U.S. Department of Energy Office of Science National Accele… · sustained scientific progress and impact; ... jet substructure studies continue to be strong and applied within the

U.S. Department of Energy

Office of Science

Fiscal Year 2017

Performance Evaluation Report of the

Stanford University for

Management and Operations of Science and Technology

at the

SLAC National Accelerator Laboratory

For the period October 1, 2017 to September 30, 2017

SLAC National Accelerator Laboratory Evaluation FY 2017

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Table Of Contents

I. OVERALL SUMMARY RATING/FEE

Performance-Based Score and Adjectival Rating

Calculating Individual Goal Scores and Letter Grades

II. PERFORMANCE GOALS, OBJECTIVES, AND MEASURES/TARGETS

Goal 1.0: Provide for Efficient and Effective Mission Accomplishment

Notable Outcome(s)

Goal 2.0: Provide for Efficient and Effective Design, Fabrication, Construction and Operations of Research Facilities

Notable Outcome(s)

Goal 3.0: Provide Effective and Efficient Science and Technology Program Management

Notable Outcome(s)

Goal 4.0: Provide Sound and Competent Leadership and Stewardship of the Laboratory

Notable Outcome(s)

4.1: Leadership and Stewardship of the Laboratory

4.2: Management and Operation of the Laboratory

4.3: Contractor Value-added

Goal 5.0: Sustain Excellence and Enhance Effectiveness of Integrated Safety, Health, and Environmental Protection

Notable Outcome(s)

5.1: Provide an Efficient Worker Health and Safety Program

5.2: Provide Efficient and Effective Environmental Management System

Goal 6.0: Deliver Efficient, Effective, and Responsive Business Systems and Resources that Enable the Successful Achievement of the Laboratory Mission(s)

6.1: Provide an Efficient, Effective, and Responsive Financial Management System

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

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

6.4: Provide Efficient, Effective, and Responsive Contractor Assurance Systems, including Internal Audit and Quality

6.5: Demonstrate Effective Transfer of Technology and Commercialization of Intellectual Assets


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Goal 7.0: Sustain Excellence in Operating, Maintaining, and Renewing the Facility and Infrastructure Portfolio to Meet Laboratory Needs

Notable Outcome(s)

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

7.2: Provide Planning for and Acquire the Facilities and Infrastructure Required to Support the Continuation and Growth of Laboratory Missions and Programs

Goal 8.0: Sustain and Enhance the Effectiveness of Integrated Safeguards and Security Management (ISSM) and Emergency Management Systems

Notable Outcome(s)

8.1: Provide an Efficient and Effective Emergency Management System

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

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


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I. OVERALL SUMMARY RATING/FEE

Performance-Based Score and Adjectival Rating:

The basis for the evaluation of Stanford University (SU or the Contractor) management and operations of the SLAC National Accelerator Laboratory (SLAC or the Laboratory) during FY 2017 centered on the Objectives found within the following Performance Goals:

1.0: Provide for Efficient and Effective Mission Accomplishment

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

3.0: Provide Effective and Efficient Science and Technology Program Management

4.0: Provide Sound and Competent Leadership and Stewardship of the Laboratory

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

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

7.0: Sustain Excellence in Operating, Maintaining, and Renewing the Facility and Infrastructure Portfolio to Meet Laboratory Needs

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

Each Performance Goal was composed of two or more weighted Objectives and most Objectives had a set of performance measures, which assisted in determining the Contractor’s overall performance in meeting that Objective. Each of the performance measures identified significant activities, requirements, and/or milestones important to the success of the corresponding Objective. The following describes the methodology utilized in determining the Contractor performance rating.

Calculating Individual Goal Scores and Letter Grades:

Each Objective is assigned the earned numerical score by the evaluating office as stated above. The Goal rating is then computed by multiplying the numerical score by the weight of each Objective within a Goal. These values are then added together to develop an overall numerical score for each Goal. For the purpose of determining the final Goal grade, the raw numerical score for each Goal will be rounded to the nearest tenth of a point using the standard rounding convention discussed below and then compared to Figure 1. A set of tables is provided at the end of each Performance Goal section of this document to assist in the calculation of Objective numerical scores to the Goal grade. No overall rollup grade shall be provided. The raw numerical score for S&T and M&O will be rounded to the nearest tenth of a point of purposes of determining fee. A standard rounding convention of x.44 and less rounds down to the nearest tenth (here, x.4), while x.45 and greater rounds up to the nearest tenth (here, x.5).


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Score 0.0-0.7 0.8-1.0 1.1-1.7 1.8-2.0 2.1-2.4 2.5-2.7 2.8-3.0 3.1-3.4 3.5-3.7 3.8-4.0 4.1-4.3

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

Figure 1. FY 2017 Contractor Letter Grade Scale

The eight performance Goal grades shall be used to create a report card for the laboratory (see Figure 2, below).

Performance Goal Grade 1.0 Mission Accomplishment A-

2.0 Design, Fabrication, Construction and Operations of Research Facilities

B+

3.0 S&T Program Management A-

4.0 Leadership/Stewardship A-

5.0 ES&H B+

6.0 Business Systems B+

7.0 Infrastructure B+

8.0 Safeguards/Security B+

Figure 2. Laboratory Report Card

Determining the Amount of Performance-Based Fee Earned:

SC uses the following process to determine the amount of performance-based fee earned by the Contractor. The S&T score from each evaluator shall be used to determine an initial numerical score for S&T (see Table A, below), and the rollup of the scores for each M&O Performance Goal shall be used to determine an initial numerical M&O score (see Table B, below).

Program Numerical Score Weight Total Score Goal 1.0 Mission Accomplishment 3.5 14.0%

Goal 2.0 Design, Fabrication, Construction and Operations of Research Facilities

3.3 61.0%

Goal 3.0 S&T Program Management 3.5 25.0%

Initial S&T Score 3.4

Table A. Fiscal Year Contractor Evaluation Initial S&T Score Calculation

For Goals 1.0 and 2.0, the weights are based on fiscal year costs for each program distributed between Goals 1.0 and 2.0. For Goal 3.0, the weight is set as a fixed percentage of 25% for all laboratories.

M&O Performance Goal Numerical Score Weight 5.0 ES&H 3.4 30.0%

6.0 Business Systems 3.4 30.0%

7.0 Infrastructure 3.1 30.0%

8.0 Safeguards/Security 3.3 10.0%

Initial M&O Score 3.3


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Table B. Fiscal Year Contractor Evaluation Initial M&O Score Calculation

While tables within the executive summary report show scores rounded at the goal level, in calculating the S&T and M&O scores all decimal places are carried over until the final calculation.

These initial scores will then be adjusted based on the numerical score for Performance Goal 4.0 (See Table C, below).

Numerical Score Weight Initial S&T Score 3.4 75%

4.0 Leadership/Stewardship 3.5 25%

Final S&T Score 3.4

Initial M&O Score 3.3 75%

4.0 Leadership/Stewardship 3.5 25%

Final M&O Score 3.4

Table C. Fiscal Year Final S&T and M&O Score Calculation

The percentage of the available performance-based fee that may be earned by the Contractor shall be determined based on the final score for S&T (See Table C) and then compared to Figure 3, below. The final score for M&O from Table C shall then be utilized to determine the final fee multiplier (see Figure 3) which will determine the final percentage of fee earned (see Table D). The actual amount of performance-based fee earned for FY 2017 is then calculated AS shown in Table E.

Overall Weighted Score from Table A

Percent S&T Fee Earned M&O Fee Multiplier

4.1 to 4.3 100.00% 100.00%

3.8 to 4.0 97.00% 100.00%

3.5 to 3.7 94.00% 100.00%

3.1 to 3.4 91.00% 100.00%

2.8 to 3.0 88.00% 95.00%

2.5 to 2.7 85.00% 90.00%

2.1 to 2.4 75.00% 85.00%

1.8 to 2.0 50.00% 75.00%

1.1 to 1.7 0.00% 60.00%

0.8 to 1.0 0.00% 0.00%

0.0 to 0.7 0.00% 0.00%

Figure 3. Performance Based Fee Earned Scale


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Overall Fee Determination

Percent S&T Fee Earned From Figure 3. 91.00%

M&O Fee Multiplier From Figure 3. X 100.00%

Overall Earned Performance-Based Fee 91.00%

Table D. Final Percentage of Performance Based Fee Earned Determination

Earned Fee Calculation

Available Fee $4,850,000.00

Overall Earned Performance - Based Fee (Table D) X 91.00%

Earned Fee $4,413,500.00

Table E. Earned Fee Calculation


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II. PERFORMANCE GOALS, OBJECTIVES, AND MEASURES/TARGETS

Goal 1.0: Provide for Efficient and Effective Mission Accomplishment

The Contractor produces high-quality, original, and creative results that advance science and technology; demonstrates sustained scientific progress and impact; receives appropriate external recognition of accomplishments; and contributes to overall research and development goals of the Department and its customers.

SC High Energy Physics (HEP)

Score: 3.4 Grade: B+

Goal Evaluation:

● SLAC expertise and contribution to ATLAS jet substructure studies continue to be strong and applied within the international experiment in Run 2. While these foundational efforts are important for the collaboration, the SLAC ATLAS group still needs to clearly demonstrate higher visibility roles in science results.

