SLAC National Accelerator Laboratory Annual Laboratory Plan FY 2016

Transcription

1 SLAC National Accelerator Laboratory Annual Laboratory Plan FY 2016

2 Published By SLAC National Accelerator Laboratory 2575 Sand Hill Road Menlo Park, CA SLAC is operated by Stanford University for the Department of Energy s Office of Science Approval This SLAC Annual Laboratory Plan for FY 2016 has been reviewed and approved by: Electronically approved Chi-Chang Kao Professor and Laboratory Director SLAC National Accelerator Laboratory 13 May 2016 About the Cover Image: Researchers working at the Department of Energy s SLAC National Accelerator Laboratory for the first time tracked ultrafast structural changes, captured in quadrillionths-of-a-second intervals, in a ring-shaped molecule that was broken open by light. The molecular motion was measured using SLAC's Linac Coherent Light Source X-ray laser. The colored chart shows a theoretical model of molecular changes that syncs well with the actual results. The squares in the background represent panels in an LCLS X-ray detector. [Image credit: SLAC National Accelerator Laboratory] This document and the material and data contained herein were developed under the sponsorship of the United States Government. Neither the United States nor the Department of Energy, nor the Leland Stanford Junior University (Stanford), nor their employees, makes any warranty, express or implied, or assumes any liability or responsibility for accuracy, completeness or usefulness of any information, apparatus, product or process disclosed, or represents that its use will not infringe privately owned rights. Mention of any product, its manufacturer, or suppliers shall not, nor is it intended to imply approval, disapproval, or fitness for any particular use. A royalty-free, non-exclusive right to use and disseminate it for any purpose whatsoever is expressly reserved to the United States and Stanford. SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 2 of 50

3 Table of Contents 1. Mission/Overview Lab-at-a-Glance Current Laboratory Core Capabilities... 6 Large-Scale User Facilities/Advanced Instrumentation... 6 Condensed Matter Physics and Materials Science... 8 Chemical and Molecular Science... 8 Plasma and Fusion Energy Science... 9 Accelerator Science and Technology... 9 Particle Physics Science and Technology Strategy for the Future/Major Initiatives Overview and Summary Science Strategy and Vision for Future Initiatives Innovating and Operating Premiere Accelerator-based Facilities LCLS-II Preparation and Long-Term Development of FEL Capabilities at SLAC Major SSRL Initiatives FACET-II Ultrafast Electron Diffraction (UED)/Ultrafast Electron Microscopy (UEM) Pursuing New Science Enabled by Our Facilities and Defining Their Future Direction Materials Science Chemical Sciences Biosciences High Energy Density Science Computer Science and High Performance Data Analytics Performing Use-inspired and Translational Research in Energy Defining and Pursuing a Frontier Program in the Physics of the Universe Determining the Nature of Dark Matter, Dark Energy and Cosmic Inflation Major Upgrades to the ATLAS Detector for the High-Luminosity Large Hadron Collider Determining the Properties of the Neutrino Core Competencies and Supporting Technology R&D Accelerator Science Core Competency Advanced RF Accelerator Technology Instrumentation Development for Light Sources and Particle Physics Laser Development Technology Transitions, Commercialization and Partnership Strategy SLAC Strategic Partnership Projects Vision and Strategy Notable SLAC Strategic Partnership Projects and Relevance to our SPP Objectives Advancement of DOE Mission and SLAC Science Goals Maintaining Core Capabilities Enhancing Technology Transfer and Commercialization Targeted Areas of SPP and CRADA Growth in FY 2016 and Beyond Advancement of DOE Mission and SLAC Science Goals Maintaining Core Capabilities Enhancing Technology Transfer and Commercialization SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 3 of 50

4 Funding and Resources Infrastructure Infrastructure Strategy Overview of Site Facilities and Infrastructure Campus Strategy Infrastructure Mission Readiness Infrastructure Gaps Excess Assets and Materials Plan Infrastructure Investment Table IFI Crosscut Data Table Computing Infrastructure Commodity IT R&D Computing Computing Investment Decision-making Process Site Sustainability Plan Summary Human Resources Recent History Future Challenges and Actions Cost of Doing Business Overhead Budget Process Metrics Major Cost Drivers Decisions and Trade-offs Appendix 1: Annual Strategic Partnership Projects Report Acronyms Tables and Figures Table 1: Non-DOE Funding (BA in $M) Table 2: Laboratory Technology Transitions Activities Non-Programmatic ($M) Table 3: Laboratory Technology Transitions Activities Using Programmatic ($M) Table 4: Existing R&D Systems Table 5: Existing Commodity IT Systems Table 6: Planned Acquisitions of R&D Systems Table 7: Planned Acquisitions of Commodity IT Systems Table 8: Summary of Sustainability Project Funding ($K) Table 9: Summary of Workforce Trends Table 10: Laboratory Overhead Trends (Cost Data in $K) Figure 1. Electricity Usage & Cost Projections SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 4 of 50

5 1. Mission/Overview SLAC National Accelerator Laboratory (SLAC) pursues transformative research on some of the most important scientific questions and technology challenges within the mission of the Department of Energy (DOE) using unique cutting-edge accelerator facilities and world-leading light sources. Founded in 1962 with a 2-mile-long linear accelerator used for revolutionary high energy physics experiments, SLAC has evolved into a multi-program laboratory whose mission leverages our intellectual capital, unique relationship with Stanford University (Stanford) and location within Silicon Valley to: Innovate, develop and operate world-leading accelerators, light sources and scientific tools; Deliver transformative chemical, materials, biological and fusion energy science enabled by our unique facilities and define their direction; Perform use-inspired and translational research in energy; and Define and pursue a frontier program in particle physics and cosmology. SLAC draws more than 4,000 researchers from around the world to use our facilities and participate in laboratory-hosted science programs each year. We operate two leading X-ray scientific user facilities the Linac Coherent Light Source (LCLS) and the Stanford Synchrotron Radiation Lightsource (SSRL) as well as the Facility for Advanced Accelerator Experimental Tests (FACET), a unique research and development (R&D) facility opened in 2012 for research on next-generation accelerator concepts. We also run the Instrument Science and Operations Center for the Fermi Gamma-ray Space Telescope (FGST), a joint DOE-National Aeronautics and Space Administration (NASA) mission that launched in 2008, and are leading the DOE contributions to the construction and operation of the Large Synoptic Survey Telescope (LSST). Since LCLS began operations in 2009, it has redefined the frontiers of X-ray science as an unprecedented source of ultrashort, ultrabright pulses of coherent X-rays. The recent demonstration of hard and soft X-ray self-seeding and other advanced techniques has further enhanced the unique capabilities of this facility. Breakthrough scientific results achieved at LCLS have garnered worldwide attention and prompted construction of similar facilities around the world. Work is well underway on an upgrade, LCLS-II, which will provide a much higher repetition rate, increasing the number of experiments run each year, and an expanded range of X- ray wavelengths, adding important new capabilities to keep the U.S. in an internationally leading position. SLAC is operated by Stanford for DOE s Office of Science (DOE-SC). Four Nobel Prizes have been awarded for research done at SLAC. 2. Lab-at-a-Glance Location: Menlo Park, CA Type: Multi-program Laboratory Contractor: Stanford University Responsible Site Office: SLAC Site Office Website: Physical Assets 1 : 426 acres, 140 buildings and 35 trailers 1.559M GSF in buildings Replacement Plant Value: $1.459B 2,662 GSF in 2 Excess Facilities 654 GSF in 1 Leased Trailer Human Capital: 1,452 Full Time Equivalent Employees (FTEs) 55 Faculty 119 Postdoctoral Researchers 0 Undergraduate Students 167 Graduate Students 2,737 Facility Users 2 47 Visiting Scientists FY 2015 Funding by Source (Cost Data in $M): NE, 0.2 NNSA, 2.2 SPP, 13.7 DHS, 0.0 Other DOE, FE, EM, 0.1 EE, 1.4 Other SC, 47.9 NP, 0.1 FES, 5.0 BER, 6.9 HEP, 81.5 BES, ASCR, 0.3 FY 2015 Lab Operating Costs (excluding Recovery Act): $429.6 FY 2015 DOE Costs: $430.2 FY 2015 SPP (Non-DOE/Non-DHS) Costs: $13.7 FY 2015 SPP as % Total Lab Operating Costs: 3.2% FY 2015 DHS Costs: N/A (1) Gross Square Feet (GSF) and building/trailer count relates only to DOE-owned, active, operational buildings per the Facilities Information Management System (FIMS). (2) Facility users as reported to DOE from the user facilities LCLS, SSRL, FACET and test facilities ASTA, ESTB and NLCTA; excludes SLAC employees. SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 5 of 50

6 3. Current Laboratory Core Capabilities The DOE Office of Science has identified six core capabilities at SLAC, which reflect the Laboratory s scientific and technical excellence: large-scale user facilities/advanced instrumentation; condensed matter physics and materials science; chemical and molecular science; accelerator science and technology; particle physics; and, a new addition this year, plasma and fusion energy science. Large-Scale User Facilities/Advanced Instrumentation At SLAC, we have the intellectual capital, infrastructure and experience to innovate, develop, design, construct, maintain and effectively operate large-scale scientific user facilities, delivering breakthrough discoveries that are in support of the DOE-SC mission, as well as other relevant DOE missions. We currently operate three DOE-SC user facilities LCLS, SSRL and FACET and run the joint DOE/NASA FGST mission. Linac Coherent Light Source: SLAC s LCLS is the world's first and most powerful X-ray free-electron laser (FEL) operating in the hard X-ray spectral range. LCLS provides extremely high brightness beams to its user community (with 837 unique users, and over 2,000 user visits in FY 2015), enabling frontier science into the fundamental processes of chemistry, materials, energy and life sciences and technology. The impact of the X-ray FEL on our nation was recognized in 2015 when President Barack Obama presented the Fermi Award to Professor Claudio Pellegrini, a visiting scientist and consulting professor at SLAC, for research that aided in the development of X-ray FELs. In the past 12 months, scientists have used LCLS s six instruments to make many important advances in crystallography, ultrafast chemical dynamics, catalysis, neurotransmitter signal generation and more. These include: Long-sought information on the structure of superconducting materials, making use of intense magnetic fields; The achievement of a new mode of X-ray crystallography that is likely to lead to much higher resolution images of important biomolecules for clean energy and medical applications; Generation of molecular movies, revealing the ultrafast dynamics of a gas molecule when a chemical bond is broken; Use of advanced spectroscopy to study how chemical catalysts could be optimized to produce hydrogen fuel from sunlight; Observations of how synapses in the brain generate neurotransmitter signals, and separate studies of cell signaling pathways that could have tremendous therapeutic implications for a range of common diseases; Investigations into the interaction between light and matter at the very highest intensities led to unexpected results that challenge our understanding of this fundamental process; and Studies into materials science included ultrafast observations of how matter behaves under conditions that simulate a meteorite impact, improving our ability to simulate such extreme events. These experiments use the facility s groundbreaking X-ray beam, which offers a photon energy range from 270 electronvolts (ev) to 12.8 kiloelectronvolts (kev), recently extended from 11.2 kev. The pulse energy is typically 1 to 4 millijoules (mj) and up to 6 mj, with recent research raising the average energy by approximately 30 percent. The pulse length is typically 50 femtoseconds (fs) and can be varied from about 5 to more than 300 fs, while the maximum repetition rate of LCLS is 120 Hertz (Hz). Self-seeding modes are now available in both soft X-ray and hard X-ray spectral regimes ( and kev), benefitting experiments that require narrow bandwidth. The peak power achieved using seeding is over an order of magnitude higher than standard (SASE) operation. We introduced a new mode of operation in 2015, using a delta undulator to provide circularly polarized X-ray light, opening up a range of new experimental techniques. A major advance has been in the development of multiple pathways for the generation of double X-ray pulses, with the ability to vary their temporal separation (from femtoseconds to nanoseconds), spectral separation and seeding. This opens up a wide range of new pump/probe experiments across all elements of the LCLS program. LCLS has been extremely reliable, providing more than 4,500 hours of user operation in FY 2015 with 94 percent uptime, resulting in 5,400 beam time hours for users, including multiplexing. Stanford Synchrotron Radiation Lightsource: Building on many of the same core competencies that support LCLS, SSRL provides synchrotron X-rays from its third-generation storage ring (SPEAR3) and associated beamlines and instrumentation, serving the research needs of more than 1,600 unique users annually across many areas of science, engineering and technology. SPEAR3 performance continues to be excellent, providing high uptime at high-current [500 milliamperes (ma)] operation, with top-off injections every five minutes as the standard operating mode, along with the ability to run in the low-α mode, allowing for picosecond (ps) time-resolved experiments. SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 6 of 50

