U.S. Department of Energy. Office of Science. Fiscal Year Performance Evaluation Report of the. Stanford University for

Transcription

1 U.S. Department of Energy Office of Science Fiscal Year 2015 Performance Evaluation Report of the Stanford University for Management and Operations of Science and Technology at the SLAC National Accelerator Laboratory For the period October 1, 2014, to September 30, 2015

2 I. OVERALL SUMMARY RATING/FEE Performance-Based Score and Adjectival Rating: The basis for the evaluation of Stanford University (SU or the Contractor) management and operations of the SLAC National Accelerator Laboratory (SLAC or the Laboratory) during FY 2015 centered on the Objectives found within the following Performance Goals: 1.0 Provide for Efficient and Effective Mission Accomplishment 2.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operations of Research Facilities 3.0 Provide Effective and Efficient Science and Technology Program Management 4.0 Provide Sound and Competent Leadership and Stewardship of the Laboratory 5.0 Sustain Excellence and Enhance Effectiveness of Integrated Safety, Health, and Environmental Protection 6.0 Deliver Efficient, Effective, and Responsive Business Systems and Resources that Enable the Successful Achievement of the Laboratory Mission(s) 7.0 Sustain Excellence in Operating, Maintaining, and Renewing the Facility and Infrastructure Portfolio to Meet Laboratory Needs 8.0 Sustain and Enhance the Effectiveness of Integrated Safeguards and Security Management (ISSM) and Emergency Management Systems Each Performance Goal was composed of two or more weighted Objectives and most Objectives had a set of performance measures, which assisted in determining the Contractor s overall performance in meeting that Objective. Each of the performance measures identified significant activities, requirements, and/or milestones important to the success of the corresponding Objective. The following describes the methodology utilized in determining the Contractor performance rating. Calculating Individual Goal Scores and Letter Grades: Each Objective is assigned the earned numerical score by the evaluating office as stated above. The Goal rating is then computed by multiplying the numerical score by the weight of each Objective within a Goal. These values are then added together to develop an overall numerical score for each Goal. For the purpose of determining the final Goal grade, the raw numerical score for each Goal will be rounded to the nearest tenth of a point using the standard rounding convention discussed below and then compared to Figure 1. A set of tables is provided at the end of each Performance Goal section of this document to assist in the calculation of Objective numerical scores to the Goal grade. No overall rollup grade shall be provided. The raw numerical score for S&T and M&O will be rounded to the nearest tenth of a point of purposes of determining fee. A standard rounding convention of x.44 and less rounds down to the nearest tenth (here, *0.4), while *0.45 and greater rounds up to the nearest tenth (here, *0.5). 1

3 The eight performance Goal grades shall be used to create a report card for the laboratory (see Figure 2, below). Performance Goal Grade 1.0 Mission Accomplishment A- 2.0 Design, Fabrication, Construct & Operate Research Facilities A- 3.0 S&T Program Management A- 4.0 Leadership/Stewardship A 5.0 ES&H B+ 6.0 Business Systems B+ 7.0 Infrastructure A- 8.0 Safeguards/Security B+ Figure 2. Laboratory Report Card Determining the Amount of Performance-Based Fee Earned: SC uses the following process to determine the amount of performance-based fee earned by the Contractor. The S&T score from each evaluator shall be used to determine an initial numerical score for S&T (Table A),and the rollup of the scores for each M&O Performance Goal shall be used to determine an initial numerical M&O score (Table B). Program Numerical Score Weight Total Score Goal 1.0 Mission Accomplishment % Goal 2.0 Design, Fabrication, Construction and % Operations of Research Facilities Goal 3.0 S&T Program Management % Initial S&T Score 3.5 Table A. Fiscal Year Contractor Evaluation Initial S&T Score Calculation For Goals 1.0 and 2.0, the weights are based on fiscal year costs for each program distributed between Goals 1.0 and 2.0. For Goal 3.0, the weight is set as a fixed percentage of 25% for all laboratories. M&O Performance Goal Numerical Score Weight 5.0 ES&H % 6.0 Business Systems % 7.0 Infrastructure % 8.0 Safeguards/Security % Initial M&O Score 3.4 Table B. Fiscal Year Contractor Evaluation Initial M&O Score Calculation Score Grade F D C- C C+ B- B B+ A- A A+ 2

4 Numerical Score Weight Initial S&T Score % Goal 4.0 Leadership/Stewardship % Final S&T Score 3.6 Initial M&O Score % Goal 4.0 Leadership/Stewardship % Final M&O Score 3.5 Table C. Fiscal Year Final S&T and M&O Score Calculation The percentage of the available performance-based fee that may be earned by the Contractor shall be determined based on the final score for S&T (Table C) and then compared to Figure 3, below. The final score for M&O from Table C shall then be utilized to determine the final fee multiplier (Figure 3) which will determine the final percentage of fee earned (Table D). The actual amount of performance-based fee earned for FY15 is then calculated AS shown in Table E. Overall Weighted Score from Table A Percent S&T Fee Earned M&O Fee Multiplier 4.1 to % 100% 3.8 to % 100% 3.5 to % 100% 3.1 to % 100% 2.8 to % 95% 2.5 to % 90% 2.1 to % 85% 1.8 to % 75% 1.1 to 1.7 0% 60% 0.8 to 1.0 0% 0% 0.0 to 0.7 0% 0% Figure 3. Performance Based Fee Earned Scale Overall Fee Determination Percent S&T Fee Earned From Figure 3. 94% M&O Fee Multiplier From Figure 3. * 100% Overall Earned Performance-Based Fee 94% Table D. Final Percentage of Performance Based Fee Earned Determination Earned Fee Calculation Available Fee $4,850, Overall Earned Performance - Based Fee * 94% Earned Fee $4,559, Table E. Earned Fee Calculation Score Grade F D C- C C+ B- B B+ A- A A+ 3

