DESI Cost Schedule Management CD1 Review Breakout BO

DESI Cost, Schedule, Management CD-1 Review Breakout BO 4. 1 2014 -09 -09 Henry Heetderks (UCB) Project Manager H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1

Outline • DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Contingency Analysis • Major Procurements • Change Control • Major Risk Items • Summary H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 2

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Contingency Analysis • Major Procurements • Change Control • Major Risk Items • Summary H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 3

DESI Management Strategy • The project is dependent on the delivery of work packages by institutions and personnel whose funding we do not directly control. This presents a management challenge. • We have chosen suppliers of major subsystems with extensive experience with similar projects • Collaborator tasks are organized into well-defined, compact portions of the WBS owned by the collaborator personnel • We have been holding numerous ad hoc as well as regular weekly meetings with collaborator personnel — Weekly status, schedule and costing meetings with level 2 managers — Weekly Engineering meeting — Regular technical meetings with the optics group, the focal plate development effort, Spectrograph development, fibre activity, and Mayall interface • We have had excellent cooperation from our foreign and university collaborators in receiving schedule and cost input, BOE data, risk registry input, etc. , as well as in the development of conceptual and preliminary hardware designs H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 4

Managing DESI (con’t) • A very important management activity is to maintain full awareness of technical, schedule, and cost status so that emerging problems can be identified and dealt with before they become major issues — Develop and track a detailed schedule — Well understood Level 2 and 3 Milestones — Maintain continuous dialog with Level 2 managers — Track costs closely (e. g. EVMS) — Track, mitigate, and retire risks • Finally, we will insure that technical and safety related processes are done by assiduously following carefully developed written procedures H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 5

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Contingency Analysis • Major Procurements • Change Control • Major Risk Items • Summary H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 6

Level 2 WBS and Responsible Organization 1 MS-DESI LBNL 1. 1 Project Management LBNL 1. 2 Corrector and ADC Assembly University College London (United Kingdom) with UC Berkeley 1. 3 Cage & Ring Assembly with Barrel Components FERMI National Laboratory (FNAL) 1. 4 Focal Plane Assembly LBNL 1. 5 Fibre System with Spectrograph Slit Assembly Durham University (UK) with LBNL 1. 6 Spectrographs LBNL 1. 7 Instrument Control System Ohio State University 1. 8 Data System LBNL with University of Utah 1. 9 System Level Assembly, Integration and LBNL with NOAO Testing H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 7

DESI System -- WBS 1. 0 H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 8

WBS 1. 2 – Corrector Optics 1. 2. 1 Corrector Activities Management (UCL) 1. 2. 2 Corrector baseline dev’t and perf char. (LBNL) 1. 2. 3 Lens manuf plan dev’t & vendor select (LBNL) 1. 2. 4 Lens procurement (UCB, UCL) 1. 2. 5 Lens Coating Development (UCL) 1. 2. 6 Lens cell procurement (UCL) 1. 2. 7 Mounting lenses in cells (UCL) 1. 2. 8 Mount lens cells in barrel (UCL) 1. 2. 9 Preship review (UCL) 1. 2. 10 Float on Corrector 1. 2. 11 Shipment of corrector assembly to Tucson Univ College London / LBNL H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 9

WBS 1. 3 -- Cage, Ring, & Barrel 1. 3. 1 Cage and Barrel Management 1. 3. 2 Corrector Barrel Assembly 1. 3. 3 Cage & Ring Assembly 1. 3. 4 Hexapod 1. 3. 5 Cage Electrical Controller and Interface 1. 3. 6 Cage & Corrector GSE 1. 3. 7 Integration and Testing 1. 3. 8 Ship Cage & Ring to Mayall Telescope Fermi National Accelerator Lab H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 10

