Welcome to Breakout 5 BO 5 Cost Schedule

Welcome to Breakout #5 (BO 5) Cost, Schedule, and Management (15 -253) Today: 3: 00 pm 3: 45 pm 4: 15 pm 4: 35 pm 5: 00 pm BO 5. 1 Proj Mgnt, Risk, Cost, and Schedule Discussion BO 5. 2 Project Controls, EVMS Discussion Full Committee Executive Session Heetderks Tomorrow: 9: 00 am 9: 20 am 9: 35 am 9: 55 am 10: 10 am 10: 30 am 10: 50 am 11: 00 am BO 5. 3 Equipment Protection Discussion BO 5. 4 EH&S Discussion BO 5. 5 NOAO-DESI Installation Safety Discussion BO 5. 6 Non-Federal Funding/CRADA’s/MOU’s Discussion Adjourn Zimmerman H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 Morgan Klaisner White Lavoie Levi

Project Management, Risk, Cost, and Schedule CD-2 Director’s Review Breakout BO 5. 1 2015 -06 -17 Henry Heetderks (UCB) Project Manager H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1

Outline • DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Contingency Analysis • Major Procurements • Change Control • Summary H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 2

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Contingency Analysis • Major Procurements • Change Control • Summary H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 3

DESI Project Org Chart (PEP Figure 2) Blue text indicates member of IPT H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 4

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Contingency Analysis • Major Procurements • Change Control • Summary H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 5

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 • MOU’s and agreements will be made at the highest level possible • 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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 6

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 ensure that technical and safety related processes are done by assiduously following carefully developed written procedures H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 7

Sergio’s: Management Oversight & Reporting Management Meetings • Bi-weekly conference call with FPD & HQ • Monthly with Project Team • Every 2 months with LBNL COO • Quarterly IPT Meetings Management Reporting • Every 2 months with LBNL COO • Monthly project report • Semi-monthly ARRA • Quarterly Project & ARRA Report H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 8

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Contingency Analysis • Major Procurements • Change Control • Summary H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 9

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 10

DESI System -- WBS 1. 0 H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 11

WBS 1. 2 – Corrector Optics Univ College London / LBNL H. Heetderks 06/17/2015 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 DESI CD-2 Director’s Review BO 5. 1 12

WBS 1. 3 -- Cage, Ring, & Barrel 1. 3. 1 1. 3. 2 1. 3. 3 1. 3. 4 1. 3. 5 1. 3. 6 1. 3. 7 1. 3. 8 Fermi National Accelerator Lab H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 Cage and Barrel Management Corrector Barrel Assembly Cage & Ring Assembly Hexapod Cage Electrical Controller and Interface Cage & Corrector GSE Integration and Testing Ship Cage & Ring to Mayall Telescope 13

WBS 1. 4 -- Focal Plane Assembly LBNL with Others IAA (Spain) I&T LBNL ICE (Spain)/ CIEMAT (Spain), SLAC 1. 4. 1 1. 4. 2 1. 4. 3 1. 4. 4 1. 4. 5 1. 4. 6 1. 4. 7 1. 4. 8 1. 4. 9 Yale Michigan, UAM/CSIC (Spain), EPFL (Switzerland) H. Heetderks 06/17/2015 Focal Plane System Management (LBNL) Focal Plate Structure (IAA) Thermal Enclosure (LBNL) Fibre Positioners (Various) Fibre View Camera (Yale) Guide, Focus, Align’t Sens (Var) Illuminated Fiducials (LBNL) Focal Plate Integration (LBNL) FPS Delivery and Verification (LBNL) DESI CD-2 Director’s Review BO 5. 1 14

WBS 1. 5 -- Fibre System Durham University with LBNL H. Heetderks 06/17/2015 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) DESI CD-2 Director’s Review BO 5. 1 15

WBS 1. 6 -- Spectrographs LBNL with CEA, LAM/OHP, Ohio State University H. Heetderks 06/17/2015 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 DESI CD-2 Director’s Review BO 5. 1 16

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 17

WBS 1. 8 and WBS 1. 9 WBS 1. 8 -- Science Data Analysis 1. 8. 1 1. 8. 2 1. 8. 3 1. 8. 4 1. 8. 5 1. 8. 6 Management of Data Systems Target Selection Pipeline Survey Spectroscopic Pipeline Data Transfer, Archive and Distribution Data Systems Integration WBS 1. 9 -- AI&T 1. 9. 1 1. 9. 2 LBNL, NYU, Univ of Utah, Durham Univ, Siena College, ETH Zurich, Brookhaven LBNL with NOAO AI&T Management Mayall Preparation H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 18

