High Performance Computing and Network Facilities$441,824,000
High Performance Production Computing$86,000,000
Supports installation, acceptance and operation of the
NERSC high-end capability systems (NERSC-7 andNERSC-8) including increased power costs, lease
payments, and user support and continuation of the
post-doctoral training program for high-end
computational science and engineering.

Explanation of Changes
FY 2017 vs FY 2016

FY 2017 Request$358,326,000-$83,498,000$92,145,000+$6,145,000

In January 2017, NERSC will begin production
operations of the NERSC-8 system. Named “Cori” afterNobel Laureate Gerty Cori, this system is anapproximately 30-pf Cray XC supercomputer with Intel
Xeon Phi processors. The full production system will
provide roughly four times the CY 2016 NERSC
capacity.

Increase supports production operations of NERSC-8,
including increased power costs, lease payments, anduser support, and the start of site preparations for
NERSC-9 .

Demand for production computing for the Office of
Science continues to grow along with system capability
and the rapid increase in data from experiments. To
help NERSC keep pace, the Department approved the
NERSC-9 Mission Need Statement in August 2015. An
RFP was issued in FY 2016 and the vendor will beselected in FY 2017 to deliver a pre-exascale system,with three to five times the capacity of NERSC-8, in
2020.
Leadership Computing Facilities $181,317,000
Support operation and allocation of the 27-pf Titan
system at the OLCF and the 10-pf Mira system at the
ALCF through INCITE and ALCC. This includes lease
payments, power, and user support. Also supports
preparations—such as power, cooling and cabling at
the LCFs to support 75-200 pf upgrades at each facility
and continuation of the post-doctoral training programfor high-end computational science and engineering.
Science/Advanced Scientific Computing Research$187,000,000
Site preparations for planned upgrades at both LCF
facilities will be completed in 2017.

+$5,683,000
Increase supports completion of site preparations forplanned upgrades at both LCF facilities. These include
finalizing power and cooling capacity, as well as space
The OLCF will begin to install cabinets for the new 200- and weight requirements because the final
pf IBM Power9 heterogeneous supercomputer withspecification of the machines is now known for both
NVIDIA Volta GPUs at the end of FY 2017. Installation, facilities.
testing, early science access and transition to
Increase also supports installation and operations ofoperations for the system, named Summit, are all
an interim Intel-Cray computing system at the ALCF toplanned for FY 2018. This upgrade will provide
approximately five times the capability of Titan.
transition users to the new many-core architecture
FY 2017 Congressional Budget Justification
33

FY 2016 Enacted

Explanation of Changes
FY 2017 vs FY 2016
The ALCF will complete site preparations in earlyand exercise the option to acquire a 200-pf machine at
FY 2018 for its planned upgrade in FY 2019 to an Intel- the OLCF expanding the current plan of record by 50
Cray supercomputer, called Aurora, to be built with 3rd pf.
Generation Intel Xeon Phi many-core processors. Thissystem is a dramatic change from the Current Mirasystem, which is an IBM BlueGene Q supercomputer.
Therefore, the ALCF will install and operate an 8.5-pf
interim system, called Theta, in early FY 2017 based onIntel’s second-generation Xeon Phi processor. Thissystem will serve as an early production system totransition ALCF users to the new architecture.
FY 2017 Request

The LCF upgrades will advance energy andmanufacturing technologies, as well as ourfundamental understanding of the universe, while
maintaining the United States' global leadership in HPC
on the path to exascale computing.
Leadership Computing Facility at ANL: $77,000,000$80,000,000
Leadership Computing Facility at ORNL: $104,317,000 $107,000,000
Research and Evaluation Prototypes $121,471,000$17,890,000
REP supports efforts to improve the energy efficiency Availability of experienced and knowledgeable
and reliability of critical technologies such as memory, workforce issues continues to be of vital importance toprocessors, network interfaces and interconnects. The the ASCR facilities and to the NSCI exascale goals. The
compute node is the basic building block of a high
CSGF program plays an important role in providing
performance computer and all of these technologies
future DOE leaders in HPC and computational science.
come together in the node. Therefore, REP will
Therefore, Research and Evaluation Prototypes willcompetitively select R&D partnerships with U.S.
continue support for the program at $10,000,000 in
vendors to initiate the design and development of
FY 2017. This activity will also support a modest effort
node and system designs suitable for exascale systems. in cybersecurity research that is focused on the unique
These efforts will influence the development ofchallenges of open-science HPC systems and a small
prototypes that advance DOE goals and are based onscale testbed for researchers explore technologies
the results of the Fast Forward and Design Forward“Beyond Moore’s Law”.
investments. This is an essential component of the
Department’s exascale computing plan and a key stepin the vendor’s productization efforts.
Science/Advanced Scientific Computing Research

34+$3,000,000+$2,683,000-$103,581,000
With the initiation of the SC-ECP, REP funding of$107,894,000 (a reduction of $3,577,000 from the
FY 2016 level for these efforts) has been shifted to the
newly established Exascale Computing subprogram.
Increase is for a new effort in cybersecurity and a
testbed for “Beyond Moore’s Law” research efforts.

FY 2017 Congressional Budget Justification

FY 2016 Enacted

Explanation of Changes
FY 2017 vs FY 2016

FY 2017 Request

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

$45,000,000+$7,000,000

ESnet has become a critical enabler of large-scale,data-intensive science in the U.S. The volume of datatransferred by ESnet is growing roughly 66% per year,
twice the rate of the commercial Internet. This request
provides bandwidth increases to support datarequirements of all Office of Science facilities;
upgrades selected high-traffic links to 400-gbps
technology; supports transatlantic access to LHC data;and extends direct science engagement efforts toimprove end-to-end network performance between
DOE facilities and U.S. universities.

Increase supports operations and staff for the ESnet,
including upgrading high-traffic links to 400 gbps;
transatlantic access to LHC data; expansion of scienceengagement efforts; and research and tool
development.

The request also continues ongoing enhancement of
network architectures and tools now widely deployedthrough the DOE and university systems in the US:
Science DMZ, perfSONAR, Data Transfer Nodes, andOSCARS. Additionally, the request supports appliedR&D necessary to maintain ESnet's status as a worldleading scientific research network, and to support a
network testbed focused on prototyping andoperationalizing future network architectures such as
Software-Defined Networking and Named-Data
Networking.
SBIR/STTR $15,036,000
In FY 2016, SBIR/STTR funding is set at 3.45% of noncapital funding.
Science/Advanced Scientific Computing Research$16,291,000
In FY 2017, SBIR/STTR funding is set at 3.65% of noncapital funding.
35+$1,255,000

FY 2017 Congressional Budget Justification

36

Advanced Scientific Computing Research
Exascale Computing
Description
The Office of Science Exascale Computing Project (SC-ECP) in the Exascale Computing subprogram captures ASCR’s
participation in the U. S. Department of Energy’s ECI, to ensure the hardware and software R&D, including applications
software, for a capable exascale system is completed in time to meet the scientific and national security mission needs ofthe mid-2020s.
On July 29, 2015 President Obama established, by Executive Order, the National Strategic Computing Initiative (NSCI) to
maximize the benefits of High Performance Computing (HPC) for U.S. economic competitiveness and scientific discovery.
DOE is one of the three lead agencies for the NSCI and is specifically assigned the responsibility for executing a program,joint between Office of Science and NNSA, to develop a capable exascale computing program with an emphasis on
sustained performance on relevant applications and analytic computing to support DOE missions.
The SC-ECP comprises R&D and delivery of exascale computers and is not a traditional construction project. The SC-ECP will
be managed following the principles of DOE Order 413.3B, Program and Project Management for the Acquisition of Capital
Assets, which has been used by the Office of Science for the planning, design, and construction of all of its major projects,
including the LCFs at Argonne and Oak Ridge National Laboratories and NERSC at Lawrence Berkeley National Laboratory.
Computer acquisitions will use a tailored version of Order 413.3B. The first four years of SC-ECP will focus on research insoftware (new algorithms and methods to support application and system software development) and hardware (node andsystem design). During the last six years of the SC-ECP, activities will focus on delivering application software, the system
software stack, and hardware technologies that will be deployed in the exascale systems.
FY 2017 funding will support codesign activities with a representative subset of mission applications; efforts to develop an
exascale software stack, new programming models and efforts to promote ease of use; increase parallelism, energy
efficiency, and reliability; and the initiation of vendor partnerships to design and develop scalable prototypes of exascale
systems.

Science/Advanced Scientific Computing Research

37

FY 2017 Congressional Budget Justification

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

Science/Advanced Scientific Computing Research

Explanation of Changes
FY 2017 vs FY 2016

FY 2017 Request$154,000,000+$154,000,000

FY 2017 funding will support codesign activities with arepresentative subset of mission applications; efforts
to develop an exascale software stack, newprogramming models and efforts to promote ease ofuse; increase parallelism, energy efficiency, andreliability and the initiation of vendor partnerships todesign and develop scalable prototypes of exascale
systems.

Increase reflects the transfer of exascale research
efforts previously funded within Applied Mathematics,
Computer Sciences, Computational Partnerships, andResearch and Evaluation Prototypes activities.

38

FY 2017 Congressional Budget Justification

Advanced Scientific Computing Research
Performance Measures
In accordance with the GPRA Modernization Act of 2010, the Department sets targets for, and tracks progress toward, achieving performance goals for each program.
The following table shows the targets for FY 2015 through 2017. Details on the Annual Performance Report can be found at http://energy.gov/cfo/reports/annualperformance-reports.
Performance Goal
(Measure)
TargetResultEndpoint Target

Performance Goal
(Measure)
TargetResultEndpoint Target

FY 2015
FY 2016
FY 2017
ASCR Facility Operations—Average achieved operation time of ASCR user facilities as a percentage of total scheduled annual operation time
≥ 90%
≥ 90%
≥ 90%
Met
TBD
TBD
Many of the research projects that are undertaken at the Office of Science’s scientific user facilities take a great deal of time, money, and effort toprepare and regularly have a very short window of opportunity to run. If the facility is not operating as expected the experiment could be ruined or
critically setback. In addition, taxpayers have invested millions or even hundreds of millions of dollars in these facilities. The greater the period of
reliable operations, the greater the return on the taxpayers’ investment.
ASCR Research—Discovery of new applied mathematics and computer science tools and methods that enable DOE applications to deliverscientific and engineering insights with a significantly higher degree of fidelity and predictive power
Conduct an external peer review of the three
Fund two teams to develop exascale node
Fund two teams to develop programming
original co-design centers to document
designs.
environments for exascale computing systems.
progress, impact, and lessons learned.
Met
TBD
TBD
Develop and deploy high-performance computing hardware and software systems through exascale platforms.

Science/Advanced Scientific Computing Research

39

FY 2017 Congressional Budget Justification

Advanced Scientific Computing Research
Capital Summary ($K)
Total

Prior Years

FY 2015
EnactedFY 2015
Current

FY 2016
EnactedFY 2017
RequestFY 2017 vsFY 2016

n/a

n/a

8,000

13,100

6,000

5,000

-1,000Capital operating expenses
Capital equipment

Funding Summary ($K)

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

FY 2015 Enacted
228,169
295,242
17,589FY 2015 Current
221,018
302,3930

FY 2016 Enacted
294,466
305,317
21,217FY 2017 Request
315,011324,145
24,024

FY 2017 vs FY 2016
+20,545+18,828+2,807541,000

523,411

621,000

663,180+42,180

Science/Advanced Scientific Computing Research40

FY 2017 Congressional Budget Justification

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

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

FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request

FY 2017 vs FY 2016

$75,605
5,608
N/A
8,585
8,585
N/A
N/A

$75,905
5,608
N/A
8,585
8,585
N/A
N/A

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

$92,145
6,000
N/A
8,322 a
8,322
N/A
N/A

+6,145
+392
N/A
-263
-263
N/A
N/A

Due to the planned upgrade NERSC will schedule less hours for FY 2017. However, the significant increase in the capacity of this upgrade system will allow NERSC todeliver an increase in computing time for users despite the reduced schedule.
Science/Advanced Scientific Computing Research
FY 2017 Congressional Budget Justification
41

FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request

FY 2017 vs FY 2016

OLCF
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$104,317
1,064
N/A
7,008
7,008
N/A
N/A

$108,902
1,064
N/A
7,008
7,008
N/A
N/A

$104,317
1,064
N/A
7,008
7,008
N/A
N/A

$107,000
1,064
N/A
7,008
7,008
N/A
N/A

+$2,683
N/A
N/A
N/A

ALCF
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$80,320
1,434
N/A
7,008
7,008
N/A
N/A

$81,796
1,434
N/A
7,008
7,008
N/A
N/A

$77,000
1,434
N/A
7,008
7,008
N/A
N/A

$80,000
1,434
N/A
7,008
7,008
N/A
N/A

+$3,000
N/A
N/A
N/A

ESnet
Number of users aAchieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$35,000
N/A
N/A
8,760
8,760
N/A
N/A

$35,790
N/A
N/A
8,760
8,760
N/A
N/A

$38,000
N/A
N/A
8,760
8,760
N/A
N/A

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

+$7,000
N/A
N/A
N/A
N/A

a

ESnet is a high performance scientific network connecting DOE facilities to researchers around the world; user statistics are not collected.
Science/Advanced Scientific Computing Research
FY 2017 Congressional Budget Justification
42

FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request

FY 2017 vs FY 2016

$295,242
8,106
N/A
31,361
31,361
N/A
N/A$302,393
8,106
N/A
31,361
31,361
N/A
N/A$305,317
8,106
N/A
31,361
31,361
N/A
N/A$324,145
8,498
N/A
31,09831,098
N/A
N/A+$18,828
+392
N/A
-263
-263
N/A
N/A

FY 2016 Enacted
584
146
460
247

FY 2017 Estimate
636
165
486
257

FY 2017 vs FY 2016
+52
+19
+26
+10

Total Facilities
Number of Users aAchieved operating hours
Planned operating hours
Optimal hours
Percent of optimal hours b
Unscheduled downtime hours

Scientific Employment

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

FY 2015 Enacted
548
137
428
234

FY 2015 Current
548
137
428
234

a

Total users only for NERSC, OLCF, and ALCF.

b

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

Science/Advanced Scientific Computing Research43∑𝑛𝑛
1 [(%𝑂𝑂𝑂𝑂 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛)×(𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑛𝑛 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜)]
𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑓𝑓𝑓𝑓𝑓𝑓 𝑎𝑎𝑎𝑎𝑎𝑎 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑦𝑦 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜

FY 2017 Congressional Budget Justification

44

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

Significant Changes and Summary

Significant Changes
In FY 2016, the President’s Budget Request included funding to initiate research, development, and computer-systemprocurements to deliver an exascale (1018 operations per second) computing capability by the mid-2020s. This activity,referred to as the Exascale Computing Initiative (ECI), is in partnership with the National Nuclear Security Administration(NNSA) and addresses DOE’s science and national security mission requirements. In FY 2016, an Exascale Crosscut
aggregated Office of Science programs (specifically the Advanced Scientific Computing Research (ASCR), Basic Energy
Sciences (BES), and Biological and Environmental Research (BER) programs) and NNSA exascale activities.
In FY 2017, the Office of Science component of the ECI is partitioned into the Office of Science Exascale Computing Project(SC-ECP) within a new Exascale Computing subprogram in ASCR, and includes only those activities required for the delivery
of exascale computers. The FY 2017 Request for this project is $154,000,000, which represents only those activities, and is adecrease of $3,894,000 below the FY 2016 Enacted level of $157,894,000 a. Other activities related to the ECI but outside of
the scope of the delivery of exascale computers are not within the SC-ECP, though they do remain in the scope of the ECI
and are funded through the Exascale Computing subprogram in ASCR, and through subprograms within BES and BER. This
Project Data Sheet is for the SC-ECP only; prior-year activities related to the SC-ECP are also included.
Summary
On July 29, 2015, President Obama established by Executive Order the National Strategic Computing Initiative (NSCI) to
maximize the benefits of High Performance Computing (HPC) for U.S. economic competitiveness, scientific discovery, andnational security. DOE is one of three lead federal agencies for the NSCI, and it is specifically assigned the responsibility forexecuting the ECI. As a lead agency, DOE will work with other agencies identified in the NSCI to implement the objectives of
the NSCI and to address the wide variety of needs across the Federal Government.
In FY 2017, SC-ECP funding will support project management; development of project documentation; conduct of co-design
activities with a representative subset of mission applications; research and development of exascale systems software andtools needed for exascale programming; and vendor partnerships. The estimated Total Project cost range of the SC-ECP is$1.7 billion to $2.7 billion.
2.

Critical Milestone History

FY 2017

CD-0

Conceptual
DesignCompleteCD-1/3A

3Q FY 2016

TBD

TBD

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

TBD

CD-3B

D&D
Complete

CD-4

TBD

N/A

TBD

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

Project Cost History

The preliminary cost range for the SC-ECP is estimated to be between $1.7 billion and $2.7 billion. The cost range will be
updated at CD-0 and CD-1, and a project baseline (scope, schedule, and cost) will be established at CD-2.

a

In FY 2016, ASCR’s ECI activities were not partitioned into a separate program/project.
Science/Advanced Scientific Computing Research/
17-SC-20, Office of Science Exascale Computing Project
FY 2017 Congressional Budget Justification45

4.

Project Scope and Justification

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






The realization of an exascale system that addresses parallelism, resilience, energy consumption, and memory/storage will
involve tradeoffs among hardware (processors, memory, energy efficiency, reliability, interconnectivity); software(programming models, scalability, data management, productivity); and algorithms. To address this, the scope of the SC-ECP
has four focus areas:
1.

2.
3.
4.

Hardware Technology: The Hardware Technology focus area supports vendor-based research and development
activities required to deploy at least two exascale systems with diverse architectural features. Within this focus area,
a node design effort targets component technologies needed to build exascale nodes, including the required
software, while a system design effort performs the engineering and R&D activities required to build a full exascalecomputer and the required systems software.
System Software Technology: The System Software Technology focus area spans low-level operational software toprogramming environments for high-level applications software development, including the software infrastructure
to support large data management and data science for the DOE at exascale.
Application Development: The Application Development focus area includes: extreme parallelism, reliability andresiliency, deep hierarchies of hardware processors and memory, scaling to larger systems, and data-intensive
science.
Exascale Systems: The Exascale Systems focus area supports advanced system engineering development by thevendors needed to produce capable exascale systems. System procurement activities will be executed in coordination
with each DOE HPC facility’s existing system acquisition timelines. It also includes acquisition and support ofprototypes and testbeds for the application, software, and hardware testing activities. No civil construction is within
the scope of the SC-ECP.

The SC-ECP will be managed following the principles of DOE Order 413.3B, Program and Project Management for theAcquisition of Capital Assets, which has been used by the Office of Science for the planning, design, and construction of allof its major projects, including the Leadership Computing Facilities at Argonne and Oak Ridge National Laboratories andNERSC at Lawrence Berkeley National Laboratory. Computer acquisitions use a tailored version of Order 413.3B. The first
four years of SC-ECP will be focused on research in software (new algorithms and methods to support application andsystem software development) and hardware (node and system design) and these costs will be reported as Other Project
Costs. During the last five years of the project, project activities will focus on delivering application software, the system
software stack, and hardware technologies that will be deployed in the exascale systems and these costs will be included in
the Total Estimated Costs for the project.

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

Science/Advanced Scientific Computing Research/
17-SC-20, Office of Science Exascale Computing Project46

FY 2017 Congressional Budget Justification

5.

Preliminary Financial Schedule

Total Estimated Cost (TEC)(Delivery of Applications
Development, System
Software Technology
Hardware Technology andExascale Systems)
FY 2016 a
FY 2017
FY 2018 b – FY 2025
Subtotal
Total, TEC

a(dollars in thousands)
Appropriations
Obligations

Costs

0
0
TBD
TBD
TBD

0
0
TBD
TBD
TBD

0
0
TBD
TBD
TBD

Other project costs (OPC)(Research for Application
Development , System
Software Technology andHardware Technology)
FY 2016a
FY 2017
FY 2018
FY 2019 – FY 2026
Subtotal
Total, OPC

157,894
154,000
TBD
TBD
TBD
TBD

157,894
154,000
TBD
TBD
TBD
TBD

87,370156,000
68,524
TBD
TBD
TBD

Total Project Costs (TPC)FY 2016a
FY 2017
FY 2018b
FY 2019 – FY 2026
Subtotal
Total, TPC

157,894
154,000
TBD
TBD
TBD
TBD

157,894
154,000
TBD
TBD
TBD
TBD

87,370156,000
68,524
TBD
TBD
TBD

Funding was provided to ASCR in FY 2016 to support the Department’s ECI efforts. For completeness, that information isshown here.
b
The project is currently pre-CD-0 so yearly planning numbers are not available.
Science/Advanced Scientific Computing Research/
47
17-SC-20, Office of Science Exascale Computing Project
FY 2017 Congressional Budget Justification

6.

Details of the 2017 Project Cost Estimate

The SC-ECP will be baselined at CD-2. The current cost estimate is based on pre-CD-0 information. The estimated Total
Project Cost for the SC-ECP is represented in the table below.
(dollars in thousands)
Current Total
Estimate

Previous Total
Estimate

Original
Validated
Baseline

TBD
TBD
TBD

N/A
N/A
N/A

N/A
N/A
N/A

8,000
85,00087,000131,894
TBD

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

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

TBD

N/A

N/A

Total Estimated Cost (TEC)
Production Ready Software
Hardware Build
Total, TEC
Other Project Costs (OPC)(Research)
Planning/Project Mgmt
Application Development
Software Research
Hardware Research
Total OPC
Total, TPC
7.

Schedule of Appropriation Requests($K)

RequestYear
FY 20178.

a

FY 2017

FY 2018

FY 2019

FY 2020

FY 2021

Outyears

Total

0157,894
157,8940
154,000
154,000

TBD
TBD
TBD

TBD
TBD
TBD

TBD
TBD
TBD

TBD
TBD
TBD

TBD
TBD
TBD

TBD
TBD
TBD

FY 2016
TEC
OPC
TPC

Related Operations and Maintenance Funding Requirements

System procurement activities for the capable exascale computers are not part of the SC-ECP. The exascale computers will
become part of existing facilities and operations and maintenance funds and will be included in the ASCR facilities’operations budget.
Start of Operation
Expected Useful Life (number of years)
Expected Future start of D&D for new construction (fiscal quarter)
9.

2024
5
4Q 2030

D&D Funding Requirements

N/A, no construction.

aFunding was provided to ASCR in FY 2016 to support the Department’s ECI efforts. For completeness, that information isshown here.
Science/Advanced Scientific Computing Research/
17-SC-20, Office of Science Exascale Computing Project
FY 2017 Congressional Budget Justification48

10. Acquisition Approach
The early years of the SC-ECP, approximately four years in duration, will support R&D directed at achieving system
performance targets for parallelism, resilience, energy consumption, and memory and storage. The second phase of
approximately five years duration will support finalizing applications and system software, the procurement of an exascalecomputer system, and start of operations.

Science/Advanced Scientific Computing Research/
17-SC-20, Office of Science Exascale Computing Project49

FY 2017 Congressional Budget Justification

50

Overview

Basic Energy Sciences

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.
The research disciplines that BES supports—condensed matter and materials physics, chemistry, geosciences, and aspects ofphysical biosciences—are those that discover new materials and design new chemical processes that touch virtually every
important aspect of energy resources, production, conversion, transmission, storage, efficiency, and waste mitigation. BES
research provides a knowledge base to help understand, predict, and ultimately control the natural world and helps build
the foundation for achieving a secure and sustainable energy future. BES also supports world-class, open-access scientificuser facilities consisting of a complementary set of intense x-ray sources, neutron sources, and research centers fornanoscale science. BES facilities probe materials with ultrahigh spatial, temporal, and energy resolutions to investigate thecritical functions of matter—transport, reactivity, fields, excitations, and motion—and answer some of the most challenging
grand science questions. BES-supported activities are entering a new era in which materials can be built with atom-by-atomprecision and computational models can predict the behavior of materials before they exist.
As history has shown, breakthroughs in clean energy technologies will likely be built on a foundation of basic researchadvances. Key to exploiting such discoveries is the ability to create new materials using sophisticated synthesis andprocessing techniques, precisely define the atomic arrangements in matter, and control physical and chemicaltransformations. The energy systems of the future—whether they tap sunlight, store electricity, or make fuel by splitting
water or reducing carbon dioxide—will revolve around materials and chemical changes that convert energy from one form
to another. Such materials will need to be more functional than today’s energy materials. To control chemical reactions or toconvert a solar photon to an electron requires coordination of multiple steps, each carried out by customized materials withdesigned nanoscale structures. Such advanced materials are not found in nature; they must be designed and fabricated toexacting standards using principles revealed by basic science.
Highlights of the FY 2017 Budget Request
The BES FY 2017 Request includes increases for core research and the Energy Frontier Research Centers (EFRCs) in key areas
related to Departmental priorities, such as topics in support of the 2015 Quadrennial Energy and Technology Reviews, theDepartmental crosscuts, and priorities outlined in the 2015 Basic Energy Sciences Advisory Committee Report, “Challenges
at the Frontiers of Matter and Energy: Transformative Opportunities for Discovery Science.” A new activity is initiated in
Computational Chemical Sciences to leverage U.S. leadership in computational chemistry codes in preparation for exascalecomputing; this systematic effort to modify or replace existing computational chemistry codes with codes that are welladapted to anticipated exascale architectures is essential to maintain U.S. leadership in this high impact competitive area.
The Request also continues support for the Batteries and Energy Storage Energy Innovation Hub, the Fuels from Sunlight
Energy Innovation Hub, and Computational Materials Sciences at the FY 2016 Enacted level.
Toward enabling advancement of clean energy technologies, the BES FY 2017 Request increases support for applicablefundamental research directions. Among these investments, studies of materials and chemistry in extreme environments
will analyze key dynamics of phenomena that are central to sustainable clean energy technologies, such as non-equilibrium
material response and degradation and the decay and separation of heavy elements and their isotopes in nuclear waste.
Research on chemistry and materials for energy efficiency will target a wide range of processes for clean energy utilizationand conversion, such as photocatalysis, solar energy conversion, biomimetic catalysis, and thermal conversion materials.
In FY 2017, BES will support optimal operations at all of its scientific user facilities, including support for clean energy
research. The Linac Coherent Light Source-II project will continue construction activities, and the Advanced Photon SourceUpgrade Major Item of Equipment (MIE) project is flat funded. FY 2016 is the last year of funding for the NSLS-II
Experimental Tools (NEXT) MIE project; no funds are requested in FY 2017. As part of the Presidential BRAIN Initiative and inclose coordination with the National Institutes of Health, BES will develop next generation tools and technologies at DOE
X-ray Light Sources and Nanoscale Science Research Centers to enable advances in brain imaging and sensing.
Science/Basic Energy Sciences51

FY 2017 Congressional Budget Justification

In the FY 2017 Request, most funding for the DOE Working Capital Fund (WCF) is transferred to Science Program Direction toestablish a consolidated source of funding for goods and services provided by the WCF. The Department’s CyberOne projectis still funded through program dollars in the Office of Science (SC) Safeguards and Security program. In FY 2016 and prioryears, SC WCF costs were shared by SC research programs and Science Program Direction.
The BES FY 2017 Budget Request includes increases for research related to three Department-wide crosscutting activities:
Subsurface Science, Technology and Engineering R&D (Subsurface), the Exascale Computing Initiative (ECI), and Advanced
Materials for Energy Innovation as described below.
•

Advanced Materials (Adv Mat) – As part of the Advanced Materials for Energy Innovation crosscut, BES will initiate
new research activities to understand materials challenges in the areas of lightweight structural materials,
corrosion-resistant materials in extreme environments, and quantum materials. The expanded research willemphasize interfaces in lightweight materials and corrosion, development of new characterization tools andpredictive capabilities to design improved chemistries and structures, and discovery of new quantum materials
with unprecedented properties. These priorities were identified in the 2015 Quadrennial Technology Review, withresearch directions supported by BES basic research needs reports and the 2015 BES Advisory Committee report“Challenges at the Frontiers of Matter and Energy: Transformative Opportunities for Discovery Science.”•

Exascale Computing Initiative (ECI) – As part of the ECI, BES will be responsible for the Computational Materials
Sciences activity and will initiate a new Computational Chemical Sciences activity in FY 2017. Collectively,
Computational Materials and Chemical Sciences will support basic research resulting in codes to predictively design
functional materials and chemical processes, including codes that take full advantage of the future generation of
exascale leadership computing capabilities. The report from the foundational workshop for this activity,
Computational Materials Science and Chemistry (2010), and the follow-on community-based workshops that
occurred in 2011–2015 identified a number of applications that would take full advantage of future exascalecomputing resources, including: 1) new catalysts to improve the efficiency of industrial processes, make effective
use of bioenergy, drive energy conversion processes, and mitigate environmental impact; 2) better models ofphotovoltaic processes and improved efficiency of photovoltaic devices; 3) natural and artificial photosynthesis to
unlock the potential of solar driven energy conversion and storage; 4) next generation electronic and magnetic
materials whose properties are governed by the strong interactions of electrons and have totally new
functionalities; 5) membranes and molecular complexes composed of solid-gas/liquid interfaces, which are criticalfor separation technologies for energy and water applications.

•

Subsurface Science, Technology and Engineering R&D (Subsurface) – In FY 2015, BES organized and participated in
two strategic planning activities that identified a grand challenge for subsurface science: “Advanced imaging ofgeophysical and geochemical signals in the subsurface.” BES will initiate new Energy Frontier Research Centers in
FY 2017 to support multidisciplinary teams to address this grand challenge. The scientific focus will be on fracture
networks, associated fluid flow and reaction, and the gaps in fidelity, resolution, and conceptual understanding of
subsurface imaging in hard-to-access environments. In addition, BES will support single investigator research on
fundamental geochemistry and geophysics with an emphasis on subsurface fluid flow and complex chemistry on
widely varying timescales from microseconds to millennia. This research is anticipated to have high relevance foroil and gas production, geothermal energy applications, carbon capture and storage, and nuclear waste disposal.
FY 2017 Crosscuts ($K)

Basic Energy Sciences

Subsurface

ECI

Adv MatTotal

41,30026,00017,600 a

84,900aThis $17,600K supports the Department’s Advanced Materials Crosscut. An additional $11,500K in BES for Quantum
Materials is also included in SC’s total investment, as described in the advanced materials crosscut narrative.

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FY 2017 Congressional Budget Justification

Basic Energy Sciences
Funding ($K)
FY 2015 Enacted FY 2015 Current a
Materials Sciences and Engineering
Scattering and Instrumentation Sciences Research
Condensed Matter and Materials Physics ResearchMaterials Discovery, Design, and Synthesis ResearchExperimental Program to Stimulate Competitive Research (EPSCoR)
Energy Frontier Research Centers (EFRCs)
Energy Innovation Hubs—Batteries and Energy Storage
Computational Materials Sciences
SBIR/STTR
Total, Materials Sciences and Engineering
Chemical Sciences, Geosciences, and Biosciences
Fundamental Interactions Research
Chemical Transformations Research
Photochemistry and Biochemistry Research
Energy Frontier Research Centers (EFRCs)
Energy Innovation Hubs—Fuels from Sunlight
Computational Chemical Sciences
General Plant Projects (GPP)
SBIR/STTR
Total, Chemical Sciences, Geosciences, and Biosciences
Scientific User Facilities
Synchrotron Radiation 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 Sciencesab

FY 2016 Enacted

FY 2017 Request b

FY 2017 vsFY 2016

64,407122,120
72,424
9,951
50,80024,1758,000
12,008363,885

67,788120,539
70,882
9,951
50,80024,1758,000
0352,135

62,260118,049
70,01014,77655,80024,137
12,00012,758369,790

70,318133,800
76,871
8,520
55,80024,08812,00014,448395,845+8,058+15,751+6,861-6,2560-49
0+1,690+26,055

76,79693,493
68,79749,20015,0000600
10,350314,236

73,42991,00073,73549,20015,00001,000
0303,364

74,59992,34164,18954,20015,0000
1,000
10,732
312,061

79,233
106,423
71,19786,76615,00013,6351,000
14,102
387,356+4,634+14,082+7,008+32,566
0+13,635
0+3,370+75,295

447,186
244,113
113,649
9,300
42,50031,713
27,918916,379
1,594,500

450,103
245,050
114,925
9,300
42,50026,847
0888,725
1,544,224

481,906
264,645
118,763
035,50034,85331,182966,849
1,648,700

489,059
261,177
122,272
0
20,00037,53733,484
963,529
1,746,730+7,153-3,468+3,5090-15,500+2,684+2,302-3,320+98,030

Reflects the transfer of Small Business Innovation/Technology Transfer Research (SBIR/STTR) funds within the Office of Science.
A transfer of $3,867,000 to Science Program Direction is to consolidate all Working Capital Funds in one program.

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FY 2017 Congressional Budget Justification

FY 2015 Enacted FY 2015 Current a
Construction
Linac Coherent Light Source-II (LCLS-II), SLAC
Total, Construction
Total, Basic Energy Sciences

138,700
138,700
1,733,200

138,700
138,700
1,682,924

FY 2016 Enacted

FY 2017 Request b

FY 2017 vsFY 2016

200,300
200,300
1,849,000

190,000
190,000
1,936,730-10,300-10,300+87,730

SBIR/STTR Funding: FY 2015 Transferred: SBIR $44,182,000 and STTR $6,094,000
 FY 2016 Projected: SBIR $47,540,000 and STTR $7,132,000
 FY 2017 Request: SBIR $54,385,000 and STTR $7,649,000

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FY 2017 Congressional Budget Justification

Basic Energy Sciences
Explanation of Major Changes ($K)
FY 2017 vsFY 2016 Enacted
Materials Sciences and Engineering: Additional funds are requested to support research in areas identified as high priorities in the Quadrennial
Technology Review, the Departmental crosscuts, and the 2015 BES Advisory Committee report “Challenges at the Frontiers of Matter and Energy:
Transformative Opportunities for Discovery Science.” A major emphasis is an increase in materials research under extremes of temperature, pressure,stress, photon and radiation flux, electromagnetic fields, and electrochemical environments often encountered in clean energy technologies.
Additional research will support novel materials for enhanced efficiency in energy conversion and utilization. Topical areas cover light-weightcomposites, thermoelectric and thermocaloric materials for efficient heat conversion, and quantum materials for next generation electronics. There
will be an increase in synthesis science underpinning these enhanced activities. Specifically, the research will target the development of theunderstanding required for predictive design of interfaces in lightweight polymer composite materials that are relevant to efficient energy systems
and transportation; to determine the mechanisms of corrosion in radiative and other extreme chemical/temperature environments relevant toimproved energy generation systems; to investigate quantum materials as a foundation for next generation electronics and computing; to study
thermal transport in materials to make efficient use of heat; to advance new characterization tools to understand how materials respond and evolve
during actual use; and to develop models of materials synthesis that enable understanding of how to control and configure atoms to achieve a desired
structure and function.

+26,055

Chemical Sciences, Geosciences, and Biosciences: A new initiative in Computational Chemical Sciences will leverage U.S. leadership in computational
chemistry codes in preparation for the path to exascale computing. A systematic effort to modify or replace existing computational chemistry codeswith codes that are well-adapted to anticipated exascale architectures is critically needed to enable high-fidelity simulations to inform models that
improve and accelerate the research, design, demonstration, and deployment phases of the energy innovation cycle. Additional funds are requested
to support single investigator and team research related to the Subsurface crosscut. Through the Energy Frontier Research Center (EFRC) program,
BES will support multidisciplinary teams to address the grand challenge of “advanced imaging of geophysical and geochemical signals in thesubsurface,” with a focus on fracture networks, associated fluid flow and reaction, and the gaps in fidelity, resolution, and conceptual understandingof subsurface imaging in hard-to-access environments. In addition, BES will support single investigator research on fundamental geochemistry andgeophysics with an emphasis on subsurface fluid flow and complex chemistry on widely varying timescales from microseconds to millennia. Amongefforts to enable advances in clean energy technologies, chemistry research will target the areas of energy efficiency and chemistry in extreme
environments. Investments in energy efficiency will target the discovery of catalysts with higher activity and selectivity, leading to lower energy
consumption for chemical conversions and less demand for the purification of products. BES will support small groups of multidisciplinary
investigators to draw on biomimetic and computational expertise, including synergistic approaches such as electro- and photo (electro) catalysis.
Chemistry under extreme conditions will focus on the radiative environments generated by energetic photons, electrons and intense x-rays, forexample, to understand nuclear waste mixtures. Targeted research will elucidate the nature, dynamics, and kinetics of complex chemical processes
ranging from fundamental research on elements with f-electrons to highly selective removal of specific radioactive species.

+75,295

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FY 2017 Congressional Budget Justification

FY 2017 vsFY 2016 Enacted
Scientific User Facilities: BES will support optimal operations at all of the scientific user facilities—five light sources, five Nanoscale Science ResearchCenters, and two neutron sources—to enable research including clean energy research. FY 2016 is the last year of funding for the NEXT MIE project. In
FY 2017, no funds are requested for NEXT or for Other Project Costs for the Linac Coherent Light Source-II (LCLS-II) construction project per the
project plan. The Advanced Photon Source-Upgrade MIE project is flat funded. As part of the Presidential BRAIN Initiative and in close coordination
with the National Institutes of Health, BES will develop next generation tools and technologies at DOE X-ray Light Sources and Nanoscale Science
Research Centers to enable advances in brain imaging and sensing.
Construction: Funding for the LCLS-II construction project will decrease slightly in FY 2017 per the project plan.
Total, Basic Energy Sciences

Science/Basic Energy Sciences

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FY 2017 Congressional Budget Justification

Basic and Applied R&D Coordination
As a program that supports fundamental scientific research relevant to many Department of Energy mission areas, BES
strives to build and maintain close connections with other DOE program offices. The Department facilitates coordination
between DOE R&D programs through a variety of Departmental activities, including joint participation in researchworkshops, strategic planning activities, solicitation development, and program review meetings. For example, the DOE
Energy Innovation Hubs Working Group meets regularly to coordinate programmatic oversight and promote commonality
across the Hubs. BES also coordinates with DOE technology offices on the Small Business Innovation Research (SBIR) andSmall Business Technology Transfer (STTR) program, including topical area planning, solicitations, reviews, and award
selections.
BES program managers regularly participate in intra-departmental meetings for information exchange and coordination on
solicitations, program reviews, and project selections in the research areas of biofuels derived from biomass; solar energy
utilization; building technologies, including solid-state lighting; advanced nuclear energy systems and advanced fuel cycle
technologies; vehicle technologies; improving efficiencies in industrial processes; and superconductivity for grid
applications. These activities facilitate cooperation and coordination between BES and the DOE technology offices anddefense programs. DOE program managers have also established formal technical coordination working groups that meeton a regular basis to discuss R&D programs with wide applications for basic and applied programs including the Office ofEnvironmental Management. Additionally, DOE technology office personnel participate in reviews of BES research, and BES
personnel participate in reviews of research funded by the technology offices and the Advanced Research Projects AgencyEnergy (ARPA-E).
Co-funding and co-siting of research by BES and DOE technology programs at the same institutions has proven to be avaluable approach to facilitate close integration of basic and applied research. In these cases, teams of researchers benefit
by sharing expertise and knowledge of research breakthroughs and program needs. The Department’s national laboratory
system plays a crucial role in achieving integration of basic and applied research.
Program Accomplishments
National Synchrotron Light Source-II. The NSLS-II construction project has been completed on time and within budget.
•

Construction of the most advanced storage-ring-based light source facility in the world, the National SynchrotronLight Source-II (NSLS-II) at Brookhaven National Laboratory, was completed in March 2015, about 3 months aheadof schedule. The planning, design, and construction of this 627,000-square-foot facility spanned 10 years at a total
project cost of $912 million. The project benefited from $150 million of American Recovery and Reinvestment Act
funding, which allowed the project to accelerate civil construction and to reduce overall project risks. This premier
BES scientific user facility produces extremely bright beams of x-rays, providing unprecedented capabilities toaccelerate advances in chemistry, biology, energy, geology, physics, and materials science. NSLS-II has been officiallydesignated as a user facility and started serving general users in July 2015.

Chemistry by Design. Coupling predictive theory and computation with advanced synthesis has led to the discovery ofmolecular assemblies with novel functions.
••

Complementary computational and experimental analyses revealed the interplay of electronic and geometriceffects that are responsible for the formation of a new class of nanoscale cage clusters of uranium peroxide. Theseclusters could be produced under chemically simple conditions and be tailored to selectively bind to toxic orundesirable chemical species, enabling their use in chemical purification and separation for nuclear fuelreprocessing or environmental decontamination.
In a feat of computational chemistry, researchers bypassed potentially decades of experiments with the resultsfrom one day’s worth of computing time on the Argonne Leadership Computing Facility supercomputer, Mira.
Rather than synthesize hundreds of thousands of catalytic porous zeolites and test each one for their ability topurify ethanol and enhance fuel production, the researchers utilized a hierarchical predictive chemical simulation
to predict the most effective zeolitic structure. Synthesis and experimental testing of the predicted zeolitic

Science/Basic Energy Sciences57

FY 2017 Congressional Budget Justification

•

framework proved that the simulation produced the “right answer”: a new catalyst that is highly effective, withpotential to streamline industrial-scale ethanol purification from a multi-step to single-step process.
Experiments and computation were used to demonstrate that a new compound based on a metal-organic
framework (MOF) was effective in degrading soman―one of the most toxic chemical agents―in minutes. The new
MOF structure contains nodes of zirconium atoms that selectively break the bond in the nerve agent, rendering it
innocuous. While the structural design was inspired by a natural enzyme in bacteria, the new MOF compound isthermally and chemically robust and functions in wide temperature ranges and humid environments.

Cooperative interactions drive new molecular behavior. Complex interactions and correlations of the atomic and molecularconstituents in matter have resulted in new chemical properties, expanding the frontiers of energy applications.
•••

Conversion of nitrogen to ammonia, as in the synthetic Haber-Bosch process, also occurs in natural systems,
following a far less energy-intensive pathway. Computational analysis of this pathway in the nitrogenase enzyme ofalgae and plants revealed that a small iron-based protein “rocks” across the surface of the larger nitrogenase unit
during the conversion. The rocking motion pushes the two molecular units into close contact, facilitating the key
transfer of electrons. This insight may lead to innovative design principles for a more energy-efficient synthetic
process.
X-ray crystallography showed how the orange carotenoid protein in cyanobacteria may protect plants fromphotodamage when exposed to sunlight. Researchers observed that under illumination, a carotenoid pigment
molecule within the protein moved 12 Ångstroms (approximately 4 atom widths)—an extremely large movement
whose scale is unprecedented in observations of this kind. Researchers hypothesized that the movement couples
the pigment to the light absorbers in plants, allowing excess light energy to be converted to heat and preventing
photodamage. Understanding such interactions that are central to light harvesting and photoprotection can help
guide design of stable and efficient artificial photosynthetic systems.
Experiments and computation have uncovered a novel cooperative mechanism for CO 2 adsorption in porous MOF
materials. Insertion of one CO 2 molecule into the MOF facilitates the insertion of another CO 2 at a neighboring
site, resulting in a “domino effect” of carbon adsorption along the cylindrical pores of the MOF. This efficient andtunable class of adsorbents may allow for drastic reductions in the capital cost of carbon capture from power plant
flue gas or from the atmosphere.

Predictive Materials Science. The Materials Genome Initiative supports the integration of theory and experimental researchto accelerate materials discovery. New computer codes and extensive databases for predictive materials science research
are now available to the public.
•••

By harnessing high performance computing and state-of-the-art theoretical tools, computed properties of new andpredicted materials have been gathered into a publicly available database for over 60,000 compounds, 70,000
electrochemical phase diagrams, 28,000 electronic band structures, and 1,300 full elastic tensors (for mechanicalbehavior). These data are being used by over 16,000 scientists and engineers, including over 2,000 from industry, toidentify new electrolytes and electrode materials for batteries, thermoelectric materials, and photocatalysts forchemical conversions.
Through a combination of theory and advanced characterization techniques, the roles of specific element additions
to magnesium alloys have been predicted, and then demonstrated via experiments, to promote development ofprecipitates that optimally control the mechanical properties of the lightweight materials. The results led to newmechanistic understanding on how to make lightweight materials stronger.
Improved algorithms have been developed for the quantum Monte Carlo method, a computational technique thatcan predict the quantum state and geometric structure of complex materials for which standard methods fail. The
new codes are publicly available and have predicted experimentally-validated binding energies and diffusivities forlithium ion batteries, surface energies for catalysts, volumes and bulk moduli for metals and ionic materials, andmelting temperatures of hydrogen under pressure.

Going beyond post-mortem analysis ‒ materials characterization in real time and under real operating conditions. “In situ”
or “in operando” characterization investigates materials evolution, leading to more efficient synthesis and discovery of new
and improved materials.
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FY 2017 Congressional Budget Justification

•

•

•

During charging and discharging of a commercial lithium ion battery, a novel, lensless x-ray diffraction techniqueimaged the structure of a nanoparticle in an electrode and the migration of defects. During extreme charging,phase changes were localized to the material near the defects, providing new understanding that could lead to
defect engineering for optimized battery performance.
Catalysts drive efficient industrial processes for energy production and pollution control. During high-energy x-ray
experiments, specific surface characteristics of palladium and nickel nanoparticles were observed to accelerate theconversion of carbon monoxide to CO 2 . Analysis of the experiments, combined with theoretical calculations,showed that the number of atomic neighbors at surface sites and the distances between atoms can tune catalytic
activity.
For the first time, nanoparticles rotating freely in a liquid solution have been “seen” in three dimensions (3D) withnear-atomic resolution. Images from world-leading electron microscopes, equipped with a graphene-based liquidcell and direct electron detectors, were reconstructed into high-resolution 3D movies of the interactions andgrowth of platinum nanoparticles. Results confirmed that individual, and surprisingly asymmetric, particles fromthe same synthesis solution followed different growth pathways, providing a new approach to understand andcontrol growth of nanoparticle structures.

BES user facilities enable U.S. industries to advance frontiers in information and semiconductor technologies.
• An original laser zone annealing apparatus has been constructed at the Center for Functional Nanomaterials thatcan quickly form self-assembled polymer nanostructures over an 8-inch-diameter semiconductor wafer. The newprocess reduces the ordering time of the block-copolymer self-assembly by more than 1,000-fold, from hours toless than a second, making this tool extremely attractive for industrial-scale, rapid manufacture of ordered
nanoscale arrays for terabyte magnetic memories, nanoelectronics, and nanophotonics.
• The IBM Research Alliance worked with researchers at Argonne National Laboratory to develop a new method forquantitatively mapping the detailed structures of microprocessors at nanoscale spatial resolution. The ability tononinvasively detect and control subtle perturbations of the atomic crystal lattice planes in operating devices iscritical to improving the performance and reliability of computer processors. This technique can also be applied toother nanoscale systems such as photovoltaics, power electronics, and batteries.
• Researchers at the Center for Nanoscale Materials transferred their innovative low-temperature diamonddeposition technology to the U.S. semiconductor industry. The method deposits nanocrystalline diamond on avariety of wafer substrate materials at temperatures as low as 400°C, enabling for the first time the integration ofhigh-power diamond electronics with conventional silicon integrated circuits.
Neutron scattering enables basic discoveries in magnetism, solving a decades-old conundrum, and facilitates advances
critical to performance of fuel injectors and catalytic converters.
• Researchers have discovered time-fluctuating magnetism in the radioactive element plutonium (Pu) using inelastic
neutron scattering techniques at the Spallation Neutron Source. The surprising result that the magnetism is not of
a conventional static character, but instead rapidly fluctuates in time, resolves a 50-year-old controversy between
theory and experiment over the existence of magnetism in Pu.
• Using time-resolved neutron imaging, scientists have observed local fuel flow dynamics of a gasoline injector
nozzle. Measurements reveal cavitation and local pressure-drop effects during one-millisecond-long injection
events. These first direct observations are critical in developing advanced computational models and inunderstanding fluid flow processes to improve vehicle fuel efficiency and lower emissions.
• Neutron imaging has been used to measure the distribution of water inside an entire catalytic converter forvehicles. The presence of water can seriously degrade the performance of these converters, and neutron imaging
provides a unique insight into how such engineered water-management systems perform in practical operations.

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FY 2017 Congressional Budget Justification

60

Basic Energy Sciences
Materials Sciences and Engineering
Description
The 2015 Quadrennial Energy and Technology Reviews confirm the continued critical role of materials to nearly every aspectof energy generation and end-use, especially as these challenges relate to clean energy and energy efficiency. Materials
limitations are often the barrier to improved energy efficiencies, longer lifetimes of infrastructure and devices, or the
introduction of new or cleaner energy technologies. The latest BES Advisory Committee report, “Challenges at the Frontiersof Matter and Energy: Transformative Opportunities for Discovery Science,” provided further documentation of theimportance of materials sciences in forefront research for next generation scientific and technology advances. The Materials
Sciences and Engineering subprogram supports research to provide the fundamental understanding of materials 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 the origin of macroscopic
material behaviors; their fundamental connections to atomic, molecular, and electronic structures; and their evolution as
materials move from nanoscale building blocks to mesoscale systems. At the core of the subprogram is experimental,
theory/computational, and instrumentation research that will enable the predictive design and discovery of new materials
with novel structures, functions, and properties. Such understanding and control are critical to science-guided design ofhighly efficient energy conversion processes, multi-functional nanoporous and mesoporous structures for optimum ionicand electronic transport in batteries and fuel cells, materials with longer lifetimes in extreme environments through better
materials design and self-healing processes, and new materials with novel, emergent properties that will open new avenues
for technological innovation.
To accomplish these goals, the portfolio includes three integrated research activities:


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

Condensed Matter and Materials Physics—Understanding the foundations of material functionality and behavior
including electronic, thermal, optical, and mechanical properties.



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

The portfolio emphasizes understanding of how to direct and control energy flow in materials systems over multiple timeand length scales, from the nanoscale to mesoscale, and translation of this understanding to prediction of material behavior,transformations, and processes in challenging real-world systems. An example of this research is examination of thetransformations 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 – such as those found in fossil energy, nuclear energy,
and most industrial settings. To maintain leadership in materials discovery, the research explores new frontiers of
unpredicted, emergent materials behavior; utilization of nanoscale control; and materials systems that are metastable or far
from equilibrium. Finally, the research includes investigation of the interfaces between physical and biological sciences to
explore new approaches to novel materials design. This subprogram is also the home of the DOE Experimental Program to
Stimulate Competitive Research (EPSCoR) that supports research spanning the broad range of DOE’s science and technology
programs in states that have historically received relatively less Federal research funding in the university sector.
Among its efforts toward enabling advancement of clean energy technologies, the subprogram stresses fundamental
research related to materials behavior under extreme environments and on materials phenomena that will promote more
efficient use and conversion of energy. New materials and their responses under extremes in temperature, pressure, stress,
photon and radiation flux, electromagnetic fields, and electrochemical environments are important to future improvements
in energy efficiency and for clean generation and use. Advanced characterization tools and instruments across a wide rangeof space and time scales, especially in combination and under dynamic “in operando” conditions that can analyze nonScience/Basic Energy Sciences

61

FY 2017 Congressional Budget Justificationequilibrium materials and excited-state phenomena, are essential to this work. For thermal energy efficiency, newthermocaloric materials can improve efficiency in cooling and in microelectronic devices, and new thermoelectric materials
can convert wasted heat into electricity. New fundamental understanding of heat transport and energy conversion inmaterials and of the behavior of thermoelectric properties is necessary for these advances. Additional research will target
lightweight materials such as polymers and polymer composites, and new families of porous materials of importance forcarbon capture technologies.
In addition to single-investigator and small-group research, the subprogram supports Energy Frontier Research Centers(EFRCs), the Batteries and Energy Storage Energy Innovation Hub, and Computational Materials Sciences activities. These
research modalities support multi-investigator, multidisciplinary research and focus on forefront energy technology
challenges. The EFRCs support teams of investigators to perform basic research to accelerate transformative solutions for awide range of energy technologies. The Batteries and Energy Storage Hub supports a large, tightly integrated team andresearch that spans basic and applied regimes with the goal of providing the scientific understanding that will enable thenext generation of electrochemical energy storage for vehicles and the electrical grid. The Computational Materials Sciences
activity, initiated in FY 2015, supports integrated, multidisciplinary teams of theorists and experimentalists who focus ondevelopment of validated community codes and the associated databases for predictive design of materials.
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 molecular levels. These capabilities provide thefoundation for research central to DOE missions in energy, environment, and national security. Research in Scattering andInstrumentation Science supports innovative science, techniques, and instrumentation for scattering, spectroscopy, andimaging using electrons, neutrons, and x-rays. These tools provide precise information on the atomic structure anddynamics in materials. The use of DOE’s world-leading electron, neutron, and synchrotron x-ray scattering facilities in majoradvances in materials science, and by large materials science user communities, is continuing evidence of the importance of
this research field. The BES Advisory Committee report, “Challenges at the Frontiers of Matter and Energy: Transformative
Opportunities for Discovery Science,” identified imaging as one of the pillars for transformational advances for the future.
The unique interactions of electrons, neutrons and x-rays with matter enable a range of complementary tools with different
sensitivities and resolution for the characterization of materials at length- and time-scales spanning several orders ofmagnitude. A distinct aspect of this activity is the development of innovative instrumentation concepts and techniques forneutron scattering and imaging needed to correlate the microscopic and macroscopic properties of energy materials.
Characterization of multiscale phenomena to extract heretofore unattainable information on multiple length and time scales
is a growing aspect of this research, as is the use of combined scattering techniques.
Understanding how extreme environments (temperature, pressure, stress, photon and radiation flux, electromagnetic fields,
and electrochemicals) impact materials at the atomic and molecular level and cause changes that eventually result inmaterials failure is required to design transformational new materials for energy-related applications. Advances incharacterization tools, including ultrafast techniques, are needed to measure non-equilibrium and excited-state phenomena
at the core of the complex, interrelated physical and chemical processes that underlie materials performance in these
conditions. Information from these characterization tools is the foundation for the creation of new materials that haveextraordinary tolerance and can function within an extreme environment without property degradation.
Condensed Matter and Materials Physics Research
Understanding the foundations of how to control and change the properties of materials is critical to improving theirfunctionality on every level and is essential to fulfilling DOE’s energy mission. The Condensed Matter and Materials Physics
activity supports experimental and theoretical research to advance our understanding of phenomena in condensed
matter—solids with structures that vary in size from the nanoscale to the mesoscale, the materials that make up theinfrastructure for energy technologies, including electronic, magnetic, optical, thermal, and structural materials.
A central focus of this research program is to characterize and understand materials whose properties are derived from thestrong interactions of electrons in their structure, such as unconventional superconductors and magnetic materials. An
emerging topic is “quantum materials”—materials whose properties result from strong and coherent interactions of theconstituent electrons with each other, the atomic lattice, or light. Emphasis is placed on investigating low-dimensional
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FY 2017 Congressional Budget Justification

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 highmagnetic fields. The research is relevant to energy technologies and advances the fundamental understanding of theelementary energy conversion steps related to photovoltaics, and the electron spin-phenomena and basic semiconductor
physics relevant to next generation electronics and information technologies. Fundamental studies of the quantum
mechanical behavior of electrons in materials will lead to an improved understanding of electrical and thermal conduction
in a wide range of material systems. There is a critical need to advance the theories that are being used to describe material
properties across a broad range of length and time scales, from the atomic scale to properties at the macroscale where theinfluence of size, shape, and composition is not adequately understood. Theoretical research also includes development ofcomputational and data-oriented techniques for materials discovery.
This activity also emphasizes research to understand how materials respond to their environments, including the influenceof temperature, electromagnetic fields, radiation, and corrosive chemicals. This research includes the defects in materials
and their effects on materials’ electronic properties, strength, structure, deformation, and failure over a wide range oflength and time scales that will enable the design of materials with superior properties and resistance to change under the
influence of radiation.
The Quadrennial Technology Review identified materials research in this area as critical for additional investments andcoordination with the DOE technology programs, especially related to more efficient and cleaner energy generation and use.
Three key areas with high potential for accelerated development were identified and are proposed for additional researchsupport: lightweight structural materials, corrosion-resistance for materials use in extreme environments, and quantum
materials. A basic research challenge for lightweight materials such as polymer composites is improved understanding of
how to design the interfaces between the matrix and the reinforcements, including new tools to characterize theseinterfaces and predictive capabilities to design improved chemistries and structures. The need for corrosion resistantmaterials is clear—energy technologies continue to place increasing demands on materials performance with respect toextremes in stress, strain, temperature, chemical reactivity and radiation flux as lifetimes are extended and operating
conditions are optimized for maximal efficiency and minimal environmental impact. These operating conditions demandmaterials that can be used reliably in these extreme environments, requiring a comprehensive understanding of the impactof the degradation that results from exposures to these conditions. Additional research is proposed to assess the evolutionof material structure and properties in multiple extreme environments, including multiscale modeling (nano to meso tomacro) with emphasis on the interfaces in the materials, often a region with enhanced susceptibility to corrosion anddegradation. Many energy-relevant technological advances, ranging from magnetism to superconductivity, are enabled byquantum materials. Due to recent advances in the ability to manipulate and exploit coherence in light and matter, additional
research is proposed to take advantage of these phenomena to discover new materials with unprecedented
properties. Research would include predictive modeling, evaluation of phenomena that occur at ultrafast timescales(beyond-equilibrium phenomena), and controlled synthesis and design of materials to enable high quality, tailoredinterfaces, controlled heterogeneity, and coherent manipulation of charge, spin and lattice dynamics that result in entirely
new material properties.
In addition, new research will focus on developing a fundamental understanding of materials phenomena related to heat
management and use of excess heat for improved thermal efficiency. Important to this research area is improved theoreticalunderstanding of heat transport and energy conversion in materials. Fundamental theory to advance novel materials forhigh temperature environments, such as high-entropy alloys, will also be emphasized.
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 and maintain
U.S. leadership in materials discovery by investing in advanced synthesis capabilities and by coupling these with state-ofthe-art user facilities and advanced computational capabilities at DOE national laboratories.
The BES Advisory Committee report on transformative opportunities for discovery science reinforced the importance of thecontinued growth of synthesis science, recognizing the transformational opportunity to realize targeted functionality in
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FY 2017 Congressional Budget Justification

materials by controlling the synthesis and assembly of hierarchical architectures and beyond equilibrium matter. Researchsupported in this portfolio underpins many energy-related technologies such as batteries and fuel cells, catalysis andelectrocatalysis, solar energy conversion and storage, friction and lubrication, and filtration membranes and porousarchitectures for advanced separations, efficient ion transport, and highly selective gas separation and storage. For example,
for lighter weight materials, research on polymers and polymer composites generates new insights into the design ofidealized matrix-additive interfaces, new chemistries, and exploiting the structural hierarchies to engineer a material’s
strength and other mechanical properties.
In addition to research on chemical and physical synthesis processes, an important element of this portfolio is research tounderstand how to use bio-mimetic and bio-inspired approaches to design and synthesize novel materials with some of theunique properties found in nature, e.g., self-repair and adaptability to the changing environment. Major research directions
include the controlled synthesis and assembly of nanoscale materials into functional materials with desired properties;
porous materials with customized porosities and reactivities; mimicking the energy-efficient, low temperature synthesis
approaches of biology to produce materials under mild conditions; bio-inspired materials that assemble autonomously and,in response to external stimuli, dynamically assemble and disassemble to form non-equilibrium structures; and adaptive andresilient materials that also possess self-repairing capabilities. The portfolio also supports fundamental research in solidstate chemistry to enable discovery of new functional materials and the development of new crystal growth methods andthin film deposition techniques to create complex materials with targeted structure and properties. An important elementof this activity is the development of real-time monitoring tools, in situ diagnostic techniques, and instrumentation that can
provide information on the progression of structure and properties as a material is formed, in order to understand theunderlying physical mechanisms and to gain atomic level control of material synthesis and processing.
Related to improved energy efficiency and expansion of the knowledge base for cleaner energy generation and use,
thermocaloric and thermoelectric materials is a prominent area that will see significant growth. Another topic of increasing
importance is carbon capture technologies, especially the development of new families of porous materials. This research
will require a concerted effort in manipulating the pore sizes, gas-solid binding interactions and properties ranging from themechanical stability to kinetic selectivity.
Experimental Program to Stimulate Competitive Research (EPSCoR)
DOE’s Experimental Program to Stimulate Competitive Research (EPSCoR) is a Federal-State partnership program designed
to enhance the capabilities and research infrastructure of designated states and territories to conduct sustainable andnationally competitive research. This activity supports basic research spanning the broad range of science and technology
related to DOE mission areas in states and territories that have historically received relatively less Federal research funding
than other states. EPSCoR supports research in these states that will develop their scientific capabilities and advance theirability to successfully compete for research funding through open research solicitations. The EPSCoR program supports
materials sciences, chemical sciences, physics, energy-relevant biological sciences, geological and environmental sciences,high energy physics, nuclear physics, fusion energy sciences, advanced computing, and the basic sciences underpinningfossil energy, electricity delivery and reliability, nuclear energy, and energy efficiency and renewable energy.
EPSCoR promotes strong research collaboration between scientists/engineers in the designated states/territories and theworld-class national laboratories, leveraging national user facilities and taking advantage of opportunities for intellectual
collaboration across the DOE system. DOE EPSCoR supports Implementation Grants (large grants that promote developmentof infrastructure and research teams) and State-Laboratory partnership grants (individual university-based principal
investigators teaming with national laboratories). EPSCoR also supports early career researchers in the designated states
and territories. EPSCoR is science-driven and supports the most meritorious proposals based on peer review andprogrammatic priorities.
Energy Frontier Research Centers (EFRCs)
The EFRC program, initiated in FY 2009, is a unique research modality, bringing together the skills and talents of teams ofinvestigators to perform energy-relevant, basic research with a scope and complexity beyond that possible in standard
single-investigator or small-group awards. These multi-investigator, multi-disciplinary centers foster, encourage, andaccelerate basic research to provide the basis for transformative energy technologies. The EFRCs supported in thissubprogram are focused on: the design, discovery, synthesis, and characterization of novel, solid-state materials that
improve the conversion of solar energy and heat into electricity and that enhance the conversion of electricity to light; theScience/Basic Energy Sciences

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FY 2017 Congressional Budget Justification

development of the understanding of materials and processes required to enable improved electrical energy storage,
efficient separation of gases for carbon capture, and control of defect evolution in radiation environments; and the
exploration of phenomena such as superconductivity and spintronics that can optimize energy flow and boost the efficiencyof energy transmission. After five years of research activity, the original cohort of 46 EFRCs produced an impressive breadthof accomplishments, including over 5,950 peer-reviewed journal papers, over 275 patent applications and an additional 100
patent/invention disclosures. The current 32 centers (22 of which were renewed from the initial group, and 10 of which are
new centers initiated in FY 2014) continue to expand upon these accomplishments. These EFRCs are 4-year awards withfunding for the final two years contingent upon successful outcome of a mid-term review.
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 program and progress compared to its scientific goals. To facilitate communication of
results to other EFRCs and interactions with DOE technology programs, meetings of the EFRC principal investigators are held
on an approximately biennial frequency.
Energy Innovation Hubs—Batteries and Energy Storage
Advanced energy storage solutions have become increasingly critical to the Nation with the expanded deployment of
renewable energy sources coupled with growth in the numbers of hybrid and electric vehicles. For the electric grid, newapproaches to electrochemical energy storage can provide enhanced grid stability and enable intermittent renewableenergy sources to meet continuous electricity demand. For vehicles, new batteries with improved lifetimes, safety, andstorage capacity are needed to expand the range of electric vehicles from a single charge while simultaneously decreasing
the volume, manufacturing cost and weight. Today’s electrical energy storage approaches suffer from limited energy andpower capacities, lower-than-desired rates of charge and discharge, life-cycle limitations, low abuse tolerance, high cost,and decreased performance at high or low temperatures.
The Batteries and Energy Storage Hub, established in December 2012, focuses on understanding the fundamental
performance limitations for electrochemical energy storage to launch the next generation, beyond lithium-ion energy
storage technologies relevant to both the electric grid and transportation. The Hub, the Joint Center for Energy Storage
Research (JCESR), is led by Argonne National Laboratory joined by four other national laboratories, five universities, and fourindustrial partners. JCESR’s core task is basic research—using a new generation of nanoscience tools that enable
observation, characterization, and control of matter down to the atomic and molecular scales to understand materials andchemical processes that are at the core of battery performance. The participation of industrial partners will facilitate efforts
to ensure that the outcome of basic research leads toward practical solutions that are competitive in the marketplace.
JCESR focuses on systems beyond lithium-ion and discovery of new energy storage chemistries through the development of
an atomic-level understanding of reaction pathways and development of universal design rules for electrolyte function. The
overarching goals driving the scientific and engineering research towards next-generation energy storage technologies are
summarized by JCESR as 5/5/5—five times the energy density of current systems at one-fifth the cost within five years, theaward period for the Hub. As part of their internal evaluation of progress and potential for each research direction to meet
the Hub goals, in consultation with BES, JCESR continues to evolve their research thrusts to maximize the impact ofresources used in pursuit of these goals. JCESR will also deliver two additional legacies to the broader energy storage
community: creation of a library of fundamental scientific knowledge of the phenomena and materials of energy storage at
the atomic and molecular level and demonstration of a new paradigm for battery R&D—integrating discovery science,battery design and computation, and research prototyping in a single highly interactive organization. Success in achieving
these legacies will be measured by the rate, quality, and impact of JCESR’s scientific publications, patents, and interactions
across its discovery science, battery design and computation, and research prototyping functions. Progress against
milestones is evaluated by quarterly/annual reports and annual performance reviews by external panels of science andmanagement experts to verify and validate performance. JCESR underwent a management and early operations review in
October 2013, and science-focused reviews in July 2014 and in July 2015. The review panels provided positive input andrecommendations for furthering the JCESR research goals. The July 2015 review reported significant progress towards the
project goals. BES continues to monitor progress closely. FY 2017 is the last year of the first award period for JCESR. The fifth
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FY 2017 Congressional Budget Justification

year of research ends in December 2017. Evaluations of research progress in FY 2016 and FY 2017 will be used to determine
if renewal of JCESR will be considered, including assessment of the funding level and technical focus for a renewal award.
Computational Materials Sciences
Recent major strides in materials synthesis, processing, and characterization, combined with concurrent advances incomputational science—enabled by improvements in high performance computing capabilities—have opened an
unprecedented opportunity to design new materials with specific function and properties. The opportunity 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 newadvanced, innovative technologies. Given the importance of materials to virtually all technologies, computational materials
sciences is a critical area in which the United States needs to be competitive.
This paradigm shift will accelerate the design of revolutionary materials to meet the Nation’s energy goals and enhance
economic competitiveness. Development of fundamentally new design principles could enable stand-alone research codesand software packages to address multiple length and time scales for prediction of the total functionality of materials over a
lifetime of use. Scientific workshops and National Research Council studies have identified enticing scientific challenges thatwould advance these goals. a Examples include dynamics and strongly correlated matter, conversion of solar energy toelectricity, design of new catalysts for a wide range of industrial uses, and transport in materials for improved electronics.
Success will require extensive research and development with the goal of creating experimentally validated, robust
community codes that will enable functional materials innovation.
Research awards to perform computational materials research were launched in FY 2015 (3 teams) and additional awards(up to 2 additional teams) will be supported in FY 2016. The 4-year awards focus on creation of computational codes andassociated experimental/computational databases for the design of functional materials. This research is performed by fully
integrated teams, combining the skills of experts in materials theory, modeling, computation, synthesis, characterization,and processing/fabrication. The research includes development of new ab initio theory, mining the data from bothexperimental and theoretical databases, performing advanced in situ/in operando characterization to generate the specificparameters needed to validate computational models, and well-controlled synthesis to confirm the predictions of the codes.
Research uses the unique world leading tools and instruments at DOE’s user facilities, from ultrafast free electron lasers toaberration-corrected electron microscopes and instrumentation for atomically controlled synthesis. The computational
codes will advance the predictive capability for functional materials, use DOE’s leadership class computational capabilities,
and be positioned to take advantage of future exascale leadership class computers. The ideal end products for this research
are publicly accessible databases of experimental/computational data and open source, robust, validated, user friendly
software that captures the essential physics and chemistry of relevant materials systems. The ultimate goal is use of thesecodes/data by the broader research community and by industry to dramatically accelerate the design of new functional
materials.
FY 2017 funding will continue support of the teams that received multi-year awards in FY 2015 and those awarded in
FY 2016 to perform the basic research and develop/deliver codes and associated experimental/computational data for thedesign of functional materials. Computational materials science research activities are managed using the approaches
developed by BES for similar large team funded modalities. Management reviews by a peer review panel are held in the firstyear of the award, followed by a mid-term peer review to assess scientific progress, with monthly teleconferences, quarterly
and annual progress reports, and active management by BES throughout the performance period.

U.S. DOE. Computational Materials Science and Chemistry for Innovation. U.S. Department of Energy Office of Science,
2010. National Research Council. Integrated Computational Materials Engineering: A Transformational Discipline for
Improved Competitiveness and National Security. Washington, DC: The National Academies Press, 2008.

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Basic Energy Sciences
Materials Sciences and Engineering
Activities and Explanation of Changes
FY 2016 Enacted
Materials Sciences and Engineering $369,790,000
Scattering and Instrumentation Sciences Research$62,260,000
Research continues to emphasize use of advanced
characterization techniques to tackle forefront scienceon energy-relevant materials science phenomena.
Ultrafast science continues to be a priority researcharea. Investments will emphasize hypothesis-driven
research with existing ultrafast science capabilities,
including lab-based and x-ray free electron laser
sources, to establish a more complete understandingof materials properties and behaviors. Neutron
scattering sciences stress innovative time-of-flightscattering and imaging and their effective use intransformational research. New advances inspectroscopy, high-resolution analyses of energyrelevant soft matter, and quantitative in situ analysis
capabilities under perturbing parameters such astemperature, stress, chemical environment, andmagnetic and electric fields are pursued. Research thatuses traditional diffraction, imaging, and spectroscopy
techniques continues at a reduced level.

Condensed Matter and Materials Physics Research$118,049,000
The program continues to support fundamental
experimental and theoretical research on theproperties of materials. It focuses on structural,
optical, and electrical properties and control ofmaterial functionality in response to external stimuli
Science/Basic Energy Sciences

Explanation of Changes
FY 2017 vs FY 2016

FY 2017 Request$395,845,000+$26,055,000$70,318,000
Research into ultrafast science, including developmentof electron optics and sources, sample environments,and enhanced detectors will continue to better
understand critical dynamic processes at sub-angstrom
spatial resolution and nanosecond temporal
resolution. The program will stress hypothesis -driven
research with existing ultrafast science capabilities.
Based on the important role that in operando
characterization can play in improving materials forenergy-related environments and the BES advisorycommittee report on transformative challenges formaterials discovery, the program will emphasize
research that advances imaging with x-rays, neutrons,
and electrons to form spatially and temporally
resolved maps of dynamics that allow quantitative
predictions of time-dependent material properties andchemical processes. New advances in spectroscopy,
high-resolution analyses of energy-relevant soft
matter, and quantitative in situ analysis capabilities
under perturbing parameters such as temperature,stress, chemical environment, and magnetic andelectric fields will be pursued.

+$8,058,000
The FY 2017 program will enhance researchunderstanding of imaging with x-rays, neutrons, andelectrons to form spatially and temporally resolved
maps of dynamics regarding evolution of chemicalcomposition, crystal orientation, structural phases,
magnetic and electric domains, cracks, and defects inmaterials, including evolution in the atomic structurecaused by exposure to heat, stress, chemicals, current
flow, and other environmental factors associated withmaterials use, especially as these relate to improving
efficient use of energy. Support for materials
characterization research that does not elucidate
functionality or interrogate phenomena spanning
multiple length and time scales will be reduced.
Topical areas specifically targeted for reduction include
conventional superconductivity, organic photovoltaics,
confined nanofluids, and mature use of high pressure
scattering, spectroscopy, and imaging. Research
involving well-established neutron and x-ray scatteringand imaging techniques, and conventional microscopy
and scanning probe imaging for studies of materials
behavior will be deemphasized.

$133,800,000
The program will continue to support experimental
and theoretical research that advances ourfundamental understanding of known materials andwill lead to the discovery of new materials and new
phenomena. The program will initiate research+$15,751,000
For structural materials, additional research will focus
on lightweight polymer composites, emphasizing
design of the matrix-reinforcement interfaces,
including new characterization tools and predictive
capabilities to design improved chemistries and67

FY 2017 Congressional Budget Justification

FY 2016 Enacted
including temperature, pressure, magnetic and electricfields, and radiation. Phenomena in materials areinvestigated from atomistic through nanoscale tomesoscale length scales. The research supported
continues to address defect structures in materials andhow these influence materials properties, especially inenergy relevant materials. There is an ongoingemphasis on understanding the relationship between
electronic structure and properties in materials thatexhibit correlation effects. Research on spin physics,
focusing on coupling across heterogeneous boundaries
through spin orbit and exchange interactions andstudies involving novel magneto-dynamics, arecontinued. Research involving theory andcomputational data coupled to experimental
characterization of material properties continues togrow. Research on superconducting vortex matter,
isolated nanoparticles, quantum Hall behavior, and low
dimensional phenomena in carbon nanotubes andgraphene continues at a reduced level.

Materials Discovery, Design, and Synthesis Research$70,010,000
Research continues to focus on the predictive designand synthesis of materials across multiple length scaleswith a particular emphasis on the mesoscale, where
functionalities begin to emerge. Within thisframework, a fundamental understanding of assembly,
both self and directed, and interfacial phenomena,ubiquitous in all materials, are developed. Additionally,
Science/Basic Energy Sciences

Explanation of Changes
FY 2017 vs FY 2016activities related to more efficient and cleaner energy structures. For materials in extreme environments,
as identified in the Quadrennial Energy andadditional research will emphasize the development ofTechnology Reviews. Also, it will initiate research with a fundamental understanding of corrosion anda focus on lightweight structural materials, corrosion, degradation processes including the role of interfaces,and quantum materials—materials whose properties
linking nano/microscale and mesoscale phenomena,
result from strong and coherent interactions of theand development of quantitative prediction
constituent electrons with each other, the atomic
capabilities for materials performance in multiple
lattice, or light. Research on lightweight structural
extreme conditions. In the area of quantum materials,
materials and corrosion resistant materials, especially research will focus on predictive modeling, evaluation
those exposed to extreme stress, strain, temperature, of ultrafast regimes (non-equilibrium phenomena),
reactive chemicals and radiation flux, will focus onand controlled synthesis and design of materials todevelopment of understanding of interfacial
enable high quality, tailored interfaces, controlled
phenomena and on predictive design capabilities.
heterogeneity, and coherent manipulation of charge,
Research will expand on thermal transport inspin and lattice dynamics. The program will continuematerials, including caloric, high entropy, and highto deemphasize research on granular materials,
temperature materials and non-dissipative transport in conventional superconductivity, high strain rate, highnovel topological materials.
dose radiation effects, and cold atom physics. It willcontinue to reduce research on superconducting
vortex matter and heavy fermion phenomena; isolated
nanoparticles and quantum dots; quantum wells; andquantum Hall behavior. Studies on low dimensional
phenomena in carbon nanotubes and single-layer
graphene will continue to be reduced in favor of
research that involves interactions of nano and low
dimensional systems that can potentially produce newphenomena with properties related to advancedenergy technologies.
FY 2017 Request$76,871,000
Research on “Synthesis Science”, i.e., predictive
materials design and synthesis, will expand toaccelerate the pace of discovery of new materials aswell as to provide a foundation for next generationenergy technologies. In addition, the program will
increase focus on fundamental materials synthesis andmaterials chemistry related to improved energy

68+$6,861,000
The increase will support research related to energyefficient use of heat, such as thermocaloric andthermoelectric materials, improved polymer
chemistries to control interfaces related to light weight
polymer composites, and discovery of new classes ofporous materials and improved catalysts. Additional
research will exploit advances in characterization of
FY 2017 Congressional Budget Justification

FY 2016 Enacted
synthesis pathways are better understood by use of insitu diagnostics and characterization so that they canbe controlled more precisely and dynamically. This
research helps realize the visionary goals of atom- andenergy-efficient syntheses of new forms of matter.
Research on recent energy materials on the scene,such as perovskite photovoltaic materials and thosewith 2D topologies, is strengthened to take advantageof the opportunities to realize a more thoroughunderstanding of these materials and their potential
for bringing about transformational advances inenergy and information technologies. Research on
nanomaterials, traditional semiconductors, liquid
crystals, and thin film transistor synthesis continues at
a reduced level.

Experimental Program to Stimulate Competitive
Research (EPSCoR) $14,776,000
Efforts continue to span science in support of the DOE
mission, with continued emphasis on science that
underpins DOE energy technology programs.
Implementation grants, state-laboratory partnerships,
and investment in early career research staff fromEPSCoR states are sustained. Single investigator
research that supports topics related to DOE mission
areas, especially through the state-laboratory
partnerships component of the program isemphasized.

Science/Basic Energy Sciences

Explanation of Changes
FY 2017 vs FY 2016
efficiency, including light weight polymers andmaterials during synthesis, in combination withinterfacial chemistry, discovery of new classes ofcomputation and theory, to develop new predictive
porous materials, and improved catalysts. Masteringmodels of synthesis for targeted functionality thatnature’s design rules such as hierarchical architecture incorporate metastability and focus on nonand beyond-equilibrium matter to enable entirely new equilibrium matter and assembly of hierarchicalclasses of functional materials will be a key challenge, inorganic-organic hybrid materials. Other cross-cutting
as identified in the BES Advisory Committee report on opportunities include exploring materials phenomenatransformative challenges for materials discovery.
that transcend the nano-micro-meso scales, andResearch will include predictive models, including the underpin the processes at interfaces which areincorporation of metastability, to guide the creation of ubiquitous in nearly all energy technologies. The
beyond-equilibrium matter; synthesis and assembly of program will continue to deemphasize research on
hierarchical structures for multi-dimensional hybrid
developing synthesis methods for nanomaterials, e.g.,
matter; and in situ characterization of spatial andnanoparticles, nanorods, as well as maturing areas
temporal evolution during synthesis and assembly.
such as nanomaterial synthesis (not assembly),
This effort will include harnessing coherence in light
traditional semiconductors for solid-state lighting, thinand matter, together with improving ourfilm transistors, liquid crystals, and hydrogen storage
understanding of the critical roles played bymaterials for automotive applications.
heterogeneity, interfaces and disorder.
FY 2017 Request$8,520,000
Efforts will continue to span science in support of the
DOE mission, with continued emphasis on science that
underpins DOE energy technology programs.
Implementation grants, state-laboratory partnerships,
and investment in early career research staff fromEPSCoR states will be sustained.

69-$6,256,000
Research support is reduced compared to the FY 2016
Enacted level, returning the program to the requested
funding levels. The FY 2017 program will focus on
research topics identified by the Quadrennial
Technology Review, the Department crosscuts, andthe BES advisory committee report on transformative
challenges for materials discovery.

FY 2017 Congressional Budget Justification

FY 2016 Enacted
Energy Frontier Research Centers (EFRCs) $55,800,000
The EFRCs continue to perform fundamental multidisciplinary research aimed at accelerating scientificinnovation. All EFRCs undergo a mid-term review in
FY 2016 to assess progress toward meeting scientificresearch goals. DOE issues a Funding Opportunity
Announcement for up to five new EFRC awards in
FY 2016.
Energy Innovation Hubs—Batteries and Energy
Storage $24,137,000
The Hub, in its fourth year, continues to follow its
project plan with an increasing focus on developing
lab-scale prototypes to supplement the ongoingfundamental research science underpinning batteries
for transportation and the grid, as well as cross-cutting
research on materials characterization, theory, andmodeling. JCESR completes self-consistent systemanalyses using techno-economic modeling of threeelectrochemical couples identified through materials
discovery, including output from the electrolyte
genome, that have the potential to meet technicalperformance and cost criteria.

Computational Materials Sciences $12,000,000
Computational Materials Sciences advances U.S.
leadership in the development of computational codes
for materials sciences and engineering. The research
Science/Basic Energy Sciences

FY 2017 Request

Explanation of Changes
FY 2017 vs FY 2016

$55,800,000$0FY 2017 funds will provide the fourth year of funding
Research support is flat with the FY 2016 Enacted
for awards made in FY 2014, as well as the second year level.
of funding for new awards made in FY 2016.

$24,088,000-$49,000In FY 2017, the last year of the first award period, the The funding is approximately flat with the FY 2016
Hub will focus on developing energy storage research Enacted level, following the planned funding profile.
prototypes (components and cells) for transportationand grid applications that are based on beyond lithium
ion concepts (e.g., multivalent ions, chemicaltransformation, non-aqueous redox flow), identified
through JCESR research on materials discovery andtechno-economic modeling. These prototypes will
demonstrate the potential to scale-up to
manufacturing prototype batteries that will meet the
JCESR goal of delivering five times the energy densityof 2011 battery systems at one-fifth the cost.
Crosscutting fundamental research on materials
characterization, theory, and modeling will continue toprovide alternates for prototype development and tosupport JCESR’s goals in creation of a library offundamental scientific knowledge of the phenomena
and materials of energy storage at the atomic andmolecular level and demonstration of a new paradigm
for battery R&D.
$12,000,000
Basic research will continue to support thedevelopment of computational codes and theassociated experimental and computational data to

70$0
The funding is flat compared to the FY 2016 Enacted
level.

FY 2017 Congressional Budget Justification

FY 2016 Enacted

FY 2017 Request

activities involve teams of theorists, computational
experts, and experimentalists with expertise insynthesis, characterization, and processing/fabricationof materials. The computational materials sciences
teams that started in FY 2015 perform the first year of
research as outlined in their proposals. This research
focuses on basic science necessary to develop
research-oriented, open-source, experimentally
validated software and the associated databases
required to predictively design materials with specificfunctionality; the software will utilize current andfuture leadership class computers. Funding supports
additional multi-year awards for research teams
focused on functional materials topics not supportedby the FY 2015 awards. Early in the award period, eachteam is peer reviewed to assess management andearly research activities.

provide predictive capability for design of functional
materials. The research uses DOE user facilities togenerate experimental data and synthesize materials
to validate the predictions and DOE’s leadership classcomputational capabilities in development of new
software tools for materials discovery. In FY 2017, a
mid-term peer review of the FY 2015 awards willassess the scientific progress of the individual
activities, including progress towards the goal ofproviding open-source, community codes and publicly
accessible databases.

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Explanation of Changes
FY 2017 vs FY 2016

FY 2017 Congressional Budget Justification

72

Basic Energy Sciences
Chemical Sciences, Geosciences, and Biosciences
Description
The transformation of energy between types (optical, electrical, chemical, heat, etc.) and the rearrangement of matter at
the atomic, molecular, and nano-scales are critically important in every energy technology. The Chemical Sciences,
Geosciences, and Biosciences subprogram supports research that explores fundamental aspects of chemical reactivity andenergy transduction to develop a broad spectrum of new chemical processes, such as catalysis, that can contributesignificantly to the advancement of new or cleaner energy technologies. Research addresses the challenge of understanding
physical and chemical phenomena over a tremendous range of spatial and temporal scales, from molecular throughnanoscale and on to mesoscale, and at multiple levels of complexity, including the transition from quantum to classicalbehavior.
At the heart of this research lies the quest to understand and control chemical processes and the transformation of energy
at the molecular scale in systems spanning simple atoms and molecules, active catalysts, and larger biochemical or
geochemical systems. At the most fundamental level, the understanding of the quantum mechanical behavior of electrons,
atoms, and molecules is rapidly evolving into the ability to control and direct such behavior to achieve desired results in
meso- and macro-scale energy conversion systems.
This subprogram seeks to extend this new era of control science to include the capability to tailor chemical transformations
with atomic and molecular precision. Here, the challenge is to achieve fully predictive assembly and manipulation of larger,
more complex chemical, geochemical, and biochemical systems at the same level of detail now known for simple molecularsystems.
To address these challenges, the portfolio includes coordinated research activities in three areas:

Fundamental Interactions—Structural and dynamical studies of atoms, molecules, and nanostructures with the aim ofproviding a complete understanding of atomic and molecular interactions in the gas phase, condensed phase, and atinterfaces.

Chemical Transformations—Design, synthesis, characterization, and optimization of chemical processes that underpin
advanced energy technologies, including catalytic production of fuels, nuclear energy, and geological storage of carbon
dioxide or waste products related to the energy sector.

Photochemistry and Biochemistry—Research on the molecular mechanisms involved in the capture of light energy andits conversion into chemical and electrical energy through biological and chemical pathways, with the goal of providing
foundational knowledge of fundamental processes for energy capture, conversion, and storage.

The portfolio includes several unique efforts that enable these overall research themes. Novel sources of photons,
electrons, and ions are developed to probe and control atomic, molecular, nanoscale, and mesoscale systems, particularly
ultrafast optical and x-ray techniques to study and direct molecular dynamics and chemical reactions. This subprogramsupports the nation’s largest Federal effort in catalysis science and synthesis for the design of new catalytic methods andmaterials for clean and efficient production of fuels and chemicals. It also contains a unique effort in the fundamental
chemistry of heavy elements, with complementary research on chemical separations and analysis. Crosscutting research ofinterfaces underpins a fundamental understanding of processes in catalysis, natural and artificial membranes, as well as
geological systems. Research in geosciences emphasizes analytical and physical geochemistry especially in the subsurface,rock-fluid interactions, and flow/transport phenomena that are critical to a scientific understanding of geological storage of
waste products such as carbon dioxide, produced water, or radioactive materials. Natural photosynthetic systems arestudied to create robust artificial and bio-hybrid systems that exhibit the biological traits of self-assembly, regulation, andself-repair. Complementary research on artificial systems includes organic and inorganic photo- and electrochemistry, photoinduced electron and energy transfer, and molecular assemblies for artificial photosynthesis. The subprogram alsoemphasizes the co-development of experimental and computational tools to continuously expand the complexity of
research problems that can be investigated.
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FY 2017 Congressional Budget Justification

Among its efforts toward enabling advancement of clean energy technologies, the subprogram stresses research on efficientenergy use and conversion and on chemistry in extreme environments. Highly efficient catalysts enable reduced energy use
in industrial production and manufacturing, and photocatalysis can drive clean electricity generation and fuel production.
New concepts, such as biomimetic approaches, are needed for design of efficient low-temperature catalysts andphotocatalysts to enable clean energy conversion technologies. In extreme radiative environments, such as the natural
decay of isotopes in nuclear waste, understanding of the complex dynamics and kinetics of heavy-element chemical
processes is necessary for the design of remediating agents.
In addition to single-investigator and small-group research, the subprogram supports EFRCs and the Fuels from Sunlight
Energy Innovation Hub. These research modalities support multi-investigator, multidisciplinary research and focus onforefront energy technology challenges. The Hub supports a large, tightly integrated team and research that spans basic andapplied regimes with the goal of providing the scientific understanding that will enable the next generation of technologies
for the direct conversion of sunlight to chemical fuels.
Fundamental Interactions ResearchThis activity builds the fundamental science basis essential for technological advances in a diverse range of energy
processes. Research encompasses structural and dynamical studies of atoms, molecules, and nanostructures, and thedescription of their interactions in full quantum detail. The ultimate objective, often gained through studies of model
systems, is a complete understanding of reactive chemistry in the gas phase, condensed phase, and at interfaces. This
activity also supports development of novel experimental and theoretical tools. New sources of photons, electrons, and ions
are used to probe and control atomic, molecular, nanoscale, and mesoscale matter and processes on ultrafast time scales.
New algorithms for computational chemistry are developed and applied in close coordination with experiment. Use-inspired
areas of research are emphasized with relevance, for example, to combustion and catalysis. The knowledge and techniques
produced by this research form a science base that underpins numerous aspects of the DOE mission.
The principal research thrusts in this activity are atomic, molecular, and optical (AMO) sciences and chemical physics. AMO
research emphasizes the interactions of atoms, molecules, and nanostructures with photons, particularly x-ray light, tocharacterize and control their behavior. AMO research examines energy transfer within isolated molecules that provides thefoundation for understanding the making and breaking of chemical bonds. The goal is to develop accurate quantum
mechanical descriptions of dynamical processes such as chemical bond breaking and forming, interactions in strong fields,
and electron correlation.
Chemical physics research builds from the AMO foundation by examining the reactive chemistry of molecules whose
chemistry is profoundly affected by the environment. The transition from molecular-scale chemistry to collective
phenomena is explored in complex systems, such as the effects of solvation or interfaces on chemical structure andreactivity. Understanding such collective behavior is critical in a wide range of energy and environmental applications, fromsolar energy conversion to improved methods for including radiolytic effects in the context of advanced nuclear fuel orwaste remediation. Gas-phase chemical physics emphasizes the rich and surprisingly complex chemistry of combustion—
burning diesel fuel involves thousands of chemical reactions and hundreds of distinct species. Combustion simulation anddiagnostic studies address the subtle interplay between combustion chemistry and the turbulent flow that characterizes all
real combustion devices where accurate simulation of fundamental in-cylinder combustion/emission-formation processes
and the effects of fuel composition will enable increased engine efficiency. This activity includes support for the Combustion
Research Facility, a multi-investigator research laboratory at the Sandia National Laboratories campus in Livermore,
California, for the study of combustion science. Computational and theoretical research supports the development andintegration of new and existing theoretical and computational approaches for accurate and efficient descriptions ofprocesses relevant to energy systems. Of special interest is foundational research on computational design of molecular- to
meso-scale materials, and on next-generation simulation of complex dynamic processes.
Chemical Transformations Research
Chemical Transformation Research emphasizes the design, synthesis, characterization, and optimization of chemical
processes that underpin advanced energy technologies including the catalytic production of fuels, the efficient separation ofreaction products and reacting phases, the chemistry of actinides important to nuclear energy, and the geologicalsequestration of waste products. A tremendous breadth of novel chemistry is covered: inorganic, organic, and hybrid
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molecular complexes; nanostructured surfaces; electrochemistry; nanoscale membranes; bio-inspired chemistry; andanalytical and physical geochemistry. This activity develops unique tools for chemical analysis, using laser-based andionization techniques for molecular detection, and lab and synchrotron techniques for in-situ characterization ranging fromelectrode surfaces to catalytic processes, with an emphasis on imaging chemically distinct species. This activity also supports
training in radiochemistry and nuclear chemistry.
Theoretical and computational approaches are being developed to achieve a deeper understanding of reaction andseparation processes, design new catalysts and membranes, and predict subsurface transport and reaction. This activity has
a leadership role in the application of basic science to unravel the principles that define how catalysts work—how they
accelerate and direct chemistry. Such knowledge enables the rational synthesis of novel catalysts, designed at the nanoscale
but operating at the mesoscale, which will lead to increased energy efficiency and chemical selectivity. Because so many
processes for the production of fuels and chemicals rely on catalysts, improving catalytic efficiency and selectivity is likely tohave broad impact in reducing manufacturing costs and energy consumption on a global scale.
This activity supports several research areas with potential impact on energy production, storage, and use. Advanced
separation schemes for the removal of carbon dioxide from post-combustion streams are explored—these are essential tomaking carbon capture economical. Fundamental studies of the structure and reactivity of actinide-containing molecules
provide the basis for their potential use in advanced nuclear energy systems. The extreme radiation environment involving
radionuclides and the presence of elements containing f-electrons create complicated chemical systems exhibiting uniquedynamic and kinetic behavior. The challenges are further compounded by the evolving chemical mixtures with time thatmust be understood to develop viable waste treatment options for the storage of nuclear waste and for the generation ofclean nuclear energy. Geosciences improves understanding of the consequences of deliberate storage, or accidental
discharge, of energy related products such as carbon dioxide, produced water or radioactive waste materials which requires
ever more refined knowledge of how such species react and move in the subsurface environment. Subsurface fluid flow andcomplex chemistry occurring on a wide range of time scales are relevant not only for the efficient production of oil, gas, andgeothermal energy but also for carbon sequestration and disposal of nuclear waste.
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. The work is of critical importance for the effective use of our mostabundant and durable energy source—the sun. An important component of this activity is its leadership role in the supportof basic research in both solar photochemistry and natural photosynthesis. A breadth of approaches and unique tools aredeveloped and used to investigate the structural and chemical dynamics of energy absorption, transfer, conversion andstorage across spatial and temporal scales. The fundamental chemical and physical concepts from the study of both natural
systems (e.g. photosynthetic and affiliated downstream biological processes) and man-made chemical systems provide
crucial foundational knowledge for using solar energy and photocatalysis to drive clean electricity generation and fuelproduction and for developing efficient, environmentally benign, sustainable catalysts that can help enable next generation
clean energy conversion technologies.
Natural photosynthesis is studied to understand the dynamic mechanisms of solar energy capture and conversion in
biological systems and to provide roadmaps for the creation of robust artificial and bio-hybrid systems that exhibit biologicaltraits of self-assembly, regulation, and self-repair and that span from the atomic scale through the mesoscale. Physicalscience tools are extensively used to elucidate the molecular and chemical mechanisms of biological energy transduction,
including processes beyond primary photosynthesis such as carbon dioxide reduction and subsequent deposition of the
reduced carbon into energy-dense carbohydrates and lipids. Complementary research on chemical and artificial systems
encompasses organic and inorganic photochemistry, electrochemistry, light-driven energy and electron transfer processes,
and molecular assemblies for electricity generation and artificial photosynthetic fuel production. Fundamental knowledge
resulting from these studies of complex chemical processes and electron dynamics under changing environmental
conditions can provide an important foundation for the development of efficient solar energy technologies.
Energy Frontier Research Centers (EFRCs)
The EFRC program, initiated in FY 2009, is a unique research modality, bringing together the skills and talents of teams ofinvestigators to perform energy-relevant, basic research with a scope and complexity beyond that possible in standard
single-investigator or small-group awards. These multi-investigator, multi-disciplinary centers foster, encourage, andScience/Basic Energy Sciences75

FY 2017 Congressional Budget Justification

accelerate basic research to provide the basis for transformative energy technologies. The EFRCs supported in thissubprogram are focused on the following topics: the design, discovery, control, and characterization of the chemical,
biochemical, and geological moieties and processes for the advanced conversion of solar energy into chemical fuels; for
improved electrochemical storage of energy; for the creation of next-generation biofuels via catalytic chemistry andbiochemistry; and for science-based carbon capture and geological sequestration. After five years of research activity, theoriginal cohort of 46 EFRCs produced an impressive breadth of accomplishments, including over 5,950 peer-reviewed
journal papers, over 275 patent applications, and an additional 100 patent/invention disclosures. The current 32 centers(22 of which were renewed from the initial group, and 10 of which are new centers initiated in FY 2014) continue to expand
upon these accomplishments. These EFRCs are 4-year awards with funding for the final two years contingent upon the
successful outcome of a mid-term review.
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 program and progress compared to its scientific goals. To facilitate communication of
results to other EFRCs and interactions with DOE technology programs, meetings of the EFRC principal investigators are held
on an approximately biennial frequency.
In response to two strategic planning activities related to the Subsurface crosscut, additional funds are requested in FY 2017
to fully support up to five new EFRC awards to address the grand challenge of “Advanced imaging of geophysical andgeochemical signals in the subsurface.” The scientific focus will be on fracture networks, associated fluid flow and reaction,and the gaps in fidelity, resolution, and conceptual understanding of subsurface imaging in hard-to-access environments.
Current limitations to fully exploiting our subsurface energy resources in an environmentally responsible manner lie in theinadequate resolution attainable in seismic imaging, in traditional sampling techniques before and after injection thatprovide insufficient insight into fluid elements and isotopic composition over extended length and time scales, and in theeffect of physical changes and concurrent geochemical processes in rock-fluid systems associated with subsurface andgeological engineering.
The EFRC model has proven effective in promoting partnerships and addressing grand challenge science requiring
multidisciplinary teams focused on discrete problems with novel approaches. Efforts will build on cross-cutting themes suchas advanced, predictive computational methods to describe heterogeneous time-dependent studies of geologic systems;
new laboratory studies on both natural and geo-architected subsurface materials that deploy advanced high-resolution 3D
imaging; and chemical analysis methods to determine the rates and mechanisms of fluid-rock processes. The EFRC R&D
platforms will be closely coupled with field-based approaches to enable the translation of scientific knowledge to practicalsolutions in subsurface engineering. A key deliverable will be the development of experimental imaging tools andcomputational approaches broadly applicable to the field of subsurface science.
Energy Innovation Hubs—Fuels from Sunlight
Solar energy is a significant yet largely untapped clean energy resource. More energy from the sun strikes the earth in one
hour than is consumed by all humans on the planet in a year. Through the process of photosynthesis, plants can effectively
convert energy from the sun into energy-rich chemical fuels using the abundant feedstocks of water and carbon dioxide. If ahuman-made artificial photosynthesis system can be developed that can generate usable fuels directly from sunlight,
carbon dioxide, and water, the potential energy benefits for the Nation would be substantial, reducing dependence on
fossil fuels and eliminating waste streams from fossil fuel production, such as produced water, and from fossil fuel use, suchas CO 2 .
Due to the significant scientific and engineering challenges associated with developing such a system, however, there are nocommercially-available fuels generated via artificial photosynthesis. For this reason, the Basic Energy Sciences Advisory

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Committee report, New Science for Secure and Sustainable Energy Future, a listed the production of fuels directly fromsunlight as one of three strategic goals for which transformational science breakthroughs are most urgently needed.
Established in September 2010, the Fuels from Sunlight Hub, called the Joint Center for Artificial Photosynthesis (JCAP), is amulti-disciplinary, multi-investigator, multi-institutional effort to create critical transformative advances in the developmentof artificial photosynthetic systems for converting sunlight, water, and carbon dioxide into a range of commercially useful
fuels. The Hub is targeted towards understanding and designing catalytic complexes or solids that generate chemical fuelfrom carbon dioxide and/or water; integrating all essential elements, from light capture to fuel formation components, into
an effective solar fuel generation system. JCAP is led by the California Institute of Technology (Caltech) in primarypartnership with Lawrence Berkeley National Laboratory (LBNL). Other partners include the SLAC National Accelerator
Laboratory and several University of California institutions. JCAP is composed of internationally renowned scientists andengineers who seek to integrate decades of research community efforts and address critical research and development
gaps; its visionary goal is the construction of an artificial photosynthetic system for robustly producing fuel from the sun.
JCAP’s efforts are synergistically split between JCAP-South on the campus of Caltech and JCAP-North located at LBNL, withthe exception of the benchmarking and high-throughput experimentation projects that are consolidated at JCAP-South.
JCAP makes use of state-of-the-art facilities at LBNL and SLAC as part of its efforts to examine, understand, and manipulatematter at the nanoscale. Despite the different geographic locations, JCAP operates as a single scientific entity. Its efforts
consist of discovery research to identify robust, Earth-abundant light absorbers, catalysts, linkers, and membranes that are
required components of a complete system and scale-up science for design and development of prototypes. By studying thescience of scale-up and by benchmarking both components (catalysts) and systems (device prototypes), JCAP seeks to move
bench-top discovery to proof-of-concept prototyping and thus accelerate the transition from laboratory discovery toindustrial use.
The initial award for the Fuels from Sunlight Hub ended on September 29, 2015. During this award period, research at JCAP
centered primarily on the production of hydrogen fuel with smaller efforts addressing the considerably more challenging
area of carbon-based fuels. Selected accomplishments during the first award term include discovery of new mechanisms
and materials for electrocatalytically splitting water, identification of a novel oxygen evolution reaction catalyst,
establishment of objective standardized procedures for evaluation of the efficacy and stability of electrocatalysts, anddevelopment of a semiconductor protection method capable of expanding the range of materials that can be used in solar
fuel generators. Most importantly, JCAP reached its five-year goal to design and develop a photocatalytic prototype capableof generating fuel, specifically hydrogen, from sunlight. In December 2014, BES solicited a renewal proposal from JCAP for a
final award term with a maximum duration of five years and directed JCAP to focus on the fundamental science of carbon
dioxide reduction, a critical need for efficient solar-driven production of carbon-based liquid transportation fuels.
Based on the outcome of external peer review, the Fuels from Sunlight Hub was renewed by BES for a final five-year award
term starting on September 30, 2015, at an annual funding level of $15M. The renewal leverages accomplishments andinfrastructure from the initial award and maintains the unified operation led by Caltech in primary partnership with LBNL.
SLAC National Accelerator Laboratory, the University of California, Irvine, and the University of California, San Diego, also
remain as partners in the Hub. The objectives of the renewal project include the discovery and understanding of highly
selective catalytic mechanisms for carbon dioxide reduction and oxygen evolution operating under defined conditions;accelerated discovery of electrocatalytic and photoelectrocatalytic materials and light-absorber photoelectrodes forselective and efficient carbon dioxide reduction into hydrocarbon fuels; and, using JCAP prototypes, demonstration of highly
efficient and selective artificial photosynthetic carbon dioxide reduction and oxygen evolution components.
Computational Chemical Sciences
Computational Chemical Sciences is a new activity in FY 2017 to develop open-source modular software tools that can bereused as plug-and-compute tools for the basic energy sciences community in preparation for the arrival of exascalecomputing facilities and for the optimized usage of existing petascale computers, leveraging the U.S.’ leadership in thedevelopment of computational chemistry codes.
U.S. DOE Basic Energy Sciences Advisory Committee. New Science for a Secure and Sustainable Energy Future. U.S.
Department of Energy Office of Science, 2008.

aScience/Basic Energy Sciences77

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Software solutions and infrastructure as enabling tools are necessary components of an effective scientific strategy toaddress the nation’s energy challenges. Codes such as GAUSSIAN, GAMESS and NWChem have established U.S. dominancein computational chemistry; that leadership is now being challenged with the transition to predominantly massively-parallel
high performance computing platforms. Today’s best chemical simulation codes are currently unable to efficiently use morethan one percent of the processors available on existing leadership-class supercomputers. A systematic effort to modify orreplace existing computational chemistry codes with codes that are well-adapted to anticipated exascale architectures iscritically needed.
Recent breakthroughs in computational chemistry provide a strong foundation for future success in this activity. For
example, researchers developed a density-functional based predictive method with unprecedented accuracy for gas phasethermochemistry. This method is based upon a new and systematically improvable genomic framework and, for the firsttime, delivers energetics that rival those of the most-accurate wavefunction-based computational chemistry codes. Unlike
the latter, the new predictive paradigm can in principle be extended to methods that are amenable to atoms in the lower
half of the periodic table, and to structures composed of a solid-gas/liquid interface which are particularly important to thechemistry-based energy sciences. Such systems form the molecular building blocks for catalysts, gas-separation
technologies, and natural and artificial photosynthesis.
In this activity, computational chemists will deploy these capabilities in all major open-source chemical simulation-software
used by the community, rewrite software and algorithms to fully realize the current and future gains in efficiency offered bymassively parallel computing platforms and systematically alleviate the need to employ semi-empirical case-by-casecorrections. Tackling these enormously complex challenges will require multi-investigator teams to combine theoretical,
computational and algorithmic advances to jointly increase by at least 1,000 times the accuracy and speed of molecular andchemical design.
General Plant Projects (GPP)
GPP funding is provided for minor new construction, for other capital alterations and additions, and for improvements toland, buildings, and utility systems at the Ames Laboratory. Funding of this type is essential for maintaining the productivity
and usefulness of Department-owned facilities and for meeting requirements for safe and reliable facilities operation. The
total estimated cost of each GPP project will not exceed $10,000,000.

