Facilities Information Management System Data Validation Update for FY15 U.S. Department of Energy Argonne National Laboratory Annual FIMS Comprehensive Training May 7, 2015

The FIMS Validation Process

Overview of the Validation Process Statistical standard for validating the accuracy of key FIMS data elements and performance measures against source data  Identifies performance measures and data elements for validation Establishes confidence level  The validation process is based on a model to achieve a 90% confidence level in the quality of the data Validating the processes applied by a site to populate FIMS

Overview of the Validation Process (continued) Validation Goal  To infer a level of accuracy within the whole database. Therefore, we can also infer the ability of the data to support accurate management decisions. A key goal of the validation process is to standardize procedures throughout the Department regardless of who applies it

FY2015 FIMS Validation For FY2015, 4 validations will be performed  One validation will include a random sample of DOE owned buildings, trailers, and Other Structures and Facilities (OSF)  The second validation will include all DOE leased buildings, trailers and Other Structures and Facilities (OSF) and GSA owned and leased buildings  The third validation will include DOE owned, DOE leased and withdrawn from public domain land

FY2015 FIMS Validation (continued) For FY2015, 4 validations will be performed  The fourth validation will include Archived/Disposed assets with an Archive Date between October 1, 2012 and September 30, 2014  Contractor leased assets will not be validated  Bridge Safety Inspections will be verified

FIMS Validation Process Inbrief Determine Sample Size Generate Random Sample Review Outliers and Generate Outlier Report Generate DOE Leased and GSA Report Generate Land Report Generate Archived/Disposed Report Generate Bridge Safety Inspection Report Source Documents Data Element Review Process VerificationDesktop ValidationWalkthroughsPrepare Scorecards Prepare Outbrief & Follow-up Actions

Sample Set Size

DOE Owned Sample Size Sample size will consist of a maximum of 25 DOE owned assets as indicated in the Sample Size chart The sample size will be used as input to generate the FIMS DOE Owned Data Validation Reporting Form

Sample Size Chart - for a 90% Confidence Level # of Assets*Sample Size # of Assets*Sample Size >24225 * DOE owned Buildings, Trailers, and Other Structures and Facilities (OSF)

Sample Set – DOE Leased, GSA Owned and GSA Leased Assets DOE leased and GSA sample set to be validated  100% of a site’s DOE leased buildings, trailers and OSF assets AND  100% of a site’s GSA owned and GSA leased buildings assets

Sample Set – Land Assets Land sample set  DOE owned, DOE leased, and withdrawn from public domain land records will be validated Sites with 25 or less land records will validate all (100% of) their land records OR Sites with more than 25 land records will validate 25 land records from a random pull of their land records

Sample Set – Archived/Disposed Assets Archived/Disposed sample set  Archived records with an Archive Date between October 1, 2012 and September 30, 2014 will be validated Sites with 25 or less records will validate all (100% of) their archived records OR Sites with more than 25 archived records will validate 25 records from a random pull of their archived records  Assets archived as ‘Administrative Correction’ will not be validated

FIMS: Extracting the Data and Generating the Data Validation Reporting Forms

Before extracting the FIMS data Obtain the total number of DOE owned buildings, trailers and OSF assets at the site  The FIMS Ad Hoc Report – Current query tool can be used to determine the total number of assets Determine sample size using the Sample Size chart

FIMS Standard Report for generating the Random Sample Set To extract the random sample set for DOE owned buildings, trailers and OSF to be validated:  Run the FIMS Report #069 – Random Asset Generator (FRPC Data Validation) Report #069 will generate the DOE Owned Data Validation Reporting Form

What are outliers? Additional assets that may manually be added to the DOE owned random asset validation set Items to look for when selecting ‘Outlier’ assets: High RPV but small footprint High Deferred Maintenance assets Large footprint but small RPV Very important assets Newly acquired assets Otherwise of interest Use the FIMS Ad Hoc Report – Current query tool to assist the validation team in selecting outliers to include with the DOE owned random sample set  Note the Property ID(s)

Selecting Outliers for DOE Owned Assets #070 FRPC Data Element Report FIMS standard report #070 FRPC Data Element Report can be used to add ‘outliers’ to the validation random sample  This report can be generated for specific Property IDs and output to the MS Excel format  Copy and paste the MS Excel output into the DOE Owned Data Validation Reporting Form generated by FIMS standard report #069. Copy the data to the worksheet labelled FIMS below the existing data.

