Enclosure 1

The Office of Science Performance Evaluation and Measurement Plan (PEMP) process 

implements a numeric scoring system (4.3-0.0), with corresponding letter grades (A+ to 

F) for each performance measure Goal and Objective. A score/grade of “B+” is awarded 

for performance results that fully meet the “expected” performance level for an 

objective. Therefore, scores/grades above a “B+” indicate a degree of performance that 

exceeds expectations. An overall grade for each of the Goals is determined based on 

the weighted sum of the scores associated with its individual Objectives. The table 

below indicates the scale utilized for assigning scores and letter grades:

A brief summary of PPPL Performance on each Goal and Objective in FY 2009 follows. 

In Goals and Objectives where scoring differed between the two grading periods, the 

grades for the reporting period ending March 31, 2009 are included in parenthesis. If no 

grades are provided in parenthesis, the performance for both grading periods is 

indicated by the grade given.

1.0 Provide for Efficient and Effective Mission Accomplishment

Grade: AIn FY 2009, PPPL produced high quality research results that advanced fusion plasma 

science and technology, and provided considerable leadership to the fusion community. 

The research performed by PPPL scientists resulted in a large number of publications in 

leading peer-reviewed journals, and in presentations in international conferences and 

workshops. Peer reviews of PPPL programs were very positive. PPPL fully met its 

goals and milestones and was very positive in HQ guidance. Overall, PPPL exceeded 

expectations in this area.

• The NSTX team had a very successful year in FY 2009, achieving significant 

results in Spherical Torus (ST) physics, ITER related research, and other key 

areas of magnetic fusion science.

• The PPPL ITER and Tokamak Department has been very productive in ITER 

support activities and in its collaboration with major tokamak programs in the 

U.S. and abroad.

• A PPPL-led multi-institutional and multidisciplinary team was competitively 

selected to carry out a two-year planning study for the Fusion Simulation 

Program (FSP).

Final

Grade A+ A A- B+ B B- C+ C C- D F

Total 

Score

4.3-

4.1

4.0-

3.8

3.7-

3.5

3.4-

3.1

3.0-

2.8

2.7-

2.5

2.4-

2.1

2.0-

1.8

1.7-

1.1

1.0-

0.8

0.7-

0.0
• PPPL scientists received a number of major awards. Two PPPL scientists were 

honored with the Presidential Early Career Award for Scientists and Engineers 

(PECASE). A senior scientist received the American Physical Society’s Maxwell 

Prize. A recent Ph.D. student received the APS Rosenbluth Thesis Award.

The PPPL M&O contract changed on April 1, 2009. The transition was very smooth and 

the ratings under this Goal apply equally to the prior contract and the new contract. 

1.1 Science & Technology Results Provide Meaningful Impact on the 

Field

Grade: A-

 The NSTX team had a very successful year in FY 2009, completing all 

scientific milestones on schedule, including the FY 2009 joint research target: 

“Conduct experiments on major fusion facilities to develop understanding of 

particle control and hydrogenic fuel retention in tokamaks. In FY09, FES will 

identify the fundamental processes governing particle balance by 

systematically investigating a combination of divertor geometries, particle 

exhaust capabilities, and wall materials. Alcator C-mod operates with high-Z 

metal walls, NSTX is pursuing the use of lithium surfaces in the divertor, and 

DIII-D continues operating with all graphite walls. Edge diagnostics measuring 

the heat and particle flux to walls and divertor surfaces, coupled with plasma 

profile data and material surface analysis, will provide input for validating 

simulation codes. The results achieved will be used to improve extrapolations 

to planned ITER operation.” In these experiments, the NSTX team made gas 

balance measurements and found prompt retention of greater that 90% of 

hydrogen isotopes. The retention decreased slowly due to post shot outgassing.