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FY 2017 Congressional Budget Justification

Basic Energy Sciences
Chemical Sciences, Geosciences, and Biosciences
Activities and Explanation of Changes
Explanation of Changes
FY 2017 vs FY 2016

FY 2016 Enacted

FY 2017 Request

Chemical Sciences, Geosciences, and Biosciences$312,061,000
Fundamental Interactions Research $74,599,000
Research continues to develop and apply forefront
ultrafast x‐ray and optical probes of matter, utilizing
the LCLS, BES synchrotron light sources, and table‐top
laser‐based ultrafast light sources, to probe andcontrol atomic, molecular, nanoscale and mesoscalematter. The program continues to develop advanced
theoretical methods to guide and interpret ultrafast
measurements and to design new experiments. It also
continues to emphasize time‐resolved electron and x‐
ray probes of matter at unprecedented short timescales and in systems of increasing complexity.
Computational efforts stress the development of
improved methods to calculate electronically excitedstates in molecules and extended mesoscale systems.
Work continues on advanced combustion research toaccelerate the predictive simulation of highly efficientand clean internal combustion engines. Increased
emphasis is on investigating properties of combustionin high‐pressure or multiphase systems. The program
deemphasizes research at the interface of nanoscience
with molecular physics.

$387,356,000$79,233,000
Research will continue to develop and apply forefront
ultrafast x‐ray and optical probes of matter using the
LCLS, BES synchrotron light sources, and table‐top
laser‐based ultrafast light sources to probe and control
atomic, molecular, nanoscale and mesoscale matter.
The program will continue to develop advanced
theoretical methods to guide and interpret ultrafast
measurements and to design new experiments. It will
also continue to emphasize the development of novel
instrumentation for time‐resolved electron and x‐rayprobes of matter at ultrafast time scales and insystems of increasing complexity. Computational
efforts will stress the development of improved
methods to calculate electronically excited states inmolecules and to characterize and model chemicalsystems. Work will continue on advanced combustion
research to accelerate the predictive simulation ofhighly efficient and clean internal combustion engines.
The program will place Increased emphasis on
investigating properties of combustion in high‐pressure or multiphase systems.

+$75,295,000+$4,634,000
Research support increases compared to the FY 2016
Enacted level to include a new multidisciplinary effort
in energy efficiency with the goal to develop operating
conditions compatible with new catalysts andrenewable fuels in combustion engines. To maintainsupport for forefront research in ultrafast science, theFY 2017 program deemphasizes research on ultra-cold
molecules and molecular and particle spectroscopy.
The program also supports investments in predictive
theory and modeling to guide and interpret
increasingly complex measurements of chemical
processes in preparation for the arrival of exascalecomputing capabilities through the proposed
Computational Chemical Sciences program.

Chemical Transformations Research $92,341,000
Synthesis, guided by theory and computation,
continues to explore novel catalytic materials at thenano- and mesoscale for the efficient conversion of
traditional and new feedstocks into higher-value fuels
and other chemicals. The program emphasizes
catalytic conversion of biomass to fuels and otherenergy related chemical products as well as the search$106,423,000
Guided by theory and computation, the research willcontinue to design and synthesize novel catalytic
materials at the nano- and mesoscale for the efficientconversion of traditional and new feedstocks intohigher-value fuels and other chemicals, with a newemphasis on energy efficiency. The program willcontinue to emphasize the catalytic conversion of+$14,082,000
The funding increase will enhance this program’scontribution to the Subsurface crosscut with anemphasis on fundamental geochemistry andgeophysics, specifically subsurface fluid flow andcomplex chemistry on timescales of microseconds tomillennia with importance for oil and gas production,
geothermal energy, carbon capture and storage, andScience/Basic Energy Sciences79

FY 2017 Congressional Budget Justification

Explanation of Changes
FY 2017 vs FY 2016
for catalysts for new ammonia production routes that biomass and light alkanes to fuels and other energy
nuclear waste disposal. In addition, the increase will
avoid the generation of greenhouse gases. To support related chemical products. Likewise, coupled
support new directions in energy efficiency andthese new emphases, the program will deemphasize
predictive theory and synthesis of designer
chemistry in extreme environments. The program will
the development of mass spectrometric techniques.
mesoporous membranes and filter materials will
target new catalysts capable of operating at low
Likewise, coupled predictive theory and synthesis ofcontinue to seek more efficient separation of carbon
temperatures and inspired by natural systems, as welldesigner mesoporous membranes and filter materials dioxide and environmentally malign products ofas synergistic approaches such as electro- andseek more efficient separation of carbon dioxide from combustion from conventional or advanced power
photoelectrocatalysis. This research is a crosspower plant effluents or of oxygen from air relevant to plants. Subsurface geochemistry and geophysics will
disciplinary effort between the Chemical
oxycombustion approaches. Subsurface geochemistry seek to provide data and mechanistic interpretation
Transformations and the Photochemistry andand geophysics seek to provide data and mechanistic
for models of reactive flow and transport important
Biochemistry Research areas. Chemistry research ininterpretation for models of reactive flow andfor waste sequestration and extraction of tight gas and extreme environments focuses on elucidating thetransport important for carbon sequestration andoil. Actinide research will continue to emphasize newnature, dynamics, and kinetics of complex chemical
extraction of tight gas and oil. Actinide research
insights in actinides chemical bonding enabling newprocesses in the highly radiative nuclear waste
continues to emphasize new insights in actinides
chemistry for separation and related nuclear fuel and environment. Understanding such processes is further
chemical bonding enabling new chemistry for
waste processes, particularly using ionic liquids.
complicated by the involvement of f-electrons forseparation and related nuclear fuels and waste form
Fundamental research activities in geochemistry andheavy elements. Research in this area will focus on theprocesses especially using ionic liquids. Fundamental
geophysics of the subsurface will continue in FY 2017bonding, chemical reactivity, and the design ofresearch activities in geochemistry and geophysics ofin parallel with efforts in other offices as coordinatedselective agents to extract unwanted species from thethe subsurface continues in parallel with efforts inby the Subsurface crosscut.
waste mixture. Investments in mass spectrometricother offices as coordinated by the Subsurface
tools will be deemphasized since it has reached a highScience, Technology and Engineering R&D (Subsurface)level of technical maturity.
crosscut.
FY 2016 Enacted

FY 2017 Request

Photochemistry and Biochemistry Research$64,189,000
Research continues to emphasize a fundamental
understanding of light energy capture and conversion
in non-biological and biological (photosynthetic)
systems. These studies will establish a foundation for
direct conversion of solar energy to electricity, fuels,and high value chemicals. The program continues tosupport efforts in computation and modeling as suchapproaches can facilitate design and fabrication ofsemiconductor/polymer interfaces, dye-sensitizedsolar cells, inorganic-organic molecular complexes,
and bio-inspired/biohybrid light harvesting complexes.
The program continues to emphasize research to$71,197,000
Research will continue to emphasize a fundamental
understanding of light energy capture and conversion
in non-biological and biological (photosynthetic)
systems. These studies will establish a foundation for
direct conversion of solar energy to electricity, fuels,and high value chemicals. The program will continue tosupport efforts in computation and modeling as suchapproaches can facilitate design and fabrication ofsemiconductor/polymer interfaces, dye-sensitizedsolar cells, inorganic-organic molecular complexes,
and bio-inspired/biohybrid light harvesting complexes.
Continued work in electrochemistry and

Science/Basic Energy Sciences

80+$7,008,000
Research support is increased compared to the
FY 2016 Enacted level to include a new
multidisciplinary effort in energy efficiency andchemistry in extreme environments. This research ispart of a synergistic cross-disciplinary effort between
the Photochemistry and Biochemistry Research andChemical Transformations Research areas to establish
energy efficient catalysts and understand chemical
dynamics during energy conversion and in radiativeenvironments, building on the expertise in radiation
chemistry, photo(electro) catalysis, and enzymemediated (biological) catalysis. Such research can span
FY 2017 Congressional Budget Justification

FY 2016 Enacted
understand the fundamental mechanisms of watersplitting, redox, cell wall biosynthesis, and otherenergy-relevant biological (enzymatic) reactions, fromthe nano- to the mesoscale. These studies provide
new insights for developing novel bio-inspired
catalysts based on earth-abundant materials and forcontrolling and optimizing chemical reactions
important for energy capture, conversion, andstorage. The program deemphasizes research on
fundamental mechanisms of carbon capture.

Energy Frontier Research Centers (EFRCs) $54,200,000
The EFRCs continue to perform fundamental multidisciplinary research aimed at accelerating scientificinnovation. All EFRCs undergo a mid-term review in
FY 2016 to assess progress toward meeting scientificresearch goals. DOE issues a Funding Opportunity
Announcement for up to five new EFRC awards in
FY 2016.

Energy Innovation Hubs—Fuels From Sunlight$15,000,000
The Fuels from Sunlight Hub was renewed for a final
award term of up to 5 years starting in September
2015. Research in the renewal focuses on thefundamental science needed to enable efficient,
Science/Basic Energy Sciences

Explanation of Changes
FY 2017 vs FY 2016
photocatalysis will seek to advance development ofdifferent time and spatial scales, for instance fromsolar energy conversion for generation of electricity
understanding electron dynamics to determining
and chemical fuels, as will research to identify andmechanisms important for efficient complex assembly
characterize potential new mechanisms, such as
and function. The program will deemphasize efforts inperovskites, to increase efficiency of solar energy
the study of plant hormones, biotic stress and on theconversion and use. The program will continue todevelopment of genetic systems to allow investmentsemphasize research to understand the fundamental
in the basic research of dye-sensitized solar cells andmechanisms of water-splitting, redox, dynamical
the analysis of the structure, function, and mechanism
complex assembly, electron and other energy-relevant of enzymes that mediate the flow of electrons inbiological (enzymatic) reactions, from the nano- to the biological systems.
mesoscale. These studies will provide insights fordeveloping novel bio-inspired catalysts based onearth-abundant materials and for controlling andoptimizing chemical reactions important for energy
capture, conversion, and storage.
FY 2017 Request$86,766,000
FY 2017 funds will provide the fourth year of funding
for awards made in FY 2014 as well as the second yearof funding for new awards made in FY 2016. New
funds in FY 2017 will fully support up to five new
EFRCs related to the Subsurface crosscut to develop
experimental imaging tools and computational
approaches broadly applicable to the field of
subsurface science.

+$32,566,000
The funding increase will enhance the BES
contribution to the Subsurface crosscut by addressing
the grand challenge “Advanced imaging of geophysicaland geochemical signals in the subsurface,” with afocus on fracture networks, associated fluid flow andreaction, and the gaps in fidelity, resolution, andconceptual understanding of subsurface imaging in
hard-to-access environments. Funds are requested toenable up to five new awards for multidisciplinary
teams from DOE laboratories, industry, and academia
to work closely with field-based projects to address
the grand challenge identified in the 2015 Subsurface
strategic planning workshops.

$15,000,000$0The Fuels from Sunlight Hub will continue to perform
Research support is flat with the FY 2016 Enacted
research on the fundamental science of carbon dioxide level.
reduction needed to enable efficient, sustainablesolar-driven production of liquid transportation fuels.

81

FY 2017 Congressional Budget Justification

FY 2016 Enacted

FY 2017 Request

Explanation of Changes
FY 2017 vs FY 2016sustainable and scalable photochemical reduction of
JCAP will undergo a scientific and merit review incarbon dioxide for production of liquid transportation FY 2017 to assess progress toward meeting project
fuels. The renewal allows JCAP to further advance
milestones and goals.
research efforts addressing critical needs in solar fuels
development and to capitalize on its achievements andinfrastructure development from the initial funding
period. JCAP undergoes a scientific and merit review in
FY 2016 to assess progress toward meeting project
milestones and goals.
Computational Chemical Sciences $0
N/A$13,635,000
A new investment in Computational Chemical Sciences
will develop open-source modular software tools thatcan be reused and tailored for the specific needs ofthe basic research community, essentially acting as“plug-and-compute” tools. While the U.S. is a leader inthe development of computational chemistry codessuch as GAUSSIAN, GAMESS, and NWChem, U.S.
leadership is being challenged with the transition to
predominantly massively-parallel computer platforms.
The best chemical simulation codes are currently
unable to efficiently use more than one percent of theprocessors available on existing leadership computers.
A systematic effort to modify or replace existing
computational chemistry codes with codes that are
well-adapted to anticipated exascale architectures iscritically needed. This investment will build on current
quantum chemistry software, seeking to create newcodes that fully leverage massively-parallel highperformance computing platforms.

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

Science/Basic Energy Sciences

82+$13,635,000
This new activity readies the computational chemistrycommunity for the arrival of exascale computer
systems and optimizes the use of current petascale
capabilities of DOE’s Leadership Computing Facilities
as an enabling tool for the development of newquantum chemical codes to predict, model and solve
complex chemical problems.
BES will start extending the quantum chemistry codes
to other systems, including processes in molecularcomplexes composed of atoms in the lower two-thirdsof the periodic table (i.e., belonging to the d- and fblock elements). Topical areas of emphasis will also
include membranes and structures composed of asolid-gas/liquid interface. Advances in these areas are
particularly important to the chemistry-based energy
sciences, as such systems form the molecular building
blocks for catalysts, gas-separation technologies, andnatural and artificial photosynthesis.
$0
Funding is flat with the FY 2016 Enacted level.

FY 2017 Congressional Budget Justification

Basic Energy Sciences
Scientific User Facilities
Description
The Scientific User Facilities subprogram supports the operation of a geographically diverse suite of major research facilities
that provide thousands of researchers from universities, industry, and government laboratories unique tools to advance awide range of sciences. These user facilities are operated on an open access, competitive merit review basis, enabling
scientists from every state and many disciplines from academia, national laboratories, and industry to utilize the facilities’
unique capabilities and sophisticated instrumentation.
Studying matter at the level of atoms and molecules requires instruments that can probe structures that are one thousand
times smaller than those detectable by the most advanced light microscopes. Thus, to characterize structures with atomic
detail, we must use probes such as x-rays, electrons, and neutrons with wavelengths at least as small as the structures being
investigated. The BES user facilities portfolio consists of a complementary set of intense x-ray sources, neutron scattering
centers, and research centers for nanoscale science. These facilities allow researchers to probe materials in space, time, andenergy with the appropriate resolutions that can interrogate the inner workings of matter to answer some of the mostchallenging grand science questions. By taking advantage of the intrinsic charge, mass, and magnetic characteristics of
x-rays, neutrons, and electrons, these tools offer unique capabilities to help understand the fundamental aspects of thenatural world.
Advances in tools and instruments often drive scientific discovery. The continual development and upgrade of the
instrumental capabilities include new x-ray and neutron experimental stations, improved core facilities, and new standalone instruments. The subprogram also supports research in accelerator and detector development to explore technology
options for the next generations of x-ray and neutron sources.
In FY 2015, the BES scientific facilities were used by more than 14,000 scientists and engineers in many fields of science andtechnology. These facilities provide unique capabilities to the scientific community and industry and are a criticalcomponent of maintaining U.S. leadership in the physical sciences. Collectively, these user facilities and enabling tools
contribute to important research results that span the continuum from basic to applied research and embrace the full rangeof scientific and technological endeavors, including chemistry, physics, geology, materials science, environmental science,
biology, and biomedical science. These capabilities enable scientific insights that can lead to the discovery and design ofadvanced materials and novel chemical processes with broad societal impacts, from energy applications to information
technologies and biopharmaceutical discoveries. The advances enabled by these facilities extend from energy-efficient
catalysts for clean energy production to spin-based electronics and new drugs for cancer therapy. For approved, peerreviewed projects, operating time is available at no cost to researchers who intend to publish their results in the open
literature.
Synchrotron Radiation 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 synchrotron 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 andarrangement of atoms in a wide range of materials. The tiny wavelength of x-rays allows us to see things that visible lightcannot resolve, such as the arrangement of atoms in metals, semiconductors, biological molecules, and other materials. The
fundamental tenet of materials 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 thatstructure can be manipulated to construct materials with particular desired behaviors. To this end, synchrotron radiation has
transformed the role of x-rays as a mainline tool for probing the atomic and electronic structure of materials internally andon their surfaces.
From its first systematic use as an experimental tool in the 1960s, synchrotron radiation has vastly enhanced the utility ofpre-existing and contemporary techniques, such as x-ray diffraction, x-ray spectroscopy, and imaging and has given rise toscores 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 of particular
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experiments. Together with additional features, such as controllable polarization, coherence, and ultrafast pulsed time
structure, these characteristics make synchrotron radiation the x-ray source of choice for a wide range of materials research.
The wavelengths of the emitted photons span a range of dimensions from the atom to biological cells, thereby providing
incisive probes for advanced research in a wide range of areas, including materials science, physical and chemical sciences,metrology, geosciences, environmental sciences, biosciences, medical sciences, and pharmaceutical sciences.
BES operates a suite of five light sources, including a free electron laser, the Linac Coherent Light Source (LCLS) at SLAC
National Accelerator Laboratory (SLAC) and four storage ring based light sources—the Advanced Light Source (ALS) at
Lawrence Berkeley National Laboratory (LBNL), Advanced Photon Source (APS) at Argonne National Laboratory (ANL),
Stanford Synchrotron Radiation Lightsource (SSRL) at SLAC, and the newly constructed National Synchrotron Light Source-II(NSLS-II) at Brookhaven National Laboratory (BNL). Funds are provided to support facility operations, enable cutting-edge
research and technical support, and to administer a robust user program at these facilities, which are made available to all
researchers with access determined via peer review of user proposals.
High Flux Neutron Sources
One of the goals of modern materials science is to understand the factors that determine the properties of matter on theatomic scale and to use this knowledge to optimize those properties or to develop new materials and functionality. This
process regularly involves the discovery of fascinating new physics, which itself may lead to previously unexpected
applications. Among the different probes used to investigate atomic-scale structure and dynamics, thermal neutrons haveunique advantages:


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



they have no charge, allowing deep penetration into a bulk material;they are scattered to a similar extent by both light and heavy atoms but differently by different isotopes of the sameelement, so that different chemical sites can be distinguished via isotope substitution experiments, for example inorganic and biological materials;

they have a magnetic moment, and thus can probe magnetism in condensed matter systems; and

their scattering cross-section is precisely measurable on an absolute scale, facilitating straightforward comparison withtheory and computer modeling.

The High Flux Isotope Reactor (HFIR) at Oak Ridge National Laboratory (ORNL) generates neutrons via fission in a research
reactor. HFIR operates at 85 megawatts and provides state-of-the-art facilities for neutron scattering, materials irradiation,and neutron activation analysis. It is the world’s leading production source of elements heavier than plutonium for medical,
industrial and research applications. There are 12 instruments in the user program at HFIR and the adjacent cold neutron
beam guide hall, which include world-class inelastic scattering spectrometers, small angle scattering, powder and single
crystal diffractometers, neutron imaging, and an engineering diffraction machine.
Another approach for generating neutron beams is to use an accelerator to generate protons that strike a heavy-metaltarget. As a result of the impact, neutrons are produced in a process known as spallation. The Spallation Neutron Source(SNS) at ORNL is the world’s brightest pulsed neutron facility and presently includes 19 instruments. These instruments
include very high resolution inelastic and quasi-elastic scattering capabilities, powder and single crystal diffraction, polarized
and unpolarized beam reflectometry, spin echo and small angle scattering spectrometers. A full suite of high and low
temperature, high magnetic field, and high pressure sample environment equipment is available on each instrument. All the
SNS instruments are in high demand by researchers world-wide in a range of disciplines from biology to materials sciences
and condensed matter physics.
Nanoscale Science Research Centers (NSRCs)
Nanoscience is the study of materials and their behaviors at the nanometer scale—probing and assembling single atoms,
clusters of atoms, and molecular structures. The scientific quest is to design new nanoscale materials and structures not
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found in nature, and observe and understand how they function and interact with their environment. Developments at thenanoscale and mesoscale have the potential to make major contributions to delivering remarkable scientific discoveries thattransform our understanding of energy and matter and advance national, economic, and energy security.
The NSRCs are DOE’s premier user facilities for interdisciplinary research at the nanoscale, serving as the basis for a national
program that encompasses new science, new tools, and new computing capabilities. They are a different class of facility
than the x-ray and neutron sources, as NSRCs are not based on a large accelerator or reactor but are comprised of a suite ofsmaller unique tools and expert scientific staff. The five NSRCs are the Center for Nanoscale Materials at ANL, Center for
Functional Nanomaterials at BNL, Molecular Foundry at LBNL, Center for Nanophase Materials Sciences at ORNL, and Center
for Integrated Nanotechnologies at SNL and LANL. Each center has particular expertise and capabilities, such as
nanomaterials synthesis and assembly; theory, modeling and simulation; imaging and spectroscopy including electron
microscopy; 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 andleverage the capabilities of the NSRCs. These laboratories contain clean rooms, nanofabrication resources, one-of-a-kindsignature instruments, and other instruments not generally available except at major user facilities. The NSRC electron
microscopy capabilities provide superior atomic-scale spatial resolution and the ability to simultaneously obtain structural,chemical, and other types of information from sub-nanometer regions at short time scales. Operating funds are provided toenable cutting-edge research and technical support and to administer a robust user program at these facilities, which are
made available to academic, government, and industry researchers with access determined through external peer review ofuser proposals.
Other Project Costs
The total project cost (TPC) of DOE’s construction projects comprises two major components—the total estimated cost (TEC)
and other project costs (OPC). The TEC includes project costs incurred after Critical Decision-1, such as costs associated withall engineering design and inspection; the acquisition of land and land rights; direct and indirect construction/fabrication;and the initial equipment necessary to place the facility or installation in operation; and facility construction costs and othercosts specifically related to those construction efforts. OPC represents all other costs related to the projects that are notincluded in the TEC. Generally, other project costs are incurred during the project’s initiation and definition phase forplanning, conceptual design, research, and development, and during the execution phase for research and development,
startup, and commissioning. OPC is always funded via operating funds.
Major Items of Equipment
BES supports major item of equipment (MIE) projects to ensure the continual development and upgrade of major scientificinstrument capabilities, including fabricating new x-ray and neutron experimental stations, improving core facilities, andproviding new stand-alone instruments. In general, each MIE with a total project cost greater than $5,000,000 and all line
item construction projects follow the DOE Project Management Order 413.3B, which requires formal reviews to obtain
critical decisions that advance the development stages of a project. Additional reviews may be required depending on thecomplexity and needs of the projects in question.
Research
This activity supports targeted basic research in accelerator physics, x-ray and neutron detectors, and developments ofadvanced x-ray optics. Accelerator research is the cornerstone for the development of new technologies that will improve
performance of accelerator-based light sources and neutron scattering facilities. Research areas include ultrashort pulse
free electron lasers (FELs), new seeding techniques and other optical manipulation to reduce the cost and complexity andimprove performance of next generation FELs, and development of intense laser-based THz sources to study nonequilibrium behavior in complex materials. Detector research is a crucial component to enable the optimal utilization ofuser facilities, together with the development of innovative optics instrumentation to advance photon-based sciences, anddata management techniques. The emphasis of the detector activity is on research leading to new and more efficientphoton and neutron detectors. X-ray optics research involves development of systems for time-resolved x-ray science that
preserve the spatial, temporal, and spectral properties of x-rays. Research includes studies on creating, manipulating,transporting, and performing diagnostics of ultrahigh brightness beams and developing ultrafast electron diffraction systems
that complement the capabilities of x-ray FELs. This activity also includes research in sophisticated data management tools
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to address the vastly accelerated pace and volume of data generated by faster, higher resolution detectors and brighter lightsources. This activity also supports training in the field of particle beams and their associated accelerator technologies.
This activity also supports long term surveillance and maintenance (LTS&M) responsibilities and legacy cleanup work at
Brookhaven National Laboratory and SLAC National Accelerator Laboratory.

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Basic Energy Sciences
Scientific User Facilities
Activities and Explanation of Changes
Explanation of Changes
FY 2017 vs FY 2016

FY 2016 Enacted

FY 2017 Request

Scientific User Facilities $966,849,000
Synchrotron Radiation Light Sources $481,906,000
Funding supports near optimal operations of the five
BES light sources, including the first full year ofoperations for the newly constructed NSLS-II. No
funding is provided for NSLS as it ceased operations in
FY 2015. $5M is for R&D in support of the Advanced
Light Source Upgrade.

$963,529,000$489,059,000
The FY 2017 Request includes funding for optimal
operations of the five BES light sources to fully support
research, including clean energy research. These fiveoperating facilities together are responsible for almost
75% of the total users of BES national user facilities. It
is essential that these facilities be fully staffed and thatfunding be provided for high-priority upgrades ofbeam lines and other equipment essential for theusers’ research. The request also includes funds toexpand the beamline capabilities for the newly
constructed NSLS-II and to enhance the ability of users
to perform cutting-edge research at the only freeelectron laser x-ray source in the U.S.

-$3,320,000+$7,153,000
The funding increase will support optimal operations
and allow the facilities to proceed with necessary
maintenance, routine accelerator and instrumentation
improvements, and crucial staff hires or replacements.
The request will support the development of
beamlines for the newly constructed NSLS-II based onreconfigured equipment from NSLS that will make useof the high brightness available at NSLS-II.

High-Flux Neutron Sources $264,645,000
Funding supports the operation of HFIR and SNS atnear optimal levels. Limited funding is included for the
Lujan Neutron Scattering Center for the removal ofhazardous materials and planning of the disposition ofunused equipment. $10M is provided to accelerate theprogress towards critical decision-1 for the Second
Target Station at SNS.

$261,177,000
The FY 2017 Request includes funding for optimal
operation of HFIR and SNS at Oak Ridge National
Laboratory (ORNL) to fully support research, including
clean energy research. Part of this funding supports
selected strategic hires at the neutron facilities toenhance the overall scientific impact and breadth of
the facility research program and to increase
collaborative programs with the ORNL Center for
Nanophase Materials Science. The funding will allow
purchase and installation of additional detectors on
selected instruments at the SNS to increase theiroverall productivity and will also fund other criticallyneeded high priority instrument enhancements. At
HFIR, the FY 2017 Request also funds critical upgrades
to older triple axis spectrometers to improve
resolution and data collection efficiency. The request-$3,468,000
The funding increase will support optimal operations
and necessary maintenance of the neutron sources,
high priority upgrades to instruments, and crucial staff
hires or replacements.

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FY 2017 Congressional Budget Justification

FY 2016 Enacted

FY 2017 Request

Explanation of Changes
FY 2017 vs FY 2016

also includes funds for planning and initial dispositionof unused equipment at the Lujan Center.
Nanoscale Science Research Centers $118,763,000
Funding supports operations at the NSRCs at near
optimal levels. Program emphasis continues tocultivate and expand the user base from universities,
national laboratories, and industry. Planning efforts
continue to advance the cutting-edge nanostructure
characterization capabilities, with an emphasis on
coupling multi-probes of photon, neutron, andelectron, and planning for future electron scatteringneeds that could address scientific roadblocks toward
observing ultrafast chemical and physical phenomena
at ultra-small size scales in different sample
environments.

$122,272,000
The Request includes funding for optimal operations of
the five Nanoscale Science Research Centers to fully
support research, including clean energy research.
Funding will be used to exploit synergies between the
NSRCs and major co-located x-ray, neutron,
computation and fabrication facilities including
developing new beamlines. These efforts build tools
and capabilities to address challenges in characterizing
ultrafast chemical and physical nanoscale phenomena
in real environments. Joint activities involving all
NSRCs such as workshops will be continued.

+$3,509,000
The funding increase will support optimal operations
and instrument repairs, and replacement. Some NSRCs
will begin developing joint capabilities with their colocated facilities.

Other Project Costs $0
No funds are requested for Other Project Costs.

$0
No funds are requested for Other Project Costs.

$0
No funds are requested.

Major Items of Equipment $35,500,000
The Advanced Photon Source-Upgrade (APS-U) projectcontinues with planning and facility design, magnet
prototyping, and research and development related to
implementation of the multi-bend achromat latticeduring FY 2016.

$20,000,000
APS-U will continue activity associated with R&D,
engineering design, equipment prototyping andequipment fabrication in preparation for long leadprocurements in FY 2017.

-$15,500,000
The FY 2017 Request for APS-U is flat compared to the
FY 2016 Enacted level.

The NSLS-II Experimental Tools (NEXT) projectcontinues with the design, procurements,
construction/fabrication, installation, testing andcommissioning of equipment during FY 2016.

No funds are requested for NEXT in FY 2017. NEXT willcontinue with the remaining design, procurements,
construction/fabrication, installation, testing andcommissioning of equipment during FY 2017. The
project will complete by the end of FY 2017.

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

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88

FY 2017 Congressional Budget Justification

FY 2016 Enacted

FY 2017 Request

Research $34,853,000
The research funding for the scientific user facilities
continues to support selected, high-priority research
activities. This funding supports activities to ensurethat the scientific user facilities continue todemonstrate performance excellence, with focused
efforts to address next generation facilities researchneeds. Emphasis is placed on detectors and optics
instrumentation to allow full utilization of neutron andphoton beams. Funding to continue the long term
surveillance and maintenance responsibilities at BNLand SLAC is included.

$37,537,000
The FY 2017 Request will allow concerted efforts ininnovative concepts in beam acceleration techniquesand expanded development of advanced
instrumentation for beam characterization,measurement, and control to enable the full utilizationof the high flux, brilliance, and ultra-short pulses
provided by the new light sources, and increased
intensity at the neutron sources. As part of the
Presidential BRAIN Initiative and in close coordination
with the National Institutes of Health (NIH), BES willdevelop next generation tools and technologies at DOE
X-ray Light Sources and Nanoscale Science ResearchCenters to enable advances in brain imaging andsensing. The research will focus on developing novel
tools and bio-compatible nano-materials to improve
the sensitivity and the spatial and temporal resolutionof imaging and sensing of neural transmission, and on
developing bio-compatible nanomaterials for studying
these systems with potential for use in medicine.
Funding to continue the long term surveillance andmaintenance responsibilities at BNL and SLAC isincluded.

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89

Explanation of Changes
FY 2017 vs FY 2016+$2,684,000
The increase supports development of tools andtechnologies related to the Presidential BRAIN
Initiative as well as novel methods of beam
acceleration and additional development of
instruments and techniques to measure and control
particle and photon beams. Funding for long term
surveillance and maintenance is reduced according toproject needs.

FY 2017 Congressional Budget Justification

90

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.
Taking the findings and recommendations of the July 25, 2013 BES Advisory Committee report into account, the Linac
Coherent Light Source-II (LCLS-II) project was modified to include the addition of a superconducting linear accelerator andadditional undulators to generate an unprecedented high-repetition-rate free-electron laser. This new, world-leading, highrepetition-rate x-ray source will solidify the LCLS complex as the world leader in ultrafast x-ray science for decades to come.
In April 2015, the Office of Science conducted an external Independent Project Review (IPR) to assess the project's readinessfor Critical Decision-3B (CD-3B), Approve Long Lead Procurements. Based on the positive IPR review outcome, the CD-3B
was approved on May 28, 2015 which authorized long lead and advanced procurements for key components of the
cryoplant and the superconducting linac which are on the critical path for the project. The IPR committee also
recommended increasing the cryoplant refrigeration capacity to mitigate technical risks. The recommendation was acceptedby BES and the project and led to an increase of the preliminary total project cost (TPC) point estimate from $965,000,000
to $1,045,000,000.
All BES construction projects are conceived and planned with the scientific community and, during construction, adhere to
the highest standards of safety and are executed on schedule and within cost through best practices in project
management. In accordance with DOE Order 413.3B, each project is closely monitored and must perform within 10% of thecost and schedule performance baselines, established at Critical Decision 2, Approve Performance Baseline, and which are
reproduced in the construction project data sheet.

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FY 2017 Congressional Budget Justification

Activities and Explanation of Changes

Basic Energy Sciences
Construction

FY 2016 Enacted

FY 2017 Request

Construction $200,300,000
Linac Coherent Light Source-II (LCLS-II) $200,300,000
The project continues with facility design, initiates
critical long-lead procurements of technical materials
and cryogenic systems, continues research anddevelopment and prototyping activities, and fabricatestechnical equipment during FY 2016.

$190,000,000$190,000,000
The FY 2017 Request supports the continuation of theconstruction effort according to the project plan.

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92

Explanation of Changes
FY 2017 vs FY 2016-$10,300,000-$10,300,000
The FY 2017 Request decreases compared to the
FY 2016 Enacted level.

FY 2017 Congressional Budget Justification

Basic Energy Sciences
Performance Measures
In accordance with the GPRA Modernization Act of 2010, the Department sets targets for, and tracks progress toward, achieving performance goals for each program.
The following table shows the targets for FY 2015 through FY 2017. Details on the Annual Performance Report can be found at http://energy.gov/cfo/reports/annualperformance-reports.

Performance
Goal (Measure)
TargetResultEndpoint Target

FY 2015
FY 2016
FY 2017
BES Facility Operations—Average achieved operation time of BES user facilities as a percentage of total scheduled annual operation time
≥ 90%
≥ 90%
≥ 90%
Met
TBD
TBD
Many of the research projects that are undertaken at the Office of Science’s scientific user facilities take a great deal of time, money, and effort toprepare and regularly have a very short window of opportunity to run. If the facility is not operating as expected, the experiment could be ruined or
critically set back. In addition, taxpayers have invested millions or even hundreds of millions of dollars in these facilities. The greater the period of
reliable operations, the greater the return on the taxpayers’ investment.

Performance
Goal (Measure)
TargetResultEndpoint Target

BES Facility Construction/MIE Cost & Schedule—Cost-weighted mean percent variance from established cost and schedule baselines for major
construction, upgrade, or equipment procurement projects.
< 10%
< 10%
< 10%
Met
TBD
TBD
Adhering to the cost and schedule baselines for a complex, large scale, science project is critical to meeting the scientific requirements for the project
and for being good stewards of the taxpayers’ investment in the project.

Performance
Goal (Measure)
TargetBES Energy Storage—Deliver two high-performance research energy storage prototypes for transportation and the grid that project at the battery
pack level to be five times the energy density at 1/5 the cost of the 2011 commercial baseline.
Through the “electrolyte genome,” demonstrate Complete self-consistent system analyses using Develop and demonstrate energy storagea framework for designing new electrolytes
techno-economic modeling of threeresearch prototypes that are scalable forusing structure-chemical trends extracted from electrochemical couples, identified throughtransportation and grid applications using>10,000 first-principles calculated molecularmaterials discovery including output from theconcepts beyond lithium ion (multivalent ions,motifs, modifications and mutations.
electrolyte genome, that have the potential tochemical transformation, and non-aqueous
meet technical performance and cost criteria.
redox flow), as identified through materials
discovery and techno-economic modeling.
Met
TBD
TBD
Deliver two high-performance research prototypes for transportation and the grid that project at the battery pack level to be five times the energy
density at 1/5 the cost of the 2011 commercial baseline. The performance goal will be achieved by the Batteries and Energy Storage Energy
Innovation Hub.

ResultEndpoint Target

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FY 2017 Congressional Budget Justification

Basic Energy Science
Capital Summary ($K)
Total

Prior Years

FY 2015
EnactedFY 2015
Current

FY 2016
EnactedFY 2017
RequestFY 2017 vsFY 2016

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

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

48,100600
9,925
58,625

67,1051,800
5,150
74,05541,0001,000
9,425
51,42529,5001,000
13,00043,500-11,500
0+3,575-7,925

TBD—
90,000n/an/an/a

68,50085,60052,000n/an/an/a

20,000022,50042,5005,600
48,10020,000022,50042,50024,605
67,10520,000015,50035,5005,500
41,00020,0000
020,0009,500
29,5000
0-15,500-15,500+4,000-11,500

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

n/a

n/a

600

1,800

1,000

1,000

0

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

n/a

n/a

9,925

5,150

9,425

13,000+3,575

Capital Operating Expenses Summary
Capital Equipment
General Plant Projects (GPP)
Accelerator Improvement Projects (AIP)
Total, Capital Operating Expenses
Capital Equipment
Major Items of Equipment
Advanced Photon Source Upgrade (APS-U), ANL (TPC TBD) a
Linac Coherent Light Source-II (LCLS-II), SLAC b,c
NSLS-II Experimental Tools (NEXT), BNL (TPC $90,000)
Total, Major Items of Equipment
Total, Non-MIE Capital Equipment
Total, Capital equipmentaFollowing the July 2013 BESAC report on Future X-Ray Light Sources, the APS-U project has been rescoped to upgrade to a fourth generation storage ring andbeamlines.
b
LCLS-II is requested as a line item construction project beginning in FY 2014.
c
LCLS-II received $85,600,000 in FY 2010–FY 2013 as an MIE.
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FY 2017 Congressional Budget Justification

Major Items of Equipment Descriptions
Advanced Photon Source Upgrade (APS-U)
The Advanced Photon Source Upgrade (APS-U) MIE supports activities to develop, design, build, install, and test theequipment necessary to upgrade an existing third-generation synchrotron light source facility, the Advanced Photon Source(APS). The FY 2017 Request for the APS-U is $20,000,000, which is flat compared to the FY 2016 Enacted level. The APS is
one of the Nation’s most productive x-ray light source facilities, serving over 5,000 users annually and providing key
capabilities to enable forefront scientific research in a broad range of fields of physical and biological sciences. The APS isthe only hard x-ray 7 GeV source in the U.S. and one of only four in the world, along with the European Synchrotron
Radiation Facility (ESRF) in France, PETRA-III in Germany, and SPring-8 in Japan. In 2015 China announced its intention to
construct a fourth generation 6 GeV hard x-ray synchrotron light source. High-energy penetrating x-rays are critical for
probing materials under real working environments, such as a battery or fuel cell under load conditions. All three foreign
facilities are well into campaigns of major upgrades of beamlines and are also incorporating technological advancements inaccelerator science to enhance performance. With the ever increasing demand for higher penetration power for probing
real-world materials and applications, the higher energy hard x-rays (20 keV and above) produced at APS provide uniquecapabilities in the U.S. x-ray arsenal that are a pre-requisite for tackling the grand science and energy challenges of the 21stCentury. In response to the findings and recommendations of the July 25, 2013 BES Advisory Committee report, the APS-U
Project will upgrade the existing APS to 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. The APS-U will ensure that the APS remains
a world leader in hard x-ray science. The high-energy penetrating x-rays will provide a unique scientific capability directly
relevant to problems in energy, the environment, new and improved materials, and biological studies. The upgraded APS
will complement the capabilities of x-ray free electron lasers (e.g., the Linac Coherent Light Source and Linac Coherent Light
Source-II), which occupy different spectral, flux, and temporal range of technical specifications. The project is managed by
Argonne National Laboratory.
The National Synchrotron Light Source-II (NSLS-II) Experimental Tools (NEXT)The NSLS-II Experimental Tools (NEXT) MIE supports activities to add beamlines to the National Synchrotron Light Source-II(NSLS-II) Project. FY 2016 is the last year of construction funding for NEXT; no funding is requested in FY 2017. The NEXT
Project will provide NSLS-II with complementary best-in-class beamlines that support the identified needs of the U.S.
research community and the DOE energy mission. Implementation of this state-of-the-art instrumentation will significantly
increase the scientific quality and productivity of NSLS-II. In addition, the NEXT project will enable and enhance more
efficient operation of NSLS-II. The project is managed by Brookhaven National Laboratory.

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FY 2017 Congressional Budget Justification

Construction Projects Summary ($K)

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

Total

Prior Years

FY 2015
EnactedFY 2015
Current

FY 2016
EnactedFY 2017
RequestFY 2017 vsFY 2016

993,100
51,9001,045,000

142,700
28,600171,300 a

138,700
9,300
148,000

138,700
9,300
148,000

200,300
0200,300

190,0000
190,000-10,300
0-10,300

n/a
n/a
n/a

n/a
n/a
n/a

138,700
9,300
148,000

138,700
9,300
148,000

200,300
0200,300

190,0000
190,000-10,300
0-10,300

Funding Summary ($K)

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

FY 2015 Enacted
686,876
804,948
42,500148,000
50,876
1,733,200

FY 2015 Current
681,346
810,078
42,500148,000
1,000
1,682,924

FY 2016 Enacted
692,214865,31435,500200,300
55,672
1,849,000

FY 2017 Request
791,188872,508
20,000190,000
63,034
1,936,730

FY 2017 vs FY 2016
+98,974+7,194-15,500-10,300+7,362+87,730

LCLS-II received $85,600,000 in FY 2010-FY 2013 as an MIE.
Includes SBIR/STTR funding and non-Facility related GPP.

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FY 2017 Congressional Budget Justification

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

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

FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request

FY 2017 vs FY 2016

$60,500
2,400
N/A
5,000
5,300
94.3%
<10%

$61,250
2,560
5,770
5,000
5,300
108.9%<10%$68,050
2,450
N/A
5,200
5,300
98.1%
<10%

$64,950
2,400
N/A
5,000
5,000 a100%
<10%-$3,100
-50
N/A
-200
-300
N/A
N/A

Optimal hours decreased for scheduled maintenance.

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FY 2017 Congressional Budget Justification

Advanced Photon Source
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours

FY 2015 Enacted$124,815
5,000
N/A
5,000
5,000
100%
<10%

FY 2015 Current$125,540
5,331
4,944
5,000
5,000
98.9%
<10%

FY 2016 Enacted$130,432
5,100
N/A
5,000
5,000
100%
<10%

FY 2017 Request$133,995
5,000
N/A
5,000
5,000
100%
<10%

FY 2017 vs FY 2016+$3,563
-100
N/A
0
0
N/A
N/A

$5,500$7,000

$0

$0

$0

N/A
0
0
N/A
N/A

N/A
0
0
N/A
N/A

N/A
0
0
N/A
N/A

N/A
0
0
N/A
N/A

N/A
0
0
N/A
N/A

$90,415$90,715$110,000$111,834+$1,834

200
N/A
2,100
2,300
91.3%
<10%

110
1,965
2,100
2,300
85.4%
<10%

700
N/A
3,250
3,300
98.5%
N/A

900
N/A
3,500
3,500
100%
<10%

+200
N/A
+250
+200
N/A
N/A

$39,000$39,798$40,755$41,986+$1,231

1,500
N/A
5,200
5,400
96.3%
<10%

1,626
4,925
5,200
5,400
91.2%
<10%

1,550
N/A
5,300
5,400
98.1%
<10%

1,500
N/A
5,200
5,200 a
100%
<10%

-50
N/A
-100
-200
N/A
N/A

National Synchrotron Light Source, BNL
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours
National Synchrotron Light Source-II, BNL
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours
Stanford Synchrotron Radiation Lightsource
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hoursaOptimal hours decreased for scheduled maintenance.

Science/Basic Energy Sciences98

FY 2017 Congressional Budget Justification

Linac Coherent Light Source
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours

FY 2015 Enacted$126,956
580
N/A
4,700
4,700
100%
<10%

FY 2015 Current$125,800
837
4,555
4,700
4,700
96.9%
<10%

FY 2016 Enacted$132,669
580
N/A
4,600
4,700
97.9%
<10%

FY 2017 Request$136,294
380
N/A
3,000
3,000 a100%
<10%

FY 2017 vs FY 2016+$3,625-200
N/A-1,600-1,700
N/A
N/A

High Flux Isotope Reactor
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$60,688
450
N/A
3,400
3,500
97.1%
<10%

$61,625
491
3,658
3,400
3,500
104.5%<10%$63,419
450
N/A
3,450
3,500
98.6%
<10%

$64,968
450
N/A
3,500
3,500
100%
<10%

+$1,549
0
N/A
+50
0
N/A
N/A

Lujan Neutron Scattering Center
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$2,000
N/A
0
0
N/A
N/A

$2,000
N/A
0
0
N/A
N/A

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

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

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

Spallation Neutron Source
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$181,425
800
N/A
4,700
4,700
100%
<10%

$181,425
845
4,441
4,700
4,700
94.5%
<10%

$198,226
850
N/A
4,650
4,700
98.9%
<10%

$193,209
850
N/A
4,700
4,700
100%
<10%

-$5,017
0
N/A
+50
0
N/A
N/A

a

Optimal hours for LCLS are adjusted from 4,700 to 3,000 hours in FY 2017 to allow the facility to conduct transition activities required for LCLS-II.

Science/Basic Energy Sciences99

FY 2017 Congressional Budget Justification

FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request

FY 2017 vs FY 2016

TYPE B FACILITIESCenter for Nanoscale Materials
Number of users$23,427
470$23,852529$24,481500$25,205
500

+724
0

Center for Functional Nanomaterials
Number of users$19,908400$19,908493$20,804
420$21,418
450

+$614
+30

Molecular Foundry
Number of users$26,403
470$26,403
677$27,591500$28,406
500

+$815
0

Center for Nanophase Materials Sciences
Number of users$22,901440$23,752575$23,932450$24,638
500

+$706
+50

Center for Integrated Nanotechnologies$21,010$21,010$21,955$22,605

+650

400

513

420

450

+30

$804,948
13,110N/A
30,10030,90097.9%<10%$810,078
14,58730,25830,10030,90096.5%<10%$865,314
13,970N/A
31,45031,90098.7%<10%$872,508
13,880N/A
29,90029,900100%<10%+$7,194-90
N/A-1,550-2,000N/A
N/A

FY 2017 Estimate
4,830
1,320
2,030
3,060

FY 2017 vs FY 2016
+490
+200
+360
+160

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

Scientific Employment

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

FY 2015 Enacted
4,300
1,110
1,670
2,840

FY 2015 Current
4,300
1,110
1,670
2,840

FY 2016 Enacted
4,340
1,120
1,670
2,900

Includes technicians, support staff, and similar positions.

Science/Basic Energy Sciences100

FY 2017 Congressional Budget Justification

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

Significant Changes and Summary

Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2016 CPDS and does not include a new start for FY 2017.
The FY 2017 Request for the Linac Coherent Light Source-II (LCLS-II) is $190,000,000, $10,300,000 less than the FY 2016
Enacted level of $200,300,000. In April 2015, the Office of Science (SC) conducted an external Independent Project Review(IPR) to assess the project's readiness for CD-3B, Approve Long Lead Procurements. The IPR committee found that the
project was making good progress overall, but needed to increase the cryoplant refrigeration capacity to address technicalrisks. In response to this recommendation, the project team proposed increasing the scope of the project by increasing the
cryoplant cooling capacity to mitigate the highest technical risk. The Basic Energy Sciences (BES) program accepted the
proposal. This change in scope, which includes additional commissioning costs and a larger building to house the additional
cryogenic equipment, increased the preliminary total project cost (TPC) point estimate from $965,000,000 to$1,045,000,000. CD-4 is estimated for the third quarter of FY 2022. CD-3B was approved on May 28, 2015, which authorized
long lead and advanced procurements for key components of the cryoplant and the superconducting linac which are on thecritical path for the project.
Summary
The most recent DOE 413.3B approved Critical Decision (CD) is a revised CD-3B, Approve Long Lead Procurements, that wasapproved on May 28, 2015. The TPC range of $750,000,000-$1,200,000,000 has not changed.
A Federal Project Director has been assigned to this project and has approved this CPDS.
The LCLS-II project will construct a new high repetition rate electron injector and replace the first kilometer of the existing
linac with a 4 GeV superconducting linac to create the electron beam required for x-ray production in the 0.2–5 keV range
with a repetition rate near 1 MHz. The new electron beam will be transported to the existing undulator hall and will becapable of feeding either of the two new variable gap undulators. At the completion of the LCLS-II project, the facility will
operate two independent electron linacs and two independent x-ray sources, supporting up to six experiment stations. A
liquid helium refrigeration plant is required to cool the linac to superconducting temperatures and a building will be
constructed to house the refrigeration plant equipment.
FY 2015 activities included design, long lead and advance procurements (LLP/APs) of critical systems, R&D, prototyping,fabrication, and installation activities. FY 2016 funding will continue activities for design, LLP/APs, R&D, prototyping, site
preparation activities (which includes the removal of original linac equipment), fabrication, installation, and initiate
construction activities after CD2/CD3 approval is received. FY 2017 funding will be critical for the procurement of materials
and equipment needed to maintain the project schedule and expand the construction efforts. Design, LLP/APs, R&D,
prototyping, site preparation activities, fabrication, and installation will also continue in FY 2017.
2.

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

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

Conceptual
DesignComplete

1/21/2014

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

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

101

CD-3

D&D
Complete

CD-4

3Q FY 2013
4Q FY 2013
4Q FY 2016
2Q FY 2016

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

4Q FY 2019
4Q FY 2019
4Q FY 2021
4Q FY 2021

FY 2017 Congressional Budget Justification

Conceptual
DesignComplete
4/22/2010 1/21/2014
CD-0

FY 2017 a

CD-1
8/22/2014(fiscal quarter or date)
Final
CD-2
DesignComplete
2Q FY 2016 4Q FY 2017

CD-3

D&D
Complete

CD-4

2Q FY 2016

N/A

3Q FY 2022

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

FY 2013
FY 2014
FY 2015
FY 2016
FY 2017

Performance
Baseline
Validation
1Q FY 2013
4Q FY 2013
4Q FY 2015
2Q FY 2016
2Q FY 2016

CD-3A b
3/14/2012
3/14/2012
3/14/2012
3/14/2012
3/14/2014

CD-3B

3Q FY 2015
5/28/2015

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

Project Cost History

TEC, Design
FY 2013
FY 2014
FY 2015
FY 2016
FY 2017a,c
4.

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

OPC, D&D

OPC, Total

TPC

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

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

Project Scope and Justification

Scope
SLAC’s advances in the creation, compression, transport, and monitoring of bright electron beams have spawned a newgeneration of x-ray radiation sources based on linear accelerators rather than on storage rings. The Linac Coherent Light
Source (LCLS) produces a high-brightness x-ray beam with properties vastly exceeding those of current x-ray sources in three
key areas: peak brightness, coherence, and ultrashort pulses. The peak brightness of the LCLS is 10 billion times greater thancurrent synchrotrons, providing up to 1012 x-ray photons in a pulse with duration in the range of 3–500 femtoseconds. These
characteristics of the LCLS have opened new realms of research in the chemical, material, and biological sciences. LCLS-II willaThis project is pre-CD-2; the estimated cost and schedule are preliminary. Construction will not be executed without
appropriate CD approvals.

b

CD-3A was approved as part of the original project scope prior to the July 2013 BESAC recommendation. All original project
scope long lead procurement work was suspended.

cIncludes MIE funding of $7,000,000 for the design phase and $60,000,000 for the construction phase, which results in$67,000,000 of TEC funding, as well as $18,600,000 of OPC funding, for a total of $85,600,000 of MIE funding in the TPC.
Science/Basic Energy Sciences/
FY 2017 Congressional Budget Justification
102
13-SC-10, Linac Coherent Light Source-IIbuild on the success of LCLS by expanding the spectral range of hard x-rays produced at the facility by adding a new highrepetition rate, spectrally tunable x-ray source. The repetition rate for x-ray production in the 0.2–5 keV range will be
increased by at least a factor of 1,000 to yield unprecedented high average brightness x-rays that will be unique worldwide.
LCLS is based on the existing SLAC linear accelerator (linac), which is not a superconducting linac. The linac was originallydesigned to accelerate electrons and positrons to 50 GeV for colliding beam experiments and for nuclear and high energy
physics experiments on fixed targets. It was later adapted for use as a free electron laser (FEL, the LCLS facility) and foradvanced accelerator research. At present, the last third of the 3 kilometer linac is being used to operate the LCLS facility,
and the first 2 kilometers are used for advanced accelerator research.
The revised scope of the LCLS-II project is based on the July 2013 Basic Energy Sciences Advisory Committee (BESAC) report
and will construct a new high repetition rate electron injector and replace the first kilometer of the linac with a 4 GeV
superconducting linac to create the electron beam required for x-ray production in the 0.2–5 keV range with a repetition
rate near 1 MHz. The new electron beam will be transported to the existing undulator hall and will be capable of feeding
either of the two new variable gap undulators. The revised project will require cryogenic cooling to operate the linac at
superconducting temperatures. The increased cryogenic capacity will require increasing the cryogenic equipment building
size to approximately 20,000 square foot.
The third kilometer of the linac will continue to produce 14 GeV electron bunches for hard x-ray production at a 120 Hz
repetition rate. The electron bunches will be sent to both of the new undulators to produce two simultaneous x-ray beams.
The x-ray beams will span a tunable photon energy range of 1 to 25 keV, beyond the range of the existing LCLS facility, andthey will incorporate “self-seeding sections” to greatly enhance the longitudinal coherence of the x-ray beams. The middle
kilometer of the existing linac will not be used as part of LCLS-II but will continue to be used for advanced accelerator
research. It would be available for future expansion of the LCLS-II capabilities.
At the completion of the LCLS-II project, the facility will operate two independent electron linacs and two independent x-ray
sources, supporting up to six experiment stations. Both the capability and capacity of the facility will be significantly
enhanced. The combined characteristics (spectral content, peak power, average brightness, pulse duration, and coherence)of the new x-ray sources will surpass the present capabilities of the LCLS beam in spectral tuning range and brightness. The
high repetition rate will accommodate more experiments. Furthermore, the two new undulators will be independently
controlled to enable more experiments to be conducted simultaneously.
Experience with LCLS has, for the first time, provided data on performance of the x-ray instrumentation and optics required
for scientific experiments with the LCLS. The LCLS-II project will take advantage of this knowledge base to design LCLS-II
x-ray transport, optics, and diagnostics matched to the characteristics of these sources. The LCLS-II project scope is able toleverage the existing suite of LCLS instrumentation for characterization of the x-ray sources with moderate upgrades
primarily to address the higher repetition rate operation.
The existing LCLS Beam Transport and Undulator Hall will be modified as necessary to house the new undulators, electron
beam dumps, and x-ray optics. The existing experimental stations will be updated as necessary for the exploitation of the
new x-ray sources. In contrast to the initial version of the project, construction of a new undulator tunnel and a new
instrument suite will not be required.
The LCLS-II project developed strategic partnerships with other SC laboratories for the design, fabrication, installation, andcommissioning of the new superconducting linear accelerator, the high repetition rate electron injector and the newvariable gap undulators.
Prior to implementing the revised LCLS-II project, the original LCLS-II scope included construction of the Sector 10 Annex
with a total cost of $8.2M. The construction costs are included in the preliminary Total Project Cost of $1,045M.
Justification
The LCLS-II project’s purpose is to expand the x-ray spectral operating range and the user capacity of the existing LCLS
facility. The expanded spectral range will enable researchers to tackle new research frontiers. The capacity increase iscritically needed as the demand for LCLS capabilities far exceeds the available time allocation to users. In FY 2015, only
Science/Basic Energy Sciences/13-SC-10, Linac Coherent Light Source-II

103

FY 2017 Congressional Budget Justification

about 20% of the experiment proposals received beam time. The addition of a second x-ray source will allow two or moreexperiments to be run simultaneously. The revised LCLS-II presented here is informed by the 2013 BESAC recommendations
to provide “high repetition rate, ultra-bright, transform limited, femtosecond x-ray pulses over a broad photon energy(about 0.2–5 keV) with full spatial and temporal coherence” and the “linac should feed multiple independently tunable
undulators each of which could have multiple endstations.” Collectively, the project will enable groundbreaking research in awide range of scientific disciplines in chemical, material and biological sciences.
Based on the factors described above, the most effective and timely approach for DOE to meet the Mission Need and realize
the full potential of the LCLS is upgrading the existing x-ray free electron laser at SLAC with a new superconducting
accelerator and x-ray sources.
The project is being conducted in accordance with the project management requirements in DOE O 413.3B, Program andProject Management for the Acquisition of Capital Assets.
Key Performance Parameters (KPPs)
The Threshold KPPs, which will define the official performance baseline at CD-2, represent the minimum acceptableperformance that the project must achieve. Achievement of the Threshold KPPs will be a prerequisite for approval of CD-4,
Project Completion. The Objective KPPs represent the desired project performance. If project performance is sustained andfunds are available, the project will strive to attain the Objective KPPs. The KPPs presented here are preliminary, prebaseline values. The final key parameters will be established as part of CD-2, Performance Baseline.
Preliminary LCLS-II Key Performance Parameters
Performance Measure
Variable gap undulators
Superconducting linac-based FEL system
Superconducting linac electron beam energy
Superconducting linac repetition rate
Superconducting linac charge per bunch
Photon beam energy range
High repetition rate capable end stations
FEL photon quantity (10-3 BW a)
Normal conducting linac-based system
Normal conducting linac electron beamenergyNormal conducting linac repetition rate
Normal conducting linac charge per bunch
Photon beam energy range
Low repetition rate capable end stations
FEL photon quantity (10-3 BWa)aThreshold2 (soft and hard x-ray)

Objective
2 (soft and hard x-ray)

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

13.6 GeV

15 GeV

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

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

Fractional bandwidth. The specified KPPs are the number of photons with an energy within 0.1% of the specified central
value.
Science/Basic Energy Sciences/
FY 2017 Congressional Budget Justification
104
13-SC-10, Linac Coherent Light Source-II5.

Preliminary Financial Schedule

Total Estimated Cost (TEC)
Design phase
MIE funding
FY 2012FY 2013 b
Total, MIE fundingLine item construction funding
FY 2014
FY 2015
FY 2016
FY 2017
Total, Line item construction funding
Total, Design phase
Construction phase
MIE funding
FY 2012FY 2013b
FY 2014
FY 2015
FY 2016
Total, MIE fundingLine item construction funding
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, Line item construction funding
Total, Construction phase
TEC
MIE funding
FY 2012FY 2013b
FY 2014
FY 2015
FY2016
Total, MIE fundingaAppropriations(dollars in thousands)
Obligations

2,000
5,000
7,000

2,000
5,000
7,000

2,000
5,000
7,000

4,000
21,00015,000040,00047,0004,000
21,00015,000040,00047,0003,500
20,00014,5002,000
40,00047,00042,500 c
17,50000060,00020,00040,00000060,00013,86233,423
12,256455
460,00071,700117,700
185,300
190,000
192,100
129,300
0886,100
946,100

71,700117,700
185,300
190,000
192,100
129,300
0886,100
946,100

15,21354,531
240,300
235,000
200,000
129,300
11,756886,100
946,100

44,500c
22,50000067,00022,00045,00000067,00015,862
38,423
12,256455
467,000Costs aCosts through FY 2015 reflect actual costs; costs for FY 2016 and the outyears are estimates.
FY 2013 funding was requested as a line item, but due to a Continuing Resolution, FY 2013 funds were executed as an MIE.
c
FY 2012 funding shown includes $22,500,000 of prior year balances from FY 2012 that was reallocated to the LCLS-II
project during FY 2013.
Science/Basic Energy Sciences/105
13-SC-10, Linac Coherent Light Source-II
FY 2017 Congressional Budget Justificationb(dollars in thousands)
Appropriations
Obligations
Line item construction funding
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, Line item construction funding
Total, TEC b
Other Project Cost (OPC)
OPC except D&D
MIE funding
FY 2010
FY 2011
FY 2012FY 2013 c
FY 2014
FY 2015
FY 2016
Total, MIE fundingLine item construction funding
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, Line item construction funding
Total, OPCb
Total Project Cost (TPC)
MIE funding
FY 2010
FY 2011
FY 2012FY 2013c
FY 2014
FY 2015
FY 2016
Total, MIE fundinga

Costs a75,700138,700
200,300
190,000
192,100
129,300
0926,100
993,100

75,700138,700
200,300
190,000
192,100
129,300
0926,100
993,100

18,71374,531
254,800
237,000
200,000
129,300
11,756926,100
993,100

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

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

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

8,142
2,650
4,000
4,508
6,700
6,600
700
33,30051,9001,126
9,474
52,500 d
22,50000085,6001,126
9,474
30,00045,00000085,600938
8,033
24,75538,53912,695465
175
85,600Costs through FY 2015 reflect actual costs; costs for FY 2016 and the outyears are estimates.
This project has not yet received CD-2 approval; funding and cost estimates are preliminary. Amounts shown include MIE
funding of $67,000,000 in the TEC, $18,600,000 in the OPC, and $85,600,000 in the TPC.
c
FY 2013 funding was requested as a line item, but due to a Continuing Resolution, FY 2013 funds were executed as an MIE.
d
FY 2012 funding shown includes $22,500,000 of prior year balances from FY 2012 that was reallocated to the LCLS-II
project during FY 2013.
Science/Basic Energy Sciences/
FY 2017 Congressional Budget Justification
106
13-SC-10, Linac Coherent Light Source-IIb(dollars in thousands)
Appropriations
Obligations
Line item construction funding
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, Line item construction funding
Total, TPCb
6.

85,700148,000
200,300
190,000
200,000
135,400
0959,400
1,045,000

26,855
77,181
258,800
241,508
206,700
135,900
12,456
959,400
1,045,000

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

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

40,7506,250
47,00037,7709,230
47,000

N/A
N/A
N/A

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

24,700564,800
58,500221,400
869,400
916,400
230,630

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

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

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

1,980
23,658
1,972
11,5509,440
48,600
9,440

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

1,045,000
205,000

965,000
240,070

N/A
N/A

Total, TPCb
Total, Contingencya85,700148,000
200,300
190,000
200,000
135,400
0959,400
1,045,000

Costs aCosts through FY 2015 reflect actual costs; costs for FY 2016 and the outyears are estimates.
This project has not yet received CD-2 approval; funding and cost estimates are preliminary. Amounts shown include MIE
funding of $67,000,000 in the TEC, $18,600,000 in the OPC, and $85,600,000 in the TPC.
Science/Basic Energy Sciences/13-SC-10, Linac Coherent Light Source-II
FY 2017 Congressional Budget Justification
107
b

7.

Schedule of Appropriations Requests

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

FY 2015

FY 2016

FY 2017 b

8.

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

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

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

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

200,300

190,000

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

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

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

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

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

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

4Q FY 2021
25
4Q FY 2046

(Related Funding Requirements)
Annual Costs
Current Total
Previous Total
Estimate
Estimate
Operations andMaintenance$38.6M

N/A

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

N/A

The numbers presented are the incremental lifecycle operations and maintenance costs above the existing LCLS. The
estimate will be updated and additional details provided after CD-2.

a

FY 2013 funding was requested as a line item, but due to a Continuing Resolution, FY 2013 funds were executed as an MIE.
This project has not yet received CD-2 approval; funding and cost estimates are preliminary. Amounts shown include MIE
funding of $67,000,000 in the TEC, $18,600,000 in the OPC, and $85,600,000 in the TPC.
Science/Basic Energy Sciences/
FY 2017 Congressional Budget Justification
108
13-SC-10, Linac Coherent Light Source-IIb

9.

D&D Information

The new area being constructed in this project is not replacing existing facilities.
Square Feet
New area being constructed by this project at SLAC ......................................... …

~20,000

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

0

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

~20,000

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

0

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

0

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

~20,000

Prior to implementing the revised LCLS-II project, the original LCLS-II scope included construction of the Sector 10 Annex.
This facility is 2,275 ft2 and was offset by demolition of a 1,630 ft2 building with the balance offset using banked space. The
information above reflects only the new construction associated with the revised project.
10. Acquisition Approach
DOE has determined that the LCLS-II project will be acquired by the SLAC National Accelerator Laboratory under the existing
DOE M&O contract.
A Conceptual Design Report for the LCLS-II project has been completed and will be revised based on the new technicalparameters. Key design activities, requirements, and high-risk subsystem components will be identified to reduce cost andschedule risk to the project and expedite the startup. The necessary project management systems are fully up-to-date,
operating, and are maintained as a SLAC-wide resource.
SLAC is partnering with other SC laboratories for design and procurement of key technical subsystem components. Technicalsystem designs will require research and development activities. Preliminary cost estimates for these systems are based on
actual costs from LCLS and other similar facilities, to the extent practicable. Recent cost data has been exploited fully inplanning and budgeting for the project. Design of the technical systems will be completed by SLAC or partner laboratory
staff. Technical equipment will either be fabricated in-house or subcontracted to vendors with the necessary capabilities.
All subcontracts will be competitively bid and awarded based on best value to the government. Project performance metrics
for SLAC are included in the M&O contractor’s annual performance evaluation and measurement plan.
Lessons learned from the LCLS Project and other similar facilities will be exploited fully in planning and executing LCLS-II.

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

109

FY 2017 Congressional Budget Justification

110Biological and Environmental Research
Overview
The mission of the Biological and Environmental Research (BER) program is to support fundamental research and scientificuser facilities to achieve a predictive understanding of complex biological, climatic, and environmental systems for a secureand sustainable energy future.
The program seeks to understand the biological, biogeochemical, and physical principles needed to predict a continuum of
processes occurring at the molecular and genomics-controlled smallest scales to environmental and Earth system change at
the largest scales. Starting with the genetic potential encoded by organisms’ genomes, BER research seeks to define theprinciples that guide the translation of the genetic code into functional proteins and the metabolic and regulatory networks
underlying the systems biology of plants and microbes as they respond to and modify their environments. This predictive
understanding can enable more confident redesign of microbes and plants for sustainable biofuels production, improved
carbon storage, and controlled biological transformation of materials such as nutrients and contaminants in theenvironment. BER research also advances understanding of how the Earth’s dynamic, physical, and biogeochemical systems(the atmosphere, land, oceans, sea ice, and subsurface) interact and cause future climate and environmental change toprovide information that will inform plans for future energy and resource needs.
BER’s scientific impact has been transformative. Mapping the human genome, including the U.S.-supported international
Human Genome Project that DOE began in 1990, initiated the era of modern biotechnology and genomics-based systems
biology. Today, with its Genomic Sciences activity and the DOE Joint Genome Institute (JGI), BER researchers are using thepowerful tools of plant and microbial systems biology to pursue fundamental breakthroughs needed to develop sustainable,
cost-effective cellulosic biofuels as outlined in the latest DOE Quadrennial Technology Review (DOE QTR 2015, Chapter 7.3) a.
The three DOE Bioenergy Research Centers lead the world in fundamental biofuels-relevant research.
Since the 1950s, BER has been a critical contributor to climate science research, beginning with atmospheric circulation
studies that were the forerunners of modern climate models. Today, BER research contributes to model development andanalysis using community-based models, e.g., Community Earth System Model (CESM), the Accelerated Climate Model for
Energy (ACME), and the Global Change Assessment Model (GCAM). These leading U.S. models are used to address two of
the most critical areas of uncertainty in contemporary climate science—the impacts of clouds and aerosols—with data
provided by the Atmospheric Radiation Measurement Climate Research Facility (ARM), a DOE user facility serving hundredsof scientists worldwide. Also, BER has been a pioneer of ecological and environmental studies in terrestrial ecosystems andseeks to describe the continuum of biological, biogeochemical, and physical processes across multiple scales that control theflux of climate and environmentally-relevant compounds between the terrestrial surface and the atmosphere. BER’s
Environmental Molecular Sciences Laboratory (EMSL) provides the scientific community with a powerful suite of
instruments and a high performance computer to characterize biological organisms and molecules as well as atmosphericaerosol particulates.
Highlights of the FY 2017 Budget Request
Biological and Environmental Research will support core research and scientific user facilities in key areas of bioenergy,
climate, and environmental sciences. In the FY 2017 Budget Request, most funding for the Working Capital Fund (WCF) istransferred to Program Direction to establish a consolidated source of funding for goods and services provided by the
WCF. CyberOne is still funded through program dollars. In FY 2016 and prior years, WCF costs were shared by SC research
programs and Program Direction.
Biological Systems Science
Investments in Biological Systems Science will provide the fundamental understanding to underpin advances in sustainablebioenergy production and to gain a predictive understanding of carbon, nutrient and contaminant transformation in supportof DOE’s environmental missions. These investments are strongly aligned with national priorities b in Clean Energy andInnovation in life sciences. Genomic Sciences research activities continue with core research to provide a scientific basis fora

http://energy.gov/epsa/downloads/quadrennial-energy-review-full-reporthttps://www.whitehouse.gov/sites/default/files/omb/memoranda/2015/m-15-16.pdf
Science/Biological and Environmental Research
FY 2017 Congressional Budget Justification111b

sustainable and cost effective bioenergy production; this includes the DOE Bioenergy Research Centers (BRCs) and Mission
Innovation funding to speed translation of basic research results to industry for contributions to clean energy. Biosystems
design research increases to develop the knowledge necessary to engineer specific beneficial traits into plants and microbes
for making clean energy biofuels or products from renewable biomass. A new investment in microbiome research is also
proposed that builds on BER’s considerable experience in fundamental genomic science of plants and microbes and extends
that expertise to understand the fundamental principles governing microbiome establishment, function, and interactions indiverse environments a. Gaining a predictive understanding of how microbiomes control the availability of materials such ascarbon and nutrients, and respond to changes in the environment or interact with plants, is crucial to advancing DOE’s
sustainable bioenergy production and environmental research. These fundamental genomic science activities are supported
by ongoing efforts to combine molecular and genomic scale information and to develop integrated networks andcomputational models of system dynamics and behavior. The DOE Joint Genome Institute (JGI) remains an essential
component for DOE systems biology efforts providing high quality genome sequence data and analysis techniques for a wide
variety of plants and microbial communities. The JGI continues to implement its strategic plan to incorporate newcapabilities to sequence DNA and also to interpret, manipulate, and synthesize DNA in support of sustainable renewableenergy and products, and environmental research. With this range of capabilities, JGI is also uniquely positioned to support
and advance DOE bioenergy and environmental microbiome research, as well as provide broader user access to DNA
synthesis capabilities in support of the BRAIN initiative.
Climate and Environmental Sciences
Climate and Environmental Research activities will focus on scientific analysis of the sensitivity and uncertainty of climate
predictions to physical and biogeochemical processes, with emphasis on both Arctic and Tropical environments, as part of
the Next Generation Ecosystem Experiments (NGEEs) in Alaska and at tropical sites. These investments reflect national
priorities1 in Global Climate Change, Information Technology and High Performance Computing, Ocean and Arctic Issues,and R&D for informed policy-making and management. Each major field study, including the two NGEEs, contains amodeling component; investments in Climate Model Development and Validation focus on model architecture
restructuring, exploiting new software engineering and computational upgrades, incorporating scale-aware physics in allmodel components and enhanced efforts to assess and validate model results. Increased investment will produce an earthsystem model capability that includes a human component involving vulnerability analysis and integrated assessment,
tailored to DOE requirements, e.g., new research to understand the interdependencies of water, energy and climate change,
for a variety of scenarios applied to spatial scales as small as 10km. The model system will have improved resolution thatwill include new codes for running on numerous processors, flexibility toward future computer architectures, and enhanced
usability, testing, adaptability, multi-scale treatments, and provenance. The modeling efforts will be validated against new
atmospheric and terrestrial observations.
ARM continues long-term measurements at fixed sites in Alaska, Oklahoma, and the Azores, selected for scientific impact on
improving climate models. The ARM mobile facilities will deploy to three climate-sensitive regions demanding focused andtargeted measurements in the Arctic, Antarctic, and the Atlantic Ocean.
EMSL will focus on an aggressive research agenda aligned with BER program research areas and highlighting opportunities
with the new High Resolution and Mass Accuracy Capability (HRMAC) instrument; with greatly improved dynamic range andsensitivity, HRMAC will enable a characterization and quantitation of the chemical constituents and dynamics of complex
natural systems in the environment including microbial communities, atmospheric aerosols, and the soil and rhizosphereecosystem. EMSL funding levels are enhanced to support characterization of novel biosensors and biomaterials relevant to
the goals of the BRAIN initiative.
The Data Management effort will focus on advancing the Climate and Environmental Data Analysis and Visualization activity
that will incorporate high resolution Earth system models with interdependent components involving energy andinfrastructure sector models, field observations, raw data from environmental field experiments, and analytical tools for
system diagnostics, validation, and uncertainty quantification.
Within the FY 2017 Budget Request, Climate and Environmental Sciences, specifically, Climate and Earth System Modeling
Integrated Assessment activities, supports the DOE Energy-Water Nexus (EWN) crosscut. EWN is a set of cross-program
collaborations designed to accelerate the Nation’s transition to more resilient energy and coupled energy-water systems.
ahttps://www.whitehouse.gov/sites/default/files/microsites/ostp/NSTC/ftac-mm_report_final_112015_0.pdf
Science/Biological and Environmental Research
FY 2017 Congressional Budget Justification
112

There is increasing urgency to address EWN challenges in an integrated way due to changing precipitation and temperaturepatterns, changes in extreme weather, accelerated drawdown of critical water supplies, population growth and regionalmigration trends, and the introduction of new technologies that could shift water and energy demands. The BER
contribution to the EWN crosscut is in its first key focus area: advanced, integrated data, modeling, and analysis platform to
improve understanding and inform decision-making for a broad range of users and at multiple scales.
Increased BER funding for energy-water efforts in FY 2017 will support a set of regional-scale data, modeling and analysis(DMA) test beds focusing on the integration of diverse observational data and modeling outputs, data assimilation, and bothanalytic and visualization tools to exercise and extend capabilities, and test limits for predictive insights. The regional-scale
DMA test beds will serve as the basis for a new high resolution modeling capability for impact, adaptation, and vulnerability(IAV) analysis of energy-water systems.
Exascale computing systems, capable of at least one billion billion (1 x 1018) calculations per second are needed to support
diverse areas of research that are critical to national security objectives and applied research advances in areas such as
climate and energy modeling. Exascale systems’ computational power is needed to develop the science base and allow forincreasingly complex modeling and data-analytic and data-intense applications across the entire Federal complex. The
Exascale Computing Initiative (ECI) is a product of long-term collaboration between the SC’s Advanced Scientific Computing
Research (ASCR) program and the National Nuclear Security Administration’s (NNSA) Advanced Simulation and Computing
Campaign (ASC) program.
As part of the ECI, BER will be responsible for determining the scope and management of the Climate Modeling programs
that in turn demand access to extreme scale computational capabilities. Climate modeling science requires very highresolution representations of atmospheric, oceanic, and terrestrial processes across multiple scales, to project how systems
such as aerosols, clouds, precipitation, surface hydrology, ecosystems, and Arctic tundra, sea ice, and ice sheets will shift in
highly variable and complex ways in response to and as part of climate change. Energy and infrastructure planning will
require precise projections of temperature exceedances, water availability, sea-level rise, storm likelihood, and croppotentials. The Extreme Challenges workshop series and the Advanced Scientific Computing Advisory Committee
Subcommittee report on Exascale climate science described the need to understand the dynamic physical, hydrological,
biogeochemical, and ecological evolution of the climate system, with quantification of the uncertainties in regional
projections as well as the impacts on regional and sub-decadal to multi-decadal scales.
FY 2017 Crosscuts ($K)

Biological and Environmental Research

Science/Biological and Environmental Research

113

EWN

ECI

Total

24,30010,00034,300FY 2017 Congressional Budget Justification

Biological and Environmental Research
Funding ($K)
Biological Systems Science
Genomic Science
Foundational Genomics Research
Genomics Analysis and Validation
Metabolic Synthesis and Conversion
Computational Biosciences
Bioenergy Research Centers
Total, Genomic Science
Mesoscale to Molecules
Radiological Sciences
Radiochemistry and Imaging Instrumentation
Radiobiology
Total, Radiological Sciences
Biological Systems Facilities and Infrastructure
Structural Biology Infrastructure
Joint Genome InstituteTotal, Biological Systems Facilities and Infrastructure
SBIR/STTR
Total, Biological Systems Science
Climate and Environmental Sciences
Atmospheric System Research
Environmental System Science
Terrestrial Ecosystem Science
Subsurface Biogeochemical Research
Total, Environmental System Science
Climate and Earth System Modeling
Climate Model Development and Validation
Regional and Global Climate Modeling
Earth System Modeling
Integrated Assessment
Total, Climate and Earth System Modelinga

FY 2015 Enacted

FY 2015 Current a

FY 2016 Enacted

FY 2017 Request b

FY 2017 vs FY 2016

73,22810,00016,262
16,39575,000190,885
9,680

73,22810,00016,262
16,39575,000190,885
9,680

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

104,171
9,248
16,262
16,39589,550235,626
10,623+28,046000+14,550+42,596+1,000

2,665
2,409
5,074

2,665
2,409
5,074

1,000
1,000
2,000

0
0
0

-1,000-1,000-2,00014,89569,50084,395
9,858
299,892

14,89569,50084,3950
290,034

10,00069,50079,500
10,118294,271

10,00070,46380,463
12,339339,051

0
+963
+963
+2,221+44,780

25,89225,966

26,392

26,392044,03423,53367,56744,03423,53367,56740,03523,207
63,24240,03523,207
63,2420+0+0026,15935,303
9,733
71,195

026,02935,303
9,789
71,121

15,44830,08835,56917,567
98,672

10,00030,08835,56927,874
103,531-5,4480
0+10,307+4,859Reflects the transfer of Small Business Innovation/Technology Transfer Research (SBIR/STTR) funds within the Office of Science.
A transfer of $1,269,000 to Science Program Direction is to consolidate all Working Capital Funds in one program.
Science/Biological and Environmental Research
FY 2017 Congressional Budget Justification
114b

FY 2015 Current a

FY 2016 Enacted

FY 2017 Request b

FY 2017 vs FY 2016

67,42945,501
5,000

67,42945,501
5,000

65,42943,191
7,066

65,42945,5527,066+0+2,361+0

117,930
9,524
292,108
592,000

117,9300282,584
572,618

115,686
10,737314,729
609,000

118,047
11,657
322,869
661,920+2,361+920+8,140+52,920

FY 2015 Enacted
Climate and Environmental Facilities andInfrastructure
Atmospheric Radiation Measurement Climate
Research Facility
Environmental Molecular Sciences Laboratory
Data Management
Total, Climate and Environmental Facilities andInfrastructure
SBIR/STTR
Total, Climate and Environmental Sciences
Total, Biological and Environmental Research
SBIR/STTR Funding: FY 2015 transferred: SBIR $17,033,000 and STTR $2,349,000.
 FY 2016 projected: SBIR $18,135,000; STTR $2,720,000.
 FY 2017 Request: SBIR $21,038,000; STTR $2,958,000.

abReflects the transfer of Small Business Innovation/Technology Transfer Research (SBIR/STTR) funds within the Office of Science.
A transfer of $1,269,000 to Science Program Direction is to consolidate all Working Capital Funds in one program.

Science/Biological and Environmental Research

115

FY 2017 Congressional Budget Justification

Biological and Environmental Research
Explanation of Major Changes ($K)
FY 2017 vsFY 2016
Biological Systems Science: Investments in Genomic Science increase integrative and knowledge transfer efforts at the DOE Bioenergy ResearchCenters with continued complementary research on potential bioenergy feedstock plants, sustainability research for bioenergy, biosystems
design, microbial community impacts on carbon and nutrient cycling, and integrative computational approaches for systems biology research.
Increased investment in Genomic Science will build on BER’s fundamental genomic science research and extend these activities to understanding
how microbes and plants interact in a range of microbiomes of relevance to DOE’s bioenergy and environmental missions. Additionally, thedevelopment of new bioimaging technology through the Mesoscale to Molecules activity will expand efforts to create new integrative imaging
platforms to understand the expression and function of genome information encoded within cells. JGI continues to provide DNA sequencing,analysis and synthesis support to researchers, as well as for targeted efforts relevant to the BRAIN initiative. Final funding for Radiological
Sciences is provided in FY 2016.

+44,780

Climate and Environmental Sciences: Climate and Earth System modeling continues investments in new research to evaluate an additional set ofgeographic regions that complement existing efforts in the Arctic and the Tropics, which are poorly represented in climate models yet are cause
for significant sources of prediction uncertainty. New data, modeling and analysis efforts in support of the energy-water nexus crosscut will be
structured around regional-scale test beds. Climate Model Development and Validation is decreased in response to model architecture
restructuring that initially uses only the ARM Oklahoma site as a research testbed plus limited data collection for the ARM Alaska sites, uses new
software engineering and computational upgrades, and incorporates scale-aware physics in all model components. Environmental System Science
continues and will seek greater efficiencies by aggregating a higher fraction of its research into decadal-scale climate-ecosystem sciencecampaigns e.g., NGEE Arctic, NGEE Tropics, a northern peatland experiment, and AmeriFlux. The Environmental Molecular Sciences Laboratory(EMSL) increase will address a more focused set of scientific topics that exploit recently installed capabilities involving HRMAC, live cell imaging,
and radiological science capabilities, as well as more extensive use of integrating data from other EMSL instrumentation into process and systems
models and simulations to address challenging problems in the biological, environmental, and climate sciences, and to benefit the BRAIN
initiative. The Climate and Environmental Data Analysis and Visualization activity continues to provide an integrated capability that allows
compatibility and interoperability involving both observed and model generated climate information. Information as part of this activity involves
multiple model products in the Earth System Grid Federation (ESGF), and data from environmental field experiments, ARM facility observations,and components of the EMSL data base. ARM continues its investments in planned field deployments of the ARM Mobile Facilities (AMFs) tounder-observed regions and develops new Unmanned Aerial Vehicle (UAV) capabilities.

+8,140Total, Biological and Environmental Research+52,920

Science/Biological and Environmental Research

116

FY 2017 Congressional Budget Justification

Basic and Applied R&D Coordination
BER research underpins the needs of DOE’s energy and environmental missions. Basic research on microbes and plants
provides fundamental understanding that can be used to develop new bioenergy crops and improved biofuel production
processes that enable a more sustainable bioeconomy, as outlined in the latest DOE Quadrennial Technology Report (QTR a)and highlighted in a recent National Academy of Sciences study on the Industrialization of Biology (NAS 2015 b). BER
fundamental bioenergy science underpins and is relevant to other DOE offices and agencies, including DOE’s Office ofEnergy Efficiency and Renewable Energy (EERE) and the Advanced Research Projects Agency-Energy (ARPA-E), and the U.S.
Department of Agriculture. Coordination with other federal agencies on priority science needs occurs through the Biomass
Research and Development Board, a Congressionally mandated interagency group created by the Biomass Research andDevelopment Act of 2000, as amended by the Energy Policy Act of 2005 and the Agricultural Act of 2014, and under theWhite House Office of Science and Technology Policy (OSTP). Additionally, memoranda of agreement (MOAs) have beensigned with the National Science Foundation (NSF) and the National Institute of Allergy and Infectious Diseases (NIAID) tocooperate on computational biology and bioinformatic developments within the DOE Systems Biology Knowledgebase(KBase). Microbiome research is coordinated by OSTP through the Life Science Subcommittee of the National Science andTechnology Council (NSTC) and priorities articulated in a recent NSTC report c. BER, along with other SC program offices, is inclose coordination with the National Institutes of Health (NIH) and the Presidential BRAIN Initiative to develop next
generation tools and technologies to optimally align exascale developments with research into the brain. The major goals
for the DOE contribution to the BRAIN Initiative focus on the development of these enabling technologies, with respect tothree major themes: developing the specialized, high-resolution tools for measuring key neurological processes, developing
the capabilities for obtaining a dynamic, real-time read-out of these measurements, and developing the integrated
computational framework for analyzing and interpreting this dynamic multi-modal data. Developing the tools to integrate
and synthesize multimodal data on the brain and nervous system would be unprecedented and would inform other analysesof complex systems. A workshop will be held in FY 2016 to inform the priority requirements for developing novel biosensors
and probes that can measure key molecular components or processes relevant to neuroscience.
BER research to understand and predict future changes in the earth’s climate system provides important tools that link
climate predictions to evaluations of new energy policies and help to guide the design criteria for next generation energy
infrastructures. An example is water and the role that water plays in energy extraction, supply and transmission over a rangeof potential climate states including, for example, multi-year drought, and its role as a balancing factor for energy
production when wind and solar energy renewables are included. Water and energy bring together SC, energy technology
offices, and energy policy offices of the Department. Coordination among these offices is important for understanding not
only water required for all facets of energy production, from biofuels to thermoelectric cooling, but also the energy required
to provide water for various uses. BER research on the transport and transformation of energy-related substances insubsurface environments provides understanding that can enable DOE’s Office of Environmental Management (EM) todevelop new strategies for the remediation of weapons-related and other contaminants at DOE sites, as informed by arecent workshop on Basic Research Needs for EM. In general, BER coordinates with DOE’s applied technology programs
through regular joint program manager meetings, by participating in their internal program reviews and in joint principal
investigator meetings, as well as conducting joint technical workshops. Coordination with other federal agencies on priority
climate science needs occurs through the interagency U.S. Global Climate Change Research Program (USGCRP) under OSTP.
Program Accomplishments
Fundamental Bioenergy Research. Research results from the DOE Bioenergy Research Centers (BRCs) continue todemonstrate significant progress towards developing new dedicated bioenergy feedstocks and new products fromrenewable biomass. Switchgrass, specifically modified to be less recalcitrant to cellulosic sugar extraction, thrived in fieldtrials demonstrating the environmental robustness of this potential bioenergy crop. Upon harvest, the modified switchgrass
displayed superior bioenergy conversion characteristics relative to native switchgrass demonstrating the development of anew potential bioenergy feedstock. New insights into the composition and structure of lignin have identified ways to recovervalue-added products from this otherwise by-product of cellulose extraction. Research on the bond structure of lignin has
led to new ways to recover aromatic chemicals from this polymer. Likewise, components of ionic liquids, used for thedeconstruction of biomass to cellulosic sugars, can be synthesized from compounds derived from lignin. Combined, theseresults advance the ability to recover and/or make useful products from biomass-derived lignin, a notoriously recalcitranta

http://energy.gov/epsa/downloads/quadrennial-energy-review-full-report
http://www.nap.edu/catalog/19001/industrialization-of-biology-a-roadmap-to-accelerate-the-advanced-manufacturingchttps://www.whitehouse.gov/sites/default/files/microsites/ostp/NSTC/ftac-mm_report_final_112015_0.pdf
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structural component of plant cell walls. Because lignin makes up a significant percentage of biomass by weight, thesefindings represent new potential methods to increase the overall efficiency and range of products that can be produced
from renewable biomass.
Biosystems Design Research. Recent advances in the Genomic Science activity are making progress on developing therequired techniques to underpin a burgeoning biotechnology industry focused on the production of biofuels andbioproducts from renewable biomass. Researchers within the Genomic Science activity recently developed a new genetic
system for photosynthetic diatoms that will enable investigations of the biofuel and bioproduct production potential ofthese microbes. Lack of a robust genetic system often limits the use of most microorganisms as platforms for genetic
engineering. This new technique, while applicable to diatoms, may also hold promise for a range of other currently
genetically intractable microorganisms needed for biotechnological purposes. Similarly, new high throughput methods totrack genetic manipulations within genetically tractable microorganisms are needed to accelerate biotechnological research.
A new technique (TRACE) has recently been demonstrated that can more efficiently track genetic modifications in tens of
thousands of individual test microbes at a time. The new method efficiently maps combinations of engineered genomic
mutations to track and identify those microbes with an enhanced tolerance to biofuel compounds. The technique is broadly
applicable to a range of microbial species and will enable rapid screening of modified microbes for bioenergy andbioproducts production. Rapid advances in genetic modification of microorganisms have raised concerns over the potential
for proliferation of modified organisms in the environment. New insights into genomic recoding techniques show how
microorganisms could be engineered for not only beneficial bioenergy or bioproduct production purposes but also to strictly
limit their survival to laboratory settings. New results show how microbial genomes can be recoded to rely on nonstandard
amino acids (not available in Nature) thereby restricting their survival to laboratory settings. This research is important todemonstrate new biocontainment strategies that could be employed as developments in biotechnology continue to advanceat a very rapid pace in concert with concerns over its use.
Plant Genomes for Bioenergy Research. Researchers at the DOE Joint Genome Institute (JGI) recently completed the genomeof the eucalyptus tree. JGI is a primary source of complex plant and microbial community genomes for bioenergy andenvironmental research and completion of the eucalyptus genome is a milestone for BER’s bioenergy research efforts.
Eucalyptus is one of the most widely planted hardwood trees in the world and represents a globally significant resource forpulp, paper, biomaterials and bioenergy. The complex genome extending across 11 chromosomes is significant because
eucalyptus produces a rather diverse set of metabolites that can be readily developed into a range of biofuels or otherbioproducts. With the completed genome researchers can also use the information for comparative genomic studies of
hardwood trees to identify other beneficial bioenergy traits.
Improving Climate Models to Better Predict Precipitation. While climate models are adept at predicting future temperaturechanges on regional and global scales, the quality of precipitation predictions has not kept pace. To address this need,scientists used observations from the DOE Atmospheric Radiation Measurement Climate Research Facility (ARM) to discoverthat precipitation forecasts are limited largely by overly simplistic formulas for Secondary Organic Aerosols (SOAs) that
influence droplet initiation and cloud formation. Using laboratory and field experimental data, the research has improved
the understanding of SOA chemistry, including better understanding of how SOAs serve as cloud condensation nuclei. The
improved formulas were incorporated into a climate model with significantly improved predictability of clouds andprecipitation.
Simulating Agricultural Irrigation in Earth System Models. World agriculture consumes about 87 percent of global fresh
water withdrawal, acting as a dominant component of the global water cycle with impacts on local and regional climates.
Previous studies of irrigation impacts on climate have focused on a subset of local surface processes, but no study has
applied uncertainty quantification methodologies to the combination of atmospheric, terrestrial, and water cycle
interdependencies. Scientists upgraded the land component (CLM4) of the Community Earth System Model (CESM), tosimulate irrigation water use and climatic feedbacks. Drawing upon two widely-used data sets from the agriculture census,
they found that CLM4 could be improved by applying updated calibrations and incorporating information on the spatial
distribution and intensity of irrigated areas. More importantly, the team identified a way to realistically assess the impacts ofirrigation on climate and strategies to improve water management practices. Their results integrate a new set of CLM4
modules into CESM that describe groundwater pumping and irrigation efficiency, stream flow routing, and water
management.

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Biological and Environmental Research
Biological Systems Science
Description
Biological Systems Science integrates discovery- and hypothesis-driven science with technology development on plant andmicrobial systems relevant to national priorities in clean energy 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 approaches employed include 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 to mesoscale.
The subprogram supports operation of a scientific user facility, the DOE Joint Genome Institute (JGI), and use of structural
biology facilities through the development of instrumentation at DOE’s national scientific user facilities. Support is also
provided for research at the interface of the biological and physical sciences and instrumentation to develop new methods
for real-time, high-resolution imaging of dynamic biological processes.
Genomic Science
The Genomic Science activity supports research seeking to reveal the fundamental principles that drive biological systems
relevant to DOE missions in energy, climate, and the environment. These principles guide the interpretation of the genetic
code into functional proteins, biomolecular complexes, metabolic pathways, and the metabolic/regulatory networks
underlying the systems biology of plants, microbes, and communities. Advancing fundamental knowledge of these systems
will enable new solutions to national challenges in sustainable bioenergy production, understanding how microbial activity
impacts the fate and transport of materials such as nutrients and contaminants in the environment, and developing new
approaches to examine the role of biological systems in carbon cycling, biosequestration, and global climate.
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;
develop “-omics” experimental capabilities and enabling technologies needed to achieve a dynamic, system-level
understanding of organism and community functions; and develop the knowledgebase, computational infrastructure, andmodeling capabilities to advance predictive understanding, manipulation and design of biological systems.
A major effort within the portfolio seeks to provide a fundamental understanding of the biology of plants and microbes as abasis for developing cost effective processes for biofuel production from cellulosic biomass. The DOE BRCs are central to thiseffort and have provided a substantial body of scientific literature and intellectual property towards this goal; increased
funding will speed translation of basic research results to industry for contributions to clean energy. Genomic Science also
supports fundamental research on identification and introduction of desired traits for new bioenergy crops and microbes, aswell as understanding soil microbial communities and how they impact the cycling and fate of carbon, nutrients andcontaminants in the environment. A new effort in microbiome research will build on and complement existing genomicbased research, through the study of natural microbiomes and model microbiomes in targeted field environments relevant
to BER’s bioenergy and climate science research efforts. With a long history in microbial genomics-based research coupledwith substantial biotechnological and computational capabilities available within the DOE user facilities, BER is well
positioned to make significant contributions to understanding microbiome function.
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Finally, these systems biology efforts are supported by the ongoing development of bioinformatics and computational
biology capabilities within the DOE Systems Biology Knowledgebase (KBase). The integrative KBase project seeks to develop
the necessary hypothesis-generating analysis techniques and simulation capabilities on high performance computing
platforms to accelerate collaborative and reproducible systems biology research within the Genomic Sciences.
Mesoscale to Molecules
BER approaches to systems biology focus on translating information encoded in an organism’s genome to those traits
expressed by the organism. These genotype to phenotype translations are key to gaining a predictive understanding ofcellular function under a variety of environmental and bioenergy-relevant conditions. The Mesoscale to Molecules activity
will continue to encourage the development of new measurement and imaging technologies to visualize the spatial andtemporal relationships of key metabolic processes governing phenotypic expression in plants and microbes. This informationis crucial towards developing an understanding of the impact of various environmental and/or biosystems designs on wholecell or community function. The activity also has relevance to visualizing cell-cell or cell-plant interactions within amicrobiome association.
Biological Systems Science Facilities and Infrastructure
Biological Systems Science supports unique scientific facilities and infrastructure related to genomics and structural biologythat are widely used by researchers in academia, the national laboratories, and industry. The DOE JGI is the only federally
funded major genome sequencing center focused on genome discovery and analysis in plants and microbes for energy andenvironmental applications. High-throughput DNA sequencing underpins modern systems biology research, providing
fundamental biological data on organisms and groups of organisms. By understanding shared features of multiple genomes,scientists can identify key genes that may link to biological function. These functions include microbial metabolic pathways
and enzymes that are used to generate fuel molecules, affect plant biomass formation, degrade contaminants, or capture
CO 2 , leading to the optimization of these organisms for biofuels production and other DOE missions.
The JGI is developing aggressive new strategies for interpreting complex genomes through new high-throughput functional
assays, DNA synthesis and manipulation techniques and, genome analysis tools in association with the DOE Systems Biology
KBase. These new capabilities are part of the JGI’s latest strategic plan to provide users with additional capabilities
supporting biosystems design efforts for biofuels and environmental process research, and can also provide synergistic
capabilities in partnership with other SC user facilities for the BRAIN initiative. The JGI also performs metagenome (genomes
from multiple organisms) sequencing and analysis from environmental samples and single cell sequencing techniques forhard-to-culture microorganisms from understudied environments relevant to the DOE missions. These new metagenomics
capabilities will be crucial to supporting a new effort in microbiome research.
BER also supports development and use of specialized instrumentation for biology at major DOE user facilities, such assynchrotron light sources and neutron facilities, in collaboration with the other SC program offices. These research facilities
enable science aimed at understanding the structure and properties of biological molecules at resolutions and scales notaccessible with instrumentation available in university, research institute, or industrial laboratories. This information is
critical in contributing to our understanding of the relationship between genome, biological structure, and function. BER is
also taking steps to ensure that the data will be integrated into the DOE Systems Biology KBase to help accelerate practicalapplications of this knowledge for energy and the environment.

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

FY 2017 Request

Biological Systems Science $294,271,000
Genomic Science $193,030,000
Genomic Science continues to remain a top priority.
Foundational Genomics increases to develop
biosystems design techniques for plants and microbial
systems relevant to bioenergy production and researchon key parameters influencing the sustainability ofbioenergy crops. Genome Analysis and Validation
continues research on improving the functional
characterization of microorganisms and microbialcommunities relevant to biofuel production. Metabolic
Synthesis and Conversion continues research tobroaden the range of model plant and microbial
systems available for bioenergy research and, tounderstand the impact of microbial communities on
the fate of carbon, nutrients and contaminants in theenvironment. At least 5% of the funding for biodesign
efforts is provided for studies on the environmental,
ethical, legal, and societal impacts. Computational
Biosciences continues to advance the bioinformatics
and computational biology techniques needed within
the DOE Systems Biology KBase to accelerate systems
biology research. Bioenergy research at the DOE
Bioenergy Research Centers continues to provide afundamental scientific basis for cellulosic biofuels
production.

$339,051,000$235,626,000
Microbes rarely exist in isolation in nature and in factinteract in myriad dynamic ways with each other andwith changing signals from the environment. These
collective interactions constitute a microbiome andmost of BER’s basic bioenergy and environmental
process research depends on gaining a morepredictive understanding of microbiome function.
Foundational Genomics will increase to support a neweffort in microbiome research to evaluate interactions
between microorganisms and plants in microbiomes of
relevance to BER’s bioenergy and environmental
science missions. Biosystems design efforts will
increase to pursue innovative techniques tomanipulate microbe and plant genomes for beneficial
purposes and sustainability research will provide new
insights into bioenergy crop production for clean
energy. Genome Analysis and Validation will continue
research on improving the functional characterizationof microorganisms and microbial communities relevant
to biofuel production. Metabolic Synthesis andConversion will continue research to expand the rangeof model plant and microbial systems for bioenergy
research and, to understand the impact of microbialcommunities on the fate of carbon, nutrients andcontaminants in the environment. Computational
Biosciences will continue to develop thecomputational platforms, analysis techniques andbioinformatics tools needed within the DOE KBase toaccelerate systems biology research. Bioenergy
research at the DOE BRCs will begin its tenth year ofoperations providing DOE with a fundamental
scientific basis for cellulosic biofuels production.

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Explanation of Change
FY 2017 vs FY 2016 Enacted+$44,780,000+$42,596,000
The increase will support a new effort in microbiome
research, which will provide insight into multiple
microbiomes of relevance to DOE’s sustainablebioenergy and environmental missions.
It will also provide funding to initiate new work inbiosystems design research to allow the selective
transfer of genomic traits among plants and microbes.
This facilitates developing the metabolic potential ofplants and microbes for clean energy and a bio-based
economy.
The BRCs will receive increased funding for the final
year of their funding period, which will support efforts
to speed translation of basic research results toindustry for contributions to clean energy.

FY 2017 Congressional Budget Justification

FY 2016 Enacted

Explanation of Change
FY 2017 vs FY 2016 Enacted

FY 2017 Request
Additional funding will accelerate knowledge transfer.
A competitive FOA issued in FY 2016 will determine
the selection of the next phase of the BRCs in FY 2017.

Mesoscale to Molecules $9,623,000
The program continues to develop new enabling
technologies to visualize key metabolic processes inplants and microbes. These new techniques provide
integrative information on the spatial and temporal
relationships of metabolic processes occurring within
and among cells. This information is crucial tointegrating molecular scale understanding of
metabolic processes into the context of the dynamic
whole cell environment and to the development ofpredictive models of cell function.

$10,623,000
The program will continue efforts to develop new
integrative bioimaging technologies. These efforts
dovetail with the ongoing research in the genomic
science activity and seek to provide ways to visualize
the dynamic processes of gene expression andfunction in vivo. Increased funding will broaden theactivity to a more diverse set of potential bioimaging
applications under development.

+$1,000,000
Increased funding will expand the current set of
bioimaging projects under development within theportfolio.

Radiological Sciences $2,000,000
Funding supports the orderly closeout of Radiological
Science activities in FY 2016.

$0
Activities are completed.