FIMS Standard Report for Validating DOE Leased and GSA assets To extract the DOE leased and GSA sample set to be validated:  Run the FIMS Report #069a – DOE Leased and GSA Assets (FRPC Data Validation) Report #069a will generate the DOE Leased and GSA Data Validation Reporting Form

FIMS Standard Report for Validating Land assets To extract the DOE owned, DOE leased and withdrawn from public domain land sample set to be validated  Run the FIMS Report #069b – Land (FRPC Data Validation) Report #069b will generate the DOE Land Data Validation Reporting Form

FIMS Standard Report for Validating Archived/Disposed assets To extract the Archived/Disposed sample set to be validated  Run the FIMS Report #069c – Archived/Disposed (FRPC Data Validation) Report #069c will generate the Disposition Data Validation Reporting Form

OSF Bridge Safety Inspection data extract All sites with bridges will be required to verify the Safety Inspection information for all public access and controlled access train bridges and public access vehicular bridges at the site Use report #068 Bridge Safety Inspection Report to extract the data from the FIMS database for the verification

Timeline for data extraction The FIMS validation data extracts are to occur on the first day of the validation

Data Validation Reporting Forms Site level operating cost fields are automatically populated with FIMS data on the DOE Owned Data Validation Reporting Form Instructions for using these forms can be found on the FIMS website on the Data Validation page,

Source Documents

FIMS data element values must be validated against independent source documents

What are Source Documents? Source Document – at each site, documents containing detailed comprehensive site data that should be the “accurate data of record”  Can be a “hard” or “soft” document  Information contained is authoritative, has a Subject Matter Expert and is used in decision-making  Document is dated

Source Documents for Archived/Disposed Assets Acceptable source documents include:  Site Subject Matter Expert in charge of asset disposition Real Estate Disposition Manager Accounting  Photos showing before and after of asset site Google Earth

Source Document Update Frequencies Source Documents are expected to be updated annually for the following: Usage CodeMission Dependency StatusAnnual Operating Costs Outgrant IndicatorAnnual Actual Maintenance Excess IndicatorSustainability Estimated Disposition YearTotal No of Occupants Using OrganizationTotal No of Federal Employees Asset % UtilizedTotal No of Contractor Employees RPVTotal Number of Other Personnel Deferred MaintenanceMeters

Source Document Update Frequencies (continued) Source Documents are expected to be updated annually for the following: Repair NeedsGSA Notification Submitted (date) Inspection DateGSA Notification Accepted (date) Adjustment CostAnnual Rent Determination Date for DOE Disposal

Source Document Update Frequencies (continued) Source data for Bridge Safety Inspection is expected to be updated with the same frequency as the required safety inspection  Controlled access and publicly accessible train bridges – one inspection per calendar year, with not more than 540 days between successive inspections  Publicly accessible vehicular bridges – regular intervals not to exceed twenty-four months For the remainder of the data elements there is no expiration date for source documents

Generating Source Documents Downloading or printing FIMS data for multiple data elements and having several individuals sign off on it is not valid If there is no historic source document for a particular data element, and it cannot be generated elsewhere, it is acceptable to develop a table from data currently in FIMS for that particular data element, have the Site’s Subject Matter Expert (SME) review the data, make needed corrections and sign and date the table indicating that he/she certifies the data is accurate  The table can only contain data for one SME and the SME must personally review and certify the data as correct. This can be accomplished by signing and dating the table or by sending an with the table/spreadsheet attached. Example: Main Location, City, State, County, Zip Code and Congressional District may be combined within one table

Generating Source Documents (continued) This procedure cannot be used for: Size (Gross Sqft, Rentable Sqft, Primary Qty, Acreage) Annual Actual Maintenance Asset % UtilizedSustainability RPVRepair Needs Deferred MaintenanceInspection Date Annual Operating CostBridge Safety Inspection

Gathering Source Document As you are updating FIMS, you should be receiving hard copy/electronic documentation for your source data  There should be no need to regenerate Source Documents just prior to the validation Source documents should be gathered and organized prior to the kickoff of the FIMS Validation  Consider organizing source documents into file folders/binders by data element sorted by Property ID for easy retrieval during the validation

Gathering Source Document (continued) All source documents must be finalized  Signed and dated by the Subject Matter Expert If not, is considered an unacceptable source document  s printed with dates/To/From info and attachments referenced by file name are acceptable For clarification purposes, printed attachments should include the file name and date

Source Documentation Worksheet Used to identify the Subject Matter Expert for each validated data element The Source Documentation Worksheet can be found at