7 Research at SSRL supports the DOE s SC and energy missions, including condensed matter physics, energy-related materials research, catalysis, sustainable energy, environmental science, life sciences and biopharma drug-discovery programs. SSRL is also involved in larger DOE and other initiatives, including the Joint Center for Artificial Photosynthesis (JCAP), the Joint Center for Energy Storage (JCESR) and Energy Frontier Research Centers (EFRCs). SSRL is developing new programs in support of DOE Energy Efficiency and Renewable Energy (EERE) applied energy mission focused on in situ characterization of materials fabrication and growth. To improve its support of these programs, ongoing R&D is aimed at further reducing the SPEAR3 emittance to 6 nanometer-radians and improving time-resolved capabilities to keep SPEAR3 competitive with other third-generation sources. Ongoing beamline construction projects include advanced spectroscopy capabilities for energy-related materials and catalysis with a focus on time-resolved science, a calibration beamline to support DOE National Nuclear Security Administration (NNSA) mission needs and a micro-beam facility for macromolecular crystallography, which is also coupled to the structural biology R&D and user program at LCLS. Future beamlines include an X-ray scattering beamline for energy sciences with a focus on interfaces and time-resolved science. These beamline developments align with and benefit from the scientific and technical opportunities being pursued at the Photon Science Laboratory Building (PSLB). The different properties of X-ray beams at LCLS and SSRL allow the design of complementary types of experiments in time-regimes from femtoseconds to minutes. In addition, to maximize the impact of the light sources on innovation and scientific discovery, LCLS and SSRL coordinate R&D programs focused on new methodologies and instrumentation. SSRL offers an R&D test bed for new instrumentation and techniques prior to deployment on LCLS, allowing more optimal use of limited LCLS beam time. Facility for Advanced Accelerator Experimental Tests: With the aid of powerful electron and positron beams from the first two kilometers of SLAC's 2-mile-long linear accelerator, FACET, which opened to scientists in 2012, is exploring how to harness plasmas and specialized materials to boost particles quickly to multi-gigaelectronvolt (GeV) energies over an approximately 1-meter distance. The goal is to shrink the size of particle accelerators for use in HEP research as well as for other applications across DOE-SC, in medicine and in industry. Results demonstrating multi-gev, highefficiency acceleration of electron and positron beams were published in FY Scientists are also using FACET to study magnetic properties in materials, with applications in data storage; high-energy sources of terahertz (THz) radiation, with applications in materials science and chemical imaging; and diagnostics for future accelerators. In FY 2016, FACET, combined with the Laboratory s other test facilities the Next Linear Collider Test Accelerator (NLCTA), the Accelerator Structure Test Area (ASTA) and the End Station Test Beam (ESTB) expects to support 33 experiments for 274 users from SLAC, Stanford and other institutions. In FY 2016, FACET alone supported 13 experiments with a total of 120 users. Particle Physics and Astrophysics Facilities and Instruments: SLAC plays an important role in major particle physics and astrophysics (PPA) projects. We led the design, development, construction and operation of the state-ofthe-art Fermi Large Area Telescope (LAT), which launched in June 2008 on the FGST, a major space observatory that is revolutionizing the understanding of high-energy processes in the universe. We are applying the experience gained from this program to future facilities that will be located off-site: the wide-field LSST in northern Chile; upgrades to the A Toroidal LHC Apparatus (ATLAS) detector at the Large Hadron Collider (LHC); two next-generation experiments for direct detection of relic dark matter Super Cryogenic Dark Matter Search (SuperCDMS) and LUX-ZEPELIN (LZ); development of next-generation experiments for precision cosmology with Cosmic Microwave Background (CMB) studies; and development of the future national neutrino program with the Deep Underground Neutrino Experiment (DUNE) at Fermi National Accelerator Laboratory. We are playing a lead role in designing and developing important elements of each of these large international projects. In support of our large-scale facilities and science programs, we have developed and continue to maintain multiple advanced instrumentation and computational tools driven by the needs of existing and future experiments. The tools capabilities include system design for high-bandwidth data acquisition (DAQ) systems, extending all the way from custom sensors and application-specific integrated circuits for detectors, to storage and distributed access for 100- petabyte-class data sets; advanced instrumentation and diagnostics for characterization and control of micron-scale photon beams; and highly automated, robotic-enabled, computer-based instrument control and remote access. Applications include highly integrated X-ray beamlines and instrumentation for photon science experiments; ultralow background experiments for direct dark matter detection; and space-qualified electronic systems, as well as computational resources for automated and optimized DAQ strategies, data collection and data analysis. We have significant expertise and capability in managing very large sets of experimental data, and are actively developing strategies for DAQ and management for LCLS and for future opportunities with LSST and ATLAS. Funding for this core capability primarily comes from Basic Energy Sciences (DOE-BES) and High Energy Physics (DOE- HEP). Other sources include Biological and Environmental Research (DOE-BER), Fusion Energy Sciences (DOE-FES), internal Laboratory Directed Research and Development (LDRD) investments and Strategic Partnership Projects (SPP) SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 7 of 50

8 from the National Institutes of Health (NIH). SLAC s efforts support the DOE-SC mission in scientific discovery and innovation (SC 2, 21, 22, 23, 24, 25, 26). Condensed Matter Physics and Materials Science Materials, chemistry and energy sciences are central to many of today s most critical technical challenges. Condensed matter physics and materials science research at SLAC addresses DOE-BES mission needs and science questions from the 2008 DOE-BES Grand Challenges report and the 2015 BES Transformational Opportunities report. We focus on selected areas of materials science, including quantum materials, topological insulators, atomically engineered heterostructures, chalcogenides and nano-diamondoid materials. We also apply this research toward the development of future energy technologies, including methods for storing energy, more efficient energy conversion and carbon-free energy production. SLAC uses and helps drive the development of forefront materials science techniques and methodologies at LCLS and SSRL. Recent work has demonstrated the ability of spectroscopy to illuminate fundamental electron, spin, orbital and lattice dynamics on natural time and length scales. For example, unique laser-based capabilities allow ultrafast photoemission studies to investigate single particle dynamics, resolved according to the electron s energy, momentum and spin in the time domain, where processes such as ultrafast charge and spin dynamics become accessible for direct observation. Coupling these efforts with in situ materials synthesis and characterization at SSRL, and with advanced theoretical simulation, provides synergistic advancement on all fronts. Adding to the capacity already in place at LCLS s soft X-ray end station has enabled pump-probe resonant inelastic soft X-ray scattering to study the time evolution of coupled order parameters. Our efforts are helping to set the science agenda for materials spectroscopy at LCLS-II. Other recent efforts in ultrafast materials science enable studies of the physics of coupled orders in nickelates, cuprates, manganites and other correlated materials, charge density wave collective modes, and magnetization dynamics in magnetic films and interfaces, important for next-generation electronic devices. SLAC s materials science research is coordinated under a joint institute between SLAC and Stanford called the Stanford Institute for Materials and Energy Sciences (SIMES). Through SIMES, SLAC provides a strong coupling to energy technology and policy initiatives at Stanford, such as the Global Climate and Energy Project (GCEP) and the Precourt Institute for Energy (PIE). SIMES is also involved in larger DOE initiatives including JCESR, the Bay Area Photovoltaic Consortium (BAPVC) and EFRCs. In addition, SIMES is dedicated to outreach activities for energy science education and training, helping to develop the next generation of talent. Funding for this core capability comes from DOE-BES, with support from other DOE offices such as EERE and LDRD investments, and serves the DOE-SC mission in scientific discovery and innovation (SC 2, 21, 22, 23). Chemical and Molecular Science Our efforts in chemical and molecular science explore selected areas at the interface between ultrafast physics, chemistry, materials, X-ray science, and theory and simulation. Ultrafast science has synergies across SLAC and enables technology for many different areas of the Laboratory. Research programs in ultrafast chemical science focus on areas that lie at the scientific frontier and are also of particular relevance to our mission. Experiments permit access to dynamics occurring down to femto- and even attosecond time scales using Laboratory sources and capabilities, including high harmonics, time-resolved electron scattering and time-resolved ultraviolet and soft X-ray spectroscopy, as well as ultrafast X-ray measurements using the unique capabilities of LCLS. These methods are currently being applied to study non-born-oppenheimer dynamics, strong-field laser-molecule interactions, solution phase dynamics, non-periodic X-ray imaging, nonlinear X-ray optics, and, most recently, time-resolved studies of reduced dimensional systems. The experimental efforts are coupled to a strong theory program supported by advanced computational capabilities. Another major research area addresses the fundamental challenges associated with the atomic-scale design of catalysts. The overall aim of the SLAC catalysis program is to develop understanding of surface phenomena and catalysis to the point where science-based design strategies for new catalysts can be developed. Major challenges where new catalysts are essential include artificial photosynthesis, chemical fuels, energy storage and sustainable chemical processes. Over the last five years, SLAC and Stanford have jointly developed a theoretical description of surface reactivity and heterogeneous catalysis, electrocatalysis and photocatalysis. By combining theoretical research with complementary experimental activity in catalyst synthesis, characterization and testing, we can make great headway toward realizing the full potential of the catalysis initiative. Experimental activity has now been established, and the plan is to expand it significantly, while exploiting the unique possibilities provided by SSRL and LCLS. The theoretical activities have also paved the way for new materials genome approaches to catalyst discovery that call for new infrastructure in terms of computing strategies and the development of databases. SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 8 of 50

9 Our research efforts in chemical science are closely coupled to aligned departments and institutes at Stanford, specifically through the Stanford Photon Ultrafast Laser Science and Engineering (PULSE) Institute and the SUNCAT Center for Interface Science and Catalysis, providing a broad foundation for the research and an essential educational role, in addition to supporting DOE-BES mission objectives. Funding for this core capability comes from DOE-BES with support from LDRD investments, and serves the DOE-SC mission in scientific discovery and innovation (SC 2, 21, 22, 23). Plasma and Fusion Energy Science The SLAC program in plasma and fusion energy sciences explores the research enabled by the unique combination of high-power lasers with the properties of the LCLS X-ray laser beam. This novel capability marks the beginning of a new era of precision in high energy density science by probing the ultrafast transformation and evolution of matter in extreme conditions. Fusion science research drives new technology developments in high-repetition rate (approximately 100 Hz) and high-power petawatt-class lasers, and develops the physics of energetic phenomena and radiation sources important for astrophysics and technical applications Our research programs in plasma and fusion energy sciences lie at the scientific frontier and focus on high-pressure and high-temperature plasmas. LCLS X-rays characterize warm dense matter states with an accuracy that can support or refute competing theoretical models. We apply precision X-ray Thomson scattering, Bragg scattering, phase contrast imaging and near forward scattering techniques to investigate plasmons, phase transitions to new materials, relativistic laser-matter interactions and high strain-rate material responses. These studies provide critical experimental tests of our physics models for matter in extreme conditions that are important for the design of full-scale fusion experiments and provide understanding of structural, transport and radiation physics properties of fusion plasmas. These programs advance fusion experiments at the Laboratory. Another major research area is the development of particle acceleration in plasmas with high-power short-pulse lasers, work that is done in collaboration with researchers at FACET that are exploring similar acceleration with electron-beam driven plasmas. Our experiments and 3-D particle-in-cell modeling of high energy density plasmas can resolve the femtosecond time scales and sub-micrometer spatial scales for exploration of advanced physics regimes for ion acceleration such as enhanced target normal-field acceleration or radiation pressure. In addition, we are exploring laser wakefield acceleration to produce GeV electron beams and associated betatron X-rays for ultrafast pump-probe studies. The direct interaction of high-power short-pulse lasers is especially important for understanding of Weibel-mediated collision-less shocks and magnetized shocks that can lead to very high particle energies relevant to the physics mechanisms for explaining the origin of cosmic rays. These ultrafast pump-probe experiments are enabled by investments in a technology program such as the development of cryogenic targets for high-repetition rate studies of liquid hydrogen, deuterium and other important materials for fusion research. In addition, the program develops probe techniques unique to ultrafast studies with X-ray lasers or Ultrafast Electron Diffraction (UED). Our experimental efforts are coupled to a new theory program that uses advanced computational capabilities. State-ofthe-art 3-D particle-in-cell models and density functional theory provide experimental designs, specific predictions for dominating physics processes, and allow the development of reduced models for implementation in large-scale calculations for fusion experiments. Funding for this core capability comes from DOE-FES and LDRD investments, and serves the DOE-SC mission in scientific discovery and innovation (SC 2, 24). Accelerator Science and Technology The future development of light sources, UED/Ultrafast Electron Microscopy (UEM) and particle physics facilities serving the research missions of DOE-SC and SLAC relies on continuing advancement of accelerator science and associated technology. We have a strong core competency in accelerator physics and technology, and major thrusts in accelerator R&D include the development of forefront light sources, UED/UEM, novel compact and ultra-high gradient acceleration schemes, and high brightness beams. We also play a significant role in the design of future colliders, both linear and circular. These endeavors support our strategic goal of maintaining world leadership in accelerator design for X-ray FELs, storage ring light sources, high energy physics applications and various industrial, medical and securityrelated applications. At the same time, we maintain a renowned accelerator education program in conjunction with Stanford, training future leaders in the field. FEL R&D: We have the most advanced operational hard X-ray FEL in the world today, LCLS, and the associated R&D guides the designs of new international projects. However, the X-ray FEL is at an early stage of development and an FEL R&D program begun a few years ago aims to bring a new capability to the X-FEL users approximately every six months. SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 9 of 50

10 This highly successful program, which has demonstrated both hard and soft X-ray self-seeding, two-color FEL beams, a wakefield de-chirper, ultrafast diagnostics technology, advanced undulator technology and more will continue in order to further realize the discovery potential of LCLS and LCLS-II. The LCLS-II upgrade project uses high-repetition-rate superconducting accelerator technology, leveraging core capabilities of other U.S. laboratories through a large-scale collaboration. In contrast to the pulsed superconducting European XFEL, LCLS-II will operate in a highly stable 1-megahertz (MHz), continuous-wave (CW) mode. Full exploitation of the new science possibilities afforded by LCLS-II will require developments in accelerator physics simulation tools, beam instrumentation and accelerator control technology. Future advanced FEL techniques being developed include: precision synchronization among X-ray, laser and radio frequency (RF) systems; circularly polarized undulators; and manipulation of bandwidth and duration of pulses to enable new capabilities in spectroscopy and dynamics. Working together with the X-ray scientists and users for LCLS and LCLS-II, the FEL R&D group has laid out a roadmap to enhance the capabilities of both facilities. The R&D is divided into five major thrusts: X-ray seeding and brightness; electron beam brightness and manipulation; ultrafast techniques; diagnostics and optics; and technology development. Within each of these thrust areas, the program includes both near- and long-term R&D. Advanced RF Accelerator Technology R&D: SLAC has a long history of developing and delivering new technologies for compact high-gradient accelerators. Over the last decade, we have systematically investigated the limits on RF breakdown phenomena in high-vacuum metallic accelerating structures, achieving gradients in the range of MV/m at X-band, depending on materials, geometry and temperature. Novel accelerator structure topologies have demonstrated high shunt impedance, nearly twice conventional structures, enabling very high RF-to-beam efficiency. We have embarked on a new program that uses RF structures in a novel way, extending beyond the traditional gigahertz (GHz) X-band regime to THz frequencies. This is accompanied by a development effort for next-generation, compact and highly efficient RF-to-THz power sources. These programs are relevant for our ongoing research program, including SPP activities. SLAC stewards a world-wide unique integrated capability in RF power source and accelerator technology tapped by federal agencies, industry and labs around the globe and maintains the only remaining integrated concept-design-prototype-construct capability within DOE-SC. Advanced Acceleration R&D: We play an internationally unique role in developing novel accelerating methods, including beam-driven plasma wakefield acceleration (PWFA), laser-driven PWFA, dielectric wakefield acceleration, and laser-driven dielectric acceleration (DLA). These technologies hold the promise of reaching accelerating gradients of GeV per meter (in the case of DLA and beam-driven dielectric acceleration) to tens of GeV per meter (in the case of beam-driven PWFA), which would revolutionize the world of compact accelerators used for medicine, industry, light sources and teraelectronvolt (TeV)-scale linear colliders. FACET, a user facility operated by DOE-HEP, is the centerpiece of this program. Key recent breakthroughs include finding a new regime to accelerate positrons in plasmas efficiently, demonstrating high efficiency acceleration of electrons (up to 50 percent) with small energy spread and validating the viability of the PWFA technology for future accelerators. FACET-II, the proposed follow-on facility, will expand the wide range of high-energy electron and positron beam experiments that are unique at SLAC and support a variety of accelerator science needs over the next five to 10 years. In parallel, concepts for a PWFA-based application are under development. This application would be an intermediate step towards a multi-tev e + e - collider, and would provide essential validation of the PWFA technology through integration of the various accelerator systems. Both the FACET-II facility and the intermediate application are necessary in order to sustain this promising line of research after the closure of FACET in April Particle acceleration using DLA is a new advanced acceleration approach with a wide range of potential applications, including compact low-cost accelerators and X-ray devices for security scanning, medicine, biology and materials science. In the last three years, SLAC and Stanford have collaborated to achieve tremendous progress in this developing field. Initial results include the first demonstrations of on-chip acceleration at both relativistic and sub-relativistic particle energies, and measured accelerating gradients in excess of 300 MV/m. Encouraged by these initial successes, in 2016, the Gordon and Betty Moore Foundation awarded $13.5 million to an international collaboration led by Stanford, to develop a working prototype tabletop accelerator based on this approach over the next five years. The SLAC program provides key in-kind contributions in support of this expanded university effort. A major goal of the Moore Foundation program is to demonstrate scalability to particle energies of interest for real-world applications, making it a viable technology for further development under the support of the traditional funding agencies. Accelerator Test Facilities: The SLAC accelerator test facilities, including the low-energy ASTA facility, the mediumenergy NLCTA, and the higher-energy ESTB, support next-generation acceleration development, as well as a wide range of experiments in materials science, THz generation, Compton-scattered photon sources, photocathode R&D, FEL seeding, high energy physics accelerator component and detector development, and general accelerator R&D. The SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 10 of 50

