9/30/2016 - Stanford University FY16 PE… · establish the usefulness of ultrafast electron diffraction using MeV electron energies for dynamic momentum‐resolved phonon studies

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9/30/2016

F Y 1 6 S L A C Y E A R - E N D P E R F O R M A N C E S E L F - E V A L U A T I O N

Page 2 OF 46 FINAL September 30, 2016

Goal1: ProvideforEfficientandEffectiveMissionAccomplishment

Science Program Office Letter Grade

Numerical Score

WeightϮ Weighted Score

Overall Score

Office of Basic Energy Sciences

1.1 Impact A 3.8 0.50 1.9

1.2 Leadership A‐ 3.7 0.50 1.9

Overall BES Total 3.8/A

Office of Biological and Environmental Research

1.1 Impact B+ 3.3 0.60 2.0

1.2 Leadership B+ 3.3 0.40 1.4

Overall BER Total 3.3/B+

Office of Fusion Energy Sciences

1.1 Impact A 3.8 0.50 1.9

1.2 Leadership A 3.8 0.50 1.9

Overall FES Total 3.8/A

Office of High Energy Physics

1.1 Impact A‐ 3.6 0.50 1.9

1.2 Leadership A‐ 3.5 0.50 1.8

Overall HEP Total 3.6/A‐

Office of Workforce Development for Teachers and Scientists

1.1 Impact B+ 3.2 0.80 2.6

1.2 Leadership B+ 3.2 0.20 1.6

Overall WDTS Total 3.2/B+

National Institutes of Health

1.1 Impact A‐ 3.7 0.50 1.9

1.2 Leadership A 3.8 0.50 1.9

Overall NIH Total 3.8/A

Science Program Office

Letter Grade

Numerical Score

Estimated Weight^

Weighted Score

Overall Weighted Score

BES A 3.8 0.336 1.28

BER B+ 3.3 0.031 0.1

FES A 3.8 0.036 0.14

HEP A‐ 3.6 0.592 2.13

WDTS B+ 3.2 0.001 0.0032

NIH A 3.8 0.004 0.02

Performance Goal 1.0 Total 3.7/A‐

^No preliminary weightings were provided in the DOE FY16 PEMP. The weightings are based on FY16 funding percentages.

MA J O R A C C OM P L I S HM E N T S

BASIC ENERGY SCIENCES (BES)

LCLS has continued to produce a significant array of high profile results. Recently published examples include:

o The first five years of LCLS: a comprehensive article was published in Review of Modern Physics covering key highlights of the initial period of LCLS experiments. The article included a description of the facility, along with examples in five primary scientific areas: atomic, molecular, and optical physics; condensed matter physics; matter in extreme conditions; chemistry and soft matter; and biology [Bostedt et al., 10.1103/RevModPhys.88.015007 (2016)].

o Material Science

LCLS experiments revealed the structure of the long‐sought, field‐induced charge density wave (CDW) phase in a high‐Tc cuprate via x‐ray scattering within a high magnetic field (28 Tesla). The results unveiled an unexpected aspect of the


September 30, 2016 FINAL Page 3 of 46

rich CDW phenomenology in cuprates, providing new information toward understanding High‐Tc superconductivity [Gerber et al., Science 350 (6263), 949 (2015)].

The melting of bismuth in response to shock compression has been quantitatively studied for the first time using femtosecond x‐ray diffraction at LCLS. Both solid‐solid and solid‐liquid phase transitions were observed. The emergence of a broad, liquid scattering peak upon release from shock pressures up to 14 GPa reveals that the sample melts in less than 3 ns, significantly faster than previously believed. These results provide an upper limit for the time scale of melting of bismuth under shock loading. [Gorman et al, PRL 115, 095701 (2015)]

Recent LCLS experiments have demonstrated how ultrafast x‐ray scattering can be utilized to monitor and guide the control of non‐equilibrium lattice dynamics (e.g., incipient ferroelectricity [Jiang et al, Nat. Commun., 7, 12291 (2016)].

o Imaging: A major advance in x‐ray crystallography was published that can lead to much higher resolution images of important biomolecules for clean energy and medical applications. This study demonstrated that the continuous diffraction of imperfect crystals can be used to obtain higher resolution molecular images than was possible with Bragg peaks alone. The method was applied to crystals of photosystem‐II and represents an approach in which (a) no prior structural knowledge is required and (b) that is applicable to the large number of systems that cannot easily be grown into macroscopic crystals [Ayyer et al., Nature, 10.1038/nature16949 (2016)].

o High‐field atomic science: investigations into the interaction between light and matter at the highest intensities led to unexpected results that challenge our understanding of this fundamental process. Observation of concerted two x‐ray photon Compton scattering shows unexpected sensitivity to bound electrons and a new nonlinear x‐ray interaction. This approach could be used to provide a new measurement technique which combines atomic‐scale structure and dynamics with chemical specificity [Fuchs et al., Nature Physics 10.1038/nphys3452 (2015)]

o Life science: observations have been obtained showing how synapses in the brain generate neurotransmitter signals, revealing the mechanism for calcium‐triggered synaptic vesicle fusion, a topic of relevance to the study of a wide range of neurological disorders [Zhou et al., Nature 525, 62‐67 (2015)]

o Structural dynamics: LCLS was used to produce the first‐ever movie of ultrafast functional motions in a biological molecule. The response of micrometer‐sized crystals of the protein myoglobin were observed on timescales of a few hundred femtoseconds when an attached carbon monoxide molecule was cleaved [Barends et al., Science Express 10.1126/science.aac5492 (2015)]. In other studies, LCLS was used to image a diminutive nanomachine, less than 10 nanometers tall, as it brings two disparate substrates together at a cell membrane interface to catalyse a complex reaction involving substrates with widely contrasting solubilities [Stansfeld et al., Nature Communications. 6:10140 (2015)].

New collaborations with other DOE national laboratories have been initiated in the areas of data science, advanced optics, and detector development, with a focus on making step changes in our ability to exploit facilities such as LCLS‐II. These collaborations range from hackathons, involving individual researchers, to multi‐year R&D projects for next‐generation technologies.

SSRL has enabled significant recent advances in material science, catalysis, and structural biology, such as:

o Time‐resolved imaging of spin wave dynamics with 50 ps temporal resolution and 35 nm spatial resolution, observing a spin wave with a p‐like symmetry not predicted by existing theories. These results broaden our understanding of spin‐wave dynamics at the nanoscale, with implications for the design of magnetic nanodevices (Bonetti, et al., Nature Comm. 6, 8889 (2015)).

o A supported organometallic nickel complex with a precisely known crystal structure consisting of a Ni6(PET)12 (PET = phenylethyl thiol) complex was shown to outperform bulk NiO and Pt catalysts and showed an oxygen evolution reaction comparable to Ir. This study highlighted the importance of experimentalists and theorists studying nearly identical systems, and provided information on atomically precise nanocatalysts (Kauffman et al., ACS Catal. 6, 1225 (2016)).

o In‐situ and operando XAS was utilized to characterize unique surface structures present in a plasma‐activated copper catalyst exhibiting outstanding selectivity for carbon dioxide conversion to ethylene (Mistry et al., Nature Comm. 7, 12123 (2016)).

o Several macromolecular crystallography studies have determined the structures of channel proteins which regulate ion and molecule transport across cell walls, thereby controlling how pathogens related to severe diseases such as Ebola and HIV can infect host cells. Understanding these structures could help scientists design molecules to block the pathogens and thus lead to the development of effective antiviral therapies (Kintzer et al., Nature 531, 258 (2016)).

o A combined approach using operando x‐ray absorption spectroscopy (XAS), x‐ray diffraction (XRD), and electrochemical impedance spectroscopy (EIS) revealed that an ultrathin Al2O3 coating on a Li‐ion battery cathode protects the surface chemistry at both very high and very low voltages. This leads to an understanding of cathode protection mechanisms, thereby assisting in the development of long lasting Li‐ion cathode materials (Wise et al., Chem. Mater. 27, 6146 (2015)).



o A correlative approach combining three‐dimensional x‐ray imaging techniques at different length scales has been developed in order to understand how catalyst particles used to refine crude oil are poisoned, thus losing efficiency and requiring replacement. This approach combines x‐ray nano‐tomography with x‐ray microfluorescence on a fluid catalytic cracking catalyst particle to show a gradually increasing blockage of the pore channels, as the catalyst ages and decreases its cracking efficiency (Liu et al., Nature Comm., 7:12634 doi: 10.1038/ncomms12634 (2016)).

o X‐ray absorption spectroscopy measurements coupled with sediment incubations and controlled field experiments have demonstrated the presence of a previously unknown thermodynamic restriction to microbial arsenic reduction. These findings fundamentally modify previous views of the reactivity of both organic carbon and arsenic in contaminated deltaic south Asian aquifers and therefore have profound implications for the bioavailability of this toxicant to more than 100 million people (Stuckey et al., Nature Geosci. 9, 70 (2016))

o Support for NSLS users in the NSLS‐to‐NSLS‐II transition continued through FY 2016 for x‐ray absorption spectroscopy (XAS) on BL2‐2 and is scheduled to end in Quarter 2 of FY 2017. The Synchrotron Catalysis Consortium will continue at SSRL for at least an additional year. The beamline performance was enhanced by the fabrication, installation, and commissioning of a new monochromator that will ultimately allow for rapid scanning XAS measurements for in‐situ catalysis.

UED@ASTA Beamline: Since October 1, 2015, SLAC has delivered more than 1,000 hours of beam time for ultrafast material science and gas‐phase chemical dynamics experiments.

o Material science – ultrafast phonon measurements with MeV Electrons: ultrafast electron diffraction was used to detect the temporal evolution of non‐equilibrium phonons in femtosecond laser‐excited ultrathin single‐crystalline gold films to establish the usefulness of ultrafast electron diffraction using MeV electron energies for dynamic momentum‐resolved phonon studies (Appl. Phys. Lett. 108, 041909 (2016)).

o Gas phase chemical dynamics and atomic physics ‐ diffractive imaging of a molecular rotational wavepacket with femtosecond MeV electron pulses: electron diffraction experiments using MeV electrons captured the rotational wavepacket dynamics of nonadiabatically laser‐aligned nitrogen molecules. The combination of achieved temporal (100 fs rms) and spatial resolution (0.76 Å) made it possible to resolve the position of the nuclei within the molecule. (Accepted for publication in Nature Communications (2016)).

o Energy and material science ‐ ultrafast electron‐lattice interactions in hybrid perovskite thin films: MeV femtosecond electron scattering was used for the first time to probe the primary events following absorption of light — and, in particular, the coupling of these carriers to the lattice. Hot carriers were shown to exhibit only weak coupling to the atoms, exhibiting long carrier lifetimes on tens of picosecond timescales.

o Nano‐scale material science – ultrafast spin‐lattice coupling in laser‐excited FePt nanoparticles: we used LCLS ultrafast x‐ray and electron diffraction to disentangle spin‐lattice coupling of granular FePt in the time domain. These results suggest a novel approach to laser‐assisted magnetic switching in future data storage applications.

Material science, ultrafast chemical science, and interface science and catalysis research efforts have all achieved significant research advances, including:

o SIMES

Become partners and co‐directors of the newly funded Battery500 consortium dedicated to increase the power density of lithium batteries (https://www6.slac.stanford.edu/news/2016‐07‐29‐stanford‐slac‐play‐key‐role‐new‐doe‐battery‐consortium.aspx).

Founded a new Theory Institute for Materials and Energy Spectroscopies (TIMES), whose goal is to develop state‐of‐the‐art numerical simulations and software for advanced spectroscopies, such as those to be pioneered at LCLS‐II.

Since September 2015, SIMES researchers have published more than 80 publications, many of them in high‐profile journals. (Highlights can be found at http://simes.stanford.edu/news/).

Mapped high‐temp superconductivity in 3D for the first time using pulsed magnetic fields at LCLS (Gerber et al, Science 350, 949 (2015).

Developed a new plastic wearable material that cools the skin (http://news.stanford.edu/2016/09/01/plastic-clothing-material-cools-skin/).

Discovered that a single layer of tiny diamonds increases electron emission 13,000‐fold (http://www.nature.com/nnano/journal/v11/n3/full/nnano.2015.277.html#auth‐1).

Found ubiquitous signatures of nematic quantum criticality in optimally doped Fe‐based superconductors (http://science.sciencemag.org/content/352/6288/958).

Shown via a new synthesis method that cathodes based on magnesium oxide, cerium oxide, and lanthanum oxide show enhanced cycling performance for battery materials (http://www.nature.com/articles/ncomms11203).



o PULSE

Research highlights for ultrafast chemical science during the performance period include a new Nature paper on condensed‐phase rare gases, a major advance in our understanding of the subject. We also had two different important results on molecular movies. Of these, one was the first UED experiment that captures molecular wave packets and the second was the discovery that excited molecules form Schroedinger Cat states that diffract x‐rays in ways that facilitate high‐fidelity imaging. Both of these molecular movie results are published in Physical Review Letters.

o SUNCAT

Research highlights for the catalysis program during the performance period include new insight into factors determining the catalytic activity of metal surfaces; a new understanding of scaling relations between transition‐state energies and adsorption energies; the formulation of a new paradigm for catalyst design; a new water oxidation catalyst for electrochemical fuel production; and new phosphide catalysts for the hydrogen evolution process.

FEL accelerator R&D

o The XLEAP proposal to generate sub‐femtosecond x‐ray pulses was submitted and funded by BES.

o Advanced beam delivery conditions have been developed for many LCLS experiments, including dual‐color, dual‐energy beams and polarized x‐ray beams with a degree of circular polarization of up to 99% and operation at 12.7 keV.

o A large‐scale “dechirper” device was developed to control the x‐ray FEL pulse bandwidth more precisely. This provides a path to reduced pulselength and user‐defined x‐ray pulse tailoring.

o The Echo‐75 program demonstrated bunching at the 75th harmonic of the 2.4 micron seed laser using the echo‐enabled harmonic generation technique (Hemsing, et al., Nature Photonics 10, 512 (2016)).

Detector R&D

o Established a collaboration between NIST, SLAC, and ANL to develop a superconducting spectrometer. Superconducting x‐ray detectors can greatly improve x‐ray spectroscopy at DOE light sources by providing high spectral resolution along with high photon collection efficiency (more than two orders of magnitude higher than grating spectrometers currently in use) and simultaneous measurement of the full spectrum in each pixel. The United States leads the world in the development of superconducting x‐ray spectrometers. The superconducting spectrometer technology developed in this work will be for the x‐ray beamlines with energy resolution of better than 1 eV and with frame‐rates compatible with LCLS‐II.

o Built and deployed a very successful high‐efficiency x‐ray spectroscopy system using transition‐edge sensors (TES) at BL 10‐1 at SSRL under an internal LDRD program ending this year. TES spectrometers provide improvements in spectral resolution, efficiency, and broadband coverage. The TES spectrometer at SSRL BL 10‐1 has already resulted in XES of dilute N in nano‐diamond, XES of Photosystem‐II, resonant inelastic x‐ray scattering of Ferricyanate and of hemoglobin. This new capability will help elucidate the mysterious electronic structure of the Fe‐O2 bond in oxyhemoglobin.

o Devised a new strategy for arriving at high‐rate detectors for use in LCLS‐II x‐ray experiments. The cameras are based on the ePix ASIC architecture used for LCLS‐I (120 Hz) but modified to run at multi‐kHz rates, with detailed plans to be able to run at 5‐to‐20kHz at first light, with a strategy to reach even higher rates in future years. This will enable running experiments at rates compatible to the LCLS‐II accelerator rate profile over time.

o Manufactured and delivered ten more 140‐kpixel and two more quad CSPAD cameras. At this point, the SLAC Advanced Instrumentation for Research Division (AIR) has provided four large 1‐Mpixel detectors, seventeen 140‐kpixel side‐entrance window cameras, three front‐entrance window cameras, and three 540‐kpixel quad cameras. About 90% of all the LCLS science experiments rely on and the use of these cameras.

o Designed a new camera, based on the ePix100 ASIC. AIR manufactured and delivered several ePix100 detectors to LCLS operations with over three million pixels. These detectors have much higher performance of more than a factor of two less noise compare to any other detector at LCLS, which enables better science for LCLS.

o Made substantial progress in the design of the high‐performance controls for the LCLS‐II accelerator project. The controls include the beam position monitoring, the accelerator timing system, the bunch‐length and bunch charge monitor, and the machine protection system. The control design is based on the Advanced Telecommunication Computing Architecture (ATCA) standard. The LCLS‐II controls are a challenge since they needs to perform at 1 MHz rates, compared to 120Hz for LCLS‐I. All sub‐systems have now proven that they can perform at the required rate.

RF accelerator research

o Developed an advanced RF pulse compressor for XTCAV, which doubles the time resolution of the measurement of the shape of the LCLS x‐ray pulse energy to sub‐femtoseconds.



HIGH ENERGY PHYSICS (HEP)

FACET has enabled significant advancement in our understanding of plasma‐wakefield acceleration (PWFA)

o FACET continued to address the key milestones laid out a few years ago: meter scale plasmas, multi‐GeV/m acceleration, high‐efficiency acceleration, low‐energy spread beams, multi‐GeV positron PWFA, and emittance preservation, with the last two being the primary focus of the FY 2016 run.

o Two techniques proposed for high‐brightness beam generation have been successfully demonstrated at FACET: plasma torch and Trojan horse injection. The result of this work, upon further processing of the collected data, will improve our understanding of low emittance beams in plasma accelerators and are likely to result in a high impact publication. On April 4, 2016 the FACET experimental program completed with a successful series of experiments investigating positron plasma wakefield acceleration in different regimes. Acceleration in a hollow channel plasma and quasi‐linear acceleration were observed for the first time.

o FACET has also shown dielectrics are capable of gradients in excess of a GV/m. Moreover, during the last decade E201 performed the only drive+witness experiment using a dielectric and showed acceleration gradients 30 times larger than previous measurements . It also showed the largest energy extraction efficiency in an advanced accelerator to date: 80%.

o Publications to date:

S. Corde et al. “Multi‐gigaelectronvolt acceleration of positrons in a self‐loaded plasma wakefield,” Nature 2015

S. Gessner et al. “Demonstration of a Positron Beam‐Driven Hollow Channel Plasma Wakefield Accelerator,” Nature Communications, 2016

C.E. Clayton et al. “Self‐mapping the longitudinal field structure of a nonlinear plasma accelerator cavity,” Nature Communications, 2016

S. Corde et al. “27 GeV plasma acceleration in a high‐ionization‐potential gas,” Nature Communications, 2016

B. O’Shea et al. “Observation of acceleration and deceleration in frontier gradient dielectric wakefield accelerators,” Nature Communications, 2016

A. Deng et al. “Laser‐triggered injection in electron‐beam driven plasma wakefield accelerators,” in preparation for Nature

General accelerator R&D

o DLA:

Dielectric Laser Acceleration (DLA) achieved important milestones and fostered collaborations through a new 13.5‐million‐dollar program sponsored by the Moore Foundation. The Accelerator on a Chip International Program (ACHIP) includes six universities, one industry partner, and in‐kind support from SLAC and two other national laboratories (DESY and PSI).

Achieved the first major milestone for ACHIP, with gradients of 1 GV/m in joint SLAC‐UCLA experiments.

Commissioned new test setup at the UCLA Pegasus facility for experiments to reach 1 MeV energy gain in a single DLA stage.

Initiated an NSF‐sponsored program with Stanford and Tel‐Aviv universities to test a new concept for DLA plasmonic devices.

