OFFICE OF

SCIENCE

DOE/SC CD-1/3a Reviewof the

High Luminosity LHC Accelerator

Upgrade Project (HL-LHC AUP)

Fermi National Accelerator LaboratoryAugust 8-10, 2017

Kurt Fisher

Committee Chair

Office of Science, U.S. Department of Energy

http://www.science.doe.gov/opa/

OFFICE OF

SCIENCE

2

Deliverables – Due Dates

• Closeout report (prepared in PowerPoint)

• Presented Thursday, August 10

• Instructions—slide 13

• Template—slide 15

• Final report draft (prepared in MS Word)

• Due Monday, August 14 to Casey

(casey.clark@science.doe.gov)

• Instructions—slide 14

OFFICE OF

SCIENCE

3

DOE EXECUTIVE SESSION AGENDA

Tuesday, August 8, 2017—Wilson Hall, Comitium (WH2SE)

8:00 a.m. DOE Executive Session K. Fisher

8:15 a.m. Program Perspective S. Rolli

8:30 a.m. Federal Project Director Perspective J. Kao

8:40 a.m. Questions

8:45 a.m. Adjourn

DOE Executive Session

Project and review information is available at:

https://web.fnal.gov/organization/OPSS/Projects/HL-LHCAcceleratorUpgradeProject/_layouts/15/start.aspx#/SitePages/DOE%20CD-

1%20-%203a%20Review%20of%20HL-LHC%20Accelerator%20Upgrade%20Project%2C%20August%208-10%2C%202017.aspx

OFFICE OF

SCIENCEReview Committee

Participants

4

Kurt Fisher, DOE/SC, Chairperson

SC1 SC2

Magnets Crab Cavities

* Mark Bird, FSU * Ali Nassiri, ANL

Luisa Chiesa, Tufts Cynthia Keppel, TJNAF

Nicolai Martovetsky, ORNL Joe Preble, TJNAF

SC3 SC4

Cost and Schedule Project Management and ES&H

* Frank Gines, DOE/ASO * Jon Kotcher, BNL

Penka Novakova, BNL Mark Reichandter, SLAC

Katie Martin, ANL Ken Fouts, SLAC

Angus Bampton, PNNL

Observers LEGEND

Mike Procario, DOE/HEP SC Subcommittee

Simona Rolli, DOE/HEP * Chairperson

Jerry Kao, DOE/ASO

Carrie Sauter, ANL Count: 14 (excluding observers)

OFFICE OF

SCIENCE

5

CD-1

Delegation Allowed

S-4 SC-1 SC-1 SC-AD SC-AD SC-AD

Approve Acquisition StrategyReviewed by SC-28

Approved by SC-1

Reviewed by SC-28

Approved by SC-1

Reviewed by SC-28

Approved by SC-2

Reviewed by SC-28

Approved by SC-AD

Reviewed by SC-28

Approved by SC-AD

Reviewed by SC-28

Approved by SC-AD

Approve Preliminary Project Execution Plan (PEP) S-4 Reviewed by SC-28

Approved by SC-1

Reviewed by SC-28

Approved by SC-2

Reviewed by SC-28

Approved by SC-AD

Reviewed by SC-28

Approved by SC-AD

Reviewed by SC-28

Approved by SC-AD

Appointment of the Federal Project Director (FPD) S-4 SC-1 SC-1 SC-AD SC-AD SC-AD

Approve Integrated Project Team (IPT) S-4 SC-1 SC-2 SC-AD SC-AD SC-AD

Develop a Risk Management Plan Project Project Project Project Project Project

Comply with the One-for-One Building Space Replacement Project Project Project Project Project Project

Complete a Conceptual Design Project Project Project Project Project Project

Document High Perf. & Sustainable Bldg. & Sustainable

Env. Stewardship considerationsProject Project Project Project Project Project

Conduct a Conceptual Design Review Team external to project Team external to project Team external to project Team external to project Team external to project Team external to project

Complete a Conceptual Design Report Project Project Project Project Project Project

Prepare a Preliminary Hazard Analysis Report Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab

Develop and Implement an Integrated Safety Management

PlanSite Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab

Establish Preliminary Quality Assurance Program (QAP) Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab

Identify general Safeguards and Security requirements for

the recommended alternativeSite Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab

Complete National Environmental Policy Act

(NEPA)Strategy by issuing a determination (i.e., EIS, EA)Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab

Conduct Independent Project Review or External

Independent Review

ICE or ICR by PM

& SC-28

ICE or ICR by PM

& SC-28

ICE or ICR by APM

with SC-28SC-28

SC-28

Tailored

SC-28

Tailored

Update PDS, or other funding documents for MIE and OE

projects, and OMB 300s, if applicable.SC-AD SC-AD SC-AD SC-AD SC-AD SC-AD

Hazard Cat. 1,2,3 Nuclear Facility--Update Safety Design

Strategy (SDS)

SBAA & FPD, w/ CNS or

CDNS concurrence, as

appropriate

SBAA & FPD, w/ CNS or

CDNS concurrence, as

appropriate

SBAA & FPD, w/ CNS or

CDNS concurrence, as

appropriate

SBAA & FPD, w/ CNS or

CDNS concurrence, as

appropriate

SBAA & FPD, w/ CNS or

CDNS concurrence, as

appropriate

SBAA & FPD, w/ CNS or

CDNS concurrence, as

appropriate

Hazard Category 1, 2, and 3 nuclear facilities, conduct an

Independent Project Review (IPR)PSO PSO PSO PSO PSO PSO

Hazard Cat. 1,2,3 Nuclear Facility--Prepare a Conceptual

Safety Design Report (CSDR)SBAA via the CSVR SBAA via the CSVR SBAA via the CSVR SBAA via the CSVR SBAA via the CSVR SBAA via the CSVR

Hazard Cat. 1,2,3 Nuclear Facility--Prepare Conceptual

Safety Validation Report (CSVR)SBAA SBAA SBAA SBAA SBAA SBAA

Hazard Cat. 1,2,3 Nuclear Facility--Initiate a Code of

RecordProject Project Project Project Project Project

Submit approved CD or equivalent documents to APM SC-28 SC-28 SC-28 SC-28 SC-28 SC-28

Allow expenditure of PED, MIE OR OE funds for project

design. Project Project Project Project Project Project

Submit budget request for the remainder of TPC if CD-2 is

approved w/i 1 year of OMB submissionSC-AD SC-AD SC-AD SC-AD SC-AD SC-AD

Update PARS II with monthly statusProg. Mgr. & FPD

No Earned Value (EV)

Prog. Mgr. & FPD

No Earned Value (EV)

Prog. Mgr. & FPD

No Earned Value (EV)

Prog. Mgr. & FPD

No Earned Value (EV)

Prog. Mgr. & FPD

No Earned Value (EV)

Prog. Mgr. & FPD

No Earned Value (EV)

Continue with Monthly or Quarterly Project

Reporting/Meeting

SC-AD

Invite SC-1 and SC-28

SC-AD

Invite SC-1 and SC-28

SC-AD

Invite SC-2 and SC-28SC-AD to invite SC-28 SC-AD to invite SC-28 SC-AD to invite SC-28

Develop an Acquisition Plan if applicable

Hazard Cat. 1,2,3 Nuclear Facility--Develop a Checkout,

Testing & Commissioning Plan Project Project Project Project Project Project

PO

ST

CD

-1

CD-1--APPROVE ALTERNATIVE SELECTION AND

COST RANGE

PR

IOR

TO

CD

-1--

CO

NC

EP

TU

AL

DE

SIG

N

TOTAL PROJECT COST (TPC) $750M or more Less than $750M to $400M Less than $400M to $100M Less than $100M to $50M* Less than $50M* to $20M Less than $20M to $10M**

DECISION / REQUIREMENTS1 / APPROVAL2

Nu

cle

ar

Fa

cili

tyN

ucl

OFFICE OF

SCIENCE

6

CD-3

Delegation Allowed

SC-1 SC-1 SC-2 SC-AD SC-AD SC-AD

Approve updated CD-2 Project Documentation (PEP, AS,

PDS, etc) if major changes

Reviewed by SC-28

Approved by SC-1

Reviewed by SC-28

Approved by SC-1

Reviewed by SC-28

Approved by SC-2

Reviewed by SC-28

Approved by SC-AD

Reviewed by SC-28

Approved by SC-AD

Reviewed by SC-28

Approved by SC-AD

Complete Final Design Project Project Project Project Project Project

Incorporate High Performance & Sustainable Bldg. &

Sustainable Env. Stewardship Project Project Project Project Project Project

Conduct a Final Design Review Team external to project Team external to project Team external to project Team external to project Team external to project Team external to project