 The NSTX team achieved significant results in many other key areas of 

magnetic fusion science, such as macroscopic stability, energetic particleplasma interaction, high performance plasmas with a significant fraction noninductive Current drive, and controlling Edge Localized Modes (ELMs). In the 

area of macroscopic stability, the NSTX team carried out research on the 

Resistive Wall Mode (RWM) and showed that kinetic effects are important for 

determining the plasma rotation required to stabilize the RWM. Based on 

theoretical calculations it was expected that fast-ion content from neutral 

beam injection (NBI) could strongly modify RWM stability in NSTX and, in 

particular, that fast-ions are stabilizing for the RWM. Experiments with 

reduced fast-ion content demonstrated that a higher plasma rotation 

frequency is required to achieve RWM marginal stability for the plasma with 

lower fast ion content – consistent with the theoretical predictions.
1.2 Provide Quality Leadership in Science & Technology

Grade: A-

• NSTX is the most powerful spherical torus facility in the world and it is unique 

on several ways. Because of its large mid-plane ports, NSTX provides unique 

direct tangential access for a wide range of diagnostics. It is also the only 

large spherical torus in the world capable of studying coaxial helicity injection 

and the only spherical torus in the world studying lithium as a plasma facing 

material.

• In FY2009, the NSTX team implemented several upgrades to keep the facility 

at the forefront of ST research. These upgrades included the dual lithium 

dropper system, edge sample probe, three-view divertor bolometer system, 

and improvements to the High-Harmonic Fast Wave (HHFW) antenna system 

to increase its power handling capability.

• Since it is a world-leading spherical torus research facility, NSTX attracts a 

large number of national and international researchers and students 

(approximately 250) from more than 50 institutions to collaborate in the 

research program. Nationally, the team members are from 28 universities, 

national laboratories, and industries. Internationally, there are collaborating 

researchers from 28 institutions in Japan, Korea, England, France, Germany, 

Israel, the Czech Republic, Canada, Ukraine, and Russia.

• The NSTX team has undertaken a number of high-risk/high payoff/long-term 

research problems, including the plasma start-up with coaxial helicity 

injection, the study of instabilities driven by super-Alfvenic fast ions, an 

investigation of high-k turbulence and its effects on electron transport, and 

lithium wall conditioning. The NSTX team is also actively involved in 21 joint 

ITPA experiments in support of ITER and contributes to 12 others. The NSTX 

team has made significant progress on these and other topics during the past 

year and several team members are recognized leaders in the scientific 

community.

1.3 Provide and Sustain Science & Technology Outputs that Advance 

Program Objective/Goals

Grade: A-

• The PPPL theory program met all expectations in this area. The PPPL theory 

effort clearly provided sustained output as evidenced by the large numbers of

papers and technical presentations they produced. They also maintain a 

strong record in achieving their milestones.
• The PPPL efforts on C-Mod resulted in a number of interesting publications 

usually in collaboration with MIT. PPPL researchers have come a long way in 

improving their usefulness to the C-Mod program by providing support in 

improving the quality of experiments on the facility. In addition they became

actively involved in writing mini-proposals for particular C-Mod experiments 

and leading some experiments.

1.4 Provide for Effective Delivery of Science & Technology

Grade: A-

 Overall, PPPL has delivered on its promises. Publications and presentations 

at scientific meetings by the NSTX team have been very good. In addition, 

NSTX team members have played a major role in the research needs 

workshops organized by OFES and in ITPA meetings organized under the 

auspices of ITER. The NSTX team met all of its research milestones on or 

ahead of schedule, including the Joule milestones for the large facilities. The 

NSTX team communicated these results to the scientific community in a 

timely basis via publications in referred journals, invited talks and reports.

 The PPPL theory program met all expectations in this area. They met all of 

their milestones. They also made a large number of presentations at technical 

meetings. They also were given the job of developing a plan for a fully funded 

theory program, and they delivered a very useful plan in a short period of 

time.

2.0 Provide for Efficient and Effective Design, Fabrication, Construction and 

Operations of Research Facilities

Grade: AIn FY 2009, PPPL was very effective and efficient in the safe and reliable operation of 

NSTX, its flagship facility, and its efforts on the U.S. ITER project continue to exceed 

expectations.

