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 2018 Performance Evaluation Report of the Stanford University for Management and Operations of Science and Technology at the SLAC National Accelerator Laboratory For the period October 1, 2017 to September 30, 2018

2 I. OVERALL SUMMARY RATING/FEE Table Of Contents Performance-Based and Adjectival Rating Calculating Individual Goal s and Letter Grades II. PERFORMANCE GOALS, OBJECTIVES, AND MEASURES/TARGETS Goal 1.0: Provide for Efficient and Effective Mission Accomplishment Goal 2.0: Provide for Efficient and Effective Design, Fabrication, Construction and Operations of Research Facilities Goal 3.0: Provide Effective and Efficient Science and Technology Program Management Goal 4.0: Provide Sound and Competent Leadership and Stewardship of the Laboratory Goal 5.0: Sustain Excellence and Enhance Effectiveness of Integrated Safety, Health, and Environmental Protection Goal 6.0: Deliver Efficient, Effective, and Responsive Business Systems and Resources that Enable the Successful Achievement of the Laboratory Mission(s) Goal 7.0: Sustain Excellence in Operating, Maintaining, and Renewing the Facility and Infrastructure Portfolio to Meet Laboratory Needs Goal 8.0: Sustain and Enhance the Effectiveness of Integrated Safeguards and Security Management (ISSM) and Emergency Management Systems 2

3 I. OVERALL SUMMARY RATING/FEE Performance-Based 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 2018 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 s and Letter Grades: Each Objective is assigned the earned numerical score by the evaluating office as stated above. The Goal rating is then computed by multiplying the numerical score by the weight of each Objective within a Goal. These values are then added together to develop an overall numerical score for each Goal. For the purpose of determining the final Goal grade, the raw numerical score for each Goal will be rounded to the nearest tenth of a point using the standard rounding convention discussed below and then compared to Figure 1. A set of tables is provided at the end of each Performance Goal section of this document to assist in the calculation of Objective numerical scores to the Goal grade. No overall rollup grade shall be provided. The raw numerical score for S&T and M&O will be rounded to the nearest tenth of a point of purposes of determining fee. A standard rounding convention of x.44 and less rounds down to the nearest tenth (here, x.4), while x.45 and greater rounds up to the nearest tenth (here, x.5). 3

4 Grade F D C- C C+ B- B B+ A- A A+ Figure 1. FY 2018 Contractor Letter Grade Scale The eight performance Goal grades shall be used to create a report card for the laboratory (see Figure 2, below). Performance Goal 1.0 Mission Accomplishment A- 2.0 Design, Fabrication, Construction and Operations of Research Facilities 3.0 S&T Program Management B+ 4.0 Leadership/Stewardship A 5.0 ES&H and Environmental Management B+ 6.0 Business Systems A- 7.0 Infrastructure B+ 8.0 Safeguards/Security A- Determining the Amount of Performance-Based Fee Earned: B+ Figure 2. Laboratory Report Card Grade SC uses the following process to determine the amount of performance-based fee earned by the Contractor. The S&T score from each evaluator shall be used to determine an initial numerical score for S&T (see Table A, below), and the rollup of the scores for each M&O Performance Goal shall be used to determine an initial numerical M&O score (see Table B, below). Program Numerical Weight Total 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 3.4 Summation of percentages may not always add up to 100% due to rounding. Table A. Fiscal Year Contractor Evaluation Initial S&T 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. 4

5 M&O Performance Goal Numerical Weight 5.0 ES&H and Environmental Management % 6.0 Business Systems % 7.0 Infrastructure % 8.0 Safeguards/Security % Initial M&O 3.4 Table B. Fiscal Year Contractor Evaluation Initial M&O Calculation While tables within the performance evaluation report show scores rounded at the goal level, in calculating the S&T and M&O scores all decimal places are carried over until the final calculation. These initial scores will then be adjusted based on the numerical score for Performance Goal 4.0 (See Table C, below). Numerical Weight Initial S&T % 4.0 Leadership/Stewardship % Initial M&O % 4.0 Leadership/Stewardship % Table C. Fiscal Year Final S&T and M&O Calculation Final S&T 3.5 Final M&O 3.5 The percentage of the available performance-based fee that may be earned by the Contractor shall be determined based on the final score for S&T (See Table C) and then compared to Figure 3, below. The final score for M&O from Table C shall then be utilized to determine the final fee multiplier (see Figure 3) which will determine the final percentage of fee earned (see Table D). The actual amount of performance-based fee earned for FY 2018 is then calculated AS shown in Table E. 5

6 Overall Weighted from Table A Percent S&T Fee Earned M&O Fee Multiplier 4.1 to % % 3.8 to % % 3.5 to % % 3.1 to % % 2.8 to % 95.00% 2.5 to % 90.00% 2.1 to % 85.00% 1.8 to % 75.00% 1.1 to % 60.00% 0.8 to % 0.00% 0.0 to % 0.00% Figure 3. Performance Based Fee Earned Scale Overall Fee Determination Percent S&T Fee Earned From Figure % M&O Fee Multiplier From Figure 3. X % Overall Earned Performance-Based Fee 94.00% Table D. Final Percentage of Performance Based Fee Earned Determination Earned Fee Calculation Available Fee $4,850, Overall Earned Performance - Based Fee (Table D) X 94.00% Earned Fee $4,559, Table E. Earned Fee Calculation 6