Submitted a successful proposal to Berkeley’s Advanced Light Source (ALS) and observed field resonance in a plasmonic accelerator structure for the first time using the near‐field optical microscopy beamline.

o Developed and tested a novel, compact x‐band accelerator structure architecture with the capability of 130 MV/m gradient. This highly‐efficient, inexpensive to manufacture accelerator structure has the potential to dramatically impact future HEP accelerator applications as well as potential applications in radiation oncology, active interrogation for homeland security, and other areas where compact particle or radiation sources are required.

o The TID mm‐wave and THz R&D portfolio for high‐gradient, compact accelerators is both multifaceted and has made SLAC highly competitive in this burgeoning field, with applications for space, defense, and medicine in addition to advancing accelerator capabilities. Continued research on multidimensional rf sources, non‐linear parametric amplification, and frequency multiplying structures, which have been demonstrated, are technologies that are each unique ‐ and represent a broad portfolio for single institution.

o Demonstrated a high‐order‐mode (HOM) RF source that appears to be an exciting alternative to conventional technologies (e.g. klystron) for accelerator applications. Because this device employs a HOM beam interaction, it can be scaled to higher frequency without shrinking the size of the device to a unrealistically small scale. Furthermore, simulation predicts that beam‐to‐RF conversion efficiency of more than 90% is possible.



o Beam physics, LCC, FCC

The SLAC AD Accelerator Research Division is actively contributing to the lattice and physics designs of the European Future Circular Collider (FCC), the Circular Electron‐Positron Collider (CEPC), the Linear Collider Collaboration (LCC), the general linear collider program, and the FACET‐II positron damping ring. A collaboration with the FNAL PIP‐II project is being formed.

A general analytical model of coherent synchrotron radiation (CSR) impedance was developed, with shielding provided by two parallel conducting plates. The model reduces calculation time and was bench‐marked against numerical simulations with the CSR computer code. It is useful for calculating the CSR effects in high‐brightness, high‐peak‐current lepton beams during compression and storage.

o LHC accelerator research program

SLAC contributions to LARP include analyzing the interplay between dynamic aperture, lattice choice, and as‐built magnet quality; designing couplers for and simulating the performance of the crab cavity system; building and testing next‐generation collimation devices; and, in particular, its flagship R&D program to develop a wide‐band feedback system applicable for instability control in both the LHC and its injectors (SPS and PS). Tests at the SPS in 2016 have shown that the 4G sample/SEC prototype digital signal processor and stripline kicker have suppressed multiple transverse modes within a bunch while existing CERN hardware could not. The feedback system was reviewed by CERN in mid‐September and is being considered for both the SPS and the LHC. Development of a production system and enhanced kicker is planned.

o Publications to date

M.‐H. Wang, Y. Nosochkov, Y. Cai, and M. Palmer, "Design of a 6 TeV collider," JINST

Yunhai Cai, “Symplectic maps and chromatic optics in particle accelerators,” Nucl. Instr. and Meth. A 797, (2015) 171‐181

G. Stupakov and D. Zhou, "Analytical theory of coherent synchrotron radiation wakefield of shortbunches shielded by conducting parallel plates," Phys. Rev. Accel. Beams 19, 044402 (2016).

I. Zagorodnov, K. Bane, G. Stupakov, “Calculation of wakefields in 2D rectangular structures,” Phys. Rev. ST Accel. Beams 18 (2015), 104401

K. Bane, G. Stupakov, “Using surface impedance for calculating wakefields in flat geometry,” Phys. Rev. ST Accel. Beams 18, 034401 (2015), and Erratum: Phys. Rev. Accel. Beams 19, 039901 (2016)

G. Stupakov and D. Zhou, “Analytical theory of coherent synchrotron radiation wakefield of shortbunches shielded by conducting parallel plates, Phys. Rev. Accel. Beams 19, 044402 (2016).

C. Emma, K. Fang, J. Wu, and C. Pellegrini, “High efficiency, multiterawatt x‐ray free electron lasers,” Phys. Rev. Acc. and Beams, 19, 020705 (2016)

K. Bane, G. Stupakov, “Dechirper wakefields of short bunches,” Nucl. Inst. Meth. A 820 (2016) 156‐163

N. Rohringer, V. Kimberg, C. Weninger, A. Sanchez‐Gonzalez, A. A. Lutman, T. Maxwell, C. Bostedt, S. Carron Monterro, A.O. Lindahl, M. Ilchen, et al., X‐ray Lasers 2014, Springer International Publishing, pp. 201‐207 (2016)

C. Pellegrini, A. Marinelli, S, Reiche, “The physics of x‐ray free‐electron lasers,” Rev. of Modern Physics, 88,015006(55)(2016)

Accelerator Stewardship

o Entered into Phase II with an industry partner to make klystrons more energy efficient, which could dramatically increase klystron efficiency from the 45% possible today to 70% efficiency or better. SLAC is working with Communications & Power Industries (CPI) to apply the DOE‐funded technology to two klystrons: a 5.5‐megawatt CPI tube and a 65‐megawatt 5045 SLAC tube, the type used for large‐scale physics accelerator facilities.

o Initiated a collaboration between SLAC, Stanford’s Department of Electrical Engineering, and an industry partner (Simmetrix, Inc.) to develop a leading‐edge simulation tool with advanced enabling technologies for electromagnetic modeling of the human body using high performance computing and for providing wireless power transfer to charge batteries in implanted medical devices. This project could have wide applications in the field of medicine.

o Initiated a collaboration between Texas A&M, General Atomics, and SLAC to develop and test four high‐efficiency normal conducting accelerator designs for energy and environmental applications. This technology has wide environmental remediation application and, if successful, will be produced and marketed by General Atomics once the project is completed in FY 2017.

o Proposed a collaboration with the USCF Medical School, Stanford Medical School, Varian, LLC, and SLAC to develop and commercialize a novel accelerator design with medical applications for more advanced oncology treatments. Though ultimately not funded by DOE, preparation of the proposal resulted in the creation of a SLAC‐Stanford Medical School



Task Force to identify areas of collaborative research and possible funding avenues. Funds have been identified by Stanford for this effort and the Task Force has already established new areas of cooperation.

Detector R&D

o Produced a bump bonded set of FE65p2 prototype integrated circuit chips for ATLAS. SLAC is the only institution to perform such high‐density interconnections on small‐area individual dice.

o Is leading an effort to establish a U.S.‐based, bump‐bonding vendor for ATLAS LHC‐HL pixel upgrades.

o Built and delivered the ePix100 camera for use in the end station test beam, which allowed results in a new experiment.

o Designed and fabricated thin, ultra‐fast imaging and spectroscopy sensors for SuperKEKB.

o Led design efforts for the CHESS2 monolithic CMOS sensor for possible use in the ATLAS LHC‐HL tracker upgrade. If successful, this effort would result in large cost saving for the upgrade.

o Designed a prototype monolithic CMOS sensor for possible use in the outer pixel layers in the LHC‐HL ATLAS upgrade. Again, this upgrade would result in a better performance and large cost savings.

o Designed and fabricated fine‐pitch, radiation‐hard sensors for ATLAS FE65.

o Made substantial progress in the design and prototyping of a novel RF based control and readout system for a Transition Edge Sensor system which will enable larger focal plane arrays for Cosmic Microwave Background experiments.

Indirect and direct searches for dark matter and studies of dark energy and inflation made significant progress within the Cosmic Frontier program:

o FGST

Completed a SLAC‐led report, “Sensitivity Projections for Dark Matter Searches with the Fermi Large Area Telescope” (published in Physics Reports in June), which summarizes the current results from a variety of indirect detection methods for dark matter using LAT data; reviews the relative merits of these methods; and makes sensitivity projections for continued data taking.

Provided prompt searches of the localization region of the LIGO GW150914 gravitational wave event within 90 minutes of trigger time. The BH‐BH mergers are not expected to have electromagnetic counterparts, and the LAT did not detect an associated signal (published in Astrophysical Journal Letters in May).

"Search for Gamma‐ray Emission from Dark Matter Annihilation in the Small Magellanic Cloud with the Fermi Large Area Telescope” (published in Phys Rev D in March; a Phys Rev Editor’s selection) was co‐led at SLAC.

"Resolving the Extragalactic Gamma‐ray Background Above 50 GeV with Fermi‐LAT” (published in Phys Rev Lett in April; highlighted as an Editor’s selection) was led at SLAC.

A study co‐led at SLAC of the Galactic center GeV excess, including dark matter annihilation cross section limits, is in internal review in the LAT collaboration.

o DES: Completed third year of five‐year observing planned for the Dark Energy Survey. Led production of DES catalogs for initial dark energy science results (20 published papers) and produced precision calibration of a full three‐year data set that meets DES performance specifications; will improve precision of dark energy science studies.

o DESC: The Operations Plan document was given to PAC management for external review. Work on Data Challenge 1 objectives, with a successful pathfinder based on SNe and Strong Lensing is also providing a platform for the development of a computing infrastructure and for use of NERSC. A second DC1 pathfinder resulted in a demonstration of the first elements of the weak lensing pipeline.

o CDMS: The CDMS group carried out R&D for the proposed SuperCDMS SNOLAB experiment and contributed to the data analysis for SuperCDMS Soudan, which includes a key role in the low‐threshold analysis of SuperCDMS Soudan data and the development of a paper analyzing direct detection experiments in an effective field theory framework.

o LUX/LZ: The group has completed operations of the LUX experiment and recently announced results from the final 300‐day science run, which resulted in a factor of four improvement in sensitivity to WIMP dark matter and in continuing world leadership in this hunt. The new upper limit paper was posted (arXiv:1608.07648) and will be submitted for peer‐reviewed journal publication shortly. Several additional physics and technical papers are anticipated from the LUX data over the next two years. LZ work has progressed through CD2/3b approval, with significant activity at SLAC in the test platform to test prototypes at sustained high‐voltage; fully develop the Kr removal purification method; lead work on the LZ analysis framework; and simulate and build grids and other components for the LZ TPC.

The Energy and Intensity Frontier efforts in the particle physics program produced a number of important results:

o MicroBooNE: Data taking with neutrino beam began in October. Tracy Usher co‐leads the MicroBooNE reconstruction effort, which has led to the first automatic reconstruction of neutrino interactions in a Liquid Argon TPC. Yun‐Tse Tsai led the MicroBooNE DAQ group that successfully commissioned the system. First results from MicroBooNE were presented at the summer conferences.



o DUNE: The DUNE 35‐ton Liquid Argon TPC prototype was commissioned and took data in February and March. Matt Graham was the DAQ co‐lead and Mark Convery co‐coordinates the collaborations efforts in operations and analysis. The data is being analyzed to better understand the performance of this new TPC design.

o ATLAS: Successful Run 2 startup at 13 TeV. High profile physics analyses using Run 2 data with SLAC leadership and Stanford students as principal analyzers are released to 2016 conferences:

Search for Higgs boson pair production in 4 b quark final state with first 3 fb‐1 Run 2 data.

Search for top quarks with 1 lepton + jets + Missing Et final state with first 3 fb‐1 Run 2 data.

Search for new particles decaying into Higgs and vector boson in boosted hadronic final state with 13 fb‐1 Run 2 data.

SLAC designated as an ATLAS support center and putting in place initial planning for community support and interaction

Successful deployment of physics performance tools for pile‐up mitigation and b‐tagging with main SLAC responsibilities and key contributions to the development of new and improved utilities, along with their calibrations.

Joint venture with the Stanford Computing Department on data science yielded several promising developments on boosted object and flavor tagging using modern machine learning techniques, with enthusiastic participation of students from several Stanford departments. Inaugural coordination role of the ATLAS machine learning forum.

Major contributions to the detector operations, with key responsibilities in muon and pixel systems, in particular, to bring the systems through the successful first Run 2 physics operations after some major upgrades during the 2013‐2014 shutdown.

o EXO‐200 published papers on searches for Lorentz and CPT violation in double beta decay, searches for excited state decays, ion mobility in Xenon, and backgrounds in Xenon136.

o HPS: The Heavy Photon Search Experiment took data at 2.3 GeV at JLAB during March and April 2016, integrating about 80% of its goal of 1 PAC week of data.

o The first HPS physics results, based on 10% of the 2015 data set at 1.05 GeV, were reported in the Ph.D. theses of Omar Moreno of USCS and Sho Uemura of Stanford.

o EPP theory: The EPP Theory Group published 85 papers on the preprint arXiv during FY 2016. Some highlights of this research includes an examination of Higgs plus multi‐jet production with the full top and bottom quark loops resolved, showing the full mass dependence; a new version of the Randall‐Sundrum model of warped extra dimensions that allows for light gauge Kaluza‐Klein excitations, with a corresponding light graviton; a detailed all‐orders study of Wilson loops mimicking double‐parton scattering; an exploration of a possible new force that can be probed by IceCube; neutrino oscillations and Planck data; and a simplified model generalization of the effective field theory approach for the examination of the BSM contributions to the various Higgs boson couplings.

FUSION ENERGY SCIENCES

Considerable progress has been made in the scientific output from the MEC end station in 2015‐2016. Twelve refereed publications were published in 2015, including several in high‐impact journals (Phys. Rev. Letts, Nature Communications, and Nature Photonics). Another paper on shock compression of diamond has just recently been accepted in Nature Communications. This compares to a total of nine publications during the previous three years, 2012 through 2014.

Unprecedented in situ diffraction measurements were obtained from MEC on shock‐compressed graphite, showing the ultrafast formation of diamond and, at higher pressures, the first evidence of a pure lonsdaleite structure [Kraus et al., Nature Comm 7, 10970 (2016)].

Surprising new data have been obtained from LCLS that counter the accepted models for continuum lowering in dense plasmas. Direct x‐ray heating of solid samples revealed an insensitivity to average plasma density and dependence on the valence structure of excited neutral atoms. This regime is of direct relevance to the physics of inertial confinement fusion, as well as solar plasmas [Ciricosta et al., Nature Comms 7, 11713 (2016)]

The MEC short pulse laser and coherent LCLS x‐ray beam were combined to provide phase contrast imaging of a relativistic pulse interacting with a solid carbon wire target. This experiment provided the first direct evidence of intense laser pulse hole boring through an overdense target. This experiment utilized the new laser diagnostic capabilities provided by large aperture wavefront measurement sensor purchased in the fall of 2015 ]to provide feedback to the deformable mirror part of a closed loop system. This system allowed the laser to maintain a small focal spot on the wire target throughout the experiment, and thereby the relativistic intensities required for hole boring. Without the wavefront sensor and closed loop feedback for the deformable mirror this experiment would not have been possible.

Recent high‐profile publications from the matter in extreme conditions experiments:

o L. B. Fletcher et al. “Ultrabright X‐ray laser scattering for dynamic warm dense matter physics” Nature Photonics 9, 274–279 (2015)



o P. Davis et al. “X‐ray scattering measurements of dissociation‐induced metallization of dynamically compressed deuterium,” Nature Communications 11189 (2016)

o D. Kraus et al. “Nanosecond formation of diamond and lonsdaleite by shock compression of graphite” Nature Communications 10970 (2016)

o S. H. Glenzer et al. “Matter under extreme conditions experiments at the Linac Coherent Light Source – Topical Review” J. Phys B 9 092001 (2016).

High‐profile theory publications for matter in extreme conditions:

o D. Chapman et al. “Observation of finite‐wavelength screening in high‐energy‐density matter,” Nature Communications 6839 (2015)

o S. R. Totorica et al. “Nonthermal Electron Energization from Magnetic Reconnection in Laser‐Driven Plasmas,” Phys. Rev. Lett. 116, 095003

o P. Mabey et al. “A Strong Diffusive Ion Mode in Dense Ionised Matter Predicted by Langevin Dynamics,” submitted to Nature Communications

o M. Levy et al. “QED-driven laser absorption,” submitted to Nature Photonics

The HED Science Division has organized the 2015 MEC user workshop on high‐power lasers (HPL‐3) in collaboration with the LCLS MEC Department and Los Alamos National Laboratory. The meeting was attended by 117 scientists and highlighted recent experimental accomplishments at MEC. The report was published in Synchrotron Radiation News in 2016. The next HPL‐4 meeting is scheduled for October 3‐4, 2016.

The HED Science Division organized the 11th International Conference on High Energy Density Laboratory Astrophysics, held at SLAC on May 16‐20, 2016. The event marked the 20th anniversary of the HEDLA conference series and provided a great opportunity to discuss recent work and future prospects in laboratory astrophysics. It had a record number of attendees, which exceeded 170 scientists, including 32 invited speakers, 32 students, and postdoctoral scientists from America, Asia, and Europe. Sixty‐eight publications will be published (editors: S. Glenzer, M. Mauel and G. Gregori).

BIOLOGICAL AND ENVIRONMENTAL RESEARCH

The DOE BER‐funded SLAC Science Focus Area, Coupled Cycling of Organic Matter, Uranium, and Biogeochemical Critical Elements in Subsurface Systems, published five papers and presented 22 talks (10 invited) at scientific meetings. A regional study of ammonia‐oxidizing microbial communities in the upper Colorado River Basin led to the initiation of a new JGI/CSP‐funded project to perform deep 16s sequencing on existing samples. A new thermodynamic‐kinetic model was developed to describe metabolic limitations on anaerobic organic matter decomposition, with important implications for uranium behavior in contaminated aquifers. This model critically expands our knowledge of controls over terrestrial carbon cycling and uranium mobilization.

The Biosciences Division began an innovative new project, funded with SLAC LDRD and BER seed funds, to study the multi‐scale biological mechanisms that control ammonia oxidation in ecosystems, a globally important leg of the nitrogen cycle driven by archaeal organisms. This effort leverages SLAC and Stanford strengths in molecular microbial ecology, structural molecular biology, and biocomputation, the combination being necessary to effectively identify and interrogate protein‐solute, protein‐protein, protein‐cell, and cell‐environment interactions. This project has led to a major advance in: our understanding of the cell surface (‘s’) layer scaffold, integral to the activity of ammonia‐oxidizing protein complexes; x‐ray, electron micscope and biochemical analysis of the s‐layer of the model organism, Caulobacter crescentus; and has shown that the structure and function of the s‐layer is controlled by calcium‐dependent structural dynamics. Moreover, biocomputational modeling of the s‐layer and ammonia oxidizing enzymes has revealed significant effects of layer charge control on the rate of ammonia oxidation.

In collaboration with the Joint Genome Institute (JGI) and a group from the Max Planck Institute Marburg, Germany, initiated enzyme structure and function analyses of a series of enzymes capable of carbon dioxide fixation at rates 100 times faster than Rubisco, the most abundant CO2 fixing enzyme. As a result of a new genes‐to‐protein crystallization pipeline between JGI and SLAC BSD, crystals from several key enzymes and their structures are being investigated.

Important SLAC biological and environmental research publication—either BER‐funded or with SLAC LDRD funds directed toward BER mission science—include:

o Selective Binding of AIRAPL Tandem UIMs to Lys48‐Linked Tri‐Ubiquitin Chains, Rahighi et al., Structure 24, 412 (2016). This is a featured article of the journal and has been at the top of the list of "most read in the last 30 days" since its publication.

o Visualizing chaperone‐assisted protein folding. Horowitz et al., Nat Struct Mol Biol 23:691 (2016)

o Probing RNA native conformational ensembles with structural constraints. Fonseca et al., J. Comput. Biol. 23, 362 (2016)

o Coupled Motions in β2AR:Gαs Conformational Ensembles. Pachov et al., J. Chem. Theory Comput. 12, 946 (2016)



o Atomic resolution experimental phase information reveals extensive disorder and bound 2‐methyl‐2,4‐pentanediol in Ca2+‐calmodulin. Lin et al., Acta Cryst. D72, 83 (2016)

o Physico‐chemical heterogeneity of organic‐rich sediments in the Rifle aquifer, CO: Impact on uranium biogeochemistry. Janot et al., Environ. Sci. & Technol. 50, 46 (2016)

The workshop, “Hybrid Methods for Integrative Structural Biology” was organized jointly with ALS and LCLS, focusing on how synergistic combinations of x‐ray diffraction, scattering, coherent imaging, electron microscopy, spectroscopy, x‐ray footprinting, and NMR, together with computational simulations, can reveal a structural basis for conformational dynamics across multiple scales in time and length.

A summer school, “EXAFS 2016 ‐ SSRL Summer School on Synchrotron X‐Ray Absorption Spectroscopy” provided lectures and hands‐on tutorials covering data acquisition, data analysis, and science examples for x‐ray absorption, emission and imaging spectroscipies for beginner as well as for experienced scientists (sponsored by BER, NIH and BES).

