Accelerator Project to Upgrade LHC (APUL)

Project Management Plan

APUL Document #???

Version 0.2
March 18, 2009
 APUL Project Management Plan

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 APUL Project Management Plan

Submitted, Approved, and Accepted By: Director, Fermilab

Are these the correct signatories?

APUL Brookhaven National Laboratory

_____________________________ _____________________________
P. Wanderer date S. Vigdor date
APUL Project Manager Associate Laboratory Director for Nuclear and
Particle Physics

Fermilab

_____________________________
S. Aronson date
_____________________________ Laboratory Director
S. Holmes date
Associate Director for Accelerators

_____________________________
G. Apollinari date
Head of Technical Division

______________________________
N. Grossman date
ES&H Director

______________________________
P. Garbincius date
Associate Director for Research, Fermilab

______________________________
P. Oddone date

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 APUL Project Management Plan

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Table of Contents
Abbreviations Used in this Document...............................................................................vii
1 Introduction..................................................................................................................1
1.1 Approval and Revision........................................................................................1
1.2 Project Description..............................................................................................1
2 Project Objectives and Performance Criteria..............................................................2
2.1 Scientific Objectives............................................................................................2
2.2 Technical Requirements and Objectives..............................................................2
3 Project Structure and WBS Dictionary........................................................................3
3.1 Work Breakdown Structure (WBS) Overview....................................................3
3.2 WBS Dictionary...................................................................................................3
4 Project Management Structure....................................................................................5
4.1 The Fermilab Directorate.....................................................................................5
4.1.1 The Fermilab Director.................................................................................5
4.1.2 Fermilab Associate Director for Accelerators..............................................5
4.2 Fermilab Divisions & Sections............................................................................6
4.2.1 Technical Division Head..............................................................................6
4.2.2 Business Services Section Head..................................................................6
4.3 The APUL Project Management Team................................................................6
4.3.1 APUL Project Manager...............................................................................7
4.3.2 Deputy Project Manager..............................................................................7
4.3.3 APUL Project Engineer...............................................................................8
4.3.4 APUL ES&H Coordinator...........................................................................8
4.3.5 APUL Documentation Coordinator.............................................................8
4.3.6 APUL Scheduler..........................................................................................9
4.3.7 APUL Budget Officer..................................................................................9
4.4 APUL Subsystem (Level 2) Managers................................................................9
4.5 APUL Project Management Group....................................................................10
4.6 The Technical Advisory Committee..................................................................10
5 Project Controls System.............................................................................................11
5.1 Memoranda of Understanding/Statement of Work............................................11
5.2 Project Execution Plan.......................................................................................12
5.3 Cost Tracking.....................................................................................................12
5.4 Contingency Allocation.....................................................................................12
5.5 Change Controls................................................................................................12
5.5.1 Change Control Procedures.......................................................................13
5.5.2 Technical Change Control Levels..............................................................13
5.5.3 Schedule Change Control Levels...............................................................13
5.5.4 Cost Change Control Levels......................................................................13
5.5.5 Change Control Summary.........................................................................14
5.6 Reporting...........................................................................................................15
5.7 Reviews..............................................................................................................16
5.7.1 Level 2 Technical Reviews........................................................................16
5.7.2 Level 2 ES&H Reviews.............................................................................16
5.7.3 Director’s Reviews....................................................................................16
6 Environment, Safety and Health................................................................................17
6.1 ES&H Organizations.........................................................................................17
6.1.1 APUL ES&H Review Committee.............................................................17
6.1.2 ES&H Responsibilities of APUL Project Staff..........................................17
6.2 ES&H Documentation.......................................................................................18
6.2.1 Environmental Considerations...................................................................18
6.2.2 Safety Assessment Documentation............................................................18
7 Technical Considerations...........................................................................................18
7.1 Quality Assurance..............................................................................................18
7.2 Risk Management..............................................................................................19
7.3 Configuration Management...............................................................................19
7.4 Value Engineering..............................................................................................19
Appendices........................................................................................................................21
A APUL Technical Scope..............................................................................................21
B APUL Cost.................................................................................................................22
C APUL Schedule.........................................................................................................23
References..........................................................................................................................25
Abbreviations Used in this Document (NEED TO
UPDATE)
BAC: Budget At Completion
CCB: Change Control Board
CDR: Conceptual Design Report
DOE: U.S. Department of Energy
DPM: Deputy Project Manager
ES&H: Environment, Safety and Health
FMS: Financial Management System
FPD: Federal Project Director
HV: High Voltage
ISM: Integrated Safety Management
MAPMT: Multi-Anode Photo-Multiplier Tube
MND: MINOS Near Detector
MOU: Memorandum of Understanding
NuMI: Neutrinos at the Main Injector
NSF: National Science Foundation
PCR: Project Change Request
PEP: Project Execution Plan
PM: Project Manager
PMG: Project Management Group
PMP: Project Management Plan
PMR: (Universities) Project Management Representative
PMT: Photomultiplier Tube
PSAD: Preliminary Safety Assessment Document
QA: Quality Assurance
QAP: Quality Assurance Plan
RSO: Radiation Safety Officer
SAD: Safety Assessment Document
SOW: Statement of Work
TDR: Technical Design Report
TEC: Total Estimated Cost
VME: Versa Module Europa (bus system)
WBS: Work Breakdown Structure
WLS: Wavelength Shifting
1 Introduction
This document describes the Project Management Plan (PMP) that the Fermi National
Accelerator Laboratory (Fermilab) and Brookhaven National Laboratory (BNL) will
follow to meet the technical, cost, and schedule objectives of the APUL Project. DOE,
Fermilab and BNL will work together to accomplish the APUL Project. This PMP for the
APUL Project sets forth the plans, organization and management systems that will be
used by Fermilab and BNL. The PMP is complemented by a Project Execution Plan
(PEP). The PEP establishes the DOE APUL Project Management structure. The overall
project management will be in conformance with applicable DOE orders and established
management practices at Fermilab.

