cas structure and status update june 13, 2011 bruce chrisman

CAS Structure and Status UpdateJune 13, 2011

Bruce Chrisman

2

DOE

FRA, LLC

BoD

ContractAssurance

Audit Physics ES&H Adm/Finance Compensation

EXPERTS

Fermi National Accelerator LaboratoryContractor Assurance System

3

DOE

FRA, LLC

BoD

ContractAssuranc

e

Communication

Audit

CorporateGovernanc

e

Physics

Science

Engineering

ParticlePhysics

ES&H

ES&H

AdminFinanc

e

QA

Finance

IT

Comp.

BusinessSystems

Contractor Assurance System

Fermi National Accelerator Laboratory

4

DOE Oversight

Fermi National Accelerator LaboratoryContractor Assurance System

5

DOE Oversight

Corporate Oversight



6

DOE Oversight

Corporate Oversight



Management Systems

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8

Item # Management System Owner - Title Owner - Name Priority

1 Corporate Governance FRA Board of Directors – Secretary of BoD Tyler Przybylek 1

2 Performance Planning Office of Program and Project Support Peter Gabincius 13 Science Program CRO Young-Kee Kim 3

4 Finance CFO Cynthia Conger 1

5 Business Operations COO/AD of Operations Bruce Chrisman 1

6 ES&H ES&H Director Nancy Grossman 3

7 Quality Head of the Office of Quality and Best Practices Robert Grant 3

8 Engineering Engineering Oversight Peter Garbincius 3

9 Information Technology CIO/AD of Computing Victoria White 2

10 Communication Head of the Office of Communications Kathleen Yurkewiz 2

Fermi National Accelerator LaboratoryManagement System Owners

.

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.


9

CA Implementation Plan – Approach Overview

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Fermi National Accelerator LaboratoryCA Implementation Plan – Old Rev, Part 1

Action Item

NumberTopic Name Topic Description

Number Topic Description

FY10 FY11

Dates10-Aug 10-Sep 10-Oct 10-Nov 10-Dec 11-Jan 11-Feb 11-Mar 11-Apr 11-May 11-Jun 11-Jul 11-Aug 11-Sep

1 Contract 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 mid P

Complete

1c

Map 1a, above, to programmatic documents (such as plans, manuals and procedures/implementing 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

Complete

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

2cWrite Prime Contract Change Management Procedure

mid

Sep 10 - mid Feb 11

2d Write Manuals mid R

mid Feb - mid July 11

3 Define New Policy Manual

3aAgree on:

mid 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

. 11

Fermi National Accelerator LaboratoryCA Implementation Plan – Old Rev, Part 2

Action Item


Number Topic Description

FY10 FY11

Dates10-Aug 10-Sep 10-Oct 10-Nov 10-Dec 11-Jan 11-Feb 11-Mar 11-Apr 11-May 11-Jun 11-Jul 11-Aug 11-Sep

5Management

Review Procedure

5a Draft Mgmt Review Procedure mid mid W

TBD (Draft on hold)

5b Review & Approve Mgmt Rvw Procedure mid

Dec 10 - mid Apr 116 Establish Board

of Directors role 6 Establish Board of Directors role mid

7 Reporting and Metrics

7a Establish reporting methods to the BoD mid

7b Establish metrics for management systems

Apr 11 - May 11

8 Revise FICAP

8a Draft FICAP revision

mid mid

mid Mar 11 -

mid Apr 11

8b Review & Approve FICAP mid mid

mid Apr 11 - mid Jun 11

8cFormalize worker feedback system (proceduralize)

TBD

9 Revise Comp Assessment 9

Revise Comprehensive Assessment Manual and schedule to accommodate changes in Contractor Assurance

Manual Complete

TBD

10 Communicate CAS to Fermilab

10a Communicate CAS Program

Aug 10 - Aug

11

10bTrain Fermilab regarding CAS requirements

mid

mid Mar - Aug 11

11 Benchmarking

11aEstablish Benchmarking Requirements

11-Mar

11b Write Benchmarking Procedure mid mid

mid Mar 11 - mid May 11

11cImplement 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

13 CAS Description13a Determine CAS

Description Approach

Complete

13b Write CAS Description mid

Complete

. 12

Fermi National Accelerator LaboratoryCA Implementation Plan – New Rev, Part 1

Action Item


Number Topic Description Old Plan Status

FY11 FY 12

DatesMay-11 Jun-11 Jul-11 Aug-11 Sep-11 Oct-11 Nov-11 Dec-11 Jan-12 Feb-12 Mar-12 Apr-12 May-12

1 Contract Mapping

1a

Contract mapping of SOW and Appendices/Clauses to DOE Orders and Director's Policies

Complete

Complete

1b Review initial contract mapping document (1a) Complete

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

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

2d Write Manuals mid Feb - mid July 11

May 11 - Mar 12

3 Define New Policy Manual

3aAgree on:

Complete

Complete--What is a policy?--Levels of policies?