11 UED/UEM facility is presently housed in ASTA, and leverages SLAC s accelerator core competencies to provide the most advanced nano-ued facility in the world, complementary to the X-ray FELs. As with the novel RF technology program, these programs are relevant for both SLAC s increasing SPP activities and the DOE-HEP Accelerator Stewardship program. Funding for this core capability comes from DOE-BES, DOE-HEP, SPP customers and LDRD investments. The core capability supports the DOE-SC mission in scientific discovery and innovation (SC 2, 22, 23, 24, 25, 26). Particle Physics SLAC s science and technical workforce provides leading contributions to a comprehensive combination of underground-, surface- and space-based experiments to explore the frontiers of particle physics and cosmology. This program spans the five primary science drivers identified by the Particle Physics Project Planning Panel (P5) report for DOE-HEP as the compelling lines of inquiry showing great promise for discovery over the next decade. At the energy frontier, the ATLAS experiment at the LHC is exploring TeV mass scales and beyond with prospects for elucidating the properties of the Higgs boson and discovering new particles and interactions. SLAC plays a significant role in ATLAS in the pixel tracking system, DAQ and trigger systems, jet physics simulations, and operations of the detector, as well as in R&D leading to construction projects for the high-luminosity detector upgrade. The neutrino program at the intensity frontier in DOE-HEP and in the fundamental symmetries program of DOE Nuclear Physics (NP) studies fundamental properties of the neutrino. SLAC has stewardship of the Enriched Xenon Observatory (EXO) for neutrinoless double-beta decay, which will determine if the neutrino is its own anti-particle. SLAC leads the 200 kg EXO demonstrator, which has obtained the most sensitive constraint on this process to-date and has significant roles in the R&D of the high-voltage system, electronics, purity and Time Projection Chamber (TPC) for the next generation ton-scale experiment. SLAC supports research in the accelerator-based short- and long-baseline neutrino programs, designed to search for sterile neutrinos, CP-violation and supernova neutrinos. SLAC takes the lead in the DAQ and automated reconstruction software for these programs. The SLAC particle physics program also plays a leading role in studies of dark matter and dark energy. We are the lead DOE laboratory for constructing the 3.2 gigapixel camera for the LSST, which will probe the properties of dark energy with high precision, enabling a better understanding of this dominant component of the universe. The SuperCDMS will allow direct searches for relic dark matter candidates at unprecedented levels of sensitivity at low Weakly Interacting Massive Particle (WIMP) masses, while the complementary LZ liquid xenon experiment will provide the world s best WIMP sensitivity at higher masses. Both have been selected as next-generation direct dark matter search experiments, with SLAC playing a designated lead role in the SuperCDMS SNOLAB project. SLAC has optimized the design and production of large germanium sensors for SuperCDMS and is establishing cryogenic test facilities and TPC system test capabilities for noble liquid systems for LZ. Meanwhile, FGST is eight years into a decade-long program of space-based gamma-ray observations, which are transforming our understanding of the high-energy universe. Recently, FGST revealed the origins of some cosmic rays and has conducted a wide variety of searches for dark matter. SLAC was the lead laboratory for construction and integration of the LAT and plays an important role supporting instrument operations. In the areas of inflation and the early universe, SLAC and Stanford supported research with the Background Imaging of Cosmic Extragalactic Polarization 2 (BICEP2) experiment, which, in a joint analysis with the Planck observatory, has provided the most stringent limits on B-modes from gravitational waves in the early universe. BICEP3, deployed at the South Pole last winter, is a new instrument with a two-fold improvement in sensitivity and 10-fold improvement in survey capability over its predecessor. The ultimate experiment in this field, Cosmic Microwave Background Stage IV (CMB-S4), will build on this and other pathfinder experiments to provide definitive measurements of the universe s first light with a broad science scope that includes neutrino mass, CMB lensing and cluster cosmology. Since its inception in 2002, the Kavli Institute for Particle Astrophysics and Cosmology (KIPAC) at SLAC has become a world-leading center for particle astrophysics and cosmology. The particle physics theory effort pursues a broad spectrum of forefront theoretical research across all areas of fundamental physics, from inflationary cosmology to Computational Quantum Chromodynamics (QCD) to dark matter to supersymmetry. Funding for this core capability comes from DOE-HEP and DOE-NP, as well as SPP from the National Science Foundation (NSF) and NASA, and LDRD investments. SLAC s efforts serve the DOE-SC mission in scientific discovery and innovation (SC 2, 21, 22, 23, 24, 25, 26, 29). SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 11 of 50

12 4. Science and Technology Strategy for the Future/Major Initiatives Overview and Summary In September 2014, SLAC completed an institutional strategic plan informed by DOE s strategic plan, following a yearlong process of engaging stakeholders and considering mission priorities. This plan was informed by the 2008 DOE-BES Grand Challenges report, the 2015 BES Transformational Opportunities report, the 2010 DOE-BER Grand Challenges report, the 2015 BER Molecular Scale Challenges report, the DOE-FES 10-year Perspective ( ) report, the DOE-HEP P5 report and the 2015 Long-Range Plan for Nuclear Science. The strategic directions incorporated into the plan rest on four pillars: innovating and operating premiere accelerator-based facilities, identifying and pursuing new science enabled by our facilities and defining their future direction, performing use-inspired and translational research in energy, and defining and pursuing a frontier program in the physics of the universe. A set of core competencies in accelerator science and technology, instrumentation, X-ray science and technology and optical laser systems underpins these strategic directions. On the basis of our strategic plan, we have developed and articulated a set of future major initiatives within each of the four main thrusts. Foremost among these major initiatives is LCLS-II, an upgrade to LCLS using a CW superconducting linear accelerator. LCLS-II will dramatically expand the FEL capabilities at SLAC and keep the U.S. at the forefront of X-ray science. The approval in March 2016 of Critical Decision (CD) 2 and 3 for this project allows us to predict its construction and commissioning timelines with confidence. As such, to take full advantage of this new capability, we have updated our strategies in ultrafast science for materials and chemistry, as well as new programs in biology and high energy density science. Our core technologies in detectors, lasers, X-ray physics and computing/data management will also be further developed to match our light source capabilities. A key integrating strategy for these growing efforts will be the opportunity to co-locate facility R&D activities and laboratory research programs in and around PSLB to develop highimpact experimental methods, techniques and instrumentation, and engage our user community. These new scientific capabilities and discoveries will naturally lead to improved approaches to addressing energy and other societal challenges, and we are refining a strategy to help connect this knowledge to practical solutions through expanded theory, synthesis, characterization and prototyping capabilities. Continued work in accelerator R&D will help to enhance the capabilities of LCLS and LCLS-II, as well as add complementary facilities, such as UED/UEM, and define pathways for compact and high-energy accelerators for future colliders and light sources, including the proposed FACET-II facility. Within the DOE-HEP program, we have leading roles in next-generation dark matter and dark energy experiments including LSST, while planning for CMB experiments probing cosmic inflation; we are growing a broad neutrino research program based on the Long Baseline Neutrino Facility (LBNF)/DUNE and next-generation neutrinoless double beta decay with nexo; and we will be a major partner in the high-luminosity upgrade for ATLAS. Science Strategy and Vision for Future Initiatives The startup and ongoing highly successful operation of LCLS at SLAC has transformed the field of X-ray science. The LCLS-II project, which provides a second very-high-repetition-rate linac based on superconducting RF (SCRF) technology and two new undulators, will expand this X-ray capability in new and pioneering ways while also dramatically increasing the volume of experiments that can be addressed. Our vision is to continue to aggressively build on our position as the world-leading center for X-ray science through combination of the foremost capabilities of LCLS and LCLS-II and the aggressive development of critical technologies, including detectors, optics, instruments and scientific computing, as well as coordinating with the research programs at SLAC and engaging the science community worldwide to tackle the most challenging science problems. In particular, the extraordinary average and spectral brightness, as well as the spectral range of LCLS-II, will open the possibility to study coupled electron-nucleus dynamics in chemical reactions, functioning materials and biological systems. In the future, we foresee many options for substantial further development of LCLS at SLAC, exploiting the LCLS-II upgrade as a robust platform for sustained growth that ultimately can drive up to eight or 10 undulators at a time. The nearest-term proposal is to extend the energy reach of the new SCRF accelerator for LCLS-II from 4 to 8 GeV and corresponding photon energy reach from 5 to 12 kev. This project, known as LCLS-II-HE ( High Energy ) represents a high-impact, low-risk opportunity allowing simultaneous optimization for soft and hard X-ray studies, with development of the X-ray instrumentation to take full advantage of this unique pair of SCRF sources. LCLS-II-HE will extend the high-repetition-rate capability to hard X-rays, thereby opening up the possibility to study dynamics in complex systems and systems far from equilibrium with atomic resolution and their natural time scales. SSRL and its evolution are an integral part of our vision for aggressively building on our position as a world-leading center for X-ray science. In the midterm, this strategy is built upon continuing to deliver high impact science in key areas of DOE, particularly DOE-SC, by leveraging research programs at SLAC and the development in PSLB, innovating and delivering state-of-the-art instrumentation and tools to explore the structure and function of matter across a wide SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 12 of 50

13 range of length and time scales; and enhancing the synergy with LCLS. In the long term, SSRL is pursuing accelerator concepts and opportunities that, if proven feasible, will provide performance distinct from the multi-bend achromat designs being pursued by the other U.S. synchrotron facilities, and would provide a globally unique capability at SSRL. SLAC is also aligning our laboratory research programs, core expertise and major investment in infrastructure to maximize the scientific impact of our X-ray facilities. Specifically, SLAC has identified ultrafast science as a strategic research direction. Both the Materials and Chemical Sciences Divisions have updated their strategies to emphasize the development of research programs in excitation and non-equilibrium dynamics in materials, emergent phenomena in complex materials, functional materials in extreme environments, fundamental light-matter interactions, interface materials chemistry and single particle imaging. In parallel, the Accelerator Directorate has developed a world-leading UED capability, in close collaboration with our materials and chemical sciences programs, as a key part of our ultrafast science strategy. UED provides a unique capability to study gas and condensed phase chemical dynamics and structural dynamics in low-dimensional systems, complementary to LCLS. Further development of this capability is underway with the goal of enabling ultrafast imaging with atomic resolution and picosecond temporal resolution. As SLAC has evolved into a multi-purpose laboratory, we have expanded beyond core capabilities in materials science and chemical sciences by establishing several new research divisions within the Science Directorate. Our strategy is to bring leadership in new science areas to the laboratory to exploit the use of our facilities and connect and coordinate the scientific community at large to them. Although these initiatives are still in the early stages, we have already seen exciting new results and have begun to chart out their long-term development. The first of these new science research divisions is the High Energy Density (HED) Science Division supported by DOE- FES, which is positioned to exploit the unique properties of LCLS and the high-power optical laser beam in the Matter in Extreme Condition (MEC) instrument at LCLS. This program has provided a new window for us to better understand the structure and properties of a very broad range of matter, from high-pressure condensed matter to warm condensed matter to hot dense plasmas, relevant to the inertial confinement fusion, laboratory astrophysics, earth and planetary science and materials under extreme conditions. This program is clearly world-leading already and our strategy is to build a strong theory effort and execute a series of laser upgrades, planned and envisioned to allow the program to expand into completely new directions and maintain U.S. leadership in the coming decade. Second is the Biosciences Division, which is envisioned as establishing unique multi-scale integrative systems biology and bio-imaging programs. Our strategy is to build on our world-class expertise in structural biology, which resides in SSRL, to exploit the use of LCLS and LCLS-II, and aggressively establish capability in cryo-electron microscopy/tomography (cryoem/et), super-resolution microscopy and bio-computation in close collaboration with Stanford to span and connect all the relevant length scales. In parallel, we are coordinating these developments with existing biogeochemistry science focus areas on molecular biogeochemical and hydrological function of subsurface ecosystems at SLAC, and initiating collaboration with key DOE-BER facilities and the research community to ensure these developments are science driven to have the highest impact. Third, we have begun to establish a Computer Science (CS) Division that will interact with and enhance the scientific capability of our data-driven facilities, while also positioning the Laboratory to be a major contributor to the development and exploitation of next-generation exascale computing facilities. The new division will interact with the existing computational science research projects at SLAC, such as the computational cosmology, computational condensed matter, computational plasma and accelerator efforts, as well as with projects requiring new technology in managing and analyzing large data sets, most notably LCLS, SSRL and LSST. Finally, the new Applied Program Division pursues another important part of our strategy by leveraging the knowledge gained through our scientific facilities and research programs to perform translational R&D in support of the important societal challenges regarding energy generation, use and efficiency described in the DOE strategic plan. By developing a deep scientific understanding of the materials and chemistry of emerging energy technologies in collaboration with Stanford, we are well positioned to drive the development of these technologies into early prototypes, as well as connect with industrial partners. As a crucial part of our strategy, we envision PSLB, with its central location and state-of-the-art laboratory space, to provide an integrated environment for accelerating scientific discovery. Specifically, PSLB will allow us to co-locate key LCLS and SSRL R&D activities and additional advanced core capabilities in close proximity to SLAC research programs in materials science, chemical science, biosciences and computer science, and provide space for interaction with users to forge large-scale collaborations. Locating core capabilities in PSLB that integrate advanced sensors, nano and X-ray optics, ultrafast lasers and nonlinear techniques, high-resolution electron microscopy, materials synthesis and sample preparation will be vital to addressing these high-impact science problems. An initial estimate of $80M in capital investment for core capabilities and research equipment housed in PSLB will be required from a combination of SLAC, Stanford, DOE, NIH and private funding, with significant benefit to the facility and scientific research programs. SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 13 of 50

