Preliminary Project Execution Plan · Web viewhadronic calorimeter. The Endcap Calorimeter is a...

Preliminary PEP HL-LHC CMS

Preliminary Project Execution Planfor the

High Luminosity Large Hadron Collider (HL-LHC) Compact Muon Solenoid (CMS)

Detector Upgrade Project

Project # 402

at

Fermi National Accelerator LaboratoryBatavia, IL

Office of High Energy PhysicsOffice of Science

U.S. Department of Energy

March 2020

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Preliminary Project Execution Plan for theHL-LHC CMS Detector Upgrade Project at the

Fermi National Accelerator Laboratory

Submitted by:

Date: 2020 Steve Nahn, Project Manager, Fermi National Accelerator Laboratory

Date: ____________Douglas A. Glenzinski, Chief Project Officer, Fermi National Accelerator Laboratory

Date: ____________Josh Frieman, Head, Particle Physics Division, Fermi National Accelerator Laboratory

Date: ____________Nigel Lockyer, Laboratory Director, Fermi National Accelerator Laboratory

Date: 2020Robert Caradonna, Federal Project Director, DOE

Date: ____________Mark Bollinger, Manager, Fermi Site Office, DOE

Date: ____________Simona Rolli, Program ManagerOffice of High Energy Physics, Office of Science, DOE

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Date: ____________Michael Procario, Director of Facilities OperationOffice of High Energy Physics, Office of Science, DOE

Date: ____________James Siegrist, Associate DirectorOffice of High Energy Physics, Office of Science, DOE

Concurrence:

Date: ____________Ron Lutha, Acting DirectorOffice of Project Assessment, Office of Science, DOE

Approval:

Date: ____________Chris Fall, DirectorOffice of Science, DOE

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Change Log

Revision HistoryRev. Date Reason1 3/1/2018 1st version by Alan Harris

2 3/30/2018 Added project specific text. Using most current CD-1 profile.

3 3/30/2018 Fixed some typos in the cost tables.

4 5/22/2018 Updated with latest DOE funding profile.

5 5/23/2018 Updated with latest DOE funding profile (per Mike P.)

6 6/04/2018 Update with latest OPC / TEC split from DOE. The TPC amount and profile have not changed. We will have to revisit within the project our OPC / TEC split. This will be done well before CD-2 and a final DOE funding profile.

7 3/4/2019 Comprehensive update by Robert Caradonna. Cost/Schedule update by O’Dell. Need to finish the update of Table 5 (key L2 milestones). CE is done.

8 3/6/2019 Updated AACEI table (was slightly out of date).

9 3/12/2019 Updated DOE funding table (Table 8).

11 9/1/2019 Updated various tables/numbers in preparation for the Oct 2019 IPR/CD-1.

12 10/8/2019 Updated Cost Range and Table 2 to final numbers for CD-1 IPR.

13 11/7/2019 Updated Table 2 introducing a new row with I&C contingency; updated schedule contingency and milestone tables.

14 11/11/2019 In page 27 changed Project reporting through the CTO to Project reporting through the PPD Head.

15 11/22/2019 Updated Table 8 to be more complete and legible. Updated the operations/maintenance cost by including additional years of escalation. Removed repetitions in section 7.

16 03/13/2020 Updated the Tailoring Strategy section towards the CD-3a IPR.

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Table of Contents

1. INTRODUCTION......................................................................................................................1.1 Project Background.............................................................................................................1.2 Justification of Mission Need.............................................................................................

2. PROJECT BASELINE..............................................................................................................2.1 Scope Baseline....................................................................................................................2.2 Preliminary Cost Baseline...................................................................................................2.3 Preliminary Cost Baseline...................................................................................................2.4 Schedule Baseline...............................................................................................................2.5 Work Breakdown Structure (WBS)....................................................................................2.6 Funding Profile...................................................................................................................

3. LIFE CYCLE COST.................................................................................................................4. ACQUISITION APPROACH...................................................................................................5. TAILORING STRATEGY.......................................................................................................6. BASELINE CHANGE CONTROL..........................................................................................7. MANAGEMENT STRUCTURE AND INTEGRATED PROJECT TEAM.......................8. PROJECT MANAGEMENT/OVERSIGHT..........................................................................

8.1 Risk Management...............................................................................................................8.2 Project Reporting and Communication Management Plan.................................................8.3 Earned Value Management System....................................................................................8.4 Project Reviews..................................................................................................................8.5 Engineering and Technology Readiness.............................................................................8.6 Alternative Analysis and Selection.....................................................................................8.7 Environment, Safety and Health.........................................................................................8.8 Safeguards and Security......................................................................................................8.9 Systems Engineering...........................................................................................................8.10 Value Management.............................................................................................................8.11 Value Engineering..............................................................................................................8.12 Configuration Management/Document Control.................................................................8.13 Quality Assurance and Testing and Evaluation..................................................................8.14 Transition to Operations.....................................................................................................8.15 Project Closeout..................................................................................................................

Appendices

Appendix A: U.S Institutions Participating in HL-LHC CMS..............................................A-1Appendix B: Integrated Project Team Charter……………………………………………..B-1

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Acronym List

AD Associate Director (HEP)

AE Acquisition Executive

ALD/PP Associate Laboratory (Fermilab) Director for Particle Physics

AS Acquisition Strategy

ATLAS A Toroidal LHC Apparatus

CCB Configuration Control Board

CD Critical Decision

CDR Conceptual Design Report

CERN European Center for Particle Physics

CFR Code of Federal Regulations

CM Configuration Management

CMP Configuration Management Program

CMS Compact Muon Solenoid

DAQ Data Acquisition

DOE U.S. Department of Energy

DOE-SC DOE Office of Science

E-EPP Experimental Elementary Particle Physics ES&H Environment, Safety and Health

EVMS Earned Value Management System

Fermilab Fermi National Accelerator Laboratory

FPD Federal Project Director

FPIX Forward Pixel Detector

FRA Fermi Research Alliance

FSO Fermi Site Office

HB Barrel Hadron Calorimeter

HB/HE The Barrel and Endcap Hadron Calorimeter considered together

HCAL Hadron Calorimeter

HE Endcap Hadron Calorimeter

HEP High Energy Physics

HEPAP High Energy Physics Advisory Panel

HF Forward Hadron Calorimeter

IPT Integrated Project Team

ISM Integrated Safety Management

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KPP Key Performance Parameters

LHC Large Hadron Collider

MIE Major Item of Equipment

MoU Memorandum of Understanding

NEPA National Environmental Policy Act

NSF National Science Foundation

OBS Organizational Breakdown Structure

OHEP Office of High Energy Physics

OPC Other Project Cost

PARS Project Assessment and Reporting System

PB Project Baseline

PEP Project Execution Plan

Pixel Pixelated Inner Tracking PM Project Manager

PMB Project Management Baseline

PMG Project Management Group

PMP Project Management Plan

PPEP Preliminary Project Execution Plan

RRB Resources Review Board (CERN)

RCT Regional Calorimeter Trigger RMB Risk Management Board

SC DOE Office of Science

SG Scrutiny Group (CERN)

SiPM Silicon Photomultiplier

SM Standard Model

SOW Statement of Work

TC Technical Coordinator/Technical Coordination (CERN)

TDR Technical Design Report

TEC Total Estimated Cost

TP Technical Proposal

TPC Total Project Cost

USC55 Underground Service Cavern at CMS (LHC Collision Point 5)

UXC55 Underground Collision Cavern at CMS (LHC Collision Point 5)

VE Value Engineering

VM Value Management

WBS Work Breakdown Structure

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1. INTRODUCTION

This DOE Preliminary Project Execution Plan (PPEP) for the Compact Muon Solenoid (CMS) HL-LHC Detector Upgrade Project (hereafter, HL-LHC CMS) describes the mission need and justification of the Project, its preliminary objectives and scope, the Department of Energy (DOE) and laboratory management structure, the resource plan, and the environmental, safety, and health (ES&H) requirements. In addition, the PPEP establishes the preliminary technical, cost, and schedule baselines against which project performance will be measured by the DOE. It also describes the formal change control process by which the Project scope, cost, schedule, and PEP may be revised. This PPEP supports the approval of Critical Decision (CD)-3a. CD-0 was approved April 13, 2016 and CD-1 was approved December 19, 2019.

The Project is being carried out by Fermi Research Alliance, the contractor that operates Fermi National Accelerator Laboratory (Fermilab) under contract with DOE. The HL-LHC CMS Project Management Plan (PMP) describes the organization and systems that Fermilab will employ to manage the execution of this project and report to DOE. The PMP also establishes the more detailed lower-tier milestones against which Fermilab and the Federal Project Director (FPD) will measure project performance.

The PPEP and PMP serve as complementary documents to fulfill the Project execution planning requirements of DOE Order 413.3B. The PPEP is a living document that will be updated to capture changes to project systems, processes, procedures and personnel and revisions to the approved performance baseline or other significant changes, as appropriate. Configuration control of the PPEP is maintained by the Federal Project Director (FPD) and the DOE Program Manager, and supported by the Integrated Project Team (IPT). Minor PPEP revisions1 will be approved by the FPD in coordination with the Department of Energy (DOE) Program Manager; major revisions will be approved by the Project Management Executive (PME), the Deputy Director for Science Programs (S-2) in the Office of Science (SC).

1.1 Project Background The experimental HEP program is focused on three frontiers of scientific discovery: the Energy, Intensity, and Cosmic frontiers. At the Energy Frontier, powerful accelerators investigate the constituents of matter and the architecture of the universe. The only Energy Frontier facility is now at the European Center for the Particle Physics (CERN) which operates the LHC. CERN is the largest particle physics laboratory in the world. It has twenty-two Member States and is located near Geneva, on the border of Switzerland and France. The high energy and luminosity available at the LHC offer among the best opportunities for exploration of new physics beyond the Standard Model (SM) and for making precision measurements of properties of known phenomena associated with the electroweak sector of the SM.

1 Minor revisions include: editorial and organization changes, clarifications or updates of existing content (short of changes to performance baseline definitions), and revisions related to items at or below the FPD change control thresholds in section 6. Major revisions include changes related to items at the PME change control thresholds (but above the FPD threshold) in section 6, as well as revisions due to a proposed performance baseline change.

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Experiments at the LHC completed their first successful run in 2012 that highlighted the discovery of the long-sought Higgs boson particle, recognized by the 2014 Nobel Prize in Physics, and are now poised to make further exciting discoveries that will change our fundamental understanding of nature. Significant US participation in the full exploitation of the LHC has the highest priority in the US high-energy physics program. The US Participation in the CERN experiments has been crucial. Approximately 1,200 physicists from US institutions conduct research as collaborators in CMS and A Toroidal LHC Apparatus (ATLAS), supported as part of the DOE High Energy Physics research program and the contribution of US scientists is substantial for example in several key analysis aimed at the Higgs discovery or search for new phenomena. Given the broad experience gained during the earlier LHC runs, US physicists are in a unique position to contribute to further LHC analyses in the best possible way while maintaining the leadership role the US has had over the past two decades.