-$2,000,000$80,463,000
The JGI will continue to provide essential genome
sequencing and new genome analysis capabilities for
BER programs. The facility will continue to evolve withthe scientific user community as it revises andimplements its strategic plan. The facility will continue
to focus on complex plant and microbial communities’
genome sequencing efforts that are the hallmark of
the facility and of fundamental importance to BER’s
genomic science-based efforts in bioenergy andenvironment. The JGI will continue to collaborateclosely with the DOE Systems Biology Knowledgebase
to provide community access to sequenced genomes
and access to high performance computational
systems to experimentally interrogate those genomes.
The JGI will partner with other SC user facilities toprovide targeted user access to recently developed+$963,000
This increase supports JGI partnerships with other SC
user facilities to provide targeted user facility accessfor the BRAIN initiative.

Biological Systems Science Facilities andInfrastructure $79,500,000
The JGI remains an essential component for genomic
research within BER. The facility continues toimplement its latest strategic plan and provide
scientific users with plant and microbial genome
sequences of the highest quality and advanced
capabilities to analyze, interpret and manipulate genes
in support of bioenergy, biosystems design andenvironmental research. The JGI continues tocollaborate closely with the DOE Systems Biology
KBase to provide not only community access tosequenced genomes but access to computational
systems to experimentally interrogate those genomes.

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FY 2016 Enacted

FY 2017 Request

Explanation of Change
FY 2017 vs FY 2016 Enacted

new capabilities for high throughput functional assays
and DNA writing and manipulation techniques, alignedwith priorities identified in a scientific workshop held
in FY 2016. These new capabilities would be uniquelysynergistic with the BRAIN initiative efforts to develop
bioprobes and bio-compatible electronics forneurological networks.
Access to the Structural Biology Infrastructure at the
DOE synchrotron light and neutron sources continues
to provide information on the structural features of
biomolecules and continue to make this information
available to the larger research community throughthe Protein Data Base and the DOE Systems Biology
Knowledgebase (KBase).

Science/Biological and Environmental Research

Access to the Structural Biology Infrastructure at the
DOE synchrotron light and neutron sources willcontinue. These capabilities will continue to provide
access to instrumentation to evaluate structuralfeatures of biomolecules and make this information
available to the larger research community throughthe Protein Data Base and the DOE Systems Biology
Knowledgebase.

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124

Biological and Environmental Research
Climate and Environmental Sciences
Description
The Climate and Environmental Sciences subprogram supports fundamental science and research capabilities that enablemajor scientific developments in climate-relevant atmospheric and ecosystem process and modeling research, in support of
DOE’s mission goals for basic science, energy, and national security. This includes research on clouds, aerosols, and theterrestrial carbon cycle; large-scale climate change and Earth system modeling; the interdependence of climate change andecosystems; and integrated analysis of climate change impacts on energy and related infrastructures, with a view toward
increasing fractions of renewable energy of total U.S. energy production. It also supports subsurface biogeochemical
research that advances fundamental understanding of coupled physical, chemical, and biological processes controlling boththe terrestrial component of the carbon cycle and the environmental fate and transport of energy byproducts, including
greenhouse gases. This integrated portfolio of research from molecular-level to field-scales emphasizes the coupling ofmultidisciplinary experimentation and advanced computer models and is aimed at developing predictive, systems-level
understanding of the fundamental science associated with climate change and other energy-related environmental
challenges. The Department will continue to advance the science necessary to further develop predictive climate and Earthsystem models targeting resolution at the regional spatial scale and interannual to centennial time scales and to focus onareas of critical uncertainty including Arctic ecology and permafrost thaw, tropical ecological change, and carbon release, inclose coordination with the U.S. Global Change Research Program (USGCRP) and the international science community. In
addition, environmental research activities will support fundamental research to explore advances in environmental cleanup
and reductions in life cycle costs.
The subprogram supports three primary research activities, two national scientific user facilities, and a major data activity.
The two national scientific user facilities are the Atmospheric Radiation Measurements Climate Research Facility (ARM) andthe Environmental Molecular Sciences Laboratory (EMSL). ARM provides unique, multi-instrumented capabilities forcontinuous, long-term observations and model–simulated high resolution information that are needed to develop and test
understanding of the central role of clouds and aerosols on climate scales and on spatial scales extending from local to
global. EMSL provides integrated experimental and computational resources needed to understand the physical,
biogeochemical, chemical, and biological processes that underlie DOE’s energy and environmental mission. The data activity
encompasses observations collected by dedicated field experiments, routine and long term observations accumulated byuser facilities, and model generated information derived from climate modeling platforms.
Atmospheric System Research
Atmospheric System Research (ASR) is the primary U.S. activity addressing two major areas of uncertainty in climate change
model projections: the role of clouds and the effects of aerosols on precipitation, and the atmospheric radiation balance.
ASR coordinates with ARM, using the facility’s continuous long-term datasets that provide three-dimensional measurementsof radiation, aerosols, clouds, precipitation, dynamics, and thermodynamics over a range of environmental conditions atdiverse climate-sensitive locations. The long-term observational datasets are supplemented with laboratory studies andshorter-duration, ground-based and airborne field campaigns to target specific atmospheric processes under a diversity oflocations and atmospheric conditions. ASR research results are incorporated into Earth system models developed by Climate
and Earth System Modeling to both understand the processes that govern atmospheric components and to advance Earthsystem model capabilities with greater certainty of predictions. ASR seeks to develop integrated, scalable test-beds thatincorporate process-level understanding of the life cycles of aerosols, clouds, and precipitation into dynamic models.
Environmental System Science
Environmental System Science supports research to provide a robust, predictive understanding of terrestrial surface andsubsurface ecosystems, including the effects of climate change, from the subsurface to the top of the vegetated canopy andfrom molecular to global scales. This includes understanding the role of ecosystems in climate with an emphasis on carbon
cycling and the role of subsurface biogeochemical processes in the fate and transport of carbon, nutrients, radionuclides,
and heavy metals.
A significant fraction of the CO 2 released to the atmosphere during fossil fuel combustion is taken up by terrestrial
ecosystems, but the impacts of climatic change, particularly warming, on the uptake of CO 2 by the terrestrial biosphereremain poorly understood. The significant sensitivity of climate models to terrestrial carbon cycle feedback and theuncertain signs of that feedback make resolving the role of the terrestrial biosphere on the carbon balance a high priority.
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Using decadal-scale investments such as the Next Generation Ecosystem Experiments (NGEEs) to study the variety of timescales and processes associated with ecological change, the research focuses on understanding, observing, and modelingthe processes controlling exchange rates of greenhouse gases, in particular CO 2 and methane (CH 4 ), between atmosphereand terrestrial biosphere, evaluating terrestrial source-sink mechanisms for CO 2 and CH 4 , and improving and validating therepresentation of terrestrial ecosystems in coupled Earth system models. This research supports the USGCRP interagency
priority to understand the impacts of global change on the Arctic Region and resulting effects on global climate. Subsurface
biogeochemical research supports integrated experimental and modeling research, ranging from molecular to field scales, tounderstand and predict the role that biogeochemical processes play in controlling the cycling and mobility of energyrelevant materials in the subsurface and across key surface-subsurface interfaces in the environment, including
environmental contamination from past nuclear weapons production.
Climate and Earth System Modeling
Climate and Earth System Modeling develops physical, chemical, and biological model components, as well as fully coupled
Earth system models that combine with sophisticated representations of human activities. This research includes theinteractions of human and natural Earth systems needed to simulate climate variability and change from years to decades tocenturies at regional and global scales. The research specifically focuses on quantifying and reducing the uncertainties inEarth system models based on more advanced model development, diagnostics, and climate system analysis. Priority modelcomponents include the ocean, sea-ice, land-ice, aerosols, atmospheric chemistry, terrestrial carbon cycling, multi-scale
dynamical and physical interdependencies, and dynamical cores. This research supports the USGCRP interagency priority inintraseasonal to centennial predictability, predictions and projections, including focus on extreme events.
Climate Model Development and Validation continues at reduced levels. The focus of the investment involves modelarchitecture restructuring, exploiting new software engineering and computational upgrades, and incorporating scale-aware
physics in all model components, as part of the DOE-wide Exascale Computing Initiative (ECI) crosscut. DOE modelingactivities will continue development of modularized components that can act either alone or as a system able to run on
current and next generation supercomputers, thus allowing greater certainty of predictions in a flexible structure. Becausemodel development requires systematic validation at each step, investment in model assessment and validation willcontinue. Examples include the use of ARM data combined with scale-aware Large Eddy Simulation products. High
resolution ARM and model ensemble data bases will be integrated into the advanced data management infrastructure
effort, the Climate and Environmental Data Analysis and Visualization activity, for use by the scientific research community.
Other validation platforms include the sensitivity and uncertainty of climate predictions to explore climate sensitive
geographies or processes as well as the representation of extreme events in these next generation models.
The Regional and Global Climate modeling activity will increase investments in scientific analyses using DOE’s capabilities inclimate and Earth system modeling. Models will be utilized in order to develop and analyze a new set of high resolution
simulations of extreme events, that directly support the DOE-wide Energy-Water Nexus crosscut objectives, with particularfocus on evaluating the influence of extremes on the interdependence of energy and water, in the context of Sankey
diagrams. The Regional and Global Climate modeling activity will additionally conduct scientific analyses to study thepredictability of statistical distributions of future weather extremes that exhibit short repeat times, i.e., that in turn have thepotential to cause cascading impacts on energy-water infrastructures. The Regional and Global Climate Modeling activity
will continue to analyze the causes and distributions of droughts; biogeochemical controls on abrupt climate change; therole of the highly resolved patterns of carbon budgets on regional and global climate change; and the roles of cryosphericphenomena (sea ice, glaciers, ice sheets, and permafrost thaw) on Arctic climate, sea level rise, and large scale modes ofvariability. Also, research will explore model–derived analogs that combine historical and projected climate changes, with anobjective to validate and improve the uncertainty characterization of future climate projections based on the prediction
successes using existing data testbeds. To rapidly and efficiently advance model capabilities, BER supports a unique andpowerful intercomparison resource, the Program for Climate Model Diagnosis and Intercomparison (PCMDI), for global
climate model development, validation, diagnostics, and outputs, using over 40 world-leading climate models. This set of
diagnostic and intercomparison activities combined with scientific analysis, ensures that BER funded researchers can exploit
the best available science and practice within each of the world’s leading climate research programs.
The Earth System Modeling activity in BER will continue to coordinate with the National Science Foundation (NSF) to provide
support for greater sophistication of Earth system models, in particular the Community Earth System Model system (CESM)
that is co-funded by DOE and NSF. CESM is designed by the research community with open access and broad use by climate
researchers worldwide. In addition, DOE will continue to advance a new version of CESM, i.e., the Accelerated Climate
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Model for Energy (ACME), as a computationally efficient model adaptable to emerging computer architectures and withgreater sophistication and fidelity for high resolution simulation. This system of models provides a critical capacity forregional climate projections, including information on how the frequency of occurrence and intensity of storms, droughts,
heat waves, and regional sea-level will change as climate evolves. The scientific priorities for improvement of thecommunity models are based on efforts to quantify uncertainties relative to specific scientific questions; and the outputs of
the intercomparison and validation resource allow one to determine best features of all global models that can beconsidered for incorporation into DOE’s ACME modeling platform. DOE also has provided computational capability andexpertise to the climate research community through a partnership between BER and the Office of Science’s Advanced
Scientific Computing Research (ASCR) program, which is investing in innovative code and algorithm designs for optimalmodel computation on its petascale computers. Climate modeling, simulation, and analysis tools are essential for informing
investment decision-making processes for infrastructure associated with future large-scale deployment of energy supply andtransmission.
The Integrated Assessment activities in BER develop integrated assessment (IA) models and impacts analyses, and willcontinue efforts to integrate adaptation and vulnerability (IAV) capabilities into the modeling and predictive capabilities.
Expanded efforts will specifically support the Energy-Water Nexus objectives, with focus on development anddemonstration of a novel high–resolution community IA-IAV hybrid model system, improving not only the resolution but
also the detailed process representations for autonomous elements as well as for coupled energy-water-land systeminterdependencies. Also, efforts will be dedicated to establish a set of three to four regional-scale data, modeling andanalysis test beds, outputs from which provide a foundation for future development of an Integrated Field Laboratory (IFL),
an instrumented field research and observation site to conduct sophisticated research that utilizes the enhanced data,
modeling, and analytical capabilities of the regional test beds to understand process and infrastructure interdependencies
under water-stressed conditions. The Integrated Assessment activity will address uncertainty characterization of both theindividual physical, biogeophysical, and sectoral (including energy infrastructure as well as emerging clean energy
technology deployment) drivers, extending from macroscale (greater than 50 km resolution) to the much finer scales ofEarth system prediction (order of 10 km).
Climate and Environmental Facilities and Infrastructure
Climate and Environmental Facilities and Infrastructure include two scientific user facilities, and climate data management
for the climate science community. The scientific user facilities—the Atmospheric Radiation Measurement Climate Research
Facility (ARM), and the Environmental Molecular Sciences Laboratory (EMSL)—provide the broad scientific community withtechnical capabilities, scientific expertise, and unique information to facilitate science in areas integral to BER’s mission.
ARM is a multi-platform, multi-site, national scientific user facility, providing the world’s most comprehensive continuous
field measurements of climate data to advance atmospheric process understanding and climate models through precise
observations of atmospheric phenomena. ARM currently consists of three fixed, long-term measurement facility sites (inOklahoma, Alaska, and the Azores), three mobile facilities, and an airborne research capability that operates at sites
selected by the scientific community. The ARM fixed sites and mobile measurement campaigns are distributed around theworld in locations where the scientific community most critically needs enhanced understanding and data to incorporate
into climate models, thereby improving model performance and predictive capabilities. Each of the ARM sites includes
scanning radars, lidar systems, and in situ meteorological observing capabilities; the sites are also used to demonstratetechnologies as they are developed by the community. ARM experiments to study the impact of evolving clouds, aerosols,and precipitation on the Earth’s radiative balance and rate of climate change address the two most significant scientificuncertainties in climate research. ARM will incorporate very high resolution Large Eddy Simulations (LES) at the permanent
Oklahoma site, during specific campaigns requested by the scientific community. BER is also maintaining the exponentially
increasing data archive to support enhanced analyses and model development. The data extracted from the archive areused to improve climate projections at higher resolution, greater sophistication, and lower uncertainty.
EMSL provides integrated experimental and computational resources for discovery and technological innovation in theenvironmental molecular sciences. EMSL enables users to undertake molecular-scale experimental and theoretical researchon biological systems, biogeochemistry, aerosol chemistry, and interfacial and surface science relevant to climate, energy,
and environmental challenges facing DOE and the Nation. This includes science supporting alternative energy sources,
improved catalysts and materials for industrial applications, insights into factors influencing climate change and carbon
sequestration processes, and subsurface biogeochemical drivers. EMSL will address a more focused set of scientific topics
that capitalize on recently installed capabilities involving HRMAC, live cell imaging, and radiological science capabilities, andScience/Biological and Environmental Research

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more extensive utilization of other EMSL instrumentation into process and systems models and simulations to address
challenging problems in the biological, environmental, and climate sciences.
Data sets generated by ARM, other DOE and Federal Earth observing activities, and Earth system modeling activities, areenormous. The information in Earth observations data can be used to achieve broad benefits ranging from planning anddevelopment of energy infrastructure to natural disaster impact mitigation to commercial supply chain management tonatural resource management. Access to and uses of these data are fundamental to supporting decision-making, scientificdiscovery, and technological innovation. DOE’s data management activities will be coordinated with the Big Data Researchand Development Initiative, a and internally collaborative with ASCR programs.
In FY 2017, the BER Data Management activity will continue efforts to harmonize and integrate metadata from the Earth
System Grid Federation, ARM and NGEE field experiments, and relevant components of data. Analytical tools will be
integrated into the program, including capabilities for diagnostics, validation, and uncertainty quantification.

a

http://www.whitehouse.gov/sites/default/files/microsites/ostp/big_data_press_release_final_2.pdf
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128

Biological and Environmental Research
Climate and Environmental Sciences
Activities and Explanation of Changes

Explanation of Changes
FY 2017 vs FY 2016 Enacted

FY 2016 Enacted

FY 2017 Request

Climate and Environmental Sciences $314,729,000
Atmospheric System Research (ASR) $26,392,000
ASR continues to focus on atmospheric cloud andaerosol issues that limit climate modeling capabilities,
with a particular emphasis on Arctic mixed phase
clouds and tropical systems with large variations ofaerosol characterization. ASR exploits Large Eddy
Simulation (LES) as a tool to understand scale-aware
physics governing aerosol transformations, cloud
nuclei formation and growth, and cloud evolution. ASR
utilizes a combination of observations and LES
modeling to explore strongly heterogeneousenvironments, as observed in the Arctic and theTropics, to advance the range of conditions applicable
to nonhydrostatic parameterizations (models with lessthan 10 km resolution).

$322,869,000$26,392,000
ASR will coordinate with Climate and Earth System
Modeling to focus activities on atmospheric cloud andaerosol issues that limit climate modeling capabilities,
with increasing emphasis on very high resolution
process representations and new efforts on landatmosphere interactions that impact aerosol and cloud
processes. Research on Arctic mixed phase clouds andmarine stratocumulus clouds will exploit new
observational capabilities. Increased use of Large Eddy
Simulation (LES) as a tool to understand scale-aware
physics governing aerosol transformations, cloud
nuclei formation and growth, and cloud evolution will
benefit from enhanced ARM measurements at the
Oklahoma site and case study data sets for northern
Alaska.

+$8,140,000$0Funding continues at the FY 2016 Enacted level.
Research will exploit new data generated by Large
Eddy Simulations available from ARM sites, newly
developed airborne data sets collected with
Unmanned Aerial Systems, and new marine, Arctic,
and Antarctic observations. A new class of ASR
research efforts will couple observations and the ARM
Facility Large Eddy simulation database to extend
process level understanding.

Environmental System Science (ESS) $63,242,000
Research continues with NGEE Arctic Phase II, withmultiple sites in northern Alaska involved inobservation and modeling. NGEE Tropics begins earlyobservations to test new modeling architectures,
appropriate for tropical terrestrial systems. The
subsurface biogeochemistry investments involve a
combination of advanced modeling architectures andfield research, with existing data used to test
predictive modeling concepts. AmeriFlux supports
efforts to improve terrestrial land modelingcomponent, to test new concepts and build testbeds
for high resolution land model validation.

$63,242,000
Research will continue in Alaska, using a larger set offield stations expanded from Barrow. NGEE tropics willcontinue model analysis with field measurements
collected in a variety of tropical regimes, e.g., in Puerto
Rico and Brazil, where diverse ecological conditions
are exposed to significant climate forcing.

+$0
Funding continues at the FY 2016 Enacted level.
Research will begin to incorporate field experimental
data into new climate model architectures.

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FY 2016 Enacted

FY 2017 Request

Climate and Earth System Modeling $98,672,000
Research continues to extend capabilities for the
Accelerated Climate Model for Energy (ACME) to
include nonhydrostatic atmospheric modeling (lessthan 10 km resolution), more sophisticated ice sheet
physics, and a new approach for terrestrial modelingthat uses plant functional traits instead of plant“types” for more physical representation of biology.
The program initiates investments to advance softwareand physics describing the interface between icesheets and other components (ocean, land andatmosphere), and new methods for capturing thestatistics of climate change. Regional modeling analysis
addresses interdependencies involving the water andenergy sectors, using details on existing and projected
infrastructures. In addition, funding for this programsupports the development of new multi-ensemble
statistical methods for vulnerability analysis applied tothe energy-water-land nexus, with special focus onregional coastal inundation and storm-surge, changes
in water availability for a coupled climate-humansystem, and energy implications of extreme events.
Interdependencies of the energy-water nexus are
explored within a full climate system analysis, as well
as developing vulnerability analysis techniques to treat
the energy-water nexus with existing and projected
infrastructure.

$103,531,000
Research to extend ACME capabilities will continue tofocus on enhancing the land component (including
ecological processes) to address the more rapidlychanging conditions expected for a variety ofgeographic domains. Statistical and dynamical
uncertainty methods will be incorporated for allcomponents of the ACME system, including land,
ocean, atmosphere, cryosphere, and the human
component. This will considerably enhance the human
component, with the development of a hybrid modelthat combines Integrated Assessment and Impact,
Adaptation, and Vulnerability; and this hybrid
modeling approach will be exercised to describe theenergy-water nexus of challenges facing U.S. energy
and water infrastructures. The program will apply
advanced software upgrades to all modelingcomponents. A set of science topics involving future
extremes in climate states, including drought, will be
studied with both the ACME model and other models(such as the Community Earth System Model) thathave a sufficient level of process level sophisticationthat is needed to address mission challenges of
relevance to the Department.

Climate Model Development and Validation focus onmodel architecture restructuring, exploiting new
software engineering and computational upgrades,
incorporating scale-aware physics in all modelcomponents and enhanced efforts to assess andvalidate model results.

Climate Model Development and Validation willcontinue to develop model architecture restructuring,
exploiting new software engineering andcomputational upgrades, incorporating scale-aware
physics in all model components and efforts to assessand validate model results.

Core research in Regional and Global Climate
Modeling, Earth System Modeling and Integrated
Assessment continues to underpin high-resolution

Efforts will continue to focus on the dynamical andstatistical analysis of climate extremes, withsupporting efforts specifically focused on arctic-

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130

Explanation of Changes
FY 2017 vs FY 2016 Enacted+$4,859,000
Increases will be dedicated to new efforts in integrated
assessment modeling to understand processinteractions involving the energy-water nexus, and willfund a set of three to four regional-scale data,
modeling, and analysis test beds to accelerate
synthesis of integrated toolsets in diverse
environments and explore predictive challenges
associated with the energy-water nexus.

FY 2017 Congressional Budget Justification

FY 2016 Enacted
predictability using adaptive grids and uncertainty
characterization, and more sophisticated data
management.
Climate and Environmental Facilities andInfrastructure $115,686,000
ARM continues to support its long-term
measurements at fixed sites, and the mobile facilities
are deployed to three climate-sensitive regions
demanding targeted measurements. The first mobile
facility remains in the Amazon Basin for the firstquarter, thereafter undergo maintenance; the second
is deployed to Antarctica; and the third continues theexperiment in Oliktok, Alaska. These observations,combined with dedicated modeling and simulation,
are key to reducing the earth system model
uncertainties attributed to clouds and aerosols. The
ARM second mobile facility deployment to Antarctica
represents the first major ARM campaign in thesouthern hemisphere. Incorporation of modeling andsimulation as part of ARM data acquisition is initiated

EMSL continues to support users and their research inbiological systems, biogeochemistry, aerosol
chemistry, and interfacial and surface science relevant
to climate, energy, and environmental challenges
facing DOE and the Nation. Emphasis is placed on
utilization of new capabilities in the Radiological Annex
and Quiet wing. In FY 2016 the integrated HRMAC
system is available for new research. The installation
and availability of the HRMAC, with its 21Tesla
magnet, provides unique enhancements to EMSL’s
capabilities available to the research community.
Science/Biological and Environmental Research

FY 2017 Request

Explanation of Changes
FY 2017 vs FY 2016 Enacted

midlatitude interactions, drought evolution,
atmospheric rivers, carbon-nutrient cycle feedbacks,
and impacts of interannual variations of ocean
circulations (such as El Nino and the Arctic Oscillation).
$118,047,000
ARM will continue to support and enhance its longterm measurements at fixed sites. To support the goalof better linking ARM observations to global climate
models to reduce key climate uncertainties, ARM will
increase the measurement density around its
Oklahoma and Alaska sites, enhance observations forland-atmosphere coupling, develop higher order data
products that are more suitable for model evaluation,and develop instrument simulators for direct
evaluation of models with observational data.
Dedicated high resolution Large Eddy Simulations will
be integrated routinely into ARM data acquisition.
New Unmanned Aerial Vehicle capabilities will provide
unprecedented observations in extreme Arctic
conditions. ARM mobile facilities will be deployed tounder-observed climate-sensitive regions wheretargeted measurements will provide critical data to thescience community.

+$2,361,000
The ARM mobile facility will provide the first scanning
cloud radar data in Antarctica to the scientificcommunity. Data generated by Large Eddy Simulations
and newly deployed Unmanned Aerial Vehicles at the
Oklahoma and Alaska sites trigger a new level ofsophisticated science on aerosol and cloud processes.

EMSL facility operations support experimental andcomputational user research in biological systems
science, hydrobiogeochemistry, ecosystems science,vegetative emissions and aerosol chemistry, andinterfacial chemistry and surface science relevant toclimate, energy, and environmental challenges facing
DOE and the Nation. Support will emphasize the use ofadvanced imaging capabilities in the Quiet wing toinvestigate processes in living plant and microbial cells
and their interactions with the surrounding
environment. The HRMAC 21 Tesla mass spec system
will be used to identify the molecular composition of

EMSL expands user research on the new and unique
HRMAC system to address previously unattainable
research challenges and provide new scientificunderstanding of the molecular composition of aerosol
particles and emissions from plants, interactions
within microbial biofilms, intra- and intercellular
processes, and imaging of intact proteins. EMSL will
partner with other SC user facilities to provide
targeted user facility access for the BRAIN initiative.

131

FY 2017 Congressional Budget Justification

FY 2016 Enacted

FY 2017 Request

Explanation of Changes
FY 2017 vs FY 2016 Enacted

aerosol samples, microbial communities and cellular
products. Molecular-level reaction chemistry ofradioactive elements and materials from waste tanks
and the subsurface will be explored using unique
instruments in RadEMSL. EMSL (in partnership withother SC user facilities) will provide targeted user
facility access to the JGI and EMSL, to address BRAIN
and systems biology science priorities in cellularbiochemical and metabolic flux, membrane protein
dynamics, and develop modeling approaches that canbe used to integrate multimodal data. These priorities
will be informed by a scientific workshop held in FY
2016.
The Climate and Environmental Data Analysis andVisualization activity continues to advance highresolution earth system models and data management
capabilities, with a greater focus on nonhydrostatic
dynamical cores, extreme events, and the assimilationof Large Eddy Simulation ensembles to provide
statistics of sub-grid parameterizations for a wider
range of conditions involving extreme events. Modeldata fusion is explored with new visualization
technologies.

The data activity will continue to develop an
integrative framework of metadata, data standards,
and interoperability, such that data holdings of the
Carbon Dioxide Information Analysis Center, Earth
System Grid Federation, and the Atmospheric
Radiation Measurement Climate Research Facility will
be linked by a common framework. In addition, datafrom other agencies of interest to DOE fundedscientists, such as the NASA DAACs, will be establishedwithin the common framework. In order to support
the requirements of the next Coupled Model
Intercomparison Project of the IPCC, the framework
will also be improved with capabilities to conduct
server side analyses that utilize all data archives
accessible by the framework.

The Climate and Environmental Data Analysis andVisualization activity will provide an integrated
capability that allows compatibility andinteroperability involving both observed and model
generated climate information. Information as part ofthis activity involves multiple model products in the
Earth System Grid Federation (ESGF), and data fromenvironmental field experiments, ARM facility
observations, and components of the EMSL data base.

Participation in the Big Earth Data Initiative continues.

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Biological and Environmental Research
Performance Measures
In accordance with the GPRA Modernization Act of 2010, the Department sets targets for, and tracks progress toward, achieving performance goals for each program.
The following table shows the targets for FY 2015 through 2017. Details on the Annual Performance Report can be found at http://energy.gov/cfo/reports/annualperformance-reports.

Performance
Goal (Measure)
TargetResultEndpoint Target

Performance
Goal (Measure)
TargetResultEndpoint Target

FY 2015
FY 2016
FY 2017
BER Climate Model—Develop a coupled climate model with fully interactive carbon and sulfur cycles, as well as dynamic vegetation to enable
simulations of aerosol effects, carbon chemistry, and carbon sequestration by the land surface and oceans and the interactions between the
carbon cycle and climate
Develop capabilities to extend temporal
Develop and apply a fully coupled ice-sheet
Extend the capabilities of the DOE’s Accelerated
resolution to sub-decadal for earth systemmodel to estimate near-term changes to the
Climate Model for Energy (ACME), to simulate
models.
West Antarctic ice sheet.
and evaluate human-natural interdependencies
for the carbon and water cycles.
Met
TBD
TBD
BER supports the Community Earth System Model, a leading U.S. climate model, and addresses two of the most critical areas of uncertainty incontemporary climate science—the impacts of clouds and aerosols. Delivery of improved scientific data and models (with quantified uncertainties)
about the potential response of the earth atmosphere system to more accurately predict the earth’s future climate is essential to plan for futureenergy needs, water resources, and land use. DOE will continue to advance the science necessary to further develop predictive climate and earthsystem models at the regional spatial scale and decadal to centennial time scales, involving close coordination with the U.S. Global Change Research
Program and through the international science community.
BER Predictive Understanding of Biological Systems—Advance an iterative systems biology approach to the understanding and manipulation ofplant and microbial genomes as a basis for biofuels development and predictive knowledge of carbon and nutrient cycling in the environment.
Develop 1 new computationally enabled
Develop an improved metabolic engineering
Develop improved open access platforms forapproach to analyze complex genomic datasets. method for modifying microorganisms forcomputational analysis of large genomic
biofuel production from cellulosic sugars.
datasets.
Met
TBD
TBD
BER will advance understanding of the operating principles and functional properties of plants, microbes, and complex biological communities
relevant to DOE missions in energy and the environment. Deciphering the genomic blueprint of organisms and determining how this information istranslated to integrated biological systems permits predictive modeling of bioprocesses and enables targeted redesign of plants and microbes. BER
research will address fundamental knowledge gaps and provide foundational systems biology information necessary to advance development ofsustainable bioenergy systems and predict impacts of changing environmental conditions on carbon cycling and other biogeochemical processes.

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FY 2017 Congressional Budget Justification

Biological and Environmental Research
Capital Summary ($K)

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

Total

Prior Years

FY 2015
EnactedFY 2015
Current

FY 2016
EnactedFY 2017
Request

n/a

n/a

4,667

5,139

4,500

4,500

FY 2017 vsFY 20160

Funding Summary ($K)

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

FY 2015 Enacted
375,293
197,325
19,382592,000

FY 2015 Current
375,293
197,325
0572,618

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

FY 2017 Request
446,480
191,444
23,996
661,920

FY 2017 vs FY 2016
+46,455+3,324+3,141+52,920

Facility Operations ($K)
The treatment of user facilities is distinguished between two types: TYPE A facilities that offer users resources dependent on a single, large-scale machine; TYPE B
facilities that offer users a suite of resources that is not dependent on a single, large-scale machine.
FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request

TYPE B FACILITIESAtmospheric Radiation Measurement Climate Research
Facility (ARM)
Number of users$67,429900$67,429900$65,429950$65,429
1,000

+0
+50

Joint Genome Institute
Number of users$69,500
1,000$69,500
1,000$69,500
1,300$70,463
1,300

+963
0

Environmental Molecular Sciences Laboratory
Number of users$45,501715$45,501
715$43,191715$45,552750+2,361+35

Structural Biology Infrastructure b
Total Facilities
Number of users$14,895$197,325
2,615$14,895$197,325
2,615$10,000$188,120
2,965$10,000$191,444
3,050

0+3,324+85a

FY 2017 vs FY 2016

Includes SBIR and STTR.
Structural Biology Infrastructure activities are at Basic Energy Sciences user facilities and the user statistics are included in the BES user statistics.
Science/Biological and Environmental Research
FY 2017 Congressional Budget Justification
134b

Scientific Employment

Number of permanent Ph.D.’s
Number of postdoctoral associates
Number of graduate students
Other aFY 2015 Enacted
1,295
320
440
320

FY 2015 Current
1,295
320
440
320

FY 2016 Enacted
1,350
330
450
330

FY 2017 Estimate
1,410
342
470
342

FY 2017 vs FY 2016
+60
+12
+20
+12

a

Includes technicians, engineers, computer professionals and other support staff.
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136

Fusion Energy Sciences
Overview
The Fusion Energy Sciences (FES) program mission is to expand the fundamental understanding of matter at very hightemperatures and densities and to build the scientific foundation needed to develop a fusion energy source. This isaccomplished through the study of plasma, the fourth state of matter, and how it interacts with its surroundings. Theinterdisciplinary nature of modern fusion research is emphasized in the 2015 Quadrennial Technology Review.
The next frontier for all of the major fusion research programs around the world is the study of the burning plasma state, inwhich the fusion process itself provides the dominant heat source for sustaining the plasma temperature (i.e., self-heating).
Production of strongly self-heated fusion plasma will allow the discovery and study of new scientific phenomena relevant tofusion energy. These include the effects of highly energetic fusion-produced alpha particles on plasma stability andconfinement; the strongly nonlinear coupling that will occur among fusion alpha particles, pressure-driven self-generated
current, turbulent transport, and boundary-plasma behavior; the properties of materials in the presence of high heat andparticle fluxes and neutron irradiation; and the self-organized nature of plasma profiles over long time scales.
To achieve these research goals, FES invests in flexible U.S. experimental facilities of various scales, international
partnerships leveraging U.S. expertise, large-scale numerical simulations based on experimentally validated theoreticalmodels, development of advanced fusion-relevant materials, and invention of new measurement techniques.
The knowledge base being established through FES research supports U.S. goals for future scientific exploration on ITER, amajor international fusion facility currently under construction in St. Paul-lez-Durance, France. ITER will be the world’s firstmagnetic confinement long-pulse, high-power burning plasma experiment aimed at demonstrating the scientific andtechnical feasibility of fusion energy. Execution and oversight of the U.S. contribution to the ITER project are carried out
within FES.
To support the program mission and its major focus, the U.S. fusion program has four elements:

Burning Plasma Science: Foundations;
Burning Plasma Science: Long Pulse;
Burning Plasma Science: High Power; andDiscovery Plasma Science.

Highlights of the FY 2017 Budget Request
Notable changes in the FY 2017 budget include:No funding is provided for Alcator C-Mod operation and research—after the final year of operation of Alcator C-Mod in
FY 2016, the research staff at the MIT Plasma Science and Fusion Center will shift focus to begin full-time collaborative
research activities in the DIII-D and NSTX-U national research programs; in addition, some will engage in collaborations
with international laboratories.
 Increased support for DIII-D and National Spherical Torus Experiment-Upgrade (NSTX-U) research—Funding for the DIIID and NSTX-U research programs is increased to address the high priority fusion science issues identified by thecommunity research needs workshops held in FY 2015 and to support enhanced collaborations with MIT researchers.
 Continued support to the U.S. Contributions to ITER Project—Funding will support continued progress on in-kind
hardware contributions, including central solenoid superconducting magnet modules and structures, toroidal fieldmagnet conductor, steady­state electrical network components, and tokamak cooling water system. Funding is also
provided toward the FY 2017 monetary contribution to the ITER Organization, which supports ITER Project common
expenses.
 In the FY 2017 Budget Request, most funding for the Working Capital Fund (WCF) is transferred to Program Direction toestablish a consolidated source of funding for goods and services provided by the WCF. CyberOne is still fundedthrough program dollars in the SC Safeguards and Security program. In FY 2016 and prior years, WCF costs were sharedby SC research programs and Program Direction.
Science/Fusion Energy Sciences
FY 2017 Congressional Budget Justification
137
Fusion Energy Sciences
Funding ($K)

Fusion Energy Sciences
Burning Plasma Science: Foundations
Advanced Tokamak
Spherical Tokamak
Theory & Simulation
GPE/GPP/Infrastructure
Total, Burning Plasma Science: Foundations
Burning Plasma Science: Long Pulse
Long Pulse: Tokamak
Long Pulse: Stellarators
Materials & Fusion Nuclear Science
Total, Burning Plasma Science: Long Pulse
Discovery Plasma Science
Plasma Science Frontiers
Measurement Innovation
SBIR/STTR & Other
Total, Discovery Plasma Science
Subtotal, Fusion Energy Sciences
Construction
14-SC-60 International Thermonuclear Experimental
Reactor (ITER)
Total, Fusion Energy Sciences
SBIR/STTR:
 FY 2015 Transferred: SBIR $8,906,000 and STTR $1,228,000
 FY 2016 Projected: SBIR: $9,333,000; STTR: $1,400,000
 FY 2017 Request: SBIR $8,436,000 and STTR $1,186,000ab

FY 2015 Enacted

FY 2015 Current a

FY 2016 Enacted

FY 2017 Request b

FY 2017 vs.
FY 2016

105,348
72,91934,6703,125
216,062

107,675
71,16935,0063,600
217,450

101,255
74,00033,5006,000
214,755

84,23873,19933,1705,000
195,607-17,017-801-330-1,000-19,148

7,695
6,419
24,842
38,956

7,895
8,010
23,03338,9388,500
7,269
25,252
41,021

6,045
5,084
20,22631,355-2,455-2,185-5,026-9,66646,024
3,575
12,88362,482
317,500

44,6433,575
2,760
50,978307,366

46,7846,700
13,74067,224
323,000

31,9164,000
10,30046,216273,178-14,868-2,700-3,440-21,008-49,822150,000
467,500

150,000
457,366

115,000
438,000

125,000
398,178+10,000-39,822

Reflects the transfer of Small Business Innovation/Technology Transfer Research (SBIR/STTR) funds within the Office of Science.
A transfer of $861,000 to Science Program Direction to consolidate all Working Capital Funds in one program.

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FY 2017 Congressional Budget Justification

Fusion Energy Sciences
Explanation of Major Changes ($K)
FY 2017 vsFY 2016
Burning Plasma Science: Foundations: Overall funding for advanced tokamak research is decreased, as operation of Alcator C-Mod ceases. Funding for
DIII-D and NSTX-U research is increased to support the enhanced collaboration by MIT research staff in those programs. Funding for Theory &Simulation is increased to accelerate progress toward whole-device modeling. Decreased funding for DIII-D and NSTX-U operations results indeferment of some facility enhancements and a slight reduction to operating weeks.

-19,148

Burning Plasma Science: Long Pulse: Overall funding is decreased for U.S. research collaborative activities on overseas long-pulse tokamaks andstellarators and on research and experimental capabilities that address the plasma-materials interface scientific challenge.

-9,666

Discovery Plasma Science: Overall funding is decreased, as the High Energy Density Laboratory Plasma science activity contracts to focus on supporting
research utilizing the Matter in Extreme Conditions instrument of the Linac Coherent Light Source at the SLAC National Accelerator Laboratory.
Decreases in Measurement Innovation and General Plasma Science activities result from the completion of targeted research enhancements fully
funded in FY 2016.

-21,008

Construction: Funding is provided toward the FY 2017 monetary contribution (total $44M) to the ITER Organization.

+10,000

Total Funding Change, Fusion Energy Sciences-39,822

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FY 2017 Congressional Budget Justification

Basic and Applied R&D Coordination
FES coordinates within DOE and with other federal agencies on science and technology issues related to fusion and plasma
science. Within SC, FES operates the Matter in Extreme Conditions (MEC) instrument at the Linac Coherent Light Source(LCLS) user facility operated by Basic Energy Sciences (BES). In addition, FES carries out a discovery-driven plasma science
research program in partnership with the National Science Foundation (NSF), with research extending to a wide range ofnatural phenomena, including the origin of magnetic fields in the universe and the heating of the solar corona. Also, FES
operates a joint program with the National Nuclear Security Administration (NNSA) in High Energy Density Laboratory
Plasma (HEDLP) physics. Both programs involve coordination of solicitations, peer reviews, and workshops. The Fusion
Energy Sciences Advisory Committee (FESAC) provides technical and programmatic advice to FES and NNSA for the joint
HEDLP program.
Program Accomplishments
Completion of the NSTX Upgrade project—the research capabilities of the NSTX user facility have been enhanced bydoubling its maximum toroidal field and plasma current, lengthening the pulse length, and adding a second set of neutralbeam sources for off-axis heating and current drive. These improvements make the NSTX-U experiment the highest
performing spherical tokamak in the world and will allow NSTX-U researchers to explore unique spherical tokamak
parameter regimes to advance predictive understanding of magnetically confined plasmas.
ITER component production and major deliveries—The U.S. ITER Project began the challenging task of winding the first 100ton module for the ITER central solenoid, which, when completed, will be the most powerful pulsed superconducting
electromagnet ever produced. U.S. vendors also successfully delivered one 100-meter superconducting length and two 800meter production lengths of active conductor to the European Union’s Toroidal Field Coil fabricator in Italy, and four lots ofhigh-voltage substation transformers, which are part of the steady state electric network, to the ITER site. The U.S. ITER
Project also completed fabrication and delivery of all five nuclear-grade tokamak cooling water system drain tanks.
First fully remote operation of an overseas tokamak—the first-ever fully remote operation of the Experimental Advanced
Superconducting Tokamak (EAST) tokamak in China was carried out by U.S. scientists from a purpose-built remotecollaboration room at General Atomics. The integrated China/U.S. experimental team studied axisymmetric controllability
and vertical displacement disruption events over six-hour periods on two consecutive days. Operating EAST remotely during
the nighttime in China but during the U.S. working daytime is a key milestone in the DOE Scenarios and Control
International Collaboration that involves several U.S. institutions. This approach is expected to enable EAST to achieve 24hour utilization and effectively offer use of a full campaign of experimental time to U.S. scientists during its operating
periods. Further remote operation sessions are being planned for next year.
Shining a light on the composition of the Sun—A discrepancy exists between theoretical models (based on spectroscopic
observations) that describe the relative abundances of elements in the Sun and measurements of the solar interior that are
made with acoustic wave observations. Scientists with the Z facility at Sandia National Laboratories discovered that the
wavelength-dependent radiation absorption (opacity) of iron, heated to 2.2 million degrees Kelvin, is 30–400 percent higher
than theoretically predicted. These new measurements suggest that the true opacity of solar matter is higher thanpreviously believed, altering theoretical models of the sun in a direction that brings them closer to the helio-seismologicalobservations. These results have impacted our understanding of the life cycle of the Sun and stellar evolution.
Chirping radio signals from space recreated in the laboratory—Researchers at the University of California, Los Angeles,
successfully excited elusive plasma waves, known as whistler-mode chorus waves, in the Basic Plasma Science Facility’s
Large Plasma Device. Previously these waves had only been studied in the Earth’s near-space environment. They wereaccidentally discovered during World War I by radio operators, who dubbed them “dawn chorus” since the radio signal of
the waves sounded like the chirping of birds. These waves, which occur naturally in the Earth’s magnetosphere, accelerate
electrons to extremely high energies and are responsible for the creation of the Van Allen radiation belt encircling the
Earth, which pose a threat to satellites in orbit. These new experiments allowed researchers, for the first time, to test undercontrolled laboratory conditions the current understanding of nonlinear excitation of whistler waves.
Fine-tuning tokamak magnetic fields to mitigate damaging energy bursts—Plasma confined by magnetic fields in a tokamak
device is subject to intense heat bursts, called Edge Localized Modes (ELMs), which can damage the walls of the confining
vessel. It had been known that ELMs could be suppressed by the application of small three-dimensional (3-D) magnetic
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FY 2017 Congressional Budget Justification

fields at the edge of the tokamak plasma; unfortunately, doing so often destabilized the central core of the plasma. Utilizing
a newly enhanced magnetic diagnostic system on DIII-D, a multi-institutional team of scientists found that application of a
3-D perturbative magnetic field that encircles the tokamak twice will mitigate the ELMs without adversely affecting the coreplasma. The new results suggest further possibilities for tuning the magnetic fields to make ELM control easier. Thesefindings point the way to overcoming a persistent barrier to sustained fusion reactions.
Multi-scale simulations of tokamak plasma confinement—High temperature plasmas are a soup of positively charged ionsand negatively charged electrons. While faithful computer simulations of ion transport and confinement in hightemperature tokamak plasmas are now fairly standard, accurate simultaneous simulation of the electrons has proven very
difficult due to their factor-of-2000 mass difference with ions. Recently, gyrokinetic simulations of both ion and electrontransport dynamics, involving widely disparate time and space scales, have been successfully performed for the first timewith a realistic ion/electron mass ratio. The simulations used 100 million CPU hours, mostly on the Edison supercomputer at
the National Energy Research Scientific Computing Center (NERSC) user facility. The results demonstrated that such multiscale simulations are required to match with the experimentally measured ion and electron thermal fluxes and profiles andthus resolved a longstanding mystery of electron heat conduction in tokamaks.
Helium bubble formation in fusion materials—it has been known for some time that neutrons from fusion reactions cancause bubbles of helium to form within plasma-facing materials, such as tungsten, which will be used in the ITER tokamak.
These bubbles grow and can burst violently when they migrate to the surface, resulting in releases of debris that are
detrimental to the plasma. This process of bubble formation, which is important for predicting large-scale material
response to the extreme fusion environment, has been studied with atom-based simulations using resources at NERSC andthe Oak Ridge Leadership Computing Facility. The results show how the growth rate can affect the bubble size, shape,pressure, and surface damage. This information is critically important to accurately predict how a tokamak divertor
component made of tungsten behaves under fusion conditions.

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






Research at major experimental facilities aimed at resolving fundamental advanced tokamak and spherical torus
science issues, including developing the predictive understanding needed for ITER operations and providing solutions
to high-priority ITER concerns.
Research on small-scale magnetic confinement experiments to elucidate physics principles underlying toroidal
confinement and to validate theoretical models and simulation codes.
Theoretical work on the fundamental description of magnetically confined plasmas and the development of advanced
simulation codes on current and emerging high-performance computers.
Research on technologies needed to support the continued improvement of the experimental program and facilities.
Support for infrastructure improvements at Office of Science laboratories conducting fusion research.

Research in the Burning Plasma Science: Foundations area in FY 2017 will focus on high-priority challenges andopportunities in the areas of transients in tokamaks, plasma-material interactions, and integrated modeling, as identified by
the community research needs workshops held in FY 2015.
Advanced Tokamak
The DIII-D user facility at General Atomics in San Diego, California, is the largest magnetic fusion research experiment in the
U.S. and can magnetically confine plasmas at temperatures relevant to burning plasma conditions. Researchers from the
U.S. and abroad perform experiments on DIII-D for studying stability, confinement, and other properties of fusion-grade
plasmas under a wide variety of conditions. The DIII-D research goal is to establish the scientific basis to optimize thetokamak approach to magnetic confinement fusion. Much of this research concentrates on developing the advanced
tokamak concept, in which active control techniques are used to manipulate and optimize the plasma to obtain conditions
scalable to robust operating points and high fusion gain for ITER and future fusion reactors. Near-term targeted efforts
address scientific issues important to the ITER design. Longer-term research focuses on advanced scenarios to maximize
ITER performance. Another high-priority DIII-D research area is foundational fusion science, pursuing a basic scientificunderstanding across all fusion plasma topical areas.
The Alcator C-Mod facility at the Massachusetts Institute of Technology continued operation in FY 2016 to complete
student research and experimental work. The facility will cease operations by the end of FY 2016.
The Enabling Research and Development (R&D) element develops the technology to enhance the capabilities for existingand next-generation fusion research facilities, enabling these facilities to achieve higher levels of performance and flexibility
needed to explore new science regimes.
Small-scale tokamak plasma research projects provide data in regimes of relevance to the FES mainline tokamak magnetic
confinement efforts and help confirm theoretical models and simulation codes in support of the FES goal to develop an
experimentally validated predictive capability for magnetically confined fusion plasmas. This activity consists of small-scale
focused experiments.
Spherical Tokamak
The NSTX-U user facility at Princeton Plasma Physics Laboratory (PPPL) is designed to explore the physics of plasmas
confined in a spherical torus (ST) configuration. A major advantage of this configuration is the ability to confine plasma at apressure that is high compared to the magnetic field energy density, which could lead to the development of more compact
and economical future fusion research facilities based on the ST concept. The ST configuration, with its very strong
magnetic curvature, has different confinement and stability properties from those of conventional tokamaks.
The NSTX-U Major Item of Equipment (MIE) project was completed in FY 2015. The upgrade of the center stack assembly
enables a doubling of the magnetic field and plasma current and an increase in the plasma pulse length from 1 to 5
Science/Fusion Energy Sciences143

FY 2017 Congressional Budget Justificationseconds, making NSTX-U the world’s highest-performance ST. The addition of a second neutral beam system doubles theavailable heating power and makes it possible to achieve higher plasma pressure and improve its current drive efficiency
and profile control to achieve fully non-inductive operation. Together, these upgrades support a strong research program todevelop the improved understanding of the ST configuration required to establish the physics basis for next-step ST
facilities and broaden scientific understanding of plasma confinement. The capability for controllable fully non-inductive
current drive will also contribute to an assessment of the ST as a potentially cost-effective path to fusion energy.
During its first year of research operations in FY 2016, NSTX-U will achieve magnetic fields and plasma currents about one
and a half times higher than those prior to the upgrade project. During FY 2017, NSTX-U will achieve the design values forthe magnetic field and plasma current, which are twice those achieved in NSTX.
Small-scale spherical torus plasma research projects doing focused experiments provide data in regimes of relevance to the
FES spherical torus magnetic confinement program. This effort helps confirm theoretical models and simulation codes insupport of the FES goal to develop an experimentally-validated predictive capability for magnetically confined fusion
plasmas. It also involves high-risk, but high-payoff, experimental efforts useful to advancing spherical torus science.
Theory and Simulation
The Theory and Simulation element contributes to the FES goal of developing the predictive capability needed for asustainable fusion energy source. This element includes two main interrelated but distinct activities: the Theory activity andthe Scientific Discovery through Advanced Computing (SciDAC) activity.
The Theory activity is focused on advancing the scientific understanding of the fundamental physical processes governing
the behavior of magnetically confined plasmas. The efforts supported by this activity range from small single-investigator
grants, mainly at universities, to large coordinated teams at national laboratories, universities, and private industry, while
the supported research ranges from fundamental analytic theory to mid- and large-scale computational work using highperformance computing resources. In addition to its scientific discovery mission, the Theory activity provides the scientificgrounding for the physics models implemented in the advanced simulation codes developed under the SciDAC activity
described below and supports validation efforts at major experiments.
The FES SciDAC activity, a component of the SC-wide SciDAC program, is aimed at advancing scientific discovery in fusion
plasma science by exploiting leadership-class computing resources and associated advances in computational science.
Massively parallel computing, grounded in experimentally validated theoretical models, will be hugely valuable for enabling
whole-device modeling that can integrate simulations of physics phenomena across a wide range of disparate time andspace scales. The eight multi-institutional and interdisciplinary centers in the FES SciDAC portfolio address challenges inmagnetic confinement science and computational fusion materials science and are well-aligned with the needs andpriorities of ITER and burning plasmas. Three of these centers are set up as partnerships between FES and Advanced
Scientific Computing Research (ASCR).
GPE/GPP/Infrastructure
Funding in this category provides support for general infrastructure improvements at the PPPL site consistent with the PPPL
Campus Modernization Plan. This funding is based upon an analysis of safety requirements, equipment reliability, facility
improvements, and research-related infrastructure needs.

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

FY 2017 Request

Advanced Tokamak $101,255,000
DIII-D Research ($35,000,000)
DIII-D Operations ($45,000,000)
Operations funding supports fifteen weeks of research
operations at the DIII-D facility, with experiments
focusing on high-priority advanced tokamak issues andresearch needs as identified by the FY 2015
community workshops. Areas of research include
studies of transport and radiative processes indetached divertor conditions, disruption physics andmitigation systems, and stability control strategies forrobust high performance operation. Targetedenhancements to the facility involve installation of aset of high-Z coated tile rings in the divertor region to
study impurity generation and transport installation ofa new magnet power supply for the 3D and shaping
coils, and a low power helicon antenna.

$84,238,000
DIII-D Research ($37,000,000)
DIII-D Operations ($44,100,000)
Operations funding supports fourteen weeks ofresearch operations at the DIII-D facility. Research will
be conducted to prepare for burning plasmas in ITER,
determine the optimal path to steady-state tokamak
plasmas, and develop the plasma material interaction
boundary solutions necessary for future devices.
Specific research goals will involve testing thepredictive models of fast ion transport by multiple
Alfven eigenmodes, studying the physical processes
that determine the edge pedestal density structure,and examining the impurity generation and transport
from the high-Z coated tiles. Targeted enhancements
to the facility will involve completion andcommissioning of an additional high-power microwave
heating system, as well as continued work on
improving the neutral beam heating control systemand designing the modifications necessary for a second
off-axis and co-/counter-directed neutral beam.

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Explanation of Change
FY 2017 vs. FY 2016-$17,017,000
DIII-D Research (+$2,000,000)
DIII-D Operations (-$900,000)
Increases in research funding will support theenhanced collaboration in the DIII-D national research
program by the MIT scientific staff, while decreases inoperations funding will delay some planned facility
enhancements and require a reduction of operating
weeks.

FY 2017 Congressional Budget Justification

FY 2016 Enacted

FY 2017 Request

Explanation of Change
FY 2017 vs. FY 2016
C-Mod Research (-$6,145,000)
C-Mod Operations (-$11,855,000)
Support for Alcator C-Mod operation and researchends in FY 2016, and the MIT research staff will begin
collaborative research activities at other national andinternational facilities.

C-Mod Research ($6,145,000)
C-Mod Operations ($11,855,000)
Operations funding supports five weeks of research
operations at the Alcator C-Mod facility in its final yearof operation in FY 2016. Research is focused on
research needs as identified by the FY 2015
community workshops. Experiments are conducted to
study disruption physics and mitigation techniques,develop the database for the critical interactions
between the plasma and material components under
ITER and reactor-relevant conditions, explore robust
high-performance stationary regimes free of Edge
Localized Modes, and advance radiofrequency heating
and current drive technology and physics
understanding. The facility will be closed after final
operations. The scientific staff will complete analysis ofexisting C-Mod data and begin making a transition tocollaborative research activities on other researchfacilities.

C-Mod Research ($0)
C-Mod Operations ($0)
Operation of Alcator C-Mod ceases. No funding isrequested for this element.

Enabling R&D ($2,165,000)
Support continues to be provided for research insuperconducting magnet technology and fueling andplasma heating technologies to enhance theperformance for existing and future magnetic
confinement fusion devices.

Enabling R&D ($2,165,000)
Support will continue to be provided for research insuperconducting magnet technology and fueling andplasma heating technologies to enhance theperformance for existing and future magnetic
confinement fusion devices.

Small-scale Experimental Research ($1,090,000)
Small-scale tokamak plasma research provides
experimental data in regimes of relevance to themainline advanced tokamak magnetic confinement
efforts and helps confirm theoretical models andsimulation codes in support of the goal to develop an
experimentally validated predictive capability formagnetically confined fusion plasmas.

Small-scale Experimental Research ($973,000)
Small-scale Experimental Research: (-$117,000)
Research will continue to provide experimental data in Experimental research and modeling efforts are
regimes relevant to mainline tokamak confinement and reduced.
experimental validation of models and codes.

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Enabling R&D ($0)
Research efforts are maintained at the FY 2016
Enacted level.

FY 2017 Congressional Budget Justification

Explanation of Change
FY 2017 vs. FY 2016

FY 2016 Enacted

FY 2017 Request

Spherical Tokamak $74,000,000
NSTX-U Research ($30,000,000)
NSTX-U Operations ($41,000,000)
NSTX-U begins operations after successful completionof the upgrade. Machine performance is extended tohigher field and current and longer pulse lengths thanwhat had been achievable prior to the upgrade, withresults being benchmarked with prior data. Current
drive and fast ion instabilities resulting from the newneutral beam line are studied. The NSTX-U team also
conducts experiments on disruption physics and on
high-priority research needs as identified by the
FY 2015 community workshops. In mid-FY 2016, a
machine vent is scheduled to install a row ofmolybdenum tiles in the lower divertor region. A totalof 18 weeks of operation is planned in FY 2016.

$73,199,000
NSTX-U Research ($31,410,000)
NSTX-U Operations ($39,090,000)
The NSTX-U team will extend performance to full fieldand current (1 Tesla, 2 mega Amps—which is double
what had been achieved prior to the upgrade).
Experiments will address divertor heat flux mitigationand plasma confinement at full parameters, assess theperformance and impact of the molybdenum divertor
tiles, and continue experiments on high-priority
research needs as identified by the FY 2015 community
workshops. Also, the team will begin experiments on
fully non-inductive current drive and sustainment.
Finally, the team will begin to develop scenarios forachieving and controlling high-performance discharges.
A total of 16 weeks of operation is planned in FY 2017.

-$801,000
NSTX-U Research (+$1,410,000)
NSTX-U Operations (-$1,910,000)
Increases in research funding will support theenhanced collaboration in the NSTX-U national
program by the MIT research staff, while decreases inoperations funding will delay some planned facility
enhancements and require a reduction of operating
weeks.

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

Small-scale Experimental Research ($2,699,000)
Research will continue to provide experimental data inregimes relevant to mainline spherical torus
confinement and experimental validation of models
and codes.

Small-scale Experimental Research (-$301,000)
Experimental research and modeling efforts are
reduced.

Theory & Simulation $33,500,000
Theory ($24,000,000)
The Theory activity continues to advance the scientificunderstanding of the fundamental physical processes
governing the behavior of magnetically confinedplasmas. Emphasis on addressing ITER priorities
continues to guide the selection of new and renewal
awards via competitive merit reviews.

$33,170,000
Theory ($21,170,000)
Theoretical research at universities, private industry
and national laboratories will continue to address
fundamental questions of magnetic confinement
science. The selection of new awards via competitive
merit reviews will place emphasis on closing gaps inburning plasma science as identified by the community
workshops held in FY 2015 and on addressing highpriority needs of integrated simulation efforts.

-$330,000
Theory (-$2,830,000)
The reduction will result in approximately six fewer
awards being made to universities and private
industry, relative to FY 2016, under the annual Theory
Funding Opportunity Announcement. Efforts at thenational laboratories will be held flat with the FY 2016
Enacted level.

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Explanation of Change
FY 2017 vs. FY 2016
SciDAC ($9,500,000)
SciDAC ($12,000,000)
SciDAC (+$2,500,000)
The five SciDAC centers, pending a positive outcome of The new SciDAC centers, selected via a competitive
The increased funding will strengthen integration
the merit review held in FY 2015, enter the final year
merit review and set up as partnerships with ASCR, will efforts and accelerate progress toward whole-deviceof their research activities, while the three FES–ASCR
start their research activities. The new portfolio willmodeling.
SciDAC-3 partnerships continue their efforts in thehave a strong emphasis on integration and wholeareas of boundary physics, materials science, anddevice modeling, focusing on the highest-priority
multiscale integrated modeling. FES and ASCR develop research directions as identified by the community
a plan emphasizing integration for the science areas
workshops held in FY 2015. This area supports Clean
represented by the entire FES SciDAC portfolio andEnergy.
initiate preparations for a competitive merit review.
FY 2016 Enacted

GPE/GPP/Infrastructure $6,000,000
Continued support of NSTX-U operations, as well as
enhanced International Collaborations, is provided
through improvements to the Princeton Plasma
Physics Laboratory Computer Center (PPPLCC) andestablishment of remote collaboration room
configurations. Environmental monitoring needs at
PPPL will continue to be supported.

Science/Fusion Energy Sciences

FY 2017 Request$5,000,000
Funding will provide support for general infrastructure
improvements for the PPPL site consistent with the
PPPL Campus Modernization Plan, based upon an
analysis of safety requirements, equipment reliability,
and research-related infrastructure needs.

148-$1,000,000
Funding maintains infrastructure repairs andmaintenance, as well as, modernization of laboratory
infrastructure, consistent with the PPPL Campus
Modernization Plan, although the reduction slows thepace of the campus modernization efforts.

FY 2017 Congressional Budget Justification

Fusion Energy Sciences
Burning Plasma Science: Long Pulse
Description
The Burning Plasma Science: Long Pulse subprogram explores new and unique scientific regimes that can be achieved withlong-duration superconducting international machines and addresses the development of the materials required towithstand the extreme conditions in a burning plasma environment. The key objectives of this area are to utilize these newcapabilities to accelerate our scientific understanding of how to control and operate a burning plasma, as well as to develop
the basis for a future fusion nuclear science facility. This subprogram includes long-pulse international tokamak andstellarator research and fusion nuclear science and materials research.
Long Pulse: Tokamak
Multi-institutional U.S. research teams will be supported to continue their successful work on the long-pulse international
tokamaks that came on-line in the last few years. These collaborative teams are building on the experience gained from U.S.
fusion facilities to conduct high-impact long-pulse research on the international tokamaks either onsite or via remote
operation. Long plasma pulse research will enable the exploration of new plasma physics regimes and allow the U.S. fusion
program to gain the knowledge needed to operate long plasma discharges in ITER and other fusion energy devices.
Long Pulse: Stellarator
Stellarators offer steady-state confinement regimes eliminating transient events such as harmful disruptions. The 3-D
shaping of the plasma in a stellarator provides for a broader range in design flexibility than is achievable in a 2-D system.
The participation of U.S. researchers on Wendelstein 7-X (W7-X) in Germany provides an opportunity to develop and assess
3D divertor configurations for long-pulse, high-performance stellarators. The U.S. plans to develop control schemes tomaintain plasmas with stable operational boundaries, including the challenges of control with superconducting coils andissues of the diagnosis-control cycle in long-pulse conditions. U.S. researchers will play key roles in developing theoperational scenarios and hardware configuration for high-power, steady-state operation, an accomplishment that will
advance the performance/pulse length frontier for fusion. The U.S. contributions, during the W7-X construction phase, haveearned the U.S. formal partnership status, with opportunities for full U.S. participation in W7-X research and access to data.
The U.S. domestic stellarator program is focused on optimization of the stellarator concept through quasi-symmetricshaping of the toroidal magnetic field. A conventional stellarator lacks axial symmetry, resulting in reduced confinement ofenergetic ions, which are needed to heat the plasma. Quasi-symmetric shaping, invented in the U.S., provides an improved
solution for stable, well confined, steady-state stellarator plasma confinement.
Materials and Fusion Nuclear Science
The fusion environment is extremely harsh in terms of temperature, particle flux, and neutron irradiation. The Materials
and Fusion Nuclear Science element supports the development, characterization, and modeling of structural, plasma-facing,and blanket materials used in the fusion environment. Materials that can withstand this environment, under the long-pulse
or steady-state conditions anticipated in future fusion experiments, are a prerequisite to the future of fusion research anddevelopment activities. Studies that help identify the various scientific challenges to fusion energy deployment and that
determine how to address them in a safe and environmentally responsible manner are a key component of the Materials
and Fusion Nuclear Science element.

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FY 2016 Congressional Budget Justification

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

Explanation of Change
FY 2017 vs. FY 2016

FY 2016 Enacted

FY 2017 Request

Long Pulse: Tokamak $8,500,000
U.S. scientists will develop, install, and commission
improved plasma control feedback systems for China’s
Experimental Advanced Superconducting Tokamak(EAST) and Korea’s Superconducting Tokamak
Advanced Research (KSTAR). ITER operating scenarios
will be explored and evaluated on EAST and KSTAR.
Radio-frequency heating and current drive and neutralbeam injection actuator models for EAST and KSTAR
will be developed and validated.

$6,045,000
Multi-institutional U.S. research teams will continue
to conduct high-impact research on the international
superconducting long-pulse tokamaks, taking
advantage of their upgraded capabilities.

-$2,455,000
The program will reduce the overall level of effort andwill defer some scheduled research tasks. There will be
additional limitations to the on-site presence of U.S.
researchers, which will shift emphasis to remote
operations.

Long Pulse: Stellarators $7,269,000
Superconducting Stellarator Research ($4,200,000)
U.S. scientists are participating in the first plasma
operating campaign of W7-X. The U.S. team will be
involved with characterizing the 3-D magnetic
configuration and performing the first tests of U.S.supplied equipment during plasma operation. The
team will also prepare the Test Divertor Unit (TDU)
scraper element for the second operating campaign.

$5,084,000
Superconducting Stellarator Research ($2,515,000)
U.S. scientists will participate in W7-X research on
topics important for understanding the physics oflong-pulse plasma confinement in 3-D magnetic
configurations. Topics include error fields, magnetic
island physics, energetic-particle transport, impurity
studies, plasma-material interactions, core plasmatransport, and plasma control. The U.S. team will
collaborate in the preparation of equipment andplasma scenarios for long-pulse operation.

-$2,185,000
Superconducting Stellarator Research (-$1,685,000)
The program will reduce participation by U.S.
researchers in the second plasma operating campaign ofthe W7-X experimental activities.

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FY 2017 Congressional Budget Justification

Explanation of Change
FY 2017 vs. FY 2016
Compact Stellarator Research (-$500,000)
Experimental research and modeling efforts will be
reduced.

FY 2016 Enacted

FY 2017 Request

Compact Stellarator Research ($3,069,000)
Compact stellarator research provides experimental
data in regimes of relevance to the mainline stellarator
magnetic confinement efforts and helps confirm
theoretical models and simulation codes in support of
the goal to develop an experimentally validated
predictive capability for magnetically confined fusion
plasmas.

Compact Stellarator Research ($2,569,000)
Research will continue on experiments that areproviding data in regimes relevant to mainline
stellarator confinement and experimental validationof models and codes

Materials & Fusion Nuclear Science $25,252,000
Fusion Nuclear Science ($11,252,000)
The focus remains the utilization of existing
experimental capabilities to conduct research in theareas of plasma-facing materials and plasma-materialinteractions consistent with the high-priority researchneeds identified by the FY 2015 community
workshops. Research toward understanding tritium
retention and permeation, neutronics, and materialcorrosion issues for blankets continues. Scoping
studies continue on characterizing significant researchgaps in the materials and fusion nuclear sciences
program.

$20,226,000
Fusion Nuclear Science ($10,000,000)
Utilization of existing experimental capabilities anddevelopment of new ones to conduct research in theareas of plasma-facing materials and plasmamaterial interactions will be a key emphasis. In
addition, research on understanding tritium
retention, permeation and processing, neutronics,
and material-corrosion issues for blankets andscoping studies on future fusion facilities willcontinue.

Materials Research ($14,000,000)
The focus remains the utilization of existing
experimental capabilities to conduct research in thearea of material response to simulated fusion neutron
irradiation consistent with the high-priority researchneeds identified by the FY 2015 community
workshops. Research toward structural materials thatcan withstand high levels of damage, increasing theductility of tungsten, and modeling of helium damage
in numerous materials continues.

Materials Research ($10,226,000)
Materials Research (-$3,774,000)
The program will emphasize the utilization of existing The program will decrease research efforts across thisexperimental capabilities and development of new
program element.
ones to conduct research in the area of material
response to simulated fusion neutron irradiation.
There will be a continued focus on research toward
structural materials that can withstand high levels ofdamage, increasing the ductility of tungsten, andmodeling of helium damage in numerous materials.

Science/Fusion Energy Sciences151-$5,026,000
Fusion Nuclear Science (-$1,252,000)
The program will reduce research efforts across thisprogram element.

FY 2017 Congressional Budget Justification

152

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, ranging from energy efficient lighting toatmospheric pressure plasma for medical applications.
This subprogram supports a portfolio of research projects and small- and mid-scale experimental user facilities for exploring
the diverse frontiers of plasma science. The activities of this subprogram are carried out through inter- and intra-agency
partnerships at academic institutions, industry research groups, and national laboratories across the country.
The Discovery Plasma Science subprogram is organized into two principal activities: Plasma Science Frontiers andMeasurement Innovation.
Plasma Science Frontiers
The Plasma Science Frontiers activities involve research in largely unexplored areas of plasma science, with a combinationof theory, computer modeling, and experimentation. These frontiers are often, but not limited to, the extremes of theplasma state, ranging from the very small (several atom systems) to the extremely large (plasma structure spanning lightyears in length), from the very fast (attosecond processes) to the very slow (hours), from the diffuse (interstellar medium)to the extremely dense (diamond compressed to tens of gigabar pressures), and from the ultracold (tens of micro kelvin) tothe extremely hot (stellar core). Advancing the science of these unexplored areas creates opportunities for new andunexpected discoveries with potential to translate into practical applications.
The Plasma Science Frontiers portfolio includes coordinated research activities in the following three areas:General Plasma Science – Research in frontier areas of basic and low temperature plasma science and engineering,
including advancing our understanding of the behavior of non-neutral and single-component plasmas, ultra-cold
neutral plasmas, dusty plasmas, and micro-plasmas, as well as the study of dynamical processes in classical plasmas
including turbulence, thermal, radiative and particle transport, waves, structures, flows and their interactions.
High Energy Density Laboratory Plasmas – Structural and dynamical studies of ionized matter at extreme densities andtemperatures.
Exploratory Magnetized Plasma – Basic and applied research directed at developing the understanding of magnetizedplasma behavior necessary to advance innovative solutions and capabilities for the creation, control, and manipulationof magnetically confined plasmas for terrestrial and space applications.

This subprogram maintains a leadership role in the national stewardship of plasma science by partnering with the National
Science Foundation (NSF) and the National Nuclear Security Administration (NNSA) and by leveraging access to best-in-classexperimental facilities as well as stewarding and operating world-class plasma science user facilities at small andintermediate scales. Along with facilitating discovery, intermediate-scale platforms are also providing critical data for theverification and validation of plasma science codes.
Measurement Innovation
The Measurement Innovation activity supports the development of novel and innovative diagnostic techniques and theirapplication to new, unexplored, or unfamiliar plasma regimes or scenarios. The challenge is to develop diagnostics with thespatial, spectral, and temporal resolution necessary to validate plasma physics models used to predict the behavior of
fusion plasmas. Advanced diagnostic capabilities successfully developed through this activity are migrated to domestic andinternational facilities, as part of the Burning Plasma Science: Foundations and Burning Plasma: Long Pulse subprograms.
The implementation of mature diagnostics systems is supported via the research programs at FES user facilities.

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FY 2017 Congressional Budget Justification

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

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FY 2017 Congressional Budget Justification

Fusion Energy Sciences
Discovery Plasma Science
Activities and Explanation of Changes
FY 2016 Enacted

FY 2017 Request

Plasma Science Frontiers $46,784,000
General Plasma Science ($16,125,000)
Research continues in fundamental science areas ofplasma turbulence and transport, interactions ofplasmas and waves, statistical mechanics of plasmas,
and self-organization and reconnection. Research on
major FES user facilities is enhanced.

$31,916,000
General Plasma Science ($15,500,000)
Core research elements of this activity will continue.

Explanation of Change
FY 2017 vs. FY 2016-$14,868,000
General Plasma Science (-$625,000)
The program will reduce support for user research on
major FES user facilities.

High Energy Density Laboratory Plasmas ($20,250,000) High Energy Density Laboratory Plasmas ($7,000,000)
Research emphasizes utilizing the Matter in Extreme
Conditions (MEC) instrument at the Linac Coherent
Light Source facility, including continued operational
support for the MEC instrument and the HEDLP
research group at SLAC as well as grants for external
HED science users of MEC. Fundamental HEDLP
science is supported through new research grants aspart of the SC/NNSA Joint Program in HEDLP and the
NSF/DOE Partnership in Basic Plasma Science andEngineering, as well as operation of the Neutralized
Drift Compression Experiment-II (NDCX-II).
Exploratory Magnetized Plasma ($10,409,000)
This portfolio will be evaluated through a competitive
peer-review process.

Science/Fusion Energy Sciences

High Energy Density Laboratory Plasmas(-$13,250,000)
Research will emphasize utilizing the MEC at LCLS,
Contraction of the HEDLP program will result in no
including continued support for the MEC beam-line
new research activities at either universities or DOE
science team, the HEDLP research group at SLAC, and national laboratories and the cessation of operations
enhanced support of external HED science users of the and research at the NDCX-II.
MEC instrument.

Exploratory Magnetized Plasma ($9,416,000)
Research direction and emphasis will be informed by
the high-priority research as identified by the plasma
science frontiers workshops held in FY 2015.

155

Exploratory Magnetized Plasma (-$993,000)
The program will reduce research efforts and/or scope,taking into consideration the outcomes of the plasma
science frontiers workshops held in FY 2015.

FY 2017 Congressional Budget Justification

FY 2016 Enacted

FY 2017 Request

Explanation of Change
FY 2017 vs. FY 2016

Measurement Innovation $6,700,000
Core research elements of the Measurement
Innovation activity continue with enhanced effort ondiagnostic development important to addressing thescientific issues identified in the community
workshops held in FY 2015.

$4,000,000
Measurement Innovation research activities willcontinue, with special emphasis on diagnostics forplasma transient instabilities, plasma-materials
interactions, modeling validation, and basic plasma
science.

-$2,700,000
The program will reduce funding to address scientificissues identified in the FY 2015 community workshops.

SBIR/STTR & Other $13,740,000
Funding continues to support USBPO activities, HBCUs,
peer reviews for solicitations, and FESAC. SBIR/STTR
funding is statutorily set at 3.45 percent of noncapitalfunding in FY 2016.

$10,300,000
Funding will continue to support USBPO activities,
HBCUs, peer reviews for solicitations, and FESAC.
SBIR/STTR funding is statutorily set at 3.45 percent of
noncapital funding in FY 2017.

-$3,440,000
The decrease is due to consolidation of funding for theWorking Capital Fund under Program Direction andreduction in the required SBIR/STTR funding.

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Fusion Energy Sciences
Construction
Description
The exploration of high-power burning (self-heated) plasmas is the next critical area of scientific research for fusion.
Previously the U.S. and European fusion programs had investigated burning plasmas at low power (10 megawatt level). The
ITER facility, currently under construction in St. Paul-lez-Durance, France, will provide access to burning plasmas with fusion
power output approaching reactor levels of hundreds of megawatts, for hundreds of seconds. ITER will thus be the firstever facility capable of assessing the scientific and technical feasibility of fusion energy. As a collaborator in the ITER
project, which was established though an international agreement (the “ITER Joint Implementing Agreement”), the U.S.
contributes in-kind-hardware components, personnel, and direct monetary funding to the ITER Organization (IO) for the
ITER construction phase, as established by the terms of the ITER Joint Implementing Agreement. The key objective of these
efforts is the completion of all activities associated with the U.S. Contributions to ITER (USITER) project.
U.S. Contributions to ITER Project
The ITER international fusion project is designed to be the first magnetic confinement fusion facility to achieve a selfsustained burning plasma. As ITER construction activities continue, careful and efficient management of the U.S.
contributions to the international project by the U.S. ITER Project Office (USIPO) at Oak Ridge National Laboratory (ORNL)
continue to be a high priority for FES.
ITER is designed to generate the world’s first sustained (300-second discharge, self-heated) burning plasma. It aims togenerate fusion power 30 times the levels produced to date and to exceed the external power applied to the plasma by atleast a factor of ten. ITER will be a powerful tool for discovery, capable of addressing the new challenges of the burning
plasma frontier and assessing the scientific and technical feasibility of fusion energy.
The ITER Project is being designed and built by an international consortium consisting of the U.S., China, India, Japan, South
Korea, the Russian Federation, and the European Union (the host); the central project execution authority is the ITER
Organization (IO). The U.S. is committed to the scientific mission of ITER and will work with ITER partners to accomplish thisgoal, while maintaining a balanced domestic research portfolio. Executing a program with well-aligned domestic andinternational components will sustain U.S. international leadership in fusion energy sciences. The U.S. magnetic fusion
research program in experiment, theory, and computation is configured to make strong contributions to ITER’s science andto bring a high level of scientific return from it. ITER joins the broader FES research portfolio in elevating plasma sciences forboth practical benefit and increased understanding.
The USITER project consists primarily of in-kind hardware components, with additional contributions of personnel and cash
to the IO for the ITER construction phase, which are established by the terms of the ITER Joint Implementing Agreement. In
exchange for the U.S. share of the ITER project, the U.S. gains access to 100 percent of the ITER research output, and U.S.
scientists may conduct their own research experiments. The U.S. contributions are managed by the USIPO at ORNL, in
partnership with PPPL and Savannah River National Laboratory (SRNL). The U.S. ITER Project is unique among major DOE
projects in that U.S. in-kind hardware contributions are delivered to the IO, which is outside direct DOE oversight andmanagement control. The risks associated with performing the installation, assembly, and commissioning work depend on
the execution of project responsibilities by the IO.
The 2013 Management Assessment of ITER found a significant number of challenges and deficiencies in the organization.
The installation of a new Director-General in April 2015 and his efforts to improve the organization’s culture and lead thedevelopment of a revised project resource-loaded long-term schedule demonstrate a positive shift in the IO. An
independent review of the updated schedule is underway, with expected delivery of the report in mid-April 2016. This will
present an opportunity to review and gauge the international commitment to the ITER project in light of significant delays
and increased costs.
The 2016 Omnibus Appropriations directed, “Not later than May 2, 2016, the Secretary of Energy shall submit to theCommittees on Appropriations of both Houses of Congress a report recommending either that the United States remain apartner in the ITER project after October 2017 or terminate participation, which shall include, as applicable, an estimate ofeither the full cost, by fiscal year, of all future Federal funding requirements for construction, operation, and maintenance of
Science/Fusion Energy Sciences
FY 2017 Congressional Budget Justification
157

ITER or the cost of termination.” There are numerous activities (e.g., 2013 Management Assessment Corrective Action Plan
performance; 2015 Management Assessment conclusions and recommendations; independent schedule review conclusions
and recommendations; ITER Council-approved milestone performance) that will factor into the decision by the Secretary ofEnergy. The $125 million requested in FY 2017 will allow the most critical USITER activities to make progress, as well as
provide cash funds for ITER Organization operations and the Director General’s Reserve Fund.The requested level offunding for FY 2017 supports U.S. in-kind hardware contributions; funds the USIPO staff and support contractors at ORNL,PPPL, and SRNL; and provides funding toward the FY 2017 monetary contribution to the IO.

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Fusion Energy Sciences
Construction
Activities and Explanation of Changes
FY 2016 Enacted

FY 2017 Request

U.S. Contributions to ITER Project $115,000,000
Funding supports continued progress on in-kind
hardware contributions, including: central solenoid
superconducting magnet modules and structures,
toroidal field magnet conductor, steady-state electrical
network components, and tokamak cooling water
system components.

$125,000,000
Funding will support continued progress on critical inkind hardware contributions, including central
solenoid superconducting magnet modules andstructures, toroidal field magnet conductor,
steady-state electrical network components,
diagnostics development, tokamak cooling water
system, and vacuum system. Funding is also provided
toward the FY 2017 cash contribution for ITER
Organization operations and Director General’sReserve Fund.

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159

Explanation of Change
FY 2017 vs. FY 2016+$10,000,000
The increase provides funding toward the cash
contribution for ITER Organization operations and the
Director General’s Reserve Fund.

FY 2017 Congressional Budget Justification

Fusion Energy Sciences
Performance Measures
In accordance with the GPRA Modernization Act of 2010, the Department sets targets for and tracks progress toward achieving performance goals for each program.
The following table shows the targets for FY 2015 through FY 2017. Details on the Annual Performance Report can be found at http://energy.gov/cfo/reports/annualperformance-reports.
Performance
Goal (Measure)
TargetResultFY 2015
FY 2016
FY 2017
FES Facility Based Experiments—Experiments conducted on major fusion facilities (DIII-D, Alcator C-Mod, NSTX-U) leading toward predictive
capability for burning plasmas and configuration optimization
Conduct experiments and analysis to quantify the Conduct research to detect and minimize theConduct research to examine the effect ofimpact of broadened current and pressure
consequences of disruptions in present andconfiguration on operating space for dissipative
profiles on tokamak plasma confinement andfuture tokamaks, including ITER. Coordinateddivertors. Handling plasma power and particle
stability. Broadened pressure profiles generally
research will deploy a disruption
exhaust in the divertor region is a critical issue
improve global stability but can also affectprediction/warning algorithm on existingfor future burning plasma devices, includingtransport and confinement, while broadened
tokamaks, assess approaches to avoid
ITER. The very narrow edge power exhaustcurrent profiles can have both beneficial anddisruptions, and quantify plasma and radiation channel projected for tokamak devices thatadverse impacts on confinement and stability.
asymmetries resulting from disruption
operate at high poloidal magnetic field is ofThis research will examine a variety of heating
mitigation measures, including both preparticular concern. Increased and controlled
and current drive techniques in order to validate existing and resulting MHD activity, as well as
divertor radiation, coupled with optimization oftheoretical models of both the actuator
the localized nature of the disruption mitigation the divertor configuration, are envisioned as
performance and the transport and global
system. The research will employ new
the leading approaches to reducing peak heatstability response to varied heating and current
disruption mitigation systems, control
flux on the divertor targets and increasing thedrive deposition.
algorithms, and hardware to help avoid
operating window for dissipative divertors. Data
disruptions, along with measurements to detect obtained from DIII-D and NSTX-U and archived
disruption precursors and quantify the effects
from Alcator C-Mod will be used to assess theof disruptions.
impact of edge magnetic configurations anddivertor geometries on dissipative regimes, aswell as their effect on the width of the power
exhaust channel, thus providing essential data
to test and validate leading boundary plasma
models.
Met
TBD
TBD

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FY 2017 Congressional Budget Justification

Endpoint Target

Performance
Goal (Measure)
TargetResultEndpoint Target

Performance
Goal (Measure)
TargetFY 2015
FY 2016
FY 2017
Magnetic fields are the principal means of confining the hot ionized gas of a plasma long enough to make practical fusion energy. The detailed shapeof these magnetic containers leads to many variations in how the plasma pressure is sustained within the magnetic bottle and the degree of control
that experimenters can exercise over the plasma stability. These factors, in turn, influence the functional and economic credibility of the eventual
realization of a fusion power reactor. The key to their success is a detailed physics understanding of the confinement characteristics of the plasmas inthese magnetic configurations. The major fusion facilities can produce plasmas that provide a wide range of magnetic fields, plasma currents, andplasma shapes. By using a variety of plasma control tools, appropriate materials, and diagnostics needed to measure critical physics parameters,scientists will be able to develop optimum scenarios for achieving high performance plasmas in ITER and, ultimately, in reactors.
FES Facility Operations—Average achieved operation time of FES user facilities as a percentage of total scheduled annual operation time
≥ 90%
≥ 90%
≥ 90%
Not MetTBD
TBD
Many of the research projects that are undertaken at the SC scientific user facilities take a great deal of time, money, and effort to prepare andregularly have a very short window of opportunity to run. If the facility is not operating as expected, the experiment could be ruined or critically set
back. In addition, taxpayers have invested millions or even hundreds of millions of dollars in these facilities. The greater the period of reliable
operations, the greater the return on the taxpayers’ investment.
FES Theory and Simulation—Performance of simulations with high physics fidelity codes to address and resolve critical challenges in the plasma
science of magnetic confinement
Perform massively parallel plasma turbulence
Predicting the magnitude and scaling of theLower hybrid current drive (LHCD) will besimulations to determine expected transport indivertor heat load width in magneticallyindispensable for driving off-axis current during
ITER. Starting from best current estimates of ITER confined burning plasmas is a high priority forlong-pulse operation of future burning plasma
profiles, the turbulent transport of heat andthe fusion program and ITER. One of the key
experiments including ITER, since it offers
particles driven by various micro-instabilities
unresolved physics issues is what sets the heat important leverage for controlling damaging(including electromagnetic dynamics) will be
flux width at the entrance to the divertor
transients caused by magnetohydrodynamic
computed. Stabilization of turbulence byregion. Perform massively parallel simulations
instabilities. However, the experimentally
nonlinear self-generated flows is expected tousing 3D edge kinetic and fluid codes todemonstrated high efficiency of LHCD is
improve ITER performance, and will be assessed
determine the parameter dependence of theincompletely understood. In FY 2017, massively
with comprehensive electromagnetic gyrokinetic heat load width at the divertor entrance andparallel, high-resolution simulations with 480
simulations.
compute the divertor plate heat flux applicable radial elements and 4095 poloidal modes will
to moderate particle recycling conditions.
be performed using full-wave radiofrequency
Comparisons will be made with data from DIII- field solvers and particle Fokker-Planck codes to
D, NSTX-U, and C-Mod.
elucidate the roles of toroidicity and full-wave
effects. The simulation predictions will becompared with experimental data from thesuperconducting EAST tokamak.

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FY 2017 Congressional Budget Justification

Result
Endpoint Target

FY 2015
FY 2016
FY 2017Met
TBD
TBD
Advanced simulations based on high-physics-fidelity models offer the promise of advancing scientific discovery in the plasma science of magnetic
fusion by exploiting the SC high-performance computing resources and associated advances in computational science. These simulations are able toaddress the multi-physics and multi-scale challenges of the burning plasma state and contribute to the FES goal of advancing the fundamental scienceof magnetically confined plasmas to develop the predictive capability needed for a sustainable fusion energy source.

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FY 2017 Congressional Budget Justification

Fusion Energy Sciences
Capital Summary ($K)
Total

Prior Years

FY 2015
EnactedFY 2015
Current

FY 2016
EnactedFY 2017
RequestFY 2017 vsFY 2016

Capital Operating Expenses Summary
Capital equipment
General plant projects (GPP)
Accelerator Improvement Projects (AIP) (<$5M)
Total, Capital Operating Expenses

n/a
n/a

n/a
n/a

7,798
2,500

11,388
2,500

6,899
5,000

5,229
4,321

-1,670
-679

n/a

n/a

10,29813,888

11,8999,550-2,349

Capital Equipment
Major items of equipment a
National Spherical Torus Experiment Upgrade(TPC $94,300)
U.S. Contributions to ITER (TPC TBD)
Total MIEs
Total Non-MIE Capital Equipment
Total, Capital equipment

83,665
TBD
n/a
n/a
n/a

80,195673,385
729,880
n/a
n/a

3,470
0
3,470
4,328
7,798

3,470
0
3,470
7,918
11,388

0
0
6,899
6,899

0
0
0
5,229
5,229

0
0
0
-1,670-1,670

n/a

n/a

2,500

2,500

5,000

4,321

-679

General Plant Projects b
General Plant Projects under $2 million TECab

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

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FY 2017 Congressional Budget Justification

Fusion Energy Sciences
Construction Projects Summary ($K)
Total
14-SC-60, U.S. Contributions to ITER Project
Total Estimated Cost (TEC)
Other Project Cost (OPC)
Total, Project Cost (TPC), 14-SC-60

Prior Years

FY 2015
EnactedFY 2015
Current

FY 2016
EnactedFY 2017
RequestFY 2017 vsFY 2016

797,905
74,980872,885

144,6395,361
150,000

144,6395,361
150,000

115,0000
115,000

125,0000
125,000+10,0000+10,000

TBD
TBD
TBD

Fusion Energy Sciences
Funding Summary ($K)

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

FY 2015 Enacted
216,258
94,6473,470
3,125
150,000
467,500

FY 2015 Current
205,610
94,6863,470
3,600
150,000
457,366

FY 2016 Enacted
219,145
97,8550
6,000
115,000
438,000

FY 2017 Request
184,988
83,1900
5,000
125,000
398,178

FY 2017 vs. FY 2016
-34,157-14,6650-1,000+10,000-39,822

Scientific User Facility Operations and Research ($K)
The treatment of user facilities is distinguished between two types: TYPE A facilities that offer users resources dependent on a single, large-scale machine; TYPE B
facilities that offer users a suite of resources that is not dependent on a single, large-scale machine.
Definitions:
Achieved Operating Hours – The amount of time (in hours) the facility was available for users.
Planned Operating Hours – For Past Fiscal Year (PY), the amount of time (in hours) the facility was planned to be available for users.
 For Current Fiscal Year (CY), the amount of time (in hours) the facility is planned to be available for users.
 For the Budget Fiscal Year (BY), based on the proposed budget request the amount of time (in hours) the facility is anticipated to be available for users.
Optimal Hours – The amount of time (in hours) a facility would be available to satisfy the needs of the user community if unconstrained by funding levels.

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FY 2017 Congressional Budget Justification

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.
FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request a

FY 2017 vs. FY 2016

TYPE A FACILITIESDIII-D National Fusion Facility
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$79,950
579
600
600
1,000
60%
50

$83,108
579
550
600
1,000
55%
50

$80,000
579
N/A
600
1,000
60%
N/A

$81,100
570
N/A
560
560
100%
N/A

+1,100
-9
N/A
-40
-440
+40%
N/A

Alcator C-Mod
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$22,260
170
0
384
800
48%
0

$21,429
170
400
384
800
50%
0

$18,000
140
N/A
160
800
20%
N/A

0
0
N/A
0
0
0
N/A

-18,000
-140
N/A
-160
-800
-20%
N/A

a

For FY 2017 the number of optimal hours for DIII-D and NSTX-U is less than the typical amount due to planned enhancement activities at the facility that will preclude
operation during part of the fiscal year.
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FY 2017 Congressional Budget Justification

National Spherical Torus ExperimentUpgrade
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours
Total Facilities
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent of optimal hours a
Unscheduled downtime hours

FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request a

FY 2017 vs. FY 2016

$72,919$68,470$71,000$70,500

-500

250
N/A
480
500
96%
0
$168,960
999
N/A
1,464
2,300
73.1%
N/A

250
N/A
480
500
96%
480
$173,007
999
N/A
1,464
2,300
70.6%
530

329
N/A
720
1,000
72%
N/A
$169,000
1,048
N/A
1,480
2,800
60.8%
N/A

322
N/A
640
640
100%
N/A
151,600
892
N/A
1,200
1,200
100%
N/A

-7
N/A
0
-280
+28%
N/A
-17,400
-156
N/A
-280
-1,600+39.2%N/A

FY 2017 Request
625
80
200
947

FY 2017 vs. FY 2016
-142
-18
-93
-78

Scientific Employment

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

FY 2015 Enacted
724
93
268
1,102

FY 2015 Current
724
93
268
1,102

a

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.

Science/Fusion Energy Sciences

166

FY 2016 Enacted
767
98
293
1,025

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

FY 2017 Congressional Budget Justification

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

Significant Changes and Summary

Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2016 CPDS and does not include a new start for FY 2017.
Summary
The FY 2017 Request for ITER is $125,000,000, $10,000,000 more than the FY 2016 Enacted level of $115,000,000. The mostrecent DOE Order 413.3B approved Critical Decision (CD) is CD-1, Approve Alternative Selection and Cost Range, which wasapproved on January 25, 2008 with a preliminary cost range of $1.45–$2.2 billion. Since CD-1, it has not been possible tobaseline the project because of continued delays in the international ITERproject construction schedule. Until CD-2 can beapproved, U.S. funding will be managed to address annual project priorities and to allow flexibility to adapt to the changing
state of the project. Since the project does not have CD-2 approval, the schedule and cost estimates contained in this CPDS
are identified as “TBD”. A substantial increase in the overall Total Project Cost of the project is anticipated once it is ready to
be baselined.
The approving official for all critical decisions is the Director of the Office of Science (SC-1).
A Federal Project Director with certification level 3 has been assigned to this project and has approved this CPDS.
ITER is a major fusion research facility being constructed in Cadarache, France by an international partnership of seven
governments. Since it will not result in a facility owned by the U.S. or located in the U.S., the U.S. Contributions to ITER
(USITER) project is not classified as a capital asset project. The USITER is a U.S. Department of Energy project to provide theU.S. share of in-kind hardware (e.g., subsystems, equipment, and components), as well as cash contributions to support the
ITER organization in France. Sections of this CPDS have been tailored accordingly to reflect the nature of this project.
The USITER project is managed as a DOE Office of Science (SC) project. The project began as a major item of equipment(MIE) in FY 2006, and was changed to a Congressional control point beginning in FY 2014. This did not change SC’s overall
program and project management approach for the USITER Project. As with all SC projects, the principles of DOE Order413.3B are applied in the effective management of the project, including critical decision milestones and their supporting
prerequisite activities. Requirements for project documentation, monitoring and reporting, change control, and regular
independent project reviews are being applied with the same degree of rigor as other SC line-item projects. An approved
Annual Performance Plan (APP) authorizes the work activities to be performed, as well as establishes milestones for project
performance against which progress will be measured. Progress and performance against the APP is reported regularly inmonthly performance metrics and project status reports.
The USITER project is making significant progress in the areas of design completion and fabrication of hardware. As of theend of December 2015, the USITER project is 29% complete overall;design of all twelve technical systems the U.S. is
responsible for delivering is 58% complete; and hardare fabrication is 9% complete. Two of the largest U.S. systems, theTokamak Cooling Water System (TCWS) and the Central Solenoid (CS) Magnets, are in or beyond the final design stage.
Active fabrication is underway in four of the U.S. twelve hardware systems (TCWS, Steady State Electric Network [SSEN]
Components, Toroidal Field [TF] Conductor and CS Magnets). The U.S. has completed the fabrication and delivery of fivenuclear-grade cooling water drain tanks to the ITER site. These components, which are time critical for ITER construction
sequencing and which are fabricated in accordance with French Nuclear regulations, are some of the first major hardware
components delivered to the site in France. The U.S. has also been procuring major high-voltage electric power components(e.g., transformers, switch gear, circuit breakers, and voltage regulators). Deliveries of U.S. electric power components to the
ITER site in France began in FY 2014 and are continuing. Fabrication of the TF conductor is also well underway. The purchaseof superconducting strand material is complete, and cabling activities are well underway with four of the nine lengths
completed through November 2015. Jacketing of three conductor lengths has been completed. The U.S. has shippedfinished lengths of conductors to the European Union, one of the ITER Members responsible for TF Magnet fabrication, andfabrication of TF conductor and final delivery will be completed in early FY 2017. The U.S. has contracted with General
Atomics (GA) for the fabrication of the world’s largest superconducting magnets for the ITER CS Magnet system. The GA
fabrication facility is essentially complete and commissioning is complete for six of the eleven work stations needed for
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FY 2017 Congressional Budget Justification

fabrication of each of the seven modules the U.S. is responsible for delivering. In FY 2015, the U.S. started fabrication of amockup (non-superconducting) coil to provide assurance of manufacturing processes; and most notably, started thewinding of the first production module with superconducting CS conductor provided by the Japanese Domestic Agency.
Initiation of fabrication activities in the GA facility represents the culmination of several years of preparation and a major
accomplishment for the USITER project. By the end of CY 2017, all modules will be in fabrication. DOE has begun to award
contracts for the assembly tooling necessary for CS Magnet installation in the ITER facility with fabrication of all toolingplanned for FY 2018 completion, and contracts for CS Structures has begun with deliveries beginning in FY 2017 and planned
fabrication complete in FY 2019. To date the USITER project has awarded and obligated over $794 million to U.S. industry,
universtities, and DOE laboratories.
FY 2016 funding supports continued in-kind contributions and related support activities. No funding is provided for cash
contributions to support the ITER organization in FY 2016. FY 2017 funding will support ITER Project Office operations, theU.S. cash contribution to the ITER Organization, and continued progress on U.S. in-kind contributions, including: central
solenoid magnet modules and structures, toroidal field magnet conductor, steady state electric network, diagnostics
development, tokamak cooling water system, and vacuum system.
2.

Critical Milestone History(fiscal quarter or date)
CD-0

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

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

Conceptual
DesignComplete

09/30/2009 a
07/27/2010 b
05/30/2011 c
07/10/2012 e
12/11/2012 g

CD-1

CD-2

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

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

Final Design
Complete

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

CD-3

D&D
Complete

CD-4

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

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

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

a

Electron Cyclotron Heating (ECH) Transmission lines (TL) (06/22/2009); Tokamak Cooling Water System (07/21/2009); CS
Modules, Structures, and Assembly Tooling (AT) (09/30/2009).
b

Ion Cyclotron Heating Transmission Lines (ICH) (10/14/2009); Tokamak Exhaust Processing (TEP) (05/17/2010); Diagnostics:
Residual Gas Analyzer (RGA) (07/14/2010), Upper Visible Infrared Cameras (VIR) (07/27/2010).
c

Vacuum Auxiliary System (VAS) – Main Piping (12/13/2010); Diagnostics Low-Field-Side Reflectometer (LFS) (05/30/2011).
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).
df

Steady State Electrical Network (05/02/2012).
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).
gh

The CD-2 date will be determined upon acceptable resolution of issues related to development of a high-confidence ITER
Project Schedule and establishment of an approved funding profile.
i

RGA Divertor Sampling Tube (07/28/14); CS Assembly Tooling, Early Items (09/17/14).
CS Modules and Structures (11/18/2013); VAS Main Piping B-2, L-1, L-2 (12/10/2013).
k
CS AT Remaining Items; VAS 02 Supply; VAS Main piping (L3-L4); Pellet Injection Flight Tubes.
l
TCWS Captive Piping; ICH Gallery: Radio Frequency (RF) Building; Port Plug Test Facility Transmission Line (PPTF TL); ECH TL
System Design; RGA; Upper VIR Cameras; LFS.
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CD-0 – Approve Mission Need
CD-1 – Approve Alternative Selection, Cost Range, and Start of Long-lead Procurements
CD-2 – Approve Performance Baseline
CD-3 – Approve Start of Fabrication
CD-4 – Approve Project Completion
3.

Project Cost History

At the time of CD-1 approval in January 2008, the preliminary cost range was $1.45–$2.2 billion. Since then, however, it has
not been possible to confidently baseline the project due to continued delays in the international ITER construction
schedule. Various factors (e.g., schedule delays, design and scope changes, funding constraints, regulatory requirements,
risk mitigations, and project management and leadership issues in the ITER Organization) have affected the project cost.
DOE anticipates a substantial increase in the overall Total Project Cost of the project once the project is ready to bebaselined.
4.

Project Scope and Justification

Introduction
ITER is an international partnership among seven Member governments (China, the European Union, India, Japan, theRepublic of Korea, the Russian Federation, and the United States) aimed at demonstrating the scientific and technologicalfeasibility of fusion energy for peaceful purposes. The Agreement on the Establishment of the ITER International Fusion
Energy Organization for the Joint Implementation of the ITER Project (ITER Agreement), signed on November 21, 2006,
provides the legal framework for the four phases of the program: construction, operation, deactivation, anddecommissioning. Through participation in the agreement, the European Union, as the host, will bear five-elevenths(45.45%) of the ITER facility’s construction cost, while the other six Members, including the U.S., will each support oneeleventh (9.09%) of the ITER facilities cost. Operation, deactivation, and decommissioning of the facility are to be fundedthrough a different cost-sharing formula in which the U.S. will contribute a 13% share, which is not a part of the USITER
project funding. Responsibility for ITER integration, management, design, licensing, installation, and operation rests with the
ITER Organization (IO), which is an international legal entity located in France.
Scope
ITER Construction Project Scope
The USITER 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, which serves as a contingency fund.
Other project costs, including R&D and conceptual design related activities.

The USITER project hardware scope is limited to design, fabrication, and delivery of mission-critical tokamak subsystems andis described below. As of December 2015, the USITER project is 28% complete.






Tokamak Cooling Water System (TCWS): manages the thermal energy generated during the operation of the tokamak.
The TCWS is 24% complete.
15% of ITER Diagnostics: provides the measurements necessary to control, evaluate, and optimize plasma performanceand to further the understanding of plasma physics. Diagnostics are 21% complete.
Disruption Mitigation Systems ($20M cost cap): limit the impact of plasma disruptions to the tokamak vacuum vessel,blankets, and other components. The Disruption Mitigation Systems are 25% complete.
Electron Cyclotron Heating (ECH) Transmission Lines: bring additional power to the plasma and deposits power in
specific areas of the plasma to minimize instabilities and optimize performance. The ECH is 19% complete.
Tokamak Exhaust Processing (TEP) System: separates hydrogen isotopes from tokamak exhaust. The TEP system is 11%
complete.

Science/Fusion Energy Sciences/
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FY 2017 Congressional Budget Justification









Fueling System (Pellet Injection): injects fusion fuels in the form of deuterium-tritium ice pellets into the vacuum
chamber. The Pellet Injection system is 18% complete.
Ion Cyclotron Heating (ICH) Transmission Lines: bring additional power to the plasma. The ICH is 17% complete.
Central Solenoid (CS) Magnet System: confines, shapes and controls the plasma inside the vacuum vessel. The CS
Magnet modules are 56% complete; the CS structures are 26% complete; and the CS tooling is 47% complete.
8% of Toroidal Field (TF) Conductor: component of the TF magnet that confines, shapes, and controls the plasma. The
TF Conductor is 95% complete.
75% of the Steady State Electrical Network (SSEN): supplies the electricity needed to operate the entire plant,
including offices and the operational facilities. The SSEN is 59% complete.
Vacuum Auxiliary System: creates and maintains low gas densities in the vacuum vessel and connected vacuum
components. The Vacuum Auxiliary System is 20% complete,
Roughing Pumps: evacuate the tokamak, cryostat, and auxiliary vacuum chambers prior to and during operations.
Roughing Pumps system is 15% complete.

Justification
The purpose of ITER is to investigate and conduct research in the so-called “burning plasma” regime—a performance region
that exists beyond the current experimental state of the art. Creating a self-sustaining burning plasma will provide essential
scientific knowledge necessary for practical fusion power. There are two parts of this need that will be achieved by ITER. The
first part is to investigate the fusion process in the form of a "burning plasma," in which the heat generated by the fusion
process exceeds that supplied from external sources (i.e., self-heating). The second part of this need is to sustain theburning plasma for a long duration (e.g., several hundred to a few thousand seconds), during which time equilibrium
conditions can be achieved within the plasma and adjacent structures. ITER is the necessary next step to establish theconfidence in proceeding with development of a demonstration fusion power plant.
The project is being conducted in accordance with the project management principles of DOE O 413.3B, Program andProject Management for the Acquisition of Capital Assets.
5.

