1. CAS Structure and Status Update June 13, 2011 Bruce Chrisman

2. 2 DOE FRA, LLC BoD Contract Assurance AuditPhysicsES&HAdm/FinanceCompensation EXPERTS Fermi National Accelerator Laboratory Contractor Assurance System

3. 3 DOE FRA, LLC BoD Contract Assurance Contract Assurance Communication Audit Corporate Governance Corporate Governance Physics Science Engineering Particle Physics Particle Physics ES&H Admin Finance Admin Finance QA Finance IT Comp. Business Systems Business Systems Contractor Assurance System Fermi National Accelerator Laboratory

4. 4 DOE Oversight Fermi National Accelerator Laboratory Contractor Assurance System

5. 5 DOE Oversight Corporate Oversight Contractor Assurance System Fermi National Accelerator Laboratory

6. 6 DOE Oversight Corporate Oversight Contractor Assurance System Fermi National Accelerator Laboratory Management Systems

7. 7 Contractor Assurance System Fermi National Accelerator Laboratory

8. 8 Item #Management SystemOwner - TitleOwner - NamePriority 1Corporate GovernanceFRA Board of Directors – Secretary of BoDTyler Przybylek1 2Performance PlanningOffice of Program and Project SupportPeter Gabincius1 3Science ProgramCROYoung-Kee Kim3 4FinanceCFOCynthia Conger1 5Business OperationsCOO/AD of OperationsBruce Chrisman1 6ES&HES&H DirectorNancy Grossman3 7QualityHead of the Office of Quality and Best PracticesRobert Grant3 8EngineeringEngineering OversightPeter Garbincius3 9Information TechnologyCIO/AD of ComputingVictoria White2 10CommunicationHead of the Office of CommunicationsKathleen Yurkewiz2 Fermi National Accelerator Laboratory Management System Owners

9. .  Define Management Systems  Split Management Systems into 3 groups Priority 1 = High visibility, pose as limiters to implementation, missing documentation, or noted by management as an issue Priority 2 = Mid-High visibility, missing documentation, or assessment findings Priority 3 = Significant parts of system exist, in implementation or continual improvement mode  Create Management System Descriptions (MSD) and create or edit policies to match. Priority 1 – Creating template; using BOMS as example; draft in review. Other Priority 1 are to be completed by MSDs by December 31, 2011. All MSDs and policies manuals are to be done by March 31, 2012.  D/S/Cs to Perform As-Is assessment for documentation by mapping criteria to requirements and, then, create any other documentation as needed. Mapping is to be completed by December 31, 2011. Fermi National Accelerator Laboratory 9 CA Implementation Plan – Approach Overview

10. . 10 Fermi National Accelerator Laboratory CA Implementation Plan – Old Rev, Part 1 Action Item Number Topic Name Topic Description Number Topic Description FY10FY11 Dates 10-Aug10-Sep10-Oct10-Nov10-Dec11-Jan11-Feb11-Mar11-Apr11-May11-Jun11-Jul11-Aug11-Sep 1Contract Mapping 1a Contract mapping of SOW and Appendices/Clauses to DOE Orders and Director's Policies mid Complete 1b Review initial contract mapping document (1a) mid P Complete 1c Map 1a, above, to programmatic documents (such as plans, manuals and procedures/implementi ng documents) mid E Dec 10 - mid Mar 11 1d Create plan to fill gaps, if applicable mid E mid Mar - Apr 11 2 Management Systems 2a Identify management systems Complete R 2b Decide: mid Aug 10 - mid Feb 11 -- Management System Ownership -- What documents need to be created to implement the Contractor Assurance System -- Format/content of Programmatic Manuals/Documents 2c Write Prime Contract Change Management Procedure mid Sep 10 - mid Feb 11 2dWrite Manuals mid R mid Feb - mid July 11 3 Define New Policy Manual 3a Agree on: mid E Complete --What is a policy? --Levels of policies? 3b Agree on: mid V Complete --What policies Fermilab will have --Ownership 3c Establish document control protocols for policies mid I Complete --Change management --Format of policies 4 Create New Policy Manual 4 Revise existing policies and write new policies as required mid E Feb - mid July 11

