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Director’s Report FRA Admin and Ops Review Pier Oddone, Fermilab August 3 rd, 2009.

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Presentation on theme: "Director’s Report FRA Admin and Ops Review Pier Oddone, Fermilab August 3 rd, 2009."— Presentation transcript:

1 Director’s Report FRA Admin and Ops Review Pier Oddone, Fermilab August 3 rd, 2009

2 Pier Oddone, FRA Admin and Ops Review, August 3rd, Outline Science program: progress since last year Strategy and briefings to new administration Operations:  IT restructuring  ES&H and Take Five Campaign  Cyber-security audit and Tune It Up Campaign  Implementation of IQA  Implementation of EVMS  Engineering Manual  Focus groups conclusions Budgets: FY09, FY10 and ARRA

3 Pier Oddone, FRA Admin and Ops Review, August 3rd, Progress: Tevatron

4 Continued vital collaborations with many results Achieved 1.8 fb -1, same as last year but in only 8.5 months Have made the case to run in FY11, provided additional funding of $27M compared to previous plan Pier Oddone, FRA Admin and Ops Review, August 3rd, 20094

5 55 Progress: Higgs at the Tevatron Sensitivity Projection (Region favored by M top, M W, … meas.s) Higgs Mass (GeV/C 2 )

6 Pier Oddone, FRA Admin and Ops Review, August 3rd, Progress: double Tevatron data Luminosity Performance and Projection We are here Real data for FY02-FY fb fb -1 Integrated luminosity (fb -1 ) FY04 FY05 FY06 FY07 FY08 FY09 FY10 FY11 ~12 fb -1 Data Analysis (~3 fb -1 ) ~100 Publications / Year ~60 Ph.D.s / Year 4-5 fb -1 Results Summer Conferences

7 Pier Oddone, FRA Admin and Ops Review, August 3rd, Progress: LHC

8 Pier Oddone, FRA Admin and Ops Review, August 3rd, Progress: LHC All magnets in the damaged sector are back in the tunnel New circuits and wiring for the quench protection system: quenches will be detected much earlier Two review committees: analysis and recommendations  Quench Protection System (half Fermilab members)  Overall Risk Many more “bad splices”, especially in copper-to-copper splices in interconnecting busbars (suggested by QPS review committee)

9 Pier Oddone, FRA Admin and Ops Review, August 3rd, Progress: LHC Additional sector (4-5) warming up: “to verify measurements at 80 K” – they check out Two more leaks in two cold sectors found and understood. Partial warming to fix them means ready for injection in mid- November at best Important for detectors to get some collision data at any energy Fermilab’s contributions recognized by Bertolucci at the Users Meeting, Rolf Heuer at the European Physical Society meeting

10 10 CMS Pier Oddone, FRA Admin and Ops Review, August 3rd, 2009

11 Progress: neutrinos Successful runs for both MINOS and MiniBooNE First results on electron appearance for MINOS No low energy excess in antineutrino running of MiniBooNE MINERVA first detectors taking data ArgoNeut first pictures Pier Oddone, FRA Admin and Ops Review, August 3rd,

12 Pier Oddone, FRA Admin and Ops Review, August 3rd, Progress: neutrinos Minos Far Detector

13 Progress: MiniBooNE Pier Oddone, FRA Admin and Ops Review, August 3rd, Approaching POT

14 Progress: MINOS Pier Oddone, FRA Admin and Ops Review, August 3rd,

15 Progress: MINOS e-appearance Pier Oddone, FRA Admin and Ops Review, August 3rd, With 3*10 20 POT

16 Progress: what is  13 ? Above: recent global fit to world data by Fogli et al. (arXiv: )  13 = 0 disfavored by ~2  Central value sin 2  13 = 0.02 or sin 2 2  13 = Pier Oddone, FRA Admin and Ops Review, August 3rd, 2009

17 Progress: NOvA groundbreaking Pier Oddone, FRA Admin and Ops Review, August 3rd,

18 Progress: NOvA groundbreaking Pier Oddone, FRA Admin and Ops Review, August 3rd,

19 Progress: NOvA groundbreaking Pier Oddone, FRA Admin and Ops Review, August 3rd,

20 The NOvA Collaboration at Argonne National Lab, 25 April Scientists and Engineers from 26 Institutions Argonne National Laboratory - University of Athens - California Institute of Technology - University of California, Los Angeles - Fermi National Accelerator Laboratory - Harvard University - Indiana University - Lebedev Physical Institute - Michigan State University - University of Minnesota, Duluth - University of Minnesota, Minneapolis - The Institute for Nuclear Research, Moscow - Technische Universität München, Munich - State University of New York, Stony Brook - Northwestern University - University of South Carolina, Columbia - Southern Methodist University - Stanford University - University of Tennessee - Texas A&M University - University of Texas, Austin - University of Texas, Dallas - Tufts University - University of Virginia, Charlottesville - The College of William and Mary - Wichita State University 20Pier Oddone, FRA Admin and Ops Review, August 3rd, 2009

21 NOvA is optimized for the detection of ν μ →ν e and ν μ →ν e oscillations NOvA is:  An upgrade of the NuMI beam intensity from 400 kW to 700 kW  A 14 kt “totally active” tracking liquid scintillator calorimeter sited 14 mrad off the NuMI beam axis at a distance of 810 km  A 215 ton near detector identical to the far detector sited 14 mrad off the NuMI beam axis at a distance of 1 km 2.5 GeV ν e + p →1.9 GeV e GeV p GeV π + 20 cm MIPs NOvA 21Pier Oddone, FRA Admin and Ops Review, August 3rd, 2009

22 MINERvA prototype takes data Pier Oddone, FRA Admin and Ops Review, August 3rd,

23 First ArgoNeut LAr TPC events Pier Oddone, FRA Admin and Ops Review, August 3rd,

24 Progress: all other fronts Particle astrophysics going well, both projects and new ideas. DES is on track Key strategy to develop beamline to Homestake and high intensity source at Fermilab recognized in DOE Will the funding be available over the next decade? Pier Oddone, FRA Admin and Ops Review, August 3rd,

25 Briefings to the new administration Two hour briefing to Undersecretary Koonin and Office of Science Director Brinkman on general laboratory planning in April One and half hour briefing to Director Brinkman last week specifically on the development of the neutrino program globally and at Fermilab We have made needs clear: now administration has to decide what roadmap Pier Oddone, FRA Admin and Ops Review, August 3rd,

26 Pier Oddone, FRA Admin and Ops Review, August 3rd, Ten-year plan at the three frontiers

27 Facilities and experiments Pier Oddone, FRA Admin and Ops Review, August 3rd, Tevatron LHC LHC upgrades Minos MiniBooNE NOvA MicroBooNE MINERvA LHC ILC or Muon Collider Now 2015 LHC ILC?? LBNE Mu2e Project X+LBNE Mu2e Factory P Auger DM Searches P Auger DM: scalable? DES JDEM DM searches JDEM Energy Intensity Cosmic

28 Additional facilities and experiments Pier Oddone, FRA Admin and Ops Review, August 3rd, G-2 Anti-hydrogen MiniBooNE II Now 2015 NuSOnG P-pbar Tev FT Holog. Noise 21 cm Axions P Auger North Energy Intensity Cosmic

29 Budgetary needs over the decade Pier Oddone, FRA Admin and Ops Review, August 3rd, US costs will decrease with International Contributions. National Needs Inflation Then Year $M

30 Operational issues  Many issues are taking a lot of attention:  IT restructuring  ES&H and Take Five Campaign  Cyber-security audit and Tune It Up Campaign  Implementation of IQA  Implementation of EVMS  Engineering Manual  Focus groups conclusions Pier Oddone, FRA Admin and Ops Review, August 3rd,

31 Pier Oddone, FRA Admin and Ops Review, August 3rd, Organization chart and changes Computing S&T Associate Director MIS

32 Operations: ES&H Concern over increase in injuries Pier Oddone, FRA Admin and Ops Review, August 3rd, 

33 Operations: ES&H Pier Oddone, FRA Admin and Ops Review, August 3rd, 

34 ES&H: “Take Five – Goal Zero” Started new laboratory wide campaign modeled on other institutions Take five minutes to plan how to do the work - take five seconds to think of what you are going to do and take five things to reflect on when the job is done Web page and tools to help do jobs safely Pier Oddone, FRA Admin and Ops Review, August 3rd,

35 ES&H: “Take Five – Goal Zero” Pier Oddone, FRA Admin and Ops Review, August 3rd,

36 Operations: cyber-security DOE audit revealed several lapses:  Open offices with computers on  System administrators ignoring system warnings  Sloppy PII procedures in some practices Overall grade: marginal Response: major effort to get better Pier Oddone, FRA Admin and Ops Review, August 3rd,