5 II. PERFORMANCE GOALS, OBJECTIVES, AND MEASURES/TARGETS Goal 1.0: Provide for Efficient and Effective Mission Accomplishment The Contractor produces high-quality, original, and creative results that advance science and technology; demonstrates sustained scientific progress and impact; receives appropriate external recognition of accomplishments; and contributes to overall research and development goals of the Department and its customers. The Department has assigned an overall grade of A- for this Performance Goal. SC assessments of the Goals and related Objectives are summarized below. See Appendix 1 for the Program Offices detailed evaluations. Goal, Objectives and Notable Outcome Goal Evaluation: BES SLAC is performing at an outstanding level in accomplishing its mission, supporting highly impactful, productive world-class scientific programs that leverage the unique capabilities of the LCLS. Among the notable strengths: The Ultrafast Chemical Sciences program (reviewed in FY15) is pushing the frontiers in ultrafast and highfield science to understand and ultimately control matter at atomic spatial scales and electronic time scales; its researchers are advancing breakthrough imaging capabilities with the LCLS. SLAC staff are world-leading in correlated electron systems, superconductivity, ultrafast materials sciences, and energy storage research; new enabling LCLS beamlines have been developed in integrated synthesis, ARPES, and STM. The new division director in Chemical Science is contributing effectively to the formulation of strategic vision. Biological and Environmental Research SLAC scientists funded by BER are strong performers, whose impact could be amplified through strategic engagement of scientific partnerships both internal and external to the laboratory. Fusion Energy Sciences FES is extremely pleased with the laboratory's performance. The laboratory has firmly established itself as a global leader in the field of high energy density (HED) science and is leading a transformation in the study of warm dense matter as evidenced by high quality publications, valuable service of technical staff members on review panels for national programs, and the effective and efficient operation of premier experimental instruments. High Energy Physics SLAC has played a strong role in the development of cosmic frontier physics. SLAC played as strong role in the development of the LSST project and is now a leader of the science collaboration. The development of the LZ project has also benefited from leadership from the SLAC staff. The plasma wakefield work at FACET is unique in the world. 4

6 Objective Evaluation 1.1: Provide Science and Technology Results with Meaningful Impact on the Field BES The Ultrafast Chemical Science program was reviewed in FY15. The program was found to be world class demonstrating outstanding scientific quality while also leveraging the unique capabilities of the LCLS. BES MSE-funded research at SLAC continues to produce highly significant scientific advances. Notable are the intellectual leadership in LCLS-enabled research on ultrafast materials sciences and the strong energy storage research program, as gauged by publication of high impact papers. BER SLAC leads an SBR SFA that produces a significant number of high-quality publications with high impact on the discipline. BSSD has invested in the MFX capability and also supplied funds to help seed an effort to demonstrate how SLAC capabilities can be used to address BSSD science goals. Molecular scale science has a place in BSSD research but ideally molecular scale understanding needs to be framed in the context of understanding and predicting key biological processes of relevant to BER. SLAC has excellent expertise and instrumental capabilities and could help pioneer an effort to integrate molecular scale information with imaging capabilities to explore the kinetics of cellular processes crucial to BER s bioenergy and environmental research goals. SLAC should also look to build collaborative activities with JGI and EMSL or perhaps the nanoscience centers to help increase the relevance of its capabilities to BER. SLAC s Structural Molecular Biology (SMB) program continues to enable significant new scientific accomplishments led by prominent scientists from institutions around the United States. A large fraction of the publications during FY15, more than 25%, were in the highest impact journals. Excellent progress has been made in the area of X-ray free electron laser Macromolecular Femtosecond Crystallography (MFX) project. The MFX and SLAC integrated Biology Strategy has been very well aligned to benefit the future BER-Bioimaging science research and the related scientific community in general. FES The scientific output of SLAC high energy density science researchers is of the highest caliber. Experiments executed by laboratory researchers on domestic and international facilities led to publications in high impact journals such as Physical Review Letters and Nature. Additionally, the MEC instrument at LCLS is transforming the study of Warm Dense Matter through the combination of unprecedented diagnostic precision and increased rep-rating. As a result, more data is collected from a single experimental run on MEC than had been collected in the entire prior 40 year history of the field. During the 2015 NNSA/ICF-HED program review, the MEC instrument was identified to be a DOE asset with capabilities critical for addressing key scientific questions underpinning national security issues. HEP The Energy Frontier comparative review conducted in July 2015 found that the full SLAC energy frontier program, from detector work and operations, to physics object studies, to physics analysis, is coherent, impactful and well-developed. SLAC is now making an impact in neutrino physics on the MicroBOONE experiment. The discovery of a new mechanism to accelerate positrons at FACET is an important breakthrough in advanced accelerator research. 5