● The lab continued its strong research activities in cosmic frontier data analyses and simulations. The FGST/LAT collaboration published a number of results related to high energy physics, with possible hints of dark matter detection.

● There is an obvious and continuing lack of coordination of computing resources and efforts across the different HEP divisions and lack of coherent cross cut strategies for computing.

● The PWFA and RF sources/structures programs are world-leading and continue to play leadership roles in their respective communities. SLAC is the key contributor in the development of the GARD research roadmap for the RF Acceleration Technology thrust.

Objective 1.1: Provide Science and Technology Results with Meaningful Impact on the Field

Weight: 50.00%


Objective Evaluation:

● SLAC expertise and contribution to ATLAS jet substructure studies continue to be strong and applied within the international experiment in Run 2. While these foundational efforts are important for the collaboration, the SLAC ATLAS group still needs to clearly demonstrate higher visibility roles in science results.

● SLAC continues to make meaningful impacts in the short- and long-baseline neutrino physics programs.

● The lab continued its strong research activities in data analyses and simulations. The FGST/LAT collaboration published a number of results related to high energy physics, with possible hints of dark matter detection.

● There is an obvious and continuing lack of coordination of computing resources and efforts across the different HEP divisions and lack of coherent cross cut strategies for computing.

● Efforts to coordinate emerging interests in QIS research have been good.

● The accelerator R&D efforts continue to produce many high impact publications from FACET experimental data, with an impressive number of postdocs from the FACET group successfully landing faculty positions. Successful technology development continues to attract other stakeholders, particularly in RF sources and compact accelerators.


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Objective 1.2: Provide Quality Leadership in Science and Technology that Advances Community Goals and DOE Mission Goals

Weight: 50.00%

Score: 3.5 Grade: A-


● SLAC new hires in IF will significantly strengthen their neutrino program over both the short- and long-term.

● The lab continued to provide effective leadership in carrying out their leadership of LSSTcamera, LSST-DESC and LSST facility operations planning and in getting SuperCDMS-SNOLAB ready for baselining in the next year.

● The PWFA and RF sources/structures programs are world-leading and continue to play leadership roles in their respective communities. SLAC is the key contributor in the development of the GARD research roadmap for the RF Acceleration Technology thrust.

SC Basic Energy Sciences (BES)


Goal Evaluation:

● BES-funded research at SLAC continues to produce world-leading and highly significant scientific results in ultrafast chemical sciences, particularly through the atomic, molecular, and optical sciences (AMOS) program, and in quantum materials and related scattering research, that use the core photon science competency of SLAC. SLAC is a world leader in catalysis, including computational catalysis, and has notable strengths in computational AMOS research and computational materials sciences. Continued management attention to identify specific science goals and strategies that best capitalize on the breakthrough capabilities of LCLS and the upcoming LCLS-II should be a high priority.


Weight: 50.00%



● The AMOS and Catalysis Science projects at SLAC continue to perform world-class research that demonstrates outstanding scientific quality as indicated by high-impact publications. The AMOS program drives compelling research in ultrafast chemistry utilizing the unique capabilities of the LCLS. A new SciDAC project is a clear indication of the strength of the computational and theoretical chemistry leadership for AMOS at SLAC.

● Another recent SciDAC award will further enhance SLAC’s role in computational materials sciences. The award is for development of computational techniques for solving quantum many-body problems and new algorithms for leadership-class computing.

● SLAC’s materials research is concentrated on world-leading scattering research and the associated theory for quantum materials, with a strong focus on ultrafast techniques. This research continues to produce highly significant scientific results that use the core photon science competency of SLAC. Fundamental synthesis is well integrated with scattering science.

● SLAC’s increased role in JCAP provided important capabilities and tools leading to the design, discovery, and characterization of new electrocatalysts for CO2 reduction.


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● The SSRL capability that combines molecular beam epitaxy (MBE), ARPES, and scanning tunneling microscopy (STM) is notable.


Weight: 50.00%



● SLAC provides recognized world-class leadership in a range of BES-supported fields, including ultrafast sciences and computational catalysis. PIs in the BES-supported programs advanced BES goals by playing key leadership roles in BES-sponsored workshops and roundtables, including the BRN for Catalysis Science and the ultrafast science roundtable. In addition, they have led the US-China dialogue on superconductivity.

● SLAC staff advance community goals through participation in activities of the National Academies, leadership of summer schools in catalysis and ultrafast science, and training of the future workforce through students and postdocs.

SC Biological and Environmental Research (BER)


Goal Evaluation:

SLAC continues to demonstrate acceptable productivity and accomplishments in its few BER-supported areas.


Weight: 60.00%



The SLAC Subsurface Biogeochemistry (SBR) Science Focus Area (SFA) project had an outstanding year, both in meeting the goals in its existing Science Plan, and in submitting a revised Science Plan that was successfully peer reviewed during FY 2017. The SFA produced a large number of publications in high-impact journals. Seven papers were published, of which one was in Nature Geoscience, one in PNAS, and four in Environmental Science & Technology. These journals reach a wide audience and thus the papers from the SFA will have a high impact. The research is closely aligned with DOE environmental mission needs.

SLAC has a core set of very unique capabilities for BER science and has made some very significant hires to the Lab. This is encouraging but SLAC would also do well to hire (full time or adjunct) expertise within the more BER-relevant disciplines of bioenergy and environmental research. This would afford SLAC the expertise to compete more effectively and lead a BER SFA program in these areas. With additional expertise and the very unique capabilities at the Lab, SLAC would have a very string basis on which to lead an BER SFA-style program at the Lab.

The SSRL Structural Molecular Biology (SMB) resource continues to deliver access to techniques and expert support for biological and environmental research experiments. The resource operates effectively and efficiently under an integrated management. The benefit to researchers is that they receive support and guidance toward the appropriate SAXS, spectroscopic and crystallography techniques of which they might otherwise not be aware and/or is best suited for their experimental needs. Examples provided in their annual progress report are evidence of plant, microbial and environmental science enabled by the SMB capabilities and staff.


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Weight: 40.00%



The SLAC SBR SFA has continued to innovate and to seek new goals for the project. The revised Science Plan expanded the scope of the project to include the hydrological influences on biogeochemistry, and to include the roles of phosphorus and molybdenum in their studies of subsurface biogeochemical transformation and transport processes. The review of the revised Science Plan was highly favorable, although concern was expressed that the program was very ambitious for the level of funding. The leadership of the SFA has developed a close tie with the LBNL SBR SFA leadership to enable coordinated, complimentary research at the sites being studies by the latter group. The SFA staff are also involved with other members of the SBR community and contribute to SC planning activities.

SLAC is developing a unique research enterprise comprised of three powerful, co-located imaging facilities offering techniques that will advance BER biology and environmental research interests. SLAC has the only location in the US with XFEL and synchrotron capabilities and is building a suite of cryo-EM instruments run by world-leading researchers. SLAC investments towards developing a cryo-EM capability include the recruitment of world-class talent in this area to operate an advanced cryo-EM user facility that will complement existing capabilities at SSRL and LCLS.

The SSRL SMB offers an experimental setup identical to that in the LCLS MFX experimental station, serving as a gateway opportunity for researchers in preparing to collect data at LCLS.

There was substantial participation by SLAC staff in BER activities this year. Several SLAC research and management staff participated in the BER Workshop on Technologies for Characterizing Biological Systems Relevant to Bioenergy and the Environment. SLAC personnel also played key roles in a BER structural biology program-wide effort to increase the program’s profile and outreach. SLAC researchers also participated at the 2017 Genomic Science Program PI meeting and as a panel member on the 2017 BER Committee of Visitors.

SC Fusion Energy Sciences (FES)

Score: 3.8 Grade: A

Goal Evaluation:

The laboratory is commended for its worldwide leadership in XFEL-driven High Energy Density Physics (HEDP). SLAC continued to demonstrate outstanding scientific excellence in HEDP, as evidenced by publications in high-impact journals such as Physical Review Letters and Nature.


Weight: 50.00%

Score: 4.0 Grade: A


The scientific output from the Matter in Extreme Conditions (MEC) instrument on the LCLS facility at SLAC was excellent and of the highest caliber, as evidenced by publications in high-impact-journals such Physical Review Letters and Nature. Among the scientific achievements was the observation of “diamond rain” that forms in the interior of Icy Giant Planets. This achievement was also highlighted in a number of popular media (including the New York Times and Forbes magazine). Another notable achievement was the development of X-ray “eyeglasses” to correct for aberrations of the focused beam. In an aberrated focused beam, the energy is not uniformly deposited in the sample. As a result, the interpretation of experimental data becomes more complicated due to density and temperature gradients. The


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“eyeglasses” achievement opened up new scientific opportunities in many fields, ranging from materials science to basic plasma physics.

Examples of other impactful scientific output included the following results: the observation of the formation of an incommensurate host-guest crystal structure in Scandium, the demonstration of non-Drude conductivity in Warm Dense Matter with the use of plasmon measurements, femtosecond measurement of shock wave-driven twinning and lattice dynamics, and compression-freezing kinetics of water to ice VII. These results were published or accepted for publication in Physical Review Letters, Nature Astrophysics, and Nature.

