Daniel K. Inouye Solar Telescope

Construction

Monthly Report to the NSF

Budget & Schedule as of April 30, 2016 Project Status as of May 31, 2016

TableofContents1.0 Project Status ...................................................................................................................... 3

Site Activity ................................................................................................................................ 3Legal Status ................................................................................................................................. 4Safety .......................................................................................................................................... 4Project Management ................................................................................................................... 4Near Term Activities .................................................................................................................. 5Science ........................................................................................................................................ 6

2.0 Current Photos .................................................................................................................... 7

3.0 Integrated Project Schedule ................................................................................................ 9

4.0 Financial Summary and Projections ................................................................................. 14

4.1 Brief Narrative .............................................................................................................. 144.2 Funding Profile Table ................................................................................................... 144.3 Top Level EVM Data Table & "S" Curve .................................................................... 154.4 WBS Sub-System Level EVM ..................................................................................... 174.5 SV and CV Trend Graph (last 12 months, rolling) ....................................................... 174.6 Discussion of Variance and Correction Actions at WBS Level in Section 4 ............... 184.7 Obligations as of 4/30/16 .............................................................................................. 21

5.0 Risk Management ............................................................................................................. 22

5.1 Brief Narrative .............................................................................................................. 225.2 Budget Contingency Allocations During This Reporting Period ................................. 245.3 Schedule Contingency .................................................................................................. 245.4 Scope Contingency ....................................................................................................... 25

6.0 Program Officer Summary ................................................................................................ 25

7.0 Appendix: Project Sub-system status ................................................................................ 25

Optics ........................................................................................................................................ 25Instrumentation ......................................................................................................................... 25Wavefront Correction ............................................................................................................... 26High Level Software ................................................................................................................. 27

1.0 ProjectStatus

SiteActivitySite: The contract with Steel Tech (ST) for erection of the S&O Building is winding down; i.e., ST has started de-mobilizing their equipment on the site, and we are now primarily working on punch-list items with ST, such as stairway completion, final welding, and the like. Du-Watts continued working on the rough-in of electrical conduit and boxes, UPS installation in the utility building, and transformer install in the ground floor of the S&O building. Further, we’re completing utility rough-ins in the computer room in advance of HVAC system installation. We have also started laying out the formwork for the south-side S&O building concrete Enclosure: El Niño continues to wreak havoc with the site schedule, with substantially reduced efficiency due to many days and partial days of rain, drizzle, and wind. Structural and Mechanical assembly is winding down, with punch list inspection performed and these actions starting to be executed. The aperture cover mechanism issues have been remedied, and a lot of time also has been spent on repair of various errors/omissions in the design/proposal package, as well as safety improvements. Carpenter crews continue to complete the remaining flashing and seals in preparation for the water-tightness testing next month. Electrical work has continued with installation and startup of spotlights operated by switch, other lighting control components ongoing, convenience and welding outlets, vent gate control cabinets terminations, preparation work for transition from temporary construction power to permanent supply. The Site Technical Support contract with Idom was novated at the end of the month, so preparing to re-plan spend profiles and labor effort to complete this work internally with support from the contractor available in a new Time & Materials reimbursable contract. TMA: With the bearing alignment completed in April, it was now possible to push on with the assembly. In May, all six of the saddle sections, which run on the bearing, were unpacked in the base-yard, cleaned, inspected, transported to site, shipped through the building and installed. After installation, the top surface of the saddles was surveyed for correct height prior to the start of the coudé steelwork. The encoder mounting sections were also checked for runout and total circumference. Prior to install of the coudé saddles, the down tube assembly was also moved into position and lowered into the center of the cable wrap. The down tube supports all the services up to the coudé lower level from the cable wrap. Two of the five delta chains that connect the cable wrap to the downtube were disassembled and then reassembled around the cable bundle which is a long and awkward task. FTS: Work was started on the Enclosure ductwork with Marcos Uribe of NOAO CFO supplementing our crew. Work has begun on the corrections and modifications of the UB louver actuators. Preparations are underway for installing the ice tanks, which are now on site. Sam is now working with the site crew on the site close-out plumbing work. The first two FMS control cabinets were installed at the site and the interior panels scheduled to go in next month. Work is ongoing with field control and monitoring element procurements. We were able to squeeze in a week of coverage overlap before Chriselle started her family leave. Air handlers, fan coils, and heat exchangers shipped and are scheduled for June delivery.

LegalStatusThere are currently two outstanding legal cases with potential impact to the project construction:

1) Declaratory Action (Challenge to the University of Hawai’i’s Haleakala Observatories Management Plan)

a. Status: Awaiting decision by Hawai’i Supreme Court. 2) Second Administrative Appeal (Challenge to the Project’s 2012 Conservation District Use

Permit) a. Status: Awaiting decision by Hawai’i Supreme Court.