Financial Schedule(dollars in thousands)
Appropriations
Obligations
Total Estimated Cost (TEC)
Hardware
FY 2006
FY 2007
FY 2008
FY 2009
FY 2010
FY 2011
FY 2012 b
FY 2013a
FY 2014ac
FY 2015
FY 2016 d
FY 2017
Subtotal
Total, Hardwarea13,754
34,58825,50085,401
85,26663,87591,441
107,635
161,605
128,682
115,000
85,000997,747
TBD

13,754
34,58825,50085,401
85,26663,87591,407
107,669
161,605
128,682
115,000
85,000997,747
TBD

Costs a6,169
24,23824,122
26,27846,052
84,321
99,215110,074
153,368
105,908
139,984
143,828
963,557
TBD

Costs through FY 2015 reflect actual costs; costs for FY 2016 and the outyears are estimates.
Prior actuals adjusted to incorporate project funds utilized at PPPL and DOE. Obligation adjusted to reflect year-end PPPL
settlement funding.
cAppropriations prior to FY 2014 reflect major item of equipment funding. Starting in FY 2014, this project is funded as a
Congressional control point.
d
FY 2016 funding for taxes and tax support is included in the FY 2016 Hardware funding amount.
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170
b

a

Cash Contributions
FY 2006
FY 2007
FY 2008
FY 2009
FY 2010
FY 2011
FY 2012FY 2013
FY 2014b
FY 2015
FY 2016 b
FY 2017
Subtotal
Total, Cash Contributions
Total, TEC
Other project costs (OPC)FY 2006
FY 2007
FY 2008
FY 2009
FY 2010
FY 2011
FY 2012 c
FY 2013a
FY 2014ad
FY 2015
FY 2016
FY 2017
Subtotal
Total, OPC
Total Project Costs (TPC)FY 2006
FY 2007
FY 2008
FY 2009
FY 2010
FY 2011
FY 2012a
FY 2013a
FY 2014aba(dollars in thousands)
Appropriations
Obligations

Costs a

2,112
7,412
2,644
23,59929,734
3,125
13,214
13,80532,895
15,957040,000184,497
TBD
TBD

2,112
7,412
2,644
23,59929,734
3,125
13,214
13,80532,895
15,957040,000184,497
TBD
TBD

2,112
7,412
2,644
23,59929,734
3,125
13,214
13,80532,895
15,957040,000184,497
TBD
TBD

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

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

1,110
7,607
7,513
5,072
7,754
10,032
22,336
5,984
2,717
5,500
5,016
0
80,641
TBD

19,31560,00026,070124,000
135,000
80,000105,000
124,000
199,500

19,31560,00026,070124,000
135,000
80,000104,966
124,034
199,500

9,391
39,25734,27954,94983,54097,478
134,765
129,863
188,980

Includes cash payments, secondees, taxes and tax support.
No FY 2016 funding is provided to support the ITER organization.
c
Prior actuals adjusted to incorporate project funds utilized at PPPL and DOE. Obligation adjusted to reflect year-end PPPL
settlement funding.
dPrior actuals adjusted to incorporate project funds utilized at PPPL and DOE. Obligation adjusted to reflect year-end PPPL
settlement funding.
bAppropriations prior to FY 2014 reflect major item of equipment funding. Starting in FY 2014, this project is funded as a
Congressional control point.
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171
FY 2017 Congressional Budget Justificationb(dollars in thousands)
Appropriations
Obligations
Costs a150,000
150,000
127,365
115,000
115,000
145,000
125,000
125,000
183,828
1,262,885
1,262,885
1,228,695
TBD
TBD
TBD

FY 2015
FY 2016
FY 2017
Subtotal
Total, TPC
6.

Details of the 2017 Project Cost Estimate

Since CD-1, it has not been possible to baseline the project because of continued delays in the international ITER
construction schedule; therefore a Total Project Cost estimate cannot be formulated at this point in time. Until such time as
CD-2 can be approved, U.S. funding will be managed to address annual project priorities and to allow flexibility to adapt tothe changing state of the project.
7.

Schedule of Appropriation Requests

RequestYear
FY 2006 TEC
OPC
TPC
FT 2007 TEC
OPC
TPC
FY 2008 TEC
OPC
TPC
a
FY 2009 TEC
OPC
TPC
FY 2010 TEC
OPC
TPC
FY 2011 TEC
OPC
TPC
FY 2012 b TEC
OPC
TPC
FY 2013 c TEC
OPC
TPC

a

Prior
Years
889,000
74,400963,400
800,151
44,949845,100
801,330
43,770845,100
266,366
38,075
304,441
294,366
70,019364,385
379,366
65,019444,385
304,566
60,019364,385
371,366
73,019444,385(dollars in thousands)
FY 2012120,000
6,200
126,200
130,0000
130,000
130,0000
130,000
0
0
0
0
0
0
0
0
0
90,00015,000105,000
104,93070
105,000

FY 2013
29,0003,400
32,400116,900
0116,900
116,900
0116,900
0
0
0
0
0
0
0
0
0
0
0
0
140,965
9,035
150,000

FY 201400030,000030,00030,000030,000
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0

FY 2015
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0

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

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

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
TBD
TBD
TBD
TBD
TBD
TBD

The Prior Years column for FY 2009 through FY 2012 reflects the total of appropriations and funding requests only throughthe year of that row. Thus, for example, in the FY 2010 row, it reflects only funding from FY 2006 to FY 2010.
b
The FY 2012 request was submitted before a full-year appropriation for FY 2011 was in place, and so FY 2011 was TBD atthat time. Hence, the Prior Years column for FY 2012 reflects appropriations for FY 2006 through FY 2010 plus the FY 2012
request.
c
The FY 2013 amount shown in the FY 2014 request reflected a short-term continuing resolution level annualized to a fullyear and based on the FY 2012 funding level for ITER.
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172

Request
Year
FY 2014 a TEC
OPC
TPC
FY 2015 TEC
OPC
TPC
FY 2016 TEC
OPC
TPC
FY 2017a TEC
OPC
TPC
8.

Prior
Years
371,366
73,019444,385
377,010
67,375444,385
377,010
67,375444,385
377,010
67,375444,385(dollars in thousands)
FY 2012104,93070
105,000
104,93070
105,000
104,93070
105,000
104,93070
105,000

FY 2013
105,57270
105,642
121,465
2,535
124,000
121,465
2,535
124,000
121,499
2,535
124,034

FY 2014225,0000
225,000
194,500
5,000
199,500
194,500
5,000
199,500
194,500
5,000
199,500

FY 2015000144,6395,361
150,000
144,6395,361
150,000
144,6395,361
150,000

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

FY 2017 Outyears
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
TBD
125,0000
TBD
125,000
TBD

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

Related Operations and Maintenance Funding Requirements

The U.S. Contributions to ITER operations is assumed to begin with initial integrated commissioning activities and continue
for a period of 15 to 25 years. The fiscal year in which commissioning activities begin depends on the international ITER
project schedule and is therefore TBD.
Start of Operation or Beneficial Occupancy (fiscal quarter or date)
Expected Useful Life (number of years)
Expected Future start of D&D for new construction (fiscal quarter)
9.

TBD
15–25
TBD

D&D Funding Requirements

Since ITER is being constructed in France by a coalition of countries and will not be a DOE asset, the “one-for-one”
requirement is not applicable to this project.
The U.S. Contributions to ITER Decommissioning are assumed to begin when operations commence and continue for aperiod of 20 years. The U.S. is responsible for 13 percent of the total decommissioning cost.
The U.S. Contributions to ITER Deactivation are assumed to begin 20 years after commissioning and continue for a period of
5 years. The U.S. is responsible for 13 percent of the total deactivation cost.
10. Acquisition Approach for US Hardware Contributions
The USITER 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 Organization (IO).
The USIPO will subcontract with a variety of research and industry sources for design and fabrication of its ITER
components, ensuring that designs are developed that permit fabrication, to the maximum extent possible, under fixedprice 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 and established beforehand.

aPrior to FY 2015, the requests were for a major item of equipment broken out by TEC, OPC, and TPC.
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USIPO will utilize best value, competitive source selection procedures to the maximum extent possible, including foreign
firms on the tender/bid list where appropriate. Such procedures shall allow for cost and technical trade-offs during source
selection.
For the large-dollar-value subcontracts (and critical path subcontracts as appropriate), USIPO will utilize unique subcontract
provisions to incentivize cost control and schedule performance.
In addition, where it is cost effective and it reduces risk, the USIPO will participate in common procurements led by the IO,
or request the IO to perform activities that are the responsibility of the U.S.

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FY 2017 Congressional Budget Justification

High Energy Physics
Overview
The High Energy Physics (HEP) program 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 the basic
nature of space and time.
HEP supports individual investigators and small-scale collaborations, as well as very large international collaborations, chosen for
their scientific merit and potential for significant impact. More than 20 HEP-supported physicists have received the Nobel Prize.
Moreover, many of the advanced technologies and research tools originally developed for high energy physics have proved
widely applicable to other scientific disciplines as well as industry, medicine, and national security.
Our current understanding of the elementary constituents of matter and energy is captured in what is called the Standard Modelof particle physics. It describes the elementary particles that comprise ordinary matter and the forces that govern them withvery high precision. However, recent observations that are not explained by the Standard Model suggest that it is incomplete
and new physics may be discovered by future experiments. Astronomical observations indicate that ordinary matter makes up
only about 5% of the universe, the remainder being 70% dark energy and 25% dark matter, both “dark” because they are either
nonluminous or unknown. The observation of very small but non-zero masses of the elementary particles known as neutrinos
provides further hints of new physics beyond the Standard Model.
A world-wide program of particle physics research is underway to discover what lies beyond the Standard Model. Fiveintertwined science drivers of particle physics provide compelling lines of inquiry that show great promise for discovery:






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

The HEP program enables scientific discovery through a strategy organized along three frontiers of particle physics:Energy Frontier, where researchers accelerate particles to the highest energies ever made by humanity and collide them toproduce and study the fundamental constituents of matter. This requires some of the largest machines ever built. The Large
Hadron Collider (LHC), 17 miles in circumference, accelerates and collides high-energy protons while sophisticateddetectors, some the size of apartment buildings, observe newly produced particles that provide insight into fundamental
forces of nature and the conditions of the early universe.
Intensity Frontier, where researchers use a combination of intense particle beams and highly sensitive detectors to makeextremely precise measurements of particle properties, study some of the rarest particle interactions predicted by theStandard Model of particle physics, and search for new physics. Measurements of the mass and other properties ofneutrinos may have profound consequences for understanding the evolution and ultimate fate of the universe.
Cosmic Frontier, where researchers seek to reveal the nature of dark matter and dark energy by using naturally occurring
particles to explore new phenomena. The highest-energy particles ever observed have come from cosmic sources, and theancient light from distant galaxies allows the distribution of dark matter to be mapped and perhaps the nature of darkenergy to be unraveled. Ultra-sensitive detectors deep underground may glimpse the dark matter passing through Earth.
Observations of the cosmic frontier reveal a universe far stranger than ever thought possible.

These three frontiers are supported by the Theoretical and Computational Physics and the Advanced Technology R&D
subprograms. Theoretical and Computational Physics provides the framework to explain experimental observations and gain adeeper understanding of nature. A thriving theory program is essential to support current experiments and identify new
directions for the field. Theoretical physicists take the lead in the interpretation of a broad range of experimental results andsynthesize new ideas as they search for deep connections and develop testable models. Advanced computing tools arenecessary for designing, operating, and interpreting experiments while performing the computational science and simulations
that enable discovery research in the three frontiers. Advanced Technology R&D fosters fundamental research into particle
acceleration and detection techniques and instrumentation. These in turn provide the enabling technologies and new research
Science/High Energy Physics

175

FY 2017 Congressional Budget Justification

methods that can advance scientific knowledge in high energy physics and a broad range of related fields, advancing the DOE’s
strategic goals for science.
The Accelerator Stewardship subprogram supports R&D efforts that are synergistic with the HEP mission but also impact
activities outside the traditional HEP boundaries. The activities of the Stewardship subprogram include: improving access to
Office of Science (SC) accelerator R&D infrastructure for industrial and other users; near-term translational R&D to adapt HEP
accelerator technology for potential uses in medical, industrial, security, defense, energy and environmental applications; andlong-term R&D for science and technology needed to build future generations of accelerators, with a focus on transformational
opportunities.
Highlights of the FY 2017 Budget Request
In September 2013, the DOE and the National Science Foundation (NSF) charged the High Energy Physics Advisory Panel (HEPAP)
to convene a Particle Physics Project Prioritization Panel (P5) in order to develop a ten-year strategic plan for U.S. high energy
physics in the context of a 20-year global vision. The panel was charged to respond to three realistic budget scenarios provided
by the funding agencies. In May 2014, HEPAP unanimously approved the P5 report and its recommendations. The reportprovides a practical, long-term strategy that enables discovery and maintains the U.S. position as a global leader in particle
physics. The DOE accepted the recommendations in the P5 report and is committed to implementing a successful program
based on this new vision.
The FY 2017 Budget Request continues implementation of the recommendations contained in the P5 report. The Request
supports full operation of existing major HEP facilities and experiments; the planned construction funding profile for the Muon
to Electron Conversion Experiment (Mu2e), and fabrication for recent major items of equipment (MIEs) for the Large
Underground Xenon (LUX)–ZonEd Proportional scintillation in LIquid Noble gases (ZEPLIN) experiment (LZ) and the Super
Cryogenic Dark Matter Search at Sudbury Neutrino Observatory Laboratory (SuperCDMS-SNOLab) experiment. The Request
includes capital equipment funding to continue support of the planned funding profiles for the camera for the Large Synoptic
Survey Telescope (LSSTcam) project, the Dark Energy Spectroscopic Instrument (DESI) project, the Muon g-2 Experiment, and the
U.S. contributions to the LHC ATLAS (A Toroidal LHC Apparatus) Detector Upgrade, and the LHC Compact Muon Solenoid (CMS)
Detector Upgrade. The Muon g-2 Experiment and LHC detector upgrades complete their funding profiles in FY 2017.
HEP’s implementation of the P5 recommendation to reformulate the long baseline neutrino program in an international context
has resulted in the formation of two multi-national efforts: the Long Baseline Neutrino Facility (LBNF), which will be responsible
for the beamline at the Fermi National Accelerator Laboratory (Fermilab) and other experimental and civil infrastructure at
Fermilab and Sanford Underground Research Facility (SURF); and the Deep Underground Neutrino Experiment (DUNE), aninternational experimental collaboration responsible for defining the scientific goals and technical requirements for thedetectors and beamline as well as design, construction, commissioning of the detectors and subsequent research program. HEP
proposes to manage both activities as a single project to be known as LBNF/DUNE. There has been significant progress in thedevelopment of these international partnerships in the past year, and the new DUNE science collaboration is moving forward
expeditiously to implement an optimized detector design. HEP continues to pursue the development of this world-leading longbaseline neutrino experiment by recruiting additional partners and coordinating plans for the international facility that enablesit.
In the FY 2017 Budget Request, most funding for the Working Capital Fund (WCF) is transferred to Program Direction to establish
a consolidated source of funding for goods and services provided by the WCF. CyberOne is still funded through program dollars
in the SC Safeguards and Security Program. In FY 2016 and prior years, WCF costs were shared by SC research programs andProgram Direction.
Energy Frontier Experimental Physics
The LHC resumed operations in 2015 at collision energies of 13 TeV, a substantial increase from 8 TeV in the previous run thatenabled the discovery of the Higgs boson. Higher energies will increase the reach of the LHC into the search for new physics,
particularly in high-impact topics such as supersymmetry, dark matter candidates, and evidence for extra space-time
dimensions. Physics results from this higher-energy data became available in 2015 and will continue well into 2017, criticallyinforming future HEP research directions and opportunities. Investments are made for U.S. contributions to planned LHC
detector upgrades that will exploit the full physics potential of LHC with much higher luminosities.

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Intensity Frontier Experimental Physics
FY 2017 will feature full operations for the Neutrinos at the Main Injector (NuMI) Off-axis Electron Neutrino Appearance
Experiment (NOvA) detector in the world’s most intense neutrino beam from Fermilab. The physics goals of this experiment
include improved measurements of neutrino mixing, first results on the neutrino mass hierarchy, and the search for matterantimatter asymmetry in the neutrino sector. The MicroBooNE neutrino experiment will be in full operation in the Fermilab
Booster Neutrino Beam (BNB), with a goal of resolving certain anomalies seen in several previous accelerator-based neutrino
experiments. MicroBooNE is the first experiment in the Fermilab Short Baseline Neutrino (SBN) program, a coordinated set of
liquid argon neutrino detector experiments that will advance neutrino science and serve as an international R&D platform for
LBNF/DUNE. The SBN program will also include the Short Baseline Neutrino Detector (SBND) and the Imaging Cosmic and Rare
Underground Signals (ICARUS) detector, which is being moved from Italy to Fermilab. Both detectors are scheduled to begin datataking in FY 2018.
The Muon g-2 MIE will complete fabrication, installation and commissioning in FY 2017 and the first data-taking run of the Muon
g-2 Experiment will begin. Both experiments will probe energy scales beyond the LHC through the study of rare processes andprecision measurements. The SuperKEKB electron-positron collider, located at the Japanese High Energy Accelerator Research
Organization (KEK) laboratory in Tsukuba, Japan, will begin sending beam to the Belle II detector in FY 2017. The Belle IIexperiment will have unprecedented sensitivity to search for new physics and study rare decays in heavy quarks and tau leptons.
The FY 2017 Request includes funding for Other Project Costs (OPC) for the Proton Improvement Plan II (PIP-II) project. The
original Proton Improvement Plan (PIP) included a series of equipment replacements and refurbishments necessary to keep thenearly 50 year old accelerator complex running efficiently. Fermilab is currently completing this work. In order to meet thecurrently foreseen goals of the HEP program, however, it will be necessary to go beyond the modest PIP improvements andreplace the entire front end of the accelerator complex. This upgrade to the linac to increase the beam power and the energy isreferred to as PIP-II. Unlike its predecessor, PIP-II will be a line item construction project once construction funding is requested.
In FY 2017, only OPC funding is requested to support conceptual design activities.
Cosmic Frontier Experimental Physics
The Cosmic Frontier Experimental Physics program will continue a coordinated program of studies of the nature of dark energy
and searches for dark matter particles. The program also includes experiments studying high energy cosmic rays, gamma rays,
and the study of the cosmic microwave background (CMB) in order to gain insight into the nature of inflation in the early
universe. Projects that will carry out the next generation imaging and spectroscopic dark energy studies, LSSTcam and DESI, will
be in their fabrication phases in FY 2017. There are three second generation direct detection dark matter projects that will use avariety of technologies to provide complementary searches for dark matter particles. The Axion Dark Matter Search Generation
2 (ADMX-G2) is a series of small experiments that will search for axions, a proposed dark matter candidate, over different mass
ranges. The LZ and SuperCDMS-SNOLab experiments will search for a different type of proposed dark matter candidate, Weakly
Interacting Massive Particles (WIMPs), using complementary technologies to search over a broad range of masses. The LZ projectwill use liquid xenon in the SURF and will enter its fabrication phase in FY 2017. The SuperCDMS-SNOLab project will use
cryogenic semi-conductor detectors in SNOLab and will be baselined and enter its final design phase in FY 2017. Planning for alarge-scale Cosmic Microwave Background (CMB) experiment, which will be used to study the nature of inflation in the early
universe, will continue in FY 2017, along with a suite of operating experiments and R&D efforts addressing priority science areas
identified in the P5 report.
Theoretical and Computational Physics
The current high priority thrusts of the Theoretical Physics subprogram are to understand the LHC data and develop new searchstrategies that can be used at the LHC in the future; to develop new models of dark matter; and to suggest new experimental
probes that can reveal physics beyond the Standard Model. The Computational Physics effort supports research and operations
on computation, simulation, data tools, and software that cut across all HEP programs, and provides partnership opportunities
with SC’s Advanced Scientific Computing Research (ASCR) program as well as other agencies to develop innovative data andcomputational tools to address HEP computational and data challenges for the future.
Advanced Technology R&D
The General Accelerator R&D (GARD) activity supports the vibrant advanced plasma accelerator research at BELLA (Berkeley Lab
Laser Accelerator) at LBNL and FACET (Facility for Advanced Accelerator Experimental Tests) at SLAC. BELLA set a new world
record for laser-driven plasma wakefield accelerator technology in FY 2015, producing an energy gradient of 4.25 GeV over 9 cm.
FACET is the first to accelerate positrons by multi-gigaelectronvolts (GeV) in energy with a narrow energy spread in a long plasma
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channel. Also, in collaboration with and using techniques developed in university research supported by GARD, FACET became
the first to image the beam driven wakefield.
FACET will shut down in FY 2016 to make way for the Linac Coherent Light Source (LCLS)-II. A new and more capable facility, the
FACET-II MIE project, will be in its fabrication phase in FY 2017 using the kilometer linac section between LCLS and LCLS-II, tocontinue the very successful electron-beam-driven plasma wakefield accelerator program. Operations of the BELLA facility
continue in FY 2017.
The LHC Accelerator Research Program (LARP) develops powerful focusing magnets made from niobium-tin superconductorsthat have higher magnetic fields than those currently used in the LHC. Successful development of these new magnets will allow
the U.S. to make a unique and critical contribution to the upgrade of the LHC to produce more particle collisions per second,which in turn will provide more data for the researchers. Funding for this effort is increased in FY 2017 to meet the schedule fordelivery of prototype magnets. Following external technical reviews and recommendations in the P5 report, the Muon
Accelerator Program (MAP) is being ramped down, and FY 2017 is the final year of funding for MAP. Key elements of MAP withbroad applications will be redirected into GARD.
Accelerator Stewardship
The Brookhaven National Laboratory’s (BNL) Accelerator Test Facility (ATF) was formally designated an SC User Facility in
FY 2015, and its charter broadened to support the Accelerator Stewardship mission. The ATF provides a unique combination ofhigh quality electron and infrared laser beams in a well-controlled user-friendly environment. The ATF will continue to support
user operations in FY 2017.
Construction
Two construction projects are underway to support Intensity Frontier Physics. Mu2e completes its design phase in FY 2016 andproceeds with construction. LBNF/DUNE will continue its design phase and site preparation in FY 2016 and will commence
underground excavation in FY 2017.

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High Energy Physics
Funding ($K)

Energy Frontier Experimental Physics
Research
Facility Operations and Experimental Support
Projects
Total, Energy Frontier Experimental Physics
Intensity Frontier Experimental Physics
Research
Facility Operations and Experimental Support
Projects
Total, Intensity Frontier Experimental Physics
Cosmic Frontier Experimental Physics
Research
Facility Operations and Experimental Support
Projects
Total, Cosmic Frontier Experimental Physics
Theoretical and Computational Physics
Research
TheoryComputational HEP
Total, Research
Projects
Total, Theoretical and Computational Physicsa

FY 2017 vs.
FY 2016

FY 2015 Enacted

FY 2015 Current a

FY 2016 Enacted

FY 2017 Request b

78,78253,802
15,000147,584

84,38753,670
7,983
146,040

77,27054,45319,000150,723

76,811
55,22018,967150,998

-459
+767
-33
+275

55,181
165,073
43,970264,224

54,122
158,658
46,970259,750

56,104
151,31735,700243,12156,509153,066
24,569234,144+405+1,749-11,131-8,97749,31011,83245,728106,870

48,777
11,327
46,403
106,507

49,91013,837
66,835130,582

49,934
9,935
70,200130,069+24-3,902+3,365-513

50,224
8,050
58,2741,000
59,27452,323
8,525
60,8481,000
61,84848,465
8,618
57,0832,000
59,08349,6208,036
57,6562,000
59,656+1,155
-582
+573
0
+573

Reflects the transfer of Small Business Innovation/Technology Transfer Research (SBIR/STTR) funds within the Office of Science.
A transfer of $1,704,000 to Science Program Direction is to consolidate all Working Capital Funds in one program.
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FY 2017 Congressional Budget Justification
179bAdvanced Technology R&D
Research
HEP General Accelerator R&D
HEP Directed Accelerator R&D
Detector R&D
Total, Research
Facility Operations and Experimental Support
Projects
Total, Advanced Technology R&D
Accelerator StewardshipResearch
Facility Operations and Experimental Support
Total, Accelerator Stewardship
SBIR/STTR
Subtotal, High Energy Physics
Construction
11-SC-40, Long Baseline Neutrino Facility/Deep
Underground Neutrino Experiment11-SC-41, Muon to Electron Conversion Experiment
Total, Construction
Total, High Energy Physics
SBIR/STTR:
 FY 2015 Transferred: SBIR: $18,251,000; STTR: $2,517,000
 FY 2016 Projected: SBIR: $18,171,000; STTR: $2,726,000
 FY 2017 Request: SBIR: $19,796,000; STTR: $2,784,000aa

FY 2015 Enacted

FY 2015 Current a

FY 2016 Enacted

FY 2017 Request b

FY 2017 vs.
FY 2016

45,452
22,57021,91489,93630,3180120,254

45,90323,00019,31488,21735,8700
124,087

46,722
20,64016,282
83,64429,7502,100
115,494

44,51021,50017,35083,36026,9258,000
118,285-2,212+860+1,068-284-2,825+5,900+2,791

5,900
4,100
10,00020,794
729,000

4,891
5,109
10,0000708,232

3,378
5,622
9,000
20,897
728,900

6,853
6,891
13,744
22,580729,476+3,475+1,269+4,744+1,683+576

12,00025,00037,000766,000

12,00025,00037,000745,232

26,00040,10066,100795,000

45,021
43,50088,521
817,997+19,021+3,400+22,421+22,997

Reflects the transfer of Small Business Innovation/Technology Transfer Research (SBIR/STTR) funds within the Office of Science.
A transfer of $1,704,000 to Science Program Direction is to consolidate all Working Capital Funds in one program.

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High Energy Physics
Explanation of Major Changes ($K)
FY 2017 vs.
FY 2016
EnactedEnergy Frontier Experimental Physics: Funding continues for the LHC detector upgrade fabrication activities that are scheduled to complete theirplanned funding in FY 2017. Initial investments are made to support subsequent LHC detector upgrade activities for longer-term operations at muchhigher luminosities, in accordance with the P5 report. Research efforts are slightly reduced in order to provide additional support for experimental
support activities.

+275

Intensity Frontier Experimental Physics: Completion of the Muon Campus AIP and GPP items account for the bulk of the funding reduction in this area.
Future project R&D for the development of a new superconducting proton linac to replace the more than 40-year-old existing linac is completed in
FY 2016. In FY 2017 continuing efforts will be funded as PIP-II OPC. Optimal operations of the upgraded NuMI beamline for NOvA continue, as dorefurbishment of the oldest portions of the Fermilab accelerator complex, including a modernization of the front-end linac. The Short Baseline
Neutrino (SBN) program at Fermilab will perform R&D and fabrication of liquid argon TPC detectors to address the observed anomalies in previous
neutrino experiments while advancing the R&D necessary for LBNF/DUNE, as recommended in the P5 report. Research efforts are increased in order tomaintain support for data analysis of operating experiments and ramp up support for physics studies and R&D for next-generation experiments.

-8,977

Cosmic Frontier Experimental Physics: Funding increases caused by the ramp-up of the MIE projects, which increase according to their planned
funding profiles, are offset by several first generation dark matter experiments that end operations funding in FY 2016. These MIE projects include thenext generation dark energy projects using complementary techniques of imaging (LSSTcam) and spectroscopic (DESI) surveys and measurements andthe second generation direct detection dark matter experiments (LZ and SuperCDMS-SNOLab) that use complementary technologies and search indifferent mass ranges. The funding for these projects is in accordance with the P5 report.

-513

Theoretical and Computational Physics: Overall research increases slightly, with an increase in support for theory offsetting a slight reduction incomputational research.

+573

Advanced Technology R&D: LARP increases to complete large scale prototypes of niobium-tin superconducting quadrupole magnets needed for the
upgrade of the LHC. FY 2017 is the last year of funding for the MAP as deliverables for the Muon Ionization Cooling Experiment in England arecompleted. FACET does not run in FY 2017 and its funding is redirected to the FACET-II MIE.

+2,791

Accelerator Stewardship: Funding for research is increased to support targeted R&D efforts to develop new uses of accelerator technology with broad
applicability. Facilities funding is increased as the relocation of BNL ATF reaches the peak years of activity.

+4,744

SBIR/STTR: Funding is provided in accordance with the legislatively directed percentage of HEP operating budgets.

+1,683

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FY 2017 vs.
FY 2016
EnactedConstruction: Funding is provided according to the planned profile for construction of Mu2e. Funding for engineering design, site preparation andunderground excavation for LBNF/DUNE is requested.

+22,421

Total, High Energy Physics+22,997

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Basic and Applied R&D Coordination
HEP developed the Accelerator Stewardship subprogram based on input from accelerator R&D experts drawn from universities,
national laboratories, and industry to help identify specific research areas and infrastructure gaps where HEP investments could
have significant impacts beyond the SC research mission. This program is closely coordinated with the SC’s Basic Energy Sciences(BES) and Nuclear Physics (NP) programs and partner agencies a to ensure all federal stakeholders have input in crafting funding
opportunity announcements, reviewing applications, and evaluating the efficacy and impact of funded activities.
More broadly, HEP coordinates its program with other offices and agencies with related programs and missions. The U.S. LHC
program is supported by the HEP and the NSF Division of Physics (NSF-PHY), and overseen by a Joint Oversight Group (JOG). Dark
matter research is also jointly sponsored by these agencies, which are coordinating their activities on the next generation
projects. Both HEP and NSF-PHY use HEPAP as part of their advisory structure. HEP also coordinates with NSF Division of
Astronomical Sciences on the Dark Energy Survey (DES) experiment and the LSST and the DESI projects, each of which isoverseen by a JOG. Both agencies as well as NASA receive advice from the Astronomy and Astrophysics Advisory Committee onareas of overlap and joint interest. HEP also coordinates with other SC programs to identify common scientific interests and toprevent duplication.
Program Accomplishments
Significant discoveries, substantial sensitivity improvements, and world-record achievements moved the frontiers of particle
physics forward in FY 2015.
DOE, NSF, and CERN signed a new international cooperation agreement on May 7, 2015. This agreement was a vital componentof the HEP strategic plan that called for a global vision of particle physics. The U.S. will continue to participate in the LHC
program with accelerator and detector contributions for the High Luminosity LHC, and CERN will support the participation ofEuropean particle physicists in Deep Underground Neutrino Experiment through contributions to the Long Baseline Neutrino
Facility being built by Fermilab. How CERN and the U.S. will work together under the international agreement has been detailed
in four protocols on U.S. contributions to experiments at the LHC, U.S. contributions to the accelerator to raise its luminosity,
CERN contributions to LBNF, and joint U.S.-CERN studies on new higher energy colliders that were signed on December 18, 2015.
The value of the contributions being made under these protocols will be documented in addenda that are still being negotiated.
The NuMI Off-Axis ν e Appearance (NOvA) experiment, the highest-intensity and longest-baseline neutrino oscillation experimentin the world, took its first science data in FY 2015 and has measured both muon disappearance and electron appearance neutrino
oscillations (Intensity Frontier). The global scientific community recognized the importance of neutrino oscillation science withthe awarding of the 2015 Nobel Prize in Physics to Takaaki Kajita and Arthur B. McDonald for the discovery of neutrino
oscillations and the 2016 Breakthrough Prize in Fundamental Physics to five experiments investigating neutrino oscillations. All of
the experiments recognized through these prizes received HEP support. The P5 report recommendations outline a plan tocontinue the highly successful pursuit of neutrino science with NOvA and the future U.S.-hosted international Deep
Underground Neutrino Experiment (DUNE). The NOvA detector was completed in November 2014 and currently receives thehighest intensity neutrino beam in the world, generated 500 miles away at Fermilab. Initial physics results from early data wereannounced in the summer of 2015. NOvA will run for another six years, increasing its statistics to improve the precision ofoscillation measurements, study the neutrino mass hierarchy, and search for the source of matter-antimatter asymmetry in theuniverse.
Dedicated astronomical surveys usher in an era of precision measurement in cosmology (Cosmic Frontier). The Baryon Oscillation
Spectroscopic Survey (BOSS) measured the scale of the universe at a time 5 billion years ago to a precision of 1% and the rate ofcosmic structure growth to 10%, using the full data set from its successful five year survey of 1.5 million galaxies and quasars.
David J. Schlegel (Lawrence Berkeley National Laboratory), principal investigator for BOSS, was awarded the 2014 Ernest Orlando
Lawrence Award exceptional leadership of major projects making the largest two-dimensional and three-dimensional maps of
the universe. The Dark Energy Survey (DES) completed its second year of a five-year survey using precision imaging observations,providing complementary measurements to BOSS data. In FY 2015, DES released the largest map to date of the dark matter
distribution in the universe, measured by gravitational lensing. DES also discovered 17 new dwarf galaxies, satellites of our MilkyaPartner agencies for the Accelerator Stewardship program’s initial two years are: the National Institutes of Health’s National
Cancer Institute, the Department of Defense’s Office of Naval Research and Air Force Office of Scientific Research, and the NSF’s
Physics Division and Chemical, Bioengineering, Environmental, and Transport Systems Division.
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183

Way galaxy, that provide excellent laboratories to explore the physics of dark matter. Jointly with the Fermi Gamma-ray Space
Telescope (FGST), the DES dwarf galaxy measurements were used to place tight limits on dark matter properties.
An experiment at the Facility for Advanced Accelerator Experimental Tests (FACET) demonstrated the acceleration of positrons,
the antiparticle of the electron, in a beam-driven plasma wakefield accelerator for the first time (Advanced Technology R&D).
Plasma wakefield particle acceleration is an advanced technology that could boost the energy and shrink the size of future linear
particle accelerators and have broad impact within the DOE Office of Science. Electron plasma wakefield acceleration has beenpreviously demonstrated at FACET using two beam pulses, a drive pulse of electrons that generate a plasma wake and a trailing
pulse that is accelerated by “surfing” on the plasma wake. FACET has the unique capability to use positrons in a plasma
wakefield accelerator and has successfully demonstrated a new technique for accelerating them. Within a single pulse of
positrons, the front of the positron bunch generated a plasma wake that accelerated the trailing positrons. The acceleration of
positrons in addition to electrons is needed to implement this technology in a future Energy Frontier collider.

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High Energy Physics
Energy Frontier Experimental Physics
Description
The Energy Frontier Experimental Physics subprogram supports research at the LHC with the goal of determining to what extent
the Standard Model correctly describes the natural world. Exploring new physics at the highest energies and new dynamics ofalready discovered elementary particles are now the foundation for much of the LHC research program.
Research activities at the Energy Frontier in FY 2017 will be focused on the LHC, which resumed operations in FY 2015 after aplanned shutdown that began in FY 2013 to bring the collider to its full design energy of at least 13 TeV. Data collected during
this period will be used to address at least three of the five primary science drivers identified by the P5 report:•

Use the Higgs boson as a new tool for discovery
In the Standard Model of particle physics, the Higgs boson is responsible for generating the mass for all fundamental
particles. In July 2012, CERN announced the discovery of a new particle consistent, within the limited statistical accuracy,with being the Standard Model Higgs boson. Since the discovery, experiments at the LHC have continued to actively
measure the particle’s properties and results thus far have strongly indicated consistency of the Higgs boson with theStandard Model picture. However, more data are required to precisely measure its properties. Through such studies,scientists will be able to establish the particle’s exact character and discover if there are additional effects that are theresult of new physics beyond the Standard Model.
Explore the unknown, new particles, interactions, and physical principles.
Researchers at the LHC hope to find evidence of what lies beyond the Standard Model or significantly constrain postulated
modifications to it, such as supersymmetry, mechanisms for black hole production, extra dimensions, and other exotic
phenomena. As the second run continues in FY 2017, the LHC detectors will be increasingly more sensitive to potential
deviations from the Standard Model that may be exposed by the increase in collision energy from 8 TeV to at least 13 TeV.
Identify the new physics of dark matter.
If dark matter particles are light enough, they can be produced in LHC collisions and their general properties measured byinference (since they interact only weakly with normal matter). This “indirect” detection of dark matter is complementary
to, and a powerful cross-check on, the ultra-sensitive “direct” detection experiments on the Cosmic Frontier where one
tries to observe the very faint signal of ambient cosmic dark matter particles colliding with nuclei. Limits on dark matterproduction set by the LHC experiments already significantly constrain many theoretical models.

The LHC hosts two large multi-purpose particle detectors, CMS and ATLAS, which are partially supported by DOE and the NSF
and used by large international collaborations of scientists. U.S. researchers make up approximately 20% of the ATLAS
collaboration and approximately 30% of the CMS collaboration and play critical leadership roles in all aspects of eachexperiment.
The Energy Frontier Experimental Physics subprogram also supports the LHC detector operations program, which covers themaintenance of U.S. supplied detector systems for the ATLAS and CMS detectors at the LHC and the U.S. based computer
infrastructure for the analysis of LHC data by U.S. physicists.
Research
University-based Energy Frontier research is carried out by groups at over 65 institutions performing experiments at the LHC.
Grant-supported scientists typically constitute about 50–75% of the personnel needed to create, run, and analyze anexperiment, usually working in collaboration with other university and laboratory groups. Grant-based research efforts are
selected based on external competitive peer review, and funding allocations take into account the quality and scientific priorityof the research proposed. Energy Frontier research also supports physicists from five national laboratories. These are typicallylarge groups that also have significant responsibilities for detector operations, maintenance, and upgrades, particularly at thelaboratories that host large computing and analysis-support centers as well as maintain unique instrumentation facilities. HEP
conducted an external peer review of laboratory research groups in this activity in 2015, and findings from this review are being
used to inform the funding decisions in subsequent years. HEP plans to review this activity again in 2018 and evaluate progress.
Facility Operations and Experimental Support
U.S. LHC Detector Operations funding supports the maintenance of U.S. supplied detector systems for the CMS and ATLAS
detectors at the LHC and for the U.S.-based computer infrastructure used by U.S. physicists to analyze LHC data, including Tier 1
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computing centers at Fermilab and at BNL. There are 13 LHC Tier 1 computing centers around the world. The Tier 1 centersprovide round-the-clock support for the LHC Computing Grid and are responsible for storing a proportional share of raw andreconstructed data, as well as performing large-scale data reprocessing and storing the corresponding output. This program also
supports investments in R&D activities aimed at improvements to the LHC detectors so they can operate in the long-term at
higher luminosities.
Projects
CERN is upgrading the LHC machine to produce two to three times the particle collision rate (instantaneous luminosity) currently
delivered. This work motivates upgrades to the ATLAS and CMS detectors in order to enable each experiment to fully exploit thephysics opportunities offered by the LHC for exploration of new physics and to make precision measurements of properties ofknown phenomena. Project activities will therefore continue to support the fabrication of major items of equipment (MIE) for
these two detector upgrades within the Energy Frontier subprogram. Upgrade fabrication efforts are planned to start ramping
down in 2017 in preparation for installation of U.S.-delivered detector systems in their respective experimental collision halls
during a planned shutdown in 2019-2020.
The ATLAS Detector Upgrade Project was baselined (CD-2) and approved for a fabrication start (CD-3) in FY 2015. Upgrades areneeded to the Muon Subsystem, the Liquid Argon Calorimeter Detector, and Trigger and Data Acquisition System to takeadvantage of the increased luminosity. The last production readiness reviews will be completed in early FY 2017 and fullproduction will continue in FY 2018.
The CMS Detector Upgrade Project was baselined (CD-2) and approved for a fabrication start (CD-3) in FY 2015. Upgrades areneeded to the Pixelated Inner Tracking Detector, the Hadron Calorimeter Detector, and Trigger System to take advantage of theincreased luminosity. The U.S. contributions to forward pixel detector subsystem and the trigger subsystem are planned to becompleted in FY 2017.
During the period that spans the next two decades, CERN plans a major upgrade to the LHC machine to further increase theinstantaneous luminosity by a factor of ten times its design value to explore new physics beyond the reach of the current LHC
program, which will provide physicists insights to elementary particles and their interactions at unprecedented levels. Activities
for the High Luminosity (HL)-LHC ATLAS and CMS Detector Upgrade projects are planned to begin in 2016 and are due to becompleted by 2024. Based on recommendations in the P5 report, Mission Need Statements for these upgrades are expected tobe approved in early 2016.

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Energy Frontier Experimental Physics
Activities and Explanation of Changes

Explanation of Changes
FY 2017 vs. FY 2016

FY 2016 Enacted

FY 2017 Request

Energy Frontier Experimental Physics $150,723,000
Research $77,270,000
U.S. university and laboratory scientists begin
analyzing the newly acquired data from LHC’s second
run that began in early-2015. Research activities focus
on addressing key areas within the five science drivers
outlined in the P5 report, which include using the
Higgs boson as a new tool for discovery and exploringnew particles and their interactions.

$150,998,000$76,811,000
U.S. university and laboratory scientists will focus oncontinuing research activities during LHC’s second run
at collision energies of at least 13 TeV, pursuing new
physics such as supersymmetry, dark mattercandidates and evidence of extra space-time
dimensions, and conducting high-profile studies suchas precision measurements of the Higgs boson. U.S
scientists will work on the preliminary design for the
HL-LHC detector upgrades.

+$275,000-$459,000
SC will reduce funding for the Energy Frontier researchdue to overall programmatic reductions in research
activities to support current and future experimental
capabilities. Some research staff previously supported
under Research will be redirected to complete thefabrication of U.S. supplied detector systems for the
LHC Detector Upgrade projects and to begin leading
the HL-LHC ATLAS and CMS Detector Upgrade projects.

$55,220,000
The Request will continue to support maintenance andoperational activities of the LHC ATLAS and CMS
detectors during LHC’s second run. Critical R&D
activities will be completed in order to begin
prototyping LHC detector systems for planned
upgrades of the detectors at higher luminosities.

+$767,000
Increased funding supports ATLAS and CMS detector
maintenance and operations during the LHC’s second
run and the critical R&D activities that will support
prototyping for the HL-LHC detector upgrades.

$18,967,000
Fabrication activities for the LHC ATLAS Detector
Upgrade and the LHC CMS Detector Upgrade projects
will be completed in FY 2017.
The Request provides OPC funding for the HL-LHC
ATLAS and CMS Detector Upgrades in order to takeadvantage of the increased LHC luminosity during thenext decade. Mission Need (CD-0) for these upgradesis planned for early 2016.

-$33,000
The reduction in funding aligns with the approved
profiles for the LHC ATLAS Detector Upgrade and the
LHC CMS Detector Upgrade projects.

Facility Operations and Experimental Support$54,453,000
Funding supports the operation of the LHC ATLAS andCMS detectors during LHC’s second run. Major
activities include continuing the routine maintenanceand calibration of the detectors as well as theprocessing of newly acquired data. Initial investments
support critical R&D activities for longer-term
operations of the LHC detectors at higher luminosities.
Projects $19,000,000
The LHC ATLAS and CMS Detector Upgrade projects
were baselined in FY 2015 and fabrication activities
continue into FY 2016.

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Initial OPC funding for the HL-LHC ATLAS and CMS
Detector Upgrades is provided.

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188

High Energy Physics
Intensity Frontier Experimental Physics
Description
The Intensity Frontier Experimental Physics subprogram investigates some of the rarest processes in nature including unusualinteractions of fundamental particles or subtle effects requiring large data sets to observe and measure. This subprogram inparticular shares some deep intellectual connections with NP. Generally, this HEP subprogram focuses on using high-power
particle beams or other intense particle sources to make precision measurements of fundamental particle properties. These
measurements in turn probe for new phenomena that cannot be directly observed at the Energy Frontier, either because theyoccur at much higher energies and their effects can only be seen indirectly or because they are due to interactions that are too
weak to be detected in a high-background environment such as the LHC.
Activities at the Intensity Frontier will be focused primarily on operating new and existing facilities while continuing investmentsthat maintain a world-leading program into the future and establish the scientific foundation for the future U.S.-hosted
international LBNF/DUNE. These facilities and investments are concentrated primarily in the areas of neutrino and muon physics
and primarily based at Fermilab. The Fermilab SBN program, established in response to the P5 report, will continue to advanceneutrino physics while serving as an international platform for many of the research and development activities necessary toestablish LBNF/DUNE. The MicroBooNE experiment will continue taking data as research and development activities continue for
its SBN partners, SBND and ICARUS, that are scheduled to begin data taking in FY 2018.
The NOvA neutrino detector was completed in FY 2014 and will be in its third year of operations. NOvA is currently the world’s
longest-baseline neutrino experiment and studies neutrinos from the world’s most powerful neutrino beam, the upgraded NuMI
beam at Fermilab. NOvA may switch to antineutrino mode in FY 2017 based on physics results from its first two years ofoperation.
Operation of the Daya Bay Reactor Neutrino Experiment (Daya Bay) in China will conclude in FY 2017. Physics analyses on thevery large Daya Bay experimental dataset will continue through 2021 with a focus on extracting high-precision measurements onneutrino parameters and searching for new physics. Fabrication funding for the Fermilab Muon g-2 Experiment concludes in
FY 2017. Physics commissioning of the Muon g-2 detector continues, and first data taking for the Muon g-2 Experiment will
begin in FY 2017. Mu2e will continue its construction phase.
Data collected from the supported Intensity Frontier experiments during this period will be used to address at least three of thefive key science drivers identified by the P5 report:•

Pursue the physics associated with neutrino mass.
Of all known particles, neutrinos are perhaps the most enigmatic and certainly the most elusive. The three known varietiesof neutrinos were all discovered by HEP researchers working at U.S. facilities. HEP supports research into fundamental
neutrino properties that may reveal important clues about the unification of forces and the very early history of theuniverse.
Identify the new physics of dark matter.
The lack of experimental evidence from current generation dark matter detectors has led some to propose theoreticalmodels with new “dark” particles and forces which have ultra-weak couplings to normal matter. These particles and forces
are effectively invisible to conventional experiments, but could be connected to the cosmic dark matter. Using intense
accelerator beams at U.S. national laboratories outfitted with highly capable high-rate detectors allows for probes of thesemodels via subtle quantum mechanical mixing effects. These experiments complement the searches for dark matter
performed in Cosmic Frontier and Energy Frontier experiments.
Explore the unknown, new particles, interactions, and physical principles.
Prominent in this category are experiments addressing the poorly understood large scale absence of antimatter in theuniverse and the puzzling three generation family structure of the fundamental constituents of matter.

Research
The HEP experimental research activity at the Intensity Frontier consists of groups at over 50 academic institutions and physicists
from eight national laboratories, performing experiments at a variety of locations. These groups, as part of scientificcollaborations, typically have a broad portfolio of significant responsibilities and leadership roles including R&D, experimental
design, fabrication, commissioning, operations, and maintenance, as well as scientific simulations, computing, and data analysis
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on the experiments in the subprogram. Research efforts are selected based on a competitive peer-review process in order tomaintain activities with the highest scientific merit and potential impact. HEP conducted an external peer review of alllaboratory research groups in this subprogram in 2013 and the next review will be in 2017. These findings will be used to informthe funding decisions in subsequent years.
Facility Operations and Experimental Support
There are several distinct facility operations and experimental support efforts in the Intensity Frontier subprogram. The largest is
the Fermilab Accelerator Complex User Facility. The operation of the accelerator, detectors, and computing are included in thisactivity. Improvements to the facility are supported via General Plant Project (GPP) and Accelerator Improvement Project (AIP)
funding. Refurbishment of the oldest parts of the complex including the Linac and the BNB continues in FY 2017 in order tomaintain the reliability and efficiency of the complex. The major experimental efforts will be the NOνA and MicroBooNE
experiments using the NuMI and BNB. In addition, the Muon g-2 experiment will begin physics data taking in 2017. Operations
support for the LUX and Majorana demonstrator experiments at the Homestake Mine is also provided under this activity.
Projects
This activity supports the fabrication of major items of equipment for the Intensity Frontier subprogram. It also covers
preconceptual R&D and design for proposed new Intensity Frontier efforts and the other project costs (OPC) of line item
construction for the Intensity Frontier. This effort also includes subsystems integration and infrastructure needed for the SBN
program, such as cryogenics, electronics and data acquisition.
The Muon g-2 project is an MIE to provide equipment needed to adapt an existing muon storage ring from BNL to utilize thehigher intensity proton beam at Fermilab. In FY 2015, the project completed critical tests of the storage ring’s superconducting,and in FY 2016 and FY 2017, it will fabricate new detectors, a muon production target, and a muon beam transport.
The FY 2017 Request funds the engineering design, site preparation, and long-lead construction activities for LBNF/DUNE. It also
provides funding for Future Project R&D funding for the short baseline neutrino experiments. These experiments are muchsmaller than NOvA and LBNF/DUNE and address other issues in neutrino physics, such as the possibility of a new type ofneutrino that does interact with charged particles. For more complete information on the LBNF/DUNE project, please see theConstruction section.
Future Project R&D funding is ending and funding for Other Project Costs is provided for the PIP-II upgrade to the front-end of
the Fermilab Accelerator complex. The front-end is the oldest part of the complex and needs to be replaced to improvereliability and to produce higher intensity muon and neutrino beams. The P5 report recommended an increase in power for the
Fermilab accelerator complex so that it could provide a 1.2 megawatt beam to LBNF/DUNE, which is higher than the 0.7
megawatt beam planned for NOvA. Critical Decision 0 was approved on October 20, 2015, which identified and defined themission need to increase the beam power needed for neutrino and muon experiments and maintain the efficiency of the
Fermilab accelerator complex. Fermilab has supported R&D on this concept for several years with some of the R&D activities inpartnership with institutions in India. An international agreement between DOE and the Department of Atomic Energy of India
will provide contributions from India worth approximately $60,000,000 towards the development of this project. Additional
funds will become available after successful completion of the design phase.

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Intensity Frontier Experimental Physics
Activities and Explanation of Changes
FY 2016 Enacted

FY 2017 Request

Intensity Frontier Experimental Physics $243,121,000
Research $56,104,000
Physics analyses leading to first published results fromthe NOvA and MicroBooNE experiments occur. The
Main Injector Neutrino Oscillation Search (MINOS+)
experiment at Fermilab concludes in FY 2016; physics
analyses on the very large MINOS+ experimental
dataset will continue through 2020 with a focus on
extracting precision measurements on neutrino
parameters and searching for sterile neutrinos.
LBNF/DUNE physics studies and optimization continue
under the umbrella of a new, fully internationalized
program. New research and development activities for
the Fermilab SBN program are underway, following theP5 report. Other proposed small-scale efforts may besupported depending on the outcomes of peer review.

$234,144,000$56,509,000
The neutrino program will see new and more precise
results from the NOvA experiment. These results will
inform possible switch from a neutrino beam to an
antineutrino beam in FY 2017. The Fermilab SBN
program will continue to advance as MicroBooNE
produces new physics results. ICARUS, a 600 ton liquidargon detector, will arrive from Italy, afterrefurbishment at CERN in FY 2017. It will enhance the
SBN program by being larger and at a greater distancefrom the neutrino source than MicroBooNE. These two
experiments will take data together to study anomalies
in the neutrino sector. Operations support for Daya
Bay will ramp down to its planned completion.

Physics studies to optimize the operation of the underconstruction Mu2e experiment continue. Muon g-2
physics commissioning efforts ramp up in preparation
for first data in FY 2017.
Commissioning of the Belle II detector at KEK begins.

Science/High Energy Physics

Explanation of Changes
FY 2017 vs. FY 2016-$8,977,000+$405,000
Funding for the Intensity Frontier research increases tosupport current and future experimental capabilities.
Some research staff previously supported under
Research will be redirected to lead theinternationalization of LBNF/DUNE or towards
development of the Fermilab SBN program.

The Fermilab Muon g-2 experiment will begin physics
data taking. R&D, physics studies and optimization willcontinue for Mu2e and LBNF/DUNE. Other proposed
small-scale efforts may be supported depending on
the outcomes of peer review.
Physics commissioning of the Belle II detector iscompleted and will be followed by initial data taking.

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FY 2016 Enacted
Facility Operations and Experimental Support$151,317,000
The Fermilab Accelerator complex ($129,282,000)
continues to operate to support neutrino physics.
FY 2016 is an important funding year for two AIPs thatprovide enhancements for the future operations
program: the delivery ring AIP, which modifies the
antiproton accumulator to store protons for the muon
program, and the Recycler RF AIP, which upgrade the
RF power in the recycler to handle high intensity
proton beams for both the muon program and theshort baseline neutrino program at Fermilab. Funding
for the SBN Far Hall GPP is completed. Operational
Support at Homestake Mine ($15,300,000) continues
as LUX completes its data-taking and the Majorana
demonstrator continues.

FY 2017 Request$153,066,000
The Fermilab Accelerator complex ($130,781,000) willcontinue to operate to support neutrino physics.
FY 2017 is the last year for AIP funding for the Muon
Campus (MC). The refurbishment of the Linac and BNB
continues in FY 2017. Construction of an addition to
the Industrial Center Building is planned as GPP in
FY 2017. This addition will provide high bay spaceneeded for the assembly of large equipment likesuperconducting magnets, SRF cryomodules, anddetectors.

Explanation of Changes
FY 2017 vs. FY 2016+$1,749,000
Increased funding supports refurbishments to the
Fermilab Accelerator Complex to support the Intensity
Frontier program.

Operational support at Homestake Mine ($15,000,000)
is for the Majorana demonstrator activities andpreparations begin supporting the LZ experiment and
LBNF/DUNE construction.

Projects $35,700,000
Funding for the Muon g-2 MIE project ($10,200,000)
will continue accelerator modifications and fabricationof the beamline and detectors.

$24,569,000
Funding for the Muon g-2 MIE project ($6,349,000)
will continue accelerator modifications and fabricationof the beamline and detectors.

A combination of Other Project Cost funding($18,015,000) and preconceptual R&D funding
supports the development of PIP-II, a newsuperconducting proton linac to replace the more than
40-year-old existing front-end linac at Fermilab. The
goal of this development is to significantly increase thebeam power of the entire complex and improve its
reliability. This improvement to make the Fermilab
neutrino and muon programs sustainable through thenext decade was recommended in the P5 report.

Funding ($15,220,000) supports the Other Project
Costs for the PIP-II project including the conceptual
design for a new superconducting proton linac to
replace the more than 40 year-old existing linac. The
goal of this development is to increase the beam
power of the entire complex and improve its reliability.
This improvement to make the Fermilab neutrino andmuon programs sustainable through the next decade
was recommended in the P5 report.

-$11,131,000
The reduction in funding is dominated by the ramp
down of funding for Muon g-2 and the end of funding
for preconceptual R&D for Fermilab linac upgrade.

Funding for SBN program supports subsystems
Funding for the SBN program supports subsystems
integration and infrastructure needed for the program.
integration and infrastructure needed for the program.

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High Energy Physics
Cosmic Frontier Experimental Physics
Description
The Cosmic Frontier Experimental Physics subprogram supports the study of high energy physics through measurements ofnaturally occurring cosmic particles and observations of the universe. The activities in this subprogram use diverse tools andtechnologies, from ground-based telescopes and space-based experiments to large detectors deep underground, to probe
fundamental physics questions and offer new insight about the nature of dark matter, dark energy, inflation in the early universe
and other phenomena. In FY 2017, a varied suite of complementary, staged experiments are planned that will lead tomeasurements with greater precision as the operations and analysis of current experiments continues, while the next
generation of experiments are being planned and built. The program includes investments in projects for the future inaccordance with the P5 report.
Experiments in this subprogram can be classified into four main categories: direct-detection searches for dark matter; studies of
the nature of dark energy; measurements of the cosmic microwave background (CMB) to study the inflationary epoch in theearly universe and provide constraints on neutrino masses; and measurements of high-energy cosmic and gamma rays. Data
collected will be used to address at least three of the five key science drivers identified in the P5 report:

Understand cosmic acceleration: dark energy and inflation
Since the Nobel Prize in Physics in 2011 was awarded for the discovery of the acceleration of the expansion of the universe,
steady progress has been made in studying the nature of dark energy. BOSS has measured galactic distances to a precisionof 1% and growth rates through galaxy clustering. DES has produced the largest area maps of dark matter, whose evolution
reveals the behavior of dark energy. DES operations are ongoing and the final release of DES maps will cover 30 times thecurrent sky area. Inflation, a period of rapid expansion in the universe at extremely high energy shortly after the Big Bang, isthe target of the increasing sensitivity of operating and planned CMB experiments seeking direct detection of its quantum
fluctuations in spacetime.
Identify the new physics of dark matter
Measurements of motions within galaxies, the cosmic web of structure, weighing the universe as a whole, and theprimordial abundance of elements all show that dark matter, which is not explained by the Standard Model, accounts forfive times as much of the universe as ordinary matter. Direct-detection experiments in the laboratory provide the primarymethod to search for cosmic dark matter particles’ rare interactions with atomic nuclei, while indirect-detection
observatories search for the products of dark matter annihilation in the core of galaxies. The first generation of direct
detection experiments have significantly tightened the limits on dark matter properties, and the second generation willsoon be operational, aiming to measure the signature of dark matter interaction. These experiments are complemented by
the searches for dark matter performed in Intensity Frontier and Energy Frontier experiments.
Explore the unknown: new particles, interactions, and physical principles
High-energy cosmic and gamma rays can probe energy scales well beyond what can be produced with man-made particle
accelerators, albeit not in a controlled experimental environment. These experiments allow searches for indirect signals ofdark matter, and the presence of primordial antimatter. Searches for new phenomena in high-energy cosmic surveys may
yield surprising discoveries about the fundamental nature of the universe.

Research
The Cosmic Frontier experimental research program consists of groups at over 45 academic and research institutions and 8
national laboratories performing experiments at a wide variety of locations. These groups, as part of scientific collaborations,typically have a broad portfolio of significant responsibilities and leadership roles including R&D, experimental design,
fabrication, commissioning, operations, and maintenance, as well as scientific simulations, computing, and data analysis on theexperiments in the subprogram. Research efforts are selected based on a competitive peer-review process in order to maintainactivities with the highest scientific merit and potential impact. A competitive review is conducted annually for new or renewal
grant proposals. HEP conducted an external peer review of all laboratory research groups in this subprogram in 2013 and thenext review will be in 2016. The findings from these reviews are used to inform the funding decisions in subsequent years.
Research efforts are supported for operating or recently completed experiments. Research activities are continuing on darkenergy experiments using imaging and spectroscopic surveys, including the Dark Energy Survey (DES) and the extended Baryon
Oscillation Spectroscopic Survey (eBOSS) experiments, and the space-based Alpha Magnetic Spectrometer II (AMS-II) and the
Fermi Gamma-ray Space Telescope (FGST). It also includes operations of the South Pole Telescope Generation 3 (SPT-3G) CMB
experiment, the High Altitude Water Cherenkov (HAWC) gamma ray experiment, and the ADMX-G2 dark matter search
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FY 2017 Congressional Budget Justification

experiment. HEP-funded final data analyses will be completed on the suite of first generation dark matter direct detection (DMG1) experiments, the Pierre Auger cosmic-ray observatory, and on the VERITAS gamma ray observatory.
Research activities continue to support design, fabrication, and science planning for next generation dark energy, directdetection dark matter, and CMB experiments, including LSST, DESI, LZ, and SuperCDMS-SNOLab. Support for R&D and scienceplanning of possible future experiments in the program, such as the large-scale CMB experiment, is also included.
Facility Operations and Experimental Support
This activity supports the DOE share of personnel, data processing, and other expenses necessary for the successful
maintenance, operations, and data production of Cosmic Frontier experiments. These experiments are typically not sited at DOE
facilities. They are located at telescopes, in space, or underground. Many experiments have large multi-national collaborations
and DOE’s fraction of the support cost is based on the magnitude of U.S. roles and responsibilities. In addition, there are DOEonly experiments and partnerships with NSF and NASA. Support is provided for the experiments currently operating as listed
above as well as early operations planning for the next generation experiments currently in the design or fabrication phase. HEP
conducted a scientific peer review of Cosmic Frontier operations in early FY 2015 and findings from this review are being used tomonitor the experiments, and inform decisions concerning the level of operations support needed and whether to continue
specific activities in subsequent years. DOE support for operations of Auger, VERITAS, and the first generation dark matter direct
detection experiments is planned to be completed in FY 2016 and final data analyses will continue in FY 2017.
Projects
This activity supports design and fabrication of Cosmic Frontier projects, including major items of equipment (MIEs) as well as
development of small experiments and R&D for future experiments. The FY 2017 Budget Request supports the continued MIE
fabrication efforts on the three billion pixel precision camera for the Large Synoptic Survey Telescope (LSSTcam) project, which is
the DOE contribution to the NSF-led LSST Project, and design and fabrication efforts on the Dark Energy Spectroscopic
Instrument (DESI), which is being done in coordination with NSF. These dark energy projects will provide complementary
techniques using imaging (LSST) and spectroscopic (DESI) measurements to study the nature of dark energy. The FY 2017 Budget
Request also supports the DM-G2 MIE projects selected in FY 2014: LZ, which is in its fabrication phase, and SuperCDMSSNOLab, which is in its final design phase in FY 2017. These will provide second generation searches for dark matter using
complementary techniques to search for WIMPs in different mass ranges. Support for fabrication of the small-scale ADMX-G2
dark matter experiment and the SPT-3G CMB experiment ends in FY 2016 and will move to their operations phase in FY 2017.

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Cosmic Frontier Experimental Physics
Activities and Explanation of Changes
FY 2016 Enacted

FY 2017 Request

Cosmic Frontier Experimental Physics $130,582,000
Research $49,910,000
Research efforts support the currently operating or
recently-completed suite of cosmic-ray and highenergy gamma-ray telescope experiments, the suite of
DM-G1 experiments, and dark energy experiments
including DES, and eBOSS.

$130,069,000$49,934,000
The FY 2017 Budget Request supports research efforts
for data analyses on the currently operating or
recently completed experiments, as described above.

Research activities continue to support design,
fabrication and science planning for the next
generation of dark energy, dark matter and CMB
experiments, as well as R&D and science planning of
possible future experiments.
Facility Operations and Experimental Support$13,837,000
Operations support continues for experiments that arein the data-taking phase, including the AMS-II cosmicray experiment, the FGST and HAWC gamma-ray
experiments, and for imaging and spectroscopic darkenergy experiments including DES and eBOSS. Finaldata processing efforts continue while analyses arecompleted on experiments that have finished theirscience mission, including DM-G1 experiments, the
VERITAS gamma-ray experiment and the Pierre Auger
cosmic ray experiment.

Science/High Energy Physics

Research activities will continue to support design,
fabrication and science planning for the next
generation of dark energy, dark matter and CMB
experiments, as well as R&D and science planning of
possible future projects and experiments.

$9,935,000
Operations support will continue for experiments thatare in the data-taking phase, including AMS-II, HAWC,
FGST, DES, and eBOSS. SPT-3G and ADMX-G2 start
operations in FY 2017. Funding will support theexperiments currently operating as listed above as wellas early planning for the next generation experiments
currently in the fabrication phase.

195

Explanation of Changes
FY 2017 vs. FY 2016-$513,000+$24,000
Research efforts continue at a slightly increased levelto support the planning for calibration, simulation,science planning, and operation of new projects anddata analyses for operating or recently completed
experiments.

-$3,902,000
Support for the operation of several first generation
dark matter experiments ends in FY 2016. Other
Facilities activities decrease for Working Capital Fundto SC Program Direction, which are offset by increased
funding to support transitions to early operations
planning activities for future experiments, particularly
LSST.

FY 2017 Congressional Budget Justification

FY 2016 Enacted

FY 2017 Request

Projects $66,835,000
Funding is provided for LSSTcam according to its
approved baseline funding profile. The DESI and LZ
MIEs to study dark energy and dark matter,
respectively, are expected to be baselined in FY 2016.
The SuperCDMS-SNOLab MIE, to complement LZ in the
study of dark matter, will support design work towards
project baseline. Small projects below MIE thresholds
are also included.

$70,200,000
Fabrication activities will continue on the dark energy
MIE projects, including a ramp up on LSSTcam and the
DESI funding profile as planned. These projects will
provide complementary next-generation techniques
for studying dark energy. SuperCDMS-SNOLab is
expected to be baselined in FY 2017 and will enter its
final design phase. LZ will continue fabrication. The
program will also support a small effort on R&D anddevelopment efforts for future experiments.

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196

Explanation of Changes
FY 2017 vs. FY 2016+$3,365,000
The increase will support final design for theSuperCDMS-SNOLab MIE and fabrication for the MIE
projects, LSSTcam, DESI, and LZ, according to theirplanned profiles. Fabrication activities on the small
projects ADMX-G2 and SPT-3G were completed in
FY 2016. The increase will also support a small effort
on R&D and development efforts for future
experiments.

FY 2017 Congressional Budget Justification

High Energy Physics
Theoretical and Computational Physics
Description
The Theoretical and Computational Physics subprogram provides the mathematical, phenomenological, and computationalframework to understand and extend our knowledge of the dynamics of particles and forces, and the nature of space and time.
This research is essential for proper interpretation and understanding of the experimental research activities described in other
HEP subprograms.
Major research thrusts focus on the central science drivers for HEP as identified by the P5 report, intertwining the physics of the
Higgs boson, neutrino mass, and the dark universe along with exploring the unknown. Theory and computation cross-cut thescience drivers and the energy, intensity, and cosmic experimental frontiers.
This subprogram supports theoretical research ranging from detailed calculations of the predictions of the Standard Model tothe formulation and exploration of possible theories of new phenomena such as dark matter and dark energy and theidentification of experimental signatures that would validate these new ideas. This subprogram also supports computational
approaches to advance understanding of fundamental physical laws describing the elementary constituents of matter andenergy, including computational science and simulations for scientific discovery and computing and software tools to enable
and advance experimental and theoretical research at the three High Energy Physics frontiers.
TheoryThe HEP theory research activity supports groups at over 70 academic and research institutions supported by research grants
and seven national laboratory research groups. Both university and laboratory research groups play important roles inaddressing the leading research areas discussed above, with laboratory groups typically more focused on data-driven theoreticalinvestigations and model-building and university groups additionally focusing on formal or mathematical theory. Research
efforts are selected based on competitive peer review to maintain the activities with the highest scientific impact and potential.
Laboratory research groups are generally reviewed every three to four years. The most recent review in this subprogram washeld in 2014, and findings from this review are being used to inform the funding decisions in subsequent years.
Computational HEP
Computation is necessary at all stages of HEP experiments—from planning and constructing accelerators and detectors, totheoretical modeling, to supporting computationally intensive experimental research and large-scale data analysis. In addition,scientific simulation and advanced computing help extend the boundaries of scientific discovery to regions not directly
accessible by experiments, observations, or traditional theory. Computational HEP partners with the ASCR program on projects
that focus on HEP topics that benefit most strongly from advanced computational techniques, such as Scientific Discovery
through Advanced Computing (SciDAC) and the National Strategic Computing Initiative (NSCI). Computational HEP also supports
directed efforts to develop and maintain operations and R&D for some HEP specific computational tools and supports forwardlooking HEP computational research to address the challenges of evolving computer architectures and massive increases inscientific data.
Projects
The Projects activity currently funds acquisition and operation of dedicated hardware for the Lattice Quantum Chromodynamics(LQCD) computing effort. Since lattice techniques can address both nuclear and high energy physics topics, this program ismanaged in partnership with NP in order to avoid any duplication of effort. The LQCD Project provides dedicated computer
hardware for the simulation of the strong interaction of gluons and quarks in bound states. Within the HEP program, its goals aremost directly applicable to the Intensity and Energy Frontiers, and the results generated by its users are critical for theinterpretation of data from the HEP experimental program in these Frontiers. Based on strong peer reviews and following
recommendations in the P5 report, the LQCD project was extended in FY 2015 for a five-year period.

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Theoretical and Computational Physics
Activities and Explanation of Changes

Explanation of Changes
FY 2017 vs. FY 2016

FY 2016 Enacted

FY 2017 Request

Theoretical and Computational Physics $59,083,000
Theory $48,465,000
This activity funds research for university andlaboratory groups as well as the Particle Data Group.
Research proposals in the general topic areas
described above are selected based on peer review bytechnical experts.

$59,656,000$49,620,000
This activity will fund research for university andlaboratory groups as well as the Particle Data Group.
Research proposals in the general topic areas
described above are selected based on peer review bytechnical experts.

+$573,000+$1,155,000
Slight increase to maintain a thriving theory program
as recommended in the P5 report.

Computational HEP $8,618,000
This activity supports the research, development, andoperation of computational tools that enable scientificadvances in the HEP program. SciDAC projects selected
in FY 2015 will continue in FY 2016. Other ongoingprojects continue at approximately the same funding
level.

$8,036,000
This activity supports the research, development, andoperation of computational tools that enable scientificadvances in the HEP program. SciDAC will be recompeted in FY 2017 in partnership with ASCR.

-$582,000
HEP is expanding its cooperation with ASCR on
multiple computational projects and will rely less on
the SciDAC program. This results in a lower level offunding for SciDAC within a slightly reduced overallbudget.

Projects $2,000,000
FY 2016 funding plan includes acquisition of new
hardware as well as continued operations of the
LQCD.

$2,000,000
FY 2017 funding plan includes acquisition of new
hardware as well as continued operations.

$0Funding is provided according to the planned profile.

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High Energy Physics
Advanced Technology R&D
Description
The Advanced Technology Research and Development (R&D) subprogram fosters cutting-edge research in the physics of particle
beams, accelerator R&D, and particle detection—all of which are necessary for continued progress in high energy physics. New
developments are stimulated and supported through peer reviewed research. This subprogram supports and advances researchat all three experimental Frontiers.
Advanced Technology R&D includes particle accelerator, detector, and beam physics areas. Long-term multi-purpose accelerator
research, applicable to fields beyond HEP, is carried out under the Accelerator Stewardship subprogram.
HEP General Accelerator R&D
HEP General Accelerator R&D (GARD) focuses on understanding the science underlying the technologies used in particle
accelerators and storage rings, as well as the fundamental physics of charged particle beams. Long-term research goals include
developing technologies to enable breakthroughs in particle accelerator size, cost, beam intensity, and control.
Research activity is categorized into five thrust areas: accelerator and beam physics; advanced acceleration concepts; particle
sources and targetry; radiofrequency acceleration technology; and superconducting magnet and materials. GARD supports
research at seven DOE national laboratories and about 30 academic or other research institutions. Research topics areprioritized based on input from recent HEPAP subpanels and funding is awarded based on external competitive peer reviews.
The program also trains new accelerator physicists with approximately 50 graduate students supported per year throughresearch grants. Graduate level training for students and laboratory staff in areas of accelerator physics and technology is
supported in this program.
In the past six years, two accelerator R&D test facilities (BELLA at LBNL and FACET at SLAC) have been built and operated under
this subprogram to support research using plasmas to accelerate charged particles much more effectively than conventional
electromagnetic cavities. These techniques hold the promise of reducing the size of particle accelerators by approximately 90%,
making them considerably less expensive to build. The energy to drive the plasma can come either from lasers (as in BELLA) orelectron beams (as in FACET). Both techniques have successfully accelerated beams while maintaining good beam quality.
FACET will complete operations in FY 2016 to make way for LCLS-II. A new and more capable facility, FACET-II, will be in its
fabrication phase in FY 2017 using the kilometer linac section between LCLS and LCLS-II. FACET-II will continue the very
successful electron beam driven plasma accelerator program. Operations of the BELLA facility will continue in FY 2017.
In FY 2017, GARD will launch a new activity to revitalize education and innovation in the physics of particle accelerators for the
benefit of HEP and other SC programs that rely on these enabling technologies. A component of this program will allow graduate
students to participate in mentored accelerator research and technology development and enable leveraging the capabilities
and assets of DOE laboratories. HEP will hold a competition for a traineeship program to support the projected workforce
shortage. This will be aimed at a university/national laboratory consortium in order to provide the academic training andresearch experience needed to meet DOE’s anticipated workforce needs.
HEP Directed Accelerator R&D
HEP Directed Accelerator R&D supports strategic investments in innovative technologies for possible future HEP accelerator
projects, with proof-of-principle demonstrations, prototype component development, and advancing technical readiness. This
includes R&D and prototyping to bring new concepts to a stage of engineering readiness where they can be incorporated into
existing facilities or be applied to the design of new facilities. Research efforts within this activity are generally limited in timeand have concrete milestones associated with specific future accelerator facilities or technologies. The current components ofthe HEP Directed Accelerator R&D activity are the LHC Accelerator Research Program (LARP) and the Muon Accelerator Program(MAP).
LARP is carrying out R&D needed to produce prototypes for U.S. deliverables to the High Luminosity LHC (HL-LHC) that CERN isplanning to begin building late in this decade. The MAP program was created to carry out R&D on the feasibility of creating andaccelerating muon beams for either the production of neutrinos or a very high energy lepton collider. Following the P5 report,these applications are now seen as less scientifically compelling at this time. The Muon Accelerator Program is being ramped
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down, with FY 2017 being the last year of funding for this activity; some key elements with broad applications will be redirected
into General Accelerator R&D.
Detector R&D
Detector R&D addresses the need for continuing development of the next generation instrumentation and detectors at theEnergy, Intensity, and Cosmic Frontiers in order to maintain scientific leadership in a worldwide experimental program that is
broadening into new research areas. In order to meet this challenge, HEP maintains a program appropriately balanced between
evolutionary, near-term, low-risk detector R&D and revolutionary, long-term, high-risk detector R&D, while training the next
generation of experts. The program supports research into the fundamental physics underlying the interactions of particles andradiation in detector materials as well as the development of technologies that turn these insights into working detectors. This
activity supports research programs at five DOE national laboratories and about 20 academic research institutions, as well as
extensive test and fabrication facilities at three laboratories. Research efforts are selected based on competitive peer review tomaintain the activities with the highest scientific impact and potential. All laboratory research groups are reviewed every three
years. HEP conducted an external peer review of all laboratory research groups in this subprogram in 2012 and the next review
is planned for 2016.
Facility Operations and Experimental Support
This activity generally provides operations funding for proposal-driven accelerator R&D facilities like FACET at SLAC, as well asother laboratory experimental and test facilities, including BELLA at LBNL and superconducting RF and magnet facilities at
Fermilab. The SRF facilities are centralized at Fermilab due to the cost to build and operate them.
FACET, and its planned successor, FACET-II, provide very high energy beams of electrons and positrons for testing wakefield
acceleration and radiation production. BELLA provides the world’s highest repetition rate high-power laser for experiments inlaser plasma acceleration and the interaction of ultra-intense light with matter. Experiments at both BELLA and FACET haveshown increases in both acceleration gradients and precision of the beam control over the last several years.
The current priorities for the Fermilab accelerator test facilities are the programs to develop higher field magnets for the LHC(LARP), LCLS-II cryomodule production and testing, and R&D on a future upgrade of the Fermilab Accelerator Complex front end
linac.
HEP also supports test beams at SLAC and Fermilab for the testing of new detector concepts as well as detector fabrication
facilities like the Microsystem System Laboratory at LBNL and Silicon Detector (SiDET) Facility at Fermilab.
Projects
In FY 2017, initial equipment funding for the FACET-II MIE project is requested. A new shield wall in Sector 10 will be constructedto allow for FACET-II commissioning and operation during LCLS-II construction in Sectors 0-10.

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FY 2017 Congressional Budget Justification

Advanced Technology R&D
Activities and Explanation of Changes

Explanation of Changes
FY 2017 vs. FY 2016

FY 2016 Enacted

FY 2017 Request

Advanced Technology R&D $115,494,000
HEP General Accelerator R&D $46,722,000
The general portfolio of topics described in the
narrative above continues to be supported, but the
program adjusts the emphasis on each topic based on
the detailed recommendation from the HEPAP
Accelerator R&D Subpanel (report issued in April
2015 a) to optimize alignment with the P5 report.

$118,285,000$44,510,000
The program will adjust research topics based on therecommendations from the HEPAP Accelerator R&D
Subpanel (report issued in April 2015) to optimizealignment with the P5 report. A new traineeshipactivity will revitalize education and innovation in thephysics of particle accelerators for the benefit of HEP
and other SC programs that rely on these enabling
technologies.

+$2,791,000-$2,212,000
The program receives $1,000,000 to initiate a new
traineeship activity in the physics of particle
accelerators, but overall funding is down as priority
goes to P5 recommended projects.

HEP Directed Accelerator R&D $20,640,000
LARP increases effort to develop a prototype
superconducting quadrupole magnets with the large
apertures needed to increase luminosity at the LHC.
MAP effort will be ramping down as recommended by
P5 according to a detailed ramp-down plan which wasdeveloped in FY 2015.

$21,500,000
LARP will increase efforts to develop a prototype
superconducting quadrupole magnets with the large
apertures needed to increase luminosity at the LHC.
MAP effort will ramp down as recommended by P5
according to a detailed ramp-down plan which wasdeveloped in FY 2015.

+$860,000
Reductions due to the ramp down of MAP effort areoffset by an increase in LARP superconducting magnet
effort to meet schedule for delivery of magnet
prototypes.

Detector R&D $16,282,000
Research activities continue at U.S. universities andnational laboratories, with resources continuing toshift towards near-term requirements of the highpriority efforts and towards strengthening theuniversity activities, as recommended in the P5 report.
Facility Operations and Experimental Support$29,750,000
Support for operation of BELLA and SRF Infrastructure
continues. This program provides support forsuperconducting magnet fabrication and test facilities.
FACET is supported at a reduced level due to a shorterrun dictated by a shutdown for LCLS-II construction.

$17,350,000
Research activities will continue at U.S. universities
and national laboratories, with resources shifted
towards near-term requirements of the high-priority
efforts and towards strengthening the university
efforts, as recommended in the P5 report.

+$1,068,000
Detector research activities will receive modest
support while focus remains on the high priority
activities recommended in the P5 report.

$26,925,000
Support for operation of BELLA, SC magnet test facility
and SRF test facilities continues. FACET ceased
operation in FY 2016 due to LCLS-II construction
removing part of the linac used by FACET.

-$2,825,000
The reduction is dominated by the end of funding forthe operation of FACET.

a

http://science.energy.gov/~/media/hep/hepap/pdf/Reports/Accelerator_RD_Subpanel_Report.pdf
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FY 2016 Enacted

FY 2017 Request

Projects $2,100,000
Mission Need (CD-0) for the FACET-II MIE project wasapproved in September 2015, and the project will
begin receiving funding for Other Project Costs in
FY 2016.

$8,000,000
The FACET-II project will begin fabrication with
$5,000,000 of equipment funding and $3,000,000 forother project costs. FACET-II will continue the very
successful program started by FACET. The larger andhigher priority LCLS-II project sponsored by BES istaking over the first third of the SLAC linac. FACET-II
will be designed to use only the middle third of the
SLAC linac.

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202

Explanation of Changes
FY 2017 vs. FY 2016+$5,900,000
Increase supports the FACET-II project.

FY 2017 Congressional Budget Justification

High Energy Physics
Accelerator Stewardship
Description
This subprogram stewards accelerator science & technology through three principal activities: improving access to SC accelerator
R&D infrastructure for industrial and other users; near-term translational R&D to adapt accelerator technology for medical,
industrial, security, defense, energy and environmental applications; and long-term R&D for the science and technology needed
to build future generations of accelerators. HEP manages this program in close consultation with other SC programs, including
NP and BES, and in consultation with other federal stakeholders of accelerator technology, most notably NSF, the Department of
Defense, and the National Institutes of Health.
Accelerator Stewardship pursues targeted R&D to develop new uses of accelerator technology with broad applicability. Initial
workshops and a request for information identified three target application areas with broad impact: accelerator technologies
for ion beam therapy of cancer, laser technologies for accelerators, and energy and environmental applications of accelerators.
As the program evolves, new cross-cutting areas of research will be identified based on input from the federal stakeholders, R&D
performers, and U.S. industry.
HEP and other SC programs will continue to conduct programmatic near- and mid-term R&D on accelerator and beam physics
issues related to the scientific facilities they operate. This subprogram will not replace or duplicate those R&D efforts, which are
driven by specific science goals and program priorities.
ResearchResearch funding supports activities that have been identified for applications in areas broader than just HEP. Research is
conducted at national laboratories, universities, and in industry. The stewardship program supports both near-term translational
R&D and long-term basic accelerator R&D.
Near-term R&D funding is structured to produce practical prototypes of new applications in five to seven years. The needs forapplications chosen for this category have been specifically identified by federal stakeholders and developed further byworkshops. Near-term R&D funding opportunities are specifically structured to strengthen academic-industrial collaboration.
Long-term R&D funding is targeted at scientific innovations enabling breakthroughs in particle accelerator size, cost, beam
intensity, and control.
Facility Operations and Experimental Support
The Accelerator R&D Stewardship subprogram supports facility operations through two mechanisms: a dedicated Accelerator
Stewardship facility (the BNL ATF) and the Accelerator Stewardship Test Facility Pilot Program, which provides seed funding toengage a broader user community, including industry users, at SC national laboratories.
The BNL ATF is a low-power electron and laser test facility dedicated to accelerator studies. Experiments at the BNL ATF study
the interactions of high power electromagnetic radiation and high brightness electron beams, including free-electron lasers andlaser acceleration of electrons and the development of electron beams with extremely high brightness, photo-injectors, electron
beam and radiation diagnostics and computer controls. Beam time at the BNL ATF is awarded based on a merit-based peer
review process. The BNL ATF was formally designated as an SC User Facility in FY 2015.
The Accelerator Stewardship Test Facility Pilot Program was launched in FY 2015 and provides operations support for nontraditional users to access accelerator test infrastructure at DOE’s SC national laboratories. Unlike the SC user facilities, this classof SC assets is frequently unseen and underexploited by the broader community. A public portal a has been created, and public
outreach events held at six national laboratories in the winter/spring of 2015 reached more than 450 participants. The broader
community was made aware of these facilities, and laboratories subsequently submitted seed-funding proposals for limitedscale use of these facilities. Experience from the pilot program will inform the implementation of a long-term mechanism formaking the SC’s unique accelerator test facilities more available.

awww.acceleratoramerica.org
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Accelerator Stewardship
Activities and Explanation of Changes
FY 2016 Enacted
Accelerator Stewardship $9,000,000
Research $3,378,000
Research activities continue at laboratories,
universities, and in industry. As funds allow, theprogram initiates research support for selected
technology areas such as energy & environmental
applications of accelerators, as identified by SC
workshops.
Facility Operations and Experimental Support$5,622,000
Support continues for ATF operations, continuation of
the Accelerator Test Facility Pilot Program, and thecompletion of the relocation of the ATF to a larger
building.

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FY 2017 Request

Explanation of Changes
FY 2017 vs. FY 2016

$13,744,000$6,853,000
The Request will continue to support research
activities at laboratories, universities, and in industry
for technology R&D areas such as laser, ion-beamtherapy, and accelerator technology for energy andenvironmental applications.

+$4,744,000+$3,475,000
Research funding increases to support targeted R&D
efforts to develop new uses of accelerator technology
with broad applicability.

$6,891,000
The Request will support ATF user facility operations
and the continuation of the Accelerator Stewardship
Test Facility Pilot Program.

+$1,269,000
The facilities request in FY 2017 increases as the BNLATF relocation to a larger building reaches a peak yearof activity. The Accelerator Stewardship Test Facility
Pilot Program is expanded.

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High Energy Physics
SBIR/STTR
Description
The SBIR/STTR amount is adjusted to mandated percentages for non-capital funding.
Activities and Explanation Changes
FY 2016 Enacted
SBIR/STTR $20,897,000
In FY 2016, SBIR/STTR funding is set at3.45% of non-capital funding.

Science/High Energy Physics

FY 2017 Request$22,580,000
In FY 2017, SBIR/STTR funding is set at3.65% of non-capital funding.

205

Explanation of Changes
FY 2017 vs. FY 2016+$1,683,000
The SBIR/STTR amount is adjusted to
mandated percentages for non-capitalfunding.

FY 2017 Congressional Budget Justification

206

High Energy Physics
Construction
Description
This subprogram supports all line item construction for the entire HEP program. All Total Equipment Costs (TEC) are funded inthis subprogram, including both engineering design and construction.
Mu2e, under construction at Fermilab, will be an important component of the Intensity Frontier subprogram. It will utilize aproton beam to produce muons and determine whether those muons, on rare occasions, can transform into electrons inapparent violation of lepton flavor symmetry. Evidence of muon to electron flavor change would further probe physics beyond
the Standard Model at very high energy scales.
The project received approval for its performance baseline (Critical Decision CD-2) and for civil construction and long-leadprocurement of the most challenging superconducting solenoid magnets (Critical Decision CD-3B) on March 4, 2015. Civil
construction was initiated shortly thereafter. The Mu2e Project will complete its technical design phase in FY 2016 and move intofull construction at that time. FY 2017 construction funds will be used to modify the Fermilab accelerator complex to delivermuons to Mu2e, to fabricate the two remaining superconducting solenoid magnets, and to fabricate the particle detection
systems for Mu2e.
The Long Baseline Neutrino Facility and its associated Deep Underground Neutrino Experiment (LBNF/DUNE) will study thetransformations of muon neutrinos that occur as they travel to a large detector in South Dakota, 800 miles away from Fermilab
where they are produced in a high-energy beam. The experiment will analyze the rare, flavor-changing transformations ofneutrinos in flight, from one lepton flavor to another, which are expected to help explain the fundamental physics of neutrinos
and the matter-antimatter asymmetry of the universe.
DOE implemented the recommendations from the P5 report during FY 2015 by assessing and evaluating opportunities toincorporate in-kind contributions from international collaborators. The non-DOE scope is expected to focus on modular
components of the accelerator beam and neutrino detectors. DOE scope is expected to incorporate all civil construction
activities including excavation for large modular neutrino detectors, as well as integration and operation of the accelerator beamand detectors. The reformulated, international program is now identified jointly as LBNF/DUNE.
HEP proposes to use the successful management model of the LHC in delivering the long baseline neutrino program. Fermilab
would lead the construction of the LBNF project and will be responsible for design, construction, and operation of the LBNF
beamline; design, construction, and operation of the conventional facilities and experiment infrastructure on the Fermilab siterequired for the near detector; and design, construction, and operation of the conventional facilities and experimentinfrastructure at SURF, including the cryostats and cryogenics systems, required for the far detector.
The Deep Underground Neutrino Experiment (DUNE) is a new international collaboration that has formed to carry out theneutrino experiment enabled by the LBNF facility. The DUNE collaboration will be responsible for: the definition of the scientificgoals; the design, construction, commissioning, and operation of the near detector at Fermilab and the far detectors at the
SURF; and the scientific research program conducted with the DUNE detectors. The DUNE collaboration currently consists ofabout 750 physicists from nearly 150 institutes from 26 different countries. Each of the collaborating institutions will be
responsible for delivering in-kind detector components that they have proven to have the expertise to build and install.
Presently, the DOE contribution to the detectors will be a minority portion of the scope.
All DOE contributions to LBNF/DUNE will be managed according to the SC’s implementation of DOE O413.3B. Fermilab, in its roleas the host, will oversee all LBNF/DUNE construction. Fermilab’s oversight of the neutrino detectors includes technicalcoordination to ensure the various pieces will fit and operate together and arrive on time. The technical coordination group will
document all work scope assignments, maintain a schedule, and provide design, production readiness, and operational
readiness reviews in cooperation with the collaboration. This process follows the practice, systems, and procedures at CERN for
the LHC detectors.
The reformulated and integrated project plan for the LBNF/DUNE project was reviewed successfully in July 2015 by a DOE
Independent Cost Review (ICR) and a DOE Independent Project Review (IPR). The DOE ESAAB refreshed the approval for CD-1 on
November 5, 2015, with a revised TPC cost range of $1,255,000,000 to $1,727,000,000 and a TPC point estimate of
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FY 2017 Congressional Budget Justification

$1,500,000,000 based on the new conceptual design. The revised scope and outyear funding projections have pushed the CD-4
date to FY 2030.
The critical path item for LBNF/DUNE is excavation of the equipment caverns. Installation of the cryogenic systems and detectors
cannot start until the caverns are ready. Before excavation can begin, critical site preparations are needed such as safety andreliability refurbishments for the underground infrastructure as well as a waste-rock handling system. This work will start withfunding received in FY 2016. The FY 2017 Request would support continuing these site preparation activities as well as initiating
civil construction for excavation of the underground equipment caverns beginning in late FY 2017.
Approval of a new Critical Decision, CD-3A, is needed for the excavation work planned for a FY 2017 start. Approval is anticipatedin FY 2016 based on strong positive recommendations from a DOE ICR and an IPR, both of which were convened simultaneously
at SURF on December 2-4, 2015.

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FY 2017 Congressional Budget Justification

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

Science/High Energy Physics

Explanation of Changes
FY 2017 vs. FY 2016

FY 2017 Request$88,521,000+$22,421,000$45,021,000
TEC funding is requested to continue technical designof the facility and the experiment. The design ofcryogenic infrastructure is the next part of the facility
design that needs to be completed. The Request
includes funding to continue site preparation andinitiation of underground excavation of the large
caverns for the neutrino detectors.

+$19,021,000
The increased TEC funding will support continued site
preparation and the start of the excavation of caverns
for the neutrino detectors and cryogenic infrastructure.

$43,500,000
The Request includes funding to finish civil
construction and continue accelerator modifications
and fabrication of technical components (solenoid
magnets and particle detectors).

+$3,400,000
Funding is increased according to the planned funding
profile as construction continues.

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FY 2017 Congressional Budget Justification

High Energy Physics
Performance Measures
In accordance with the GPRA Modernization Act of 2010, the Department sets performance targets for, and tracks progress toward, achieving performance goals foreach program. The following table shows the performance targets for FY 2015 through FY 2017. Details on the Annual Performance Report can be foundat http://energy.gov/cfo/reports/annual-performance-reports.
Performance
Goal (Measure)
TargetResultEndpoint Target

2015
2016
2017
HEP Facility Operations—Average achieved operation time of HEP user facilities as a percentage of total scheduled annual operation time
≥ 80%
≥ 80%
≥ 80%
Met
TBD
TBD
Many of the research projects that are undertaken at the SC’s scientific user facilities take a great deal of time, money, and effort to prepare andregularly have a very short window of opportunity to run. If the facility is not operating as expected the experiment could be ruined or criticallysetback. In addition, taxpayers have invested millions or even hundreds of millions of dollars in these facilities. The greater the period of reliable
operations, the greater the return on the taxpayers’ investment.

Performance
Goal (Measure)
TargetResultEndpoint Target

HEP Construction/MIE Cost & Schedule— Cost-weighted mean percentage variance from established cost and schedule baselines for major
construction, upgrade, or equipment procurement projects
< 10%
< 10%
< 10%
Met
TBD
TBD
Adhering to the cost and schedule baselines for a complex, large scale, science project is critical to meeting the scientific requirements for the project
and for being good stewards of the taxpayers’ investment in the project.

Performance
Goal (Measure)
TargetHEP Neutrino Model—Carry out series of experiments to test the standard 3-neutrino model of mixing

ResultEndpoint Target

Physics analyses results from the first year of datataking with the full detector were presented by the
NOvA and MicroBooNE experimental collaborations
at the FY 2015 summer conferences.

Determine based on the data taken with
NOvA, whether it is appropriate to switch to
taking antineutrino data. This should be basedon a proposal from the NOvA Collaborationand evaluated by the Fermilab Program
Advisory Committee.
Not MetTBD
TBD
Similar to quarks, the mixing between neutrinos is postulated to be described by a unitary matrix. Measuring the independent parameters of thismatrix in different ways and with adequate precision will demonstrate whether this model of neutrinos is correct. Such a model is needed to correctly
extract evidence for matter-antimatter asymmetry in the neutrino sector.

Science/High Energy Physics

Physics analyses results of data taking with thefull detector will be presented by the NOvA
and MicroBooNE experimental collaborations
at the FY 2016 summer conferences.

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FY 2017 Congressional Budget Justification

High Energy Physics
Capital Summary ($K)
Total
Capital Operating Expenses Summary
Capital equipment
General plant projects (GPP)
Accelerator improvement projects (AIP) (<$5M)
Total, Capital Operating Expenses
Capital Equipment
Major items of equipment a
Energy Frontier Experimental Physics
LHC ATLAS Detector Upgrades b
LHC CMS Detector Upgrades c
Intensity Frontier Experimental Physics
Belle II d
Muon g-2 Experiment e
Cosmic Frontier Experimental Physics
Large Synoptic Survey Telescope Camera (LSSTcam) f
Dark Energy Spectroscopic Instrument g (DESI)LUX-ZEPLIN h (LZ)SuperCDMS-SNOlab i
Advanced Technology R&D
FACET II
Total MIEsaPrior Years

FY 2015
EnactedFY 2015
Current

FY 2016
EnactedFY 2017
RequestFY 2017 vs.
FY 2016

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

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

74,452
12,46312,75099,66561,455
12,463
12,40086,318104,325
9,160
9,700
123,185

99,0467,400
4,400
110,846-5,279-1,760-5,300-12,339

20,821
22,629

0
0

7,500
7,500

2,821
5,162

9,500
9,500

8,500
7,967

-1,000-1,5338,870
27,549

7,900
2,000

970
8,000

970
9,000

0
10,20006,349

0-3,851

150,300
46,13746,55014,725

19,70000035,000250
250
250

35,000500500
040,8009,800
10,5002,375

45,0009,000
10,5004,000+4,200-800
0+1,62541,500
n/a

0
n/a

0
59,720053,9530
92,6755,000
96,316+5,000+3,641Each MIE located at a DOE facility Total Estimated Cost (TEC) > $5M and each MIE not located at a DOE facility TEC > $2M
Critical Decisions CD-2 and 3 for the LHC ATLAS Detector Upgrade Project were approved on November 12, 2014. The TPC is $33,250,000.
cCritical Decisions CD-2 and 3 for the LHC CMS Detector Upgrade Project were approved on November 12, 2014. The TPC is $33,217,000.
dCritical Decision CD-2 and 3 for Belle II were approved on April 23, 2014. The TPC is $15,000,000.
eCritical Decision CD-2 and 3 for Muon g-2 Experiment were approved August 20, 2015. The TPC is $46,400,000.
fCritical Decision CD-3 for the LSSTcam project was approved on August 27, 2015. The TPC is $168,000,000.
g
Critical Decision CD-2 for DESI project was approved on September 17, 2015. The TPC is $56,328,000. Approval of Critical Decision CD-3 is expected in FY 2016.
h
The LZ project MIE was one of two MIEs selected to meet the Dark Matter Second Generation Mission Need. CD-1 and -3A were approved April 24, 2015. The project is
expected to be baselined in FY 2016. The estimated cost range at CD-1 was $46,000,000-$59,000,000.
i
The SuperCDMS-SNOlab MIE was one of two MIEs selected to meet the Dark Matter Second Generation Mission Need. CD-1 was approved on December 21, 2015. The
estimated cost range at CD-1 was $16,000,000–$21,500,000. The project expects to be baselined in 2017.
Science/High Energy Physics
FY 2017 Congressional Budget Justification211b

Total Non-MIE Capital Equipment
Total, Capital equipment

n/a
n/a

n/a
n/a

FY 2015
Enacted14,73274,452

General Plant Projects (GPP)
MC-1 Building
Muon Campus Beamline Enclosure
Short Baseline Neutrino Far Hall
Short Baseline Neutrino Near Hall
Industrial Center Building addition
Other projects under $5 million TEC
Total, Plant Project (GPP)

9,500
8,700
9,800
5,350
7,513
n/a
n/a

9,000
4,100
1,000 a
0
0
n/a
n/a

500
4,600
6,287
0
0
1,076
12,463

500
4,600
5,298
2,050
0
15
12,463

0
0
3,502
3,300
0
2,358
9,160

0
0
0
0
6,750
650
7,400

0
0
-3,502-3,300+6,750-1,708-1,760Accelerator Improvement Projects (AIP)
Muon Campus Cryogenics
Recycler RF Upgrades
Beam Transport
Delivery Ring
ATF-II Upgrade
ATF-II Experimental Area
Other projects under $5 million TEC
Total, Accelerator Improvement Projects

9,600
9,200
6,500
9,100
5,000
8,500
n/a
n/a

6,200
1,400
2,700
1,900
2,200
0
n/a
n/a

1,300
3,800
3,700
3,300
650
0
0
12,750

1,300
3,800
3,700
3,300
300
0
0
12,400

700
4,000
100
3,900
1,000
0
0
9,700

1,400
0
0
0
1,500
1,500
0
4,400

+700
-4,000-100-3,900+500+1,5000-5,300

Total

Prior Years

FY 2015
Current
7,502
61,455FY 2016
Enacted
11,650104,325

FY 2017
Request
2,730
99,046

FY 2017 vs.
FY 2016-8,920-5,279aUpdated information is consistent with the project profile.
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FY 2017 Congressional Budget Justification

Major Items of Equipment Descriptions
Energy Frontier Experimental Physics MIEs:
The ATLAS Detector Upgrade Project started as a new MIE in FY 2015 and subsequent ramp-up of fabrication activities for U.S.
built detectors systems is planned in FY 2016. The U.S. scope includes upgrades to the muon subsystem, the liquid argon
calorimeter detector, and the trigger and data acquisition system to take advantage of the increased LHC luminosity. The LHC
ATLAS Detector Upgrade Project received CD-1, Approve Alternative Selection and Cost Range, on October 17, 2013, with anestimated cost range of $32,200,000 to $34,500,000. The project was baselined (CD-2) and approved for a fabrication start (CD3) on November 12, 2014, with a total project cost of $33,250,000 and planned completion date (CD-4) in FY 2019. The FY 2017
Request of TEC funding for the ATLAS Detector Upgrade Project is $8,500,000, which is $1,000,000 lower than the FY 2016
Enacted level of $9,500,000 and consistent with the approved baseline funding profile.
The CMS Detector Upgrade Project started as a new MIE in FY 2015 and subsequent ramp up of fabrication activities for U.S.
built detector systems is planned in FY 2016. The planned U.S. scope includes upgrades to the pixelated Inner tracking detector,
the hadron calorimeter detector, and trigger system to take advantage of the increased LHC luminosity. The LHC CMS Detector
Upgrade Project received CD-1, Approve Alternative Selections and Cost Range on October 17, 2013, with an estimated cost
range of $29,200,000 to $35,900,000. The project was baselined (CD-2) and approved for a fabrication start (CD-3) on November
12, 2014, with a total project cost of $33,217,000 and planned completion date (CD-4) in FY 2020. The FY 2017 Request of TEC
funding for the CMS Detector Upgrade Project is $7,967,000, which is $1,533,000 lower than the FY 2016 Enacted level of$9,500,000 and consistent with the approved baseline funding profile.
Intensity Frontier Experimental Physics MIEs:
The Belle II project is fabricating detector subsystems for the upgraded Belle detector located at the Japanese B-Factory, which iscurrently being upgraded to deliver much higher luminosity. U.S. groups are making key contributions to the particle
identification systems. CD-2/3 was approved April 23, 2014 with a TPC of $15,000,000 and a project completion date of
September 30, 2016. No fabrication funding is requested for Belle II in FY 2017.
The Muon g-2 project will fabricate an experiment that seeks to improve the measurement of the muon anomalous magnet
moment, which is sensitive to new physical interactions such as supersymmetry. The project will repurpose a storage ring from aprevious experiment at BNL with upgraded detectors located at Fermilab in order to utilize the high intensity proton beam
available there to produce the needed muons. CD-1 was approved on December 19, 2013, with a TPC range of $43,000,000 to$50,100,000. The Muon g-2 Project was baselined and CD-2 & 3 were approved August 20, 2015, with a TPC of $46,400,000 andplanned completion date (CD-4) in FY 2019. Transfer of the BNL storage ring to Fermilab occurred in FY 2013. New
instrumentation for the storage ring will be provided, in part, by in-kind contributions from non-DOE sources including NSF. The
FY 2017 Request of TEC funding for Muon g-2 is $6,349,000, which is $3,851,000 lower than the FY 2016 Enacted level of$10,200,000 and consistent with the approved baseline funding profile.
Cosmic Frontier Experimental Physics MIEs:
The Large Synoptic Survey Telescope Camera (LSSTcam) project fabricates a state-of-the-art three billion pixel digital camera fora next-generation, wide-field, ground-based optical and near-infrared LSST observatory, located in Chile, and is designed toprovide deep images of half the sky every few nights. The project is carried out in collaboration with NSF, which leads the
project, along with private and foreign contributions. DOE will provide the camera for the facility. CD-2 for the LSSTcam project
was approved January 7, 2015, with a DOE TPC of $168,000,000 and a completion date of FY 2022. CD-3 was approved on
August 27, 2015. The FY 2017 Request of TEC funding for the LSSTcam is $45,000,000, which is $4,200,000 higher than the
FY 2016 Enacted level of $40,800,000 and consistent with the approved baseline funding profile.
The Dark Energy Spectroscopic Instrument (DESI) project started fabrication in FY 2015. The project is fabricating an instrumentthat will measure the effect of dark energy on the expansion of the universe using spectroscopic measurements. The DESI survey
will provide different, complementary measurements to those of the LSST survey. The instrument will be mounted on NSF’s
Mayall 4-meter telescope at Kitt Peak National Observatory in Arizona, with operations of the telescope supported by DOE. CD-2
was approved on September 17, 2015 with a TPC of $56,328,000, and a completion date of FY 2021. A review in preparation forCD-3 is scheduled for May 2016. The FY 2017 Request of TEC funding for DESI is $9,000,000, which is $800,000 lower than the
FY 2016 Enacted level of $9,800,000 and consistent with the approved baseline funding profile.
The LUX-ZEPLIN (LZ) project started MIE fabrication in FY 2015. This MIE is one of two selected to meet the Dark Matter Second
Generation Mission Need and the concept for the experiment was developed by a merger of the LUX and ZEPLIN collaborations
Science/High Energy Physics

213

FY 2017 Congressional Budget Justification

from the U.S. and the U.K. respectively. The project will fabricate a detector using seven tons of liquid xenon inside a Time
Projection Chamber (TPC) to search for xenon nuclei that recoil in response to collisions with an impinging flux of dark matterparticles known as Weakly Interacting Massive Particles (WIMPs). The detector will be located 4,850 feet deep in the Sanford
Underground Research Facility (SURF) in Lead, South Dakota. CD-1 was approved in April 28, 2015, together with CD-3a for longlead procurement of photomultiplier tubes. CD-2 and CD-3b are planned for Q3 of FY 2016 with project completion (CD-4) in
FY 2021. The FY 2017 Request of TEC funding for LZ is $10,500,000, which is flat with the FY 2016 Enacted level and consistent
with the preliminary baseline funding profile.
The Super Cryogenic Dark Matter Search at Sudbury Neutrino Observatory Laboratory (SuperCDMS-SNOLab) project is a new
MIE fabrication start in FY 2016. This MIE is one of two selected to meet the Dark Matter Second Generation Mission Need. The
project will fabricate an instrument that uses ultra-clean, cryogenically-cooled silicon (Si) and germanium (Ge) detectors tosearch for Si or Ge nuclei recoiling in response to collisions with WIMPs. The detector will be located 2 km deep in the SNOLabfacility in Sudbury, Ontario, Canada. CD-0 was approved in August 2012. CD-1 was approved on December, 21, 2015, and CD-2 isplanned for FY 2017. SuperCDMS will be optimized to detect low mass WIMPs and will cover a range of WIMP mass that LZ is notsensitive to. The FY 2017 Request of TEC funding for SuperCDMS-SNOLab is $4,000,000, which is $1,625,000 higher than the
FY 2016 Enacted level of $2,375,000 and consistent with the preliminary baseline funding profile.
Advanced Technology R&D MIE:
The Facility for ACcelerator and Experimental Tests II (FACET-II) is a new MIE fabrication start in FY 2017. It will succeed FACET as
the world’s premier beam driven plasma wakefield facility and provide intense ultra-short electron beams for other applicationsin accelerator and related sciences. The successful FACET program is ending due to the construction of the Linac Coherent Light
Source II in a portion of the SLAC tunnel used by FACET. FACET-II will be designed to deliver the needed beams using only one
third of the linac. The Mission Need Statement was signed August 24, 2015, and CD-0 was approved September 18, 2015. CD-1
was approved December 21, 2015. The FY 2017 Request of TEC funding for FACET-II is $5,000,000, which is consistent with theproposed funding profile.