The laboratory continued to implement innovative techniques and laser upgrades that enabled cutting-edge research with unprecedented spatial and temporal resolution of high-energy-density states of matter.


Weight: 50.00%



The SLAC HEDS group demonstrated strong leadership in science by organizing and leading the 4th High Power Laser Workshop to highlight MEC scientific achievements and discuss research priorities and directions for HED science that will be enabled with the recently upgraded MEC laser. The laboratory is commended for this successful workshop, which attracted more than 100 attendees from the U.S. and abroad.

The SLAC HED division director contributed to advance FES mission goals by participating in the FY 2017 Office of Science Early Career Award program and the NSF/DOE partnership proposal review. He also served as the APS/DPP nominations committee chair in charge of nominating new members to fill vacant committee positions.

Laboratory MEC scientists provided strong community leadership through advancing the globally-unique experimental capabilities of the MEC. At the 4th High Power Laser Workshop, an MEC scientist led the discussion about the capabilities of the recently commissioned 30 TW laser and received feedback from the community about potential cutting-edge research with the upcoming 100 TW capability.

Laboratory HED group scientists collaborated with an FES Early Career awardee to do research on the Titan laser. This collaboration resulted in a successful investigation of betatron x-ray radiation driven by laser pulses.

SLAC HED scientists led experiments at the 200 TW Draco laser in Germany and observed relativistic streaming instabilities that modulate laser-driven proton beams.

SC Workforce Development for Teachers and Scientists (WDTS)


Goal Evaluation:

The laboratory executes WDTS sponsored programs in support of the SC/DOE STEM workforce mission in manners that meet expectations.


Weight: 80.00%




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The laboratory is commended for its responsive actions to the triennial program review, including collaborative efforts to update complex-wide requirements and practices, as well as updating its own implementation plan.


Weight: 20.00%



The laboratory is commended for identifying, recruiting, and training mentors/advisors critical to the success of WDTS programs.

Notable Outcome(s)

SC High Energy Physics

(Objective 1.1) Notable 1: By September 2017, develop a science research plan for FACET-II that is consistent with the project timeline.

Outcome: This notable was achieved. - Achieved

SC Basic Energy Sciences

(Objective 1.1) Notable 1: Deliver impactful science and engineering to advance the mission of the Fuels from Sunlight Energy Innovation Hub—the Joint Center for Artificial Photosynthesis (JCAP)—as measured by the FY 2017 Progress Reports and Review.

Outcome: The outcome was achieved, by the indicated measures. SLAC’s increased role in JCAP provided important capabilities and tools leading to the design, discovery and characterization of new electrocatalysts for CO2 reduction. - Achieved

Below are tables that show which Program Offices provided performance evaluation input for this Goal and the overall performance score for the Goal.


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Science Program Office Letter Grade

Numerical Score

Objective Weight

Overall Score


1.1 Impact B+ 3.3 50.0%

1.2 Leadership A- 3.5 50.0%

Overall HEP Total 3.4


1.1 Impact A- 3.6 50.0%


Overall BES Total 3.7

SC Biological and Environmental Research

1.1 Impact B+ 3.4 60.0%

1.2 Leadership B+ 3.3 40.0%

Overall BER Total 3.4

SC Fusion Energy Sciences

1.1 Impact A 4.0 50.0%


Overall FES Total 3.8

SC Workforce Development for Teachers and Scientists

1.1 Impact B+ 3.2 80.0%

1.2 Leadership B+ 3.2 20.0%

Overall WDTS Total 3.2

Table 1.1 Program Performance Goal 1.0 Score Development

Program Office Letter Grade

Numerical Score

Weight Overall

Weighted Score

SC High Energy Physics B+ 3.4 54.0%

SC Basic Energy Sciences A- 3.7 40.3%

SC Biological and Environmental Research B+ 3.4 1.4%

SC Fusion Energy Sciences A 3.8 3.9%

SC Workforce Development for Teachers and Scientists B+ 3.2 0.5%

Performance Goal 1.0 Total 3.5



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Score 0.0-0.7 0.8-1.0 1.1-1.7 1.8-2.0 2.1-2.4 2.5-2.7 2.8-3.0 3.1-3.4 3.5-3.7 3.8-4.0 4.1-4.3


Table 1.3 Goal 1.0 Final Letter Grade


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Goal 2.0: Provide for Efficient and Effective Design, Fabrication, Construction and Operations of Research Facilities

The Contractor provides effective and efficient strategic planning; fabrication, construction and/or operations of Laboratory research facilities; and are responsive to the user community.


Score: 2.9 Grade: B

Goal Evaluation:

The LSSTcam project has suffered from a variety of technical issues and compounded them by abysmal communication with headquarters. Both the FPD and HEP have considered rating the project yellow during the year. Some risks have been retired over the course of the year, but the performance is clearly below the expectations of the Office of Science.

The lab has done a good job in organizing a primarily university led collaboration, SuperCDMS-SNOlab, with no project experience into a team capable of mounting this project. SuperCDMS has made progress towards CD-2 which is planned for FY 2018.

Objective 2.1: Provide Effective Facility Design(s) as Required to Support Laboratory Programs (i.e., activities leading up to CD-2)

Weight: 15.00%



The lab has done a good job in organizing a primarily university led collaboration, SuperCDMS-SNOlab, with no project experience into a team capable of mounting this project. SuperCDMS has made progress towards CD-2 which is planned for FY 2018.

Objective 2.2: Provide for the Effective and Efficient Construction of Facilities and/or Fabrication of Components (execution phase, post CD-2 to CD-4)

Weight: 85.00%

Score: 2.8 Grade: B


The LSSTcam project has had several difficulties over the course of the year. There have been major uncertainties on the delivery of sensors from both vendors and the cryo/cold plate assembly and refrigeration system have fallen behind schedule. While dealing with these issues communication with HEP management has been very poor. Attendance by the LSST project team at monthly meetings with HEP has been hit or miss. In addition it took a year for the lab to identify a new permanent project manager, while the project was struggling with multiple technical issues. In the end the acting project manager was made the permanent project manager. HEP is satisfied with the choice but not the time it took to make it.



Goal Evaluation:

● Overall, SLAC’s performance on the LCLS-II project in FY 2017 is below expectations. Cumulatively, their performance is at a minimally acceptable level for schedule and on budget for cost. The larger concern is that for work scheduled to be accomplished during FY 2017, SLAC’s completion rate was below an acceptable


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performance level according to DOE standards. While they resolved some major technical difficulties in collaboration with the partner laboratories, the resulting delays required a reevaluation of the project schedule. As leader of the collaboration, SLAC’s workload will increase as the project progresses. If their performance does not improve, the project will be at risk of major delays and resulting cost increases.

● The LCLS-II-HE project is at CD-0. The project released a draft Conceptual Design Report late in FY2017.

● LCLS continues to operate reliably, with improved efficiency and increased instrument time, while also developing new experimental tools. SSRL operated with high reliability and efficiency, and continues to explore opportunities to improve its capabilities and capacities.

● SSRL concluded its work with NSLS-II to accommodate former NSLS users during the dark period of the transition to NSLS-II.

Objective 2.1: Provide Effective Facility Design(s) as Required to Support Laboratory Programs (i.e., activities leading up to CD-2)

Weight: 10.00%



● The LCLS-II-HE project is at CD-0. The project released a draft Conceptual Design Report late in FY2017 which will be reviewed and finalized in the future. The project has been limited by an uncertain funding environment, but steady progress is being made.


Weight: 40.00%

Score: 3.0 Grade: B


● The LCLS-II project has ambitious goals which, to meet, require advancing the state of the art in superconducting RF technology for accelerating structures and other technical systems. One expects to encounter problems when pushing technological limits, and the project has experienced several major technological setbacks. To date, these problems are being addressed and overcome through the collaboration of SLAC with the partner laboratories. This is commendable.

● The project’s scope of work is divided between SLAC and the partner laboratories. On a cumulative work accomplished to date basis, SLAC’s performance is on budget for cost, and minimally acceptable for schedule. The concern is that for work scheduled to be accomplished during FY 2017, SLAC only completed approximately 82% of it. This is below the acceptable performance level according to DOE standards.

● As the partner laboratories complete their scope of work and the equipment is delivered to SLAC for installation, integration, testing, and commissioning, the workload at SLAC will increase dramatically. SLAC’s future performance must improve or the project will be at risk of major delays and the resulting cost increases.

Objective 2.3: Provide Efficient and Effective Operation of Facilities

Weight: 30.00%




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● The Linac Coherent Light Source (LCLS) continues to improve operational efficiency; to deliver more instrument time and experimental opportunities to users through advanced optics that split the x-rays, enabling two or more simultaneous experiments; and to standardize the experimental setup. LCLS continues operating reliably and achieving the operation goal of the facility.

● The Stanford Synchrotron Radiation Light Source (SSRL) continues to operate with high efficiency and develops new advanced devices and capabilities for the user community. SSRL continues operating with high reliability and achieved over 97% reliability for the machine operation in FY2017.