SafetyWe evaluated and accepted a proposal for two custom temporary guard rail systems which are being procured. Additional fire extinguishers were purchased and the annual service scheduled for our current extinguishers. Several respirator medical clearance exams were scheduled and performed. Confined space training and fall protection training were provided to new workers. The safety staff adjusted their schedule to support the enclosure ductwork campaign’s extended work weeks. An enclosure operation procedure was created from a job hazard analysis (JHA). New hazardous materials were evaluated and their safety data sheets (SDS) filed. The training database was updated and various safety supplies and equipment were procured. The Hazard Analysis Team (HAT) continued work the Top End Optical Assembly (TEOA) initial fit up hazard analysis. The quarterly Safety Committee meeting was held, and the Statement of Work’s (SOW) were completed for the Annual Safety Review Committee members. An additional Safety Technician position will be opened to support the extended work hours and work weeks being planned for IT&C. There was one OSHA recordable work related injury when a contractor grinding in a tight area had the grinder kick out and cut through their glove lacerating a finger. They received 8 stitches and returned to work that day with no lost time. There was one first aid incident reported, a non-work illness was exacerbated by altitude. Oxygen was self-administered and they returned to work. There were no near hits. There were five (5) safety toolbox trainings and ten (10) new workers received safety and environmental training. There were two (2) safety recognition awards given this month.

ProjectManagementThe PM office prepared the necessary project reporting including the monthly project execution updates (to NSF) and Programmatic Agreement updates, along with Change Control information and support, and bi-weekly(ish) site construction status updates. Internal Project monitoring includes bi-weekly administrative actions, bi-weekly Change Control Board reviews and the monthly Cost Account Manager meetings and follow-up. The PM Office reviewed NSF LFO draft updates to Cost Estimating sections of the Large Facilities Manual for potential impacts; these comments were distributed to AURA for review. We discussed with AURA proposed changes in NSF contingency handling and impact to the project. We also supported a small tour of the DKIST facility site by NSF staff. The PM Office reviewed the AURA CAS/HR budgets for FY17. We also participated in the transportation trials in Maui (for the arrests for attempting to block the enclosure segments); although after the status period for this monthly, this trial resulted in a conviction (15 Jun 2016).

The PM Office worked with the engineering leads to review the enclosure assembly status, the expiration of the contract term and the remaining tasks and risks to the project; following this analysis, we worked with the Contract Officer to novate the IDOM contract. The remaining SAT activities will be performed with project staff and available union support, employing IDOM staff as needed for specific areas. In tandem with this, we reviewed the TMA assembly activities and are initiating a Change Request to support extending the Ingersoll on-site support; coordination between the critical path schedule components of the TMA and Enclosure is ongoing to improve performance. In addition, we performed a review of on-site safety support and are initiating the hire of an additional safety officer. Further, we engaged with site contractors (on site and management/ownership) to review safety emphasis and lessons learned as they move towards close out. The FTS team encountered some staffing issues. We worked through the project response and the future planning but will need to reorganize the effort in the coming weeks. The failure of the Sheetmetal Workers union to engage, after repeated requests, has necessitated an internal (AURA) temporary transfer to keep the immediate FTS schedule (but this has been successful). We worked with Site and IT&C to review planning and budgets for S&O building room and furnishing use. In Tucson, we met with the LSST to support use of DKIST offices by their staff as relocations make the space available. In Maui, some progress was made on the agreement for use of Air Force coating facilities; this will continue over the next few months as the agreement is concluded and signed. Further, we met with the National Park Service for a status meeting and for coordination on staffing needs in support of the project. We also met with the UH/IfA Assistant Director and our environmental consultants to review RFI/EMI threats to Haleakala Observatories from nascent radio transmitters proximate to DKIST; we will have opportunities to comment as they drive through the permit process. We continued working with the ROB team to advance the RFP package (anticipated for late June). In off-site areas of the project, the PM Office worked to finalize the Boulder Integration Lab planning (a sub-project to improve off-site integration and mitigate schedule risks); with the scope finalized, the Change Request was submitted. We worked with the instrument systems engineer and scientists on the PA&C PDR planning and review. We reviewed the updated instrument partner dashboards in JIRA for easier tracking of actions/activities in those areas. We reviewed the updated Cryo-NIRSP SOW changes (revisions in testing plans toward acceptance) with the engineering team. We resolved the coordination and planning actions with the IT&C and WFC on the WFC FDR. Finally, we provided information for press releases on the project in advance of the Solar Physics Division meeting in June.

NearTermActivitiesa. 31 May – 04 June: Solar Physics Division (Boulder) b. 08-09 June: PA&C PDR (Boulder) c. 26 June – 01 July: SPIE (Edinburgh) d. 01 August: FOCS FDR (Tucson) e. 02-04 August: DKIST Annual Safety Review (Maui, HI) f. 22-26 August: DKIST/NSF/Agency Meetings (Maui, HI) g. 12-13 September: DKIST EVM System Validation (Tentative) h. TBD: M1 Cell Assembly FAT (Liege, Belgium – consolidated FAT)

ScienceMembers of the science team prepared posters and draft publications for the AAS SPD and SPIE conferences. Significant time was spent by the team in preparation for the Polarization Analysis and Calibration PDR to be held June 8,9 in Boulder. The team responded to about 300 comments by the reviewers. The team continued work on thermal analysis and characterization of polarization optics, including the DL-NIRSP retarders. New Cryo-NIRSP Finite Element Models have been designed & run to include new depth-dependent absorption and revised coating absorptivity. Zemax macro scripts were developed to automatically test >45000 coating formulas for “match” to manufacturer data. This verified that initial model assumptions were adequate. Modeling of the ViSP wavelength, altitude-azimuth and field dependence has been completed for several wavelengths. Polarization calibration group matrix predictions have been made and will be compared against Zemax predictions. Initial laboratory spectropolarimetric data was assessed to show impact of Zemax modeling of optical issues from last month. The stability of the lab equipment was determined to be adequate over the anticipated data collection timescales. Additional components to automate measurements with incidence angle and for uniformity have been received. Sample dichroics and coating model formulas are being procured for testing. The team engaged in discussions with the engineering team to finalize specifications and implementation of the Boulder End-to-End test bed that will be used to test fully integrated instrument systems, in particular, software systems. The science team is preparing Instrument User Acceptance Testing Plan documentation. Operations staff at the DST, who will transfer to Maui, will participate in user acceptance. Team members provided input to instrument partners to support the development of input to the instrument performance calculators. Meetings between staff developing the operations tools and staff developing the Observatory Control System (OCS) that these tools will interface to were held at the Tucson offices. Outstanding OCS-Operations interface topics were addressed with focus on status updates by the OCS and management of experiment lists by the OCS. A demonstration of the OCS Experiment Execution module and the integration of the VBI into the OCS was presented. Updates to spec0015 (OCS) were finalized.