37 Cyber-security Tune IT Up! Campaign  Limit number of system administrators  Train remaining administrators  Implement more software controls Pier Oddone, FRA Admin and Ops Review, August 3rd,

38 Operations: IQA Pier Oddone, FRA Admin and Ops Review, August 3rd,

39 Operations: IQA Accepted IQA plan “As is” assessment completed Corrective Action Plan submitted Trying to fix main problems prior to Fall audit Pier Oddone, FRA Admin and Ops Review, August 3rd,

40 EVMS certification Certification review led to three corrective actions:  Tracking “uncosted” scientific effort through hours  Procedure for “management reserve”  Charging direct cost of exempt personnel (instead of fraction of FTEs) Pier Oddone, FRA Admin and Ops Review, August 3rd,

41 Engineering manual Following triplet failure and “root cause analysis”, established committee to write an engineering process manual. Final draft is nearly complete. It has been a very useful exercise and we have a product that will set the process and standards across the lab Pier Oddone, FRA Admin and Ops Review, August 3rd,

42 Pier Oddone, FRA Admin and Ops Review, August 3rd, Response to APS study Follow-up to findings of APS site visit in May focus groups, November through January 187 total participants Participants enthusiastic, open and constructive in their contributions

43 Pier Oddone, FRA Admin and Ops Review, August 3rd, Response to APS study Approach:  12 categories of employees and users  Random selection from whole population  Random selection from women and minorities  Neutral facilitator, all groups confidential  Detailed summaries of each group w/o attribution  All results posted on Web Important conclusions to improve various systems

44 Focus groups No systemic diversity issues But lots of management issues  No defined Fermilab culture  Two tier system: physicist and non-physicists  Unskilled managers  Lack of employee support  Lack of understanding of performance review and salary management  Policies and procedures not explained/understood  Inconsistent application of family-friendly policies Pier Oddone, FRA Admin and Ops Review, August 3rd,

45 Focus groups Held an “all-hands” meeting in June to discuss the various issues raised by the report All the information posted on the web. Supervisors encouraged to discuss both findings and summaries with their groups We will discuss broadly ideas to improve on the various issues raised and implement changes over the next year Pier Oddone, FRA Admin and Ops Review, August 3rd,

46 Pier Oddone, FRA Admin and Ops Review, August 3rd, FY09 budget

47 We had to live through March with very restrictive budgets due to the continuing resolution: $60M difference between FY08 enacted budget and President’s budget Then huge ramp up in activity due to regular budget (only $10M below the President’s request) and ARRA funding. Pier Oddone, FRA Admin and Ops Review, August 3rd,

48 Pier Oddone, FRA Admin and Ops Review, August 3rd, FY09 budget: ops & projects

49 FY10 budget On the surface it appears like a good budget at $398 M, about $20M higher than FY09 However, NOvA ramps up by about $30M and therefore the rest of the program is under stress The stress is ameliorated by managing carryover funds: $10M would be used in FY10 for a total budget of $408M Pier Oddone, FRA Admin and Ops Review, August 3rd,

50 FY11 budget We don’t know about the FY11 budget However, the distress exercises we do for OHEP indicates that budget guidance from OMB at this point is extremely tight – probably flat-flat for Office of Science Initial plans do not include running the Tevatron. OHEP is making the case for an additional $27M to run the Tevatron to Office of Science Pier Oddone, FRA Admin and Ops Review, August 3rd,

51 Pier Oddone, FRA Admin and Ops Review, August 3rd, ARRA status President signed $787B Bill 2/17  DOE share is $38.71B  SC share is $1.6B Secretary Chou announced $1.2B of SC projects 3/12

52 Pier Oddone, FRA Admin and Ops Review, August 3rd, ARRA status - FNAL Total Amount for Fermilab - $152.5M Projects  NOvA - $55M  At FNAL - $15M  At UMinn - $40M  General Plant Projects - $25M  SRF - $52.7M  LBNE - $15M  High Field Magnet- $4M  SRF Materials R&D – $0.8M

53 Pier Oddone, FRA Admin and Ops Review, August 3rd, ARRA status - FNAL Total Public Announced Amount - $31.9M  $31.9M – 3/23 Received as of 6/11  NOvA - $49.5M  FNAL - $9.4M on 5/15  UMinn - $40.1M  General Plant Projects - $22.5M on 5/15 Supposedly the rest of the funding has been released by the CFO and is working its way through the DOE system

54 Pier Oddone, FRA Admin and Ops Review, August 3rd, ARRA issues Hold Back 10-20% now supposedly solved Reporting Requirements  Fund must not be co-mingled  Little Guidance Beyond “Transparency”  Jobs Created and Retained Contract Requirements  New Access to Records requirements for subs implemented through new Contract clauses Job Creation and Retention  Very few if only prime contractor counted. Exact definition needed. DOE-SC weekly reports require subs data

55 Pier Oddone, FRA Admin and Ops Review, August 3rd, Fermilab ARRA implementation Formed ARRA task force 1/28 CFO formed reporting team Legal Prepared Special Clauses DOE modified contract with special ARRA Clauses – multiple times Legal briefed ARRA task force on Fraud, Waste, & Abuse concerns and issues Weekly DOE-SC, FSO and Lab telecon briefing

56 Further operational issues Restore NOvA project good to status by re- scheduling accelerator task. A severe optics problem, not a fundamental problem. Obtain EVMS certification Careful human resources planning: the system is too tight to get everything done that is on our plate IT overall architecture for the lab and many areas of improvement Pier Oddone, FRA Admin and Ops Review, August 3rd,

57 Further operational issues Restructuring below AD for Computing Science and Technology and AD for Research. Better alignment with strategic plan Improved financial planning and tracking. Held workshop with program managers to define structure. Should lead to better transparency and efficiency Pier Oddone, FRA Admin and Ops Review, August 3rd,

58 Pier Oddone, FRA Admin and Ops Review, August 3rd,

59 FRA VISITING COMMITTEE ADMIN AND OPS SUPPORT 3-5 AUGUST 2009 STATE OF LAB OPS/ADMIN SUPPORT Bruce Chrisman

60 60 Significant Lab Events ES&H Trend Reversal Diversity Council Active Diversity Focus Groups New Associate Director Appointed  Split in two  Greg Bock  Vicky White Created CIO position Moved MIS to CD New ES&H Head Appointed Chrisman

61 Significant Lab Events – Cont. TeV running in FY10, maybe FY11 Mission Readiness Draft “Admin” strategic plan Mid-Year DOE-FSO PEMP review  Overall Doing well  Noted the Safety Issues  Minor procurement paperwork concern ARRA Chrisman61

62 Committee’s 08 Crosscutting Recommendations Practice routine benchmarking to validate the effectiveness of Fermilab systems Little Progress Develop a formal space management program with well-defined roles and responsibilities to handle facilities in anticipation of mission readiness program Little Progress Begin strategic planning using various scenarios for Tevatron shutdown & DUSEL/Project X/NOvA/new efforts Fully Engaged with DOE-OHEP Chrisman62

63 Crosscutting Recommendations - Cont. Negotiate phased CD0 delivery dates with DOE Complete Develop formal succession planning program lab-wide Working with ANL on this – An FY10 PEMP item Increase ANL collaboration and move to the next level of cooperation and cost savings See above Joint Training – cost savings Section Presentations on other actions Chrisman63

64 Crosscutting Recommendations - Cont. Establish a Workforce Restoration Review Task Force to restore positions needed lab-wide Considered, but not implemented beyond OHAP. Chrisman64

65 Pier Oddone, FRA Admin and Ops Review, August 3rd,

66 FRA Visiting Committee for Administration and Operations Martha Michels Fermilab ES&H Section August 3, 2009 FRA Visiting Committee for Administration and Operations Martha Michels Fermilab ES&H Section August 3, 2009

67 Visiting Committee Findings 2009 FRA Visiting Committee - Finance Findings and Current Status  Fill the ES&H Section Head Position as soon as possible. It is important to find someone who is respected by Laboratory Management and the DOE Office of Science ES&H Community. Dr. Nancy Grossman was chosen to fill this position starting December 1, Her experience is: ES&H Section Radiation Physicist and the Section QA Coordinator. Many years in project management (MINOS, MINERvA, SNuMI, NOvA), focusing on ES&H, Document Control, QA, and Risk Management. Served on several Lehman Review Committees. Well respected by Laboratory Management, DOE ES&H Community and the Users at the Laboratory FRA Visiting Committee - ESH

68  100% of ES&H PM goals were met in This includes the TRC and DART rate goals which have always proven difficult to meet in the past.  It was predicted that sustaining this level of performance (for injury rates) would not be easy and this is certainly true at present.  On other PMs in environmental and radiation protection, we are doing well, but we will not meet the DART and TRC PM. 68 Charge Question #1 – Performance Measures 2009 FRA Visiting Committee - ESH