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

Weight: 20.00%



● In FY2017, LCLS continues to develop the standard experimental setup including advanced laser and sample delivery systems. These new experimental tools have lowered the barrier for scientists to conduct their research at LCLS and have expanded the user communities.

● The SSRL continues to explore opportunities to develop new beamlines and to upgrade existing instruments. Recently, a newly developed superconducting Transition Edge Sensor (TES) detector with 1 eV energy resolution was installed at SSRL’s spectroscopy instrument and made experiments with very weak signals from samples possible.

● In FY2017, the SSRL has concluded the arrangement with NSLS-II that allowed former NSLS users to conduct their research at SSRL during the dark period of the NSLS to NSLS-II transition. This program has successfully mitigated some of the capability and capacity gaps, especially in the areas of research employing X-ray spectroscopy and protein crystallography.



Goal Evaluation:

SSRL continues to be a strong performer in the organization and management of synchrotron life sciences techniques, with good benefit to the broad life sciences user community


Weight: 100.00%



The SLAC SBR SFA makes extensive use of the SSRL national user facility at SLAC. They have used the experimental stations at SSRL in FY 2017 to produce several important new insights into the interactions of elements such as uranium and chromium with subsurface minerals and natural organic matter, which have been published in high-impact research journals.

SSRL SMB expanded outreach this year via staff participation in and presentation at the BER 2017 Genomic Sciences Program PI meeting. SLAC management took a proactive leadership role in developing the BERstructuralbioportal.org website resource. SMB also held to major outreach and events with the RapiData and EXAFS courses for users.


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Several examples of BER-relevant biological research were highlighted in SLAC’s last annual progress report, including detailed studies of bacterial membrane structures, bacterial microcompartment proteins, redox oxidation states of Fe in nitrogenase and CO2 fixation by a unusually efficient carboxylating enoyl-thioester reductases (ECRs) fixing CO2 with 100-times more efficiently than RuBisCo. SLAC is encouraged to continue to demonstrate the utility of its capabilities for BER biology missions.


Score: 3.9 Grade: A

Goal Evaluation:

SLAC was effective in executing the compression laser upgrade on the MEC instrument and significantly exceeded a Notable Outcome. In addition, the laboratory demonstrated very good vision in developing common experimental configurations to increase the scientific throughput of the facility.


Weight: 50.00%

Score: 3.8 Grade: A


The laboratory significantly exceeded the threshold necessary to meet a Notable Outcome for the MEC instrument. The goal was to enhance the capabilities of the nanosecond laser at the MEC end station and increase the on-target energy from 20 J to 40 J for 10 ns pulses. SLAC delivered more than 60 J in 10 ns. Additionally, the laboratory was tasked with reducing the shot-to-shot power fluctuations by a factor of two and enhancing the pulse-shaping capabilities to provide ramp pulses that will enable near-isentropic compression. SLAC significantly exceeded the goals set for the Notable Outcome by improving the energy stability to 2-3% rms from 5-10% rms, reducing the speckle size to ~3- 5µm (down from 10µm), and providing temporal pulse shaping by implementing a NIF-like pulse shaper.

Objective 2.3: Provide Efficient and Effective Operation of Facilities

Weight: 25.00%



SLAC updated its X-ray diffraction “Standard” experimental configuration for the new long-pulse capabilities of the MEC. Standard configurations are engineered platforms that are easily installed and removed together with standardized beam paths. They allow an increased number of experiments (shorter experimental runs) and improved operational efficiency. The MEC fielded 12 user experiments (competitive proposals reviewed by PRP) and three in-house experiments -- the same number of experiments fielded in FY 2015. This is very impressive, considering that there was a six-month shutdown of LCLS in FY 2017. The efficiency is due to the effective use of the “Standard” experimental configurations adopted by the MEC in FY 2016.


Weight: 25.00%

Score: 4.2 Grade: A+



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The excellent utilization of MEC to provide impactful HED science results is evident from the high-profile publications from the external user community. The SLAC MEC team provided effective and efficient support to the selected users to increase the experimental success and provide impactful S&T results. Experimental design reviews were conducted with users at three-, two-, and one-month intervals before experiments to ensure readiness. Additionally, the facility was strengthened by the local HEDS group, which enhanced MEC capabilities by developing cutting-edge diagnostics and probes that were made available to the external user community.

Notable Outcome(s)


(Objective 2.1) Notable 1: By June 2017, develop a credible schedule to move SuperCDMS-SNOLAB forward to CD-2 and CD-3, engaging senior lab management in the process to ensure the experiment’s success.

Outcome: SuperCDMS-SNOlab was reviewed in the summer and was found to be making progress towards CD-2. - Achieved


(Objective 2.2) Notable 1: Effectively manage and execute the LCLS-II project in accordance with the Project Execution Plan and deliver the project scope in compliance with the technical performance specifications and within the established DOE performance goals for cost and schedule.

Outcome: Notable met, as judged by the cumulative cost and schedule indices within SLAC’s assigned scope. - Achieved


(Objective 2.2) Notable 1: Enhance the capabilities of the nanosecond laser at the MEC end station at LCLS. This consists of increasing the on-target energy from 20 Joules to 40 Joules for 10 ns pulses and enhancing the pulse-shaping capabilities to provide ramp pulses that will enable near-isentropic compression.

Outcome: The laboratory significantly exceeded the Notable Outcome by increasing the on-target energy from 20 to 60 Joules for 10 ns pulses. SLAC also enhanced the pulse-shaping capabilities by providing ramp pulses that enable near-isentropic compression. - Achieved



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Numerical Score

Objective Weight

Overall Score


2.1 Support Laboratory Programs B+ 3.4 15.0%

2.2 Construction of Facilities B 2.8 85.0%

2.3 Operation of Facilities 0.0%

2.4 S&T Results and Benefits to External User Communities 0.0%



2.1 Support Laboratory Programs B+ 3.4 10.0%

2.2 Construction of Facilities B 3.0 40.0%

2.3 Operation of Facilities A- 3.6 30.0%

2.4 S&T Results and Benefits to External User Communities A- 3.6 20.0%



2.1 Support Laboratory Programs 0.0%

2.2 Construction of Facilities 0.0%

2.3 Operation of Facilities 0.0%

2.4 S&T Results and Benefits to External User Communities A- 3.5 100.0%



2.1 Support Laboratory Programs 0.0%

2.2 Construction of Facilities A 3.8 50.0%

2.3 Operation of Facilities A- 3.6 25.0%

2.4 S&T Results and Benefits to External User Communities A+ 4.2 25.0%




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Numerical Score

Weight Overall

Weighted Score

SC High Energy Physics B 2.9 10.9%

SC Basic Energy Sciences B+ 3.3 87.2%

SC Biological and Environmental Research A- 3.5 0.9%

SC Fusion Energy Sciences A 3.9 1.1%



Score 0.0-0.7 0.8-1.0 1.1-1.7 1.8-2.0 2.1-2.4 2.5-2.7 2.8-3.0 3.1-3.4 3.5-3.7 3.8-4.0 4.1-4.3




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Goal 3.0: Provide Effective and Efficient Science and Technology Program Management

The Contractor provides effective program vision and leadership; strategic planning and development of initiatives; recruits and retains a quality scientific workforce; and provides outstanding research processes, which improve research productivity.



Goal Evaluation:

The lab has been too slow in developing an adequate computing strategy. Some of the day-to-day computing support at the lab has been inadequate.

Lab management is engaged and effective. Hires in the scientific area and technical areas have been outstanding and forward looking. Alignment with the national program continues to improve. Cost savings have been achieved with a minimal impact on quality.

Lab communications with HEP are very effective through weekly and monthly calls, with the exception of the LSST project, as noted under goal 2.

Objective 3.1: Provide Effective and Efficient Strategic Planning and Stewardship of Scientific Capabilities and Program Vision

Weight: 30.00%



● Despite uncertainty in the current and future fiscal years, the lab’s strategic budget planning was improved from the previous year. While the lab provided a balanced plan within each Frontier, the lab needs to work on clearly delineating priorities lab-wide in these times of fiscal constraint.

● The SLAC ATLAS group has coordinated its effort with U.S. ATLAS operations program management for contributions to Geant 4 and the development of a shared-Tier 3 computing cluster. However, any additional resources for Energy Frontier computing at the lab still requires a well-documented laboratory-wide vision for computing, which includes both near-term and long-term goals. The lab has been too slow in developing an adequate computing strategy. Some of the day-to-day computing support at the lab has been inadequate.

● New Intensity Frontier hires at the lab will strengthen neutrino efforts in short- and long-term.

● The lab has moved forward in CMB-S4 planning with the other HEP labs but results have been mixed in moving a proposed coordinated HEP plan forward. The lab continues to plan its roles on SuperCDMS, LZ and LSST and is investigating possible future directions in dark matter and dark energy. There are concerns about how the lab activities with potential international CMB efforts will mesh into CMB-S4.

● A strong working collaboration in the PWFA area, together with FACET-II science workshops have provided a solid basis to the Accelerator Directorate to develop effective and efficient strategic planning for its programs.

● SLAC has been mostly responsive in completing the analysis and data calls required for the Lab Optimization process.


