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CAS Structure and Status Update June 13, 2011 Bruce Chrisman
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2 DOE FRA, LLC BoD Contract Assurance AuditPhysicsES&HAdm/FinanceCompensation EXPERTS Fermi National Accelerator Laboratory Contractor Assurance System
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3 DOE FRA, LLC BoD Contract Assurance Contract Assurance Communication Audit Corporate Governance Corporate Governance Physics Science Engineering Particle Physics Particle Physics ES&H Admin Finance Admin Finance QA Finance IT Comp. Business Systems Business Systems Contractor Assurance System Fermi National Accelerator Laboratory
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4 DOE Oversight Fermi National Accelerator Laboratory Contractor Assurance System
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5 DOE Oversight Corporate Oversight Contractor Assurance System Fermi National Accelerator Laboratory
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6 DOE Oversight Corporate Oversight Contractor Assurance System Fermi National Accelerator Laboratory Management Systems
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7 Contractor Assurance System Fermi National Accelerator Laboratory
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8 Item #Management SystemOwner - TitleOwner - NamePriority 1Corporate GovernanceFRA Board of Directors – Secretary of BoDTyler Przybylek1 2Performance PlanningOffice of Program and Project SupportPeter Gabincius1 3Science ProgramCROYoung-Kee Kim3 4FinanceCFOCynthia Conger1 5Business OperationsCOO/AD of OperationsBruce Chrisman1 6ES&HES&H DirectorNancy Grossman3 7QualityHead of the Office of Quality and Best PracticesRobert Grant3 8EngineeringEngineering OversightPeter Garbincius3 9Information TechnologyCIO/AD of ComputingVictoria White2 10CommunicationHead of the Office of CommunicationsKathleen Yurkewiz2 Fermi National Accelerator Laboratory Management System Owners
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. Define Management Systems Split Management Systems into 3 groups Priority 1 = High visibility, pose as limiters to implementation, missing documentation, or noted by management as an issue Priority 2 = Mid-High visibility, missing documentation, or assessment findings Priority 3 = Significant parts of system exist, in implementation or continual improvement mode Create Management System Descriptions (MSD) and create or edit policies to match. Priority 1 – Creating template; using BOMS as example; draft in review. Other Priority 1 are to be completed by MSDs by December 31, 2011. All MSDs and policies manuals are to be done by March 31, 2012. D/S/Cs to Perform As-Is assessment for documentation by mapping criteria to requirements and, then, create any other documentation as needed. Mapping is to be completed by December 31, 2011. Fermi National Accelerator Laboratory 9 CA Implementation Plan – Approach Overview
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. 10 Fermi National Accelerator Laboratory CA Implementation Plan – Old Rev, Part 1 Action Item Number Topic Name Topic Description Number Topic Description FY10FY11 Dates 10-Aug10-Sep10-Oct10-Nov10-Dec11-Jan11-Feb11-Mar11-Apr11-May11-Jun11-Jul11-Aug11-Sep 1Contract Mapping 1a Contract mapping of SOW and Appendices/Clauses to DOE Orders and Director's Policies mid Complete 1b Review initial contract mapping document (1a) mid P Complete 1c Map 1a, above, to programmatic documents (such as plans, manuals and procedures/implementi ng documents) mid E Dec 10 - mid Mar 11 1d Create plan to fill gaps, if applicable mid E mid Mar - Apr 11 2 Management Systems 2a Identify management systems Complete R 2b Decide: mid Aug 10 - mid Feb 11 -- Management System Ownership -- What documents need to be created to implement the Contractor Assurance System -- Format/content of Programmatic Manuals/Documents 2c Write Prime Contract Change Management Procedure mid Sep 10 - mid Feb 11 2dWrite Manuals mid R mid Feb - mid July 11 3 Define New Policy Manual 3a Agree on: mid E Complete --What is a policy? --Levels of policies? 3b Agree on: mid V Complete --What policies Fermilab will have --Ownership 3c Establish document control protocols for policies mid I Complete --Change management --Format of policies 4 Create New Policy Manual 4 Revise existing policies and write new policies as required mid E Feb - mid July 11