WBS 1. 4 -- Focal Plane Assembly LBNL with Others IAA (Spain) I&T LBNL ICE (Spain)/ CIEMAT (Spain), SLAC Yale Michigan, UAM/CSIC (Spain), EPFL (Switzerland) H. Heetderks 09/09/2014 1. 4. 1 Focal Plane System Management (LBNL) 1. 4. 2 Focal Plate Structure (IAA) 1. 4. 3 Thermal Enclosure (LBNL) 1. 4. 4 Fibre Positioners (Various) 1. 4. 5 Fibre View Camera (Yale) 1. 4. 6 Guide, Focus, Align’t Sens (Var) 1. 4. 7 Illuminated Fiducials (LBNL) 1. 4. 8 Focal Plate Integration (LBNL) 1. 4. 9 FPS Delivery and Verification (LBNL) DESI CD-1 Review BO 4. 1 11

WBS 1. 5 -- Fibre System 1. 5. 1 Fibre. System Management (DU) 1. 5. 2 Optical Fibre (DU) 1. 5. 3 Splicing System Procure and Train (LBNL) 1. 5. 4 Positioner Fibre Assy (DU) 1. 5. 5 Fibre Spool Box Assy (LBNL) 1. 5. 6 Fibre Cable (DU) 1. 5. 7 Slit Assy Development (DU) 1. 5. 8 Fibre Focal Plane Guide (LBNL) 1. 5. 9 Fibre. Focal Plane I&T (LBNL) 1. 5. 10 Fibre Cable Guide (LBNL) 1. 5. 11 Fibre Quality Assurance (DU) Durham University with LBNL H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 12

WBS 1. 6 -- Spectrographs 1. 6. 1 Spectrographs Management (LBNL) 1. 6. 2 Requirements (LBNL) 1. 6. 3 Optical Design for Spectrographs (LBNL) 1. 6. 4 Engineering Requirements and ICD's (LBNL) 1. 6. 5 EM Spectrograph (Various) 1. 6. 6 Spectr Prod Unit Subassy’s Procure (Var) 1. 6. 7 Spectrograph Prod Units Fab and I&T (Var) 1. 6. 8 Cryostats (CEA) 1. 6. 9 Detectors and Electronics (LBNL) 1. 6. 10 Calibration System (LAM/OHP) 1. 6. 11 Spectrograph Support Rack (OSU) 1. 6. 12 Shipping, and Handling Equipment (OSU) 1. 6. 13 Spectrograph Facilities (LBNL) 1. 6. 14 Ship to Telescope Site LBNL with CEA, LAM/OHP, Ohio State University H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 13

WBS 1. 7 -- Instrument Control System 1. 7. 1 ICS Project Management 1. 7. 2 Infrastructure Software 1. 7. 3 Databases 1. 7. 4 Observation Control 1. 7. 5 Observer Console and User Interfaces 1. 7. 6 Guider, Focus, and Alignment Control 1. 7. 7 Fibre Position Control System 1. 7. 8 Instrument Control System 1. 7. 9 Image Processing 1. 7. 10 Quick Look and Data QA Framework 1. 7. 11 Mayall Telescope Control Sys Int’f 1. 7. 12 Hardware and Software Licenses 1. 7. 13 Integration 1. 7. 14 ICS Milestones Ohio State University H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 14

WBS 1. 8 and WBS 1. 9 WBS 1. 8 -- Science Data Analysis 1. 8. 1 Management of Data Systems 1. 8. 2 Target Selection Pipeline 1. 8. 3 Survey 1. 8. 4 Spectroscopic Pipeline 1. 8. 5 Data Transfer, Archive and Distribution 1. 8. 6 Data Systems Integration WBS 1. 9 -- AI&T LBNL, NYU, Univ of Utah, Durham Univ, Siena College, ETH Zurich, Brookhaven LBNL with NOAO 1. 9. 1 AI&T Management 1. 9. 2 Mayall Preparation H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 15

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Contingency Analysis • Major Procurements • Change Control • Major Risk Items • Summary H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 16

DESI Top Level Schedule H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 17

DESI Top Level Schedule H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 18

DESI Top Level Schedule H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 19

DESI Top Level Schedule H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 20

Resource Loaded Schedule made in MS Project • Current version ( -v 116) available to reviewers on Doc. DB • Contains 2, 837 lines including 37 Specified Level 2 milestones and 536 milestones at Level 3 and above • The following slides show the roll-up at Level 3 and the critical path • Following that is a table showing the float to CD-4 for each CD-4 deliverable H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 21