Source Documentation Worksheet To be completed for your site at least 1 week prior to your scheduled FIMS validation Ensure Subject Matter Experts expect to be contacted should there be any questions

FIMS Data being Validated and What’s new for FY2015

FIMS Validation Data Elements and Performance Measures for DOE Owned Assets Ownership Usage Code Property Type Status Size  Gross Sqft (buildings and trailers)  Primary Qty (OSF) Repair Needs Asset % Utilized (buildings and trailers) Replacement Plant Value Deferred Maintenance Operating Cost (site level) and Annual Actual Maintenance (asset level) Mission Dependency Historic Designation Using Organization Main Location Location City/State/County/Zip Code Location Congressional District Excess Indicator Estimated Disposition Year Total No of Federal Employees (buildings and trailers) Total No of Contractor Employees (buildings and trailers) Total No of Other Personnel (buildings and trailers) Total No of Occupants (buildings and trailers) Outgrant Indicator Initial Acquisition Cost Total Adjustment Cost GREEN – Performance Measures

FIMS Validation Data Elements and Performance Measures for DOE Owned Assets (continued) Roads – Public Access Miles Roads – Public Access Lane Miles Inspection Date Hours of Operation Per Week Sustainability (buildings and trailers) Year Built Year Acquired Meters Determination Date for DOE Disposal GSA Notification Submitted GSA Notification Accepted GREEN – Performance Measures

FIMS Validation Data Elements and Performance Measures for DOE Leased and GSA Assets Ownership Usage Code Property Type Status Size  Rentable Sqft (buildings and trailers)  Primary Qty (OSF) Asset % Utilized (buildings and trailers) Replacement Plant Value* Annual Actual Maintenance Mission Dependency Using Organization Main Location Location City/State/County/Zip Code Location Congressional District Estimated Disposition Year* Total No of Federal Employees (buildings and trailers) Total No of Contractor Employees (buildings and trailers) Total No of Other Personnel (buildings and trailers) Total No of Occupants (buildings and trailers) Outgrant Indicator* Inspection Date* Hours of Operations per Week Sustainability* (buildings and trailers) Meters* Expiration Date Annual Rent Lease Authority* Year Built* GREEN – Performance Measures * - Validated for DOE Leased only

FIMS Validation Data Elements and Performance Measures for Land Assets Ownership Usage Code Property Type Status Size  Acreage Mission Dependency Historic Designation (owned only) Using Organization Main Location Location City/State/County/Zip Code Location Congressional District Excess Indicator Estimated Disposition Year Outgrant Indicator Expiration Date (leases only) Annual Rent (leases only) Lease Authority (leases only) Year Acquired GREEN – Performance Measures

FIMS Validation Data Elements for Archived/Disposed Assets Disposition Date Disposition Method Net Proceeds

New Data Elements for FY15 Validations Let’s take a look ….

Repair Needs Definition: The estimated cost to restore a real property asset’s component system failures noted during a condition assessment survey to a state substantially equivalent to the most recently configured capacity, efficiency, or capability as required by the mission Validated for buildings, trailers and OSF Must be greater than zero Must be equal to or greater than the Deferred Maintenance

Repair Needs (continued) Update frequency: Annually  How to check: CAS reports as the asset level; CAIS report Source Documentation is required for all values, including $0 (zero) Anomalies: cannot equal zero or be less than Deferred Maintenance

Asset % Utilized (Performance Measure) Definition: That portion of an asset in use  Utilization is independent of Status and must be reported for all FIMS Status designations  Facilities that are fully shutdown will generally have a Utilization of zero. However, because the reported “Status” is the predominate status, a facility that is 51% shutdown and 49% operating would be properly reported as ‘Shutdown” but the Utilization would be 49% (if the operating portion is fully utilized).  Utilization is not a reflection of space assignment but rather a measure of how ‘full’ the space is. That is how utilized the space is. As an example, if a building with four floors is fully assigned/charged to an organization but one floor is empty with the other three floors fully utilized, the Utilization would be 75%.  For programmatic facilities such as laboratories or accelerators, the Utilization can be considered to be 100% if the mission requires 100% of the facility, even though there may be times when the facility is not fully utilized, or even unutilized.