To date, the LHC has delivered 193 fb-1 to CMS, reaching a peak luminosity of 7.7 x 1033 cm2s-1, with plans to deliver up to 300 fb-1 by the end of 2023. The second long shutdown (LS2) has started and will continue through the end of 2020. During this shutdown, upgrades of the accelerator that will further increase the luminosity to 2-3 x 1034 cm2s-2. A current round of upgrades needed to support these higher luminosities (the LHC CMS Detector Upgrade Project) is being executed and will finish during LS2.

The High Luminosity upgrade of the LHC (HL-LHC) is planned to be installed and begin operations in the second half of 2026. After the upgrade described in this document, this detector is expected to integrate 3,000 fb-1 of data during running periods between 2026-2036, compared to 300 fb-1 of data during the run immediately prior to the HL-LHC upgrades. This will be accomplished through two techniques: the peak luminosity will be increased by a factor of two, and the decay of the luminosity while the beam is in store for a certain period will be slowed to a level that will raise the average luminosity delivered to the experiments by a factor of about five.

The pile-up conditions are expected to be factors of 5–8 times higher than those presently seen at the LHC. In order to operate for an additional decade within this challenging physical environment, the CMS detector will require significant upgrades to the tracker, the muon system, and the calorimeter system. The trigger and data acquisition systems will also need to be upgraded to process the increased data rates. In addition, a new hermetic time of flight system, the MIP Timing Detector (MTD), will be installed. Below is a short description of the components of the HL-LHC CMS project:

Tracking System: The tracking system of the detector plays a key role in the identification of primary vertices, secondary vertices, and secondary tracks. These elements are essential for the efficient identification of long-lived particles, such as b quarks, and for the search for new physics at the LHC. The need to upgrade the tracker is driven primarily by radiation damage caused by particles produced at the collision point under intense beam environments, thereby severely compromising tracking performance. An entirely new tracker is needed to replace the degraded present detector. It will need to be more radiation tolerant to minimize future damage and support sending track information to the trigger to allow more efficient triggering in a high luminosity environment. Moreover, the upgrade needs to increase readout speeds to handle the

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increased data rates expected at higher luminosities. The new tracker will be higher performing in order to successfully measure charged particle tracks in a more challenging environment.

Trigger and Data Acquisition: The present trigger and data acquisition (DAQ) system will need significant modifications to operate at the higher LHC luminosity. Upgrades to the trigger are motivated by the need to retain trigger capability at lower thresholds to maintain physics acceptance. An improved trigger that can utilize additional information to select interesting signal events in high pile-up environments will be needed. The DAQ will be designed to handle increased data rates and better data flow.

Calorimeter: The endcap calorimeter must be completely replaced with radiation hard technology, and the granularity increased in order to keep particle occupancies low. Both the barrel and endcap calorimeters will need to be upgraded to provide additional information to the trigger in order to allow more selective triggering in the higher luminosity environment.

MIP Timing Layer: At HL-LHC luminosities, each bunch crossing will contain roughly 200 or more collisions. In order to be able to reconstruct vertices in this busy environment, new timing information both in the barrel and endcap is needed. A new dedicated, hermetic, timing layer will be used to further identify the primary vertex.

1.2 Justification of Mission Need

The Mission Need for the Project is contained in the CD-0 approval titled Mission Need Statement for HL-LHC ATLAS and CMS Detector Upgrades that was granted final ESAAB approval on April 13, 2016.

The mission of the Office of Science (SC) is to foster, formulate, and support forefront basic and applied research which advance the science and technology foundations necessary to accomplish DOE missions: efficiency in energy use, diverse and reliable energy sources, improved health and environmental quality, and fundamental understanding of matter and energy.

The Office of High Energy Physics (HEP) mission is to understand how the universe works at its most fundamental level, which is done by discovering the elementary constituents of matter and energy, probing the interactions between them, and exploring the basic nature of space and time.

The experimental HEP program is focused on three frontiers of scientific discovery, the Energy, Intensity, and Cosmic frontiers. At the Energy Frontier, powerful accelerators investigate the constituents of matter and the architecture of the universe. The only Energy Frontier facility is now at CERN which operates the LHC. CERN is the largest particle physics laboratory in the world. It has twenty Member States and is located in Geneva, on the border of Switzerland and France. In 1977 CERN and the U.S. signed a cooperative agreement that established a framework for U.S. involvement in the LHC project.

The LHC accelerates two beams of proton bunches, which circulate in opposite directions, and collide head-on at very high energies and thereby allow for the creation of new particles. The

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luminosity, or equivalently the number of protons in each beam colliding per second, is planned to gradually increase during the course of LHC operations resulting in a higher number of collisions and thus an increased probability for exciting new discovery capabilities. Further, each bunch crossing is expected to produce a number of proton collisions that will result in an enormous number of particles at the beam interaction point. Such conditions are often characterized by the number of interactions per bunch crossing, commonly referred to as ‘pile-up’. The long-term upgrade plans for the LHC will provide a machine with significantly higher luminosity. Consequently, the collider’s higher performance will create harsh physical environments for the existing detectors, which, if not upgraded, will result in a capability gap.

2. PROJECT BASELINE

This section describes the Performance Baseline (PB) that consists of the scope, cost (TPC), schedule (CD-4 date), funding profile and other information for the project. The PB will be approved at CD-2.

2.1 Scope Baseline

The HL-LHC CMS Project will produce devices that will operate in the LHC Point 5 Collision Hall (UXC55) and the associated Underground Service Cavern (USC55) in Cessy, France. The project is to design, construct, test, deliver, and if funding is available, contribute to commissioning activities of the following subsystems:

402.2: Outer TrackerCMS Outer Tracker is being upgraded to increase granularity, to reduce material (and hence multiple scattering) and to provide track pT information for the Level 1 Track Trigger. All of these requirements are necessary to operate in the high interaction rate environment of the HL-LHC. In order to meet these requirements, CMS has designed an Outer Tracker detector comprised of two fundamentally different types of silicon modules: the Strip – Strip module (or 2S), and the Pixel – Strip module (or PS). Both the 2S and the PS modules are made up of two layers of silicon separated by 1.6-4.0 mm depending on the location and type of module, in order to optimize the pT track stub information. The PS modules are used in the innermost 3 layers of the Outer Tracker to give excellent track separation near the vertex and the 2S are used in the outer layers of the Outer Tracker, where the track separation is not as critical. In both cases, the separation of the layers within a module allow for identifying track pT stubs, which are fed to the Level 1 Track Trigger.

402.4: Endcap CalorimeterThe CMS Endcap Calorimeter is being upgraded to increase granularity, radiation hardness and resolution. All of these requirements are necessary to operate in the high interaction rate environment of the HL-LHC. The Endcap Calorimeter is made up of an electromagnetic and hadronic calorimeter. The Endcap Calorimeter is a sampling calorimeter, using as the active

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layers, radiation hard silicon in the high radiation regions and scintillator in the lower radiation regions, interspersed with steel absorbers.

402.6.3: Calorimeter TriggerThe calorimeter trigger will be upgraded to support higher Level 1 rate with more calorimeter granularity and a sharper object turn on curve for calorimeter objects. These are all necessary to trigger on events in the HL-LHC era. Combining calorimeter objects with L1 track candidates gives the fake-rate reduction power needed to keep the L1 trigger rate to 750kHz even at a working point of 200 pileup interactions / event.

402.6.5: Correlator TriggerThe correlator trigger will be introduced as a new level of global trigger that can correlate objects from the calorimeter, muon and track triggers. By making these correlations at Level 1, the overall event rate to the High Level Trigger (HLT can be kept to 750kHz.

402.6.6: DAQThe U.S. contributions to the DAQ is in the online Storage Manager and Transfer System, which writes accepted events from the HLT while simultaneously sending the events to the CERN computing center, and sending monitoring data to the online monitoring process. This requires a system that supports 30-60 GB/sec simultaneous read/write and can buffer ~ 1600 TB.

402.6.8 MIP Timing Detector The MIP Timing Layer, is a hermetic detector allowing a precision timing measurement of single particles of between 30-60ps. The timing layer is another line of defense against pileup – by measuring the timing of particles in reconstructed tracks or objects, the effective number of event vertices can be pared down from 200 to about 50, depending on the shape of the beam spot. The MIP timing detector is based on crystal + Silicon Photomultipliers in the barrel and Low Gain Avalanche Detectors, thin silicon detectors with fine pitch, in the endcap.

Details of the U.S. deliverables can be found in the DOE CMS HL-LHC Conceptual Design Report.

2.2 Preliminary Key Performance Parameters and Project Completion

The Preliminary Key Performance Parameters (KPPs) for the DOE scope for the HL-LHC upgrade are shown in Table 1. The documented Threshold KPPs comprise the minimum parameters against which the Project’s performance will be measured at CD-4. The Objective KPPs describe the technical ideal goals of the Project, provided performance is sustained and the

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CERN schedule holds. The U.S. is contributing a number of deliverables for HL-LHC. The chosen KPPs represent the performance of those U.S. deliverables that are most integral to the functioning of the CMS experiment during HL-LHC, and constitute the core of the U.S. DOE contribution.

Table 1: Preliminary Key Performance Parameters

Threshold KPP Objective KPP402.2

Outer Tracker

T-KPP-OT-1: OUTER TRACKER CONSTRUCTION

The Project will build, test, and grade approximately 30% of the total number of Modules needed for the Outer Tracker. 952 Modules will be used to construct the "Flat" Inner Barrel, the inner three layers of barrel modules.

The modules and Flat Barrel shall have sufficient granularity and noise performance to ensure a projected occupancy of < 5%, and capable of forming and sending track pT information to the L1 trigger at LHC bunch crossing rates.

O-KPP-OT-1: OUTER TRACKER CONSTRUCTION AND INTEGRATION

The Project will build, test, and grade approximately 33% of the total number of Modules needed for the Outer Tracker. 952 Modules will be used to construct the "Flat" Inner Barrel, the inner three layers of barrel modules.

The modules and Flat Barrel shall have sufficient granularity and noise performance to ensure a projected occupancy of < 5%, and capable of forming and sending track pT information to the L1 trigger at LHC bunch crossing rates.

The project shall integrate the “Flat” Inner Barrel detector into the full Outer Tracker, and test and calibrate it.

402.4

Endcap Calorimeter

T-KPP-CE-1: CALORIMETER ENDCAP CONSTRUCTION

The project shall construct the silicon modules and scintillator modules for the hadron section of the endcap calorimeter, and integrate them onto cassettes. In addition, the project shall assemble the odd-sized modules for the electromagnetic calorimeter for delivery to collaborators, and design, produce, and test the data/trigger concentrator ASIC(s) required for the endcap calorimeter.