Complete Final Design Report Project Project Project Project Project Project

Employ a certified EVMS compliant with ANSI/EIA-748A, or

as defined in the contract Certified by SC-28 Certified by SC-28 Certified by SC-28 Certified by SC-28 Contractor N/A

Execution Readiness ReviewICE or ICR by PM if warranted

or IPR by SC-28

ICE or ICR by PM if warranted

or IPR by SC-28

ICE or ICR by PM if warranted

or IPR by SC-28 SC-28 SC-28 SC-28

Conduct a Technology Readiness Assessment, where

significant CTE modification occursN/A N/A N/A N/A N/A N/A

Update the Hazard Analysis Report Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab

Prepare Construction Project Safety and Health Plan Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab

Update the Quality Assurance Program Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab

Finalize the Security Vulnerability Assessment Report, if

necessarySite Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab Site Office or Lab

Hazard Cat. 1,2,3 Nuclear Facility--Update Safety Design

Strategy (SDS)

SBAA & FPD, w/ CNS or

CDNS concurrence, as

appropriate

SBAA & FPD, w/ CNS or

CDNS concurrence, as

appropriate

SBAA & FPD, w/ CNS or

CDNS concurrence, as

appropriate

SBAA & FPD, w/ CNS or

CDNS concurrence, as

appropriate

SBAA & FPD, w/ CNS or

CDNS concurrence, as

appropriate

SBAA & FPD, w/ CNS or

CDNS concurrence, as

appropriate

Hazard Cat. 1,2,3 Nuclear Facility--Prepare a Preliminary

Documented Safety Analysis 4 that updates the PSDRSBA Authority via the SER SBA Authority via the SER SBA Authority via the SER SBA Authority via the SER SBA Authority via the SER SBA Authority via the SER

Hazard Cat. 1,2,3 Nuclear Facility--Prepare a Safety

Evaluation Report (SER)SBAA w/ FPD concurrence SBAA w/ FPD concurrence SBAA w/ FPD concurrence SBAA w/ FPD concurrence SBAA w/ FPD concurrence SBAA w/ FPD concurrence

Hazard Cat. 1,2,3 Nuclear Facility--Revise the Code of

RecordProject Project Project Project Project Project

Submit approved CD or equivalent documents to APM. If

applicable, any PB BCP to APMSC-28 SC-28 SC-28 SC-28 SC-28 SC-28

Allow expenditure of TPC funds. Update budget document

and OMB 300s if applicable.SC-AD SC-AD SC-AD SC-AD SC-AD SC-AD

Update PARS II with monthly statusProg. Mgr., FPD, and

Contractor

Prog. Mgr., FPD, and

Contractor

Prog. Mgr., FPD, and

Contractor

Prog. Mgr., FPD, and

Contractor

Prog. Mgr., FPD, and

Contractor

Prog. Mgr. & FPD

No Earned Value (EV)

Continue with Monthly or Quarterly Project

Reporting/Meeting

SC-AD

Invite SC-1 and SC-28

SC-AD

Invite SC-1 and SC-28

SC-AD

Invite SC-2 and SC-28SC-AD to invite SC-28 SC-AD to invite SC-28 SC-AD to invite SC-28

Perform EVMS surveillance review Bi-annually by SC-28

Annually by Contractor

Bi-annually by SC-28

Annually by Contractor

Bi-annually by SC-28

Annually by Contractor

Bi-annually by SC-28

Annually by ContractorAnnually by Contractor N/A

Submit Lessons Learned regarding up-front planning and

design 90 days after CD-3FPD FPD FPD FPD FPD FPD

SC-AD Request Annual Project Peer Review by PMSO SC-28 SC-28 SC-28 SC-28 SC-28

Tailored

SC-28

Tailored

CD-3--APPROVE START OF CONSTRUCTION

PR

IOR

TO

CD

-3--

FIN

AL

DE

SIG

NP

OS

T C

D-3

TOTAL PROJECT COST (TPC) $750M or more Less than $750M to $400M Less than $400M to $100M Less than $100M to $50M* Less than $50M* to $20M Less than $20M to $10M**

DECISION / REQUIREMENTS1 / APPROVAL2

Nu

cle

ar

Fa

cil

ity

OFFICE OF

SCIENCE

7

SC Organization

OFFICE OF

SCIENCE

8

Charge Questions

1. Does the acquisition strategy document a carefully considered analysis of

alternatives that supports the preferred alternative?