2.0 CurrentPhotos

Figure 1Installation of the Coudé saddles onto the Azimuth Bearing is complete (19 May 2016; photo by Paul Jeffers)

Figure 2 Sunrise on 19 May 2016. Structural and mechanical work is winding down with repairs to the aperture cover mechanism now completed (NSO webcam photo).

3.0 IntegratedProjectScheduleThe IPS projected finish date for the project is currently October 4, 2019 which is a slip from last month’s expected finish of September 23, 2019. This is driven by the Wavefront Correction System (WFC) which has been near critical path for several months. Analysis continues with the Cost Account Managers (CAMs) for WFC, Systems Engineering Integration and Commission (SIEC) and Project Management to evaluate possible mitigations to pull back schedule. Level 1 Milestones

As part of the NSF Re-baseline Review, eight level 1 milestones were established. The current IPS end date is a 95-day shift from the initial IPS end date but within the overall risk adjusted schedule. We previously reported the following: The project will reflect a change in the level 1 milestone for the DKIST Start of Operations. At the time of the project re-baseline (Oct 2012 and completed in Mar 2013), the project established two key dates for the project: 1) an Integrated Project Schedule end-date of July 31, 2019 (6%

probability of success but reflecting the current schedule) and 2) an 80% confidence level end-date of June 10, 2020. In accordance with the National Science Board resolution (NSB-13-42), the Integrated Project Schedule date was incorporated into the CSA as the formal project end, although all parties understood that this date did not recognize program risks. NSF Large Facilities Office requirements now dictate utilization of probabilistic modeling, and incorporation of the risk adjusted end-dates as the CSA project end. As such, the DKIST CSA will be adjusted to reflect the June 10, 2020 date as the formal project end. This change will also be reflected in the level 1 milestone following the NSF approval of the CR which documents this status. Note: The CR Approval was received on 9 June 2016 (just outside of this period of report; the report will be updated as described for next month).

Critical Path

Instrument Delivery

Integrated Project Schedule - Activities Started This Month

Integrated Project Schedule - Activities Completed This Month

Integrated Project Schedule Near-Term Milestones

Contract Awards

4.0 FinancialSummaryandProjections

4.1 BriefNarrativeTo date (5/31/16) the project has received ~$288M ($146M ARRA; $142M MREFC). The Project has incurred approximately $206.2.M in actual costs (through 4/30/2016) and approximately $234M combined actuals+obligations. Earned value is $208.6M. The Project maintains $37.1M in planned contingency funds. The risk adjusted Total Project Cost for the new project baseline remains at $344.1M.

4.2 FundingProfileTable

NSF Funding Authorization

On 5/11/2016 DKIST received an award notice that the NSF has processed incremental funding in the amount of $20,000,000. This award brings the total MREFC total to $141,976,329.

4.3 TopLevelEVMDataTable&"S"CurveEarned Value – CPR, WBS Level 3 (all values in $K) Note: All cost and schedule data presented below as of April 30, 2016.

Table 1 We note that the Earned Value metrics are reported according to the PMI PMBOK 5th edition standards (current); the prior versions of these are represented as: 1) PV=Planned=BCWS, EV=Earned=BCWP, AC-Actual=ACWP.

$M EVM Reporting Date April 2016 Total Project Cost (TPC - $M) $344.1 Estimate at Completion (EAC - $M) EAC1: AC+(BAC-EV) EAC2: AC+(BAC-EV)/(CPI*SPI)

$304.7 $318.3

Budget at Completion (BAC - $M) $307.0 Planned Value ($M) $220.4 Earned Value ($M) $208.6 Actual Costs ($M) $206.2 % Complete Planned Earned Actual

72% 68% 67%

Cost Variance (CV) $2.4 Schedule Variance (SV) -$11.9 Actuals + Commitments (Approximately) $234.0 Cumulative NSF Funding-to-date $288.0 Contingency Balance $37.1 Contingency % of Estimate to Complete Contingency/(EAC_1-AC) Contingency/(EAC_2-AC)

37.7% 33.1%

The EAC calculation shown during this reporting period is EAC = Actual Costs + (Budget At Completion – Earned Value). The risk-adjusted cost for the project represents the projected total cost of the project at the end of construction.