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FY 2017 Congressional Budget Justification

High Energy Physics Construction Project Summary ($K)
Total

Prior Years

FY 2015
EnactedFY 2015
Current

FY 2016
EnactedFY 2017
RequestFY 2017 vs.
FY 201611-SC-40, Long Baseline Neutrino
Facility/Deep Underground Neutrino
Experiment
TEC
OPC
TPC

1,414,461
85,5391,500,000

23,78175,53999,32012,00010,00022,00012,00010,00022,00026,000026,00045,021045,021+19,0210+19,02111-SC-41, Muon to Electron Conversion
Experiment
TEC
OPC
TPC

250,000
23,677
273,677

67,00023,677
90,67725,000025,00025,000025,00040,100040,10043,500043,500+3,4000+3,400

n/a
n/a
n/a

n/a
n/a
n/a

37,00010,00047,00037,00010,00047,00066,100066,10088,521088,521+22,4210+22,421

Total, Construction
TEC
OPC
TPC

Funding Summary ($K)
Research
Facilities Operations
Scientific User Facilities Operations
Other Facilities
Total, Facilities Operations
Projects
Major Items of Equipment a
Other Projects
Constructiona
Total, Projects
Total, High Energy Physics

FY 2015 Enacted
358,177

FY 2015 Current
334,225

FY 2016 Enacted
348,286

FY 2017 Request
353,703

FY 2017 vs. FY 2016
+5,417150,798
114,327
265,125

144,173
120,461
264,634

138,882
116,097
254,979

136,472
115,565
252,037-2,410-532-2,942

72,37323,32547,000142,698
766,000

73,14826,22547,000146,373745,232

95,90011,72084,115
191,735
795,000

102,816
5,700
103,741
212,257
817,997+6,916-6,020+19,626+20,522+22,997aIncludes Other Project Costs.
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FY 2017 Congressional Budget Justification

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

TYPE A FACILITIES
Fermilab Accelerator Complex
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours

Science/High Energy Physics

FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request

FY 2017 vs.
FY 2016$141,738
2,200
TBD
4,200
4,200
100.0%
TBD$134,613
1,925
4,866
4,200
4,200
115.9%
882$129,282
2,310
N/A
4,800
4,800
100.0%
N/A$130,781
2,310
N/A
4,800
4,800
100.0%
N/A+$1,499
0
N/A
0
0
N/A
N/A

216

FY 2017 Congressional Budget Justification

FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request

FACET (SLAC)
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$9,060
155
TBD
5,176
5,176
100.0%
TBD$9,560
155
3,439
5,176
5,176
66.4%
530

$5,100
52
N/A
1,482
4,448
33.3%
N/A

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

FY 2017 vs.
FY 2016-$5,100-52
N/A-1,482-4,448
N/A
N/A

Accelerator Test Facility (BNL)
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours

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

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

$4,500
50
N/A
2,400
2,500
96.0%
N/A

$5,691
52
N/A
1,800
1,825
98.6%
N/A

+$1,191
+2
N/A
-600
-675
+2.6%
N/A

Total Facilities
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent of optimal hours a
Unscheduled downtime hours$150,798
2,355
TBD
9,376
9,376
100.0%
TBD$144,173
2,080
8,305
9,376
9,376
112.6%
1,412$138,882
2,412
N/A
8,682
11,74897.4%
N/A$136,472
2,362
N/A
6,600
6,625
99.9%
N/A

-$2,410-50
N/A-2,082-5,123
+2.5%
N/A

a

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

Science/High Energy Physics

217

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

FY 2017 Congressional Budget Justification

Scientific Employment

Number of permanent Ph.D.’s (FTEs)
Number of postdoctoral associates (FTEs)
Number of graduate students (FTEs)
Other aFY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Estimate

905
370
485
1,880

915
375
500
1,805

900
365
475
1,915

900
375
480
1,895

FY 2017 vs.
FY 2016
0
+10
+5
-20

a

Includes technicians, engineers, computer professionals, and other support staff.
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218

FY 2017 Congressional Budget Justification

11-SC-40, Long Baseline Neutrino Facility/Deep Underground Neutrino Experiment (LBNF/DUNE),
Fermi National Accelerator Laboratory, Batavia, Illinois
Project is for Design and Construction
1.

Significant Changes and Summary

Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2016 CPDS and does not include a new start for FY 2017.
The Project 11-SC-40, the Long Baseline Neutrino Facility (LBNF), is being renamed as the Long Baseline Neutrino
Facility/Deep Underground Neutrino Experiment (LBNF/DUNE). The FY 2017 Request for LBNF/DUNE is $45,021,000,$19,021,000 more than the FY 2016 Enacted level of $26,000,000 and consistent with the preliminary cost profile approvedat the CD-1 refresh.
The Particle Physics Project Prioritization Panel (P5) of the High Energy Physics Advisory Panel (HEPAP), in its 2014 Strategic
Plan for U.S. Particle Physics in the Global Context report, recommended:“The [LBNF] should be reformulated under the auspices of a new international collaboration, with Fermilab as
host. There should be international participation in defining the program’s scope and capabilities. The experimentshould be designed, constructed, and operated by the international collaboration. The goal should be to achieve,and even exceed if physics eventually demands, the target requirements through the broadest possible
international participation.”
HEP’s implementation of the P5 recommendation to reformulate the long baseline neutrino program in an international
context has resulted in the formation of two multinational, collaborative efforts—LBNF, which will construct the beamline
at Fermilab and other experimental and civil infrastructure at Fermilab and at the Sanford Underground Research Facility(SURF); and the Deep Underground Neutrino Experiment (DUNE), an international experimental collaboration that isdefining and implementing the scientific goals and technical requirements for the beamline, detectors and research
program to be conducted at the LBNF facility. HEP proposes to manage both activities as a single project—LBNF/DUNE –and will use the successful Large Hadron Collider (LHC) management model for the collaborations.
LBNF, the host facility that will produce the neutrinos and house the experimental apparatus (neutrino detectors), will bebuilt by Fermilab and a small number of international partners. The experimental apparatus, DUNE, will be built jointly by alarge international collaboration (currently from 144 institutions in 26 countries). The DOE contributions to LBNF and DUNE
together comprise a single project in terms of DOE Order 413.3B. Consequently, the DOE project’s name has been
expanded to the “Long Baseline Neutrino Facility/Deep Underground Neutrino Experiment” (LBNF/DUNE). As host of the
LBNF facility, DOE will provide the majority contribution to the LBNF facility and will provide a minority contribution to the
DUNE international detector apparatus.
This management arrangement where a host facility provides by a major laboratory and detectors are provided by large
collaborations is a very close match to the highly successful LHC model and its massive particle detectors at CERN. As thelead laboratory in the U.S., Fermilab was a major partner to CERN, providing key components to the LHC facility anddetectors. U.S. scientists and engineers held key management and technical positions at CERN over the many years leading
up to the Higgs discovery. Analogously, the construction of LBNF will be led by Fermilab, while the construction of thedetectors will led by an international collaboration, supported by CERN, with Fermilab providing oversight andcoordination. There will be two distinct management organizations to ensure effective execution by the partners in each.
All DOE contributions to the facility and the detectors will be managed according to DOE Order 413.3B, and Fermilab will
provide unified project reporting on both facets of the project.
Fermilab will be responsible for the design, construction, and operation of the major aspects of the LBNF facility: theneutrino beam, conventional civil facilities (including buildings and underground caverns), and technical infrastructure(including conventional civil construction, cryostats and cryogenic systems) required for the detectors.
Science/High Energy Physics/11-SC-40,
Long Baseline Neutrino Facility/Deep Underground
Neutrino Experiment (LBNF/DUNE)

219

FY 2017 Congressional Budget Justification

Fermilab will oversee the new international DUNE experimental collaboration that has been formed to build the necessary
detectors. The DUNE collaboration will be responsible for: the definition of the scientific goals and corresponding scientificand technical requirements on the detector systems and neutrino beamline; the design, construction, commissioning, andoperation of the near detector at Fermilab and the far detectors at SURF; and the scientific research program conductedwith the DUNE detectors.
The DUNE collaboration is led by elected co-spokespersons, currently one from the United Kingdom and the other from
Switzerland. The collaboration has organized the development of the detector conceptual designs and is assigning the work
scope among the collaboration members based on each collaborating institution’s ability to carry it out. Each of thecollaborating institutions will be responsible for delivering in-kind detector components and installing them in the detector.
Presently the DOE contribution to the detectors is assumed to be less than a third of the total cost of the detectors.
Fermilab, in its role as the host, will oversee all LBNF and DUNE construction. Fermilab’s oversight of the neutrino detectors
includes technical coordination to ensure the various pieces will fit and operate together and arrive on time. The technicalcoordination group will document all work scope assignments, maintain a schedule, and provide design, production
readiness, and operational readiness reviews in cooperation with the collaboration. This process follows the practice,systems, and procedures at CERN for the LHC detectors.
Unlike DUNE with its many international participants, only a few international partners are expected to provide in-kind
contributions to LBNF. For example, CERN is proposing to provide cryogenic infrastructure needed to support the detectors.
CERN currently runs the largest cryogenic system in the world. HEP and Fermilab continue to recruit other partners that cansimilarly contribute their expertise as well as their financial resources. The international contributions to LBNF will be
developed by Fermilab and its partner institutions under the oversight of DOE and other funding agencies. DOE will be
responsible for developing any needed international agreements for LBNF.
The reformulated and integrated project plan for the LBNF/DUNE project was reviewed successfully in July 2015 by a DOE
Independent Cost Review (ICR) panel and by a DOE Independent Project Review (IPR) panel, convened simultaneously at
Fermilab in July 2015. Based on the recommendations of these panel reviews, the DOE ESAAB approved the revised CD-1 on
November 5, 2015 with a TPC cost range of $1,260,000,000 to $1,860,000,000 and a TPC point estimate of $1,500,000,000
based on the new conceptual design. The revised scope and outyear funding projections have pushed the CD-4 date to
FY 2030.
The FY 2016 funding for LBNF supports: civil and geotechnical engineering design of the detector cavern in South Dakota;
technical design of the neutrino-production beam line and related facilities at Fermilab; site preparation; and for support ofmodifications to the technical design of the experimental facility, infrastructure and detectors. Site preparation begins withmaintenance activities to mine shaft, hoists, ventilation systems, and general support infrastructure to allow for safe andreliable work once construction begins. Site preparation also includes development of a waste rock handling system needed
to support excavation.
The FY 2017 Request will support the completion of site preparation activities as well as initiating the procurement of civil
construction for excavation of the underground equipment caverns beginning in late FY 2017. Approval of a new Critical
Decision, CD-3A, will be needed before excavation work can start. The approval is anticipated in FY 2016 based on strong
positive recommendations from a DOE ICR and an IPR. The DOE ESAAB for CD-3A is planned for Spring 2016.
Summary
The LBNF facility collaboration and DUNE experimental collaboration will create the premier facility and experiment for
long-baseline neutrino science world-wide. DUNE will analyze transformations of muon neutrinos in a beam from Fermilab
to a large detector in South Dakota, 800 miles away. The experiment will analyze the rare, flavor-changing transformationsof neutrinos in flight, from one lepton flavor to another, that are expected to help elucidate the fundamental physics ofneutrinos and perhaps explain the puzzling matter-antimatter asymmetry observed in the universe.
Science/High Energy Physics/11-SC-40,
Long Baseline Neutrino Facility/Deep Underground
Neutrino Experiment (LBNF/DUNE)220

FY 2017 Congressional Budget Justification

The most recent DOE Order 413.3B approved Critical Decision (CD) is CD-1R, which was approved November 5, 2015 with apreliminary TPC cost range of $1,260,000,000 to $1,860,000,000, a TPC point estimate of $1,500,000,000, and a CD-4 dateof FY 2030. This includes the full cost of the LBNF host facility excluding foreign contributions, as well as the full cost of the
DOE contribution to the DUNE experimental apparatus.
Contributions from the international partners are currently being negotiated. For the DUNE detector the process is being
driven from the principal investigator level up to the funding agencies as was done for the LHC. Proposals are under review
by the other funding agencies. CERN has put funding into its medium-term budget plan for one detector cryostat worth $90
million in U.S. accounting. An addendum to the U.S. CERN agreement will document this commitment and others currently
being negotiated.
A Federal Project Director with a certification level 4 has been assigned to this project and has approved this CPDS.
2.

Critical Milestone History

FY 2011
FY 2012FY 2016a

FY 2017CD-0
1/8/2010
1/8/2010
1/8/2010
1/8/2010

Conceptual
DesignComplete

12/10/2012
11/5/2015 b

CD-1
1Q FY 2011
2Q FY 2012(fiscal quarter or date)
Final
DesignCD-2
Complete
TBD
4Q FY 2013
TBD
2Q FY 201512/10/2012
11/5/2015b

4Q FY 2017
1Q FY 2020

4Q FY 2019
1Q FY 2020

CD-3
TBD
TBD

D&D
Complete
TBD
TBD

CD-4
TBD
TBD

4Q FY 2019
1Q FY 2020

N/A
N/A

4Q FY 2027
4Q FY 2030

CD-0 – Approve Mission Need
Conceptual Design Complete – Actual date the conceptual design was completed
CD-1 – Approve Design Scope and Project Cost and Schedule Ranges
CD-2 – Approve Project Performance Baseline
Final Design Complete – Estimated date the project design will complete
CD-3 – Approve Start of Construction
D&D Complete – Completion of D&D work (see section 9)
CD-4 – Approve Start of Operations or Project Closeout(fiscal quarter or date)
CD-1R
FY 2017

11/5/2015

CD-3A

CD-3B

CD-3C

2Q FY 2016

3Q FY 2018

1Q FY 2020

Performance
Baseline
Validation
1Q FY 2020

CD-1R – Refresh of CD-1 approval for the new Conceptual Design.
CD-3A – Approval for initiating excavation of the equipment caverns at the Far Site.
CD-3B – Approval for procurement of cryogenic system technical infrastructure at the Far Site, as well as for initiation ofcivil construction of an embankment for the neutrino-production beam line at Fermilab.
CD-3C – Approval for all project fabrication and construction (same as CD-3).

a

No CPDS was submitted for FY 2013, FY 2014 or FY 2015 because no TEC funds were requested; however, design funds
were provided in each year’s appropriation.
b
Critical Decision CD-1 was approved for the new conceptual design by an ESAAB approval (CD-1R) on November 5, 2015.
Science/High Energy Physics/11-SC-40,
Long Baseline Neutrino Facility/Deep Underground
Neutrino Experiment (LBNF/DUNE)221

FY 2017 Congressional Budget Justification

3.

Project Cost History

FY 2011
FY 2012FY 2016 a
FY 2017 b
4.

TEC, Design
102,000
133,000
127,781
123,781

TEC,
Construction
TBD
TBD
655,6121,290,680(dollars in thousands)
OPC Except
TEC, Total
D&D
OPC, D&D
TBD
22,180
TBD
TBD
42,621
TBD
783,393
89,539N/A
1,414,461
85,539N/A

OPC, Total
TBD
TBD
89,53985,539TPC
TBD
TBD
872,932
1,500,000 c

Project Scope and Justification

Scope
LBNF/DUNE will be composed of a neutrino beam created by new construction as well as modifications to the existingFermilab accelerator complex, massive neutrino detectors (at least 40,000 tons in total) and associated cryogenics
infrastructure located in one or more large underground caverns to be excavated at least 800 miles “downstream” from theneutrino source, and a much smaller neutrino detector at Fermilab for monitoring the neutrino beam near its source. The
neutrino beam will be produced by a primary beam of protons directed into a target for converting the protons into asecondary beam of particles (pi mesons and muons) that decay into neutrinos, followed by a decay tunnel hundreds ofmeters long where the decay neutrinos will emerge and travel through the earth to the massive detector. The Neutrinos at
the Main Injector (NuMI) beam at Fermilab is an existing example of this type of configuration for a neutrino beam facility.
The new LBNF beam line will provide a neutrino beam of lower energy and greater intensity than the NuMI beam, andwould point to a far detector at a greater distance than is used with NuMI experiments in order to provide the distanceneeded for the study of neutrino oscillations.
For the LBNF/DUNE project, Fermilab will be responsible for design, construction and operation of the major componentsof the LBNF facility including: the primary proton beam, neutrino production target, focusing structures, decay pipe,
absorbers and corresponding beam instrumentation; the conventional facilities and experiment infrastructure on the
Fermilab site required for the near detector; and the conventional facilities and experiment infrastructure at SURF for thelarge detector including the cryostats and cryogenics systems.
Justification
Recent international progress in neutrino physics, celebrated by the Nobel Prize for Physics in 1988, 1995, 2002 and 2015,
provides the basis for further discovery opportunities. Determining relative masses and mass ordering of the three known
neutrinos will give guidance and constraints to theories beyond the Standard Model of particle physics. The study andobservation of the different behavior of neutrinos and antineutrinos will offer insight into the dominance of matter overantimatter in our universe and therefore, the very structure of our universe. The only other source of the matter-antimatterasymmetry, in the quark sector, is too small to account for the observed matter dominance.
Among the technical issues addressed in the alternatives analysis were the preferred detector technology and the neutrino
beamline design. After a thorough study, both technologies were found to be capable of meeting the performancerequirements if located underground, only liquid argon could work on the surface, and is less expensive. A low energyaNo 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 TPC point estimate is$1,500,000,000. The preliminary TPC range at CD-1 is $1,260,000,000 to $1,860,000,000.
c
No construction, other than site preparation, approved civil construction or long-lead procurement will be performed prior
to validation of the Performance Baseline and approval of CD-3.
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neutrino beam to the Homestake mine and the current NuMI beam were compared. The new beam with its lower energy
and longer distance to the detector was shown to be superior.
The project is being conducted in accordance with the project management requirements in DOE O 413.3B, Program andProject Management for the Acquisition of Capital Assets.
The preliminary Key Performance Parameters (KPPs) for project completion that were approved by CD-1 in FY 2015 include
the primary beam and neutrino beam production systems as well as underground caverns excavated for four separate, 10kton detector modules (of liquid-argon, time-projection detectors) at the SURF site, 1000-1500 km from the neutrino
source. The DOE contribution for DUNE will include technical components for two of the four detector modules, which will
be installed and tested with cosmic rays, and components of the cryogenic systems for the detectors, which will be installed
and pressure tested. The KPPs will be finalized at CD-2.
Preliminary Key Performance Parameters
Scope
Threshold KPP
Primary Beam to produce neutrinos
Beamline hardware commissioning
directed to the far detector site
complete and demonstration of
protons delivered to the target

Objective KPP
In addition to Threshold KPPs, systemenhancements to maximize neutrino
flux, enable tunability in neutrinoenergy spectrum or to improveneutrino beam capability

Far Site-Conventional Facilities

Caverns excavated for 40 kiloton
fiducial detector mass a; beneficial
occupancy granted for cavern space tohouse 20 kiloton fiducial detector
massa

In addition to Threshold KPPs,
Beneficial Occupancy granted forremaining cavern space

Detector Cryogenic Infrastructure

DOE-provided components for
Cryogenic subsystems installed andpressure tested for 20 kiloton fiducial
detector massa

In addition to Threshold KPPs,
additional DOE contributions tocryogenic subsystems installed andpressure tested for additional 20
kiloton fiducial detector massa; DOE
contributions to cryostatsa

Fiducial detector mass pertains to the mass of the interior volume of the detection medium (liquid argon) that excludes
the external portion of the detection medium where most background events would occur.

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ScopeLong-Baseline Distance between
neutrino source and far detector

Threshold KPP
1,000-1,500 kilometers

Far Detector

DOE-provided components installed incryostats to support 20 kiloton fiducial
detector mass a, with cosmic ray
interactions detected in each detector
module5.

Objective KPP

In addition to Threshold KPPs,
additional DOE contributions to
support up to 40 kiloton fiducial
detector massa

Financial Schedule b

Appropriations
Total Estimated Cost (TEC)
Design Only
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
Subtotal, Design Only
Design (Design andConstruction)
FY 2016
FY 2017
Outyears
Subtotal, Design(Design andConstruction)
Total, Design(dollars in thousands)
Recovery Act
Obligations
Costs

Costs c

4,000
3,781
16,00012,000035,781

4,000
3,781
16,00012,000035,781

0
0
0
0
0
0

0d
801
7,109
15,791
12,08035,781

N/A
N/A
N/A

N/A
N/A
N/A

0
0
0

26,00018,00044,000

N/A

N/A

0

88,000

N/A

N/A

0

123,781aFiducial detector mass pertains to the mass of the interior volume of the detection medium (liquid argon) that excludes
the external portion of the detection medium where most background events would occur.
b
The project is Pre-CD-2 and has not been baselined. All estimates are preliminary. The TPC point estimate is$1,500,000,000. 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.
c
Costs through FY 2015 reflect actual costs; costs for FY 2016 and the outyears are estimates.
d$1,078,000 was erroneously costed to this project in FY 2012, the accounting records were adjusted in early FY 2013.
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FY 2016
FY 2017
Outyears
Total, Construction
TECb
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
Outyears
Total, TEC
Other Project Cost (OPC)
OPC except D&D
FY 2009 Recovery
Act
FY 2010
FY 2011
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
Total, OPC

Appropriations(dollars in thousands)
Recovery Act
Obligations
Costs

Costs a

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

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

0
0
0
0

0
14,000 c
1,276,680
1,290,680

4,000
3,781
16,00012,00026,000 d
45,021c
1,307,659
1,414,461

4,000
3,781
16,00012,00026,000d
45,021c
1,307,659
1,414,461

0
0
0
0
0
0
0

0
801
7,109
15,791
38,080d
32,000c
1,320,680
1,414,461

12,486 e
14,178
7,768
17,00014,107
10,00010,000085,53912,486
14,1787,750
17,018 f
14,107
10,00010,000085,539

0
4,696
7,233
557 g
0
0
0
0
12,4860
6,336
11,321
17,94013,022
11,505
10,0792,850
73,053a

Costs through FY 2015 reflect actual costs; costs for FY 2016 and the outyears are estimates.
The project is Pre-CD-2 and has not been baselined. All estimates are preliminary. The TPC point estimate is$1,500,000,000. 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.
c
Estimated costs are for initiating excavation of the equipment caverns at the Far Site, to be approved by CD-3A.
dEstimated costs are for Far Site preparation including procurement of the waste-rock handling system and for safety andreliability refurbishment of the underground infrastructure, which are needed prior to initiating excavation of theequipment caverns.
e$13,000,000 of Recovery Act funding was originally planned for the conceptual design; the difference of $512,000 relates
to pre-conceptual design activities needed prior to approval of mission need (CD-0).
f$18,000 of FY 2011 funding was attributed towards the Other Project Costs activities in FY 2012.
g
During FY 2012, $1,000 of Recovery Act funding was recategorized from pre-conceptual design and so became part of the
OPC. $3,000 was deobligated and expired because Recovery Act funds are no longer available for obligation.
b

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FY 2017 Congressional Budget Justificationb

Total Project Cost (TPC)FY 2009 Recovery Act
FY 2010
FY 2011
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
Outyears
Total, TPC
6.

Appropriations
12,486
14,178
7,768
21,00017,88826,00022,00026,00045,021
1,307,659
1,500,000(dollars in thousands)
Recovery Act
Obligations
Costs
12,486
14,1787,750
21,01817,88826,00022,00026,00045,021
1,307,659
1,500,000

0
4,696
7,233
557
0
0
0
0
0
0
12,486

Costs a0
6,336
11,321
17,94013,823
18,61425,87040,93032,0001,320,680
1,487,514

Details of Project Cost Estimate c
Current Total
Estimate
Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction
Site Preparation d
Far Site Civil Construction e
Fermilab Site Civil Construction f
Far Site Technical Infrastructure g(dollars in thousands)
Previous Total Original Validated
Estimate
Baseline

100,000
23,781
123,781

100,000
27,781
127,781

N/A
N/A
N/A

20,000300,000
270,000
110,000

20,000400,000
N/A
75,000

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

a

Costs through FY 2015 reflect actual costs; costs for FY 2016 and the outyears are estimates.
The project is Pre-CD-2 and has not been baselined. All estimates are preliminary. The TPC point estimate is$1,500,000,000. 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.
c
The project is Pre-CD-2 and has not been baselined. All estimates are preliminary. The TPC point estimate is$1,500,000,000. The preliminary TPC range at CD-1 was $1,260,000,000 to $1,860,000,000.
d
Site Preparation involves procurement of the waste-rock handling system and refurbishment of the existing undergroundinfrastructure for improved safety and reliability at the Far Site, as well as for preparation of the Fermilab Site forconstruction.
e
Far Site civil construction involves excavation of caverns at SURF, 4850 ft below the surface, for technical equipment
including particle detectors and cryogenic systems.
fFermilab Site civil construction involves construction of the housing for the neutrino-production beam line and the neardetector.
gTechnical equipment in the DOE scope, estimated here, will be supplemented by in-kind contributions of additional
technical equipment, for the accelerator beam and particle detectors, from non-DOE partners as described in Section 1.
b

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Fermilab Site Beamline a
DUNE Detectors
Contingency
Total, Construction
Total, TEC
Contingency, TEC
Other Project Cost (OPC)
OPC except D&D
R&D
Conceptual Planning
Conceptual Design
Contingency
Total, OPC
Contingency, OPC
Total, TPC
Total, Contingency
7.

18,00030,00036,689850
85,539850
1,500,000
365,31116,00030,00034,0009,539
89,5399,539
872,932
197,932

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

(dollars in thousands)
FY 2016
FY 2017
0
0
0
0
0
0
0
0
0
0
0
0
16,000
TBD
4,000
TBD
20,000
TBD
26,00045,0210026,00045,021Outyears
0
0
0
0
0
0
TBD
TBD
TBD
1,307,659
0
1,307,659

Schedule of Appropriation Requests b

RequestYear
FY 2011

FY 2012FY 2016

FY 2017 c

8.

(dollars in thousands)
Current Total Previous Total Original Validated
Estimate
Estimate
Baseline
130,000
75,000N/A
120,000
N/A
N/A
340,680
160,612N/A
1,290,680
655,612N/A
1,414,461
783,393
N/A
364,461
188,393
N/A

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

Prior Years
102,000
22,180124,180
91,00042,621
133,621
23,78175,53999,32023,78175,53999,320FY 201500042,000042,00012,00010,00022,00012,00010,00022,000

Total
102,000
22,180124,180
133,000
42,621
175,621783,393
89,539872,932
1,414,461
85,5391,500,000

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

FY 2030
20 years
FY 2050aTechnical equipment in the DOE scope, estimated here, will be supplemented by in-kind contributions of additional
technical equipment, for the accelerator beam and particle detectors, from non-DOE partners as described in Section 1.
b
Design and international collaboration plans are currently being developed; outyears are preliminary.
c
The project is Pre-CD-2 and has not been baselined. All estimates are preliminary. The TPC point estimate is$1,500,000,000. The preliminary TPC range at CD-1 was $1,260,000,000 to $1,860,000,000.
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Operations and maintenance funding of this experiment will become part of the existing Fermilab accelerator facility.
Annual related funding estimates include the incremental cost of 20 years of full operation, utilities, maintenance andrepairs with the accelerator beam on. The estimates also include operations and maintenance for the remote site of thelarge detector.
(Related Funding Requirements)

Operations
Utilities
Maintenance & Repair
Total
9.

(dollars in thousands)
Annual Costs
Life Cycle Costs
Current Total
Previous Total
Current Total
Previous Total
Estimate
Estimate
Estimate
Estimate
9,000
9,000
180,000
180,000
8,000
8,000
160,000
160,000
1,000
1,000
20,00020,00018,00018,000360,000
360,000

Required D&D Information

Area of new construction
Area of existing facility being replaced and D&D’d by this project
Area of other D&D outside the project
Area of any additional D&D space to meet the “one-for-one” requirement
taken from the banked area.

Square Feet
142,000 SF00142,000 SF

The one-for-one replacement has been met through banked space. A waiver from the one-for-one requirement toeliminate excess space at Fermilab to offset the LBNF/DUNE project was approved by DOE Headquarters on November 12,
2009. The waiver identified and transferred to Fermilab 575,104 square feet of excess space to accommodate the new LBNF
facilities and other as yet unbuilt facilities from space that was banked at other DOE facilities.
10. Acquisition Approach
The LBNF and the DUNE detector apparatus comprise a unique, geographically distributed, complex system of scientificequipment consisting of a beam source at Fermilab and particle detectors both nearby at Fermilab and at a remote site 800
miles away in Lead, South Dakota. The overall DOE Project defined for delivery of LBNF and DUNE is referred to as
LBNF/DUNE. The acquisition approach is documented in the Acquisition Strategy approved as part of CD-1. DOE is acquiring
design, construction, fabrication and operation of LBNF through the M&O contractor responsible for Fermilab, Fermi
Research Alliance (FRA). FRA and Fermilab, through the LBNF Project based at Fermilab, is responsible to DOE to manage
and complete construction of the LBNF facility at both the near and remote site locations. FRA and Fermilab are assigned
oversight and management responsibility for execution of the international DUNE project, to include management of the
DOE contributions to DUNE. The basis for this choice and strategy is that:






Fermilab is the site of the only existing neutrino beam facility in the U.S. and, in addition to these facilities, provides asource of existing staff and expertise to be utilized for beamline and detector construction.
Fermilab can best ensure that the design, construction, and installation of key LBNF and DUNE components arecoordinated effectively and efficiently with other research activities at Fermilab.
Fermilab has a DOE-approved procurement system with established processes and acquisition expertise needed toobtain the necessary components and services to build the scientific hardware, equipment and conventional facilities
for the accelerator beamline, and detectors for LBNF and DUNE.
Fermilab has extensive experience in managing complex construction, fabrication, and installation projects involving
multiple National laboratories, universities, and other partner institutions, building facilities both on-site and at remote

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off-site locations.
Fermilab, through the LBNF Project, has established a close working relationship with the Sanford UndergroundResearch Facility (SURF) and the South Dakota Science and Technology Authority (SDSTA), organizations that manageand operate the remote site for the far detector in Lead, SD; Fermilab will work through SDSTA to award and manage
contracts needed to complete the LBNF and DUNE work at the remote site.
Fermilab has extensive experience with management and participation in international projects and international
collaborations, including most recently the LHC and CMS projects at CERN, as well as in the increasingly international
neutrino experiments and program.

In leading the LBNF/DUNE Project, Fermilab will collaborate and work with many institutions, including several DOE
National Laboratories (BNL, LBNL and LANL), dozens of universities, foreign research institutions, SURF, and the SDSTA.
Fermilab will be responsible for overall project management, near site conventional facilities, and the beamline. Fermilab
will work through SDSTA/SURF to complete the conventional facilities construction at the remote site needed to house andoutfit the DUNE far detector. With the DUNE collaboration, Fermilab is also responsible for technical and resource
coordination to support the DUNE far and near detector design and construction. DOE will be providing in-kind
contributions to the DUNE collaboration for detector systems, as agreed upon with the international DUNE collaboration.
International participation in the design, construction, and operation of LBNF and DUNE will be of essential importancebecause the field of High Energy Physics is international by nature; necessary talent and expertise are globally distributed,
and DOE does not have the procurement or technical resources to self-perform all of the required construction andfabrication work. Contributions from other nations will be predominantly through the delivery of components built in theirown countries by their own researchers. DOE will negotiate agreements in cooperation with the Department of State on abilateral basis with all contributing nations to specify their expected contributions and the working relationships during theconstruction and operation of the experiment. For the DUNE detector, the process of developing in-kind contributions isbeing driven by the principal investigators and being reviewed by their funding agencies.
DOE funding for the LBNF Project will be provided directly to Fermilab and collaborating DOE National Laboratories via
approved financial plans, and under management control of the LBNF Project Office. The LBNF Project Office will also
manage and control DOE funding to the other LBNF institutions contributing to detector design and construction. In
addition to the work performed by DOE National Laboratories, a combination of university subcontracts and direct fixedprice purchases with vendors is anticipated to design, fabricate, and install the LBNF and DUNE technical components. The
DUNE-U.S. Project Office at Fermilab will manage and control DOE funding to the other U.S. institutions contributing to
DUNE detector design and construction. All actions will be in accordance with the DOE approved procurement policies andprocedures.
Much of the neutrino beamline component design, fabrication, assembly, and installation will be done by Fermilab staff orby subcontract temporary staff working directly with Fermilab personnel. The acquisition approach includes both new
procurements based on existing designs, and re-purposed equipment from the Fermilab accelerator complex. Some highly
specialized components will be designed and fabricated by or in consultation with long-standing Fermilab collaborators
having proven experience with such components.
Delivery of LBNF conventional facilities at the Fermilab near site and SURF far site will be via the Construction
Manager/General Contractor (CM/GC) model. This strategy was chosen to reduce reduced risk, enhance quality and safety
performance, provide a more collaborative approach to construction, and offer the opportunity for reduced cost andshortened construction schedules.
For the LBNF near site conventional facilities at Fermilab, procurement is through existing Fermilab master subcontracts
with national architect/engineering companies for design services and contracts will be incrementally phase-funded since
they will span multiple years.
For the LBNF far site conventional facilities at SURF, Fermilab will work with SDSTA, the owner of the site and land, which
has been donated to SDSTA by the Homestake Mining Company for the sole purpose of facilitating scientific andtechnological research and development. Fermilab will contract directly with SDSTA to provide pre-construction services
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and design of LBNF far site conventional facilities at SURF. Fermilab will solicit bids for CM/GC services to manage theconstruction of LBNF far site facilities. The CM/GC subcontractor will furnish all labor, equipment and materials for far site
conventional facilities construction management. Work includes pre-construction construction management services andan option for executing the construction and management of the construction. The CM/GC subcontractor staff will have
proven experience in the area of construction management and construction of industrial and heavy construction projects.
The CM/GC firm will provide support services to the LBNF and A/E teams, including input regarding the selection ofmaterials, building systems and equipment, construction feasibility, value engineering, and factors related to construction,plus cost estimates and schedules, including estimates of alternative designs or materials. The CM/GC will also provide
recommendations of actions designed to minimize adverse effects of labor or material shortages, time requirements for
procurement and installation and construction completion.
The overall approach to both near and far site enables Fermilab to gain construction management expertise early in thedesign phase to produce well-integrated designs and well understood constructability, with potential cost and management
efficiencies and reduced construction risk as a result.
Prior to the start of far-site conventional facilities construction, DOE plans to enter into a land lease with SDSTA covering
the area on which the DOE funded facilities housing and supporting the LBNF and DUNE detector will be built. The leaseprovides the framework for DOE and Fermilab to construct federally funded buildings and facilities on non-federal land, andto establish a long-term (multi-decade) arrangement for DOE and Fermilab to use SDSTA space to host the DUNE
experiment. DOE plans for Fermilab to have responsibility for managing and operating the LBNF and DUNE far detector andfacilities for a useful lifetime of 20 year duration, and may contract with SDSTA for day-to-day management andmaintenance services. At the end of useful life, federal regulations permit transfer of ownership to SDSTA, which is willingto accept ownership as a condition for the lease. An appropriate decommissioning plan will be developed prior to leasesigning.

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11-SC-41, Muon to Electron Conversion Experiment (Mu2e), Fermi National Accelerator Laboratory, Batavia, Illinois
Project is for Design and Construction
1.

Significant Changes and Summary

Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2016 CPDS and does not include a new start for FY 2017.
Summary
The FY 2017 Request for the Muon to Electron Conversion Experiment (Mu2e) is $43,500,000, $3,400,000 more than the
FY 2016 Enacted level of $40,100,000 and consistent with the approved baseline funding profile. The most recent DOE
Order 413.3B approved Critical Decisions (CDs) are CD-2 (Approve Performance Baseline) and CD-3B (Approve Long-Lead
Procurement), both approved on March 4, 2015. CD-2 established the scope, cost, and schedule baseline and CD-3B
initiated civil construction and long-lead procurement of the Transport Solenoid modules. A new milestone, CD-3C, wasestablished concurrent with completion of final design, which is anticipated to be in 3Q FY 2016. Total Project Cost wasapproved at $273,677,000. The funding profile supports this TPC. The CD-4 milestone is 1Q FY 2023.
A Federal Project Director (FPD) with Certification Level 2 has been assigned to this project and has approved this CPDS. The
FPD will complete the Level-3 Certification requirements in FY 2016.
The Mu2e project provides the accelerator beam and experimental apparatus to identify unambiguously neutrinolessmuon-to-electron conversion events. The conversion of a muon to an electron in the field of a nucleus would probe newphysics for discovery at mass scales far beyond the reach of any existing or proposed experiment. Civil construction has
started and long-lead procurement for the Transport Solenoid system began in 4Q FY 2015. In FY 2016, the long-leadprocurement activities and civil construction will continue, and final design and prototyping for accelerator, beamline andparticle detector systems will be completed. Fabrication of the accelerator, beamline and detector technical systems will be
initiated in 4Q FY 2016, following Critical Decision CD-3C, and will continue throughout FY 2017.
2.

Critical Milestone History(fiscal quarter or date)
CD-1

CD-2

Final Design
Complete

CD-3

D&D
CompleteCD-4

11/24/2009
11/24/2009
11/24/2009
11/24/2009

4Q FY 2010
4Q FY 2011
4Q FY 2012
7/11/2012

TBD
TBD
4Q FY 2013
2Q FY 2014

4Q FY 2012
4Q FY 2013
4Q FY 2014
2Q FY 2015

TBD
TBD
4Q FY 2014
4Q FY 2015

TBD
TBD
N/A
N/A

TBD
TBD
4Q FY 2018
2Q FY 2021

11/24/2009
11/24/2009
11/24/2009
11/24/2009

7/11/2012
7/11/2012
7/11/2012
7/11/2012

2Q FY 2014
4Q FY 2014
2Q FY 2015
3/4/2015

2Q FY 2015
2Q FY 2015
3Q FY 2016
3Q FY 2016

4Q FY 2015
4Q FY 2014
3Q FY 2016
3Q FY 2016

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

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

CD-0
FY 2011
FY 2012FY 2013
FY 2014
FY 2013
Reprogramming
FY 2015
FY 2016
FY 2017 PB

Conceptual
DesignComplete

7/11/2012
7/11/2012

CD-0 – Approve Mission Need
Conceptual Design Complete – Actual date the conceptual design was completed
CD-1 – Approve Design Scope and Project Cost and Schedule Ranges
CD-2 – Approve Project Performance Baseline
Final Design Complete – Estimated/Actual date the project design will be/was completedCD-3 – Approve Start of Construction
D&D Complete – Completion of D&D work (see section 9)
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CD-4 – Approve Start of Operations or Project Closeout
PB – Indicates the Performance Baseline
Performance
Baseline
Validation
FY 2014
FY 2013
Reprogramming
FY 2015
FY 2016
FY 2017 PB

CD-3A

CD-3B

CD-3C

2Q FY 2015
3/4/2015

3Q FY 2016
3Q FY 2016

3Q FY 2013

2Q FY 2015
3/4/2015

3Q FY 2013
3Q FY 2014
7/10/2014
7/10/2014

CD-3A – Approve Long-Lead Procurement of superconducting wire for the magnet systems.
CD-3B – Approve Long-Lead Procurement for superconducting solenoid magnet modules and for construction of thedetector hall.
CD-3C – Approve All Construction and Fabrication (same as CD-3)
3.

Project Cost History

35,00036,50044,00061,000TEC,
Construction
TBD
TBD
N/A
162,000(dollars in thousands)
OPC Except
TEC, Total
OPC, D&D
D&D
TBD
10,000
TBD
TBD
18,777
TBD
N/A
24,1770
223,000
26,177049,00047,00057,00057,000162,000
162,900
193,000
193,000

211,000
209,900
250,000
250,000

TEC, Design
FY 2011
FY 2012FY 2013
FY 2014
FY 2013
Reprogramming
FY 2015
FY 2016
FY 2017 PB
4.

23,677
23,677
23,677
23,677

0
0
N/A
N/A

OPC, Total

TPC

TBD
TBD
24,177
26,177

TBD
TBD
68,177249,177

23,677
23,677
23,677
23,677

234,677
233,577
273,677
273,677 a

Project Scope and Justification

Scope
The Mu2e project includes accelerator modifications, fabrication of superconducting magnets and particle detector systems,
and construction of a civil facility with the special capabilities necessary for the experiment. The scope of work in the Project
Data Sheet has not changed. The muon beam for the Mu2e experiment will be produced by an intense 8-GeV proton beam,
extracted from the Fermilab Booster accelerator, striking a tungsten target. The Mu2e project will modify the existingFermilab accelerator complex (Booster, Recycler and Debuncher Rings) to deliver the primary proton beam to a muon
production target, and efficiently collect and transport the produced muons to a stopping target. The stopping target issurrounded by the Mu2e detector system that can identify muon-to-electron conversions and reject backgroundcontamination.
The project will design and construct the detector system (consisting of a tracker, calorimeter, cosmic ray veto and dataacquisition subsystem), a new beam line from the Debuncher Ring to the detector system, and three superconductinga

No construction, other than approved long-lead procurement and detector hall civil construction, will be performed until
CD-3 has been approved.
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232

solenoid magnets (a Production Solenoid, Transport Solenoid and Detector Solenoid) that will serve as the beam transportchannel for collecting the muons and transporting them into the detector system.
The project will design and construct a 25,000 square foot civil facility with the special capabilities required to house theprimary beam target and transport systems for producing the muons and stopping them in the detector system. The civil
construction consists of an underground detector enclosure and a surface building, for containing the necessary equipment
and infrastructure that can be accessed while the multikilowatt proton beam is being delivered to the experiment. The
building includes radiation shielding and design features for safe operation of the beam line and experimental apparatus.
Justification
The conversion of a muon to an electron in the field of a nucleus provides a unique window for discovery of charged lepton
flavor symmetry violation and allows access to new physics at very high mass scales. In 2008, the Particle Physics Project
Prioritization Panel (P5), a subpanel of the High Energy Physics Advisory Panel (HEPAP), recommended this type ofexperiment for the Intensity Frontier of particle physics. The most recent P5 Subpanel reiterated this recommendation in its
2014 report. This project provides accelerator beam and experimental apparatus to identify unambiguously neutrinolessmuon-to-electron conversion events.
Key Performance Parameters
SystemThreshold Performance
Accelerator
Accelerator components are acceptance tested at nominal
voltages and currents. Components necessary for single-turn
extraction installed.
Shielding designed for 1.5 kW operation delivered to Fermilab
and ready for installation.
All target station components are complete, delivered toFermilab and tested. Heat and Radiation Shield is installed in
Production Solenoid. Other components are ready to beinstalled after field mapping.
Superconducting Solenoid Magnets
The Production, Transport and Detector Solenoids have beencooled and powered to the settings necessary to take physics
data.
Detector Components
Cosmic Ray Tracks are observed in the Tracker, Calorimeterand a subset of the Cosmic Ray Veto and acquired by the Data
Acquisition System after they are installed in the garage
position behind the Detector Solenoid. The balance of theCosmic Ray Veto counters are at Fermilab and ready for
installation.

Objective Performance
Protons are delivered to the diagnostic absorberin the M4 beamline.
Shielding designed for 8 kW operation delivered
to Fermilab and ready for installation.

The Production, Transport and Detector
Solenoids have been cooled and powered to theirnominal field settings.
The cosmic ray data in the detectors is acquiredby the Data Acquisition System, reconstructed in
the online processors, visualized in the event
display and stored on disk.

The project is being conducted in accordance with the project management requirements in DOE 413.3B, Program andProject Management for the Acquisition of Capital Assets.
5.

Financial Schedule

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(dollars in thousands)
Appropriations
Obligations
Total Estimated Cost (TEC)
DesignFY 2013
FY 2014

FY 2015
FY 2016
Total, Design
Construction
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
Total, ConstructionTEC
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
Total, TEC
Other Project Costs (OPC)
OPC except D&D
FY 2010
FY 2011
FY 2012FY 2013

a

N/A
N/A

N/A
N/A
(dollars in thousands)
Appropriations
Obligations
N/A
N/A
N/A
N/A
N/A
N/A

Costs a14,653
15,404
Costs b16,892
10,05157,000

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

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

0
9,907
59,00030,00030,00030,00020,00010,000
4,093
193,000

24,0008,000 c35,000 d
25,000 e
40,10043,50044,40030,000000250,000

24,0008,000
35,00025,00040,10043,50044,40030,000000250,000

0
14,653
15,404
26,79969,051
30,00030,00030,00020,00010,0004,093
250,000

4,777
8,400
8,000
2,500

4,777
8,400
8,000
2,500

3,769
8,940
6,740
1,020

Costs through FY 2015 reflect actual costs; costs for FY 2016 and the outyears are estimates.
Costs through FY 2015 reflect actual costs; costs for FY 2016 and the outyears are estimates.
cCongress approved a reprogramming that reduced the FY 2013 funding to $8,000,000 from the $22,685,000 that was
originally appropriated.
d$5,162,907 was for long-lead procurements of superconducting wire for the magnet systems.
e$25,000,000 was for long-lead procurements for the superconducting solenoid magnet modules and for civil constructionof the detector hall.
Science/High Energy Physics/
11-SC-41, Muon to Electron Conversion Experiment(Mu2e)FY 2017 Congressional Budget Justification
234b

FY 2014
FY 2015
FY 2016
Total, OPC

00023,677

Total Project Cost (TPC)FY 2010
FY 2011
FY 2012

4,777
8,400
32,000FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
FY 2021
FY 2022
Total, TPC
6.

4,777
8,400
32,000(dollars in thousands)
Appropriations
Obligations
10,50010,50035,00035,00025,00025,00040,10040,10043,50043,50044,40044,40030,00030,000000000273,677
273,677

2,136
159
913
23,677
3,769
8,940
6,740
Costs a15,673
17,54026,95869,96430,00030,00030,00020,00010,000
4,093
273,677

Details of Project Cost Estimate
Current Total
Estimatea00023,677(dollars in thousands)
Previous Total
Estimate

Original Validated
Baseline

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design

52,0005,000
57,00055,0002,000
57,00049,0008,000
57,000Construction
Site Work
Construction
Equipment
Contingency
Total, Construction
Total, TEC
Contingency, TEC

2,000
13,000133,000
45,000193,000
250,000
50,0002,000
19,000119,000
53,000193,000
250,000
55,0002,000
13,000133,000
45,000193,000
250,000
53,000

Other Project Cost (OPC)
OPC except D&D
R&D
Conceptual Planning
Conceptual Design
Total, OPC

8,200
2,300
13,177
23,6776,600
4,350
12,727
23,6778,200
2,300
13,177
23,677

Costs through FY 2015 reflect actual costs; costs for FY 2016 and the outyears are estimates.
Science/High Energy Physics/
11-SC-41, Muon to Electron Conversion Experiment(Mu2e)FY 2017 Congressional Budget Justification
235

7.

Total, TPC
Total, Contingency
Schedule of Appropriation Requests

RequestYear
FY 2011 TEC
OPC
TPC
FY 2012 TEC
OPC
TPC
FY 2013 TEC
OPC
TPC
FY 2014 TEC
OPC
TPC
FY 2013 TEC
ReproOPC
gramming
TPC
FY 2015 TEC
OPC
TPC
FY 2016 TEC
OPC
TPC
FY 2017 TEC
PB
OPC
TPC
8.

(dollars in thousands)
Current Total
Previous Total
Estimate
Estimate
273,677
273,677
50,00055,000

Original Validated
Baseline
273,677
53,000(dollars in thousands)

Prior
Years
FY 20125,000 30,000
10,0000
15,000 30,000
0 24,000
12,7776,000
12,777 30,000
0 24,000
13,1776,000
13,177 30,000
0 24,000
13,1778,000
13,177 32,000
0 24,000
13,1778,000

FY 2013 FY 2014
0
0
0
0
0
0
12,50000012,5000
20,00005,000
025,000024,14735,0008,049
032,196 a
35,0008,000 b35,0002,500
0FY 2015
0
0
0
0
0
0
0
0
0
32,000032,00032,0000

FY 2016
0
0
0
0
0
0
0
0
0
44,000044,00044,0000

FY 2017 FY 2018
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
45,00023,0000045,00023,00045,00023,0000
0

FY 2019
0
0
0
0
0
0
0
0
0
0
0
0
0
0

Total
35,00010,00045,00036,50018,77755,27744,00024,177
68,177223,000
26,177249,177
211,000
23,677

13,1770
13,177
13,1770
13,177
13,1770
13,177
13,177

10,5008,000
2,500
10,5008,000
2,500
10,5008,000
2,500
10,50032,00025,000025,00025,000025,00025,000025,00044,00042,000042,00040,100040,10040,100040,10045,00043,000043,00043,500043,50043,500043,500000030,000030,00030,000030,000234,677
209,900
23,677
233,577
250,000
23,677
273,677
250,000
23,677
273,677

32,00024,0008,000
32,00024,0008,000
32,00024,0008,000
32,00035,00035,000035,00035,000035,00035,000035,00023,00032,900032,90044,400044,40044,400044,400Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy
Expected Useful Life
Expected Future Start of D&D of this capital asset

FY 2023
10 years
FY 2033

Operations and maintenance of this experiment will become part of the existing Fermilab accelerator facility. Annual related
funding estimates are for the incremental cost of five years of full operation, utilities, maintenance and repairs with theaccelerator beam on. Five subsequent years are planned for further analysis of the data while the detector and beam linea

The FY 2013 amount shown reflected the P.L. 112-175 continuing resolution level annualized to a full year. The TEC, OPC,
and TPC total and outyear appropriation assumptions were not adjusted to reflect the final FY 2013 level; the FY 2013
Request level of $25,000,000 ($20,000,000 TEC and $5,000,000 OPC) were assumed instead.
bCongress approved a reprogramming that reduced the FY 2013 funding to $8,000,000 from the $22,685,000 that was
originally appropriated.
Science/High Energy Physics/
11-SC-41, Muon to Electron Conversion Experiment(Mu2e)FY 2017 Congressional Budget Justification236

are maintained in a minimal maintenance state (with annual cost of approximately 3% of full operations) to preserve
availability for future usage with much smaller annual cost.
(Related Funding Requirements)

Operations
Utilities
Maintenance & Repair
Total
9.

(dollars in thousands)
Annual Costs
Life Cycle Costs
Current Total
Previous Total
Current Total
Previous Total
Estimate
Estimate
Estimate
Estimate
3,100
3,100
16,00016,0002,400
2,400
12,40012,400
100
100
600
600
5,600
5,600
29,00029,000Required D&D Information

Area of new construction .............................................................................................
Area of existing facility being replaced and D&D’d by this project ...............................
Area of other D&D outside the project ........................................................................
Area of any additional D&D space to meet the “one-for-one” requirement takenfrom the banked area. .................................................................................................

Square Feet
~25,00000~25,000

The one-for-one replacement has been met through banked space. A waiver from the one-for-one requirement to eliminate
excess space at Fermilab to offset the Mu2e project was approved by DOE Headquarters on November 12, 2009. The waiver
identified and transferred to Fermilab 575,104 square feet of excess space to accommodate the new Mu2e facilities andother as yet unbuilt facilities from space that was banked at other DOE facilities.
10. Acquisition Approach
The acquisition approach is fully documented in the Acquisition Strategy approved as part of CD-1. This is a high-levelsummary of material from that document.
DOE has awarded the prime contract for the Mu2e project to the Fermi Research Alliance (FRA), the Fermilab Management
and Operating (M&O) contractor, 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 Fermilab scientists andengineers. This arrangement will facilitate close cooperation and coordination between the Mu2e scientific collaboration
and an experienced team of project leaders managed by FRA. FRA will have primary responsibility for oversight of all
subcontracts required to execute the project. These subcontracts are expected to include the purchase of components fromthird party vendors as well as subcontracts with university groups to fabricate detector subsystems.
The largest procurements will be the magnet systems and the civil construction. The superconducting solenoid magnets are
divided into three systems that could be procured independently but which must ultimately perform as a single integrated
magnetic system. Two of the systems are similar to systems that have been successfully built in private industry, so theengineering design and fabrication for two of the solenoids may be subcontracted to third party vendors, if a planned studyof industrial vendor capabilities confirms that the technical risks are acceptable. The third solenoid is relatively unique, andno good industrial analog exists. This solenoid will be designed and fabricated at Fermilab, though most of the parts will be
procured from third party vendors.
There are two major subcontracts for the civil construction for Mu2e. An architecture and engineering (A&E) contract wasplaced on a firm-fixed-price basis for Preliminary (Title I) Design, and Final (Title II) Design with an option for construction(Title III) support. The general construction subcontract was placed on a firm-fixed-price basis.
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FY 2017 Congressional Budget Justification

All subcontracts will be competitively bid and awarded based on best value to the government. Fermi Site Office provides
contract oversight for FRA’s plans and performance. Project performance metrics for FRA are included in the M&O
contractor’s annual performance evaluation and measurement plan.

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FY 2017 Congressional Budget Justification

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 matter we are familiar with
comes from protons and heavier nuclei. The mission of the Nuclear Physics (NP) program is to discover, explore, andunderstand all forms of nuclear matter. Although the fundamental particles that compose nuclear matter—quarks andgluons—are themselves relatively well understood, exactly how they interact and combine to form the different types ofmatter observed in the universe today and during its evolution remains largely unknown. Nuclear physicists seek tounderstand not just the familiar forms of matter we see around us, but also exotic forms such as those which existed in thefirst moments after the Big Bang and that exist today inside neutron stars, and to understand why matter takes on thespecific forms now observed in nature.
Nuclear physics addresses three broad, yet tightly interrelated, scientific thrusts: Quantum Chromodynamics (QCD), Nuclei
and Nuclear Astrophysics, and Fundamental Symmetries that can be probed by studying neutrons and nuclei.
QCD seeks to develop a complete understanding of how the fundamental particles that compose nuclear matter, thequarks and gluons, assemble themselves into composite nuclear particles such as protons and neutrons, how nuclear
forces arise between these composite particles that lead to nuclei, and what forms of bulk, strongly interacting mattercan exist in nature, such as the quark-gluon plasma.
Nuclei and Nuclear Astrophysics seeks to understand how protons and neutrons combine to form atomic nuclei,
including some now being observed for the first time, and how these nuclei have arisen during the 13.8 billion years
since the birth of the cosmos.
Fundamental Symmetries seeks to develop a better understanding of fundamental interactions by studying theproperties of neutrons and by targeted, single focus experiments using nuclei to study whether the neutrino is its own
anti-particle. Neutrinos are very light, nearly undetectable fundamental particles produced during interactions involving
the weak force, through which they were first indirectly observed in nuclear beta decay experiments.

The quest to understand the properties of different forms of nuclear matter requires both theoretical and experimental
efforts. Theoretical approaches are based on a description of the interactions of quarks and gluons described by the theory
of QCD, which employs today’s most advanced computers. Other theoretical research that models the forces between
nucleons seeks to understand and predict the structure of nuclear matter. Most experimental approaches in nuclear physics
use large accelerators that collide particles at nearly the speed of light, producing short-lived forms of matter forinvestigation. Comparing experimental observations and theoretical predictions tests the limits of our understanding of
nuclear matter and suggests new directions for both experimental and theoretical research.
At the heart of the NP program are highly trained scientists who conceive, plan, execute, and interpret transformative
experiments. NP supports university and national laboratory scientists and a variety of international collaborations. It
provides more than 90 percent of the nuclear science research funding in the U.S. with an average of 85 Ph.D. degrees
granted annually to students for research supported by the program. NP research is guided by DOE’s mission and priorities,
and it helps develop the core expertise needed to achieve the goals of the NP program. National laboratory scientists workand collaborate with academic scientists and other national laboratory experimental and theoretical researchers to collectand analyze data and to construct, support, and maintain the detectors and facilities used in experiments. The national
laboratories also provide state-of-the-art resources for targeted detector and accelerator R&D for future upgrades and new
facilities. This research develops knowledge, technologies, and scientists to design and build next-generation NP accelerator
facilities. It is also of relevance to such machines being developed by other domestic and international programs.
The world-class user facilities and the associated instrumentation necessary to advance the U.S. nuclear science programsupported by NP are large and complex, and account for a significant portion of NP’s budget. Three scientific user facilities
are currently supported, each with unique capabilities: the Relativistic Heavy Ion Collider (RHIC) at Brookhaven National
Laboratory (BNL); the Continuous Electron Beam Accelerator Facility (CEBAF) at Thomas Jefferson National Accelerator
Facility (TJNAF); and the Argonne Tandem Linac Accelerator System (ATLAS) at Argonne National Laboratory (ANL). Thesefacilities provide particle beams for an international user community of 3,000 research scientists. Approximately 38 percentof these researchers are from institutions outside of the U.S. and provide very significant benefits to leverage the U.S.
Science/Nuclear Physics

239

FY 2017 Congressional Budget Justification

program through contributed capital, human capital, experimental equipment, and intellectual contributions. Researchers
supported by other SC programs (High Energy Physics, Basic Energy Sciences), DOE Offices (National Nuclear Security
Administration [NNSA] and Nuclear Energy), Federal agencies (National Science Foundation [NSF], National Aeronautics andSpace Administration [NASA], and Department of Defense [DOD]), and industries also use NP scientific user facilities andtheir core competencies to carry out their research programs. Following completion in FY 2014 of the accelerator upgrade
portion of the 12 GeV CEBAF Upgrade project and the successful demonstration in December 2014 of the key performanceparameters for the gluonic excitations (GlueX) detector in Hall D, fabrication of the remaining detectors in experimental
Halls B and C continues and will be completed in FY 2017. Construction of a world-class nuclear physics scientific user facility
with unique capabilities in nuclear structure and astrophysics, the Facility for Rare Isotope Beams (FRIB), continues atMichigan State University (MSU).
Involving students in the development and construction of NP facilities and advanced instrumentation, along with thedevelopment of accelerator technology and computational techniques, helps to develop the highly trained workforce
needed in the field of nuclear science. In addition to significant advances in discovery science, these facilities andtechniques provide collateral benefits such as the creation of new technologies with broad-based applications in industry
and society. NP supports short- or mid-term accelerator R&D that is specific to the programmatic needs of its current orplanned facilities. In the process, technological advances and core competencies in accelerator science developed by NP are
also often relevant to other applications and SC programs. For example, superconducting radio frequency (SRF) particle
acceleration developed for NP programmatic missions has provided technological advances for a broad range of applications
including materials research, cancer therapy, food safety, bio-threat mitigation, waste treatment, and commercial
fabrication. The Office of Science programs coordinate closely on the different types of accelerator R&D activities to exploit
synergies.
Highlights of the FY 2017 Budget Request
Support for university and laboratory research in NP increases, continuing the commitment made in FY 2016 to advancehigh priority research in such areas as nuclear structure, nuclear astrophysics, the study of matter at extreme conditions,hadronic physics, fundamental properties of the neutron, neutrinoless double beta decay, and isotope production andprocessing techniques. The Request also supports the initiation of the Gamma-Ray Energy Tracking Array (GRETA) Major
Item of Equipment (MIE), a premiere gamma-ray tracking device that will exploit world-leading capabilities of FRIB. GRETA
was identified by the nuclear science community in the 2007 Long Range Plan as an instrument that will “revolutionize
gamma-ray spectroscopy and provide sensitivity improvements of several orders of magnitude.” The high priority andurgency placed upon realizing the advanced capabilities GRETA will provide was reaffirmed by the nuclear science
community in the 2015 Long Range Plan for Nuclear Science which was released in October 2015 a. GRETA is being initiatedto exploit the full scientific potential of FRIB, providing unique opportunities to advance the rare-isotope science andinvestigate reactions of critical importance for nuclear structure and nuclear astrophysics. Although existing detectors
enable the start of an initial science program at FRIB, GRETA will enable vast new nuclear structure studies. Funding
increases for operations at CEBAF to support initiation of the full scientific program with the recently upgraded 12 GeV
machine and new scientific equipment in the experimental halls. Operations of the RHIC facility are increased by 550 hours
above the FY 2016 Enacted level to enable studies of spin physics and explorations of new phenomena to illuminate theproperties of the quark gluon plasma. Operations of the ATLAS facility continue to exploit the capabilities of the Californium
Rare Ion Breeder Upgrade (CARIBU) as well as newly completed instrumentation. Support for the Isotope Development andProduction for Research and Applications subprogram (DOE Isotope Program) maintains mission readiness for the
production of stable and radioactive isotopes that are in short supply for research and a wide array of applications. Research
investments in this subprogram are increased for a new graduate traineeship activity in the fields of radiochemistry andnuclear chemistry with an emphasis in isotope production; and to develop new cutting-edge approaches for important
isotopes that are not currently available to the public in sufficient quantities, such as the establishment of a full-scale
production capability of the promising alpha-emitter, actinium-225, to enable clinical trials for cancer therapy. An increase
in research in isotope production techniques is in line with the recently completed assessment of the DOE Isotope Programby the Nuclear Science Advisory Committee (NSAC) b. After several years of research supported by the Isotope Program,funding is requested for an MIE project, the Stable Isotope Production Facility (SIPF), to enable the production of a broad
range of enriched stable isotopes, a capability that has not been available in the U.S. for almost 20 years. Finally,a

http://science.energy.gov/np/
http://science.energy.gov/np/nsac/reports/
Science/Nuclear Physicsb

240

FY 2017 Congressional Budget Justificationconstruction continues according to the baselined profile for the FRIB project, which will provide intense beams of rareisotopes for a wide variety of studies in nuclear structure, nuclear astrophysics, and fundamental symmetries. In the FY 2017
Budget Request, funding for the Working Capital Fund (WCF) is transferred to Science Program Direction to establish a
consolidated source of funding for goods and services provided by the WCF. An exception is CyberOne, which will continue
to be funded through the Office of Science (SC) Safeguards and Security program. In FY 2016 and prior years, SC WCF costs
were shared by SC research programs and Science Program Direction.

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FY 2017 Congressional Budget Justification

Nuclear Physics
Funding ($K)
Medium Energy Nuclear Physics
Research
Operations
SBIR/STTR and Other
Total, Medium Energy Nuclear Physics
Heavy Ion Nuclear Physics
Research
Operations
Total, Heavy Ion Nuclear Physics
Low Energy Nuclear Physics
Research
Operations
Total, Low Energy Nuclear Physics
Nuclear Theory
Theory Research
Nuclear Data
Total, Nuclear Theory
Isotope Development and Production for
Research and Applications
Research
Operations
Total, Isotopes c
Subtotal, Nuclear Physicsa

FY 2015 Enacted

FY 2015 Current a

FY 2016 Enacted

FY 2017 Request b

FY 2017 vs. FY 2016

35,646
97,05018,196150,892

35,42997,0501,863
134,342

37,802
98,67019,321
155,793

40,017104,139
19,643
163,799+2,215+5,469+322+8,00633,894
166,072
199,966

33,013
166,072
199,085

35,822
172,088
207,91036,431
179,700
216,131+609+7,612+8,221

48,377
26,81975,19650,76427,02977,79351,38327,40278,78554,39425,49979,893+3,011-1,903+1,10835,715
7,381
43,09635,6207,554
43,17438,033
7,742
45,77538,583
7,882
46,465

+550
+140
+690

4,815
15,03519,850
489,000

4,815
15,03519,850474,244

6,033
15,304
21,337
509,600

10,34419,026
29,370535,658+4,311+3,722+8,033+26,058

Reflects the transfer of Small Business Innovation/Technology Transfer Research (SBIR/STTR) funds within the Office of Science.
A transfer of $1,315,000 to Science Program Direction is to consolidate all Working Capital Funds in one program.
c
All appropriations for the Isotope Development and Production for Research and Applications subprogram fund a payment into the Isotope Production andDistribution Program Fund as required by P.L. 101–101 and as modified by P.L. 103–316.
Science/Nuclear Physics
FY 2017 Congressional Budget Justification
242b

FY 2015 Enacted
Construction
06-SC-01, 12 GeV CEBAF Upgrade, TJNAF
16,50014-SC-50, Facility for Rare Isotope Beams
90,000Total, Construction
106,500
Total, Nuclear Physics
595,500
SBIR/STTR:
 FY 2015 Transferred: SBIR: $12,967,000; STTR: $1,789,000
 FY 2016 Projected: SBIR: $14,134,000; STTR: $2,120,000
 FY 2017 Request: SBIR: $15,824,000; STTR: $2,225,000

Science/Nuclear Physics

FY 2015 Current a

FY 2016 Enacted

FY 2017 Request b

FY 2017 vs. FY 2016

16,50090,000106,500
580,744

7,500
100,000
107,500
617,1000
100,000
100,000
635,658-7,5000-7,500+18,558

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FY 2017 Congressional Budget Justification

Nuclear Physics
Explanation of Major Changes ($K)
FY 2017 vs.
FY 2016
Medium Energy Nuclear Physics: Increased funding is provided for the ramp up from commissioning to operations of the upgraded CEBAF to launch
the 12 GeV physics program. The focus of the 12 GeV science program is to advance the understanding of strongly interacting matter and its
description in QCD, and to search for evidence of new physics beyond the Standard Model. The increase will support 12 GeV researchers fromnational laboratories and universities to implement, commission, and operate the new experiments at CEBAF.

+8,006

Heavy Ion Nuclear Physics: Funding for operations of RHIC is increased to support 550 hours above the FY 2016 Enacted level to enable world-leading
research in heavy ion nuclear physics and spin physics, and deferred maintenance. A 3,040 hour run in FY 2017 will enable incisive tests of ourunderstanding of QCD as applied to the spin structure of the proton and to explore new phenomena in quark gluon plasma formation. Targeted
increases in research funding support participation in RHIC runs, U.S. commitments in LHC heavy ion computing, and continued modest participationin the heavy ion program at the LHC, including implementation of new experimental capabilities for the heavy ion LHC ALICE detector.

+8,221Low Energy Nuclear Physics: Operations funding for the ATLAS facility is increased to reinstate critical mechanical engineering expertise and support
needed for accelerator target development. The ATLAS facility continues to provide critical capabilities for nuclear structure and astrophysics research,with beam time demands from the user community continuing to far exceed availability. Increased research funding is requested for targeted, highpriority activities, including development and implementation of instrumentation in nuclear structure and astrophysics at ATLAS and FRIB, andoperations support of the KATRIN experiment (an international tritium-beta-decay experiment to determine the mass of the neutrino). The Request
includes $500,000 to initiate the Gamma-Ray Energy Tracking Array (GRETA) MIE in FY 2017, a high resolution gamma array tracking device for FRIB toprovide a combination of high efficiency, peak-to-background ratio, and excellent energy and position resolution needed to fully exploit theopportunities at FRIB, for both fast fragmentation and reaccelerated beams. GRETA will revolutionize gamma-ray spectroscopy providing more thanan order of magnitude increased sensitivity for gamma ray coincidence measurements. It will provide world-unique opportunities to advance therare-isotope science and investigate reactions of critical importance for nuclear structure and nuclear astrophysics. Disposition activities of the
Holifield Radioactive Ion Beam Facility (HRIBF) ramp down.

+1,108

Nuclear Theory: The requested increase enhances support for theory research efforts at laboratories and universities, and the U.S. Nuclear Data
Program. Increased support is provided for a collaborative theory effort focused on the science at FRIB to promote interpretation of future FRIB
experimental results.

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+690

FY 2017 Congressional Budget Justification

FY 2017 vs.
FY 2016
Isotope Development and Production for Research and Applications: The Request includes $2,500,000 to initiate the Stable Isotope Production
Facility (SIPF), an MIE to cost-effectively provide a domestic capability for production of enriched stable isotopes, building upon the R&D prototype
supported by the subprogram to develop new technology for general stable isotope enrichment. This facility will help mitigate dependence of the U.S.
on foreign suppliers and is aligned with NSAC recommendations to provide this capability. Many stable isotope supplies are depleted from thenational inventory and are needed for important research and security applications. The stable isotope enrichment prototype is operated to enableoptimization of future production campaigns and design of the future facility. Isotope research efforts at national laboratories and universities areenhanced, in particular to support R&D efforts on developing full-scale production capabilities of alpha-emitters for medical applications, such as
cancer therapy; and a new graduate traineeship activity in the fields of radiochemistry and nuclear chemistry with an emphasis in isotope production
is initiated. Mission readiness of the isotope production and processing facilities at Brookhaven, Oak Ridge, and Los Alamos National Laboratories aremaintained for isotope production, and production capabilities at university facilities are also supported for research isotopes.

+8,033

Construction: FY 2017 construction funding will continue at the same level as the FY 2016 Enacted level for the Facility for Rare Isotope Beams
according to the approved baseline profile; these are the peak funding years for this project. The final year of construction funding for the 12 GeVCEBAF Upgrade project was provided in FY 2016.

-7,500Total, Nuclear Physics+18,558

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Basic and Applied R&D Coordination
The NP mission supports the pursuit of unique opportunities for R&D integration and coordination with other DOE Program
Offices, Federal Agencies, and non-Federal entities. For example, researchers from the High Energy Physics (HEP), NP, andAdvanced Scientific Computing Research (ASCR) programs coordinate and leverage forefront computing resources andtechnical expertise through the Lattice Quantum Chromodynamics (LQCD) and SciDAC projects to determine the propertiesof as-yet unobserved exotic particles predicted by the theory of Quantum Chromodynamics, advance progress towards amodel of nuclear structure with predictive capability, and dramatically improve modeling of neutrino interactions duringcore collapse supernovae. The U.S. Nuclear Data Program provides evaluated cross-section and decay data relevant toreactor design (e.g., of interest to the Nuclear Energy [NE] and Fusion Energy Sciences [FES] programs), materials under
extreme conditions (of interest to the Basic Energy Sciences [BES] and FES programs), and nuclear forensics (National
Nuclear Security Administration [NNSA], Department of Homeland Security [DHS], and Federal Bureau of Investigations[FBI]). NP research develops technological advances relevant to the development of advanced fuel cycles for next
generation nuclear reactors (NE); advanced cost-effective accelerator technology and particle detection techniques for
medical diagnostics and treatment (National Institutes of Health [NIH], HEP); and research in developing neutron, gamma,
and particle beam sources with applications in cargo screening and nuclear forensics (NNSA, DHS, and FBI).
R&D coordination and integration are hallmarks of the NP Isotope Development and Production for Research andApplications subprogram (DOE Isotope Program), which produces commercial and research isotopes in short supply andcritical for basic research and applications. It also supports research for the development of new or improved production
and separation techniques of stable and radioactive isotopes. NP continues to further align the Federal, industrial, andresearch stakeholders of the DOE Isotope Program and has strong communication between the various communities. To
ascertain current and future demands of the research and applied communities, NP organizes working groups, workshops,
symposia, and discussions with Federal agencies and community and industrial stakeholders on a continuous basis. It also
works collaboratively with other DOE Offices (NNSA and NE) to help ensure adequate supplies of isotopes needed for their
missions, such as lithium-7 (Li-7), which is used by nuclear power plants as a coolant reagent. The DOE Isotope Program
conducts annual Federal workshops to identify isotope demand and supply across a broad range of Federal agencies(including NIH, NASA, FBI, DOD, DHS, DOT, NSF, and DOE) to ensure that isotopes are available for the federal complex toaccomplish its missions.
Program Accomplishments
RHIC engineers the shape of small drops of quark gluon plasma. The quark gluon plasma (QGP), discovered at RHIC, is astate of matter that existed under the extreme conditions that occurred shortly after the Big Bang. In recent experiments,
scientists identified flow patterns in the particles coming from very high energy collisions of protons and lead nuclei in LHC
data. The results implied that small droplets of QGP were surprisingly being formed in the proton-lead collisions. Utilizing its
unique flexibility to collide Helium-3 and deuterium nuclei with gold nuclei, new data from RHIC provides strong evidence
that small droplets of QGP can, in fact, be created in lighter systems. The emergent RHIC results provide important
information on the size of those droplets, and key information on understanding the conditions needed for forming thisexotic form of matter.
New science leadership capabilities enabled by construction of world-class facilities. Following on-budget and ahead-ofschedule completion of the accelerator upgrade portion of the 12 GeV CEBAF Upgrade project at TJNAF in FY 2014, theproject is progressing towards completion with the fabrication of new detectors in three separate halls. One of thesedetectors, the gluonic excitations (GlueX) detector in the newly constructed experimental Hall D, was completed in
December 2014, and successfully demonstrated its design performance. The detector is now being calibrated andcommissioned in preparation for the launch of the full 12 GeV physics program in FY 2017.
“Coldest cubic meter in the universe.” The Cryogenic Underground Observatory for Rare Events (CUORE) is an experiment tosearch for neutrinoless double beta decay, a rare process that would indicate whether neutrinos are their own antiparticle,
which could have a profound effect on the understanding of the dominance of matter over anti-matter in the cosmos.
CUORE, located at the Gran Sasso Laboratory in Italy, is an international experiment with strong U.S. participation. A large
volume of detectors must be cooled to temperatures just above absolute zero. The thermally insulating detector container,
called the CUORE Cryostat and is one cubic meter in volume, recently achieved a temperature of 6 thousandths of a degree
Kelvin above absolute zero. At this temperature, the CUORE Cryostat contains the coldest cubic meter volume in the known
universe. The cryostat is currently undergoing additional commissioning test runs before initiating measurements to surpassthe record setting sensitivity of its predecessor, CUORE-0.
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Reactor Antineutrino Anomaly Calculations from the U.S. Nuclear Data Program (USNDP). All nuclear reactors emit
antineutrinos resulting from the decay of isotopes produced in the nuclear reactions. Several recent studies of theantineutrinos emitted by nuclear power reactors have suggested that there may be an “anomaly” of roughly 6% in the total
measured antineutrino flux, conjectured to possibly provide evidence for “Beyond the Standard Model” physics, such as theexistence of a fourth neutrino in addition to the three types currently known. Performing a comprehensive “bottom-up”
analysis of the current state of knowledge, USNDP physicists used their extensive databases that store all known propertiesof all nuclei to calculate the expected reactor antineutrino flux in detail, summing over 800 important unstable secondary
nuclei. The initial results suggest that some of the unusual aspects of reactor antineutrino emission may have their origin inpreviously unknown details of conventional nuclear physics, solving the apparent origin of this intriguing anomaly.
Improved calculations for neutrino scattering off nuclei. Precise theoretical knowledge of the interactions of neutrinos with
nuclei is essential to interpreting the results of a suite of next generation experiments. This theoretical work is inherently anuclear physics endeavor as it relates to interactions which occur within the nuclear medium. A collaboration of ANL, LANL,
and Old Dominion University scientists carried out calculations of electron and neutrino interactions with helium-4 andcarbon-12 nuclei. The new theoretical calculations are similar for neutrinos and electrons allowing for direct comparisons toelectron scattering data to verify the calculations. The calculated helium-4 electron scattering results agree well withexperiment and illuminate the essential ingredients that need to be taken into account in reliable calculations of electron
and neutrino interactions with nuclei. This leads the way to calculations on heavier nuclei as more computer power
becomes available, and will be the key for the interpretation of neutrino-scattering experiments in the future.
Novel method for electron spectroscopy to be applied to neutrino mass determination. Researchers participating in the
Project-8 collaboration have made the first observation of radiation from a single electron using a new technique, dubbed
Cyclotron Radiation Emission Spectroscopy (CRES). The technique allows precise measurement of the energies ofmoderately relativistic electrons, such as those emitted in the beta decay of tritium. This success opens a completely
different pathway toward a sensitive measurement of neutrino mass. Previous methods have set a laboratory upper limit of
2 eV on the masses of the three neutrino states. Neutrino oscillations set a lower limit of 0.02 eV on their average mass.
With further development, the CRES method may be able to improve current limits by a factor of ten, exploring a large part,and perhaps all, of the remaining window for neutrino mass. This research was recently identified as a top ten 2015 physics
breakthrough of the year.
Technical feasibility of new production route demonstrated for lithium-7 hydroxide for power reactors. Lithium-7 hydroxide isessential to the safe and reliable operation of pressurized water reactors to produce electricity. The salt is used as aneutralizer to maintain proper alkalinity/acidity of the cooling water in these reactors. Domestic power-plant users arecompletely reliant upon imports of lithium-7 hydroxide from foreign countries. Unpredictable foreign production capacityand growing demand are increasing the risks that domestic users will be unable to obtain adequate supply. In research
funded by the Isotope Program, scientists at ORNL and the Y-12 National Security Complex have demonstrated technicalfeasibility of a new method of production of highly enriched lithium-7 using an environmentally friendly technology. The
feasibility of applying these research results to full-scale production is now being considered.

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248

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. Scattering experiments are used to clarify the effects of the quark and gluon spins within nucleons, and the effectof the nuclear environment on the quarks and gluons. The subprogram also supports experimental searches for higher-mass“excited state” and exotic hadrons predicted by QCD, as well as studies of their various production mechanisms and decay
properties.
Medium Energy Nuclear Physics supports research and operations of the subprogram’s primary research facility, CEBAF at
TJNAF, as well as the spin physics research that is carried out using RHIC at BNL. CEBAF provides high quality beams ofpolarized electrons that allow scientists to extract information on the quark and gluon structure of protons and neutrons
from measurements of how the electrons scatter when they collide with nuclei. CEBAF also uses polarized electrons to makeprecision measurements to search for processes that violate a fundamental symmetry of nature, called parity, in order tosearch for physics beyond what is currently described by the Standard Model. These capabilities are unique in the world.
The increase in beam energy provided by the 12 GeV CEBAF Upgrade opens up exciting new scientific opportunities, and willsecure continued U.S. world leadership in this area of physics. The project will be completed in FY 2017, and the highly
anticipated science program will be launched. Some of the science goals of the 12 GeV experimental program include thesearch for exotic new quark anti-quark particles to advance our understanding of the strong force, evidence of new physics
from sensitive searches for violations of nature’s fundamental symmetries, and a detailed microscopic understanding of theinternal structure of the proton, including the origin of its spin, and how this structure is modified when the proton is inside
a nucleus. Research at RHIC in FY 2017 using colliding beams of spin-polarized protons, a capability unique to RHIC, will
provide information on the origin of the spin of the proton in a kinematic range complementary to that at CEBAF to extend
present knowledge beyond the kinematic boundaries accessible at CEBAF alone. Research support for both facilities
includes laboratory and university scientific and technical staff needed to implement and execute experiments and to
conduct the data analysis necessary to extract scientific results. Complementary special focus experiments that requiredifferent capabilities are also supported at the High Intensity Gamma Source (HIGS) at Triangle Universities Nuclear
Laboratory, Europe, and elsewhere. Efforts are supported at the Research and Engineering Center of the Massachusetts
Institute of Technology (MIT), which has specialized infrastructure used to develop and fabricate advanced instrumentation
and accelerator equipment.
The “SBIR/STTR and Other” category within this subprogram provides funding in accordance with the Small Business
Innovation Development Act and subsequent related legislation. It also includes funding to meet other NP obligations, suchas the annual Lawrence Awards and Fermi Awards for honorees selected by DOE for outstanding contributions to science.
ResearchResearch groups at TJNAF, BNL, ANL, LANL, and LBNL, and approximately 130 scientists and 105 graduate students at 29
universities will carry out research programs and conduct experiments at CEBAF, RHIC, and elsewhere, and will participate in
the development and fabrication of advanced instrumentation, including state-of-the-art detectors that also haveapplications in areas such as medical imaging instrumentation and homeland security. TJNAF staff research efforts will focus
on launching the full 12 GeV experimental program, including the implementation of experiments, acquiring data, andperforming data analysis at the four CEBAF experimental Halls A, B, C, and D. Scientists conduct research to advanceknowledge and to identify and develop the science opportunities and goals for next generation instrumentation andScience/Nuclear Physics

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FY 2017 Congressional Budget Justification

facilities. An active visiting scientist program at TJNAF and bridge positions with regional universities are also supported as a
cost-effective approach to augmenting scientific expertise at the laboratory and boosting research experience opportunities.
ANL scientists play a leadership role in many of the new experiments in the 12 GeV scientific program, and are heavily
engaged in experiment commissioning, instrumentation development, and data taking. They also lead an experiment at
Fermilab to determine the antiquark contribution to the structure of the proton. ANL scientists continue precise
measurements of the electric dipole moments of laser-trapped atoms as part of an intensive world-wide effort to set limits
on QCD parameters and contribute to the search for possible explanations of the excess of matter over antimatter in theuniverse; first measurements were obtained in FY 2015. Research groups at BNL and LBNL play leading roles in determining
the spin structure of the proton through data taking and the development and fabrication of advanced instrumentation for
RHIC, as well as contributing to data acquisition and analysis efforts. Researchers at MIT and at TJNAF are developing highcurrent, polarized electron sources for next generation NP facilities.
Accelerator R&D research proposals from universities and laboratories specific to improving operations of current NP
facilities or developing new NP facilities are evaluated by peer review through a single competition for funding that isincluded under the Medium Energy and Heavy Ion subprograms.
Operations
CEBAF’s polarized electron beam capabilities are used to study the contributions of quarks and gluons to the properties ofhadrons by a user community with a strong international component. Accelerator Operations support is provided for theaccelerator physicists at TJNAF that operate CEBAF as well as for maintenance, power costs, capital infrastructure
investments, and accelerator improvements, as the facility transitions to full operations following the completion of the 12
GeV CEBAF Upgrade project. Investments in accelerator improvements, including the modernization of the accelerator
injector components, aim to provide more than an order of magnitude improvement in the beam quality for 12 GeV era
parity violating physics experiments. This class of experiments is very sensitive to false asymmetries and imperfections inbeam properties in the polarized source and the injector area. Support is provided for the most important efforts indeveloping advances in superconducting radiofrequency (SRF) technology relevant to improving operations of the existingmachine. The core competency in SRF technology plays a crucial role in many DOE projects and facilities outside of nuclear
physics (such as the Basic Energy Sciences project LCLS II) and has broad applications in medicine and homeland security.
For example, SRF research and development 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 core competency in cryogenics and has developed award-winning techniques that have led tomore cost-effective operations at TJNAF and several other SC facilities; their cryogenics expertise is being applied to the FRIB
project and LCLS-II. Accelerator capital equipment investments are targeted toward instrumentation needed to support thelaboratory’s core competencies in SRF and cryogenics. TJNAF accelerator physicists help train the next generation ofaccelerator physicists, enabled in part by a close partnership with other institutions with accelerator physics expertise.
Experimental Support is provided for the scientific and technical staff as well as for materials and supplies for
implementation, integration, assembly, and operation of the large and complex CEBAF experiments. Modest capital
equipment investments for experimental support at TJNAF provide scientific instrumentation for the major experiments,
including data acquisition computing and supporting infrastructure.

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Medium Energy Nuclear Physics
Activities and Explanation of Changes

Explanation of Changes
FY 2017 vs. FY 2016

FY 2016 Enacted

FY 2017 Request

Medium Energy Nuclear Physics $155,793,000
Research $37,802,000
Researchers focused on the 12 GeV experimental
program at TJNAF continue to implement and develop
experimental instrumentation and prepare for the new
Hall D physics capabilities and the 12 GeV
experimental program which starts in full in FY 2017.
Analysis efforts of RHIC polarized proton beam data tolearn more about the origin of the proton’s spin, andsupport for short and mid-term accelerator R&D
continues.

$163,799,000$40,017,000
The highly anticipated 12 GeV experimental program
will be launched at CEBAF, taking data with new
instrumentation in all halls, including the newly
constructed Hall D. Science goals include the search forexotic new quark anti-quark particles, sensitive
searches for violations of nature’s fundamental
symmetries, and a detailed microscopic understandingof the internal structure of the proton. Researchers
will participate in the RHIC spin run in FY 2017 to study
the spin structure of the proton.

+$8,006,000+$2,215,000
Increased funding supports the 12 GeV researchers
from national laboratories and universities to mount,
implement, and operate the new experiments at
CEBAF.

Operations $98,670,000
Funding supports continued machine development,
and its associated incremental power costs, to support
the full, future 12 GeV research program, including
engineering operations to Hall D and commissioning of
newly installed hall equipment for physics running
starting in FY 2017. Funding is provided for Other
Project Costs (within project TPC), as part of the
12 GeV CEBAF Upgrade project profile. The major
milestone in FY 2016 is to establish first beams to Halls
B and C for commissioning activities.
SBIR/STTR and Other $19,321,000
Funding is provided in accordance with the Small
Business Innovation Development Act and subsequent
related legislation, as well as for other DOE and Officeof Science obligations.

$104,139,000
The newly upgraded CEBAF facility will begin fulloperations. Funding will support a total of 2,890 hours(about 87% utilization) of running for beamcommissioning, tuning and research, including about
330 hours funded from the final year of Other Project
Costs as part of the 12 GeV CEBAF Upgrade project
profile (within project TPC). Experiments will be
implemented and commissioned in all four halls andare operated for data taking.

+$5,469,000
The increase supports the ramp-up in operating timefrom commissioning activities in FY 2016 to support ofthe 12 GeV scientific program in FY 2017, which
includes the required operations staff, power costs,
materials and supplies, and maintenance activities
needed to bring this complex scientific user facility
back to full operation mode.

$19,643,000
Funding will be provided in accordance with the Small
Business Innovation Development Act and subsequent
related legislation, as well as for other DOE and Officeof Science obligations.

+$322,000
The increase in SBIR/STTR funding, which reflects theincrease in the mandated percentage set-aside from
3.45% to 3.65% in FY 2017, is partially offset by thetransfer of $1,315,000 to Science Program Direction to
consolidate funding for the Working Capital Fund.

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252

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 the overarching questions within the Quantum Chromodynamics (QCD)
scientific thrust, 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. Complementaryresearch capability is also provided at the Large Hadron Collider (LHC) at CERN. In the aftermath of collisions at RHIC and at
the LHC, 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 thecreation of the universe, and how protons, neutrons, and other bits of normal matter developed from that plasma.
Important avenues of investigation are directed at learning more about the physical characteristics of the quark-gluon
plasma including exploring the energy loss mechanism for quarks and gluons traversing the plasma, determining the speedof sound in the plasma, and locating the critical point for the transition between the plasma and normal matter.
The RHIC facility places heavy ion research at the frontier of discovery in nuclear physics. RHIC serves two large-scaleinternational experiments called PHENIX and STAR. The RHIC facility is uniquely flexible, providing a full range of colliding
nuclei at variable energies spanning the transition to the quark-gluon plasma discovered at RHIC. The facility continues to
set new performance records, with Run-15 integrated luminosity exceeding the sum of all previous runs. The FY 2017 run
will test the present understanding of QCD as applied to the spin structure of the proton, and will explore new phenomenathat have emerged in quark gluon plasma formation. R&D and pre-conceptual design aimed at upgrades of existing
detectors at RHIC continue, with efforts focused on proposed upgrades to PHENIX to probe the QGP with precision, highrate measurements. Short and mid-term accelerator R&D is conducted at RHIC in a number of areas including the cooling of
high-energy hadron beams; high intensity polarized electron sources; and high-energy, high-current energy recovery linear(ERL) accelerators. The RHIC facility is used by about 1,200 DOE, NSF, and foreign agency-supported researchers annually.
Collaboration in the heavy ion program at the LHC at CERN provides U.S. researchers the opportunity to investigate states ofmatter under substantially different initial conditions than those provided by RHIC, providing complementary information
regarding the matter that existed during the infant universe. Data collected by the ALICE, CMS, and ATLAS detectors confirm
that the quark-gluon plasma discovered at RHIC is also seen at the higher energy and comparison with the results at RHIC
has led to important new insights. U.S. researchers are making important scientific contributions to the emerging resultsfrom all three LHC experiments. In ALICE and CMS U.S. researchers are participating in developing and upgrading
instrumentation for future heavy ion campaigns at the LHC.
Research
Heavy ion research groups at BNL, LBNL, LANL, ORNL, and approximately 110 scientists and 85 graduate students at 24
universities are supported to participate in experiments at RHIC and the LHC.
The university and national laboratory research groups provide the scientific personnel and graduate students needed fortaking data with the RHIC and LHC heavy ion experiments; analyzing data; publishing results; conducting R&D of nextgeneration detectors; developing and implementing scientific equipment; and planning for future experiments. BNL and
LBNL provide computing infrastructure for petabyte-scale data analysis and state-of-the-art facilities for detector andinstrument development. At LBNL, a large-scale computational system, the NP-supported Parallel Distributed Systems
Facility (PDSF), is a major shared resource used for the analysis of RHIC and LHC data in alliance with the National Energy
Research Scientific Computing Center (NERSC), which is supported by SC’s Advanced Scientific Computing Research (ASCR)
program. Additional computing resources at ORNL and Vanderbilt University are provided for LHC data analysis.
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Accelerator R&D research proposals for short and mid-term accelerator R&D from universities and laboratories specific toimproving operations of current NP facilities or developing new NP facilities are evaluated by peer review through a single
competition for funding that is included under the Heavy Ion and Medium Energy subprograms.
Operations
Support is provided for the operations, power costs, capital infrastructure investments, and accelerator improvement
projects of the RHIC accelerator complex at BNL. The accelerator complex includes the Electron Beam Ion Source (EBIS),
Booster, and the Alternating Gradient Synchrotron (AGS) accelerators that together serve as the injector for RHIC. Staff
provides experimental support to the facility, including the development, implementation, and commissioning of scientificequipment associated with the RHIC program. Through operations of the RHIC complex, important core competencies are
nurtured in accelerator physics techniques to improve RHIC performance and support the NP mission. These corecompetencies provide collateral benefits to applications in industry, medicine, homeland security, and other scientificprojects outside of NP. RHIC accelerator physicists are providing leadership to the effort to address technical feasibility
issues of relevance to a possible next-generation collider for the NP program, including beam cooling techniques and energy
recovery linacs. Accelerator Improvement Projects focus on cooling of low energy heavy ion beams with bunched electron
beam, which is projected to increase the luminosity by up to another factor of 10. The full system is planned to becompleted and commissioned in FY 2018. Accelerator physicists also play an important role in the training of next
generation accelerator physicists, with support of graduate students and post-doctoral associates.
RHIC operations allow for parallel and cost-effective operations of the Brookhaven Linac Isotope Producer Facility (BLIP),
supported by NP for the production of research and commercial isotopes critically needed by the Nation, and of the NASASpace Radiation Laboratory Program for the study of space radiation effects applicable to human space flight.

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Heavy Ion Nuclear Physics
Activities and Explanation of Changes
FY 2016 Enacted

Explanation of Changes
FY 2017 vs. FY 2016

FY 2017 Request

Heavy Ion Nuclear Physics $207,910,000$216,131,000+$8,221,000

Research $35,822,000$36,431,000+$609,000

Researchers continue to participate in the collection
and analysis of new data from RHIC enabled by the
recently completed STAR Heavy Flavor Tracker (HFT)
MIE. The FY 2014 run was the commissioning run for
the HFT, and provided important first results, but not
final precision measurements. The 2015 run generated
the baseline data from proton+proton and proton+Au
collisions, and the FY 2016 run will generate thedefinitive Au+Au data, which will address unexplained
phenomena with charm and bottom quarks to inform
our understanding of the perfect liquid discovered at
RHIC in 2005. NP also provides scientific leadership to
the heavy ion efforts at the international ALICE, CMS,
and ATLAS LHC experiments, as well as the required
funding to the LHC for U.S. commitments for
management and operating costs. Mid- and shortterm accelerator R&D relevant to NP programmaticneeds is also supported.

Researchers will continue to participate in the analysis
and collection of data from RHIC to explore newphenomena in quark gluon plasma formation. Efforts
continue to develop instrumentation aimed at probing
the QGP with precision measurements. NP willcontinue to provide scientific leadership to the heavy
ion efforts at the international ALICE, CMS, and ATLAS
LHC experiments, as well as providing the required
funding to the LHC for U.S. commitments for
management and operating costs, computing, andcontributions towards upgrades of the ALICE detector.
Mid- and short-term accelerator R&D relevant to NP
programmatic needs will also be supported.

Increased funding maintains high priority efforts atuniversities and national laboratories associated with
implementing the RHIC science program, and provides
support for U.S. scientists to participate in small-scale
ALICE instrumentation upgrades at the LHC.

Operations $172,088,000
RHIC operations will provide for 2,490 beam hours,
which is approximately 20 weeks and equal to 61
percent utilization, in support of the planned RHIC
research program that is taking advantage of dramatic
improvements in collider performance and versatility
made possible by recent RHIC upgrades. The FY 2016
run (Run-16) is essential to understand results onheavy quark propagation in the quark-gluon plasma
discovered at RHIC. The high statistics data planned for
Run-16 addresses these phenomena and are required
for researchers to interpret the data acquired from thelast two years.

$179,700,000
RHIC operations increase by 550 hours over FY 2016 toa total of 3,040 beam hours, which is approximately 24
weeks and equal to 74 percent utilization, in supportof the planned RHIC research program. RHIC staff willcontinue to develop and implement instrumentationneeded for the experimental campaigns. Continued
implementation of electron beam cooling will lead tofurther increases in luminosity. Accelerator sciencestaff will continue to reduce technical risks associatedwith a proposed electron ion collider.

+$7,612,000
Funding provides for increased operations, staffing
levels, power costs, maintenance, and materials
needed to reliably deliver 3,040 hours of beam.

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Nuclear Physics
Low Energy Nuclear Physics
Description
The Low Energy Nuclear Physics subprogram focuses on answering the overarching questions associated with two scientificthrusts, Nuclei and Nuclear Astrophysics, and Fundamental Symmetries that can be probed by studying neutrons and nuclei.
Questions associated with Nuclei and Nuclear Astrophysics include:
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

What is the nature of the nuclear force that binds protons and neutrons into stable nuclei and rare isotopes?
What is the origin of simple patterns in complex nuclei?
What is the nature of neutron stars and dense nuclear matter?
What is the origin of the elements in the cosmos?
What are the nuclear reactions that drive stars and stellar explosions?

This subprogram addresses these questions through support of research to develop a comprehensive description of nuclei
using beams of stable and rare isotopes to yield new insights and reveal new nuclear phenomena. The subprogram alsomeasures the cross sections of the nuclear reactions that power stars and lead to spectacular stellar explosions, which areresponsible for the synthesis of the elements.
Questions addressed in the area of Fundamental Symmetries that can be probed by studying neutrons and nuclei include:What is the nature of the neutrinos, what are their masses, and how have they shaped the evolution of the cosmos?
What experimental approach for a next generation, ton-scale neutrino-less double beta day detector is capable ofachieving the sensitivity necessary to determine if the neutrino is its own anti-particle?
Why is there now more matter than antimatter in the universe? Is there evidence from the electric-dipole moments ofatomic nuclei and the neutron that demonstrate our current understanding of the fundamental laws governing nuclear
physics is incomplete?
Will evidence for time-reversal violation in electron scattering and possible lepton number violation in the decay of
nuclei indicate forces present at the dawn of the universe that disappeared from view as the universe evolved?

This subprogram addresses these questions through precision studies using neutron beams and decays of nuclei, including
neutrinoless double-beta decay. Beams of cold and ultracold neutrons are used to study fundamental properties ofneutrons. Precision studies to observe or set a limit on violation of time-reversal invariance—the principle that the physicallaws should not change if the direction of time is reversed—in nucleonic, nuclear, and atomic systems investigate
fundamental questions in nuclear physics, astrophysics, and cosmology.
The ATLAS scientific user facility is the only DOE-supported facility in Nuclear Structure and Nuclear Astrophysics, serving a
combined international community of more than 400 scientists. ATLAS provides high-quality beams of all the stableelements up to uranium as well as selected beams of short-lived nuclei for experimental studies of nuclear properties under
extreme conditions and reactions of interest to nuclear astrophysics. ATLAS is the world’s premiere facility for stable beams,
and it also provides some capabilities in radioactive or rare isotope beams with the Californium Rare Ion Breeder Upgrade(CARIBU) ion source. The facility continues to provide higher intensity stable beams and improved quality radioactive beams
with modest accelerator improvements. Technologically cutting-edge and unique instrumentation are a hallmark at thefacility, and the ATLAS Facility continues to be significantly oversubscribed by the user community.
Disposition activities of the ORNL Holifield Radioactive Ion Beam Facility (HRIBF), which ceased operations in FY 2012, areon-track and continue with decreasing funding in FY 2017.
Accelerator operations are supported at two university Centers of Excellence with specific goals and unique physics
programs: the Cyclotron Institute at Texas A&M University (TAMU) and accelerator facilities at the Triangle Universities
Nuclear Laboratory (TUNL) at Duke University. A third university center, the Center for Experimental Nuclear Physics andAstrophysics (CENPA) at the University of Washington, provides unique expertise and capabilities for instrumentation
development. NP also supports a small in-house nuclear science program at the LBNL 88-Inch Cyclotron, which provides
important capabilities in materials irradiation to external users.
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The Facility for Rare Isotope Beams (FRIB), under construction at Michigan State University (MSU), will advanceunderstanding of rare nuclear isotopes and the evolution of the cosmos by providing beams of rare isotopes with neutron
and proton numbers far from those of stable nuclei in order to test the limits of nuclear existence. The Gamma-Ray Energy
Tracking Array (GRETA) MIE is one of the primary tools that the community. and NSAC have identified to leverage thecapabilities of FRIB, and SC proposes to begin fabrication in FY 2017. GRETA will have ten times the gamma-ray resolving
power for the vast majority of experiments, and up to a factor of 100 for those requiring multiple gamma-ray correlations.
GRETA’s unprecedented combination of full coverage with high efficiency, and excellent energy and position resolution, will
extend the reach of FRIB’s ability to study the nuclear landscape, provide new opportunities to discover and characterize key
nuclei for electric dipole moment (EDM) searches, and open new areas of study in nuclear astrophysics.
Research
Low Energy research groups at ANL, BNL, LBNL, LANL, LLNL, ORNL, and PNNL, and approximately 170 scientists and 110
graduate students at 41 universities are supported. About two-thirds of the scientists conduct nuclear structure andastrophysics research primarily using specialized instrumentation at the ATLAS scientific user facility, as well as the smaller
accelerator facilities at university-based Centers of Excellence. Scientists are also involved in the development of
instrumentation for the ATLAS facility. The GRETA MIE, discussed above, will be initiated in FY 2017 to provide
unprecedented gamma-ray tracking capabilities for the future FRIB facility. GRETA will revolutionize gamma-ray
spectroscopy providing more than an order of magnitude increased sensitivity for gamma ray coincidence measurements.
The remaining groups primarily conduct research in fundamental symmetries, including experiments at the Fundamental
Neutron Physics Beamline (FNPB) at the Spallation Neutron Source; double beta-decay experiments such as the Cryogenic
Underground Observatory for Rare Events (CUORE) experiment at Gran Sasso Laboratory in Italy and the Majorana
Demonstrator R&D effort at the Sanford Underground Research Facility in Lead, South Dakota; a measurement of theneutrino mass with the Karlsruhe Tritium Neutrino (KATRIN) experiment at the Karlsruhe Institute of Technology in
Karlsruhe, Germany; and R&D to measure the neutron electric dipole moment. Support is also provided to the university
Centers of Excellence to maintain and nurture their unique capabilities.
Operations
ATLAS provides highly reliable stable and selected radioactive beams and specialized instrumentation for scientists to
conduct research on nuclear structure and nuclear astrophysics. Support is provided for the operations, power costs, capital
infrastructure investments, experimental support, and accelerator improvement projects of ATLAS. The recently installed
Electron Beam Ion Source (EBIS) enhances the performance of the CARIBU radioactive beam system by increasing fluxes ofradioactive ion beams and enabling shorter-lived isotopes to be reaccelerated, thereby offering new research capabilities toscientists. Researchers remain engaged in the continuous development of small-scale, yet cutting-edge instrumentation for
new experiments at ATLAS, providing the facility with unique world-wide capabilities. Instrumentation efforts in FY 2017 will
focus on developing and implementing an in-flight radioactive ion separator to increase the intensity of radioactive beams
by several orders of magnitude and deliver beams to a larger number of beam lines in the facility.
The ATLAS facility nurtures a core competency in accelerator science with superconducting radio frequency cavities forheavy ions that are relevant to the next generation of high-performance proton and heavy ion linacs. This competency isimportant to the Office of Science mission and international stable and radioactive ion beam facilities. Efforts continue indeveloping technology that could reduce the backlog of experiments and increase available beam time, such as thecapability to operate stable and radioactive ion beams simultaneously.