14 SLAC also continues to pursue a vigorous program in particle physics and cosmology. The recent DOE-HEP P5 and Nuclear Science Advisory Committee (NSAC) long-range planning reports provide a framework for SLAC priorities in DOE-HEP and NP science. We envision a comprehensive experimental and theoretical program to explore the nature of dark matter, dark energy and cosmic inflation, taking advantage of the synergy in the underlying science, the common technologies and capabilities required for experiments in this area, and the strength of its science and technical leadership. LSST and the two direct dark matter experiments, LZ and SuperCDMS, will be flagships of this program in the near future, while CMB-S4 will be realized early in the next decade. The accelerator-based effort to study longbaseline neutrino oscillations with DUNE is envisioned as a flagship international HEP facility based in the U.S., and the neutrinoless double-beta decay program has been identified by NSAC as the highest priority new experiment in the NP program. We envision growing participation in each of these initiatives with the aim of developing a comprehensive neutrino research program. The P5 report identified plans for high-luminosity upgrades to the LHC accelerator and detectors as the highest priority near-term project for the U.S. HEP program. We envision a major role in the ATLAS detector phase 2 upgrades essential to exploit the physics opportunities at the high-luminosity LHC with operations planned from the mid-2020s into the 2030s. These upgrades enable unique physics opportunities for precision measurements of the Higgs boson properties, and searches for new particles and dark matter. Underpinning this strategy of world-leading facilities and science research are advances in accelerator and instrumentation capability and technology that will power future opportunities. SLAC intends to continue hosting a DOE national user facility that will enable R&D in accelerator science vital to the future of advanced acceleration techniques for DOE-HEP, ultrahigh brightness beams for DOE-BES and novel radiation sources for a wide variety of applications. FACET-II would allow these proof-of-principle experiments to be extended into a complete demonstration of a single plasma acceleration module for both electrons and positrons, allowing exploration of emittance and energy preservation, efficiency optimization for the accelerated beam, and a host of issues related to plasma properties in a high-repetition-rate environment. A primary goal of FACET-II is to use gradients 1,000 times higher than current technology in a meter-scale prototype plasma accelerator. Exploiting the unique opportunities offered by SLAC, Stanford, other collaborating universities and industrial partners, we are creating an Accelerator Science Center. The center will enhance SLAC research activities and strengthen academic connections in accelerator science with Stanford and other institutions, thereby substantially increasing the number of graduate students that enter the U.S. accelerator science workforce. The exciting research opportunities enabled by the unique operating accelerators and test facilities at SLAC is a key element of this strategy. We are also developing advanced RF accelerator technology to enable the P5 goal of dramatically changing the capability versus cost curve of accelerator systems, thereby opening up these technologies (both accelerator systems and standalone RF systems) to a much broader applications space. To achieve this vision requires moving forward simultaneously on three fronts: transcending the efficiency and cost limits of power sources from RF through THz frequencies, creating electrodynamic modeling tools to accelerate the design realization cycle of devices employing novel geometries that will yield these transformational advances, and developing innovative accelerator structures with topologies and materials optimized for high efficiency and low cost of manufacturing. Instrument development plays a critical role in our science, from particle physics to light sources. The instrumentation effort is characterized by an integrated capability spanning sensors to DAQ and software, with an overarching emphasis on total systems design. We benefit from high-quality staff, strong connections to the Stanford campus and the ability to leverage common instrumentation investment across our science applications. Our vision is to continue to expand capability in priority areas driven by our science program and strategically aligned opportunities with Stanford and other outside customers. The science vision and strategy outlined above needs to be supported by a long-term investment and human resources strategy. SLAC is pursuing a balanced approach to our science and infrastructure investment, by identifying and prioritizing science initiatives and developing a strategically aligned SPP program, and aligning infrastructure investment to them. In parallel, we are working to increase efficiency and control the cost of operation, in order to increase the total funding for investment. As a result, since its inception in 2009, we have been able to grow our LDRD program from $1.8M to $7M per year in The 30 projects that are currently funded support the effort of a total of over 60 postdocs, graduate students and other research staff or faculty and align with our strategic initiatives in the LCLS-II science areas, biosciences, cosmology and novel electron sources. We have also begun a comprehensive program in talent development, from building a pipeline, such as the expanded Panofsky Fellowship program, to development of exiting staff, all with the goal of increasing diversity and inclusion in the Laboratory at the same time. In order to realize this exciting vision for the future of our facilities and research program, we have developed detailed plans in each area that are described below in the context of the SLAC strategic plan. SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 14 of 50

15 Innovating and Operating Premiere Accelerator-based Facilities Building on our long history of developing and delivering new accelerator technologies and facilities, SLAC has grown into the premier DOE accelerator laboratory, with our efforts currently focused on LCLS and LCLS-II, SSRL, FACET and FACET-II and UED/UEM. LCLS-II Preparation and Long-Term Development of FEL Capabilities at SLAC The rest of the world is now responding to the success of LCLS with well-developed projects to replicate or advance the capabilities we offer. Recognizing this, SLAC and DOE are pursuing a vigorous and well-coordinated series of developments to keep the U.S. facility in a preeminent state. LCLS-II will provide a new, superconducting accelerator in the first kilometer of the linac tunnel, able to deliver X-rays from 0.2 to 5 kev at up to 1 million pulses per second (compared to the current operation at 120 pulses per second). The project will also extend the range of X-ray energies the existing accelerator can produce from an upper limit of approximately 12.8 kev currently to approximately 25 kev in the future, providing capabilities unmatched anywhere in the world. LCLS-II will be a transformative tool for energy science, qualitatively changing the way that X-ray imaging, scattering and spectroscopy can be used to study how natural and artificial systems function. It will enable new ways to capture rare chemical events, characterize fluctuating heterogeneous complexes, and reveal quantum phenomena in matter, using nonlinear, multidimensional and coherent X-ray techniques that are possible only with advanced X-ray laser technology. This facility will provide access to the tender X-ray regime (2 to 5 kev) that is largely inaccessible today, and will use the latest seeding technologies to provide fully coherent X-rays in a uniformly spaced series of pulses with programmable repetition rate and rapidly tunable photon energies. The extension of capabilities in the hard X-ray regime will enable laser-excited structural dynamics, serial femtosecond crystallography using multi-wavelength anomalous dispersion phasing, the study of gas-phase photochemistry, and high-resolution MEC structural studies. The preparation for LCLS-II is being coordinated with the opportunities opened up by construction of PSLB, such as offline development labs, synergy with CryoEM capabilities, sample preparation and characterization facilities and allied research programs in chemical, materials and biosciences. LCLS Near-term Enhancements and LCLS-II Preparation: SLAC will continue to operate LCLS as a flagship facility, focusing on prioritized science-driven development of strategically important technologies: Improving LCLS performance in wave-front quality, energy stability and bandwidth control. Development of a suite of multi-pulse options (in time, space and spectrum); exquisite synchronization and ultra-short pulse generation (<10 fs, with the potential for <1 fs); and time/bandwidth tradeoffs for spectroscopy and dynamics. Delivering increased capacity to users through the introduction of standard configuration modes of operation for a fraction of the beam time (resulting in 50 percent more experiments scheduled in FY 2016 versus FY 2015). Introducing new capabilities such as the Macromolecular Femtosecond Crystallography (MFX) instrument and development of higher-capability optical lasers in conjunction with the MEC instrument. Improving operational effectiveness and efficiency through adoption of facility-wide and SLAC-wide solutions, as well as delivery of a targeted mission readiness program. This has already led to substantial improvements in FY Critical optics improvements to harness high average power with LCLS-II; provide access to the tender X-ray regime; and develop solutions for high spectroscopic resolution with unsurpassed time resolution. Development of high-repetition-rate detectors and DAQ infrastructure, consistent with the high-repetition-rate LCLS-II source and ultra-low noise requirements in partnership with other laboratories and industry. Scientific computing development of real-time data analysis, large-scale data management and advanced algorithms to enable wider community access and maximally exploit LCLS-II. The data analytic needs will be driven in concert with exascale developments, and take advantage of the new CS Division and other partnerships. LCLS Long-term Enhancements: We foresee many options for substantial future development of LCLS at SLAC, including making full use of the LCLS-II upgrade as a robust platform for sustained growth that ultimately can drive up to eight or 10 undulators simultaneously. Ongoing experiments at LCLS, development of science programs for LCLS-II, and experience gained from other FEL facilities around the world will help refine these options. The nearest-term proposal, known as LCLS-II-HE, is to extend the energy reach of the new SCRF accelerator from 4 to 8 GeV, resulting in an increase in the peak X-ray energy from 5 to over 12 kev (eventually 20 kev). This is a high-impact, low-risk opportunity by making use of our available infrastructure, with the straightforward addition of cryo-modules using the existing design to populate the full first kilometer of the linac tunnel. It will deliver a dual-beam SCRF facility, SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 15 of 50

16 allowing simultaneous optimization for soft and hard X-ray studies, with development of the X-ray instrumentation to take full advantage of this unique pair of sources. This capability will reveal structural dynamics on the atomic scale, addressing many of the transformative opportunities identified in the recent DOE-BES Advisory Committee (BESAC) report by providing detailed insight into the behavior of complex matter in real-world heterogeneous samples on fundamental scales of energy, time and length. It will provide an approximately 1,000-fold increase in average spectral brightness over any existing hard-x-ray source and ensure global leadership for the next decade. Required Resources: The total project cost for LCLS-II was baselined in March Development of instruments and technologies required to appropriately maintain world leadership is a critical part of the operations budget of LCLS. We are prioritizing this budget as part of an integrated strategic plan for LCLS, including investments in core competencies in optics, lasers and offline laboratories that support these developments. These capabilities will be housed in PSLB as part of our strategy for optimizing common support and close connection with related programmatic research. The resources required for LCLS-II-HE are currently subject to review by the BESAC. Major SSRL Initiatives The SSRL strategic plan will enable scientific advancement in three focal areas: (1) accelerating materials discovery and design through incisive characterization, (2) understanding catalytic function with atomic-scale precision and (3) identifying how constituent interactions generate emergent behavior in quantum materials and complex biomachinery. Each research area has clearly defined strategic initiatives that ensure scientific impact and expansion of the SSRL research community: (1) advanced instrumentation for X-ray characterization of use-inspired energy materials under realistic in situ and in operando conditions will drive the initiative in materials discovery; (2) investment in timeresolved X-ray capabilities and multimodal methods will drive the initiative in chemistry and catalysis; (3) state-of-theart undulator beamlines for photoemission, resonant scattering and micro-focus X-ray beams will drive the initiative in emergent phenomena in quantum materials and biomachinery. These research initiatives have been selected to assist the development of scientific and technology synergy between SSRL and LCLS. Our PSLB strategy will further enhance the connections between the SSRL and LCLS facilities; our materials science, chemical science and biosciences programs; and core supporting capabilities housed there. These developments directly advance the DOE-BES mission, coupling to and helping drive scientific innovation on new battery and solar cell materials, artificial photosynthesis and catalysis, and quantum materials, and strengthening partnerships with Stanford and industry. In operando and multimodal characterization of catalysts will also enable the expansion of the Catalysis Consortium, as well as support JCAP and displaced National Synchrotron Light Source (NSLS) users. In situ and high-throughput characterization of materials fabrication and growth capabilities will also support industrial research and DOE-EERE mission needs. Together with the Biosciences Division, SSRL is expanding its engagement with DOE-BER mission needs by vigorously pursuing multi-user-facility agreements with other national laboratories and centers in science and user programs focused on the DOE-BER mission. Finally, we are building two metrology beamlines at SSRL to meet the needs of displaced NSLS users. In the long term, we are studying ways to further strengthen the coupling between SSRL and LCLS by focusing on novel approaches to high flux picosecond pulses. Such beams would enable the development of novel methods for characterizing transient phenomena in heterogeneous materials, reaction bottlenecks in catalysis and nucleation of emergent behavior in quantum materials. Required Resources: The new metrology beamlines are funded by the NNSA, while the new advanced spectroscopy beamline is funded through DOE-BES, in part through JCAP. A significant fraction of the macromolecular crystallography beamline is funded by Stanford and other non-federal sources. Upgrades related to optimized short pulse operation and very low emittance are being explored as R&D projects. FACET-II The experimental programs at FACET are recognized as world leading in PWFA. PWFA studies with positrons have demonstrated a new acceleration regime offering promising results for coherent positron acceleration capability critical to future colliders. FACET-II would allow these proof-of-principle experiments to be extended into a complete demonstration of a single plasma acceleration module for both electrons and positrons, allowing exploration of emittance and energy preservation, efficiency optimization for the accelerated beam, and a host of issues related to plasma properties in a high-repetition-rate environment. A primary goal of FACET-II is to use gradients 1,000 times higher than current technology in a meter-scale prototype plasma accelerator. The existence of such ultrahigh gradients also makes it possible to trap particles and produce a beam with 1,000 times the brightness currently achievable. In addition, FACET laser systems provide multi-terawatt peak powers with state-of-the-art synchronization approaching 10 fs. Operating at 10 GeV, FACET-II will be the only facility in the world capable of providing high-energy electron and positron beams for a broad array of accelerator R&D applications. We will add capabilities to the facility in a phased approach with an experimental program starting in 2019 and continuing until approximately SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 16 of 50