69  2009 values are higher than we would like, but they are in line with  We have tried to understand what caused 2008 to be such a “safe” year. A general thought is that fear of reprisal was a major reason.  We are working to improve our injury record by improving communication at all levels, making easier access to the correct tools for the job, providing clearer guidance on expectations – Take 5 web page and tools (http://www.fnal.gov/pub/takefive/) It is important to note that we are doing at least as well in 2009 as we did in 2008 on all other PM’s FRA Visiting Committee - ESH

70  We have suffered from a lack of IT resources for some time within the ES&H Section.  We are hopeful that the reorganization and consolidation of IT support services will greatly benefit us as we have many tools that need to be used lab- wide and thus a lab-wide approach to IT can only make our job easier.  We are working closely with CD to increase our IT support (they are presently our only IT support) and to make sure we are heading in a direction consistent with CD’s vision. 70 Charge Question #2 – IT Consolidation 2009 FRA Visiting Committee - ESH

71  ES&H needs to support the NEPA process for ARRA funds and we have done that successfully to date and feel we are equipped to continue to provide that support.  ES&H also needs to appropriately review ARRA projects and provide oversight. We have hired a new employee in order to allow us to have the resources to appropriately perform that task FRA Visiting Committee - ESH Charge Question #3 – ARRA Funds

72  We have a QA Representative who interacts with OQBMP and keeps the Section Head informed  ES&H Section representation on Assurance Council  We were the main aspect of the DOE/FSO Contractor Assurance (Order 226) Review in 2009 (CAP finalized)  Nearly all of our QA “As-Is” issues are closed out. They were items that improved our overall program (most concerned document control) FRA Visiting Committee - ESH Charge Question #4 – QA Implementation

73  All items in the Issues Management System assigned to ES&H are closed out  We have continued to work with OQBMP on the Dashboard which we look forward to seeing as it will communicate ESH to the lab in a new manner  We have defined out major processes, are defining our 3 year review cycle of these processes and are looking to better document all of our processes – these efforts should improve the efficiency of our section FRA Visiting Committee - ESH Charge Question #4 – QA Implementation (continued)

74 We have a section member as part of the Strategic Laboratory Leadership Program (SLLP) working closely with ANL, who also has people in this program. Division Management  The respective division managers interact primarily via phone and .  Nancy Grossman visited Argonne in March and shared lesson’s learned and approaches to various ES&H issues FRA Visiting Committee - ESH Charge Question #5 – Interaction with Argonne

75 Division Management (con’t)  We have shared information/procedures relative to key current events; a recent example is preparedness activities related to the potential H1N1 flu pandemic.  We also participate in monthly conference calls for all DOE-SC laboratory ESH Managers. Specific Department Interactions  We collaborated repeatedly on the NOVA neutrino detector with respect to chemical and fire issues; this is ongoing and is one of the key interactions that has had direct ties to programmatic work at both laboratories FRA Visiting Committee - ESH Charge Question #5 – Interaction with Argonne (continued)

76 Specific Department Interactions (con’t)  Environmental management activities to include assessments, sampling protocols, and ISO certification  Radiation safety activities to include multiple assessments, site visits, accelerator safety, and instrument calibration.  Helped ANL achieve their DOELAP re-accreditation for the dosimetry program.  We participate in ANL’s Accelerator Safety Review Committee.  Fermilab will participate in the CARIBU (an upgrade to the Argonne Tandem Linear Accelerator System) readiness review at ANL in August.  Ongoing, frequent informal contacts FRA Visiting Committee - ESH Charge Question #5 – Interaction with Argonne (continued)

77 Future plans  ANL ESQ to visit ANL – training/injury focus  Goal to meet face to face 3 times a year.  Looking to share injury information over the internet.  Continue to work together on joint training classes – offer at one or the other site and invite people from both sites (NEPA/EA, Dupont Training)  Emergency Response – MOU nearly complete – easy access to ANL site by FNAL personnel the remaining issue FRA Visiting Committee - ESH Charge Question #5 – Interaction with Argonne (continued)

78  Considering changing our worker’s compensation insurance to a local company (Better service? Cheaper?)  Can not cut personnel any more without cutting key services or missing some number of high level deadlines!  Main focus is on improving efficiency through our reorganization, cross training personnel, documenting processes clearly, providing easier access to tools/training to perform the work, and setting up the ESH-Docdb to facilitate this.  Many of our systems we are trying to make more user- friendly lab-wide and thus should improve overall lab efficiency and hopefully the safety record also.  ESHTRK, Lesson’s Learned, Training, ESH & Take 5 Web pages, etc FRA Visiting Committee - ESH Charge Question #6 – Cost Reduction

79  Worked with the D/S/C ESH organizations to:  Set up the Take 5 Program and web pages  Get feedback on how to improve our ESH Web page (in progress)  Provide supplemental ES&H Material at Scheduling meetings to help inform/educate D/S/C heads about a variety of ES&H issues.  Regular meetings with SSO’s, EO’s, RSO’s, D/S Heads – encouraging team work, better communication, feedback in a “no-fault” manner – both ways. Our discussions with people in general seem to say we (ESH Organization) are doing well in this effort FRA Visiting Committee - ESH Charge Question #7 – Service Culture

80  Have been having on-going discussions with the ES&H Section management team concerning succession planning  Have a rough plan, but to do it efficiently it requires increased head count and money in order for people to overlap and be trained.  Annual performance reviews of all Section employees are held by management team and succession planning discussion is part of that process  Staff development issues are identified; opportunities for growth and leadership identified and included in individual performance evaluations/goals FRA Visiting Committee - ESH Charge Question #8 – Succession Planning

81 Pier Oddone, FRA Admin and Ops Review, August 3rd,

82 FRA Visiting Committee for Administration and Operations Randy Ortgiesen Facilities Engineering Services Section (FESS) August 3, 2009

83 Visiting Committee Recommendations Recommendations and Current Status FESS participating in Tevatron decommissioning plans√ FESS involved in planning for new science √ Ongoing education of lab personnel on DP-18 √ Providing feedback on completed work orders √ Working with Divisions to budget equipment √ Evaluated funding mechanisms for infrastructure √ Continue matching staffing to current needs √ No findings 2009 FRA Visiting Committee - FESS

84 Charge Question #1 – Performance Measures FY08 Performance Results: All 8 performance measures achieved  Scheduled maintenance √  Maintenance investment level √  Achieve GPP milestones √  TEAM executable plan developed √  GPP projects identified in Annual Lab Plan √  Electricity reliability √  Industrial Cooling Water (ICW) reliability √  Future funding for Infrastructure identified √ 2009 FRA Visiting Committee - FESS84

85 Charge Question #1 – Performance Measures (cont.) FY09 Performance Results to Date: Expect to meet all seven performance measures  Scheduled maintenance  Mission Readiness process  Achieve GPP milestones  Achieve TEAM executable plan actions  GPP projects identified in Annual Lab Plan  Electrical reliability  Industrial Cooling Water reliability 2009 FRA Visiting Committee - FESS85

86 Charge Question #2 – IT Consolidation Transparent to most FESS employees so far FESS Technical support has absorbed impact  Characterized as minimal effort to date Work tracking through CD but performed by FESS employees Processes are becoming more streamlined; FESS and CD are working closely to make this work FESS IT coordination with CD to understand work requirements for ISO FRA Visiting Committee - FESS86

87 Charge Question #3 – ARRA Funds Engineering and Construction Management for General Plant Projects (GPP)  MI-8 building addition  New Muon Lab extension  Feynman Computing Center Power upgrade  Feynman Computing Center Cooling Upgrade  Wilson Hall Emergency Generator Replacement  IB-3 building addition (10% GPP hold back)  Horizontal Test Stand and Cryogenic building (SRF project GPP) 2009 FRA Visiting Committee - FESS87

88 Charge Question #3 – ARRA Funds (cont.) Management of funds:  Uses well established existing lab GPP procedures  Bi-weekly management status meetings  Weekly project update meetings  Weekly ARRA budget reporting  Quarterly GPP reports All projects have separate accounting tasks All projects captured in lab accounting system 2009 FRA Visiting Committee - FESS88

89 Charge Question #4 – QA Implementation Section Head member of lab Assurance Council FESS participant in lab IQA plan development Assigned half time FESS QAR Examined FESS major processes Completed As-Is analysis of 5 major processes and 8 cross-cutting processes Developed 6 corrective action plans Developed FESS policies and procedures manual It is an integration effort that will take time 2009 FRA Visiting Committee - FESS89