Support for NSLS macromolecular crystallography user science during the NSLS to NSLS‐II transition continued in FY 2016, with access provided to SSRL BL14‐1, with support provided by NSLS‐II, NIH, and BER.

NATIONAL INSTITUTES OF HEALTH

The SSRL Structural Molecular Biology (SMB) program produced many science highlights and publications, reflecting significant progress in biomedical science and enabled by SMB program facilities and staff, as exemplified in the following:

o The structure of a complex of synaptic proteins that controls the release of signaling neurotransmitters, such as glutamate, dopamine and serotonin from brain cells in less than one‐thousandth of a second, was determined in a collaboration between the Brunger lab (Stanford) and NIH‐funded staff, which ultimately could help unlock a new realm of drug research targeting brain disorders [Zhou et al., Nature 525, 62 (2015)].

o The nuclear pore complex (NPC), a very large macromolecular machine embedded in the nuclear envelope, is the sole gateway for the bi‐directional transport of macromolecules between the nucleus and cytoplasm in cells; its nucleoporins have been linked to a wide range of human diseases, including viral infection, cancer, and neurodegenerative disease. Now, through a combination of macromolecular crystallography (to determine the structure of a large number of proteins and complexes at atomic resolution) and the use of this knowledge in the reconstruction of lower‐resolution cryo‐electron tomography images, the structure of the entire NPC was established [Lin et al., Science 352, 6283 (2016)].

o Researchers determined the novel x‐ray structure of a pharmacological binding site on a sodium channel, enabling the rational development of highly selective pain inhibitors. This discovery established a structural blueprint for accelerating the design of drugs for treating pain and inflammation [Ahuja et al. Science 350, 6267 (2015)].

o Next‐generation Rapidly‐Accelerated‐Fibro‐sarcoma (RAF) inhibitors that yield higher efficiency and improved safety in melanoma cancer treatments were identified using the SSRL macromolecular crystallography facilities. Previous‐generation RAF inhibitors that killed cancer cells also stimulated other cancers to grow. These next‐generation inhibitors can now maintain effectiveness in melanoma treatment without the previous side effects (Zhang et al., Nature, 526, 583 (2015)).

NIH program funding has enabled the scientific and technological development of unique approaches to macromolecular crystallography:

o Unprecedented experimental capabilities at the LCLS XPP station, with R&D performed at SSRL BL12‐2; this setup provided new structural information related to important biomedical problems.

o Acceleration of instrumentation commissioning of the LCLS MFX station late in FY 2016 was made possible, with NIH providing direct funds for MFX.

Support for NSLS macromolecular crystallography user science during the NSLS‐to‐NSLS‐II transition continued in FY 2016 with access provided to SSRL BL14‐1 through support from NSLS‐II, NIH, and BER.

Several workshops and summer schools were organized at SSRL and led by SMB staff to provide outreach and training for the structural biology community. These included “Small‐Angle X‐ray Scattering and Diffraction Studies”, “Crystallization: Focus on Micro and Nano Crystals and High Throughput Methods”, and “RapiData Course on Data Collection and Structure Solution.” They were funded jointly by NIH and BER.

WORKFORCE DEVELOPMENT FOR TEACHERS AND SCIENTISTS

The strength and breadth of SLAC’s scientific portfolio attracts top tier candidates for our WDTS programs. SLAC’s summer internship and research programs provides participants with exposure to our key areas of research and are directly linked to the lab’s mission as well as the mission of the DOE and the Office of Science mission. SLAC provides an immersive experience to participants with the long range goal of developing the next generation of scientists and engineers. SLAC strongly



encourages interns to carve out a portion of the bigger project and own it; at the end of the internship, students are required to write a stand‐alone research project.

o In 2016, SLAC hosted a summer session for the following WDTS programs:

Community College Internship (CCI) – 4 participants

Science Undergraduate Laboratory Internship Program (SULI) – 29 participants

SLAC also sponsors participants in the DOE Office of Science Graduate Student Research Program (SCGSR) – 2 participants

Targeted outreach efforts employed and selection process engineered to mitigate bias. Resulted in highly diverse cohort with regard to gender, ethnicity and home institution.

o Enhanced research experience and professional enrichment are provided through scientific lecture series, professional development workshops, and structured network building events.

LABORATORY STAFF RECOGNITION, HONORS and AWARDS

Edward I. Solomon received the Alfred Bader Award in Bioinorganic or Bioorganic Chemistry, American Chemical Society

Axel Brunger, Professor of Molecular and Cellular Physiology, Neurology and Neurological Sciences, Structural Biology (by Courtesy), and Photon Science at Stanford, HHMI Investigator, and a key member of the SSRL Structural Molecular Biology program, was awarded the 2016 American Crystallographic Association Trueblood Award.

Jens Norskov was awarded European Invention Award 2016, the Murray Raney Award, Organic Reactions Catalysis Society , The Carlsberg Foundation Research Prize, Royal Danish Academy of Science and Letters. He became a Honorary Professor of the Dalian Institute of Chemical Physics of the Chinese Academy of Sciences, the Berkeley Lectureship, Department of Chemical and Biomolecular Engineering at the University of California, Berkeley, and the Zhnag Dayu Lectureship, Dalian Institute of Chemical Physics, Chinese Academy of Sciences.

Aleksandra Vojvodic was named MIT Tech Review Innovator Under 35.

SLAC researchers were well represented among the world’s most cited scientists (Thomson Reuters 2015 listing of ~3000 most highly cited researchers in all areas of science worldwide). They include Yi Cui, Ian Fisher, Tony Heinz, Jens Norskov, Z. X. Shen, Michael Toney, Bill Weis, Jiun‐Haw Chu and Shoucheng Zhang.

Ming Yi was awarded L'Oreal USA For Women in Science Fellowship

Gregorz Madejski, Zhirong Huang, and Hsiao‐Mei “Sherry” Cho were elected fellows of the APS.

Roger Blandford was the co‐recipient with Roy Kerr of the 2015 Crafoord Prize in Astronomy awarded by the Swedish Academy of Sciences.

Leonardo Senatore won the New Horizons in Physics Prize.

Steve Kahn was elected fellow of the AAAS.

Stefan Hoeche won the 2016 Henry Primakoff Award for Early‐Career Particle Physics, the IUPAP Young Scientist Award, and the Wuki Tung QCD Award.

Helen Quinn was awarded the 2016 AIP Karl Compton Medal.

Stan Brodsky was awarded the Pomeronchuk Award.

Panagiotis Baxevanis was awarded the 2016 Dissertation Award from the APS Division of Physics of Beams,

Claudio Pellegrini received a presidential Enrico Fermi award in October 2015 “for pioneering research advancing understanding of relativistic electron beams and free‐electron lasers, and for transformative discoveries profoundly impacting the successful development of the first hard x‐ray free‐electron laser, heralding a new era for science.”

Alex Chao was awarded the 2017 USPAS Prize for Achievement in Accelerator Physics and Technology.

Spencer Gessner was awarded the 2016 Mark Oliphant Prize for his graduate studies towards a Ph.D. studying hollow channels in plasma acceleration.

SLAC STAFF SCIENCE COMMUNITY LEADERSHIP POSITIONS

Phil Bucksbaum: chair, Committee on Opportunities in the Science, Applications, and Technology of Intense Ultrafast Lasers, National Academy of Science; Presidential Advisory Committee, Optical Society of America; and Physics Section, National Academy of Science; SLAC representative to the Stanford Academic Senate.

Tony Heinz served on scientific advisory boards for the Max‐Born Institute for Ultrafast Spectroscopy, Berlin, Germany and for the Fritz‐Haber Institute, Berlin, Germany. He is currently serving as the chair of the Scientific Advisory Committee for the Center for Integrated Nanotechnologies (CINT) at Sandia/Los Alamos National Lab.



Steve Kahn, chair of the Management Advisory Committee for the Giant Magellan Telescope (GMT) and the External Advisory Committee for the Kavli Institute for the Physics and Mathematics of the Universe (IPMU, Tokyo).

Jens Norskov: member of the scientific advisory boards of the Netherlands Center for Multiscale Catalytic Energy Conversion and the Max‐Planck‐Institute for Chemical Energy Conversion; member of the International Advisory Board of the State Key Laboratory of Catalysis (SKLC); the Dalian Institue of Chemical Physics; the Chinese Academy of Sciences; member of the Condensed Matter and Materials Research Committee of Board on Physics and Astronomy, National Academies.

Siegfried Glenzer: member of the Committee for the NNSA comprehensive program review of the ICF and high energy density physics program; Committee for Fundamental Science of the NIF.

Piero Pianetta: chair, Experimental Systems Advisory Committee for the APS‐U project and ex‐officio member of the APS Scientific Advisory Committee; University of Chicago Advisory Committee for the Advanced Photon Source.

Keith O. Hodgson: chair, Science Advisory Board, Center for Structural Systems Biology, Hamburg, Germany; Science and Technology Advisory Committee, National Synchrotron Radiation Research Center (NSRRC), Hsinchu, Taiwan.

Ingolf Lindau, chair, Elettra Science Advisory Council and Photon Factory Science Advisory Committee.

Lia Merminga: chair, IUPAP Working Group on Accelerator Science; member of the Secretary's Energy Sciences Leadership Group, the advisory board of the Moore Foundation ACHIP Program; the scientific council of DESY, Scientific Advisory Council, Helmholtz‐Zentrum Berlin (HZB).

John Seeman: vice‐chair, APS Wilson Prize Committee; chair, BNL C‐AD‐RHIC Accelerator Review Committee; IHEP CEPC International Advisory Committee; KEK SuperKEKB Accelerator Review Committee; NP EIC R&D Review Committee; ANL APS‐U Director's Review Committee.

Bob Hettel: chair, Advanced Photon Source (APS) and Sirius (Brazil) Machine Advisory Committees; chair, HEPS/Beijing International Advisory Committee; co‐chair of BES‐CAS (China) Workshop on X‐ray Optics and Detectors; APS, Advanced Light Source and NSLS‐II Science Advisory Committees; Canadian Light Source and MAX‐IV (Sweden) Machine Advisory Committees; Cornell CHESS External Advisory Committee; APS Division of Physics of Beams Nominating Committee.

Nan Phinney: Speaker of APS Council of Representatives; chair of the Council Steering Committee; member of APS Board of Directors and Board Executive Committee, Councilor of APS Far West Section.

Zhirong Huang: member of DESY XFEL Machine Advisory Committee; APS Division of Physics of Beams Nominating Committee.

Tor Raubenheimer: chair‐elect of the APS Division of Physics of Beams.

Roger Erickson: member of BNL Accelerator Readiness Review for Coherent Electron Cooling for RHIC; Fermilab Facilities Operations Review; DOE CoV Review.

Xijie Wang: co‐chair of the BES‐sponsored Workshop on the Future Electron Sources.

Bruce Dunham: panel co‐chair for CW electron sources, BES‐sponsored Workshop on Future Electron Sources.

Robert Schoenlein, chair, Gordon Research Conference on Ultrafast Phenomenon in Cooperative Systems (2018).

JoAnne Hewett, chair, APS Division of Particles and Fields.

David MacFarlane: chair, Advisory Committee on TRIUMF; Fermilab Director’s Long‐Baseline Neutrino Committee; and LSST Corporation Executive Board.

Norbert Holtkamp: chair, CERN Machine Advisory Committee.

Kent Irwin, Aaron Roodman, and Tom Abel, participants in the DOE‐HEP Cosmic Visions groups on dark matter, inflation, and dark energy.

Risa Wechsler, member of HEPAP and co‐spokesperson of the Dark Energy Spectroscopic Instrument (DESI) science collaboration.

Chi‐Chang Kao: member of the Executive Council, National Laboratory Directors’ Council (NLDC).

COLLABORATION WITH OTHER DOE LABS / FACILITIES

SLAC has partnered with LBNL and LLNL on an awarded Exascale computing initiative to develop software capable of utilizing exascale computing hardware that will be necessary for the design of a 1 TeV electron‐positron high‐energy collider based on plasma acceleration technology.

S T A T U S O F NO T A B L E OU T C OM E ( S )

BES: Deliver impactful science and engineering to advance the Fuels from Sunlight Energy Innovation Hub of the Joint Center for Artificial Photosynthesis (JCAP), as measured by the FY 2016 Progress Reports and Review (Objective 1.1).

(SLAC Champion: Tony Heinz)

o Status – Complete



The project has been ramped up rapidly from its initiation in September, 2015. More than 10 staff members, students, and postdocs are currently working on all aspects of electrochemical CO2 reduction. The following summarizes SLAC contributions and positive review highlights:

The first computational screening of CO2 electrocatalysts

- “The theory team led by Norskov, Goddard, and Head‐Gordon represents probably the strongest theoretical efforts in the US; Norskov, covered general concepts for reactivity. All this work will contribute significantly to the goals of the Center in identifying new mechanisms and new materials for CO2RR.”

The first experiments on well defined single crystal Cu surfaces

- “The Jaramillo has obtained very impressive preliminary results over large single crystal electrodes: Cu on SiO2, Al2O3 or Si(111).”

Good synergy between theory and experiment

- “It is very impressive to observe the close collaborations between the experiment‐theory groups, such as the Jaramillo/Norskov and Bell/Head‐Gordon groups.”

S I G N I F I C A N T C O N C E R N S A N D MI T I G A T I O N S

Concern: None

o Mitigation: None



Goal2: ProvideforEfficientandEffectiveDesign,Fabrication,ConstructionandOperationsofResearchFacilities


Numerical Score


Overall Score


2.1 Provide Effective Facility Design(s) B+ 3.4 0.15 0.6

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

B+ 3.4 0.35 1.3

2.3 Provide Efficient and Effective Operation of Facilities A‐ 3.7 0.30 1.2

2.4 Utilization of Facility(ies) to Provide Impactful S&T Results and Benefits to External User Communities

A‐ 3.7 0.20 0.7

Overall BES Total 3.6/A


2.1 Provide Effective Facility Design(s) N/A N/A 0 N/A


N/A N/A 0 N/A

2.3 Provide Efficient and Effective Operation of Facilities N/A N/A 0 N/A


A‐ 3.6 1.00 3.6

Overall BER Total 3.6/A‐


2.1 Provide Effective Facility Design(s) N/A N/A 0 N/A


N/A N/A 0 N/A



A‐ 3.7 0.80 3.04

Overall FES Total 3.7/A


2.1 Provide Effective Facility Design(s) B+ 3.4 0.35 1.2


A‐ 3.5 0.50 1.7



N/A N/A 0 N/A

Overall HEP Total 3.5/A‐


Letter Grade

Numerical Score

Funding Weight^

Weighted Score


BES A‐ 3.6 0.841 3.03

BER A‐ 3.6 0.017 0.06

FES A‐ 3.7 0.009 0.03

HEP A‐ 3.5 0.133 0.47

Performance Goal 2.0 Total 3.6/A



BASIC ENERGY SCIENCES

LCLS has performed very well and has implemented a number of significant operational improvements and new capabilities:

o There was a substantial increase in FY 2016 in the number of experiments performed (112 full PRP experiments and 168 total number of experiments compared to 74 and 111, respectively, in FY 2015), as well as in the number of users (1069 unique onsite users predicted for FY 2016 compared to 837 for FY 2015 and approximately 600 in prior years). This



increase was due in part to a continuous run without a summer shutdown (17% additional time), and in part to a 22% reduction in the average duration of experiments, along with continued improvements in multiplexing. Together, this led to the 50% increase in user experiments in FY 2016 compared to FY 2015.

o A major contributor to these improvements was the introduction in LCLS Run 13 (from March 2016) of the concept of “standard configurations,” in which multiple user experiments can be scheduled using a common setup, leading to a higher throughput and lower operational cost. This mode of operation has been welcomed by the user community and is typically implemented for about a third of an instrument’s available time.

o The average cost of operating the facility was reduced by 30% per shift from FY 2015 to FY 2016 (or by about 45% per experiment) as a result of these and other actions taken in FY 2016. Overall, the absolute cost of the experimental operations part of the LCLS budget, including the accelerator, was reduced by 18% from FY 2015 to FY 2016, releasing funds to devote to improvements to the facility to protect our preeminent position.

o The LCLS photon beam availability remained at target levels for Run 12 at 96.1% and Run 13 at 94.5%. Availability is approaching target levels for Run 14, which is at 88.0% to date.

o A large‐scale “dechirper” device was introduced to the LCLS facility to more precisely control the x‐ray FEL pulse bandwidth. This provides a path to reduced pulselength and user‐defined x‐ray pulse tailoring. It also allows independent control of color separation, time delay, and polarization in dual‐pulse mode. This achievement was a collaboration with industry (Radiabeam Systems, LLC), and is also part of a contract with the Pohang Accelerator Laboratory in South Korea.

o LCLS has developed an integrated data strategy in consultation with its user community and key partners, such as NERSC, ESNet and CAMERA. This covers all aspects of data infrastructure, tools, and underpinning techniques. It is designed to ensure robust transition to LCLS‐II and to address priority requirements for ongoing experiments, such as the development of “online analysis” capabilities to allow optimum use of beamtime. As part of this work, a collaboration with the Computer Science Department at Stanford has been initiated, along with partnerships with counterpart groups at LBNL and LBNL and exploratory work with Google – all aimed at algorithm development for future data processing needs. Importantly, the strategy provides a platform that should allow us to exploit the Exascale capabilities being developed by ASCR.

o A seventh instrument at LCLS, known as MFX (Macromolecular Femtosecond Crystallography) was commissioned this year. The first user experiments started in July, with researchers from LBNL using a complex spectroscopy configuration to monitor the dynamics of O‐O bond splitting for photosynthesis research. Experiments to date have proven successful.

o Two new endstations have been added to the LCLS portfolio. A newly‐designed liquid chemistry endstation was introduced to SXR, and coupled with a major new spectrometer part, funded by a BES grant to PI Norah Berrah. This highly flexible system saw its first experiments in February and now forms part of the standard configuration for SXR and is upward compatible with LCLS‐II. Also, a Serial Sample Chamber (SSC) was added to the CXI instrument to allow simultaneous experiments, significantly improving the overall throughput and efficiency of injector‐based studies. This system will be used to field the majority of protein crystal screening studies at CXI, releasing the main chamber for full‐scale experiments.

o The first of the new generation of x‐ray detectors being developed at SLAC, known as ePix‐100, was successfully completed and fielded on a variety of user experiments in FY16. This low noise, high sensitivity camera marks a major leap in capability compared to prior systems (such as CSPAD).

o A proposal to extend the energy of LCLS‐II to 8 GeV, known as LCLS‐II‐HE (“High Energy”) was submitted to BES and was favorably reviewed by BESAC. This strategic development will provide a qualitatively new capability, delivering high repetition rate capability in the hard x‐ray regime, enabling Ångström resolution at high average power. A wide‐ranging science case, integrated facility design and a minimally invasive construction approach was developed and submitted for consideration as a major upgrade project.

o A robust program began to train workers on the skills required to perate the LCLS‐II future technology. More than 25 employees have spent time at DESY and U.S. laboratories, with more training planned.

o For many LCLS experiments advanced beam delivery conditions have been used, such as dual‐color dual‐energy beams and polarized x‐ray beams with a degree of circular polarization up to 99%.

o Progress has been made to reduce the energy jitter of the LCLS photon beam. We achieved our goal of < 0.05% RMS @ 1 keV, < 0.025% @ 8 keV, and continue to further improve the performance, mainly to achieve this goal on a routine basis.

o Progress has been made with the LCLS Mission Readiness program. A noteworthy accomplishment is the completion of the Sector 20 to 30 klystron modulator upgrade project. The upgraded modulators improve the LCLS accelerator reliability and also contribute to the photon beam energy stability.

o Successful launch of the FEL undulator seeding task force to investigate narrower FEL x‐ray bandwidths and high peak powers.