This PMP covers the construction of the US part of the LHC Phase I upgrades, i.e., the
design, fabrication, testing and delivery of components to CERN by the US Laboratory
Collaboration defined as the APUL project. It does not cover the installation and
commissioning of the delivered components at CERN, which are outside of the scope of
APUL.

1.1 Approval and Revision

The PMP is prepared by the APUL Project Manager and approved by the Fermilab
Director or his designee. The APUL Project Manager shall review the PMP at least
annually and revise it as necessary to update the document and reflect project
development. Revisions to the PMP that incorporate baseline change actions are
considered to be approved by virtue of the corresponding baseline change. Revisions to
this PMP that are not connected with baseline changes will be approved by the Fermilab
Director or his designee.

1.2 Project Description

The US contribution to the Phase I upgrade of the Large Hadron Collider (LHC) at the
European Organization for Nuclear Research (CERN) consists of the design and
fabrication of specialized equipment by two US national laboratories, Brookhaven
National Laboratory and Fermi National Accelerator Laboratory. The contribution
through the national laboratories is referred to here as Accelerator Project Upgrade to
LHC (APUL), or simply the Project. The US contribution will enable a projected two- to
three-fold increase in LHC luminosity. Furthermore, participation in the upgrade offers
the U.S. the opportunity to benefit from its previous investment in the LHC, and enable it
to continue developing novel techniques and analysis tools leading to additional
important discoveries expected from the upgrade.

APUL is a subproject of the Phase I upgrade projects at CERN. In parallel with

construction of the LHC, the HEP and accelerator communities have been discussing
possible directions for increasing the scientific reach of this unique facility. The adopted
phased approach to the upgrade of the LHC accelerator complex includes in the first
phase (2008-2013) the construction of a 160 MeV H- proton linac (Linac4) and the Phase-
I Upgrade of the LHC interaction regions. APUL is responsible for delivering D1

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magnets and cold powering systems at interaction regions at points 1 and 5 and two laser
profile monitors (LPM) for the linac (VERIFY to which CERN project LPM would
belong).

(Need to verify this following paragraph) General program oversight for the US LHC
Accelerator Project is the responsibility of the US Department of Energy (DOE) and the
Project is administered through the DOE Office of Energy Research, Division of High
Energy Physics (DHEP), the DOE Chicago Operations Office, and the DOE Fermi Group
Site Office. The project work will be undertaken by two US national laboratories:
Brookhaven National Laboratory (BNL), Fermi National Accelerator Laboratory
(Fermilab or FNAL), directed by the Project Manager and Project Management Office.
When taken together, these laboratories will be designated in this document as the US
Laboratory Collaboration. Fermilab has been designated as the lead laboratory with the
major responsibility to ensure the successful completion of APUL.

2 Project Objectives and Performance Criteria

2.1 Scientific Objectives
The primary objective of APUL is to assist CERN, the European Laboratory for Particle
Physics, in achieving a projected two- to three-fold increase in LHC luminosity by way
of the Phase I upgrade of the Large Hadron Collider (LHC). Two important secondary
objectives have guided the choice of work to be done to implement this objective. First,
the work should present a significant opportunity for the US national laboratories to
maintain and improve their technological capabilities. Second, the US collaboration on
APUL should advance international cooperation in the construction of large science
projects.

2.2 Technical Requirements and Objectives

The APUL Technical Design Report (TDR) is the highest level specification of the
technical baseline (Is this really true?). It provides detailed descriptions of the hardware
systems provided by the US laboratories, including detailed requirements and
specifications and detailed descriptions of the designs of hardware systems. The
technical performance of the engineering designs developed and of final fabricated parts
will be measured against the Technical Baseline defined in the TDR.

The TDR is a controlled document of APUL requiring approval of its initial contents and
of any changes by the Project Manager following recommendation by the Change
Control Board. The initial contents of, and any changes to, the TDR must also be
approved by CERN, as specified in the Implementing Arrangement (or MoU?).

Technical milestones to measure the progress and success in meeting these goals are
established as part of the Project Baseline. Meeting each subsystem’s objectives is the
responsibility of the corresponding Subsystem (Level 2) Manager. Ensuring that the

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project as a whole meets the scientific objectives of the experiment is the responsibility of
the Project Manager.

APUL must be executed in a manner consistent with the overall LHC Phase I upgrade
project schedule. The current version of the overall Phase I upgrade schedule is found at
the web site http://slhc-irp1.web.cern.ch/slhc-irp1/. (There is currently only some rough
milestones here, will there be a CERN master schedule for upgrades that we are to work
to? If so, will APUL appear as milestones?) Coordination of the US Project schedule
with the master Phase I upgrade schedule maintained by CERN is accomplished by
setting milestones, typically corresponding to the delivery of equipment to CERN by
APUL or to the US laboratories by CERN for incorporation into US-provided systems.
These milestones are under joint US-CERN change control as specified in the
Implementing Arrangement and in Appendix C here.

Appendices A, B and C provide additional information on the project scope, cost and
schedule, respectively.

3 Project Structure and WBS Dictionary

APUL Project

Project Beam Separation Laser Profile

Cold Powering
Management Dipole Magnets Monitor
WBS 3.0
WBS 1.0 WBS 2.0 WBS 4.0

Figure Project Structure and WBS Dictionary.1: Overview of APUL Work Breakdown Structure, to Level 2

3.1 Work Breakdown Structure (WBS) Overview

The Work Breakdown Structure (WBS) organization is shown in Figure Project Structure
and WBS Dictionary.1. The project WBS and management structure parallels the project
budget structure.