7 1.2: Provide Quality Leadership in Science and Technology that Advances Community Goals and DOE Mission Goals BES The new Division Director in Chemical Science has transitioned well to the lab and already made important contributions to formulating the strategic vision for the program. The Ultrafast Chemical Sciences Program at SLAC is pushing the frontiers in ultrafast and high-field science to understand and ultimately control matter at atomic spatial scales and electronic time scales. Researchers in the program also play a critical role in identifying, developing, and advancing break-through imaging capabilities using the LCLS X-ray laser at SLAC. SLAC scientific staff continue to be world-leading in correlated electron systems, ultrafast science, and energy storage research. Notable is the development of new beamline capabilities, including integrated synthesis, ARPES, and STM. BER The SBR SFA researchers are leaders in their discipline and are well focused on BER mission goals. The SMB program is a leader among DOE national user facilities in enabling forefront research in all areas of biology, making a major contribution to the DOE mission goal of providing such facilities for use in all areas of science. FES SLAC HED scientists provided strong community leadership through the establishment of a unique capability and the independent organization of workshops around the core capabilities of the Matter in Extreme Conditions (MEC) instrument. The laboratory s scientists led and gathered the High Energy Density science community around MEC and inspired national and international interest in the future possibilities of the facility. These SLAC researcher-led activities are setting the international research priorities and directions for HED science using X-FELS. Additionally, SLAC HED scientists serve in key leadership positions in DOE/SC/FES and DOE/NNSA/ICF program activities including program reviews and program planning workshop activities. HEP SLAC has played a strong role in the development of cosmic frontier physics. SLAC played as strong role in the development of the LSST project and is now a leader of the science collaboration. The development of the LZ project has also benefited from leadership from the SLAC staff. The plasma wakefield work at FACET is unique in the world Notable Outcome: BES: Deliver impactful science and engineering to advance the integrated research objectives for the Joint Center for Energy Storage Research as measured by the FY15 Progress Reports and Review. (Objective 1.1) Outcome: JCESR is making excellent progress towards its goals for beyond-lithium ion energy storage. The reviewer comments from the annual Science and Management review in FY 2015 were overall very positive. In particular, the reviewers noted the increase in technical progress and output (publications) in the previous year and the strong synergy across JCESR. The Hub has over 100 publications to date, including 75 in FY 2015, as well as 35 invention disclosures. Of the total publications, approximately 7 are led by SLAC, which is a strong contribution based on the size of SLAC JCESR budget. Overall, JCESR is on track to meet their Year 3 milestones and metrics with progress and output now much closer to optimum levels for a project of this size and type. - Achieved 6

8 Science Program Office Letter Grade Numerical Score Objective Weight Overall Score Basic Energy Sciences 1.1 Impact A % 1.2 Leadership A % Overall BES Total 3.8 Biological and Environmental Research 1.1 Impact B % 1.2 Leadership B % Overall BER Total 3.1 Fusion Energy Sciences 1.1 Impact A % 1.2 Leadership A % Overall FES Total 3.8 High Energy Physics 1.1 Impact A % 1.2 Leadership A % Overall HEP Total 3.6 Table 1.1. Program Performance Goal 1.0 Score Development Program Office Letter Grade Numerical Score Weight Overall Weighted Score Basic Energy Sciences A % Biological and Environmental Research B % Fusion Energy Sciences A % High Energy Physics A % Performance Goal 1.0 Total 3.7 Table 1.2. Overall Performance Goal 1.0 Score Development Score Grade F D C- C C+ B- B B+ A- A A+ 7

9 Goal 2.0: Provide for Efficient and Effective Design, Fabrication, Construction and Operations of Research Facilities The Contractor provides effective and efficient strategic planning; fabrication, construction and/or operations of Laboratory research facilities; and are responsive to the user community. The Department has assigned an overall grade of A- for this Performance Goal. SC assessments of the Goal and related Objectives are summarized below. See Appendix 1 for the Program Offices detailed evaluations. Goal Evaluation: Basic Energy Sciences The LCLS-II project team has efficiently and effectively addressed the challenges faced by the project in FY 2015 which included the addition of a second cryogenics refrigerator plant to mitigate possible performance issues with the prototype superconducting rf cavities. The project team successfully requested and received authorization for over $200M in long lead procurement authority (CD-3B) to maintain the project schedule while conducting an aggressive R&D program for the superconducting linac systems. LCLS continues to improve the operation efficiency by standardizing the experimental set up and using optical devices to split the beam that allow conducting two experiments at the same time, increasing the available beamtime by 30%. Even with a few unexpected equipment failures, LCLS continues operating well with high reliability and achieving the operation goal of the facility. The facility staff have continuously improved the operation and developed new capabilities such as the recent successful testing of the DELTA undulator that produces circular polarized x-rays. The Stanford Synchrotron Radiation Lightsource (SSRL) continues to operate with high efficiency and supports an effective user program that serves diverse user communities. Even with a few unexpected equipment failures, SSRL operates reliably and achieves the operation goal of the facility. The SSRL continues to explore the opportunities to upgrade current instruments to enhance its capabilities and capacities to remain competitive among the world wide synchrotron source of its class. Biological and Environmental Research SLAC demonstrates effective and efficient operations of BER research infrastructure. Fusion Energy Sciences SLAC was effective in all aspects of executing the final phase of the short-pulse optical laser system upgrade at the MEC instrument and met the notable outcome. In addition, the laboratory has demonstrated significant vision in developing common experimental configurations to increase the scientific throughput of the facility while maintaining strong connectivity to multiple research communities through a strong outreach effort. High Energy Physics Projects at the lab have been well managed, and the FACET run with positrons was a major success with a new mode of wakefield acceleration discovered. 8