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Contingency Analysis • Major Procurements • Change Control • Summary H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 19

DESI Top Level Schedule H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 20

DESI Top Level Schedule H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 21

DESI Top Level Schedule H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 22

DESI Top Level Schedule H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 23

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 24

Project Summary Schedule (1 of 2) H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 25

Project Summary Schedule (2 of 2) Assumes 10 spectrographs. Threshold KPP is met in Q 2 FY 18 with 6 spectrographs. H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 26

Critical Path H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 27

Float on DOE Deliverables WBS Milestone/Deliverable Early Forecast Date stated in PEP Float to CD-4 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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 28

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Project Cost Summary • Risk Management • Contingency Analysis • Major Procurements • Change Control • Summary H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 29

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 30

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 06/17/2015 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-2 Director’s Review BO 5. 1 1. 4 1. 8 3. 2 Total 8. 4 1. 5 1. 8 19. 7 9. 2 40. 6 31

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 32

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 33

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, 421 432 182 10 29 1 811 338 1, 291 797 42 3, 280 4, 650 222 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 06/17/2015 5, 780 2, 635 DESI CD-2 Director’s Review BO 5. 1 384 10, 178 1, 500 1, 405 29, 564 34

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 35

WBS 1. 9. 5 Mayall Operations pass-thru funding • DOE/NSF-negotiated funding of the portions of the Mayall operating budgets for FY 18 and FY 19 that are not covered by DESI-specific funding in WBS 1. 9. 2 or by NSF funding. H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 36

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Contingency Analysis • Major Procurements • Change Control • Summary H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 37

WBS 1. 1 Risk Management Eric Anderssen (LBNL) Risk Manager H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1

Risk Management • • • Plan Risk Management Identify Risks Qualitative Risk analysis (Risk Ranking) Quantitative Risk analysis (Monte Carlo) Plan Risk responses Monitor and Control Risk H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 39

Risk Management Plan • First step in Risk Management is to plan the process — Define the process, roles and responsibilities — Engage Project Management in the process • Need Image Risk Management Plan Status: — Risk Management Plan (RMP) written — Risk Register is a controlled document — Project principals are engaged in the process • Consistent with best practices — “PMBOK Guide” ANSI Standard (ANSI/PMI 08 -001 -2012) — DOE “Risk Management Guide” (DOE G 413. 3 -7 A, 2011) • Management of risk is a continuous process throughout the life cycle of the project H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 40

Roles and Responsibilities • Project Manager and Director (PM/PD) — PM Responsible for the risk management process, monitors risks, and executes risk response plans; manages risk contingency — PD Owns risks which are above L 2 M, e. g. external to project • Level 2 Managers (L 2 M) and their teams — Identify risks, assign probabilities and impacts, develop risk response plans as appropriate, participate in RMB — L 2 M Own all internal risks • Risk Management Board (RMB) — Reviews and updates Risk Register; retiring or modifying existing risks, identifying new risks as project progresses — Meets monthly • Risk Manager (RM) — Interface between L 2 M and PM; maintains Risk Register — Facilitates Risk Management Process H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 41

Risk Management • • • Plan Risk Management Process Identify Risks Qualitative Risk analysis (Risk Ranking) Quantitative Risk analysis (Monte Carlo) Plan Risk responses Monitor and Control Risk H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 42

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 Assembly (R 5 -06) MH (0. 25) H H /Additional staff, tooling, Contingency, Schedule Float Grating Efficiency/Wavefront does not meet specification (R 6 -03) ML (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 06/17/2015 Impact Risk Level Mitigation/Response Early prototyping and preproduction/ Contingency DESI CD-2 Director’s Review BO 5. 1 43

Risk Identification • • Risk Register is under configuration control in Doc. DB Contains sufficient information to conduct MC analysis Truncated example shown below (columns/rows hidden) Summary response plans included H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 44

Risk Identification • ‘Management’ Risks (ascribed to WBS 1. 1 ‘Management’) — Includes risks ‘external’ to project e. g. foreign contributions, CR, etc. • ‘Technical’ risks (subsystems 1. 2 -1. 9) — Identified by L 2 M and their SME’s — L 2 M have risks related to loss of foreign contributions these are explicitly moved to WBS 1. 1, but tracked by L 2 M indicated in ‘WBS’ column of Risk Register • Risk thresholds used to identify risk rank — Rank defined later, summarized here WBS Management Corrector Barrel Focal Plane Fibers Spectrometer ICS DATA Integration SUM High 6 2 1 0 1 1 0 0 0 11 Medium 1 8 1 4 0 2 1 3 1 21 H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 45