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Low Energy Nuclear Physics
Activities and Explanation of Changes
FY 2016 Enacted

FY 2017 Request

Low Energy Nuclear Physics $78,785,000
Research $51,383,000
University and laboratory nuclear structure andnuclear astrophysics efforts continue to focus on
research at ATLAS, university-based Centers of
Excellence, as well as the highest priority
instrumentation development efforts to realize uniquescientific opportunities afforded by stopped, slow, andfast beams at FRIB. Data taking continues at the
Majorana Demonstrator to demonstrate technicalfeasibility of a next generation detector in double beta
decay. Support continues for maintenance andoperations of the GRETINA detector, operations of the
KATRIN experiment, and R&D at the FNPB on thefeasibility of setting a world leading limit on theelectric dipole moment of the neutron (nEDM).

$79,893,000$54,394,000
University and laboratory nuclear structure andnuclear astrophysics efforts will continue to focus on
research at ATLAS, university-based Centers of
Excellence, and high priority instrumentation
development efforts to realize unique scientificopportunities at FRIB and ATLAS. Data taking willcontinue with the Majorana Demonstrator todemonstrate feasibility of this candidate technology
for a next generation detector in double beta decay.
U.S. participation in the operations of the international
KATRIN and CUORE experiments will continue, as doesongoing R&D at the FNPB on the feasibility of setting aworld leading limit on the electric dipole moment of
the neutron (nEDM). A new MIE, GRETA, will be
initiated to provide world-unique opportunities toadvance the rare-isotope science and investigate
nuclear reactions of critical importance for nuclear
structure and nuclear astrophysics at FRIB.

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Explanation of Changes
FY 2017 vs. FY 2016+$1,108,000+$3,011,000
Funding is increased to initiate GRETA, a new MIE thatwill provide an order of magnitude increased
sensitivity for gamma ray coincidence measurements
at FRIB. Instrumentation development efforts increase
to realize the unique opportunities at FRIB. R&D forthe nEDM research effort increases to determine
feasibility of setting world leading limit on the electric
dipole moment of the neutron. U.S. commitments andobligations increase for the operating CUORE andKATRIN experiments.

FY 2017 Congressional Budget Justification

FY 2016 Enacted

FY 2017 Request

Operations $27,402,000
Continued operation of ATLAS in a 7 day per weekmode is a high priority as demand for ATLAS beamtime continues to far exceed availability. FY 2016
funding supports 5,900 hours of beam time, and a
program of modest upgrades continues for the only
operating DOE-supported scientific user facility innuclear structure and astrophysics. Support continues
for equipment disposition activities at HRIBF.

$25,499,000
Operation of ATLAS in a 7 day per week mode
continues to be a high priority as demand for ATLAS
beam time continues to far exceed availability. ATLAS
continues to operate extremely reliably, and funding
will support 5,900 hours of beam time. The Request
will provide modest funding for an additional
mechanical engineer to reduce risk and addressexperimental support needs. Modest upgrades andequipment development will continue in order tomaintain unique instrumentation capabilities and avigorous research program in nuclear structure andnuclear astrophysics. Activities will decrease in FY 2017
for equipment disposition activities at HRIBF, asplanned.

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Explanation of Changes
FY 2017 vs. FY 2016-$1,903,000
Funding decreases due to the ramp down ofdisposition activities at HRIBF, partially offset by anincrease needed to support ATLAS operations.

FY 2017 Congressional Budget Justification

Nuclear Physics
Nuclear Theory
Description
The Nuclear Theory subprogram provides the theoretical support needed to interpret the wide range of data obtained fromthe experimental nuclear science subprograms and to advance new ideas and hypotheses that identify potential areas for
future experimental investigations. Nuclear Theory addresses all three of NP’s scientific thrusts. One major theme oftheoretical research is the development of an understanding of the mechanisms and effects of quark confinement anddeconfinement. A quantitative description of these phenomena through QCD is one of this subprogram’s greatest
intellectual challenges. New theoretical and computational tools are also being developed to describe nuclear many-bodyphenomena; these approaches will likely also see important applications in condensed matter physics and in other areas ofthe physical sciences. Another major research area is nuclear astrophysics, which includes efforts to understand the originsof the elements and the consequences that neutrino masses have for nuclear astrophysics.
This subprogram supports the Institute for Nuclear Theory (INT) at the University of Washington. The second year of new
five-year topical collaborations within the university and national laboratory communities will be supported in FY 2017 toaddress high-priority topics in nuclear theory that merit a concentrated theoretical effort. The Nuclear Theory subprogram
also supports the U.S. Nuclear Data Program (USNDP), which collects, evaluates, and disseminates nuclear physics data forbasic nuclear research and for applied nuclear technologies and their development.
Much of the research supported by the Nuclear Theory subprogram requires extensive access to leading-edge
supercomputers. One area that has a particularly pressing demand for large, dedicated computational resources is Lattice
QCD (LQCD). LQCD calculations are critical for understanding and interpreting many of the experimental results from RHIC,
LHC, and CEBAF. A five-year computer hardware project “LQCD-ext II” started in FY 2015 and is carried out jointly with HEP
to ensure effective coordination. It follows the previous joint efforts that address the computational requirements of LQCD
research by continuing to provide specialized computing resources for LQCD research. Both HEP and NP require this type ofcomputing capability in order to conduct simulations that address their distinct science programs. The partnering of the two
Offices ensures effective coordination to maximize the leverage available for this activity from the infrastructure andintellectual capital of both programs and to prevent duplication of effort on resource-intensive calculations inherently
central to quantum chromodynamics and particle physics research.
SciDAC, a collaborative program with ASCR that partners scientists and computer experts in research teams to address
major scientific challenges that require supercomputer facilities performing at current technological limits, is also supported
within this subprogram. The NP SciDAC program operates on a five year cycle, and supports computationally intensive
research projects jointly with other SC and DOE offices in areas of mutual interest. SciDAC-3 awards were made in FY 2012
and will continue through FY 2016. A new group of SciDAC-4 awards will be selected in FY 2017.
Theory Research
The Nuclear Theory subprogram supports the research programs of approximately 160 university scientists and 120
graduate students at 50 universities, as well as nuclear theory groups at seven national laboratories (ANL, BNL, LANL, LBNL,
LLNL, ORNL, and TJNAF). This research has the goals of improving our fundamental understanding of nuclear physics,
interpreting the results of experiments carried out under the auspices of the experimental nuclear physics program, andidentifying and exploring important new areas of research. Three topical collaborations [JET (QCD in the heavy-ion
environment); NuN (neutrinos and nucleosynthesis in hot and dense matter); and TORUS (low-energy nuclear reactions forunstable isotopes)] completed their work in FY 2015. Based on mission need, the success of the initial cohort of topicalcollaborations, and community support of this program, a new round of 5-year topical collaborations is being initiated in
FY 2016 to bring together theorists to address specific high-priority theoretical challenges. The three new collaborations are:the Beam Energy Scan Theory (BEST) Collaboration, the Coordinated Theoretical Approach to Transverse Momentum
Dependent Hadron Structure in QCD (TMD) Collaboration, and the Nuclear Theory for Double-Beta Decay and Fundamental
Symmetries (DBD) Collaboration. The BEST and TMD proposals are intimately related to lattice QCD, one of nuclear theory’s
greatest intellectual challenges. BEST addresses “hot” QCD and the RHIC beam-energy scan, while TMD deals with “cold”
QCD, three-dimensional hadron structure and spin physics, and looks forward in the direction of a future electron ion
collider (EIC). DBD is focused on using the most up-to-date methods of nuclear structure theory to calculate nuclear matrix
elements for double beta decay cross section and to carry out other fundamental symmetry related calculations. A new
focused effort on FRIB theory has been initiated and will be expanded in FY 2017. This effort is critical to ramping up theory
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FY 2017 Congressional Budget Justificationefforts associated with the planned FRIB scientific program in order to optimize the interpretation of the experimental
results.
Nuclear Data
The USNDP provides current, accurate, and authoritative data for workers in pure and applied areas of nuclear science andengineering. It addresses this goal primarily through maintaining and providing public access to extensive nuclear physics
databases, which summarize and cross-correlate the results of over 100 years of research on nuclear science. These
databases are an important national and international resource, and they currently serve approximately three million
retrievals of nuclear data annually. The USNDP also addresses important gaps in nuclear data through targeted experiments
and the development and use of theoretical models. The program involves the combined efforts of approximately 50
nuclear scientists at 10 national laboratories and universities, and is managed by the National Nuclear Data Center (NNDC)
at BNL. In FY 2017, two recently established USNDP university efforts will receive continued support, one at Michigan State
University, in association with FRIB, and the other at the University of California at Berkeley, in association with the existing
Bay Area Nuclear Data groups at LBNL and LLNL.

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FY 2017 Congressional Budget Justification

Nuclear Theory
Activities and Explanation of Changes
FY 2016 Enacted

Explanation of Changes
FY 2017 vs. FY 2016

FY 2017 Request

Nuclear Theory $45,775,000$46,465,000+$690,000

Theory Research $38,003,000$38,583,000+$550,000

Funding continues to support the highest priority
theoretical research at universities and national
laboratories for the interpretation of experimental
results obtained at NP facilities. Theorists concentrate
on applying QCD to nucleon structure and hadron
spectroscopy, to the force between nucleons, and to
the structure of light nuclei. Advanced dynamic
calculations to describe relativistic nuclear collisions,
nuclear structure and reactions, and topics related tofundamental symmetries focus on activities in
preparation for the research program at the upgraded
CEBAF 12 GeV facility, the research program at theplanned FRIB facility, and ongoing and planned
fundamental symmetries experiments. Funding
continues to support ongoing SciDAC-3 grants and the
LQCD ext-II computing project. Support is provided toinitiate the second round of theory topicalcollaborations.

Funding will continue to support the highest priority
theoretical research at universities and national
laboratories for the interpretation of experimental
results obtained at NP facilities, and the exploration of
new ideas and hypotheses 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,
through the force between nucleons, to the structureof light nuclei. Advanced dynamic calculations to
describe relativistic nuclear collisions, nuclear
structure and reactions, and topics related tofundamental symmetries will continue to focus on
activities related to the research program at the
upgraded 12 GeV CEBAF facility, the research programat the planned FRIB, and ongoing and planned
fundamental symmetries experiments. Funding will
also support a new group of SciDAC-4 grants, thesecond year of the theory topical collaborations
initiated in FY 2016, and the ongoing LQCD ext-II
computing project with HEP.

Funding increases to support the highest priority
theoretical research efforts across the Nuclear Physics
program, and to expand support for a theoreticalcollaboration focused on the science at FRIB.

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FY 2016 Enacted

FY 2017 Request

Nuclear Data $7,742,000
Nuclear data evaluation is the prime nuclear data
product, combining experiment with theory andlinking basic science with applications. The emphasis
in FY 2016 is on the compilation and evaluation of
nuclear reaction and nuclear structure data which will
include advanced nuclear reaction modeling anduncertainty quantification; maintaining and developing
nuclear data formats and data verification codes; andarchiving nuclear physics data and disseminating it
using up to date technology.

$7,882,000
The primary emphasis in the Nuclear Data Program in
FY 2017 will continue to be on the compilation andevaluation of nuclear reaction and nuclear structure
data which will include advanced nuclear reaction
modeling and uncertainty quantification; maintaining
and developing nuclear data formats and data
verification codes; and archiving nuclear physics data
and disseminating it using up to date technology. In
addition, a modest experimental component toaddress gaps in the existing nuclear data will beconsidered.

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Explanation of Changes
FY 2017 vs. FY 2016+$140,000
Funding increases to support recently establisheduniversity efforts at MSU (in association with FRIB) andthe University of California, Berkeley (in association
with LBNL and LLNL), in support of USNDP activities.

FY 2017 Congressional Budget Justification

Nuclear Physics
Isotope Development and Production for Research and Applications a
Description
The Isotope Development and Production for Research and Applications subprogram (DOE Isotope Program) supports the
production, distribution, and development of production techniques for radioactive and stable isotopes in short supply andcritical to the Nation. Isotopes are commodities of strategic importance for the Nation that are essential for energy
exploration and innovation, medical applications, national security, and basic research. The goal of the program is to makekey isotopes more readily available to meet U.S. needs. To achieve this goal, the program incorporates all isotope related
R&D and production capabilities, including facilities and technical staff, required for supply chain management of criticallyimportant isotopes. The subprogram also supports R&D efforts associated with developing new and more cost-effective andefficient production and processing techniques, and on the production of isotopes needed for research purposes. The R&D
activities also provide collateral benefits for training, contributing to workforce development, and helping to ensure a future
U.S.-based expertise in the fields of nuclear chemistry and radiochemistry. These disciplines are foundational not only toradioisotope production, but to many other critical aspects of basic and applied nuclear science as well.
All funding from the Isotope Development and Production for Research Applications subprogram is executed through theIsotope Production and Distribution Program revolving fund. The isotope revolving fund maintains its financial viability by
utilizing the appropriations from this subprogram along with revenues from the sale of isotopes and services. These
resources are used to maintain the staff, facilities, and capabilities at user-ready levels and to support peer-reviewed
research and development activities related to the production of isotopes. Isotopes sold to commercial customers are
priced to recover the full cost of production, or the market price (whichever is higher). Research isotopes are sold at a
reduced price to ensure high priority research requiring them does not become cost prohibitive. Investments in new
capabilities are made to meet the growing demands of the Nation and foster future research in applications that will
support national security and the health and welfare of the public.
Isotopes are critical national resources used to improve the accuracy and effectiveness of medical diagnoses and therapy, toenhance national security, and to improve the efficiency of industrial processes, and provide precise measurement andinvestigative tools for materials, biomedical, environmental, archeological, and other research. Some examples are:
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

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
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


strontium-82 for cardiac imaging;californium-252 for well logging, homeland defense, and energy security;
germanium-68 for the development of gallium-68 radiopharmaceuticals for cancer imaging;berkelium-249, californium-251, and curium-248 for use as targets for discovery of new superheavy elements;
selenium-75 for industrial radiography;
actinium-225, bismuth-213, lead-212, thorium-227, and radium-223 for cancer and infectious disease therapy research;nickel-63 for molecular sensing devices, and lithium-6 and helium-3 for neutron detectors for homeland defense
applications;
lithium-7 as a coolant reagent for pressurized water nuclear power plants;
tungsten-188, strontium-90, and cobalt-60 for cancer therapy;
arsenic-73 as a tracer for environmental research; andsilicon-32 for oceanographic studies related to climate modeling.

Stable and radioactive isotopes are vital to the missions of many Federal agencies including the National Institutes of Health(NIH), the National Institute of Standards and Technology, the Environmental Protection Agency, the Department ofAgriculture, the Department of Homeland Security (DHS), NNSA, and DOE Office of Science programs. NP continues to workin close collaboration with federal organizations to develop strategic plans for isotope production and to establish effective
communication to better forecast isotope needs and leverage resources. Each year, NP conducts an annual workshop,
attended by representatives of all Federal agencies that require stable and radioactive isotopes, to provide a comprehensive
assessment of national needs for isotope products and services, to inform priorities for investments in research fordeveloping new isotope production and processing techniques, to communicate advances in isotope production research
and availability, and to communicate concerns about potential constrained supplies of important isotopes to the federala

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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FY 2017 Congressional Budget Justification
265

agencies. The Isotope Program participates in a number of federal Working Groups and Interagency groups to promote
communication, including the White House Office of Science and Technology Policy (OSTP) working group on molybdenum99 (Mo-99), the National Science and Technology Committee (NSTC) Subcommittee on Critical and Strategic Mineral Supply
Chains, the Interagency Group on Helium-3, which it leads, that reports to the White House National Security Staff, and the
OSTP Interagency Working Group on Alternatives to High-Activity Radioactive Sources (GARS). NP participates in theCertified Reference Material Working Group which assures material availability for nuclear forensics applications that
support national security missions and also the Nuclear Regulatory Committee on Alternatives to Sealed Sources. As aservice, the Isotope Program collects demand and usage information on helium-4 from the federal complex and provides itto the Bureau of Land Management (BLM) so that BLM can optimize their plans for the helium-4 federal reserve.
While the Isotope Program is not responsible for the production of Mo-99, which is the most widely used isotope indiagnostic medical imaging in the Nation, it works closely with NNSA, the lead entity responsible for domestic Mo-99
production, offering technical and management support. Consistent with the National Defense Authorization Act for Fiscal
Year 2013, NP also oversees proceedings of the Nuclear Science Advisory Committee in response to a charge to annuallyassess progress by NNSA toward ensuring a domestic supply of Mo-99. Additionally, NP participates in the international
High-Level Group on the Security of Supply of Medical Isotopes lead by the Organisation for Economic Co-operation andDevelopment (OECD).
The mission of the Isotope Program is facilitated by the National Isotope Development Center (NIDC), which is a virtual
center that interfaces with the user community and manages the coordination of isotope production across the facilities
and business operations involved in the production, sale, and distribution of isotopes. The NIDC includes the Isotope
Business Office, which is located at ORNL.
ResearchResearch is supported to develop new or improved production or separation techniques for high priority isotopes in short
supply. Research investments tackle challenges in the efficiency of producing critical isotopes, and develop production
methods for isotopes of interest to federal agencies and other stakeholders, when no production route is in existence,
enabling new applications and research. Priorities in research isotope production are informed by guidance from NSAC as
described in the 2015 Long Range Plan for the DOE-NP Isotope Program published in July 2015 under the title “Meeting
Isotope Needs and Capturing Opportunities for the Future.” The Isotope Program has also funded research to demonstratetechnical feasibility of modern stable isotope enrichment devices to provide the Nation with small-scale enrichment
capabilities that have been absent since the DOE calutrons ceased operation in 1998. The U.S. is currently dependent on
foreign sources for supplies of stable isotopes; the U.S. inventory has been depleted in the cases of some specific isotopes.
The R&D program also develops domestic production capabilities for important radioisotopes for which the U.S. isdependent on foreign sources.
Another high priority is a long-term research effort to produce actinium-225, an isotope that shows great promise in thetreatment of diffuse cancers and infections if it can be produced in sufficient quantity and quality. In work performed in
FY 2015, production research efforts focused on demonstrating that the accelerator produced isotope functions
equivalently to the material derived from the decay of thorium-229 which is presently the only viable source of small
quantities of actinium-225. Samples of the isotope produced by the accelerator production approach have been evaluatedby several different researchers involved in medical applications research and results indicate that the accelerator produced
material works virtually identically to the thorium-229 generated material. The accelerator route of production has thepotential to provide quantities sufficient to support both research trials and ultimately clinical applications in the future.
Research into the development of methods to consistently provide high production and recovery yields of astatine-211 forcancer therapy at the University of Washington have also proven successful, and the university site is preparing to start the
production of this promising isotope for the Isotope Program. Also, in anticipation of the opportunity FRIB will provide as aunique source of many important isotopes for research and applications, scientists are exploring technologies to potentiallyharvest some of the isotopes that will be produced during physics research experiments. Recent research results have also
demonstrated technical feasibility of a potential new production route for lithium-7, an isotope used as a coolant reagent inpressurized water nuclear power plants. Currently, the U.S. is dependent upon foreign supplies of lithium-7 which are notalways reliable; this successful research could provide a path for re-establishing domestic production of lithium-7.
Starting in FY 2017, NP will provide support for a graduate traineeship activity in radiochemistry and nuclear chemistry with
an emphasis in isotope production to assure the ongoing availability of the very specialized workforce necessary to produce
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radioactive and enriched stable isotopes, including target processing and radionuclide purification using remote handlingfacilities such as hot-cells, glove-boxes, robotics and other forms of automation. The DOE Isotope Program, as well as otherfields in the physical sciences, depend heavily on highly trained people in the disciplines of radiochemistry and nuclear
chemistry to support its mission. Several recent reports have pointed to a shortage of production expertise and trained
personnel in these disciplines. This new initiative is planned for $1,000,000 per year for 5 years, and will support 10-20
students per year.
Operations
The Isotope Program is steward of the Isotope Production Facility (IPF) at Los Alamos National Laboratory (LANL) and the
Brookhaven Linac Isotope Producer (BLIP) facility at BNL, and provides support for hot cell facilities for processing andhandling irradiated materials and purified products at ORNL, BNL, and LANL. Facilities at other sites are used as needed,such as the Idaho National Laboratory reactor for the production of cobalt-60, the Pacific Northwest National Laboratory forprocessing and packaging strontium-90, the Y-12 National Security Complex for processing and packaging lithium-6 andlithium-7, and the Savannah River Site for the extraction and distribution of helium-3. In addition to isotope production at
DOE facilities, the Isotope Program is funding production at universities with capabilities beyond those available in the
stewarded facilities, such as an alpha-particle cyclotron at the University of Washington that developed full-scale productionof astatine-211 to support research into the use of the isotope in cancer therapy.
The DOE Isotope Program has invested R&D funds since 2009 to develop stable isotope separation technology at ORNL, ahigh priority identified by the NSAC Subcommittee on Isotopes in 2009. The R&D effort is on track for completion in
FY 2016, which will result in a prototype capability to produce small research quantities of enriched stable isotopes startingin FY 2017. The prototype demonstration has been established in a location that is capable of expansion and the resulting
capability developed is completely scalable to produce kg quantities of enriched stable isotopes in a cost-effective manner.
The FY 2017 Request includes funding to initiate the Stable Isotope Production Facility (SIPF) MIE to help meet the demand
for a domestic capability to produce enriched stable isotopes for basic research, medical and industrial applications.
Examples of discovery research efforts which could benefit from the requested facility are neutrinoless double beta decay
experiments in nuclear physics and dark matter experiments in high-energy physics that are interested in kg quantities ofenriched stable isotopes, which are not presently available in the U.S. Similarly, the accelerator-production route for Mo-99,
a critical medical isotope for cardiac imaging, relies on a feedstock of enriched Mo isotopes, which are also unavailable
domestically. Stable isotopic nuclides of heavier elements used for agricultural, nutritional, industrial, environmental,
ecological, and computing applications could also be produced.

Science/Nuclear Physics

267

FY 2017 Congressional Budget Justification

Isotope Development and Production for Research and Applications
Activities and Explanation of Changes
FY 2016 Enacted

Explanation of Changes
FY 2017 vs. FY 2016

FY 2017 Request

Isotope Development and Production for Researchand Applications $21,337,000
Research $6,033,000$29,370,000+$8,033,000$10,344,000+$4,311,000

Funding continues support for competitive R&D
awards to universities and laboratories, as well as forsupport to laboratory research groups at LANL, BNL,
and ORNL. Development of production techniques foralpha-emitting radionuclides for medical therapy
continues to be a priority, and is being implemented
through a concerted collaborative R&D effort byexperts at the national laboratories, particularly at
BNL, LANL, and ORNL. Research at universities andnational laboratories is also leading to new isotope
production technologies and effectively engaging andtraining students and post-docs in nuclear chemistry
and radiochemistry.

Funding will continue support for competitive R&D
activities at universities and laboratories. Priorities forthe development of production routes for isotopes inshort supply will continue to be guided by the NSAC
reports and federal input regarding what isotopes areneeded to accomplish federal missions in research andhomeland security. Development of production
techniques for alpha-emitting radionuclides for
medical therapy will continue to be a priority.
Research at universities and national laboratories will
also continue, leading to new isotope production
technologies and effectively engaging and training
students and post-docs in nuclear chemistry andradiochemistry. A new graduate traineeship activity inradiochemistry and nuclear chemistry with anemphasis in isotope production will be initiated in
FY 2017.

Consistent with recommendations of the July 2015
NSAC report, support is increased in FY 2017 to enable
innovative approaches to produce and process criticalisotopes for the Nation, including R&D into the
production of the high priority alpha-emitters forclinical trials; such isotopes could revolutionize cancer
therapy by effectively treating cancers that havealready metastasized. Another focus is R&D on
developing domestic production capabilities forimportant isotopes for which the U.S. is dependent on
foreign sources. The request also supports a
traineeship for between 10 and 20 graduate students
per year in radiochemistry and nuclear chemistry,
nurturing a critical expertise needed for isotope
production, and with benefits to many fields in physics
and chemistry in general.

Science/Nuclear Physics

268

FY 2017 Congressional Budget Justification

FY 2016 Enacted

FY 2017 Request

Operations $15,304,000
Support provides for infrastructure and maintenanceof facilities, core competencies in isotope production
and development, and for the NIDC. The maintenanceof aging facilities continues to be a funding priority tomaintain isotope production capabilities. Funding for
program investments and production of particularisotopes is informed by the Nuclear Science Advisory
Committee’s updated long-range plan for the Isotope
Program (completed in FY 2015) and the Federal
workshop held in the fall of 2015.

$19,026,000
Support will provide for infrastructure andmaintenance of facilities, core competencies in isotope
production and development, and for the NIDC. The
maintenance of aging facilities continues to be afunding priority to maintain isotope production
capabilities. Funding for program investments andproduction of particular isotopes will be informed by
the recently released Nuclear Science Advisory
Committee’s updated long-range plan for the Isotope
Program and by information obtained from the
Isotope Program’s annual Federal workshops.
Operations support for the prototype capability to
produce small research quantities of enriched stable
isotopes will be initiated, and funding is requested for
an MIE for a stable isotope capability.

Science/Nuclear Physics

269

Explanation of Changes
FY 2017 vs. FY 2016+$3,722,000
Funding is requested to initiate the Stable Isotope
Production Facility (SIPF) MIE to provide a domestic
capability for the production of stable enrichedisotopes for research and applications. Building upon
R&D supported by the Isotope Program which
established technical feasibility of a cost-effective
approach for re-establishing this capability in the U.S.,
this MIE will enable replenishment of the U.S. stable
isotope inventory which has been depleted for several
key isotopes, and help mitigate U.S. dependence on
foreign supplies of stable isotopes. Stable isotopic
nuclides of heavier elements are used for agricultural,
nutritional, industrial, environmental, ecological andcomputing applications. Increased funding is also
requested to initiate operations of the prototype
stable isotope capability and to maintain mission
readiness of all isotope program facilities.

FY 2017 Congressional Budget Justification

270

Nuclear Physics
Construction
Description
Funding in this subprogram provides for design and construction of scientific research facilities needed to meet overall
objectives of the Nuclear Physics program. Currently NP has two ongoing projects, for which only one will be receiving
construction line item funding in FY 2017.
The 12 GeV CEBAF Upgrade at TJNAF, which was identified in the 2007 NSAC Long-Range Plan as the highest priority for the
U.S. Nuclear Physics program, will enable scientists to address one of the mysteries of modern physics—the mechanism ofquark confinement. FY 2016 was the last year of construction funding for the project and FY 2017 will support the final yearof commissioning. Completion is planned by September 2017.
Construction of the Facility for Rare Isotope Beams (FRIB) at Michigan State University (MSU) continues according tobaselined project plans. 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 theelements and the evolution of the cosmos. It offers a facility for exploring the limits of nuclear existence and identifying new
phenomena, with the possibility that a broadly applicable theory of the structure of nuclei will emerge. FRIB will provide anessential scientific tool for over 1,300 scientists each year from across academic, industrial and government institutions. The
project is funded through a cooperative agreement with Michigan State University and was established as a control point in
the FY 2014 appropriation. Prior to that time, funding was provided within the Low Energy subprogram.

Science/Nuclear Physics

271

FY 2017 Congressional Budget Justification

Construction
Activities and Explanation of Changes
FY 2016 Enacted

Explanation of Changes
FY 2017 vs. FY 2016

FY 2017 Request

Construction $107,500,000$100,000,000-$7,500,000

06-SC-01, 12 GeV CEBAF Upgrade, TJNAF $7,500,000$0-$7,500,000

With the scheduled commissioning of the Hall D
experimental equipment in FY 2015, the FY 2016
federal funds support procurements, fabrication,
installation, and commissioning of the experimental
equipment primarily in Halls B and C; and addresscontinuing project risks in order to optimize thesuccessful completion of this project within thecurrent TEC baseline. FY 2016 is the final year of TEC
funding for the project as it works towards completion(CD-4B) by the end of FY 2017.
14-SC-50, Facility for Rare Isotope Beams (FRIB)$100,000,000
Work on conventional facilities continues as well as
construction of items such as the linear accelerator(linac) tunnel and the target, linac support, andcryoplant areas. The technical systems are fully
underway including efforts such as major
procurements, fabrication, and assembly for technicalcomponents such as the linac, cryomodules, andexperimental systems.

FY 2016 was the final year of TEC funding. Projectcompletion (CD-4B) is planned by the end of FY 2017.

The decrease reflects the last year of construction line
item funding in FY 2016.

$100,000,000$0Science/Nuclear Physics

FY 2017 funding will support the completion of some
FY 2017 funding is the same as FY 2016, consistent
key conventional construction such as the target highwith the baselined project profile; these are the peakbay, linac support area, and the cryoplant area. It also years of funding for FRIB.
will enable the start of work on the cryogenics plantand distribution system which are on the project’s
critical path. The major procurements, fabrication, andassembly efforts will continue on the technical systems
such as the linac front end, cryomodules, andexperimental systems.

272

FY 2017 Congressional Budget Justification

Nuclear Physics
Performance Measure
In accordance with the GPRA Modernization Act of 2010, the Department sets targets for, and tracks progress toward, achieving performance goals for each program.
The following table shows the targets for FY 2015 through 2017. Details on the Annual Performance Report can be found at http://energy.gov/cfo/reports/annualperformance-reports.
Performance
Goal (Measure)
TargetResultEndpoint Target

Performance
Goal (Measure)
TargetResultEndpoint Target
Performance
Goal (Measure)
TargetResultEndpoint Target

FY 2015
FY 2016
FY 2017
NP Facility Operations—Average achieved operation time of NP user facilities as a percentage of total scheduled annual operation time.
≥ 80%
≥ 80%
≥ 80%
Met
TBD
TBD
Many of the research projects that are undertaken at the Office of Science’s scientific user facilities take a great deal of time, money, and effort toprepare, and regularly have a very short window of opportunity to run. If the facility is not operating as expected the experiment could be ruined or
critically setback. In addition, taxpayers have invested millions or even hundreds of millions of dollars in these facilities. The greater the period of
reliable operations, the greater the return on the taxpayers’ investment.
NP Construction/MIE Cost & Schedule—Cost-weighted mean percentage variance from established cost and schedule baselines for major
construction, upgrade, or equipment procurement projects.
< 10%
< 10%
< 10%
Met
TBD
TBD
Adhering to the cost and schedule baselines for a complex, large scale, science project is critical to meeting the scientific requirements for the project
and for being good stewards of the taxpayers’ investment in the project.
Conduct fundamental research to discover, explore, and understand all forms of nuclear matter.
Measure bulk properties, particle spectra,
Perform measurements for identified hadrons
Demonstrate the capability to extend thecorrelations and fluctuations in gold + goldwith heavy flavor valence quarks to constrain
sensitivity of searches for neutrinoless doublecollisions at Relativistic Heavy Ion Collider (RHIC) the mechanism for parton energy loss in thebeta decay by at least a factor of 5.
to search for evidence of a critical point in thequark-gluon plasma at the Relativistic Heavy Ion
Quantum Chromodynamics (QCD) matter phase Collider (RHIC).
diagram.
Met
TBD
TBD
Increase the understanding of the existence and properties of nuclear matter under extreme conditions, including that which existed at the beginningof the universe. Measure fundamental properties of neutrinos to improve our current understanding of the interactions of elementary particles.

Science/Nuclear Physics

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FY 2017 Congressional Budget Justification

Nuclear Physics
Capital Summary ($K)
Prior Years

FY 2015
EnactedFY 2015
Current

FY 2016
EnactedFY 2017
RequestFY 2017 vsFY 2016

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

14,7502,000
4,249
20,999

5,993
2,000
3,649
11,642

15,4522,000
4,377
21,82918,2642,000
4,472
24,736+2,8120+95+2,907

n/a

0

0

0

500

+500

n/a
n/a
n/a

0
14,75014,750

0
5,993
5,993

0
15,452
15,4522,500
15,264
18,264+2,500-188+2,812

n/a

n/a

2,000

2,000

2,000

2,000

0

8,300
n/a
n/a

2,800
n/a
n/a

2,300
1,949
4,249

2,300
1,349
3,649

1,869
2,508
4,377

1,331
3,141
4,472

-538
+633
+95

General Plant Projects
General plant projects under $5 million TEC

2,000

2,000

2,000

2,000

0

Accelerator Improvement Projects (AIP)
Other projects under $5 million TEC
Total, Accelerator Improvement Projects

4,522
4,522

4,573
4,573

4,625
4,625

4,678
4,678

0
0

Total
Capital Operating Expenses Summary
Capital equipment
General plant projects (GPP)
Accelerator improvement projects (AIP)
Total, Capital Operating Expenses
Capital Equipment
Gamma-Ray Energy Tracking Array (GRETA) MIE aStable Isotope Production Facility (SIPF) MIE b
Total Non-MIE Capital Equipment
Total, Capital Equipment
General Plant Projects
General plant projects under $5 million TEC
Accelerator Improvement Projects (AIP)
RHIC Low Energy Electron Cooling
Other projects under $5 million TEC
Total, Accelerator Improvement Projects

a

n/a
n/a
n/a
n/a
52,00067,000
9,500 -10,500n/an/aThis project is not yet baselined. This project received CD-0 in September, 2015 with a cost range of $52,000,000 to $67,000,000.
This project is not yet baselined. This project received CD-0 in September, 2015 with a cost range of $9,500,000 to $10,500,000.
Science/Nuclear Physics
FY 2017 Congressional Budget Justification274bMajor Items of Equipment Descriptions
Low Energy Nuclear Physics
The Gamma-Ray Energy Tracking Array (GRETA) detector directly supports the Nuclear Physics mission by addressing the goal to understand the structure of nuclear
matter, the processes of nuclear astrophysics, and the nature of the cosmos. A successful implementation of this detector will represent a major advance in gamma-ray
tracking detector technology that will impact nuclear science, as well as detection techniques in homeland security and medicine. GRETA will provide unprecedented
gains in sensitivity, addressing several high priority scientific topics, including how weak binding and extreme proton-to-neutron asymmetries affect nuclear properties
and how the properties of nuclei evolve with changes in excitation energy and angular momentum. GRETA will provide transformational improvements in efficiency,
peak-to-total ratio and higher position resolution than the current generation of detector arrays. Particularly, the capability of reconstructing the position of theinteraction with millimeter resolution is needed to fully exploit the physics opportunities of FRIB. Without GRETA, FRIB will rely on existing instrumentation. In thatevent, beam-times necessary for the proposed experiments will be expanded significantly, and some proposed experiments will not be feasible at all. CD-0 was
approved in September 2015 with an estimated Total Project Cost of $52,000,000–$67,000,000. CD-1 is planned for FY 2017. The FY 2017 Request for GRETA of$500,000 is the first year of Total Estimated Cost (TEC) funding.
Isotope Development and Production for Research and Applications
The Stable Isotope Production Facility (SIPF). The DOE Isotope Program has invested R&D funds since 2009 to develop stable isotope separation technology at ORNL, ahigh priority identified by the NSAC Subcommittee on Isotopes in 2009. The R&D effort is on track for completion in FY 2016, which will result in a prototype capability
to produce small research quantities of enriched stable isotopes starting in FY 2017. The capability has been established in a location which is capable of expansion; thecapability is completely scalable to produce kg quantities of enriched stable isotopes in a cost-effective manner. There is a high demand for a domestic capability to
produce enriched stable isotopes for basic research, medical and industrial applications. For example, neutrinoless double beta decay experiments in nuclear physics
and dark matter experiments in high-energy physics are interested in kg quantities of enriched stable isotopes, which are not available in the U.S. The acceleratorproduction route for Mo-99, a critical medical isotope for cardiac imaging, which is being supported by NNSA, relies on a feedstock of enriched Mo isotopes, which arealso not available domestically. Stable isotopic nuclides of heavier elements are used for agricultural, nutritional, industrial, environmental, ecological and computing
applications could also be produced. Funding is requested in FY 2017 for this Major Item of Equipment to initiate fabrication of a domestic production facility for fullscale production of stable enriched isotopes to help mitigate the dependence of the U.S. on foreign suppliers and meet the high demands for enriched stable isotopes
for the Nation. Funding would provide the needed infrastructure and services, optimize the design of small centrifuges to isotopes of interest, and purchase multiple
units of the electromagnetic separators and small gas centrifuge cascades. CD-0 was approved September 2015 with an estimated Total Project Cost of $9,500,000–$10,500,000. CD-1 is planned for FY 2017. The FY 2017 Request for SIPF of $2,500,000 is the first year of TEC funding.

Science/Nuclear Physics

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FY 2017 Congressional Budget Justification

Nuclear Physics
Construction Projects Summary ($K)

06-SC-01, 12 GeV CEBAF Upgrade, TJNAF
TEC
OPC
TPC
14-SC-50, Facility for Rare Isotope Beams
DOE TPC
Total, Construction (TPC) All Construction
Projects

Total

Prior Years

FY 2015
EnactedFY 2015
Current

FY 2016
EnactedFY 2017
RequestFY 2017 vsFY 2016

310,500
27,500338,000

286,500
17,500304,000

16,5004,500
21,00016,5004,500
21,0007,500
4,500
12,000

0
1,000
1,000

-7,500-3,500-11,000

635,500 a

128,000 b

90,00090,000100,000

100,000

0

n/a

n/a

111,000

111,000

112,000

101,000-11,000

Funding Summary ($K)

Research
Scientific User Facilities Operations
Other Facility Operations
Projects
Major Items of Equipment
Facility for Rare Isotope Beams
12 GeV Upgrade TEC
Total Projects
Other cTotal Nuclear Physicsa

FY 2015 Enacted
165,828
280,663
24,313

FY 2015 Current
167,195
280,873
24,313

FY 2016 Enacted
176,815
288,957
24,507FY 2017 Request
187,151
303,038
22,826090,00016,500106,500
18,196595,500

0
90,00016,500106,500
1,863
580,7440
100,000
7,500
107,500
19,321
617,100

3,000
100,0000
103,000
19,643635,658

FY 2017 vs FY 2016
+10,336+14,081-1,681+3,0000-7,500-4,500+322+18,558

This is the DOE TPC; MSU’s cost share is $94,500,000 bringing the total project cost to $730,000,000. FRIB is funded with operating dollars through a Cooperative
Agreement financial assistance award with a work breakdown structure (WBS) that is slightly different from typical federal capital assets. The WBS totals $730,000,000
including MSU’s cost share. Because the WBS scope is not pre-assigned to DOE or MSU funds, DOE’s baseline of $635,500,000 cannot be broken down between TEC andOPC.
b
A portion of the PY funding was provided within the Low Energy subprogram. The FY 2014 appropriation established FRIB as a control point.
cIncludes SBIR/STTR funding in FY 2015 Enacted and FY 2016–FY 2017.
Science/Nuclear Physics
FY 2017 Congressional Budget Justification
276

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

TYPE A FACILITIESCEBAF (TJNAF) a
Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hoursa

FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request

FY 2017 vsFY 2016$108,694
1,235
0
0
0
N/A
N/A

$109,512
1,380
0
0
0
N/A
N/A

$110,090
1,380
N/A
0
0
N/A
N/A

$114,365
1,380
N/A
2,890
3,330
86.8%
N/A

+$4,275
0N/A+2,890+3,330+86.8%
N/A

During FY 2015–2016, there are no research hours to which the CEBAF facility will be held accountable while the 12 GeV upgrade is commissioned and reliability is low.
In FY 2015, approximately 18 weeks and in FY 2016, approximately 16 weeks of machine development are supported. The user community remained active during the
shutdown with instrumentation and equipment implementation for the upgraded facility so they continue to be shown in these years. During FY 2017, the planned
operating hours and optimal hours include 330 hours of operations (commissioning) that are supported from 12 GeV CEBAF Upgrade OPC funding, or preops, that arepart of the project TPC.
Science/Nuclear Physics
FY 2017 Congressional Budget Justification
277

FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request

FY 2017 vsFY 2016

TYPE A FACILITIESRHIC (BNL)
Number of Users
Achieved operating hours a
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$172,579
1,200
3,389
2,770
4,100
82.7%
0

$172,522
1,200
3,389
2,770
4,100
82.7%
0

$179,152
1,200
N/A
2,490
4,100
60.7%
N/A

$186,764
1,200
N/A
3,040
4,100
74.1%
NA

+$7,612
0
N/A
+550
0
+13.4%NA

ATLAS (ANL) b
Number of Users
Achieved operating hours c
Planned operating hours
Optimal hours
Percent optimal hours
Unscheduled downtime hours$21,892
400
6,686
5,900
6,200
107.8%
0$21,892
420
6,686
5,900
6,200
107.8%
0$22,390
420
N/A
5,900
6,200
95.2%
N/A

$23,390
420
NA
5,900
6,600
89.4%
NA

+$1,000
0
N/A
0
+400
-5.8%
NA

Total Scientific User Facility Operations$302,926$303,926$311,632$324,519+$12,887

3,000
10,0758,670
10,300
85.5%
0

3,000
10,0758,670
10,300
85.5%
0

3,000
N/A
8,390
10,300
64.6%
N/A

3,000
N/A
11,83014,030
79.7%
N/A

0
N/A
+3,440+3,730+15.1%
NA

Number of Users
Achieved operating hours
Planned operating hours
Optimal hours
Percent of optimal hours dUnscheduled downtime hoursa

While the length of the RHIC run was just slightly longer than planned (22.4 weeks vs. 22 weeks planned), RHIC was able to achieve 122% of the planned operating
hours in FY 2015 as a result of outstanding performance and record reliability of the machine (87.5% vs. 82.5% planned). The high machine reliability, excellent
performance of machine upgrades and of both detectors, and a very effective ramp-up of the luminosity allowed RHIC to exceed the luminosity goals for the twoscheduled modes in FY 2015, p+p and p+Au.
b
The optimal hours at ATLAS in FY 2015–2017 vary due to planned downtime for installation of upgrades.
c
ATLAS was able to achieve 113% of the planned operating hours in FY 2015 as a result of postponing planned maintenance and installation of equipment in order tomaximize the time and benefits of the reaccelerated CARIBU beam campaign with GRETINA.
d

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

Science/Nuclear Physics

278

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

FY 2017 Congressional Budget Justification

Scientific Employment

Number of permanent Ph.D.’s (FTEs)
Number of postdoctoral associates (FTEs)
Number of graduate students (FTEs)
Other aFY 2015 Enacted
844
344
522
1,050

FY 2015 Current
844
344
522
1,050

FY 2016 Enacted
820
330
510
1,035

FY 2017 Estimate
825
330
530
1,035

FY 2017 vs. FY 2016
+5
0
+20
0

a

Includes technicians, engineers, computer professionals, and other support staff.
Science/Nuclear Physics

279

FY 2017 Congressional Budget Justification

280

14-SC-50, Facility for Rare Isotope Beams (FRIB)
Michigan State University (MSU), East Lansing, MI
Project is for a Cooperative Agreement
1.

Significant Changes and Summary

Significant Changes
This Project Data Sheet (PDS) is an update of the FY 2016 PDS and does not include a new start for FY 2017. There are no
significant changes.
Summary
The most recent approved Critical Decision (CD) for the Facility for Rare Isotope Beams (FRIB) project is CD-3B, Approve
Start of Construction of the Accelerator and Experimental Systems, which was approved on August 26, 2014, with a DOE
Total Project Cost (TPC) of $635,500,000, and a scheduled CD-4 by 3Q FY 2022. Michigan State University (MSU) is providing
an additional cost share of $94,500,000, bringing the total project cost to $730,000,000. Start of civil construction officiallybegan in March 2014, and technical construction began in August 2014. Since the start of the civil and technicalconstruction, multiple independent project assessments have determined the project is proceeding on track within theestablished project baseline. There are no changes in the scope, cost, and schedule since the establishment of the project’sbaseline.
FRIB is funded through a cooperative agreement financial assistance award with MSU per 10 CFR 600, and the project isrequired by this agreement to follow the principles of the DOE Order 413.3B. Funding tables contained in sections 3, 5, and
6 of this PDS differ slightly in how the baseline is presented from a traditional PDS for a federal capital asset construction
project in that they include the MSU cost share. The table in section 7, Schedule of Appropriation Requests, displays only
DOE funding.
A Federal Project Director with certification level 4 has been assigned to this project and approves this PDS.
2.

Critical Milestone History

CD-0

Conceptual
DesignComplete(fiscal quarter or date)
Final
DesignCD-3A
Complete

CD-1

CD-2

FY 2011 2/9/2004

4Q
FY 2010TBD

FY 2012 2/9/2004

9/1/2010

FY 2013 2/9/2004

9/1/2010

FY 2014 2/9/2004

9/1/2010

FY 2015 2/9/2004

9/1/2010

8/1/2013

4Q FY 2014

4Q
FY 2012TBD
3Q
FY 2013

CD-3B

D&D
Complete

TBD

TBD

TBD

N/A

TBD

TBD

TBD

N/A

TBD

TBD
3Q
FY 2013TBD

N/AFY 2017–2019
FY 2018–
2020
TBD

TBD

N/A

TBD

8/1/2013

4Q
FY 2014N/A

TBD

FY 2016 2/9/2004

9/1/2010

9/1/2010

8/1/2013

8/26/2014 a

8/1/2013

8/26/2014

N/A

FY 2017 2/9/2004

9/1/2010

9/1/2010

8/1/2013

8/26/2014a

8/1/2013

8/26/2014

N/A

a

CD-4

3Q
FY 2022
3Q
FY 2022
3Q
FY 2022

This date represents when the design was substantially complete to allow the start of technical construction (CD-3B). A
limited amount of design effort will continue through 4Q FY 2017.
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CD-0 – Approve Mission Need
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
CD-3A – Approve Start of Civil Construction
CD-3B – Approve Start of Technical Construction
CD-4 – Approve Start of Operations or Project Closeout
D&D Complete – Completion Demolition & Decontamination
3.

Project Cost History a(dollars in thousands)

FY 2015
FY 2016
FY 2017
4.

Design/Construction
655,700
655,700
655,700

R&D/Conceptual
Design/NEPA
24,60024,60024,600Pre-Operations
49,70049,70049,700Total TPC
730,000
730,000
730,000

Less MSU Cost
Share
-94,500-94,500-94,500

DOE TPC
635,500
635,500
635,500

Project Scope and Justification

Scope
FRIB scope includes the design, construction, fabrication, assembly, testing, and commissioning of the civil and technicalscope that will enable high intensity primary beams of stable isotopes to be accelerated up to a minimum energy of 200
MeV per nucleon by a superconducting linear accelerator (linac) capable of delivering 400 kW of beam power at full energy.
The scope also includes the capability for secondary beams of rare isotopes to be produced “in-flight” and separated fromunwanted fragments by magnetic analysis. In support of these capabilities, the civil construction portion includes a structureof approximately 220,000 square feet that will house the linac tunnel, target high bay area, linac support area, and cryoplantarea. The technical scope includes a 2K/4.5K cryogenics plant, linac front end, cryomodules, and experimental systems.
CD-4 Key Performance Parameters
SystemParameter
Accelerator
Accelerate heavy-ion beam
SystemExperimental Produce a fast rare isotope beam of
Systems
Selenium-84
Stop a fast rare isotope beam in gas
and reaccelerate a rare isotope beam
Conventional Linac tunnel
Facilities
Cryogenic helium liquefier plant—
building and equipment
Target areaaPerformance Criteria
Measure FRIB driver linac Argon-36 beam with energy larger than
200 MeV per nucleon and a beam current larger than 20 pico nanoamps (pnA).
Detect and identify Selenium-84 isotopes in FRIB fragment separator
focal plane
Measure reaccelerated rare isotope beam energy larger than 3 MeV
per nucleon
Beneficial occupancy of subterranean tunnel structure of
approximately 500 feet path length (minimum) to house FRIB driver
linear accelerator
Beneficial occupancy of the cryogenic helium liquefier plant building
and installation of the helium liquefier plant complete
Beneficial occupancy of target area and one beam line installed andready for commissioning

Because this project is funded with operating dollars through a financial assistance award, its baseline is categorizedthrough a work breakdown structure (WBS), which is slightly different from typical federal capital assets. Note that the
project’s WBS totals $730,000,000 including MSU’s cost share. The WBS scope is not pre-assigned to DOE or MSU funds.
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As contractually required under the financial assistance award agreement, FRIB is being conducted in accordance with the
project management principles in DOE O 413.3B, Program and Project Management for the Acquisition of Capital Assets,
and all appropriate project management requirements have been met.
Justification
The science which underlies the FRIB mission is a core competency of nuclear physics: understanding how protons andneutrons combine to form various nuclear species; understanding how long chains of different nuclear species survive; andunderstanding how one nuclear species decays into another and what is emitted when that happens. Forefront knowledge
and capability in this competency is essential, both for U.S. leadership in this scientific discipline and to provide theknowledge and workforce needed for numerous activities and applications relevant to national security and economic
competitiveness.
FRIB will provide intense beams of rare isotopes for a wide variety of studies in nuclear structure, nuclear astrophysics, andother topics in nuclear physics. This facility will enable the study of the origin of the elements and the evolution of thecosmos, and offers an opportunity for exploring the limits of nuclear existence and identifying new phenomena, with thepossibility that a more broadly applicable theory of nuclei will emerge. The facility will offer new glimpses into the origin of
the elements, leading to a better understanding of key issues by creating exotic nuclei that, until now, have existed only innature’s most spectacular explosion, the supernova.
FRIB is optimized to produce large quantities of a wide variety of rare isotopes by breaking stable nuclei into rare isotopes.
High intensity primary beams of stable isotopes are produced in Electron Cyclotron Resonator (ECR) ion sources andaccelerated up to a minimum energy of 200 MeV per nucleon by a superconducting linear accelerator capable of delivering
400 kW of beam power at full energy. Secondary beams of rare isotopes are produced “in-flight” and separated fromunwanted fragments by magnetic analysis. These rare isotope beams are delivered to experimental areas or stopped in asuite of ion-stopping stations where they can be extracted and used for experiments at low energy, or reaccelerated for
astrophysical experiments or for nuclear structure experiments. The project includes the necessary infrastructure andsupport facilities for operations and the 1,000-person user community.
5.

Financial Schedule a
Appropriations
DOE Total Project Cost (TPC)FY 2009
FY 2010
FY 2011
FY 2012FY 2013
FY 2014 c
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019a

7,000
12,00010,00022,00022,00055,00090,000100,000
100,000
97,20075,000(dollars in thousands)
Obligations
7,000
12,00010,00022,00022,00055,00090,000100,000
100,000
97,20075,000Costs b4,164
13,283
11,553
18,91920,67748,36979,266
113,000
102,000
98,20076,000The funding profile represents DOE’s portion of the baselined TPC to be provided through federal appropriations.
Costs through FY 2015 reflect actual costs; costs for FY 2016 and the outyears are estimates.
c
The first project data sheet submitted for FRIB was in the FY 2015 Congressional Budget Request. It was established as acontrol point in the FY 2014 appropriation. Funding for the project in FY 2013 and prior years was provided within the Low
Energy subprogram.
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(dollars in thousands)
Appropriations
Obligations
40,00040,000
5,300
5,300
0
0
635,500
635,500

FY 2020
FY 2021
FY 2022
Total, DOE TPC
6.

Costs b41,0006,300
2,769
635,500

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

Design & Construction

7.

Management and Support
Conventional Facilities
Accelerator Systems
Experimental Systems
Contingency (DOE Held)
Total, Design & Construction

40,817
191,302258,465
58,259106,907655,750

41,34035,400165,720
244,837
54,916
148,937
655,750

165,300
241,400
55,000158,650
655,750

Other Costs
Conceptual Design/Tech R&D/NEPA
Pre-ops/Commissioning/SparesContingency (DOE Held)
Total, Other Costs

24,64034,995
14,61574,25024,64034,995
14,61574,25024,60035,50014,15074,250Total, TPC
Less MSU Cost ShareTotal, DOE TPC
Total, Contingency (DOE Held)730,000-94,500
635,500
121,522730,000-94,500
635,500
163,552

730,000-94,500
635,500
172,800

Schedule of Appropriation Requests b

FY 2011
FY 2012FY 2013
FY 2014
FY 2015 PB c
FY 2016
FY 2017

TPC
TPC
TPC
TPC
TPC
TPC
TPC

Prior
Years
29,00059,00051,00051,00051,00051,00051,000(dollars in thousands)
FY 2013
TBD
TBD
22,00022,00022,00022,00022,000FY 2014
TBD
TBD
TBD
55,00055,00055,00055,000FY 2015
TBD
TBD
TBD
TBD
90,00090,00090,000FY 2016
TBD
TBD
TBD
TBD
100,000
100,000
100,000

FY 2017
TBD
TBD
TBD
TBD
100,000
100,000
100,000

FY 2018
TBD
TBD
TBD
TBD
97,20097,20097,200Outyears
TBD
TBD
TBD
TBD
120,300
120,300
120,300

Total
TBD
TBD
TBD
TBD
635,500
635,500
635,500aThis section shows a breakdown of the total project cost of $730,000,000, which includes MSU’s cost share. The scope ofwork is not pre-assigned to DOE or MSU funds.

b

The funding profile represents DOE’s portion of the baselined TPC to be provided through federal appropriations.
The Performance Baseline was approved August 1, 2013. The first project data sheet submitted for FRIB was in the FY 2015
Congressional Budget Request. It was established as a control point in the FY 2014 appropriation. Funding for the projectprior to that time was provided within the Low Energy subprogram.
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c

8.

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

3Q FY 2022
20
NA a

(Related Funding requirements)

Operations b
9.

(dollars in thousands)
Annual Costs
Life Cycle Costs
Current Total
Previous Total
Current Total
Previous Total
Estimate
Estimate
Estimate
Estimate
90,00090,0001,800,000 c
1,800,000

D&D Information

The FRIB project is being constructed at MSU under a cooperative agreement financial assistance award. The one-for-one
requirement, which requires the demolition of a square foot of space for every square foot added, is not applicable, since
this is not a federal capital acquisition.
10. Acquisition Approach
FRIB project activities will be accomplished following all procurement requirements, which include using fixed-priced
competitive contracts with selection based on best value. MSU has contracted for the services of an architect-engineer firm
for the design of the conventional facilities. The Driver Linac and Experimental System components will be self-performedby the MSU design staff with assistance from outside vendors and from DOE national laboratories that possess specific areasof unique expertise unavailable from commercial sources. Integration of the conventional facilities with the Driver Linac andExperimental Systems will be accomplished by the MSU FRIB Project Team.

a

Per the financial assistance award agreement, MSU is responsible for D&D.
Utilities, maintenance, and repair costs are included within the Operations amounts.
c
The total operations and maintenance (O&M) is estimated at an average annual cost of approximately $90,000,000(including escalation) over 20 years.
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286

06-SC-01, 12 GeV CEBAF UpgradeThomas Jefferson National Accelerator Facility, Newport News, Virginia
Project is for Design and Construction
1. Significant Changes and Summary
Significant Changes
This Construction Project Data Sheet (CPDS) does not include a new start for the budget year; it is an update of the FY 2015
PDS.
Summary
The most recent DOE O 413.3B approved Critical Decision (CD) is CD-4A, Approve Accelerator Project Completion and Startof Operations, which was signed on July 30, 2014 following completion and confirmation of the project achieving the CD-4A
Key Performance Parameters.
The FY 2016 TEC funding will allow the completion of the planned procurements, assemblies, and installations of theexperimental equipment (i.e., detectors) primarily in Halls B and C, prior to their commissioning. In addition, a recent
DOE/SC Office of Project Assessment review recognized that this final year of TEC funds will be required to address thecontinuing high project risks in order to successfully complete this project within the current TEC baseline.
In 2014, the Federal Project Director (FPD) certification level required for the 12 GeV was lowered to Level 2. Therefore, theFPD is certified at the appropriate level for this project.
2. Critical Milestone History(fiscal quarter or date)
CD-0

Conceptual
DesignComplete

CD-1

CD-2
4Q
FY 2007
4Q
FY 2007

Final Design
Complete

CD-3

D&D
Complete

FY 2007 3/31/2004

1Q FY 2007

FY 2008 3/31/2004

2/14/2006a

FY 2009 3/31/2004

2/14/2006

11/9/2007

4Q FY 2009

4Q
FY 2008
4Q
FY 2008
4Q
FY 2008

FY 2010 3/31/2004

2/14/2006

11/9/2007

4Q FY 2009

9/15/2008

N/A

FY 2011 3/31/2004

2/14/2006

11/9/2007

1Q FY 2010

9/15/2008

N/A

FY 2012 3/31/2004

2/14/2006

11/9/2007 12/31/2009 9/15/2008

N/A

FY 2013 3/31/2004

2/14/2006

11/9/2007 12/31/2009 9/15/2008

N/A

4Q FY 2009
4Q FY 2009

CD-4A

CD-4B

N/A

1Q FY 2014

N/A

1Q FY 2015

N/A

3Q FY 2015

1Q
FY 2015
1Q
FY 2015
1Q
FY 2015
1Q
FY 20153Q FY 2015

N/A
N/A
N/A

3Q FY 2015
3Q FY 2015
3Q FY 2015aCD-1 was approved on 2/14/2006. Engineering and design activities started in 4Q FY 2006 after Congress approved theDepartment of Energy’s request to reprogram $500,000 within the FY 2006 funding for Nuclear Physics, per direction
contained in H.Rpt. 109–275.

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(fiscal quarter or date)
CD-0

Conceptual
DesignComplete

CD-1

CD-2

Final Design
Complete

D&D
Complete

CD-3

FY 2014 3/31/2004

2/14/2006

11/9/2007 12/31/2009 9/15/2008

N/A

FY 2015 3/31/2004
FY 2016 3/31/2004 2/14/2006

2/14/2006
2/14/2006

11/9/2007 12/31/2009 9/15/2008
11/9/2007 12/31/2009 9/15/2008

N/A
N/A

CD-4A

CD-4B

1Q
3Q FY 2015
FY 2015
1Q
4Q FY 2017
FY 2015
7/30/2014 4Q FY 2017

CD-0 – Approve Mission Need
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
CD-3 – Approve Start of Construction
CD-4A – Approve Accelerator Project Completion and Start of Operations
CD-4B – Approve Experimental Equipment Project Completion and Start of Operations
D&D– Demolition & Decontamination
3. Project Cost History(dollars in thousands)
TEC, Design
FY 2007
FY 2008
FY 2009PB
FY 2010
FY 2011
FY 2012FY 2013
FY 2014
FY 2015 a
FY 2016

TEC,
Construction

TEC, Total

OPC Except
D&D

OPC, D&D

OPC, Total

TPC

21,00021,000

TBD
TBD

TBD
TBD

11,00010,500

TBD
TBD

TBD
TBD

TBD
TBD

21,00021,00021,00021,00021,00021,00021,00021,000266,500
266,500
266,500
266,500
266,500
266,500
289,500
289,500

287,500
287,500
287,500
287,500
287,500
287,500
310,500
310,500

22,50022,50022,50022,50022,50022,50027,50027,500

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

22,50022,50022,50022,50022,50022,50027,50027,500310,000
310,000
310,000
310,000
310,000
310,000
338,000
338,000

4. Project Scope and Justification
Scope
The 12 GeV CEBAF Upgrade directly supports the Nuclear Physics mission and addresses the objective to measureproperties of the proton, neutron, and simple nuclei for comparison with theoretical calculations to provide an improved
quantitative understanding of their quark substructure.

a

The amounts reflect the revised baseline approved in September 2013. A Work-for-Others agreement was approved by
DOE that provides $9,000,000 appropriated by the Commonwealth of Virginia to leverage the federal investment for an
upgrade of the Jefferson Lab’s research facilities. This funding is outside the DOE baseline cost and schedule.
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The scope of the project includes upgrading the electron energy capability of the main accelerator from 6 GeV to 12 GeV,
building a new experimental hall (Hall D: 11,110 sf) and associated counting house (3,601 sf) and beam-line, and enhancing
the capabilities of the existing experimental halls to support the most compelling nuclear physics research.
CD-4A Key Performance Parameters
Subsystem
Accelerator

Technical Definition of Completion
12 GeV capable 5.5 pass machine installed
11 GeV capable beam line to existing Halls A, B, and C installed
12 GeV capable beam line to new Hall D tagger area installed
Accelerator commissioned by transporting a ≥ 2 nA electron beam at 2.2 GeV (1pass)

Conventional New Experimental Hall D and the Counting House: ≥ 10,500 square feet.
Facilities
CD-4B Key Performance Parameters
Subsystem

Technical Definition of Completion

Hall B

Detector operational: events recorded with a ≥ 2 nA electron beam at > 6 GeV beam energy (3 pass)

Hall C

Detector operational: events recorded with a ≥ 2 nA electron beam at > 6 GeV beam energy (3 pass)

Hall D

Detector operational: events recorded with a ≥ 2 nA electron beam at > 10 GeV beam energy (5.5 pass)

Key Performance Parameters to achieve CD-4 are phased between the accelerator and conventional facilities (CD-4A) andthe experimental equipment in Halls B, C, and D (CD-4B). The deliverables defining completion are identified in the Project
Execution Plan and have not changed since CD-2. Mitigation plans exist for identified risks to help ensure successful projectcompletion after approval of a baseline change proposal due to the directed change and technical challenges.
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 have beenmet.
Justification
The Continuous Electron Beam Accelerator Facility (CEBAF) at the Thomas Jefferson National Accelerator Facility is theworld-leading facility for the experimental study of the structure of matter governed by the “strong force.” The energy
upgrade of CEBAF, first identified by the nuclear science community as a compelling scientific opportunity in the 2007 Long
Range Plan for Nuclear Science, was reaffirmed as a high priority in the 2013 Report by the Nuclear Sciences Advisory
Committee (NSAC) on Major Nuclear Physics Facilities for the next decade, which stated that the 12 GeV upgrade of CEBAF
was “absolutely central” in terms of its ability to contribute to world-leading science in the next decade. In the 2007 Long
Range Plan, NSAC concluded that completion of the 12 GeV CEBAF Upgrade project was the highest priority for the Nation’s
nuclear science program.
5. Financial Schedule(dollars in thousands)
Appropriations

Obligations

Recovery Act
Costs

Costs

Total Estimated Cost (TEC)
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FY 2006
FY 2007
FY 2008
FY 2009
FY 2010
FY 2011

Recovery Act
Costs

Costs

Appropriations

Obligations

500
7,000
13,377 a
123a
0
0

500
7,000
13,377
123
0
0

0
0
0
0
0
0

88
6,162
9,108
5,370
265
7

21,00021,000021,000Total, Design
Construction
FY 2009
FY 2009 Recovery
Act
FY 2010
FY 2011 b
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 201728,50028,5000

5,249

65,00020,00035,92850,00040,57225,50016,5007,500
065,00020,00035,92850,00040,57225,50016,500
7,500
0

2,738
29,62125,890
5,203
1,545
3
0
0
0

0
18,64240,80145,53751,21129,75521,00011,500805

Total, Construction

289,500

289,500

65,000224,500

TEC
FY 2006
FY 2007
FY 2008
FY 2009
FY 2009 Recovery
Act
FY 2010
FY 2011
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017500
7,000
13,37728,623500
7,000
13,37728,623

0
0
0
0

88
6,162
9,108
10,61965,00020,00035,92850,00040,57225,50016,5007,500
065,00020,00035,92850,00040,57225,50016,500
7,500
0

2,738
29,62125,890
5,203
1,545
3
0
0
0

0
18,90740,80845,53751,21129,75521,00011,500805

Total, TEC

310,500

310,500

65,000245,500a

The baseline FY 2008 PED funding was reduced by $123,000 as a result of a FY 2008 rescission. This reduction was restored
in FY 2009 to maintain the TEC and project scope.
b
The baseline FY 2011 funding was reduced by $72,000 as a result of a FY 2011 rescission.
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Other Project Cost (OPC)
OPC except D&D
FY 2004
FY 2005
FY 2006
FY 2007
FY 2008
FY 2009
FY 2010
FY 2013
FY 2014
FY 2015
FY 2016
FY 2017
Total, OPCa

Recovery Act
Costs

Costs

Appropriations

Obligations

700
2,300
4,000
2,500
1,000
0
0
2,500
4,500
4,500
4,500
1,000

700
2,300
4,000
2,500
1,000
0
0
2,500
4,500
4,500
4,500
1,000

0
0
0
0
0
0
0
0
0
0
0
0

77
2,142
3,508
2,751
1,802
155
62
2,178
3,795
4,500
5,000
1,530

27,50027,500027,500Total Project Cost
FY 2004
FY 2005
FY 2006
FY 2007
FY 2008
FY 2009
FY 2009 Recovery
Act
FY 2010
FY 2011
FY 2012FY 2013
FY 2014
FY 2015
FY 2016
FY 2017

700
2,300
4,500
9,500
14,37728,623

700
2,300
4,500
9,500
14,37728,623

0
0
0
0
0
0

77
2,142
3,596
8,913
10,91010,77465,00020,00035,92850,00043,07230,00021,00012,0001,000

65,00020,00035,92850,00043,07230,00021,00012,0001,000

2,738
29,62125,890
5,203
1,545
3
0
0
0

0
18,96940,80845,53753,38933,55025,50016,5002,335

Total, TPC a

338,000

338,000

65,000273,000

The TPC reflects the revised baseline approved in September 2013.

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

Previous Total
Estimate

21,000021,000019,2001,800

21,00021,00021,00030,29530,34727,450250,793

243,937

174,150

8,412

15,21664,900289,500

289,500

266,500

Total, TEC
Contingency, TEC

310,500
8,412

310,500
15,216

287,500
66,700

Other Project Cost (OPC)
OPC except D&D
Conceptual Design
R&D
Start-upContingency

3,445
7,052
11,966
5,037

3,445
7,052
12,618
4,385

3,500
6,400
7,450
5,150

Total, OPC
Contingency, OPC

27,5005,037

27,5004,385

22,5005,150

Total, TPC
Total, Contingency

338,000
13,449338,000 a
19,601

310,000
71,850Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design
Construction Phase
Construction
Accelerator/Experimental Equipment/
Management
Contingency
Total, Construction

Original Validated
Estimate

7. Schedule of Appropriation Requests(dollars in thousands)
Prior
Years

FY 2010

FY 2011

FY 2012FY 2013

FY 2014

FY 2015

FY 2016

FY 2017

FY 2007(Design
only)

TEC
OPC

21,00011,000

0
0

0
0

0
0

0
0

0
0

0
0

0
0

0
0

21,00011,000TPC

32,000

0

0

0

0

0

0

0

0

32,000FY 2008(Design
only)

TEC

21,000

0

0

0

0

0

0

0

0

21,000

a

Total

OPC

10,500

0

0

0

0

0

0

0

0

10,500TPC

31,500

0

0

0

0

0

0

0

0

31,500The TPC reflects the revised baseline approved in September 2013.

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FY 2016 Congressional Budget(dollars in thousands)
Prior
Years

FY 2010

FY 2011

FY 2012FY 2013

FY 2014

FY 2015

FY 2016

FY 2017

FY 2009 a TEC
PB
OPC

49,50010,50059,000062,000066,000040,5002,500

10,500
7,500

0
2,000

0
0

0
0

287,500
22,500TPC

60,00059,00062,00066,00043,00018,000

2,000

0

0

310,000

TEC
OPC

114,500
10,50022,000034,000066,000040,5002,500

10,500
7,500

0
2,000

0
0

0
0

287,500
22,500TPC

125,000

22,00034,00066,00043,00018,000

2,000

0

0

310,000

TEC
OPC

114,500
10,50020,000036,000066,000040,5002,500

10,500
7,500

0
2,000

0
0

0
0

287,500
22,500TPC

125,000

20,00036,00066,00043,00018,000

2,000

0

0

310,000

TEC
OPC

114,500
10,50020,000036,000066,000040,5002,500

10,500
7,500

0
2,000

0
0

0
0

287,500
22,500TPC

125,000

20,00036,00066,00043,00018,000

2,000

0

0

310,000

c

FY 2010

FY 2011

FY 2012FY 2013

FY 2014

FY 2015

FY 2016

b

Total

TEC
OPC

114,500
10,50020,000035,928050,000040,5722,500

26,500
7,500

0
2,000

0
0

0
0

287,500
22,500TPC

125,000

20,00035,92850,00043,072

34,000

2,000

0

0

310,000

TEC
OPC

114,500
10,50020,000035,928050,000050,306
025,500
4,500

1,000
5,000

0
0

0
0

287,500
22,500TPC d

125,000

20,00035,92850,00050,306 e

30,000

6,000

0

0

310,000

TEC
OPC

114,500
10,50020,000035,928050,000040,5722,500

25,5004,500

16,500
4,500

7,500
4,500

0
1,000

310,500
27,500TPC f

125,000

20,00035,92850,00043,07230,00021,00012,0001,000

338,000

TEC
OPC

114,500
10,50020,000035,928050,000040,5722,500

25,5004,500

16,500
4,500

7,500
4,500

0
1,000

310,500
27,500TPC

125,000

20,00035,92850,00043,07230,00021,00012,0001,000

338,000a

The FY 2009 Congressional Budget was the first project data sheet to reflect the CD-2 Performance Baseline which wasapproved in November 2007.
b
The project received $65,000,000 from the American Recovery and Reinvestment Act of 2009 which advanced a portion of
the baselined FY 2010 and FY 2011 planned funding. The FY 2010 and FY 2011 amounts reflect a total of $65,000,000 in
reductions to the originally planned baselined funding profile to account for the advanced Recovery Act funding.
c
The baseline FY 2011 funding was reduced by $72,000 as a result of the FY 2011 rescission.
d
The TPC did not reflect the estimated impact resulting from the reduced FY 2012 funding, which has since been assessed
and a rebaseline was approved in September 2013.
e
The FY 2013 amount shown reflected the P.L. 112-175 continuing resolution level annualized to a full year. The TEC, TPC,
and outyear appropriation assumptions had not been adjusted to reflect the final FY 2013 funding level; the FY 2013
Request level of $40,572,000 for TEC, $2,500,000 for OPC, and $43,072,000 for TPC was assumed.
f
The TPC reflects the revised baseline approved in September 2013.
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FY 2016 Congressional Budget

8. Related Operations and Maintenance Funding Requirements
Start of Operation or Beneficial Occupancy (fiscal quarter or date)

4Q FY 2017

Expected Useful Life (number of years)

15

Expected Future start of D&D for new construction (fiscal quarter)

N/A(Related Funding Requirements)(dollars in thousands)
Annual Costs

Operations
MaintenanceTotal, Operations & Maintenance

Life cycle costs

Current Total
Estimate

Previous Total
Estimate

Current Total
Estimate

Previous Total
Estimate

150,000
Included above

150,000
Included above

2,250,000 a
Included above

2,250,000
Included above

150,000

150,000

2,250,000

2,250,000

9. D&D Information
The new area being constructed in this project is not replacing existing facilities. The “one-for-one” requirement is met byoffsetting 31,500 square feet of the 80,000 square feet of banked space that was granted to Jefferson Laboratory in a
Secretarial waiver.
Square Feet
Area of new construction ....................................................................................

31,500Area of existing facility(ies) being replaced and D&D’d by this project ...............

0

Area of other D&D outside the project ...............................................................

0

Area of additional D&D space to meet the “one-for-one” requirement takenfrom the banked area. ........................................................................................

31,500

10. Acquisition Approach
The Acquisition Strategy was approved February 14, 2006, with CD-1 approval. All acquisitions are managed by Jefferson
Science Associates with appropriate Department of Energy oversight. Cost, schedule, and technical performance aremonitored using an earned-value process that is described in the Jefferson Lab Project Control System Manual andconsistent with DOE O 413.3B, Program and Project Management for the Acquisition of Capital Assets. The procurement
practice uses firm fixed-price purchase orders and subcontracts for supplies, equipment, and services and makes awards
through competitive solicitations. Project and design management, inspection, coordination, tie-ins, testing and checkout
witnessing, and acceptance are performed by Jefferson Laboratory and Architectural-Engineering subcontractors as
appropriate.

a

The total operations and maintenance (O&M) is estimated at an average annual cost of approximately $150,000,000(including escalation) over 15 years. Almost 90% of the O&M cost would still have been required had the existing
accelerator not been upgraded and instead continued operations at 6 GeV.

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FY 2016 Congressional Budget

Workforce Development for Teachers and Scientists
Overview
The Workforce Development for Teachers and Scientists (WDTS) program mission is to help ensure that DOE has a sustained
pipeline of science, technology, engineering, and mathematics (STEM) workers. This is accomplished through support ofundergraduate internships, graduate thesis research, and visiting faculty programs at the DOE laboratories; the Albert
Einstein Distinguished Educator Fellowship for K–12 STEM teachers, administered by WDTS for DOE and for a number ofother federal agencies; and annual, nationwide, middle- and high-school science competitions culminating in the National
Science Bowl® in Washington, D.C. These investments help develop the next generation of scientists and engineers to
support the DOE mission, administer programs, and conduct research.
WDTS activities rely significantly on DOE’s 17 laboratories, which employ more than 30,000 workers with STEM
backgrounds. The DOE laboratory system provides access to leading scientists; world-class scientific user facilities andinstrumentation; and large-scale, multidisciplinary research programs unavailable in universities or industry. WDTS
leverages these assets to develop and train post-secondary students and educators in support of the DOE mission.
Highlights of the FY 2017 Budget Request
The FY 2017 Request maintains support levels of workforce programs conducted at DOE Laboratories. These experiencebased STEM learning opportunity programs enable highly qualified applicants to conduct research at the DOE laboratories,
in support of the workforce mission.
Description
Activities at the DOE Laboratories
WDTS supports activities such as the Science Undergraduate Laboratory Internships program, the Community College
Internships program, the Office of Science (SC) Graduate Student Research Program, and the Visiting Faculty Program. A
goal of these programs is to encourage students to enter STEM careers especially relevant to the DOE mission. By providing
research experiences at DOE laboratories under the direction of scientific and technical laboratory staff who serve as
research advisors and mentors, these activities provide opportunities for participants to engage in research requiring
specialized instrumentation; large-scale, multidisciplinary efforts; and/or scientific user facilities. WDTS activities are alignedwith the strategic objectives of the National Science and Technology Council Committee on STEM Education (CoSTEM)
Federal STEM Education 5-Year Strategic Plan. a
The Science Undergraduate Laboratory Internships (SULI) program places students from 2 and 4 year undergraduate
institutions as paid interns in science and engineering research activities at DOE laboratories, working with laboratory staff
scientists and engineers on projects related to ongoing research programs. Appointments are for 10 weeks during thesummer term and 16 weeks during the fall and spring terms.
The Community College Internships (CCI) program places community college students as paid interns in technologicalactivities at DOE laboratories, working under the supervision of a laboratory technician or researcher. Appointments are for
10 weeks during the summer term and, beginning in 2016, 16 weeks during a pilot spring term.
The Office of Science Graduate Student Research (SCGSR) program goal is to prepare graduate students for STEM careers
critically important to the SC mission by providing graduate thesis research opportunities at DOE laboratories. The SCGSR
program provides supplemental awards for graduate students to pursue part of their graduate thesis research at a DOE
laboratory in areas that address scientific challenges central to the SC mission. U.S. graduate students pursuing Ph.D.
degrees in physics, chemistry, materials sciences, non-medical biology, mathematics, computer or computational sciences,or specific areas of environmental sciences aligned with the SC mission are eligible for research awards to conduct part oftheir graduate thesis research at a DOE laboratory in collaboration with a DOE laboratory scientist. Research award terms
range from three months to one year.

a

http://www.whitehouse.gov/sites/default/files/microsites/ostp/stem_stratplan_2013.pdf
Science/Workforce Development for
FY 2017 Congressional Budget Justification
Teachers and Scientists
295

The Visiting Faculty Program (VFP) goal is to increase the research competitiveness of faculty members and students atinstitutions of higher education historically underrepresented in the research community in order to expand the workforce
that addresses DOE mission areas. Through direct collaboration with research staff at DOE host laboratories, VFP
appointments provide an opportunity for faculty and their students to develop skills applicable to programs at their homeinstitutions; this helps increase the STEM workforce in DOE science mission areas at institutions historically underrepresented within the DOE enterprise. Appointments are in the summer term for 10 weeks.
Albert Einstein Distinguished Educator Fellowship
The Albert Einstein Distinguished Educator Fellowship Act of 1994 charges the Department of Energy (DOE) withadministering a fellowship program for elementary and secondary school mathematics and science teachers that focuses onbringing teachers’ real-world expertise to government to help inform federal STEM education programs. Selected teachers
spend eleven months in a Federal agency or a Congressional office. WDTS manages the Albert Einstein Distinguished
Educator Fellowship (AEF) Program for the Federal government. Fellows are supported by DOE and other Federal agencies.
Typically, SC supports six Fellows each year; four are placed in Congressional offices and two are placed in SC. Participating
agencies have included the National Science Foundation (NSF), the National Aeronautics and Space Administration (NASA),
and the National Oceanic and Atmospheric Administration (NOAA), as well as other DOE offices. The Fellows provide
educational expertise, years of teaching experience, and personal insights to these offices to advance science, mathematics,
and technology education programs.
National Science Bowl®
The DOE National Science Bowl® (NSB) is a nationwide academic competition testing students’ knowledge in all areas ofmathematics and science, including energy. High school and middle school students are quizzed in a fast-paced, questionand-answer format. More than 250,000 students have participated in the National Science Bowl® throughout its 25-year
history, and it is one of the nation’s largest science competitions.
The National Science Bowl® regional winning teams receive expenses-paid trips to Washington D.C. to compete at the
National Finals in late April. Competing teams are composed of four students, one alternate, and a teacher who serves as anadvisor and coach. SC manages the National Science Bowl®, provides central management of 116 regional events, andsponsors the NSB Finals competition.
In FY 2015, 5,300 middle school students from 697 schools and 9,000 high school students from 1,314 schools participatedin the regional competitions, with 48 middle school and 68 high school teams (565 students) participating in the National
Finals in Washington, D.C. All 50 U.S. States, District of Columbia, Puerto Rico, and the U.S. Virgin Islands were represented
at regionals. More than 5,000 volunteers also participated in the local and national competitions. In FY 2015, the National
Science Bowl® championship finals were held at the Lisner Auditorium (located on the campus of The George Washington
University), featuring a live web-streaming broadcast of the event.
The DOE National Science Bowl® is aligned with the CoSTEM Federal STEM Education 5-Year Strategic Plan priority
investment area for STEM engagement.
Technology Development and On-Line Application
This activity modernizes on-line systems used to manage applications and review, data collection, and evaluation for WDTS
programs. A project to develop, build, and launch new online application and program support systems is progressing to
improve program management, execution, and evaluation by WDTS program staff and by DOE laboratory staff. An importantcomponent of the systems is the ability to support regular evidence-based evaluation of program performance and impact.
A phased approach is being used to develop and build the systems. In FY 2014, systems for the Albert Einstein Distinguished
Educator Fellowship, the Office of Science Graduate Student Research Program, and National Science Bowl® weredeveloped and launched. In FY 2015, emphasis was placed on administrative tool development and system updates. On theclient side, new online tools were launched to guide SULI and CCI applicants when selecting a host lab and to provide
application system self-help. On the program side, a streamlined VFP-Faculty review and a selection system was launched intime for the 2016 summer term application cycle, which opened in October 2015. Planned activities for FY 2016 include
development of a management portal for the NSB question processes, development of new program evaluation toolsets,
and development of alumni portals for tracking of past participants. In FY 2017, these new business management systems
will be implemented.
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FY 2017 Congressional Budget Justification

Evaluation Studies
The Evaluation Studies activity supports work to assess whether WDTS programs meet established goals through the use ofcollection and analysis of data and other materials, including pre- and post-participation questionnaires, participantdeliverables, notable outcomes (publications, presentations, patents, etc.), and longitudinal participant tracking. In FY 2014,
evaluation plans for each WDTS activity were completed. Enhanced data analysis efforts initiated in FY 2014 will becompleted, enabling the launch of analysis, visualization, and reporting toolsets required to support the determination of
impacts and outcomes.
In FY 2014, SC completed a study to identify disciplines in which significantly greater emphasis in workforce training at thegraduate student or postdoc levels is necessary to address gaps in current and future SC mission needs. In this study, each
Office of Science Federal Advisory Committee, each Associate Director, and each Laboratory Director were asked to provide
expert assessment on the following: (i) STEM disciplines not well represented in academic curricula; (ii) STEM disciplines inhigh demand, nationally and/or internationally, resulting in difficulties in recruitment and retention at U.S. universities andat DOE laboratories; (iii) STEM disciplines for which the DOE laboratories may play a role in providing needed workforce
development; and (iv) recommendations for programs at the graduate student or postdoc levels that can address disciplinespecific workforce development needs. The outcomes of this study now guide prioritization of eligible SCGSR programmatic
research areas and inform WDTS strategic planning. More broadly, the outcomes of this study have identified for SC bothprogram-specific workforce development needs and crosscutting workforce development needs in areas such as computing
and computational sciences.
A second triennial external peer review of participating host laboratories in the undergraduate and faculty programs, viz.,
SULI, CCI, and VFP programs is nearly complete. An outcome of the prior program review resulted in the development andsystem-wide adoption of a set of common Core Requirements that serve as the minimum standard for managing WDTS
laboratory programs across the complex. Additionally, a set of Model Practices was developed to help host labs achieve theCore Requirements. Lastly, each host lab was required to develop and adopt an Implementation Plan, thereby establishing aroadmap for achieving the programmatic baseline requirements. This review will assess progress made, determine if an
operational baseline has been uniformly achieved, and identify areas requiring improvement or benefiting from theformulation of additional operational elements. Outcomes of this review are expected in early FY 2016.
Evaluation Studies is aligned with the GPRA Modernization Act of 2010, the President’s management priorities, a and the2008 Congressionally-mandated Academic Competitiveness Council initiative, which emphasized the need for federal
programs (including STEM education programs) to demonstrate their effectiveness through rigorous evidence-based
evaluation. WDTS works cooperatively with SC programs, other DOE programs, and other federal agencies through CoSTEM
to share best practices for STEM program evaluation to ensure the implementation of evaluation processes appropriate to
the nature and scale of the program effort.
Outreach
WDTS engages in outreach activities, some in cooperation with other DOE program offices and select federal agencies, towidely publicize opportunities for student internships, SC Graduate Student Research program, the Visiting Faculty Program,and the Albert Einstein Distinguished Educator Program. The WDTS website b is the most widely used tool for prospective
program participants to obtain information about WDTS and is the gateway to accessing the online applications for the
WDTS programs. To help diversify the applicant pool, outreach is conducted via presentations to targeted key stakeholder
groups, and via the web using webinar virtual meetings that highlight the programs, their opportunities, and the WDTS
internship experience. A portfolio of recorded webinars is available on the WDTS website.
The Laboratory Equipment Donation Program is consolidated under Outreach, and it continues to provide excess laboratory
equipment to faculty at non-profit research institutions and post-secondary educational institutions. Through the Energy
Asset Disposal System, DOE sites identify excess equipment and colleges and universities can then search for equipment ofinterest and apply via the website. The equipment is free, but the receiving institution pays for shipping costs. This
consolidation does not alter the scope of this activity.
a

http://www.whitehouse.gov/administration/eop/ostp/nstc/committees/costem
http://science.energy.gov/wdts/
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FY 2017 Congressional Budget Justification
297
b

298

Workforce Development for Teachers and Scientists
Funding ($K)

Activities at the DOE Laboratories
Science Undergraduate Laboratory Internships
Community College Internships
Graduate Student Research Program
Visiting Faculty Program
Total, Activities at the DOE Laboratories
Albert Einstein Distinguished Educator Fellowship
National Science Bowl®
Technology Development and On-Line Application
Evaluation Studies
OutreachLaboratory Equipment Donation Program
Total, Workforce Development for Teachers and Scientists

Science/Workforce Development for Teachers and Scientists

FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request

FY 2017 vs.
FY 2016

8,300
1,000
2,500
1,700
13,500
1,200
2,900
750
600
500
50
19,500

8,300
1,000
2,500
1,700
13,500
1,200
2,930
750
600
470
50
19,500

8,300
1,000
2,500
1,700
13,500
1,200
2,900
750
600
500
50
19,500

9,300
1,250
2,575
1,800
14,925
1,200
3,000
675
600
525
0
20,925+1,000
+250
+75
+100
+1,425
0
+100
-75
0
+25
-50
+1,425299

FY 2017 Congressional Budget Justification

Program Accomplishments
Science Undergraduate Laboratory Internships (SULI) - In FY 2015, the total number of participating DOE hostlaboratories/facilities increased from 16 to 17. This increased participation, largely due to the quality and impact of the
program, serves to broaden participant STEM sub-field experience-based training opportunities and enhance their overlap
with DOE mission-critical research areas, where in this case, especially addressing fusion energy and plasma sciences.
Community College Internships (CCI) – In FY 2015, a pilot for a spring 2016 semester term increased the portfolio ofexperiential-based learning opportunity sub-fields to include combustion science and technologies.
Office of Science Graduate Research (SCGSR) – In FY 2015, the SCGSR Program supported 100 supplemental awards tograduate students to conduct their thesis research at 15 DOE national laboratories. Over two thirds of the awards support
project terms ranging from 6-12 months. The SCGSR Program attracts graduate student applicants at various stages in theirgraduate education and from a broad range of graduate schools across the U.S. Awards were made to graduate students
from 50 different universities who will conduct graduate research in areas that span the research missions of the six Officeof Science program offices.
Visiting Faculty Program (VFP) – A VFP faculty participant from Howard University is now a collaborator on the PHENIX
experiment (for Pioneering High Energy Nuclear Interaction experiment) at the Relativistic Heavy Ion Collider (RHIC) user
facility (Brookhaven National Laboratory). Howard University is the only HBCU (Historically Black Colleges and Universities)
member on the PHENIX collaboration.
The National Science Bowl® – In FY 2015, the NSB celebrated its 25th annual competition. On Science Day, students heard
from a two-time Academy Award winner (Dr. Doug Roble, Digital Domain), as well as from five leading computational
scientists at DOE laboratories (Dr. Jacqueline Chen, Distinguished Member of Technical Staff at the Combustion Research
Facility, Sandia National Laboratories; Dr. Timothy Germann, Director of the DOE “Exascale Co-Design Center for Materials in
Extreme Environments,” Los Alamos National Laboratory; Dr. Katherine Riley, Team Leader, Argonne Leadership Computing
Facility; Dr. Kathy Yelick, Associate Laboratory Director for Computing Sciences, Lawrence Berkeley National Laboratory andProfessor of Electrical Engineering and Computer Sciences at the University of California, Berkeley; and Robert French,
Adam Simpson, Oak Ridge National Laboratory, and Dr. Carolyn Lauzon, Office of Science, demonstrating Tiny Titan), to learn
about high-performance computing. To enhance the student’s learning opportunities, new virtual experience kiosks weredeveloped and used at the 4H Center, allowing students to self-explore and learn about scientific applications of highperformance computing. Also demonstrated at the 4H Center was “Tiny Titan,” an interactive educational display computerthat visually shows the power of multicore processing and parallel architectures, both of which help form the technologicalbasis for all high-performance computers in use today. The championship finals were held for the first time at the Lisner
Auditorium at George Washington University, with capabilities used to live stream broadcast the entire event.
Technology Development and On-Line Application – In FY 2015, new application and program tools for the SULI, CCI, and
VFP programs were developed and launched, addressing needs of clients as well as administrators.

Science/Workforce Development for Teachers andScientists

300

FY 2017 Congressional Budget Justification

Workforce Development for Teachers and Scientists
Activities and Explanation of Changes
FY 2016 Enacted

Explanation of Changes
FY 2017 vs FY 2016

FY 2017 Request

Activities at the DOE Laboratories $13,500,000
Science Undergraduate Laboratory Internships($8,300,000)
SULI supports approximately 820 students, including
support for an additional 45 fall and spring semester
students.

$14,925,000
Science Undergraduate Laboratory Internships($9,300,000)
SULI will support approximately 905 students.

$+1,425,000
Science Undergraduate Laboratory Internships($+1,000,000)
Increased funding supports an additional 50 summer
and 35 semester term placements.

Community College Internships ($1,000,000)
CCI supports approximately 100 students.

Community College Internships ($1,250,000)
CCI will support approximately 125 students.

Community College Internships ($+250,000)
Increased funding supports an additional 25
placements.

Graduate Student Research Program ($2,500,000)
The SCGSR program supports approximately 100
graduate students for periods of 3 months to 1 year to
conduct a part of their thesis research at DOE
laboratories. Targeted priority research areas will be
informed by SC’s recent workforce training needs
study.

Graduate Student Research Program ($2,575,000)
The SCGSR program will support approximately 102
graduate students for periods of 3 months to 1 year to
conduct a part of their thesis research at DOE
laboratories. Targeted priority research areas will be
informed by SC’s workforce training needs studies.

Graduate Student Research Program ($+75,000)
Increased funding supports additional graduate
students conducting their thesis research in priority
research areas.

Visiting Faculty Program ($1,700,000)
VFP supports approximately 70 faculty and
35 students.

Visiting Faculty Program ($1,800,000)
VFP will support approximately 70 faculty and
45 students.

Visiting Faculty Program ($+100,000)
Increased funding supports 10 additional student
placements.

Albert Einstein Distinguished Educator Fellowship$1,200,000
The FY 2016 request supports 6 Fellows.

$1,200,000$0The FY 2017 request will support 6 Fellows.

No change.

National Science Bowl® $2,900,000$3,000,000$+100,000

WDTS supports the finals competition and provides
central management of 116 regional events, involving
14,500 students from all fifty states, the District ofColumbia, Puerto Rico, and the U.S. Virgin Islands.

WDTS will sponsor the finals competition and provide
central management of 116 regional events, involving
14,300 students from all fifty states, the District ofColumbia, Puerto Rico, and the U.S. Virgin Islands.

Increased funding supports development of an
inventory of NSB questions, including additional visualbonus questions emphasizing energy science topics
relevant to the DOE mission.

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FY 2017 Congressional Budget Justification

FY 2016 Enacted

Explanation of Changes
FY 2017 vs FY 2016

FY 2017 Request

Technology Development and On-line Application
Systems $750,000
Funding supports development and operation of theon-line systems.

$675,000$-75,000

Funding will continue development and operation of
the on-line systems.

Funding decreases due to efficiencies gained throughleveraging prior code development.

Evaluation Studies $600,000
FY 2016 funding continues support for evaluation
activities, including data archiving, curation, andanalyses.

$600,000
FY 2017 funding will continue support for evaluation
activities, including data archiving, curation, andanalyses.

$0
No change.

Outreach $500,000
Funding supports a public web portal to track theinventory of STEM workforce internship and outreachactivities and opportunities across the DOE laboratorycomplex.

$525,000
Funding will support a public web portal to track theinventory of STEM workforce internship and outreachactivities and opportunities across the DOE laboratorycomplex.

$+25,000
Increased funding supports LEDP activities, which arebeing consolidated under Outreach; there is a small
decrease to other Outreach activities due to becompleted in FY 2016.

Funding supports outreach activities to the scientificcommunity targeting Office of Science mission-driven
disciplinary workforce needs in the next 5 to 10 years.

Funding will support outreach activities to thescientific community targeting Office of Science
mission-driven disciplinary workforce needs in thenext 5 to 10 years.

Laboratory Equipment Donation Program $50,000
Funding supports the ongoing program.

Funding will also support Laboratory Education
Equipment Donation Program (LEDP) activities.
$0
Funding for this activity is now under Outreach.

Science/Workforce Development for Teachers and Scientists

302$-50,000
Funding for this program is consolidated under
Outreach. This consolidation does not alter the scopeof this activity.

FY 2017 Congressional Budget Justification

Science Laboratories Infrastructure
Overview
The Science Laboratories Infrastructure (SLI) program mission is to support scientific and technological innovation at the
Office of Science (SC) laboratories by funding and sustaining mission-ready infrastructure and fostering safe andenvironmentally responsible operations. The program provides state-of-the-art facilities and infrastructure that are flexible,
reliable, and sustainable in support of scientific discovery. The SLI program also funds Payments in Lieu of Taxes (PILT) to
local communities around the Argonne, Brookhaven, and Oak Ridge National Laboratories.
In November 2013, the DOE Secretary chartered a the National Laboratory Operations Board (LOB) to assess facilities andgeneral purpose infrastructure across the national laboratory complex, among other things, using common standards andan enterprise-wide approach. These enterprise-wide assessments resulted in a rigorous and consistent analysis of thecondition, utilization, and functionality of the facilities and infrastructure that are the most critical to mission
accomplishment. Building on these assessments, SC worked with each of its laboratories to develop comprehensive Campus
Strategies, integrated into the SC Annual Laboratory Planning process. Each Campus Strategy identifies activities andinfrastructure investments (e.g., line-item construction, General Plant Projects [GPPs]) required to achieve the corecapabilities and scientific vision for that laboratory. SC leadership used these Campus Strategies to establish the corporate
facilities and infrastructure priorities going forward.
Overall, SC invests over $400 million dollars annually in needed maintenance, repair, and upgrades of general purpose
infrastructure. These investments are from a variety of funding sources, including federal appropriations for line-item
construction projects and GPPs, as well as overhead-funded investments in institutional GPP work and routine maintenanceand repair. The SLI program provides two important pieces of this overall strategy—line-item construction projects and asuite of infrastructure support investments that focus on laboratory core infrastructure and operations. This budget request
for SLI reflects the rigor of and output from the broader SC-wide planning activities described above.
Highlights of the FY 2017 Budget Request
Ongoing projects that will provide new laboratory buildings, renovated facilities, and upgraded utilities are proceeding
towards on-time completion within budget. While significant improvements to SC infrastructure have been made, it isimportant to maintain a strong level of investment and continue making improvements across the SC national laboratorycomplex. This request does so by providing funding for three on-going and two new line-item construction projects.
Included in this request is continued funding for the Materials Design Laboratory project at Argonne National Laboratory(ANL), the Photon Science Laboratory Building project at SLAC National Accelerator Laboratory (SLAC), and the Integrative
Genomics Building project at Lawrence Berkeley National Laboratory (LBNL). New funding is requested to start the
Integrated Engineering Research Center at Fermi National Accelerator Laboratory (FNAL) and the Core Facility Revitalization
project at Brookhaven National Laboratory (BNL).
In addition, this request continues to focus on the Secretarial priority of addressing basic needs in core general purpose
infrastructure as identified through the enterprise-wise LOB assessments. Funding requested in FY 2017 will enhance andupdate HVAC systems and controls at LBNL, support electrical distribution upgrades at SLAC, upgrade cryogenics
infrastructure at Thomas Jefferson National Accelerator Laboratory (TJNAF), and will replace and upgrade electrical
distribution systems at Ames Laboratory (AMES).

a

http://fimsinfo.doe.gov/Downloads/Infrastructure_Assessment_Group.pdf

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FY 2017 Congressional Budget Justification

Science Laboratories Infrastructure
Funding ($K)
FY 2015
EnactedFY 2015
Current

FY 2016
EnactedFY 2017
RequestFY 2017 vsFY 2016

Infrastructure Support
Construction
Integrated Engineering Research Center at FNAL (17-SC-71)
Core Facility Revitalization at BNL (17-SC-73)
Infrastructure and Operational Improvements at PPPL (15-SC-75)
Materials Design Laboratory at ANL (15-SC-76)
Photon Science Laboratory Building at SLAC (15-SC-77)
Integrative Genomics Building at LBNL (15-SC-78)
Science and User Support Building at SLAC (12-SC-70)

13,59013,59044,69066,549+21,8590025,0007,000
10,00012,09011,9200
025,0007,000
10,00012,09011,92000
023,91025,00020,000
0

2,500
1,800
0
19,59020,00019,5610+2,500+1,800–-4,320-5,000-439–

Total, Construction

66,01066,01068,91063,451-5,459Total, Science Laboratories Infrastructure

79,60079,600113,600

130,000+16,400

Science Laboratories Infrastructure
Explanation of Major Changes ($K)
FY 2017 vsFY 2016
EnactedScience Laboratories Infrastructure
Infrastructure Support: Funding continues to support general facility and infrastructure support at NBL, OSTI and ORISE, as well as landlord
responsibilities at the Oak Ridge Reservation. Funding increases to support nuclear facilities at Oak Ridge National Laboratory (ORNL) as well as the
Secretarial priority to address basic needs in core general purpose infrastructure by supporting four new GPP projects.

+21,859

Construction: Funding supports continuation of three on-going projects and the start of two new projects in FY 2017.

-5,459Total, Science Laboratories Infrastructure+16,400

Science/Science Laboratories Infrastructure

304

FY 2017 Congressional Budget Justification

Program Accomplishments
The SLI program has invested over $700 million in infrastructure and has successfully completed nine line item projects since
FY 2006, when SC initiated the effort to modernize infrastructure across the laboratory complex. With these investments,
the SLI program has constructed 875,000 gross square feet (gsf) of new space and has modernized 397,000 gsf of existing
space. As a result, an estimated 2,230 laboratory users and researchers now occupy newly constructed and/or modernizedbuildings that better support scientific and technological innovation in a collaborative environment.
The Research Support Building and Infrastructure Modernization project at SLAC National Accelerator Laboratory (SLAC). The
project was designed to integrate the accelerator science, technology, and support communities across programmaticboundaries in alignment with the Laboratory’s multi-program mission. The project provided 132,000 GSF of new andrenovated space. The project achieved CD-4, Approve Project Completion, on April 24, 2015.
The Science and User Support Building project at SLAC National Accelerator Laboratory (SLAC). Preliminary construction
work, including the demolition of an existing cafeteria, commenced in September 2013. Construction of foundations wascompleted in June 2014 and erection of the steel frame structure began in July 2014. Beneficial Occupancy occurred in
September 2015. The project is progressing ahead of schedule and within budget.
The Utilities Infrastructure Modernization project at Thomas Jefferson National Accelerator Laboratory (TJNAF). The projectwill upgrade, expand or replace portions of the cryogenics test facility and the electrical distribution, process cooling, andcommunications systems. Construction of the first phase began after achieving CD-3A, Approve Start of Construction forPhase A, and concurrently with CD-2, Approve Performance Baseline, on May 21, 2014. Construction of the second phasebegan upon achieving CD-3B, Approve Start of Construction for Phase B, on June 30, 2014 and the third phase began uponachieving CD-3C, Approve Start of Construction of Phase C, on February 20, 2015. The project is progressing ahead ofschedule and within budget. The overall project is over 60 percent complete with all electrical distribution and processcooling work nearly complete.
The Utilities Upgrade project at Fermi National Accelerator Laboratory (FNAL). The project will design and constructupgraded Industrial Cooling Water and High Voltage Electrical Systems. The scope includes replacing components at or nearend of service life and upgrading the distribution networks with secondary distribution and additional controls.
Procurement of long lead items began after achieving CD-3A, Approve Start of Construction for Phase A, and concurrently
with CD-2, Approve Performance Baseline, on February 18, 2015. Construction for the remainder of the project began uponachieving CD-3B, Approve Start of Construction for Phase B, on September 3, 2015. The project is proceeding within budget
and ahead of schedule.