DKIST Earned Value Cumulative (all values in $K)

DKIST Monthly Earned Value Cumulative (all values in $K)

4.4WBSSub-SystemLevelEVMEarned Value – CPR, WBS Level 4 (all values in $K)

4.5SVandCVTrendGraph(last12months,rolling)

4.6 DiscussionofVarianceandCorrectionActionsatWBSLevelinSection4

CUMULATIVETODATE(K$)

PLANNED EARNED ACTUAL SV CV BAC

1.2.1.7GeneralConstructionEquipment 747 993 993 246 0 1,075

VarianceExplanation:(SV)Theplanforprocurementsinsomeareasoftheconstructionequipmenthasbeendelayed.CorrectiveAction:AmeetingisscheduledforAugustforconstructionvehicleplanningwhichwillre-profileonepartofthisworkpackage.Inaddition,wewillmonitor.1.2.1.9NationalParkService(SUP) 1,825 1,553 1,553 -272 0 2,899VarianceExplanation:(SV)Theprojectedspendingprofile(forProjectMonitor,otherobligations)isbehindschedule;thereisnoimpactontheprojectatthistime.CorrectiveAction:Wewillcontinuetomonitor.1.2.3.1.1TelescopeMountAssembly 29,183 27,637 27,605 -1,546 31 37,172

VarianceExplanation:(SV)ThePackingandTransportoftheTelescopeMountwasbehindtheoriginalschedule(shiftinthestartfromOctober2015toDecember2015;however,thishasnoimpactonthecriticalpathasthetwomajorcomponentswereseparatedandtheCoudéRotator(neededfirstfortheDecember2015start)hasbegunconstruction.

CorrectiveAction:Re-profileoftheTMAsiteassemblyisinprocessbasedonthelatestartandimprovedinformationonlabor,inspectionandtransportrequirements,andsupplementalsupportfromIngersoll.

1.2.3.1.2.2M1CellAssembly 6,132 5,467 5,012 -665 455 6,132VarianceExplanation:(SV)Thecontractorisexperiencingsignificantdelaysinpreliminaryfactorytesting.Thisschedulesliphasnoeffectonthecriticalpathatthistime.(CV)ThepositivevarianceisdirectlyrelatedtothescheduleslipwithamilestonepaymentdueatthecompletionofFAT.TheM1CellAssemblyisnotonthecriticalpathandsothedelaysintheFATarenotimpactingthebroaderschedule.CorrectiveAction:ContinuedmonitoringthroughcompletionofFAT.ReevaluationofcompletionplanafterFAT.1.2.3.1.5FeedOptics 4,439 4,108 4,385 -332 -277 5,061VarianceExplanation:(SV)Themirrorfabricationfellbehindtheprojectedschedule;thisisnon-criticalpathandwillnotimpacttheprojectschedule;thiswillrecoveroverthecomingmonths.(CV)Thecontractwasfront-loadedenablingprocurementofitemsandstaff;thiswillbegintocatchupinthecomingmonthsandtheyarecurrentlyontargettocompletethisyear.CorrectiveAction:Wewillcontinuetomonitor.

1.2.3.2WavefrontCorrection 9,151 8,518 8,619 -632 -101 11,134VarianceExplanation:(SV)TheSVisaresultofdeferredprocurementswhichwillbecompletedlaterthisyear.Themajorityofthenegativeschedulevarianceisattributedtolaborrelatedscheduleslipsonin-housefabricationactivities,HOAO/CVsoftware,andresidualdesignactivities.CorrectiveAction:Amitigationstrategy,whichincludesadditionalresourceassignmentsinthisarea,hasbeendevelopedandisexpectedtoprovideenoughschedulefloatinthisareatotakeitoffthecriticalpath.1.2.3.3.1.1PolarimetryAnalysisandCalibration 2,440 2,074 2,117 -365 -42 4,137

VarianceExplanation:Hirestothegrouphavebeensuccessfulbuttooklongerthananticipated;asaresult,earlyprocurementshavenottakenplaceasplanned.Additionally,testingrevealedissuesintheearly-procured

polarizationoptics;remediationisunderwaywiththeopticsvendorbutithasdelayedprogress.

CorrectiveAction:Wewillcontinuetomonitor.

1.2.3.3.2.1VBIBlue 2,072 1,525 1,676 -546 -151 2,455

VarianceExplanation:(SV)TheGPUSpeckledevelopmentwasexpectedthismonth;thisdevelopmentwasdelayedduetoprioritizingstaffeffortsinPA&Ctowarditsreview.Thisisnotcriticalpathactivityandwillrecovertowardtheendoftheyear.

CorrectiveAction:Wewillcontinuetomonitor.

1.2.3.3.4.1DiffractionLimitedNear-IRSpectropolarimeter(DL-NIRSP)

2,506 3,217 2,806 711 412 8,059

VarianceExplanation:Thecurrentvariancesreflecttheprojectedactivitiespriortocompletionofthefabricationcontract;thebridgefunding(postFDR)allowscontinuedprogress(earnedvalue);however,theoverallplanneedstobeupdatednowthatthecontractfortheremainingworkhasbeencompleted.CorrectiveAction:Changerequesthasbeensubmittedtomoreaccuratelyrepresentfabricationcontractwhichwasrecentlyawarded.1.2.3.3.4.2CryogenicNear-IRSpectropolarimeter(Cryo-NIRSP) 3,996 3,307 2,802 -689 505 6,032VarianceExplanation:(SV)Despitesignificantprogressinthehardwaredevelopment(UniversalCryogenicsMIP),thescheduledelayencounteredlastmonthhasremained,principallyattributedtothesoftwareareas(duetostaffloss).ThereisconsiderablepositivefloatintheIPSassociatedwiththeCryo-NIRSP.CorrectiveAction:Wewillcontinuetomonitor.Theprojecthasprovidedadditionalresourcesintheshorttermtosupportthesoftwareeffort(templatedcodesamplesandon-sitesupporttoacceleratetheirprogress).1.2.3.3.6.1CameraHardware 405 33 33 -372 0 405VarianceExplanation:Nochangefrompreviousmonthindicatingascheduleslip(delaysinthecustomdevelopmentofthecamerahardware).Currently,theslipdoesnotimpacttheprojectschedule,butthereareadditionalrisksidentified.CorrectiveAction:Wearemonitoringclosely.WewillknowinAugust2016ifare-spinisrequiredwhichwillpushoutthedeliveryofalpha/betareleasestotheprojectandmaynecessitateriskmitigation(procurementofaninterimAndorZylacamera).1.2.3.4High-LevelControlsandSoftware 5,780 5,481 5,660 -299 -180 7,171

