cas structure and status update june 13, 2011 bruce chrisman
TRANSCRIPT
CAS Structure and Status UpdateJune 13, 2011
Bruce Chrisman
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DOE
FRA, LLC
BoD
ContractAssurance
Audit Physics ES&H Adm/Finance Compensation
EXPERTS
Fermi National Accelerator LaboratoryContractor Assurance System
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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
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DOE Oversight
Fermi National Accelerator LaboratoryContractor Assurance System
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DOE Oversight
Corporate Oversight
Contractor Assurance System
Fermi National Accelerator Laboratory
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DOE Oversight
Corporate Oversight
Contractor Assurance System
Fermi National Accelerator Laboratory
Management Systems
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Contractor Assurance System
Fermi National Accelerator Laboratory
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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
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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
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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
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Fermi National Accelerator LaboratoryCA Implementation Plan – Old Rev, Part 2
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
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
NumberTopic Name Topic Description
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
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Fermi National Accelerator LaboratoryCA Implementation Plan – New Rev, Part 2a
Action Item
NumberTopic Name Topic Description
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
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 Apr 11 - mid Jun 11
mid mid
mid Apr 11 - mid Jun 11
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
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Fermi National Accelerator LaboratoryCA Implementation Plan – New Rev, Part 2b
Action Item
NumberTopic Name
Topic Description
NumberTopic 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
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
Fermi National Accelerator LaboratoryCA Implementation Plan
.
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
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Fermi National Accelerator LaboratoryCA Implementation Plan
.
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 LaboratoryCA Implementation Plan
.
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 LaboratoryCA Implementation Plan
.
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 LaboratoryCA Implementation Plan
.
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 LaboratoryCA Implementation Plan
.
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
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Fermi National Accelerator LaboratoryCA Implementation Plan
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Fermi National Accelerator LaboratoryCA Implementation Plan
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
Fermi National Accelerator Laboratory
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CA Implementation in Business Operations: Approach and Status Overview
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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.
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Fermi National Accelerator LaboratoryDefinitions
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Fermi National Accelerator Laboratory
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
Information Resources
TelecomSafeguards & Security
(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
Information Resources
TelecomSafeguards & Security
(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
(Transportation, Shipping, Receipt)
Procurement
Human Resources
PropertyInfra-
structure
Information Resources
TelecomSafeguards & Security
(Physical Security)
Travel Legal
Fleet Operations
ShippingMail
ServicesReceivingDistributionTraffic
32
Fermi National Accelerator LaboratoryBusiness Operations – Telecom Major Processes
Business Operation
s
Logistical Services
(Transportation, Shipping, Receipt)
Procurement
Human Resources
PropertyInfra-
structure
Information Resources
TelecomSafeguards & Security
(Physical Security)
Travel Legal
Paging RadioWiredWireless
33
Fermi National Accelerator LaboratoryBusiness Operations – Procurement Major Processes
Business Operation
s
Logistical Services
(Transportation, Shipping, Receipt)
Procurement
Human Resources
PropertyInfra-
structure
Information Resources
TelecomSafeguards & Security
(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
(Transportation, Shipping, Receipt)
Procurement
Human Resources
PropertyInfra-
structure
Information Resources
TelecomSafeguards & Security
(Physical Security)
Travel Legal
Fire Department
Security
35
Fermi National Accelerator LaboratoryBusiness Operations – Property Major Processes
Business Operation
s
Logistical Services
(Transportation, Shipping, Receipt)
Procurement
Human Resources
PropertyInfra-
structure
Information Resources
TelecomSafeguards & Security
(Physical Security)
Travel Legal
RecyclingInventory ScrapReal Property
Personal Property
36
Fermi National Accelerator LaboratoryBusiness Operations – Travel Major Processes
Business Operation
s
Logistical Services
(Transportation, Shipping, Receipt)
Procurement
Human Resources
PropertyInfra-
structure
Information Resources
TelecomSafeguards & Security
(Physical Security)
Travel Legal
Domestic Foreign
37
Fermi National Accelerator LaboratoryBusiness Operations – Infrastructure Major Processes
Business Operation
s
Logistical Services
(Transportation, Shipping, Receipt)
Procurement
Human Resources
PropertyInfra-
structure
Information Resources
TelecomSafeguards & Security
(Physical Security)
Travel Legal
Site Maintenance
Environmental
Sustainability
Construction
Management
38
Fermi National Accelerator LaboratoryBusiness Operations – Legal Major Processes
Business Operation
s
Logistical Services
(Transportation, Shipping, Receipt)
Procurement
Human Resources
PropertyInfra-
structure
Information Resources
TelecomSafeguards & Security
(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?