2. Does the conceptual design satisfy the performance requirements? Does the

conceptual design report and supporting documentation adequately justify the

stated cost range and project duration? Is the need, technical justification and

schedule justification sufficient to approve early materials procurement?

3. Does the proposed project team have adequate management experience, design

skills, and laboratory support to produce a credible technical, cost, and schedule

baseline?

4. Are the ES&H aspects of the project being properly addressed and is the ES&H

planning currently sufficient for this stage of the project?

5. Is the documentation required by DOE O413.b for CD-1 approval complete and in

good order?

OFFICE OF

SCIENCE

9

Agenda

Tuesday, August 8, 2017—Wilson Hall, Comitium (WH2SE)

8:00 am DOE Full Committee Executive Session Fisher

8:45 am Fermilab Welcome – One West (WH1W) Lockyer

8:50 am U.S. Contribution to HL-LHC Project Rossi

9:20 am HL-LHC AUP: Project Overview Apollinari

10:05 am HL-LHC AUP in Fermilab Context Belomestnykh

10:13 am HL-LHC AUP in BNL Context Lissauer

10:21 am HL-LHC AUP in LBNL Context Leemans

10:30 am Break – Outside of One West

10:45 am 302.1 - Project Management Carcagno

11:10 am 302.1 - 2 Magnet System Ambrosio

11:50 am 302.1 – 3 Crab Cavities Ristori

12:10 pm Lunch – 2nd Floor Crossover

1:00 pm Reviewers/Observers Photo – 1st Floor Atrium

1:10 pm Subcommittee Breakout Sessions

Breakout 1a – Magnets – Black Hole (WH2NW)

Breakout 1b – Management – Comitium (WH2SE)

Breakout 1c – Crab Cavities and CD-3a Drill-Down– Snake Pit (WH2NE)

2:45 pm Break – Outside of Comitium

3:00 pm Subcommittee Breakout Sessions (cont)

5:15 pm DOE Full Committee Executive Session

6:00 pm Adjourn

OFFICE OF

SCIENCE

10

Agenda (cont’d)

Wednesday, August 9, 2017

8:30 am LARP as Precursor for HL-LHC AUP - Curia II (WH2SW) Sabbi

9:00 am CD-3a Needs for Strand Procurement Apollinari

9:25 am CD-3a Functional and Technical Readiness Ambrosio

9:55 am CD-3a Procurement and QA Readiness Cooley

10:30 am Break – Outside of Curia II

10:45 am Tour of TD Magnet Assembly Site – Meet Buses in front of Wilson Hall

12:00 pm Lunch – Outside Comitium for Reviewers and Observers

1:00 pm Q&A Session, Executive Session – Comitium (WH2SE)

2:45 pm Break – Outside of Comitium

3:00 pm DOE Full Committee Executive Session, Initial Report Writing

Thursday, August 10, 2017

8:00 am Exec Session/Q&A Follow up/Report Writing – Comitium (WH2SE)

10:00 am Break – Outside of Comitium

10:15 am DOE Full Committee Executive Session/Dry Run

12:00 pm Lunch – Box Lunches Provided for Reviewers and Observers

1:00 pm Close-Out Presentation – Curia II (WH2SW)

2:00 pm Adjourn

OFFICE OF

SCIENCE

11

Report Outline/Writing

Assignments

Executive Summary .....................................................................................................Fisher

1. Introduction ....................................................................................................... Lavine*

2. Technical Systems Evaluation (Charge Questions 1, 2, 3, 5)

2.1 Magnets ............................................................................................... Bird*/SC-1

2.1.1 Findings

2.1.2 Comments

2.1.3 Recommendations

2.2 Crab Cavities ................................................................................... Nassiri*/SC-2

3. Cost and Schedule (Charge Questions 1, 2, 3, 5) ....................................... Gines*/SC-3

4. Project Management and ES&H (Charge Questions 1, 3, 4, 5) .............. Kotcher*/SC-4

*Lead

OFFICE OF

SCIENCE

12

Closeout Presentation

and Final Report

Procedures

OFFICE OF

SCIENCE

13

Format:

Closeout Presentation

OFFICE OF

SCIENCE

14

Format:

Final Report

Please Note: Recommendations are approved by the full committee and presented at the review closeout briefing.

Recommendations SHOULD NOT be changed or altered from the closeout report to the Final Report.