17 Required Resources: In FY 2016, FACET-II will reuse injector components provided by DOE-BES and the existing middle kilometer of the linac, along with an enhanced final focus design for flexible electron and positron beam delivery to the experimental area. The project is configured to be implemented in a series of phased steps. Construction costs for FACET-II are estimated at $50M over the five-year period required for completing the full project. Ultrafast Electron Diffraction (UED)/Ultrafast Electron Microscopy (UEM) SLAC has successfully realized the first milestone of the UED/UEM road map with a 100fs megaelectronvolt (MeV) UED instrument at ASTA. UED experiments have characterized the structure of monolayer molybdenum disulfide in metastable regions of the phase diagram far from equilibrium. Rotational wavepacket dynamics of laser-aligned nitrogen molecules have been captured in gas-phase electron diffraction experiment using MeV electrons. A combination of 100 fs (rms) temporal resolution and sub-angstrom (0.76 Å) spatial resolution enabled new molecular imaging experiments long envisioned for UED. To date, 15 experiments have been successfully completed in gas/liquid phase and condensed matter physics, materials science and warm dense matter physics. The next milestone for the UED/UEM program is developing a UED user facility to support a broad user community. Though many groups worldwide are engaging in UED/UEM R&D, there is as of yet no ultrafast electron scattering user facility anywhere. We intend to develop a smaller probe, with better temporal resolution and higher flux, to attract a much broader user community. We also propose a UED farm consisting of three or more independent UED beamlines for studying gas/liquid phases, and condensed matter, with applications in physics, materials science and biosciences. SLAC is developing a SCRF gun-based single-shot ultrafast electron microscope with atomic spatial resolution (0.3 nm) and sub-nanosecond temporal resolution; the proposed microscope will make it possible to capture irreversible processes in materials science and biology, such as direct imaging of biologically important conformational transitions of macromolecules and glass phase transitions in real time. Required Resources: Initial design studies and cost analysis for additional beamlines, UEM feasibility and science case will be supported by program development. About $2M will be requested to establish an SCRF gun laboratory for UEM R&D and beam commissioning. A UED user facility will require initial construction funding followed by operations support, both of which we will seek from DOE-BES. Pursuing New Science Enabled by Our Facilities and Defining Their Future Direction To ensure the best science from our facilities and to maintain the high caliber of our staff, we must continually take a leadership role in identifying and pursuing new science. SLAC is where new ideas in using FEL tools to advance science are being developed. The Laboratory focuses on areas of science where these new capabilities will have the greatest impact: materials and chemical sciences, biosciences, matter in extreme conditions and computer science. Materials Science Our strategy in the Materials Science Division expands on the existing world-leading quantum materials and ultrafast materials science programs to develop new and related use-inspired research areas. Theoretical and Computational X-ray-based Spectroscopy: There is an urgent need for tools to understand and interpret novel photon spectroscopies, especially photon-in/photon-out scattering and time-domain pump-probe experiments on systems both in equilibrium and driven out of equilibrium relevant to LCLS and LCLS-II. By establishing the Theory Institute for Materials and Energy Science (TIMES) as a powerful theoretical framework, we can guide progress toward successful outcomes to many experiments and build a community devoted to understanding the theory of non-equilibrium phenomena underlying many LCLS activities. Functional Materials Under Extreme Environments: The application of pressure, coupled with temperature and irradiation, can induce dramatic changes on materials and give us a much broader field to search for new phases with desirable properties. We propose to study the structural modifications and changes in electronic behavior in different types of functional materials at high pressure over varying length and time scales to try to determine guiding principles that will help lead to more efficient discovery of new materials and pathways to synthesis closer to ambient conditions. Emergent Phenomena in Complex Materials: The nature of electron correlation is key to understanding materials properties. Insights can be obtained from a combined investigation of all important quantum numbers simultaneously. Among the emerging tools for this purpose are high-resolution time-domain spectroscopy and scattering experiments at SSRL and LCLS, such as time-resolved Resonant Inelastic X-ray Scattering (tr-rixs) and time-resolved Angle- Resolved PhotoEmission Spectroscopy (tr-arpes). Several high-priority research directions, under development for a number of years, extend current capabilities and develop new ones uniquely coupled to LCLS and LCLS-II. Ion-insertion Nanomaterials in Liquids: The tunability of the bulk and surface electronic structure through composition, symmetry and bond length has been at the heart of understanding and designing functional materials. We SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 17 of 50

18 propose to develop real-time X-ray spectro-ptychography to investigate nanoscale and mesoscale redox processes in solids at a spatial resolution less than 5 nm. Energy Materials: We support a number of efforts in the area of battery research, coupling into the JCESR activities as well as a number of programs supported by DOE-EERE and DOE s Vehicle Technology program in fuel cell research. New efforts include theory/simulation, characterization using tomographic X-ray techniques, as well as the development of platforms for rapid prototyping and testing. Required Resources: Much of the materials science growth will be realized through our integrated strategy for PSLB and the ability of SLAC and Stanford to attract science talent with leadership capabilities. A capital investment in materials synthesis, ultrafast lasers and X-ray detectors, and high-resolution microscopy housed in PSLB will support this program and allow each of the targeted areas to grow long-term research efforts. Chemical Sciences Our strategy in the Chemical Sciences Division and for PSLB builds on the existing world-leading catalysis and ultrafast chemical sciences program by expanding into key research areas that are strategically aligned to laboratory initiatives. Fundamental Light-matter Interactions: The nature of electron correlation is key to understanding the properties and transformations of molecular systems, since electrons and their correlations generate the time-dependent forces that make and break bonds. The electron-nucleus interplay gives rise to chemical change that is best revealed using tools, such as LCLS and LCLS-II, that can resolve the natural fs time scale and Ångström length scale of the chemical bond and of fundamental charge transfer processes. This motivates our ultrafast strategy to focus on the attosecond and high-field frontier, imaging molecular structure and dynamics, controlling charge separation and excited state processes and following the dynamics of catalytic reactions at surfaces and interfaces in real time. Several ongoing high-priority research directions extend current capabilities and develop new ones uniquely coupled to LCLS and LCLS-II, all of which address these chemical sciences strategic themes: Develop capabilities in time-resolved science to take advantage of LCLS-II s high-repetition-rate, such as stimulated and spontaneous Raman methods to observe electron dynamics with atomic specificity. Develop novel attosecond high-harmonic sources as laboratory-based pumps to drive matter in different ways. The goal of this effort is better control of molecular systems driven far from equilibrium and thereby to create and characterize states of matter not realizable by other means. Exploit our UED/UEM facility. Electron scattering in gas phase with temporal resolution in the fs range will make this a powerful probe for ultrafast chemical sciences, with capabilities complementary to LCLS and LCLS-II. Single-particle Imaging: The goal of this research effort is to understand and control function by applying the extraordinary brightness and coherence of LCLS and LCLS-II for imaging matter beyond the current limits of spatial and temporal resolution. Methods for non-periodic imaging of biomolecules will be developed and studies of fundamental energy-relevant processes (photo-induced isomerization, dissociation) will be pursued by a combination of optical/xray probes and imaging/spectroscopic techniques. Interfacial Chemistry: We intend to grow a program addressing grand challenges in interfacial chemistry and catalysis by completing the loop on the materials-by-design process. The experimental catalysis program will have three key components: (1) synthesis using new wet chemical methods, nano-structuring, atomic-layer deposition and physical vapor deposition of model systems; (2) characterization of single-crystals and high surface area catalysts developed together with SSRL, including in situ analysis and new SLAC methods for characterizing the surface intermediates; and (3) testing by measuring kinetic activity and selectivity to provide feedback to theory. A recent example is the electrocatalysis program associated with JCAP, focused on carbon dioxide reduction, where there are presently no efficient catalysts and a paradigm shift in our understanding of electrochemical processes is needed to make progress. Interfacial and Catalysis Theory: The catalysis program conducts theoretical simulation and screening of millions of different materials, compositions and structures. This presents an enormous computational challenge, while requiring infrastructure to store and share electronic structure simulations of relevant materials and processes. A data warehouse will provide uniform, high quality data, thus making possible the systematic comparison of simulations and the establishment of benchmarks to improve electronic structure theory. It will also provide a natural platform for enabling materials search algorithms and statistical analysis for the development of descriptors, data mining tools and machine learning algorithms. Required Resources: Much of the chemical science growth will be realized through our integrated strategy for PSLB and our ability, along with and Stanford, to attract science talent with leadership capabilities. A capital investment in expanded synthesis and characterization laboratories, environmental TEM, advanced sensors, ultrafast lasers and SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 18 of 50

19 nonlinear techniques, nano-fabrication and X-ray optics, and high-resolution electron microscopy in PSLB will support this program and allow each of the targeted areas to grow long-term research efforts. SLAC and Stanford support a common computing hardware facility for scientific computing in the Stanford Research Computing Center (SRCC). Biosciences Attaining a holistic multi-scale understanding of biological function, from genes to ecosystems, is a central challenge in systems biology. Macromolecules and molecular machines are cornerstones of biological systems. World-class LCLS and SSRL capabilities in ultrafast X-ray crystallography, small-angle scattering, imaging and spectroscopy are uniquely suited to elucidating physical and electronic structures of macromolecules. The new Biosciences Division is building upon these unique SLAC strengths to create larger, multi-scale integrative systems biology and bioimaging programs that serve DOE-BER missions and couple strongly to the SLAC biogeochemistry program. Three high-priority research themes are being pursued: Conduct an integrative multi-scale pilot project to define macromolecular structure/organization/function relationships and their impact on biological system function and scaling across hierarchical system boundaries. Our initial focus is on the global nitrogen cycle, in particular the structure/function of archaeal ammonia monooxygenase and bacterial nitrite reductase enzymes. This activity will be expanded to carbon cycling processes. Vigorously develop a new national cryoem/et facility in close collaboration with Stanford, which will extend our structural characterization capabilities to the subcellular and cellular scales and augment the existing X-ray capabilities at SSRL and LCLS. Develop techniques that enable discovery at sub- to multi-cellular scales and their translation to ecosystem scales. Thrusts include programs in super-resolution optical microscopy, UED/UEM and biocomputational prediction of protein structure and subcellular arrangements. Required Resources: The advanced imaging initiatives will initially use renovated space in Building 6 for the first cryoem/et instruments and associated sample preparation labs later expanding into PSLB. As an integral part of the PSLB strategy, we aim to attract world-leading faculty and staff in biogeochemistry and advanced bioimaging, and to establish new user facilities in electron and optical-based imaging in synergy with our X-ray facilities. A combination of SLAC, Stanford, NIH, DOE-BER and industrial investment is foreseen to support these capital investments. High Energy Density Science Results from the MEC instrument have established a unique capability for high-precision X-ray probes of extreme states of matter using LCLS coupled to high power optical lasers. Such information provides quantitative tests of the physics models used for inertial confinement fusion (ICF) and a wide-range of astrophysical phenomena. It also underpins geophysical models of planetary formation and the development of next-generation accelerators based on plasma devices. The most recent data has highlighted the opportunity to use LCLS, SSRL and emerging UED sources to study the impact of irradiation on structural materials, with application to fusion and advanced fission reactors. SLAC has recently invested in the formation of a theory team in HED physics, linked to researchers in our joint institutes with Stanford in the areas of astrophysics (KIPAC) and material science (SIMES). This has already led to better designs for LCLS experiments by predicting new observables and by providing detailed simulations for interpretation of novel phenomena in HED science. Funding to sustain this effort is our highest priority for additional HED investment. Internationally, there is significant investment in HED science facilities and programs linked to X-ray FELs, with the most substantial being at the European XFEL (with over $50M committed in this area) and at SACLA in Japan (with a Petawatt laser system now installed). Continued leadership at SLAC has benefitted from recent improvements to our laser systems by DOE-FES, and the introduction of new modes of operation that have resulted in 70 percent more experiments in FY 2016 compared to FY Future investment in higher energy lasers will allow access to important regimes of pressure for material science, stretching from fundamental studies of electrides to the assessment of higher density ablator materials for ICF. Long-term development of higher power (Petawatt) lasers will open up key materials irradiation and plasma physics opportunities using a broad spectrum of secondary sources. Required Resources: Our plan requires continuing growth of DOE-FES funding for both the experimental and theory components of the MEC research effort. Future expansion of the MEC facility at LCLS requires modest additional investment to support increased user access, with a strategic investment in FY for enhanced laser energy. Over the long term, the addition of a Petawatt capability will require a new experimental area to be constructed. Computer Science and High Performance Data Analytics SLAC is standing up a CS Division to connect our world-class computational scientists, who are pushing the limits of computational modeling and applications science expertise with unique existing and future data sets, with forefront CS SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 19 of 50

20 research, which in turn will provide cutting edge tools for computational science. In pursuing this new program, we have joined with Stanford s CS department and their world-class faculty in systems and data analysis research, who are working on solving the problems of extreme scale computing. Our synergy with Stanford will be magnified by access to the major commercial vendors in Silicon Valley interested in collaborating with us and Stanford CS. To realize this opportunity, we envision developing a CS group made up primarily of computer systems researchers in the areas of programming technology, runtime systems, and data management and analytics. We also believe a complete group would include people who are intermediate between computer scientists and computational scientists and often have training in both. The SLAC CS Division will interact with the existing computational science research projects at the Laboratory (the computational cosmology, computational condensed matter, computational plasma and accelerator efforts) as well as with projects requiring new technology to manage and analyze large data sets (LSST, LCLS-II and SSRL). Close interaction over time with applications groups is critical to the long-term success of the research, and Stanford CS already has substantial prior experience with making such collaborations work within the School of Engineering. Required Resources: A core CS group of four staff, ultimately growing to 10 to 15, will be established initially through a combination of SLAC and Stanford investment. We have identified a number of collaborative projects between Stanford and SLAC, with a focus on very large-scale data analysis challenges driven by the enormous data sets that existing SLAC projects generate. The division will be housed in PSLB to maximize synergy with the ultrafast science and biosciences programs in the same location. Performing Use-inspired and Translational Research in Energy With its strong base of fundamental knowledge in materials, chemical and biological science, SLAC is well positioned to solve important societal challenges regarding energy generation, use and efficiency. Our strategy is to identify the most important problems, develop improved scientific understanding in these areas, and then leverage our scientists and engineers and our unique facilities to apply that knowledge toward practical solutions. We established an Applied Program Division in the Science Directorate to pursue these opportunities, in partnership with SSRL. The focus over the next several years is (1) Materials for Energy, (2) Subsurface Technology and (3) Smart Grid Technology. The Materials for Energy area focuses on energy storage technology where, as noted earlier, we are a partner in JCESR, the energy storage hub, and have been developing new materials that show promise for higher energy densities and lower costs for both vehicle and grid batteries. The Applied Program Division extends the DOE-BES-funded work at SIMES to DOE-EERE and other applied offices for early prototyping and testing. In the future, expanded synthesis and prototyping facilities are envisioned. Through work at SSRL, we have developed a program for battery imaging using transmission X-ray microscopy that allows in situ and in operando imaging of battery materials to evaluate the chemical states of electrode materials during operation. Similar techniques can be used to follow catalytic reactions. SSRL also has a program in high throughput materials testing, which is supporting solar materials and catalysts in addition to batteries. This program will add a machine learning and data mining approach to accelerate discovery of new materials. In Subsurface Technology, we leverage the imaging capabilities of SSRL to understand geochemistry and pore structure in shale during interaction with hydraulic fracturing fluids. This program, funded by the National Energy Technology Laboratory, and partnering with Stanford, has produced new insights into the dissolution and precipitation of minerals in shale as well as understanding pore connectivity and fluid flow. Continuing enhancement of imaging capabilities and sample handling will further enhance ongoing work in oil and gas as well as carbon sequestration. In the Smart Grid area, we participate in the Grid Modernization Lab Consortium, leading programs on integration of renewable energy and improvements to transactional control schemes in buildings, as well as partnering with other labs for the California regional demonstration program. The SLAC and Stanford focus is on developing and prototyping new distribution grid planning tools, measurement and control systems. Required Resources: Expanded synthesis, testing and non-x-ray characterization techniques will be housed in PSLB. We intend to improve and expand multiple in situ X-ray characterization techniques at SSRL. These programs will be supported by new DOE program growth, primarily in DOE-EERE, SLAC and Stanford, as well as the California Energy Commission (CEC), industry and utility partners. Defining and Pursuing a Frontier Program in the Physics of the Universe SLAC s strong science and technical workforce excels at using its unique combination of underground-, surface- and space-based experiments to explore the fundamental physics of the universe. The primary science drivers for this program are derived from the P5 and NP long-range plans: the Higgs boson as a tool for discovery, the physics of the neutrino; the nature of dark matter; cosmic acceleration, dark energy and inflation; and exploration of the unknown. SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 20 of 50