Project Summary Schedule (1 of 2) H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 22

Project Summary Schedule (2 of 2) Assumes 10 spectrographs. Threshold KPP is met in Q 2 FY 18 with 6 spectrographs. H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 23

Critical Path H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 24

Float on DOE Deliverables WBS Milestone/Deliverable Early Forecast Date Float to stated in CD-4 PEP on Forecast (months) 1. 2 Corrector delivered to Mayall, aligned; ready to install Dec-17 Mar-18 21 1. 8 Spectrographic Pipeline Operational at Scale Jan-18 Apr-18 20 1. 6 Unit 6 Spectrograph Tested and ready to install (threshold) Jan-18 Apr-18 20 1. 4 FPS delivered at Mayall, verified, ready to install May-18 Aug-18 16 1. 7 ICS Production System Complete May-18 Aug-18 16 1. 9 Ready to begin Instrument Commissioning Jun-18 Sep-18 15 1. 6 Unit 10 Spectrograph Tested and ready to install (objective) Jul-18 Oct-18 14 Sep-19 Q 4 FY 19 CD-4 H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 25

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Project Cost Summary • Contingency Analysis • Major Procurements • Change Control • Major Risk Items • Summary H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 26

Not Included in Project Cost • Foreign and Common Fund contributions • Modification/Disassembly of the Mayall Telescope — Except for $1. 5 M “Pass Through” to NOAO • Installation* of major DOE equipment items at the Mayall • Commissioning* of DESI • Operating Costs * But with the proviso that unused contingency funds, if available, may be used for installation and commissioning H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 27

Level 1 Costs & Range • • DOE TPC (TY$): 40. 6 M Cost estimate assumes requested funding profile Assumes foreign participation at expected level Cost range $38. 5 – $46. 5 M, largely accounting for possible foreign funding scenarios TY$M PEP Table 11 OPC Base FY 15 5. 8 Mayall Prep Pass Thru OPC Contingency 1. 2 TEC Base TEC Contingency TPC H. Heetderks 09/09/2014 7. 0 FY 16 2. 6 0. 5 0. 6 9. 5 2. 0 15. 2 FY 17 FY 18 1. 0 8. 8 5. 4 15. 2 DESI CD-1 Review BO 4. 1 1. 4 1. 8 3. 2 Total 8. 4 1. 5 1. 8 19. 7 9. 2 40. 6 28

MIE Funding • OPC (Other Project Costs) Base — Includes all FY 15 and Q 1 -FY 16 DOE effort and materials — Includes $500 K (FY 16) and $1000 K (FY 17) for Mayall prep work by Kitt Peak employees as “pass-through” (DOE $ LBNL NOAO) — Excludes R&D work in FY 14 • TEC (Total Estimated Costs) Base — Includes Q 2 -FY 16 and thereafter until equipment delivery • TPC = OPC Base + TEC Base + Contingency — Contingency is $11 M (37% of TPC) — Includes risk from shortfall in UK, France, Spain… funding H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 29

Operating costs (from research budget) • $3. 4 M (pass-through to NOAO) • + $3. 0 M (instrument/pipeline) in FY 14 dollars • Starts in FY 18, includes installation H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 30

DOE Project Cost at Level 2 WBS by Year MIE-OPC Base (Then Year $K) WBS 1. 1 1. 2 Management, System Engineering, QA, and Safety TPC Base MIE-TEC Base FY 15 FY 16 Q 1 FY 16 Q 2 -Q 4 FY 17 FY 18 1, 311 291 1, 196 1, 421 432 4, 650 182 10 29 1 222 811 338 1, 291 797 42 3, 280 1. 3 Corrector and ADC Assembly Cage & Ring Assembly with Barrel Components 1. 4 Focal Plane System (FPS) 910 694 2, 083 672 210 4, 568 1. 5 Fibre System with Spectrograph Slit Assembly 481 39 119 101 10 749 1. 6 Spectrographs 1, 105 868 3, 636 4, 186 381 162 292 490 185 1, 510 454 166 623 939 77 2, 257 145 67 201 167 67 647 500 1, 000 OPC 9, 969 9, 774 1. 7 1. 8 1. 9 Instrument Control System (ICS) Survey Planning & Data Systems System Level Assembly, Integration, and Testing DOE Mayall Support Totals (without contingency) H. Heetderks 09/09/2014 5, 780 2, 635 DESI CD-1 Review BO 4. 1 384 10, 178 1, 500 1, 405 29, 564 31