Asset % Utilized (Performance Measure) (continued)  Utilization = (Utilized GSF of an asset / Total GSF of an asset) X 100 (expressed as a percentage in FIMS) RPAM requires annual utilization surveys Only validated for buildings and trailers Update frequency: Annually How to check: examine process for measuring utilization, verify that reported utilization is calculated from this process and visit a sample of assets to do a reasonableness check Anomalies: Utilization should not be a reflection of space assignment

Initial Acquisition Cost Definition: Total final project cost for buildings, trailers and OSF Validated for DOE owned buildings, trailers and OSF Only being validated - will not be scored on the Validation Scorecard Update frequency: As needed How to check: contract document, financial report

Total Adjustment Cost Definition: The total of all capital adjustments / improvements to the property Validated for DOE owned buildings, trailers and OSF Only being validated - will not be scored on the Validation Scorecard Update frequency: Annually How to check: contract document, financial report

Inspection Date Definition: The date of the final Condition Assessment Survey (CAS) during the fiscal year Verify date is within a 5 calendar year period (i.e., Inspection Date = 6/1/2010 must be reinspected by 6/1/2015)  If a variance, must be denoted for Deferred Maintenance and Repair Needs on the Data Validation Reporting from Validated for buildings, trailers and OSF

Inspection Date (continued) Update frequency: Annually  How to check: CAS reports as the asset level; CAIS report Deficiencies need to be updated annually, inspections are to be performed every 5 years or less

Roads – Public Access Miles Definition: Record the subset of the OSF Primary Quantity miles that are public access. Enter 0 (zero) if no publicly accessible roads. Source documentation is required for all values, including 0 (zero) Validated for OSF assets with Usage Code = 1729 – Primary Roads, 1739 – Secondary Roads, 1749 – Tertiary Roads Update frequency: As needed How to check: Subject Matter Expert in charge of site infrastructure support

Roads – Public Access Lane Miles Definition: Record the quantity of lane miles that are public access. Enter 0 (zero) if no publicly accessible roads. Source documentation is required for all values, including 0 (zero) Validated for OSF assets with Usage Code = 1729 – Primary Roads, 1739 – Secondary Roads, 1749 – Tertiary Roads Update frequency: As needed How to check: Subject Matter Expert in charge of site infrastructure support

Hours of Operation Per Week Definition: An approximation of the “lights on” hours for a building Validated for buildings and trailers Update frequency: As needed How to check: building/facilities manager Anomalies: asset is in a shutdown status with Hours of Operation set to 60 hours per week or more

GSA Notification Submitted Definition: Date that represents when DOE submitted a Report of Excess (ROE) to GSA and is pending acceptance by GSA Validated for DOE owned buildings, trailers, and OSF Update frequency: Annually How to check: signed transmittal memo or forwarding SF 118 to GSA

GSA Notification Accepted Definition: Date that represents DOE has received an acceptance of the Report of Excess (ROE) from the GSA disposal office Validated for DOE owned buildings, trailers, and OSF Update frequency: Annually How to check: GSA notification

Year Built Definition:  For buildings and trailers New construction, the fiscal year (YYYY) that the building/trailer is accepted for beneficial occupancy Acquiring an existing asset, the fiscal year the building/trailer was constructed  For OSF the calendar year (YYYY) construction of the structure was completed for the following Usage Codes 1468 Public Access Bridges (Trains) 1469 Controlled Access Bridges (Trains) 1768 Public Access Bridges (Vehicular) 1769 Controlled Access Bridges (Vehicular) Validated for DOE owned and DOE leased buildings, trailers and OSF with Usage Codes 1468,1469,1768 and 1769

Year Built (continued) Only being validated - will not be scored on the Validation Scorecard Update frequency: As needed How to check: date of Beneficial Occupancy letter or other document that established year built; Bridge Safety Inspection report

Year Acquired Definition:  For buildings, trailers and OSF, the fiscal year (YYYY) acquired by DOE  For land, the year represents the fiscal year (YYYY) of the earliest land parcel acquisition Validated for DOE owned buildings, trailers and OSF and DOE owned, DOE leased and withdrawn from public domain land Only being validated - will not be scored on the Validation Scorecard Update frequency: As needed How to check: contract document, financial report, land deed or lease agreement, “Public Land Order” effective date for withdrawn from public domain land

Disposition Date Definition:  The date the disposal action was completed Disposition MethodDisposition Date value 8 – Federal TransferDate of letter of transfer 10 – DemolishedDate demolition is complete 17 – Other DispositionArchive date All Public Benefit Conveyance (CF,HA,HE,HM, LW,NS,PA,PF,PR,SH,WC) Date of assignment letter to sponsoring agency or deed date to grantee SN – Negotiated Sale SP – Public Sale Deed date TM – Early Termination/ Cancellation Termination/Cancellation date XP – Expiration/CancellationExpiration/Cancellation date