Calorimeter silicon and scintillator modules shall have sufficient granularity, noise level, and radiation tolerance to enable cell-by-cell calibration at the 5% level through the end of operation. The cassettes shall be demonstrated to operate standalone and delivered to CERN.

O-KPP-CE-1: CALORIMETER ENDCAP CONSTRUCTION AND INTEGRATION

The project shall construct the silicon modules and scintillator modules for the hadron section of the endcap calorimeter, and integrate them onto cassettes. In addition, the project shall assemble the odd-sized modules for the electromagnetic calorimeter for delivery to collaborators, and design, produce, and test the data/trigger concentrator ASIC(s) required for the endcap calorimeter, and procure power supplies for the hadron section of the calorimeter. The fabrication shall include sufficient components for a testbeam calibration system. Calorimeter silicon and scintillator modules shall have sufficient granularity, noise level, and radiation tolerance to enable cell-by-cell calibration at the 5% level through the end of operation. The cassettes shall be demonstrated to operate standalone and delivered to CERN, where they shall be assembled, and integrated into the endcap calorimeter. The project shall additionally participate in the installation, testing and

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calibration of the detector.

402.6

Trigger and DAQ

T-KPP-TD-1: TRIGGER CONSTRUCTION

The project shall design, produce, and test both the Barrel Calorimeter electronics required for receiving and processing data from the barrel calorimeter and the Corrrelator Trigger electronics required for receiving and processing data from the calorimeter, muon, and track trigger systems, both of which transmit output to the downstream trigger components and DAQ. The project also includes development of software and firmware needed to operate the electronics and implement L1 trigger reconstruction.

The Barrel Calorimeter trigger shall be validated, based on test data patterns from simulations verified against detector readout data, to provide a position resolution of ΔR = 0.01 and energy resolution of 10% for electrons and photons in the energy range 20-30 GeV.

The Correlator trigger shall be validated, based on simulated test data patterns verified against detector readout data, to correlate identified input track, calorimeter cluster, and muon trigger-level primitives efficiently. For 20 GeV electrons (muons), the matching efficiency of the Correlator trigger between received primitive tracks and received primitive clusters (muons) must be greater than 95%.

O-KPP-TD-1: TRIGGER AND DAQ CONSTRUCTION AND INSTALLATION

The project shall design, produce, and test both the Barrel Calorimeter electronics required for receiving and processing data from the barrel calorimeter and the Corrrelator Trigger electronics required for receiving and processing data from the calorimeter, muon, and track trigger systems, both of which transmit output to the downstream trigger components and DAQ. The project also includes development of software and firmware needed to operate the electronics and implement L1 trigger reconstruction.

The Barrel Calorimeter trigger shall be validated, based on test data patterns from simulations verified against detector readout data, to provide a position resolution of ΔR = 0.01 and energy resolution of 10% for electrons and photons in the energy range 20-30 GeV.

The Correlator trigger shall be validated, based on simulated test data patterns verified against detector readout data, to correlate identified input track, calorimeter cluster, and muon trigger-level primitives efficiently. For 20 GeV electrons (muons), the matching efficiency of the Correlator trigger between received primitive tracks and received primitive clusters (muons) must be greater than 95%.

The project shall specify, procure, and test the equipment needed for the startup online Storage Manager and Transfer System, and the software used for collecting, aggregating and distributing events accepted by the high-level trigger.

The Storage Manager startup hardware shall be sized to support data buffering of at least 1 day of data from the HLT at a minimum of 31 GB/s, concurrently transferring data to CERN central computing and transferring monitoring data to the online monitoring system.

Both the Calorimeter trigger and Correlator Trigger shall be installed, commissioned and validated in situ using full-speed connections from testing data sources and to data storage using the simulated test data patterns.

402.8 Timing T-KPP-TL-1 TIMING LAYER O-KPP-TL-1 TIMING LAYER

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Layer CONSTRUCTION

The project shall construct and qualify concentrator cards (CCs) and trays of modules+readout units (RUs) for the BTL. The project shall deliver to CERN 100% of the CCs and approximately 45% of the total trays needed for the BTL. In addition, the project shall design the front-end ASIC and construct and qualify modules for the ETL. The project shall deliver to CERN 50% of the ASICs and assemble 38% of the modules needed for the ETL.

BTL and ETL component performance will match the specification of production prototypes, which shall be demonstrated in cosmic ray, source, and/or test beam exposures to be capable of measuring the arrival time of minimum-ionizing particles with a resolution corresponding to < 60 ps per track.

CONSTRUCTION AND INSTALLATION

The project shall construct and qualify concentrator cards (CCs) and trays of modules+readout units (RUs) for the BTL. The project shall deliver to CERN 100% of the CCs and approximately 60% of the total trays needed for the BTL. In addition, the project shall design the front-end ASIC and construct and qualify modules for the ETL. The project shall deliver to CERN 50% of the ASICs and assemble 50% of the modules needed for the ETL.

BTL and ETL component performance will match the specification of production prototypes, which shall be demonstrated in cosmic ray, source, and/or test beam exposures to be capable of measuring the arrival time of minimum-ionizing particles with a resolution corresponding to < 60 ps per track.

The project shall participate in the integration of the BTL trays and ETL modules into the MTD detector at CERN . The project shall additionally participate in the installation, testing and calibration of the detector.

The threshold KPPs are not dependent on the LHC operating schedule or down times. They require only that components are to be tested before delivery to CERN. If the LHC shutdown does not happen as scheduled, installation of the components in the experiment will be assumed by the U.S. CMS Operations Program.

2.3 Preliminary Cost Baseline

The DOE contribution to the HL-LHC CMS Project will be funded as a Major Item of Equipment. The Total Project Cost (TPC) at Work Breakdown Structure (WBS) Level 2 is shown in “CMS HL-LHC DOE Project Funding, Costs, and Critical Decision Schedule” (CMS-doc-13723).

The preliminary cost estimate was based on the Project’s resource loaded schedule and developed at the lowest level WBS. The cost estimate will be based on DOE guidance for annual escalation rates for materials purchased in the U.S. and for labor provided in the U.S. or at U.S. rates outside the U.S.

Table 2: Project Cost Summary as of November 2019

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https://cms-docdb.cern.ch/cgi-bin/DocDB/ShowDocument?docid=13723



WBS Elemen

tWBS Description

Cost Estimate

(AY$k)

402 HL-LHC CMS Detector Upgrade Project

402.1 Project Management 17,778

402.2 Outer Tracker 40,375

402.4 Endcap Calorimeter 38,556

402.6 Trigger and DAQ 8,257

402.8 MIP Timing Detector 11,852

402.XX Installation & Commissioning 7,815

Subtotal: Base Cost 124,632

Non-I&C Contingency 35,483

I&C contingency 1,910

Total Project Cost 162,025

The DOE Total Project Cost point estimate as of November 2019 is $162,025 (AY$k) (See Table 2). Excluding I&C, the maximum available contingency is $35.48 M plus $3.86 M in down scope options, summing to $39.34 M. This is 34.9% of the minimum required scope, the Threshold BAC ($113M), and $41.6% of the Threshold Cost to Go ($94.8M). The cost range has been determined by implementing the guidance outlined in the DOE Cost Estimating Guide2. This guide contains a description of the cost classification practices recommended for process industries by the Advancement of Cost Engineering International (AACEI), which outlines a method for determining cost classifications and ranges based on the degree of project definition.

The project definition for the U.S. HL-LHC CMS Project has been evaluated from a bottom-up determination of the maturity performed at the task level in the resource loaded schedule. The resulting project definition, by class, is shown in Table 3.

2 DOE-G-413.3-21, May 9, 2011.

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Table 3: Cost range for the HL-LHC CMS Project ) as of November 2019, generated by mapping project maturity codes to AACEI cost class definitions as called out

in the DOE Cost Estimating Guide (DOE-G-413.3-21

Applying the AACEI methodology for computing the range using the project definitions above results in a cost range of $144.1M to $183.0M (AY$M), a range of $38.9M (AY$M). This represents -11.1/+12.9%, or a full range of 24%, relative to the point estimate, and is consistent with the maturity of the designs, the significant amount of R&D and value engineering that has been performed to date, and the tasks and associated risks associated with the remaining project work to be performed.

Contingency will be managed and allocated at the Project level. Its usage will be approved by the DOE subject to change control limits, as outlined in Section 6.

The design work for the HL-LHC CMS Project has benefitted from a long-standing U.S. CMS detector R&D program that has been funded out of operations. In addition, technical designs similar to those under consideration for this Project have been implemented in the Phase I and the original CMS construction projects, and in other high energy physics experiments. However, the Project requires the integration of engineering and design work done at multiple U.S. sites, and the delivery and installation of the components is driven by a fixed schedule that is set by international partners. This has been integrated into our contingency estimates.

2.4 Schedule Baseline

As of November 2019, the Project CD-4 date is 9/30/2027, which includes 37.1 months of schedule contingency. Key project milestones are shown in Table 4 and Table 5.

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Table 4: Level 1 Milestones as of November 2019

Level 1 Milestone ScheduleCD-0, Approve Mission Need 4/13/16 (actual)CD-1, Approve Alternative Selection and Cost Range 12/5/19CD-3a, Approve Long Lead Procurement 5/20CD-2/3, Approve Performance Baseline/Approve Start of Construction 11/20CD-4, Approve Project Completion 9/27

Table 5: Key Project Milestones (Tier 2) as of November 2019

Level 2 Milestone ScheduleWBS 402.2 Outer Tracker

Award of Silicon Sensor Contract 8/23/2019 (actual)2S Pre-production Modules complete 8/10/2022Module production complete 6/12//2025Flat Barrel Complete 2/3/2025

WBS 402.4 Endcap Calorimeter Final Si Sensors Qualified 11/30/2020Si Module production complete 6/24/2024Tile module production complete 11/15/2023Cassette production complete 7/18/2024

WBS 402.6 Trigger/DAQ Correlator and Calorimeter L1 Trigger pre-production design complete 10/19/2020Correlator and Calorimeter L1 Trigger production design complete 10/20/2021Correlator and Calorimeter L1 Trigger production boards complete 3/29/2024DAQ Storage Manager complete 12/18/2025

WBS 402.8 MIP Timing DetectorBarrel Timing Layer: Ready to start BTL Module production 10/31/2022Barrel Timing Layer: Integration and Commissioning complete 1/03/2024Endcap Timing Layer: Production ASIC (ETROC3) ready for submission 8/14/2023Endcap Timing Layer: ETL Module production complete 11/21/2024

2.5 Work Breakdown Structure (WBS)

The Work Breakdown Structure for the DOE part of the project through Level 3 is given in Table 6. Table 7 gives the description (WBS Dictionary) of the tasks at WBS Level 2.