SSRL has continued to improve efficiency and capabilities:

o SSRL’s availability for FY 2016 run was 97.5%. The overall MTBF for SPEAR3 was 193 hours with a frequent fill delivery of 99.4%.

o The lower emittance AIP to reduce the emittance from 10 to 6 nm was scheduled to be installed in September‐October 2016 and was commissioned from November 2016 through May 2017. However, a design/manufacturing error on the critical injection septum magnet will delay the installation until the 2018 downtime.

o The SPEAR3 booster RF upgrade to replace the 40‐year‐old klystron with a 64 kW solid state amplifier is scheduled for installation during the 2016 downtime and will be implemented during the FY 2017 run.

o Three new SSRL beam lines that will provide advanced capabilities are under construction. These include an undulator beamline for macromolecular crystallography – BL12‐1 (commissioning Q3 FY17); an undulator beamline for advanced spectroscopy – BL15‐2 (start unfocused commissioning Q2 FY17); and a soft x‐ray bending magnet beamline for metrology – BL16‐2 (commissioning Q2 FY17). Two additional beamlines are in the early phases of design and include a hard x‐ray bending magnet beamline for metrology (BL16‐1) and an undulator beam line for energy sciences x‐ray scattering (BL17).

o SSRL has implemented new end station capabilities on BL5‐4 for epitaxial growth of metal oxide superlattices and a state‐of‐the‐art superconducting transition edge sensor detector on BL10‐1 that has enabled soft x‐ray fluorescence measurements at energy resolutions of 1 eV.

UED has continued to develop a comprehensive facility and operations plan to establish a leading UED facility.

o Reinstalled material science chamber after the first run of the gas phase ultrafast chemical science experiments.

o Commissioned a new solenoid magnet and demonstrated 5‐micron beam on the sample without significant electron beam bunch lengthening for 104 electrons bunches.

o ASTA UED now routinely operates at 180 Hz.

o Installed and commissioned a direct electron detector for MeV UED at 180 Hz in collaboration with Peter Denes group; we also developed online data analysis software and data storage. (A manuscript has been submitted.)

o Developed single‐shot UED capability and successfully employed warm dense matter physics experiments (Rev. Sci. Instrum. 87 11D810 (2016) doi: 10.1063/1.4960070).

o Developed and commissioned cryo‐sample capabilities; demonstrated 30K operating temperature.

o Re‐built the ASTA UED laser system with 0.2% energy stability; installed the second optical compressor to have better control the electron beam.

o Implemented a major upgrade on the gas sample chamber and pump laser optics – the first two‐color pump in a UED system.

BASIC ENERGY SCIENCES/HIGH ENERGY PHYSICS

During a six‐week period from April through June 2016, approximately 7,500 reusable pieces of accelerator equipment were successfully removed from Sector 0 to 10 of the SLAC Linac. The efforts were organized and coordinated by the Accelerator Directorate (AD), requiring approximately 18,000 hours of labor, more than half of them from AD, with the rest from other parts of the laboratory. The work was completed as planned with no injuries.

FACET‐II Science Opportunities Workshops were held at SLAC on October 12‐16, 2015. The report is available at https://www‐internal.slac.stanford.edu/scidoc/docMeta.aspx?slacPubNumber=SLAC‐R‐1063.

A Future Electron Source Workshop was held at SLAC on September 8‐9, 2016.

HIGH ENERGY PHYSICS

FACET Operations:

o FACET operations continued until April 4, 2016. During the 2016 run, 10 experiments received beam time and average uptime was 80%.

o The primary focus of the FY 2016 run was in support of the remaining two milestones of the FACET PWFA program: low emittance beam generation and positron acceleration.

o A new plasma source was developed and commissioned, supporting multiple user experiments. FACET staff facilitated the cooperation between experimental groups to maximize scientific output.

o A new high‐resolution electro‐optical sampling timing diagnostic was developed, which provided important insight into nearly every experiment.

o Upon completion of the FACET run, FACET staff transitioned from operating the facility to working on the FACET‐II project with efficient workforce management.



o To ensure cost effective execution of the FACET‐II project, a large amount of equipment was recovered from S0‐10 for use in FACET‐II; S10‐20 was transitioned to a minimum maintenance state.

Test Facilities Operations

o At the End Station Test Beam (ESTB), eight user experiments have been supported as planned. The silicon tracker telescope, on loan from Carleton University in Canada has been used in multiple ATLAS upgrade silicon detector tests.

o The completion of the Echo‐75 program at NLCTA culminated with publication of results in Nature Photonics 10, 512–515 (2016). User support at NLCTA for RF testing of X‐Band acceleration structures and medical irradiation test setups from Stanford Medical School are ongoing.

o At ASTA, 46 users were supported at both the X‐Band acceleration structure development and at the user experiments at the UED facility.

o The small‐area ePix100 detector, adapted from LCLS for ESTB use, did double duty in experimental user setups at ESTB and NLCTA. The ePix100 system provides real‐time feedback on the position and profile of electron and photon beam.

The performance of existing Cosmic Frontier experiments was improved while plans for future G2 Dark Matter experiments continued to make progress.

o LSST camera project: substantial improvements have been made to both the project Cost Performance Index and Schedule Performance Index; the project remains on track for completion as planned. LSST also did very well at the NSF Status Review, held February 8‐10, 2016 in Tucson, AZ, and at the NSF/DOE Joint Status Review, held August 16‐18, 2016 in Tucson. In both instances the Camera Team was called out explicitly for doing an excellent job in both the management and the technical implementation of the project. The LSST Camera Project completed a major L2 milestone in Q2 when a first article production sensor was received and validated.

o LSST Dark Energy Science Collaboration (DESC)

White papers were produced to evaluate computing hardware and software needs. As a result, NERSC was selected as the host computing site; the basic software infrastructure elements and required minimum staffing were identified.

The end‐to‐end (simulations to analysis) DESC pathfinder project, called Twinkles, achieved its intermediate goals (Run 2) of generating and analyzing a small patch of sky with supernovae transients and strong lenses. It also led to demonstrations in software infrastructure for distributed code development, as well as use of a workflow engine, based on the Fermi LAT tools, to execute the pipeline.

SLAC continued to transfer computing effort from Fermi LAT to achieve the 3 FTE level by the end of FY 2016.

o SuperCDMS SNOLAB: selected as a jointly funded DOE‐NSF‐Canada second generation dark matter direct detection experiment, focused on the search for low‐mass dark matter particles. SLAC was designated lead DOE laboratory for the SuperCDMS project. Blas Cabrera was appointed to serve as the project director. In addition to its project management role, SLAC is leading the detector tower and offline computing subsystem efforts. SuperCDMS SNOLAB was granted CD‐1 approval in January 2016 and is completing the technical design and project baseline in preparation for CD‐2 and CD‐3 reviews in 2017.

o LUX/LZ: continued operations and expanded capabilities of the Liquid Nobles Test Stand in SLAC’s IR2 Hall and completed five successful runs of the LZ Phase‐I system test. A high‐capacity circulation pump has been brought online resulting in full turnover of the LXe target every two hours (compared with 40 hours for the LUX experiment). An automated high‐capacity liquid nitrogen delivery system is in full operation, replacing the manual use of small dewars for safer and more robust operation. Designs for the LZ grids, TPC, and Kr removal production systems continue to advance, with project‐supported engineering at the Lab leading the technical design effort. SLAC provides Level 2 managers for the central detector, offine analysis, and at Level 3 for Kr removal and HV grids. The resource loaded schedule for LZ is baselined and SLAC participated in the successful CD2/3b review with ESAAB approval in August 2016.

o FGST

Brought "Pass 8” event reconstruction and filtering to Level 1 production in June 2015. “Pass 8” processing of the LAT data provided a significant increase in the performance of the LAT. The rate of gamma ray photons found in the LAT data increased by about 75% as a result of the change from Pass 7 to Pass 8 processing.

The transition to Level 1 production was accompanied by public release through NASA of LAT gamma‐ray data from the entire prior mission history, after all previous LAT science mission data had been reprocessed on the computer farm at SLAC.

Worked with NASA to reduce the latency time of public release of LAT photon data by about 25‐30% over the past few months, after requests within the LAT collaboration for faster data processing and release. The median latency time has decreased from about 7.3 hours to about 5.2 hours.



Continued to maintain a better than 99% mission uptime for science data‐taking for the Fermi LAT. Updated the on‐board embedded flight software in the LAT to enable faster LAT charge injection calibrations. Consequently performed a tracker timing calibration successfully for the first time since launch.

Continued working with NASA to plan to meet the expected need for ongoing LAT operations support beyond the first 10 years of the science mission, with the expectation of reduced DOE support after 10 years.

The performance of existing Energy and Intensity Frontier experiments was improved, while plans for future upgrades continued to make progress.

o ATLAS

Advances were made in CMOS sensor and readout designs and readout electronics to seed novel upgrade detector designs for the HL‐LHC Inner Tracker. The full reticle design of CHESS2 Monolithic Active Pixel devices, as a candidate to replace silicon strip sensors, has completed its engineering run fabrication and is being distributed for testing.

Fast rampup of the conceptual design for the High Granularity Timing Detector in the forward region of ATLAS for HL‐LHC, with leading roles in simulation studies and jet‐finder ASIC development for frontend readout and trigger.

SLAC‐designed DAQ electronics, based on the RCE readout concept in the form of COBs and HSIO‐II for ATLAS HL‐LHC ITk upgrade development, have been distributed to more than 20 collaborating institutions worldwide. First demonstration of RCE readout integration with CERN‐designed radiation hard GBT high speed link was held.

Intensified HL‐LHC upgrade construction project preparation, with ATLAS ITk pixel deputy project leader role and US ITk‐pixel Level‐2 manager role and several responsibilities at the next level.

Planning activities started on clean room, CMM machine, and other construction and test equipment to establish SLAC as an ATLAS HL‐LHC pixel upgrade stave assembly site.

In collaboration with Facilities, established a precision EUDET beam telescope on loan from Carleton ATLAS group at the SLAC End Station A Test Beam as a common utility to serve all users. Two major run periods are scheduled in FY 2016 for ATLAS pixel/ITk devices.

o HPS

An HPS Physics Readiness Document, which documents HPS physics performance in the 2015 Engineering Run, was formally approved by JLAB management; afterwards, the experiment was allotted the full run time it had originally requested: 180 PAC days, minus the 15 PAC days already used. HPS took physics quality data between March and April of 2016, integrating a total of 94 mC on target, close to its goal for the run (120 Mc).

HPS completed the final reconstruction pass of its 1.05 GeV data taken in 2015, making it available for final analyses.

HPS developed the conceptual design for a modest upgrade to its detector, which will significantly boost future performance.

HPS submitted a Beam Time Request to JLAB Management for CY 2018 consisting of 25 PAC days at 2.2 GeV and 32 PAC days at 4.4 GeV.

o EXO‐200: completely recovered from the February 2014 fire and unrelated radiation release at WIPP. The UPS systems have been refurbished and fitted with new batteries; the cryostat refrigerators have been replaced, and the cleanrooms have been leveled to account for salt motion. As expected, the cryostat has been cooled and xenon liquefied. The xenon purity is good and the resolution is as it was before the fire, as measured with a calibration source. Electronics that improve the energy resolution significantly have been commissioned. A “deradonator” to improve backgrounds from airborne radon has been commissioned. Low‐background data taking is now routine. A lack of ventilation at WIPP continues to be a problem, but so far has not interfered with data taking.

o nEXO

HV R&D tests at SLAC are ongoing, with >100 kV achieved for candidate HV cable/feedthrough. Engineering support for large "Phase III" HV test setup at LLNL is ongoing. Thermal simulation and cooling system designs are nearly complete.

nEXO TPC mechanical design and R&D are ongoing, with candidate field cage and photodetector support structure complete. Thermal simulations are ongoing for nEXO cryostat.

o MicroBooNE: Data taking with neutrino beam began in October. Tracy Usher co‐leads the MicroBooNE reconstruction effort, which has led to the first automatic reconstruction of neutrino interactions in a Liquid Argon TPC. Yun‐Tse Tsai led the MicroBooNE DAQ group that successfully commissioned the system. First results from MicroBooNE were presented at the summer conferences.



o DUNE:

The DUNE 35‐ton Liquid Argon TPC prototype was commissioned and took data in February and March. Matt Graham was the DAQ co‐lead and Mark Convery co‐coordinates the collaboration efforts in the areas of operations and analysis. The data is being analyzed to better understand the performance of this new TPC design.

SLAC providing RCE‐based DAQ system for protoDUNE‐SP, now a major construction effort by DUNE as part of its strategy for preparing for CD‐2.

o EPP Theory

Lance Dixon coordinated the KITP Precision QCD program in Spring 2016.

SLAC hosted the Dark Sectors Workshop in April 2016.

Philip Schuster and Natalia Toro initiated and completed the conceptual design report for DASEL, Dark Sector Experiments at LCLSII, a proposed facility to search for light, weakly‐coupled dark matter and associated particles.

FUSION ENERGY SCIENCES

MEC developments

o A well engineered system has been deployed to support a new mode of “standard configurations” at MEC. This system now allows quick installation of laser beam paths, XRD (x‐ray diffraction) and XRTS (x‐ray Thomson scattering) diagnostics. A dedicated assembly allows control of the shock drive laser beam under vacuum. Together with other operational improvements that enhance performance and increase the repetition rate for the glass laser, the overall efficiency of experimental operations at MEC has been greatly increased. FY 2016 saw a greater than 50% increase in the number of experiments fielded—from 11 in FY 2015 to 17 in FY 2016)—with four experiments fielded in just 11 days.

o New harmonic crystals (LBO) for the long pulse laser were purchased and installed in November 2015. These crystals resulted in a 20% boost to the laser energy compared to similar experiments in the summer of 2015. This allowed for much higher materials pressures to be achieved (for example, the liquid iron state now becomes accessible at ~4 Mbar for the first time at MEC). The crystals were also used in a very successful experiment to observe new phase transitions in silicon carbide.

o 200TW laser experiments were delayed due to damage in the compression gratings. Increasing the laser footprint is the only mitigation possible with the current gratings. This upgrade will require a new compression chamber and enlargement of the transport entrance to the MEC chamber. MEC will continue to schedule intermediate power experiments and will commission 75‐100TW experiments in the Fall of 2016. In order to maximize user time at MEC, the engineering work required for 200TW operation has been deferred until the FY 2017 shutdown.

o A pair of CSPAD quad detectors was assembled and delivered to the MEC instrument. The addition of these triples the number of CSPAD quad detectors available to MEC scientists, with a corresponding increase in angular coverage and geometric flexibility.

HED: Through operation of the S‐10 laser laboratory, high‐temporal resolution optical probing (<5 fs) and Fourier Domain Interferometry were developed in preparation for the first warm dense matter experiment at UED at SLAC.

BIOLOGICAL AND ENVIRONMENTAL RESEARCH AND NATIONAL INSTITUTES OF HEALTH

MFX First Light at LCLS

o The Macromolecular Femtosecond Crystallography (MFX) instrument is the newest instrument within the LCLS complex, adding a seventh location where LCLS users can perform experiments. It represents a significant advance by providing broader and more optimized access for structural biology users, while optimizing the overall facility for higher scientific productivity. The MFX instrument received its first light on January12, 2016, bringing to fruition the combined investment of multiple stakeholders including BER, BES, NIH‐NIGMS, HHMI, and Stanford. The event comes less than two years after the start of the project. The first user experiments were performed in July of 2016.

SSRL is developing and implementing new methodology and instrumentation for the BER and NIH‐NIGMS synergistically funded structural molecular biology program, specifically for the macromolecular crystallography small‐angle x‐ray scattering, x‐ray spectroscopy, and x‐ray absorption spectroscopy imaging beamlines, following the joint BER‐NIH program review in 2014. The SMB program also provides extensive support to BER‐ and NIH‐funded investigators in all these areas. Examples of accomplishments in FY 2016 include:

o SSRL beamline upgrades were completed and a user science program initiated on BER‐funded BL9‐2 (macromolecular crystallography) and 9‐3 (x‐ray absorption spectroscopy). New mirror optics (the so‐called M0 mirrors) and a new front end were installed and commissioned for both beamlines, and the general user program was resumed.

o X‐ray spectroscopy: the XAS imaging facilities were enhanced with high‐performing electronics and the development of data analysis software for use at the beamlines during experiment. New web‐based data acquisition software was



developed for BL9‐3 and the engineering of new instrumentation for advanced spectroscopy for the new undulator BL15‐2 was initiated.

SSRL support for NSLS macromolecular crystallography users during the NSLS‐to‐NSLS‐II transition continued in FY 2016, with access provided to BL14‐1 through staff support from NSLS‐II and from the SSRL BER and NIH SMB program.

A refurbishement plan of B006 has been initiated for the development of cryoelectron microscopy capabilities at SLAC. The first instrument, an FEI Titan Krios, purchased by Stanford University, will be installed in the building in January 2017.


BES: Effectively manage and execute LCLS‐II work scope in accordance with the Project Execution Plan. Achieve Critical Decision CD‐2, Approve Performance Baseline, and Critical Decision CD‐3, Approve Start of Construction, in FY 2016. (Objective 2.2)

(SLAC Champion: John Galayda)


The DOE Office of Project Assessment conducted a review of LCLS‐II to determine readiness for approval of CD‐2 and CD‐3. The review report concluded that the project was ready for CD‐2/3 approval, contingent on the project responses to 12 recommendations. Thevresponses were presented to the subcommittee chairs who confirmed that the project had satisfied all requirements for CD‐2 and CD‐3 in February.

The DOE Project Management Risk Committee met on February 23 to consider LCLS‐II readiness for CD‐2/3. The PMRC had no reservations, clearing the way for ESAAB.

CD2/3 was approved on March 21 and the project began construction.

The LCLS‐II project baseline is established, with variances set to 0 at the end of April 2016.

FES: Deliver standardized experimental configurations for x‐ray diffraction (XRD) and X‐ray Thomson scattering (XRTS) to increase the number of experiments and improve operational efficiency of the MEC instrument (Objective 2.3).

(SLAC Champion: Mike Dunne)

Status – Complete

Standard experimental configurations using modular engineering systems were delivered to MEC beginning in May 2016. Four experiments were successfully completed in Run 13 over an 11‐day period, May 5 to May 15, variously using the new x‐ray diffraction and the combined x‐ray diffraction and X‐ray Thomson scattering standard configurations. Excellent data were reported by the PIs of all four experiments. Fielding these experiments resulted in a 33% increase in the number of user experiments completed in Run 13 compared to equivalent periods in Run 12 (8 user experiments vs. 6 in run 12). MEC fielded a total of 17 experiments in FY 2016 compared to 11 in FY 2015, which represents an increase of more than 50%. This new mode of operation has been welcomed by the MEC user community and will continue to be selectively used in future LCLS runs.