3.2 WBS Dictionary(validate accuracy)

WBS Title Description
0 APUL Design, construct, and deliver beam separation
dipole magnets, cold powering systems, and laser

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 profile monitors for LHC Phase I Upgrade
1.0 Project Management Management support. Project financial, schedule,
budget, and change control, coordination with CERN
2.0 Beam Separation Design, fabricate, test, and deliver five(5) D1
Dipole Magnets standalone magnets
3.0 Cold Powering Design, fabricate, and deliver five(5) distribution
feed boxes and corresponding current leads and
superconducting links
4.0 Laser Profile Design, assemble, and deliver two laser profile
Monitoring monitors for LINAC4

Table Project Structure and WBS Dictionary.1: APUL Level-2 WBS Dictionary

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4 Project Management Structure
Figure Project Management Structure.2 shows an organizational chart of the APUL
Project. The Integrated Project Team is expanded into the DOE hierarchy in the Project
Execution Plan.

Figure Project Management Structure.2 Fermilab APUL Organization Chart (Probably want to get rid of
“Future Projects”)

4.1 The Fermilab Directorate

4.1.1 The Fermilab Director
The Fermilab Director is responsible to the FRA and the DOE for the successful
completion of the APUL Project. Only the Fermilab Director is authorized to commit
funds appropriated for Laboratory use. With the advice of the APUL Project
Management Group, the Director approves or concurs with the APUL TDR, the PMP and
the cost estimate, schedule, and scope of the Project. The Fermilab Director is ultimately
responsible for ensuring that the project is carried out in a safe and environmentally
responsible manner.

4.1.2 Fermilab Associate Director for Accelerators (Does the

Associate Director for Research have a role in APUL?)
The Fermilab Director has delegated some aspects of APUL responsibilities to the
Associate Director for Accelerators. The Associate Director for Accelerators appoints the

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APUL Project Manager. To implement the work plan for the Project, APUL Memoranda
of Understanding are executed with collaborating institutions. The Associate Director for
Accelerators, on behalf of the Director, approves all APUL Institutional Memoranda of
Understanding related to the Project. The Associate Director for Accelerators also chairs
the APUL Project Management Group.

4.2 Fermilab Divisions & Sections

4.2.1 Technical Division Head

The Fermilab Director has designated the Technical Division (TD) as the host division
(VERIFY that the entire project actually resides in TD) for the APUL Project and as such
it provides the resources and home for the APUL Project management. In addition to the
host role, the TD Head provides oversight for TD financial resources, human resources,
technical resources, space resources, and Environmental, Safety, and Health (ES&H)
monitoring for the Project.

The TD Head or a designee is a member of the Project Management Group. The TD

Head advises the Associate Director for Accelerators on approval of APUL Memoranda
of Understanding relevant to TD resources and concurs in these approvals. The TD Head
advises the Associate Director for Accelerators on approval of the PMP and concurs with
these approvals.

On guidance from the Director, the TD Head allocates yearly budgets to the Project.
These project funds are then administered by the Project Manager, according to the
responsibilities described below, within the context of TD procedures and policies and
with the support of the TD budget office.

The TD is the primary source of Fermilab manpower and technical resources for the
project.

4.2.2 Business Services Section Head

Fermilab Business Services provides support for procurement, financial transactions, and
accounting activities necessary to accomplish projects. The Head of Business Services
and the Head of the Procurement Department of Business Services will work with APUL
Management to accomplish procurements on schedule and to meet technical
specifications.

4.3 The APUL Project Management Team

The APUL Project resides within the Technical Division at Fermilab (same question in
4.2.1), which has been designated as lead lab of APUL. Critical resources also reside at
BNL. The project is supported by Fermilab and BNL staff as listed below with expertise
in a variety of areas. The members of this group, with the exception of the Project

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Manager, are appointed by the TD Head with concurrence of the the Project Manager.
Collectively they comprise the Project Management Team.1 The Project Management
Team assists the APUL Project Manager in supporting and coordinating the efforts of the
subsystem managers in executing the APUL Project.

4.3.1 APUL Project Manager

The Project Manager is appointed by the Fermilab Associate Director for Accelerators
(True?). The APUL Project Manager (PM) heads the APUL Project Management Team
and is responsible for the execution of the APUL Project. Therefore, the APUL PM must
develop and maintain the Project Management Plan; negotiate and update the
Memoranda of Understanding (MOU) between Fermilab, BNL, and CERN; and direct
the activities of subsystem managers. These MOUs determine the resources which are
available to the project from the collaborating institutions. Implicit in these
responsibilities is the requirement that the PM administer both human and financial
resources available to the project through these MOUs.

The APUL PM works with representatives of the divisions and sections at Fermilab and
BNL to obtain resources for the project as approved by the Fermilab and BNL
Directorate. This may include the development of additional MOU between the Project
and specific Fermilab and BNL divisions or sections.

The PM assigns responsibilities and resources to the Subsystem Managers. The progress
of these assignments is monitored through monthly status reports generated by the
Subsystem Managers, by means of regular Subsystem Managers meetings, and through
daily communications. The APUL PM is responsible for developing, maintaining, and
tracking the schedule for the project, which includes a complete list of milestones to
facilitate monitoring the progress of the project. The APUL PM provides monthly reports
summarizing the progress of the Project to the Fermilab Director and the Federal Project
Director.

The PM may delegate responsibilities to the Deputy Project Manager and/or other project
team members.

4.3.2 Deputy Project Manager

The Deputy Project Manager (DPM) assists the APUL PM in all matters relating to the
APUL Project, including the planning, procurement, disposition and accounting of
resources, progress reports on project activities, ES&H issues, and Risk Management. In
the absence of the Project Manager, the DPM assumes the project management
responsibilities.

The DPM also reviews Memoranda of Understanding and other project documentation,
advising the Project Manager on risk management, ES&H, or other relevant issues.