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Table 6: Work Breakdown Structure through Level 3.

WBS# WBS NAME402 CMS HL-LHC Project402.1 Project Management

402.1.2 Project Office – DOE 402.1.4 Common Fund Contribution – DOE

402.2 Outer Tracker 402.2.2 OT – Management 402.2.3 OT – Sensors 402.2.4 OT – Electronics 402.2.5 OT – Modules 402.2.6 OT – Mechanics 402.2.7 OT – Integration and Commissioning402.4 Endcap Calorimeter

402.4.2 EC – Management 402.4.3 EC – Sensors 402.4.4 EC – Modules 402.4.5 EC – Cassettes 402.4.6 EC – Scintillator Calorimetry 402.4.7 EC – Electronics and Services

402.6 Trigger and DAQ 402.6.2 TD – Management 402.6.3 TD – Calorimeter Trigger 402.6.5 TD – Correlator Trigger 402.6.6 TD – Data Acquisition

402.8 MIP Timing Detector (Timing Layer)402.8.2 TL – Management 402.8.3 BTL – Barrel Timing Layer 402.8.4 ETL – Endcap Timing Layer

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Table 7: WBS Dictionary at Level 2

WBS # WBS Title WBS Description

402.1 Project Management

Labor, materials, travel, and fixed costs associated with operations of the HL LHC CMS Upgrade Project Office, including the offices of the Project Manager and staff; the project support functions; environment, safety, and health; quality assurance; configuration management; and document control. Also includes the CMS Common Fund payments for necessary infrastructure upgrades in preparation for the HL-LHC CMS upgrade.

402.2 Outer Tracker

Labor and materials for the R&D and facility enhancements to design and build PS and 2S modules for the CMS Outer Tracker, including the mechanical structures they mount on for the inner detector. Ship fully tested and mounted modules to CERN to test on site.

402.4 Endcap Calorimeter

R&D and design of the hadronic cassettes for the Endcap Calorimeter. Procure and produce the active material “cassettes”, test and ship to CERN. Design and produce the data/trigger concentrator ASIC for the Endcap Calorimeter.

402.6 Trigger and DAQ

R&D and design of the upgraded Calorimeter and Correlator trigger systems. Specifications and procurement of the DAQ Storage Manager.

402.8 Timing Layer R&D and design of the Barrel and Endcap Timing Layers. Production of Barrel modules and trays, and the Endcap modules and readout chip.

2.6 Funding Profile

The Project current funding profile is shown in Table 8 in AY$k. This funding is for a Major Item of Equipment (MIE).

Table 8: DOE Funding Profile.

* Other Project Costs (OPC) includes Conceptual Design and Prototyping and Testing.

** Total Estimated Cost (TEC) includes designs, construction (fabrication), project management, and other costs not captured in OPC.***Total Project Cost (TPC) includes TEC PED, TEC Construction and OPC.

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3. LIFE CYCLE COST

The TPC is estimated to be $162.025M in as spend dollars from October 1, 2017 to September 30, 2027. The operations and maintenance costs are estimated to be on average $7.8M/year with a 10-year lifetime, numbers compatible with operating the current detector and assuming a 2% escalation per year.

4. ACQUISITION APPROACH

An Acquisition Strategy (AS) was prepared as a prerequisite for CD-1. Briefly, the AS describes why the DOE contractor of Fermilab has been chosen to lead the project, and how the acquisitions of the HL-LHC CMS Project will be managed. In addition, discussions of the largest purchases that are cost drivers for the project are included in the Procurement Plan that accompanies the AS.

Best value competitive procurement methodology will be employed to consummate fixed price contracts to the maximum extent practical. During the design and construction phases, project management will identify major procurements that represent significant complexity or cost and schedule risk. Advanced Procurement Plans (APP) will be produced for each of these components. The APPs will detail major procurement milestones and any unique procurement considerations associated with requirements. If foreign vendors are considered as part of the source selection process, appropriate Buy American Act (BAA) decisions, determinations, and approvals will be made in accordance with the flow down requirements of the prime contract and the DOE-approved FRA purchasing system.

Universities are important contributors to the project. All U.S. universities that do work for the project will have an annual Statement of Work (SOW) for each university receiving DOE funds from the project with roles, responsibilities, and detailed deliverables for that year and associated costs expected to be covered by Fermilab.

5. TAILORING STRATEGY

Applicable requirements of DOE Order 413.3B may be applied on a tailored basis as appropriate to the HL-LHC CMS Project based on the risk, complexity, cost, and schedule of the Project. Tailoring may involve consolidation of decisions, documentation, substituting equivalent documents, concurrency of processes, etc. The CMS Detector Upgrade project baseline will phase some critical decisions, seeking CD-3a for Approval of Limited Construction (to allow long-lead procurements) prior to CD-2/CD-3 for Approval of Project Baseline and Full Construction. This will be necessary to be able to deliver the detector subsystem components to CERN and turn them over to U.S. CMS Operations and CMS Technical Coordination in accordance with the CERN schedule.

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The components for the HL-LHC CMS must be installed and commissioned during the 2.5-year LHC accelerator shutdown that starts in CY 2025. This schedule is set and maintained by the CERN laboratory. In order to mitigate and limit U.S. exposure to schedule and cost risk resulting from this arrangement, a CD-3a approval in FY2020 followed by a CD-2/3 approval in FY2021 is planned. If CD-3a is delayed, the project will be delayed 1 year (including some standing army costs) and commitments to the collaboration effort would not be met. The CD-3a approval will allow for long-lead procurement (LLP) of critical sensors and module mechanics for the Outer Tracker and LYSO crystals for the Barrel MIP Timing Detector. The total cost for the LLP is $10,561k as detailed in Table 9. Over eighty per cent of this cost is for the silicon sensors which will be procured externally by CERN for the entire international project for consistency. We need to provide a funding commitment at this time to place an order in accordance with a Memorandum of Understanding between CERN and Fermilab (under Addendum I to Experiments Protocol II between the European Organization for Nuclear Research and DOE for participation by DOE in the HL-LHC ATLAS and CMS upgrades) for collaboration in the upgrade of the CMS Detector for the HL-LHC. The Preliminary and Final Design Reports will be required to support this tailoring strategy, in accordance with DOE Order 413.3B in addition to the CMS Production Readiness Reviews. This will help facilitate the Project’s ability to keep pace with its objective to construct, test, and ship all HL-LHC CMS deliverables to CERN in time for the 2025 LHC LS3 shutdown.

Table 9: Long Lead Procurements as of March 2020

Subsystem 1st Procurement DateMaterials & Labor

($k)

Items

402.2 Outer Tracker 06/2020 5,871.4

Silicon sensors as well as Labor and M&S for associated QC activities; Carbon Fiber (CF) and Al-CF for Outer Tracker modules as well as labor for CF layups.

402.8 MIP Timing Detector 03/2021 526.4

LYSO crystals for the barrel Timing Detector

Sub-Total 6,398

Contingency 3,988 62%

Total CD-3a 10,561

Similarly, the four subsystems finish at very different times. Current CD-4 date is September 2027. It might be desirable to have CD-4a, CD-4b, CD-4c, and CD-4d as each subsystem is

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delivered to CERN, checked out, and delivered to U.S. CMS Operations. CD-4 would then be based on closing out all reporting and technical requirements for the entire project. The timing and cost-effectiveness of consolidating or modifying critical decisions will be evaluated prior to base-lining.

The Project is funded by both DOE and NSF and managed in an integrated manner. DOE and NSF deliverables are distinct and defined in the corresponding WBS Dictionaries and Resource Loaded Schedules. Individual control accounts contain only NSF or DOE deliverables, but not both. The project will report via the DOE PARS II System, and include EVMS computations and associated metrics. Only the DOE scope will be uploaded to the PARS II system.

6. BASELINE CHANGE CONTROL

The performance of the Project will be controlled via the use of project management tools, including: management documentation, cost and schedule tracking, change control, and reporting. Management documentation includes such documents as the CMS Phase 2 PEP and PMP. Cost and schedule will be tracked using an Earned Value Management system. Change control will be executed as described below and project reporting will be executed as described in section 8.2, Project Reporting and Communication Management Plan, of this document.

The project baselines and control levels are defined in a hierarchical manner that provides change control authority at the appropriate management level. The highest level of baseline change control authority is defined for baseline deviation. Changes through Level 3 are approved as follows:

Level 0 -Deputy Director for Science Programs (SC-2), Project Management Executive Level 1 - DOE Associate Director for HEP Level 2 - HL-LHC CMS Federal Project Director; and Level 3 - Fermilab, as specified in the HL-LHC CMS PMP.

Change control thresholds are presented in Table 10. The technical, cost, and schedule baselines are described in sections 2.1, 2.2, and 2.3, respectively. Any Level 0-3 changes will be reviewed by a Baseline Change Control Board, which will be chaired by the PM.

Baseline changes will be acted on within two weeks of submission at each change level. The PM will communicate and provide copies of any approved Level 3 (and lower) changes to the FPD.

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Table 10: Technical, Schedule, and Cost Baseline Change Control Levels

Deputy Director of Science for Programs,

SC-2(Level 0)

Associate Director of Science for HEP

(Level 1)

Federal Project Director*(Level 2)

Fermilab/HL-LHC CMS

Project Manager(Level 3)

Scope

Any change in scope and/or performance that affects the ability to satisfy the mission need or is not in conformance with the current approved threshold KPP as described in PEP Section 2.1 and budget narratives.

Any addition to scope as described in PEP section 2.1orMajor changes in technology or approach to Level 2 WBS components as shown in Section 2.4.

Major changes in technology or approach to Level-3 WBS components.

Changes to scope, technology or approach below the FPD threshold.

Cost

Any change to the TPC of the project as stated in Section 2.3

Any change to TEC or OPC over $5M for a single item or any cumulative change greater than 50% of a Level 2 WBS. **

Cumulative contingency use of $1.0M**

Changes to cost below the Federal Project Director thresholds

Schedule

Any delay to the CD-4 date as stated in Table 3.

Any changes to Level 1 milestones with the exception of CD-4.

Any changes to Level 2 milestones.

Any changes to milestones below Level 2 that do not impact higher level milestones.

Funding

Any changes to funding profile as shown in Section 2.5 that negatively impact the Performance Baseline.

*Contingency use up to the $1.0M threshold is considered management reserve and is reported in the monthly reports to the FPD. This threshold may be reduced at the FPD discretion based on the progress and remaining risks of the project.

** FPD will be notified prior to reaching the cumulative threshold. After the cumulative threshold has been reached and the next higher change authority has been notified and has approved the changes, the cumulative cost thresholds will reset.