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● The lab presents some good strategic goals; however, the guiding principle of "if we build it, they will come" is very passive and does no reflect the level of energy that the Director seems to have expended in addressing key shortcomings. It is clear he is committed towards building a truly diverse and inclusive workforce.

Objective 3.2: Provide Effective and Efficient Science and Technology Project/Program/Facilities Management

Weight: 45.00%



The ATLAS group continues to coordinate with U.S. ATLAS project management to define its deliverables for the HL-LHC upgrade.

Operations planning for LSST Facility Operations, LSST Commissioning and LSST DESC and preliminary operations planning for SuperCDMS-SNOLAB needs continued lab management support. There are some concerns about planning for the completion of efforts on FGST and how these personnel and funding smoothly transition to future priorities that require lab roles.

Very well focused and organized detector R&D program. Excellent work. Very well leveraged by BES and Stanford University technical and intellectual resources.

● Lab management is engaged and effective. Hires in the scientific area and technical areas have been outstanding and forward looking. Alignment with the national program continues to improve. Cost savings have been achieved with a minimal impact on quality. Efforts to engage the Stanford digital library with the INSPIRE group is an example of creative management that may prove very productive.

Objective 3.3: Provide Efficient and Effective Communications and Responsiveness to Headquarters Needs

Weight: 25.00%



Lab personnel are accessible and responsive. Lab communications with HEP are very effective through weekly and monthly calls, with the exception of the LSST project, as noted under goal 2.



Goal Evaluation:

● SLAC has the potential to be the world leader in ultrafast science, building on the transformational capabilities of LCLS and LCLS-II. The lab has made progress on a broad lab-wide strategic plan and scientific vision for ultrafast science, still with room for refinement in some areas.

● The MSE coordinator has been proactive in shaping a strategic vision for the program and has demonstrated excellent skills in working with headquarters in the management of the SLAC MSE portfolio.

● For both light sources, SLAC has continued to provide vision and leadership toward development of new instruments and capabilities for users, working with the scientific communities. LCLS management continues to lay the necessary groundwork to realize the science opportunities offered by the LCLS-II and LCLS-II-HE projects. SSRL continues to work closely with LCLS to develop common scientific programs that will benefit both facilities.


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● SLAC provided high-quality highlights and periodic teleconferences that demonstrated the impact of BES-funded research projects and showed effective leadership and management of the portfolios. Improved attention to timeliness of responses to requests would be helpful. The light source management teams have been communicating very well with BES.

● SLAC’s management performance for the LCLS-II project in FY 2017 was below expectations. The SLAC-led collaborative project completed 81% of its scheduled work for the year, which is not an acceptable performance level by DOE standards. The project schedule had to be changed to delay the projected early finish date by 10 months. SLAC’s performance in making and executing a plan must improve.


Weight: 35.00%



● BES reiterates the need for SLAC to refine their strategic plan for ultrafast science to enhance the impact of ultrafast chemical science on BES-CSGB-supported projects and to demonstrate world leadership in specific areas of ultrafast x-ray science such as ultrafast dynamics in electronic excited states, intramolecular electron dynamics, ultrafast interfacial dynamics, and non-linear x-ray/matter interactions. The new SciDAC award should play a role in this refined strategic plan.

● Although SLAC has strategic plans for the Catalysis Science, AMOS, and JCAP projects, BES encourages the development of an overarching vision that articulates the synergies of these efforts.

● SLAC has demonstrated excellent strategic vision and has successfully transitioned seed-funded efforts into fully funded projects in the area of high pressure science theory and computation as it pertains to scattering sciences. Seed funding of a Theory Institute for Materials and Energy Spectroscopies (TIMES) will transition to full funding in FY 2018. In addition, a new project on x-ray studies of functional materials in extreme environments, especially high pressures, will transition to full funding in FY 2018.

● LCLS management continues working with user communities to develop instruments that will realize the full potential of the new capabilities and science opportunities provided by the LCLS-II and LCLS-II-HE projects.

● SSRL management continues to provide vision and leadership to improve existing instruments and develop new capabilities that support a wide range of user communities. In addition, SSRL continues working closely with LCLS to develop common scientific strategies that will advance both facilities.


Weight: 35.00%



● SLAC is commended for attracting new leadership in catalysis characterization and initiating the development of XCAP (a new catalysis consortium for using x-ray facilities at SLAC). BES encourages SLAC to develop a strategic plan for this consortium that demonstrates the value of the unique capabilities at SLAC including XFELs for the catalysis research community.

● The MSE coordinator has demonstrated excellent skills in working with headquarters in the management of the SLAC MSE portfolio. Strong scientific staff are being brought into the program from Stanford University.


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● LCLS management has successfully implemented a new process to manage facility operations efficiently. This new management process has increased the staff participation and transparency in decision-making.

● SSRL management continues to explore new scientific collaborative opportunities with other facilities and institutions to enhance capabilities. Recently, SSRL staff have established a close collaboration with the CAMERA program at LBNL to enhance real-time data analysis capabilities that allow users to obtain real-time feedback during their experiments.

● As the host laboratory for LCLS-II and leader of the partner laboratory collaboration, SLAC has the lead management responsibility for the project and the collaboration. While SLAC has made progress in addressing technical difficulties encountered by the project, the overall schedule and cost performance for the FY2017 scope falls below the acceptable level, reflecting overall management deficiency. Of the work scheduled to be completed in FY2017, the project completed only about 81%.


Weight: 30.00%



● SLAC provided high-quality highlights that demonstrate the impact of BES-funded projects. Programmatic updates through periodic teleconferences continue to show effective leadership and management of the portfolios.

● Additional attention to timeliness of responses for requested actions would strengthen management of the portfolio.

● Communications between the LCLS management team and SUFD were very good.

● Communications between the SSRL management team and SUFD were very good.



Goal Evaluation:

SLAC management and staff communicate regularly with program staff. SLAC is broadening its capabilities with the hiring of excellent new staff and pursuing cryo-EM and bioimaging capabilities. SLAC has taken a proactive leadership role in coordinating with the other structural biology resources.

SLAC continues to demonstrate limited engagement and involvement with the Stanford campus, although there are some plans for additional recruitments and joint appointments in FY2018.


Weight: 20.00%



The SLAC SBR SFA is an important component of the SLAC intramural scientific research program.

SLAC management and staff communicate regularly with program staff to apprise of strategic plans and status updates. SLAC has unique facilities that are important for BER research being conducted across the nation. SLAC’s plans


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for developing a strong biology focus are challenged by the need to maintain their unique national facilities at the leading edge. SLAC is encouraged to persist in developing a biology program aligned with the BER biology missions.


Weight: 30.00%



The SBR SFA is strongly supported by the SLAC management, both for facility resources and for enabling effective collaborations within the laboratory and with other institutions.

SLAC is broadening its capabilities with the hiring of excellent new staff and pursuing cryo-EM and bioimaging capabilities. SLAC would also do well to hire additional BER domain expertise to couple the unique capabilities at SLAC with BER’ science needs in bioenergy and environmental research.


Weight: 50.00%



The laboratory management and the principal investigator for the SBR SFA maintain effective communications with the BER management, providing regular updates on new publications and also in FY 2017 discussing plans for future research prior to submitting the revised Science Plan for the project.

SMB leadership, as well as SLAC management and staff, communicate frequently with program staff. SLAC has taken a proactive leadership role in coordinating with the other structural biology resources and developing the BERstructuralbioportal.org website resource.

SLAC senior management has recently initiated a dialogue with BER to achieve better alignment with BER's strategic scientific priorities.



Goal Evaluation:

SLAC is commended for its strong commitment to making the MEC an effective and efficient scientific platform by regularly engaging the scientific community and using its feedback to improve the facility and plan for upgrades that will keep the U.S. ahead of the competition.


Weight: 40.00%



The laboratory’s commitment to provide effective and efficient strategic planning was evident through its vision to take advantage of the diagnostic capabilities of the MEC and explore fundamental science relevant to the HEDLP mission, ranging from materials research to laboratory astrophysics. However, MEC experiments are dominated by materials


28

science research, and few are in plasma physics. Since both areas are important to the FES mission, the laboratory must find the right balance—and did.

In early FY 2017, SLAC hired an experienced laser area manager for the MEC to ensure successful implementation of the envisioned experiments that involve optical lasers and x-rays as a probe.

The laboratory’s HED science division demonstrated the ability to attract and retain the best young researchers internationally, thus placing itself among the world leaders in this field.


Weight: 30.00%

Score: 3.8 Grade: A


The laboratory is commended for its use of LDRD to start a new high-energy-density theory group. This group has allowed SLAC to be competitive by attracting young computational scientists to support the local HEDS experimental group. By connecting the new theory group with SLAC/Stanford astrophysics and computer science groups, the laboratory is effectively leveraging across multiple areas of research.


Weight: 30.00%



SLAC leadership was engaged and was always prepared to respond to the needs of FES.

The laboratory’s communication with FES has been frequent.

SC Workforce Development for Teachers and Scientists (WDTS)


Goal Evaluation:

The Laboratory actively seeks student participants in research experience learning opportunities helping ensure that DOE has a sustained pipeline of STEM workers.