7 II. PERFORMANCE GOALS, OBJECTIVES, AND MEASURES/TARGETS Goal 1.0: Provide for Efficient and Effective Mission Accomplishment The science and technology programs at the Laboratory produce high-quality, original, and creative results that advance science and technology; demonstrate sustained scientific progress and impact; receive appropriate external recognition of accomplishments; and contribute to overall research and development goals of the Department and its customers. SC Basic Energy Sciences (BES) SLAC conducts world-leading research in a broad range of BES-supported areas, as evidenced by high-impact publications, with particular growing strength in XFEL ultrafast science as they prepare for LCLS-II. Other notably productive major activities include JCESR, JCAP, and the AMOS and Catalysis Science projects. SLAC staff are world leaders in key DOE-BES mission areas, as indicated by national awards, and by leadership roles in community activities such as the BES ultrafast science roundtable. SC Biological and Environmental Research (BER) SLAC has effectively demonstrated scientific productivity in BER-funded areas, and SLAC researchers contribute to BER program priorities. SC Fusion Energy Sciences (FES) The scientific output from the MEC instrument on LCLS was excellent and of the highest caliber. Many SLAC HEDS group members received prestigious honors and awards. The HEDS group demonstrated strong leadership in science by organizing and leading the 5th High Power Laser Workshop to highlight MEC scientific achievements. Laboratory staff members provided substantive leadership by serving on various community advisory committees in the U.S. and abroad. SC High Energy Physics (HEP) The cosmic frontier and accelerator science programs are recognized world leaders. The other HEP programs are also strong with good focus on the top priorities. SLAC plays a variety of leadership roles within the HEP program. SC Workforce Development for Teachers and Scientists (WDTS) The laboratory executes WDTS sponsored programs in support of the SC/DOE STEM workforce mission in manners that meet expectations. 7

8 Below are tables that show which Program Offices provided performance evaluation input for this Goal and the overall performance score for the Goal. Science Program Office Letter Grade Numerical Objective Weight Overall SC Basic Energy Sciences 1.1 Impact A % 1.2 Leadership A % Overall BES Total 3.6 SC Biological and Environmental Research 1.1 Impact A % 1.2 Leadership B % Overall BER Total 3.5 SC Fusion Energy Sciences 1.1 Impact A % 1.2 Leadership B % Overall FES Total 3.5 SC High Energy Physics 1.1 Impact B % 1.2 Leadership A % Overall HEP Total 3.6 SC Workforce Development for Teachers and Scientists 1.1 Impact B % 1.2 Leadership B % Overall WDTS Total 3.3 Table 1.1 Program Performance Goal 1.0 Development 8

9 Program Office Letter Grade Numerical Weight SC Basic Energy Sciences A % Overall Weighted SC Biological and Environmental Research A % SC Fusion Energy Sciences A % SC High Energy Physics A % SC Workforce Development for Teachers and Scientists B % Performance Goal 1.0 Total 3.6 Table 1.2 Program Performance Goal 1.0 Development Grade F D C- C C+ B- B B+ A- A A+ Table 1.3 Goal 1.0 Final Letter Grade 9

10 Goal 2.0: Provide for Efficient and Effective Design, Fabrication, Construction and Operations of Research Facilities The Laboratory provides effective and efficient strategic planning; fabrication, construction and/or operations of Laboratory research facilities; and are responsive to the user community. SC Basic Energy Sciences (BES) The notable outcome for effective management and execution of the LCLS-II project and delivery of the project scope was not met. Delivery of usable cryomodules in accordance with the Project Execution Plan, which is essential for the technical scope, has not been achieved. SLAC is to be commended for their perseverance, support, and openness as these issues occurred and were addressed. The project continued to make progress in non-impacted areas. The LCLS-II-HE project fulfilled the requirements for CD-1, which was approved by the Project Management Executive in September LCLS and SSRL operated reliably and efficiently in FY 2018 and continued to improve experimental capabilities. The SSRL microbeam macromolecular crystallography beamline has delivered first light and is ready for commissioning. SC Biological and Environmental Research (BER) SLAC effectively manages user facilities (SSRL, LCLS) for the benefit of the biosciences research community. SC Fusion Energy Sciences (FES) SLAC is commended for meeting and exceeding a Notable Outcome by optimizing the delivery of the four laser beams on target and by modifying the VISAR platform to enhance the capabilities of the MEC standard configuration for shockcompressed targets. The laboratory MEC team provided effective and efficient support to the selected users to increase experimental success and provide impactful science and technology results. Outreach to the plasma physics community needs to be stronger since MEC experiments are dominated by materials scientists. SC High Energy Physics (HEP) The pre-cd-2 projects faced budget challenges due to the long continuing resolution. The lab worked well with HEP to keep the projects viable, while we waited for an appropriation, and the projects were successfully baselined after the appropriation. LSSTcam faced multiple technical problems with vendors through the year. The project worked hard to resolve these problems successfully. HEP was well informed of the issues as they arose. HEP still expects the project to complete successfully. Notable Outcome(s) SC Basic Energy Sciences (Objective 2.2) Notable 1: Effectively manage and execute the LCLS-II project in accordance with the Project Execution Plan and deliver the project scope in compliance with the technical performance specifications and within the established DOE performance goals for cost and schedule. Performance will be assessed based on the work planned and accomplished during FY2018, not on the cumulative performance of the project. (Objective 2.2) Outcome: Although the performance indices (CPI and SPI) are within the acceptable range, they do not support the actual project performance during FY 2018, which failed to meet the technical scope delivery expectations. - Not Achieved (Objective 2.3) Notable 1: Enhance the capabilities of the MEC standard configuration for shock-compressed targets by optimizing the delivery of the four laser beams on target, and modifying the VISAR platform to accommodate normalincidence target orientation. Demonstrate enhanced capability, with VISAR measurements, to achieve uniaxial shocks with pressure up to 2 Mbar in solid targets. (Objective 2.3) 10