Disposition Date (continued) Validated for Archived/Disposed assets Update frequency: Static How to check: Site Subject Matter Expert in charge of asset disposition, i.e. Real Estate, Disposition Manager, Accounting Disposition MethodDisposition Date value 8 – Federal TransferDate of letter of transfer 10 – DemolishedDate demolition is complete 17 – Other DispositionArchive date All Public Benefit Conveyance (CF,HA,HE,HM,LW,NS, PA,PF,PR,SH,WC) Date of assignment letter to sponsoring agency or deed date to grantee SN – Negotiated Sale SP – Public Sale Deed date TM – Early Termination/ Cancellation Termination/Cancellation date XP – Expiration/CancellationExpiration/Cancellation date

Disposition Method Definition:  The method in which the real property asset left the Department’s inventory 8 – Federal TransferHM – PBC – Historic Monuments SH – PBC – Self-help Housing 10 - DemolishedLW – PBC – Law Enforcement and Emergency Mgmt Response SN – Negotiated Sale 17 – Other DispositionNS – PBC – Negotiated Sales to Public Agencies SP – Public Sale CF – PBC – Correctional Facility Use PA – PBC – Public AirportsTM – Early Termination/ Cancellation HA – PBC – Homeless Assistance PF – PBC – Port FacilitiesWC – PBC – Wildlife Conservation HE – PBC – Health or Educational Use PR – PBC – Public Parks and Recreational Area XP – Expiration/ Cancellation Key: PBC – Public Benefit Conveyance

Disposition Method (continued) Validated for Archived/Disposed assets Update frequency: Static How to check: Site Subject Matter Expert in charge of asset disposition, i.e. Real Estate, Disposition Manager, Accounting 8 – Federal TransferHM – PBC – Historic MonumentsSH – PBC – Self-help Housing 10 - DemolishedLW – PBC – Law Enforcement and Emergency Mgmt Response SN – Negotiated Sale 17 – Other DispositionNS – PBC – Negotiated Sales to Public Agencies SP – Public Sale CF – PBC – Correctional Facility UsePA – PBC – Public AirportsTM – Early Termination/ Cancellation HA – PBC – Homeless AssistancePF – PBC – Port FacilitiesWC – PBC – Wildlife Conservation HE – PBC – Health or Educational Use PR – PBC – Public Parks and Recreational Area XP – Expiration/ Cancellation

Net Proceeds Definition:  For assets with a Disposition Method set to SP – Public Sale or SN – Negotiated Sale  Report the proceeds less disposal cost TM – Early Termination/ Cancellation  For Early Termination/Cancellation, report the cost avoidance from early termination less the costs incurred to prepare the leased property for return to the owner Net Proceeds can be zero or negative in cases where the disposal cost exceeds proceeds

Net Proceeds (continued) Validated for Archived/Disposed assets Update frequency: Static How to check: Site Subject Matter Expert in charge of asset disposition, i.e. Real Estate, Disposition Manager, Accounting

Bridge Safety Inspection Verification Bridge Safety Inspection Report Latest Safety Inspection will be verified for OSF usage codes:  1468 Public Assess Bridges, Trains  1469 Controlled Access Bridges, Train  1768 Public Access Bridges, Vehicular Required Bridge Safety Inspection Date intervals:  Controlled access and publicly accessible train bridges – one inspection per calendar year, with not more than 540 days between successive inspections  Publicly accessible vehicular bridges – regular intervals not to exceed twenty-four months

Bridge Safety Inspection Verification (continued) Required when Status is:  1 – Operating  2 – Operational Standby  6 – Operating Pending D&D  7 – Operating Under an Outgrant New for FY15 – Required to validate  Location Zip Code  Year Built Update frequency: Required to be updated within 30 days of inspection completion How to check: Bridge Safety Inspection repo rt

Data Elements that were removed from the Validation for FY15: Secondary Quantity (OSF only)Cool Roof – Not Economically Feasible Cool Roof – Total Roof Projected Area (GSF) Sustainability – Compliance Approach Cool Roof – Vegetative Area (GSF) Sustainability – USGBC Project ID Cool Roof – Reflective Area (GSF) Sustainability – Certification Level Received Cool Roof – Photovoltaic Area (GSF) Acquisition Method (Land only) Cool Roof – Planned Complete Cool Roof Date

