DESI Project Management CD1 Review Plenary P 9

DESI Project Management CD-1 Review Plenary P 9 2014 -09 -09 Henry Heetderks (UCB) Project Manager H. Heetderks 09/09/2014 DESI CD-1 Review P-9

Outline • DESI Project Organization • DESI WBS Overview • DESI Schedule • Cost Summary • Risk Management • Technical Reviews • Systems Engineering • EH&S • CD-1 Preparations Status • Summary H. Heetderks 09/09/2014 DESI CD-1 Review P-9 2

• DESI Project Organization • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Technical Reviews • Systems Engineering • EH&S • CD-1 Preparations Status • Summary H. Heetderks 09/09/2014 DESI CD-1 Review P-9 3

DESI Project Org Chart H. Heetderks 09/09/2014 DESI CD-1 Review P-9 4

• DESI Project Organization • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Technical Reviews • Systems Engineering • EH&S • CD-1 Preparations Status • Summary H. Heetderks 09/09/2014 DESI CD-1 Review P-9 5

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 Fiber 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 P-9 6

• DESI Project Organization • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Technical Reviews • Systems Engineering • EH&S • CD-1 Preparations Status • Summary H. Heetderks 09/09/2014 DESI CD-1 Review P-9 7

Development of the Resource Loaded Schedule • Identified major subsystems and selected managers at WBS level 2 • Level 2 managers carried WBS down to lowest level and developed schedule from bottoms up • Generated WBS dictionary to level 3 • PM with Level 2 Managers and Project Controls iterated schedule to insure Level 1 milestones were met • Level 2 managers with Project Controls and PM developed resource requirements at the lowest task level and prepared BOE sheets at level 3 • Level 2 managers worked with the LBNL Project Controls office to develop an MS Project schedule with task durations and linkages (~2, 300 activities with ~ 500 specified milestones) • Resource leveling is in process to accommodate funding profiles and project constraints H. Heetderks 09/09/2014 DESI CD-1 Review P-9 8

DESI Top Level Schedule H. Heetderks 09/09/2014 DESI CD-1 Review P-9

Level 2 Milestones WBS Level 2 Milestone 1. 4 1. 5 1. 6 1. 5 1. 7 1. 2 1. 6 1. 8 1. 5 1. 2 1. 4 1. 3 1. 6 1. 2 1. 9 1. 7 1. 5 1. 9 1. 3 1. 8 1. 4 1. 6 1. 4 1. 7 1. 8 1. 6 L 2: Actuator Down-Select L 2: Prototype Fiber received and verified L 2: Prototype Detectors and F/E Electronics Delivered to Cryostat Supplier L 2: Splicing Testing & Validation Complete L 2: Instrument Control System Preliminary Design Complete L 2: Fused Silica Lenses Ground and polished L 2: Prototype Spectrograph Fully Verified L 2: Preliminary pipeline running end-to-end on DESI sims L 2: End to End Fibre Test, Proto DESI Lot Complete L 2: Fused Silica lenses Coated L 2: Focal plate structure ready for integration L 2: Barrel Elements ready for pinning of Lens Cells L 2: Scope alternative for additional spectrographs L 2: Receive cells and barrel from FNAL L 2: Mayall Facility Preparations Complete L 2: ICS Prototype Development Complete L 2: Delivery of complete fibre system to Integration and Testing L 2: Mayall Installation Plans/Training Complete L 2: Full Assembly and Verification of Ring, Cage and Barrel L 2: Target Selection Pipeline Operational at Scale L 2: Focal plate loading and testing complete L 2: Unit 6 Spectrograph Test and Calibration Complete L 2: Focal Plane System delivered at Mayall, unpacked, and verified L 2: ICS Production System Complete L 2: Spectrographic Pipeline Operational at Scale (data syst del 2 jan 2018) L 2: Unit 10 Spectrograph Test and Calibration Complete H. Heetderks 09/09/2014 DESI CD-1 Review P-9 Early Finish Date Shown Date In PEP 2014 -06 -16 2014 -12 -04 2015 -02 -27 2015 -04 -07 2015 -07 -01 2015 -11 -12 2016 -01 -19 2016 -02 -01 2016 -03 -04 2016 -03 -31 2016 -05 -30 2016 -10 -31 2016 -11 -04 2016 -11 -07 2016 -12 -08 2017 -07 -21 2017 -08 -23 2017 -10 -05 2017 -11 -21 2017 -11 -29 2018 -01 -19 2018 -02 -16 2018 -04 -30 2018 -05 -01 2018 -07 -10 Complete 2015 -03 -06 2015 -05 -29 2015 -07 -08 2015 -10 -01 2016 -02 -12 2016 -04 -20 2016 -05 -04 2016 -06 -03 2016 -07 -01 2016 -08 -30 2017 -01 -31 2017 -02 -03 2017 -02 -07 2017 -03 -10 2017 -10 -20 2017 -11 -23 2018 -01 -05 2018 -02 -21 2018 -03 -01 2018 -04 -20 2018 -05 -19 2018 -07 -31 2018 -08 -01 2018 -10 -10 10