11 Outcome: This notable was suggested by FES, not BES. BES has no comment. - Achieved Below are tables that show which Program Offices provided performance evaluation input for this Goal and the overall performance score for the Goal. Science Program Office Letter Grade Numerical Objective Weight Overall SC 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 3.3 SC Biological and Environmental Research 2.1 Support Laboratory Programs 0.0% 2.2 Construction of Facilities 0.0% 2.3 Operation of Facilities 0.0% 2.4 S&T Results and Benefits to External User Communities A % Overall BER Total 3.5 SC Fusion Energy Sciences 2.1 Support Laboratory Programs 0.0% 2.2 Construction of Facilities 0.0% 2.3 Operation of Facilities A % 2.4 S&T Results and Benefits to External User Communities B % Overall FES Total 3.6 SC High Energy Physics 2.1 Support Laboratory Programs A % 2.2 Construction of Facilities B % 2.3 Operation of Facilities 0.0% 2.4 S&T Results and Benefits to External User Communities 0.0% Overall HEP Total 3.4 Table 2.1 Program Performance Goal 2.0 Development 11

12 Program Office Letter Grade Numerical Weight SC Basic Energy Sciences B % Overall Weighted SC Biological and Environmental Research A % SC Fusion Energy Sciences A % SC High Energy Physics B % Performance Goal 2.0 Total 3.3 Table 2.2 Program Performance Goal 2.0 Development Grade F D C- C C+ B- B B+ A- A A+ Table 2.3 Goal 2.0 Final Letter Grade 12

13 Goal 3.0: Provide Effective and Efficient Science and Technology Program Management The Laboratory 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. SC Basic Energy Sciences (BES) The notable outcome for effective leadership, management, and integration of LCLS-II partner laboratories and collaborating institutions was not met. Delivery of usable cryomodules in accordance with the Project Execution Plan, which is essential for the technical scope, has not been achieved. The failures occurred in transportation from FNAL and in fabrication at TJNAF. An OPA review identified deficiencies in the QA/QC systems at the partner labs, along with a failure to exercise proper work control procedures. Further, an OPA review found that the LCLS-II project cost contingency is low and unlikely to be adequate to finish the project. The project is now examining areas of the project to descope to increase contingency, some of which will have negative performance implications. The strategic vision for SLAC MSE programs is strong, as evidenced by the successful launching of new activities. While some of the CSGB projects are strong, SLAC lacks an integrated vision for CSGB research that articulates the synergies among the efforts. BES encourages SLAC to identify a permanent Chemical Sciences Division Director who can help develop a compelling and coherent vision for the CSGB programs at SLAC. The management of BES-supported research programs is generally effective. Enhancement of SLAC staff leadership in XFEL ultrafast materials and chemical sciences should be an ongoing focus. In MSE programs, SLAC is working to resolve administrative issues that have surfaced over the past year. LCLS management continues to improve efficiency of operations, in preparation for the transition period from LCLS to LCLS-II. SSRL staff continue to explore scientific collaborative opportunities with other facilities and institutions. SSRL management, working with APS, is developing a strategy to upgrade a number of beamlines to partially fill the capability and capacity gaps during the dark period of APS-U. SLAC s communications with BES were generally effective. Weaknesses in SLAC s internal systems led to confusion regarding proposals to recent funding opportunities. SLAC analyzed the problem and corrected it to avoid these complications in the future. SC Biological and Environmental Research (BER) SLAC has aggressively pursued increasing its scientific footprint in the BER programmatic space, through discretionary investments and strategic collaborations with the Stanford campus and other academic institutions SC Fusion Energy Sciences (FES) SLAC did an excellent job articulating the scientific vision for the MEC optical laser system upgrade. The laboratory s management of its HEDS program was outstanding, which resulted in the MEC s world-renowned reputation as envisioned in the SLAC strategic plan. The laboratory is commended for its excellent communication with FES, including providing the requested information regarding options for the MEC laser upgrade. SC High Energy Physics (HEP) The HEP program at SLAC is very well managed. There is a good vision for the future that aligns with P5 and it also addresses broader priorities of SC in accelerator science and QIS. Strong support from and connection to Stanford campus provide considerable leverage to the SLAC program. 13