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7. MANAGEMENT STRUCTURE and INTEGRATED PROJECT TEAM

The DOE-SC organization for the LHC CMS Detector Upgrade Project is shown in Figure 1. Each of the major organizational elements is discussed below the figure. The HL-LHC CMS Integrated Project Team Charter is contained in Appendix A..

Figure 1: DOE-SC Organization for the LHC CMS Detector Upgrade Project. Shadow boxes indicate international entities. Solid lines indicate management/oversight relationships and dashed lines indicate advisory relationships.

Office of Science – Project Management Executive

The DOE Deputy Director for the Office of Science is the Project Management Executive (PME). The PME has full responsibility for ensuring adequate project planning and execution, and for establishing broad policies and requirements for achieving Project goals. Specific responsibilities for the PME for the HL-LHC CMS Project include:

• Approves Critical Decisions;• Approves and ensures the FPD appointed to a project is qualified and has appropriate

communication and leadership skills prior to designation;• Approves the Acquisition Strategy, PPEP, and PEP;• Approves IPT Charter as part of the PPEP/PEP;• Approves or delegates approval authority for Level 0 baseline changes;• Conducts or delegates monthly or quarterly project reporting/meetings

The SC Office of Project Assessment (OPA) provides independent oversight of theProject for the Acquisition Executive including the conduct of Independent ProjectReviews in support of Critical Decisions and Annual Progress Review.

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Office of High Energy Physics

Within DOE’s Office of Science, the Office of High Energy Physics (OHEP) has overall DOE responsibility for the development of the high energy physics experimental program, including upgrades to detector systems like the HL-LHC CMS Detector. The Associate Director of HEP plans, constructs, and operates major scientific user facilities for high energy physics research, which includes the U.S. involvement in the overall HL-LHC CMS program.

Specific responsibilities of the HEP Associate Director for the HL-LHC CMS Project include:

• Initiates definition of mission need and objectives of the Project;• Approves Level 1 baseline changes;• Reviews and provides recommendations to the PME for Level 1 baseline changes;• Initiates formal periodic reviews of the Project;• Provides DOE-HQ technical guidance and resources to the FPD and DOE Program

Manager;• Provides funding for the Project.

DOE Program Manager

DOE HEP has named a Program Manager for HL-LHC CMS Project, who serves as the primary DOE Headquarters (DOE-HQ) point of contact for HL-LHC CMS Project and who is charged to fulfill DOE OHEP responsibilities for Project funding, coordination, oversight and communication with other Headquarters offices. The DOE Program Manager has the following specific responsibilities:

• Functions as DOE HQ point-of-contact for Project matters;• Serves as the representative in communicating the interests of the SC program;• Coordinates with FPD, IPT, other SC Staff offices, and DOE HQ program offices, as

needed, to execute the Project;• Assists with budget formulation;• Reviews and provides recommendations to senior management on Level 1 and Level 0

baseline changes;• Serves on the IPT;• Reviews documents (Mission Need Statement, AS, PEPs, IPT Charter, etc.) and

recommends approval;• Reviews Project progress reports and deliverables;• Supports formal periodic reviews of the Project, including DOE-OPA Reviews and tracks

issues to resolution;• Participates in Energy Systems Acquisition Advisory Board (ESAAB) Equivalent Board

meetings, as required.• Enter monthly project status information in PARS II

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DOE/NSF Joint Oversight Group: The HL-LHC CMS receives substantial support from both DOE and NSF. Most aspects of the Project’s development and execution require close collaboration between DOE and NSF supported groups. In order to ensure close DOE and NSF coordination of HL-LHC CMS at the Headquarters level, the DOE/NSF Joint Oversight Group (JOG) provides oversight of the Project. The JOG was formed by DOE OHEP and the NSF Division of Physics to oversee all U.S. LHC activities. Its roles and responsibilities are defined in a Memorandum of Understanding between DOE and NSF. The JOG establishes programmatic guidance and direction for U.S. CMS activities, which include HL-LHC CMS, coordinates DOE and NSF policy and procedures, and oversees the Project. The JOG meets bi-annually.

Fermi Site Office

Within the Office of Science, the FSO provides DOE’s direct contractual link to FRA.

Site Manager: The FSO Site Manager has the following Project-related responsibilities:

Provides required Federal personnel resources at the site, as necessary; Approves required documents and permits Allocates additional site office resources as required.

Federal Project Director

The DOE HL-LHC CMS Federal Project Director (FPD) has the following responsibilities:

• Serves as the single point of contact between Federal and contractor staff for all matters relating to a project and its performance.

• Prepares and maintains the IPT Charter and operating guidance with IPT support and ensures IPT is properly staffed. Defines and oversees the roles and responsibilities of each IPT member.

• Leads the IPT and provides broad program guidance. Delegates appropriate decision- making authority to the IPT members.

• Acts as the Contracting Officer's Technical Representative, as determined by the Contracting Officer.

• Ensures development and implementation of key project documentation.• Defines Project cost, schedule, performance, and scope baselines.• Ensures design, construction, environmental, safety, security, health and quality efforts

performed comply with the contract, public law, regulations and Executive Orders.• Ensures timely, reliable, and accurate integration of contractor performance data into the

Project's scheduling, accounting, and performance measurement systems, to include PARS II.

• Evaluates and verifies reported progress; makes projections of progress and identifies trends,

• Review Level 1 and 0 Baseline Change Proposals, and• Approves project changes in accordance with the approved change control process

documented or referenced in the PEP.

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The DOE HL-LHC CMS FPD heads the HL-LHC CMS Integrated Project Team (IPT).The intent is to execute the Project via a tailored approach that optimizes control, progress, performance, and success of the HL-LHC CMS Project.

Deputy Federal Project Director

The HL-LHC CMS Deputy Federal Project Director will report to the HL-LHC CMS Federal Project Director. The DFPD will support the FPD in his/her responsibilities and will perform assigned duties as listed for the FPD above. The Deputy Federal Project Director will serve as the Federal Project Director in his/her absence and will be the Alternate Contracting Officer’s Representative (COR) for the HL-LHC CMS Project. The Deputy FPD shall be responsible for the WBS 402.2 – Outer Tracker.


The Fermilab Research Alliance (FRA) manages and operates Fermi NationalAccelerator Laboratory (FNAL) for DOE. FRA has appointed a Laboratory Director with overall responsibility for all projects, programs, operations, and facilities at Fermilab. Fermilab plans to manage HL-LHC CMS Project within cost, on schedule, and to deliver the targeted technical threshold scope and performance.

The Director approves or concurs with the contents of the Project Management Plan (PMP), the cost estimate, the schedule, the financial plan, and changes in scope for the Project. The Fermilab Director is ultimately responsible for ensuring that the project is carried out safely and with respect for the environment.

Through the Laboratory Directorate (Deputy Director and Chief Project Officers) the Fermilab Director provides access to Laboratory resources, systems and capabilities required to execute the HL-LHC CMS Project. Responsibility for oversight of HL-LHC CMS Project is delegated by the Laboratory Director to the Head of the Particle Physics Division (PPD). The Project Manager (PM) is appointed by the Laboratory Director and reports to the Director through the PPD Head. Together with the Chief Project Officer, the PPD Head convenes a monthly Project Management Group meeting that brings together project leadership and senior Laboratory management to discuss project status, progress, and issues.

Project Manager

Fermilab’s Director has delegated to the PM the responsibility and accountability for the HL-LHC CMS Project to be executed safely, within cost, and on schedule. The PM reports to the Laboratory Director (through the PPD Head) and provides project leadership and management of the HL-LHC CMS Project. The PM is a core member of the IPT. The PM will be responsible for the acceptance of each individual item of technical equipment and for the sign off on the technical performance of each deliverable prior to shipment to CERN. Consistent with

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Fermilab’s implementation of Integrated Safety Management (ISM), the PM is accountable for the safety, security, and administrative performance of the Project.

The HL-LHC CMS Project PM reports to DOE through the FPD and Program Manager, who reports to the AD OHEP and the Project Management Executive. The HL-LHC CMS Project PM develops and maintains the Project Management Plan and manages the design, HL-LHC CMS Project construction, test, and related activities defined to be within the project scope. This entails the management of activities and resources at Fermilab and at collaborating institutions, including the planning, procurement, disposition and accounting of laboratory resources, liaison with institutional representatives, oversight and management of ESH & Quality issues, oversight of the fabrication of HL-LHC CMS Project components on and off‐site, and ensuring their timely delivery for further assembly and installation at CERN. The PM represents HL-LHC CMS Project in interactions with Fermilab, DOE, participating U.S. institutions and foreign institutions participating in HL-LHC CMS.

The PM is responsible for the day-to-day management and execution of the HL-LHC CMS Project. These responsibilities include adherence to technical, cost, and schedule baselines; utilization of appropriate and effective project control, tracking, and reporting systems; risk management; configuration management; integrated safety management; security; quality assurance; and generation of SOWs that will govern agreements between collaborating U.S. institutions and/or Laboratories and the Project. Fermilab is ultimately responsible for all procurement activities; the specification and acquisition of materials, products, and equipment; NEPA support and compliance; and the design and construction of the Project deliverables. The HL-LHC CMS Project will be executed in a manner that does not compromise the safety or health of workers and the public or degrade the environment. The PM is responsible for identifying all potential environmental, safety, and health (ES&H) hazards and security risks and for ensuring their appropriate mitigation. Collaborating institutions on the HL-LHC CMS Project will perform work according to the rules of their respective institutions, with oversight provided by Fermilab.

In summary, the PM has the following responsibilities:

• Manages the execution of the project at Fermilab and collaborating institutions to ensure that the project is completed within approved cost, schedule and technical scope,

• Ensures that effective project management systems, cost controls and milestone schedules are developed, documented and implemented to assess project performance,

• Ensures that project activities are conducted in a safe and environmentally sound manner.• Ensures ES&H and QA/QC responsibilities and requirements are integrated into the

project.• Oversees R&D program, design, fabrication, installation, construction.• Represents the project in interactions with the DOE. Participates in management

meetings with DOE and communicates project status and issues.• Requests and coordinates internal and external peer reviews of project.• Chairs the Change Control Board,• Chairs the Risk Management Board,

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• Approves Level 3 change control proposals. Prepares and provides recommendations to the FPD for Level 0, 1, and 2 change control proposals.

• Identifies and manages project risks.• Manages the interface and coordination of requirements with other projects,• Primary point of contact with the Federal Project Director.• Communicates and coordinates resource needs to Fermilab and other participating

institutions.

Deputy Project Manager and NSF PI

The PM appoints Deputy PMs with the consent of the Laboratory Director and with the concurrence of the DOE and/or NSF. The Deputy PMs have the full authority of the PM in the event of the PM’s temporary absence. The Deputy PMs normally assist in the management of the Project. The PM may delegate certain specific responsibilities to the Deputy PMs.