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4.3.3 APUL Project Engineer
The APUL Project Engineer is responsible for overall engineering coordination of the
design and fabrication phases of the project and works directly with the Level 2
Managers to achieve this. The Project Engineer is directly responsible to the APUL
Project Manager. In cooperation with them the Project Engineer works with the APUL
ES&H Coordinator to implement Fermilab’s policy of Integrated Safety Management
(ISM) in the project and resolve any ES&H issues that may arise. The Project Engineer
is also responsible for implementing quality assurance procedures and the Configuration
Management Plan and its associated change control procedures.

4.3.4 APUL ES&H Coordinator

The ES&H Coordinator addresses the administrative aspects of all ES&H work
associated with the APUL Project and reports to the APUL Project Manager. The ES&H
Coordinator compiles and maintains the APUL Hazard Assessment Document,
Preliminary Safety Assessment Document (PSAD), and the APUL Safety Assessment
Document (SAD). The ES&H Coordinator plans and coordinates ES&H reviews of the
project and assembles the associated documentation.

4.3.5 APUL Documentation Coordinator (will we have such a

function? Perhaps OPMO can advise)
The APUL Documentation Coordinator supports the Project Manager in the preparation
and revision of the PMP and other project documentation. The Documentation
Coordinator also assists in the preparation of MOU and Statements of Work (SOW) with
the collaborating institutions and with the organization of materials for internal and
external reviews of the project. The Documentation Coordinator supports the ES&H
Coordinator in the compilation of relevant safety documentation for the project.

APUL documentation is maintained within a document database, the DocDB document

management system.2 The Documentation Coordinator is the administrator for the
database. Through this database, each project document is assigned a unique
identification number and its versions are tracked by date and submitter, with a record of
the changes made. DocDB is also used to maintain records of meetings within the
project. The organizer of the meeting defines it as an event and the participants submit
presentations, background documents and minutes. The database can provide links to
previous meetings so that reference documentation is available on-line.

The APUL Documentation Coordinator also coordinates Quality Assurance issues and
maintains the APUL Quality Assurance Plan3 and other QA documentation, as discussed
in Section 7.1, reviews Memoranda of Understanding and SOW, and advises the Project
Manager on QA issues. The Documentation Coordinator prepares and maintains the
project risk management documentation, as discussed in Section 7.2. This includes
performing the risk matrix calculations and updating the documentation as necessary.

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4.3.6 APUL Scheduler (Is this still the correct title, Project Controller
or something instead?)
The APUL Scheduler is responsible for project controls and earned value reporting. The
Scheduler maintains and updates the APUL Project cost and schedule plan and prepares
the schedule information for monthly reports and scheduled reviews, submitting them to
the APUL PM for approval and transmission. The Scheduler works with PM in
identifying schedule issues in a proactive manner in order to track and report deviations
from baseline schedules and costs as specified in Section 5. The Scheduler also assists
collaborators in preparing subproject schedules and collaborates with the Fermilab Office
of Project Management Oversight to develop project controls.

4.3.7 APUL Budget Officer

The Budget Officer has the responsibility for preparing cost information for the monthly
reports, submitting them to the PM for approval and transmission. The Budget Officer
monitors expenditures of US and non-US funds, tracks and reports deviations from
baseline schedules and costs as specified in Section 5, and prepares the Project
Accounting Task Structure. The Budget Officer verifies costs in MOUs/SOWs and
provides reports to the Scheduler for use in earned value reporting and as needed for
reports and reviews. The Budget Officer tracks requisitions as needed and tracks
monthly costs and obligations.

The Budget Officer also assists collaborators in preparing initial budget estimates and
collaborates with the Fermilab Office of Project Management Oversight to develop
project controls.

The Financial Management System (FMS) in use by Fermilab allows individual cost
codes to be established, where necessary. The Budget Officer has the responsibility for
establishing the proper cost codes. The FMS is also used to track and monitor such
expenses as charge-backs from other Divisions/Sections, and other Fermilab related
costs. At the successful completion of each project phase or WBS task, the Project
Manager or designated representative is required to verify that work was performed and
completed in accordance with acceptable standards before final payment is authorized by
the Business Services Section.

4.4 APUL Subsystem (Level 2) Managers

The APUL Subsystem WBS Organization is shown in Figure Project Structure and WBS
Dictionary.1. Subsystem managers at Level 2 of the WBS are responsible for bringing
their subsystem to completion in accordance with the project budget and schedule. They
are also responsible for applying Integrated Safety Management principles to their
subsystems and adhering to all applicable ES&H policies.

Level 2 Managers are assigned by the APUL Project Manager. The Project Manager may
make additional management support appointments, such as Level 3 managers or
subsystem coordinators, on an as-needed basis.

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The primary responsibility of Level 2 managers is the planning and the coordination of
the work for the subsystem. In close consultation with the Project Management Team,
they develop the work plan, schedule, and budget for their individual subsystems. They
are responsible for implementing the plan and tracking its progress and use of resources.
They coordinate the personnel and facilities allocated to the subsystem.

Level 2 managers provide the Project Manager with monthly status reports. These reports
highlight progress of their subsystem toward the project goals and difficulties
encountered or anticipated. The report shall include a short discussion of technical
management relevant to their responsibilities and measure the progress of the subsystem
effort against the milestones of the subproject. Furthermore, it shall give an accounting
of the budgetary expenditures during the monthly period, highlighting items costing more
or less than expected.

4.5 APUL Project Management Group(Will APUL have a PMG? If

so, is the following makeup accurate?)
The Associate Director for Accelerators chairs a Project Management Group (PMG) that
meets as required, ordinarily monthly, to monitor the progress of the project. The
meetings are organized and run by the APUL PM. The meetings are attended by those
who have responsibility for the Project and by those who have authority to redirect
resources within the Laboratory and the Collaboration. The group normally consists of
the Associate Director for Accelerators, the Project Manager, DPM, the Head of the
Technical Division, and other representatives of Fermilab and APUL as appropriate. The
PMG also serves as the Change Control Board (CCB) for the project.