14 Lab management has made tough decisions to reduce Inspire, replan Theory, wind down neutrinoless beta decay, and has responded well to the HEP Lab Optimization process. SC Workforce Development for Teachers and Scientists (WDTS) The laboratory actively seeks student participants in research experience learning opportunities helping ensure that DOE has a sustained pipeline of STEM workers. Notable Outcome(s) SC Basic Energy Sciences (Objective 3.2) Notable 1: Provide effective leadership, management, and integration of LCLS-II Partner Laboratories and Collaborating Institutions to ensure project requirements are met and that the Partner Laboratories and Collaborating Institutions meet their performance objectives for FY2018. (Objective 3.2) Outcome: Although the performance indices (CPI and SPI) are within the acceptable range for the project and partner labs, they do not support the actual project performance during FY 2018 by SLAC or two of the partner labs, whose performance failed to meet the technical scope delivery expectations. - Not Achieved SC High Energy Physics (Objective 3.2) Notable 1: Begin implementing the consolidation and redirection plans developed during the Laboratory Optimization process, smoothing the transition to a full implementation with the FY 2019 Field Work Proposal submission. (Objective 3.2) Outcome: This notable has been achieved. - Achieved (Objective 3.2) Notable 2: By March 2018, write a plan to consolidate HEP computing resources across all HEP thrusts at the lab and identify a single POC for these. The plan should take note of possible synergies with other Office of Science computing needs, and optimizing integration of the use of ASCR's Leadership Class Facilities. (Objective 3.2) Outcome: This notable has been achieved. - Achieved (Objective 3.2) Notable 3: By July 2018, update the comprehensive plans for the scope, cost, schedule and management for the SuperCDMS-SNOLAB operations phase, the LSST-DESC operations needs, and the HEP roles in the LSST Facility operations. Where applicable, this should describe and include roles to be supported by other institutions or funding sources. This plan should take into account results of reviews, and include a computing plan within the context of an optimized plan for the Cosmic Frontier experiments. (Objective 3.2) Outcome: This notable has been achieved. Achieved 14

15 Below are tables that show which Program Offices provided performance evaluation input for this Goal and the overall performance score for the Goal. Science Program Office Letter Grade Numerical Objective Weight Overall SC Basic Energy Sciences 3.1 Efficient Strategic Planning and Stewardship A % 3.2 Project/Program/Facilities Management B % 3.3 Effective Communications and Responsiveness B % Overall BES Total 3.3 SC Biological and Environmental Research 3.1 Efficient Strategic Planning and Stewardship A % 3.2 Project/Program/Facilities Management A % 3.3 Effective Communications and Responsiveness A % Overall BER Total 3.6 SC 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 3.6 SC High Energy Physics 3.1 Efficient Strategic Planning and Stewardship A % 3.2 Project/Program/Facilities Management A % 3.3 Effective Communications and Responsiveness A % Overall HEP Total 3.7 SC Workforce Development for Teachers and Scientists 3.1 Efficient Strategic Planning and Stewardship B % 3.2 Project/Program/Facilities Management B % 3.3 Effective Communications and Responsiveness B % Overall WDTS Total 3.3 Table 3.1 Program Performance Goal 3.0 Development 15

16 Program Office Letter Grade Numerical Weight SC Basic Energy Sciences B % Overall Weighted SC Biological and Environmental Research A % SC Fusion Energy Sciences A % SC High Energy Physics A % SC Workforce Development for Teachers and Scientists B % Performance Goal 3.0 Total 3.4 Table 3.2 Program Performance Goal 3.0 Development Grade F D C- C C+ B- B B+ A- A A+ Table 3.3 Goal 3.0 Final Letter Grade 16