Weight: 40 .00%



The laboratory is commended for successfully developing and executing outreach activities aimed at recruiting a more diverse spectrum of applicants to WDTS sponsored programs. It is also commended for successfully responding to a solicitation which will continue its outreach activities in the coming year.


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Weight: N/A

Score: 0.0 Grade: N/A


N/A


Weight: 60.00%



Laboratory staff leading the execution of WDTS sponsored programs are commended for their responsiveness to programmatic direction and their willingness to implement new processes that provide complex-wide value.

Notable Outcome(s)


(Objective 3.1) Notable 1: ANL, FNAL, LBNL and SLAC should work together to support the AAAC Subpanel “CMB-S4 CDT” process. In parallel with the CDT, the labs should work together to support any other efforts needed in the pre-conceptual design phase. In particular, an updated, coordinated R&D plan should be developed by July 2017, with efforts prioritized to take into account projected available funding. The plan should take advantage of the labs’ unique capabilities, position them to take leadership roles that require laboratory infrastructure, and align with critical roles within the CMB-S4 CDT’s plan.

Outcome: This notable was achieved. - Achieved


(Objective 3.2) Notable 1: Provide effective leadership, management, and integration of LCLS-II Partner Laboratories and Collaborating Institutions to ensure project requirements are met.

Outcome: The overall LCLS-II project is performing at a minimally acceptable level for schedule and an “on budget” level for cost. The project and collaboration continues to experience technical and managerial challenges. - Achieved

(Objective 3.2) Notable 2: Provide a comprehensive strategic plan for BES-supported ultrafast science to establish SLAC as the clear world leader in ultrafast scientific research and related instrumentation development.

Outcome: A strategic plan for International Leadership in X-ray and Ultrafast Science at SLAC was submitted to BES in FY 2017. - Achieved



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Numerical Score

Objective Weight

Overall Score


3.1 Efficient Strategic Planning and Stewardship B+ 3.1 30.0%

3.2 Project/Program/Facilities Management B+ 3.3 45.0%

3.3 Effective Communications and Responsiveness B+ 3.4 25.0%



3.1 Efficient Strategic Planning and Stewardship A- 3.6 35.0%

3.2 Project/Program/Facilities Management A- 3.6 35.0%

3.3 Effective Communications and Responsiveness A- 3.5 30.0%




3.2 Project/Program/Facilities Management B+ 3.4 30.0%




3.1 Efficient Strategic Planning and Stewardship A- 3.6 40.0%

3.2 Project/Program/Facilities Management A 3.8 30.0%



SC Workforce Development for Teachers and Scientists


3.2 Project/Program/Facilities Management N/A 0.0 N/A


Overall WDTS Total 3.2



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Numerical Score

Weight Overall

Weighted Score

SC High Energy Physics B+ 3.3 18.7%

SC Basic Energy Sciences A- 3.6 78.7%

SC Biological and Environmental Research B+ 3.4 0.9%

SC Fusion Energy Sciences A- 3.5 1.6%

SC Workforce Development for Teachers and Scientists B+ 3.2 0.1%



Score 0.0-0.7 0.8-1.0 1.1-1.7 1.8-2.0 2.1-2.4 2.5-2.7 2.8-3.0 3.1-3.4 3.5-3.7 3.8-4.0 4.1-4.3




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Goal 4.0: Provide Sound and Competent Leadership and Stewardship of the Laboratory

This Goal evaluates the Contractor’s Leadership capabilities in leading the direction of the overall Laboratory, the responsiveness of the Contractor to issues and opportunities for continuous improvement, and corporate office involvement/commitment to the overall success of the Laboratory.

Headquarters (HQ)


Goal Evaluation:

● SLAC has faced strategic issues in the past year that were not appropriately addressed or in a timely manner by Laboratory leadership, in part, due to being overstretched with other responsibilities or distractions. The delay in appointing an Associate Laboratory Director (ALD) for Science has resulted in the appearance of the Lab Director being distracted from high-level management issues, which could have been more appropriately addressed by an ALD.

● There has been a lack of resources to ensure appropriate level of subcontractor safety and quality oversight which has resulted in a reactive organization.

● Stanford University continues to provide outstanding corporate support to SLAC. This level of strong contractor support is uncommon within the DOE-SC complex. The return of Dr. Bill Madia, from a brief sabbatical, as the Vice President for SLAC and the appointment of Dr. Persis Drell as the Stanford University Provost, both of whom have an exceptionally positive history with SLAC and DOE, is a welcome circumstance.

● SLAC continues to provide world leadership in ultrafast x-ray science research. A strategic plan for International Leadership in X-ray and Ultrafast Science at SLAC was developed to provide guidance on priorities moving forward.

Objective 4.1: Leadership and Stewardship of the Laboratory

Weight: 34.00%



● SLAC’s close relationship with Stanford University enhances student participation and faculty collaboration on BES-supported projects.

● Lab management has a clear and consistent vision for SLAC as the world’s leading electron accelerator facility with a multipurpose science program. They have made good progress in communicating this vision and developing partnerships with other DOE labs and universities to help enable their broader science goals. They are also working to develop closer and more productive ties with industry to support advanced technology R&D.

● SLAC has articulated a scientific vision that would position the laboratory as the world leader in x-ray science and has recently submitted a strategic plan that describes the vision and actions to reach that goal at SLAC.

● SLAC has faced strategic issues in the past year that were not appropriately addressed or in a timely manner by Laboratory leadership, in part, due to being overstretched with other responsibilities or distractions. Issues such as PSLB programming, messaging of budget uncertainties, 230 kV easement maintenance and development of a strategically coherent lab plan were not resolved without DOE intervention. The Laboratory Director continued as the ALD for Science through FY17, which placed additional burdens on senior leadership.


33

● Leadership, in planning for the implementation of the new cryo-electron microscope program and facility, was not fully engaged and the readiness review process had to be delayed. All required processes and documentation were not in place. In particular, protocols for biosafety were not fully developed and vetted to ensure safe management and operations of biohazardous material. These items are now being addressed. Communication and other management gaps have contributed to the possibility that Biosafety Level 1 materials could have been used to calibrate/validate cryo-EM microscopes before the readiness review for the laboratories was completed.

● SLAC has taken several steps to fill the gap in senior leadership. A search for the ALD for Science position was conducted this past year and the position will soon be filled. Also, the Laboratory Director has created and filled a new position of Deputy Director of Operations. This position is responsible for operations in support of effective and efficient delivery of SLAC’s mission.

● Quick integration of these new positions will be critical to support the laboratory’s growing science portfolio and operations.

Objective 4.2: Management and Operation of the Laboratory

Weight: 33.00%



● Senior management is tackling the improvement of the lab management systems and showing progress. Turnover in senior management positions (particularly the CIO position) has hampered implementation of key elements of the science vision and some elements of business systems modernization.

● Implemented all of the new provisions of the RWG model contract without any disruption to the operation and scientific mission.

Procurement description was revised to incorporate the RWG requirements and increase procurement authority to $25M.

Integration of Stanford HR policies and practices at SLAC.

Streamlined ORPS reporting requirements.

Improved the onboarding of researchers so that the majority or researchers from sensitive countries do not need to be entered into FACTs.

● Construction injury rates are best-in-class and construction workers have not experienced a lost day case in nearly six years with over a million hours worked.

● Continued the metals recycling program that avoided a cost of $14M by not disposing the material as radioactive waste.

● SLAC helped lead the DOE in development and deployment of the mandated Multi-Factor Authentication (MFA) protocols.

● This past year, we have seen numerous near misses that could have affected the performance of the laboratory. These precursors, if not mitigated in the future, would eventually lead to a serious safety incident. Additional resources are necessary to ensure adequate subcontractor oversight.

● To sustain the high level of performance, senior leadership will need to position the operations organization for continued improvement and development. This will be a critical task for the Deputy Director of Operations to ensure continued outstanding mission operational support.


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● SLAC implemented significant improvements to the Contractor Assurance System (CAS) processes and tools to more effectively identify, evaluate and manage risks, prioritize resources based on risk considerations, and drive continual improvement in issues management. These systems, processes and tools also supported improvement in execution of SSO, SLAC and Stanford University (corporate parent) CAS oversight roles and responsibilities.

Objective 4.3: Contractor Value-added

Weight: 33.00%



● SC congratulates Persis Drell for her appointment as Stanford Provost. Her understanding of and appreciation for the SC strategic vision and priorities will be critical to further strengthen the value-added by the Contractor.

● The lab has effectively partnered with Stanford and private donors to make significant improvements to lab research facilities and infrastructure. Engagement with Stanford is noticeably more active at all levels and contributing to the intellectual vitality and science impact of the lab.

● Stanford’s contribution and support was significant to the development of the Revolutionary Working Group (RWG) model contract a. The SLAC contract extension will continue to utilize the RWG model contract. With the implementation of the SLAC RWG model contract, which allowed for the implementation of numerous Stanford policies and processes, SLAC’s operational efficiency and effectiveness has been improved.

● Stanford’s support of IT and cyber security is exceptional. By leveraging Stanford’s buying power, SLAC receives more than $4M/year in IT and cyber security services at no cost to the Laboratory.