21 Determining the Nature of Dark Matter, Dark Energy and Cosmic Inflation The dark energy that appears to be driving the accelerated expansion of the universe poses fundamental challenges to our understanding of quantum field theory and gravity. The detailed properties of dark energy can be constrained through a variety of methods, all relying on deep optical and infrared surveys of major fractions of the sky. The LSST project will provide a definitive wide-field, ultradeep survey of galaxies for precision measurement of dark energy properties. SLAC is leading the development of the project s 3.2-gigapixel digital camera system and houses a vibrant dark energy research community at KIPAC. As the host laboratory, we are working closely with the LSST Dark Energy Science Collaboration (DESC) to achieve its important goals of measuring dark energy with high precision. Likewise, we are developing an operations plan together with the Association of Universities for Research in Astronomy and the LSST Corporation for the LSST facility. The combination of close ties to the LSST camera and data management projects, the planned operations support for DESC and LSST, and a strategic investment in dark energy research will make SLAC a powerful center for this science in the 2020s. Extensive evidence exists that dark matter dominates the matter density of the universe. Various theories predict a small but non-zero cross-section for dark matter interaction with ordinary matter. Detection could be accomplished by fielding ton-scale experiments in mines deep underground, where backgrounds associated with cosmic ray particles can be adequately shielded. The detection of relic dark matter at an underground experiment would provide a crucial complement to efforts to create dark matter particles directly at the LHC and at future energy frontier accelerator facilities. SLAC is leading the development of the recently approved SuperCDMS project at SNOLAB in Canada, a joint DOE/NSF project that would deploy kilograms of cryogenic germanium sensors. We are also contributing to the noble liquid xenon experiment LZ as the other approved second-generation dark matter search experiment. The two experiments together will improve the current mass and cross-section sensitivity by several orders of magnitude. These experiments also complement our ongoing leading role in the FGST. The CMB carries the imprint of cosmology and forces from the inflationary period of the Big Bang, which defined the large-scale structures of the present-day universe. SLAC scientists made key contributions to the 2014 BICEP2 discovery of B-mode polarization in the microwave sky. Such observations are expected to constrain the nature of cosmic inflation. Over the next 10 years, SLAC plans to remain an important part of the BICEP collaboration and has been instrumental in deploying BICEP3 at the South Pole, playing a leading role in future CMB experiments and helping make P5 s CMB-S4 experiment a reality. These experiments, which constrain neutrino masses and number density, couple our extensive instrumentation capability with the problem of developing efficient, low-cost, mass-producible microwave detectors required for large-scale CMB experiments. They will be greatly enhanced by our impending investment in a clean room for detector microfabrication. Required Resources: Our plan assumes project funding for LSST, SuperCDMS and LZ over the next five years. We anticipate developing a CMB-S4 project for consideration later in the decade. R&D in advance of these projects is already supported by DOE-HEP and in some cases by LDRD funds. Modest personnel additions or redirections in areas such as sensor fabrication, cryogenic and low-background engineering, and project management will be required. Major Upgrades to the ATLAS Detector for the High-Luminosity Large Hadron Collider With our outstanding instrumentation capability, we are well-positioned to assume a major role in the construction of the forward timing detector, as well as the silicon inner tracker, which is the most important of the detector subsystems requiring replacement in the LHC phase 2 upgrades. We have relevant capabilities in several key areas, including 3-D and CMOS pixels, strip detectors and high-speed data transmission and readout. SLAC has proposed to be the U.S. pixel stave assembly site, based on our precision mounting and optical survey capabilities. Other critical components for the upgrade are the trigger and DAQ systems. Our Reconfigurable Cluster Element (RCE) is a good candidate for the inner tracker readout, and our expertise in trigger development will be vital to the success of the physics program. Required Resources: Our plan assumes project funding at the level of $20M over the next eight years for the phase 2 upgrades. Some novel R&D in advance of this project is supported by LDRD funds this year. Our primary resource is an existing core group of physicists and engineers with technical expertise matching the program requirements. Determining the Properties of the Neutrino SLAC has stewardship of the EXO experiment for neutrinoless double-beta decay, which is currently collecting data. The future for this program is nexo, a ton-scale experiment for which SLAC is leading R&D efforts in high voltage, liquid xenon purity, electronics, TPC design and cryostat thermal analysis. Our effort in the accelerator-based neutrino program has impacted the DUNE detector design, with critical expertise in the area of trigger and DAQ systems where the SLAC RCE system has been adopted by protodune and DUNE. SLAC plays a crucial role in the development of the liquid argon TPC automated reconstruction software and in optimizing the detector for supernova neutrino science. SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 21 of 50

22 Required Resources: Our plan assumes R&D funds totaling $3-5M over the next two to three years for nexo leading to the technology downselect, and project funding as required for the DUNE DAQ system through the construction of the first DUNE detector module. Our primary resource required is an existing core group of physicists and engineers with technical expertise matching the program requirements. Core Competencies and Supporting Technology R&D The Accelerator Directorate maintains our core capabilities in large-scale facility maintenance and operations, as well as well as accelerator science, including beam physics, FEL science and advanced acceleration research. In addition, the newly created Technology Innovation Directorate (TID) was established to sustain unique SLAC core technology capabilities required to support long-term SLAC and DOE science missions. TID includes two critical capabilities: (1) RF accelerator technology and (2) detectors and advanced instrumentation. SLAC will invest in TID infrastructure to create a sustainable business model, while TID is charged with broadening our funding base by growing an SPP R&D portfolio with projects that drive innovation, enhance core capabilities and feed back into core science programs. Finally, a developing core capability in laser technology is supported by LCLS and the Science Directorate. Accelerator Science Core Competency Accelerating particles more efficiently and over much shorter distances would open new doors in many areas of science, medicine and industry. SLAC is a leader in exploring new methods of particle acceleration. These studies build on our experience running the laboratory s 2-mile-long linear accelerator, SSRL, LCLS and FACET. They also take advantage of our unique combination of expertise in lasers, ultrafast timing and advanced acceleration techniques. Our strategy for fostering and expanding research and education in accelerator science is to establish an Accelerator Science Center. The dynamic research environment at SLAC is essential not only for sustaining a world-class core competency in accelerator science but also for attracting graduate students into the field. The exciting research opportunities enabled by the unique operating accelerators and test facilities at SLAC provide an environment where students can get the requisite hands-on experience. Our core capability in beam physics provides support for operating accelerators and experimental programs, aids in the design of new accelerators, and aims to understand the fundamental physics associated with the generation and acceleration of high brightness beams. With appropriate funding support, we plan to expand from the current 18 graduate students to about 50 graduate students by The center will pursue several major research thrusts with the most important being ongoing development of both plasma wakefield acceleration and dielectric laser acceleration, with the goal of creating compact sources of highenergy electrons with unprecedented brightness. FACET-II and other accelerator test facilities at SLAC will be essential for these studies. The PWFA program at FACET-II will build on the FACET results with goals set by considerations of how the PWFA technology can be used as an energy upgrade pathway for a future International Linear Collider (ILC) and/or as a driver for a 5th generation light source.. Beyond FACET-II, studies have begun toward identifying and developing a candidate first application for the PWFA technology as a stepping stone toward an electron-positron collider. Such an application will validate the PWFA concept through integration of the various accelerator systems, and will provide operational experience through beam delivery for scientific or industrial use. A promising new area for accelerator research at the center is the development of higher brightness electron sources that will enable larger spectral range and increased intensity FELs, improved resolution and/or signal-to-noise in UED/UEM experiments, and more efficient PWFA processes. Cathode and laser R&D is aimed at reducing cathode thermal emittance while increasing its quantum efficiency. Improved cathodes would immediately benefit nearly all high-brightness sources at SLAC and worldwide. Injector R&D at SLAC will explore new physics and technologies of guns and injectors, with the goal of constructing injectors approaching fundamental limits. The program will be focused both on normal conducting, low duty-cycle pulsed RF guns, such as those used for the LCLS linac, FACET-II and UED, as well as high-repetition-rate guns for LCLS-II, UEM and potentially other applications. Required Resources: The primary responsibilities of the faculty and staff of the center will include world-leading research, education and teaching; research income; support of SLAC s mission (both DOE-HEP and DOE-BES) through directed R&D; operational support and design and development of concepts for next generation facilities. To meet the goal of 50 graduate students by 2020, an additional $1M per year is foreseen from the DOE-HEP traineeship program on accelerators. Requirements for the injector R&D program will be refined over the coming months as part of a BESsponsored workshop on electron sources this fall, but much of the infrastructure required already exists at SLAC. Advanced RF Accelerator Technology Accelerator RF technology development will focus on (1) transcending the efficiency and cost limits of power sources from RF through THz frequencies, (2) creating electrodynamic modeling tools to accelerate the design realization cycle of devices employing novel geometries that will yield these transformational advances and (3) developing innovative accelerator structures with topologies and materials optimized for high efficiency and low cost of manufacturing. The SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 22 of 50

23 goal is to optimize electrical efficiency relative to total cost of ownership. Our approach is directed at improving both the individual components and the overall system efficiencies and cost. Our capability includes systems operating at less than 20 GHz but also aims to extend the frequency reach to close the four-order-of-magnitude gap between RF and optical frequencies, where no practical sources or structures exist. Several achievements over the past year have moved us closer to realizing this vision. In the quest for higher RF source efficiency, we prototyped a radically new topology using a high-order mode traveling-wave interaction that shows promise of efficiency above 90 percent. A novel low-cost, high-efficiency accelerator structure has demonstrated beam acceleration at five times the SLAC linac gradient but requiring only half the RF power. There are a wide range of emerging applications for this capability in high-resolution radar, remote sensing, highbandwidth communications and compact accelerators for active interrogation, medical treatment and imaging, which can provide a path for long-term sustainability and funding sources beyond DOE. Two accelerator stewardship projects are underway, one with industry to develop and commercialize high efficiency klystron technology, and a second with the medical community to wirelessly power and communicate with medical implants. Required Resources: DOE-HEP General Accelerator R&D (GARD) investment at the current level is required to enable fundamental technology proof-of-principle demonstration. These results are leveraged to develop strategically-aligned programmatic relationships with agencies such as Defense Advanced Research Projects Agency (DARPA), Department of Homeland Security (DHS), Domestic Nuclear Detection Office (DNDO), NSF and NASA to further develop and evolve the technologies for important applications. We are also investing LDRD funds to explore the development of compact, high-average-power mmw-thz sources. Additional science staff will be required to ensure the vitality of the RF accelerator technology competency, as well as flexible and cost-effective experimental test facilities. Instrumentation Development for Light Sources and Particle Physics Several high-priority upcoming programmatic science opportunities depend critically on our core competency in instrumentation. LCLS-II presents challenging requirements for instrumentation R&D, such as high frame rate, improved dynamic range, increased array scale, improved spectral resolution and high-efficiency spectroscopy, in order to meet demands for high-repetition-rate, ultralow-noise detectors and DAQ infrastructure. Radiation-hard silicon tracking systems for high-multiplicity environments and sophisticated high-performance DAQ systems will be required for the ATLAS LHC upgrade. Highly integrated large-scale focal planes will be required for CMB-S4 experiments. We are exploring opportunities in the neurosciences community in high-density integrated instrumentation and in the astronomy community building on our experience with the LSST camera project. We are planning to invest in infrastructure for the instrumentation, including a microfabrication center for superconducting and semiconductor sensor fabrication and detector integration. Such a flagship facility would be the foundation for development of detectors for LCLS-II and the CMB-S4 and would provide a unique capability in advancing superconducting and quantum limited electronics devices broadly for the DOE complex. Required Resources: SLAC has a well-developed core science, engineering and technical staff in instrumentation and we envision modest additions in new areas of development. Continuing present DOE-HEP detector and instrumentation R&D funding is essential to the viability of the detector core competency and support of future HEP programs. SLAC will invest in the PSLB detector microfabrication clean room while operations are supported by funding from facility users. Laser Development Ultrafast lasers are at the heart of approximately 75 percent of LCLS experiments, and have positioned SLAC as a premier research location for their development, with over 30 laser laboratories now operational. The scientific opportunities identified for LCLS-II require advances beyond the state-of-the-art, including the need for kw-class average power systems for pump-probe studies (a step of 5-10 times above existing systems, currently in development at SLAC); and high-repetition-rate, highly tailored pulse sculpting for initiation and control of the X-ray FEL pulses themselves, including the progression to sub-femtosecond performance. The largest scale requirement is for PW-class peak-power lasers operating at high repetition rate for next-generation studies of relativistic plasma physics and extreme materials science. Here, there is a great opportunity for SLAC to partner with other DOE laboratories such as Lawrence Livermore National Laboratory (LLNL) and Lawrence Berkeley National Laboratory (LBNL) to integrate their capabilities in high-energy and high-peak-power lasers, with SLAC s strengths in ultrafast, high-average-power laser systems, coupled to exquisite synchronization and pulse tailoring capabilities. Required Resources: The initial steps are currently being funded by DOE-FES to enhance control and capability of the MEC instrument at LCLS and by DOE-BES for the development of 100 khz lasers for pump-probe capability at LCLS-II. Future development requires new laser laboratory space in PSLB, as well as R&D resources. Ultimately, incorporation of high-peak power (PW-class) lasers would require additional new funding and reconfiguration of the LCLS experimental hall, and would represent a major new national capability if pursued. SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 23 of 50