17 Goal 4.0: Provide Sound and Competent Leadership and Stewardship of the Laboratory This Goal evaluates the Contractor s Leadership capabilities in leading the direction of the overall Laboratory, the responsiveness of the Contractor to issues and opportunities for continuous improvement, and corporate office involvement/commitment to the overall success of the Laboratory. Headquarters (HQ) The Laboratory Director and his senior management team are commended for establishing an exciting vision for a world-leading program in x-ray, ultrafast science to maintain international leadership in X-ray FEL science. The Laboratory Director filled two key scientific management positions this past year which provides leadership in world leading efforts in dark energy, dark matter and neutrino physics. The Laboratory Director established and filled the Deputy Director for Operations position to provide leadership and management of mission support functions. His first major action as COO was to launch two significant activities to improve operations performance and to increase qualified resources to manage construction activities as a result of deficiencies identified by the site office. As a result, oversight and management of construction activities are improving through effective allocation of resources. The SLAC Physical Security Program is best-in-class and SLAC s outstanding program manager was recognized for his expertise. As such, SLAC has been asked by DOE and LBNL to assist in improving their programs. Stanford s corporate stewardship of SLAC is best in class at DOE. Stanford University continues to make substantial corporate investments at SLAC. Stanford s investment of a new CryoEM facility and hiring of world leading scientist in the field help propel SLAC s growth in this emerging scientific field. This led to the successful CryoEM grant by NIH to operate a user facility at SLAC. The $45M NIH grant will be funded over 5 years. The assessment for each Objective under this Goal is provided below. 4.1: Leadership and Stewardship of the Laboratory The laboratory director has demonstrated a commitment to establish a scientific partnership with BER that addresses programmatic priorities and future opportunities, through LDRD investments, continued dialogue. The Laboratory Director and his senior management team are commended for establishing an exciting vision for a world-leading program in x-ray, ultrafast science to maintain international leadership in X-ray FEL science. The Laboratory Director filled two key scientific management positions this past year which provides leadership in world leading efforts in dark energy, dark matter and neutrino physics. Additionally, SLAC s staff development and succession planning efforts over the past few years proved beneficial in promoting five staff to critical management positions. SLAC's proposal to build and operate a CryoEM Center for the NIH was selected from a number of competitive proposals. SLAC s partnership with Stanford University in bringing strong leadership to SLAC was instrumental in receiving the NIH grant. SLAC s role in organizing the inaugural Innovation XLAB Summit on energy storage, a DOE Office of Science initiative, was hugely successful. Nearly 300 representatives from DOE, industry, DOE national laboratories and the investment sector attended. 4.2: Management and Operation of the Laboratory The Laboratory Director established and filled the Deputy Director for Operations position to provide leadership and management of mission support functions. His first major action as COO was to launch two significant activities to improve operations performance and to increase qualified resources to manage construction activities as a result of 17

18 deficiencies identified by the site office. As a result, oversight and management of construction activities are improving through effective allocation of resources. The SLAC Physical Security Program is best-in-class and SLAC s outstanding program manager was recognized for his expertise. As such, SLAC has been asked by DOE and LBNL to assist in improving their programs. SLAC continues to be a leader in recycling of metals formally under the metals moratorium. In FY 2018, SLAC recycled 54 tons of lead and 19 tons of steel with a return of $103K and disposal cost avoidance of $270K. SLAC was also instrumental in responding to inquiries and concerns from the Metals Industries Recycling Coalition. RWG efforts and regulatory reform activities are outstanding. SLAC continues to take a lead role in defining and executing regulatory reforms at SLAC, in particular 10CFR851 and Davis Bacon Act. Key staffs were instrumental in the development of the position paper, which was approved by the Deputy Secretary, to reform 10CFR851 and implement CAL OSHA regulations at SLAC and LBNL. Tremendous effort was needed to prepare the implementation of the Davis Bacon Act implementation manual that streamlined the approval process. Additionally, many of SLAC's original RWG and phase II changes to the DEAR clauses were adopted by the DOE for use at all laboratories. 4.3: Contractor Value-added Stanford s corporate stewardship of SLAC is best in class at DOE. Stanford University continues to make substantial corporate investments at SLAC. Stanford s investment of a new CryoEM facility and hiring of world leading scientist in the field help propel SLAC s growth in this emerging scientific field. This led to the successful CryoEM grant by NIH to operate a user facility at SLAC. The $45M NIH grant will be funded over 5 years. Stanford was also instrumental in receiving funding from the National Institute of Standards and Technology (NIST) to create the Joint Initiative for Metrology in Biology (JIMB) center which creates a foundational measurement science tools and standards for biosciences and biomedicine. Stanford continues to lead the way in identifying and implementing regulatory reform activities to support the DOE initiative and instilling a more effective and efficient contract with DOE. Notable Outcome(s) Headquarters (Objective 4.1) Notable 1: SLAC will successfully execute a search and selection for the Associate Lab Director for Science. (Objective 4.1) Outcome: SLAC has selected and appointed Dr. Tony Heinz as the Associate Lab Director for Science. BES congratulates him on the appointment and encourages SLAC to empower him to enhance the bridges between the science programs and the user facilities. - Achieved (Objective 4.2) Notable 1: SLAC senior management needs to provide qualified staff and resources to support the Lab Mission, improve work performance and perform effective subcontractor oversight. (Objective 4.2) Outcome: SLAC s Deputy Director for Operations sent DOE a Staffing Resource and Process Improvements plan to better address management of subcontractor-related coordination and oversight. This plan led to several key positions being hired or promoted from within SLAC including: four FCMs, two PMs, Deputy F&O, ESH directors, Communications, HR, and Supply Chain directors, etc. - Achieved (Objective 4.2) Notable 2: Improve line-management responsibility and accountability for ES&H performance by linemanagement taking ownership for safety assurance through actively planning and executing activities and investigating incidences. (Objective 4.2) 18