10 Objective Evaluation Objective 2.1: Provide Effective Facility Design(s) as Required to Support Laboratory Programs (i.e., activities leading up to CD-2) BES The LCLS-II project team has efficiently and effectively addressed the challenges faced by the project in FY 2015 which included the addition of a second cryogenics refrigerator plant to mitigate possible performance issues with the prototype superconducting rf cavities. The project team successfully requested and received authorization for over $200M in long lead procurement authority (CD-3B) to maintain the project schedule while conducting an aggressive R&D program for the superconducting linac systems. High Energy Physics SLAC had two projects that had not yet reached CD-2 during the year. CD-2 was approved for LSST in January. SLAC was assigned to host the SuperCMDS-SNOlab project in FY SuperCMDS- SNOlab currently has CD-0 and is preparing for a CD-1 review. This project is being funded jointly with NSF and the University of California-Berkeley (UCB) is the NSF lead institution. SLAC has developed joint management plan with UCB and appointed a project director. These arrangements have been effective and HEP expects CD-1 to be approved soon. Objective 2.2: Provide for the Effective and Efficient Construction of Facilities and/or Fabrication of Components (execution phase, post CD-2 to CD-4) BES The LCLS-II project team has efficiently and effectively addressed the challenges faced by the project in FY 2015 which included the addition of a second cryogenics refrigerator plant to mitigate possible performance issues with the prototype superconducting rf cavities. The project team successfully requested and received authorization for over $200M in long lead procurement authority (CD-3B) to maintain the project schedule while conducting an aggressive R&D program for the superconducting linac systems. Fusion Energy Sciences The laboratory successfully completed the scheduled upgrade of the short pulse laser system at the MEC. The upgraded laser system successfully produced 7.6 J of energy with a 38 fs pulse duration, achieving the 200 TW power threshold necessary to meet the notable outcome. High Energy Physics The LSST Project is the only project at SLAC past CD-2. OPA conducted an Independent Project Review in July 2015 for CD-3, which went very well, and CD-3 was subsequently approved. Cost and schedule performance has been good with the project rated green all year. Objective 2.3: Provide Efficient and Effective Operation of Facilities BES LCLS continues to improve the operation efficiency by standardizing the experimental set up and using optical devices to split the beam that allow conducting two experiments at the same time, increasing the available beamtime by 30%. Even with a few unexpected equipment failures, LCLS continues operating well with high reliability and achieving the operation goal of the facility. 9

11 The Stanford Synchrotron Radiation Lightsource (SSRL) continues to operate with high efficiency and support an effective user program that serves diverse user communities. Even with a few unexpected equipment failures, SSRL operates reliably and achieves the operation goal of the facility. Fusion Energy Sciences The MEC instrument not only met all expectations in serving users scheduled for both Run 10 and Run 11 experiments, but also the laboratory exceeded expectations by being proactive in pursuing the development of common configurations that will allow the instrument to field more experiments by reducing set-up time for each user. This will save both time and money and will increase the scientific throughput of the instrument ultimately leading to an increase in the number of users. As a result of the laboratory's quick adoption, experiments using common-configurations will be fielded as early as Run 12. High Energy Physics FACET hosted 14 experiments in FY15 with six studying plasma wakefields for acceleration and the others studying various topics in accelerator techniques and the production of specialized radiation like THz radiation. The acceleration of positrons was done through a newly discovered acceleration mechanism and resulted in publication in Nature. Objective 2.4: Utilization of Facilities to Provide Impactful S&T Results and Benefits to External User Communities BES The user demand for LCLS is still very high. Even with increased available beamtime, only ~ 20% of the proposals received beam time for FY The facility staff have continuously improved the operation and developed new capabilities such as the recent successful testing of the DELTA undulator that produces circular polarized x-rays. The SSRL continues to explore the opportunities to upgrade current instruments to enhance its capabilities and capacities to remain competitive among the world wide synchrotron source of its class. The SSRL has worked with NSLS-II to establish an agreement that allows the former NSLS users to continue their research at SSRL especially in the area of research employing X-ray spectroscopy and protein crystallography during the dark period of the NSLS to NSLS-II transition. Tens of user groups have benefited from this arrangement. Biological and Environmental Research SBR researchers in the SLAC SFA and from outside SLAC make excellent and effective use of experimental facilities at SSRL. The SMB program had an outstanding record in FY15 in enabling access to the SSRL and LCLS structural biology stations by a large user community. The remote access program is responsible for a large portion of the users for macromolecular crystallography, making it possible for SSRL to produce the largest number of PDB depositions per station of any U.S. light source. The SMB program also provided substantial assistance to former users of the NSLS during the period (all of FY15 and into FY16) that the construction of the NSLS-II is being completed. Fusion Energy Sciences SLAC successfully pursued a strong and vigorous outreach program to multiple scientific communities. The complimentary set of high energy and high power optical lasers at the MEC instrument attracted researchers from both the plasma physics and materials science communities. The laboratory is celebrated for continuing to provide strong leadership in promoting cross-field fertilization. The laboratory is commended for maintaining the MEC instrument to required performance standards necessary to deliver influential science and effectively managed user allocations. Resident users continued to challenge and broaden the instrument s capabilities. 10