DESI Proposed DOE Funding Profile • Base cost taken from the resource loaded MS Project schedule • Contingency on DOE cost is $10, 995 K: $8, 289 K from estimate uncertainty plus $2, 706 K from risk assessment Then Year $K FY 15 Direct OPC 5, 780 Direct TEC FY 16 FY 17 FY 18 TOTAL 3, 100 1, 000 9, 504 8, 774 1, 405 19, 683 9, 880 Total Base 5, 780 12, 604 9, 774 1, 405 29, 563 Contingency 1, 220 2, 596 5, 426 1, 795 10, 995 TPC 7, 000 15, 200 3, 200 40, 558 H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 32

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Contingency Analysis • Major Procurements • Change Control • Major Risk Items • Summary H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 33

DESI Holds Contingency in 3 Areas • Cost Contingency -- We hold back a portion of our available funding to account for errors in the cost estimation process ($8, 289 K) , and the added cost of unexpected events as calculated from the Risk Registry ($2, 706 K) • Schedule Contingency -- We have included 14 months of schedule float between the early finish delivery of the DESI instrument equipment and our baseline CD-4 (as developed from the Risk Registry), as well as additional float applied to selected subsystems, (e. g. optics) • Scope Contingency -- We have specified threshold and objective KPP’s so as to insure that minimum science requirements will be met with high probability even in the event of loss of all foreign funding, but that allow enhanced science in the more probable case of near to full foreign support H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 34

Cost Contingency Analysis I • Total cost contingency is comprised of two components — Cost Estimate Contingency • Accounts for added cost due to incorrect cost estimates, i. e. imprecision of estimates put into BOE sheets — Risk Contingency • Accounts for added cost due to risk from untoward events • Developed from Monte Carlo analysis on risk registry • Cost estimate contingency determination — Estimated material and labor costs from Level 2 managers are entered into the resource loaded schedule developed in MS Project — Level 2 managers generate Basis of Estimate (BOE) sheets at WBS level 3 which document the process used to develop costs — Each level 3 material and labor cost is classified according to one of a list of maturity classifications (See DESI-0314) — Standard contingency values are assigned for each level 3 material and labor cost based on the chosen maturity classification — The BOE results are summarized in DESI-0314 where the Cost Estimate Contingency is calculated 35 H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1

Summary of Labor Contingency Rules from DESI-0314 • L 1 – Complete: 0% contingency on items that have been completed or funded by an R&D account or “named positions”, eg. Project Manager, System Engineer, etc • L 2 – Level of Effort: 20% contingency, for example the task of overseeing the fabrication and testing of an electronics component. • L 3 – Established Procedure: 20‐ 30% contingency for a very similar task that has been done before and has documented time durations; . • L 4 – Defined Procedure: 25‐ 40% contingency for a task that is conventional, well defined and tends to be repeatable with good confidence but can expect small fluctuations; for example, testing of production electronics components (most boards take the same unit time, a few take longer • L 5 – Similar Procedure: 30‐ 50% contingency for a task that is not yet completely defined, but is analogous to past activities; for example, a fabrication activity similar to, but not exactly like, items fabricated for other activities • L 6 – Expert Opinion: 50‐ 70% contingency for a task that is not yet well defined. H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 36