19 Outcome: SLAC leadership has reinforced and held accountable line management for all work planning and reinforced that the line owns incidents including the investigation of events for areas and projects under their purview. The November CAP Team report for Project/Construction Management also identified corrective actions requiring line management ownership. - Achieved Below are tables that show which Program Offices provided performance evaluation input for this Goal and the overall performance score for the Goal. Science Program Office Letter Grade Numerical Objective Weight Overall Headquarters 4.1 Vision and Planning A % 4.2 Responsive and Accountable Leadership A % 4.3 Corporate Support A % Overall HQ Total 3.8 Table 4.1 Program Performance Goal 4.0 Development Program Office Letter Grade Numerical Weight Headquarters A % Table 4.2 Program Performance Goal 4.0 Development Overall Weighted Performance Goal 4.0 Total Grade F D C- C C+ B- B B+ A- A A+ Table 4.3 Goal 4.0 Final Letter Grade 19

20 Goal 5.0: Sustain Excellence and Enhance Effectiveness of Integrated Safety, Health, and Environmental Protection This Goal evaluates the Contractor s overall success in deploying, implementing, and improving integrated ES&H systems that efficiently and effectively support the mission(s) of the Laboratory. Site Office (Site Office) SLAC has provided an effective Worker Safety & Health and Environmental Program during FY18. Notably, SLAC has completed 1.1 million hours of construction work over the last 7 years with one DART. SLAC s outstanding safety performance and program has made it a Regulatory Reform candidate for using CAL OSHA requirements in place of 10 CFR 851; SLAC has developed its variance proposal and will implement in FY19. SLAC s leadership in metals recycling in the Office of Science has resulted in the recycling 61 tons of lead and 19 tons of steel that would have otherwise been disposed of as waste. SLAC s program was the example DOE provided to MIRC in demonstrating that DOE has effective programs used for metals reuse. The assessment for each Objective under this Goal is provided below. 5.1: Provide an Efficient and Effective Worker Health and Safety Program SLAC continues to be a leader in contract and regulatory reform in many areas. As a result, SLAC and LBNL were successful in receiving approval from the Undersecretary of Science to submit the first major variance to 10 CFR 851 safety requirements; allowing the Lab to move to California health and safety regulations. SLAC s Total Recordable Cases (TRC) and Days Away/Restricted time (DART) rates and lost/restricted days saw declines over the last 5 years, and recently the rates have been holding steady at these lower levels. Construction injuries remain low and performance in this area is best-in-class. SLAC construction subcontractors suffered the first lost days injury (DART) in 7 years (over 1.1 million hours) resulting in a FY 2018 DART rate of There has not been a Total Recordable Case (TRC) in over a year. SLAC was able to work through complex 10 CFR 851 pressure vessel requirements, allowing SLAC to safely evaluate the integrity of the Super Conducting RF Gun. Originally, developed by University of Wisconsin for SC for approximately $3M, there was no defined use for this piece of equipment until SLAC identified an application. SLAC is still experiencing a high percentage of non-office ergonomic injuries (about half of SLAC s recordable cases). Therefore, SSO has requested the DOE ISC support to review SLAC s industrial ergonomics program in FY SLAC successfully completed the construction of the Cryo-EM facility in building 006 (with support from SU). The SLAC Cryo-EM program is growing into a core competency. As such, SLAC needs to further develop safety staff with sufficient knowledge of biosafety. Currently, SLAC is relying on SU for biosafety expertise and SLAC field safety staff have only cursory or limited biosafety expertise. 5.2: Provide an Efficient and Effective Environmental Management System Overall, SLAC continues to have a best-in-class Environmental Management System (EMS). SLAC continues to be a leader in recycling of metals formally under the metals moratorium. In FY 2018, SLAC recycled 61 tons of lead and 19 tons of steel with a return of $109K and disposal cost avoidance of $270K. Additionally, the Metals Industry Recycling Coalition (MIRC) raised concerns to DOE regarding DOE Standard Clearance, and Release of Personal Property from Accelerator Facilities (which SLAC helped develop). The SLAC ESH Radiation Protection Group met with MIRC to provide the background on how the standard was developed and why the technical basis for the standard is sound; resulting in positive feedback from MIRC to DOE. 20