NSF Principal Investigator

One of the Deputy PMs is also the NSF Principle Investigator (DPM/NSF PI). The NSF PI is tasked by the NSF to complete the NSF deliverables on time and on budget. As such, the NSF DPM holds the primary Project Manager responsibilities for the NSF scope of the project.

Subproject Managers

The HL-LHC CMS Subproject (or WBS Level 2) Managers (L2M) report to the PM. Their responsibilities are to complete the WBS Level 2 element assigned to them, within cost and on schedule. They provide direction and oversight to both the subsidiary task leaders and the engineering, scientific, and technical staff executing work to accomplish the scope in their assigned WBS Level 2 element.

CERN

The CMS Experiment is located at the LHC at the CERN laboratory in Geneva, Switzerland. Various CERN and CMS entities play important roles in the project.

CERN Council

The CERN council is the highest authority of the organization. It controls CERN’s activities in scientific, technical and administrative matters. It approves programs of activity, adopts the budgets and reviews expenditure. The council is assisted by the Scientific Policy Committee (evaluates the scientific merit of activities proposed by physicists and makes recommendations on CERN’s scientific program) and the Finance Committee (representatives from national administrations - deals with all issues relating to financial contributions by the member states and to the organization’s budget and expenditure).

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CERN Director General

The Council appoints the Director General, usually for a five-year period. The Director General is responsible for managing the laboratory with the assistance of a directorate whom he/she nominates.

CERN Director for Research and Computing (Member of Directorate)

The CERN Research Director reports to the Director General and provides oversight of the entire research program of the lab, including HL LHC Upgrade projects. The DOE, NSF and the CERN Research Director have reached an agreement on the manner in which the U.S. will specify, and CERN will acknowledge the U.S. deliverables to the HL-LHC CMS Upgrade. This will involve an extraction from the Resource Loaded Cost and Schedule for the Project by the PM of the agreed upon list of deliverables and the corresponding costs for materials and supplies only (without contingency). This will be sent to the CMS spokesperson for endorsement and then to the CERN Research Director who will acknowledge it as a U.S. contribution at the appropriate level.

CERN and CMS Oversight Organizations

CERN and the CMS funding agencies, including DOE and NSF, have agreed to extend the oversight and funding structures used in the CMS Construction Project to the Upgrade Projects. These structures are the LHC Resources Review Board (RRB), the Upgrade Cost Group (UCG), and the LHC Experiments Committee (LHCC). The LHCC evaluates the scientific content of Technical Proposals (TPs) and Technical Design Reports (TDRs) produced by CERN’s experiments, and makes recommendations to the Research Board as to their suitability for approval for inclusion CERN’s research program. The RRB deals with Resource issues of the LHC experiments, both whether sufficient resources are available and whether existing resources are used efficiently. It relies on a group of technical experts to do a rigorous evaluation of costs (UCG).

CMS Collaboration Board

The CB is the policy- and decision-making body of the CMS Collaboration. It comprises the representatives of each Institute of the collaboration, and the members of the Executive Board (see below). The CB elects one of its members as chairperson.

CMS Executive Board

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The CMS Executive Board is the top-level executive management committee of the experiment, responsible for directing the execution of the CMS project. It is chaired by the spokesperson. It is comprised of the deputy spokespersons, the resource and technical coordinators, and the coordinators and project leaders of the various systems and activity areas of the experiment.

CMS Upgrade Steering Committee

The CMS Upgrade Steering Committee is responsible for the overall management and oversight of the CMS upgrade program and acts as an executive body in partnership with the Executive Board. It is chaired by the CMS Upgrade Coordinator and comprises the Project Leaders and upgrade coordinators of each CMS system, and the CMS Physics, Computing, Electronics and Technical Coordinators.

Integrated Project Team

There are a variety of skills required among the HL-LHC CMS Project team members in order to successfully execute the Project. The IPT consists of Federal and Contractor professionals that are integral to Project execution and success, and may include personnel from budget/finance, contracting/procurement, ES&H, legal, project management/controls, QA, security, stakeholders/end users, technical managers, and others, as applicable. The team size and membership will change as the Project progresses from CD-0 to CD-4. It is the responsibility of the FPD to ensure that the necessary skills are always represented to meet project needs. Team membership may be full or part time, depending upon the scope and complexity of a project and the activities being performed.

The HL-LHC CMS Project IPT is headed by the FPD and includes as its core members the DOE Program Manager in the Office of HEP and the PM. Through these key members, any specialized support personnel at DOE or Fermilab are called upon as required on an ad hoc basis. The core IPT members meet bi-weekly to communicate, coordinate, and expedite Project progress.

The responsibilities of the IPT members include:

• Support of the Federal Project Director.• Working with the Contracting Officer to develop project documents.• Ensure that project interfaces are identified and defined.• Assist with the completion of the project environmental, safety, health, security, risk and

quality assurance requirements.• Identification and definition of appropriate and adequate project technical scope,

schedule and cost parameters.• Performing periodic reviews and assessments of project performance and status against

established performance parameters, baselines, milestones and deliverables.• Plan and participate in project reviews, audits, and appraisals, as necessary.

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• Review and comment on project documents and deliverables (e.g., drawings, specifications, procurement, and construction packages).

• Review change requests (as appropriate) and support Change Control Boards, as requested.

Key members of the IPT are defined in the IPT Charter, which is attached to this PEP in Appendix A. The initial IPT and IPT Charter will be approved by the PME upon approval of this document. Changes in the IPT will be documented as revisions in the IPT Charter and require approval from the FPD.

8. PROJECT MANAGEMENT/OVERSIGHT

8.1 Risk Management

Risk Management is the process of identifying, assessing, responding to, monitoring, and reporting risks. A detailed Risk Management Plan (RMP) that describes the project’s risk identification and management approach has been developed. The HL-LHC CMS RMP is the guidance document for the implementation of Risk Management policies and procedures. The RMP formalizes the approach for risk management and analysis, defines and describes the risk register, defines the roles and responsibilities of project personnel performing risk management functions, delineates the reporting and tracking requirements for risk related information, and outlines the process governing updates to the risk register.

A Risk Register has been produced for the HL-LHC CMS Project. It contains a list of all significant risks to the project, both at the sub-system and global levels. Probabilities, impacts, and mitigation and response strategies for each risk are summarized in the Risk Register. The identified risks will be monitored, assessed, responded to and updated in a timely manner during Project execution. The major risks currently identified and the risk management approaches are identified below.

Technical Risk. The components being designed and constructed for HL-LHC CMS are complex detector elements and electronic readout components, tailored for a highly specialized purpose. The development of state-of-the-art components is required in order to properly realize the physics goals of the CMS experiment. The U.S. CMS collaboration has performed much R&D over past years that has informed the HL-LHC CMS designs. In addition, the HL-LHC CMS project plan has incorporated ample targeted R&D and prototyping in the early phases of the project in order to mitigate such technical risks prior to production. This R&D program will also explore the possibility that less stringent specifications or other approaches might be introduced, provided scientific goals are not unduly compromised, in order to minimize the technical risk to the Project. The Project is also planning to establish frequent independent technical reviews to minimize technical risks. The Project has carefully considered the contingency assignments for both schedule and cost in the event such technical risks are realized.

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Schedule Risk. The HL-LHC CMS components will be installed in the CMS detector at CERN starting in CY 2024, in accordance with the current CERN schedule. Delays to the Project may introduce risk to the timely completion of the U.S. deliverables, which must leave sufficient time for installation and commissioning. Project funds must be available to maintain this schedule, particularly in the early years. The Project schedule contains 37.1 months of schedule contingency between expected completion of the final Threshold KPP and the CD-4 date in order to mitigate this risk. The HL-LHC CMS Project represents improvements to the existing CMS detector, and utilizes the expertise and experience gained on the original construction. The Project will also seek a combined CD-2 and CD-3 approval in order to maintain the construction schedule and funding authorization as the Project begins.

Cost Risk. There is low risk that the HL-LHC CMS will exceed the TPC. Cost estimates are based on vendor quotes, catalog prices, expert opinions, and recent similar purchases. Early R&D or prototype activities can be accelerated or, in the event additional cost-reduction strategies are needed, negotiating quantity discounts to procure multiple units of particular instruments at a discount can be negotiated. Cost contingency has been estimated at $37.4M to mitigate against cost risks. Down-scope options have been identified as well as an additional mitigation.

Scope Risk. The HL CMS is being designed for installation in the CMS detector at CERN. The U.S. has identified a well-defined scope for its deliverables. The technology choices and institutional roles and responsibilities for HL-LHC CMS deliverables are in the process of being finalized.

Project Funding Risk. There are significant funding risks associated with continuing resolutions (CRs), particularly in light of the current federal funding environment. Quarterly allotments are also expected from DOE. Mitigating approaches will include phased funding and utilizing contracting methods with lower initial funding authorization. These contracting methods allow the work to begin prior to receipt of full funds but will require careful management from technical and contracting staff. Forward funding from collaborating U.S. CMS institutions offers another viable means of maintaining the Project schedule in light of funding fluctuations.

Interface and Integration Risk. The U.S. CMS collaboration has significant technical strength, expertise and experience that are being called upon to design and construct HL-LHC CMS. The engineering and construction will therefore be performed at various universities and national laboratories in the U.S., and the interfacing and integration of these intrinsically distributed efforts introduces some risk. Weekly meetings between the PM, DPM, PO, L2Ms, DL2Ms, and key technical personnel, will be used to optimize project communication both within, and at the boundaries between, sub-projects. Technical and other interfaces have been well defined in the project documentation, and institutional and individual roles and responsibilities have been clearly delineated. The Resource Loaded Schedule (RLS) contains integration milestones at the

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sub-project level to facilitate the anticipation, management, and mitigation of the associated risks. Integration with the broader HL-LHC CMS is facilitated via frequent meetings between the responsible institutions to discuss project and technical interfaces, project status, installation and commissioning requirements, delivery schedules and other topics. Discussions between the CMS Collaboration and Project Management, the HL-LHC CMS Management, and the U.S. CMS OPS Management are scheduled regularly to discuss resources, scheduling and overall project planning and execution.

ES&H Risk. Safety will remain a focus for the HL-LHC CMS Project. The Project will introduce all techniques and standards in the implementation of FRA’s Standards Based Management System (SBMS), which includes its DOE-approved Integrated Safety Management System (ISMS), in order to minimize all associated risks. Collaborating institutions are required to perform all work according to each institution’s safety standards and procedures. Safety is considered to be a low risk component in the risk matrix, but it remains a carefully analyzed and continuously monitored element in the risk registry.