12 Notable Outcomes High Energy Physics: By March 2015 achieve CD-2 for the LSST Camera Project. (Objective 2.1) Outcome: CD-2 for LSST was approved January 7, The notable was met. Achieved Basic Energy Sciences Notable: Effectively manage and execute LCLS-II work scope as described in the Project Execution Plan. (Objective 2.1) Outcome: SLAC has effectively managed the execution of the LCLS-II work scope during FY 2015 in accordance with the PEP. - Achieved Fusion Energy Sciences: Complete construction of the ultra-short-pulse optical laser system upgrade at the Matter at Extreme Conditions Instrument end station at LCLS, achieving 200 TW peak power. (Objective 2.2) Outcome: The Notable Outcome was achieved. The laboratory successfully completed the upgrade of the short pulse laser system at the MEC instrument end station at LCLS, achieving 200 TW peak power. - Achieved High Energy Physics: Conduct first plasma-wakefield experiments with positrons at FACET. (Objective 2.3) Outcome: E200 at FACET demonstrated multi-gev acceleration of positrons and published the result in Nature. Achieved 11

13 Science Program Office Letter Grade Numerical Score Objective Weight Overall Score Basic Energy Sciences 2.1 Support Laboratory Programs B % 2.2 Construction of Facilities B % 2.3 Operation of Facilities A % 2.4 S&T Results and Benefits to External User Communities A % Overall BES Total 3.5 Biological and Environmental Research 2.1 Support Laboratory Programs 0% 2.2 Construction of Facilities 0% 2.3 Operation of Facilities 0% 2.4 S&T Results and Benefits to External User Communities A % Overall BER Total 3.5 Fusion Energy Sciences 2.1 Support Laboratory Programs 0% 2.2 Construction of Facilities B % 2.3 Operation of Facilities A % 2.4 S&T Results and Benefits to External User Communities A % Overall FES Total 3.6 High Energy Physics 2.1 Support Laboratory Programs B % 2.2 Construction of Facilities B % 2.3 Operation of Facilities A % 2.4 S&T Results and Benefits to External User Communities 0% Overall HEP Total 3.4 Table 2.1. Program Performance Goal 2.0 Score Development Program Office Letter Grade Numerical Score Weight Overall Weighted Score Basic Energy Sciences A % Biological and Environmental Research A % Fusion Energy Sciences A % High Energy Physics B % Performance Goal 2.0 Total 3.5 Table 2.2. Overall Performance Goal 2.0 Score Development Score Grade F D C- C C+ B- B B+ A- A A+ 12

14 Goal 3.0: Provide Effective and Efficient Science and Technology Program Management The Contractor provides effective program vision and leadership; strategic planning and development of initiatives; recruits and retains a quality scientific workforce; and provides outstanding research processes, which improve research productivity. The Department has assigned an overall grade of A- for this Performance Goal. SC assessments of the Goal and related Objectives are summarized below. See Appendix 1 for the Program Offices detailed evaluations. Goal Evaluation Basic Energy Sciences SLAC management is effectively managing the BES-supported programs.the BES coordinators have been proactive in shaping a strategic vision for the programs and demonstrated excellent skills in working with headquarters in the management of the SLAC programs. SLAC has demonstrated excellent strategic vision in the submission of pertinent white paper topics to BES, including a coordinated effort in theory and computation as it pertains to scattering sciences. The LCLS management continues to provide vision and leadership to improve the capabilities and increase capacity for the user communities. By working with scientific communities, LCLS management has developed a document, New Science Opportunities Enabled by LCLS-II X-ray Lasers, which will guide the strategic development of the LCLS facility toward the future LCLS-II operation. SLAC s detector strategic plan was submitted it to the LCLS-II Detector Advisory Committee for review and the Committee s recommendations were incorporated into the plan. There is strong emphasis on near and near future needs but insufficient attention is paid to longer-term plans. The Laboratory has initiated efforts to partner with LBNL to develop a soft X-ray detector that fulfills LCLS-II detector requirements. The SSRL management continues to provide vision and leadership to enhance user operation to support a wide range of user communities. In addition, SSRL has worked closely with LCLS to develop common scientific programs that will take advantage the capabilities at both facilities. Biological and Environmental Research SLAC leadership has not clearly articulated a compelling scientific vision that links its facilities stewardship with critical fundamental research challenges of interest to BER. This vision is essential before success can be realized with respect to strategic planning, initiative development, and workforce recruitment. Fusion Energy Sciences SLAC continued to assert itself as a leading institution in the field of high energy density physics through the development and clear articulation of a strategic vision which leverages the laboratory s core competencies, while exploiting its technical superiority in x-ray science to recruit highly talented research scientists to its new growing HED division. High Energy Physics There have been improvements across the program in management. SLAC's strategic sustainability plan was the best of all of the labs' submissions to HEP. The Lab Director supports the HEP program and is working well with HEP. Communication with upper SLAC management is good. SLAC is the only lab other than Fermilab where the director is in regular communication with HEP. 13