Summary of Materials Contingency Rules from DESI-0314 • M 1 – Complete or R&D: 0% contingency on items that have been completed, or for acquisitions funded by an R&D account. • M 2 – Multiple Quotes/Travel: 10‐ 15% contingency on items that have already been purchased within the past year or for which there is a recent (within 1 year) catalog price or firm quote and for with more than one potential vendor. • M 3 – Single Vendor Quote: 15‐ 25% contingency on items that have been purchased at least once within the past two years or for which there is a recent catalog price or firm quote but for which there is only one likely vendor • M 4 – Preliminary Design: 25‐ 40% contingency on: items that can be readily estimated from a reasonably detailed but not completed design; items adapted from existing designs but with minor modifications, produced within the previous two years, with documented costs. A recent vendor survey based on a preliminary design belongs here. • M 5 – Conceptual Design: 40‐ 60% contingency on: items with a detailed conceptual level of design; items adapted from existing designs but with extensive modifications • M 6 – Novel Fabrication: 50‐ 70% contingency on items with unproven fabrication yields or e. g. a special‐order item or a single preferred vendor). • M 7 – Pre-conceptual Design: 70‐ 100% contingency on items that do not yet have a detailed conceptual design. H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 37

Cost Contingency Analysis II • Risk Contingency — The DESI Risk Management Plan has been developed and released • DESI-0324 • Risks categorized using a 4 X 4 matrix • Plan is consistent with DOE G 413. 3 -7 A “ DOE Risk Management Guide” and ANSI/PMI 08 -001 -2012 “PMBOK” — A DESI Risk Registry was developed following extensive discussion between Level 2 managers and the PD, PM, and Risk Manager • DESI-0376 — Monte Carlo calculation done for 90% (per PMBOK) confidence level • Shows need for $2. 706 M management reserve added to contingency to account for known risks • Shows need for 14 months overall schedule float • A detailed presentation of the DESI risk methodology is given in the Risk Management talk later in this breakout session H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 38

Required Risk Cost Contingency vs Confidence H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 39

Required Float vs Confidence H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 40

Scope Contingency • Reduce number of spectrographs manufactured • Number of positioners is also proportionally reduced • Can be done anytime, but after CD-3 with proportionate diminishing returns • Can meet threshold KPP’s with as few as 6 spectrographs • Can be reversed if funding situation improves • Can recover up to $5 M of cost and 6 months of schedule — Maximum cost savings requires decision to be made by CD-3 H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 41

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Contingency Analysis • Major Procurements • Change Control • Major Risk Items • Summary H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 42

Baseline Change Control • Baseline Change Proposals (BCPs) will be approved as necessary to modify the baseline • Controlled via defined thresholds (see following slide) • Two Change Control Boards: — The Berkeley Site Office board consists of the DESI Federal Project Director (chair), the BSO Site Office Manager, the DESI Project Director, and the DESI Project Manager. — The DESI board consists of the DESI Project Director (chair), the DESI Project Manager, the DESI Project Scientists and the DESI System Engineer (SE). • Regardless of threshold, all technical changes that significantly affect hardware must be documented and approved by the Project Manager and System Engineer. H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 43

Change Control Thresholds (1) (Table 12 in PEP) Approved By Scope Cost* Level 0 Change Level 1 Change Deputy Director for Science Acquisition Executive Level 2 Change Federal Project Director* Changes in scope affecting technical Any change in scope performance of WBS and/or performance that Any changes in the Key Level 2 components affects the ability to Performance Parameters that do not affect the satisfy the mission need (KPPs) as defined in this KPPs or Major or is not in conformance changes in PEP with the current approved technology or PEP Section 2. 1 approach to Level 2 WBS components Any increase in TPC, TEC, or OPC of the project as stated in Table 6 Cumulative allocation of $5 M of contingency Any cumulative change of ≥$1 M in a WBS Level 2 cost shown in Table 6 or, or cumulative allocation of ≥$1 M in contingency Level 3 Change Contractor Project Manager Changes to technical scope below the FPD thresholds Changes to cost below the FPD threshold and greater than $250 K. Any cumulative use of contingency ≥$250 K * After the cumulative threshold has been reached and the next higher change authority has been notified and has approved the changes, the cumulative cost thresholds will reset H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 44

Change Control Thresholds (2) (Table 12 in PEP) Approved By Level 0 Change Level 1 Change Level 2 Change Level 3 Change Deputy Director for Science Acquisition Executive Federal Project Director* Contractor Project Manager Schedule Any changes to Level 1 milestone as shown in Any delay in CD-4, project Table 7 (with the completion date as stated exception of CD-4). in Table 7 ≥ 6 month changes to Level 2 milestone shown in Table 8 Any delay below ≥ 3 month delay to a the FPD threshold Level 2 milestone in a Level 2 date shown in milestone date as Table 8 shown in Table 8 Funding Any changes to funding profile as shown in Table 11 that negatively impacts the Performance Baseline H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 45