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. 11 Fermi National Accelerator Laboratory CA Implementation Plan – Old Rev, Part 2 Action Item Number Topic Name Topic Description Number Topic Description FY10FY11 Dates 10-Aug10-Sep10-Oct10-Nov10-Dec11-Jan11-Feb11-Mar11-Apr11-May11-Jun11-Jul11-Aug11-Sep 5 Management Review Procedure 5a Draft Mgmt Review Procedure mid W TBD (Draft on hold) 5b Review & Approve Mgmt Rvw Procedure mid Dec 10 - mid Apr 11 6 Establish Board of Directors role 6 mid 7 Reporting and Metrics 7a Establish reporting methods to the BoD mid 7b Establish metrics for management systems Apr 11 - May 11 8Revise FICAP 8aDraft FICAP revision mid mid Mar 11 - mid Apr 11 8b Review & Approve FICAP mid mid Apr 11 - mid Jun 11 8c Formalize worker feedback system (proceduralize) TBD 9 Revise Comp Assessment 9 Revise Comprehensive Assessment Manual and schedule to accommodate changes in Contractor Assurance ManualComplete TBD 10 Communicate CAS to Fermilab 10a Communicate CAS Program Aug 10 - Aug 11 10b Train Fermilab regarding CAS requirements mid mid Mar - Aug 11 11Benchmarking 11a Establish Benchmarking Requirements 11-Mar 11b Write Benchmarking Procedure mid mid Mar 11 - mid May 11 11c Implement benchmarking process mid mid May 11 - Aug 11 12 Graded Approach 12a Determine Graded Approach Methodology (plus test cases) mid Oct10 - mid Jan 11 12b Write Graded Approach Procedure Feb 11 - March 11 12c Implement Graded Approach Procedure mid July 11 start 13CAS Description 13a Determine CAS Description Approach Complete 13bWrite CAS Description mid Complete
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. 12 Fermi National Accelerator Laboratory CA Implementation Plan – New Rev, Part 1 Action Item Number Topic Name Topic Description Number Topic Description Old Plan Status FY11FY 12 Dates May-11Jun-11Jul-11Aug-11Sep-11Oct-11Nov-11Dec-11Jan-12Feb-12Mar-12Apr-12May-12 1 Contract Mapping 1a Contract mapping of SOW and Appendices/Clauses to DOE Orders and Director's Policies Complete 1b Review initial contract mapping document (1a) Complete 1c Map 1a, above, to programmatic documents (such as plans, manuals and procedures/implementing documents) Dec 10 - mid Mar 11 May 11 - Dec 11 1d Create plan to fill gaps, if applicable mid Mar - Apr 11 Sep 11 - Jan 12 2 Management Systems 2a Identify management systems Complete 2b Decide: Aug 10 - mid Feb 11 Aug 10 - Jan 12 -- Management System Ownership -- What documents need to be created to implement the Contractor Assurance System -- Format/content of Programmatic Manuals/Documents 2c Write Prime Contract Change Management Procedure Sep 10 - mid Feb 11 May 11- Oct 11 2dWrite Manuals mid Feb - mid July 11 May 11 - Mar 12 3 Define New Policy Manual 3a Agree on: Complete --What is a policy? --Levels of policies? 3b Agree on: Complete --What policies Fermilab will have --Ownership 3c Establish document control protocols for policies Complete --Change management --Format of policies 4 Create New Policy Manual 4 Revise existing policies and write new policies as required Feb - mid July 11 May 11 - Mar 12
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. 13 Fermi National Accelerator Laboratory CA Implementation Plan – New Rev, Part 2a Action Item Number Topic Name Topic Description Number Topic Description Old Plan Status FY11FY 12 Dates May-11Jun-11Jul-11Aug-11Sep-11Oct-11Nov-11Dec-11Jan-12Feb-12Mar-12Apr-12May-12 5 Managemen t Review Procedure 5a Draft Mgmt Review Procedure TBD (Draft on hold) mid May 11 - mid Nov 11 5b Review & Approve Mgmt Rvw Procedure Dec 10 - mid Apr 11 mid mid Nov 11 - Feb 12 6 Establish Board of Directors role 6 Complete 7 Reporting and Metrics 7a Establish reporting methods to the BoD mid 7b Establish metrics for management systems Apr 11 - May 11 mid Apr 11 - May 11 8 Revise FICAP 8a Draft FICAP revision mid Mar 11 - mid Apr 11 mid mid Jun 11 - mid Nov 11 8b Review & Approve FICAP mid Apr 11 - mid Jun 11 mid mid Apr 11 - mid Jun 11 8c Formalize worker feedback system (proceduralize) TBD ETA on start TBD 9 Revise Comp Assessment 9 Revise Comprehensive Assessment Manual and schedule to accommodate changes in Contractor Assurance TBD On Hold
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. 14 Fermi National Accelerator Laboratory CA Implementation Plan – New Rev, Part 2b Action Item Number Topic Name Topic Description Number Topic Description Old Plan Status FY11FY 12 Dates May-11Jun-11Jul-11Aug-11Sep-11Oct-11Nov-11Dec-11Jan-12Feb-12Mar-12Apr-12May-12 10 Communicate CAS to Fermilab 10a Communicate CAS Program Aug 10 - Aug 11 Aug 10 start; on- going 10b Train (awareness) Fermilab regarding CAS requirements mid Mar - Aug 11 Meet with Sr, Mgmt Fermi Today July 11- Aug 12 11Benchmarking 11a Establish Benchmarking Requirements 11-Mar Nov 11 - Dec 11 11b Write Benchmarking Procedure mid Mar11 - mid May 11 mid mid Jan11 - mid Mar12 11c Implement benchmarking process mid May 11 - Aug 11 mid mid Mar 12 start; on-going 12 Graded Approach 12a Determine Graded Approach Methodology (plus test cases) Oct 10 - mid Jan 11 mid Mar 11 - Jun 11 12b Write Graded Approach Procedure Feb 11 - March 11 mid mid July 11 - mid Dec 11 12c Implement Graded Approach Procedure July 11 start mid mid Jan 12 start; on-going 13CAS Description 13a Determine CAS Description Approach Complete 13b Write CAS Description Complete