As a partner laboratory responsible for portions of U.S. ITER Project scope 

(Diagnostics, Steady-State Electrical Power Systems, and In-Vessel coil design), PPPL 

has done an outstanding job in meeting project objectives, and its support of design 

reviews and development of operating scenarios for the machine.

The NCSX Project Team successfully completed closeout activities under cost and 

ahead of schedule.

The NSTX Major Item of Equipment (MIE) Upgrade Project was initiated in FY 2009 and 

is progressing well.
The PPPL M&O contract changed on April 1, 2009. The transition was very smooth and 

the ratings under this Goal apply equally to the prior contract and the new contract. 

2.1 Provide Effective Facility Design(s) as required to Support Laboratory 

Programs (i.e. activities leading up to CD-2)

Grade: A

• The impact of PPPL’s research team on the ITER design has been deep. 

Detailed analysis of operating scenarios for ITER was carried out with an 

international team under the leadership of Charles Kessel. Through the 

most thorough study of the impact of magnet design choices on plasma 

operating space performed to date, C. Kessel identified that the starting 

point design yielded a highly restricted operating space that would have 

limited ITER’s ability to carry out its advanced tokamak mission. Through 

an analysis effort marked by creativity, care, and thoroughness, C. 

Kessel’s work pointed out the urgency of magnet design changes that 

dramatically opened up the ITER operating space, thus substantially 

improving the chances for ITER’s technical success.

• Following the termination of the NCSX project, PPPL proposed two major 

NSTX upgrades to support both ITER and further exploration of the 

spherical torus concept. The upgrades include a replacement of the 

center stack to double the toroidal field and plasma current capability of 

the facility and the addition of a second neutral beamline to increase the 

heating and current drive capability of the facility. The NSTX MIE 

Upgrade project successfully received Critical Decision 0 (CD-0) “Mission 

Need Justification” approval by the Office of Science in February 2009. 

Subsequently, eighteen new engineers and designers have been added 

to the NSTX Upgrade Project staff, and a functioning project organization 

has been put in place to begin conceptual design. These activities have 

proceeded very well in 2009, and PPPL completed a Conceptual Design 

Review on October 28, 29. An Office of Science review is scheduled for 

December 2009 and will provide the basis for CD-1.

2.2 Provide for the Effective and Efficient Construction of Facilities and/or 

Fabrication of Components (execution phase, Post CD-2 to CD-4)

Grade: B+

• The NCSX Project Team successfully completed all close-out activities under 

cost and ahead of schedule. These activities included the successful 

completion of assembly trials of high risk component subassemblies, and the 

completion of modular and toroidal field coil sets and vacuum vessel sectors. 

All components and hardware have been successfully cataloged and safely 

stored. All design and manufacturing data has been carefully archived.
2.3 Provide Effective and Efficient Operation of Facilities

Grade: A

• The NSTX team operated the NSTX facility safely and reliably during the 

past fiscal year, achieving 11 (base) and 5.8 (ARRA) weeks of operation 

versus the milestone of 11 (base) and 5 (ARRA) weeks. During the 2009 

campaign, 2748 plasma pulses, the most ever for a single NSTX year of 

operations, were produced. The average rate of 163 plasma pulses per run 

week in FY 2009 represents almost a 30% improvement since 2006. This 

increase in plasma pulses per run week is the result of pioneering research 

on lithium wall coatings. The NSTX team has installed two lithium 

evaporators that deposit a coating of lithium on the carbon tiles in the 

vacuum vessel. These lithium coatings help control the edge density and 

have eliminated the need to apply boron coatings to the tiles between shots. 

The lithium coatings have also improved plasma performance, making it 

possible to sustain high pressure plasmas for the one second duration, the 

maximum capability of the magnets.

• In addition, the NSTX team successfully met all facility and diagnostic 

milestones on or ahead of schedule.

2.4 Utilization of Facility to Grow and Support Lab’s Research Base & 

External User Community

Grade: A-

• The NSTX team is carrying out world leading research on the spherical 

tokamak concept. In addition, the NSTX results contribute significantly to 

issues related to the design and construction of ITER. As an example, in FY 

2009 they investigated the critical issues of hydrogenic retention in first wall 

materials and ELM pacing through the use of n=3 magnetic perturbations. 

