facilities information management system data validation update for fy15 u.s. department of energy...

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The third validation will include DOE owned, DOE leased and withdrawn from public domain land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

ReportSource Documents

Data Element Review

Process Verification

Desktop Validation Walkthroughs

Prepare 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

1 1

2 2

3 3

4 4

5-6 5

7 6

8-9 7

10-11 8

12-14 9

15-16 10

17-20 11

21-23 12

# of Assets* Sample Size

24-27 13

28-33 14

34-39 15

40-46 16

47-56 17

57-69 18

70-87 19

88-113 20

114-154 21

155-232 22

233-242 23

>242 25

* 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, http://fimsinfo.doe.gov/data_validation.htm

Source Documents

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 Code Mission Dependency

Status Annual Operating Costs

Outgrant Indicator Annual Actual Maintenance

Excess Indicator Sustainability

Estimated Disposition Year Total No of Occupants

Using Organization Total No of Federal Employees

Asset % Utilized Total No of Contractor Employees

RPV Total Number of Other Personnel

Deferred Maintenance Meters

Source Document Update Frequencies (continued)

Source Documents are expected to be updated annually for the following:

Repair Needs GSA Notification Submitted (date)

Inspection Date GSA Notification Accepted (date)

Adjustment Cost Annual 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 email 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 % Utilized Sustainability

RPV Repair Needs

Deferred Maintenance Inspection Date

Annual Operating Cost Bridge 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 Emails printed with dates/To/From info and

attachments referenced by file name are acceptable For clarification purposes, printed email 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 http://fimsinfo.doe.gov/data_validation.htm

http://fimsinfo.doe.gov/data_validation.htm

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


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


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 email

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 Method Disposition Date value

8 – Federal Transfer Date of letter of transfer

10 – Demolished Date demolition is complete

17 – Other Disposition Archive 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 SaleSP – Public Sale

Deed date

TM – Early Termination/ Cancellation

Termination/Cancellation date

XP – Expiration/Cancellation Expiration/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 Method Disposition Date value

8 – Federal Transfer Date of letter of transfer

10 – Demolished Date demolition is complete

17 – Other Disposition Archive 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 SaleSP – Public Sale

Deed date

TM – Early Termination/ Cancellation

Termination/Cancellation date

XP – Expiration/Cancellation Expiration/Cancellation date

Disposition Method

Definition: The method in which the real property asset left the

Department’s inventory

8 – Federal Transfer HM – PBC – Historic Monuments

SH – PBC – Self-help Housing

10 - Demolished LW – PBC – Law Enforcement and Emergency Mgmt Response

SN – Negotiated Sale

17 – Other Disposition NS – PBC – Negotiated Sales to Public Agencies

SP – Public Sale

CF – PBC – Correctional Facility Use

PA – PBC – Public Airports TM – Early Termination/ Cancellation

HA – PBC – Homeless Assistance

PF – PBC – Port Facilities WC – 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)



8 – Federal Transfer HM – PBC – Historic Monuments SH – PBC – Self-help Housing

10 - Demolished LW – PBC – Law Enforcement and Emergency Mgmt Response

SN – Negotiated Sale

17 – Other Disposition NS – PBC – Negotiated Sales to Public Agencies

SP – Public Sale

CF – PBC – Correctional Facility Use PA – PBC – Public Airports TM – Early Termination/ Cancellation

HA – PBC – Homeless Assistance PF – PBC – Port Facilities WC – 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 Saleor

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)



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 report

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 1.586 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


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


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 ID Status

Property Name Primary Qty

Usage Code Desc Location Zip Code

Safety Inspection Date Year 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


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


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.


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



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



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


Sample FIMS #001 Owned Building Complete Information report

Red arrows identify items that can be verified on walkthroughs

Scorecarding

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

Score Green Yellow Red

Data ElementNo 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

FIMSScorecard

Status Score

PerformanceMeasures *

Remainder of Validated Elements

Notes

GreenAll 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 1st 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

http://fimsinfo.doe.gov/data_validation.htm 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

Score Green Red N/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 1st

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 15th and June 30th 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 email 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

facilities information management system data validation update for fy15 u.s. department of energy...

Documents

gsa sample

doe owned assets

gsa leased assets doe

archived records assets

sample size112233445

sample size24

performedone validation

sites doe leased buildings