Issues requiring consideration are brought to the attention of the PMG by the Project
Manager. For the purpose of their deliberations, the PMG may organize any reviews they
deem necessary. Once the CCB has examined the request for change, a recommendation
for appropriate actions is made to the Project Manager. Records of their decisions are
maintained in the APUL Document Database and changes to the Project are tracked in the
accounting system.

4.6 The Technical Advisory Committee (this section needs

work)
The Fermilab Director or designee shall establish a Technical Advisory Group (TAG) to
advise him on the management and technical progress of the Project. This Group will
meet as needed, at least once per year, to review the status and progress of the Project. It
can call for additional reviews of all or part of the Project as required to ensure that
technical progress is proceeding in a timely manner and that technical and managerial
problems are being properly addressed. The TAG is chaired by the Fermilab Director or
designee and consists of representatives of the Directorates of the two US laboratories
and at least one representative from CERN not involved in LHC. The representatives

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from the other laboratories are appointed in consultations with the Directors of those
laboratories. Other members, who have experience and expertise in the management and
design of accelerator construction projects, may be appointed by the Fermilab Director or
designee.

5 Project Controls System

This section details the procedures and tools to be adopted by the project management to
create an accountable, traceable and flexible management plan. These systems enhance
the ability of the project management to monitor the technical and financial progress of
the project. The APUL Project Manager is responsible for implementation and use of the
procedures and tools described below.

5.1 Memoranda of Understanding/Statement of Work (will need

to update based on MoU/Implementing arrangement with
CERN)
The formal documents that describe the work of the collaborating institutions on the
APUL Project are the Memoranda of Understanding (MOU) between them and Fermilab
and the Statements of Work (SOW). An MOU is a general agreement that describes the
overall objectives and scope of work to be performed. It is an expression of intent,
subject to revision, not a legal contract. A scope of work and resource commitment will
be established and described in the MOU for each collaborating institution. The SOW is
a more specific document, detailing the work to be performed by the institution on a
shorter, typically yearly, basis. These documents will be signed by:
 The Fermilab Director or his designee (MOU);
 The Fermilab Technical Division Head (MOU/SOW);
 The APUL Project Manager (MOU/SOW);
 The Level 2 Manager(s) of the relevant subsystem(s) (MOU/SOW);
 The Institutional Representative from the collaborating institution (MOU/SOW);
 An appropriate administrative officer from the collaborating institution
(MOU/SOW).
The negotiation of an MOU/SOW is based on the following principles:
 The agreement should utilize the expertise and facilities of the collaborators in
such a way as to efficiently meet the technical, cost and schedule goals of the
APUL Project.
 The MOU/SOW should ensure that all parties clearly understand their scope of
work and have a clear commitment to deliver it on budget and on the schedule
required by the MOU/SOW.
 The MOU/SOW should clearly establish cost, schedule, and deliverables and be
consistent with the baseline technical information.
 The MOU/SOW should establish reporting requirements for technical, cost and
schedule information.
 MOU/SOW will fully describe the method of funding and staffing for work to be
undertaken.

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  The MOU/SOW delegates certain responsibilities for management and related
activities as appropriate to each participating institution.
 The MOU are updated as appropriate, generally through addenda or SOW.

5.2 Project Execution Plan

In consultation with Fermilab and funding agencies, the Project Management team has
assembled a Project Execution Plan (PEP). The plan includes Total Estimated Cost (TEC)
and resource-loaded schedules for the Project as a whole and each of its WBS elements,
establishes technical milestones to measure their progress to successful completion and
defines thresholds for triggering different levels of Change Control Review.

Subsequent changes to the project scope, cost, or schedule exceeding thresholds to be

defined in the PEP will be traceable, made in accordance with the Change Control
procedures described in Section 5.5, and documented as described in Section 5.6.

5.3 Cost Tracking

The Project Manager and Fermilab will collaborate to produce a project accounting
system meeting the requirements for an Earned Value Management System. Updates to
this system will be made at least monthly by the Subsystem Managers. The Subsystem
Managers are responsible for monitoring, controlling, reporting, and correcting problems
with the spending for their respective subtasks. Equipment spending for each subtask will
be reviewed monthly by the Project Managers and the individual Subsystem Managers.
Together they will initiate any appropriate corrective actions. Should the difficulties
encountered exceed the thresholds to be delineated in the Project Baseline, the Change
Control Process described in Section 5.5 must be initiated by the Project Manager.

5.4 Contingency Allocation (is this now outdated? OPMO can

advise)
The Project Contingency is defined as the difference between the original project Total
Project Cost (TPC) and the current Budget At Completion (BAC). The actual allocation
of contingency is reflected in the BAC and all changes will be traceable.

The use of contingency is approved in accordance with Table Project Controls System.2.
Subsystem managers are responsible for requesting the use of contingency funds from the
Project Manager as soon as the need for such funds is discovered. These requirements
will naturally arise during the monthly reviews of expenditures for each subtask. Funds
not used in a subsystem are returned to the contingency.

5.5 Change Controls

Any change to the Project that does not alter the technical or scientific objectives as
defined in Section 2 does not require a new proposal to be submitted to the Laboratory.
Although the scope of the project is not affected, changes resulting in cost variations,

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changes of personnel assignments, or schedule impact are considered changes to the
project plan that may require authorization to implement.

5.5.1 Change Control Procedures

Formal change control procedures are used to track technical, schedule, and cost changes
in the Project. Each such change requires the preparation of a Project Change Request
(PCR) form. Each PCR will be reviewed by the APUL Project Manager. The APUL
PMG will function as a Level 3 Change Control Board for the project, chaired by the
APUL Project Manager, with additional personnel from the APUL collaboration or
Fermilab staff as needed. The APUL Project Manager will maintain current records of all
Change Requests and their disposition.

5.5.2 Technical Change Control Levels

Minor technical changes consistent with the baseline technical design and affecting just
one subproject may be approved by the Subproject Manager.