S I G N I F I C A N T C O N C E R N S A N D MI T I G A T I O N S Concern: None

o Mitigation: None



Goal3: ProvideEfficientandEffectiveScienceandTechnologyProgramManagement


Numerical Score


Total Score


3.1 Effective and Efficient Strategic Planning and Stewardship A‐ 3.5 0.30 1.1

3.2 Project/Program/Facilities Management A‐ 3.7 0.40 1.4

3.3 Communication and Responsiveness A‐ 3.7 0.30 1.1

Overall BES Total A‐/3.6


3.1 Effective and Efficient Strategic Planning and Stewardship B+ 3.4 0.20 0.7



Overall BER Total A‐/3.5



3.2 Project/Program/Facilities Management B+ 3.4 0.30 1.0


Overall FES Total A‐/3.5





Overall HEP Total A‐/3.5

Office of Workforce Development for Teachers and Scientists

3.1 Effective and Efficient Strategic Planning and Stewardship B+ 3.2 0.20 0.6


3.3 Communication and Responsiveness B+ 3.2 0.30 1.0

Overall WDTS Total B+/3.2

National Institutes of Health



3.3 Communication and Responsiveness N/A N/A N/A N/A

Overall NIH Total A‐/3.7


Letter Grade

Numerical Score

Funding Weight^

Weighted Score


BES A‐ 3.6 0.698 2.51

BER A‐ 3.5 0.02 0.07

FES A‐ 3.5 0.017 0.06

HEP A‐ 3.5 0.26 0.91

WDTS B+ 3.2 0.001 0.003

NIH A‐ 3.7 0.004 0.01

Performance Goal 3.0 Total 3.6/A‐



BASIC ENERGY SCIENCES

LCLS

o The strategic development of the LCLS facility has been laid out in an overall facility development plan for the period 2015‐2023, published for community consultation, with additional details articulated in area‐specific strategic plans (e.g., detector development and photon data systems. An external review of the plans for new instrumentation for LCLS‐II was held in October 2015. A team of international experts assessed and subsequently endorsed the LCLS facility’s plans for



four new instruments that will be optimized for the soft‐ and tender‐ x‐ray beams from the high repetition‐rate LCLS‐II accelerator. The LCLS SAC then provided recommendations on prioritization of these plans. Increasingly detailed design and delivery plans were assessed throughout FY 2016, with emerging information published on the LCLS website for comment by the wider user community.

o This information was used for a detailed assessment, with BES, of the options for Transition To Operation for LCLS‐II. The assessment includes multi‐year budget estimates and self‐consistent allocation of resources from the improved‐efficiency operations program to the facility development and R&D programs. In‐depth management and strict prioritization has allowed substantial funds to be released that allow us to prepare for early science from LCLS‐II, alongside longer‐term developments of facility instrumentation and infrastructure for advanced experiments in subsequent years.

o The strategic development of LCLS in FY 2016 was managed in a fully integrated manner, prioritizing programs that cover sustained mission readiness; accelerator and x‐ray improvement projects; R&D; detector development; infrastructure programs; experimental operations projects; and readiness activities for LCLS‐II. This model has proven very effective, and will be sustained in future years.

o The annual LCLS/SSRL users’ meeting attracted approximately 460 attendees who participated in 11 workshops of relevance to LCLS. Specific attention was paid to the plans for LCLS‐II science, covering aspects of instrumentation, detectors, optics, sample delivery, data systems, accelerator development, and a variety of specific scientific themes.

o Workshops were also held to inform future science opportunities and facility development priorities for LCLS‐II and the proposed LCLS‐II‐HE extension. Different approaches were taken to ensure a broad input. An “end‐use” workshop on solar energy brought together the materials synthesis community with the x‐ray methods communities from SSRL and LCLS . A joint workshop with APS on XFEL oscillator concepts studied opportunities using high repetition‐rate sources in the hard‐x‐ray domain, yielding many ideas applicable for LCLS‐II‐HE. A dedicated workshop on LCLS‐II‐HE science opportunities is to planned for September 2016.

SSRL

o SSRL’s developments in operando studies continues to grow SLAC’s science program in the areas of energy materials and catalysis. This includes building collaborative programs with individual companies, consortia (such as CalCharge, Bay Area Photovoltaic Consortium, Solar Energy Materials Network), and programs at DOE centers/national laboratories (such as JCESR, the Critical Materials Institute, and JCAP Hubs).

o SSRL has partnered with LCLS to develop the nanocrystallography station, MFX, at the LCLS as well as building complementary capabilities at SSRL (BL12‐1).

o SSRL has also leveraged LDRD funding to build a high resolution, soft x‐ray detector, which has been delivered and commissioned on BL10‐1, and to develop a microtomography program in collaboration with the Stanford GCEP to study CO2 sequestration and enhanced oil recovery.

o SSRL is a major participant in the Battery 500 Consortium that aims to triple the specific energy relative to today’s battery technology.

o SSRL has an important role in the JCAP program, in particular for in‐situ electrochemistry electrode characterization via XAS. SSRL is also contributing to characterization of photoanodes created with combinatorial techniques using high throughput x‐ray diffraction methods that have been developed at SSRL (Zhou, L., Phys. Chem. Chem. Phys. 18, 9349‐9352 (2016)).

Accelerator R&D

o Collaborated with RadiaBeam on the dechirper project and successfully commissioned the dechirper in the LCLS and demonstrated electron energy chirp and FEL bandwidth control. Made innovative use of the dechirper to control head/tail parts of the bunch that lases in different undulator sections, and hence provided two‐color FEL capability with variable delays and with intensity much higher than was possible before.

o Completed the Echo‐75 program which demonstrated modulation of an electron beam at the 75th harmonic in the 2.4 micron seed laser. This 6‐year program was a ~5M$ investment by BES which focused on understanding the Echo‐Enabled harmonic Generation (EEHG) process and, beyond the milestone 75th harmonic demonstration, delivered 14 peer‐reviewed articles in PRL, PRST‐AB, and Nature Photonics and has led an experiment at FERMI in Trieste, Italy which aims to study EEHG at the 4‐5 nm scale.

o Seeding Task force was established to identify possible techniques of gaining full control of the longitudinal phase space of the x‐rays in the soft‐x‐ray wavelengths.

o Injector research directions are being developed to extend the spectral range of the LCLS‐II 120 Hz beam to >50 keV and extend the spectral range of the LCLS‐II‐HE beam from 12.8 keV to >20 keV.



o The LCLS Mission Readiness program is a multi‐year program aimed at developing state‐of‐the‐art control system, upgrades of the high‐power RF system, the vacuum systems, and other mechanical support systems. Goals include improved operational efficiency and functionality, better reliability, and improved safety systems.

o A new accelerator control room consolidates operation of all of SLAC’s accelerators and provide space for expansion needed to support LCLS‐II.

HIGH ENERGY PHYSICS

FACET

o The 14 experiments run at FACET in 2016 were approved by the program advisory committee, and the time allocated to each experiment was based on the committee recommendations.

o We continued to engage the user community through the organization of FACET‐II Science Opportunities Workshops, where information about the FACET‐II project was communicated to users and where users provided feedback on necessary features of the facility.

o We led a community effort to develop the PWFA component of a 10‐year Advanced Accelerator R&D Roadmap that was subsequently published in a DOE report.

o FACET‐II Project CD‐1 was signed in late December. The FACET‐II CDR and TDR were completed. The CD‐2/3A review was held September 13‐15, 2016.

PWFA‐Applications Task Force

o The Plasma Wakefield Acceleration Application Task Force was established in early FY 2016 and continues to solicit input and evaluate proposals for a target first application.

DASEL

o DArk Sector Experiments at LCLS‐II (DASEL) is a new initiative, that will deliver a low‐current, continuous electron beam to End Station A (ESA) by filling unused buckets from the LCLS‐II linac and building a new kicker and transfer beamline to divert them into the existing ESA beamline. DASEL extracts beam downstream of the LCLS‐II x‐ray lines and, therefore, does not affect LCLS‐II operations. DASEL is a unique, timely, and cost‐effective opportunity to enable high‐impact dark matter and dark force experiments. A letter of intent describing a preliminary design, cost, and schedule received an internal review in August and was delivered to DOE in September.

In response to the DOE/HEP RFI for workforce development in accelerator physics, we developed a concept for an Accelerator Research and Education Center and delivered a white paper to HEP in December 2015. The white paper details a proposed increase in the number of accelerator physics graduate students from the current level of 18 to about 50 students in 2020. SLAC discussed the Center proposal with the Stanford Applied Physics Department in March and the plan is currently being refined. SLAC also made initial contacts with UC Santa Cruz, CalTech, Cal Poly, UCLA and others about recruiting students.

HEP Strategic Partnership Projects (SPP, TID)

o Successfully designed an ASIC for use in a Improvised Explosive Device (IED) detection system. The ASIC has been fabricated and tested, performs as specified, and has been incorporated in a prototype system at the commercial company. This system will enable the U.S. Army to more efficiently and safely detect IED’s.

o Successfully designed a SPAD‐ (Single Photon Avalance Diode) based ASIC for use in a driver‐less car system. Eventually this will allow the start‐up company to reduce the size of the instrumentation and power and increase the performance of the detection system.

o Is leading the effort to establish U.S. based, bump‐bonding vendor for ATLAS LHC‐HL pixel upgrades. This effort will allow the production manufacturing for the pixel upgrade project.

o Established a collaboration between the Advanced Instrumentation for Research Division (AIR) in the Technology Innovation Directorate and the Stanford Department of Electrical Engineering to design and build a systems engineering laboratory called the System Prototyping Facility (SPF). The main facility was built on the Stanford campus where partners can now obtain assistance with designing, assembling, and evaluating electronic circuits and systems. Depending on the scope of the project, work will be conducted at Stanford or jointly with SLAC instrumentation experts who have a long history of developing turnkey, complex systems from concept to implementation. The customer base for the facility will likely include Stanford researchers in the areas of engineering, computation, neurology, robotics, and biology. Further customers will likely include start‐up engineering and programming companies in the Silicon Valley. This collaboration was negotiated and signed under a novel Strategic Partnership Project between SLAC and Stanford’s Department of Electrical Engineering. This endeavor will further enhance SLAC’s relationship and collaborations with the Stanford campus as well as with local Silicon Valley companies.



o Established a new SPP with the European X‐Ray Free Electron Laser Facility, which needs large area x‐ray detectors to provide a broad range of spectroscopy, imaging, and scattering techniques for its user experiments. SLAC will build and provide ePix100 and ePix10k, integrating hybrid pixel detectors that were originally developed at SLAC under DOE detector R&D‐funded research.

o Initiated design of a 150 MeV electron accelerator for the Rensselaer Polytechnic Institute (RPI) (to replace an aging facility) for neutron production experiments to support current and future nuclear cross‐section work by both Bechtel Marine Propulsion Corporation – Knolls Atomic Power Laboratory (BMPC‐KAPL) and the Nuclear Criticality and Safety Program (NCSP) in support of the U.S. Navy’s propulsion program. These experiments aim to enhance the nuclear data bank libraries that are critical for designing efficient nuclear reactors as fossil‐fuel alternatives for energy. These include keV to MeV neutron cross‐section measurements and thermal cross section measurements. These experiments require short pulse‐widths (5.4 to 250 ns), up to 150 MeV electron beams, and pulse repetition rates from 25 to 800 Hz.

o Supports a collaboration between the European Space Agency and NASA to develop the Athena Wide Field Imager (WFI) next‐generation x‐ray satellite observatory through a NASA‐funded collaboration with the Kavli Institute for Particle Astrophysics and Cosmology (KIPAC) at Stanford and Penn State University. Research and development for the Athena WFI at Stanford/SLAC involves the evaluation of high speed, low noise readout schemes for DEPFET (DEPletion Field Effect Transistor) detectors. Scheduled for launch in 2028, Athena will be the premier European high‐energy astrophysics mission of the 2030s.

o Devised a new strategy for arriving at high rate detectors for use in LCLS‐II x‐ray experiments. The cameras are based on the ePix ASIC architecture used for LCLS‐I (120 Hz), but are modified to run at multi‐kHz rates with detailed plans to be able to run at 5‐20kHz at first light, with a strategy to achieve even higher rates in future years. This performance will enable running experiments at rates compatible to the LCLS‐II accelerator rate profile over time.

o Successfully bump bonded a set of CLICpix circuit chips and sensors under contract to CERN.

o Established an SPP with a local startup and performed specialized micro‐fabrication on their sensors and integrated circuit chips.

o Under an SPP with another local startup, designed a high‐speed integrated circuit chip and unique optical sensors.

o Led the development of a revamped externally accessible website to assist potential and returning sponsors and collaborators in establishing partnerships with SLAC, either through an SPP, SBIR/STTR, by using the scientific user facilities, or negotiating a CRADA or licensing arrangement. This website will provide examples of successful collaborations; provide process flow information and contacts; and frame important institutional information and scientific capabilities of SLAC. It will also cross‐link to Stanford’s Office of Sponsored Research, the Department of Electrical Engineering, and other departments on campus as collaborations are established.

BIOLOGICAL AND ENVIRONMENTAL RESEARCH

The Bioscience Division conducted a Science Advisory Committee review of a new enzyme to ecosystem program. Key are new collaborations with JGI, LLNL, and JBEI. Three pilot collaboration projects have been initiated with JGI on ammonia oxidizing archaea, lignin valorization and CO2 fixation, which is expected to demonstrate new capabilities of collaborative workflow between JGI’s synthetic biology and BSD’s protein production and structural analysis.

Through strategic planning, funded after thorough peer‐review, integrated multi‐technique biology research capabilities are implemented as a unique core competency at SSRL. They directly drive research of high scientific relevance using ”hybrid” approaches across a range of length and time scales. New methods, techniques, instrumentation and support continue to be provided to BER investigators as part of the Structural Molecular Biology program.

SSRL cross‐user facility research interactions: plans and processes for interactions between SSRL and other BER‐funded user facilities have been initiated and meetings have been held with potential national laboratory counterparts. These plans include participation in BER‐driven workshops and meetings and initiatives that involve the five DOE‐funded x‐ray facilities, the Oak Ridge neutron facility, JGI and EMSL to engage with BER and in support of BER’s program mission. The SLAC Biosciences Division has initiated collaborations with JGI, as described under Goal 1, which provide a strong connection for the cross‐user facility research interactions.

SLAC hosted a trienniel international conference on Biology and Synchrotron Radiation in August 2016, in collaboration with the other U.S. and Canadian light sources and RCSB‐PDB. The conference attracted 210 participants in nine sessions.

NATIONAL INSTITUTES OF HEALTH

Program management for science and technology followed the plans for SSRL’s Structural Molecular Biology program, as defined in the proposal to the joint NIH‐BER program, reviewed in 2014 and strongly endorsed by the NIH review committee (NIH and BER synergistically fund the program). It provides a unique program in the U.S. covering all major x‐ray‐based structural biology methodologies within one integrated center. Examples of accomplishments in FY 2016 include:



o Major progress in the delivery of new capabilities for the NIH science mission and program, and for the SSRL SMB program, was accomplished with the successful planning and external fundraising for a new micro‐focus undulator beam line for macromolecular crystallography (BL12‐1). A highest‐performing fast pixel array detector (PAD) for BL12‐1 for microcrystal studies was specified and procured with partial funding from NIH. It will be implemented in FY 2017, providing a world‐class facility for structural biology research.

o SSRL SMB x‐ray spectroscopy: the development to augment the experimental facilities with a software suite for theoretical calculations, enabled by an NIH‐funded computing cluster, was initiated and will be provided to NIH‐funded researchers with support from SMB staff in FY 2017. This development will enable new structural and electronic information to be obtained for NIH science mission projects. Web‐based XAS data acquisition software was developed for BL7‐3 that will enable remote‐access capabilities in a second phase, enabling meeting the programmatic needs. The engineering of new instrumentation for time‐resolved x‐ray emission spectroscopy was initiated and will enable novel experimental approaches to understanding metalloenzymes using the structure‐function paradigm.

o SSRL SMB small‐angle x‐ray scattering: advances were made in automation for sample delivery; the commissioning of a new SAXS‐size‐exclusion‐column setup and its integration with the data acquisition system was completed; time‐resolved SAXS was further enhanced with the acquisition of a high‐performance PAD detector funded through a competitive NIH grant award; and significant software development progress was made, particularly for instant data analysis for live results at the beamline during the data acquisition.

WORKFORCE DEVELOPMENT FOR TEACHERS AND SCIENTISTS

The SLAC Regional DOE Science Bowl

o The Science Bowl is a high‐school academic competition using a fast‐paced question‐and‐answer format that tests students’ knowledge in biology, chemistry, Earth sciences , physics, energy and math. The winning team qualifies to compete in the DOE National Science Bowl in Washington, D.C. The Science Bowl encourages local students to excel in science and math and pursue careers in these fields. Many former students have gone on to post‐graduate studies, have thriving careers in STEM, and have also returned to this annual event at SLAC to help run the competitions as moderators and science judges. At this year’s Science Bowl, 24 teams of approximately 120 students of diverse backgrounds competed and about 50 people volunteered.

EERE

o In mid‐February, Stanford and SLAC served as host to a number of leaders from EERE who discussed their programs, goals and vision for the future. Stanford and SLAC faculty and staff also had the opportunity to meet with EERE staff and present their research ideas in breakout sessions about specific program areas.

KEY LABORATORY RECRUITMENTS

Simon Bare has been recruited to lead the catalysis effort at SSRL and form a bridge with the Chemical Sciences Division at SLAC.

Sila Kiliccote was recruited from LBNL and Google to lead the smart grid effort at SLAC and our efforts with the Grid Modernization Lab Consortium.

Dave Chassin, an expert in transactional energy systems, was recruited from PNNL to support the smart grid effort at SLAC.

Alex Aiken, chair of Stanford’s Computer Science Department, has been appointed as the division director of the new Computer Science Division in SLAC’s Science Directorate.

JoAnne Hewett was appointed deputy ALD for the Science Directorate.

Frederico Fiuza has been recruited into HED group leader position for the newly formed division.

Natalia Toro and Philip Schuster joined the Particle Physics Theory Group as associate professors.

Lia Merminga was recruited as associate laboratory director for the Accelerator Directorate.

Bruce Dunham was recruited as deputy director of the Accelerator Directorate.

Alessandro Ratti and Joseph Delong were recruited as division Director and deputy division director for the Electronics Engineering Division of the Accelerator Directorate.

A new Engineering Engagement Initiative was launched under the leadership of the Accelerator Directorate. A committee was formed in May 2016 and a first all‐hands meeting was held in August 2016.




BES: Working in conjunction with LBNL and JCAP‐South, successfully execute a plan to transition JCAP R&D from hydrogen production to carbon dioxide reduction for the second phase of the Hub, as measured by the FY 2016 Progress Reports and Review (Objective 3.2).

(SLAC Champion: Tony Heinz)


Weekly web‐based meetings have been established across JCAP to ensure effective program integration of research in CO2 reduction chemistry.

JCAP has a new project structure reflecting the focus on CO2 reduction. Tom Jaramillo is in charge of the Thrust on electrochemical CO2 reduction

The JCAP all‐hands meeting at Asilomar on March 22‐24 demonstrates commitment from JCAP to concentrate efforts on CO2 electrochemistry. A large fraction of the time is spent on developing collaborative projects in this area. This includes operando spectroscopy studies of CO2 reduction catalysts at SSRL, in collaboration with SSRL staff and LBNL/JCAP. Thomas Jaramillo has also initiated collaborations with the electrochemical surface science group led by Manuel Soriaga at CalTech/JCAP.

BES: Provide effective leadership, management, and integration of LCLS‐II partner laboratories and collaborating institutions to ensure that project requirements are met (Objective 3.2).

(SLAC Champion: John Galayda)

o Status – Complete through FY 2016

With the approval of CD‐3 in late March 2016, the LCLS‐II participating labs began construction on the project.

- SLAC and the partner labs have a functioning collaboration that has produced a robust integrated project plan. - Integration of the collaboration’s plans has been accomplished in the resource‐loaded schedule. - All tools for tracking and assessing project status are in place and functioning. - SLAC has assembled a competent cryogenics staff that is monitoring and participating in partner labs’ work on LCLS‐

II. - As mentioned under notable outcomes (BES Objective 2.2), DOE approved both CD‐2 and CD‐3 in March 2016.

Variances were set to zero at the close of April business. - Through July, the project has maintained its cumulative SPI and CPI at 1.00 and 1.00, including all SLAC and partner

laboratory work.

o For work performed at SLAC: SPI/CPI is 1.02/1.03 o For work performed at FNAL: SPI/CPI is 0.98/0.98 o For work performed at JLAB: SPI/CPI is 1.00/0.99 o For work performed at LBNL: SPI/CPI is 0.97/1.02

End‐of‐July actuals and EAC show contingency is at 31.7% on work‐to‐go for the project, overall.

46% ($170M million) of all the project’s procurements are awarded, with overall pricing below the summed estimates.

Fermilab has constructed the first of two prototype cryomodules. First measurements of performance at high power are expected before the end of FY 2016.

SLAC and LBNL personnel have collaborated to demonstrate LCLS‐II physics requirements will be met by the LBNL‐designed VHF gun. This was achieved in tests with the APEX gun located at LBNL.

ANL and LBNL have collaborated to incorporate the vertical polarization undulator in the project baseline, simultaneously improving the performance potential in the hard x‐ray regime and cutting project cost by re‐use of hardware installed by the LCLS project.

JLAB has awarded the major cryogenic refrigeration systems (4.5K coldbox, 2K cold compressors) and niobium cavity fabrication, and actively manages these contracts.