• DESI Project Organization • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Technical Reviews • Systems Engineering • EH&S • CD-1 Preparations Status • Summary H. Heetderks 09/09/2014 DESI CD-1 Review P-9 11

DESI Anticipates Funding from DOE and Other Sources • DOE project funding — We are requesting a total of then year $29, 564 K base cost • Other DESI Funding — Foreign collaborator support — Common Fund (collaborator university and foundation contributions) — NOAO funding to supports Mayall telescope modifications prior to DESI delivery and NOAO planning for DESI installation H. Heetderks 09/09/2014 DESI CD-1 Review P-9 12

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 fibers with ferrules, 3 m long pigtails 1. 5. 6 Ten approximately 33 -meter long fiber optic cables each with 500 fibers 1. 5. 7 Ten spectrograph slitheads for science, plus three calib. slitheads 1. 4. 2 1. 4. 7 Focal plate manufacture (10 machined Spanish Ministry of Sciences, Education and drilled wedges) and Sports Focal plane fiducials 1. 4. 4 Fiber positioner subassemblies 1. 4. 6 Guide focus arrays 1. 6. 7 Spectrograph testing 1. 6. 8 30 Cryostats, with detectors installed H. Heetderks 09/09/2014 Funding Source United Kingdom: Science and Technology Facilities Council Swiss National Foundation University of Barcelona France: Aix Etoile Marseille, Centre National de la Recherche Scientifique Commissariat à l’Energie Atomique, Saclay (France) DESI CD-1 Review P-9 13

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 Fiber System 1. 6 Spectrograph 1. 7 Instr. Control 1. 8 Data System 1. 9 AI&T OPC TEC TPC Non-DOE (Foreign and Collaboration) 4, 650 222 3, 280 4, 568 749 10, 178 1, 510 2, 257 647 1, 500 29, 564 16, 414 Project Total (without Contingency) 45, 987 DOE Mayall Support 1, 602 192 1, 149 1, 604 520 1, 973 543 620 212 1, 500 3, 049 30 2, 130 2, 965 230 8, 206 967 1, 639 435 Base Total 5, 607 220 3, 187 2, 036 4, 864 500 DOE Base Cost H. Heetderks 09/09/2014 DESI CD-1 Review P-9 14

DESI Proposed DOE Budget Profile with Contingency • • Base cost comes directly from the resource loaded MS Project schedule Total Contingency is $8, 289 K from Cost BOE calculation plus $2, 706 K from the risk Monte Carlo for a total of $10, 995 K Then Year $K FY 15 FY 16 FY 17 FY 18 Funding Type OPC & TEC 25% -- 75% 8% -- 92% TEC Labor 4, 305 4, 641 4, 336 1, 195 14, 477 Materials 1, 475 7, 463 4, 438 210 13, 586 Total Base 5, 780 12, 604 9, 774 1, 405 29, 564 Contingency 1, 220 2, 596 5, 426 1, 795 10, 995 Grand Total 7, 000 15, 200 3, 200 40, 559 H. Heetderks 09/09/2014 DESI CD-1 Review P-9 TOTAL 15

• DESI Project Organization • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Technical Reviews • Systems Engineering • EH&S • CD-1 Preparations Status • Summary H. Heetderks 09/09/2014 DESI CD-1 Review P-9 16

DESI has an Active Risk Management Process • Risk Management plan is released — Detailed discussion in Management Breakout • The Risk Registry currently tracks 55 risks • The component of contingency needed to offset the listed risks is calculated from a Monte Carlo over the risk items • The following slide shows a summary of the Major Risks H. Heetderks 09/09/2014 DESI CD-1 Review P-9 17

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 Fiber 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 P-9 Mitigation/Response 18

• DESI Project Organization • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Technical Reviews • Systems Engineering • EH&S • CD-1 Preparations Status • Summary H. Heetderks 09/09/2014 DESI CD-1 Review P-9 19