Technical changes that affect more than one subproject but that do not diminish
performance must be approved by the Project Manager.

Technical changes that affect ES&H requirements or changes in scope that affect physics
capabilities require a Change Request to be submitted for consideration by the APUL
PMG and approved by the Fermilab Associate Director for Accelerators. Depending on
the importance of the scope change, the Associate Director for Accelerators may seek the
advice of the Technical Advisory Committee.

5.5.3 Schedule Change Control Levels

Changes that result in the delay of a Level 3 milestone by more than two weeks must be
approved by the Project Manager.

Changes that result in the delay of Level 3 milestones by six months or more require a
Change Request be submitted for consideration by the APUL PMG and approved by the
Fermilab Associate Director for Accelerators. The response to such a Change Request
may be to initiate a plan to reallocate resources to recover the schedule or rescheduling of
the milestone.

Any change that delays a Level 2 milestone must be approved by the FPD.

5.5.4 Cost Change Control Levels

Any use of contingency must be approved by the Project Manager. Accumulated use of
contingency exceeding $100K requires a Project Change Request to be submitted for
approval by the PMG and the Fermilab Associate Director for Accelerators.

13
5.5.5 Change Control Summary (which of these two is more
appropriate? Perhaps OPMO can advise)
Table Project Controls System.2 summarizes the Fermilab change control thresholds and
responsibilities.

Change Control Approval Thresholds for APUL

Level 1 Level 2 Level 3 Level 4
Acquisition Federal Project Fermilab Associate Fermilab APUL Project
Authority Executive / Director Director for Manager
SC – Associate Accelerators
Director
Any change in N/A Any change that Any change in the
scope that affects affects the scientific scope as described in
Technical the mission need goals, technical the Technical Design
requirements baseline, or ES&H Report
requirements as
defined in the PMP
Cost Any increase in Accumulated use of Accumulated use of Any use of contingency
the TEC or TPC contingency above contingency above
100k$ or > 25% of 100k$ or > 25% of
Level 2 WBS cost Level 2 WBS cost
Schedule Any change to Any change to level Any change greater Any change greater than
level 1 milestones 2 milestones than 6 months to 2 weeks to level 3
level 3 milestones milestones

14
 Associate DOE Federal Fermilab Fermilab Subproject
Director Project Associate Project Manager
OHEP (Level Director Director Manager (Level 5)
1) (Level 2) (Level 3) (Level 4)

Scope Any change in Any significant Major technical Related technical Minor technical
the KPPs as change to the changes that are changes to changes to a single
referenced in technical scope significant multiple subproject that does
PEP. (as described in departures from subprojects that not diminish
PEP) that affect the technical do not diminish performance
ES&H baseline. performance
requirements or Changes that
meeting Project affect ES&H.
Closeout Out-of-scope
definitions in changes to
PEP. upgrade physics
capabilities.

Schedule Any change Any change to a Any change that Any change that Any change that
that causes a Level 2 results in the results in the results in the delay
delay in CD-4 milestone > 1 delay of a Level delay of a Level of a Level 5
project month or a 3 Director’s 4 milestone by milestone by more
completion Level 1 milestone. more than one than one month
date . milestone < 3 month.
months.
Cost Any change in Any cumulative Increase in the Increase in the Increase in the cost
Total use of cost of a single cost of a single of a single item by
Estimated contingency of item by more item by more more than $25k.
Cost or Total > $1M. than $250k. than $100k.
Project Cost. Increase in the
Project base cost
exceeding $500k
during the
previous 12
months.

Table Project Controls System.2 Change control levels for the APUL Project.

5.6 Reporting
The APUL Project provides reports on a monthly basis to Fermilab and DOE
management. The objective of the monthly reports is to collect and integrate essential
information pertaining to the cost, schedule and performance of the project in order to aid
its monitoring and management. The monthly Project Report comprises information
submitted to the Project Manager in reports by the WBS Level 2 managers and
summarizes it in the context of the overall project status. The Level 2 managers submit
written reports to the Project Manager on a monthly basis, within two weeks following
the end of the subject month. These reports summarize the activities of the previous
month, describe activities planned for the upcoming month, and include comments and
concerns.

15
5.7 Reviews
The APUL Project will undergo a series of reviews to monitor the progress of the cost,
schedule, technical aspects and safety of the project.

5.7.1 DOE Reviews

The DOE Office of Science will conduct reviews of the DECam project in accordance
with DOE Order 413.3 as part of the critical decision process. These reviews will also
track the progress of the DECam project.

5.7.2 Level 2 Technical Reviews

Each Level 2 subsystem will undergo technical reviews to help optimize the design and
cost of the subsystem, as well as to coordinate its schedule with those of the other
subsystems. A committee appointed by the Project Manager, comprising members of the
APUL Collaboration and experts from Fermilab and other institutions, review each
subsystem at least once, with additional reviews at the discretion of the Project Manager.
The review committee submits a written report to the Project Manager, who acts upon the
committee’s findings as necessary.

5.7.3 Level 2 ES&H Reviews

Each Level 2 Subsystem will undergo a review to ensure compliance with applicable
Fermilab ES&H requirements. Additional ES&H reviews may be scheduled at the
Project Manager’s discretion. The APUL ES&H Review Committee is discussed in detail
in Section 6.1.1. The Committee will submit a written report of its findings to the Project
Manager and the Technical Division Head. The Project Manager will address any
findings of noncompliance with ES&H requirements and inform the Division Head in
writing of the resolution of those findings.

Prior to operating equipment or performing work on APUL subsystems at Fermilab, the

APUL ES&H Review Committee will conduct an Operational Readiness Review or
partial Operational Readiness Review in accordance with the TD Operating Manual.4

5.7.4 CERN Reviews (need to verify)

CERN participation in APUL Technical Design Reviews and procedures for CERN
review of the US Project or components of it are specified in the Implementing
Arrangement.