Science/Science Laboratories Infrastructure

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FY 2017 Congressional Budget justification

306

Science Laboratories Infrastructure
Infrastructure Support
Description
This subprogram funds infrastructure support investments that focus on laboratory core infrastructure and operations.
Investments in core infrastructure (e.g., utility systems, site-wide services, and general-purpose facilities) are an ongoingneed that ensures facilities and utilities are upgraded when they approach end-of-life, systems are improved to increase
reliability and performance, and excess space is removed so that it no longer requires operation and maintenance funding.
Without this type of investment, SC laboratories would not be able to keep up with the pace of needed upgrades andrepairs. Activities include General Plant Project upgrades at various laboratories, general infrastructure support, deinventory of nuclear material in the New Brunswick Laboratory (NBL) at ANL, and support for the nuclear facilities at Oak
Ridge National Laboratory.
This subprogram also funds Payments in Lieu of Taxes (PILT) to local communities around the Argonne, Brookhaven, and Oak
Ridge National Laboratories as well as stewardship type needs (e.g., roads and grounds maintenance) across the Oak Ridge
Reservation.
Funding ($K)
FY 2015 Enacted FY 2015 Current FY 2016 Enacted FY 2017 Request

FY 2017 vsFY 2016

Infrastructure Support
Facilities and Infrastructure
Nuclear Operations
Oak Ridge Landlord
Payments in Lieu of Taxes

6,100
0
5,777
1,713

6,100
0
5,777
1,713

24,80012,0006,177
1,713

32,60326,0006,182
1,764+7,803+14,000+5+51

Total, Infrastructure Support

13,59013,59044,69066,549+21,859

Facilities and Infrastructure
The Infrastructure Support subprogram funds infrastructure support investments that focus on laboratory core
infrastructure and operations. In support of Secretarial priorities, SC laboratories conducted a rigorous condition assessmentof their core infrastructure which validated the need for investments in these basic systems that form the backbone of theircampuses. Each year, the SLI program continues this focus and collaborates with the research programs to review
investment needs and select the highest priority activities to be included in the budget request. In support of this activity,
plans for FY 2017 funding include projects such as enhancing the HVAC system by adding more cooling capacity for
approximately 130,000 square feet of space and updating control systems. At SLAC, multiple Klystron Gallery electrical items
will be replaced and other electrical distribution components throughout the site will be upgraded. At TJNAF, cryogenic
infrastructure will be upgraded to ensure reliability and capacity for future mission needs. Lastly, the electrical distribution
system in the Metals Development Building at AMES will be replaced and upgraded and the capacity of the electrical
distribution system in Wilhelm Hall will be enhanced.
This subprogram also supports general facilities and infrastructure support at the Office of Scientific and Technical
Information (OSTI) and the Oak Ridge Institute for Science and Education (ORISE), as well as de-inventory, removal, andtransfer of nuclear material in the NBL on the site of ANL.
Nuclear Operations
To support critical DOE nuclear operations, this funding is provided to manage ORNL’s nuclear facilities (i.e., Buildings 7920,
7930, 3525, and 3025E) to current expectations, in accordance with federal regulations and DOE Directives. This funding
supports critical nuclear complex equipment and infrastructure to ensure the facilities meet mission needs and safety
standards.

Science/Science Laboratories Infrastructure

307

FY 2017 Congressional Budget justification

Oak Ridge Landlord
Funding supports landlord responsibilities, including infrastructure for the 24,000–acre Oak Ridge Reservation and DOE
facilities in the city of Oak Ridge, Tennessee. Activities include maintenance of roads, grounds, and other infrastructure;
support and improvement of environmental protection, safety, and health; and PILT to Oak Ridge communities.
Payments in Lieu of Taxes
Funding within this activity supports SC stewardship responsibilities for Payments in Lieu of Taxes (PILT). The Department isauthorized to provide discretionary payments to state and local government authorities for real property that is not subject
to taxation because it is owned by the United States and operated by the Department. Under this authorization, PILT isprovided to communities around the Argonne and Brookhaven National Laboratories to compensate for lost tax revenues
for land removed from local tax rolls. PILT payments are negotiated between the Department and local governments basedon land values and tax rates.

Science/Science Laboratories Infrastructure308

FY 2017 Congressional Budget justification

Science Laboratories Infrastructure
Infrastructure Support
Activities and Explanation of Changes
FY 2016 Enacted

Explanation of Changes
FY 2017 vs FY 2016

FY 2017 Request

Infrastructure Support $44,690,000$66,549,000+$21,859,000

Facilities and Infrastructure $24,800,000$32,603,000+$7,803,000

FY 2016 funding provides general facility andinfrastructure support at NBL, OSTI and ORISE as wellas infrastructure investments for electrical upgrades at
SLAC and ANL and renovations at FNAL.

Funding increases to address basic needs in core
The FY 2017 request will address top core
general purpose infrastructure by supporting four new
infrastructure priorities and provide funding toenhance HVAC systems and controls at LBNL, support GPP projects.
electrical distribution upgrades at SLAC and AMES, andupgrade the cryogenics infrastructure at TJNAF. The
request also continues to support general facility andinfrastructure support at OSTI and ORISE, as well as
de-inventory and removal of nuclear material at NBL.

Nuclear Operations $12,000,000$26,000,000+$14,000,000

FY 2016 funding supports the management of ORNL’s
nuclear facilities to current expectations, inaccordance with federal regulations and DOE
Directives.

The FY 2017 request continues to support critical
nuclear operations and provides funding to manage
ORNL’s nuclear facilities to current expectations, inaccordance with federal regulations and DOE
Directives.

Funding increases to support ORNL’s nuclear facilities
and provides funding for critical nuclear complex
equipment and infrastructure needed to ensure thefacilities meet mission needs and safety standards.

Oak Ridge Landlord $6,177,000$6,182,000+$5,000

FY 2016 funding supports stewardship type needs
across the Oak Ridge Reservation as well as PILT to
Oak Ridge communities.

Funding increases for maintenance and other
The FY 2017 request provides funding to support
infrastructure support needs.
landlord responsibilities across the Oak Ridge
Reservation. Activities include maintenance of roads,
grounds, and other infrastructure; support andimprovement of environmental protection, safety, andhealth; and PILT to Oak Ridge communities.

Science/Science Laboratories Infrastructure309

FY 2017 Congressional Budget Justification

FY 2016 Enacted

Explanation of Changes
FY 2017 vs FY 2016

FY 2017 Request

Payments in Lieu of Taxes $1,713,000$1,764,000+$51,000

FY 2016 funding supports PILT payments tocommunities around the Argonne and Brookhaven
National Laboratories.

The FY 2017 request provides funding for PILT
payments to communities around the Argonne andBrookhaven National Laboratories.

Funding increases to accommodate increases in PILT
requirements.

Science/Science Laboratories Infrastructure

310

FY 2017 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 2017 budget request includes funding for three ongoing projects that were new starts in FY 2015 and two new
projects.
On-Going Projects
Infrastructure and Operational Improvements at PPPL (15-SC-75)
The Infrastructure and Operational Improvements project will provide critical improvements to infrastructure andoperations that support plasma and fusion-energy sciences research. Existing facilities and infrastructure at PPPL aremarginally adequate to support cost-effective research operations. For example, many researchers and engineers arehoused in buildings that were originally built in the 1960s and include obsolete and inadequate enclosure, mechanical,
electrical, and plumbing systems. This project will rectify the most significant infrastructure deficiencies as part of acomprehensive campus strategic facilities investment plan being developed by PPPL. Completion of this project will result in
improved operational efficiency and modernized infrastructure that is essential to support fusion energy sciences research.
The most recent DOE O 413.3B approved Critical Decision (CD) is CD-1, Approve Alternative Selection and Cost Range, which
was approved on May 11, 2015. The estimated preliminary Total Project Cost (TPC) range for this project is $21,700,000 to$26,000,000. This cost range and schedule will be further evaluated and may change prior to CD-2 and until the projectbaseline is established. No funding is requested for this project in FY 2017.
This project was a new start in FY 2015 with full funding requested and appropriated.
FY 2016 Milestones

FY 2017 Milestones

CD-2 – Approve Performance Baseline

CD-3 – Approve Start of Construction

FY 2018–2021 Key Milestones
CD-4 – Approve Project Closeout

Materials Design Laboratory at ANL (15-SC-76)
The Materials Design Laboratory project will support research in materials science in energy and a range of other fields. It
will entail construction of a new laboratory office building at least 97,000 gross square feet (gsf) in size and located adjacentto the recently completed Energy Sciences Building. The existing research buildings at Argonne dedicated to this SC research
mission are all more than 40 years old, some as old as 55 years. These structures require frequent repair, resulting ininterruptions to research activities, and they are unable to meet modern standards for instruments requiring vibration,
electromagnetic and/or thermal stability.
The most recent DOE O 413.3B approved Critical Decision (CD) is CD-1, Approve Alternative Selection and Cost Range, which
was approved on January 30, 2015 with a cost range of $77,500,000 to $96,000,000.
The FY 2017 Request for the Materials Design Laboratory Project is $19,590,000, which is $4,320,000 less than the FY 2016
Enacted level and consistent with the preliminary baseline funding profile. FY 2017 funds will be used for construction (e.g.
site work and long lead procurements) and project management and support activities.
FY 2016 Milestones

FY 2017 Milestones

CD-2 – Approve Performance Baseline

CD-3 – Approve Start of Construction

Science/Science Laboratories Infrastructure311

FY 2018–2021 Key Milestones
CD-4 – Approve Project Completion

FY 2017 Congressional Budget Justification

Photon Science Laboratory Building at SLAC (15-SC-77)
The Photon Science Laboratory Building project will provide centralized modern laboratory and office space to enable thedevelopment and expansion of SLAC’s photon science programs. The Photon Science Laboratory Building will support the
Linac Coherent Light Source; the Stanford Synchrotron Radiation Lightsource; the Photon Ultrafast Laser Science andEngineering Institute; and the Stanford Institute for Materials and Energy Sciences.
When this project was proposed for initial funding in the FY 2015 Budget Request, the scope was to construct a facility thatwould provide a portion of the space that would eventually be needed on-site to support the increase in photon science
users on campus. Since that time, Stanford University has designed a larger facility shell that is being constructed with
University funds. This presented the Department with an opportunity to build out space in that facility for SLAC use, rather
than build new. In the FY 2016 Request, the project was rescoped to provide utilities and services (e.g., elevators, stairways,
building-wide mechanical/electrical/plumbing equipment) for the entire building and framing and furnishing up to 100,000
gsf in the Stanford University building. Because of space efficiencies (shared elevators, hallways, mechanical closets, etc.)
gained in constructing one building versus two, the Office of Science will acquire significantly more useable space for thesame funding than could be acquired under the original project proposal. Therefore, this project has been re-scoped to fundthe build-out of specialized photon science laboratories and related infrastructure in the Stanford University building. This
strategic approach allows DOE/SLAC to maximize the science capability by leveraging the Stanford University investment.
The most recent DOE O 413.3B approved Critical Decision (CD) is CD-1, Approve Alternative Selection and Cost Range, which
was approved on September 23, 2015. The estimated preliminary TPC range for this project is $45,300,000 to $57,000,000.
This cost range and the project schedule will be further evaluated prior to CD-2.
The FY 2017 Request for the Photon Science Laboratory Building is $20,000,000, which is $5,000,000 less than the FY 2016
Enacted level and consistent with the preliminary baseline funding profile. The Request will support of construction of thisproject. FY 2017 funds will be used for construction (e.g. elevators and restrooms or areas that are not dependent on
specific laboratory design) and project management and support activities.
FY 2016 Milestones

FY 2017 Milestones

FY 2018–2021 Key Milestones

CD-2– Approve Performance Baseline

CD-4 – Approve Start of Operations or
Project Closeout

CD-3 – Approve Start of Construction
Activities
Integrative Genomics Building at LBNL (15-SC-78)

The Integrative Genomics Building project will relocate a significant fraction of the research and operations currently locatedin commercially leased space onto the main LBNL campus. Portions of the biosciences program at LBNL are located off-site,away from the main laboratory, and dispersed across multiple locations up to 20 miles apart. Collocation of these programs
will increase the synergy and efficiency of biosciences and other research at LBNL and will provide a state-of-the-art facility
for biosciences research in a collaborative environment close to other key LBNL facilities and programs.
The most recent DOE O 413.3B approved Critical Decision (CD) is CD-1, Approve Alternative Selection and Cost Range, which
was approved on February 20, 2015 with a cost range of $81,100,000 to $91,500,000. This cost range and the projectschedule will be further evaluated prior to CD-2.
FY 2017 Request for the Integrative Genomics Building is $19,561,000, which is $439,000 less than the FY 2016 Enacted level
and consistent with the preliminary baseline funding profile. FY 2017 funds will be used for construction (e.g. site work andlong lead procurements) and project management and support activities.
FY 2016 Milestones

FY 2017 Milestones

CD-2 – Approve Performance Baseline

CD-3 – Approve Start of Construction

Science/Science Laboratories Infrastructure

312

FY 2018–2021 Key Milestones
CD-4 – Approve Project Completion

FY 2017 Congressional Budget Justification

New Starts for FY 2017
Integrated Engineering Research Center FNAL (17-SC-71)
The Integrated Engineering Research Center project will construct a scientific user support facility to accommodate
increased collaboration and interactions among staff at Fermilab (FNAL), who will in turn be working with scientificcollaborators and international partners in the design, construction, and operation of physics experiments.
In May 2014, the Particle Physics Project Prioritization Panel (P5) issued a report that included recommendations to“…develop a coherent short- and long-baseline neutrino program hosted at Fermilab,” and to “reformulate the longbaseline neutrino program as an internationally designed, coordinated, and funded program with [Fermi National
Accelerator Laboratory, FNAL or Fermilab] as host.” The Office of Science (SC) and the High Energy Physics (HEP) program
accepted the recommendations in the P5 report and are committed to implementing a successful program based on thisnew vision.
Implementing these recommendations will require significantly increased collaboration and interactions among FNAL staff,
who will in turn be working with scientific collaborators and international partners in the design, construction, andoperation of physics experiments. Currently, staff and their associated manufacturing, assembly, engineering, and technicalfacilities are scattered among three parts of the campus – the Silicon Detector Complex, the Village, and Wilson Hall, forexample. As a result, they are unable to efficiently collaborate on ongoing and planned projects in support of the mission of
the laboratory. The Integrated Engineering Research Center will provide FNAL with a collaborative, multi-divisional andinterdisciplinary research center. This research center will close existing capability and infrastructure gaps by reducing theoverall footprint of outdated facilities, and collocating engineering and associated research staff in a new or renovatedfacility near the central campus. This approach would complement the ongoing and planned renovations of Wilson Hall by
establishing the main campus as the anchor point of the site. It would improve operational efficiency and collaboration
because groups working on key projects would be in close proximity to one another. Such a facility would 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 most recent DOE O 413.3B approved Critical Decision (CD) is CD-0, Approve Mission Need, which was approved on July17, 2015. The estimated preliminary total project cost range for this project is $45,000,000 to $146,000,000. These pre-CD1 ranges encompass all possible alternatives. A preliminary total project cost of $87,000,000 reflects the alternative mostconsistent with SLI program goals and objectives because it is expected to provide a research center with the most costeffective infrastructure investment. The cost, scope, and schedule for executing the project will be determined at Critical
Decision (CD)-1.
FY 2017 funding will support the start of Project Engineering and Design activities.
Preliminary Schedule
CD-0

CD-1

CD-2

CD-3

CD-4

07/17/2015

1Q FY 2017

3Q FY 2018

3Q FY 2019

4Q FY 2023

Preliminary Cost Estimates(Dollars in Thousands)
FY 2017
Appropriations

Total
Appropriations$2,500$10,000

Construction

0$75,000

Other Project Costs

0$2,000$2,500$87,000

DesignPreliminary Total Project Cost

Science/Science Laboratories Infrastructure313

FY 2017 Congressional Budget Justification

Core Facility Revitalization at BNL (17-SC-73)
A significant amount of computation and data storage is currently conducted within the Relativistic Heavy Ion Collider (RHIC)ATLAS Computing Facility (RACF) that is located on the BNL campus. The RACF directly supports RHIC research operations
funded by Nuclear Physics (NP) and US-ATLAS research operations funded by High Energy Physics (HEP). The RACF also
provides mid-scale computing support to other research programs funded by SC, research efforts funded by strategic
partners, and computationally-intensive research that indirectly supports the broader SC mission.
The data volume generated by the RHIC experiments and ATLAS is expected to increase three to six times over the next ten
years and will require proportional increases in computation and data storage capacities. Almost half of the current RACF
computing and data storage facility is expected become functionally obsolete and unable to accommodate future
generations of computation and data storage technologies over the next five to ten years. Therefore, the projectedcapability gaps in computing infrastructure are due to a combination of decreases due to degrading capacities and increases
in future requirements of mid-scale computing performed by RACF. Increases in computation and data storage will driveincreased requirements for space, power, and cooling of computing facilities. A mission need therefore exists to provide
sufficient, mid-range computation and data storage capabilities to support to current and planned experiments using RHIC
and the ATLAS detectors, and potentially other programs.
The most recent DOE O 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, was approved on September 10, 2015.
The Mission Need Statement indicates a total project cost range of $39,000,000 to $96,000,000. These cost ranges
encompass the most feasible preliminary alternatives. The preliminary total project cost of $64,500,000 reflects thepreliminary alternative most consistent with the SLI program goals and objectives and primary research stakeholder
priorities. The cost, scope, and schedule for executing the project will be determined at CD-1.
FY 2017 funds will only support Project Engineering and Design activities.
Preliminary Schedule
CD-0

CD-1

CD-2

CD-3

CD-4

09/10/2015

3Q FY 2017

3Q FY 2019

3Q FY 2020

4Q FY 2024

Preliminary Cost Estimates(Dollars in Thousands)
FY 2017
Appropriations

Total
Appropriations$1,800$6,400Construction

0$57,000

Other Project Costs

0$1,100$1,800$64,500

DesignPreliminary Total Project Cost

Science/Science Laboratories Infrastructure314

FY 2017 Congressional Budget Justification

Science Laboratories Infrastructure
Activities and Explanation of Changes
FY 2016 Enacted

Explanation of Changes
FY 2017 vs FY 2016

FY 2017 Request

Construction $68,910,000$63,451,000-$5,459,000

Integrated Engineering Research Center at FNAL

$2,500,000+$2,500,000

Funding is requested in FY 2017 to initiate Project
Engineering and Design activities for the project.

Start of Project Engineering and Design activities.

$1,800,000+$1,800,000

Funding is requested in FY 2017 to initiate Project
Engineering and Design activities for the project.

Start of Project Engineering and Design activities.

Materials Design Laboratory at ANL (15-SC-76)$23,910,000$19,590,000-$4,320,000

FY 2016 funding initiates construction of the project.

Funding is requested in FY 2017 to support on-going
construction of the project.

Continuation of construction of the project.

Photon Sciences Laboratory Building at SLAC
(15-SC-77) $25,000,000$20,000,000-$5,000,000

FY 2016 funding supports ongoing construction of the
project.

Funding is requested in FY 2017 to support completion Completion of construction of the project. FY 2017 willof construction of the project.
be the final year of funding for this project.

Integrative Genomics Building at LBNL (15-SC-78)$20,000,000$19,561,000-$439,000

FY 2016 funding supports construction of the project.

Funding is requested in FY 2017 to support on-going
construction of the project.

Continuation of construction of the project.

(17-SC-71) $0

Core Facility Revitalization at BNL (17-SC-73) $0

Science/Science Laboratories Infrastructure315

FY 2017 Congressional Budget Justification

Science Laboratories Infrastructure
Capital Summary ($K)
Total

Prior Years

FY 2015
EnactedFY 2015
Current

FY 2016
EnactedFY 2017
RequestFY 2017 vsFY 2016

Capital Operating Expense Summary
General Plants Projects
ALS HVAC System Upgrade at LBNL(TEC $9.0M)
Electrical Distribution Upgrades at SLAC(TEC $10.0M)
Cryogenics Infrastructure Upgrades at
TJNAF (TEC $8.0M)
Linac K-sub Remediation at SLAC(TEC $9.8M)
Wilson Hall Renovations at FNAL(TEC $9.0M)
Other GPP (TEC <$5M)
Total, Capital Operating Expenses

9,000

0

0

0

0

9,000

+9,00010,0000000

10,000+10,000

8,000

0

0

0

0

8,000

+8,000

9,800

0

0

0

9,800

0

-9,800

9,000
n/a

0
n/a

0
800

0
1,000

9,000
4,500

0
2,900

-9,000-1,600

n/a

n/a

800

1,000

23,30029,900+6,600Construction Projects Summary ($K)

Integrated Engineering Research Center at FNAL (17-SC-71)
TEC
OPC b
TPC
Core Facility Revitalization at BNL (17-SC-73)
TEC
OPCb
TPC
a
b

Total Project
Cost(TPC)

Prior Years

FY 2015
EnactedFY 2015
Current

FY 2016
EnactedFY 2017
RequestFY 2017 vsFY 201685,000 a
2,000

0
0

0
500

0
500

0
500

2,500
0

+2,500-500

87,000a

0

500

500

500

2,500

+2,00063,400a
1,100

0
0

0
0

0
0

0
1,100

1,800
0

+1,800-1,10064,500a

0

0

0

1,100

1,800

+700

This project has not received CD-2 approval; therefore, preliminary cost estimates are shown for TEC and TPC.
Other Project Costs shown are funded through laboratory overhead.

Science/Science Laboratories Infrastructure316

FY 2017 Congressional Budget Justification

Total Project
Cost(TPC)

Prior Years

FY 2015
EnactedFY 2015
Current

FY 2016
EnactedFY 2017
RequestFY 2017 vsFY 2016

25,000a
1,000

0
1,000

25,000025,000
0

0
0

0
0

0
0

26,000a

1,000

25,00025,00000095,000a
1,000

0
682

7,000
318

7,000
318

23,910019,5900-4,3200

TPC
Photon Sciences Laboratory Building at SLAC (15-SC-77)
TEC
OPCb

96,000a

682

7,318

7,318

23,91019,590-4,32055,000a
2,000

0
230

10,000242

10,000242

25,0000

20,000459-5,000+459

TPC
Integrative Genomics Building at LBNL (15-SC-78)
TEC
OPC b

57,000a230

10,242

10,24225,00020,459-4,54190,000 a
1,500

0
1,145

12,090355

12,090355

20,000019,5610-439
091,500a

1,145

12,445

12,44520,00019,561-439

64,0001,000

52,080800

11,920200

11,920
200

0
0

0
0

0
0

65,00052,88012,12012,120

0

0

0

n/a
n/a

n/a
n/a

66,0101,615

66,0101,615

68,9101,600

63,451459-5,459-1,141n/an/a

67,62567,62570,51063,910-6,600Infrastructure and Operational Improvements at PPPL (15-SC-75)
TEC
OPCb
TPC
Materials Design Laboratory at ANL (15-SC-76)
TEC
OPCb

TPC
Science and User Support Building at SLAC (12-SC-70)
TEC
OPCb
TPC
Total, Construction
TEC
OPCb
TPC

a
b

This project has not received CD-2 approval; therefore, preliminary cost estimates are shown for TEC and TPC.
Other Project Costs shown are funded through laboratory overhead.

Science/Science Laboratories Infrastructure317

FY 2017 Congressional Budget Justification

318

17-SC-71 Integrated Engineering Research Center
Fermi National Accelerator Laboratory (FNAL), Batavia, Illinois
Preliminary Information for Design1.

Summary

SummaryThis document contains preliminary information for a design and construction project requested as a new start in FY 2017.
The FY 2017 Request for this new start is $2,500,000.
The most recent DOE O 413.3B Critical Decision (CD) is CD-0, Approve Mission Need, which was approved on July 17, 2015.
The Mission Need Statement shows a Total Estimated Cost (TEC) range of $44,000,000 to $144,000,000 and a Total Project
Cost (TPC) range of $45,000,000 to $146,000,000. These preliminary cost ranges encompass all preliminary alternatives.
This preliminary information reflects funding for a project to design and construct new space to accommodate increased
collaboration and interactions among FNAL staff. The project is intended improve the infrastructure to support to close an
infrastructure capability gap which will impede the establishment of an international neutrino campus as recommended
by the Particle Physics Project Prioritization Panel (P5). A TPC of $87,000,000 reflects the preliminary alternative mostconsistent with the Science Laboratories Infrastructure program goals and objectives and the most cost effective
infrastructure investment. The preliminary cost, scope, and schedule for executing the project will be determined at CD-1.
A Federal Project Director with the appropriate certification level will be assigned to this project prior to CD-1 approval.
FY 2017 funds will only support Project Engineering and Design activities.
2.

Critical Milestone History

FY 2017CD-0
07/17/2015

CD-1
1Q FY 2017a(fiscal quarter or date)
CD-2
3Q FY 2018 a

CD-3
3Q FY 2019a

CD-4
4Q FY 2023a(dollars in thousands)
TEC, Total
85,000a

OPC b
2,000

TPC
87,000aCD-0 – Approve Mission Need
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
CD-3 – Approve Start of Construction
CD-4 – Approve Project Completion
3.

Current Preliminary Project Cost Estimates

FY 2017ab

TEC, Design
10,000

TEC, Construction
75,000This project is pre-CD-2; schedule and funding estimates are preliminary.
Other project costs (OPC) are funded through laboratory overhead.

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4.

Project Scope and Justification

Scope
One potential approach to improving the infrastructure capability for an international neutrino campus as identified by P5
closing this capability gap is to collocate engineering and associated research staff in a new or renovated facility near thecentral campus. This approach would complement the ongoing and planned renovations of Wilson Hall by establishing themain campus as the anchor point of the site. It would improve operational efficiency and collaboration because groups
working on key projects would be in close proximity to one another. Such a facility would provide technical and engineering
staff the necessary environment for interdisciplinary collaboration necessary to establish an international neutrino programand support other High Energy Physics scientific research opportunities described in the P5 report. This project will meetthe most urgent facilities and infrastructure needs by constructing new building space of at least 67,000 gross square feet.
This project has not yet received CD-1 approval; therefore the Key Performance Parameters (KPPs) are to be determined.
The table below outlines preliminary KPPs.
Key Performance Parameters (Preliminary)
Description
Multistory Laboratory/Office Building

Threshold Value (Minimum)
67,000 gross square feet

Objective Value (Maximum)
134,000 gross square feet

Justification
In May 2014, the Particle Physics Project Prioritization Panel (P5) issued a report that included recommendations to“…develop a coherent short- and long-baseline neutrino program hosted at Fermilab,” and to “Reformulate the longbaseline neutrino program as an internationally designed, coordinated, and funded program with [Fermi National
Accelerator Laboratory, FNAL or Fermilab] as host.”
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. As a result, they are unable to efficiently collaborate on
ongoing and planned projects in support of the laboratory’s mission.
Co-location of these staff would improve collaboration because it would increase interactions among the various groups
and reduce down-time spent traveling across the site. From an infrastructure standpoint, however, FNAL currently lacks
sufficient space to do this. Continuing the previous example, groups from the three Divisions noted above total
approximately 300 staff occupying more than 170,000 square feet of laboratories, technical areas, and offices in 15
buildings and trailers. In addition, many of these spaces are inadequate to accommodate current and planned scientificprograms because they are obsolete (e.g., leaking roofs, inadequate HVAC systems) and do not support the configuration or
specification needs of current and future technical programs.
The project is being conducted in accordance with the project management requirements in DOE 413.3B, Program andProject Management for the Acquisition of Capital Assets.

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5.

Details of Preliminary Project Cost Estimate(dollars in thousands)
Total Preliminary Cost
Range: Minimum
Estimate

Total Preliminary Cost:
Current Point Estimate

Total Preliminary Cost
Range: Maximum
Estimate

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design

4,141
1,035
5,176

8,000
2,000
10,00013,553
3,388
16,941

Construction
Construction
Contingency
Total, Construction

31,0597,765
38,82460,00015,00075,000101,647
25,412
127,059

Total, TECa
Contingency, TEC

44,0008,800

85,00017,000144,000
28,800

Other Project Cost (OPC) a
OPC except D&D
Conceptual Planning
Conceptual Design
Start-upContingency
Total, OPC
Contingency, OPC

250
450
150
150
1,000
150

500
900
300
300
2,000
300

500
900
300
300
2,000
300

Total, TPCa
Total, Contingency

45,0008,950

87,00017,300146,000
29,1006.

Preliminary Acquisition Approach

Acquisition for this project will be performed by the Management and Operating (M&O) contractor, Fermi Research
Alliance, LLC and overseen by the Fermi Site Office. Various acquisition approaches and project delivery methods will beconsidered prior to achieving CD-1. The M&O contractor will be responsible for all awarding and administering all
subcontracts related to this project. Project performance metrics are included in the M&O contractor's annual performance
evaluation and measurement plan.

aOther project costs (OPC) are funded through laboratory overhead.

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17-SC-73 Core Facility Revitalization
Brookhaven National Laboratory (BNL), Upton, New York
Preliminary Information for Design1.

Summary

SummaryThis document contains preliminary information for a design and construction project requested as a new start in FY 2017.
The FY 2017 Request for this new start is $1,800,000. The most recent DOE O 413.3B Critical Decision (CD) is CD-0, Approve
Mission Need, which was approved on September 10, 2015.
The Mission Need Statement indicates a Total Estimated Cost (TEC) range of $38,000,000 to $94,000,000 and a Total Project
Cost (TPC) range of $39,000,000 to $96,000,000. These preliminary cost ranges encompass the most feasible preliminary
alternatives. This preliminary information reflects funding for a project to provide the most urgent computation and data
storage capabilities in the shortest amount of time. A TPC of $64,500,000 reflects the preliminary alternative mostconsistent with the Science Laboratories Infrastructure program goals and objectives and primary research stakeholder
priorities. The preliminary cost, scope, and schedule for executing the project will be determined at CD-1.
A Federal Project Director with the appropriate certification level will be assigned to this project prior to CD-1.
FY 2017 funds will only support Project Engineering and Design activities.
2.

Critical Milestone History

FY 2017CD-0
09/10/2015

CD-1
3Q FY 2017a(fiscal quarter or date)
CD-2
3Q FY 2019 a

CD-3

CD-4

3Q FY 2020a

4Q FY 2024a(dollars in thousands)
TEC, Total
63,400a

OPC b
1,100

TPC
64,500aCD-0 – Approve Mission Need
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
CD-3– Approve Start of Construction
CD-4 – Approve Project Completion
3.

Current Preliminary Project Cost Estimates

FY 20174.

TEC, Design
6,400

TEC, Construction
57,000

Project Scope and Justification

Scope
The Core Facility Revitalization project will provide facilities and infrastructure to enable the computational requirements of
the Office of Science’s (SC) Nuclear Physics (NP) program, High Energy Physics (HEP) program, and other research programs
physically conducted at Brookhaven National Laboratory (BNL) and other locations.
This project has not yet received CD-1 approval; therefore the Key Performance Parameters (KPPs) are to be determined.
The table below outlines preliminary KPPs.
ab

This project is pre-CD-2; schedule and funding estimates are preliminary.
Other project costs (OPC) are funded through laboratory overhead.

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Key Performance Parameters (Preliminary)
Description
Computational Space

Threshold Value (Minimum)
39,000 gross square feet

Objective Value (Maximum)
155,000 gross square feet

Justification
A significant amount of computation and data storage is currently conducted within the Relativistic Heavy Ion Collider (RHIC)ATLAS Computing Facility (RACF) that is located on the BNL campus. The RACF directly supports RHIC research operations
funded by NP and US-ATLAS research operations funded by HEP). The RACF also provides mid-scale computing support toother research programs funded by SC, research efforts funded by strategic partners, and computationally-intensive
research that indirectly supports the broader SC mission.
The data volume generated by the RHIC experiments and ATLAS is expected to increase three to six times over the next ten
years and will require proportional increases in computation and data storage capacities. Almost half of the current RACF
computing and data storage facility is expected become functionally obsolete and unable to accommodate future
generations of computation and data storage technologies over the next five to ten years. Therefore, the projectedcapability gaps in computing infrastructure are due to a combination of decreases due to degrading capacities and increases
in future requirements of mid-scale computing performed by RACF. Increases in computation and data storage will driveincreased requirements for space, power, and cooling of computing facilities. A mission need therefore exists to provide
sufficient, mid-range computation and data storage capabilities to support to current and planned experiments using RHIC
and the ATLAS detectors, and potentially other programs.
FY 2017 funds will be used for preliminary and final design and project management and support activities.
The project is being conducted in accordance with the project management requirements in DOE 413.3B, Program andProject Management for the Acquisition of Capital Assets.
5.

Details of Preliminary Project Cost Estimate
Total Preliminary
Cost Range:
Minimum Estimate
Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design

3,069
767
3,836

5,120
1,280
6,400

7,591
1,898
9,489

Construction
Construction
Contingency
Total, Construction

25,623
8,541
34,16442,75014,25057,00063,383
21,12884,511

38,0009,308

63,40015,53094,00023,026

Total, TEC a
Contingency, TEC

a(dollars in thousands)
Total Preliminary
Total Preliminary
Cost: Current Point
Cost Range:
Estimate
Maximum Estimate

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

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Other Project Cost (OPC) a
OPC except D&D
Conceptual Planning
Conceptual Design
Contingency
Total, OPC
Contingency, OPC
Total, TPCa
Total, Contingency
6.

(dollars in thousands)
Total Preliminary
Total Preliminary
Total Preliminary
Cost Range:
Cost: Current Point
Cost Range:
Minimum Estimate
Estimate
Maximum Estimate
273
636
91
1,000
91

300
700
100
1,100
100

545
1,273
182
2,000
182

39,0009,399

64,50015,63096,00023,208Preliminary Acquisition Approach

Acquisition for this project will be performed by the BNL Management and Operating (M&O) Contractor, Brookhaven
Science Associates. The M&O Contractor will be responsible for awarding and managing all subcontracts related to theproject. The Brookhaven Site Office will be responsible for overseeing the performance of the M&O Contractor. Various
acquisition and project delivery methods will be evaluated prior to achieving CD-1. The M&O Contractor will evaluate
potential benefits of using a single or multiple contracts to procure materials, equipment, construction, commissioning andother project scope elements. Project performance metrics will be included in the M&O Contractor’s annual performanceand evaluation measurement plan.

aOther project costs (OPC) are funded through laboratory overhead.

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15-SC-76 Materials Design Laboratory
Argonne National Laboratory (ANL), Argonne, IL
Project is for Design and Construction
1.

Significant Changes and Summary

Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2016 CPDS and does not include a new start for FY 2017.
Summary
The FY 2017 Request for the Materials Design Laboratory is $19,590,000, which is $4,320,000 less than the FY 2016 Enacted
level and consistent with the approved baseline funding profile. The most recent DOE O 413.3B approved Critical Decision(CD) is CD-1, Approve Alternative Selection and Cost Range, and was approved on January 30, 2015. The approved Total
Estimated Cost (TEC) range for this project is $76,500,000 to $95,000,000. The approved Total Project Cost (TPC) range forthis project is $77,500,000 to $96,000,000.
A Federal Project Director with certification level 2 has been assigned to this project.
This project will provide new laboratory and office space to support energy-related materials science and engineeringresearch. Conceptual Design was completed in November 2014 and Preliminary Design was completed in September 2015.
FY 2017 funds will be used for construction.
2.

Critical Milestone History

FY 2015
FY 2016
FY 2017CD-0
08/27/2010
08/27/2010
08/27/2010

Conceptual
DesignComplete
N/A
1Q FY 201511/12/2014(fiscal quarter or date)
Final
Design
D&D
CD-1
CD-2
CompleteCD-3
Complete
4Q FY 2014 4Q FY 2015 a 4Q FY 2016 3Q FY 2016a
N/A
2Q FY 2015 2Q FY 2016a 3Q FY 2017 1Q FY 2017a
N/A
01/30/2015 3Q FY 2016a 2Q FY 2017 4Q FY 2017a
N/A

CD-4
2Q FY 2020a
3Q FY 2020a
3Q FY 2021a

CD-0 – Approve Mission Need
Conceptual Design Complete – Actual date the conceptual design was completed
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
Final Design Complete – Estimated date the project design will be completedCD-3 – Approve Start of Construction
D&D Complete – Completion of D&D Work (see Section 9)
CD-4 – Approve Project Completion

FY 2015
FY 2016
FY 2017aPerformance
Baseline
Validation
N/A
1Q FY 2017a
3Q FY 2016aThis project is pre-CD-2 and schedule estimates are preliminary.

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3.

Project Cost History

FY 2015
FY 2016
FY 20174.

TEC, Design
7,000
7,000
7,000

TEC,
Construction
88,000 b
88,000b
88,000b(dollars in thousands)
OPC a
TEC, Total
Except D&D
OPC, D&D
95,000b1,000
N/A
95,000b1,000
N/A
95,000b
1,000
N/A

OPC, Total
1,000
1,000
1,000

TPC
96,000b
96,000b
96,000b

Project Scope and Justification

Scope
The scope of this project includes the design and construction of a Materials Design Laboratory building at least 97,000
gross square feet in size and located adjacent to the recently completed Energy Sciences Building.
The table below outlines the approved KPPs.
Key Performance Parameters
Description
Multi-story laboratory building

Threshold Value (Minimum)
97,000 gross square feet

Objective Value (Maximum)
130,000 gross square feet

Justification
The mission need of this project is to provide flexible and sustainable laboratory and office space needed to supportscientific theory/simulation, materials discovery, characterization, and application of new energy-related materials andprocesses. The Materials Design Laboratory project will provide the modern collaborative scientific environment critical forthis initiative to thrive and will focus on four themes central to implementing the Materials for Energy strategy:Frontiers of materials and molecular synthesis, and fabrication of devices;
Interfacial engineering for energy applications;
Materials under extreme conditions; andIn situ characterization and modeling.

FY 2017 funds will be used for construction, project management, and support activities.
The project is being conducted in accordance with the project management requirements in DOE 413.3B, Program andProject Management for the Acquisition of Capital Assets.

a

Other Project Costs (OPC) are funded through laboratory overhead.
This project has not received CD-2 approval; funding estimates are consistent with the approved cost ranges. The
approved TEC range for this project is $76,500,000 to $95,000,000. The approved TPC range for this project is $77,500,000
to $96,000,000.
b

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Preliminary Financial Schedule

Appropriations(dollars in thousands)
Obligations

Costs a

7,000
0
0
7,000

7,000
0
0
7,000

2,773
3,727
500
7,000

23,91019,59024,50020,000088,00023,91019,59024,50020,000088,0000
10,00035,00025,00018,00088,000TEC
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, TEC b

7,000
23,91019,59024,50020,000095,0007,000
23,91019,59024,50020,000095,0002,773
3,727
10,50035,00025,00018,00095,000

Other Project Cost (OPC) c
OPC except D&D
FY 2010
FY 2011
FY 2014
FY 2015
Total, OPC except D&D

412
-30d
300
318
1,000

412
-30d
300
318
1,000

412
-30 d
300
318
1,000

Total Project Cost (TPC)FY 2010
FY 2011
FY 2014
FY 2015
FY 2016
FY 2017

412
-30d
300
7,318
23,91019,590

412
-30d
300
7,318
23,91019,590

412
-30d
300
3,091
3,727
10,500Total Estimated Cost (TEC)
DesignFY 2015
FY 2016
FY 2017
Total, Design
Construction
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, ConstructionaCosts through FY 2015 reflect actual costs; costs for FY 2016 and the outyears are estimates.
This project has not received CD-2 approval; funding estimates are consistent with the approved cost ranges. The
approved TEC range for this project is $76,500,000 to $95,000,000. The approved TPC range for this project is $77,500,000
to $96,000,000.
c
Other Project Costs (OPC) are funded through laboratory overhead.
d
OPC Funding was adjusted in FY 2011 to reflect FY 2010 actuals ($382,000 for OPC funding in FY 2010).
b

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FY 2018
FY 2019
FY 2020
Total, TPC b
6.

(dollars in thousands)
Appropriations
Obligations
24,50024,50020,00020,0000096,00096,000Costs a35,00025,00018,00096,000Details of Project Cost Estimate

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

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design

6,000
1,000
7,000

6,000
1,000
7,000

6,708
292
7,000

Construction
Construction
Contingency
Total, Construction

73,00015,00088,00073,00015,00088,00076,26011,74088,00095,00016,00095,00016,00095,00012,032

382
500
118

382
500
118

382
618
0

Total, OPC
Contingency, OPC

1,000
118

1,000
118

1,000
0

Total, TPCb
Total, Contingency

96,000
16,11896,000
16,11896,00012,032

Total, TECb
Contingency, TEC
Other Project Cost (OPC) c
OPC except D&D
Conceptual Planning
Conceptual Design
ContingencyaCosts through FY 2015 reflect actual costs; costs for FY 2016 and the outyears are estimates.
This project has not received CD-2 approval; funding estimates are consistent with the approved cost ranges. The
approved TEC range for this project is $76,500,000 to $95,000,000. The approved TPC range for this project is $77,500,000
to $96,000,000.
c
Other Project Costs (OPC) are funded through laboratory overhead.
b

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7.

Schedule of Appropriation Requests

RequestYear
FY 2015

FY 2016

FY 2017

8.

Prior
Years
TEC
OPC b
TPC
TEC
OPCb
TPC
TEC
OPCb
TPC

0
382
382
0
382
382
0
382
382

(dollars in thousands)
FY 2014
0
500
500
0
300
300
0
300
300

FY 2015
7,000
0
7,000
7,000
0
7,000
7,000
318
7,318

FY 2016
24,0030
24,00323,910023,91023,910023,910FY 2017
36,466
036,46625,090025,09019,590019,590FY 2018
27,531
118
27,64939,000318
39,31824,500024,500FY 2019000000
20,0000
20,000Total
95,000 a
1,000
96,000a
95,000a
1,000
96,000a
95,000a
1,000
96,000a

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

3Q FY 2020
50 years
3Q FY 2070

(Related Funding requirements)

Operations
Utilities
Maintenance and Repair
Total, Operations & Maintenance(dollars in thousands)
Annual Costs
Life Cycle Costs
Previous
Current
Previous
Current Total
Total
Total
Total
Estimate
Estimate
Estimate
Estimate
376
N/A
18,800
N/A
429
N/A
21,450
N/A
958
N/A
47,900
N/A
1,763
N/A
88,150N/AaThis project has not received CD-2 approval; funding estimates are consistent with the approved cost ranges. The
approved TEC range for this project is $76,500,000 to $95,000,000. The approved TPC range for this project is $77,500,000
to $96,000,000.
b
Other Project Costs (OPC) are funded through laboratory overhead.

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9.

D&D Information

The new area being constructed in this project is not replacing existing facilities.
Square Feet
New area being constructed by this project at Argonne National Laboratory .........

97,000Area of D&D in this project at Argonne National Laboratory ..................................

None

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

None

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

None

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

97,000Total area eliminated ..............................................................................................

None

ANL will comply via the FY 2012 waiver from EM ETTP to ANL. ANL’s net banked square footage as reported in the FY 2013
Report on DOE’s disposition of excess real property for future one-for-one offsets stands at 577,955 SF.
10. Acquisition Approach
Acquisition for this project will be performed by the Management and Operating (M&O) contractor, UChicago Argonne,
LLC, and will be overseen by the Argonne Site Office. Various acquisition approaches and project delivery methods were
evaluated prior to achieving CD-1. A tailored Design-Bid-Build approach was selected as the overall best project delivery
method with the lowest risk to DOE. The M&O contractor is responsible for awarding and administering all subcontracts
related to this project. Project performance metrics are included in the M&O Contractor’s annual performance evaluationand measurement plan.

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15-SC-77 Photon Science Laboratory Building
SLAC National Accelerator Laboratory, Menlo Park, California
Project is for Design and Construction
1.

Significant Changes and Summary

Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2016 CPDS and does not include a new start for FY 2017.
The upper end of the Key Performance Parameter (KPP) range for the project has been updated from 75,000 gross square
feet (GSF) to 100,000 GSF in accordance with the analysis at Critical Decision (CD)-1, Approve Alternative Selection and Cost
Range.
Summary
The FY 2017 Request for the Photon Science Laboratory Building is $20,000,000, which is $5,000,000 less than the FY 2016
Enacted level and consistent with the preliminary funding profile. The most recent DOE O 413.3B approved Critical Decision(CD) is CD-1, Approve Alternative Selection and Cost Range, which was approved September 23, 2015. The Total Estimated
Cost (TEC) range for the DOE funded portion of this project is $43,300,000 to $55,000,000. The estimated Total Project Cost
(TPC) range for the DOE funded portion of this project is $45,300,000 to $57,000,000.
Stanford University has begun construction of a cold, dark shell including the building enclosure, foundation, structure, andinfrastructure pathways. This project funds the design and fit-out of a large portion of the shell’s interior for SLAC use,
providing significantly more useable space than two separate buildings. The fit-out will include utilities and services (e.g.
building-wide mechanical/electrical/plumbing equipment) for the entire building and offices and infrastructure in support of
the approved mission need.
A Federal Project Director with certification level 3 has been assigned to this project and has approved this CPDS.
2.

Critical Milestone History(fiscal quarter or date)
CD-0

FY 2015
FY 2016
FY 2017

4/18/2011
4/18/2011
4/18/2011

Conceptual
DesignComplete
N/A
3Q FY 2015
5/04/2015

CD-1

CD-2

Final Design
Complete

CD-3

D&D
Complete

CD-4

1Q FY 2015
3Q FY 2015
9/23/2015

4Q FY 2015 a
1Q FY 2016a
1Q FY 2017a

1Q FY 2017
3Q FY 2016
3Q FY 2017

3Q FY 2016a
3Q FY 2016a
4Q FY 2017a

N/Ab
N/A b
N/Ab

1Q FY 2019a
2Q FY 2018a
2Q FY 2020a

CD-0 – Approve Mission Need
Conceptual Design Complete – Actual Date the conceptual design was completed
CD-1– Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
Final Design Complete – Estimated date the project design will be completedCD-3 – Approve Start of Balance of Construction Activities
D&D Complete – Completion of D&D work (see Section 9)
CD-4 – Approve Start of Operations or Project CloseoutabThis project is pre-CD-2 and schedule estimates are preliminary.
The project is not building additional space; therefore, D&D is not applicable.

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FY 2015
FY 2016
FY 20173.

Performance
Baseline
Validation
N/A
4Q FY 2016 a
4Q FY 2016a

Project Cost History(dollars in thousands)

FY 2015
FY 2016
FY 20174.

TEC, Design

TEC,
Construction

TEC, Total

OPC b Except
D&D

4,000
6,000
6,000

51,000 c
49,000c
49,000c

55,00055,00055,000

2,000
2,000
2,000

OPC, D&D
00
0

OPC, Total

TPC

2,000
2,000
2,000

57,000c
57,000c
57,000c

Project Scope and Justification

Scope
Upon construction of the shell by the Stanford University, the PSLB project will prepare a large portion of the shell’s interior
for SLAC use. Utilities and services (e.g., elevators, stairways, building-wide mechanical/electrical/plumbing equipment) forthe entire building and framing and furnishing up to 100,000 GSF will be provided. The fit-out will be designed andconstructed in order to provide a complete and usable facility.
Key Performance Parameters (Preliminary):
Description
Laboratory building interior fit-out

Threshold Value (Minimum)
55,000 gross square feet

Objective Value (Maximum)
100,000 gross square feet

Justification
To accommodate the growth in research programs that has occurred since 2011, and continues to accelerate in recent
years, modern laboratory/office space is needed above and beyond the existing campus space for a range of simulation,
theory and modeling, synthesis and characterization capabilities. The lab/office space will also support researchcollaborations with outside scientists engaged with SLAC’s Linac Coherent Light Source (LCLS) and Stanford Synchrotron
Radiation Lightsource (SSRL) user facilities. Fit-out by the Office of Science (SC) of the Photon Science Laboratory Building isneeded to provide centralized modern laboratory and office space with the necessary performance capabilities andaccommodate growth in the existing photon science program. The Photon Science Laboratory Building would leverage thecapabilities of two of the country's world-class light sources, LCLS and SSRL, as well as the Photon Ultrafast Laser Scienceand Engineering (PULSE) and Stanford Institute for Materials and Energy Sciences (SIMES) photon institutes. Without
modern facilities suitable for collocated and coordinated functionality, the laboratory’s ability to successfully address anddeliver on the long term strategic mission of the laboratory will be limited.
SLAC is an SC laboratory that supports a large national and international community of scientific users performing cuttingedge research in support of the DOE mission. SLAC was built in 1962 to perform research in accelerator-based particleaThis project is pre-CD-2 and schedule estimates are preliminary.
Other Project Costs (OPC) are funded through laboratory overhead.
cThis project has not received CD-2 approval; funding estimates are consistent with the preliminary cost ranges. The
preliminary TEC cost range for this project is $43,300,000 to $55,000,000. The preliminary TPC cost range for this project is$45,300,000 to $57,000,000.
b

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physics. Expansion and upgrade of the SSRL and the LCLS located at SLAC are producing rapid increases to photon sciencefacility use, thereby increasing the need for space to accommodate the new and expanded research program.
The FY 2015 funds were used for preliminary design and project management and support activities. The FY 2016 funds
were used for construction, project management, and support activities. FY 2017 funds will be used for construction andproject management and support activities.
The project is being conducted in accordance with the project management requirements in DOE 413.3B, Program andProject Management for the Acquisition of Capital Assets.
5.

Preliminary Financial Schedule(dollars in thousands)
Appropriations
Obligations

Costs aTotal Estimated Cost (TEC)
DesignFY 2015
FY 2016
FY 2017
Total, Design

6,000
0
0
6,000

6,000
0
0
6,000

0
5,500
500
6,000

Construction
FY 2015
FY 2016 b
FY 2017b
FY 2018
Total, Construction

4,000
25,00020,000049,000029,00020,000049,0000
034,00015,00049,000TEC
FY 2015
FY 2016
FY 2017
FY 2018
Total, TEC c

10,00025,00020,000055,0006,000
29,00020,000055,00005,500
34,50015,00055,000

Other Project Cost (OPC) d
OPC except D&D
FY 2014
FY 2015
FY 2017
FY 2018
Total, OPC except D&D

230
242
459
1,069
2,000

230
242
459
1,069
2,000

230
242
459
1,069
2,000

a

Costs through FY 2015 reflect actual costs; costs for FY 2016 and the outyears are estimates.
No construction will be performed until the project performance baseline has been validated and CD-3 has been approved.
cThis project has not received CD-2 approval; funding estimates are consistent with the preliminary cost ranges. The
preliminary TEC cost range for this project is $43,300,000 to $55,000,000. The preliminary TPC cost range for this project is$45,300,000 to $57,000,000.
d
Other Project Costs are funded through laboratory overhead.
b

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(dollars in thousands)
Appropriations
Obligations
Total Project Cost (TPC)FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
Total, TPCb

230
10,24225,00020,4591,069
57,000
6.

230
6,242
29,00020,4591,069
57,000Costs a

230
242
5,500
34,95916,06957,000Details of Project Cost Estimate
Current Total
Estimate(dollars in thousands)
Previous Total
Original Validated
Estimate
Baseline

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design

4,600
1,400
6,000

5,000
1,000
6,000

N/A
N/A
N/A

Construction
Construction
Contingency
Total, Construction

41,4007,600
49,00040,5008,500
49,000

N/A
N/A
N/A

Total, TEC b
Contingency, TEC

55,0009,000

55,000
9,500

N/A
N/A

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

500
1,000
500
2,000
500

1,200
450
350
2,000
350

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

Total, TPCb
Total, Contingency

57,0009,500

57,000
9,850

N/A
N/A

a

Costs through FY 2015 reflect actual costs; costs for FY 2016 and the outyears are estimates.
This project has not received CD-2 approval; funding estimates are consistent with the preliminary cost ranges. The
preliminary TEC cost range for this project is $43,300,000 to $55,000,000. The preliminary TPC cost range for this project is$45,300,000 to $57,000,000.
c
Other Project Costs (OPC) are funded through laboratory overhead.
b

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7.

Schedule of Appropriation Requests

RequestYear
FY 2015 TEC
OPC b
TPC
FY 2016 TEC
OPCb
TPC
FY 2017 TEC
OPCb
TPC
8.

FY 2014
0
1,341
1,341
0
671
671
0
230
230

FY 2015
12,890012,89010,000100
10,10010,000242
10,242

FY 2016
25,770200
25,97025,000492
25,49225,000025,000(dollars in thousands)
FY 2017
16,340459
16,79920,000737
20,73720,000459
20,459FY 2018
0
0
0
0
0
0
0
1,069
1,069

Total
55,000 a
2,000
57,000a
55,000a
2,000
57,000a
55,000a
2,000
57,000a

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

2Q FY 2020
50
2Q FY 2070

(Related Funding requirements)

Operations
Utilities
MaintenanceTotal, Operations & Maintenance9.

(dollars in thousands)
Annual Costs
Life Cycle Costs
Current Total Previous Total Current Total Previous Total
Estimate
Estimate
Estimate
Estimate
340
N/A
10,925
N/A
278
N/A
8,917
N/A
1,929
N/A
61,912
N/A
2,547
N/A
81,754
N/A

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

Square Feet
N/A
N/A
N/A
N/A
N/A
N/A

a

This project has not received CD-2 approval; funding estimates are consistent with the preliminary cost ranges. The
preliminary TEC cost range for this project is $43,300,000 to $55,000,000. The preliminary TPC cost range for this project is$45,300,000 to $57,000,000.
b
Other Project Costs (OPC) are funded through laboratory overhead.
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SLAC National Accelerator Laboratory net banked square footage for future one-for-one offset as reported in FIMS stands at
263,000 SF. Since there will not be construction of any additional space in this project, the one-for-one offset is notapplicable.
10. Acquisition Approach
Acquisition for this project will be performed by the Management and Operating (M&O) contractor, Stanford University andoverseen by the SLAC Site Office. DOE will utilize SLAC to acquire the project under the existing DOE Management &Operations Contract (DE-AC02-76-SF00515). As such, SLAC has the ultimate responsibility to successfully execute the project
under the direction of the Federal Project Director (FPD). SLAC has determined that a CM/GC approach would be mostefficient and appropriate for interior construction of PSLB. All PSLB procurements will be based on firm fixed-price subcontracts. Project performance metrics are included in the M&O contractor’s annual performance evaluation andmeasurement plan.

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15-SC-78, Integrative Genomics Building
Lawrence Berkeley National Laboratory (LBNL), Berkeley, California
Project is for Design and Construction
1.

Significant Changes and Summary

Significant Changes
This Construction Project Data Sheet (CPDS) is an update of the FY 2016 CPDS and does not include a new start for FY 2017.
The budgeted amount for PED funds in FY 2015 is reduced by $3,090,000 to $6,500,000 to reflect a slightly less conservative
cost estimate for preliminary and final design. The budgeted amount of Construction funds was increased by the sameamount to result in $83,500,000 for construction funding. The approved Total Estimated Cost (TEC) range for this projectremains as $79,600,000 to $90,000,000.
Summary
The FY 2017 Request for the Integrative Genomics Building is $19,561,000, which is $439,000 less than the FY 2016 Enacted
level and consistent with the approved baseline funding profile. The most recent DOE O 413.3B approved Critical Decision(CD) is CD-1, Approve Alternative Selection and Cost Range, and was approved on February 20, 2015. The approved Total
Estimated Cost (TEC) range for this project is $79,600,000 to $90,000,000. The approved Total Project Cost (TPC) range forthis project is $81,100,000 to $91,500,000.
A Federal Project Director with certification level 2 has been assigned to this project.
This project will provide new space necessary to relocate a significant fraction of biosciences research currently occupying
leased commercial space onto the main LBNL campus. Conceptual Design was completed in October 2014 and Preliminary
Design was completed in December 2015. FY 2017 funds will be used for construction.
2.

Critical Milestone History(fiscal quarter to date)

FY 2015
FY 2016
FY 2017

CD-0

Conceptual
DesignComplete

CD-1

CD-2

Final Design
Complete

CD-3

D&D
CompleteCD-4

9/17/2013
9/17/2013
9/17/2013

N/A
1Q FY 201510/28/2014

1Q FY 2015
2Q FY 201502/20/2015

3Q FY 2016 a
2Q FY 2016a
2Q FY 2016a

4Q FY 2016
3Q FY 2016
3Q FY 2016

3Q FY 2016a
4Q FY 2016a
1Q FY 2017a

N/A
N/A
N/A

1Q FY 2021a
1Q FY 2021a
1Q FY 2021a

CD-0 – Approve Mission Need
Conceptual Design Complete – Actual date the conceptual design was completed
CD-1 – Approve Alternative Selection and Cost Range
CD-2 – Approve Performance Baseline
Final Design Complete – Estimated date the project design will be completed
CD-3– Approve Start of Construction
D&D Complete – Completion of D&D work (see Section 9)
CD-4 – Approve Project CompletionaThis project is pre-CD-2and schedule estimates are preliminary.

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Performance
Baseline
Validation
FY 2015
N/A
FY 2016
N/A
FY 2017 PB 2Q FY 2016 a
3.

Project Cost History

TEC, Design
FY 2015
FY 2016
FY 2017
4.

12,090
9,590
6,500

TEC,
Construction
77,910 c
80,410c
83,500c(dollars in thousands)
OPC b Except
TEC, Total
OPC, D&D
D&D
90,000c
1,500
0c
90,0001,500
090,000c1,500
0OPC, Total

TPC

1,500
1,500
1,500

91,500c
91,500c
91,500c

Project Scope and Justification

Scope
The scope of this project includes the design and construction of a new state-of-the-art facility for bioscience research
approximately 79,000 gross square feet in size and located on the main LBNL campus in Berkeley, California. The facility will
be physically located on the former site of the recently demolished Bevatron particle accelerator.
Key Performance Parameters
Description
Biosciences and other research space

Threshold Value (Minimum)
79,000 gross square feet

Objective Value (Maximum)
95,000 gross square feet

Justification
The mission need of this project is to increase the synergy and efficiency of biosciences and other research at Lawrence
Berkeley National Laboratory (LBNL). LBNL has grown from a pioneering particle and nuclear physics laboratory into a
multidisciplinary research facility with broad capabilities in physical, chemical, computational, biological, and environmental
systems research in support of the Department of Energy (DOE) mission. Portions of the biosciences program at LBNL arelocated off-site, away from the main laboratory, and dispersed across several locations approximately twenty miles apart.
This arrangement has produced research and operational capability gaps that limit scientific progress, in genomics-based
biology related to energy and the environment. This project will close the present capability gaps by providing a state-ofthe-art facility that will collocate biosciences research and other programs.
FY 2017 funds will be used for construction and project management and support activities.
The project is being conducted in accordance with the project management requirements in DOE 413.3B, Program andProject Management for the Acquisition of Capital Assets.

aThis project is pre-CD-2 and schedule estimates are preliminary.
Other project costs (OPC) are funded through laboratory overhead.
cThis project has not received CD-2 approval; funding estimates are consistent with the approved cost ranges. The
approved TEC range for this project is $79,600,000 to $90,000,000. The approved TPC range for this project is $81,100,000
to $91,500,000.
b

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5.

Preliminary Financial Schedule
Appropriations(dollars in thousands)
Obligations

Costs aTotal Estimated Cost (TEC)
DesignFY 2015
FY 2016
Total, Design

6,500
0
6,500

6,500
0
6,500

2,086
4,414
6,500

Construction
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, Construction

5,590
20,00019,561
38,3490083,5005,590
20,00019,561
38,3490083,5000023,50024,00024,00012,00083,500TEC
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, TEC b

12,09020,00019,561
38,3490090,00012,09020,00019,561
38,3490090,0002,086
4,414
23,50024,00024,00012,00090,000

Other Project Cost (OPC) c
OPC except D&D
FY 2014
FY 2015
Total, OPC

1,145
355
1,500

1,145
355
1,500

1,145
355
1,500

Total Project Cost (TPC)FY 2014
FY 2015
FY 2016
FY 2017
FY 2018
FY 2019
FY 2020
Total, TPCb

1,145
12,44520,00019,561
38,3490091,5001,145
12,44520,00019,561
38,3490091,500

1,145
2,441
4,414
23,50024,00024,00012,00091,500a

Costs through FY 2015 reflect actual costs; costs for FY 2016 and the outyears are estimates.
This project has not received CD-2 approval; funding estimates are consistent with the approved cost ranges. The
approved TEC range for this project is $79,600,000 to $90,000,000. The approved TPC range for this project is $81,100,000
to $91,500,000.
c
Other Project Costs (OPC) are funded through laboratory overhead.
b

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6.

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

Current Total
Estimate

7.

Total Estimated Cost (TEC)
DesignDesignContingency
Total, Design

5,964
536
6,500

8,590
1,000
9,590

5,964
536
6,500

Construction
Construction
Contingency
Total, Construction

71,265
12,23583,50068,21012,20080,41071,265
12,23583,500Total, TEC a
Contingency, TEC

90,00012,77190,00013,20090,00012,771Other Project Cost (OPC) b
OPC except D&D
Conceptual
Planning
Conceptual Design
StartupContingency
Total, OPC
Contingency, OPC

355
1,145
0
0
1,500
0

400
1,000
0
100
1,500
100

355
1,145
0
0
1,500
0

Total, TPCa
Total, Contingency

91,50012,77191,50013,300

N/A
N/A

Schedule of Appropriation Requests

RequestYear
FY 2015

FY 2016

FY 2017

TEC
OPCb
TPC
TEC
OPC b
TPC
TEC
OPC b
TPC

FY 2014
0
1,300
1,300
0
1,500
1,500
0
1,145
1,145

FY 2015
12,0900
12,09012,0900
12,09012,090355
12,445FY 2016
17,2990
17,29920,0000
20,00020,0000
20,000(dollars in thousands)
FY 2017
FY 2018
30,14830,4630030,14830,46325,06432,8460025,06432,846
19,561
38,34900
19,561
38,349FY 2019
0
200
200
0
0
0
0
0
0

Total
90,000a
1,500
91,500a90,000a
1,500
91,500a90,000a
1,500
91,500aaThis project has not received CD-2 approval; funding estimates are consistent with the approved cost ranges. The
approved TEC range for this project is $79,600,000 to $90,000,000. The approved TPC range for this project is $81,100,000
to $91,500,000.
b
Other Project Costs (OPC) are funded through laboratory overhead.
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8.

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

1Q FY 2020
50 years
1Q FY 2070

(Related Funding requirements)

Operations
Utilities
Maintenance and Repair
Total, Operations & Maintenance9.

(dollars in thousands)
Annual Costs
Life Cycle Costs
Previous
Current
Previous
Current Total
Total
Total
Total
Estimate
Estimate
Estimate
Estimate
179
N/A
5,735
N/A
324
N/A
11,919
N/A
644
N/A
20,662
N/A
1,147
N/A
38,316
N/A

D&D Information

The new area that will be constructed in this project will not replace existing facilities.
Square Feet
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 includingarea previously “banked” ................................................................................................
Total area eliminated .......................................................................................................

79,000None
79,000
None
None
None

Lawrence Berkeley National Laboratory will comply via space previously “banked.” Lawrence Berkeley National Laboratory
net banked square footage for future one-for-one offset as reported in the last FIMS update of September 26, 2013 stands
at 165,000 SF.
10. Acquisition Approach
Acquisition for this project will be performed by the Management and Operating (M&O) Contractor, University of California,
and overseen by the Berkeley Site Office. Various acquisition approaches and project delivery methods were evaluated priorto achieving CD-1. A tailored Design-Bid-Build approach with a Construction Manager as General Contractor was selected as
the overall best project delivery method with the lowest risk to DOE. The M&O contractor is responsible for awarding andadministering all subcontracts related to this project. Project performance metrics are included in the M&O contractor’sannual performance evaluation and measurement plan.

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344

Safeguards and Security
Overview
The Office of Science (SC) Safeguards and Security (S&S) program is designed to ensure appropriate security measures arein place to support the SC mission requirement of open scientific research and to protect critical assets within SC
laboratories. This is accomplished by providing physical controls that will mitigate possible risks to the laboratories’
employees, nuclear and special materials, classified and sensitive information, and facilities. The SC S&S program also
provides funding for cybersecurity for the laboratories’ information technology systems to protect electronic data while
enabling the SC mission.
Highlights of the FY 2017 Budget Request
Ensuring adequate security for the special nuclear material housed in Building 3019 at the Oak Ridge National Laboratory(ORNL) is the highest priority for the SC S&S Program, and SC is proactive in evaluating and improving security at thatfacility. The FY 2017 Request includes funding to ensure adequate security at this important facility. The FY 2017 Request
supports sustained levels of operations in all S&S functional areas and ensures the Cyber Security program is properly
funded to detect, mitigate, and recover from cyber intrusions and attacks against protected information at the heart of the
SC mission.
Within the FY 2017 Request, S&S supports the Cyber Security Departmental Crosscut. The Department of Energy (DOE) is
engaged in two categories of cyber-related activities: protecting the DOE enterprise from a range of cyber threats that canadversely impact mission capabilities and improving cybersecurity in the electric power subsector and the oil and natural
gas subsector. The cybersecurity crosscut supports central coordination of the strategic and operational aspects ofcybersecurity and facilitates cooperative efforts such as the Joint Cybersecurity Coordination Center (JC3) for incident
response and the implementation of Department-wide Identity Credential and Access Management (ICAM).
FY 2017 Crosscuts ($K)
Cyber Security
Safeguards and Security

33,236 aFinally, the FY 2017 Request continues to support the Department’s strategy for managing enterprise-wide cybersecurity
and identity authentication for DOE IT systems, referred to as “CyberOne.” The CyberOne strategy provides improved
Department-wide capabilities for incident management and logical access to federal IT systems.
Description
The S&S program is organized into seven functional areas: Protective Forces, Security Systems, Information Security, Cyber
Security, Personnel Security, Material Control and Accountability, and Program Management.
Protective Forces
The Protective Forces element supports security officers, access control officers, and security policy officers assigned toprotect S&S interests, along with their related equipment and training. Activities within this 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 element provides physical protection of Departmental personnel, material, equipment, property, andfacilities, and includes fences, barriers, lighting, sensors, surveillance devices, entry control devices, access control systems,aCybersecurity amount includes $6,039,000 for CyberOne funded through the Working Capital Fund (WCF).
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FY 2017 Congressional Budget Justification345

and power systems operated and used to support the protection of DOE property, classified information, and other interestsof national security.
Information Security
The Information Security element provides support to ensure that sensitive and classified information is accurately,
appropriately, and consistently identified, reviewed, marked, protected, transmitted, stored, and ultimately destroyed.
Specific activities within this element include management, planning, training, and oversight for maintaining security
containers and combinations, marking documents, and administration of control systems, operations security, special accessprograms, technical surveillance countermeasures, and classification and declassification determinations.
Cyber Security
The Cyber Security element provides appropriate staffing levels, risk management tools, training, and security controls toprotect the sensitive and classified data electronically processed, transmitted, or stored on SC IT systems. This element
provides site-specific security as well as enterprise-wide security through CyberOne. Risk management controls ensure thatIT systems, including the data contained within these systems, maintain confidentiality, integrity, and availability in a mannerconsistent with the SC mission and federal requirements.
Personnel Security
The Personnel Security 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. Thiselement also includes the management of security clearance programs, adjudications, security education, awarenessprograms for Federal and contractor employees, and processing and hosting approved foreign visitors.
Material Control and Accountability (MC&A)
The MC&A 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, andaccountability required for the types and quantities of materials at each facility; documenting facility plans for materials
control and accountability; assigning authorities and responsibilities for MC&A functions; and establishing programs todetect and report occurrences such as material theft, the loss of control or inability to account for materials, or evidence of
malevolent acts.
Program Management
The Program Management 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.

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Safeguards and Security
Funding ($K)

Protective Forces
Security Systems
Information Security
Cyber Security a
Personnel Security
Material Control and Accountability
Program Management
Total, Safeguards and Securitya

FY 2015 Enacted
38,095
12,601
4,252
24,118
5,267
2,223
6,444
93,000FY 2015 Current
37,767
11,314
4,268
25,781
5,335
2,256
6,279
93,000FY 2016 Enacted
38,80512,0194,416
33,156
5,412
2,454
6,738
103,000

FY 2017 Request
39,63810,357
4,467
33,236
6,086
2,458
6,758
103,000

FY 2017 vs FY 2016
+833
-1,662
+51
+80
+674
+4
+20
0

Cybersecurity amount includes $7,351,000 in FY 2015, $6,086,000 in FY 2016, and $6,039,000 in FY 2017 for CyberOne through the Working Capital Fund (WCF).
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347

Safeguards and Security
Activities and Explanation of Changes
FY 2016 Enacted

FY 2017 Request

Explanation of Changes
FY 2017 vs FY 2016

Protective Forces $38,805,000
Provides funding to maintain protection levels,
equipment, and training needed to ensure proper
protection and effective performance at all SC
laboratories.

$39,638,000+$833,000
The FY 2017 Request will provide funding to maintain The increase for protective forces supports sustained
proper protection levels, equipment, and technicallevels of operations across all SC laboratories.
training needed to ensure effective performance at all
SC laboratories.

Security Systems $12,019,000
Provides funding to maintain the security systems
currently in place and to support investments in SC
laboratory physical security systems.

$10,357,000
The FY 2017 Request will provide funding to maintainsecurity systems currently in place.

-$1,662,000
The decrease in security systems is the result ofcompleted prior year investments in laboratory
physical security systems.

Information Security $4,416,000
Provides funding for personnel, equipment, andsystems necessary to ensure sensitive and classified
information is properly safeguarded at SC
laboratories.

$4,467,000
The FY 2017 Request will provide funding for
personnel, equipment, and systems necessary toensure sensitive and classified information is properly
safeguarded at SC laboratories.

+$51,000
The increase for information security supports
sustained levels of operations across all SC
laboratories.

Cyber Security $33,156,000
Provides funding to properly protect SC laboratories’
computer resources and sensitive data. Funding is
also provided to continue support of the
Department’s CyberOne strategy.

$33,236,000
The FY 2017 Request provides funding to ensure the
Cyber Security program is properly funded to detect,
mitigate, and recover from cyber intrusions andattacks against protected information at the heart of
the SC mission. The Request also continues support of
the Department’s CyberOne strategy.

+$80,000
The increase for cybersecurity supports sustainedlevels of operations across 12 sites and facilities andcontinued support for the Departments’ CyberOne
strategy.

Personnel Security $5,412,000
Maintains Personnel Security efforts at SC
laboratories.

$6,086,000
The FY 2017 Request provides funding for Personnel
Security efforts at SC laboratories.

+$674,000
The increase for personnel security supports
increased levels of operations across 12 sites andfacilities to include credit monitoring and backgroundchecks.

Science/Safeguards and Security

348

FY 2017 Congressional Budget Justification

FY 2016 Enacted

FY 2017 Request

Explanation of Changes
FY 2017 vs FY 2016

Material Control and Accountability $2,454,000
Maintains proper protection of material at SC
laboratories.

$2,458,000
Funding in FY 2017 will provide funding to maintainproper protection of material at SC laboratories.

+$4,000
The increase for material control and accountability
supports sustained levels of operations across all SC
laboratories.

Program Management $6,738,000
Provides funding for oversight, administration, andplanning for security programs at SC laboratories andto ensure security procedures and policy support SC
research missions.

$6,758,000
The FY 2017 Request will provide funding for theoversight, administration, and planning for security
programs at SC laboratories and will support security
procedures and policy support SC Research missions.

+$20,000
The increase for program management supports
sustained levels of operations across all SC
laboratories.

Science/Safeguards and Security

349

FY 2017 Congressional Budget Justification

Estimates of Cost Recovered for Safeguards and Security Activities ($K)
In addition to the direct funding received from the Safeguards and Security Program, sites recover Safeguards and Security costs related to Work for Others (WFO)
activities from WFO customers, including the cost of any unique security needs directly attributable to the customer. Estimates of those costs are shown below.

Ames National Laboratory
Argonne National Laboratory
Brookhaven National Laboratory
Lawrence Berkeley National Laboratory
Oak Ridge Institute for Science and Education
Oak Ridge National Laboratory
Pacific Northwest National Laboratory
Princeton Plasma Physics Laboratory
SLAC National Accelerator Laboratory
Total, Security Cost Recovered

Science/Safeguards and Security

FY 2015 Planned Costs
80
1,100
800
733
595
4,500
4,633
50
76
12,567FY 2016 Planned Costs
80
1,100
1,218
733
595
4,500
5,000
40
120
13,386350

FY 2017 Planned Costs
40
1,100
1,218
733
677
4,732
5,000
50
133
13,683

FY 2017 vs FY 2016
-40
0
0
0
+82
+232
0
+10
+13
+297

FY 2017 Congressional Budget Justification

Program Direction
Overview
Program Direction (PD) in the Office of Science (SC) supports a skilled Federal workforce to develop and oversee SC
investments in basic research and construction and operation of scientific user facilities, the tools of discovery science. SC
investments transform our understanding of nature and advance the energy, economic, and national security of the UnitedStates. In addition, SC provides broad public access to DOE research and development findings to further leverage theFederal science investment and advance the scientific enterprise.
SC requires highly skilled scientific and technical program and project managers, as well as experts in acquisition; finance;
legal; construction and infrastructure management; human resources; and environmental, safety, and health oversight. SC’s
basic research portfolio includes grants and contracts supporting over 24,000 researchers located at about 300 institutions
and 17 national laboratories. SC’s scientific user facility portfolio includes 28 in operations and several more underconstruction—the large machines of modern science—which support some 31,000 users annually. These facilities offer
unique capabilities and place U.S. researchers and industries at the forefront of science, technology, and innovation.
In 2013, Secretary Moniz reorganized the Department’s management structure, which expanded the role of the Under
Secretary for Science to encompass both science and energy. The resulting Office of the Under Secretary for Science andEnergy has oversight of SC, as well as the Offices of Fossil Energy (FE), Energy Efficiency and Renewable Energy (EERE),
Nuclear Energy (NE), Electricity Delivery and Energy Reliability (OE), Indian Energy Policy and Programs (IE), and the Office ofTechnology Transitions (OTT). Funding for the permanent career staff reporting to the Office of the Under Secretary for
Science and Energy (formally organized as the Office of Planning and Management Oversight) is requested within the SC
budget. This office facilitates major initiatives to strategically align the Science and Energy programs and engage its National
Laboratories, including the annual National Lab Big Ideas Summit, coordination of the Crosscut programs, and developmentof seminal documents such as the Quadrennial Technology Review and the Science and Energy Plan. In addition, the office
coordinates ongoing operational, planning, budgetary, human resource, and physical and cyber security functions across the
program reporting to the Under Secretary.
Headquarters (HQ)SC HQ Federal staff:











Conduct scientific program and research infrastructure planning, execution, and management across SC, in part byengaging the scientific community to identify research opportunities and develop priorities.
Create and maintain a research portfolio that includes high-risk, high-reward research to achieve mission goals andobjectives.
Conduct rigorous peer review of research proposals and ongoing programs. Each year, SC manages more than 6,000
ongoing laboratory, university, non-profit, and private industry research awards and reviews between 5,000 and 6,000
new and renewal proposals.
Provide safety, security, and infrastructure oversight and management of all SC user facilities and other current research
investments.
Provide oversight and management of all line item and other construction projects.
Provide oversight and management of the maintenance and operational integrity of the ten SC national laboratories.
Provide policy, strategy, and resource management in the areas of information technology, grants and contracts,budget, and human capital.
Respond to information requests from Congress, the Executive Office of the President, other executive branch offices,and the public.
Provide subject matter expertise to the Office of the Under Secretary for Science and Energy and other Departmental
elements as may be requested.

Site Offices
SC Site Office Federal staff provide contract management and critical support for the scientific mission at ten SC national
laboratories. This includes day-to-day business management, approvals to operate hazardous facilities, safety and security
Science/Program Direction

351

FY 2017 Congressional Budget Justification

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 assure contractual mechanisms are managed effectively
and consistently with guidelines and regulations, supporting over $3 billion per year of SC mission work.
Evaluate laboratory activities including nuclear, radiological, and other complex hazards.
Provide Federal Project Directors to oversee construction projects.

Integrated Support Center (ISC):The ISC, located at the Chicago and Oak Ridge Offices, provides business management to support SC’s federal
responsibilities. These functions include legal and technical support; human capital shared services; financial management;
grant and contract processing; safety, security, and health management; labor relations, intellectual property and patent
management; environmental compliance; facility infrastructure operations and maintenance; and information systems
development and support. As part of this, the ISC:Manages the multi-appropriation, multi-program allotments for all SC national laboratories through administration oflaboratory Management and Operating (M&O) contracts and is responsible for over 4,000 grants per year to universitybased researchers.
Provides support to SC and other DOE programs for solicitations and funding opportunity announcements, as well as
the negotiation, award, administration, and closeout of contracts and financial assistance awards using certified
contracting officers and professional acquisition staff.
Manages the DOE Payments Processing Center, a DOE-wide enterprise which executes approximately $11.1 billion of
accounts payable activities annually.

Office of Scientific and Technical Information (OSTI):OSTI fulfills the Department’s responsibilities for wide public access to the unclassified and classified results of its research
investments. DOE researchers typically produce 30,000-40,000 research papers and reports annually, and OSTI's physicaland electronic collections exceed one million research papers and reports. OSTI developed and is responsible for executing
DOE’s public access mandate consistent with the memorandum issued by the Office of Science and Technology Policy (OSTP)
in February 2013. The DOE policy ensures that peer-reviewed publications (either accepted manuscripts or the version ofrecord) resulting from DOE funding will be made available to the public within 12 months from the date of publication. In
FY 2015, a subcommittee of the Advanced Scientific Computing Advisory Committee (ASCAC) conducted an initial review of
the OSTI program and expressed strong support for DOE’s and OSTI’s implementation of the public access mandate.
Highlights of the FY 2017 Budget Request







The FY 2017 Request of $204,481,000 is an increase of $19,481,000 (+10.5%) from the FY 2016 Enacted level andsupports a total FTE level of 930.
Working Capital Fund (WCF) estimates for FY 2017 have increased over the FY 2016 requirements to fund the third yearof OMB-mandated OPM credit monitoring and projected inflation increases in existing WCF programs including
corporate business systems, building occupancy, interagency transfers, and telecommunications. SC’s share of thisestimated increase is $2,872,000, and is included in the Program Direction Budget Request.
In the FY 2017 Request, most SC research program funding for the Working Capital Fund (WCF) is transferred to PD toestablish a consolidated source of funding for goods and services provided by the WCF. CyberOne is still funded throughprogram dollars in the SC Safeguards and Security program. In FY 2016 and prior years, WCF costs were shared by SC
research programs and Program Direction. This transfer accounts for an increase of $10,380,000 in the Program
Direction FY 2017 Budget Request.
The FY 2017 Request includes an increase in travel funding for senior scientific and technical staff. Several recent
external Committee of Visitors program management reviews noted that inadequate travel resources for program
managers have diminished their participation in major scientific meetings and hindered effective management andoversight of SC’s science programs and user facilities. A recent internal review of travel funding for program managers
corroborated those findings, revealing a systematic degradation of travel resources over the last decade.

Science/Program Direction

352

FY 2017 Congressional Budget JustificationConsistent with Executive Order 13539, as amended December 19, 2011, the FY 2017 Request supports the President’s
Council of Advisors on Science and Technology (PCAST), providing $875,000 for salaries and benefits for three FTEs,
committee member travel, meeting planning support, and other related expenses.
The FY 2017 Request includes $2,500,000 to support salaries, benefits, travel, training, and other expenses for the ten
permanent career FTEs in the Office of Planning and Management Oversight supporting the Office of the Under
Secretary for Science and Energy. In FY 2016, funding for this office was requested in the Departmental Administration
appropriation.

Science/Program Direction

353

FY 2017 Congressional Budget Justification

354

Science Program Direction
Funding ($K)
FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request 1

FY 2017 vs. FY 2016

Washington Headquarters
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Washington Headquarters

51,962
1,866
13,472
15,87083,17051,776
1,937
13,695
14,316
81,72454,394
2,158
14,651
18,11289,31556,4752,200
14,00029,680102,355+2,081+42-651+11,568+13,040

Office of Scientific and Technical Information
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Office of Scientific and Technical Information

6,181
78
1,522
1,000
8,781

5,882
68
1,180
1,351
8,481

6,063
120
1,366
855
8,404

6,384
150
2,000
1,000
9,534

+321
+30
+634
+145
+1,130Field Offices
Chicago Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Chicago Office

22,355
305
800
1,958
25,41823,037
368
668
2,847
26,92021,488
248
914
2,275
24,92522,240
270
661
1,957
25,128

+752
+22
-253
-318
+203

Oak Ridge Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Oak Ridge Office

23,302
300
1,469
3,434
28,50523,216
471
2,530
3,831
30,04821,600
345
1,660
4,025
27,63023,188
386
1,354
4,197
29,125+1,588
+41
-306
+172
+1,495

1$10,380,000 is transferred from Office of Science research programs to support the Working Capital Fund.

Science/Program Direction

355

FY 2017 Congressional Budget Justification

FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request 1

FY 2017 vs. FY 2016

Ames Site Office
Salaries and Benefits
TravelSupport Services
Total, Ames Site Office

441
24
2
467

418
42
0
460

450
22
2
474

462
25
2
489

+12
+3
0
+15

Argonne Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Argonne Site Office

3,531
107
158
39
3,835

3,605
106
84
25
3,820

3,496
80
165
21
3,762

3,720
100
158
39
4,017

+224
+20
-7
+18
+255

Berkeley Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Berkeley Site Office

3,465
75
384
131
4,055

2,930
86
486
11
3,513

2,780
59
361
87
3,287

3,360
65
174
131
3,730

+580
+6
-187
+44
+443

Brookhaven Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Brookhaven Site Office

4,329
115
610
165
5,219

4,042
135
612
72
4,861

4,140
125
358
195
4,818

4,576
265
460
240
5,541

+436
+140
+102
+45
+723

Fermi Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Fermi Site Office

2,280
75
73
44
2,472

2,128
52
77
20
2,277

2,325
75
55
41
2,496

2,460
80
60
40
2,640

+135
+5
+5
-1
+144

Science/Program Direction

356

FY 2017 Congressional Budget Justification

FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request 1

FY 2017 vs. FY 2016

New Brunswick Laboratory
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, New Brunswick Laboratory

3,575
80
296
983
4,934

2,889
49
1,414
797
5,149

2,363
125
300
1,034
3,822

2,793
165
489
898
4,345

+430
+40
+189
-136
+523

Oak Ridge National Laboratory Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Oak Ridge National Laboratory Site Office

5,600
110
281
30
6,021

5,402
78
320
37
5,837

5,250
100
461
30
5,841

5,880
130
430
30
6,470

+630
+30
-31
0
+629

Pacific Northwest Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Pacific Northwest Site Office

4,641
125
38
104
4,908

4,689
122
27
25
4,863

4,386
133
48
83
4,650

4,726
140
38
104
5,008

+340
+7
-10
+21
+358

Princeton Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Princeton Site Office

1,505
30
10
88
1,633

1,328
19
48
24
1,419

1,310
38
16
44
1,408

1,490
45
14
74
1,623

+180
+7
-2
+30
+215

SLAC Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, SLAC Site Office

2,052
59
138
57
2,306

2,259
56
151
6
2,472

2,124
50
148
33
2,355

2,160
59
150
57
2,426

+36
+9
+2
+24
+71

Science/Program Direction

357

FY 2017 Congressional Budget Justification

FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request 1

FY 2017 vs. FY 2016

1,836
50
49
41
1,976

1,759
48
46
3
1,856

1,711
60
10
32
1,813

1,936
70
10
34
2,050

+225
+10
0
+2
+237

Total Field Offices
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Field Offices

78,912
1,455
4,308
7,074
91,74977,702
1,632
6,463
7,698
93,49573,423
1,460
4,498
7,900
87,281

78,991
1,800
4,000
7,801
92,592+5,568
+340
-498
-99
+5,311

Total Program Direction
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Program Direction
Federal FTEs

137,055
3,399
19,302
23,944
183,700
940

135,360
3,637
21,33823,365
183,700
902

133,880
3,738
20,515
26,867
185,000
905

141,850
4,150
20,00038,481
204,481930+7,970+412-515+11,614+19,481
+25

714
700
365
1,779

464
701
443
1,608

489
732
440
1,661

598
1,192
462
2,252

+109
+460
+22
+591

8,273
724

7,835
723

8,665
802

8,700
883

+35
+81

8,526
17,523
19,302

11,172
19,73021,338

9,387

8,165

-1,222

18,854
20,515

17,74820,000-1,106-515

Thomas Jefferson Site Office
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Thomas Jefferson Site Office

Technical Support
Development of specifications
System review and reliability analyses
Surveys or reviews of technical operations
Total, Technical Support
Management Support
Automated data processing
Training and education
Reports and analyses, management, and generaladministrative services
Total, Management Support
Total, Support Services

Science/Program Direction

358

FY 2017 Congressional Budget Justification

Other Related Expenses
Rent to GSA
Rent to others
Communications, utilities, and miscellaneous
Printing and reproduction
Other services
Operation and maintenance of equipment
Operation and maintenance of facilities
Supplies and materials
Equipment
Working Capital Fund
Total, Other Related Expenses

Science/Program Direction

FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request 1

FY 2017 vs. FY 2016

900
1,556
2,624
21
1,834
103
1,044
776
3,586
11,50023,944

742
2,516
1,887
0
534
530
2,339
867
2,450
11,50023,365

1,104
1,893
3,223
1
2,211
143
1,333
689
3,668
12,602
26,867

960
1,273
3,215
0
1,148
142
1,413
853
3,623
25,85438,481

-144
-620
-8
-1
-1,063
-1
+80
+164
-45
+13,252+11,614359

FY 2017 Congressional Budget Justification

Program Direction
Activities and Explanation of Changes

Explanation of Changes
FY 2017 vs. FY 2016

FY 2016 Enacted

FY 2017 Request

Program Direction $185,000,000
Salaries and Benefits $133,880,000
The FY 2016 Enacted level supports 905 FTEs toperform scientific oversight, project management,
essential operations support associated with science
program portfolio management, and administration of
PCAST.

$204,481,000$141,850,000
The FY 2017 Request will support 930 FTEs to performscientific oversight, project management, essential
operations support associated with science program
portfolio management, support for the Under
Secretary for Science and Energy, and administrationof PCAST.

This funding also includes support for expenses suchas increases in GS schedule pay rates, health insurance
costs and retirement allocations in the Federal
Employees Retirement System.

This funding also includes support for expenses suchas increases in GS schedule pay rates, health insurance
costs and retirement allocations in the Federal
Employees Retirement System.

Travel $3,738,000$4,150,000+$412,000

Ensuring scientific management, compliance, safety
oversight, and external review of research funding
across all SC programs requires staff to travel, since SC
senior program managers are not co-located with
grantees or at national laboratories. Travel is also
required for facility visits where the use of electronic
telecommunications is not practical for mandated onsite inspections and operations reviews.

Ensuring scientific management, compliance, safety
oversight, and external review of research funding
across all SC programs requires staff to travel, since SC
senior program managers are not co-located with
grantees or at national laboratories. Travel is also
required for facility visits where the use of electronic
telecommunications is not practical for mandated onsite inspections and operations reviews.

The increase in travel funding restores SC program
manager participation in major scientific meetings andprovide effective management and oversight of major
programs and user facilities through on-site visits. Per
Administration policy, travel costs were restricted fromFY 2013 through 2016.

+$19,481,000+$7,970,000
The increase includes funding for salaries and benefits
based on current projections for SC’s grade
distribution and annual pay/step increases.
It also includes a $2,010,000 increase to support ten
permanent career FTEs in the Office of Planning andManagement Oversight supporting the Office of theUnder Secretary for Science and Energy.

The Committee of Visitors identified travel funding
increases as the “highest and most urgent priority” intheir 2015 review of the Office of Basic Energy
Sciences. The requested increase is essential tofulfilling the SC mission and sustaining a vibranttechnical staff.

Science/Program Direction

360

FY 2017 Congressional Budget Justification

FY 2016 Enacted

Explanation of Changes
FY 2017 vs. FY 2016
Travel is included to support travel requirements in the An increase of $60,000 supports travel for ten
Office of the Under Secretary for Science and Energy.
permanent career FTEs in the Office of Planning andManagement Oversight supporting the Office of theUnder Secretary for Science and Energy.
FY 2017 Request

Travel is included to support meetings of the PCAST,
scheduled for six times per year with additional
meetings called at the discretion of the President.
PCAST is an advisory group to the President andExecutive Office of the President.

Travel is included to support meetings of the PCAST,
scheduled for six times per year with additional
meetings called at the discretion of the President.
PCAST is an advisory group to the President andExecutive Office of the President.

The Enacted level supports travel for the SC Federal
Advisory Committee, which includes over 170
representatives from universities, national
laboratories, and industry, representing a diverse
balance of disciplines, professional experience, andgeography. Each of the six advisory committees
provides valuable, independent advice to the
Department regarding the complex scientific andtechnical issues that arise in the planning,
management, and implementation of SC programs.

The Request supports travel for the SC Federal
Advisory Committee travel, which includes over 170
representatives from universities, national
laboratories, and industry, representing a diverse
balance of disciplines, professional experience, andgeography. Each of the six advisory committees
provides valuable, independent advice to the
Department regarding the complex scientific andtechnical issues that arise in the planning,
management, and implementation of SC programs.

Support Services $20,515,000
Technical expertise and business services sustain thefollowing: maintenance, operation, and cyber security
management of SC mission-specific information
technology systems and infrastructure as well as SCcorporate Enterprise Architecture and Capital Planning
Investment Control management; administration of
the Small 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; operations and maintenance of
the Searchable Field Work Proposal system to provide
HQ and Field organizations a tool to search andScience/Program Direction$20,000,000
Technical expertise and business services sustain thefollowing: maintenance, operation, and cyber security
management of SC mission-specific information
technology systems and infrastructure as well as SCcorporate Enterprise Architecture and Capital Planning
Investment Control management; administration of
the Small 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; operations and maintenance of
the Searchable Field Work Proposal system to provide
HQ and Field organizations a tool to search and361-$515,000
Funding for support services is requested based on
current projections for SC requirements.
This includes an increase of $55,000 which isrequested to support training for ten permanent
career FTEs in the Office of Planning and Management
Oversight supporting the Office of the Under Secretaryfor Science and Energy.

FY 2017 Congressional Budget Justification

FY 2016 Enacted

FY 2017 Request

monitor field work proposals; selected routine
administrative services including travel processing andFederal staff training and education to maintainappropriate certification and update skills; selectreports or analyses directed toward improving theeffectiveness, efficiency, and economy of services andprocesses; and safeguards and security oversightfunctions.

monitor field work proposals; selected routine
administrative services including travel processing andFederal staff training and education to maintainappropriate certification and update skills; selectreports or analyses directed toward improving theeffectiveness, efficiency, and economy of services andprocesses; and safeguards and security oversightfunctions.

The FY 2016 Enacted funds essential information
technology infrastructure, ongoing operations andmaintenance of IT systems and safety management
support, as well as training for the SC workforce. The
FY 2016 Enacted continues to support the IT
Modernization Plan.

The FY 2017 Request will fund essential information
technology infrastructure, ongoing operations andmaintenance of IT systems and safety management
support, as well as training for the SC workforce. The
FY 2017 Request will continue to support the IT
Modernization Plan.

Other Related Expenses $26,867,000
The FY 2016 Enacted includes $14,265,000 for
requirements not funded through the Department’s
Working Capital Fund (WCF). This includes fixed
requirements in the Field Offices associated with rent,
utilities, and telecommunications, building andgrounds maintenance, computer/video maintenanceand support, equipment leases, purchases,
maintenance, and site-wide health care units. It also
includes SC-wide assessments for payroll processing
and the Corporate Human Resource Information
System.

$38,481,000
The FY 2017 Request includes $12,627,000 for
requirements not funded through the Department’s
Working Capital Fund (WCF). This includes fixed
requirements in the Field Offices associated with rent,
utilities, and telecommunications, building andgrounds maintenance, computer/video maintenanceand support, equipment leases, purchases,
maintenance, and site-wide health care units. It also
includes SC-wide assessments for payroll processing
and the Corporate Human Resource Information
System.

Science/Program Direction

362

Explanation of Changes
FY 2017 vs. FY 2016+$11,614,000
The increase is for other related expenses (non-WCF)
based on current projections for SC requirements.
This includes an increase of $75,000 which isrequested to support IT requirements for ten
permanent career FTEs in the Office of Planning andManagement Oversight supporting the Office of theUnder Secretary for Science and Energy.

FY 2017 Congressional Budget Justification

FY 2016 Enacted
The FY 2016 Enacted level includes $12,602,000 to
support the SC contribution to the WCF. The WCF
provides for common administrative services at HQ
including: rent and building operations,telecommunications, network connectivity, supplies,
printing/graphics, mail, purchase card surveillance,
health centers, interagency transfers associated with
E-gov initiatives and costs for staff administering theWCF.

WCF costs represent 47% of the Other RelatedExpenses Request and is an estimate based on
projected usage.

Science/Program Direction

Explanation of Changes
FY 2017 vs. FY 2016
The FY 2017 Request includes $25,854,000 to support Increased funding of $13,252,000 supports WCF
the SC contribution to the WCF. The WCF provides for requirements. This includes $10,380,000 which iscommon administrative services at HQ including: rent transferred to PD from the SC research programs inand building operations, telecommunications, network the FY 2017 Request for a consolidated source forconnectivity, supplies, printing/graphics, mail,most of the WCF. CyberOne is still funded in thepurchase card surveillance, health centers, interagency Safeguards and Security program.
transfers associated with E-gov initiatives,procurement management, iManage, A-123 internal
control, pension studies, financial statement audits,overseas presence, OPM credit monitoring, and costs
for staff administering the WCF.
FY 2017 Request

WCF costs represent 67% of the Other RelatedExpenses Request and are based on CFO estimates.

363

The increase also includes $300,000 which isrequested for WCF requirements associated with ten
permanent career FTEs in the Office of Planning andManagement Oversight supporting the Office of theUnder Secretary for Science and Energy.

FY 2017 Congressional Budget Justification

364

Science
Facilities Maintenance and Repair
The Department’s Facilities Maintenance and Repair activities are tied to its programmatic missions, goals, and objectives.
The Facilities Maintenance and Repair activities funded by the budget and displayed below and are intended to ensure thatthe scientific community has the facilities required to conduct cutting edge scientific research now and in the future to meet
Department of Energy goals and objectives.
Costs for Direct-Funded Maintenance and Repair (including Deferred Maintenance Reduction) ($K)

Brookhaven National Laboratory
Fermi National Accelerator Laboratory
Lawrence Berkeley National Laboratory
Notre Dame Radiation Laboratory
Oak Ridge National Laboratory
Oak Ridge Office
Office of Scientific and Technical Information
SLAC National Accelerator Laboratory
Thomas Jefferson National Accelerator Facility
Total, Direct-Funded Maintenance and Repair

FY 2015
Planned Cost
6,254
147
0
172
14,000
3,272
383
3,322
69
27,619FY 2015
Actual Cost
5,271
1,042
0
214
14,869
3,072
383
4,408
114
29,373

FY 2016
Planned Cost
5,228
0
0
175
14,420
4,075
392
3,667
71
28,028FY 2017
Planned Cost
5,432
0
6,000
170
14,853
6,273
402
3,883
73
37,086

General purpose infrastructure includes multiprogram research laboratories, administrative and support buildings, as well as
cafeterias, power plants, fire stations, utilities, roads, and other structures. Together, the SC laboratories have over 1,400
operational buildings and real property trailers, with nearly 20 million gross square feet of space.
Generally, facilities maintenance and repair expenses are funded through an indirect overhead charge. In some cases,
however, a laboratory may charge maintenance directly to a specific program. One example would be when maintenance isperformed in a building used only by a single program. Such direct-funded charges are not directly budgeted.
Costs for Indirect-Funded Maintenance and Repair (including Deferred Maintenance Reduction) ($K)

Ames Laboratory
Argonne National Laboratory
Brookhaven National Laboratory
Fermi National Accelerator Laboratory
Lawrence Berkeley National Laboratory
Lawrence Livermore National Laboratory
Los Alamos National Laboratory
Oak Ridge Institute for Science and Education
Oak Ridge National Laboratory
Oak Ridge National Laboratory facilities at Y-12
Pacific Northwest National Laboratory
Princeton Plasma Physics Laboratory
Sandia National Laboratories
SLAC National Accelerator Laboratory
Thomas Jefferson National Accelerator Facility
Total, Indirect-Funded Maintenance and Repair

FY 2015
Planned Cost
1,900
46,60037,80817,73818,400
2,813
599
443
56,993
761
4,442
6,800
2,883
10,0145,800
213,994

FY 2015
Actual Cost
1,850
57,426
43,57815,95920,814
2,813
599
657
69,116
244
5,468
7,124
2,883
10,208
5,963
244,702

FY 2016
Planned Cost
2,300
48,10039,38818,38327,450
2,869
611
443
58,703
400
7,608
7,000
2,940
9,240
5,900
231,335

FY 2017
Planned Cost
2,300
49,20040,634
19,251
24,700
2,926
623
487
60,464
412
5,061
7,200
2,998
10,6706,500
233,426

Facilities maintenance and repair activities funded indirectly through overhead charges at SC laboratories are displayed.
Since this funding is allocated to all work done at each laboratory, the cost of these activities charged to funding from SC
and other DOE organizations, as well as other Federal agencies and other entities doing work at SC laboratories.
Science365

FY 2017 Congressional Budget Justification

Maintenance reported to SC for non-SC laboratories is also shown. The figures are total projected expenditures across all SC
laboratories.
Report on FY 2015 Expenditures for Maintenance and Repair
This report responds to the requirements established in Conference Report (H.Rep. 108-10) accompanying Public Law 108-7(pages 886-887), which requires the Department of Energy to provide an annual year-end report on maintenanceexpenditures to the Committees on Appropriations. This report compares the actual maintenance expenditures in FY 2015
to the amount planned for FY 2015, including Congressionally directed changes.
Science
Total Costs for Maintenance and Repair ($K)
FY 2015 Planned Costs
1,900
46,60044,062
17,885
18,400
2,813
599
172
443
70,993
761
3,272
383
4,442
6,800
2,883
13,336
5,869
241,613Ames Laboratory
Argonne National Laboratory
Brookhaven National Laboratory
Fermi National Accelerator Laboratory
Lawrence Berkeley National Laboratory
Lawrence Livermore National Laboratory
Los Alamos National Laboratory
Notre Dame Radiation Laboratory
Oak Ridge Institute for Science and Education
Oak Ridge National Laboratory
Oak Ridge National Laboratory facilities at Y-12
Oak Ridge Office
Office of Scientific and Technical Information
Pacific Northwest National Laboratory
Princeton Plasma Physics Laboratory
Sandia National Laboratories
SLAC National Accelerator Laboratory
Thomas Jefferson National Accelerator Facility
Total, Maintenance and Repair

Science366

FY 2015 Actual Costs
1,850
57,426
48,84917,001
20,814
2,813
599
214
657
83,985
244
3,072
383
5,468
7,124
2,883
14,616
6,077
274,075

FY 2017 Congressional Budget Justification

Science
Research and Development ($K)

Basic
AppliedSubtotal, R&D
Equipment
Construction
Total, R&Da

FY 2015 Enacted

FY 2015 Current a

FY 2016 Enacted

FY 2017 Request

4,310,357
0
4,310,357
182,472
540,636
5,033,465

4,333,630
65,075
4,398,705
161,849
537,986
5,098,540

4,505,148
0
4,505,148
178,476
621,772
5,305,396

4,827,314
04,827,314
161,839
633,465
5,622,618

FY 2017 vs. FY 2016
Enacted+322,166
0+322,166-16,637+11,693+317,222

Reflects the transfer of Small Business Innovation/Technology Transfer Research (SBIR/STTR) funds within and to the Office of Science.

Science367

FY 2017 Congressional Budget Justification

Science
Small Business Innovative Research/Small Business Technology Transfer (SBIR/STTR) ($K)

Office of Science
Advanced Scientific Computing Research
SBIR
STTR
Basic Energy Sciences
SBIR
STTR
Biological and Environmental Research
SBIR
STTR
Fusion Energy Sciences
SBIR
STTR
High Energy Physics
SBIR
STTR
Nuclear Physics
SBIR
STTR
Total, Office of Science SBIR
Total, Office of Science STTR
Other DOE
Nuclear Energy
SBIR
STTR
Electricity Delivery & Energy Reliability
SBIR
STTR
Energy Efficiency & Renewable Energy
SBIR
STTR
Environmental Management
SBIR
STTR
Science

FY 2015 Transferred

FY 2016 Projected

FY 2017 Request

FY 2017 vs. FY 2016

15,4572,132

18,4502,767

21,062
2,962+2,612+195

44,182
6,094

47,5407,132

54,385
7,649+6,845+517

17,033
2,349

18,1352,720

21,0382,958+2,903
+238

8,906
1,228

9,333
1,400

8,436
1,186

-897
-214

18,251
2,517

18,171
2,726

19,7962,784+1,625+58

12,967
1,789
116,796
16,10914,134
2,120
125,763
18,865

15,8242,225
140,541
19,764+1,690+105+14,778+899

11,992
1,654

TBD
TBD

TBD
TBD

TBD
TBD

2,702
373

TBD
TBD

TBD
TBD

TBD
TBD

25,765
3,333

TBD
TBD

TBD
TBD

TBD
TBD

406
56

TBD
TBD

TBD
TBD

TBD
TBD

368

FY 2017 Congressional Budget Justification

Defense Nuclear Nonproliferation
SBIR
STTR
Fossil Energy
SBIR
STTR
Total, Other DOE SBIR
Total, Other DOE STTR
Total, DOE SBIR
Total, DOE STTRa

FY 2015 Transferred

FY 2016 Projected

FY 2017 Request

FY 2017 vs. FY 2016

6,233
860

TBD
TBD

TBD
TBD

TBD
TBD

10,283
1,418
57,381
7,694
174,177
23,803

TBD
TBD
TBD
TBD a
125,763
18,865

TBD
TBD
TBD
TBDa
140,541
19,764

TBD
TBD
TBD
TBDa
+14,778+899

The DOE SBIR/STTR amounts are listed in the other DOE program budget volumes and will be reflected in the Science budget once transferred.