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Contingency Analysis • Major Procurements • Change Control • Major Risk Items • Summary H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 46

Summary • DESI has a strong and experienced team • The project scope is well defined and organized • Project risks are well defined and are actively being mitigated • Detailed cost estimates have created a robust cost range • A resource loaded schedule has been developed • Project Hazards are well defined (see p-HAR); Safety Plan is in place • Required documents have been prepared and are under review • The DESI project is ready for CD-1 H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 47

Back Up H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 48

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Contingency Analysis • Major Procurements • Change Control • Major Risk Items • Summary H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 49

DESI Project Org Chart H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 50

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Contingency Analysis • Major Procurements • Change Control • Major Risk Items • Summary H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 51

Major Procurements We have completed a design well past conceptual level which has allowed us to fully understand our major procurements • • • • • Corrector Glass Corrector lens grinding and polishing Corrector lens AR coating Cage, Barrel, and Ring fabrication Hexapod manufacture Focal plate structure manufacture (petals and ring) Fibre view camera and lens assembly Guider CCD detectors Robotic fibre positioners Optical Fibre Spectrograph camera assemblies Spectrograph bench and integration Spectrograph cryostat mechanical fabrication Spectrograph pulse tube coolers Spectrograph CCD detectors Instrument Control System computer equipment Science data disk storage H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 52

Major Procurements • Corrector glass boule procurement — High priority long lead -- Contracts for C 1, C 2, C 3, C 4, in place using foundation funds — Required to initiate the critical path corrector fabrication • Corrector lens grinding and polishing — High priority long lead -- Contract for C 2, C 3 in place; we are in negotiations with the apparent awardee on C 1, C 4 — Occurs coincident with boule procurement to allow development of fixturing for grind & polish • Corrector lens AR coating — In the corrector critical path — Lengthy (3 -4 mo) process; may have to be re-done • Cage, Barrel, and Ring fabrication — Needed to complete corrector assembly and alignment — Requires careful selection of vendors -- similar parts on DES had to be remade to meet tolerance specifications H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 53

Major Procurements • Hexapod manufacture — This was a 2 year procurement on DES because of time needed for vendor to complete the design — Time can be saved if we build an identical unit with same vendor • Focal plate structure manufacture (petals and ring) (foreign inkind procurement) — This has been the subject of substantial R&D related to choice of material, and identification of vendors who can meet tolerances — Prototype manufacture complete • Fibre view camera and lens assembly — A fully operational prototype of this system has been developed and extensively tested — A production unit will be procured to enable software upgrades to be developed and tested without impacting science data collection • Guider CCD detectors — This is a room temperature operation device with sufficiently good specifications to provide tracking for telescope — Cost of the detectors is a substantial fraction of the total guider cost H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 54

Major Procurements • Robotic fibre positioners (DOE with substantial university and foreign contribution) — Will cost $4 M — DOE with substantial in-kind contribution from U. Mich, UAM/CSIC (Spain), and EPFL (Switzerland) • Optical Fibre (foreign in-kind procurement) — This market is dominated by a single supplier (Polymicro) — DESI throughput is optimized by using a custom diameter (107 microns) • Spectrograph camera assemblies — PO for Prototype cameras is in place at vendor — Company is a strong candidate for the production cameras • Spectrograph bench and integration — In final negotiations with vendor to perform development of prototype H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 55

Major Procurements • Spectrograph cryostat mechanical fabrication (foreign in-kind procurement) — This is an important procurement which will be performed by the French CEA, suppliers of the cryostat and detector subsystem • Spectrograph pulse tube coolers — US purchase • Spectrograph CCD detectors — This includes purchase of wafers, custom processing at Dalsa Semiconductor using LBNL masks, and subsidized purchase of short wave detectors from Imaging Technology Laboratories • Instrument Control System computer equipment — Consist s of a bank of high capacity Linux computers • Targeting data disk storage — Targeting data storage requires the use of specialized disk equipment compatible with the NERSC facility H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 56