The NSTX research team, made up of equal numbers of PPPL and 

collaborating researchers, functions as an integrated team to plan and 

execute experiments on the NSTX device. The NSTX research leadership 

also consists of about equal numbers of PPPL and collaborating researchers. 

• PPPL provides suggestions for new research topics on NSTX for DOE’s 

annual solicitation, which provides an opportunity for new researchers to join 

the NSTX research team.

 
3.0 Provide Effective and Efficient Science & Technology Program Management

Grade: AIn FY 2009, PPPL managed its scientific program effectively and efficiently, articulating 

a strong vision for the fusion program and improving research productivity.

• The management of the PPPL Theory Department exceeded expectations.

• PPPL did a very good job in the management of the diagnostic development 

program and in making the XCS (X-ray Chrystal Spectrometer) system available 

to several machines both within and outside of the U.S.

• PPPL strongly contributed to the OFES strategic planning efforts through the 

participation of key PPPL scientists in the Research Needs Workshop (ReNeW) 

for the magnetic fusion energy program.

The PPPL M&O contract changed on April 1, 2009. The transition was very smooth and 

the ratings under this Goal apply equally to the prior contract and the new contract. 

3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities & 

Program Vision

Grade: A-

• The annual NSTX research forum provides an open competitive process for 

researchers from the fusion community, including international participants, to 

propose experiments to be carried out in NSTX. In addition, the NSTX team 

members are active in the International Tokamak Physics Activity (ITPA), which 

plans experiments to be carried out on the world’s major fusion facilities and 

analyzes results to provide input to the ITER physics basis. The NSTX team is 

contributing to the scientific basis for potential next-step options to complement 

the capabilities of ITER and prepare for a demonstration power plant. PPPL 

management initiated the NSTX Upgrades Project to enhance the performance 

of the NSTX facility to maintain its capability to carry out world-leading ST 

research.

• The PPPL theory program provided strong programmatic leadership in critical 

areas of fusion theory and modeling—including plasma turbulence and transport, 

macroscopic stability, and the physics of energetic particles—and maintained 

strong core competencies in these areas. Because of their leadership they will 

have a strong stewardship role in energetic particles, transport, and MHD.
• The FSP planning team has articulated a strong scientific vision for the FSP and 

has been able to attract highly qualified scientists to carry out the two year 

planning study.

3.2 Provide Effective and Efficient Science & Technology Project/Program 

Planning and Management

Grade: A-

• The NSTX Research Forum was held in December 2008. In these sessions, 

members of the NSTX research team presented ideas for experiments which 

were then discussed and prioritized. A total of over 122 proposals for 

experiments, requesting over 123 days of runtime, were presented and 

evaluated. From these, a subset of highest priority experiments was selected 

by the Experimental Topic (ET) Groups and reported by the ET Group leaders 

to a final plenary session of the forum. The NSTX Run Coordinator for FY 

2009, Dr. Roger Raman, (an NSTX researcher from the University of 

Washington) then presented the plan for preparing and reviewing the detailed 

NSTX Experimental Proposals and allocating run time. This plan was 

reviewed by the NSTX Program Advisory Committee, a committee made up 

primarily of outside scientists. Technical risk is minimized using the following 

approaches:

• NSTX operations are controlled using defined procedures and policies by 

trained operators.

• Machine safety is established using an Integrated Safety Test Procedure 

to make sure all necessary systems are functional and operating 

correctly.

• NSTX systems are designed with safety interlocks to prevent inadvertent 

operation that could damage the experiment.

• Necessary spares are maintained in the event of a failure since this is a 

one-of-a-kind device. 