The basis of the HL-LHC CMS Risk Management is described in the “Fermilab Risk Management Procedure for Projects” (PPP-doc-65), with tailoring described in the HL-LHC CMS Risk Management Plan (CMS-doc-13749). The implementation of the Risk Management Procedure can be found in the HL-LHC CMS Risk Register (CMS-doc-13480) and the HL-LHC CMS Risk and Contingency Analysis (CMS-doc-13481). For details of the project risks with cost and schedule impact, see the preceding document.

8.2 Project Reporting and Communication Management Plan

The HL-LHC CMS Project has been entered into the Project Assessment and Reporting System (PARS-II). The Project will upload DOE earned value data to PARS II. The FPD will provide periodic reports (as requested) to DOE-HQ and monthly updates to PARS-II. Fermilab will provide formal monthly progress reports to the FPD and the DOE Program Manager. The monthly progress report discusses project status, progress and accomplishments; cost and schedule performance; and outstanding issues; and upcoming milestones. After CD-2 approval, the report will include the latest earned value data together with a variance analysis. Cost and schedule performance will be evaluated and variances determined, and any necessary corrective actions will be included. The Estimate at Completion (EAC) will also be determined each month.

Monitoring of HL-LHC CMS Project progress will occur routinely among Project participants. DOE HEP will charter major reviews of the Project’s overall technical, cost, schedule, and management status.

8.3 Earned Value Management System

An earned value management system (EVMS) will be used for performance tracking and evaluation, and EVMS data will be reported in PARS II.

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https://cms-docdb.cern.ch/cgi-bin/DocDB/ShowDocument?docid=13481&asof=2099-12-31



http://ppp-docdb.fnal.gov/cgi-bin/ShowDocument?docid=65&asof=2099-12-31


The Fermilab EVMS system includes the ORACLETM e-Business Suite Project Costing Module (Actual costs, directs, and indirects); the ORACLETM e-Business Suite Project Procurement Module (material received, Accruals); PRIMAVERA P6 (Scheduling tool for resource loaded cost and schedule baseline); Deltek Cobra Cost Processor (Budgeted Cost of Work Performed); and associated report generators. With this collection of tools, it is possible to plan the project schedule including determination of the critical path, expenditure tracking, baseline comparisons, extraction of standard project cost and performance metrics, and identification variations that need to be addressed by the project.

The Fermilab EVMS system has been certified by DOE.

8.4 Project Reviews

Independent Project Reviews (IPRs) of the Project status and management will be conducted by the DOE prior to each CD, and at a minimum annually after CD-2. The Project is also responsible for performing reviews of the Conceptual and Preliminary/Final Design by teams that are external to the Project. Additional external and independent technical reviews, as applicable, may also be performed.

8.5 Engineering and Technology Readiness

The Project will assess engineering and technology readiness through regular design reviews, IPRs, and other independent technical reviews (see Project Reviews, Section 8.4).

8.6 Alternatives Analysis and Selection

An Analysis of Alternatives (AoA) has been performed as part of the Acquisition Strategy (AS) development process at CD-1. The alternative selected was to work together with NSF to upgrade the HL-LHC CMS Detector to enable the energy frontier physics research uniquely accessible with an upgraded HL-LHC. See the AS for the alternative analysis and selection details.

8.7 Environment, Safety and Health

The ES&H program in the HL-LHC CMS Project is complicated because work may occur in any of the U.S. CMS institutions and most items that are produced will eventually be sent to CERN. U.S. personnel will similarly be located at U.S. institutions and at CERN. Therefore, in many cases, multiple safety standards may apply to the work.

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For work applicable to Fermilab, a site wide Environmental Management System to develop, implement, achieve, and maintain a successful Environmental, Safety, and Health policy is in place. The project has assigned an ES&H manager to ensure compliance with applicable ES&H requirements.

The project will continue to ensure that waste minimization and pollution prevention receives high priority throughout the duration of the project. All waste is being managed properly and in compliance with applicable environmental requirements and regulations.

Since there is no conventional construction at Fermilab and all the equipment will be operated at CERN, the Project has received a NEPA categorical exclusion on January 12, 2018 (see CMS-doc-13483). Receipt of this exclusion constitutes completion of all environmental requirements. The project is not required to comply with sustainability and LEED goals since the project is an MIE and no building is being constructed.

A safety assessment was performed by the site’s ES&H group and it was determined that the work to be conducted at Fermilab will be covered under the laboratory’s existing ISM Program. It was also determined that no additional ISM policies or procedures needs to be developed. ISM principles also apply to work done by U.S. CMS collaborators working at CERN.

A Hazard Analysis Report has been prepared for the parts of the project that are being performed at Fermilab. The report finds that all hazards identified are similar in nature and magnitude to those already found in other types of projects at Fermilab. The impact of any hazard continues to be minor onsite and negligible off-site. The Hazard Analysis continues to be updated as the project matures.

8.8 Safeguards and Security

A security and vulnerability risk review has been performed, assessing safeguards and security issues for this project. The security issues for this project are considered small and manageable with standard practices and therefore, the project does not require a Security Vulnerability Assessment Report (SVAR) or additional security requirements that are not already addressed by Fermilab and other Laboratories policies and procedures. The project will use the existing Laboratory program and policy that is already approved by DOE.

8.9 Systems Engineering

HL-LHC CMS Project will use a systems engineering approach to execute and manage the project including: performing value management analysis and value engineering studies; specification and design development, verification, and reviews; risk analysis and management; and coordination of fabrication and installation of equipment and systems, and other interface management activities.

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8.10 Value Management

The HL-LHC CMS Detector Upgrade project performs value management activities as part of the conceptual and final design process to define the scope of work that would be affordable given the prescribed budget, the expertise of the participating institutions, funding sources and agreements with the various CMS committees.

8.11 Value Engineering

Value Engineering (VE) is a systematic method to improve value by distilling an apparatus down to its intrinsic function, and optimizing the cost while still providing that functionality. For the HL-LHC CMS Project, opportunity to apply VE by exploring alternatives for functionality is moderated by the unique requirements of the project, the constraints in space and time imposed by the pre-existing detector and LHC schedule, and the uncertainty in operating conditions, particularly luminosity, which make it prudent to favor allowing some margin in operational parameter space over fine tuning functionality to achieve best cost. Nevertheless, the project has incorporated VE into the design whenever possible.

An initial Value Engineering analysis can be found in the USCMS Value Engineering for CD-1 document (CMS-doc-13475).

8.12 Configuration Management/Document Control

Configuration management is used to identify and document the configuration of the end products and control changes to the configuration during the life cycle. The PM will initiate a configuration management system early in the development of the Project and ensure the delivery of complete as-built documents at the close of the Project.

Documents defining the configuration of the Project baseline will be maintained through the formal baseline change control process, as described in Section 7 of this PEP. Configuration management control documents consist of the following:

Critical Decision Record Documents• Acquisition Strategy• Project Execution Plan• Project Management Plan• Safety and Hazard Analysis Report• Quality Assurance Plan• Risk Management Plan• Requirements Documents• Design Documents• WBS Dictionary• Procurement specification documents for technical equipment• Approved Baseline Change Proposals

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8.13 Quality Assurance and Testing and Evaluation

Quality Assurance is an integral part of the design, fabrication and construction of the HL-LHC CMS Detector Upgrade Project. The HL-LHC CMS Detector Upgrade Project has a separate documentation base including the Quality Assurance Plan and the subsystem implementation, CMS-Doc 13093 which is updated to maintain consistency with Fermilab’s Integrated Quality Assurance program revisions. Special attention is paid to items that are most critical to the schedule and performance requirements of the Project.

8.14 Transition to Operations

The HL-LHC CMS Detector Upgrade Project is responsible for handing off the completed deliverables to the U.S. CMS Operations Program and CERN Technical Coordination for final installation, checkout, and commissioning. This effectively reduces the dependency of the HL-LHC CMS Detector Upgrade Project completion on the LHC schedule. Some “objective KPPs” of the project requires access to the CMS collision hall which is not permitted during beam operations. The threshold KPPs do not require access.

The HL-LHC CMS Detector Upgrade Project will complete a “handoff document” describing the state of the system it is turning over to the U.S. CMS Operations Program. It will document all known defects and open issues. It will contain a list of all resources it has prepared to facilitate the checkout, installation and commissioning of the detectors in CMS and eventually with collisions. As part of a tailoring strategy, CD-4a may be given for each subproject using a similar procedure.

Transition to Operations or “Commissioning” will be accomplished in phases and will be the responsibility of the U.S. CMS Operations Program. The development of a Start-Up Test Plan is the responsibility of the Operations Program. The Start-Up Test Plan supports the development of the Checkout, Testing, and Commissioning Plan.

8.15 Project Closeout

A Draft Project Closeout Report will be developed prior to CD-4 approval. The Initial Project Closeout Report will be developed after CD-4 is approved. The completed report will contain the expected final cost of the project, any financial claims that are not closed, the amount of any remaining contingency, project lessons learned, the technical performance achieved at project completion, and when the project is expected to complete the financial closeout and Final Project Closeout Report. The Initial Project Closeout Report will be submitted to the DOE Program Manager 90 days after CD-4 is achieved. As part of the project closeout, PARS II reporting will be finalized.

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APPENDIX A: U.S. INSTITUTIONS PARTICIPATING IN HL-LHC CMS- DETECTOR UPGRADE

Table 11: List of institutions participating in the (DOE scope of) the HL-LHC CMS

project.

Institutes Bethel College Northeastern University

Boston University Northern Illinois University Brown University Northwestern University

Carnegie Mellon University The Ohio State University University of Colorado Purdue University

California Institute of Technology Princeton University Fairfield University Rutgers University

University of Florida Southern Methodist University Fermilab Texas A&M

Florida State University Texas Tech Florida Institute of Technology University of Alabama

University of Iowa University of California Davis University of Kansas University of California - Los Angeles

Kansas State University University of California Santa Barbara University of Maryland University of Illinois - Chicago

University of Minnesota University of Rochester Massachusetts Institute of Technology University of Virginia

University of Nebraska University of Wisconsin University of Notre Dame Wayne State University

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APPENDIX B: IPT CHARTER

Integrated Project Team Charterfor the

HL LHC CMS Detector Upgrade Project (HL-LHC CMS)

atFermi National Laboratory

Batavia, Illinois

Office of High Energy Physics Office of Science

U.S. Department of Energy

September 2019

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HL LHC CMS Detector Upgrade Project Integrated Project Team Charter

Approved:

11/22/2019

Steve Nahn Date

Project Manager HL LHC CMS Detector Upgrade Project

Fermi National Laboratory

11/22/2019

Robert Caradonna Date

Federal Project Director HL LHC CMS Detector Upgrade Project

DOE

42


HL-LHC CMS Detector Upgrade Project Integrated Project Team Charter

Version Change Control Table

Revision Creation Date Description

0 May 2019

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Appendix B: Integrated Project Team Charter

Mission Statement

The mission of the HL-LHC CMS Detector Upgrade Project IPT is to provide planning, coordination, and communication for HL-LHC CMS Detector Upgrade Project that will ensure the completion of HL-LHC CMS Detector Upgrade Project scope on schedule and within budget, while complying with all applicable laws and standards. The IPT will ensure that project management is carried out with integrity and that quality assurance principles are applied to processes within the project.