VarianceExplanation:(SV)ThisisacombinationofsmallerlevelschedulevariancesintheGIS(prioritizationofothercontrolseffortonsummit),OCS(reviewbyscienceandDataCenterOperationstowardinterfacecompletion),andDHS(delaysinupdatestotheDRD).CorrectiveAction:WearecompletingalabintegrationplatforminBoulder(CR-0703;pending)toimprovepre-summittestingofHLSsystemsalongwithmoredetailedusertesting.WearealsoreviewingincreasingBoulderandMauistaffinglevelstoimprovescheduleperformance.1.2.3.5Enclosure 29,520 27,511 27,179 -2,010 331 29,674VarianceExplanation:(SV)Forthestructural&mechanicalandelectricalWPs,theenclosureconstructiononsiteisbehindscheduleduetobadweatherthroughouttheassembly.Furtherschedulelosshasbeenencounteredduetoprematureresourcestep-downsbythecontractor.Weareworkingonplanstoretainadditionalunionlabortoacceleratetheschedule.(CV)Enclosurecostvarianceispositiveduetolaginprocessingofinvoicesforworkperformedduringthemonth,strictoversightofinvoicingamounts,andaccumulatedholdbackonthestructural/mechanicalwork.

CorrectiveAction:WearedevelopingschedulingstrategieswhichwilldecoupleelementsoftheenclosureSATfromfurtherinternalprogressonthecouderotatorandmountbaseinstallations.ThiswilldelaythefinalSATacceptancefortheenclosurebutwillimprovethecriticalpathperformance.

1.2.3.6.2Buildings 19,271 18,156 17,648 -1,115 508 20,906VarianceExplanation:(SV)Theelectricalinfrastructureisbehindtheplannedrampup(principallyduetohistoricalstaffingissues);theteamhasbeenreconstructedandisworkingtoclearthebacklogofwork.Tenantimprovementfitandfinishisbehindschedule.(CV)ThepositiveCVisprincipallyaninvoicinglatency(tiedtomilestones)withthesundrybuildingcontracts.CorrectiveAction:ArevisedplanhaspassedthroughtheCCBwhichwillcompletekeyelectricalworkwhichrepresentsasignificantportionofthevariance.Wewillretainthevariancetotracktheworkoverthenextfewmonths.Tenantimprovementisexpectedtotakethebalancetheyeartocomplete(non-criticalpathactivity;prioritizedbuildingaccess/occupationhavealreadybeenestablishedandareinuse).1.2.3.6.4.1CleaningStation,Fixtures,Tooling 591 326 571 -265 -245 1,059

VarianceExplanation:(SV)Thecontractcontinuestolagbehindschedule.Thefinaldesignreviewoccurredon24Feb.(CV)Thecontractualpaymentplanhasup-frontpaymentsbuiltintotheschedule.ThiswillrecoveratthecompletionoftheFATphaseinmid-2016.CorrectiveAction:Continuetomonitorprogress.Thishasnoeffectonthecriticalpathatthistime.

1.2.3.6.6.1SystemInterconnects 959 255 304 -703 -48 1,129VarianceExplanation:(SV)Thevarianceisprincipallytheresultofahistoricallossofresourcesinthisarea;procurementsarecorrespondinglybehindschedule.Thisisnotcriticalpathandshouldhavenoimpact.SomerecoveryisexpectedintheFY162ndquarterwithfocusedresourcesonisland.CorrectiveAction:Wewillcontinuetomonitor(thisisnon-criticalpath).1.2.3.6.7.1FacilityPlantEquipment 2,611 2,285 2,116 -325 169 3,573VarianceExplanation:(SV)Theprocurementeffortisbehindscheduleduetoprioritizationofresourcesonsummitinstallationactivities.CorrectiveAction:Weareworkingtosupplementstaffinglevelsinthisarea.1.2.3.7.7.2ThermalSub-Systems 1,400 234 154 -1,166 80 4,313VarianceExplanation:(SV)Theprocurementsandactivitiesarebehindschedule;thesearenotcriticalpathactivitiesandworkcontinuestobeprioritizedincoordinationwithotherS&O,enclosurework.CorrectiveAction:Wewillcontinuetomonitor.1.2.3.7.7.3FacilityManagementSystem 890 425 349 -465 76 1,523

VarianceExplanation:(SV)ThisactivitywasdelayedduetotheredirectionofefforttowardresolutionofthemajorFTSsystemslabor(negotiationswithHBCTC).CorrectiveAction:Gradualrecoveryisexpectedaslargeprocurementsareexecutedovernextfewmonthsforbothsoftwareandequipment.