24 5. Technology Transitions, Commercialization and Partnership Strategy SLAC Strategic Partnership Projects Vision and Strategy SLAC s Strategic Partnership Projects strategy reinforces our science goals and strategic plan. We form partnerships with outside entities with the objectives of (1) advancing DOE s mission and SLAC s science goals, (2) maintaining our core capabilities in support of our strategic direction and (3) supporting technology transfer to U.S. industry. By establishing key strategic partnerships outside of DOE, our essential core capabilities are strengthened and additional capabilities are developed, enhancing our ability to deliver on key DOE missions. We have significant partnerships with non-doe federal agencies, industry, universities, state and local institutions and foreign research institutions, providing a diversification of our sponsorship base and creating opportunities for our science staff to participate in diverse and stimulating leading-edge research. SPPs allow us to assist other federal agencies and national laboratories through collaborative R&D activities, further serving the nation s interests, resulting in the development of new advanced research facilities and new methodologies and supporting the addition of new instrumentation at SLAC. Notable SLAC Strategic Partnership Projects and Relevance to our SPP Objectives Advancement of DOE Mission and SLAC Science Goals The first part of our SPP strategy is pursuing partnerships with other U.S. federal agencies and international collaborators to advance the development of new research facilities, state-of-the-art instrumentation and other new capabilities to advance scientific areas that are closely aligned with our strategic plan. Strategic projects with NIH have enhanced our light source capabilities and expanded the research capabilities in support of the biosciences user communities and our research programs in these areas. Our partnership with NIH supports the development and operation of nine dedicated and shared beamlines at SSRL and associated instrumentation/techniques, where about 800 unique users at SSRL and LCLS per year tackle forefront problems in structural biology. SPP funding from the NIH s National Institute of General Medical Sciences (NIGMS) is managed in close partnership with funding from DOE-BER. NIGMS has also provided partial funding for the construction of a new instrument at LCLS. SLAC participates in a number of multi-agency projects where funding is provided by DOE, as well as strategic partner agencies. In particle astrophysics, we are the host for a multi-institutional, international collaboration that is leading research with FGST. In the areas of big data and computer science, our partnership with the LSST consortium led by NSF has generated significant contributions and advances in database design and software for large-scale data management. SuperCDMS, a project presently preparing for CD-2, also involves DOE and NSF partnership with three DOE laboratories, SNOLAB, as the host facility in Canada, and a combination of NSF- and DOE-supported university groups. In accelerator science, our partnership with the KEK laboratory in Japan has enabled collaboration on high-gradient research and research for future high-luminosity and high-energy electron accelerators, both of which support our and DOE-HEP missions. Maintaining Core Capabilities Maintaining our core capabilities in support of our strategic direction is the second part of our SPP strategy. Two of the essential core technology capabilities maintained by SLAC are RF accelerator technology and detectors and instrumentation. By expanding the application of these capabilities to SPP work, we improve their sustainability while also maintaining a cutting-edge, industry relevant workforce. The RF Accelerator Research Division fabricates X-band klystrons, RF photoinjector guns and other high-power RF and accelerator components for Argonne National Laboratory, Brookhaven National Laboratory, LLNL, Los Alamos National Laboratory, LBNL, European Organization for Nuclear Research (CERN), Paul Scherrer Institute, Pohang University of Science and Technology, Elettra Sincrotrone Trieste, Deutsches Elektronen-Synchrotron (DESY) and the University of California, Davis. These SPPs rely on the same RF systems and manufacturing capabilities that support facility operations and RF R&D. In agreement with DOE-HEP, we recently entered into a strategic partnership with the China-based Institute of High Energy Physics (IHEP) to provide technical support to assist in the design of their Circular Electron Positron Collider, which is a complement to the ILC. These projects provide challenging applications for our accelerator design and beam dynamics capability. We have worked on DARPA-funded programs to develop novel X-ray optics which have led to enhancement of beamline instruments and have recently entered into a partnership to supply the European XFEL project with a set of its new SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 24 of 50

25 generation of X-ray detectors (epix) developed for the LCLS program. Both examples take advantage of core capabilities in instrumentation and related infrastructure. Enhancing Technology Transfer and Commercialization The third part of our SPP strategy is to engage with commercial customers to help facilitate technology transfer. We use Cooperative Research and Development Agreements (CRADAs) in addition to SPPs when opportunities arise to partner with outside entities to cooperatively solve scientific challenges and develop and de-risk new technology. CRADAs are a key component of our long-term strategic plan and help further diversify our partner base and connections to U.S. industry. CRADAs, like SPPs, allow science staff to conduct industry-relevant research and help solve immediate industry challenges and to innovate in areas which may be complementary to their key functions at SLAC. This in turn ensures our significance to the U.S. industry and provides us with opportunities to contribute to a diverse array of scientific and technical challenges currently facing U.S. businesses. In concert with the Stanford Office of Technology Licensing (OTL), we have successfully developed and licensed technology to industry partners that will form the foundation for significant commercial technology. We have a CRADA and technology commercialization growth strategy targeted toward increasing the rate of technology transfer outside of the Laboratory and developing additional licensable intellectual property in concert with industry partners. Using SPP agreements, we give U.S. industry access to high-power test facilities for testing klystrons that our industrial partners have built for their customers. The klystrons use a SLAC design that has been transitioned to industry for commercial production. Industry at this time is building up its high-power test infrastructure. This work aligns well with and helps sustain DOE s high-power RF core capability at SLAC. Targeted Areas of SPP and CRADA Growth in FY 2016 and Beyond In FY 2015, SLAC received funding of about $12.3M under approximately 80 new or ongoing SPP agreements and funding of about $400K under 13 new or ongoing CRADAs, examples of which are described in greater detail below. Our goal is to increase the SPP portfolio from the current approximately 5 percent of the FY 2015 laboratory budget to approximately 10 percent ($35M) by the end of the decade. This level of funding will balance primary mission execution with sustaining critical capabilities and infrastructure. One particular area of significant growth in our SPP and CRADA activities will be the recently formed TID, which is leading the development of next-generation particle and photon sources and advanced instrumentation. The following are some of our focus areas of SPP growth going forward. Advancement of DOE Mission and SLAC Science Goals Biosciences: The Biosciences Division research programs address the needs of DOE-BER and NIH missions. A strong SPP base already exists in using SSRL for drug discovery, and there is significant potential for expansion through innovative NIH-funded programs for the development of pipelines, as well as emergent interest from NIH in using LCLS for translational drug discovery research. We are collaborating with Stanford and other organizations to pursue funding for new initiatives and instrumentation at LCLS and SSRL, targeting federal and private SPP funding mechanisms. The partnership with NIH is expected to continue to support advanced instrumentation in detectors and biological sample characterization critical to the biosciences user community. Our new initiative in integrative multi-scale bioimaging will combine unique X-ray and electron characterization techniques (cryoem) and will also attract partnerships with the federal government, private sector and Stanford. Materials and Chemical Sciences: Our programs in materials science, chemistry and catalysis are formulating a science and instrumentation strategy to enable development of new facilities and techniques. Industrial partners working on batteries, photovoltaics and catalysts have demonstrated strong interest in the use of SSRL for energyrelated technologies. We are pursuing our interest in enhancing high-throughput materials testing and data analysis through both DOE and SPP funding. Our strong connection to Stanford offers potential synergy with several initiatives on campus that focus on sustainable energy technology. Industrial interest in these techniques continues and can be accessed through SPP and CRADA mechanisms, including our CRADA with CalCharge. Smart Grid: Our new initiative in Smart Grid technology in collaboration with Stanford engages closely with industrial partners, utilities and state government agencies. We were selected for a new multi-million-dollar award from the CEC and are in discussion with a number of utilities and other partners for additional projects. Maintaining Core Capabilities Accelerator and RF Technology and Applications: We will broaden and strengthen our core capabilities in accelerator and high-power RF science and technology through a wide range of new applications, including new projects with DARPA, DHS, the Office of Naval Research (ONR) and Rensselaer Polytechnic Institute/Knolls Atomic Power Laboratory, and continuation of an ongoing project with DESY. Potential U.S. industrial partners have initiated discussions regarding advanced technology development that we could undertake in the areas of medicine, THz sources SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 25 of 50

26 and detection of nuclear material and contraband. In addition, the success of LCLS has led to several opportunities in support of FEL projects worldwide. We are beginning a new DARPA program to develop a novel approach for achieving revolutionary increases in neutron source intensity and reductions in device size, weight and power for in-the-field neutron radiography and analytical techniques. The ongoing collaboration with DESY will continue to provide us with technology and intellectual property relating to SCRF cryomodule design, which will help advance the LCLS-II project. Applications of Detectors, Instrumentation and Computing: Our core competencies in sensors, instrumentation, DAQ and controls, electronics and electronics systems, space-based experiments, low-background and systems engineering, data management, simulation and analysis frameworks will all yield beneficial applications to new problems. Partnering opportunities include NSF, NASA and NIH, as well as various U.S. industry sectors. Looking to the future, unique capabilities in superconducting sensors and amplifiers will impact a broad range of activities in X-ray spectroscopy, quantum-limited signal processing and sensitive THz and mm-wave detection for materials, biology, forensics, cosmology and astrophysics applications. Partnering opportunities include NSF, NASA, NIH, the Justice Department, NNSA, DARPA and industry. We have entered into multiple partnership agreements to design specialized application specific integrated circuits for various industry applications, and these partnerships have also led to intellectual property license agreements based on the resultant technology. We have also entered into a broadly scoped multi-year CRADA with an autonomous vehicle company in which we will collaboratively develop software and techniques related to large-scale graphics processing unit data management, which will directly benefit our data management and computing core competencies. In addition to providing accelerator controls and instrumentation to PAL in Korea through an SPP, we are providing this type of equipment to the European Spallation Source (ESS) through a CRADA. In this partnership, the technology developed for ESS will directly benefit the LCLS-II project. We are actively pursuing a high-priority microfabrication clean room in PSLB because of its three-fold impact: it is vital to support DOE core science programs, it will maintain our international leadership in detector and instrumentation science and it will enable strategically aligned SPP growth. Enhancing Technology Transfer and Commercialization SLAC Infrastructure and Support of Technology Transitions: We have increased our capabilities to identify and support technology transitions by adding staff with the appropriate background and experience. This staff works closely with science and engineering staff to identify and pursue various partnering opportunities, and also works closely with Stanford technology licensing professionals to ensure robust identification and protection of SLACdeveloped intellectual property. Our technology transitions staff are engaged with their counterparts at other labs to contribute to initiatives that enhance the speed and efficiency of partnering with industry. Additionally, our staff are working to increase the visibility and importance of technology transitions internally so that potential opportunities may be more efficiently identified and pursued. Funding and Resources Sponsors Table 1: Non-DOE Funding (BA in $M) FY 2015 Actual Funding Received FY 2016 Estimated Funding Level FY 2017 Request DOD NRC DHHS/NIH All Other Federal Work Non-Federal Work Total SPP Lab Operating SPP as % of Lab Operating 4% 5% 8% DHS 0% 1% 1% SPP + DHS as % of Lab Operating 4% 6% 9% SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 26 of 50

27 Agreements for Commercializing Technology (if applicable) ACT as % of Lab Operating CRADAs (External Funding Only) CRADAs as % of Lab Operating 0.1% 0.1% Total SPP, ACT and CRADAs SPP+ACT+CRADAs as % of Lab Operating 4% 5% Table 2: Laboratory Technology Transitions Activities Non-Programmatic ($M) Statutory ORTA Funds FY 2015 Actuals FY 2016 Estimates Total Lab Overhead for ORTA activities 1 N/A N/A Statutory ORTA Funds as % of Total Lab Budget N/A N/A Technology Transfer Program Licensing Income Licensing Income used for technology transition activities Licensing Income used for technology transition activities as % of Total Licensing Income Other Funds 0 0 Expenditure of other non-federal funds for technology transitions activities Total Non-Programmatic Activity Table 3: Laboratory Technology Transitions Activities Using Programmatic ($M) FY 2015 Actuals FY 2016 Estimates Technology Commercialization Fund N/A N/A Lab-Corps N/A N/A Small Business Vouchers N/A N/A Technologist in Residence Program N/A N/A CRADAs Funds from DOE Programs 0 0 Other 0 0 Total Programmatic 0 0 SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 27 of 50

28 6. Infrastructure Infrastructure Strategy SLAC s renewed infrastructure mission readiness strategy fully aligns with the Laboratory s mission, science strategies and core competencies as defined in our strategic plan. In particular, our Infrastructure Mission Readiness (IMR) program supports the four pillars of our strategic plan by improving infrastructure reliability, operational safety and efficiency; identifying and mitigating operational risks; and optimizing infrastructure investments. The IMR program is supported by a realigned Facilities & Operations (F&O) organization, value-added operational measures and metrics, periodic infrastructure assessments and year-round planning and data analysis. In addition, periodic utility system and building assessments help us identify and understand our infrastructure gaps and risks, and are a fundamental step to mission readiness and optimizing infrastructure investments in support of the science mission. Our goal is to reduce our infrastructure system life cycle costs while increasing infrastructure reliability, operational efficiency and safety in support of the SLAC mission. We optimize our investments using a balanced risk-based approach that considers mission; environment, safety and health; and cost and schedule aspects of proposed infrastructure investments. This process, based on DOE s Capital Asset Management Program (CAMP), results in a project ranking. This ranking is superimposed with a life-cycle cost and Return on Investment (ROI) calculations guiding an investment strategy that frees up capital funds and human resources to further reinvest, driving a cycle of increased efficiency and innovation. The resulting data is then analyzed by stakeholders and subject matter experts (SMEs) who develop an investment plan for review and approval by the Laboratory. In addition to infrastructure investments made by SLAC and Stanford, we have proposed four infrastructure investments to support DOE s Science Laboratory Infrastructure (SLI) program: K-Substation Upgrade (KSU), Medium and Low Voltage Revitalization (MLVR), Cooling Water System Revitalization (CWSR) and Underground Utility Infrastructure Revitalization (UUIR); each of which is shown in the Infrastructure Investment Table and defined below. Infrastructure investments identified in Figure A summarize the ongoing and planned investments that are aligned with our strategic plan and the ongoing projects and programs that are high priority, including LCLS and LCLS-II, LSST, SSRL, FACET-II, UED/UEM, ultrafast sciences, biosciences, HED, energy research and dark matter programs. With continued support from DOE and Stanford, we are refining our planning, processes and data assessments and analysis to manage our infrastructure risk and ensure a sustainable platform for our current and future science missions. When executed, we will secure a long-term sustainable basis for the operation of these facilities and programs. Figure A: Infrastructure Investments Supporting SLAC s Mission Need and Core Capabilities Infrastructure Investments Mission Need Core Capabilities Programs Bldg 40 Lab Space 1st Floor New Science Chemical and Molecular Science Science, SSRL Cleanroom Infrastructure Upgrades New Science All Science, LZ, LSST Construct HPL Laser Lab at B40 Innovating and operating premiere accelerator-based facilities Large-Scale User Facilities and Advanced Instrumentation, Accelerator Science and Technology Science, SSRL MMF (B081) Upgrades Innovating and operating premiere accelerator-based facilities Large-Scale User Facilities and Advanced Instrumentation, Accelerator Science and Technology LCLS, LCLS-II Photon Science Laboratory Building (Fit-out) New Science All Science Science and User Support Building All All All Site and Security Access Improvements All All All Construct Cryo EM Lab at B006 New Science Chemical and Molecular Science Science Relocate Utilities at B950 Upgrade stairways, refuge areas, manways and fire alarm system at B002 - Linac Sectors 0 through 10 Utilities - K-Substation Upgrade (KSU) * Innovating and operating premiere accelerator-based facilities Innovating and operating premiere accelerator-based facilities Innovating and operating premiere accelerator-based facilities Utilities - Medium and Low Voltage Revitalization (MLVR) * Innovating and operating premiere accelerator-based facilities Extend VV3 Cable Innovating and operating premiere accelerator-based facilities Large-Scale User Facilities and Advanced Instrumentation, Accelerator Science and Technology Large-Scale User Facilities and Advanced Instrumentation, Accelerator Science and Technology Large-Scale User Facilities and Advanced Instrumentation, Accelerator Science and Technology Large-Scale User Facilities and Advanced Instrumentation, Accelerator Science and Technology Large-Scale User Facilities and Advanced Instrumentation, Accelerator Science and Technology Install Protection on 230kV Transmission Line All All All Emerging Science (Labs and Cleanrooms) New Science All All Infrastructure Major Upgrades/Improvements - Indirect All All All Utilities - Cooling Water System Revitalization (CWSR) * Innovating and operating premiere accelerator-based facilities Large-Scale User Facilities and Advanced Instrumentation, Accelerator Science and Technology Utilities - Underground Utility Infrastructure Revitalization All All All (UUIR) * Infrastructure Major Upgrades/Improvements - Direct All All All * Infrastructure improvements which reduce deferred maintenance LCLS, LCLS-II LCLS-II LCLS, LCLS-II, Science LCLS, LCLS-II, FACET-II, Science FACET-II LCLS, LCLS-II, SSRL, NLCTA, Science SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 28 of 50