● The Photon Sciences Laboratory Building shell was completed by Stanford and turned over to DOE for SLAC use. This state-of-the-art research facility will be the center for innovative science discovery. This continues the long standing corporate support Stanford has contributed to helping SLAC be successful.

Notable Outcome(s)

Headquarters

(Objective 4.2) Notable 1: Fully implement the RWG model contract.

Outcome: SLAC and Stanford did an outstanding job implementing and executing the new RWG model contract. This contract has established the model for DOE which may expand to other laboratories. The stage is set to implement phase 2 of the RWG contract with additional innovative changes to the contract model. - Achieved



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Numerical Score

Objective Weight

Overall Score

Headquarters

4.1 Vision and Planning B+ 3.4 34.0%

4.2 Responsive and Accountable Leadership B+ 3.4 33.0%

4.3 Corporate Support A- 3.7 33.0%

Overall HQ Total 3.5



Numerical Score

Weight Overall

Weighted Score

Headquarters A- 3.5 100.0%



Score 0.0-0.7 0.8-1.0 1.1-1.7 1.8-2.0 2.1-2.4 2.5-2.7 2.8-3.0 3.1-3.4 3.5-3.7 3.8-4.0 4.1-4.3




36

Goal 5.0: Sustain Excellence and Enhance Effectiveness of Integrated Safety, Health, and Environmental Protection

This Goal evaluates the Contractor’s overall success in deploying, implementing, and improving integrated ES&H systems that efficiently and effectively support the mission(s) of the Laboratory.

Site Office (Site Office)


Goal Evaluation:

Overall, SLAC is providing a safe workplace for its employees and demonstrates a high level of environmental stewardship.

SLAC construction injury rates are best-in-class and construction workers have not experienced a lost day case in nearly six years with over a million hours worked.

SLAC demonstrated significant improvement in hazardous waste/material management practices at waste generating locations.

During the FY17 down time, ESH and Field Construction Managers (FCM) were short-staffed for various reasons and field support of projects was not adequate and resulted in several near misses such as the block drop in building 950

Objective 5.1: Provide an Efficient Worker Health and Safety Program

Weight: 60.00%



The Total Recordable Case (TRC) and Days Away, Restricted and Transferred (DART) case rates for FY17 are higher than the FY16 TRC and DART case rates. The SLAC DART rates are driven largely by the number of industrial (non-office) ergonomic injuries. The severity of the ergonomic injuries, as measured by the number of lost and restricted workdays, showed improvement from FY16.

During the FY17 down time, ESH and field construction managers were short-staffed for various reasons and field support of projects was not adequate. This was keenly evident by the serious near misses that occurred in the block drop at B950 and the crane beam drop at the LCLS-II cryobuilding construction site. There has also been other minor near misses that are attributable to lack of effective oversight of subcontractors. As a result, SLAC has been reactive versus proactive for ensuring safety. While SLAC has hired temporary staff, there is still a resource problem. This is an issue that needs to be better addressed for the FY18 down time.

SLAC has been building a Cryo-EM laboratory in Building 006. The process to get this project up and running was rushed and contractual mechanisms were/are not in place; yet work proceeded. In addition, the Cryo-EM laboratory is proposed to use Biosafety Level (BSL)1, BSL2 and BSL2+ materials. Though SU has expertise to assist, SLAC needs to develop the in-house expertise to manage these materials.

Objective 5.2: Provide Efficient and Effective Environmental Management System

Weight: 40.00%

Score: 3.8 Grade: A


SLAC submitted all FY17 environmental protection program deliverables and successfully passed on-site inspections by regulatory agencies, without receiving any notices of violation. SLAC has been in compliance with Clean Air Act, Clean


37

Water Act and Resource Conservation and Recovery Act requirements for eleven of the last twelve quarters (3 years), according to EPA’s compliance database.

The majority of all major remedial actions that are required by the Water Board Order for the West SLAC and Research Yard Operable Units (OU) were completed. FY17 activities included soil removals in the IR-6 and IR-8 drainage channels and upstream measures to reduce transport of impacted sediments, including installation of the Hydrodynamic Sedimentation Unit and targeted pavement removal that is expected to be completed in FY18.

SLAC received concurrence from the Water Board that there is no need for submittal of the Remedial Action Plan and subsequent design/operations and maintenance documents for the West SLAC OU, resulting in a cost savings of approximately $1M.

The groundwater clean-up goals were successfully renegotiated such that risk-based goals, rather than maximum contaminant levels or preliminary remediation goals (which are lower), are acceptable, resulting in Stanford and Water Board agreement that No Further Action is required for the dual phase extraction systems at the Former Hazardous Waste Storage Area and Test Lab/Central Lab, pending rebound testing.

Notable Outcome(s)

Site Office

(Objective 5.2) Notable 1: Complete equipment removal and successfully manage the disposition of materials and waste from the Sec 0-10 equipment removal and disposition projects to prepare for LCLS-II.

Outcome: In FY17, SLAC successfully disposed of 226 tons of radioactive and mixed wastes from the Sector 0-10 equipment removal and Beam Switchyard (BSY) reconfiguration projects, and cleanup of legacy material from the Beam Dump East Yard (BDE).

In FY17, SLAC recycled a total of 542 tons of metals from the Sector 0-10 equipment removal project, BDE Yard and legacy cleanup and other activities. Following the DOE technical standard DOE-STD-6004-2016 for release of personal property from accelerator facilities, SLAC achieved a cost avoidance of approximately $14M from the recycling of materials that would have otherwise been dispositioned as radioactive waste. - Achieved



Numerical Score

Objective Weight

Overall Score

Site Office

5.1 Integrated ES&H B+ 3.1 60.0%

5.2 Environmental Management System A 3.8 40.0%

Overall Site Office Total 3.4



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Numerical Score

Weight Overall

Weighted Score

Site Office B+ 3.4 100.0%



Score 0.0-0.7 0.8-1.0 1.1-1.7 1.8-2.0 2.1-2.4 2.5-2.7 2.8-3.0 3.1-3.4 3.5-3.7 3.8-4.0 4.1-4.3




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Goal 6.0: Deliver Efficient, Effective, and Responsive Business Systems and Resources that Enable the Successful Achievement of the Laboratory Mission(s)

This Goal evaluates the Contractor’s overall success in deploying, implementing, and improving integrated business systems that efficiently and effectively support the mission(s) of the Laboratory.



Goal Evaluation:

FY 17 was the first year of SLAC operating under the new Revolutionary Working Group (RWG) model contract. The contract was implemented on October 1, 2017.

SLAC successfully implemented all of the new provisions of the RWG model contract without any disruption to the operation and scientific mission.

The overall performance of the SLAC business functions; Finance, Information Technology, Procurement, Property Management and Technology Transfer Management have met expectations.

Human Capital Management stands out in FY 17 due to the implementation of scientific and engineering occupation job structures and the introduction of bias mitigation search and selection process for open staff positions.

Women scientists hired by SLAC in FY 2016 was 20% and in 2017 has increased to 31%. The "Ready Now" succession system for operational internal job candidates improved from 40% to 56%.

Objective 6.1: Provide an Efficient, Effective, and Responsive Financial Management System

Weight: 20.00%



The Finance computer management systems have been successfully upgraded and procedures have been implemented to ensure the systems remain current.

An automated consolidation of various budget models into a single, multi-year, resource loaded budget was implemented.

A new travel request and expense system was implemented.

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

Weight: 20.00%



SLAC Supply Chain Management organization revised their procurement procedures to reflect the changes made by the Revolutionary Working Group model contract.

Construction Package 2, Infrastructure Repair Modification review by the DOE Internal Review Board and the Head of the Contracting Authority, was approved without any significant findings.

SLAC Supply Chain Management has completed its system utilization project to fully implement paperless subcontracting.


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The Property Control Asset Tracking Project for LCLS ll was deployed and is meeting all major objectives.

Property Control met or exceeded all Balanced Score Card measures.

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

Weight: 20.00%



Implemented Scientific and Engineering occupation job structures that appropriately scope people to their skill level and compensates people based on their performance.

Diversity Plan at SLAC is “Best in Class”. Women scientists hired by SLAC in FY 2016 was 20% and in 2017 has increased to 31%.

As part of the RWG Phase 2 team, made significant recommendations to the revision of the SLAC Contract to reduce unnecessary and duplicative contract deliverables and to fully integrate and utilize Stanford policies and procedures.

Objective 6.4: Provide Efficient, Effective, and Responsive Contractor Assurance Systems, including Internal Audit and Quality

Weight: 20.00%



SLAC has institutionalized many significant improvements in CAS processes and tools that were not in place at the Lab during the November 2014 SSO Review of CAS. Formal and more structured risk identification/evaluation processes now exist in the SLAC line organizations, and outcomes from this site-wide process are reviewed quarterly by Laboratory senior management team to help make more informed resource prioritization decisions. CAS systems, processes and tools, designed to improve key elements of performance and issues management such as integrated assessment planning, incident investigation quality, and lessons learned, have significantly improved since the DOE review in 2014. The new SLAC Issues and Improvements Management System (SIIMS) database meets performance expectations of effectively tracking issues and actions. Implementation of SIIMS will allow SLAC to more efficiently and effectively track and trend issues and corrective actions from internal and external assessments, incident investigations, and other sources.