4.7 Obligationsasof4/30/16

Vendor Name Obligation Description TotalAdvanced Mechanical & Optical Systems, SA Coating Equipment Design & Bui 386,887$

M1Cell Assembly Vendor Fab 1,065,011$ AEC Engineering, Inc. Enclosur Fab/Factory Assembly 34,816$

Enclosure Shipping & Transport 163,867$ Enclsr CA-Site Tech Spprt/SA 93,435$ FTS Develop and Const Support 38,227$ FTS Vendor Design 48,077$

Altres Mechanical/FTS Union Labor 26,347$ Project Management - Managemen 34,612$

Andor Technology Camera HW Visible Camera Proc 77,537$ AppleOne WFC Mechanical Drawing Support 25,000$ Arizona Optical Systems Coude Optics-Mirror Fab 471,770$ BCF Solutions -Triad Project Management Project Management Control Sys 1,207,231$ Brashear, a division of L-3 Communications Corp. TEOA Options; transfer bdgt 476,114$ CAID Industries, Inc. M1 Tools and Equipment 220,500$ CKM Cultural Resource, LLC Cultural Monitor Contract 265,649$ Climatec, Inc. Facility Plant Equipment Fab, 610,470$ Delta Executive Security Hawaii, LLC General Construction Equipment 30,000$ Du-Watts Electric, Inc Encl Elec Proc & Assembly 296,080$

Encolsure Site Assembly 30,000$ Tenant Improvement - Fit and F 887,904$

Fernandez Acosta, Sergio Systems Engineering Management 3,427,503$ G4S Secure Solutions Inc. Site Security 24,080$ Ingersoll Machine Tools, Inc. TMA AURA Site Assembly/Install 21,120$

TMA Factory Assembly Test 142,500$ TMA Packing and Transport 552,467$ TMA Preliminary Design Effort 2,074,165$ TMA Site Assistance 1,457,553$

JAVINE VENTURES, INC DBA VARITEC SOLUTIONS Facility Plant Equipment Fab, 26,363$ John Ritchey, Structural Engineer, LLC Quality Assurance/Quality Cont 27,467$ KC Environmental, Inc. Habitat Conservation Plan 48,206$

National Park Service SUP 27,115$ KRS Commercial Building, LLC Building Lease 42,211$ M3 Engineering & Technology Corp. M3 Construction Services 51,473$ Meadowlark Optics, Inc. PA&C-Risk Mitigation/Early Des 29,550$

PAC supplemental thrml anlysis 127,597$ Misc. <$10K Misc. <$10K 1,115,453$ Misc. <$20K Misc. <$20K 335,669$ Observatory Sciences Ltd. Quality Assurance/Quality Cont 175,934$ Pflow Industries, Inc Platform Lift Installation 103,623$

Platform Lift Procurement 164,068$ QED Optics Context Viewer Objective Lense 40,656$

Wave Front Corection Optics 20,328$ Wave Front Correction Optics 30,188$

S & F Land Company, Inc. Warehouse Staging Area 102,836$ Steel Tech, Inc Encl Site Struct/Mech Assembly 313,722$

Enclosure Cranes 631,028$ Exigent Mtn Support Services 23,948$ S&O Steel Erection Contract 340,185$

THK America, Inc. LOWF S Mechanical Procurement 23,473$ Trane Facility Plant Equipment Fab, 120,700$ Tri-Isle, Inc NOAO Tucson Rental Space 50,000$

Warehouse Staging Area 73,434$ Univ. Corp. for Atmospheric Research ViSP - Fabrication - Phase 2 1,970,731$

ViSP - Integration, Testing an 475,000$ ViSP- Fabrication - Phase 1 475,000$

University of Arizona M1 Polishing, Proc & Fab 31,061$ M1 Tools and Equipment 32,765$

University of Hawaii Cryo-NIRSP - Fabrication - Pha 3,229,638$ DL NIRSP Fabrication 3,720,439$

Varitec Solutions Facility Plant Equipment Fab, 137,140$ Total 28,305,924$

Actuals, Obligations and Commitment Projections

5.0 RiskManagement

5.1 BriefNarrativeThe Project Risk Register is reviewed monthly in meetings between Project Management and Engineering subsystem leads; each update provides refinement of the potential trigger dates, re-estimation of the cost, schedule or performance impact, and status and implementation of any mitigation measures. There are currently 89 risks represented at the high level register totaling to $27.1M in exposure, with a Monte Carlo-produced 80% likelihood of $30.8M. Updates in May include:

- Updates: o WFC-019 (Instruments set new requirements on WFC): the trigger date was

shifted to the CDR. o A mitigation was added to SE-057 (Site configuration management). o PM-002 (Site Permitting) was lowered in exposure to reflect the remaining site

excavation activity (end of summer). o Updated exposure for PM-012 (Office Space) based on ROB progress and

anticipated construction needs in the interim (1-2 years). o Lowered exposure for PM-019 (Contractor default) based on completion of

IDOM contract in May. o Updated trigger date for OS-037 (M1 Cell Thermal Control Test Failure) based on

revised FAT schedule. o Updated trigger date for INST-058 (Incomplete Coude Station/Facility Instrument

Distribution Optics (FIDO) Design); reviewed system with engineering leads and systems; updated plans for reviews and initial procurement plans.

o Added mitigation to ITC-067 (IT&C delays); second laser tracker procurement to enable split shift use for alignment.

o Lowered exposure for ENC-006 (Enclosure SAT is delayed) due to completion of IDOM contract and decoupling of milestone with TMA assembly progress.