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. Contract Mapping OQBP map contract of SOW and Appendices/Clauses to DOE Orders and Director's Policies D/S/C to map above, to programmatic documents (such as plans, manuals and procedures/implementing documents) In progress –Business Operations in review –Corporate Governance –Finance due end of Q4 FY2011 –Performance Planning due end of Q4 FY2011 Create plan to fill gaps, if applicable Priority 1’s are awaiting completion D/S/C contract mapping 15 Fermi National Accelerator Laboratory CA Implementation Plan
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. Management Systems Identify management system Decide: Management System Ownership Format/content of Management System Documents –Draft of 1 st system in review, Operations »Need AC review and approval »Corporate Governance draft being edited Write Management System Descriptions Plan changed; see updated schedule Write Prime Contract Change Management Procedure Process flow approved; draft procedure being written 16 Fermi National Accelerator Laboratory CA Implementation Plan
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. Define New Policy Manual Agree on: What is a policy? Levels of policies? Agree on: What policies Fermilab will have –Proposal accepted - See detailed list for editing and creating policies; ownership assigned »OQBP to work with MSOs. »Need to complete D/S/C contract mapping to confirm 17 Fermi National Accelerator Laboratory CA Implementation Plan
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. Define New Policy Manual (Continued) Establish document control protocols for policies Change management process –Proposal accepted; procedure being written Format of policies –Proposal accepted; will be included in the Document Control System. Create New Policy Manual Started with Operations policies Priority 1; initial drafts in review: –Operations policy – “General Work Practices and Expectations”, Training Policy, Documents Policy, Records Policy, Security Policy Need to review and/or edit level 2 and 3 policies 18 Fermi National Accelerator Laboratory CA Implementation Plan
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. Contractor Assurance System Description Determine CAS Description Approach Create the document Note – DOE approval received; review and revisions will occur as needed as this will be a living document. Revise Contractor Assurance Program document Editing of the document is in-process 19 Fermi National Accelerator Laboratory CA Implementation Plan
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. Management Review Procedure Revising initial draft of Management Review Procedure Procedure will contain Reporting and Metrics –Establish reporting methods throughout line management including to the BoD –Establish metrics for management systems Formalize worker feedback system; create documentation – TBD Note – Plan is to perform an As-Is or survey on this topic and then, write the document(s). 20 Fermi National Accelerator Laboratory CA Implementation Plan
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. Consolidated/comprehensive Assessment All documentation being harmonized with ES&H system Schedule being reviewed for categorization and ability to coordinate Note – Current assessment programs are still on-going. Communicate CAS to Fermilab FRA, Fermilab senior management, and AC meetings - On-going. Training plan Fermilab FRA – 3 people trained FSO Lab-wide Awareness 21 Fermi National Accelerator Laboratory CA Implementation Plan
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. Formal Benchmarking Establish Benchmarking Requirements Write Benchmarking Procedure Create Implementation Plan Not started Enterprise Risk Management/Graded Approach Determine Graded Approach Methodology Proposal in review Write Procedure Create Implementation Plan 22 Fermi National Accelerator Laboratory CA Implementation Plan
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. 23 Fermi National Accelerator Laboratory CA Implementation Plan Questions?