Risk Management • • • Plan Risk Management Process Identify Risks Qualitative Risk analysis (Risk Ranking) Quantitative Risk analysis (Monte Carlo) Plan Risk responses Monitor and Control Risk H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 46

Qualitative Risk Analysis (Ranking) Risk probability High Moderately high Moderately low Low > 50% 25 – 50% 10 – 25% < 10% Cost Schedule Scope / Performance LOW LOW < $10 k < 1 wk MEDIUM LOW LOW < $50 k < 3 wks HIGH MEDIUM LOW $200 k <6 wks HIGH MEDIUM Unlimited > 6 wks Negligible Low Medium High Risk Impact • Risks are ranked based on this matrix • Project plan was adjusted early to mitigate some high rank risks for example — Added manpower to fiber production to move off CP — Purchased additional equipment on project • High and Medium risks remain — Identified potential response plans, reduced impact where reasonable, this is a continuous process H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 47

Risk Thresholds • Thresholds set by PM/PD in conjunction with IPT — Establish levels of potential risk impacts that should be tracked — Schedule impact ranked vs CP, but tracked independent of CP • Scope and Performance are subjective assessments — Scope identified and tracked vs objective KPP, not threshold KPP H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 48

Risk Management • • • Plan Risk Management Process Identify Risks Qualitative Risk analysis (Risk Ranking) Quantitative Risk analysis (Monte Carlo) Plan Risk responses Monitor and Control Risk H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 49

Quantitative Analysis Outputs • Cost Contingency has two components: — Bo. E assigns contingency to the cost estimate based on defined uncertainty levels of the project plan (estimate errors) — Quantitative risk analysis estimates additional contingency (Risk Contingency) to address un-planned events • Schedule Contingency has two components: — Prescribed float is included in project plan already to address known uncertainty (estimate errors) to meet the early finish — Quantitative risk analysis estimates additional float beyond early finish and project completion • The project plan (Resource Loaded Schedule) is the first order approach at risk management — Tasks are planned at current levels of understanding and cost/schedule to complete are assigned — Risks represent changes to the plan that cannot or should not be included in the base plan H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 50

Quantitative Risk analysis • • Risks are assigned probability and a triangular distribution impacts for a Monte Carlo analysis Probabilities are professional judgment from L 2 M, SME, or adopted from other projects with similar risks H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 51

Monte Carlo Results • Risk cost contingency is 2. 7 M$ at 90% confidence • Float from ‘Early Finish’ to CD 4 is 14 mo supported by the Monte Carlo results H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 52

Risk Management • • • Plan Risk Management Identify Risks Qualitative Risk analysis (Risk Ranking) Quantitative Risk analysis (Monte Carlo) Plan Risk responses Monitor and Control Risk H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 53

Risk Response • Quantitative Risk analysis feeds into our response plan • Every risk identified in the registry has a summary response plan included • The goal behind identifying a risk is to either include its cost/schedule impact directly into the project plan or carry them in the Risk Registry • Carried risks are necessarily uncertain but can be mitigated — Inclusion of portions of their impacts directly in the project plan is considered regularly to reduce impact or probability in the MC • Risk Response is proactive, but contingent on meeting cost and schedule constraints • Trades between cost/schedule vs scope/performance are already considered for various risks H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 54

Scope and Performance Impacts • Scope and Performance impacts specifically have no cost or schedule impact — Some risk responses were moved to scope/performance to reduce impact on cost/schedule — Damage to Petal, etc. — Do not effect Threshold KPP; assessed against Objective KPP and early finish, but not desired — Low probability • Quantitative Risk Analysis feeds back into to risk response plan based on defined resources — This represents effective cost/schedule management H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 55

Risk Management • • • Plan Risk Management Identify Risks Qualitative Risk analysis (Risk Ranking) Quantitative Risk analysis (Monte Carlo) Plan Risk responses Monitor and Control Risk H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 56

Monitor and Control Risks • L 2 M are actively engaged in the risk management process — They have identified risks and engaged in mitigation strategies during the project planning process — Risks that remain in the Risk Registry have plans to retire them • Identified risks have actively been retired (13 retired risks) — Some risks were realized and their impacts absorbed in the project, e. g. R 6 -01 ‘Blue Triplet bonding will fail’ — Others have been retired due to recent scheduled down select (branched decision) • RMB (Risk Management Board) meets regularly — Technical Board (TB) meets weekly; RMB is convened as required with the same members H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 57