JLAB and FNAL have collaborated effectively and efficiently to characterize the performance of niobium purchased for LCLS‐II cavities.

FNAL and JLAB have worked together to communicate FNAL’s lessons learned in construction of the first cryomodule to JLAB.

SLAC has awarded contracts for equipment removal from the linac housing and klystron gallery. This work is on schedule for completion in December, as required to start installation of LCLS‐II linac hardware in January 2017. SLAC‐led procurements of solid‐state RF amplifiers and fundamental power couplers are awarded and on track to achieve



project schedule objectives. The cryoplant building was awarded with pricing very close to budget, and on schedule to achieve beneficial occupancy in April 2017.

So far, coordination of procurements and maintenance of supply chains for the first cryomodules has been excellent.


BES Notable Outcome for LCLS II

o Concern: LCLS‐II requires SLAC guidance on controls hardware standards in order to complete design and manufacture of real‐time controls for LCLS‐II. A down‐select by the end of the fiscal year would be beneficial to the project.

Mitigation: The SLAC Accelerator Directorate (AD) has made key hires in the area of controls and diagnostics. This has significantly strengthened the ability of SLAC to support LCLS‐II needs in the area of computer controls.

o Concern: The project is encountering challenges with effectively meeting cost and schedule for design activities at FNAL.

Mitigation: FNAL has adequate technical staffing to meet design cost and schedule project requirements. LCLS‐II and FNAL management have worked to improve communication between SLAC and FNAL teams to anticipate cost growth and take appropriate action. The FNAL resource‐loaded schedule is now well‐integrated in the project baseline, and work is proceeding well in support of overall project goals.

o Concern: Good ISM is required at SLAC and partner labs as there is no room for complacency in safety management.

Mitigation: LCLS‐II personnel at SLAC and all partner labs are performing work in conformance with their respective ES&H policies and procedures. LCLS‐II managers at all labs are actively managing safety aspects of the projects’ work. As of July 2016, the LCLS‐II laboratories have worked 1.44M hours, experiencing one DART and one TRC.

o Concern: Sufficient staffing at JLAB to support FRIB project and LCLS II cryogenic plant design.

Mitigation: LCLS II and JLAB management are working to increase on‐site operational support and staffing at JLAB to fully support the project. SLAC has dedicated four SLAC employees to support work at JLAB. Additional support may be required; two more cryogenics experts have been hired by SLAC and will be assigned to support work at JLAB. To date, SLAC staff resident at JLAB have collaborated very effectively with JLAB cryogenics experts to support the project. These engineers will return to SLAC with in‐depth understanding of LCLS‐II cryogenic refrigeration systems and the best possible preparation to effect the transition to operations for these systems.



Goal4: ProvideSoundandCompetentLeadershipandStewardshipoftheLaboratory

Element Letter Grade

Numeric Score

Objective Weight

Weighted Score

Total

4 Provide Sound and Competent Leadership and Stewardship of the Laboratory (Goal Weight: 25%)

4.1 Leadership and Stewardship of the Laboratory A‐ 3.6 0.34

4.2 Management and Operation of the Laboratory A‐ 3.5 0.33

4.3 Contractor Value‐added A+ 4.2 0.33

Performance Goal 4 Total A/3.8


Elements in support of 4.1 – Leadership and Stewardship of the Laboratory

SLAC took steps to secure its position as the world‐leading ultrafast X‐ray laboratory, strengthening its R&D program in FEL physics and detectors to enhance the capabilities of LCLS, focusing research divisions and the user community on important scientific problems and the development of LCLS‐II instrumentation, and optimizing operations to increase the number of experiments performed. The Photon Science Laboratory Building, currently under construction, will add critical needed space for detector, optics and laser R&D, as well as user collaboration space. The laboratory’s recently established computer science division will bring world‐class faculty from Stanford’s computer science department to tackle the data and other challenges of LCLS‐II.

SLAC has strategically expanded its program into new DOE mission areas that leverage LCLS and SSRL, bringing unique capabilities and expertise to address problems in FES and BER. A nascent program has also started in NP in FY16. In addition, SLAC has leveraged Stanford’s energy research portfolio to start several new programs in batteries (EERE), grid modernization (EERE), the geochemistry of fracking (Fossil), and advanced manufacturing (EERE).

SLAC continued to strengthen engagement with Stanford University through strategic joint efforts and initiatives: SLAC partnered with the Stanford Precourt Institute of Energy to launch “Bits & Watts,” a new grid modernization initiative; SLAC/Stanford seed‐funded the computer science division at SLAC and initiated a cryo‐EM effort at the laboratory; and Stanford fund‐raised for a faculty chair position for SLAC.

SLAC continued to perform well in managing projects of a wide range of sizes, most notably the multi‐partner collaboration for LCLS‐II. SLAC also provided assistance to SC by establishing the new Project Leadership Institute.

SLAC implemented a process for each mission and operations organization to prepare business plans in line with the SLAC Agenda, SLAC Strategic Plan and the Annual Lab Plan. These business plans ensure the alignment of objectives and priorities across the laboratory, enhance accountability and play an important role in tracking progress.

SLAC, through its core capabilities in X‐rays, accelerators and detectors continued to manage new and ongoing partnerships with scientific communities. The laboratory executed a CRADA with ESS (European Spallation Source) to collaborate on next generation LCLS‐II technology and entered a strategic partnership agreement with IHEP (Institute of High Energy Physics, China) to provide expertise in the design of the Chinese Electron Positron Collider.

SLAC continued to leverage relations with private industry aligned with the research missions of the laboratory. SLAC closed on an intellectual property license with a long‐term industry partner, enabling them to manufacture SLAC‐designed klystron components and sell them commercially. The laboratory also executed a CRADA and an intellectual property license to bring in industry funds to increase SLAC capabilities in sensor engineering, increasing the likelihood of the commercialization of new sensor designs.

SLAC continues to build its profile within the Silicon Valley community, promoting awareness of the laboratory's research and capabilities. SLAC actively participated in high‐profile events (i.e. the Google‐X Science Fair) and innovation/technology forums designed to bring together industry and venture capital groups. The lab developed new partnerships with local start‐ups to help advance their research and hosted industry gatherings to showcase the lab's capabilities, emphasizing how these might be leveraged.

Elements in support of 4.2 – Management and Operation of the Laboratory

SLAC has sustained flat indirect rates while still achieving the following:

o Maintaining safe, effective and efficient mission and operations excellence

o Reducing support costs

o Enabling an investment portfolio capable of achieving mission readiness strategies



o Improving program development and creating and maintaining an LDRD program

SLAC has enhanced business performance metrics reporting for DOE program budget reviews that demonstrates SLAC’s strong management of “cost of doing business.”

o SLAC provided DOE SSO with a white paper describing Laboratory strategy.

SLAC redefined the “Performance Guidance Process” and enabled more accurate linkage of all employee efforts to the Laboratory’s mission and operations. The redefined process provides a mechanism for fostering productive, growth oriented feedback, coaching, and a performance growth orientation.

SLAC is issuing a major revision of the SLAC Issues Management Program (IMP) that includes significant improvements to the process and alignment with the software tool (now called the Action Tracking System). The changes emphasize that the purpose of the program is to sustainably manage issues rather than just track progress on closing corrective actions. The IMP document also incorporates improvements to the abnormal event investigation process, including the fact finding process for significant operational events. The IMP document should be issued by the end of FY 2016. The software upgrades, which include improved reporting capability, are targeted to be completed by the end of the 2016 calendar year.

Working with the Stanford Vice President for SLAC and the SLAC Board of Overseers (BoO), the Laboratory continued to improve the Laboratory’s Enterprise Risk Management Program (EMRP). The program provides a systematic approach to identify, evaluate, prioritize, and mitigate risks that may impact the mission and operational success of the Laboratory. The SLAC ERMP, with Stanford/BoO oversight, provides reasonable assurance to key stakeholders that the Laboratory mission and operational objectives can be achieved and enables effective risk communication through a SLAC Executive Risk Register. The SLAC ERMP also links risk management with assessment planning. In November 2015, the BoO, SSO, and SLAC held a very effective joint session to review the SLAC ERMP process, the Executive Risk Register, and the planned SLAC assessment schedule. Throuout the session, SLAC, Stanford, and SSO worked together to help ensure SLAC performed risk‐based assessments that drove operational improvements.

SLAC issued a significant revision of the Institutional Assessment Program (IAP) document. The program and document provide a risk‐based, aligned portfolio of tactical and strategic monitoring and feedback mechanisms that enable innovative, effective, efficient, safe, and compliant mission achievement and operational excellence. The revised IAP is aligned with the SLAC ERMP and Directors Assurance Council processes. It was issued on June 1, 2016.

Elements in support of 4.3 – Contractor Value‐added

Following a discussion between Stanford's President and DOE Secretary Moniz, and in response to the report by the Commission to Review the Effectiveness of the National Energy Laboratories (CRENEL), Stanford partnered with the DOE SLAC Site Office (SSO), SLAC, DOE‐SC and DOE Headquarters to develop a new model management and operating contract for fundamental science research laboratories in the DOE system. The new model contract, termed “RWG” (or “Revolutionary Working Group”), was signed on September 14, 2016 and will be a major contract modification to replace the previous SLAC contract. The new RWG contract modification will take effect on October 1, 2016. Major improvements in the new RWG contract include the following:

o Alignment of the contract with Laboratory planning and the DOE‐SC PEMP

o Incorporation of many Stanford University business processes into the contract

o Tailoring of requirements to the mission, operations, and risks associated with SLAC

o Removal of duplicate and/or contradictory contract language and/or requirements

o Alignment of accountability and responsibility with DOE line management

o Solidification of the strong and positive relationship between Stanford, SSO, and SLAC that enables trust, transparency, and teamwork.

The RWG contract modification was a major effort that required continual support, collaboration, and coordination between Stanford, SLAC, SSO, DOE‐SC and DOE Headquarters. The RWG contract modification was also achieved in a remarkably short time frame and will serve as a model for future contract improvements across the complex.

Major construction of the Photon Science Laboratory Building (PSLB) continues in 2016. The Stanford‐funded portion of the PSLB project is on schedule to be completed in the Fall of 2016. The three‐story, 105,000 square‐foot building will provide much‐needed space for the Laboratory’s growing portfolio of research in materials, chemical, biological, and energy sciences and in other areas, and will enhance collaborations between Stanford and SLAC scientists. SLAC is developing plans and designs for the specific scientific program usage of the laboratory spaces in the PSLB. Plans include supporting the LCLS and SSRL user programs.

SLAC completed the development of a new report, “SLAC+Stanford, “which presents an overview of SLAC and Stanford interactions. The report, which will be updated annually, showcases and consolidates important SLAC+Stanford collaborations, initiatives, and science highlights for the year.



SLAC is leveraging cybersecurity tools from Stanford. Most notable are Airwatch and DUO Authentication to SLAC. Additionally, Stanford is a service provider for other tools, such as CrashPlan and Qualys (vulnerability scanner).

SLAC, Stanford University and DOE representatives met with the State Historic Preservation Office (SHPO) in Sacramento, where an agreement was reached on a survey methodology towards completion of Section 110. An outcome of the application of the survey was submitted in a report to the SHPO. SLAC/DOE reached concurrence with the SHPO on historic properties at SLAC for the “Linac Fixed Target Era” for 1962 to 1970. The parties further agreed that the next period of SLAC’s history (SPEAR Era: 1971‐1976) will be evaluated in 10 years. This agreement marks a milestone in SLAC’s Section 110 compliance efforts and is a platform for streamlining Section 106 compliance.

Received SHPO concurrence on Section 106 submittals for removal/demolition of 33 trailers, and Quad landscaping.


SSO: Develop and implement a risk‐based campus infrastructure strategy that fully supports the ongoing and future mission requirements, including a plan to mitigate the funding risk of the k‐subs that incorporates a successful cost, scope, and schedule for FY 2016 (Objective 4.2).

(SLAC Champion: Russ Thackston)


The newly formed Infrastructure Planning Group of Facilities and Operations has been created and is staffed and focused on mission readiness, long range planning, operational planning, and space planning.

Facilities and Operations developed and led implementation of a risk‐based process to prioritize infrastructure projects, including projects from Facilities and Operations, Environmental Health & Safety, and Information Technology. The three‐phase process uses criteria that consider mission, cost and schedule, health/safety/security, and environmental risks, return on investment (ROI) and other laboratory criteria as defined by senior leadership. The process integrates infrastructure requirements and science initiatives through lab‐wide collaboration, the SLAC Strategic Plan, unit business plans and the Annual Lab Plan.

Using this process, F&O developed and began implementation of a long‐term, risk‐based campus infrastructure strategy that supports ongoing and future mission requirements.

A contract for long lead equipment needed for K substation replacement of linac sectors 0 to 8 has been awarded; receipt of equipment on‐site has begun.

S I G N I F I C A N T C O N C E R N S A N D MI T I G A T I O N S Concern: While PSLB provides a significant growth opportunity for SLAC, specific program usage is still being identified.

o Mitigation: PSLB space and lab planning will be fully aligned with SLAC’s growth strategy and include support of LCLS and SSRL user programs. SLAC has begun active communication with DOE program sponsors to determine lab space and design needs.



Goal5: SustainExcellenceandEnhanceEffectivenessofIntegratedSafety,HealthandEnvironmentalProtection


Numeric Score

Objective Weight

Weighted Score

Total

5 Sustain Excellence and Enhance Effectiveness of Integrated Safety, Health, and Environmental Protection

(Goal Weight: 30%)

5.1 Provide an Efficient and Effective Health and Safety Program B+ 3.3 0.60

5.2 Provide Efficient and Effective Environmental Management System

A‐ 3.6 0.40

Performance Goal 5 Total B+/3.4



Elements in support of 5.1 – Provide an Efficient and Effective Health & Safety Program

SLAC has targeted effort in FY 2016 toward implementing a program and achieving results in reducing the severity and frequency of non‐office ergo‐related injuries. Accomplishments include:

o Developed an ergonomic training module for all SLAC employees and their supervisors (n=271) performing work associated with the removal and relocation of equipment from S0‐10 of the Linac. Additionally, completed 13 ergonomic screening assessments associated with tasks that were performed. Based upon these assessments, work practices, equipment, and tools to reduce risk and increase efficiency were identified and implemented. Thousands of items were recovered from the linac (e.g., klystrons, magnets, copper waveguides, vacuum pumps, control systems, position monitors, power supplies, etc.) with no injuries. Furthermore, tailgate discussions that include ergonomics practices are continuing with the demolition contractor since June, with no injuries.

o SLAC ESH is partnering with F&O Division management and staff to provide ongoing support in identifying and assessing at‐risk activities. Multiple improvements in work practices and equipment modifications/upgrades have been identified.

Through the end of Q2, total recordable cases (TRCs) and days away/restricted time cases (DART) are, respectively, down 50% and 44% over the same period last year. The lost/restricted day rate was also down by 21%. Most notably, there was only one recordable office ergonomic case (compared to an average of 7 per year over the previous four years), and 7 recordable non‐office ergonomic cases (compared to an average of 12 per year over the previous years). In addition, SLAC achieved a milestone of five years without a construction project‐related DART (0.8M work hours).

Laser program efficiency improvements included developing a common “General Laser Lab Safety” document and lab‐specific SOP documents, revisions/updates of training (DOE EFCOG Laser Safety Task Group and the National Training Center), and the release of a laser safety database tool to streamline electronic approvals for laser personnel and laser facilities. Initial rollout has occurred in two laser facilities, which will expand to all laser facilities in Q1 FY 2017. The new tool was a custom‐developed, web‐based application built according to consensus standards (RWD) with connections to training systems and electronic workflow‐based approvals.

New laser operations were approved for: LCLS FEE and Hutch 4.5, SSRL B130 lab, B40A labs for PULSE‐Heinz and SIMES‐UHV.

Reduced inventory of radioactive sealed sources, including 40 sources inside obsolete BSOIC radiation detectors, through rad waste disposal.

Triennial DOELAP on‐site assessment on external personnel dosimetry program was conducted with no deficiency findings.

Successfully completed the Radiation Calibration Facility Cs‐137 source well upgrade project, significantly reducing risk associated with our most active sources.

Supported substantial safety designs for:

o LCLS‐II: i) FAC, Director, and DOE CD2/3 reviews; ii) external review of high power dumps; iii) stoppers, collimators, and dumps and their interlocks for FEL beam containment; iv) finalized HX2 LCW system requirements for BSY dump and EBDs with the latest CEBAf type design; v) PPS modification for BTH access; vi) electron ray study for BSY HXR; vii) design and development of radioactive Air Monitoring System and Perimeter Monitoring System, viii) support design and CDR development for LCLS‐II FEL instruments (total of 4 instruments); ix) design and code compliance reviews for Cryoplant, fire protection, and life safety; x) meeting requirements of National Environmental Policy Act, Environmental Assessment for wildlife, archaeology, and stormwater protection.

o SSRL new Gun Test Facility in Linac vault and BL15‐0 design.



o New LCLS MFX beamline in hutch 4.5.

Supported hazard analysis and controls for MEC laser experiments, including 3‐J solid target, gas target experiments, and shielding plans for long‐term operation at higher energies of up to 8 J. Completed journal publication for the revised photon dose yield model based on comprehensive calculations with PIC and FLUKA codes. Developed the request for exemption package for MEC short pulse laser operation from Accelerator Safety Order O420.2c.

Implemented several project safety/Building Inspection Office improvements, such as a HPI‐based Managing Maintenance Error Course; improved nanonmaterials safety plans and training; and enhancements to the Project Review System.

Elements in support of 5.2 – Provide Efficient and Effective Environmental Management System

SLAC's Zero Waste Program was implemented in B051and 120, further expanding the program to a total of 14 buildings and 2 trailers (representing approximately 75% of the staff). SLAC continues to exceed the DOE's municipal waste reduction goal of 50%.

In support of the Associate Director of Science for BES and the Manger of the Brookhaven Site Office, SLAC’s Environmental Protection Manager served as committee chair for the DOE Review Committee on the Long Term Stewardship Program at the Brookhaven National Lab to assess accomplishments for Fiscal Years 2014 and 2015 and evaluate planned activities for Fiscal Years 2016‐18.

Remediation activates included application of in‐situ chemical oxidation to reduce groundwater concentrations of organics at the Former Solvent Underground Storage Tank. The area and concentration of VOC‐impacted groundwater continues to be reduced and are meeting the cleanup goals.

Accelerated contaminated soil removals at six sites reviewed by the California Regional Water Quality Board (CA RWQCB); resulted in approximately 900 cubic yards of primarily PCB‐impacted soil excavation and off‐site disposal.

The Final Baseline Risk Assessment for the West SLAC Operable Unit and the Final Feasibility Study for the Research Yard were approved by the CA RWQCB. These are substantial deliverables required under the Board Order Site Cleanup Order issued to Stanford University and the U.S. Department of Energy.

A hydrodynamic sedimentation unit (HSU), to be installed upstream of the IR‐6 Drainage Channel to reduce transport of PCB‐impacted sediment in stormwater, was selected and design‐documents prepared. Reducing re‐accumulation of PCB‐impacted sediments in the channel is expected to reduce or eliminate the need for future periodic channel excavation.

Completed a major revision to the Storm Water Pollution Prevention Plan, as required under the new Industrial General Permit which will have increased public visibility.

Obtained a score of “green” on the annual Environmental Management System Scorecard for FY 2015.

Initiated efforts to support site cleanup activities associated with Stanford benefactor funded work: i) identified and rubblized 2K yd3 of concrete, which was then used for baserock for PSLB construction project; ii) identified and approved through SHPO 33 “temporary” trailers for decommissioning (six demolished and removed by the end of the fiscal year); iii) triaged 53 connex/sea‐train containers, with 20 disposed and the balance to be completed in FY 2017, pending funding; and iv) 11 unused bulk storage tanks disposed.

In support of the Sector 0 – 10 equipment removal and disposition project, SLAC and the contractor recycled 200 tons of metal from the klystron gallery. Construction was completed for two material laydown areas, which are designed to minimize the impact to the environment of accelerator materials placed temporarily outdoors. A 5,000 ft3 tent was constructed at the magnet storage yard (MSY) to eliminate the requirements associated with storing radioactive materials outdoors.