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Contractor Assurance in Business Operations June 13, 2011 Bruce Chrisman
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. Map Business Operations (BO) documentation and practices to contract requirements Management System Description (MSD) Determine format Writing of BOMSD is in process Targeted due date is to have approved BOMSD by 07/22/11 Review policies, determine needs and change if necessary Executing initial plan for policies under Business Operations –Targeted due date for completion of Priority 1s is 07/22/11 –Targeted due date for completion of Priority 2s & 3s is 08/19/11 Additional changes may be required depending upon a review of contract mapping. Develop plan for any additional documentation Targeted due date is to have plan by 09/30/11 Fermi National Accelerator Laboratory 25 CA Implementation in Business Operations: Approach and Status Overview
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26 Level 3 Level 2 Level 1 Management System Function or Programmatic Task Major Process Function or Programmatic Task Major Process Fermi National Accelerator Laboratory Model; Levels 1, 2 & 3
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Level 1 Management System - Organization's approach to implement a system of functions and tasks in order to fulfill the laboratory mission and requirements of the prime contract. Level 2 Function/Programmatic Task - Defines area(s) of management and/or service(s) Level 3 Major processes – Constitute a core business function or support function. 27 Fermi National Accelerator Laboratory Definitions
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28 Fermi National Accelerator Laboratory Business Operations Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal Business Operations – Structure; Levels 1 & 2
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29 Fermi National Accelerator Laboratory Business Operations – Human Resources Major Processes Business Operations Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal Education Support Employee Relations Professional Development Employment EEOC & Counseling HR Services Workforce Planning Benefits Administration Benefits Research & Planning
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30 Fermi National Accelerator Laboratory Business Operations – Information Services Major Processes Business Operations Logistical Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal Document Management Library Records Management Technical Publication
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31 Fermi National Accelerator Laboratory Business Operations – Logistical Services Major Processes Business Operations Logistical Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal Fleet Operations ShippingMail Services ReceivingDistribution Traffic
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32 Fermi National Accelerator Laboratory Business Operations – Telecom Major Processes Business Operations Logistical Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal PagingRadio WiredWireless
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33 Fermi National Accelerator Laboratory Business Operations – Procurement Major Processes Business Operations Logistical Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal Records (Files) Small Business Compliance Procurement Sub processes
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34 Fermi National Accelerator Laboratory Business Operations – Safeguards & Security Major Processes Business Operations Logistical Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal Fire Department Security
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35 Fermi National Accelerator Laboratory Business Operations – Property Major Processes Business Operations Logistical Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal Recycling InventoryScrap Real Property Personal Property
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36 Fermi National Accelerator Laboratory Business Operations – Travel Major Processes Business Operations Logistical Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal DomesticForeign
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37 Fermi National Accelerator Laboratory Business Operations – Infrastructure Major Processes Business Operations Logistical Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal Site Maintenance Environmental Sustainability Construction Management
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38 Fermi National Accelerator Laboratory Business Operations – Legal Major Processes Business Operations Logistical Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal Prime Contract Review & Change Intellectual Property EthicsLegal Claims Agreements (Contracts, MOUs, etc.) Procurement Review
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. 39 Fermi National Accelerator Laboratory CA Implementation in Business Operations Questions?
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