21 SLAC has completed, and is ready to submit an Authorized Limit package to begin sending low level radioactive waste to US Ecology in Idaho. If approved, it would represent $430K-1.6M in cost saving over the existing disposal avenues. SLAC shipped 326,000 kg of hazardous, Universal, and Class II wastes off-site without incident. SLAC saved $60k related to the removal and recycling of two old BDE tanks, $10k savings on reuse of chemicals (destined for waste) and $60k savings related to the Cryoplant cooling tower flushing activity. SLAC has continued to decrease its ground water contamination footprint by completing the installation of the Hydrodynamic Separator and is working to finalizing the IR-6/IR-8 drainage soil removal project. The latest storm water sampling results have shown improvement in the storm water quality. An inspection by the San Mateo County of Environmental Health (CUPA) while overall very positive, noted a major violation with SLAC s Spill Prevention Program. The Building 015 Soil Remediation Project was paused when the SLAC PM observed some backfill soil did not meet contractual specifications (e.g. visual concrete, asphalt, metal). Once the improper fill was noted, it took SLAC significant time to develop a path forward and several requests by DOE to get preliminary soil samples of the non-spec fill. DOE/SLAC conferred with the Program Analyst with the Advisory Council on Historic Preservation and the Chief Historian at DOE, in an attempt to engage the California SHPO office to review the draft Programmatic Agreement (PA). The SHPO determined that a PA is not warranted and thus will not be reviewing the draft PA. DOE/SLAC will continue to evaluate projects for applicability of the Section 106 requirements on a case-by-case basis. Notable Outcome(s) Site Office (Objective 5.1) Notable 1: Develop and implement a plan, upon DOE approval, to replace 10 CFR 851 with Cal-OSHA worker health and safety requirements. (Objective 5.1) Outcome: The Undersecretary of Science approved SLAC and LBNL s plan to submit the first major variance to move from 10 CFR 851 safety requirements to California health and safety regulations. In anticipation of this approval, SLAC has been working with LBNL on the variance submittal package and working on individual safety programs to begin the transition in late Achieved (Objective 5.1) Notable 2: Demonstrate that ongoing actions taken to address industrial ergonomic injuries are effective. (Objective 5.1) Outcome: SLAC focused non-office ergonomics on several high-risk groups (Shops, LCLS downtime operations, undulator tuning group, etc.). Non-office ergonomic injuries still account for half of all SLAC OSHA recordable cases. SLAC needs to continue to be more proactive in reducing injuries in this area. - Achieved Below are tables that show which Program Offices provided performance evaluation input for this Goal and the overall performance score for the Goal. Science Program Office Letter Grade Numerical Objective Weight Overall Site Office 5.1 Integrated ES&H B % 5.2 Environmental Management System B % Overall Site Office Total 3.4 Table 5.1 Program Performance Goal 5.0 Development 21

22 Program Office Letter Grade Numerical Weight Site Office B % Table 5.2 Program Performance Goal 5.0 Development Overall Weighted Performance Goal 5.0 Total Grade F D C- C C+ B- B B+ A- A A+ Table 5.3 Goal 5.0 Final Letter Grade 22

23 Goal 6.0: Deliver Efficient, Effective, and Responsive Business Systems and Resources that Enable the Successful Achievement of the Laboratory Mission(s) This Goal evaluates the Contractor s overall success in deploying, implementing, and improving integrated business systems that efficiently and effectively support the mission(s) of the Laboratory. Site Office (Site Office) SLAC s business systems and resources performed as designed in FY18. The most notable accomplishment was the excellent performance evaluation SLAC received from the Procurement Evaluation & Re-Engineering Team (PERT) Review of the SLAC Supply Chain Management organization. SLAC passed all twelve areas of the PERT Review and received only seven recommendations for improvement. Also noteworthy, was and the effective transfer of technology and commercialization of intellectual assets. SLAC exceeded its FY 2018 goal of 85% submission of accepted manuscripts, and the lab achieved full compliance with public access requirements. SLAC s Contractor Assurance Program, in full partnership with Stanford University and the SLAC Site Office, is a best in class program that identifies risks and causes the Laboratory to take proactive measures. The CRADA between SLAC and ZOOX has created over 500 private sector jobs. SLAC and ZOOX are collaborating on highspeed sensor technology and large scale data management. The assessment for each Objective under this Goal is provided below. 6.1: Provide an Efficient, Effective, and Responsive Financial Management System During FY 2018, SLAC s Statement of Costs Incurred and Claimed (SCIC) for FYs 2014 and 2015 were audited by the OIG and no findings or recommendations were identified. This is a significant accomplishment. During FY 2018, DOE ORO ISC identified costs plus commitments being sent through STARS in excess of authorized funding. SLAC quickly created new views in STARS in order to be able to see what the Service Center was seeing and put corrective actions in place to resolve the issue quickly. Upon investigation, it was determined that these were not actual funding issues, but rather legacy data issues from SLAC s old enterprise system. The level of responsiveness and ability to quickly resolve the issue is consistent with the high standards SLAC strives for in its financial management system. During FY 2018, DOE expressed concerns about the equity and Cost Accounting Standards compliance of space charges from Stanford University. SLAC subsequently worked with Stanford and DOE to ensure a transparent process for determining the charge and a consistent manner by which the charge was booked at SLAC. Additionally, SLAC has prepared an accounting change during FY 2018 that is responsive to DOE concerns regarding allocation of SLAC Support to Physical Infrastructure pool. This change will go into effect in FY 2019 and will strengthen the causal beneficial relationship of SLAC s indirect costs with the mission. 6.2: Provide an Efficient, Effective, and Responsive Acquisition Management System and Property Management System The SLAC Supply Chain Management Division successfully passed the FY 2018 PERT review in May, All major procurement areas at SLAC met DOE s 12 Contractor Purchasing System Assurance Criteria and of the 93 PERT subcriteria, only seven areas received recommendations for improvements. This review was noteworthy considering it was the first major review since the implementation of the Revolutionary Working Group Model Contract on October 1,

