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 FERMILAB 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 MS Project Schedule (DESI-0397) • Identified major subsystems and selected managers at WBS level 2 • Level 2 managers carried WBS down to lowest level and developed schedule in MS Project from the bottom 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 refine the MS Project schedule with task durations and linkages (~2, 300 activities plus ~ 550 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 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. 6 1. 2 1. 9 1. 7 1. 5 1. 9 1. 3 1. 8 1. 4 1. 2 1. 8 1. 6 1. 4 1. 7 1. 9 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: ICS Preliminary Design Complete L 2: Fused Silica Lenses Ground and polished L 2: EM 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: 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 I&T L 2: Ready to Begin Mayall shutdown 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: Corrector delivered to Mayall, aligned, and ready to install L 2: Spectrographic Pipeline Operational at Scale L 2: Unit 6 Spectrograph Tested and ready to install (threshold) L 2: FPS delivered at Mayall, verified, ready to install L 2: ICS Production System Complete L 2: Ready to begin Instrument Commissioning L 2: Unit 10 Spectrograph Tested and ready to install (objective) 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 -01 2017 -08 -23 2017 -10 -05 2017 -11 -21 2017 -11 -29 2017 -12 -01 2018 -01 -02 2018 -01 -19 2018 -05 -01 2018 -06 -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 -01 2017 -11 -23 2018 -01 -05 2018 -02 -21 2018 -03 -01 2018 -04 -02 2018 -04 -20 2018 -08 -01 2018 -09 -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 • Other DESI Funding — Foreign collaborator in-kind support — Common Fund (foundation contributions and collaborator university in-kind and cash contributions as “buy-in”) — NOAO funding to support 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

Project Cost Summary (TY$K) (From PEP) WBS Element 1. 1 1. 2 1. 3 1. 4 1. 5 1. 6 1. 7 1. 8 1. 9 WBS Title Total Project Management Corrector and ADC Assembly Cage & Ring Assembly with Barrel Components Focal Plane Assembly Fiber System with Spectrograph Slit Assembly Spectrographs Instrument Control System Data System Level Assembly, Integration and Testing Direct Total Estimated Cost (TEC) TEC Contingency (47%) TEC 3, 049 30 2, 130 2, 965 230 8, 206 967 1, 639 435 19, 651 9, 210 28, 861 Direct Other Project Costs (OPC) OPC Contingency (18%) OPC TPC (includes 37% contingency) 9, 915 1, 785 11, 700 40, 561 H. Heetderks 09/09/2014 DESI CD-1 Review P-9 13

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, 526 1, 702 9, 078 8, 072 1, 405 18, 555 11, 008 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 P-9 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 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 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 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 P-9 $K 15

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 P-9 16

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 1, 602 192 1, 149 1, 604 520 1, 973 543 620 1, 712 Direct. TPC 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 DESI CD-1 Review P-9 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 17

• 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 18

DESI has an Active Risk Management Process • Risk Management plan is released (DESI-0324) — Detailed discussion in Management Breakout • The Risk Registry currently tracks 55 risks (DESI-0376) • 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 19

Summary of Leading Risks Risk description Prob. DOE funding profile shifted or CR (R 1 -01, -02) ML (0. 20) H H Plan assumes 3 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, schedule float/ Contingency MH (0. 25) H H External Vendor, Procedures, Contingency, schedule Float Production rate of Positioner Fiber MH Assembly (R 5 -06) (0. 25) H H /Additional staff, tooling, Contingency, Schedule Float Grating Efficiency/Wavefront does ML not meet specification (R 6 -03) (0. 20) H H Accidental damage to lens (R 2 -10, -11, -12, -13) L (0. 05) M M /Accept degraded performance, Contingency, additional gratings Procedures, schedule float/ Contingency Problems in scaling positioner production (R 4 -10) ML (0. 10) M M H. Heetderks 09/09/2014 Impact Risk Level DESI CD-1 Review P-9 Mitigation/Response Early prototyping and preproduction/ Contingency 20

• 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 21

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 (DESI-0594) — Corrector Optics Final Design Review — Spectrograph Cameras Preliminary Design Review — Corrector Optics Delta Review (DESI-0785) — 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 22