Purpose and Goals

The roles and responsibilities of the IPT include: support the HL-LHC CMS Detector Upgrade Project Federal Project Director; develop a project contracting strategy; ensure project interfaces are identified, defined, and managed to completion; identify and define appropriate and adequate project technical scope, schedule, and cost

parameters; perform monthly reviews and assessment of project performance and status against

established performance parameters, baselines, milestones, and deliverables; plan and participate in project reviews, audits, and appraisals as necessary; review all CD packages and recommend approval/disapproval; review and comment on project deliverables, e.g., drawings, specifications, procurement,

and construction packages; review change requests, as appropriate, and support Change Control Boards as requested; plan and participate in Operational Readiness Reviews or Readiness

Assessments; and support preparation, review, and approval of project completion and closeout

documentation.

Members

The following are members of the initial HL-LHC CMS Detector Upgrade Project Integrated Project Team:

Simona Rolli, HL-LHC CMS Detector Upgrade Federal Program Manager Robert Caradonna, HL-LHC CMS Detector Upgrade Federal Project Director, IPT

Meeting Chair Alan Harris, HL-LHC CMS Detector Upgrade Deputy Federal Project Director, Steve Nahn, HL-LHC CMS Detector Upgrade Project Manager Vaia Papadimitriou, HL-LHC CMS Detector Upgrade Deputy Project Manager

As the project progresses, membership of the IPT will change as needed, e.g., ES&H and business specialists are added as needed.

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Office of Project Assessment Acting Director

Ron Lutha

Office of Chief Project Officer

Douglas A Glenzinski

Office of Science Programs Deputy

Director J. Stephen Binkley,

Fermi Site Office Site Manager

Mike Weiss

Integrated Project

Team (IPT)

OHEP

Program

Manager

Simona Rolli

Project Manager Steve Nahn Deputy PMVaia Papadimitriou Anders Ryd

Office of High Energy Physics Associate Director

James Siegrist

Office of Science Director

Chris Fall

FRA/Fermi National Laboratory Laboratory Director

Nigel Lockyer

DOE Federal Project Director

Robert Caradonna


Alan Harris

DOE /NSF Joint

Oversight Group (JOG)

Director of Facilities OperationMichael Procario

Project Management Executive


Primary Team Interfaces

Multiple interfaces are necessary for the HL-LHC CMS IPT to ensure well-coordinated timely project performance. These include the OHEP, other DOE Headquarters program and project management organizations, the HL-LHC CMS PMG, the HL-LHC CMS subproject managers, other HL-LHC CMS collaborators, and other affected Fermilab personnel.

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The HL-LHC CMS Federal Project Director will be the primary point of contact with the HL-LHC CMS Program Manager for coordination and submittal of CD documentation. The HL-LHC CMS Federal Project Director and the HL-LHC CMS Program Manager will be in routine contact to communicate project status and discuss issues or concerns. Input will also be solicited from the HL-LHC CMS Program Manager on institutional developments that may impact project performance.

Interface with Fermilab Management and affected personnel will be necessary for coordination with site activities that may impact project performance or where project activities may have broader site impacts. These interfaces will also be necessary for planning and implementing the assembly and testing of HL-LHC CMS components. The HL-LHC CMS Detector Upgrade Project Manager will be the IPT point of contact for day-to-day interfaces with Fermilab Management and other affected personnel.

For CD approvals and project reviews it will be necessary for the HL-LHC CMS Federal Project Director to interface with other DOE Headquarters program and project management organizations. The HL-LHC CMS Program Manager will be the IPT point of contact for day-to-day interfaces with these organizations.

The HL-LHC CMS subproject managers will be responsible for implementing project elements of work. The HL-LHC CMS Detector Upgrade Project Manager and/or IPT team members directly associated with the elements of work being performed will be the primary points of contact with the subproject managers.

The CMS Collaboration provides guidance on the scientific and technical goals of the HL-LHC CMS Detector Upgrade Project and participates in the design, construction, and testing of the HL-LHC CMS components. The CMS Spokesperson(s) will be the primary point of contact with the CMS Collaboration.

IPT Member Responsibilities

Federal Project Director

The FPD will lead the IPT and will be the primary point of contact for communication and coordination with entities external to the IPT. The FPD, with the assistance of the other IPT members, is ultimately responsible for the following:

Developing and issuing the IPT Charter and staffing the IPT; Acting as formal point of contact between Federal and contractor staff;

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Planning, implementing, and completing the Project, using a systems engineering approach;

Tailoring DOE project management requirements to the Project; Developing and implementing the Acquisition Strategy and the Project Execution Plan

(PEP); Defining Project objectives and technical, schedule, and cost scopes; Ensuring timely completion and quality of required Project documentation; Assessing contractor project performance versus contract requirements; Proactively identifying and resolving critical issues within Federal control; Integrating and managing the timely delivery of government reviews, approvals,

property, services, and information; Ensuring the design, construction, environmental, safety, health, and quality efforts

performed are in accordance with the contract, public law, regulations, and Executive Orders;

Evaluating and verifying reported progress and reporting Project performance in the Project Assessment and Reporting System (PARS);

Approving changes in accordance with the PEP change control process; and Managing Project contingency funds.


The DFPD will assist and support the FPD in his assigned duties as noted above for the FPD. The DFPD will act for the FPD as required. The DFPD is also responsible for the delivery of WBS 402.2 – Outer Tracker.

Contracting Officer

The Federal Contracting Officer (CO) provides any federal contracts-related support to the FPD including the review of any Project-related subcontracts submitted for DOE approval and the Acquisition Strategy.

DOE Program Manager

The DOE SC Office of High Energy Physics is the principal funding agency for the U.S. high energy physics program and, therefore, the HL-LHC CMS Project. The DOE Program Manager for the HL-LHC CMS Project, located in OHEP, has responsibilities analogous to those of the FPD and oversees the Project from the overall perspective of the high energy physics program. The DOE Program Manager’s responsibilities include:

• Overseeing development of project definition, technical scope, and budget to support mission need;

• Providing broad program guidance to FPD and HL-LHC CMS;

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• Monitoring and evaluating project performance throughout the project’s life cycle;• Providing guidance and direction to HL-LHC CMS regarding OHEP budgets; and• Coordinating with the OHEP program and SC those elements needed to facilitate project

execution and ensure project performance.

HL-LHC CMS Project Manager

The PM is responsible and accountable for delivering the Key Performance Parameters of the Project safely, within cost, and on schedule. The PM is appointed by and reports to the Laboratory Director, who serves as the DOE Designated Laboratory Official for the Project. The PM provides project and managerial leadership, strategic planning, and general oversight of the Project. Working with DOE and the HL-LHC CMS senior management team, the PM responsibilities include:

• Appointing the Associate (WBS Level 2) Project Managers, who are responsible for coordination and management within each Level 2 Project;

• Maintaining close communication with the Fermilab management as well as other institutional partners, on the progress of the HL-LHC CMS;

• Developing partners and establishing institutional roles and responsibilities in the Project;• Signing the Institutional SOWs representing agreements between the HL-LHC CMS and

the collaborating institutions; • Working closely with U.S. CMS collaboration leadership on mutual issues and concerns,

and delivering periodic reports to the collaboration to ensure open and timely communication;

• Coordinating with FRA management and DOE on the HL-LHC CMS role in broader OHEP program;

• Representing the HL-LHC CMS Project to the broader physics community;• Approving the final acceptance of major systems and approving final shipment to CERN

for installation in the CMS detector;• Assuring the safety, security, and administrative performance of the Project;• Coordinating closely with the FPD on all aspects of planning, budgeting, and project

execution;• Initiating and coordinating with OPA Project reviews.

HL-LHC CMS Deputy Project Managers

The HL-LHC CMS Deputy Project Managers (DPMs) assists the PM, in conjunction with the rest of the HL-LHC CMS senior management team, in executing the Project. The DPMs are responsible and accountable for assisting the PM in the day-to-day management and execution of the Project, and acts for the PM in his/her absence. This includes providing assistance with general administration, planning, organization and control on a day-to-day basis to complete the HL-LHC CMS safely, on schedule, and within the authorized budget.

Additional IPT Support

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Because of the progressive and dynamic nature of a project, the personnel skill and knowledge mix will change throughout the Project’s lifecycle. Unexpected events and requirements may arise that require resources beyond that of the core IPT. The type and amount of personnel support will vary and the IPT membership may therefore change to incorporate the necessary skills and expertise. This flexibility allows the Federal Project Director and IPT to adapt the team to meet specific needs. Support Members to be called upon will typically have special knowledge of project management, project controls, quality assurance, environment safety & health assessment and oversight, cyber security, procurement and/or business operations, and other areas that are integral to the execution of the HL-LHC CMS Project. The FPD and Core Members will identify those resource gaps and determine the timing and level of support needed. The IPT Core Members are responsible for ensuring that needed support is provided from their respective organizations. Contractor IPT Support Members will mainly be made available via matrix support from Fermilab organizations and departments, as required.

The integration of the various the HL-LHC CMS scientific and technical staff into the decision-making process is critical to the success of the Project. In addition, other experts and scientists in the U.S. CMS user community and the general high energy physics research community may be able to provide additional advice. Expertise, advice, and support from these resources will be solicited by the core IPT whenever appropriate.

Meetings

The IPT will meet as necessary to accomplish the stated goals and mission. Team members will meet with each other and external interfaces as necessary to resolve specific issues.

Communications

The FPD and PM will keep the project team and stakeholders informed of project status and issues through leading or participating in regular project meetings; electronic correspondence; posting and sharing of electronic documents; project website updates; briefings or regular meetings with DOE-HQ; and visits to project work sites, collaborating institutions, vendors or other key partners. Other principles of communications include:

• Any IPT member is authorized to communicate with any other IPT member, or support staff, as necessary to accomplish and fulfill his or her roles and responsibilities, and will keep core members informed of key interactions and issues accordingly.

• Communications external to the IPT are the responsibility of the Core Members and will be conducted as necessary to resolve specific issues.

• The FPD will ensure that adequate and frequent communication regarding DOE policy and its impacts on the Project is delivered to the contractor in a timely manner.

The IPT will meet as necessary to accomplish the stated goals and mission. Team members will meet with each other and external interfaces as necessary to resolve specific issues. A regular bi-

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weekly meeting between the IPT Core Members and invited support personnel has been scheduled, and will provide a valuable forum for effective Project coordination. This will be increased in frequency as needed.

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