3.3 Provide Efficient and Effective Communications and Responsiveness to 

Customer Needs

Grade: A-

• The NSTX team provides weekly reports to OFES, and immediate reports of any 

significant events. The NSTX management participates in quarterly status 

reviews with OFES program managers and provides reports on the quarterly 

targets. These communication channels are well-defined and the NSTX team has 

communicated in a timely manner throughout the year.
• The PPPL Theory program exceeded expectations in this area. The PPPL 

Theory leadership provided prompt and well thought out responses to OFES 

needs. Their work was of high quality and was precisely what was needed by 

OFES. Of particular importance was the rapid and effective response to the 

OFES request for a plan for a fully funded theory program.

4.0 Provide Sound and Competent Leadership and Stewardship of the 

Laboratory

 Grade: B+

PPPL met expectations in this area. Significant changes were made to the Management 

structure of the Laboratory with the implementation of the new prime contract. We 

anticipate many positive outcomes as these new processes mature in future 

performance periods.

4.1 Provide a Distinctive Vision for the Laboratory and an Effective Plan for 

Accomplishment of the Vision to Include Strong Partnerships required 

to carry out those plans

 Grade: B+

• PPPL has developed a significant collaborative program with worldwide 

breadth and participation. These collaborations create tremendous 

leverage in both knowledge and resources within the fusion community.

4.2 Provide for Responsive and Accountable Leadership throughout the 

Organization

 Grade: B+

• PPPL is heavily engaged in the ITER project and the US Burning Plasma 

Organization. PPPL is lead organization for specific scope assignments, 

and work is proceeding as scheduled in support of the USIPO.

4.3 Provide Efficient and Effective Corporate Office Support as appropriate

 Grade: B+

• The University’s Dean for Research is heavily involved in PPPL activities, 

oversight, and management. The PPPL Management Group Board of 

Directors meets regularly and addresses issues critical to success.
5.0 Sustain Excellence and Enhance Effectiveness of Integrated Safety, 

Health and Environmental Protection

 

Grade: B+ (B)

PPPL did not meet all expectations in this area in the first performance period. 

Performance improved in the second performance period. PPPL did exceed some 

expectations in this area. Grades in parenthesis are for the first reporting period.

5.1Provide a Work Environment that Protects Workers and the 

Environment

Grade: B+ (B-)

• PPPL did not meet the quantitative objectives for TRC or DART rate in the 

first reporting period.

5.2Provide Efficient and Effective Implementation of Integrated Safety, 

Health, and Environmental Management

Grade: B+ (B)

• PPPL did not meet the quantitative objectives for completing all safety 

related training on schedule in the first reporting period.

• PPPL did not meet the quantitative objective to complete all ORPS and 

NTS corrective action reports as scheduled in the first reporting period.

5.3Provide Efficient and Effective Waste Management, Minimization, and 

Pollution Prevention

 Grade: A-

• PPPL completed a third party audit of the Environmental Management 

System in support of future ISO 14001 registration. The Lyman Spitzer 

building was awarded the Energy Star award, recognizing the positive 

systems in place at the laboratory to minimize the facilities negative impacts 

on the environment.

6.0 Deliver Efficient, Effective and Responsive Business Systems and 

Resources that Enable the Successful Achievement of Laboratory Mission(s)

PPPL met/exceeded all expectations in this area.

Grade: A6.1 Provide an Efficient, Effective and Responsive Financial 

Management System(s)

Grade: A-
• Ongoing reviews/audits have demonstrated that the laboratory financial 

management systems internal controls are effective and being utilized. 

Changes are made to strengthen internal financial internal controls based on 

internal reviews, internal reviews and audits.

6.2Provide an Efficient, Effective and Responsive Acquisition Management 

System(s)

Grade: A-

• PPPL’s procurement division performance on the Balanced Score Card for 

the entire fiscal year was 93.4%, consistent with FY08s exceptional 

performance in this area.

6.3Provide an Efficient, Effective and Responsive Property Management

System

Grade: A

• PPPL Property Management met or exceeded all Balanced Score Card 

(BSC) measures in FY 2009. 

6.4Provide an Efficient, Effective and Responsive Human Resources 

Management System and Diversity Program

Grade: B+

• Laboratory management reviewed long and short term staffing needs and 

identified competencies in a comprehensive workforce plan. Results of this 

effort culminated in identification of successors for planned retirements as 

well as establishing a more vigorous post-doc/junior researcher program.