90 Charge Question #5 – Interaction with Argonne Existing:  Shared resources for project reviews  National Environmental Research Park (NERP) collaboration  Land Management collaboration/best practices  Janitorial contract process review  Mission Readiness peer review participation Planned:  Continuation of existing  Utility management information sharing  Energy Savings Performance Contract direction 2009 FRA Visiting Committee - FESS90

91 Charge Question #6 – Cost Reduction Energy Savings Performance Contract (ESPC) Energy purchase strategies Public utility easement management Building automation and monitoring Reliability Centered Maintenance (RCM) Outsourcing HVAC services Cost Reduction is not a net cost savings  Redirected to unfunded or unplanned requirements 2009 FRA Visiting Committee - FESS91

92 Charge Question #6 – Cost Reduction (cont.) Future plans  Building consolidation and elimination strategies  Continue existing initiatives Lessons Learned from workforce reduction  Communication improvements to limit anxiety and loss of good employees  Need for education on value of FESS engineering  Single shift craft work can be successfully accomplished 2009 FRA Visiting Committee - FESS92

93 Charge Question #7 – Service Culture Communicate  Listen  Feedback  Customer and Topic Specific Meetings  Division and Section Meetings Coordinate  Critical Activity Planning and Scheduling Meetings Educate  Face to Face meetings  FESS website P/S Group  Daily Schedules and e-forms 2009 FRA Visiting Committee - FESS93

94 Charge Question #7 – Service Culture (cont.) Future plans  Continue existing activities  GIS expansion and offering  Metasys expansion and offering 2009 FRA Visiting Committee - FESS94

95 Charge Question #8 – Succession Planning Ensured “Continuity of Operations” Created and filled Deputy Section Head position Identified vulnerable positions Anticipate attrition and outcomes Recruited and hired senior engineers to meet current workload and backfill anticipated positions as needed Retention of current critical workforce  Workload balancing through hires and contracts 2009 FRA Visiting Committee - FESS95

96 Pier Oddone, FRA Admin and Ops Review, August 3rd,

97 FRA Administrative Visiting Committee OQBP Activities August 3, 2009 Bob Grant OQBP

98 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review Office of Quality and Best Practices EG&G Personnel 98

99 OQBP Briefing – August 3, FRA Administrative and Support Review Jed Heyes QA Mgr Kurt Mohr QAE Tom King QAE Tom Gehrke QAE Ed Vokoun Logistics Mgr Facilitator Gary Bentley QAE Gary Lamm QAE Jim McDonald QAE Robert Wilson QAE

100 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review Office of Quality and Best Practices Laboratory Personnel 100

101 OQBP Briefing – August 3, FRA Administrative and Support Review Bakul Banerjee CD Frank Cesarano BSS Nicole Gee WDRS Tim Miller ES&H Jim Rife TD Don Rhode AD Kieth Schuh PPD Rod Walton FESS Jim Wollwert FI

102 OQBP Briefing – August 3,  QARs Regularly Scheduled Meetings  Defining Fermilab Processes High Level Complete Next Level Under Development Finished Product = Hierarchal View of Fermilab Processes  2006 DOE QA Audit Review Review Findings and D/S/C response V & V POA for Each D/S/C  September 2009 DOE QA Audit FRA Administrative and Support Review

103 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  FY2008 Accomplishments  Staffed QA Engineers to support QA implementation  Revise SBIR/WFO/CRADA Process  Pressure Vessel Coding and Design Review (i.e., assist with a design review for a device being provided to a laboratory outside of Fermi)  Draft Engineering Manual development  Wrote IQA implementation plan and schedule Revised IQA and modified implementation plans and schedules (several iterations) to meet financial, time, and scoping constraints identified by the Fermilab Director and DOE Site Office 103

104 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  FY2008 Accomplishments (cont.)  Completed NOvA Environmental Assessment with a “Finding of no significant impact” (FONSI)  Assisted Fermilab MIS with development of the prototype Dashboard  Developed the Fermilab Integrated Contractor Assessment Plan (FICAP)  Wrote FICAP implementation plan and schedule  Provided an expert to review final EVMS documents to be used in the Fermilab EVMS certification effort and to advise on how to proceed 104

105 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  FY2008 Accomplishments (cont.)  Developed QA Baseline As-Is tool to record and archive process information, link to implementing documentation, and establish whether the associated process controls meet current requirements  Developed Suspect/Counterfeit Item system  Developed Graded Approach process 105

106 OQBP Briefing – August 3, FRA Administrative and Support Review  FY2008 Administrative Peer Review  Recommendations  Develop a QA plan that meets threshold compliance requirements for DOE O 414.1C NOW  Plan should build on and not replace the 90% effort being performed correctly currently  Find a common terminology and develop a collaborative culture between Quality professionals and laboratory staff  Phase in comprehensive plan once threshold compliance has been achieved  Do not field a QA program that relies primarily on assessments and negative input  Expand OQBP services to include process improvements

107 OQBP Briefing – August 3, FRA Administrative and Support Review  FY2008 Administrative Peer Review  Findings  FRA is not compliant with the terms of the M&O contract and DOE orders 414.1C and 226.1A. This must be remedied as soon as possible or run the risk of forfeiting fee or contract extension

108 OQBP Briefing – August 3, FRA Administrative and Support Review

109 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  FY2009 Accomplishments to Date  Identified and trained D/S/Cs QA Representatives in QA processes and audits Augmented QA staff to perform assessments Arranged for an expert from the American Society for Quality (ASQ) to provide audit training Arranged for an expert to provide conflict management training  Planned, executed, and reported on the QA baseline activity to develop a snapshot of the level of QA compliance 109

110 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  FY2009 Accomplishments to date (cont.)  Developed the Consolidated Assessment Plan and procedures integrating Fermilab assessments  Developed Corrective Action/Preventive Action program  Staffed project controls and engineering personnel to assist Fermilab with new project implementation  Developed Graded Approach system tool to record and archive application of quality controls to process risk 110

111 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  All OQBP metrics are on schedule for the FY09 PEMP (Q1)  Measure By the end of this performance period, demonstrate implementation of an approved Fermilab Integrated Quality Assurance Program (IQAP) and effective compliance with DOE Order 414.1C, Quality Assurance.  Target Complete the lab-wide “As-Is” quality assurance baseline activity (gap analysis) and the resultant Corrective Action Plan on an approved schedule.  Target Appoint, train, and activate Quality Assurance Representatives to support the implementation of the Quality Assurance Program and work toward full compliance with DOE Order 414.1C under the approved IQAP and graded approach. 111

112 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  Effects of IT Re-organization (Q2)  Management Dashboard project no longer associated with OQBP  All work on the project terminated February 2009  EG&G resource supporting project re-assigned 112

113 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  ARRA Funding (Q3)  OQBP has no involvement in this activity 113

114 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  IQA Plan Implementation (Q4)  Implementation Plan (Pier Letter to DOE)  Project Schedule Significant Milestones  Staffing Plan Current Activities  Document Development  Automated Tool Development  AS-Is Assessment  DOE Relationship  DOE QA Audit (Sept. 14, 2009) 114

115 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review Letter to DOE August 15,

116 OQBP Briefing – August 3, FRA Administrative and Support Review Resource commitment from the Laboratory Director to DOE

117 OQBP Briefing – August 3,  Director’s letter to Dr. Joanna Livengood, DOE Site Mgr, dated 8/15/08 – Application of IQA  Programmatic, site-wide processes (procurement, engineering etc)  TD & PPD first in-depth application  New Science projects and their support processes  Remaining D/S/C two at a time after TD & PPD implemented In the meantime participate in site-wide implementation plans/procedures, process improvements, and address outstanding issues from the CAP  Process changes to be reflected in updates to the CAP FRA Administrative and Support Review Resource commitment from the Laboratory Director to DOE

118 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review IQA Project Schedule 118

119 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review 119

120 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review Staffing Plan 120

121 OQBP Briefing – August 3, 2009  Staffing  Increasing QOBP Staff  Two additional QAEs Based on Director’s Implementation Approach –QAE Support for TD & PPD (staffed) –QAE Support – Scientific Projects (staffed) –QAE Support CD & Operations (hiring) –QAE Support AD & ES&H (planned) FRA Administrative and Support Review 121

122 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  OQBP Support Staff  Eight on site and two openings  Staff Augmentation (other areas)  Ten on site and three openings 122

123 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review Document Development 123