- New risks: o SE-125 (Power Shedding Breakers Procurement and Installation): gap effort and

equipment were discovered in the electrical installation plans; this risk has a high probability of being encountered based on current information.

- Retired risks: o OS-104 (Optical Figuring of the Coude Optics); based on testing of M7 and

approvals for CCB approval of RFWs (which enable full characterization of the optical surfaces).

o PM-096 (Self-Performance of Trade-related work); based on updated staffing plans through the end of the construction.

o INST-105 (Missing infrared camera hardware components); based on signed contract amendment with UH for the DL-NIRSP IR camera.

High Exposure List (>$1.0M; note these are included in the MC 80% scenarios): • Project Delays during construction: $6M (ITC-067, ENC-006, INST-063): Risk Register:

This is the potential exposure on the contingency based on an 80% likelihood Monte Carlo simulation which indicated 12 months of schedule contingency were needed to complete the project. A CR has been submitted to shift the IPS schedule to September 30, 2019.

• Instrument programs at CDR require additional funds (note that this has been split into risks for the individual instruments fabrication/integration effort - INST-107 (CN), INST-108 (DLN), INST-109 (ViSP), INST-110 (VBI), INST-111 (VTF): Risk Register: $2.1M. This is based on a risk factoring performed on the fabrication/integration plan at the time of CDR. Updates to the risk profiles are in review (pushed to July 2016).

• Integration, Testing and Commissioning Staffing/Effort: $1.6M (PM-026, OS-071). There are a set of IT&C tasks that are not clearly covered in existing staffing plans (e.g., coating and cleaning design, feed optics installation equipment, etc.). These areas are being elaborated through the JIRA system to explore the synchronization to other tasks and identify the need for additional staff/materials.

• Indirects (PM-124): $1.2M: This is the potential additional draw on contingency due to Indirects fees incurred from the spend out of contingency. We are reviewing additional exposure on this risk due to AURA’s staffing ramp-up in response to increased oversight and compliance reporting.

• Site Construction: Labor Unions: $1.3M (this sums together the component risks for all site labor utilizing or planning to utilize trade support). We are successfully working with the Carpenters and Plumbers trade halls. This has required the engagement of an intermediary firm (Altres, Inc.) to support the reporting/wages & fringe required; this requires an additional overhead. Further, the breakdown of apprentices/journeyman is dictated by the individual unions (and is in fact time variable) potentially requiring additional staff from what was planned. We will continue to monitor and update this risk.

• TMA Optical and Mechanical interfaces failures: $1.2M: Risk Register item for the performance of the built interfaces which could compromise the image quality. If issues are discovered after fabrication and assembly (during IT&C) this would lead to mechanical rework.

Subsystem Probability-weighted Risk Exposure

Project Management (1.2.1) $ 5,593 K Systems Engineering (1.2.2) $ 1,339 K

Enclosure (1.2.3.5) $ 371 K Telescope Assembly (1.2.3.1.1) $ 1,494 K

Optical Systems (1.2.3.1.2, 1.2.3.1.3, 1.2.3.1.5) $ 2,696 K Wave Front Control (1.2.3.2) $ 1,158 K

Integration, Testing and Commissioning (1.2.4) $ 6,128 K Instrumentation (1.2.3.3) $ 5,452K

Science Support (1.2.5) $ 459 K Facility Thermal Systems (1.2.3.6.7) $ 1,557 K

Support Facilities (1.2.3.6) $ 751 K High Level Software and Control (1.2.3.4) $ 254 K

Totals $ 27,250 K

5.2 BudgetContingencyAllocationsDuringThisReportingPeriodThere were not change requests implemented during this period that impacted contingency.

5.3 ScheduleContingencyThe Monte Carlo modeling projected 12 months of schedule contingency were needed at the 80% CL. The dates for the project are (based on REV-0092, ATST Response to the NSF Re-Baseline Review Panel Report (28 February 2013)):

• Jul 31, 2019: IPS end date for the project in Feb 2013; CSA end date of the project; 6% probability of success

• Oct 4, 2019: Current IPS end date for the project (this monthly report) • Jan (16), 2020: Project targeted end date - this has been communicated to the

community as our target and what we are driving the instrument partners to deliver to; 70% probability of success

• Mar 30, 2020: Current risk exposure identified in the risk register has costs to carry marching army, recurring expenses, etc. to this date; 75% probability of success

• Jun 10, 2020: Fiducial MC 80% project end date; we have sufficient budget to raise the risk exposure costs to this date; the project contracting strategy during the early months provided some improvement to this schedule.

Previously, the project had reported the contracting strategy on the early site construction efforts as schedule contingency. Based on the limitations of this strategy (noted in previous months) and the NSF review of the project contingency, this strategy is most accurately labeled as a risk mitigation effort.

5.4ScopeContingencyAny issues that arise that are beyond our ability to handle through risk management must be handled through de-scopes; the project maintains a de-scope list which is being revised for August 2016.