11. . 11 Fermi National Accelerator Laboratory CA Implementation Plan – Old Rev, Part 2 Action Item Number Topic Name Topic Description Number Topic Description FY10FY11 Dates 10-Aug10-Sep10-Oct10-Nov10-Dec11-Jan11-Feb11-Mar11-Apr11-May11-Jun11-Jul11-Aug11-Sep 5 Management Review Procedure 5a Draft Mgmt Review Procedure mid W TBD (Draft on hold) 5b Review & Approve Mgmt Rvw Procedure mid Dec 10 - mid Apr 11 6 Establish Board of Directors role 6 mid 7 Reporting and Metrics 7a Establish reporting methods to the BoD mid 7b Establish metrics for management systems Apr 11 - May 11 8Revise FICAP 8aDraft FICAP revision mid mid Mar 11 - mid Apr 11 8b Review & Approve FICAP mid mid Apr 11 - mid Jun 11 8c Formalize worker feedback system (proceduralize) TBD 9 Revise Comp Assessment 9 Revise Comprehensive Assessment Manual and schedule to accommodate changes in Contractor Assurance ManualComplete TBD 10 Communicate CAS to Fermilab 10a Communicate CAS Program Aug 10 - Aug 11 10b Train Fermilab regarding CAS requirements mid mid Mar - Aug 11 11Benchmarking 11a Establish Benchmarking Requirements 11-Mar 11b Write Benchmarking Procedure mid mid Mar 11 - mid May 11 11c Implement benchmarking process mid mid May 11 - Aug 11 12 Graded Approach 12a Determine Graded Approach Methodology (plus test cases) mid Oct10 - mid Jan 11 12b Write Graded Approach Procedure Feb 11 - March 11 12c Implement Graded Approach Procedure mid July 11 start 13CAS Description 13a Determine CAS Description Approach Complete 13bWrite CAS Description mid Complete

12. . 12 Fermi National Accelerator Laboratory CA Implementation Plan – New Rev, Part 1 Action Item Number Topic Name Topic Description Number Topic Description Old Plan Status FY11FY 12 Dates May-11Jun-11Jul-11Aug-11Sep-11Oct-11Nov-11Dec-11Jan-12Feb-12Mar-12Apr-12May-12 1 Contract Mapping 1a Contract mapping of SOW and Appendices/Clauses to DOE Orders and Director's Policies Complete 1b Review initial contract mapping document (1a) Complete 1c Map 1a, above, to programmatic documents (such as plans, manuals and procedures/implementing documents) Dec 10 - mid Mar 11 May 11 - Dec 11 1d Create plan to fill gaps, if applicable mid Mar - Apr 11 Sep 11 - Jan 12 2 Management Systems 2a Identify management systems Complete 2b Decide: Aug 10 - mid Feb 11 Aug 10 - Jan 12 -- Management System Ownership -- What documents need to be created to implement the Contractor Assurance System -- Format/content of Programmatic Manuals/Documents 2c Write Prime Contract Change Management Procedure Sep 10 - mid Feb 11 May 11- Oct 11 2dWrite Manuals mid Feb - mid July 11 May 11 - Mar 12 3 Define New Policy Manual 3a Agree on: Complete --What is a policy? --Levels of policies? 3b Agree on: Complete --What policies Fermilab will have --Ownership 3c Establish document control protocols for policies Complete --Change management --Format of policies 4 Create New Policy Manual 4 Revise existing policies and write new policies as required Feb - mid July 11 May 11 - Mar 12

13. . 13 Fermi National Accelerator Laboratory CA Implementation Plan – New Rev, Part 2a Action Item Number Topic Name Topic Description Number Topic Description Old Plan Status FY11FY 12 Dates May-11Jun-11Jul-11Aug-11Sep-11Oct-11Nov-11Dec-11Jan-12Feb-12Mar-12Apr-12May-12 5 Managemen t Review Procedure 5a Draft Mgmt Review Procedure TBD (Draft on hold) mid May 11 - mid Nov 11 5b Review & Approve Mgmt Rvw Procedure Dec 10 - mid Apr 11 mid mid Nov 11 - Feb 12 6 Establish Board of Directors role 6 Complete 7 Reporting and Metrics 7a Establish reporting methods to the BoD mid 7b Establish metrics for management systems Apr 11 - May 11 mid Apr 11 - May 11 8 Revise FICAP 8a Draft FICAP revision mid Mar 11 - mid Apr 11 mid mid Jun 11 - mid Nov 11 8b Review & Approve FICAP mid Apr 11 - mid Jun 11 mid mid Apr 11 - mid Jun 11 8c Formalize worker feedback system (proceduralize) TBD ETA on start TBD 9 Revise Comp Assessment 9 Revise Comprehensive Assessment Manual and schedule to accommodate changes in Contractor Assurance TBD On Hold