124 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review LineDocumentStatusResponsible Party 1Fermilab Assessments ManualDraft Under ReviewOQBP 2Fermilab Corrective & Preventive Action ProcedurePublishedOQBP 3Fermilab Design and Engineering Processes ManualIn ProcessPier Oddone 4Graded Approach ProcedurePublishedOQBP 5Issues Management System ProcedureIn Process – CA ProjectOQBP 6Lessons Learned ProgramIn Process – CA ProjectOQBP 7Management Review ProcedureFirst Draft – CA ProjectOQBP 8Records Management Policies and ProceduresIn Process – COO ProjectCOO 9Root Cause Analysis ProcedurePlanned – QA ProjectOQBP/SME 10Strategic PlanningOpenDirectorate 11Suspect/Counterfeit Items ProgramIn Use – Procedures ready for final reviewOQBP/SITE 12Worker FeedbackImplementedWDRS 13Quality Guidelines for Scientific Research at FermilabIn Final ReviewResearch Program Manager 14Director’s Policy on Scientific ResearchIn Final ReviewOQBP 15Fermilab Integrated Contractor Assurance ProgramApprovedOQBP 124

125 OQBP Briefing – August 3,  Mandated by DOE O 414.1C in prime contract  ANSI/ASQ Z1.13  DOE requires a consensus standard  3 Choices – NQA-1 ISO-9000 ANSI/ASQ Z1.13  2 not appropriate to Fermilab  Fermilab selected ANSI/ASQ Z1.13 FRA Administrative and Support Review Why Did We Select a Consensus Standard

126 OQBP Briefing – August 3,  ANSI/ASQ Z1.13 allows a graded approach to various levels of research conducted at Fermilab:  Experiments of varying size and complexity  Theoretical Explorations in Physics  Development of Other Supporting Technologies (e.g. accelerator elements and systems, cryogenics, material science, detector development, computing, etc.)  ANSI/ASQ Z1.13 viewable at 13.pdf FRA Administrative and Support Review Why choose ANSI/ASQ Z1.13?

127 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review Automated Tool Development 127

128 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review As-Is Data Collection Tool Screen Shot 128

129 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review As-Is Data Collection Tool Screen Shot 129

130 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review As-Is Data Collection Tool Screen Shot 130

131 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review As-Is Data Collection Tool Screen Shot 131

132 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review “As-Is” Assessment 132

133 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review 133

134 OQBP Briefing – August 3, FRA Administrative and Support Review

135 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review 135

136 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  As-Is Status – Where Are We?  As-Is implementation field work 100% complete 4/30/09  Cleanup mode  Corrective Actions reviewed, approved, OQBP concurrence  CAP implementation in progress 136

137 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review 137

138 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  As-Is Baseline Reports Completed  CAP Report Approved by Director, Delivered to FSO 6/15/09  D/S/C Reports To Be Routed to Heads  Final Report Review Complete, To Be Delivered to Director Executive Summary & Conclusions Detailed Summary & Conclusions with % Yes, No, N/A on Controls Detailed Analysis of 2006 QA Review Status Detailed Analysis for Four Risk Areas (Documents/Records, M&TE, Qualification & Training, Item Control) Detailed D/S/C Reports 138

139 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  Results & Conclusions (81 pages, w Tables, Charts, Appendices)  Overall Many Requirements of IQA & FICAP Are Met (70% + ) (formally or informally – effectiveness not judged)  CAPs Initiated for GAPs Between As-Is and Expected Controls (includes “To Be” see earlier As-Is Baseline Corrective Action Report)  Four Risk Areas Reviewed: Documents & Records Item Control M&TE Qualification & Training  2006 DOE QA Program Assessment Less Than Adequate Total 26, Closed 21, In Process 5 139

140 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review 140 Yes = Applicable & Implemented No = Applicable Not Fully Implemented

141 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review 141

142 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  Results & Conclusions  Four Risk Areas: Documents & Records – (DP# 1 & 13) Inconsistent, ~ 50% of CAPs (includes elevated CAPs on Policies), different kinds & levels of controls, requirements awareness, & flowdown issues Item Control – (Work Processes, Inspection/Test, S/CI) Properly applied most processes, ProCard for shackles allowed? ~1% of CAPs M&TE – (Work Processes, Inspection/Test) No single division or group has a comprehensive program, inconsistent awareness ~ 9% of CAPs (includes elevated CAP) Qualification & Training – Open 2006 findings; current worker’s retirements, & subsequent knowledge loss are concerns ~ 14% of CAPs (includes elevated CAPs) 142

143 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  Corrective Action Plan Report to DOE 6/15/09  “As-Is” Full Final Report Complete  D/S/C individual reports  Site-wide roll-up  Review and reconciliation of DOE 2006 QA Audit  Report on four risk areas Document Control Training Item Control M&TE 143

144 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  AC attention required to abate systemic risk posed by site-wide issues  Elevated CAP process  QARs/QAEs reviewed all CAPs; propose elevation  CAP temporarily assigned to OQBP as AC Secretary  CAP brought to AC through the Chair Chair decides whether they warrant AC attention Chair assigns responsible organization and person  Chair brings CAPs to AC for concurrence with assigned actions OQBP places in IMS for tracking 144

145 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review DOE Relationship Typical Briefing 145

146 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  Briefing Content  Review of previous brief  Status of current milestones  Discussion of any issues  Consensus for resolution  Scheduled activities  Schedule for briefing  Every 60 – 90 days 146 Typical Slide

147 OQBP Briefing – August 3,  QA implementation is on-schedule  Staffing  OQBP QA Engineers (QAEs) Hired Mid-Sept  D/S/C QA Representatives (QARs) Selected Mid-Oct  Ad Hoc QAEs on-board Dec-Jan FRA Administrative and Support Review Typical Slide

148 OQBP Briefing – August 3, 2009  Training  QAEs oriented Sept – Oct  QARs oriented Oct – Nov DOE Orders DOE Implementation Guides Integrated Quality Assurance Plan Contractor Assurance Plan Graded Approach ASQ-Provided Assessment Training FRA Administrative and Support Review 148 Typical Slide

149 OQBP Briefing – August 3, 2009  QARs Regularly Scheduled Meetings  Detailed Planning for Next Major Event – As-Is Baseline  Defining Fermilab Processes High Level Complete Next Level Under Development Finished Product = Hierarchal View of Fermilab Processes  2006 DOE QA Audit Review Review Findings and D/S/C response V & V POA for Each D/S/C FRA Administrative and Support Review 149 Typical Slide

150 OQBP Briefing – August 3,  Key Dates:  Nov – Quality Audits for Improved Performance Course  Jan 09 – As-Is Preparation  Feb – Apr 09 – As-Is Baseline Activity  May 09 – Corrective Action Plan to Close Gaps  Sept 09 – DOE QA Program Review  Oct 09 – Internal Assessments FRA Administrative and Support Review Schedule Typical Slide

151 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review QA Schedule CAP Report Apr09 Jul09 Oct09 Jan10 Apr10 Jul10 Oct10 Jan11 Apr11 Jul11 Oct11 Jan11 CAP Closure Build DOE O 414.1c Self-Assessment Program Build Consolidated Assessment & CAPA Program QAR/QAE Orientation Assessment Program (1 st Assessment 8/09) Begin Continuous Improvement Process Automate Graded Approach from As-Is System Prototype Automated Graded Approach Tool and Test Startup Graded Approach Process Root Cause Analysis Training S/CI Program Establish Lessons Learned Program Implement Lessons Learned Program 151 Typical Slide

152 OQBP Briefing – August 3, 2009  Key Dates:  6/15/09 - CAP Report  On-Going - CAP Closure  6/09 – 8/09 - Build DOE O 414.1c Self-Assessment Program  6/09 – 8/09 - Build Consolidated Assessment and CAPA Program  6/30 - QAR/QAE Orientation  8/09 - Assessment Program (1 st assessment – 8/09; ongoing thereafter)  8/09 - Begin Continuous Improvement Process  6/09 – 8/09 - Automate Graded Approach from As-Is System  9/09 – 10/09 - Prototype Automated Graded Approach Tool and Test  11/09 - Startup Graded Approach Process  2/10 - Root Cause Analysis Training  On-Going - S/CI Program  6/09 – 9/09 - Establish Lessons Learned Program  9/09 - Implement Lessons Learned Program FRA Administrative and Support Review QA Schedule 152 Typical Slide

153 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review DOE QA Audit

154 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  Schedule  Document Call August 17, 2009  Preliminary Planning Meeting August 18, 2009  On-Site Audit Activities September 14 – 17,

155 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review Response to 2006 QA Audit 155

156 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review 2006 DOE QA Program Assessment – *Status By Criteria 156 * Open Items in process, some may be completed

157 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review Argonne Interactions 157

158 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  Interactions with Argonne National Laboratory (Q5)  Few occurrences Several attempts – mostly unsuccessful Limited to Dashboard Project in past No current activities underway 158

159 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review Cost Reduction 159

160 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  Actions to Reduce Cost (Q6)  All OQBP QA work is done by a subcontractor  Use of ad-hoc committees for special projects 160

161 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review Service Culture 161

162 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  Establishment of a Service Culture (Q7)  Communication  Continual offers of help Internal consulting services  Posters  Management Presentations 162