(Use MS Word / 12pt Font)

2.1 Use Section Number/Title corresponding to writing assignment list.

2.1.1 Findings – What the project told us

Include a brief narrative description of technical, cost, schedule, management information

provided by the project. Each subcommittee will emphasize their area of responsibility.

2.1.2 Comments – What we think about what the project told us

Descriptive material assessing the findings and making observations and conclusions

based on the findings. The committee’s answer to the charge questions should be

contained within the text of the Comments Section. Do not number your comments.

2.1.3 Recommendations – What we think the project needs to do

1. Beginning with an action verb, provide a brief, concise, and clear statement with a due date.

2.

Cost and schedule subcommittee should provide attachments for approved project cost breakdown and schedule. Management

subcommittee should provide attachment for approved project organization and names of personnel.

OFFICE OF

SCIENCE

15

Closeout Report on the

DOE/SC CD-1/3a Review of the

High Luminosity LHC Accelerator

Upgrade Project (HL-LHC AUP) Fermi National Accelerator Laboratory

August 8-10, 2017

Kurt Fisher

Committee Chair

Office of Science, U.S. Department of Energy

http://www.science.doe.gov/opa/

OFFICE OF

SCIENCE

16

2.1 Magnets

M. Bird, FSU / Subcommittee 1

• Findings

• Comments

• Recommendations

1. Does the acquisition strategy document a carefully considered analysis of

alternatives that supports the preferred alternative?

2. Does the conceptual design satisfy the performance requirements? Does the

conceptual design report and supporting documentation adequately justify the

stated cost range and project duration? Is the need, technical justification and

schedule justification sufficient to approve early materials procurement?

3. Does the proposed project team have adequate management experience, design

skills, and laboratory support to produce a credible technical, cost, and schedule

baseline?

5. Is the documentation required by DOE O413.b for CD-1 approval complete and

in good order?

OFFICE OF

SCIENCE

17

2.2 Crab Cavities

A. Nassiri, ANL / Subcommittee 2

• Findings

• Comments

• Recommendations

1. Does the acquisition strategy document a carefully considered analysis of

alternatives that supports the preferred alternative?

2. Does the conceptual design satisfy the performance requirements? Does the

conceptual design report and supporting documentation adequately justify the

stated cost range and project duration? Is the need, technical justification and

schedule justification sufficient to approve early materials procurement?

3. Does the proposed project team have adequate management experience, design

skills, and laboratory support to produce a credible technical, cost, and schedule

baseline?

5. Is the documentation required by DOE O413.b for CD-1 approval complete and

in good order?

OFFICE OF

SCIENCE

18

3. Cost and ScheduleF. Gines, DOE/ASO / Subcommittee 3

1. Does the acquisition strategy document a carefully considered analysis of

alternatives that supports the preferred alternative?

2. Does the conceptual design satisfy the performance requirements? Does the

conceptual design report and supporting documentation adequately justify the

stated cost range and project duration? Is the need, technical justification and

schedule justification sufficient to approve early materials procurement?

3. Does the proposed project team have adequate management experience, design

skills, and laboratory support to produce a credible technical, cost, and schedule

baseline?

5. Is the documentation required by DOE O413.b for CD-1 approval complete and

in good order?

• Findings

• Comments

• Recommendations

OFFICE OF

SCIENCE

19

3. Cost and ScheduleF. Gines, DOE/ASO / Subcommittee 3

PROJECT STATUS

Project Type MIE / Line Item / Cooperative Agreement

CD-1 Planned: Actual:

CD-2 Planned: Actual:

CD-3 Planned: Actual:

CD-4 Planned: Actual:

TPC Percent Complete Planned: _____% Actual: _____%

TPC Cost to Date

TPC Committed to Date

TPC

TEC

Contingency Cost (w/Mgmt Reserve) $ _____% to go

Contingency Schedule on CD-4b ______months _____%

CPI Cumulative

SPI Cumulative

OFFICE OF

SCIENCE

20

4. ManagementJ. Kotcher, BNL / Subcommittee 4

1. Does the acquisition strategy document a carefully considered analysis of

alternatives that supports the preferred alternative?

3. Does the proposed project team have adequate management experience, design

skills, and laboratory support to produce a credible technical, cost, and schedule

baseline?

4. Are the ES&H aspects of the project being properly addressed and is the ES&H

planning currently sufficient for this stage of the project?

5. Is the documentation required by DOE O413.b for CD-1 approval complete and

in good order?

• Findings

• Comments

• Recommendations