15 Objective Evaluation Objective 3.1: Provide Effective and Efficient Strategic Planning and Stewardship of Scientific Capabilities and Program Vision BES The new Director of the Chemical Science Division at SLAC has developed an outline of a strategic plan to utilize new and existing capabilities in ultrafast chemical science. The plan promises to foster greater integration of BES CSGB-supported programs across SLAC, broadening their scientific impact. The fundamental drivers for ultrafast chemical science and how they relate to DOE BES grand challenges are well considered in the outline. Expanded scope is planned in ultrafast electron dynamics on the nanoscale, and ultrafast dynamics of reactions and transition states in catalysis, geochemistry on the nanoscale, and bioscience. SLAC is actively recruiting scientific talent; notable is the hire of Young Lee, providing connections between photon and neutron sciences and the incorporation of strong early career staff in ultrafast research. SLAC has demonstrated excellent strategic vision in the submission of pertinent white paper topics to BES, including a coordinated effort in theory and computation as it pertains to scattering sciences. The LCLS management continues to provide vision and leadership to improve the capabilities and increase capacity for the user communities. By working with scientific communities, LCLS management has developed a document, New Science Opportunities Enabled by LCLS-II X-ray Lasers, which will guide the strategic development of the LCLS facility toward the future LCLS-II operation. SLAC s detector strategic plan was submitted it to the LCLS-II Detector Advisory Committee for review and the Committee s recommendations were incorporated into the plan. There is strong emphasis on near and near future needs but insufficient attention is paid to longer-term plans. The Laboratory has initiated efforts to partner with LBNL to develop a soft X-ray detector that fulfills LCLS-II detector requirements. The SSRL management continues to provide vision and leadership to enhance user operation to support a wide range of user communities. In addition, SSRL has worked closely with LCLS to develop common scientific programs that will take advantage the capabilities at both facilities. Biological and Environmental Research SLAC has not yet articulated a coherent strategic vision for its future BER portfolio, and whether that vision involves specific partnerships at adjacent Stanford University or elsewhere. The SMB program leadership had an outstanding record for planning for the facility during FY The merit review of the renewal proposal for the funding of the program by DOE-BER and NIH-NIGMS was highly successful, with strong support for the vision for the facility and the plans for implementation of initiatives in the proposal, and an outstanding overall rating by the review panel members. The PI for the MFX capability has shown ingenuity in leveraging the goniometer technology developed by SSRL's SMB at the LCLS-XPP station which forms the basis of MFX project, and is ready to be installed. The SBR SFA leadership is carrying out valuable long-term planning and is engaged with the larger community to apply its scientific expertise in areas where the SFA can make significant contributions. In particular, the SFA PI John Bargar has forged strategic relationships with other SFAs supported by BER, e.g., at PNNL, ANL, and LBNL. Fusion Energy Sciences The laboratory provided prescient strategic planning to position itself as a national leader in HED science. SLAC incorporated the unique capabilities of MEC into its existing LCLS science user program and established HED science as a core competency for the laboratory. The laboratory s commitment has been evident through proactively scoping broader needs, including the recruitment and hiring of highly qualified personnel in theory and modeling, target support, increased user access, and future capability 14