163 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review Succession Planning 163

164 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review  How is succession planning addressed? (Q8)  Not addressed in the plan at this time 164

165 OQBP Briefing – August 3, 2009 FRA Administrative and Support Review Questions? 165

166 Pier Oddone, FRA Admin and Ops Review, August 3rd,

167 FRA Visiting Committee for Administration and Operations Cindy Conger, CFO Fermilab Finance Section August 3, 2009

168 Visiting Committee Recommendations Recommendations and Current Status  Restore positions to enable FI section to meet charge as well as complete planned and endorsed initiatives - one of two Accounting positions restored; one MIS position restored before consolidation with CD.  Establish a Workforce Restoration Review Task Force to restore positions needed lab-wide – BLC addressed  Investigate more serious collaboration with ANL to consolidate activities that could bring cost savings and increased efficiency for both labs – still looking 2009 FRA Visiting Committee - Finance

169 Visiting Committee Findings Findings and Current Status  FI section/personnel operating at minimum sustainable level, and this section needs attention for progress on important initiatives. Any additional assignment to the section brings the risk of failure to carry out core activities. - as discussed under Recommendations  There is considerable redundancy and duplication of effort in the computing and IT systems lab-wide. Enlist external evaluator to make plan for consolidation of these systems to eliminate redundancy, which will result in savings in the cost of operation. – consolidation of MIS into CD, no external evaluator 2009 FRA Visiting Committee - Finance

170 Charge Question #1 – Performance Measures FY08 Performance Results:  Finance received a B+ on Objective 6.1 – “Provide an Efficient, Effective, and Responsive Financial Management System.” All 4 measures were met and no deficiencies were cited in the DOE narrative.  Objective 6.4 – “Provide Efficient, Effective, and Responsive Management Systems for Internal Audit and Oversight; Quality; Information Management; and Other Administrative Support Services as Appropriate” received a grade of B. Contributing to this low grade was the delay in completing the FTL project according to schedule due to furloughs and staff reduction.  Consolidation of MIS into Computing Division transferred responsibility for the project to the CIO in 2QFY09. The project has been reviewed and a new plan for completing the implementation has been prepared FRA Visiting Committee - Finance170

171 Charge Question #1 – Performance Measures (cont.) FY09 Performance Results to Date:  Finance met all performance measures under Objective 6.1 – “Provide an Efficient, Effective, and Responsive Financial Management System.” at the DOE Mid-Year Evaluation.  On-time vendor payment exceeded the target goal, and DOE cited it as a “Notable Observation/Positive Outcome” for Goal 6.0 in the report.  No Finance issues were cited in the “Concerns/Watch List Items” for Goal 6.0 in the report.  Finance expects to meet all performance measures and to exceed the on-time vendor payment target in FY FRA Visiting Committee - Finance171

172 Charge Question #2 – IT Consolidation Impacts to Finance of move of MIS to CD:  Internal control concerns: Major change to a group integral to the Laboratory’s internal controls over financial information requires increased scrutiny to assure that controls remain well-designed and effective.  CFO meets at least biweekly with CIO to discuss the effects of organizational, process, and system changes on the control environment.  Four-month delay in go-live date for PPD  CD-MIS resource constraints has slowed some response times for service but mostly fully supported  Transfer of 26 employees and $5.6M budget 2009 FRA Visiting Committee - Finance172

173 Charge Question #2 – IT Consolidation (cont.) Benefits anticipated from move of MIS to CD:  Additional resources available to move forward many priorities for improved effectiveness and efficiency of financial operations:  Completion of FTL implementation  Labwide budgeting tool  Labor planning tool (may be part of budgeting tool)  Travel reservation and settlement system(s)  Electronic invoice approval system  Conversion to SGL-based chart of accounts 2009 FRA Visiting Committee - Finance173

174 Charge Question #3 – ARRA Funds Issues for Finance related to ARRA funds  Segregation of funds  Budget Office controls set-up of separate projects and tasks for RA funds – easy to do in our system  Required some system changes for STARS feed  Reporting requirements  Weekly to DOE – began in May  Many questions at startup but smooth now  Concerns: Reporting jobs created and retained at subcontractor level; future increase in # of projects  Quarterly to OMB – to begin QE September 30 th, due October 10 th. Jobs only at prime level – will be small #.  Will handle with no additional staff; not expected to significantly affect delivery on Finance mission work 2009 FRA Visiting Committee - Finance174

175 Charge Question #4 – QA Implementation Finance has participated fully in the implementation of the QA program. Three processes were selected for testing in the as-is review. Selected processes were tested on time and Corrective Action Plans have been developed. Most of Finance’s significant processes are documented and routinely tested as part of the A-123 assessment process FRA Visiting Committee - Finance175

176 Charge Question #5 – Interaction with Argonne Respective COOs and CFOs meet together every 6 weeks or so to discuss problems and identify ways we can help each other. CFOs serve together on FMSIC Council and are members of SC CFO group as well as the DOE CFO’s newly-formed Lab CFO group. Second Finance staff person is participating in SLLP program As noted earlier in discussing last year’s recommendations, we are still looking for ways the labs can collaborate in the Finance arena FRA Visiting Committee - Finance176

177 Charge Question #6 – Cost Reduction Key right now is cost avoidance – trying to accomplish additional work with current staff.  ARRA funds management and reporting  Increasing level of non-DOE sources of funding  Increased OHEP reviews and data calls  Quarterly budgeting and stepped-up monitoring processes IT consolidation should help eventually  Significant savings/cost reductions in Finance have generally come from IT investments 2009 FRA Visiting Committee - Finance177

178 Charge Question #6 – Cost Reduction (cont.) Looking at employee suggestions that could yield some savings:  Reduce paper (e.g. stop distributing pay stubs) Some progress in this area in Accounting  Pay non-exempt employees bi-weekly rather than weekly Workforce reduction lessons learned  Customer service in Travel suffers considerably with one less clerk in Accounting  Administering a furlough program consumes significant resources  Cannot reduce workforce any further without core mission work at risk 2009 FRA Visiting Committee - Finance178

179 Charge Question #7 – Service Culture Accounting Department has recently added Customer Service as agenda item to all department staff meetings Long-standing goal in Payroll to answer all questions within 24 hours Long-standing goal in Travel to keep voucher backlog to 2 weeks or less Grants & Contracts manager holds PIs’ hands through grant process Open-door policy across Section for “customer” visits 2009 FRA Visiting Committee - Finance179

180 Charge Question #8 – Succession Planning CFO formed “Executive Financial Manager” group of senior financial managers across lab  Major driver for forming group is to look at the financial community as a whole to identify top performers and provide appropriate promotion and development opportunities  Subgroup currently working on review/rework of Budget job family Deputy Lab Financial Planning Manager (Budget Officer) position created in 2007; long-standing deputy position in Accounting Seven CPAs in Finance; several others at lab. Succession planning more challenging in leanly-staffed organizations 2009 FRA Visiting Committee - Finance180

181 Pier Oddone, FRA Admin and Ops Review, August 3rd,

182 FRA Visiting Committee for Administration and Operations David Carlson Head, Business Services Section August 3, 2009

183 Visiting Committee Recommendations 1) Aggressively pursue advance acquisition planning for new projects – Doing this.  Procurement is welcomed by project managers.  Procurement 101.  Cycle time presentation.  Attending PMG’s.  Specific staff assigned to all projects in FY10, some already. 2) Proactively address succession planning  See Charge Question # FRA Visiting Committee – Business Services

184 Visiting Committee Recommendations 3) Continue to explore cost reduction opportunities  See Charge Question #6 4) Continue to implement travel management improvement initiatives  Great progress – new Travel website up and running  Online Travel Authorization/Voucher implemented (ref: last year’s report) 2009 FRA Visiting Committee – Business Services

185 #1 – Performance Measures – FY08 Results Objective 6.1 – Provide an Efficient, Effective and Responsive Acquisition and Property Management System(s) Grade A-  Property: “The Property function at the Laboratory is conducted in an effective and efficient manner … DOE performance expectations for FY2008 were exceeded.”  Procurement: “DOE performance expectations for FY2008 were exceeded.” DOE re-approved the Procurement System for 3 years Objectives 8.3 & 8.4 (BSS partially responsible) – Sensitive Property (B+) & Information (B)  Security: Property Protection Areas access and wearing of badges. “Compliance in FY2008 was 98.8%, exceeding expectations.”  Security: Support smooth transition of the current security contract to the new DOE-managed small business contractor. “The Laboratory had some success in facilitating the transition…”  Property: Protection of sensitive and technology transfer information and export control items. “Effective, slightly exceeds expectations.” FRA Visiting Committee – Business Services