While there are new tools and process improvements related to CAS, the program is not fully mature to effectively prevent operational and safety issues. These improvements need to be pushed into all operations of the Lab.

Objective 6.5: Demonstrate Effective Transfer of Technology and Commercialization of Intellectual Assets

Weight: 20.00%



Implemented a new SLAC SciDoc system that allows Office of Scientific and Technical Information to easily retrieve data.

Addressed an unexpected staffing shortage by creatively restructuring existing staff resources to effectively and efficiently meet increasing requests and partnering opportunities.


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SLAC has demonstrated a strong commitment to submission of Accepted Manuscripts this FY, conducting training for various departments and involving key staff. Work continues on their internal documents system, which will improve the process for submitting authors’ accepted manuscripts. SLAC has exceeded its FY17 goal of 40% by utilizing the step-by-step submission process in E-Link. Once work is complete on their system, SLAC should be on track to meet its FY18 target of 85%. The lab’s specific feedback also takes into account their progress in the context of all labs’ overall performance as relates to the DOE Public Access Plan.



Numerical Score

Objective Weight

Overall Score

Site Office

6.1 Financial Management Systems B+ 3.4 20.0%

6.2 Acquisition and Property Management Systems B+ 3.4 20.0%

6.3 Human Resources A- 3.5 20.0%

6.4 Contractor Assurance Systems B+ 3.4 20.0%

6.5 Technology Transfer B+ 3.4 20.0%




Numerical Score

Weight Overall

Weighted Score




Score 0.0-0.7 0.8-1.0 1.1-1.7 1.8-2.0 2.1-2.4 2.5-2.7 2.8-3.0 3.1-3.4 3.5-3.7 3.8-4.0 4.1-4.3




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Goal 7.0: Sustain Excellence in Operating, Maintaining, and Renewing the Facility and Infrastructure Portfolio to Meet Laboratory Needs

This Goal evaluates the overall effectiveness and performance of the Contractor in planning for, delivering, and operations of Laboratory facilities and equipment needed to ensure required capabilities are present to meet today’s and tomorrow’s mission(s) and complex challenges.



Goal Evaluation:

Overall, SLAC manages facility and operations in an efficient and effective manner; periodically evaluating how to better meet mission needs. However, there have been significant safety and quality issues on construction projects which stemmed from a lack of adequate Work Planning and Control (WPC) and insufficient staff resources.

The increased demand by the projects group for support from the trades organization, during the prolonged accelerator down time, resulted in significant staff shortages and excessive work hours.

SLAC Facility and Operations Division is working with legal counsel and SSO on the Davis-Bacon Act classes of work pre-determination document, which will greatly improve the execution of small SLAC projects.

The Sector 0-10 Equipment Removal project (demolition, relocation and removal of equipment in preparation for LCLS-II) was highly successful with no major scope, schedule, or safety issues due to excellent planning and execution.

Objective 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

Weight: 50.00%



SLAC Facilities and Operations (F&O) worked with legal counsel and SSO to complete the Site Compliance Plan (SCP) and Contract Management Analysis (CMA) addressing the DOE Real Property Asset Management Order 430.1C, which does not have a Contractor Requirements Document (CRD). The RWG contract processes allowed SLAC to efficiently address the lack of a CRD, a challenge for other SC Laboratories with traditional contract models.

SLAC F&O is working with legal counsel and SSO on the Davis-Bacon Act classes of work pre-determination document, which will greatly improve the execution of small SLAC projects.

SLAC operations have been effective in the day-to-day management and maintenance of SLAC mission support systems. However, the increased demand by the projects group for support from the trades organization, during the prolonged accelerator down time, resulted in significant staff shortages and excessive work hours.

Objective 7.2: Provide Planning for and Acquire the Facilities and Infrastructure Required to Support the Continuation and Growth of Laboratory Missions and Programs

Weight: 50.00%

Score: 2.9 Grade: B


The Sector 0-10 Equipment Removal project (demolition, relocation and removal of equipment in preparation for LCLS-II) was highly successful with no major scope, schedule, or safety issues due to excellent planning and execution.


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SLAC has awarded multiple IDIQ contracts for Mechanical Electrical and Plumbing design firms which will shorten procurement time and initiate start work, sooner.

SLAC has created a new Strategic Capital Planning Department to better manage and plan infrastructure construction activities.

SLAC has prepared a near-term plan, proposed to SC Field Operations/SLI, for acquisition of several new facilities and upgrades including: a new X-ray science support building, a multi-program new computing facility, cooling water systems revitalization, and site security and access improvements, all necessary for growth of the lab various research programs.

SLAC has experienced significant WPC issues on construction projects that have contributed to numerous safety and quality issues (950 flooding, dropped block, dropped girder, k-sub expansion joint rework, cryoplant rework, etc.).

F&O preplanning for projects in FY17 did not adequately provide resources to make sure projects were completed without major issues.

Notable Outcome(s)

Site Office

(Objective 7.2) Notable 1: Work to reach a programmatic agreement with the California State Historic Preservation Office regarding completing the Section 110 process at SLAC.

Outcome: A Programmatic Agreement (PA) was developed and submitted to the California State Historic Preservation Office on March 30, 2017. On June 14, 2017, the SHPO responded that they did not believe a PA was needed at this time. SSO called the SHPO to discuss the response, and it was agreed that SLAC would hold off on the PA until April of 2018. - Achieved

(Objective 7.2) Notable 2: Successfully transition the PSLB project from Stanford to SLAC.

Outcome: SLAC/SSO worked effectively with Stanford University resulting in timely hand-over of the PSLB shell from SU to SLAC in December 2016, on schedule. - Achieved



Numerical Score

Objective Weight

Overall Score

Site Office

7.1 Usage and Life Cycle Cost B+ 3.3 50.0%

7.2 Planning and Acquisition B 2.9 50.0%




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Numerical Score

Weight Overall

Weighted Score




Score 0.0-0.7 0.8-1.0 1.1-1.7 1.8-2.0 2.1-2.4 2.5-2.7 2.8-3.0 3.1-3.4 3.5-3.7 3.8-4.0 4.1-4.3




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Goal 8.0: Sustain and Enhance the Effectiveness of Integrated Safeguards and Security Management (ISSM) and Emergency Management Systems

This Goal evaluates the Contractor’s overall success in safeguarding and securing Laboratory assets that supports the mission(s) of the Laboratory in an efficient and effective manner and provides an effective emergency management program.



Goal Evaluation:

SLAC is effectively managing the Emergency Management, Cyber Security, and Physical Security programs.

SLAC completed an RWG required external review of the alignment of SLAC with the Stanford IT systems, resulting in an overwhelming endorsement of the concept and an updated Authorization to Operate.

SLAC helped lead the DOE in developing and deploying the mandated Multi-Factor Authentication (MFA) protocols.

SLAC completed the necessary changes to the Unclassified Foreign Visits and Assignments program to address changes in tracking and issues with on-boarding of foreign nationals.

Objective 8.1: Provide an Efficient and Effective Emergency Management System

Weight: 33.00%



SLAC provides an efficient and effective emergency management program. SLAC continues to perform in-house drills and external drills/training with local law enforcement and emergency services.

SLAC handles emergencies quite well.

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

Weight: 33.00%



SLAC completed an RWG required external review of the alignment of SLAC with the Stanford IT systems, resulting in an overwhelming endorsement of the concept and an updated Authorization to Operate.

SLAC helped lead the DOE in development and deployed the mandated Multi-Factor Authentication (MFA) protocols.

SLAC has conducted email phishing training and field testing, resulting in a significant decrease in the number of SLAC employees clicking on suspect email links and attachments.

SLAC continues to work toward the network segmentation to create a more secure IT environment.

Objective 8.3: Provide an Efficient and Effective Physical Security Program for the Protection of Special Nuclear Materials, Classified Matter, Classified Information, Sensitive Information, and Property

Weight: 34.00%



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SLAC provides an efficient and affective physical security program.

Notable Outcome(s)

Site Office

(Objective 8.3) Notable 1: Complete the necessary changes to the Unclassified Foreign Visits and Assignments program to address changes in tracking and issues with on-boarding of foreign nationals.

Outcome: SLAC completed the SCP and CMA for DOE Order 142.3A and updated the PeopleSoft system to track foreign nationals as agreed upon by SLAC and SSO. SLAC also generates a quarterly UFVA report that is sent to counterintelligence and SSO. - Achieved



Numerical Score

Objective Weight

Overall Score

Site Office

8.1 Emergency Mgmt B+ 3.2 33.0%

8.2 Cyber-Security A- 3.5 33.0%

8.3 Special Nuclear Materials, Classified Property B+ 3.2 34.0%




Numerical Score

Weight Overall

Weighted Score




Score 0.0-0.7 0.8-1.0 1.1-1.7 1.8-2.0 2.1-2.4 2.5-2.7 2.8-3.0 3.1-3.4 3.5-3.7 3.8-4.0 4.1-4.3



Documents

U.S. Department of Energy Office of Science National Accele… · sustained scientific progress and impact; ... jet substructure studies continue to be strong and applied within the