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Contingency Analysis • Major Procurements • Change Control • Major Risk Items • Summary H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 57

Summary of Leading Risks Risk description Impact Risk Level DOE funding profile shifted or CR ML (R 1 -01, -02) (0. 20) H H Plan for 6 mo CR, Reduce scope Foreign funding less than expected (R 1 -05, -06, -07, -08, -09) Corrector lens blank fab or polishing takes longer than planned (R 2 -03, -04) Barrel alignment procedure requires large CMM (R 3 -03) ML (0. 20) H H MH (0. 25) H H Cost reduction, other funding, Contingency; Drop to threshold KPP Early start, Contingency, schedule Float MH (0. 25) H H External Vendor, Procedures, Contingency, schedule Float Production rate of Positioner Fibre Assembly (R 5 -06) MH (0. 25) H H Additional staff, tooling Contingency, Schedule Float Grating Efficiency/Wavefront does not meet specification (R 603) Accidental damage to lens (R 2 -10, -11, -12, -13) ML (0. 20) H H Accept degraded performance, Contingency/additional gratings L (0. 05) M M Procedures, Contingency, schedule Float Problems in scaling positioner production (R 4 -10) ML (0. 10) M M Early prototyping and preproduction, Contingency H. Heetderks 09/09/2014 Prob. DESI CD-1 Review BO 4. 1 Mitigation/Response 58

Risk: DOE Funding Stretched Out • A 3 month continuing resolution has been assumed for each FY • If the proposed funding profile is delayed beyond this, we will make up the shortfall by the use of contingency • If this is insufficient, we will reduce scope towards the threshold KPP’s H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1

Risk: Loss of Foreign Funding • DESI project objective KPPs can be reached only if foreign Collaboration funding as currently understood comes to pass • The DESI IPT is closely monitoring and being responsive to the needs of these relationships to maximize these foreign contributions • The DESI project will ask to have the foreign MOU’s agreed to at the highest governmental level possible • If this funding does not develop, the DESI project has established threshold KPPs that would still be achievable • Additionally, cost contingency could replace some portion of foreign contributions • If this is not adequate we will reduce cost and hence scope by reducing the number of spectrographs and positioners built H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1

Risk: Polishing Takes Longer • Vendors from whom we have quotes express high confidence in their schedule estimates but experience on other projects suggests a 6 to 12 month slip is not unlikely • This risk is being managed by careful procurement, including development of detailed specifications, rigorous source selection, and close performance management • We have further mitigated this risk by including additional schedule float in the corrector lens fabrication over and above that applied to the overall project • Delay of lens delivery will not materially affect other WBS elements H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1

Risk: Barrel alignment needs large CMM • Risk arises because current plan for aligning lens cells in barrel involves use of a Coordinate Measuring Machine (CMM) at FNAL which was used on the DES barrel alignment and was thought to be too small • This risk will be retired by either 1) Procuring a larger CMM (~$600 K) at FNAL using capital equipment funds, or 2) Subcontracting with a machine shop which has a CMM of the needed size H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1

Risk: Inadequate production rate for positioner fibre assembly • Risk arises because Durham University does not have sufficient laboratory technician staff to support needed rate of polishing of fibres to be installed into positioners • This risk will be retired by either 1) Hiring needed staff and additional polishing equipment, or 2) Using a cleaving technique which avoids the polishing operation — Testing and evaluation of the cleaving process is underway H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1

Risk: Grating Efficiency/Wavefront does not meet specification • Our backup grating vendor has stated that they cannot meet DESI requirements on the grating • Primary vendor can meet requirements, but other higher priority jobs may take presidence • We may have to accept lower throughput (~ 2% hit), or accommodate a schedule slip H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1

Risk: Damage to Lens • As with the corrector lens polishing risk, this risk is being managed by careful procurement, including development of detailed specifications, rigorous source selection, and close performance management • We will mitigate this risk by employing carefully developed procedures and QA practice to the lens handling activities, review of vendor procedures, and minimizing the handling and transportation of the optical components • We have allowed sufficient float in the lens manufacturing schedule to accommodate the re-manufacture of one lens provided there are not additional schedule delays H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1