The Beam Dump East (BDE) project was commissioned to recycle metals and dispose of hazardous and radioactive waste. Thirteen tons of metal have been recycled from this area. Thirty concrete shield blocks were disposed of as hazardous waste. Fifty yd3 of radioactive materials were shipped offsite. Fifteen unneeded tanks were removed from the area and disposed. Twenty yd3 of hazardous waste were disposed of from the site.

Development of DOE Technical Standard DOE‐STD‐6004 (2016) “Clearance and Release of Personal Property from Accelerator Facilities,” which creates major values to DOE complex for metal recycling and release projects and activities.

S T A T U S O F NO T A B L E OU T C OM E ( S ) SSO: Evaluate/update the current Cryo/Pressure safety program(s) to adequately address the current SLAC and future LCLS‐II

mission needs (Objective 5.1).

(SLAC Champion: Brian Sherin)


SLAC has made numerous improvements to Cryogen safety programs, including the following:



- Thorough review of program documentation and benchmarking with LCLS‐II partner labs' analogous programs. This resulted in programmatic changes to pressure safety systems (Chapter 14) and cryogen safety (Chapter 36). Changes included updating of codes and standards, a greater emphasis on working with helium, better descriptions of engineered controls, and a strengthening of the interface between cryogens and pressure safety to ensure that LCLS‐II and SLAC needs are addressed.

- Improved SLAC programs to anticipate/address mission needs precipitated by LCLS‐II, including development of engineering notes. These notes serve to align and document collaborating partner labs’ design codes of record; describe the requirements of LCLS‐II project pressure systems during installation; and facilitate collaboration.

- Conducted reviews of designs and risk‐assessments related to the project, which resulted in the Preliminary ODH Assessment Review Committee giving feedback to the project on areas for improvement.

SSO: Demonstrate effectiveness of line management implementation of hazardous waste management requirements at the waste‐generating locations around the site (Objective 5.2).



The annual (2015) Hazardous Waste Inspection conducted by the San Mateo Office of Environmental Health (CUPA) reported site‐wide improvements in housekeeping particularly seen at the machine shops, a 200% improvement from 2014, and a high degree of compliance with regulatory requirements. No violations were documented, which indicates that SLAC personnel are committed to “doing it right “ and are consistently working to improve their work practices

SLAC’s Waste Management Group continues to provide ‘focus trainings to different groups resulting in more targeted training where specific hazardous waste management issues are quickly identified and resolved. Ongoing monthly assessments of waste generating areas are being conducted for continuous and consistent compliance. More than 75% of hazardous waste generation/storage locations have been evaluated, with less than 10% having any findings.

S I G N I F I C A N T C O N C E R N S A N D MI T I G A T I O N S Concern: A joint assessment of the pressure safety program was conducted during Q4, which identified a number of issues

as level 2 (L2) or level 3 (L3). Although no single issue was significant by itself, collectively they indicate that the administration, execution and oversight require improvement. Specific program issues include:

o During Q2 of FY 2016, it was determined that changes to the engineering notes and ESH manual chapter allowed for the use of the European Union Pressure Equipment Directive (PED) rather than the legally mandated codes of the American Society of Mechanical Engineers (ASME). To address this issue, a white paper was generated and submitted to the Site Office describing an equivalency of the PED to ASME. The Site Office approved this equivalency.

o A number of program administration issues (clearer definition of roles and responsibilities, documentation and training) along with a several design and implementation items were identified. Program improvement efforts are being identified between AD, the Chief Engineering Officer, and the Chief Safety Officer. These will be implemented in the first half of FY 2017.



Goal6: DeliverEfficient,EffectiveandResponsiveBusinessSystemsandResourcesthatEnabletheSuccessfulAchievementoftheLaboratoryMission(s)


Numeric Score

Objective Weight

Weighted Score

Total

6 Deliver Efficient, Effective, and Responsive Business Systems and Resources that Enable the Successful Achievement of the Laboratory Mission(s) (Goal Weight: 30%)

6.1 Provide an Efficient, Effective, and Responsive Financial Management System(s)

A‐ 3.6 0.20

6.2 Provide an Efficient, Effective, and Responsive Acquisition Management System and Property Management System

A‐ 3.3 0.20

6.3 Provide an Efficient, Effective, and Responsive Human Resources Management System and Diversity Program

A‐ 3.5 0.20

6.4 Provide an Efficient, Effective, and Responsive Contractor Assurance System, including Internal Audit and Quality

A‐ 3.5 0.20

6.5 Demonstrate Effective Transfer of Technology and Commercialization of Intellectual Assets

B+ 3.3 0.20



Elements in support of 6.1 – Provide an Efficient, Effective, and Responsive Financial Management System(s)

Supported SLAC senior management team in developing a five‐year indirect budget profile that reflects the Laboratory’s strategic priorities over this time frame.

Implemented the process for each directorate to prepare a business plan derived from the SLAC Strategic Plan, Annual Lab Plan, and SLAC Agenda. These plans help directorates set objectives and priorities, assign accountability, and monitor progress.

Supported the development of plans for each of the Laboratory’s high level initiatives in order to focus conversations on the highest priorities.

Internal audit – completed a post‐implementation review of accounts payable, including a review of overall ERP system security access. Management actions related to their observations, including the review of privileged access, are scheduled to be completed before year‐end. ERP controls were also tested as part of the annual A‐123 process.

Initiated an integrated, automated travel system procurement and implementation project encompassing approvals, travel booking, and tracking through reimbursement.

The Institutional Cost Advisory Board (ICAP) is completing a service catalog reflecting services provided from ES&H (Environmental Safety & Health), IT (Information Technology), and F&O (Facilities and Operations) and documenting what services are performed and guidance on how they are paid for. This effort has gone a long way toward reducing concern in the system around consistency in charging; as a result, the focus has shifted to getting the work done rather than worrying about the right place to charge it.

Worked with DOE HQ’s personnel to develop support for the revolutionary contract leading to DOE CFO concurrence.

Implemented numerous best practices to improve the education and integration of BS&IT staff (monthly newsletter, skip level meetings, all supervisor meetings, and periodic networking opportunities).

A project to upgrade the SLAC enterprise system (HR, finance, SCM) is underway bringing our images current. This upgrade will reduce the number of finance system support issues and optimize financial management.

Elements in support of 6.2 – Provide an Efficient, Effective, and Responsive Acquisition Management System and Property Management Systems

Fully staffed and improved operations of LCLSII procurement cell in support of SLAC’s most important project.

Conducted a limited external review of our procurement system. The team concluded we were operating effectively and should pass a full PERT review. Some improvement areas were noted in terms of quality of documentation and Davis Bacon compliance documentation. PERT was canceled.

The RWG contract was approved providing significant opportunities for SCM to move toward best practices in DOE acquisition. The implementation plan and schedule were developed and concurred with SSO.

Property control continues to meet all reporting requirements and is properly accounting for SLAC/government assets.



Improved outreach and training (meetings, newsletters, online resources) for users of the PeopleSoft SCM system.

Implemented a flag in PeopleSoft to easily identify cost‐type contracts to support audit requirements.

Elements in support of 6.3 – Provide an Efficient, Effective, and Responsive Human Resources Management System and Diversity Program

The following accomplishments are directly linked to, and supportive of, achieving and furthering SLAC’s strategy and Annual Lab Plan in addition to meeting its commitments as an employer.

Talent development

o Year two of talent assessment and planning saw an increased maturity in the practice and evidence‐based improvements in our leader bench strength‐based on people ready to move into management roles and those in the pipeline.

o 103 unique management team meetings from across the lab and at all levels were facilitated to do performance and potential assessments of all lab employees in order to baseline workforce development needs (compared to 55 meetings last year).

o 21% of identified “high potentials” were moved into developmental roles or promoted to leverage their capabilities.

o Designed and implemented a new performance guidance practice for cascading goals to align employee efforts to the Annual Lab Plan and strategy and provides growth and performance improvement oriented feedback, including a new web based performance tool.

The new tool, called the HR Performance Evaluation Tool (PET), was completely rebuilt based on requirements from an HR PET committee and benchmarking by HR Subject Matter Experts (SMEs). The new application provides an easy‐to‐use and streamlined interface to promote conversation and all‐year tracking of achievements. In addition, a new module for scientific staff was included to ensure the capturing of all scientific work.

o Custom designed leadership development workshop for the senior management team to build stronger relationships, and identify common practices for leading the Lab.

o Launched “The Learning Lab” web portal as a one‐stop shop for all career development and learning resources.

Organizational performance

o Conducted a labwide employee survey; shared findings with all employees; and took on notable efforts to address the feedback, including efforts to improve operating efficiency and remove bureaucratic barriers; improve focus on open and transparent communications from senior management; and better engage our engineering community.

o Conducted an extensive assessment of performance evaluation results which highlighted areas of opportunity for better goal setting, feedback, and development at manager levels.

o Increased visa and immigration expertise and documented practices re‐baselining overall services.

o Initiated a series of regular all‐hands meetings for lab managers to inform and align management efforts to lab initiatives and priorities.

o Launched a new Visitor User Employee (VUE) Center website as the go‐to site for all people coming to SLAC.

o Use workforce analytics regularly in business plans, lab operating efficiency, and culture discussions.

Diversity and inclusion

o Designed and implemented a bias‐mitigating search‐and‐selection staffing process that better sources qualified diverse candidates and provides for bias‐mitigating vetting and candidate decision‐making processes. (SLAC was the only national lab that has embraced this practice.)

o Increased women scientists hiring from 15% of total hires in 2015 to 21% in 2016.

o A total of eight women were named to prominent positions at the Laboratory: an ALD, four deputy ALDs, one faculty member, a Panofsky Fellow, and a chief engineer (compares to two women the previous year). This represents 47% of opportunities in FY 2016 compared to 17% in 2015.

o Extended Employee Resource Group participation from a dozen to approximately 100.

o Built student pipelines with Stanford for interns (undergraduate and masters students).

o The African American Employee Resource Group sponsored and ran a weeklong summer science institute via the Green Scholar Program at SLAC to help underserved high‐school students develop science skills.

o Extensive review of performance evaluation writeups determined elements of inherent bias of our reviews consistent with other industry research findings.

o Held all‐management presentation on inherent bias and its implications for decisions involving employee capabilities.



Staffing

o Defined and implemented a recruiter –hiring manager staffing contract.

o Launched a quarterly newsletter to prospective hires and rehires highlighting cutting edge SLAC science and events, which includes a focus on diverse contacts across the country.

Compensation and Reward

o Implemented a new bonus nomination and evaluation process with greater links to organizational values and strategy.

o Named our first “Director’s Award” winner, presented to individuals whose efforts move our strategic direction forward and/or best exemplify our values.

o Defined a new practice to determine merit and bonus decisions based on performance results and not an evaluative number.

o Initiated resources and communications to improve management and employee understanding of compensation decision making practices.

DOE Commitments

o Met all reporting and participation commitments to DOE and collective national lab efforts.

Benchmarking Requests to Learn About Our Work

o Was asked by American Women in Science to write an article on SLAC’s diversity program for their magazine, which was published in June 2016.

o Was invited to speak at the Clayman Institute for Gender Research at their corporate partner’s program on Diversity & Inclusion strategy and practice, including multiple follow‐up conversations with organizations and businesses benchmarking our effort, and requests for further on‐site presentations.

o Was invited to speak at Women in Technology International conference on our Diversity & Inclusion efforts

o Was invited to speak to the SEM ICON West conference on our Diversity & Inclusion practice.

o Was invited to speak at a workshop (which included companies such as Genentech, Gap, Levi Strauss, NASA/JPL, and others) on our performance guidance practices and how we moved to a no‐rating approach.

o Have provided multiple best‐practice sharing presentations to other national labs (including a request to present to all national lab HR directors) and other Stanford units on our performance guidance, talent management, and Diversity & Inclusion practices. Each request has led to more in‐depth conversations and benchmarking of our efforts. These conversation requests have included Argonne, Sandia, Livermore, Oak Ridge, LANL, and Fermilab.

o Benchmarking visit by Deloitte Consulting on behalf of National Institute for Science and Technology (NIST) to explore our best practices in talent and performance management, linking pay to performance, and hiring and staffing with a focus on diversity.

o Specific benchmarking visits from LLNL and ORNL are being planned at their request to learn about our performance guidance process.

Elements in support of 6.4 – Provide an Efficient, Effective, and Responsive Contractor Assurance System, including Internal Audit and Quality

Piloted a process in February 2016 to conduct a fact‐finding and investigate a non‐ES&H related issue. Contractor Assurance partnered with Information Technology (IT) management and staff to identify the principal causes of a computer server outage that affected accelerator and LCLS operations. The process, the first of its kind, was very successful and engaged IT, LCLS, and AD management and staff in identifying actions to sustainably improve preparedness and response to computer infrastructure problems in the SLAC Data Center. Actions from the process are being tracked in the SLAC Action Tracking System (ATS).

Completed the internal independent assessment of Integrated Safety and Work Management (ISM/IWM) at SLAC. The assessment was performed in response to a risk on the SLAC Executive Risk Register related to concerns that inadequate work management could result in inconsistent and ineffective execution of work planning and control (WPC) and produce adverse operational events or conditions. The independent assessment was sponsored by the Directors Assurance Council (DAC) and was the first of its kind at SLAC. The goal of the assessment was to determine whether the implementation of ISM/IWM and WPC is aligned with the spirit and intent of DOE policy and expectations regarding ISM/IWM and WPC. The Senior Management Team is being briefed on the assessment results.

Contractor Assurance – collaborated with the Chief Financial Officer (CFO) to develop and issue the new institutional policy, “Audit Management, Resolution, and Follow‐Up Program.” The policy defined the requirements and responsibilities for managing, tracking, resolving, and closing all findings and recommendations from external audits and assessments by the DOE Inspector General, the U.S. Government Accountability Office, the DOE Office of Enterprise Assessments, and Stanford



University. The document also enabled SLAC to meet the Contractor Requirements Document (CRD) associated with DOE Order 227.1A, “Independent Oversight Program.”

Contractor Assurance regularly collaborates with colleagues from LBNL, LLNL, and LANL on developing improved SLAC policies and procedures. Most notably, through the collaboration, SLAC Contractor Assurance and Facilities and Operations (F&O), management completed the development of a new institutional policy for managing the Davis Bacon determination process at SLAC. The new Davis Bacon policy is in the final approval stages.

Stanford Internal Audit (IA)

o Successfully addressed the issues raised by DOE IG as reported in the IG REPORT NO. OAS‐V‐15‐04; DARTS NO. OR‐15‐003: that all FY 2012 and FY 2013 SLAC cost reimbursable subcontracts have been identified and have been subjected to an incurred cost audit.

o Substantially completed the FY 2016 Audit Plan.

o Enhanced communication with DOE and SLAC management to continually assess SLAC’s risks and the status of ongoing audits via:

Weekly status meetings with DOE and SLAC

Monthly reports to DOE and SLAC on the audit status

Quarterly meetings with SLAC’s chief financial officer and the director of Contractor Assurance and Contract Management

o Proactively interacted with DOE IG to foster a collaborative audit relationship.

Completed the A‐123 audit for financial reporting controls with no findings.

Elements in support of 6.5 – Demonstrate Effective Transfer of Technology and Commercialization of Intellectual Assets

Facilitated the disclosure of six new invention disclosures and three new patent applications resulting from innovative research performed at SLAC.

Negotiated and closed three new IP licenses with industry partners, with significant progress made toward completing a fourth license. The first IP license was directed toward SLAC‐developed technology and will allow a long‐standing industry partner to commercialize this technology. The second and third IP licenses were executed in conjunction with cooperative research agreements, in which SLAC will develop new technology solutions with industry partners and the technology solutions will be commercialized by the industry partners under the IP licenses, such that royalties will be generated for SLAC.

Developed processes and procedures to more effectively manage SLAC industry partnerships, including a more efficient CRADA and SPP agreement negotiation strategy and a robust communication protocol with SLAC SSO and DOE IP counsel. FY 2016 CRADA volume has increased significantly over FY 2015 to include four awarded, one approved, and an additional four in final stages of approval. Similarly, SPP volume has more than doubled over FY 2015 to eight awarded and another eight in final stages of approval.

Increased SLAC involvement and visibility among DOE and national lab communities by actively participating in several working groups and committees, including the Technology Transfer Working Group, the National Lab Technology Transfer management committee, and the DOE SPP community of practice working group.

S T A T U S O F NO T A B L E OU T C OM E ( S ) SSO: Assure effective implementation of the ERP systems, internal controls and regulatory compliance to advance the

efficiency and effectiveness of SLAC business systems (Objective 6.1).

(SLAC Champion: Suzanne Davidson)


SLAC’s ERP system performed as expected in FY 2016, providing SLAC with enhanced capabilities for data retrieval, automation of controls, approvals and workflow, and continued improvement in business processes.

Oracle Databases that underlie the PeopleSoft HR and Finance/SCM systems have been upgraded to the latest version. The PeopleSoft Webservers hosting the PeopleSoft HR and Finance/SCM systems have been upgraded with the latest Oracle WebLogic Critical Patch Updates.

The PeopleSoft HR Image Upgrade project is underway to upgrade PeopleTools and implement the latest HR patches and features (moving from image 0 to image 16). The project is on track to be completed by October 2016.

The project to upgrade PeopleTools and implement the latest Fin/SCM patches and features (moving from image 5 to image 18) has begun. New features and impacts on our current system are being evaluated, while test scripts are being updated. The actual upgrade, development, retro‐fitting and testing will begin next fiscal year, after completion of the HR Image Upgrade Project.



SSO: Complete the implementation of the SLAC Procurement Strategic Sourcing Module for bidding and external collaboration (Objective 6.2)



All system fixes are complete, have been tested, and are put into practice.

SC: In support of DOE’s requirement to submit all peer‐reviewed accepted manuscripts to DOE through the OSTI E‐Link system, we are asking each Laboratory to (1) analyze the current status of submissions with respect to comprehensiveness, accuracy, and appropriate acknowledgement of DOE support; (2) identify any barriers to compliance; and (3) submit, with the next annual lab plan, a proposal and timeline for achieving full compliance (Objective 6.5).



SLAC analyzed the current status of submissions of manuscripts with respect to comprehensiveness, accuracy, and appropriate acknowledgement of DOE support. Through the analysis, SLAC found the following:

- SLAC FY 2016 submissions to date total: 1,249 - DOE accepted manuscripts: 241 - Announcement‐only citations: 265 - SLAC is at 45.3% received from all sources, compared to total number of SLAC publications, which is above the FY

2015 percentage and climbing.

SLAC reviewed the barriers to full compliance with DOE OSTI requirements and identified the following barriers and mitigation actions:

- Awareness of the order:

o SLAC created and distributed an STI flyer. o All new SLAC hires are informed of STI requirements during orientation. o SLAC created a new STI policy. o SLAC discussed STI at science lectures. o A new SLAC specific gate is set up within OSTI to catch and inform our authors of their posting requirements o Conducted briefings with science management and staff on the new system and process.

- SLAC system for STI (Sci‐Doc) is cumbersome, not user‐friendly, and on an unsupported platform (File Maker Pro 4)

o Began redesign of the system to decrease manual administrative effort while increasing end‐user satisfaction and overall system reliability.

- Journal payments from SLAC

o Implemented an approval gate in the p‐card payment process to ensure compliance before payment of journal and publication fees.

On May 19 2016, SLAC submitted a proposal and timeline for achieving full compliance with OSTI requirements to DOE. The proposal included the results of the analysis, review of barriers, and mitigation actions.