16 growth. The SLAC HED science division has demonstrated an ability to attract and retain the best young researchers in this field internationally, securing its position as world leader in the field. SLAC engaged with the external community to communicate the new MEC capabilities, explore synergistic relationships, and discuss future directions. The laboratory should continue to ensure broad community involvement and help to facilitate the incorporation of high-repetition-rate x-ray facilities for experiments in HED plasma science. The laboratory should be sure to work with FES in developing nearterm and mid-term plans that are consistent with anticipated budget availability. High Energy Physics HEP has been developing seven-year strategic plans for each lab with an HEP program. These plans are designed to be the labs' responses to the P5 plan with realistic budget scenarios. SLAC's plan was the best of all of the labs' submissions. Objective 3.2: Provide Effective and Efficient Science and Technology Project/Program/Facilities Management BES The newly presented strategic vision for BES CSGB-supported programs will focus on integrating strengths across divisions, mirroring the BES CSGB portfolio. SLAC is among the leaders in defining a vision for Ultrafast Electron Diffraction and its application to Materials Sciences. Notable was the proactive management in ending a project in Nanomagnetism due to low productivity and unapproved change of scope. The LCLS R&D program has continuously achieved exciting results that will improve the operational efficiency and provide new capabilities. These achievements include the new epix100 detector for the X- ray Coherent Scattering experiments and the DELTA undulator for producing circular polarized x-ray source. SSRL management continues to explore new opportunities to enhance capabilities and works with LCLS to develop new instruments and capabilities that can be adopted at both facilities. Biological and Environmental Research In FY15 the SMB program leadership continues to manage its suite of experimental stations very effectively, ensuring that the plans for improvements are implemented in a timely way, and that staff are available to meet specific needs of users. The PI for the MFX has been resourceful in successfully leveraging the BER funds with $500K from the SLAC Lab Director and $1,000,000 from NIGMS to bring the MFX project to fruition in a timely manner, and making the MFX technology available for BER mission relevant needs, and to a larger bioimaging user community. Fusion Energy Sciences The laboratory demonstrated a continued commitment to increased efficiency and instrument access through the operation of the MEC as a stand-alone experimental capability, making it unique among the LCLS instruments. Additionally, SLAC scientists innovated the development of a common platform for MEC experiments, which will also increase access to the facility and make experiment set-up time more efficient. This has been accomplished through efficient use of annual operations resources and without the need for additional financial support. Laboratory personnel assisted the magnetic fusion program by providing surplus equipment to support the installation of a new auxiliary heating system at the DIII-D National Fusion Facility. 15

17 High Energy Physics Day to day management is meeting expectations. Budget discussions have not been as transparent as the recent strategic planning exercise. Objective 3.3: Provide Efficient and Effective Communications and Responsiveness to Headquarters Needs BES The new Chemical Science Division Director has made communication with BES a priority, resulting in significant improvements in communication between the lab and BES. SLAC delivers high quality highlights for the BES CSGB program; for example, CO oxidation on a ruthenium surface. Monthly teleconferences with BES are comprehensive, providing scientific highlights and programmatic updates that demonstrate strong leadership and management of the portfolios. Biological and Environmental Research The SBR SFA leadership maintains excellent communications with BER program staff. The SMB leadership communicates new developments and accomplishments to headquarters effectively. Several helpful discussions of plans for SSRL and the LCLS were initiated by the leadership during FY 2015, ensuring that BER staff were well informed about the plans and had opportunities to respond. Fusion Energy Sciences SLAC's communication with FES has been regular and frequent, achieved through scheduled updates and site visits, with additional contact as necessary. It is clear that the laboratory has instilled a culture that emphasizes good communication practices. SLAC leadership is engaged and always prepared to respond to the needs of the sponsor at every level. The laboratory team has always been proactive in initiating contact with HQ management concerning planning, vision, and scientific output. High Energy Physics Communications with headquarters have been good. HEP has a monthly call with the Director and Deputy Director on management issues. SLAC is the only lab other than Fermilab where HEP has regular communications with the lab director. Notable Outcomes: Basic Energy Sciences Develop a strategic plan to provide a cohesive vision and enhance the Laboratory s utilization of new capabilities in Ultrafast Chemical Science, given the recent changes in leadership. (Objective 3.1). Develop a detector strategic plan for photon sciences, in particular high repetition rate detectors for LCLS- II, and partner with other BES-sponsored detector groups to leverage their expertise and avoid reproduction of efforts. (Objective 3.1) Outcome: The new Director of the Chemical Science Division at SLAC has developed an outline of a strategic plan to utilize new and existing capabilities in ultrafast Chemical Science (UCS). The plan discusses the fundamental drivers for ultrafast chemical science, and how they relate to DOE BES grand challenges. The location of the world-leading UCS program ensures effective use of the LCLS facilities. New opportunities include experiment and theory in nonlinear x-ray spectroscopies. Expanded scope is planned in ultrafast electron dynamics on the nanoscale, and ultrafast dynamics of reactions and transition states in catalysis, geochemistry on the nanoscale, and biosciences. SLAC s detector strategic plan has been submitted to the LCLS-II Detector Advisory Committee and its recommendations are being implemented. The Laboratory has initiated efforts to partner with LBNL to develop a high-frequency soft- X-ray detector that fulfills LCLS-II requirements. - Achieved 16

18 Provide effective leadership, management, and integration of LCLS-II Partner Laboratories and Collaborating Institutions to ensure project requirements are met. (Objective 3.2). Successfully execute the Laboratory s plan to provide permanent leadership for LCLS. (Objective 3.2) The LCLS-II project team has effectively coordinated and managed the collaboration of partner labs to meet project requirements in FY15. The permanent LCLS director has been appointed. - Achieved Science Program Office Letter Grade Numerical Score Objective Weight Overall Score Basic Energy Sciences 3.1 Efficient Strategic Planning and Stewardship A % 3.2 Project/Program/Facilities Management A % 3.3 Effective Communications and Responsiveness A % Overall BES Total 3.6 Biological and Environmental Research 3.1 Efficient Strategic Planning and Stewardship B % 3.2 Project/Program/Facilities Management B % 3.3 Effective Communications and Responsiveness B % Overall BER Total 3.3 Fusion Energy Sciences 3.1 Efficient Strategic Planning and Stewardship A % 3.2 Project/Program/Facilities Management A % 3.3 Effective Communications and Responsiveness A % Overall FES Total 3.5 High Energy Physics 3.1 Efficient Strategic Planning and Stewardship A % 3.2 Project/Program/Facilities Management B % 3.3 Effective Communications and Responsiveness A % Overall HEP Total 3.3 Table 3.1. Program Performance Goal 3.0 Score Development Program Office Letter Grade Numerical Score Weight Overall Weighted Score Basic Energy Sciences A % Biological and Environmental Research B % Fusion Energy Sciences A % High Energy Physics B % Performance Goal 3.0 Total 3.5 Table 3.2. Overall Performance Goal 3.0 Score Development Score Grade F D C- C C+ B- B B+ A- A A+ 17