Technical Reviews • We are performing technical reviews of all major elements • Reviews cover requirements, design, budget, schedule, hazards, risk, staffing, production planning • Reviews occur at the preliminary and final design and production readiness stages as appropriate • Include both internal and external reviewers • Reviews held so far: — Laboratory Director’s Review — Corrector Optics Final Design Review — Spectrograph Cameras Preliminary Design Review — Corrector Optics Delta Review — Review and Downselect of Positioner Designs — Spectrograph Cameras Final Design Review — Corrector Barrel Preliminary Design Review H. Heetderks 09/09/2014 DESI CD-1 Review P-9 20

Laboratory Directors Review • Project Management Recommendations: — — • Done; see org chart Done; see PEP, P 2 Done; see CDR Done; EH&S talk BO 4. 3 Clearly state top-level Science Requirements Present Fo. M forecasts as function of survey parameters Need more analysis to support targeting strategy Show profile of funded and contributed DA effort Establish MOU’s for uncosted DA work ------ Done; see SRD Done ; see CDR Done ; see BO 5 In Process ----- Done; BO 1. 1, BO 4. 2 In current design; BO 2. 1 This review; P 7 Done; see SRD ----- Done; see DESI-0715 This Review; P 3 Done; I&T Taskforce Report Done; see DESI-0778 Corrector and Optics Recommendations: — — • ----- Science Recommendations: — — — • Name Key Scientists Revise KPP’s to ensure Stage IV is met Clearly Define Deliverables to achieve CD-4 Involve L 2 Managers in EH&S planning Show requirements flow down for CD-1 Review Consider additional shutter in Spectrograph Clarify responsibility and funding for Mayall work Use consistent units in SRD Instrument Recommendations: — — Perform downselect on positioner Show technical requirements flowdown at CD-1 rev Develop a draft ICD between DESI and Mayall Include operations and maintenance in requirements H. Heetderks 09/09/2014 DESI CD-1 Review P-9 21

• DESI Project Organization • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Technical Reviews • Systems Engineering • EH&S • CD-1 Preparations Status • Summary H. Heetderks 09/09/2014 DESI CD-1 Review P-9 22

Systems Engineering Activities • Baseline Design Development — Starting Point is Science Requirements (documented in SRD) — Trades and alternatives (Value Engineering) — Lower level instrument requirements are developed and captured in controlled documents — Configuration Management System is based on Doc-DB (developed for and used by DES) — Currently ~700 documents and drawings in Doc-DB — Process is described in detail in the System Engineering talk in the Management Breakout • Resource tracking • Quality Assurance • Interface Management • Throughput tracking 23 H. Heetderks 09/09/2014 DESI CD-1 Review P-9

DESI Interface Matrix: DESI-0379 Populated cells show type of interface and DESI document number of ICD. Letter code indicates type of interface M -- Mechanical C -- Command/Monitor/Telemetry T -- Thermal D -- Data Number gives DESI document # for that interface 24 H. Heetderks 09/09/2014 DESI CD-1 Review P-9

System Throughput Tracking • Primary reflectance • Glass absorption and reflection • Vignetting • Blur • Lateral fiber errors • Fiber system -- Focal Ratio Degradation • Fiber system -- Wavelength Dependence • Spectrograph parameters 25 H. Heetderks 09/09/2014 DESI CD-1 Review P-9

• DESI Project Organization • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Technical Reviews • Systems Engineering • EH&S • CD-1 Documentation • Summary H. Heetderks 09/09/2014 DESI CD-1 Review P-9 26

LBNL Environment, Health & Safety • Integrated Safety Management (ISM) Core Functions: • • • Define the Scope of Work Analyze the Hazards Develop and Implement Hazard Controls Perform Work within Controls Provide Feedback and Continuous Improvement H. Heetderks 09/09/2014 DESI CD-1 Review P-9 27

DESI EH&S Approach • p-Hazard Assessment Report defines: — Ergonomic, Electrical, Cryogens, etc. — The DESI Safety Manager works with Level 2 managers to analyze hazards and develop procedures and controls • At LBNL Pub-3000 is defining document • At other venues (e. g. Mayall) Local safety rules apply — DESI Safety Manager will work with counter parts to ensure practices meet LBNL requirements • DESI Project Team is available to assist in dealing with less common hazards • Lessons Learned will be shared among collaborators — E. g. DECam H. Heetderks 09/09/2014 DESI CD-1 Review P-9 28

• DESI Project Organization • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Technical Reviews • Systems Engineering • EH&S • CD-1 Preparations Status • Summary H. Heetderks 09/09/2014 DESI CD-1 Review P-9 29