186 #1 – Performance Measures – FY09 Status – Procurement BSC score 90 out of 100. OK. 92, (94-96?) – Documents for Site Office review and/or approval are complete, of a high quality and contain no critical issues. OK – Process improvements in two procurement areas. OK – Property BSC score 90 out of 100. OK. (99?) – Resolve concerns/issues identified as a result of DOE’s oversight and/or internal self-assessment of Fleet Management. OK – Vehicle Management reporting procedures are effectively implemented and data submitted to DOE is accurate, complete and timely. OK – Property Protection Areas access and wearing of badges. OK –Effective support toward the management of DOE’s prime security contract. OK. Met w/ DOE & TPS; Meeting w/ DOE re: FY – Protection of sensitive and technology transfer information or export control items. OK. DOE S&S Survey (3/09) gave highest rating category, no Findings FRA Visiting Committee – Business Services

187 #2 – IT Consolidation BSS continues to receive an adequate level of support for its core business systems (Oracle eBS, ProCard, Sunflower) and desktops.  Prior to, and since the reorganization until the last few weeks, support generally came from two familiar sources: 1) BSSHELPDESK and contacts from the transferred FI/MIS department (Procurement, TeleCom, Property, Transportation, Vehicle Maintenance, Receiving, Travel, Section Office) 2) CD core support groups (Fire Department, Security, Information Resources, Accommodations.) Now, the mix of support response contacts is broadening somewhat as the reorganization takes deeper hold in CD FRA Visiting Committee – Business Services

188 #2 – IT Consolidation (cont’d) BSS has some concerns about advancing its previous plans within new Laboratory IT priorities:  Vehicle Fleet Management system replacement – “must do” … October 2009 still looks good  ProCard Front End replacement project – “must do” … schedule deferred/unknown but CIO aware of importance  Online catalog ordering system – “cost savings opportunity” … priority and schedule unknown FRA Visiting Committee – Business Services

189 #3 – ARRA Funds BSS involvement is concentrated in Procurement.  Section Office and Procurement sit on the COO’s ARRA Planning Committee; early involvement  Excellent support was received from Legal Office on new contract requirements, flow-down requirements, new terms & conditions  Procurement is well engaged with project managers and FESS engineering  A stretch for Procurement but executing work with existing staff, systems and procedures FRA Visiting Committee – Business Services

190 #4 – Q and BP Plan Implementation Integrated Quality Assurance program implementation:  QAR appointed from Section Office, shared to Finance  Processes identified  Baseline sample of processes assessed, CAP’s identified & accepted  CAP development in process  Preparing to respond to DOE data call for September audit  BSS actions from 2006 QA audit on track FRA Visiting Committee – Business Services

191 #4 – Q and BP Plan Implementation (cont’d.) Contributions to Other Initiatives and Commitments  Director’s Council on Integrated Assurance  Records Management Program Implementation Committee  OHAP  Strategic Planning – Administration and Operations  OQBP EG&G Contract Support  Using Issues Management System – all BSS issues closed FRA Visiting Committee – Business Services

192 #5 – Interaction with Argonne Information Resources  Ongoing lunch meetings with Records Management staff (>)  Contacted ANL (4/16) to offer Archive and History collaboration (>)  Visited U of C with ANL to discuss library collaboration (>)  Invited ANL librarian to Fermilab for SCOAP3 meeting (>)  Assisted ANL scientist gather SPIRES-based citation statistics (<)  Added >60 ANL job postings to the HEPjobs database, 23 of these submitted by people at ANL (>, <) Transportation  Assisted ANL traffic/shipping to identify freight forwarders & movers (<)  Provided advice and procedures to ANL for fleet management reporting & utilization (<)  Provided inspection staff to ANL for CNG vehicle cylinders (<) Key: (>) FNAL initiated (<) ANL initiated FRA Visiting Committee – Business Services

193 #5 – Interaction with Argonne (cont’d.) Procurement  Studied ANL use of industrial partners – prime contract provisions, internal procedures. Obtained ANL Reachback Procedure and adapted to FNAL for use of designated subcontractor, EG&G. (>)  Received Procurement and Shipping assistance from ANL regarding U.S. Department of Commerce duty-free entry application procedures for WLS fiber for NOvA; potential cost savings of $760K) (>) Property  Electronics recycling (continuation)  Won FY2008 award Federal Electronics Challenge, Midwest medium civilian facility category. FNAL recycles ANL electronics. Accommodations  Cafeteria – contracts not synchronized, but obtained information from ANL’s service provider. Key: (>) FNAL initiated (<) ANL initiated FRA Visiting Committee – Business Services

194 #6 – Cost Reduction Accomplished:  Great progress on e-commerce for procurements (RFQ’s, Fermilab bid posting website, electronic drawings)  New Electronic Travel Authorization/Voucher implemented  FY2008 award, Federal Electronics Challenge, Midwest medium civilian facility category. Working with CD on EPEAT compliance  Increased the use of electronic methods for surplus disposition  Exceeded annual petroleum consumption reduction & alternative fuel usage targets FRA Visiting Committee – Business Services

195 #6 – Cost Reduction (cont’d.) Future:  Online catalog for common use stockroom and other commodity items … stalled (IT support) Lesson Learned from WF Reduction:  Caused a good, hard look at “required” vs. “nice to have” functions  Services that were not contractually required were valued  Further sharpened awareness of performance management FRA Visiting Committee – Business Services

196 #7 – Service Culture “A strong service culture has been established. This service culture was confirmed during the Committee’s interviews with BSS customers.” (FRA Visiting Committee, August 2008) However, risks exist:  Complacency – Lead the resistance to this every day; praise contributions and teamwork; share successes  Succession Planning – Section level plan created, serves as input to WPAS and OHAP, possible reformulation and integration with Lab-wide plan  Additional Staff Needs  Procurement – mentioned in last year’s report, progress  Property – mentioned earlier Deeper integration of support staff into projects and new initiatives promotes service culture FRA Visiting Committee – Business Services

197 #8 – Succession Planning Bruce Chrisman addressed the crosscutting issue BSS Staffing Plan submitted to COO 8/29/08  +1 Procurement Administrator, June 2009; +1 in WPAS for FY2010  Assistant Property Manager – new position description in process  Procurement and Property Education in government practices  Cross-Training FRA Visiting Committee – Business Services

198 Pier Oddone, FRA Admin and Ops Review, August 3rd,

199 FRA Visiting Committee for Administration and Operations Kay Van Vreede Fermilab Workforce Development and Resources Section August 3, 2009

200 Visiting Committee Recommendations Recommendations and Current Status  Ongoing performance management of all employees is essential especially with those previously identified as marginal performers to ensure that managers don’t mistake an employee who is not performing as being better than none at all - Performance improvement plans are implemented for poor performers.  Explain why merit increases were discontinued and assist managers with other strategies for rewarding their high performers – This was communicated when merits were discontinued and it is also communicated in our management training. The system allows us to reward performance through annual increases and special award programs FRA Visiting Committee - WDRS

201 Visiting Committee Findings Findings and Current Status  Conduct a post-mortem regarding the communications timeline from when the initial message was conveyed to employees about the need for a layoff, whether it was voluntary or not, to point of actual implementation – The Lab determined that transparency from the beginning was the desired way to proceed.  Consider offering a voluntary short term disability program to all employees - This is currently in the procurement process FRA Visiting Committee - WDRS

202 2008 Visiting Committee Findings Recommendations and Current Status Consider offering long term disability to part timers – We have researched this and decided not to offer this benefit. Dedicate contiguous space for education programs – Space was made available for summer programs FRA Visiting Committee - WDRS202

203 Charge Question #1 – Performance Measures FY08 Performance Results:  WDRS received a B+ on Objective 6.3 – “Provide an Efficient, Effective, and Responsive Human Resources Management System.” Both measures were met. Positives cited: the Lab was granted Compensation certification. 93% of Balanced Scorecard goals were achieved. The Lab implemented a timely voluntary separation program, a corrective action plan for the benefits value study and successfully conducted three collective bargaining negotiations. Negatives cited: a pay equity study was not completed in FY DOE did not approve the involuntary layoff plan.  WDRS did complete and implement the pay equity plan in FY FRA Visiting Committee - WDRS203

204 Charge Question #1 – Performance Measures (cont.) FY09 Performance Results to Date: WDRS expects to meet/exceed all performance measures at fiscal year end.  Draft a succession plan. Will be completed.  Devise an R2A2 (roles, responsibilities, accountabilities, authorities) model and write 15% of them. Will be completed.  Develop procedures to incorporate HR practices and policies into the scientific hiring process. Completed.  Staff seven Diversity Council committees. Completed.  Implement two initiatives recommended by the Diversity Council. Will be completed FRA Visiting Committee - WDRS204