Process Verification

Processes It is essential to look at the processes at a site  The methodology for capturing the data  A site’s procedures for collecting the data Source documents are important but so are the source processes  The Validation is more than just matching the FIMS value to the Source Document value Need to be documented

Process to look for … Deferred Maintenance and Repair Needs –  Is it inspection based?  What exactly is the process? Actual Maintenance –  Is it captured at the asset level? Examine/explain the process Inspection Date –  Verify the inspection cycle is 5 years or less

Process to look for … (continued) Asset % Utilized -  Is it based on an asset level annual survey? Explain the process Replacement Plant Value –  Are FIMS models used?  If contactor developed, does the calculation take into account current standards of construction? What is the process?  Verify that CPV is only used for OSF’s and new assets prior to the first CAS inspection

Process to look for … (continued) Site Factor  If the default is not being used What process was used to develop the Site Factor?  Are the calculation sheets available? Operating Cost -  Is the Site level cost based on actual invoices/contracts?  If site allocated the asset level cost, is the process documented? Explain the process  Ensure it is based on sound business practices

Desktop Validation using the Data Validation Reporting Forms

Data Validation Reporting Forms Forms provide the basis of the validation effort Completed for each of the assets to be validated  DOE owned, plus the site level Operating Cost and the Bridge Safety Inspection verification  DOE leased and GSA  Land  Archived/Disposed

Data Validation Reporting Forms (continued) Provides structure for  Identifying difference between the FIMS value and the Source Document value  Commenting on issues and observations

DOE Owned Data Validation Reporting Form

DOE Owned Data Validation Reporting Form (continued)

DOE Leased and GSA Data Validation Reporting Form

DOE Leased and GSA Data Validation Reporting Form (continued)

DOE Land Data Validation Reporting Form

DOE Disposition Data Validation Reporting Form

Data Validation Reporting Forms Care should be taken to not modify the Data Validation Reporting Forms. There are a multitude of macros and formulas that allow the forms to populate and calculate the data. Also don’t try to move or insert pages within the forms, this will break the processing setup in the forms

“Bridge Inspection” page of the DOE Owned Data Validation Form Provides the following identifying information on each bridge asset: Property IDStatus Property NamePrimary Qty Usage Code DescLocation Zip Code Safety Inspection DateYear Built

“Bridge Inspection” page of the DOE Owned Data Validation Form (continued) The following information is to be populated from the Bridge Safety Inspection source document  Date of Inspection from Safety Inspection Report  Date within 1 yr - Trains or within 2 years - Public Access Vehicular* (Yes/No) Date within:  One calendar year, with not more than 540 days between successive inspections for controlled access and publicly accessible train bridges  Regular intervals not to exceed twenty-four months for publicly accessible vehicular bridges  Safety Inspection Report signed and dated by certified bridge inspector/team lead (Yes/No)  Safety Inspection supports operational (FIMS) status of bridge (Yes/No) FIMS Status = ‘Operating’, the source document should reflect ‘Operating’

“Bridge Inspection” page of the DOE Owned Data Validation Form (continued) The following information is to be verified from the Bridge Safety Inspection source document  Usage Code Description  Location Zip Code  Year Built

Correction to Discrepancies Discrepancies discovered during the validation may be corrected during the scheduled validation period to improve the score  To improve the score for a particular data element, all records for the site for that particular data element must be reviewed and corrected All assets must be reviewed against a correct source document FIMS must be updated with correct values Change the extracted data on the Data Validation Reporting Form Must be completed within the Validation schedule  Only reviewing and correcting the assets being validated is not sufficient to improve the score for the data element

The Walkthrough Process

The Facilities Walkthrough Although the validation is largely a ‘paper validation’; it is critical that the review team see and touch some of the assets to verify usage, utilization and overall condition of the facility The walkthrough is not a condition assessment survey, but more of a reality check Some facility knowledge is necessary but the walkthrough relies more on observation and communication skills The walkthrough is performed in the later part of the validation process, after the desktop validation

The Facilities Walkthrough (continued) After the Data Validation Reporting Forms are generated, pick a few of the assets being validated to visit  Recommend that a walkthrough be conducted on 30% of the assets selected for the validation For a site validating 25 DOE owned assets and 5 DOE leased and GSA assets, you should walkthrough 7-9 buildings/trailers/OSF  Include DOE leased assets, GSA assets and land assets  No hard rules on which to select to walkthrough  This is not a detailed facility inspection, but an overview to verify actual conditions of a real property asset are consistent with source data and FIMS data  Expect a walkthrough to take no more than 10 minutes per facility