Added Cost Slides H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 66

DESI Anticipates Funding from DOE and Other Sources • DOE project funding — We are requesting a total of then year $29, 564 K base cost + $10, 995 K contingency = $40, 559 K TPC • Other DESI Funding — Foreign collaborator support • Based on current discussions with our international collaborators, we anticipate a total of ~$10 M of cash and in-kind support — Common Fund (collaborator university and foundation contributions) • University and major laboratory institutional collaborators “buy-in” to the DESI science with in-kind or cash support • We anticipate a minimum of $6 M from this source • This includes $2. 1 M of Moore Foundation monies already received — NOAO funding • Supports Mayall telescope modifications prior to DESI delivery • Supports NOAO planning for DESI installation • Total of $570 K H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 67

Foreign In-Kind Contributions to the DESI Instrument WBS Deliverables 1. 2 Lens fabrication and coating, design and fabrication of lens cells, installation of lenses in the barrel 1. 5. 4 5, 000 fibres with ferrules, 3 m long pigtails Cost Funding Source 4, 300 United Kingdom: Science and Technology Facilities Council 1, 012 Spanish Ministry of Sciences, Education and Sports 1. 5. 6 Ten approximately 35 -meter long fibre optic cables each with 500 fibres 1. 5. 7 Ten spectrograph slitheads for science, plus three calib. slitheads 1. 4. 2 1. 4. 7 Focal plate manufacture (10 machined and drilled wedges) Focal plane fiducials 1. 4. 4 Fibre positioner subassemblies 900 Swiss National Foundation 1. 4. 6 Guide focus arrays 486 1. 6. 7 Spectrograph testing 1, 661 1. 6. 8 30 Cryostats, with detectors installed 1, 903 University of Barcelona France: Aix Etoile Marseille, Centre National de la Recherche Scientifique Commissariat à l’Energie Atomique, Saclay (France) Total H. Heetderks 09/09/2014 10, 262 DESI CD-1 Review BO 4. 1 $K 68

DESI Common Fund Support WBS Deliverables Cost Funding Source 1. 2 Fabrication of corrector lenses 2, 100 Moore Foundation 1. 3 Procure Barrel and Shroud 220 1. 4 Positioners 789 1. 6 1. 9 Spectrograph 1, 632 1, 025 Blue Enhanced Detectors 275 NOAO In-Kind 570 Total H. Heetderks 09/09/2014 6, 616 Other common fund (as currently planned) University of Michigan contribution Ohio State University contribution Imaging Technology Laboratory $K DESI CD-1 Review BO 4. 1 69

DOE + non-DOE Cost Then Year $K (escalated) DOE Funded WBS Description 1. 1 Management 1. 2 Corrector 1. 3 Cage& Barrel 1. 4 Focal Plane 1. 5 Fibre System 1. 6 Spectrograph 1. 7 Instr. Control 1. 8 Data System 1. 9 AI&T OPC TEC 1, 602 192 1, 149 1, 604 520 1, 973 543 620 1, 712 3, 049 30 2, 130 2, 965 230 8, 206 967 1, 639 435 DOE Base Total Contingency Total Project Cost (TPC) H. Heetderks 09/09/2014 Direct. TPC Non-DOE (Foreign and Collaboration) 4, 650 222 5, 607 3, 280 220 4, 568 3, 187 749 2, 036 10, 178 4, 840 1, 510 2, 257 2, 147 570 29, 564 Foreign Total 16, 460 10, 995 40, 558 DESI CD-1 Review BO 4. 1 70

DOE Support of Mayall FY 14 $K FY 15 DESI DOE TPC MIE-OPC (pass through) FY 16 FY 17 500 1, 000 FY 18 FY 19 MIE-TEC 2, 000 3, 400 Non-Project DOE Ops Funding NSF Support for Mayall 3, 400 2, 900 2, 400 1, 400 Total Mayall Funding 3, 400 3, 400 H. Heetderks 09/09/2014 DESI CD-1 Review BO 4. 1 0 71