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

3 • DESI Project Organization • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Systems Engineering • EH&S • CD-1 Documentation • 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 6 4

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

Level 2 WBS and Responsible Organization 4 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

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

Development of the Resource Loaded Schedule 8 • 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, 500 lines) • 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 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

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

DESI Anticipates Funding from DOE and Other Sources 13 • 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 12

14 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 and drilled wedges) 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 Spanish Ministry of Sciences, Education and Sports 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 15 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 14

DESI Proposed DOE Budget Profile with Contingency • • 17 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

18 • DESI Project Organization • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Systems Engineering • EH&S • CD-1 Documentation • 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 19 Risk description Prob. Impact Risk Level DOE funding profile shifted or CR (R 1 -01, -02) ML (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 DESI CD-1 Review P-9 Mitigation/Response 18

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

Systems Engineering Activities 21 • 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 20 H. Heetderks 09/09/2014 DESI CD-1 Review P-9

DESI Interface Matrix: DESI-0379 23 Populated cells show type of interface and DESI document number of ICD. Letter code indicates type of interface M C T D ----- Mechanical Command/Monitor/Telemetry Thermal Data Number gives DESI document # for that interface 21 H. Heetderks 09/09/2014 DESI CD-1 Review P-9

System Throughput Tracking 25 • Primary reflectance • Glass absorption and reflection • Vignetting • Blur • Lateral fiber errors • Fiber system -- Focal Ratio Degradation • Fiber system -- Wavelength Dependence • Spectrograph parameters 22 H. Heetderks 09/09/2014 DESI CD-1 Review P-9

26 • DESI Project Organization • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Systems Engineering • EH&S • CD-1 Documentation • Summary H. Heetderks 09/09/2014 DESI CD-1 Review P-9 23

LBNL Environment, Health & Safety 27 • 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 24

DESI EH&S Approach 28 • 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 25

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

CD-1 Readiness • Programmatic 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 H. Heetderks 32 WBS Dictionary - scope of project defined Risk Registry – risks defined and managed Cost Estimate – detailed Basis of Estimates developed Schedule – resource loaded 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 09/09/2014 DESI CD-1 Review P-9 27

CD-1 Checklist Status 33 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 28

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

Summary 35 • 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 30

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 P-9 31

Change Control Thresholds hdh simplifed v 35 Approved By Scope (See Table 12 in PEP) Level 0 Change Level 1 Change Deputy Director for Science Acquisition Executive Change in scope and/or performance that affects the ability to satisfy the mission Any changes in the Key Performance Parameters (KPPs) as defined in the PEP Any increase in TPC, TEC, or OPC of the project as Cumulative allocation of stated in Table 6 $5 M of contingency Cost* Schedule Any delay in CD-4, project completion date as stated in Table 7 Funding Changes to funding profile that negatively impacts the Performance Baseline Changes to Level 1 milestones as shown in Table 7 ( except CD-4). ≥ 6 month changes to Level 2 milestones Level 2 Change Level 3 Change Federal Project Director* Changes in scope or technology of WBS Level 2 components that do not affect the KPPs Cumulative change of ≥$1 M in a WBS Level 2 cost, or allocation of ≥$1 M in contingency Contractor Project Manager ≥ 3 month delay to a Level 2 milestone Changes to technical scope below the FPD thresholds Changes to cost below the FPD threshold Use of contingency ≥$250 K Any delay below the FPD threshold in a Level 2 milestone * 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 P-9 32

Change Control Thresholds (Table from v 35 removing level 0 12 in PEP not showing Level 0) Level 1 Change Approved By Scope Cost* Schedule Level 2 Change Acquisition Executive Federal Project Director* Changes in scope affecting technical performance of WBS Level 2 components that do not Any changes in the Key Performance Parameters affect the KPPs or Major (KPPs) as defined in this PEP changes in technology or approach to Level 2 WBS components Any cumulative change of ≥$1 M in a WBS Level 2 cost shown in Cumulative allocation of $5 M Table 6 or, or cumulative of contingency allocation of ≥$1 M in contingency Any changes to Level 1 milestone as shown in Table ≥ 3 month delay to a Level 2 7 (with the exception of CD-4). milestone date shown in Table 8 ≥ 6 month changes to Level 2 milestone shown in Table 8 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 Any delay below the FPD threshold in a Level 2 milestone date as shown in Table 8 * 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 P-9 33