5.7.5 Director’s Reviews

The Fermilab Director, or his designee, may periodically appoint a committee to conduct
reviews of the APUL Project to monitor its progress. Director’s Reviews are held at the
Director’s discretion, typically on an annual basis.

16
6 Environment, Safety and Health
The design, construction, and testing of APUL equipment provided by Fermilab will be
performed in compliance with the standards in the Fermilab ES&H Manual, and all
applicable ES&H standards in the Laboratory’s “Work Smart Standards” set. In addition,
all related work, including work performed off-site, will be performed in compliance with
applicable federal, state and local regulations.

Similarly, the design, construction, and testing of APUL equipment provided by

Brookhaven National Laboratory will be performed in compliance with the applicable
ES&H standards in BNL’s Standard Operating Procedures. All related work, including
work performed off-site, will be performed in compliance with applicable federal, state,
and local regulations.

6.1 ES&H Organizations

The Fermilab Environment, Safety & Health (ES&H) Section provides ES&H support for
all activities at Fermilab, including guidance on ES&H issues, environmental monitoring
and safety assessments. The Technical Division ES&H group in the Support Department
provides additional support for specific aspects of the experiment.

The Brookhaven Safety and Health Services Division (SHSD) provides ES&H support
for all activities at Brookhaven, including guidance on ES&H issues, environmental
monitoring and safety assessments.

6.1.1 APUL ES&H Review Committee (should there be a single APUL

safety officer or are parallel efforts sufficient?)
The APUL ES&H Review Committee is appointed by the Fermilab Technical Division
and Brookhaven Magnet Division Head to ensure that the project complies with Fermilab
and Brookhaven ES&H requirements. The APUL ES&H Review Committee is composed
of experts in areas such as mechanical and electrical engineering, cryogenics, fire
protection, radiation and other potential hazards encountered in high energy physics
experiments.

6.1.2 ES&H Responsibilities of APUL Project Staff

Both Brookhaven and Fermilab follow Integrated Safety Management. Each person
involved in APUL is responsible for following good ES&H practices in the course of his
or her own work. However, in addition to these ordinary responsibilities, the APUL
Project has an assigned ES&H Coordinator at each laboratory, who directs the
preparation of hazard analyses, ES&H reviews, and associated documentation.

17
6.2 ES&H Documentation
6.2.1 Environmental Considerations
Both Brookhaven and Fermilab have implemented an Environmental Management
Systems (EMS) as part of their Integrated ES&H Management Plans. The EMS
integrates environmental considerations into the planning and decision-making process,
with the aim of evaluating the environmental impact of actions and mitigating any
adverse effects. Compliance with the National Environmental Protection Act (NEPA) is
part of this system. The APUL Project submitted an Environmental Evaluation
Notification Form, on the basis of which a Categorical Exclusion was granted on [DATE
HERE].

6.2.2 Safety Assessment Documentation

The project has prepared a Preliminary Safety Assessment Document (PSAD) for APUL.
The PSAD, in turn, will form the basis for a detailed APUL SAD, identifying and
addressing APUL-specific ES&H issues. The SAD will be completed under the direction
of the APUL ES&H Coordinators and reviewed as the various construction decisions
relating to ES&H are made.

6.2.3 Safety MOU with CERN

The MOU on Accelerator Mechanical Safety document between APUL and CERN
defines the mutual interactions between the CERN Technical Inspection and Safety
Commission (TIS) and APUL with respect to the structural safety of mechanical
equipment manufactured or purchased by the US Laboratories and delivered to CERN for
installation in the LHC.

7 Technical Considerations
7.1 Quality Assurance (assumption is tha BNL, FNAL have
separate QA plans, is this ok?)
All work on the APUL Project will be performed in compliance with the Quality
Assurance programs established at Fermilab and Brookhaven. The Fermilab Technical
Division and Brookhaven Superconducting Magnet Division have each developed a
Quality Assurance Plan (QAP) that describes how QA is implemented on the
project.Error: Reference source not found The major elements of the APUL QAPs
address the project’s management, performance and assessment. Each institution will be
expected to cover the following topics in their quality programs:
 Document control; at a minimum applied to drawings, specifications and work
instructions
 Design control; at a minimum to include holding technical design reviews at a
level appropriate to the risk of the work

18
  Process control; at a minimum to include a system for identifying, recording and
tracking nonconformances to closure, as well as a system for control of measuring
and test equipment (i.e. calibration)
 Assessments; it is expected that internal or external assessments will be
performed and documented to ensure that work is being performed according to
the defined quality program
The key QA management elements of the project are the QAP itself, the qualification and
training of personnel, the quality improvement process and documentation. Performance
elements include work processes, design, procurement and acceptance criteria. The
assessment elements include assessments by project management and from independent
sources. The implementation of each of these QA elements is described in the QAP.

7.2 Risk Management

The APUL Project has adopted a standard risk management process 5. The APUL Project
employs several tools to implement the risk management process. Chief among these is
the program WelcomRisk (Are we using a different tool? OPMO can advise), which
evaluates risks based on likelihood of occurrence and potential impact on cost and
schedule, using an uploaded WBS structure. Its use is more fully described in the risk
management documentation maintained in the APUL document database, from which it
is available to all of the affected project members and stakeholders.6

Other risk management tools include, but are not limited to, project reviews, monthly
reports and the Level 2 Managers’ meeting. This meeting is held weekly and provides a
forum for identification of risks and discussion of risk handling strategies.

7.3 Configuration Management

For the APUL Project, the Configuration Management Process includes specifications for
parts ordered, documentation (typically in databases) of how various detector parts are
put together with labeling and tracking of configuration and performance, and control of
overall documents of configuration and specifications for the detector and the project.
The APUL Project uses the DocDB document management system for control of
configuration management documents.7

7.4 Value Engineering

The APUL Project has implemented a design review system, in which each major
subsystem is closely examined to obtain optimal value for the system, given the technical
requirements and schedule constraints imposed on it. These reviews are documented in
the project’s document database, which uses the DocDB document management system.
Documentation and updates are thus available to the project management staff, subsystem
managers and other project personnel.