The Facilities Walkthrough (continued) Drive by as many of the remaining assets as practical in the sample sets  Verify: The asset exists Property Type Status Drive by every train and vehicle bridge to verify Usage Code and Status Drive by 100% of the previous location of the Archived/Disposed assets that are being validated

The Facilities Walkthrough (continued) To help confirm that all existing real property assets are recorded in FIMS, conduct an existing asset check  During the walkthroughs record the Property ID of 10 assets (5 buildings/trailers and 5 OSF) that are not part of the sample sets to confirm that these assets are in the FIMS database. At the conclusion of the walkthrough verify the 10 assets exist in FIMS.

The Facilities Walkthrough (continued) Prior to walkthrough: (continued):  Generate reports from FIMS on all facilities to be visited/viewed For buildings,  DOE owned – #001 Owned Building Complete Information Report  DOE leased – #019 Leased Building Complete Information Report  GSA Owned and Leased - #072 GSA Occupancy Agreements Complete Information Report

The Facilities Walkthrough (continued) Prior to walkthrough: (continued):  Generate reports from FIMS on all facilities to be visited/viewed For trailers,  DOE owned – #050 Owned Trailer Complete Information Report  DOE leased – #052 Leased Trailer Complete Information Report For OSF,  DOE owned – #040 Owned OSF Complete Information Report  DOE leased – #044 Leased OSF Complete Information Report

The Facilities Walkthrough (continued) Prior to walkthrough: (continued):  Generate reports from FIMS on facilities to be visited/viewed (continued) For Land,  DOE owned – #030 Owned/Withdrawn Land Complete Information Report  DOE leased – #035 Ingrant Land Complete Information Report For Bridges,  #068 Bridge Safety Inspection Report to PDF format For Archived/Disposed  Print the sheet labelled “XRef” from the DOE Disposition Validation Reporting Form

The Facilities Walkthrough (continued) Sample FIMS #001 Owned Building Complete Information report Red arrows identify items that can be verified on walkthroughs

Scorecarding

Scorecard reporting is:  Compact and conveys results quickly  To be finalized during the validation  Focuses attention on the facts and findings

FY2015 FIMS Validation Four scorecards will be generated  One for DOE owned buildings, trailers and Other Structures and Facilities (OSF)  One for DOE leased buildings, trailers and Other Structures and Facilities (OSF) and GSA Owned and Leased Buildings  One for Land – DOE owned, DOE leased and withdrawn from public domain  One for Archived/Disposed assets

Sample Scorecard

ScoreGreenYellowRed Data Element No more than a 5% frequency of variance Greater than 5%, but no more than 10% frequency of variance Greater than 10% frequency of variance Explaining the Scorecard At the data element level, red, yellow and green ratings are assigned based on the frequency of variance percentage: Data elements which are validated to source documents but are outside accepted definitions or conventions are assessed red with an explanation  Example: RPV matches between FIMS and the source document but is considered to be a variance because through discussion with the site, RPV is determined to really be CPV for all the site’s owned buildings. As a result, this data element would be red.

Rating of Status To get the green in status:  All performance measures are green RPV, Deferred Maintenance, Asset % Utilized, Operating Cost (site level) and Annual Actual Maintenance  No more than two of the remaining elements are yellow

Rating of Status A rating of yellow is received if:  If one or more performance measure is yellow RPV, Deferred Maintenance, Asset % Utilized (buildings/trailers only), Operating Cost (site level) and Annual Actual Maintenance  Or, no more than one of the remaining elements is red An overall status rating of red is received  If one or more of the performance measures result in a red rating RPV, Deferred Maintenance, Asset % Utilized (buildings/trailers only), Operating Cost (site level) and Annual Actual Maintenance  Or, more than one of the remaining elements are red

Rating of Status Chart FIMS Scorecard Status Score Performance Measures * Remainder of Validated Elements Notes Green All performance measures green and… No more than two of the remaining elements yellow Preferred level of data quality Yellow One or more performance measure yellow or… No more than one of the remaining elements red Minimal acceptable level of data quality Red One or more performance measure red or… More than one of the remaining elements red Unacceptable data quality *Performance Measures: Replacement Plant Value, Deferred Maintenance, Asset % Utilized, Annual Operating Costs and Annual Actual Maintenance