29 Overview of Site Facilities and Infrastructure SLAC s 426-acre, DOE-leased campus resides in unincorporated San Mateo County on the San Francisco Peninsula within a larger tract of land owned by Stanford. Of the 146 facilities at SLAC, DOE owns 140 and Stanford owns six. DOE currently has 1.559M gross square feet (GSF) in buildings and a replacement plant value (RPV) of $1.459B. Major utility systems include electricity, cooling and hot water, domestic water, storm sewer, sanitary sewer, gas, fire alarm, telephone and compressed air. Primary 230 kilovolt (kv) power is provided by a 5.4-mile DOE-owned tap line. The SLAC site includes tunnels and other unique experimental facilities, the largest of which are the 2-mile-long Klystron Gallery and the underground tunnel that houses the linear accelerator. SLAC does not have any new leases of 10,000 GSF or more, and there are not any dispositions of DOE land through leasing, sale or gift in FY The terms of the most recent lease agreement between Stanford and the DOE identify up to 25 acres of land on the SLAC campus that can be returned to Stanford. The first phase includes 12.5 acres of land west of the main entry drive, shown in Figure B above; however, Stanford has not identified a timeline. Campus Strategy The SLAC long-range vision is a campus planning document which provides a framework for future SLAC site improvements in 2020, 2030 and beyond. It shows where future buildings are required based upon existing and planned mission needs, and it illustrates where undefined new mission programs could be placed in the future. This vision also identifies infrastructure investments necessary to meet our future objectives and realize the campus vision. This long-range vision provides a framework for infrastructure and site improvements to support our science goals and core competencies. The high-level plan is designed to be adaptable to changing mission and funding levels to guide investment strategies. It looks beyond immediate and narrow functional issues toward broad, underlying and long-term mission goals. The SLAC long-range vision for 2020 outlines infrastructure investments as shown in Figure B below. Figure B: SLAC Long-Range Vision for 2020 With the oldest facility at 52 years of age, 45 percent of buildings greater than 40 years old and utility distribution systems greater than 45 years old, reliability and maintenance of utility infrastructure is a critical challenge. As mentioned above, we have adopted a balanced risk-based process to prioritize our investments relative to the mission (our primary factor for investment prioritization); environment, safety and health; ROI and cost and schedule. Capital investments to address infrastructure gaps over the next 10 years are summarized in the Infrastructure Investment Table. Our current focus is on reliability of electrical, cooling water and underground utility distribution systems that have been assessed as inadequate or substandard and are associated with our high-priority facilities (LCLS, LCLS-II, FACET-II and SSRL). SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 29 of 50

30 Key partnerships have been a cornerstone of delivering new facilities. Along with Stanford and DOE-SC, we have funded investments totaling $228M for current and recently completed projects. Stanford investments include the PSLB shell, KIPAC, SRCC, the Arrillaga Recreation Center and the Stanford Guest House. The 62,200 GSF Science and User Support Building (SUSB) was occupied in FY We also completed renovations to transform existing office space in Building 40 into laser and high-power laser labs in support of programs in ultrafast science; clean room infrastructure upgrades at IR-2 to support LSST and LZ; and the Magnetic Measurement Facility (MMF) upgrades at Building 81 to support LCLS-II. Stanford is scheduled to complete the PSLB cold and dark shell in Leveraging our world-class light sources LCLS and SSRL and the PULSE and SIMES institutes at Stanford, we will be well-positioned to support the level of research of an internationally leading photon science laboratory. Our vision for PSLB is to provide an environment that fosters the development of critical research capabilities at SLAC in support of the existing and future strategic directions of our research programs and user science. PSLB will provide critical laboratory space to grow experimental programs as well as expanded synthesis and characterization laboratories. PSLB will further this goal by providing centralized laboratory space with the necessary performance capabilities in which to grow our existing photon science research program. Co-location of laboratory capabilities and researchers will enhance science collaboration, productivity, efficiency and functionality, and enables us to expand our photon science program. PSLB s exterior and interior renderings are shown in Figure C below. Figure C: PSLB Renderings Collaboration is critical to the success of SLAC s multi-program science research and is supported by buildings like PSLB and by opening up our campus. The continuing security infrastructure upgrade project expands general access to a larger percentage of the site, supporting our goals of encouraging collaboration across disciplines by improving ease of movement around the campus. The ability to successfully grow and open the campus for collaboration depends largely on the completion of this project, and therefore funding the entirety of the project is important. This site security infrastructure upgrade will open up additional campus areas, including the Arrillaga Recreation Center; secure science buildings and provide a new pedestrian walkway from the Stanford Guest House to LCLS by the end of Infrastructure Mission Readiness As SLAC expands on our multi-disciplinary science mission in the coming decades, we need to revitalize our aging facilities infrastructure to meet current and emerging mission needs, taking available funding into consideration, while ensuring effective and efficient management and stewardship of our DOE assets. Our planned accelerator-based research expansion for LCLS-II, FACET and SSRL requires a different infrastructure support and operational mode. To further address these challenges and to support our mission, we have established an overarching campus vision of upgrading LCLS, LCLS II, FACET and SSRL capabilities and capacity, creating modern, collaborative spaces to enable emerging research and improve infrastructure mission readiness. We use the Infrastructure Mission Readiness process to identify key electrical, mechanical and control system infrastructure upgrades in support of our mission needs and our core capabilities. The IMR program will enable us to continue to provide a sustainable platform capable of supporting current and future science. The four phase program includes: Assessing major infrastructure systems to understand impacts to our science mission and selecting investment projects that will address gaps and risks related to mission readiness; SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 30 of 50

31 Prioritizing investments using a balanced risk-based approach to examine the mission; environment, health and safety; and cost and schedule elements of a project; Considering ROI and life cycle costs; and Reviewing the project prioritization list with stakeholders, laboratory management and SMEs to select the most critical investments. The resulting IMR strategy includes: Tactically investing indirect funding based on prioritized mission needs with a focus on value and life cycle considerations; Constructing and renovating science buildings at SLAC to support facility users, visitors, new research and closer collaboration; Partnering with Stanford and other donors to innovatively improve the SLAC campus; Improving reliability, capability, operational safety and efficiency of electrical and cooling distribution systems associated with accelerator-based science; and Stabilizing and reducing operational costs by investing in infrastructure. We are taking a value-centric and risk-based mission readiness approach to infrastructure system renewal. Instead of replacing complete systems or equipment, we are reviewing systems at the component level to determine minimum levels of renewal/replacement that are required to meet mission availability goals. For example, we are using test data to identify components that indicate a high probability of failure and only replacing those components. Equipment that tests within industry standards is not planned for replacement and is instead monitored and retested on a periodic basis. This new approach is challenging our engineers to be more creative in designing systems to meet minimum requirements while providing options for improving ROI, life cycle costs and performance goals. We steward many high-rpv assets, including non-operational tunnels and facilities with limited future use. While some are used for storage or have been repurposed, they all require minimal maintenance and repair. As a result, a formulaic approach to determining an appropriate level of maintenance and repair investment for these assets is not generally accurate. If these assets are removed from the calculation, our maintenance and repair investment in FY 2015 was approximately 1.6 percent of the RPV. As shown in the Integrated Facilities and Infrastructure (IFI) Crosscut table, the deferred maintenance trend is established at a 3 percent rate as directed by DOE s 2017 IFI Crosscut guidance answers. This trend is expected to improve with continued investments through multiple funding sources, including laboratory overhead, SLI funding and General Plant Projects (GPP) funded primarily from DOE-BES and DOE-HEP. The planned capital investments that reduce deferred maintenance are shown with an asterisk (*) on the Infrastructure Investment Table. Infrastructure Gaps Through the IMR four-phased process, we have identified infrastructure gaps specifically in the areas of electrical, cooling water and underground utilities and developed a comprehensive investment plan as shown in the Infrastructure Investment Table. We are leveraging multiple funding sources including SLAC Institutional General Plant Projects (IGPP), DOE-SLI and Stanford in these infrastructure investments. Incremental investments are being made each year using IGPP funds to address the most critical issues. These infrastructure investments will be used to support all of our science programs. A reliable electrical distribution system is an essential component of our science mission and is a focus area for improving reliability, capability and operational safety. The linac K-substations, which are part of the medium voltage electrical system, have code and safety deficiencies and operational limitations, and in some cases are not capable of meeting current and planned mission needs. Much of the existing electrical distribution equipment is the original equipment installed 50 years ago. We have plans to replace components that have either failed or have been evaluated to have a high probability of failure. These include 12 kv substations, 480 volts AC motor control centers, distribution panels and panel boards. KSU, an FY 2016 SLI-funded GPP improvement, will upgrade substations on the first third of the linac, and MVLR, a requested FY 2017 SLI-funded GPP improvement, will revitalize the electrical system that supports the remaining two-thirds of the linac. Many of the cooling water systems are more than 50 years old and original to the facility. Improvements in the cooling water systems will increase cooling water reliability and efficiency and reduce operating costs. CWSR, a requested FY 2019 SLI-funded GPP improvement, will accomplish these improvements and reduce risk to accelerator-based research. SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 31 of 50

32 The underground utility systems (sanitary sewer, storm sewer, domestic water and fire suppression) are also in need of attention. UUIR, a requested FY 2020 SLI-funded GPP improvement, will repair and replace this failing underground infrastructure and reduce risk of flooding and sanitary sewer discharge to the linac and environment. UUIR will also increase capacity and protect critical science and infrastructure. Investments in these essential infrastructure systems will further support our mission to bring inadequate and substandard infrastructure on a path to adequate condition as shown in Figure D below. Substantial progress will be made over the next decade, allowing reliable operation of the existing facilities and setting up the new facilities for a long-term sustainable and cost-efficient operation without substantially increasing staff and while simultaneously reducing annual maintenance costs per facility. Figure D: Path to Adequate Infrastructure 2016 Electrical Cooling Water Underground Utilities 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 2021 Electrical Cooling Water Underground Utilities 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 2026 Electrical Cooling Water Under Ground Utilities Excess Assets and Materials Plan 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% While none of SLAC s currently identified excess assets have been found to present an uncontrolled risk to the public or the environment, or to pose a safety risk to employees or visitors at the Laboratory, their continued presence does burden our mission due to their cumulative annual cost of maintenance. More importantly, excess assets occupy SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 32 of 50

33 valuable land that can be redeveloped for other beneficial uses, such as laboratory and office space to support future research, research facility expansion and parking. There is an ongoing operation to remove and salvage unused trailers and seatrain storage units, rubblize concrete blocks for reuse as road base, and salvage and remove excess steel structures and frames. Our priority is to continue our long-term plan and goal of consolidating personnel and functions from trailers into buildings, improving facility utilization rates and removing trailers and other temporary structures deemed as excess assets. The result of the Research Science Building and Infrastructure Modernization project (RSB) was a renovated and rebuilt Operation Support Building (B028: 20,000 GSF) and Administrative and Engineering Building (B041: 44,000 GSF) and a new Research Science Building (B052: 64,000 GSF). SUSB (B053: 62,200 GSF) also provides a new auditorium, conferencing center, site cafeteria and administrative offices to replace the past inadequate auditorium and cafeteria. When completed, PSLB (B057:105,000 GSF) will provide a fit-out of new laboratory and office square footage to continue this utilization improvement goal; note that current SLI funding will fit-out up to the first and second floors. The result of these new investments allowed us to vacate and prepare for the removal of inadequate buildings and trailers as these projects were completed. We are using our assets effectively with this plan as shown in Figure E below. Figure E: Asset Utilization Under Utilized (16%) Not Utilized (1%) Excess (<1%) Fully utilized (28%) Over utilized (55%) The bulk of excess assets are made up of temporary structures and uninhabitable trailers which are no longer a sustainable solution for housing people, laboratories or old scientific structures. These scientific structures no longer serve the science mission and are not part of the future vision of the Laboratory. In most cases, removal of these items is not cost-effective based on ROI calculations; instead, we are developing a process for minimal maintenance on unused buildings, designating them as cold and dark to minimize carrying costs. SLAC s current inventory of excess assets is summarized in the following categories: Trailers: We have prioritized consolidating personnel and functions from trailers into buildings, improving facility utilization rates and removing trailers and other temporary structures. We have developed a demolition plan, included in our long-range vision, to address removal of these temporary structures over the next seven years, aligned with known planning timeframes to address removal of these temporary structures. Since 2001, SLAC has removed 22 buildings totaling 46,349 square feet and 37 trailers totaling 29,727 square feet. Two facilities are currently declared as excess and are awaiting demolition in FY 2016: the former Security Office trailer (B235) and the SLAC Office trailer (B238). These two trailers represent 2,662 square feet and $16,000 in annual carrying costs. The estimated cost of removing these is less than $100K. SLAC has approximately 40 remaining trailers totaling approximately 51,000 GSF that are either shut down, pending deactivation and decommissioning (D&D) or disposal; slated for removal; being used for storage or still functioning as office and laboratory space. The collective annual operational costs are $272,500 and annual maintenance costs are $87,500; however, once a trailer is closed its annual costs drop to less than $1,000 per year. Currently staff groups are being relocated out of trailers to reduce operating and maintenance costs and to improve use of new and renovated buildings. Planning will continue site wide to increase use of newer buildings. Buildings: SLAC has identified a number of buildings and some Interaction Region (IR) halls as excess assets. Most of the structures are not in use and do not cost us more than $1,000 each per year. The IR halls are massive concrete structures that are partially underground. The halls high bay structure and proximity to research facilities allow for them to be repurposed, as was done in IR-2, to create clean room space in support of the SLAC Annual Laboratory Plan Submitted 13 May 2016 Page 33 of 50