205 Charge Question #2 – IT Consolidation Support for PeopleSoft now resides with the Computing Division. There are more resources available for service. They have taken time to understand our needs and priorities. So far we see no real differences in service FRA Visiting Committee - WDRS205

206 Charge Question #3 – ARRA Funds We do not have a role in ARRA funding FRA Visiting Committee - WDRS206

207 Charge Question #4 – QA Implementation Major processes were identified. We have completed the “as is” study. We have developed our corrective action plans and should meet all deadlines. We will work on developing our three-year assessment plan FRA Visiting Committee - WDRS207

208 Charge Question #5 – Interaction with Argonne Collaborated on development of a succession planning proposal. Ongoing administration and monitoring of University of Chicago Strategic Laboratory Leadership Program (SLLP). Argonne audited "Behavioral Interviewing" course to consider offering it at Argonne. Argonne employees attended one of our advanced computing courses and will attend future courses. Shared information on development of R2A2 ( roles, responsibilities, authorities, accountabilities) plan. Jointly developed strategy on presenting information to DOE on benefits value study FRA Visiting Committee - WDRS208

209 Charge Question #5 – Interaction with Argonne (cont) Collaborated with Argonne and other Labs to develop a white paper on the benefits value and cost study DOE requirements. Shared our programs with ANL in order to assist them in their development of: applicant tracking system, vacation donation, day care. Shared information on compensation, benefits, and labor relations. Future We will continue to collaborate and share information. The goal is to save time and labor when one Lab already has a program that works, share ideas that enhance our programs, work together to present consistent information to DOE, and look for opportunities to share costs particularly in the training area FRA Visiting Committee - WDRS209

210 Charge Question #6 – Cost Reduction Insurance plan design changes, cost share shifting and aggressive negotiation resulted in an annual savings of 1.5 million. Change in retiree medical cost share resulted in an annual savings of 600K. Smaller savings included: Green initiatives Cost sharing with Argonne on training classes Virtual job fair Computer generated payroll authorizations FRA Visiting Committee - WDRS210

211 Charge Question #6 – Cost Reduction Future Negotiate insurance renewals below 7%. Increase participation in disease management programs and wellness initiatives. Workforce Reduction Lessons Learned It will be difficult to reduce or eliminate services (e.g., the swimming pool) at the Lab as many of these non-essential services are highly valued by the Lab population FRA Visiting Committee - WDRS211

212 Charge Question #7 – Service Culture Section employees have attended customer service training. Customer service surveys for training and education classes and programs for employment have yielded very positive feedback. Rollout of new programs has included a change management model which incorporates input from clients FRA Visiting Committee - WDRS212

213 Charge Question #7 – Service Culture We recently received some negative feedback as a result of lab wide diversity focus groups. As a result, we are in the process of developing a plan for improvement. To develop the plan we are gathering suggestions from the Lab population FRA Visiting Committee - WDRS213

214 Charge Question #8 – Succession Planning Possible successors have been identified for some department manager positions. We implemented “stretch and grow” opportunities to further develop skills. We have done cross-training between departments to enhance overall cross- functional knowledge FRA Visiting Committee - WDRS214

215 Pier Oddone, FRA Admin and Ops Review, August 3rd,

216 Information Technology Vicky White Acting CIO August 4, 2008

217 Information Technology - Vicky White217 1) Performance Measures FY08 Core Business Systems performance measure 6.4 rating of B was addressed in CFO’s presentation – largely FTL delays. FY08 Cyber Security performance measure 8.2 (Provide an Efficient and Effective System for Cyber-Security) earned an A- Network bandwidth goals were exceeded and contributed to the A- rating in 7.0 (Sustain Excellence in Operating,Maintaining, and Renewing the Facility and Infrastructure Portfolio to Meet Laboratory Needs)

218 1) FY09 Performance Measures Progress Business systems will not meet all of the goals unless a re-baselined schedule for the FTL project is used for the assessment  But FTL will be successfully completed, taking into account information from two internal reviews (Operational Readiness and FTL Code review), with central authentication implemented.  Also all exempt employees will be using the system by Sept. (as required for EVMS certification) Goals for strategic planning and customer satisfaction are expected to be met. Information Technology - Vicky White 218

219 1) FY09 Performance Measures Progress Cyber security audit (6 findings and overall grade of marginal on a scale of Satisfactory – Marginal – Unsatisfactory) highlighted the need for tighter IT systems management and greater care in the handling of PII. Aggressive response in Tune IT up campaign and accelerated consolidation of IT across the lab may help grade.  Certainly will make us stronger and safer Information Technology - Vicky White 219

220 2) Reorganization and consolidation of IT  Particle Physics Division desktop support and help desk are now fully integrated (10 people)  Management Information Systems department (formerly under CFO) joined with Computing Division in February 2009  Longer transition than planned (June 1) due to significant cultural adjustments, vacations, Tune IT up, desire to make a successful organization that most people are happy with.  Fully integrated organization chart just finalized and sets the stage for  elimination of duplicate services (will take up to 1 year)  bringing more resources to bear on some of the long list Information Systems projects that are sorely needed.  Technical Division (5 people) to be consolidated in Sept/October  Remaining consolidation of lab IT - TBD Information Technology - Vicky White220

221 2) Consolidation of IT and Information Systems High (and somewhat unrealistic) expectations to rapidly transform many inefficient and historical business processes, and to enable planning and management, by the use of modern information systems  Several basic “plumbing” projects simply have to be done before most of the projects that provide visible value to the lab can be executed  Peoplesoft upgrade, people and account management systems rationalized, finish FTL, chart of accounts changes, obsolete systems replacement (e.g. ProCard front-end), purchase of an EDMS for engineering docs, data warehouse of operational data and performance data. Information Technology - Vicky White221

222 Consolidation of IT and Information Systems Important to continue to pursue the ISO20000 certification project for IT service management and implement lab-wide (formal service management, change control, incident management, problem management, and all ITIL processes)  We have set a very aggressive goal for certification by the end of 2010  We set this prior to IT consolidation getting going and prior to Tune IT up and it might slip by a few months – but I hope not CIO will set up IT councils and IT governance, including policies and objectives in order to  Effectively manage IT lab-wide  Prioritize the large number of urgent Information Systems projects that the lab needs Will engage outside consultants (probably Gartner) to help us with IT governance and Enterprise Architecture Information Technology - Vicky White222

223 3) ARRA funds High Availability Computing room (in Feynman Computing Center (FCC)) is an ARRA project.  Managed by FESS, with CD  Slight delay while FCC underwent a structural evaluation  Milestones should be met Information Technology - Vicky White223

224 4) Quality and Best practices plan Computing Division fully participated in QA assessment and selected a number of processes to assess this year, based primarily on the division’s Activity work breakdown structure Four Corrective Action Plans were developed and will be completed on schedule Two best practices were identified  Work planning and financial management  Implementation of Information Technology Service Management (ITSM) framework (IS20000 certification project) Information Technology - Vicky White224

225 5) ANL interactions Meet regularly with the CIO at NLCIO events Frequent contacts between cyber security experts Discussed initiatives in cloud computing as a potential direction  White paper of NLCIO and ANL CIO visited Fermilab and gave a presentation Scientific computing contacts w.r.t. leadership computing – at ANL/UC/Fermilab collab. meetings  Also use of leadership computing by Accel modeling and Lattice QCD Information Technology - Vicky White225

226 6) Cost-reduction opportunities Oracle licenses – cost containment strategy of buying additional licenses, rather than leasing Longer term effects of IT service management should result in cost reductions and better services Longer term effects of IT consolidation should result in elimination of duplicate services and cost reduction in basic IT (to apply greater resources to business process improvements and information management) Information Technology - Vicky White226

227 6) Cost reduction opportunities Using contractors more than in the past and outsourcing management of some services (e.g. Exchange mail server, Sharepoint service (soon)) Lessons from workforce reduction preparations  We would benefit from outsourcing additional core IT services  We need to work out a way to do it Information Technology - Vicky White227

228 7) Service culture We are working hard to implement industry standard IT service management processes for all IT services (including the scientific ones)  This is a big change in culture  We are still in the middle of this  The new service desk implementation is not yet fully functioning as a service desk – but expect it to be working well within the next 3 months  Some very sad personnel losses have not helped  We design and document each standard ITIL process and then “implement” it using an industry standard software product that supports IT service management (BMC – Remedy)  We are implementing Stage 2 of a 5 stage roadmap Information Technology - Vicky White228

229 8) Succession planning We have identified (openly) successors for four key positions  Field Financial Manager  Computer Facility Manager  Associate Head for Facilities planning  Network manager I have identified and offered opportunities for greater management responsibility to  Individuals with potential to be CIO (2)  Individuals with potential to be CD Head or AD (3)  Individuals with potential in the future to lead large organizations – now running departments Information Technology - Vicky White229


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