Laboratory Director’s Review • Project Management Recommendations: — — • 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 Corrector and Optics Recommendations: — — • -- Done; see org chart -- Done; see PEP, P 2 -- Done; see CDR -- Done; EH&S talk BO 4. 3 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 -- Done; BO 1. 1, BO 4. 2 -- In current design; BO 2. 1 -- This review; P 7 -- Done; see 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 -- Done; see DESI-0715 -- This Review; P 3 -- Done; I&T Taskforce Report -- Done; see DESI-0778 23

• 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 24

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 — Mass, Power, Cooling (DESI-0457, -0458, -0459) • Quality Assurance • Interface Development and Management (DESI-0379) • Throughput tracking (DESI-0347) H. Heetderks 09/09/2014 DESI CD-1 Review P-9 25

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 26 H. Heetderks 09/09/2014 DESI CD-1 Review P-9

System Throughput Tracking (DESI-0347) • Primary reflectance • Glass absorption and reflection • Vignetting • Blur • Lateral fiber errors • Fiber system -- Focal Ratio Degradation • Fiber system -- Wavelength Dependent Attenuation • Spectrograph parameters 27 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 28

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 29

DESI EH&S Approach • At LBNL Pub-3000 is defining document • DESI p-Hazard Assessment Report specifies controls — Ergonomic, Electrical, Cryogens, etc. — The DESI Safety Officer works with Level 2 managers to analyze hazards and develop procedures and controls • At other venues (e. g. Mayall) Local safety rules apply — DESI Safety Officer 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 30

• 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 31

CD-1 Readiness • Programmatic WBS Dictionary - scope of project defined (DESI-0398) Risk Registry – risks defined and managed (DESI-0376) — Instrument Cost Estimate – detailed Basis of Estimates developed (DESIdesigns are at or 0399) beyond Schedule – past CD-1 maturity (DESI-0397) conceptual design and meet Long lead procurements defined (See BO 4. 1) technical Management plans drafted (DESI-0381, -0382) requirements Technical — Baseline Major requirements & interfaces defined (DESI-0379) documents Corrector Requirements and final design (DESI-0478) (functional, Focal Plane Requirements (DESI-0810) design, cost & schedule) Positioner Requirements (DESI-455) developed and Fibre Requirements (DESI-581) under review Spectrograph Requirements and Prel. Design (DESI-0613) 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, Positioners & Spectrograph CD-1 criteria complete H. Heetderks 09/09/2014 DESI CD-1 Review P-9 32

CD-1 Documents Checklist CD-0 Approve Mission Need Acquisition Strategy (AS) released (DESI-0382) Preliminary Project Execution Plan (p. PEP) released (DESI-0381) Federal Project Director (FPD) identified Integrated Project Team (IPT) identified and defining doc released (DESI-0312) Risk Management Plan Developed and in operation (DESI-0324, -0376) Conceptual Design Complete and Reviewed (DESI-0315) Conceptual Design Report Released (DESI-0315) Preliminary Hazard Analysis Report Released (DESI-0380) Integrated Safety Management Plan in place Quality Assurance Program (QAP) in place National Environmental Policy Act (NEPA) strategy developed Independent Project Review Complete H. Heetderks 09/09/2014 DESI CD-1 Review P-9 33

• 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 34

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 35

Back Up H. Heetderks 09/09/2014 DESI CD-1 Review P-9 36

Acronyms • IAA -- Instituto de Astrofisica de Andalucia (Granada, Spain) • UAM-CSIC -- Autonomous University of Madrid - Spanish National Research Council. • ICE -- Institut de Ciencies de L’Espai (Spain) • CIEMAT -- Centro de Investigaciones Energéticas, Medioambientales y Tecnológicas (Madrid, Spain) • EPFL -- Ecole Polytechnique Federal de Lausanne • -- Aix Etoile Marseille • LAM • OHP • CEA -- Commissariat à l’Energie Atomique, Saclay (France) H. Heetderks 09/09/2014 DESI CD-1 Review P-9 37

DOE Support of Mayall FY 14 $K FY 15 DESI DOE TPC FY 16 FY 17 500 1, 000 MIE-OPC (pass through) 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 P-9 0 38

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 39

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 40