CD-1 Readiness • CD-1 criteria complete — Instrument designs are at or beyond conceptual design and meet technical requirements — Baseline documents (functional, design, cost & schedule) developed and in place Programmatic WBS Dictionary - scope of project defined Risk Registry – risks defined and managed Cost Estimate – detailed Basis of Estimates developed Schedule – resource loading approaching CD-2 maturity Long lead procurements defined Management plans drafted Technical Major requirements & interfaces defined Corrector Requirements (and final design) Focal Plane, Positioner, and Fiber Requirements Spectrograph Requirements (and Preliminary design) Internal Interfaces In Process Technical design maturity exceeds CD-1 requirement (Conceptual Design) & provides sufficient information to develop a solid cost estimate range Design Reviews held on Corrector, Barrel, & Spectrograph H. Heetderks 09/09/2014 DESI CD-1 Review P-9 30

CD-1 Checklist Status CD-0 Approve Mission Need Acquisition Strategy (AS) released Preliminary Project Execution Plan (p. PEP) released Federal Project Director (FPD) identified Integrated Project Team (IPT) identified and defining document released Risk Management Plan Developed and in operation Conceptual Design Complete and Reviewed Conceptual Design Report Released Preliminary Hazard Analysis Report Released Integrated Safety Management Plan in place Quality Assurance Program (QAP) in place National Environmental Policy Act (NEPA) strategy developed Independent Project Review in process H. Heetderks 09/09/2014 DESI CD-1 Review P-9 31

• DESI Project Organization • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Technical Reviews • Systems Engineering • EH&S • CD-1 Preparations Status • Summary H. Heetderks 09/09/2014 DESI CD-1 Review P-9 32

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 P-9 33

Back Up H. Heetderks 09/09/2014 DESI CD-1 Review P-9 34

Level 1 Costs & Range • • DOE TPC (TY$): 40. 4 M Cost estimate assumes requested funding profile Foreign participation at expected level Cost range $38. 5 – $46. 5 M, largely accounting for possible foreign funding scenarios OPC Base OPC contingency FY 15 5. 8 FY 16 3. 1 1. 2 0. 6 9. 5 8. 8 1. 4 1. 8 19. 7 2. 0 15. 2 5. 4 15. 2 1. 8 3. 2 9. 2 40. 6 TEC Base TEC contingency TPC H. Heetderks 09/09/2014 7. 0 FY 17 1. 0 DESI CD-1 Review P-9 FY 18 Total 9. 9 TY$M PEP Table 11 35

MIE Funding • OPC (Other Project Costs) — 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 preparatory work by Kitt Peak employees as “pass-through” (DOE $ LBNL NOAO) — Excludes R&D work in FY 14 • TEC (Total Estimated Costs) — Includes Q 2 -FY 16 and thereafter until equipment delivery • TPC = OPC + TEC — Contingency is $11 M (37% of TPC) • Includes risk from shortfall in UK, France, Spain… funding — Descope options total $5 M (10 spectrographs + 10 petals 6) • Operating costs (from research budget) — $3. 4 M (pass-through to NOAO) + $3. 0 M (instrument/pipeline) in FY 14 dollars. To start in FY 18, includes installation. H. Heetderks 09/09/2014 DESI CD-1 Review P-9 36

Previous versions of slides which have been modified H. Heetderks 09/09/2014 DESI CD-1 Review P-9 37

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 • Other DESI Funding — Foreign collaborator support — Common Fund (collaborator university and foundation contributions) — NOAO funding to supports Mayall telescope modifications prior to DESI delivery and NOAO planning for DESI installation H. Heetderks 09/09/2014 DESI CD-1 Review P-9 38

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 Fiber System 1. 6 Spectrograph 1. 7 Instr. Control 1. 8 Data System 1. 9 AI&T OPC DOE Mayall Support 1, 602 192 1, 149 1, 604 520 1, 973 543 620 212 1, 500 TEC 3, 049 30 2, 130 2, 965 230 8, 206 967 1, 639 435 Base Total Contingency Total with Contingency TPC 4, 650 222 3, 280 4, 568 749 10, 178 1, 510 2, 257 647 1, 500 29, 564 10, 995 40, 559 Non-DOE (Foreign and Collaboration) 5, 607 220 3, 187 2, 036 4, 864 500 16, 414 DOE Base Cost H. Heetderks 09/09/2014 DESI CD-1 Review P-9 39

DESI EH&S Approach • p-Hazard Assessment Report defines: — Ergonomic, Electrical, Cryogens, etc. — The DESI Safety Manager works with Level 2 managers to analyze hazards and develop procedures and controls • At LBNL Pub-3000 is defining document — Local safety rules apply • DESI Project Team is available to assist in dealing with less common hazards • Lessons Learned will be shared among collaborators — E. g. DECam H. Heetderks 09/09/2014 DESI CD-1 Review P-9 40