Change Control Thresholds Unchanged v 35 on two slides(Table 12 in PEP) Level 0 Change Approved By Scope Cost* Deputy Director for Science Any change in scope and/or performance that affects the ability to satisfy the mission need or is not in conformance with the current approved PEP Section 2. 1 Any increase in TPC, TEC, or OPC of the project as stated in Table 6 Level 1 Change Level 2 Change Federal Project Director* Changes in scope affecting technical performance of WBS Any changes in the Key Level 2 components Performance Parameters that do not affect the (KPPs) as defined in this KPPs or Major changes in PEP technology or approach to Level 2 WBS components Acquisition Executive 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 P-9 34

Change Control Thresholds Unchanged v 35 on two slides(Table 12 in PEP) 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 delay in CD-4, project completion date as stated in Table 7 Any changes to Level 1 milestone as shown in Table 7 (with the exception of CD-4). ≥ 6 month changes to Level 2 milestone shown in Table 8 Funding Any changes to funding profile as shown in Table 11 that negatively impacts the Performance Baseline Approved By H. Heetderks 09/09/2014 DESI CD-1 Review P-9 Any delay below ≥ 3 month delay to a the FPD threshold Level 2 milestone in a Level 2 date shown in Table milestone date as 8 shown in Table 8 35

DESI Anticipates Funding from DOE and Other Sources 13 • DOE project funding — We are requesting a total of then year $29, 564 K base cost + $12, 941 K contingency = $42, 505 K to cover the 4 year project • 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 $2, 120 K H. Heetderks 09/09/2014 DESI CD-1 Review P-9 36

DOE Project Cost at Level 2 WBS by Year (Then Year $K) WBS 1. 3 Management, System Engineering, QA, and Safety Corrector and ADC Assembly Cage & Ring Assembly with Barrel Components 1. 4 Focal Plane System (FPS) 1. 5 Fiber System with Spectrograph Slit Assembly 1. 6 Spectrographs 1. 1 1. 2 1. 7 1. 8 1. 9 Instrument Control System (ICS) Survey Planning & Data Systems System Level Assembly, Integration, and Testing Ops (R&D) MIE-OPC MIE-TEC H. Heetderks 09/09/2014 TPC Total 4, 650 5, 527 222 313 FY 14 FY 15 FY 16 Q 1 FY 16 Q 2 -Q 4 FY 17 FY 18 877 1, 311 291 1, 196 1, 421 432 91 182 10 29 1 483 811 338 1, 291 797 42 3, 280 3, 763 474 910 694 2, 083 672 210 4, 568 5, 042 17 481 39 119 101 10 749 766 1, 604 1, 105 868 3, 636 4, 186 93 381 162 292 490 185 1, 510 1, 603 205 454 166 623 939 77 2, 257 2, 464 138 145 67 201 167 67 647 785 500 1, 000 OPC 1, 500 9, 969 9, 774 DOE Mayall Support Totals without Contingency 16 3, 980 5, 780 2, 635 DESI CD-1 Review P-9 384 10, 178 11, 782 1, 405 29, 564 33, 544 37

Alternatives and Value Engineering 22 • • • Site Selection Target Alternatives Selection Atmospheric Dispersion Compensator Wide-Field Corrector Alternatives High resolution wide field corrector • Development of compact, high accuracy, low power and high speed positioners for focal plane Control of throughput and FRD in fiber • • • — >20 designs evaluated by 4 groups — Extensive testing to evaluate connection, polishing techniques Development of techniques to produce a high accuracy focal plane structure Development of spectrograph with sufficient resolution and throughput — Multiple designs evaluated; RFI to major vendors suggested additional design options • Development of spectral extraction algorithms — Intensive study of algorithms to reduce computing costs H. Heetderks 09/09/2014 DESI CD-1 Review P-9 38

DESI Unique Hazards 29 • The DESI lenses are large, heavy, awkward to attach to handling fixtures, easily damaged, and must be located with great precision — Handling fixtures and procedures will be carefully designed with personnel and equipment safety foremost • Planning for installation of the DESI ring, cage, and corrector assembly requires rigging activity at the Mayall telescope which has not been done by the present generation of staff — Precision alignment must be accomplished in a difficult working environment — Requires very careful development of scaffolding, fixturing and procedures, with personnel and equipment safety the first priority H. Heetderks 09/09/2014 DESI CD-1 Review P-9 39