6.5Provide Efficient, Effective, and Responsive Management 

Systems for Internal Audit and Oversight; Quality; Information 

Management; Provide an Effective Communications and Public 

Affairs Program and Other Administrative Support Services as

Appropriate

Grade: A- (B+)

• A new head of internal audit was hired during this period with University 

placing greater reliance on subcontract staff performing audits at PPPL. As 

the year progressed the changes have contributed to better communications 

between PPPL, University Internal staff and DOE.

6.6Demonstrate Effective Transfer of Technology and 

Commercialization of Intellectual Assets

Grade: B+

• Royalty income is collected and accounted for by the University in 

accordance with University Patent Policy. Periodic internal audits are 
conducted to assure these distributions are made in accordance with that 

policy.

7.0Sustain Excellence in Operating, Maintaining, and Renewing the 

 Facility and Infrastructure Portfolio to Meet Laboratory Needs

Grade: APPPL exceeded all expectations in this area.

7.1Manage Facilities and Infrastructure in an Efficient and Effective

Manner that Optimizes Usage, Minimizes Life Cycle Costs, and Ensures 

Site Capability to Meet Mission Needs

Grade: A-

• The Laboratory continues to show the appropriate level of attention to the 

maintenance of conventional facility as demonstrated by their achievement of 

a MII of 2.0. This level of funding allows the Facilities and Infrastructure 

directorate to continue to drive down the Site’s deferred maintenance (DM) 

backlog.

• An aggressive recapitalization process was maintained during the reporting 

period. The major projects undertaken in this reporting period were 

replacement of the water line leaving the Canal pump house, upgrades to the 

electrical services at the Canal pump house as well as design of the steam 

line to D-site replacement and the design of the Engineering wing roof 

replacement.

7.2 Provide Planning for and Acquire the Facilities and Infrastructure 

Required to Support the Continuation and Growth of Laboratory 

Missions and Programs

Grade: A-

• PPPL continues to look at the processes employed by the Facilities and 

Infrastructure directorate as they relate to the “cost of doing business” at the 

Laboratory. A new PPPL Policy was issued to incorporate GPP Ranking, 

OPEX Ranking, Building assessments, Walkthroughs, etc. that are used to

minimize increases in the cost of facility operations and ensure mission 

capability.

• The Laboratory submitted their initial Executable Plan as required by DOE O 

430.2B in December 2008. This plan addresses the key strategic areas of 

Energy Efficiency, Renewable Energy, Water usage, Transportation/Fleet 

Management, and High Performance/Sustainable Buildings. The plan 

continues to show PPPL performance meeting or exceed the goals set forth 

in O 430.2B.
8.0Sustain and Enhance the Effectiveness of Integrated Safeguards and

 Security Management (ISSM) and Emergency Management Systems

 

Grade: B+

PPPL met/exceeded all expectations in this area.

8.1Provide an Efficient and Effective Emergency Management System

Grade: B+

• The Laboratory’s Emergency Management System met all expectations.

8.2Provide an Efficient and Effective System for Cyber-Security

Grade: A- (B+)

• 100 of all Cyber Security staff and system administrators have received 

professional training within the past two years.

• Currently 100% of all employees have received cyber security awareness 

training in the past year.

8.3Provide an Efficient and Effective System for the Protection of 

Special Nuclear Materials, Classified Matter, and Property

Grade: B+

• An enhanced Site Security Plan was implemented in December 2008 to meet 

the new DOE DBT requirements. Both documents were approved by DOE.

8.4Provide an Efficient and Effective System for the Protection of

Sensitive Information

Grade: B+

• The Head of Site Protection has identified contacts that have been followed 

up by the appropriate authorities in FY09. Effective communication and 

liaison has been established with DOE, BFO/BNL and now the NRCO which 

has established an office at PPPL. This new office has allowed better 

communication and information sharing regarding suspected contacts.