14. . 14 Fermi National Accelerator Laboratory CA Implementation Plan – New Rev, Part 2b Action Item Number Topic Name Topic Description Number Topic Description Old Plan Status FY11FY 12 Dates May-11Jun-11Jul-11Aug-11Sep-11Oct-11Nov-11Dec-11Jan-12Feb-12Mar-12Apr-12May-12 10 Communicate CAS to Fermilab 10a Communicate CAS Program Aug 10 - Aug 11 Aug 10 start; on- going 10b Train (awareness) Fermilab regarding CAS requirements mid Mar - Aug 11 Meet with Sr, Mgmt Fermi Today July 11- Aug 12 11Benchmarking 11a Establish Benchmarking Requirements 11-Mar Nov 11 - Dec 11 11b Write Benchmarking Procedure mid Mar11 - mid May 11 mid mid Jan11 - mid Mar12 11c Implement benchmarking process mid May 11 - Aug 11 mid mid Mar 12 start; on-going 12 Graded Approach 12a Determine Graded Approach Methodology (plus test cases) Oct 10 - mid Jan 11 mid Mar 11 - Jun 11 12b Write Graded Approach Procedure Feb 11 - March 11 mid mid July 11 - mid Dec 11 12c Implement Graded Approach Procedure July 11 start mid mid Jan 12 start; on-going 13CAS Description 13a Determine CAS Description Approach Complete 13b Write CAS Description Complete

15. .  Contract Mapping  OQBP map contract of SOW and Appendices/Clauses to DOE Orders and Director's Policies  D/S/C to map above, to programmatic documents (such as plans, manuals and procedures/implementing documents) In progress –Business Operations in review –Corporate Governance –Finance due end of Q4 FY2011 –Performance Planning due end of Q4 FY2011  Create plan to fill gaps, if applicable Priority 1’s are awaiting completion D/S/C contract mapping 15 Fermi National Accelerator Laboratory CA Implementation Plan

16. .  Management Systems  Identify management system  Decide: Management System Ownership Format/content of Management System Documents –Draft of 1 st system in review, Operations »Need AC review and approval »Corporate Governance draft being edited  Write Management System Descriptions Plan changed; see updated schedule  Write Prime Contract Change Management Procedure Process flow approved; draft procedure being written 16 Fermi National Accelerator Laboratory CA Implementation Plan

17. .  Define New Policy Manual  Agree on: What is a policy? Levels of policies?  Agree on: What policies Fermilab will have –Proposal accepted - See detailed list for editing and creating policies; ownership assigned »OQBP to work with MSOs. »Need to complete D/S/C contract mapping to confirm 17 Fermi National Accelerator Laboratory CA Implementation Plan

18. .  Define New Policy Manual (Continued)  Establish document control protocols for policies Change management process –Proposal accepted; procedure being written Format of policies –Proposal accepted; will be included in the Document Control System.  Create New Policy Manual  Started with Operations policies Priority 1; initial drafts in review: –Operations policy – “General Work Practices and Expectations”, Training Policy, Documents Policy, Records Policy, Security Policy Need to review and/or edit level 2 and 3 policies 18 Fermi National Accelerator Laboratory CA Implementation Plan

19. .  Contractor Assurance System Description  Determine CAS Description Approach  Create the document Note – DOE approval received; review and revisions will occur as needed as this will be a living document.  Revise Contractor Assurance Program document Editing of the document is in-process 19 Fermi National Accelerator Laboratory CA Implementation Plan

20. .  Management Review Procedure  Revising initial draft of Management Review Procedure Procedure will contain Reporting and Metrics –Establish reporting methods throughout line management including to the BoD –Establish metrics for management systems  Formalize worker feedback system; create documentation – TBD  Note – Plan is to perform an As-Is or survey on this topic and then, write the document(s). 20 Fermi National Accelerator Laboratory CA Implementation Plan