Working on DESI 30 17 meters H. Heetderks 09/09/2014 DESI CD-1 Review P-9 40

Change Control Thresholds v 34 version Approved By Scope Cost* Schedule Funding (See Table 12 in PEP) Level 0 Change Level 1 Change Level 2 Change Level 3 Change Deputy Director for Science Acquisition Executive Federal Project Director* Contractor Project Manager Addition to scope as Change in scope that described in PEP, or affects the ability to satisfy major changes in the mission need technology at WBS Level 2 The larger cumulative Increase in defined TPC, change of greater than TEC, or OPC (with 50% or $5 M of Level 2 contingency) of the project WBS* Change to Level 1 milestone (except CD-4) Delay of CD-4, OR the project completion date >6 month changes to Level 2 milestone Change to funding profile that negatively impacts the Performance Baseline. Major changes in technology or approach to Level 2 WBS components Major changes to WBS Level 3 components Use of contingency >25% or >$1 M at Level 2 WBS** Use of contingency >10% or >$250 k to Level 2 WBS** >3 month delay to a Level 2 milestone date >1 month delay on Level 2 milestone date * Any contingency usage will require the approval by the FPD or Federal personnel. ** 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 P-9 41

Change Control Thresholds Unchanged v 35 Approved By Scope Cost* (Table 12 in PEP) Level 0 Change Level 1 Change Deputy Director for Science Acquisition Executive Any change in scope and/or performance that affects the ability to satisfy the mission need or is not in conformance with the current approved PEP Section 2. 1 Any changes in the Key Performance Parameters (KPPs) as defined in this PEP Any increase in TPC, TEC, or OPC of the project as Cumulative allocation of stated in Table 6 $5 M of contingency Level 2 Change Level 3 Change Federal Project Director* Changes in scope affecting technical performance of WBS Level 2 components that do not affect the KPPs or Major changes in technology or approach to Level 2 WBS components 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 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 Any changes to Level 1 milestone as shown in Any delay below ≥ 3 month delay to a the FPD threshold Sched- Any delay in CD-4, project Table 7 (with the Level 2 milestone completion date as stated exception of CD-4). in a Level 2 date shown in Table ule in Table 7 ≥ 6 month changes to milestone date as * After the cumulative threshold has been reached and the next 8 higher change authority has been Level 2 milestone shown in Table 8 notified and has approved the changes, the cumulative cost thresholds will reset 42 in Table 8 Review P-9 H. Heetderks 09/09/2014 DESI CD-1

Float on DOE Deliverables WBS Milestone/Deliverable Date at CD-1 Actual/F orecast Date Float on Forecast (to CD-4) 1. 3 Full Assembly and Verification of Ring, Cage and Barrel Jan-18 Oct-17 23 mo 1. 4 FPS Delivered at Mayall, Unpacked and Verified May-18 Feb-18 19 mo 1. 5 Delivery of Complete Fiber System to I&T Oct-17 Jul-17 26 mo 1. 6 Unit 10 Spectrograph Test and Calibration Complete Oct-18 Jul-18 14 mo 1. 7 ICS Production System Complete Jul-18 Dec-18 21 mo 1. 8 Target Selection Pipeline Operational at Scale Feb-18 Nov-17 22 mo 1. 9 Installation Plans/Training Complete Nov-17 Aug-17 25 mo CD-4 Q 4 FY 19 Sep-19 H. Heetderks 09/09/2014 DESI CD-1 Review P-9 43

Laboratory Directors Review (1) • Project Management Recommendations: — Name Key Scientists — Revised KPP’s — Define Deliverables — Involve L 2 Managers in EH&S planning ----- Done ------ Done in SRD Done in CDR Done in BO 5 In Process • Science Recommendations: — Clearly state top-level Science Requirements — Present Fo. M forecasts as fcn of survey param — Need more analysis to support targeting strategy — Show profile of funded and contributed DA effort — Establish MOU’s for uncosted DA work H. Heetderks 09/09/2014 DESI CD-1 Review P-9 44

Laboratory Directors Review (2) • Corrector and Optics Recommendations: — 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 -- This review -- In current design -- This review -- Done • Instrument Recommendations: — Perform downselect on positioner -- Done — Show technical requirements flowdown at CD-1 rev -- This Review — Develop a draft ICD between DESI and Mayall -- This Review — Include operations and maintenance in requirements • Draft Operations Concept Definition Document released as DESI-0778 H. Heetderks 09/09/2014 DESI CD-1 Review P-9 45