Science369

FY 2017 Congressional Budget Justification

Science
Safeguards and Security Crosscut ($K)

Protective Forces
Physical Security Systems
Information Security
Cyber Security
Personnel Security
Material Control and Accountability
Program Management
Total, Safeguards and Security Crosscut

Science

FY 2015 Enacted

FY 2015 Current

FY 2016 Enacted

FY 2017 Request

38,095
12,601
4,252
24,118
5,267
2,223
6,444
93,00037,767
11,314
4,268
25,781
5,335
2,256
6,279
93,00038,80512,0194,416
33,156
5,412
2,454
6,738
103,000

39,63810,357
4,467
33,236
6,086
2,458
6,758
103,000

370

FY 2017 vs. FY 2016
Enacted+833-1,662
+51
+80
+674
+4
+20
–

FY 2017 Congressional Budget Justification

Science
Centers ($K)
Center/Appropriation/
Date
Termination/
Prior Year
FY 2015
FY 2016
FY 2017
Total
ProgramEstablished
Review Date
Funding
Current
EnactedRequestFunding
Energy Innovation Hubs: Batteries and Energy Storage
Funded by SC, the Batteries and Energy Storage Hub focuses on discovery of new energy storage chemistries through the development of an atomic-level understandingof reaction pathways and development of universal design rules for electrolyte function. In response to a competitive Funding Opportunity Announcement in FY 2012,
the Joint Center for Energy Storage Research (JCESR) received a five-year award starting 12/14/2012. The potential for a subsequent five-year renewal is contingent on
progress in the first performance period, which is externally reviewed annually. The overarching goals of JCESR that drive the scientific and engineering research towards
next-generation energy storage technologies are summarized as 5/5/5—five times the energy density of current systems at one-fifth the cost within five years.
Science: Basic Energy Sciences
Materials Sciences and Engineering
FY 2012
Reviewed$67,884$24,175$24,137$24,088$140,284
Annually
Center/Appropriation/
Date
Termination/
Prior Year
FY 2015
FY 2016
FY 2017
Total
ProgramEstablished
Review Date
Funding
Current
EnactedRequestFunding
Energy Innovation Hubs: Fuels from Sunlight
Funded by SC, the Joint Center for Artificial Photosynthesis (JCAP) focuses on critical transformative advances in the development of artificial photosynthetic systems forconverting sunlight, water, and carbon dioxide into a range of commercially useful fuels. In the initial award, JCAP primarily targeted the solar-driven production ofhydrogen fuel and reached its five-year goal to design and develop a photocatalytic prototype capable of generating fuel, hydrogen, from sunlight. In December 2014,
BES solicited a renewal proposal from JCAP for a final award term with a maximum duration of five years and directed JCAP to focus on the fundamental science ofcarbon dioxide reduction, a critical need for efficient solar-driven production of carbon-based liquid transportation fuels. Based on the outcome of external peer review,
the Fuels from Sunlight Hub was renewed by BES for a second and final five-year award term starting on September 30, 2015, at an annual funding level of $15M. In thissecond phase, JCAP will discover and develop new materials and catalysts for the reduction of carbon dioxide using both direct and high throughput approaches. These
discoveries would be key components in the development of an artificial photosynthetic system capable of efficient solar-driven production of carbon-based fuels.
Science: Basic Energy Sciences
Chemical Sciences, Geosciences, and Biosciences
FY 2010
Reviewed$94,737$15,000$15,000$15,000$139,737 a
AnnuallyaTotal funding does not included $22M appropriated to EERE for the first year of the Hub.

Science371

FY 2017 Congressional Budget Justification

Center/Appropriation/
Date
Termination/
Prior Year
FY 2015
FY 2016
FY 2017
Total
ProgramEstablished
Review Date
Funding
Current
EnactedRequestFunding
Energy Frontier Research Centers
The Energy Frontier Research Centers (EFRCs) support multi-disciplinary teams of leading scientists to conduct fundamental research aimed at accelerating innovation
toward meeting critical energy challenges. These integrated, multi-investigator Centers involve partnerships among universities, national laboratories, nonprofit
organizations, and for-profit firms that will conduct fundamental research focusing on one or more “grand challenges” and use-inspired “basic research needs” identified
in major strategic planning efforts by the scientific community. The EFRC program was initiated by BES in 2009 with 46 five-year awards, 16 of which were fully fundedthrough $277M in funds from the American Recovery and Reinvestment Act. The program was recompeted in FY 2014 with an open solicitation for both new andrenewal proposals, resulting in 32 four-year awards (22 renewal and 10 new). During FY 2016 all 32 EFRCs will undergo a full mid-term progress review involving external
peer reviewers. Funding for the final two years of these awards will be contingent upon a successful outcome of this review. The FY 2017 Request includes an additional$33.8M to fully fund up to five new EFRCs in topical areas in support of the Subsurface crosscut.
Science: Basic Energy Sciences
Materials Sciences and Engineering
FY 2009
Mid-term$461,950$50,800$55,800$55,800$624,350
Reviews,
FY 2016 Q2
Chemical Sciences, Geosciences, and Biosciences
FY 2009
Mid-term$415,070$49,200$54,200$86,766$605,236
Reviews,
FY 2016 Q2Center/Appropriation/
Date
Termination/
Prior Year
FY 2015
FY 2016
FY 2017
Total
ProgramEstablished
Review Date
Funding
Current
EnactedRequestFunding
India Center
The purpose of the Center is to facilitate joint research and development on clean energy by teams of scientists and engineers from India and the United States, andrelated joint activities, needed to deploy clean energy technologies rapidly with the greatest impact. For the Solar Energy Research Institute for India and the UnitedStates (SERIIUS) of high priority are new concepts and architectures in solar electricity production, including organic and hybrid organic/inorganic conversion systems,
innovative nanoscale designs of interfaces and cells, and novel materials, as well as advanced theory, modeling and simulation of such systems. The overall goal of
SERIIUS is to accelerate the development of solar-electric technologies by lowering the cost-per-watt of photovoltaics (PV) and concentrated solar power (CSP) through abinational consortium that is innovating, discovering, and readying emerging, disruptive, and revolutionary solar technologies that span the gap between fundamental
science and applied research and development (R&D), leading to eventual deployment by sustainable industries. SERIIUS addresses critical issues in fundamental andapplied research, analysis and assessment, outreach, and workforce development. Throughout this joint effort, a key element is the engagement of a significant base ofIndian and U.S. industry that is dedicated and committed to developing solar energy for both India and the United States.
Science: Basic Energy Sciences
Materials Sciences and Engineering
FY 2013
Mid-term$1,875
$625
$625
$625
$3,750
Reviews,
FY 2016
Chemical Sciences, Geosciences, and Biosciences
FY 2013
Mid-term$1,875
$625
$625
$625
$3,750
Reviews,
FY 2016
Science372

FY 2017 Congressional Budget Justification

Center/Appropriation/
Date
Termination/
Prior Year
FY 2015
FY 2016
FY 2017
Total
ProgramEstablished
Review Date
Funding
Current
EnactedRequestFunding
Bioenergy Research Center: Joint Bioenergy Institute
Major multidisciplinary research center conducting research to achieve the breakthroughs in basic science needed to develop new methods of producing cellulosic
biofuels sustainably and cost-effectively on a commercial scale.
Science: Biological Environmental Research
Biological Systems Science
9/27/2007
9/30/2017$189,012$25,000$25,000$29,850$268,862
Center/Appropriation/
Date
Termination/
Prior Year
FY 2015
FY 2016
FY 2017
Total
ProgramEstablished
Review Date
Funding
Current
EnactedRequestFunding
Bioenergy Research Center: Bioenergy Science Institute
Major multidisciplinary research center conducting research to achieve the breakthroughs in basic science needed to develop new methods of producing cellulosic
biofuels sustainably and cost-effectively on a commercial scale.
Science: Biological Environmental Research
Biological Systems Science
9/27/2007
9/30/2017$190,335$25,000$25,000$29,850$270,185
Center/Appropriation/
Date
Termination/
Prior Year
FY 2015
FY 2016
FY 2017
Total
ProgramEstablished
Review Date
Funding
Current
EnactedRequestFunding
Bioenergy Research Center: Great Lakes Bioenergy Research Centers
Major multidisciplinary research center conducting research to achieve the breakthroughs in basic science needed to develop new methods of producing cellulosic
biofuels sustainably and cost-effectively on a commercial scale.
Science: Biological Environmental Research
Biological Systems Science
9/27/2007
11/30/2017$189,073$25,000$25,000$29,850$268,923
Center/Appropriation/
Date
Termination/
Prior Year
FY 2015
FY 2016
FY 2017
Total
ProgramEstablished
Review Date
Funding
Current
EnactedRequestFunding
U.S. - China Clean Energy Research Center (CERC)
CERC focuses on research in areas where advances in technology can lead to major improvements in energy efficiency in buildings, development of vehicles with lower
carbon emissions and deployment of clean coal technologies. The Center facilitates joint research and development on clean energy by teams of scientists and engineersfrom the U.S. and China, as well as serves as a clearinghouse to help researchers in each country with broad participation from universities, research institutions, andindustry. U.S. funds will be used exclusively to support work conducted by U.S. institutions and individuals only, and Chinese funds will support work conducted by
Chinese institutions and researchers.
Science: Biological Environmental Research
Climate and Environmental Sciences
2009
2019
$0
$299
$299
$299
$897

Science373

FY 2017 Congressional Budget Justification

374

Isotope Production and Distribution Program Fund
Overview
The Department of Energy’s Isotope Program produces and sells radioactive and stable isotopes, byproducts, surplus
materials, and related isotope services world-wide. It operates under a revolving fund, the Isotope Production andDistribution Program Fund, established by the 1990 Energy and Water Development Appropriations Act (Public Law 101101), as amended by the 1995 Energy and Water Development Appropriations Act (Public Law 103-316). Funding for the
Isotope Production and Distribution Program Fund is provided by the combination of an annual appropriation from the
Isotope Development and Production for Research and Applications subprogram within the Nuclear Physics (NP) program in
the Science appropriation account, and collections from isotope sales; both are needed to maintain the Isotope Program’s
viability. This revolving fund allows continuous and smooth operations of isotope production, sales, and distribution
independent of the federal budget cycle and fluctuating sales revenue. An independent cost review of the fund’s revenues
and expenses is conducted annually.
The annual appropriation in NP funds a payment into the revolving fund to maintain mission-readiness of facilities by
supporting the core scientists and engineers needed to carry out the Isotope Program and the maintenance of isotope
facilities to assure reliable production. In addition, appropriated funds provide support for research and development (R&D)
activities associated with development of new production and processing techniques for isotopes, production of researchisotopes, and training of new personnel in isotope production. Each site’s production expenses for processing anddistributing isotopes are offset by revenue generated from sales. About 80 percent of the resources in the revolving fund areused 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 of small capital equipment,such as assay equipment and shipping containers needed to ensure on-time deliveries.
The Department supplies isotopes and related services to the Nation under the authority of the Atomic Energy Act of 1954,
which specifies the role of the U.S. Government in isotope distribution. Substantial national and international scientific,
medical, and research infrastructure relies upon the use of isotopes and is strongly dependent on the Department’s
products and services. Isotopes are now used for hundreds of applications that benefit society every day, such as diagnostic
medical imaging, cancer therapy, smoke detectors, neutron detectors for homeland security applications, explosives
detection, oil exploration, and tracers for climate-related research. For example, radioisotopes are used in the diagnosis ortreatment of about one-third of all patients admitted to hospitals. a More than 17 million Americans undergo nuclear
medicine procedures each year for a variety of conditions, including cancer, cardiovascular disease, neurological conditions,and other physiological problems. b Such nuclear procedures are among the safest and most effective diagnostic tests
available and enhance patient care by avoiding exploratory surgery and other invasive procedures. The Isotope Program
continuously assesses isotope needs to inform program direction; for example, in November 2015, the Isotope Programorganized its fourth annual Federal workshop to assess stakeholder requirements in order to optimize the utilization of
resources and assure the greatest availability of isotopes.
Isotopes are primarily produced and processed at three facilities stewarded by the Isotope Program: the Brookhaven Linac
Isotope Producer (BLIP) and associated processing labs at Brookhaven National Laboratory (BNL), the Isotope Production
Facility (IPF) and associated processing labs at Los Alamos National Laboratory (LANL), and processing facilities at Oak Ridge
National Laboratory (ORNL). In addition, production and distribution activities are supported at the Advanced Test Reactor(ATR) at Idaho National Laboratory, the High Flux Isotope Reactor (HFIR) at ORNL, Pacific Northwest National Laboratory, theY-12 National Security Complex, and the Savannah River Site. IPF and BLIP provide accelerator production capabilities, while
HFIR and ATR provide reactor production capability. HFIR has the highest neutron flux available for isotope production in the
United States. The Isotope Program is broadening capability by including university-supported accelerator and reactor
facilities used for research, education, and isotope production that can provide cost-effective and unique productionab

http://www.nrc.gov/reading-rm/doc-collections/fact-sheets/med-use-radioactive-materials.html
http://www.snmmi.org/NewsPublications/NewsDetail.aspx?ItemNumber=9953

Science/Isotope Production and Distribution
Program Fund375

FY 2017 Congressional Budget Justification

capabilities, including facilities at the University of Washington, Duke University, Washington University, Texas A&M
University, the University of California at Davis, and the Missouri University Research Reactor. Most of these facilities residein university medical departments.
In FY 2015, a total of $52.65 million was deposited in the revolving fund. This consisted of the FY 2015 appropriation of$19.85 million paid into the revolving fund from the Nuclear Physics program, plus collections of $32.80 million to recover
costs related to isotope production and isotope services. Collections in FY 2015 included sales of californium-252, helium-3,
selenium-75, and strontium-82. Californium-252 has a variety of industrial applications; helium-3 is used in neutron
detectors for national security; selenium-75 is used as a radiography source; and strontium-82 has gained world-wide
acceptance for use in heart imaging. In FY 2015, the Isotope Program served more than 140 customers including major
pharmaceutical companies, industrial users, and researchers at hospitals, national laboratories, other Federal agencies,
universities, and private companies, with the sale of more than 170 different radioactive and stable isotopes. Among theisotopes produced, seven are high-volume, moderately priced isotopes; the remaining are low-volume research isotopes,
which are more expensive to produce. Commercial isotopes are priced to recover full cost or the market price, whichever ishigher.
Program Accomplishments
Production of high purity cobalt-60 to support cancer therapy. High purity cobalt-60 is necessary for surgical devices that cantreat cancers—in some cases, inoperable tumors—in a less debilitating and more effective manner than alternative
treatments. Such devices use high purity cobalt-60 sources to generate highly focused gamma-ray beams for the destructionof tumors with surgical precision without invasive open surgery. The precision of this technique facilitates the eradication oftumor cells while sparing surrounding healthy tissue. In response to the failure of a cobalt-60 production target at the Idaho
National Laboratory (INL) that brought cobalt-60 production to a halt in 2012, a team of scientists and engineers from INL
and the Oak Ridge National Laboratory designed a robust production target that can be used to resume production with thelevel of safety and reliability necessary for Department of Energy research reactors. In addition to increased safety andreliability, the new target design also increases production in each target, resulting in more cost-effective production ofcobalt-60. Targets of the new design were placed in the Advanced Test Reactor at INL in FY 2015, alleviating a concern about
the unavailability of high purity cobalt-60 that could impact the treatment of thousands of cancer patients.
Establishing a lithium-7 reserve and providing emergency supply for nuclear power plant operations. Many of the nation’s
nuclear power plants require high-enrichment lithium-7 hydroxide to maintain proper chemical conditions in reactor coolant
systems. Domestic nuclear utilities are completely reliant upon foreign producers and imports to meet their needs. Owing toconcerns about this supply chain, the DOE Isotope Program worked with NNSA to set aside a reserve of legacy Li-7 and is
now processing that material at the Y-12 National Security Complex so DOE can mitigate potential domestic supply
emergencies. Purification processing commenced in FY 2015.
Highlights of the FY 2017 Budget Request
For FY 2017, the Department foresees moderate growth in isotope demand. The portfolio of the isotope program continues
to grow as isotope availability is increased by the program to meet rising demands. Revolving fund resources will be used tosupport efforts to produce isotopes, increase radioisotope production capabilities and availability to meet demand, andupgrade proton beamline equipment at IPF to enhance the reliability of facility operations. Since FY 2009, investments havebeen made in R&D associated with the re-establishment of a Federal stable isotope enrichment capability, as recommended
by the Nuclear Science Advisory Committee. The U.S. government has not had an isotope enrichment capability since 1998.
Since that time, inventories of some enriched stable isotopes have been depleted, forcing researchers to rely upon
uncertain international supplies. The R&D effort to develop stable isotope separation technology at ORNL is on track forcompletion in FY 2016 with a prototype capability to produce small research quantities of enriched stable isotopes startingin FY 2017. Building upon this R&D capability, funding to initiate the Stable Isotope Production Facility Major Item ofEquipment is proposed in FY 2017 in the Nuclear Physics budget. The Facility will provide a cost-effective domestic capability
for production of enriched stable isotopes. a This will help mitigate dependence of the U.S. on foreign suppliers.
a

See the Science/Nuclear Physics chapter for more information.

Science/Isotope Production and Distribution
Program Fund

376

FY 2017 Congressional Budget Justification

Department Of Energy
FY 2017 Congressional Budget
Funding By Appropriation By Site($K)
FY 2015
Current

Science

FY 2016
EnactedFY 2017
RequestAmes Laboratory
Advanced Scientific Computing Research
95

98

0

22,604

19,651

19,651

Biological and Environmental Research
Workforce Development for Teachers and Scientists

200

200

200

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure

480

0

0

0

0

2,000

1,084

1,219

1,231

24,463

21,16823,082

Program Direction

460

474

489

Total, Ames Site Office

460

474

489

Advanced Scientific Computing Research
Basic Energy Sciences

107,220

91,99984,152

Basic Energy Sciences
Biological and Environmental Research

241,517239,914244,511

Biological and Environmental ResearchHigh Energy Physics

30,72328,716

26,706

High Energy Physics
Nuclear Physics

20,693

16,16815,765

Nuclear Physics
Workforce Development for Teachers and Scientists

28,28828,84629,543

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure

1,246

0

0

Science Laboratories Infrastructure
Safeguards and Security

7,000

27,51019,590Safeguards and Security

9,644

8,858

9,240

Total, Argonne National Laboratory

446,331442,011429,507

Program Direction

3,820

3,762

4,017

Total, Argonne Site Office

3,820

3,762

4,017

Advanced Scientific Computing Research
Basic Energy Sciences
Basic Energy Sciences
Biological and Environmental Research

Science Laboratories Infrastructure
Safeguards and Security
Safeguards and Security
Total, Ames Laboratory
Ames Site Office
Program Direction

Argonne National Laboratory
Advanced Scientific Computing Research

Argonne Site Office
Program Direction

Science377

FY 2017 Congressional Budget Justification

Department Of Energy
FY 2017 Congressional Budget
Funding By Appropriation By Site($K)
FY 2015
Current

Science

FY 2016
EnactedFY 2017
RequestBerkeley Site Office
Program Direction
Program Direction

3,513

3,287

3,730

Total, Berkeley Site Office

3,513

3,287

3,730

710

200

200

Basic Energy Sciences
Biological and Environmental Research

187,626

187,573

173,314Biological and Environmental ResearchHigh Energy Physics

14,80910,5589,690High Energy Physics
Nuclear Physics

64,58064,16863,436

Nuclear Physics
Workforce Development for Teachers and Scientists

183,472

190,229

197,547

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure

2,008

0

0

0

0

1,800

12,006

12,151

12,369465,211464,879

458,356

Program Direction

4,861

4,818

5,541

Total, Brookhaven Site Office

4,861

4,818

5,541

Brookhaven National Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences

Science Laboratories Infrastructure
Safeguards and Security
Safeguards and Security
Total, Brookhaven National Laboratory
Brookhaven Site Office
Program Direction

Science378

FY 2017 Congressional Budget Justification

Department Of Energy
FY 2017 Congressional Budget
Funding By Appropriation By Site($K)
FY 2015
Current

Science

FY 2016
EnactedFY 2017
RequestChicago Operations Office
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences

39,50747,591

15,155

Basic Energy Sciences
Biological and Environmental Research

302,083

294,051

342,612Biological and Environmental Research
Fusion Energy Sciences

124,881

98,211

91,347

Fusion Energy Sciences
High Energy Physics

162,565

95,69486,503High Energy Physics
Nuclear Physics

118,147

111,010

110,480

Nuclear Physics
Science Laboratories Infrastructure

169,947

174,515

173,433

Science Laboratories Infrastructure
Safeguards and Security

1,401

1,713

1,764

44

45

45

Program Direction
Small Business Innovation/Technology Transfer Research

26,92024,92525,128Small Business Innovation/Technology Transfer Research

197,50200

1,142,997

847,755

846,467

1,809

80

530

675

0

0

366,745357,935

386,303

Nuclear Physics
Workforce Development for Teachers and Scientists

755

25

25

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure

210

0

0

0

9,000

2,500

3,734

5,064

5,281

373,928

372,104

394,639

Safeguards and Security
Program Direction

Total, Chicago Operations OfficeFermi 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

Science Laboratories Infrastructure
Safeguards and Security
Safeguards and Security
Total, Fermi National Accelerator Laboratory

Science379

FY 2017 Congressional Budget Justification

Department Of Energy
FY 2017 Congressional Budget
Funding By Appropriation By Site($K)
FY 2015
Current

Science

FY 2016
EnactedFY 2017
RequestFermi Site Office
Program Direction
Program Direction

2,277

2,496

2,640

Total, Fermi Site Office

2,277

2,496

2,640

500

0

0

3,101

2,700

2,500

436

0

0

4,037

2,700

2,500

Advanced Scientific Computing Research
Basic Energy Sciences

149,089

145,158

148,793

Basic Energy Sciences
Biological and Environmental Research

156,908

156,239

154,817

Biological and Environmental Research
Fusion Energy Sciences

147,974

144,490

128,614

Fusion Energy Sciences
High Energy Physics

2,082

0

0

High Energy Physics
Nuclear Physics

67,23584,27376,979

Nuclear Physics
Workforce Development for Teachers and Scientists

18,41819,372

19,076

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure

1,702

0

0

Science Laboratories Infrastructure
Safeguards and Security

12,09020,00028,561

6,033

7,085

7,169

561,531576,617564,009

Idaho National Laboratory
Basic Energy Sciences
Basic Energy Sciences
Fusion Energy Sciences
Fusion Energy Sciences
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Total, Idaho National Laboratory
Lawrence Berkeley National Laboratory
Advanced Scientific Computing Research

Safeguards and Security
Total, Lawrence Berkeley National Laboratory

Science380

FY 2017 Congressional Budget Justification

Department Of Energy
FY 2017 Congressional Budget
Funding By Appropriation By Site($K)
FY 2015
Current

Science

FY 2016
EnactedFY 2017
RequestLawrence Livermore National Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences

64,469

6,026

3,418

Basic Energy Sciences
Biological and Environmental Research

3,495

2,964

2,964

Biological and Environmental Research
Fusion Energy Sciences

21,20019,78920,160Fusion Energy Sciences
High Energy Physics

13,996

7,537

6,540

High Energy Physics
Nuclear Physics

15,670

1,245

1,150

Nuclear Physics
Workforce Development for Teachers and Scientists

1,319

823

688

374

0

0

120,523

38,38434,920

Advanced Scientific Computing Research
Basic Energy Sciences

9,063

6,503

2,045

Basic Energy Sciences
Biological and Environmental Research

25,64826,562

26,879Biological and Environmental Research
Fusion Energy Sciences

25,791

23,64020,033Fusion Energy Sciences
High Energy Physics

3,824

1,986

1,540

High Energy Physics
Nuclear Physics

3,382

2,070

2,100

Nuclear Physics
Workforce Development for Teachers and Scientists

9,285

10,219

9,704

522

0

0

77,51570,98062,301

150

150

150

150

150

150

Workforce Development for Teachers and Scientists
Total, Lawrence Livermore National Laboratory
Los Alamos National Laboratory
Advanced Scientific Computing Research

Workforce Development for Teachers and Scientists
Total, Los Alamos National Laboratory
National Energy Technology Lab
Basic Energy Sciences
Basic Energy Sciences
Total, National Energy Technology Lab

Science381

FY 2017 Congressional Budget Justification

Department Of Energy
FY 2017 Congressional Budget
Funding By Appropriation By Site($K)
FY 2015
Current

Science

FY 2016
EnactedFY 2017
RequestNational Renewable Energy Laboratory
Advanced Scientific Computing Research
266

173

0

14,724

12,955

12,955

880

886

500

968

0

0

16,83814,014

13,455

Advanced Scientific Computing Research
Biological and Environmental Research

0

0

0

Biological and Environmental Research

0

0

0

0

0

0

Basic Energy Sciences

380

0

0

Total, Nevada Operations Office

380

0

0

4,900

1,200

2,403

5,149

3,822

4,345

10,049

5,022

6,748

Advanced Scientific Computing Research
Basic Energy Sciences
Basic Energy Sciences
Biological and Environmental Research
Biological and Environmental Research
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Total, National Renewable Energy Laboratory
Nevada Field Office
Advanced Scientific Computing Research

Total, Nevada Field Office
Nevada Operations Office
Basic Energy Sciences

New Brunswick Laboratory
Science Laboratories Infrastructure
Science Laboratories Infrastructure
Program Direction
Program Direction
Total, New Brunswick Laboratory

Science382

FY 2017 Congressional Budget Justification

Department Of Energy
FY 2017 Congressional Budget
Funding By Appropriation By Site($K)
FY 2015
Current

Science

FY 2016
EnactedFY 2017
RequestOak Ridge Institute for Science & Education
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences

1,664

500

1,600

Basic Energy Sciences
Biological and Environmental Research

1,606

250

250

Biological and Environmental Research
Fusion Energy Sciences

1,504

1,983

2,113

Fusion Energy Sciences
High Energy Physics

1,529

444

546

High Energy Physics
Nuclear Physics

1,098

0

0

Nuclear Physics
Workforce Development for Teachers and Scientists

542

353

467

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure

9,616

2,500

0

Science Laboratories Infrastructure
Safeguards and Security

1,000

1,000

1,000

1,736

1,883

1,925

20,295

8,913

7,901

Advanced Scientific Computing Research
Basic Energy Sciences

123,927

115,256

111,077

Basic Energy Sciences
Biological and Environmental Research

311,963

325,402322,640

Biological and Environmental Research
Fusion Energy Sciences

77,35475,02961,539Fusion Energy Sciences
Nuclear Physics

172,716

127,759

139,551

Nuclear Physics
Science Laboratories Infrastructure

19,69819,265

18,6430

12,00026,000Safeguards and Security

9,955

12,374

12,374

Total, Oak Ridge National Laboratory

715,613

687,085

691,824

5,837

5,841

6,470

5,841

6,470

Safeguards and Security
Total, Oak Ridge Institute for Science & Education
Oak Ridge National Laboratory
Advanced Scientific Computing Research

Science Laboratories Infrastructure
Safeguards and Security

Oak Ridge National Laboratory Site Office
Program Direction
Program Direction
Total, Oak Ridge National Laboratory Site Office

Science

5,837

383

FY 2017 Congressional Budget Justification

Department Of Energy
FY 2017 Congressional Budget
Funding By Appropriation By Site($K)
FY 2015
Current

Science

FY 2016
EnactedFY 2017
RequestOak Ridge Office
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences

0

0

0

Basic Energy Sciences
Biological and Environmental Research

85

0

0

Biological and Environmental Research
Nuclear Physics

0

0

0

Nuclear Physics
Science Laboratories Infrastructure

0

437

446

Science Laboratories Infrastructure
Safeguards and Security

5,777

6,177

6,182

Safeguards and Security
Program Direction

19,98221,017

21,740Program Direction
Small Business Innovation/Technology Transfer Research

30,04827,63029,125

Small Business Innovation/Technology Transfer Research

433

0

0

56,32555,26157,493

Advanced Scientific Computing Research
Basic Energy Sciences

153

140

140

Basic Energy Sciences
Biological and Environmental Research

195

138

138

Biological and Environmental Research
Fusion Energy Sciences

20

0

148

Fusion Energy Sciences
High Energy Physics

150

0

0

High Energy Physics
Nuclear Physics

165

141

0

Nuclear Physics
Workforce Development for Teachers and Scientists

157

143

146

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure

70

0

0

Science Laboratories Infrastructure
Safeguards and Security

200

200

200

Safeguards and Security
Program Direction

831

609

784

Program Direction

8,481

8,404

9,534

10,422

9,775

11,090Total, Oak Ridge Office
Office of Scientific & Technical Information
Advanced Scientific Computing Research

Total, Office of Scientific & Technical Information

Science384

FY 2017 Congressional Budget Justification

Department Of Energy
FY 2017 Congressional Budget
Funding By Appropriation By Site($K)
FY 2015
Current

Science

FY 2016
EnactedFY 2017
RequestPacific Northwest National Laboratory
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences

7,816

7,464

2,893

Basic Energy Sciences
Biological and Environmental Research

28,82324,01524,062Biological and Environmental Research
Fusion Energy Sciences

109,432

107,250

103,436

Fusion Energy Sciences
High Energy Physics

1,313

1,313

1,163

High Energy Physics
Nuclear Physics

3,526

2,725

3,375

Nuclear Physics
Workforce Development for Teachers and Scientists

675

500

500

Workforce Development for Teachers and Scientists
Safeguards and Security

1,020

0

0

11,701

13,126

12,839164,306

156,393

148,268

4,863

4,650

5,008

4,863

4,650

5,008

Advanced Scientific Computing Research
Basic Energy Sciences

295

295

0

Basic Energy Sciences
Fusion Energy Sciences

435

435

435

Fusion Energy Sciences
High Energy Physics

86,20971,56273,712High Energy Physics
Workforce Development for Teachers and Scientists

200

200

200

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure

148

0

0

3,100

0

0

2,503

2,477

2,535

92,89074,96976,882

Safeguards and Security
Total, Pacific Northwest National Laboratory
Pacific Northwest Site Office
Program Direction
Program Direction
Total, Pacific Northwest Site OfficePrinceton Plasma Physics Laboratory
Advanced Scientific Computing Research

Science Laboratories Infrastructure
Safeguards and Security
Safeguards and Security
Total, Princeton Plasma Physics Laboratory

Science385

FY 2017 Congressional Budget Justification

Department Of Energy
FY 2017 Congressional Budget
Funding By Appropriation By Site($K)
FY 2015
Current

Science

FY 2016
EnactedFY 2017
RequestPrinceton Site Office
Program Direction
Program Direction

1,419

1,408

1,623

Total, Princeton Site Office

1,419

1,408

1,623

Advanced Scientific Computing Research
Basic Energy Sciences

14,969

8,883

2,240

Basic Energy Sciences
Biological and Environmental Research

35,38433,41633,749Biological and Environmental Research
Fusion Energy Sciences

10,351

9,851

9,572

Fusion Energy Sciences
Workforce Development for Teachers and Scientists

3,345

1,355

2,043

110

0

0

64,15953,50547,604

417

417

417

Biological and Environmental Research

50

0

0

Total, Savannah River National Laboratory

467

417

417

Sandia National Laboratories
Advanced Scientific Computing Research

Workforce Development for Teachers and Scientists
Total, Sandia National Laboratories
Savannah River National Laboratory
Basic Energy Sciences
Basic Energy Sciences
Biological and Environmental Research

Science386

FY 2017 Congressional Budget Justification

Department Of Energy
FY 2017 Congressional Budget
Funding By Appropriation By Site($K)
FY 2015
Current

Science

FY 2016
EnactedFY 2017
RequestSLAC National Accelerator Laboratory
Advanced Scientific Computing Research
447

374

0

Basic Energy Sciences
Biological and Environmental Research

342,792

400,159

396,583

Biological and Environmental Research
Fusion Energy Sciences

4,945

3,871

3,900

Fusion Energy Sciences
High Energy Physics

5,490

4,750

5,250

High Energy Physics
Nuclear Physics

81,386

98,214

101,708

Nuclear Physics
Workforce Development for Teachers and Scientists

134

0

0

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure

280

0

0

17,92034,80030,000

4,110

4,096

4,255

457,504

546,264541,696

Program Direction

2,472

2,355

2,426

Total, Stanford Site Office

2,472

2,355

2,426

Advanced Scientific Computing Research
Basic Energy Sciences

Science Laboratories Infrastructure
Safeguards and Security
Safeguards and Security
Total, SLAC National Accelerator Laboratory
Stanford Site Office
Program Direction

Science387

FY 2017 Congressional Budget Justification

Department Of Energy
FY 2017 Congressional Budget
Funding By Appropriation By Site($K)
FY 2015
Current

Science

FY 2016
EnactedFY 2017
RequestThomas Jefferson National Accelerator Facility
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences

279

284

0

Basic Energy Sciences
Biological and Environmental Research

500

500

500

Biological and Environmental ResearchHigh Energy Physics

40

0

0

High Energy Physics
Nuclear Physics

325

0

0

126,358

117,590

114,365

280

0

0

0

0

8,000

1,853

2,563

2,709

129,635

120,937

125,574

1,856

1,813

2,050

1,856

1,813

2,050

Nuclear Physics
Workforce Development for Teachers and Scientists
Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure
Science Laboratories Infrastructure
Safeguards and Security
Safeguards and Security
Total, Thomas Jefferson National Accelerator Facility
Thomas Jefferson Site Office
Program Direction
Program Direction
Total, Thomas Jefferson Site Office

Science388

FY 2017 Congressional Budget Justification

Department Of Energy
FY 2017 Congressional Budget
Funding By Appropriation By Site($K)
FY 2015
Current

Science

FY 2016
EnactedFY 2017
RequestWashington Headquarters
Advanced Scientific Computing Research
Advanced Scientific Computing Research
Basic Energy Sciences

1,633

189,976

290,937

Basic Energy Sciences
Biological and Environmental Research

4,414

124,209180,103

Biological and Environmental Research
Fusion Energy Sciences

2,464

84,526

183,962

Fusion Energy Sciences
High Energy Physics

1,046

122,900

78,830High Energy Physics
Nuclear Physics

2,080

56,85156,501

Nuclear Physics
Workforce Development for Teachers and Scientists

21,69654,78371,07530

17,00020,925

Science Laboratories Infrastructure
Safeguards and Security

26,21200

Safeguards and Security
Program Direction

7,784

10,433

8,504

Program Direction
Small Business Innovation/Technology Transfer Research

81,72489,315102,355

Small Business Innovation/Technology Transfer Research

45

0

0

149,128

749,993993,192

5,136,075

5,350,200

5,572,069

Workforce Development for Teachers and Scientists
Science Laboratories Infrastructure

Total, Washington Headquarters
Total, Science

Science389

FY 2017 Congressional Budget Justification

390

Advanced
Research Projects
Agency - Energy391

Advanced
Research Projects
Agency - Energy392

Advanced Research Projects Agency – Energy (ARPA-E)
Table of Contents
Page
Appropriation Language ....................................................................................................................................................................395
Overview ............................................................................................................................................................................................ 397
ARPA-E Projects ..................................................................................................................................................................................403
ARPA-E Program Direction ................................................................................................................................................................. 415
Crosscuts .............................................................................................................................................................................................429
Funding by Appropriation by Site .......................................................................................................................................................431

Volume 4393

FY 2017 Congressional Budget Justification

394

Advanced Research Projects Agency - Energy
Proposed Appropriation Language
For Department of Energy expenses necessary in carrying out the activities authorized by section 5012 of the America
COMPETES Act (Public Law 110-69), as amended, [$291,000,000] $350,000,000, to remain available until expended:
Provided, that of such amount [$29,250,000] $32,000,000 shall be available until September 30, [2017] 2018 for program
direction.
Explanation of Changes
The $350,000,000 request for FY 2017 is a $59,000,000 increase over the FY 2016 enacted level. The increase in funding
will enable ARPA-E to fund additional early-stage, innovative energy technologies as well as exploit the technologicalopportunities developed in previous ARPA-E programs, leading to transformational energy technologies.
This discretionary funding request is coupled with a legislative proposal to create an ARPA-E Trust that would provide an
additional $1,850,000,000 in mandatory funding over five years. $150,000,000 of this mandatory funding is requested for
FY 2017. This legislative proposal will add specific targeted activities to create investable outcomes from ARPA-E’scontinued support of transformational energy technologies.
Public Law Authorizations
P.L. 95-91, “Department of Energy Organization Act” (1977)
P.L. 109-58, “Energy Policy Act of 2005”
P.L. 110-69, “America COMPETES Act of 2007”
P.L. 111-358, “America COMPETES Reauthorization Act of 2010”

Advanced Research Projects Agency – Energy

395

FY 2017 Congressional Budget Justification

396

Advanced Research Projects Agency - Energy($K)
FY 2015 Enacted
FY 2015 Current
FY 2016 Enacted FY 2017 Request
279,982279,982
291,000
500,000
Overview
As defined by its authorization under the America COMPETES Act, the Advanced Research Projects Agency-Energy (ARPA-E)
catalyzes transformational energy technologies to enhance the economic and energy security of the United States. ARPA-E
funds high-potential, high-impact energy projects that are too early for private sector investment but could significantly
advance the ways we generate, store, distribute and use energy. ARPA-E plays a unique role in DOE’s research anddevelopment R&D organization, complementing and expanding the impact of DOE’s basic science and applied energy
programs.
ARPA-E focuses on energy technologies that can be meaningfully advanced with a targeted investment over a defined
period of time. ARPA-E’s rigorous program design, close coordination with other DOE offices and federal agencies,
competitive project selection process, and hands-on engagement, ensure thoughtful expenditures while empowering
America’s energy researchers with funding, technical assistance, and market awareness.
ARPA-E was established by the America COMPETES Act of 2007 following a recommendation by the National Academies in the
Rising above the Gathering Storm report. As of December 2015, ARPA-E has funded over 450 projects with approximately$1.3 billion through 29 focused programs and open funding solicitations.
Highlights and Major Changes in the FY 2017 Budget Request
Under the Budget Request for FY 2017, ARPA-E expects to release funding opportunity announcements (FOA) for seven toeight focused technology programs, slightly increase funding for Innovative Development in Energy-Related Applied
Sciences (IDEAS) proposals, and potentially run a technology prize competition. In addition, funding will support
opportunities for qualification and field testing, thereby further de-risking these technologies and increasing the likelihoodthat projects will receive private sector investment. In keeping with a multi-year cycle for OPEN solicitations (2009, 2012,
and 2015), ARPA-E does not anticipate an open solicitation in FY 2017. In FY 2017, ARPA-E will continue its stand-alone
Small Business Innovation Research / Small Business Technology Transfer (SBIR/STTR) program to provide additional
support to small businesses beyond the significant number of awards that go to small businesses via ARPA-E’s standard FOA
process.
In addition to the FY 2017 Budget Request, an authorization proposal of $150 million in mandatory funding in 2017 as partof a larger, new legislative proposal, the “Advanced Research Projects Agency – Energy Trust” program, will be transmitted
to Congress. This would provide a total FY 2017 Budget of $500 million. The full authorization proposal would seek $1.85
billion for ARPA-E over 5 years. In addition to the $150 million in FY 2017, this would include $250 million in FY 2018, $350
million in FY 2019, $450 million in FY 2020, and $650 million in FY 2021. These funds will provide a reliable stream offunding to create a complementary new effort that will expand ARPA-E’s impact. A significant focus of this expanded effort
will be on accelerating technologies that have demonstrated significant early-stage success toward readiness for privatesector investment. Combined with ARPA-E’s annual appropriations, this will result in a total funding level of approximately$1 billion in 2021.
Background Narrative
In its first six years, ARPA-E has established a nimble, effective management structure and developed a portfolio oftechnical programs that is delivering innovative, investable opportunities to the commercial sector. ARPA-E will continue todeliver value to the US economy with continued emphasis on maintaining a healthy portfolio of projects. These projects
cover a broad range of energy topics, with a growing focus on additional scale-up of the most promising projects that havedemonstrated success in technical development, project management and definition of commercial pathways. Under the
proposed mandatory funding, ARPA-E will add a new focus on innovative systems level development that will deliver larger,
more rapid impacts from the transformational energy technologies developed under ARPA-E’s existing core programs, while
the dynamic core program activities will continue to be supported under discretionary funding.

Advanced Research Projects Agency – Energy

397

FY 2017 Congressional Budget Justification

Breadth and Increased Value Opportunity of the ARPA-E Portfolio
ARPA-E is tasked to identify and support revolutionary energy inventions and transformational energy technology advances,which requires constant evolution of its programmatic focus. This is accomplished by establishing dynamic technicalprograms (each lasting about 3 years) designed to accelerate innovation in high-potential areas. ARPA-E’s FY 2016 funding
level of $291 million can support development of about five to seven new $25-35 million programs per year and one $125
million to $175 million OPEN solicitation every three years. The breadth of the program portfolio that has developed over
ARPA-E’s lifetime is shown below, where new programs address different parts of the energy technology space from year toyear. Each of the programs illustrated, as well as the OPEN programs, supports a range of individual projects that form asustained investment in early-stage, innovative technologies that advance from early stage concepts to prototype levels of
readiness under ARPA-E support.
Figure 1: ARPA-E Portfolio of Focused Programs: Each symbol indicates the start year for a new three-year program.
The annual variability in program starts reflects the impact of tri-annual OPEN solicitations, funding variation, andappropriations dates.
ELECTRICITY
GENERATIONSOLAR ADEPTIMPACCT

FOCUS

ALPHA

REBELSELECTRICAL GRID
& STORAGE
GRIDS

GENI

HEATS

MOSAICGENSETSCHARGESNODESSWITCHESADEPTEFFICIENCY
REACTMONITORMETALSBEETIT

TRANSPORTATION& STORAGE

DELTA
AMPED

BEEST

ELECTROFUELS

2010

PETRO

2011

RANGE

TERRA

REMOTE

MOVE

2012

ARID

2013

2014

TRANSNET2015

ARPA-E addresses its establishment purpose, ‘to overcome the long-term and high-risk technological barriers in thedevelopment of energy technologies,’ by using a project portfolio funding approach to ‘de-risk’ areas of technologicalopportunity. To accomplish this, each program contains a portfolio of different, high-risk projects taking different
approaches to the aggressive technical goals set by the program. Over the course of project execution, the most effective
approaches emerge based on their technical performance. During the rigorous award selection process, significantly more
projects that have the potential to add high value to the portfolio are identified than can be funded, which limits thenumber of technical options available to achieve the program goals. ARPA-E engages in an initial down-select process
whereby only a subset of submitted concept papers is recommended for full applications. Within this more promising cadreof applications:• Of 28 Focused FOAs: 34% of the submitted concept papers were selected for full applications and only 1/3 of theresulting full applications were selected for funding;• Of 3 OPEN FOAs: 11% of the submitted concept papers were selected for full applications and only one eighth of
the resulting full applications were selected for funding.

Advanced Research Projects Agency – Energy

398

FY 2017 Congressional Budget Justification

Sustaining project breadth is possible because of the opportunities presented by the U.S. energy entrepreneurs that ARPA-E(and the country as a whole) draws on for innovation. In parallel, the value proposition of sustaining breadth in ARPA-E’sprogram and project portfolios includes strengthening opportunities for US innovation in energy technologies.
As ARPA-E identifies continuing areas of innovation, there are increasing opportunities to expand the breadth of topicalareas to include technical opportunities that require more significant technical investments, such as innovations in
manufacturing scale-up and new opportunities from unconventional integration of component-level advances. Maintaining
a dynamic, broad portfolio of innovative programs that includes more complex projects, and further advancing successful
mature projects toward investment-readiness, are essential to drawing full value from ARPA-E’s investment in highpotential projects.
Depth and Increased Value Delivery of ARPA-E Investments
A significant component of ARPA-E’s mission and goals involves accelerating the economic impact of US investments inenergy R&D, and advancing the commercialization readiness of successful projects (depth of investment) is essential in
doing so. Developing the pathway to commercial applications is an intrinsic component of all projects, and project teams
are required to spend at least 5% of their budgets on activities such as techno-economic analysis, market research,
intellectual property protection, and engagement with potential customers and investors. As project teams demonstrate
success, ARPA-E’s Technology-to-Market Advisors and Program Directors work closely with the teams to help identify
pathways toward commercial deployment. Many of ARPA-E’s alumni projects have been able to obtain follow-on funding
from private investors, state agencies and/or federal programs, and ARPA-E’s maturing portfolio is offering increasing
opportunities for commercialization of ARPA-E funded technologies.
Figure 2: Early Success Metric: Between its inception in 2009 and February 2015, ARPA-E had invested approximately$1.1 billion across more than 400 projects through 23 focused programs and two open funding solicitations and 141 of
those projects had completed their work under ARPA-E support. Some 34 ARPA-E projects had attracted more than$850 million in private-sector follow-on funding

However, as ARPA-investments have developed a healthy portfolio of mature, high-potential projects, the Agency is finding
increasing needs for depth of investment – that is additional funding to continue to ‘de-risk’ projects to the point where
they are ready for private-sector investment. Some highly innovative projects began at such an early stage that the project
duration is not sufficient to reach a viable prototype. Other projects require significant qualification studies, field-testing, or
scale-up assessment before private investors will consider investment. Furthermore, limited program size limits theimportant development of larger-scale systems solutions, which would, for instance, integrate opportunities from multiple
programs for increased impact. Without additional support, promising technologies developed by ARPA-E risk being‘orphaned’ before they have a chance to demonstrate their full potential. Expanding the depth to which ARPA-E can
support more of its projects and thus deliver more economic impact, more rapidly is a key value opportunity for increased
funding.

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To sustain the potential economic value of the most promising technical projects, ARPA-E has begun creating opportunities
for project teams to demonstrate the investment readiness of their prototypes through qualification and field testing. As an
example of such a depth investment, in 2015 ARPA-E created a small program, CHARGES, to provide project teams with
opportunities for the test and evaluation needed to advance their technologies for grid storage at scale and qualify themunder utility regulations.
Funding Path to $1 Billion Annual Budget in Five Years
A funding path to an annual budget of $1 billion was proposed in the original Gathering Storm report that recommended
the formation of ARPA-E. ARPA-E’s discretionary funding along with ARPA-Energy Trust would provide approximately $1
billion in funding in 2021 and position ARPA-E to deliver expanded impact based on its nimble operational structure andgrowing opportunities created from its maturing portfolio of technical programs. Under the expanded budget, ARPA-E
would add both breadth and depth, add some focused programs involving larger and more complex technical outcomes,
and add more funds for developing commercial impact.
To manage the proposed expansion, ARPA-E will add a new focus on innovative systems level development that will deliverlarger, more rapid impacts under the Trust Fund (see pages 21-28) that complements and builds on its on-going activities
under the America Competes Act (discretionary funds, see pages 7-20). The new activities under the ARPA-E Trust will be
implemented in stages that draw from the outcomes of the core program and, in the years after 2017, the outcomes of theprevious years’ Trust investments. In this way, the planned growth in funding requirement over the five year period will
enable ARPA-E to scale up this new effort to deliver the maximum impact, while maintaining the agency’s central focus on
accelerating transformational energy technologies from concept to market. Expanding ARPA-E’s budget will deliver highyield, high value gains by accessing a greater breadth of the demonstrated U.S. entrepreneurial opportunities in energy
technologies, and investing sufficiently to de-risk the most promising projects to the point that they are ready to move
forward with private-sector investment.

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Advanced Research Projects Agency - Energy
Funding by Congressional Control ($K)
FY 2015
Current

FY 2015
Enacted
ARPA-E Projects
Program Direction
Subtotal, Advanced Research Projects Agency - Energy
Rescission of Prior Year Balance
Total, Advanced Research Projects Agency - Energy
Federal FTEs

Advanced Research Projects Agency – Energy Trust 1

FY 2016
EnactedFY 2017
RequestFY 2017 vsFY 2016

252,000
28,000280,000-18
279,98249

252,000
28,000280,000-18
279,98249

261,750
29,250291,000
0
291,000
56

318,000
32,000350,0000
350,000
56+56,250+2,750+59,000+0+59,000
+0

0

0

0

150,000+150,000

SBIR/STTR 2:• FY 2015 Current: $12,270 total (SBIR $11,380 / STTR $890)• FY 2016 Projected: $9,030 total (SBIR $7,853 / STTR $1,177)• FY 2017 Request: $11,607 total (SBIR $10,176 / STTR $1,431)

1
2

Mandatory funding under legislative proposal, not subject to discretionary appropriations.
In FY 2017, ARPA-E will continue its stand-alone Small Business Innovation Research/Small Business Technology Transfer (SBIR/STTR) program to provide additional
support to small businesses beyond the significant number of awards to small businesses via ARPA-E’s standard non-SBIR/STTR solicitations.

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402

ARPA-E Projects – Discretionary Budget Request
Overview
The Advanced Research Projects Agency-Energy (ARPA-E) catalyzes transformational energy technologies to enhance theeconomic, environmental, and energy security of the United States by advancing high-potential, high-impact energy
projects that are too early for private sector investment.
ARPA-E draws upon the Defense Advanced Research Projects Agency’s successful model of program management, withtargeted modification to meet ARPA-E’s unique requirements for US economic impact through a strong focus on thecommercialization potential of new energy technologies. The major adaptation in ARPA-E’s model is the implementation ofa strong Technology-to-Market (T2M) focus. ARPA-E offers funding opportunities to the nation’s research and development
community with a requirement of a clear techno-economic focus. This approach complements and seeks to extract
maximum value from the nation’s existing investments in fundamental energy research, including those of the DOE Officeof Science.
In its first five years of program funding, ARPA-E has demonstrated the efficacy of its model for accelerating high-potential,novel technical approaches to existing and emerging US energy challenges. Program Directors, recruited for their technicalexpertise and experience in energy issues, are given significant autonomy in identifying potential high-impact areas for R&D
investment. ARPA-E’s Program Directors work to develop their proposals in the context of both private sector and federally
funded work in the technical space, and ultimately propose a program designed to accelerate research and commercial
development in the topic area. The T2M Advisors ensure the T2M focus is included throughout the development process
and the execution of projects. As a complement to its focused technology programs, ARPA-E also supports OPEN and IDEAS
solicitations. OPEN solicitations seek the most innovative new ideas in energy technology across the full spectrum of energy
applications, allowing the Agency to support the development of important technologies that otherwise would fall outside
the scope of its focused programs. OPEN solicitations were run in 2009, 2012, and 2015. The IDEAS solicitation was
launched in 2013 and is continuing to provide small, short-term grants to develop proof-of-concept for innovative but
unproven technical concepts.
Selection of project awards within each program occurs by a rigorous process of proposal and reviews. Selection criteria
include the transformative character of the technology, the potential impact of the technology on ARPA-E’s energy missions
as defined in its authorizing statute, and the potential for the project to yield commercial applications that benefit US
economic and energy security. Within these criteria the most highly rated proposals are selected for award negotiations.
The majority of the funded projects involve more than one institution, and the lead institutions are distributed among
universities, businesses, federally funded research and development centers (FFRDCs), and non-profit organizations.
The resulting portfolio of alumni and active R&D projects broadly covers the US energy technology landscape, fromtransportation fuels and energy storage, through residential, commercial and manufacturing efficiency to the storage,
distribution and generation of electrical power. The programs are designed to deliver value given a targeted investment
over a defined period of time. The projects are structured in a portfolio funding approach to ‘de-risk’ areas of technologicalopportunity by supporting multiple high-potential approaches to the program goals to the point where their relative value
for further applications can be determined. This allows the most effective approaches to emerge based on their technicalperformance and potential. Under ARPA-E’s rigorous project management process, project teams work to quarterly
milestones for both technical and commercialization goals. Projects that prove unable to meet the goals are terminated.
Highlights of the FY 2017 Appropriations Budget Request
The selection of areas for new programs follows a rigorous evaluation and development process to assure that all new
programs meet the following criteria:
1) A new program must be based on significant potential for transformational technological innovation. The technicalopportunity must be too early stage or too high-risk for commercial investment.
2) The technical area must have the potential to have substantial impact on ARPA-E’s legislated mission areas, whichare Improving Energy Efficiency, Reducing Dependence on Energy Imports, and Reducing Harmful Energy Emissions,specifically and critically including reduction of greenhouse gas emissions.
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3) Investment in the technical opportunity addresses DOE’s energy mission and goals, but does not duplicate
investment being carried out in other parts of DOE or other federal agencies.
4) There must be a pathway for advancing the technology toward hand-off to the private sector for commercial
development and corresponding benefits to the economic and energy security of the U.S.
Program development includes input from the outcomes of previous programs and program assessments. The majority ofthe presently active programs were initiated in FY 2014 and 2015, when ARPA-E developed a strong cluster of programs in
the power space, including carbon-free power generation, distributed generation, and grid integration, along with
programs addressing natural gas emissions and the impacts of water scarcity on power-generation efficiency. New
programs are being added in 2016, as older projects and programs end. As described in more detail in the ‘Activities andExplanations of Changes’ table, the following areas are in the final stages of assessment as new programs in FY 2016:
building efficiency, biological carbon sequestration, zero-carbon fuels, improved transportation energy efficiency, reducing
transportation demand, strategic materials for energy storage, and energy efficient data centers.
In FY 2017 ARPA-E expects to release funding opportunity announcements (FOAs) for seven to eight focused programs eachfunded in the range of $10 - $40 million. Those programs will be defined to address new areas not represented in the present
portfolio, and to develop new opportunities opened by the outcomes of previous programs. The assessment process for the
new programs is now underway as described below, and is structured to deliver strategic balance and strong opportunities
for growth through emphasis on:• exploiting advances in power electronics, systems and controls to accelerate the integration of storage, distributed
generation and intermittent renewable sources into the grid• integrating innovations across sectors to enable new routes to energy products or improve industrial energy
efficiency while also improving economic competitiveness• exploiting new approaches to materials discovery and development to target key technical barriers in areas
including building and industrial efficiency, efficient power distribution, zero-carbon power, and zero-carbon fuels• leveraging new data management and communications trends to discover new methods for energy savings
These opportunity areas are outlined in more detail in the ‘Activities and Explanations of Changes’ table. This carefulassessment process is necessary to insure that ARPA-E meets its statutory requirement to identify and promote revolutionary
advances in fundamental and applied energy research and development. In order to fund a broader range of possible
technical solutions and thereby enhance the probability of program success, some of these programs may need to be initiatedat up to $40 million.
Throughout FY 2016, workshops will be held to assess new program topics for FY 2017, building on the strategic innovation
areas. Three workshops already planned are:
1. Innovative Approaches to Ocean Cultivation and Processing of Macro Algae for the Production of Low-carbon Fuels
ARPA-E is interested in identifying critical R&D topics and targets, which need to be addressed to enable a successfultransition from today’s macro algae industry focused primarily on food and specialty chemicals to large-scale fuelopportunities. Technical areas for assessment are: advancing breeding of more productive macro algae (genomics,
species selection, adaptation of terrestrial breeding techniques); new cultivation methods (site selection, cultivation
system design, nutrient supply, robotics/automation); transport, storage and processing (dewatering and storage;
processing/fractionation without freshwater); and ecosystem services and effects (excess nutrient removal; CO 2
sequestration).
2. Advanced Materials, Sensors, and Controls Enabling Inherently Safe and Secure Designs for MW Scale Nuclear Energy
ARPA-E is interested in identifying how recently developed materials technologies can be combined with advanced
sensors and controls to enable innovative, new designs for nuclear reactors at the 1-10 MW scale. Emphasis will beplaced on how advances in materials, sensing, imaging, and controls can be incorporated into potentiallytransformative reactor designs with particularly careful attention to safety, security, and non-proliferation issues.
Design concepts such as a solid/monolithic core with embedded heat transfer channels will be explored in aworkshop bringing together experts in materials science, reactor design, non-proliferation/safeguards, andAdvanced Research Projects Agency – Energy/
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monitoring/controls. The greenhouse gas reduction impacts for various use cases of nuclear power at this scale will
also be examined. This area of assessment is being closely coordinated with the DOE Office of Nuclear Energy andnon-proliferation experts in DOE NNSA, with additional input from the Nuclear Regulatory Commission.
3. High-Impact Building Efficiency through Data Analytics
Energy technology has the potential to become much smarter – to make judicious use of the ubiquitous, nearly free
data that we can now collect. In particular, building HVAC systems – one of the biggest energy consuming applicationsin the United States – are constantly running in modes that are not optimized for the true occupancy state of thebuilding. ARPA-E is investigating the development of novel sensor technologies to capture data relating to occupancy(whether by direct measures, such as image capturing and processing, or by indirect measures, such as personal device
connectivity via Wi-Fi) and use it to enable HVAC systems and controls to run at more appropriate states for the actual
occupancy conditions. In addition, with advanced interface and algorithm development, this will enable completely“invisible” programmable thermostats – and expand to any alternative technologies that run more efficiently via
occupancy detection.
Work to develop the additional workshops for defining FY 2017 programs is in progress. Broad areas under assessment(each may yield more than one potential workshop concept) are:Applications in Efficient Power Conversion: Materials and component level advances in power electronics havepotential applications across the energy sector, which can be advanced by technical innovation in integrating the newcomponents into modules with specific applications. Opportunities span the range from grid-level power flow control attransmission voltages (69 kV and higher), to efficient connections for photovoltaics to power systems, and improved
electric motor drives to lower power applications, such as the technologies that deliver power to computer
microprocessors.
Hybrid Solar Systems: Innovative combination of advances in concentrated solar photo-voltaics and solar thermal
storage, with advances in power electronics can be used to create integrated products that capture more of theavailable solar energy, provide intrinsic storage, and optimize coupling from both distributed and centralized generation
to the electric power grid.
Expanded investments in Information and Computing Technologies (ICT): Advances in materials, photonics, and heat
management provide efficiency-enhancing opportunities for communications and computing systems of all kinds.
Reducing energy needs in personal devices and wireless access networks are examples of potential focus areas.
Light Metals in Transportation and Advanced Manufacturing: Light metals provide a key pathway to more efficienttransportation, but cost – both financial and in terms of energy use – remains a barrier. Advances in processing andrecycling techniques now offer opportunities to reduce those barriers. Combining these new approaches with designed
materials properties to couple into advanced manufacturing, such as creating powdered materials for use in additive
manufacturing, represent high-potential opportunities to transform vehicle light-weighting.
Innovations in production of fuels and chemicals: New technical approaches can address the scaling issues that today
mandate large, capital and energy intensive processing facilities for producing fuels and chemicals. Areas of innovation
range from efficient recovery of fuels and value-added products from renewable biological sources, lower-temperatureand -pressure synthesis of commodity chemicals, and flexible, low-cost chemical infrastructure that can accommodatechanges in feedstock supply volume and location. The new approaches would better exploit domestic bio-feedstocks
and renewable resources to produce net-zero carbon fuels, and reduce the energy intensity and greenhouse gas
emissions for the production of liquid fuels and chemicals.
In addition to the primary activity in new Programs, a portion of FY 2017 funding is likely to be used to supplement ongoing
ARPA-E projects where a small amount of additional funding from ARPA-E could significantly advance commercial
readiness, leading to future support from outside ARPA-E that will help advance the technology towards the market. In
2017, ARPA-E is evaluating a ‘prize’ competition in developing new optimization algorithms for power-flow control in
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transmission and distribution systems. ARPA-E will also continue its stand-alone SBIR/STTR program to provide additional
support to small businesses beyond the significant number of awards to small businesses via ARPA-E’s standard nonSBIR/STTR solicitations. ARPA-E will continue the use of IDEAS, a small rolling open solicitation to rapidly support innovative
applied energy research that has the potential to lead to new focused programs or that may complement portfolios inongoing focused programs.

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ARPA-E Projects
Funding ($K)
FY 2015
Enacted
ARPA-E Projects
Transportation Systems
Stationary Power Systems
Total, ARPA-E Projects

126,000
126,000
252,000

FY 2015
Current
126,000
126,000
252,000

FY 2016
Enacted104,700
157,050
261,750

FY 2017
Request127,200
190,800
318,000

FY 2017 vsFY 2016+22,500+33,750+56,250

SBIR/STTR 1:• FY 2015 Current: $12,270 total (SBIR $11,380 / STTR $890)• FY 2016 Projected: $9,030 total (SBIR $7,853 / STTR $1,177)• FY 2017 Request: $11,607 total (SBIR $10,176 / STTR $1,431)

1

In FY 2017, ARPA-E will continue its stand-alone Small Business Innovation Research/Small Business Technology Transfer (SBIR/STTR) program to provide additional
support to small businesses beyond the significant number of awards to small businesses via ARPA-E’s standard non-SBIR/STTR solicitations.

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ARPA-E Projects
Explanation of Major Changes ($K)

Transportation Systems: Based upon six years of experience in the development of focused technology programs and noting the distribution of
applications to and awards made in the competitive OPEN solicitations in 2009, 2012 and 2015, ARPA-E anticipates a shift from an equal funding
distribution between Stationary Power Systems and Transportation Systems to approximately a 60:40 split in FY 2016 and FY 2017.

FY 2017 vsFY 2016+22,500

Stationary Power Systems: Based upon six years of experience in the development of focused technology programs and noting the distribution of
applications and awards made in the first two competitive OPEN solicitations in 2009, 2012 and 2015, ARPA-E anticipates a shift from an equal
funding distribution between Stationary Power Systems and Transportation Systems to approximately a 60:40 split in FY 2016 and FY 2017. A
component of the shift is due to increasing effort in residential, commercial and industrial efficiency, which is included in the Stationary category.

+33,750

Total, ARPA-E Projects+56,250

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Activities and Explanation of Changes
FY 2016 Enacted

ARPA-E Projects
FY 2017 Request$261,750,000
In FY 2016 ARPA-E plans to release funding
opportunity announcements for five to six focusedprograms.

$318,000,000
In FY 2017 ARPA-E plans to release funding
opportunity announcements for seven to eight
focused programs.

The funding opportunities to be supported in 2016
are in different stages of assessment, as noted below
for each. It is likely, but not guaranteed, that FOAs
will be released in each of these areas in FY 2016:

ARPA-E anticipates new focused programs in bothTransportation Systems and Stationary Power
Systems (including energy efficiency). The
assessment process to define the new program isunderway, and will proceed through FY 2016, as
described in the previous text section, ‘Highlights of
the FY 2017 Budget Request.’

Building efficiency: Re-inventing the single-pane
window using advanced materials for either retrofit
window coatings or new windows that provide
thermal insulation and excellent optical quality while
preventing condensation. Existing single-pane
window stock constitutes a significant loss of heatingenergy in the U.S. and this program takes on thesignificant technical challenges in developing costeffective retrofits or replacements. A FOA has beenreleased in this area.
Biofuel plant root phenotyping for improved growthproperties and thereby provide a scalable approachto atmospheric carbon sequestration through plantroots to the soil. New technologies that measure
structural and functional properties of plant roots
and soils that lead to the development of improved
root traits, which improve the sustainability of
biofuel crop production by increasing soil carbon
storage and improving fertilizer efficiency. These
traits will reduce greenhouse gas emissions and are
expected to create grower value by improving soil
quality, nutrient use efficiency and water use
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The assessment of new programs is taking place inthe context of ARPA-E’s identified technologicalinnovation opportunities:
Innovation opportunity: integration of storage,
distributed generation and intermittent
renewable sources for improved, more
economical grid operations. New potential inthis area arises from advances in powerelectronics, systems and controls, as well as thedevelopment of new capabilities in storage.

Explanation of Changes
FY 2017 vs FY 2016
+ $56,250,000
The increase in funding will enable ARPA-E to fundapproximately two more focused programs, andsupport proportional increases in SBIR, and IDEAS.
The increase will also enable individual programs to
be funded at a higher level, enabling the selection of
additional projects and/or provision of additional
funding for qualification and field testing of the mostpromising projects.
The changes in Program focus between FY 2016 and2017 are both essential to update ARPA-E’s portfolio
to address new developments in technicalinnovation.
The exploitation of new developments in technicalinnovation will include greater (but not exclusive)
focus on integrating the use of large-scale data,
optimization, and distributed sensors and actuators
to draw the greatest value from implementation of
new technologies.
A prize competition is under assessment for 2017 to
incentivize development of optimized power control
algorithms for energy transmission and distribution.

Innovation opportunity: integrating cross-sector
innovations to enable new routes to energy
products or improve industrial energy efficiency.
An example of such integration is combining
innovative power electronics components toaddress specific power conversion needs such as
low cost, high-speed, energy efficient battery
chargers for electric vehicles. Similar new

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FY 2016 Enacted

FY 2017 Request

productivity. To select and breed for these traits,
innovative technology platforms for thecharacterization of below ground plant growth anddevelopment will be required with demonstrated
utility for field deployment. Final stages ofassessment and development are underway prior to
final decision on releasing a FOA.

potential in this area arises from advances inbiotechnology, distributed sensing,automation/robotics and new materials, as wellas advanced manufacturing capabilities such asadditive manufacturing.

Renewable electricity to zero-carbon liquid fuels fortransportation and stationary energy storage:
Development of novel technologies to transform theway renewable electricity is stored and transported
from remote generation sites to the end point
customer to increase utilization of intermittent
renewable energy and reduce carbon emissions.
These include cost- effective and energy-efficienttechnologies that use renewable electricity to create
energy dense liquid fuels from water, and CO 2 and/or
N 2 from air. These fuels will be used for storage andsubsequent conversion to electricity or as a clean fuelfor zero-emission vehicles. Final stages of assessment
and development are underway prior to final
decision on releasing a FOA.
New approaches to transportation energy efficiency:
New vehicle and powertrain control technologies thatcan reduce the energy use associated with
automotive transportation. These may include
advanced vehicle and powertrain control concepts,
optimization of individual vehicle operation
facilitated by connectivity, and the reduction of thefuel and/or energy consumed by future vehicles
undergoing either human operation or automatedoperation. An RFI has been released as part ofAdvanced Research Projects Agency – Energy/
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Explanation of Changes
FY 2017 vs FY 2016

Innovation opportunity: exploiting new approaches
to materials discovery and production to target
technical barriers across all energy sectors. New
potential in this area arises from the growing
power of computational design of materials,
new approaches to materials fabrication, andadvances in high-throughput characterization.
Innovation opportunity: leveraging new data
management and communications trends todiscover new methods for energy savings. New
potential in this area arises from rapid
developments in Information Technology and
Telecommunications. Potential applications inthis area can be used to support the improved
development of energy systems from thecomponents developed in previous programs.
On-going assessments of the potential new programs
in which combinations of these innovation
opportunities would be applied are presented in theearlier text (Highlights of the FY 2017 Discretionary
Budget Request).

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FY 2016 Enacted

FY 2017 Request

Explanation of Changes
FY 2017 vs FY 2016

completing the assessment for this area prior to thefinal decision on releasing a FOA.
Strategic development of solid-ion conductors forelectrochemical technologies: Transform theproperties of solid ion conductors for devices usingalkaline exchange membranes (e.g., fuel cells andelectrolyzers), lithium metal batteries, flow batteries,
and other electrochemical technologies. Alleviate
key deficiencies in solid ion conductors through cooptimization of ionic conductivity, selectivity,
chemical stability, electronic conductivity, thermal
stability, mechanical properties, processing, device
integration, and cost. Final stages of assessment
and development are underway prior to final
decision on releasing a FOA.
New technologies for energy efficient data centers:
Integrated photonic interconnects and novel new
switching networks to provide fundamentally moreenergy efficient manipulation and movement ofdata. Final stages of assessment and development
are underway prior to final decision on releasing a
FOA.
Virtual transportation: Significant increases in theuse of telecommunications could reduce the demandfor human transportation, with benefits for energy
imports, emissions and effective transportation
efficiency. Significant reduction in the bandwidth ofhigh-quality video transmission is needed to makethis possible. A workshop is planned to assess thetechnical opportunities, and the magnitude of energy
impact possible in this area.

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FY 2016 Enacted

FY 2017 Request

Explanation of Changes
FY 2017 vs FY 2016

The technologies being developed under MONITOR(natural gas leak detection) will require qualificationand field testing before they are accepted byregulatory agencies and commercial users. An RFI
has been released to assess testing needs, and final
stages of assessment are underway prior to final
decision on creating a funding opportunity for a test
facility.

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ARPA-E Projects
Performance Measures
In accordance with the GPRA Modernization Act of 2010, the Department sets targets for, and tracks progress toward, achieving performance goals for each program.
FY 2015
Performance Goal
(Measure)

FY 2017

Award Funding - Cumulative percentage of award funding committed 45 days after award selections are announced

Target

70%

70%

70%

Result100%

TBD

Not applicable

Endpoint Target

No endpoint - continuous measure of efficiency in awarding funds

Performance Goal
(Measure)

New Company Formation – Number of new companies formed as a direct result of ARPA-E funding. As of February 2015, ARPA-E funded
research has led to the formation of at least 30 new companies.

Target

≥+3

≥+3

≥+3

Result1

TBD

Not applicable

Endpoint Target

1

FY 2016

Met

No endpoint – continuous measure of impact of ARPA-E awards on creating new jobs and industries

Final quantitative metrics for FY 2015 will not be available until February 2016

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414

Program Direction – Discretionary Budget Request
Overview
Program direction provides ARPA-E with the resources required to execute ARPA-E’s mission. Program direction funds are
utilized for salaries and benefits of federal staff; travel; support services contracts to provide technical advice and project
management assistance; and other related expenses, including the DOE Working Capital Fund.
The key components of the ARPA-E model are the team, particularly the Agency’s Program Directors and Technology-toMarket (T2M) advisors, and their hands-on engagement with awardees. ARPA-E Program Directors provide awardees withtechnical guidance that combines scientific expertise and real-world experience, while ARPA-E T2M advisors supply criticalbusiness insight and direction to enable awardees to develop strategies to move technologies towards the market. Each
ARPA-E project includes clearly defined technical and commercial milestones that awardees are required to meetthroughout the life of a project. Program Directors and T2M advisors work closely with each awardee, through regularmeetings and on-site visits, to ensure that milestones are being achieved in a timely fashion. When a project is notachieving the goals of the program, ARPA-E works with the awardee to rectify the issue or, in cases where the issue cannot
be corrected, ARPA-E discontinues funding for the project. To ensure the efficiency of ARPA-E’s hands-on engagement withawardees, ARPA-E has in-house legal, procurement, and contracting staff, co-located with the Program Directors and T2M
advisors, to provide direct access and timely communication. Finally, to help enable ARPA-E to rapidly move into newtechnology areas in response to scientific discoveries and breakthroughs, ARPA-E utilizes support contractors for technicaladvice and program management assistance.
Highlights of the FY 2017 Budget Request
The FY 2017 Request for program direction is $32 million, a $2.75 million increase over the FY 2016 Enacted level. The
increase is needed to cover additional oversight and management of projects in ARPA-E’s portfolio due to the requested
increase in projects funding, as well as inflationary increases for salaries, overhead, and other expenses.

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Program Direction – Appropriations Request
Funding ($K)

Washington Headquarters
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Program Direction
Federal FTEs
Support Services
Technical Support
Management Support
Total, Support Services

FY 2015
Enacted
Program Direction Summary
9,315
1,003
12,895
4,787
28,00049

FY 2016
EnactedFY 2017
RequestFY 2017 vsFY 2016

9,315
1,003
12,895
4,787
28,00049

10,103
1,316
12,858
4,973
29,25056

10,4971,500
14,7305,273
32,000
56

+394
+184
+1,872+300+2,750
+0

4,513
8,382
12,895

4,513
8,382
12,8954,500
8,358
12,8585,155
9,575
14,730+655+1,217+1,872

2,202
500
10
465
1,510
100
4,787

2,202
500
10
465
1,510
100
4,787

2,283
550
10
475
1,550
105
4,973

2,324
560
10
484
1,788
107
5,273

+41
+10
+0
+9
+238
+2
+300

Support Services and Other Related Expenses

Other Related Expenses
Rental payments to GSA
Communications, utilities, and misc. charges
Printing and reproduction
Other services from non-Federal sources
Other goods and services from Federal sources
Supplies and materials
Total, Other Related Expenses

Advanced Research Projects Agency – Energy/
Program Direction

FY 2015
Current

416

FY 2017 Congressional Budget Justification

Program Direction – Appropriations Request
Activities and Explanation of Changes
FY 2016 Enacted
Program Direction $29,250,000
Salaries and Benefits
At the FY 2016 Enacted level, ARPA-E anticipatesneeding up to 56 Federal FTEs.
TravelAt the FY 2016 Enacted level ARPA-E Program
Directors and Technology-to-Market advisers willcontinue to visit performers regularly as part of
ARPA-E’s hands-on engagement, which is theprimary component of ARPA-E travel. The number ofsite visits will continue to be commensurate with thenumber of ongoing projects.
Support Services
At the FY 2016 Enacted level ARPA-E anticipates
maintaining the use of support service contractors to
support ARPA-E federal staff in the management andoversight of projects and other required functions.
The level of support is commensurate to the numberof ongoing and anticipated projects. ARPA-E willcontinue to optimize federal staff and contractor
support based on funding levels and the number ofprojects under management.
Other Related Expenses
The FY 2016 Enacted level for other related expenses
primarily consists of Working Capital Fund andInformation Technology support costs, which arecommensurate with the level of FTEs and support
services requested.

Advanced Research Projects Agency – Energy/
Program Direction

Explanation of Changes
FY 2017 vs FY 2016

FY 2017 Request$32,000,000+$2,750,000

At the FY 2017 Request level, ARPA-E anticipatesneeding up to 56 Federal FTEs.

+$394,000: At a constant level of FTEs, salaries andbenefits are projected to escalate 3.9% between FY
2016 and FY 2017.

At the FY 2017 Request level ARPA-E Program
Directors and Technology-to-Market advisers willcontinue to visit performers regularly as part of
ARPA-E’s hands-on engagement, which is theprimary component of ARPA-E travel.

+$184,000: The increase in travel is commensuratewith the increased number of projects expected in
ARPA-E’s portfolio.

At the FY 2017 Request level ARPA-E anticipates
increasing support service contractors to support
ARPA-E federal staff in the management andoversight of projects and other required functions.
ARPA-E will continue to optimize federal staff andcontractor support based on funding levels and thenumber of projects under management.

+$1,872,000: Additional supports services areneeded to support federal staff in the oversight ofprojects in ARPA-E’s growing portfolio.

The FY 2017 Request level for other related expenses
primarily consists of Working Capital Fund andInformation Technology support costs, which arecommensurate with the level of FTEs and support
services requested.

+$300,000: Assumed constant level of other related
expenses between FY 2016 and FY 2017. Most FY
2017 Budget Request miscellaneous expenses were
escalated at 1.8%.

417

FY 2017 Congressional Budget Justification

418

Advanced Research Projects Agency - Energy Trust
Overview
The Advanced Research Projects Agency-Energy Trust will provide a total of $1.85 billion in mandatory funds over five years
to ARPA-E. These funds will provide a reliable stream of funding to expand the work of ARPA-E. This mandatory funding
includes $150 million in FY 2017, $250 million in FY 2018, $350 million in FY 2019, $450 million in FY 2020, and $650 million
in FY 2021.
Highlights of the FY 2017 Budget Request
Under the legislative proposal to create a mandatory funding stream, ARPA-E will add a new focus on innovative systems
level efforts to maximize the impact of the transformational energy technologies developed under ARPA-E’s existing coreprograms. The dynamic core program activities will continue to be supported under discretionary funding. ARPA-E willconcurrently expand its present efforts to identify the highest impact technical innovations for the US energy sectors,
engaging early and often with venture capital, strategic, and social investors as well as regional development agencies, theDOE technology offices, and other Federal agencies. ARPA-E will continue its requirement that project recipients expend at
least 5% of their funding on T2M activities.
ARPA-E Trust programs will support projects with techno-economic goals designed to generate large impacts on the energy
system and investable large-scale outcomes. The new activities under the ARPA-E Trust will be implemented in stages thatdraw from the outcomes of the core program and, in the years after 2017, the outcomes of the previous years’ Trustinvestments. The new Trust Fund activities will continue to emphasize ARPA-E’s central focus as a technology agency:
accelerating transformative energy technologies from concept to market. But they will emphasize larger scale, more
complex energy challenges than can be supported under the core, discretionary funding. Potential Trust Fund programs will
be rigorously assessed against the same criteria as the core discretionary programs: transformative potential, impact on
ARPA-E’s mission areas, complementarity to other DOE programs, and a clear path toward hand-off to the private sector.
Examples of topics that will be assessed in developing funding opportunities under the Trust Fund in FY 2017 andsubsequent years include:
Technical challenges in scale-up
EXAMPLE: The core GENI program supported the early stage development of transformational power flow control
devices, which were demonstrated at distribution system voltages (~13kV), but significant technical challenges remainin scaling these devices to the higher voltages used in transmission systems (69 kV and higher). This scaling involves
significant technical risk and may require integration of new power semiconductor technology developed under thecore ADEPT, Solar ADEPT, OPEN, and SWITCHES programs.
EXAMPLE: Revolutionary approaches to wind power: ARPA-E has shown great promise for novel approaches to wind
power across several projects in sub-scale proof of concept and component-level demonstrations. These approaches allentail radically different design, engineering, and deployment challenges from traditional wind turbines, and in order togain industry acceptance will require systems integration and testing at a multi-MW scale.
Integration of multiple technical advances to create new functionality
EXAMPLE: Expanded integration of Grid-Scale Energy Storage: The ability to store energy generated when demand is
low and deliver it at times when demand is high is essential to draw the maximum benefits from our generation anddistribution of electrical power. ARPA-E programs have demonstrated multiple approaches to grid storage, withmultiple ways in which they can improve economic returns. Opportunities to accelerate this process stem from thepotential to integrate different storage types such as batteries and flow-cells, new options such as storage in liquid
fuels, and operational approaches to create virtual storage. Larger scale programs would be developed to address thesignificant technical challenges of designing, scaling-up and optimizing such integrated solutions.
EXAMPLE: While individual ARPA-E core programs have demonstrated the ability to remove a key technical roadblock,there will remain significant additional technical challenges in advancing new large-scale energy projects towardreadiness for commercialization. There is additional opportunity to build specific functionality, longer-scale programs
Advanced Research Projects Agency – Energy/
Advanced Research Projects Agency – Energy Trust

419

FY 2017 Congressional Budget Justification

or coordinated parallel programs that combine aspects of several ongoing or previous ARPA-E programs. An example isthe coupling of improved thermal energy management and heat-to-electricity conversion from the core HEATS andARID programs with hybrid solar PV-CSP technologies developed under the core FOCUS program.
Systems scale challenges
EXAMPLE: Soil Carbon Capture, Utilization and Storage scaled to provide significant reduction in atmospheric CO 2
concentrations: Increasing the storage of nitrogen and carbon in soils to levels present before extensive agriculture has
the potential to sequester atmospheric carbon at scale while also reducing fertilizer use with its related issues ofgreenhouse gas emissions and water pollution. Opportunities to do so derive from advances in plant breeding,automated sensing and high-throughput screening, genomics, and data management. Large-scale systems investment
is needed to optimize the development of appropriate crops and create the commercial drivers for their wide-spread
deployment. This work would be designed to complement, but not duplicate US Department of Agriculture efforts toadvance commercial agriculture for food and feed usage and related issues of sustainability.
Technological innovation to drive the creation of new business models
EXAMPLE: Energy-efficient transportation systems based on automated vehicles, advanced manufacturing, ubiquitous
sensing and data sharing: Managing transportation as a system of vehicles offers new opportunities to supplement thebenefits of vehicle light-weighting, engine efficiency, electrification and alternative low-carbon fuels. Opportunities
arising as a result of vehicle-to-vehicle communication, vehicle-to-infrastructure communication, and control andoptimization for local conditions can be exploited and integrated to minimize transportation energy expenditure. This
work would be designed to complement, but not duplicate the work of Department of Transportation in developing
automation approaches to deliver benefits in safety and commerce.

Advanced Research Projects Agency – Energy/
Advanced Research Projects Agency – Energy Trust420

FY 2017 Congressional Budget Justification

Advanced Research Projects Agency - Energy TrustFunding ($K)
FY 2015
Current

FY 2015
EnactedAdvanced Research Projects Agency – Energy Trust
Projects
Program Direction
Total, Advanced Research Projects Agency – Energy Trust

Advanced Research Projects Agency – Energy/
Advanced Research Projects Agency – Energy Trust

0
0
0

421

FY 2016
Enacted00
0FY 2017
Request000135,000
15,000150,000

FY 2017 vsFY 2016+135,000+15,000+150,000

FY 2017 Congressional Budget Justification

Advanced Research Projects Agency - Energy Trust
Explanation of Major Changes ($K)
FY 2017 vsFY 2016
Projects: The new $150 million in mandatory funding will create the Advanced Research Projects Agency – Energy Trust. Of the $150 million, $135
million with be allocated towards complex, larger-scale research efforts in areas such as: technical challenges in scale-up, integration ofmultiple technical advances to create new functionality, systems scale challenges and technical innovation to drive new business models.

+135,000

Program Direction: The new $150 million in mandatory funding will create the Advanced Research Projects Agency – Energy Trust. Of the $150
million, $15 million will be allocated to program direction.

+15,000

Total, ARPA-E - Energy Trust+150,000

Advanced Research Projects Agency – Energy/
Advanced Research Projects Agency – Energy Trust

422

FY 2017 Congressional Budget Justification

Activities and Explanation of Changes
FY 2016 Enacted$0
No funding in FY 2016

Advanced Research Projects Agency – Energy/
Advanced Research Projects Agency – Energy Trust

Advanced Research Projects Agency - Energy Trust
FY 2017 Request$135,000,000
New funding for FY 2017

423

Explanation of Changes
FY 2017 vs FY 2016
+ $135,000,000
The Trust provides a total of $1.85 billion in
mandatory funding over 5 years including $150
million in FY 2017. The $150 million in FY 2017
would be used to support complex, larger-scale
research efforts in areas such as: technicalchallenges in scale-up, integration of multiple
technical advances to create new functionality,
systems scale challenges, coordination acrossmultiple ongoing programs, and technical innovation
to drive new business models.

FY 2017 Congressional Budget Justification

424

Program Direction – Advanced Research Projects Agency - Energy Trust
Overview
Program Direction provides the staffing resources and associated costs required to provide overall direction and executionof the ARPA-E Trust. This budget provides for salaries and benefits of new federal staff, travel expenses for federal staff andcontractors, and the support services required for technical advisory and project management services. This budget further
provides funding for other related expenses, including additional leased office space and increased contributions to the
DOE Working Capital Fund that is related to the additional personnel needed for the ARPA-E Trust.
Highlights of the FY 2017 Budget Request
ARPA-E will allocate $15 million of the ARPA-E Trust funds to Program Direction in FY 2017 to supplement the $32 million inappropriated Program Direction requested. With expansion of the number and size of programs supported under the Trust,the number of technical personnel will need to increase roughly proportionally. To manage the accelerated growth pathassociated with Trust funding in subsequent years, ARPA-E would build on its agile project management structure andadapt accordingly, while roughly maintaining the present ratio of operational costs to programmatic expansion. To manage
the greater size and scope, it is likely that the agency will need to adjust its structure, possibly building multiple technicaloffices reporting to the agency Director. The increasing breadth of activities supported by the Trust will require a greater
spread of technical expertise in the Program Directors as well as an expanded experience-base in the T2M team to include
venture and strategic investment, regional (state and local) development, start-up business development and engagementwith other Federal agencies.

Advanced Research Projects Agency – Energy/
ARPA-E – Energy Trust/Program Direction

425

FY 2017 Congressional Budget Justification

Program Direction – Energy TrustFunding ($K)

Washington Headquarters
Salaries and Benefits
TravelSupport Services
Other Related Expenses
Total, Program Direction
Federal FTEs
Support Services
Technical Support
Management Support
Total, Support Services

FY 2015
Enacted
Program Direction Summary
0
0
0
0
0
0

FY 2016
EnactedFY 2017
RequestFY 2017 vsFY 2016

0
0
0
0
0
0

0
0
0
0
0
0

1,874
703
9,951
2,472
15,00010+1,874+703+9,951+2,472+15,000
+10

0
0
0

0
0
0

0
0
0

3,483
6,468
9,951

+3,483+6,468+9,951

0
0
0
0
0
0
0

0
0
0
0
0
0
0

0
0
0
0
0
0
0

1,089
263
5
227
838
50
2,472

+1,089
+263
+5
+227
+838
+50
+2,472

Support Services and Other Related Expenses

Other Related Expenses
Rental payments to GSA
Communications, utilities, and misc. charges
Printing and reproduction
Other services from non-Federal sources
Other goods and services from Federal sources
Supplies and materials
Total, Other Related Expenses

Advanced Research Projects Agency – Energy/
ARPA-E – Energy Trust/Program Direction

FY 2015
Current

426

FY 2017 Congressional Budget Justification

Program Direction – Energy Trust
Activities and Explanation of Changes
FY 2016 Enacted
Program Direction $0
Salaries and Benefits
N/A

Explanation of Changes
FY 2017 vs FY 2016

FY 2017 Request$15,000,000+$15,000,000

New FY 2017 Request

Travel
N/A+$1,874: Ten additional FTEs are needed in FY17 to
support programs and projects funded by the ARPA-E
Trust.

New FY 2017 Request

Support Services
N/A+$703: ARPA-E personnel will visit performers
regularly as part of ARPA-E’s hands on engagement.

New FY 2017 Request

Other Related Expenses
N/A+$9,951: Support services are needed to support
federal staff in the oversight of programs andprojects in the ARPA-E Trust portfolio.

New FY 2017 Request+$2,472: Incremental overhead and other related
costs associated with the additional FTEs and support
service personnel for the ARPA-E Trust.

Advanced Research Projects Agency – Energy/
ARPA-E – Energy Trust/Program Direction

427

FY 2017 Congressional Budget Justification

428

Advanced Research Projects Agency - Energy
Research and Development ($K) 1
FY 2015
Enacted
Basic
AppliedDevelopment
Subtotal, R&D
Equipment
Construction
Total, R&D

0
140,000
140,000
280,00000
280,000

FY 2015
Current0
140,000
140,000
280,00000
280,000

FY 2016
Enacted0145,500
145,500
291,000
00
291,000

FY 2017
Request0
250,000
250,000
500,00000500,000

FY 2017 vsFY 20160+104,500+104,500+209,00000+209,000

Advanced Research Projects Agency - Energy
Small Business Innovation Research/Small Business Technology Transfer (SBIR/STTR) ($K)
FY 2015
Current
ARPA-E Projects
SBIR
STTR
Total, SBIR/STTR

11,380890
12,270FY 2016
Projected
7,853
1,177
9,030

FY 2017
Request 2
10,176
1,431
11,607FY 2017 vsFY 2016+2,323+254+2,577

1

FY 2017 Congressional Budget Research and Development (R&D) table includes both discretionary and mandatory funding as well as allocated Program Direction foreach funding. The FY 2016 Congressional Budget R&D table excluded Program Direction appropriations. This change is being made to better align with international
standards on reporting funding for R&D. Since program direction is necessary in order for R&D to be performed, it is included in the conduct of R&D.
2
In FY 2017, ARPA-E will continue its stand-alone Small Business Innovation Research/Small Business Technology Transfer (SBIR/STTR) program to provide additional
support to small businesses beyond the significant number of awards to small businesses via ARPA-E’s standard non-SBIR/STTR solicitations.
Advanced Research Projects Agency – Energy

429

FY 2017 Congressional Budget

430

Department Of Energy
FY 2017 Congressional Budget
Funding By Appropriation By Site($K)
FY 2015
Current

Advanced Research Projects Agency - Energy

FY 2016
EnactedFY 2017
RequestWashington Headquarters
Advanced Research Projects Agency - Energy
Projects

252,000

261,750

318,000

Program Direction

28,00029,25032,000280,000

291,000

350,000

280,000

291,000

350,000

280,000

291,000

350,000

Total, Advanced Research Projects Agency - Energy
Total, Washington Headquarters
Total, Advanced Research Projects Agency - Energy

Advanced Research Projects Agency - Energy

431

FY 2017 Congressional Budget Justification

432

GENERAL PROVISIONS—DEPARTMENT OF ENERGY(INCLUDING TRANSFER [AND RESCISSIONS] OF FUNDS)

SEC. 301. (a) No appropriation, funds, or authority made available by this title for the Department of Energy shall be used
to initiate or resume any program, project, or activity or to prepare or initiate Requests For Proposals or similararrangements (including Requests for Quotations, Requests for Information, and Funding Opportunity Announcements)
for a program, project, or activity if the program, project, or activity has not been funded by Congress.
(b)(1) Unless the Secretary of Energy notifies the Committees on Appropriations of both Houses of Congress at least 3 fullbusiness days in advance, none of the funds made available in this title may be used to—(A) make a grant allocation or discretionary grant award totaling $1,000,000 or more;(B) make a discretionary contract award or Other Transaction Agreement totaling $1,000,000 or more, including
a contract covered by the Federal Acquisition Regulation;(C) issue a letter of intent to make an allocation, award, or Agreement in excess of the limits in subparagraph(A) or (B); or(D) announce publicly the intention to make an allocation, award, or Agreement in excess of the limits in
subparagraph (A) or (B).
(2) The Secretary of Energy shall submit to the Committees on Appropriations of both Houses of Congress within 15
days of the conclusion of each quarter a report detailing each grant allocation or discretionary grant award totaling lessthan $1,000,000 provided during the previous quarter.
(3)The notification required by paragraph (1) and the report required by paragraph (2) shall include the recipient of
the award, the amount of the award, the fiscal year for which the funds for the award were appropriated, the accountand program, project, or activity from which the funds are being drawn, the title of the award, and a brief descriptionof the activity for which the award is made.
(c) The Department of Energy may not, with respect to any program, project, or activity that uses budget authority madeavailable in this title under the heading "Department of Energy—Energy Programs", enter into a multiyear contract, award a
multiyear grant, or enter into a multiyear cooperative agreement unless—(1) the contract, grant, or cooperative agreement is funded for the full period of performance as anticipated at thetime of award; or(2) the contract, grant, or cooperative agreement includes a clause conditioning the Federal Government's obligation on
the availability of future year budget authority and the Secretary notifies the Committees on Appropriations of bothHouses of Congress at least 3 days in advance.
(d) Except as provided in subsections (e), (f), and (g), the amounts made available by this title shall be expended as
authorized by law for the programs, projects, and activities specified in the "Final Bill" column in the "Department of Energy"
table included under the heading "Title III—Department of Energy" in the explanatory statement [described in section 4 (inthe matter preceding division A of this consolidated] accompanying this Act).
(e)The amounts made available by this title may be reprogrammed for any program, project, or activity, and the Department
shall notify the Committees on Appropriations of both Houses of Congress 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 restricted by thisAct; or(3) reduces funds that are directed to be used for a specific program, project, or activity by this Act.
(g)(1)The Secretary of Energy may waive any requirement or restriction in this section that applies to the use of funds madeavailable for the Department of Energy if compliance with such requirement or restriction would pose a substantial risk tohuman health, the environment, welfare, or national security.

General Provisions

433

FY 2017 Congressional Budget Justification

(2) The Secretary of Energy shall notify the Committees on Appropriations of both Houses of Congress of any waiver
under paragraph (1) as soon as practicable, but not later than 3 days after the date of the activity to which a
requirement or restriction would otherwise have applied. Such notice shall include an explanation of the substantial
risk under paragraph (1) that permitted such waiver.
SEC. 302. The unexpended balances of prior appropriations provided for activities in this Act may be available to the same
appropriation accounts for such activities established pursuant to this title. Available balances may be merged with funds inthe applicable established accounts and thereafter may be accounted for as one fund for the same time period as originallyenacted.
SEC. 303. Funds appropriated by this or any other Act, or made available by the transfer of funds in this Act, for intelligence
activities are deemed to be specifically authorized by the Congress for purposes of section 504 of the National Security Act
of 1947 (50 U.S.C. 3094) during fiscal year [2016] 2017 until the enactment of the Intelligence Authorization Act for fiscal
year [2016] 2017.
SEC. 304. None of the funds made available in this title shall be used for the construction of facilities classified as highhazard nuclear facilities under 10 CFR Part 830 unless independent oversight is conducted by the Office of [Independent]
Enterprise Assessments to ensure the project is in compliance with nuclear safety requirements.
SEC. 305. None of the funds made available in this title may be used to approve critical decision-2 or critical decision-3 underDepartment of Energy Order 413.3B, or any successive departmental guidance, for construction projects where the total
project cost exceeds $100,000,000, until a separate independent cost estimate has been developed for the project for thatcritical decision.
SEC. 306. Notwithstanding section 301(c) of this Act, none of the funds made available under the heading "Department ofEnergy—Energy Programs—Science" in this or any subsequent Energy and Water Development and Related Agencies
appropriations Act for any fiscal year may be used for a multiyear contract, grant, cooperative agreement, or Other
Transaction Agreement of $1,000,000 or less unless the contract, grant, cooperative agreement, or Other Transaction
Agreement is funded for the full period of performance as anticipated at the time of award.
[SEC. 307. (a) 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, theRussian Federation.
(b) The Secretary of Energy may waive the prohibition in subsection (a) if the Secretary determines that such activity is in thenational 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 Secretary submits to theCommittees on Appropriations of both Houses of Congress, in classified form if necessary, a report on the justification for
the waiver.]SEC. [308] 307. (a) NEW REGIONAL RESERVES.—The Secretary of Energy may not establish any new regional petroleum
product reserve unless funding for the proposed regional petroleum product reserve is explicitly requested in advance in anannual budget submission and approved by the Congress in an appropriations Act.
(b)The budget request or notification shall include—(1) the justification for the new reserve;(2) a cost estimate for the establishment, operation, and maintenance of the reserve, including funding sources;(3) a detailed plan for operation of the reserve, including the conditions upon which the products may be released;(4) the location of the reserve; and(5) the estimate of the total inventory of the reserve.
[SEC. 309. Of the amounts made available by this Act for "National Nuclear Security Administration—Weapons Activities",
up to $50,000,000 may be reprogrammed within such account for Domestic Uranium Enrichment, subject to the noticerequirement in section 301(e).]General Provisions

434

FY 2017 Congressional Budget Justification

[SEC. 310. (a) Unobligated balances available from appropriations are hereby rescinded from the following accounts of the
Department of Energy in the specified amounts:(1) "Energy Programs—Energy Efficiency and Renewable Energy", $1,355,149.00 from Public Law 110–161;$627,299.24 from Public Law 111–8; and $1,824,051.94 from Public Law 111–85.
(2) "Energy Programs—Science", $3,200,000.00.
(b) No amounts may be rescinded by this section from amounts that were designated by the Congress as an emergency
requirement pursuant to a concurrent resolution on the budget or the Balanced Budget and Emergency Deficit Control Act
of 1985.][SEC. 311. Notwithstanding any other provision of law, the provisions of 40 U.S.C. 11319 shall not apply to funds
appropriated in this title to Federally Funded Research and Development Centers sponsored by the Department of Energy.][SEC. 312. None of the funds made available in this Act may be used—(1) to implement or enforce section 430.32(x) of title 10, Code of Federal Regulations; or(2) to implement or enforce the standards established by the tables contained in section 325(i)(1)(B) of the Energy
Policy and Conservation Act (42 U.S.C. 6295(i)(1)(B)) with respect to BPAR incandescent reflector lamps, BR
incandescent reflector lamps, and ER incandescent reflector lamps.][SEC. 313. (a) Of the funds appropriated in prior Acts under the headings "Fossil Energy Research and Development" and"Clean Coal Technology" for prior solicitations under the Clean Coal Power Initiative and FutureGen, not less than$160,000,000 from projects selected under such solicitations that have not reached financial close and have not secured
funding sufficient to construct the project prior to 30 days after the date of enactment of this Act shall be deobligated, if
necessary, shall be utilized for previously selected demonstration projects under such solicitations that have reached financial
close or have otherwise secured funding sufficient to construct the project prior to 30 days after the date of enactment of
this Act, and shall be allocated among such projects in proportion to the total financial contribution by the recipients to thoseprojects stipulated in their respective cooperative agreements.
(b) Funds utilized pursuant to subsection (a) shall be administered in accordance with the provisions in the Act in which thefunds for those demonstration projects were originally appropriated, except that financial assistance for costs in excess of
those estimated as of the date of award of the original financial assistance may be provided in excess of the proportion of
costs borne by the Government in the original agreement and shall not be limited to 25 percent of the original financial
assistance.
(c) No amounts may be repurposed pursuant to this section from amounts that were designated by the Congress as an
emergency requirement pursuant to a concurrent resolution on the budget or the Balanced Budget and Emergency Deficit
Control Act of 1985.
(d) This section shall be fully implemented not later than 60 days after the date of enactment of this Act.]
SEC. 308. Amounts made available by this title may be transferred to the Technology Commercialization Fund in amounts
not to exceed 0.9% of the amounts appropriated for applied energy research and development. Amounts so transferred shallbe available for a broad spectrum of energy technology or combination of technologies, consistent with section 1001 of
the Energy Policy Act of 2005 (42 U.S. Code paragraph 16391(e)), and shall remain available until expended.
SEC. 309. Not to exceed 5 percent of any appropriation made available for Department of Energy activities funded in this Act or
subsequent Energy and Water Development and Related Agencies Appropriations Acts may be transferred between suchappropriations, but no such appropriation, except as otherwise provided, shall be increased or decreased by more than 5
percent by any such transfers, and notification of any such transfers shall be submitted promptly to the Committees on
Appropriations of the House of Representatives and the Senate.
SEC. 310. Consolidated Emergency Operations Center. Amounts available for the Department of Energy under this title in thisand prior appropriations Acts shall be available for the design of a consolidated Emergency Operations Center: Provided, That no
amounts may be repurposed from amounts that were designated by the Congress as an emergency requirement pursuant
to the Concurrent Resolution on the Budget or the Balanced Budget and Emergency Deficit Control Act of 1985, as amended.
SEC. 311. TREATMENT OF LOBBYING AND POLITICAL ACTIVITY COSTS AS ALLOWABLE COSTS UNDER DEPARTMENT OF
ENERGY CONTRACTS.

General Provisions

435

FY 2017 Congressional Budget Justification

(a) Allowable Costs.—(1) Section 4801(b) of the Atomic Energy Defense Act (50 U.S.C. 2781(b)) is amended—(A) by striking "(1)" and all that follows through "the Secretary" and inserting "The Secretary"; and(B) by striking paragraph (2).
(2) Section 305 of the Energy and Water Development Appropriation Act, 1988, as contained in section 101(d) of Public
Law 100–202 (101 Stat. 1329–125), is repealed.
(b) Regulations Revised.—The Secretary of Energy shall revise existing regulations consistent with the repeal of 50 U.S.C.
2781(b)(2) and section 305 of Public Law 100–202 and shall issue regulations to implement 50 U.S.C. 2781(b), as amended bysubsection (a), no later than 150 days after the date of the enactment of this Act. Such regulations shall be consistent with
the Federal Acquisition Regulation 48 C.F.R. 31.205–22.
(Energy and Water Development and Related Agencies Appropriations Act, 2016.)

General Provisions

436

FY 2017 Congressional Budget Justification

Title V – General Provisions
SEC. 501. None of the funds appropriated by this Act may be used in any way, directly or indirectly, to influencecongressional action on any legislation or appropriation matters pending before Congress, other than to communicate toMembers of Congress as described in 18 U.S.C. 1913.
[SEC. 502. (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 thisAct 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 adepartment, agency, or instrumentality of the United States Government may provide goods or services to anotherdepartment, agency, or instrumentality.
(b) None of the funds made available for any department, agency, or instrumentality of the United States Government may
be transferred to accounts funded in title III of this Act, except pursuant to a transfer made by 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 anotherdepartment, agency, or instrumentality.
(c) The head of any relevant department or agency funded in this Act utilizing any transfer authority shall submit to theCommittees on Appropriations of both Houses of Congress a semiannual report detailing the transfer authorities, except for
any authority whereby a department, agency, or instrumentality of the United States Government may provide goods orservices 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 replaceor modify existing notification requirements for each authority.]
SEC. [503] 502. None of the funds made available by this Act may be used in contravention of Executive Order No. 12898
of February 11, 1994 (Federal Action to Address Environmental Justice in Minority Populations and Low-Income Populations).
(Energy and Water Development and Related Agencies Appropriations Act, 2016.)

Title V – General Provisions

437

FY 2017 Congressional Budget Justification