3b

Agree on:

Complete

Complete--What policies Fermilab will have--Ownership

3c

Establish document control protocols for policies

Complete

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

. 13

Fermi National Accelerator LaboratoryCA Implementation Plan – New Rev, Part 2a

Action Item


Number Topic Description Old Plan Status

FY11 FY 12


5Managemen

t Review Procedure

5a Draft Mgmt Review Procedure

TBD (Draft on

hold) mid

May 11 - mid Nov

11

5bReview & Approve Mgmt Rvw Procedure

Dec 10 - mid Apr

11

mid

mid Nov 11 - Feb

12

6

Establish Board of Directors

role

6 Establish Board of Directors role

Complete

7 Reporting and Metrics

7a

Establish reporting methods to the BoD

mid

7bEstablish 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 mid


8cFormalize 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

. 14

Fermi National Accelerator LaboratoryCA Implementation Plan – New Rev, Part 2b

Action Item

NumberTopic Name

Topic Description

NumberTopic Description Old Plan

Status

FY11 FY 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

11 Benchmarking

11aEstablish Benchmarking Requirements

11-Mar

Nov 11 - Dec 11

11bWrite Benchmarking Procedure

mid Mar11 - mid May

11

mid mid

mid Jan11 - mid

Mar12

11cImplement 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

12bWrite Graded Approach Procedure

Feb 11 - March 11 mid mid

mid July 11 - mid Dec 11

12cImplement Graded Approach Procedure

July 11 start mid

mid Jan 12 start; on-going

13 CAS Description13a

Determine CAS Description Approach

Complete

Complete

13b Write CAS Description Complete

Complete

.

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 LaboratoryCA Implementation Plan

.

Management Systems Identify management system Decide:

• Management System Ownership • Format/content of Management System Documents

– Draft of 1st 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


.

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


.

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


.

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


.

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


.

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


.

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


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Questions?

Contractor Assurance in Business OperationsJune 13, 2011

Bruce Chrisman

.

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


25

CA Implementation in Business Operations: Approach and Status Overview

26

Management System

Function or Programmati

c Task

Major Proce

ss

Major Proce

ss

Function or Programmati

c Task

Major Process

Level 1

Level 2

Level 3

Fermi National Accelerator LaboratoryModel; Levels 1, 2 & 3

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 LaboratoryDefinitions

28


Business Operation

s

Services (Transportation,

Shipping, Receipt)

Procurement

Human Resources

PropertyInfra-

structure

Information Resources

TelecomSafeguards & Security

(Physical Security)

Travel Legal

Business Operations – Structure; Levels 1 & 2

29

Fermi National Accelerator LaboratoryBusiness Operations – Human Resources Major Processes

Business Operation

s

Services (Transportation,

Shipping, Receipt)

Procurement

Human Resources

PropertyInfra-

structure



(Physical Security)

Travel Legal

Education Support

Employee Relations

Professional Developmen

tEmployment

EEOC & Counseling

HR ServicesWorkforce Planning

Benefits Administratio

n

Benefits Research &

Planning

30

Fermi National Accelerator LaboratoryBusiness Operations – Information Services Major Processes

Business Operation

s

Logistical Services

(Transportation, Shipping, Receipt)

Procurement

Human Resources

PropertyInfra-

structure



(Physical Security)

Travel Legal

Document Management

LibraryRecords

Management

Technical Publication

31

Fermi National Accelerator LaboratoryBusiness Operations – Logistical Services Major Processes

Business Operation

s

Logistical Services


Procurement

Human Resources

PropertyInfra-

structure



(Physical Security)

Travel Legal

Fleet Operations

ShippingMail

ServicesReceivingDistributionTraffic

32

Fermi National Accelerator LaboratoryBusiness Operations – Telecom Major Processes

Business Operation

s

Logistical Services


Procurement

Human Resources

PropertyInfra-

structure



(Physical Security)

Travel Legal

Paging RadioWiredWireless

33

Fermi National Accelerator LaboratoryBusiness Operations – Procurement Major Processes

Business Operation

s

Logistical Services


Procurement

Human Resources

PropertyInfra-

structure



(Physical Security)

Travel Legal

Records (Files)

Small BusinessCompliance

Procurement Sub

processes

34

Fermi National Accelerator LaboratoryBusiness Operations – Safeguards & Security Major Processes

Business Operation

s

Logistical Services


Procurement

Human Resources

PropertyInfra-

structure



(Physical Security)

Travel Legal

Fire Department

Security

35

Fermi National Accelerator LaboratoryBusiness Operations – Property Major Processes

Business Operation

s

Logistical Services


Procurement

Human Resources

PropertyInfra-

structure



(Physical Security)

Travel Legal

RecyclingInventory ScrapReal Property

Personal Property

36

Fermi National Accelerator LaboratoryBusiness Operations – Travel Major Processes

Business Operation

s

Logistical Services


Procurement

Human Resources

PropertyInfra-

structure



(Physical Security)

Travel Legal

Domestic Foreign

37

Fermi National Accelerator LaboratoryBusiness Operations – Infrastructure Major Processes

Business Operation

s

Logistical Services


Procurement

Human Resources

PropertyInfra-

structure



(Physical Security)

Travel Legal

Site Maintenance

Environmental

Sustainability

Construction

Management

38

Fermi National Accelerator LaboratoryBusiness Operations – Legal Major Processes

Business Operation

s

Logistical Services


Procurement

Human Resources

PropertyInfra-

structure



(Physical Security)

Travel Legal

Prime Contract Review & Change

Intellectual Property

Ethics Legal ClaimsAgreements

(Contracts, MOUs, etc.)

Procurement Review

. 39

Fermi National Accelerator LaboratoryCA Implementation in Business Operations

Questions?

cas structure and status update june 13, 2011 bruce chrisman

Documents

doe fra

contract mapping of

bruce chrisman slide

significant parts of

doe orders

mapping criteria

groups priority

missing documentation