Conclusions • Key risks have been identified, and are being tracked in a risk Register • Monte-Carlo analysis has been conducted on the inputs from management and L 2 M’s to assess management reserve • A risk management plan has been developed with defined responsibilities and processes H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1

Backup Slides H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1

Key Documents • Risk Management Plan — https: //desi. lbl. gov/Doc. DB/cgi-bin/private/Show. Document? docid=324 • Risk Register — https: //desi. lbl. gov/Doc. DB/cgi-bin/private/Show. Document? docid=376 H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1

Risk Example (R 6 -08) • Yield model uncertainty requires another batch run — Including the extra batch on-project inflates base cost — If this occurs, having some reserve to cover is desired • Risk probability is low, cost moderate — Assign some portion of Management Reserve to cover — The other option would be to accept risk if it occurs and take scope/performance hit (no attribution to reserve) H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 61

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Contingency Analysis • Major Procurements • Change Control • Summary H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 62

Cost Contingency Development • Cost Contingency generated from the Monte Carlo over the DESI Risk Registry $2. 1 M — Cost for 90% confidence • Cost Contingency developed from an analysis of the Basis of Estimate sheets $6. 1 M • Cost of DESI Project Office during schedule extension predicted by Risk Monte Carlo $2. 1 M — PM, DPM, Cost Analyst, Ad Min — $1. 4 M burn rate X 18 months float for 90 • Cost of NOAO operation during schedule extension predicted by Risk Monte Carlo — $3. 8 M burn rate X (18 months – 3 mo. already covered) $4. 8 M _______ Total Contingency Required $15. 2 M H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 63

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 ensure 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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 64

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 65 H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 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, • L 3 – Established Procedure: 20‐ 30% contingency for a very similar for example the task of overseeing the fabrication and testing of an electronics component. 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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 66

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 67

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 68

Required Risk Cost Contingency vs Confidence H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 69

Required Float vs Confidence H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 70

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 71

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Contingency Analysis • Major Procurements • Change Control • Summary H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 72

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 73

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 74

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 75

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 76

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 77

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 78

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Contingency Analysis • Major Procurements • Change Control • Summary H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 79

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 80

Change Control Thresholds (1) (Table 13 in PEP) Approved By Scope Cost* CC Level 0 Change CC Level 1 Change CC Level 2 Change CC Level 3 Ch’g Deputy Director for Science Acquisition Executive Federal Project Director* Changes in scope affecting technical Any change in scope Any changes that performance of WBS and/or performance negatively impact Level 2 components that affects the ability to achieving the Objective that do not affect the satisfy the mission or Threshold Key KPPs or Major changes need or is not in Performance Parameters in technology or conformance with the (KPPs) as defined in the approach to Level 2 current approved PEP WBS components Section 2. 1 Contractor Project Manager 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 Changes to technical scope below the FPD thresholds Any use of management reserve * Any contingency usage will require the approval by the FPD or Federal personnel. The FPD has the authority to allocate contingency to management reserve through the change control process. H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 81

Change Control Thresholds (2) (Table 13 in PEP) CC Level 0 Change CC Level 1 Change Deputy Director for Science Acquisition Executive 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 CC Level 2 Change CC Level 3 Ch’g Federal Project Director* ≥ 3 month delay to a Level 2 milestone date shown in Table 8 Contractor Project Manager 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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 82

• DESI Project Organization • Management Strategy • DESI WBS Overview • DESI Schedule • DESI Cost Summary • Risk Management • Contingency Analysis • Major Procurements • Change Control • Summary H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 83

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 84

Back Up H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 85

• 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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 86

Summary of Leading Risks 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 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 06/17/2015 Mitigation/Response DESI CD-2 Director’s Review BO 5. 1 87

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 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 06/17/2015 DESI CD-2 Director’s Review BO 5. 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 06/17/2015 DESI CD-2 Director’s Review BO 5. 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 06/17/2015 DESI CD-2 Director’s Review BO 5. 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 06/17/2015 DESI CD-2 Director’s Review BO 5. 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 06/17/2015 DESI CD-2 Director’s Review BO 5. 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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1

Added Cost Slides H. Heetderks 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 95

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 96

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 06/17/2015 10, 262 $K DESI CD-2 Director’s Review BO 5. 1 97

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 06/17/2015 6, 616 Other common fund (as currently planned) University of Michigan contribution Ohio State University contribution Imaging Technology Laboratory $K DESI CD-2 Director’s Review BO 5. 1 98

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 06/17/2015 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-2 Director’s Review BO 5. 1 99

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 06/17/2015 DESI CD-2 Director’s Review BO 5. 1 0 100