1. Contractor Assurance System AC Overview October 13, 2009

2. 226.1A Requirements  Assurance Systems- encompass all aspects of the processes and activities designed to:  Understand risk  Ensure objectives of the contractor’s Management Systems are being accomplished  Identify deficiencies and opportunities for improvement  Report deficiencies to responsible managers and authorities  Develop and effectively implement corrective and preventive actions  Share lessons learned across all aspects of operations HQ Site DOE “The Field” Fermilab “The Contractor” DOE Oversight Model Independent Oversight

3. Contractor Assurance System Office of Quality and Best Practices Overview of the Contractor Assurance System Bob Grant  General Requirements and Application  Collection of data: gather assurance information through Dashboard, Issues Management System, and Reporting System; they contain assessments, metrics, and management reports.  Evaluation and improvement: management reviews and monitoring of metrics – central/lab-wide and D/S/C - utilize the data and analysis to determine performance. Improvement actions are taken accordingly and analyzed for effectiveness.  Communication: information is provided to senior management, the DOE Site Office, and the people doing the work through individual responses (like email), reports, meetings and presentations. October 13, 2009 2

4. Contractor Assurance System Office of Quality and Best Practices Overview of the Contractor Assurance System Bob Grant  What is the approach?  All management systems are reviewed by the Assurance Council for completeness including reporting and interface requirements  Try to use what exists at Fermi  Integrate whenever possible  Add organizational and program links where needed  Borrow and adapt what can be used from other sites October 13, 2009 3

5. Contractor Assurance System Office of Quality and Best Practices Overview of the Contractor Assurance System Bob Grant  Who owns and supports Contractor Assurance?  Chair of FRA Board of Directors Signs the letter of confirmation  Director Signs the letter of confirmation Delegates responsibility for monitoring and assessing  Assurance Council Chair has the Director’s authority via charter  OQBP Senior management representative responsible for the systems Advises AC and Director  Management System Owners Responsible for Contractor Assurance within their areas  Divisions/Sections/Centers October 13, 2009 4

6. Contractor Assurance System Office of Quality and Best Practices Overview of the Contractor Assurance System Bob Grant  What is the program supposed to do?  The purpose of the Fermilab Integrated Contractor Assurance Program (FICAP) design and implementation is to ensure management of the site is in compliance with DOE policies and orders.  Contractor Assurance is a facility-wide initiative that is the primary tool for demonstrating operations are safe, secure, efficient, and of the highest quality. Contractor Assurance processes are used as a learning vehicle to high light and facilitate change and continual improvement.  Assurance processes encompass all of the various activities designed to do the following: identify deficiencies and opportunities for improvement, report deficiencies to the responsible managers and authorities, and oversee the implementation of effective corrective actions. October 13, 2009 5

7. Contractor Assurance System Office of Quality and Best Practices Overview of the Contractor Assurance System Bob Grant  AC Role in Contractor Assurance  Laboratory Director is ultimately responsible for CA implementation  Office of Quality and Best Practices Day-to-day management of the Fermilab Integrated Contractor Assurance Program Collection and assimilation of information for presentation to AC (e.g., trending, issues identification, tracking)  Assurance Council Monitor compliance posture of the laboratory and advise the Director concerning necessary actions to be taken  Associate Laboratory Directors and D/S/Cs Heads Ensuring that activities are conducted in accordance with the principles and requirements of the FICAP and IQA Self assessments to verify organizational mission, objectives, and performance requirements are met October 13, 2009 6

8. Contractor Assurance System Office of Quality and Best Practices Overview of the Contractor Assurance System Bob Grant  Major AC Role: Management Reviews  Review the adequacy, suitability, and effectiveness of management systems and the FICAP at least annually Including, but not limited to, PEMP requirements  Present status and issues, changes, and proposed plans to the Director for review Provide supporting documentation for the annual assurance letter  Management Reviews will be a planned set/combination of reviews throughout the fiscal year Quality Assurance and Management System owners provide summary results of assessments and reviews to the Assurance Council via the OQBP  OQBP collates results, generates trend data, and reports to AC OQBP reports issues that cross the threshold requiring senior management attention as they occur October 13, 2009 7

9. Contractor Assurance System Office of Quality and Best Practices October 13, 2009 AC Oversees Management Systems Overview of the Contractor Assurance System Bob Grant Contractor Assurance Cyber Security Safeguards & Security ES&HEmergency Management Quality Assurance 226.1A Management Systems Assurance Council Financial Assurance OQBP 8

10. Contractor Assurance System Office of Quality and Best Practices October 13, 2009 AC Oversees Management Systems Overview of the Contractor Assurance System Bob Grant Contractor Assurance Cyber Security Safeguards & Security ES&HEmergency Management Quality Assurance 226.1A Management Systems Assurance Council Financial Assurance OQBP Sets Policy 9

11. Contractor Assurance System Office of Quality and Best Practices October 13, 2009 AC Oversees Management Systems Overview of the Contractor Assurance System Bob Grant Contractor Assurance Cyber Security Safeguards & Security ES&HEmergency Management Quality Assurance 226.1A Management Systems Assurance Council Financial Assurance OQBP Sets Policy Data Capture Reporting 10

12. Contractor Assurance System Office of Quality and Best Practices October 13, 2009 AC Oversees Management Systems Overview of the Contractor Assurance System Bob Grant Contractor Assurance Cyber Security Safeguards & Security ES&HEmergency Management Quality Assurance 226.1A Management Systems Assurance Council Financial Assurance Data Capture OQBP Reporting Sets Policy Use Assessments To Report Compliance to AC 11

13. Contractor Assurance System Office of Quality and Best Practices Overview of the Contractor Assurance System Bob Grant  Program Elements Status  Program - AC  Personnel Training and Qualifications – WDRS & D/S/C processes  Documents and Records – BSS & D/S/C processes  Assessment – AC, OQBP, D/S/C (QARs)  Performance - AC, Directorate &D/S/C processes  Reporting – OQBP to AC (Collect data from ES&H, QA, and D/S/C)  Lessons Learned – OQBP to AC (Collect data from ES&H, QA, and D/S/C)  Worker Feedback – WDRS & D/S/C processes  Issues Management - OQBP to AC  Dissenting Opinions – AC & D/S/C processes October 13, 2009 12 Green= Done

14. Contractor Assurance System Office of Quality and Best Practices Overview of the Contractor Assurance System Bob Grant October 13, 2009 13  CA implementation does not follow QA implementation  CA is implemented in parallel with QA implementation  Requirements are integrated  PMPs are aligned and coordinated  Resources are common for some activities  Assessments will be integrated  Schedules are aligned and coordinated

15. 14 414.1c Management Criteria Contractor Assurance Cyber Security Safeguards & Security ES&HEmergency Management Contract Assurance Quality Assurance 226.1a Management Systems Management Criteria People – Parts – Processes Management Systems 226.1a/414.1c Relationship

16. Contractor Assurance System Office of Quality and Best Practices Overview of the Contractor Assurance System Bob Grant Questions? October 13, 2009 15