19 Goal 4.0: Provide Sound and Competent Leadership and Stewardship of the Laboratory This Goal evaluates the Contractor Leadership capabilities in leading the direction of the overall Laboratory, the responsiveness of the Contractor to issues and opportunities for continuous improvement, and corporate office involvement/commitment to the overall success of the Laboratory. The Department has assigned an overall grade of A for this Performance Goal. Comments are contained within the individual Objectives that follow. Goal, Objectives and Notable Outcomes Goal Evaluation: SSO/SC: The Laboratory Director has articulated an outstanding scientific vision for the growth of SLAC. Laboratory leadership has developed strong relationships with partner Laboratories supporting the LCLS-II build out. The Laboratory has established a platform of operational excellence through the SLAC organization in FY15. Specific notable areas of operational excellence include (a) construction safety, (b) waste management, (c) radiological operations, (d) project management, (e) security, (f) materials disposition, and (g) emergency preparedness. There is a growing leadership competence through the SLAC organization (i.e.: competence is growing deeper in the organization); management walks the talk, models good behaviors, and has in general clear communication through the organization. There is a strong sense of accountability throughout the organization from the Laboratory Director down to the worker. Issues are raised, addressed, and dispositioned with promptness and predictability. There is a strong lessons learned and shared program that the Contractor Assurance Organization has implemented. Stanford sets the standard for contractor value-added in the Office of Science. The University intimately understands strategic issues at SLAC and works to resolve the issues and proactively engages and assures DOE of actions it is taking to meet and exceed contract expectations. There has been a substantial and sustained level of investment in SLAC by Stanford including Kavli Center, Guest House, Recreation Facility, Research Computing Facility, LCLS Hutch 4.5, as well as Photon Science Laboratory Building (PSLB). PSLB successfully started construction in FY15. This 100,000 square foot Stanford-funded and constructed facility will attract world-class scientists to SLAC supporting expansion of LCLS and is unique in the DOE as the Department will be able to utilize the facility rent and fee free. Stanford has not only brought top scientific talent to SLAC with its joint appointments, much of that scientific talent comes with outstanding leadership and management experience as well. There is a noticeable positive chemistry in the senior leadership team. 18

20 BES: SLAC continues to lead the Ultrafast Science community in defining a national research strategy in this topic that encompasses theory, experiment and instrumentation, including opportunities in Ultrafast Electron Diffraction. SLAC continues to be proactive in strategic hires for key areas of materials and chemical sciences. SLAC s close relationship with Stanford University enhances student participation and faculty collaboration on BES-supported projects. Objective Evaluation Objective 4.1: Leadership and Stewardship of the Laboratory The Laboratory Director has articulated and is implementing a compelling scientific vision at SLAC. SLAC completed revisions to key institutional CAS documents including the SLAC Quality Assurance Plan, CAS Description, Directors Assurance Council Charter and Process, and Enterprise Risk Management Program. Significant improvement was also noted in several key elements of issues management, including incident investigations, lessons learned, and corrective action tracking. SLAC implemented the revised Enterprise Risk Management Program that formalized a lab-wide risk management process for identifying, evaluating and communicating risks and impacts to mission. SLAC utilized CAS principles to achieve operational improvement and risk reduction in the area of high voltage conventional infrastructure electrical systems. Objective 4.2: Management and Operation of the Laboratory From the leadership perspective under Goal 4.2 the Laboratory has established a platform of operational excellence throughout the SLAC organization in FY15. Specific notable areas of operational excellence include (a) construction safety, (b) waste management, (c) radiological operations, (d) project management, (e) security, (f) materials disposition, and (g) emergency preparedness. There is a strong sense of accountability throughout the organization from the Laboratory Director down to the worker. Issues are raised, addressed, and dispositioned with promptness and predictability. There is a strong lessons learned and shared program that the Contractor Assurance Organization has implemented. There is a growing leadership competence through the SLAC organization (i.e.: it is growing deeper in the organization); management walks the talk, models good behaviors, and has in general clear communication through the organization. Objective 4.3: Contractor Value-added Stanford sets the standard for contractor value-added in the Office of Science. The University intimately understands SLAC issues and works not only to resolve the issues, but proactively engages and assures DOE of actions it is taking to meet and exceed contract expectations. There has been a substantial and sustained level of investment in SLAC by Stanford including Kavli Center, Guest House, Recreation Facility, Research Computing Facility, LCLS Hutch 4.5, as well as PSLB). 19