21. .  Consolidated/comprehensive Assessment  All documentation being harmonized with ES&H system  Schedule being reviewed for categorization and ability to coordinate Note – Current assessment programs are still on-going.  Communicate CAS to Fermilab  FRA, Fermilab senior management, and AC meetings - On-going.  Training plan Fermilab FRA – 3 people trained FSO Lab-wide Awareness 21 Fermi National Accelerator Laboratory CA Implementation Plan

22. .  Formal Benchmarking  Establish Benchmarking Requirements  Write Benchmarking Procedure  Create Implementation Plan Not started  Enterprise Risk Management/Graded Approach  Determine Graded Approach Methodology Proposal in review  Write Procedure  Create Implementation Plan 22 Fermi National Accelerator Laboratory CA Implementation Plan

23. . 23 Fermi National Accelerator Laboratory CA Implementation Plan Questions?

24. Contractor Assurance in Business Operations June 13, 2011 Bruce Chrisman

25. .  Map Business Operations (BO) documentation and practices to contract requirements  Management System Description (MSD) Determine format Writing of BOMSD is in process Targeted due date is to have approved BOMSD by 07/22/11  Review policies, determine needs and change if necessary Executing initial plan for policies under Business Operations –Targeted due date for completion of Priority 1s is 07/22/11 –Targeted due date for completion of Priority 2s & 3s is 08/19/11 Additional changes may be required depending upon a review of contract mapping.  Develop plan for any additional documentation Targeted due date is to have plan by 09/30/11 Fermi National Accelerator Laboratory 25 CA Implementation in Business Operations: Approach and Status Overview

26. 26 Level 3 Level 2 Level 1 Management System Function or Programmatic Task Major Process Function or Programmatic Task Major Process Fermi National Accelerator Laboratory Model; Levels 1, 2 & 3

27.  Level 1  Management System - Organization's approach to implement a system of functions and tasks in order to fulfill the laboratory mission and requirements of the prime contract.  Level 2  Function/Programmatic Task - Defines area(s) of management and/or service(s)  Level 3  Major processes – Constitute a core business function or support function. 27 Fermi National Accelerator Laboratory Definitions

28. 28 Fermi National Accelerator Laboratory Business Operations Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal Business Operations – Structure; Levels 1 & 2

29. 29 Fermi National Accelerator Laboratory Business Operations – Human Resources Major Processes Business Operations Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal Education Support Employee Relations Professional Development Employment EEOC & Counseling HR Services Workforce Planning Benefits Administration Benefits Research & Planning

30. 30 Fermi National Accelerator Laboratory Business Operations – Information Services Major Processes Business Operations Logistical Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal Document Management Library Records Management Technical Publication

31. 31 Fermi National Accelerator Laboratory Business Operations – Logistical Services Major Processes Business Operations Logistical Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal Fleet Operations ShippingMail Services ReceivingDistribution Traffic

32. 32 Fermi National Accelerator Laboratory Business Operations – Telecom Major Processes Business Operations Logistical Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal PagingRadio WiredWireless

33. 33 Fermi National Accelerator Laboratory Business Operations – Procurement Major Processes Business Operations Logistical Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal Records (Files) Small Business Compliance Procurement Sub processes

34. 34 Fermi National Accelerator Laboratory Business Operations – Safeguards & Security Major Processes Business Operations Logistical Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal Fire Department Security

35. 35 Fermi National Accelerator Laboratory Business Operations – Property Major Processes Business Operations Logistical Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal Recycling InventoryScrap Real Property Personal Property

36. 36 Fermi National Accelerator Laboratory Business Operations – Travel Major Processes Business Operations Logistical Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal DomesticForeign

37. 37 Fermi National Accelerator Laboratory Business Operations – Infrastructure Major Processes Business Operations Logistical Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal Site Maintenance Environmental Sustainability Construction Management

38. 38 Fermi National Accelerator Laboratory Business Operations – Legal Major Processes Business Operations Logistical Services (Transportation, Shipping, Receipt) Procurement Human Resources Property Infra- structure Information Resources Telecom Safeguards & Security (Physical Security) Travel Legal Prime Contract Review & Change Intellectual Property EthicsLegal Claims Agreements (Contracts, MOUs, etc.) Procurement Review

39. . 39 Fermi National Accelerator Laboratory CA Implementation in Business Operations Questions?