Sample Scorecard

Status Rating of RED If a Site’s Status rating is Red, the site is required to develop a Corrective Action Plan (CAP) within 15 days of the validation  A copy of the CAP is to be delivered to the Site Office and HQ Program Office  The HQ Program Office will forward a copy of the CAP to OAPM and oversee the execution of the plan The Site will also have to provide a schedule/date to the Site Office/HQ Program Office for the revalidation as a result of the red score  Revalidation required within 60 days or before August 1 st of the current fiscal year  Revalidation is only required for those data elements that scored either Red or Yellow

Corrective Action Plan (CAP) Sample available on FIMS website at Usually just the scorecard with a few additional columns to identify:  Correction plan of action  Point of contact and contact information  Estimated date of completion  Actual date of completion

Rating of Progress A progress rating is important because the status rating may not tell a whole story  Progress rating is more subjective and should consider: Statistical improvement since last validation Establishment / meeting the goals of a corrective action plan  The progress rating is a leading indicator and a way to indicate positive (negative) momentum that will yield status improvement (decline)

Rating of Progress (continued) Red – indication that red status will not improve or yellow status will decline  Lack of attention and urgency  Corrective action plan not being met Yellow – indication that limited, positive efforts are being taken that may improve the data  Insufficient attention being given  Corrective action plan in place but progress is slipping Green – results-oriented plan in place with goals and necessary resources  Clear level of attention and demonstrated sense of urgency  Frequency of variance is going down  Typically, a site that is green is status by default is green in progress

Rating of Progress Chart FIMS Scorecard Progress Score Improvement of Data Goals of the Corrective Action Plan Notes Green Status is green or significant improvement since last validation Goals established and being met or no plan needed If Status is green or yellow, no correction plan is required and progress is typically green Yellow Some improvement in data quality since last validation Progress is slipping Red Minimal improvement in data quality since last validation Goals for improvement not being met

Sample Scorecard

ScoreGreenRedN/A Bridge Safety Inspection Verification All required data is verified as correct Discrepancies noted with required data or asset visit Site does not have bridges Rating of Bridge Safety Inspection Verification

Rating of Existing Asset Check After verifying that the 10 recorded properties from the walkthrough are in the FIMS database, change the Existing Asset Check rating box on the scorecard as follows:  Green if all 10 assets are found in FIMS  Red if one or more of the 10 assets are not in FIMS

Disposition Scorecard Rating After verifying the FIMS values with the Source Document values and confirming that all Archived/Disposed assets no longer exist, update the Status as follows:  Green if all disposition data elements are green and all assets have been confirmed as being disposed  Red if any disposition data element is red or an asset is found to still be on the Site

Finalizing the Scorecard On the Scorecard sheet  Update the header information for Site Name Program Dates of Validation  To record the ratings, simply type Green, Yellow or Red in the appropriate cell This will color the cell background appropriately  Add Notes/Recommendations and General Comments

Planning the Validation

Frequency and Timing Validations are to be conducted annually for all sites  If a Site’s scorecard Status is red however, the Site is expected to conduct revalidations in 60 days or before August 1 st Revalidation will only be required for those data elements that scored either Red or Yellow

Frequency and Timing (continued) The FIMS Validation guidance recommends that validations should be completed between January 15 th and June 30 th of each fiscal year  Provide HQ Program Office with planned Validation date by 11/30 of each fiscal year  Validation should not occur between August 1 and December 15 which is the annual update cycle for FIMS data

Validation Schedule and Quality Assurance Reviews Site’s planned validation dates may be found on the Validation Schedule  Found on the FIMS website at Quality Assurance Reviews  Performed by OAPM/Headquarters Programs  Occur every 5 years unless otherwise needed/requested  To verify consistency and to ensure validations are conducted in accordance with the guidance  Sites to be visited are highlighted on the Validation Schedule

Retention of Information What should be kept?  Completed Data Validation Reporting Forms which includes the Scorecard  Source Documents How long?  No less than five years Allows trending and tracking Who should keep?  Site  HQ Program Office and OAPM  Site should completed Data Validation Forms to the appropriate HQ program office and OAPM

Validation Guidance and Website

FIMS Validation Materials and Guidance Validation materials are available from the FIMS website at The FIMS FY15 Data Validation Guidance Memo issued by the Office of Acquisition and Project Management (OAPM), DOE can also be found on the FIMS website

FIMS Data Validation Update for FY15 Thank you Presented by: Mark Gordy, GCI and Gayle Smith, Stargates Inc