Concern: None

o Mitigation: None



Goal7: SustainExcellenceinAcquiring,Constructing,Operating,MaintainingandRenewingtheFacilityandInfrastructurePortfoliotoMeetLaboratoryNeeds


Numeric Score

Objective Weight

Weighted Score

Total

7 Sustain Excellence in Acquiring, Constructing, Operating, Maintaining, and Renewing the Facility and Infrastructure Portfolio to Meet Laboratory Needs (Goal Weight: 30%)

7.1

Manage Facilities and Infrastructure in an Efficient and Effective Manner that Optimizes Usage, Minimizes Life Cycle Costs and Ensures Site Capability to Meet Mission Needs

B+ 3.3 0.50

7.2 Provide Planning for and Acquire the Facilities and Infrastructure Required to support the Continuation and Growth of Laboratory Mission and Programs

A‐ 3.5 0.50



Elements in support of 7.1 – Manage Facilities and Infrastructure in an Efficient and Effective Manner that Optimizes Usage, Minimizes Life Cycle Costs and Ensures Site Capability to Meet Mission Needs

Electrical Infrastructure mission readiness. SLAC Facilities and Operations developed and made significant progress on implementing the infrastructure maintenance plan, including the following:

o Established a five‐year plan for testing and maintenance of electrical distribution systems and components ranging from 230 kV to 480 V, which will serve as a baseline for planning, funding, and other resources.

o Conducted an assessment of electrical cables that specified targeted areas for repairs and/or re‐testing, and developed projects (e.g., Medium & Low Voltage Revitalization, MLVR) to address areas noted.

o Completed condition assessments for 16 substations and addressed critical areas through immediate corrective actions or by developing initial projects and prioritizing.

Predictive maintenance program. SLAC expanded use of predictive maintenance techniques to enhance efficiency and optimize SLAC resources.

o Employed IR scanning techniques to detect high heat conditions on faulty equipment to prevent catastrophic failure of medium‐ and low‐voltage electrical panels.

o Installed infrared scanning windows on critical VVS and K‐subs in sectors 20‐30, allowing checks on high‐risk equipment to be preformed without having to open electrical panel doors. This safer process reduced arc‐flash risk and life‐cycle costs.

o Mounted connections for vibration analysis of cooling tower fans at ground level, eliminating the need to climb ladders for data collection. The new connections provide predictive indicators of mechanical issues, save time, reduce costs and create a safer work environment.

Space utilization and management of excess facilities: SLAC has prioritized the consolidation of personnel and functions from trailers into buildings, providing higher quality workspaces to employees. The removal of vacated trailers reduces risks and operating costs and creates a safer work environment.

o Improved the space utilization of 15 buildings, enabling 16 trailers to be emptied and archived.

o Demolished or removed six trailers (B235, B238, B266, B267, B281, and B282) totaling approximately 9,000 sf, which is expected to yield $64,000 in annual cost avoidance.

Construction and facility services contract management: SLAC Facilities and Operations collaborated with supply chain management to put into effect new acquisition tools for reducing contracting lead‐time and leverage competitive pricing agreements.

o Established a new material management contract with a Hub Zone contractor, obtaining deeper discounts on parts and supplies while contributing towards DOE small business goals.

o Entered into a first‐of‐its‐kind service contract agreement with Stanford University for elevator maintenance services, benefitting from Stanford’s competitive pricing and purchasing power while providing better response times.

Solicited and evaluated Indefinite Delivery, Indefinite Quantity (IDIQ) contracts for construction management, architectural and engineering design, construction, and rigging services. These contracts will significantly reduced contracting time and effort while expediting time to construction.



Honors and Awards

o Silicon Valley Water Conservation Award for a Government Agency: SLAC was recognized for reducing potable irrigation water usage by 80% and indoor water usage by 23%. SLAC has continued to reduce water usage by 15 million gallons cumulatively over the last two years, while experiencing growth in facilities. SLAC achieved this remarkable goal through diligent efforts to replace grass lawns with drought‐resistant landscaping, by implementing water capture and reuse, and by installing efficient drip irrigation systems.

Elements in support of 7.2 – Provide Planning for and Acquire the Facilities and Infrastructure Required to Support the Continuation and Growth of Laboratory Mission and Programs

SLAC successfully completed five years of managing construction projects (735,288 construction labor hours) without a Days Away, Restricted or Transferred (DART) incident. This performance was achieved through a rigorous safety program and collaboration among Facilities and Operations, Environmental Safety & Health and the SSO.

SLAC Facilities and Operations has focused and improved integrated planning, risk management, and prioritizing investments.

o Mission Readiness

Completed the Infrastructure Mission Readiness (IMR) Manual and incorporated a risk‐based scoring process for prioritizing projects. The Mission Readiness Process will continue to be used to develop a risk‐based and prioritized strategic funding plan that dovetails with the SLAC Strategic Plan, unit Business Plans, and the Annual Lab Plan. The goals include increasing infrastructure reliability and operational safety and efficiency; identifying and mitigating operational risks; optimizing infrastructure investments and funding; and addressing compliance requirements.

o Major Capital Projects

The Stanford University‐funded project to construct the Photon Science Laboratory Building (PSLB) shell continues to progress on schedule for completion in fall 2016.

The DOE funded PSLB outfitting project has achieved all major milestones planned to date: CD‐1 was approved in September 2015; SLAC received 50% preliminary design and 95% early construction package (3A) design drawings packages DP1 and DP2 for SLAC review and approval; design packages include elevators, stairs, toilets, office space, and core areas as well as laser compatible labs and west labs layouts.

Completed a very successful transition to operations for the Science User Support Building (SUSB) using the General Contractor as the initial service provider, a first for a DOE project. DOE assessment of the process identified it as a best practice for similar projects.

- SUSB received Final Certificate of Occupancy on January 8, 2016. - The SUSB Team and project received four awards from local and national organizations for partnership and design

build excellence, as noted below.

o LCLS II preparations

Supported the Radiation Protection Sectors 00 to 10 Equipment Disposal portion of the LCLS II Project; executed on cost, on schedule and with no injuries.

Managed risks to the Lab and project by conducting arc‐flash analysis and electrical analysis of start‐up loads for compressors and developed recommendations to mitigate risks.

Planned, designed and began receipt of K‐subs for the K‐Substation SLI project.

Began construction of the Cryogenic Plant with mass excavation completed.

Honors and Awards

o DOE Achievement Award for the Research Support Building (RSB) and Infrastructure Modernization Project. The experienced and dedicated project team successfully managed risk to deliver 132,000 sf of new and renovated space in three buildings, occupied by 30% of the SLAC staff. Each building received Leadership in Energy and Environmental Gold (LEED) certification.

o Science and User Support Building’s (SUSB) 2016 awards are as follows:

Design Build Institute of America National Merit Award in the federal, state, county, municipal category, and nominee for the National Award of Excellence. SUSB demonstrated the project team’s exceptional management to achieve cost, schedule and quality goals. The project showcased unique applications of design‐build best practices to raise the industry’s bar even higher to excel in areas of architectural design, engineering design, process, and teaming.

Associated General Contractors (AGC) Excellence in Partnering Award Finalist for projects over $50 Million. SLAC was recognized as a leader in the construction industry for ingenuity and achievements in delivering successful construction



projects through teamwork to achieve a common goal, partnering excellence, communication, and successful conflict resolution.

International Partnering Institute (IPI) John L. Martin Partnered Project of the Year Diamond Award. The SUSB project team earned the award based on the highest level of project collaboration, excellent teamwork, and partnering on their project.

Silicon Valley Business Journal Structures Award Honorees. SLAC was honored for one of the best built Public/Civic Project structures in Silicon Valley’s real estate, construction, and development industry.


SSO: Improve the maintenance and operation of mission essential critical systems (Objective 7.1).



Developed plans and implemented several actions to improve maintenance and operations of mission essential critical systems.

- Improved beam availability through electrical system maintenance and repair: reduced beam downtime due to electrical system issues from an average of 73 hours a year over the previous three years to 25 hours in FY 2016.

- Improved beam uptime through a rigorous monitoring and inspection program, replacing faulty sensors and reducing erroneous flow switch trips by 43%. Installed additional sensors and instrumentation to monitor performance of critical systems.

- Achieved full mission readiness of the Linac 12 kV electrical cables by testing and repairing all Linac medium and high voltage cables and increasing reliability to meet mission needs for several major science programs, including LCLS, FACET‐II, and LCLS‐II.

- Performed major repair and maintenance to one of SLAC’s two primary sources for incoming power (T1), a 40+ year‐old 230kV/12.47kV transformer, extending the life cycle and restoring electrical reliability to one of SLAC’s two primary sources for incoming power.

- Developed a MOU with SSRL and SCRF to assess condition of legacy electrical equipment and developed an Electrical Distribution Equipment Maintenance Plan. By integrating processes and lessons learned from maintaining electrical systems for conventional infrastructure, a more accurate profile of conditions was developed. Data collected was used to create a corrective maintenance and repair plan.

- Completed urgent repairs by replacing severely degraded electrical conduit, disconnect switches, motor starters, and receptacles that deteriorated in a corrosive environment in B025 Plating Shop. The work was completed successfully and safely.

- For the 1801 LCW system leaking valve, identified and implemented an innovative solution that reduced risk to personnel and to operations. Valve encapsulation enabled repair without an operational shutdown.

- Installed Automatic Transfer System for IR2 serving LSST and LZ Hut; provides uninterrupted power for mission critical systems.

- Recommissioned the South Final Focus power system to provide power for LSST camera test stand and B750 loads.

SSO: Complete scope, cost, and scheduling for the deactivation/decontamination and demolition for the Sectors 0‐10 to ensure LCLS II mission needs are met (Objective 7.2).



o Identified and brought on a highly qualified primary project manager to oversee the coordination of all three of the major elements of this project: equipment removal, Linac Demolition and material disposition.

o Prepared and executed a detailed energy isolation plan for equipment removal and demolition projects. Completed WPC reviews for saved equipment removal. The result to‐date shows no recordable workplace injuries or illnesses.

o Construction of the laydown areas. The excellent coordination between the LCLS‐II project, ES&H and AD and the selection of a well‐qualified demolition and disposal contractor have insured that the project runs on schedule. Consolidating the demolition and disposition contracts has resulted in efficiencies producing a savings of approximately $5 million dollars compared to the original budget estimate. Further evaluation of low‐level radioactive waste disposal options may produce further savings in FY 2017‐18.

SSO: Work to reach agreement with the California State Historic Preservation Office regarding completing the Section 110 process at SLAC (Objective 7.2)


o Status ‐ Complete



SLAC, Stanford University and DOE representatives met with the State Historic Preservation Office (SHPO) in Sacramento, where an agreement was reached on a survey methodology towards completion of Section 110. An outcome of the application of the survey was submitted in a report to the SHPO and SLAC/DOE reached concurrence with the SHPO on historic properties at SLAC for the “Linac Fixed Target Era” for 1962 to 1970. The parties further agreed that the next period of SLAC’s history (SPEAR Era: 1971‐1976) will be evaluated in 10 years. This agreement marks a milestone in SLAC’s Section 110 compliance efforts and is a platform for streamlining Section 106 compliance.

Received SHPO concurrence on Section 106 submittals for removal/demolition of 33 trailers, and Quad landscaping.

Follow on work through Q1 of FY 2017 includes the development of a programmatic agreement with the SHPO to expedite further Section 106 consultations.

SC: Successfully deliver crosscut GPP projects on schedule (Objective 7.2).



The following projects were completed on schedule.

- Constructed a light electronics laboratory in B027 in support of smart grid research. - Designed a new laser lab in B040 enabling laser development for LCLS. - Renovated B040 Director's offices for the Science directorate. - Designed and implemented the site security upgrade project enabling safe and open access to the 900 area (LCLS;

LSST; LZ; recreation center) from central campus. - Completed 90% design drawings for renovation of B006 Room 110 for a new cryo‐electron microscopy laboratory. - Planned for relocation of B950 utilities for upcoming B950 building renovation.



Goal8: SustainandEnhancetheEffectivenessofIntegratedSafeguardsandSecurityManagement(ISSM)andEmergencyManagementSystems


Numeric Score

Objective Weight

Weighted Score

Total

8 Sustain and Enhance the Effectiveness of Integrated Safeguards and Security Management (ISSM) and Emergency Management Systems (Goal Weight: 10%)

8.1 Provide an Efficient and Effective Emergency Management System

B+ 3.4 0.33

8.2 Provide an Efficient and Effective System for Cyber Security for the Protection of Classified and Unclassified Information

A‐ 3.5 0.33

8.3

Provide an Efficient and Effective System for the Physical Security and Protection of Special Nuclear Materials, Classified Matter, Classified Information, Sensitive Information, and Property

A‐ 3.3 0.34



Elements in support of 8.1 – Provide an Efficient and Effective Emergency Management System

The ESH Division Director, serving as the representative of the National Lab Director's Council, has been participating as a senior management representative for the re‐write of DOE Order 151.1‐D, "Comprehensive Emergency Management." The re‐write of this order is intended to address deficiencies in the existing order, some of which were cited in the DNFSB critique of the WIPP incidents of 2014. The collaboration includes federal representatives of NNSA, SC, and other elements of DOE, plus contractor SMEs from LLNL, LBNL, PNL, and NNSS. The collaboration produced a revised order that significantly improves the Department’s ability to plan for, train for, and respond to emergencies.

Initiated an employee training program for Active Threat Situations, which includes the completion of four town‐hall meetings with presentations by Stanford University Department of Public Safety (i.e., police department). An active threat/lockdown exercise was conducted in Q3 that utilized SLAC/Stanford’s mass notification system, tested response protocols and access controls, and included an activation and tabletop exercise of the Emergency Operations Center (EOC), to include Menlo Park Police Department and San Mateo County Sherriff Department.

Coordination with the Menlo Park Fire Protection District continues to result in rapid response (average response times of 5:31) and effective emergency response on 20 emergency calls (18 EMS, 1 electrical incident, and 1 hazmat incident).

Elements in support of 8.2 – Provide an Efficient and Effective System for Cyber Security for the Protection of Classified and Unclassified Information

SLAC resolved the final remaining OIG finding on cyber security, 13‐SLAC‐IT‐04 (Vulnerability Management). All conditions identified by OIG have been addressed. Automation has been implemented to ensure that scanning covers new networks and weekly reports provide visibility into failures in vulnerability scanning. Undocumented exceptions to vulnerability scanning have been eliminated, increasing scanning coverage of nearly 1,000 systems.

SLAC completed work on three out of seven findings from Enterprise Assessments, issued in FY 2016. SLAC has eliminated a significant vulnerability in shared administrator passwords on Windows computers. Additionally, SLAC secured out‐of‐band management interfaces and has deployed Symantec Endpoint Protection antivirus to Mac computers. POA&Ms are in place for all remaining findings.

SLAC is an active participant in the DOE Headquarters Integrated Joint Cybersecurity Coordination Center (iJC3) as a collaborator in the unclassified security operations center.

CIO Is an active participant in the Information Management Governance Board (IMGB) at the DOE level for the national Lab CIOs.

SLAC hired a deputy chief information security officer from LLNL, bringing additional cyber expertise and capabilities and expanding bench strength and reducing risk profile.

SLAC has provided phishing training across the Lab to address the Laboratory’s top cybersecurity risk by raising user awareness.

The result of SLAC’s audit was zero incidents in FY 2016.

SLAC successfully completed five OIG audits in FY 2016 with no findings, covering General IT Controls, Business Process Application Controls, Vulnerability Assessment, FISMA System Review of PeopleSoft HCM, and General FISMA metrics.



SLAC has put in place an implementation plan to complete the rollout of multifactor authentication in compliance with the OMB directive.

SLAC architected an appropriate multifactor authentication (MFA) solution for standard users to enable approval of the Office of Science’s first MFA exception request to leverage Duo Security.

SLAC successfully enrolled 2,000 employees and contractors in its Level 3 multi‐factor authentication (MFA) solution and required its use for remote access in keeping with the approved MFA exception request.

SLAC negotiated a new framework for cybersecurity in the prime contract as part of the Revolutionary Working Group (RWG), which will enable synergies with Stanford University by better aligning the SLAC and Stanford cybersecurity programs.

SLAC initiated a program to resolve findings issued in FY 2016 by Enterprise Assessments. Three of seven findings have already been resolved and the remaining findings are planned for remediation in FY 2017. POA&Ms were established for the 11 Opportunity for Improvement (OFI) recommendations issued by Enterprise Assessments; two of them have been resolved.

Elements in support of 8.3 – Provide an Efficient and Effective System for the Physical Security and Protection of Special Nuclear Materials, Classified Matter, Classified Information, Sensitive Information, and Property

Finalized and received approval for updated Site Security Plan.

Identified a number of improvements to SLAC’s implementation of the Unclassified Foreign Visits and Assignment order (DOE O 143.2). This also included negotiating a new graded approach for tracking sensitive country nationals using SLAC’s PeopleSoft database rather than having to reenter all information into DOE’s FACTS database. SLAC is transitioning program ownership of the UFVA program from Human Resources to Security & Emergency Management.

S T A T U S O F NO T A B L E OU T C OM E ( S ) SSO: Complete physical security upgrades that are in accordance with the cost, scope, and schedule (Objective 8.3).


o Status – Complete for FY 2016 Portion

Completed design activities, bidding, contracting, installation, and testing of new access control locations. The result will be opening up the entire northern arc of the PEP Ring Road as part of the site’s General Access Area. Access to LCLS experimental halls and support structures has been placed on the cardkey access and access to old IR halls and tunnels has been secured.


Concern: None

o Mitigation: None



PERFORMANCESCORESUMMARY

ScienceandTechnologybyGoal Letter

Grade Numerical Score

Weight*

Weighted Score

Total Score

1 Provide for Efficient and Effective Mission Accomplishment A‐ 3.7 .22 0.8

2 Provide for Efficient and Effective Design, Fabrication, Construction and Operations of Research Facilities

A 3.6 .53 2.0

3 Provide Effective and Efficient Science and Technology Program Management

A‐ 3.6 .25 0.9

Initial Science and Technology Score 3.6/A‐

ScienceandTechnologybyProgram Goal

1 Goal 2

Goal 3

Goal Average Funding Weight* Weighted

Score Total Score

BES Score 3.8 3.6 3.6 3.67 0.785 2.88

BER Score 3.3 3.6 3.5 3.47 0.008 0.03

FES Score 3.8 3.7 3.5 3.67 0.009 0.03

HEP Score 3.6 3.5 3.5 3.53 0.193 0.68

WDTS Score 3.2 N/A 3.2 3.20 0.001 0.0032

NIH Score 3.8 N/A 3.7 3.75 0.004 0.015

Programmatic Science and Technology Score 3.6/A‐

LeadershipandStewardship Letter


4 Provide Sound and Competent Leadership and Stewardship of the Laboratory*

A 3.8

ManagementandOperations Letter


Weight Weighted Score

Total Score

5 Sustain Excellence and Enhance Effectiveness of Integrated Safety, Health, and Environmental Protection

3.4 .30 1.02

6 Deliver Efficient, Effective, and Responsive Business Systems and Resources that Enable the Successful Achievement of the Laboratory Mission(s)

3.4 .30 1.02

7 Sustain Excellence in Acquiring, Constructing, Operating, Maintaining, and Renewing the Facility and Infrastructure Portfolio to meet Laboratory Needs

3.4 .30 1.02

8 Sustain and Enhance the Effectiveness of Integrated Safeguards and Security Management (ISSM) and Emergency Management Systems

3.4 .10 0.34

Initial Management and Operations Score 3.4/A‐

S&TandM&OScoreCalculation

* Final weights are determined by DOE following the end of the FY. For S&T by Goal, weight estimates are from FY16 funding percentages. For S&T by Program,

weights estimates are based on FY16 funding percentage.

* The Goal 4 score will only be used as an adjustment factor to determine the final S&T and M&O scores for the laboratory as shown in the S&T and M&O Score Calculation table.

Numerical Score

Weight Total Score

Initial S&T Score 3.6 .75

Goal 4.0 Score 3.8 .25

Final S&T Score 3.7/A‐(94%)

Initial M&O Score 3.4 .75

Goal 4.0 Score 3.8 .25

Final M&O Score 3.5/A‐ (100%)

Documents

9/30/2016 - Stanford University FY16 PE… · establish the usefulness of ultrafast electron diffraction using MeV electron energies for dynamic momentum‐resolved phonon studies