24 6.3: Provide an Efficient, Effective, and Responsive Human Resources Management System and Diversity Program The RWG Model Contract implementation reduced and eliminated redundancy in SLAC policies and procedures. SLAC adheres more closely to the Stanford University policy guide. The SLAC HR & Security Department partnered to develop and implement a more robust and compliant process for incoming foreign nationals. 6.4: Provide Efficient, Effective, and Responsive Contractor Assurance Systems, including Internal Audit and Quality SLAC improved the Plan of The Week meeting to enable more effective Work Planning Control (WPC) related discussions on upcoming, significant and/or hazardous work. This leads to improved mission effectiveness and mitigation of safety risks. SLAC hired a new WPC manager to rework SLAC's construction and building manager WPC processes. Improvements have been made in hoisting and rigging, LCLS II WPC and Quality Assurance/Quality Control (QA/QC) procedures, practices and planning, and oversight. CAS improved the Unclassified Foreign Visits & Assignment program by helping to create new protocols for processing incoming foreign nationals. This effort has streamlined the onboarding of foreign nationals while ensuring better compliance with DOE requirements. The Construction Incidents CAP team worked to ensure that corrective actions from the numerous 2017 construction related incidents were completed and effective The Stanford University Internal Audit Department performed all scheduled audits of the SLAC business management systems. No material findings were identified. SLAC corrective action plans to correct audit findings were performed according to schedule and scope. 6.5: Demonstrate Effective Transfer of Knowledge and Technology and the Commercialization of Intellectual Assets SLAC identified process and accuracy weaknesses in the proposal and funds-in function of its Strategic Partnership Program (SPP). To address the problems, SLAC created the Proposal Advancement Office (PAO) in order to develop documentation, work flows, and improve quality and timeliness of proposals in support of SLAC s growing partnership and collaboration business. The PAO has greatly improved the compliance and efficiency of SLAC s proposal and award processes. The SLAC National Center for Cryo-Electron Microscopy (Cryo-EM) Center, was award funded by NIH for six years or thru FY 2023 to provide cryo-electron microscopy for atomic-resolution structural biology. The Cryo-EM Center will focus on offering a comprehensive program to train and cross-train scientists with a goal of increasing the number of independent Cryo-EM investigators at institutions throughout the United States. SLAC exceeded its FY 2018 goal of 85% submission of accepted manuscripts, and the lab achieved full compliance with public access requirements. The Scientific and Technical Information Program representative at SLAC continues to demonstrate strong commitment to scientific and technical information management, and SLAC efforts towards staff education and outreach have been instrumental in the lab s success this year. Notable Outcome(s) Site Office (Objective 6.2) Notable 1: Improve and implement vigorous procurement processes in the areas of vendor outreach, selection criteria, and subcontract terms and conditions to select the best qualified subcontractors. (Objective 6.2) Outcome: SLAC implemented Action Tracking metrics to enhance its ability to identify qualified sources to bid on construction sub-contracts. SLAC used three pre-proposal conferences to facilitate a clear understanding of SLAC performance and safety requirements prior to development and submittal of bids. Four projects were identified that 24

25 required highly qualified suppliers. SLAC pre-qualified potential suppliers to minimize the cost to both suppliers and SLAC of evaluating non-optimal subcontractors. SLAC expanded supplier evaluation reviews to emphasize quality and safety past performance factors. Ten construction evaluations included expanded past performance criteria and evaluations as part of the sourcing process. Finally, two large dollar construction projects included financial incentives targeted at safety and performance criteria to incentive the subcontractor to exceed expectations for safety, quality, and schedule performance. SLAC has implemented the use of financial incentives related to cost, schedule and safety to motivate contractors to pay more attention to performance in these areas. SLAC has modified its supplier evaluation reviews to increase focus on safety and quality performance. SLAC is taking a more aggressive stance when contractor performance issues arise. Nineteen letters of concern were issued to contractors in FY Achieved (Objective 6.4) Notable 1: Utilize contractor assurance systems to drive improvement in operations by demonstrating effective implementation of corrective actions from the October 2016 ISMS and WPC; and, the November 2014 CAS reviews. (Objective 6.4) Outcome: Outcome: SLAC developed and implemented an action plan and has made strides in completing some of the actions, to prevent the types of undesirable incidents experienced in FY This includes improvements to construction-specific work planning processes; to review and revise construction-related work planning process documents, forms, plans, and permits, and to train personnel on the updated work planning process system. Full implementation across Facilities and Operations and ESH programs is targeted for December SLAC hired a new Work Planning and Control Manager to specifically address this notable outcome. The new construction Work Planning Control (WPC) chapter has been completed and is under final review. SSO completed two effectiveness reviews (November 2014 and August 2018) and determined that SLAC has made important improvements to numerous CAS systems and has effectively addressed DOE s findings. Achieved Below are tables that show which Program Offices provided performance evaluation input for this Goal and the overall performance score for the Goal. Science Program Office Letter Grade Numerical Objective Weight Overall Site Office 6.1 Financial Management Systems B % 6.2 Acquisition and Property Management Systems A % 6.3 Human Resources B % 6.4 Contractor Assurance Systems B % 6.5 Technology Transfer A % Overall Site Office Total 3.5 Table 6.1 Program Performance Goal 6.0 Development 25