6.0 ProgramOfficerSummary

7.0 Appendix:ProjectSub-systemstatus

OpticsThe coude optical elements (M7, M8, and M9) have all seen large amounts of progress. The M7 mirror is complete and has been delivered to the contractor for assembly and coating. The M9 mirror is ready for final figuring and the M8 mirror has been rough ground to near aspheric shape. About half of the frame and assembly parts have been completed and are staged for integration at the contractor. The feed optics control system work is progressing with the contractor using full remote access of the hardware currently located in the Tucson lab. The contract is on schedule to hold a critical design review in mid-July. The assembly of the coating and cleaning equipment for the M1 mirror is about half complete at the contractor’s facility. The large man-lift component is fully built with associated electronics and will be under motion control in the next few weeks. Parts for the mirror tilting support are still in fabrication and the contract is on schedule for completion this year.

InstrumentationVTF: Continued planning with KIS for a formal management review of the 1-etalon VTF design solution, which is now scheduled for 2-3 November in Freiburg, Germany. We will likely hold a dry-run of this review on 14-15 September. Cryo-NIRSP: Spectrograph testing at Universal Cryogenics revealed need for two additional read heads in grating mechanism encoder; spectrograph testing continues; feed mirror optical tests at Precision Aspheres in late May demonstrated requirements. DL-NIRSP: Procurement of major optics and hardware continues. IR Camera vendor identified possibility of expedited procurement, and teams are pursuing this possibility. ViSP: Optics procurement has begun and opto-mechanical fabrication is underway. FIDO: Optical tolerancing is being performed and beamsplitter coatings are being characterized. VBI: The VBI team continued development of the speckle image reconstruction pipeline. Early development has ironed out interfaces with the DKIST Data Handling System (DHS) and finalized how the GPU cluster will fit within the larger DHS deployment structure. The VBI

team also took in a summer intern this month from the University of Colorado, College of Engineering. The intern is working on the VBI Instrument Performance Calculator (IPC), which will allow potential users of the VBI to explore its capabilities and map their science proposals to potential VBI configurations. PA&C: The PA&C team successfully completed all documentation required for PDR and submitted to the review committee on time. The reviewer comments and issues have been processed and replied to by the PA&C team. In the lab, the polarization modulator prototype is being tested for temperature performance under various use cases in order to finalize whether the stage will need to be cooled in the coude lab environment. The updated NSO Lab Spectropolarimeter (NLSP+) continues to undergo testing and calibration to identify and remove error. The NLSP+ is on target to be ready for acceptance testing and characterization of the PA&C polarization optics when they are delivered this summer

WavefrontCorrectionThe Wavefront Correction (WFC) team made progress in several areas during the month of May 2016. We continued to work on completing documents for the Critical Design Review (CDR) to be held late this summer or early fall. There were some additional updates to the Active Optics Engine design documents and they are now complete and will be submitted to the Systems Engineering Group for approval. The Design Overview document has gone through internal review and is complete as well. The Low Order Wavefront Sensor design documents are undergoing final internal review and will be submitted to Systems Engineering for approval in June. We are working with Systems Engineering to plan the CDR. Because of the volume of documentation to be reviewed internally by the project, we may postpone the review by a month to October. The mechanical production assistant started work in mid-May and has been a great addition to the WFC team. He is quickly coming up to speed and has already made significant contributions to organizing our many hundreds of parts for assembly and integration in the Boulder lab. We continued planning for the initial assembly and test of the front-end optics in the lab, which will begin in mid-July. In addition, we are working to hire a Wavefront Sensing Scientist to help us on a part-time basis with the Active Optics system, which is responsible for correcting the optical beam of the telescope in real time for flexure and temperature variations as the telescope moves in altitude and azimuth during observing. We continue to make excellent progress in the final integration of the Real Time Controller (RTC) and the high -level control software. We have completed the implementation of the inter-actuator stroke-limiting algorithm, which protects the deformable mirror from extreme stresses between adjacent actuators. The high level software interface is up and running and we are able to use it to control the RTC and display telemetry data and images from the RTC on our graphical user interfaces. We continued implementation of the control software for the High Order Adaptive Optics subsystem, completing the auto reference update, noise estimation and auto-optimization applications. We also continued work on the Low Order Wavefront Sensor real time image-processing engine. We completed drafts of requests for waivers for the cemented triplet optics and are reviewing them with the vendor, QED Optics. Finally, we discovered a minor problem with the deformable mirror aperture plate: the aperture hole is too small and must be enlarged slightly. We are working with Xinetics and have a plan in place to re-machine and paint the aperture plate to correct the issue.

HighLevelSoftwareThe High Level Software group continued construction activities during May. The Feed Optics Control System (FOCS) contract was signed and the start of construction kickoff meeting was held in Tucson. The Telescope Control System (TCS) has implemented several new features for the avoidance zone, offsets from the real time, and occulter reference frames and trajectories. The Observatory Control System (OCS) has worked on the format, speed, and functionality of the user interfaces for the summit experiment repository, target selection tool, and lifecycle and health monitors. The Instrument Control System (ICS) has continued to work on the new timing reference hardware, finished the design requirements documentation, and successfully integrated the VBI simulator into the Tucson OCS/ICS/DHS test bed. The Data Handling System has worked on the Camera Line Configurator, which now can allocate physical camera lines and resources, build configurations from scratch or templates, view and set configuration parameters, group configurations into sets, and validate configurations before deployment. The Camera System Software has received the Alpha-1 version of the 4k Andor Balor camera (non-sensor version) and has begun interfacing the camera with the CSS. The Camera hardware schedule has been set back by the report from Andor that the 4k cameras will not be available until Jan 2018.