19
Specific project notes on design modifications are maintained in an assigned Value
Engineering category in the document database. The database allows for easy access,
review and updating by participants in the APUL Project.8

20
Appendices

8 APUL Technical Scope (need agreement from DOE)

This appendix describes the technical scope of the APUL project, as defined in the
Project Execution Plan. Installation and operation of the detector are not included in the
project.

The technical definition of project completion for APUL is summarized in Table APUL
Technical Scope (need agreement from DOE).3.

Subsystem Technical Definition of Subsystem

Completion
Beam Separation Dipole Complete design, fabrication, testing, and
Magnets delivery five(5) D1 standalone magnets
including successful performance in CERN
string test.
Cold Powering Complete design, fabrication, and delivery
five(5) distribution feed boxes and
corresponding current leads and
superconducting links including successful
performance in CERN string test.
Laser Profile Monitoring Complete design, assembly, and delivery of
two laser profile monitors for LINAC4

Table APUL Technical Scope (need agreement from DOE).3 Technical definition of APUL project
completion.

21
9 APUL Cost (need to populate table)
Table APUL Cost (need to populate table).4 presents the base cost for the APUL Project
TEC broken down by WBS, in AYM$, followed by the contingency. Other Project Costs
include detector R&D; these costs and their contingency are also shown. The Total
Project Cost is the sum of all these.

WBS Element Item Base

($AYM)
1.0 Project Management
2.0 Beam Separation Dipole Magnets
3.0 Cold Powering
4.0 Laser Profile Monitoring
TEC Contingency Contingency on MIE
TEC APUL TEC
Base OPC Base R&D Funds
OPC Contingency Contingency on R&D
OPC APUL OPC
TPC APUL TPC

Table APUL Cost (need to populate table).4 Baseline cost of the APUL Project in $AYM.

22
10 APUL Schedule (more wild guesses)
This appendix sets out the schedule of DOE Critical Decisions for the APUL project.
These are listed in Table APUL Schedule (more wild guesses).5.

Critical Decision Description Date

CD-0 Approve mission need November 19, 2008 (actual)
CD-1 Approve preliminary
baseline range 3rd Qtr FY2009
CD-2 Approve project baseline 1st Qtr FY2010
CD-3A Approve long-lead
procurements 1st Qtr FY2010
CD-3B Approve expenditure of
construction funds 3rd Qtr FY2010
CD-4 Approve project
completion 2nd Qtr FY2013

Table APUL Schedule (more wild guesses).5 DOE Critical Decisions for the APUL Project.

23
The major project milestones are listed in Table APUL Schedule (more wild guesses).6
(and the wildest guesses of all. Not good that all milestones are in 2012. Need more
work on project schedule)

WBS Milestone Name Date

2 L2 – Magnet #1 Production Complete February 1, 2012
2 L2 – Magnet #2 Production Complete April 1, 2012
2 L2 – Magnet #1 delivered to CERN April 15, 2012
3 L2 – DFBX #1 Production Complete June 1, 2012
3 L2 – Superconducting Link #1 Production Complete June 1, 2012
2 L2 – Magnet #3 Production Complete June 1, 2012
2 L2 – Magnet #2 Delivered to CERN June 15, 2012
3 L2 – DFBX #2 Production Complete July 1, 2012
3 L2 – Superconducting Link #2 Production Complete July 1, 2012
2 L2 – Magnet #4 Production Complete August 1, 2012
3 L2 – DFBX #3 Production Complete August 1, 2012
3 L2 – Superconducting Link #3 Production Complete August 1, 2012
2 L2 – Magnet #3 Delivered to CERN August 15, 2012
3 L2 – DFBX #1 Delivered to CERN August 15, 2012
3 L2 – Superconducting Link #1 Delivered to CERN August 15, 2012
3 L2 – DFBX #4 Production Complete September 1, 2012
3 L2 – Superconducting Link #4 Production Complete September 1, 2012
3 L2 – DFBX #5 Production Complete October 1, 2012
3 L2 – Superconducting Link #5 Production Complete October 1, 2012
2 L2 – Magnet #5 Production Complete October 1, 2012
2 L2 – Magnet #4 Delivered to CERN October 15, 2012
3 L2 – DFBX #2, #3 Delivered to CERN October 15, 2012
3 L2 – Superconducting Link #2, #3 delivered to CERN October 15, 2012
3 L2 – DFBX #4, #5 delivered to CERN December 15, 2012
3 L2 – Superconducting Link #4, #5 delivered to CERN December 15, 2012
2 L2 – Magnet #5 delivered to CERN December 15, 2012
1 L1 – All APUL Components Delivered to CERN December 15, 2012
10 L1 - CD 4 January 15, 2013

Table APUL Schedule (more wild guesses).6 Level 1 and 2 milestones for the APUL Project. These
milestone dates include schedule contingency.

24
References (needs to be updated in its entirety. Should we
reference FRA EVMS procedures as well?)

25
1
MINERνA Project Team, MINERνA Document 583, March 22, 2006.
2
Eric W. Vaandering and Lynn Garren, BTeV Document Database Design and Interface, BTeV-doc-140 (2001).
3
MINERνA Quality Assurance Program, MINERνA Document 971, August 10, 2006.
4
Particle Physics Division Operating Manual, ES&H Reviews for Experiments, PPD_ESH_006, March 1, 2006.
5
Department of Energy, Project Management for the Acquisition of Capital Assets, DOE M 413.3-1 (2003).
6
MINERA Risk Management, MINERA Document 327, December 9, 2005.
7
MINERA Configuration Management, MINERA Document 326, December 9, 2005.
8
Value Management on the MINERA Project, MINERA Document 329, December 7, 2005.