OCFO All Hands Meeting – Dec. 1, 2009

1. OCFO All Hands Meeting – Dec. 1, 2009 AGENDA • Welcome & Introduction • All Hazards Awareness Training – Sara Wynne, EH&S • Novel H1N1 Update – Dr. Peter Lichty • Selected OCFO Initiatives • OCFO Service Recognition Awards • Q&A • Laboratory Property Review (LPR)

2. ALL HAZARDS AWARENESSSara Wynne

3. Novel H1N1 Update Peter D. Lichty, MD MOH Site Occupational Medical Director LBNL

7. Selected OCFO InitiativesJeffrey Fernandez

8. Selected OCFO Initiatives • Procure to Pay (P2P) - Key Improvements for Procurement to Payment Cycle Times and Efficiencies • Requisitions • Invoices • OCFO Systems Strategy • American Recovery and Reinvestment Act (ARRA) - Recovery Act Reporting • Electronic Sponsored Research Administration (eSRA) • Work for Others P2C Project

9. P2P – Procurement – Requisition Creation Redesign Description of Initiative Improve and simplify the requisition input process to allow anyone at LBNL to initiate requisitions, with little or no training, which provides accurate and complete information, including selection of an appropriate Item Category Code. Organizational Resources Needed OCFO Procurement Controller Operations Business Systems Information Technology User Input & Testing (All Divisions) • Primary Objectives • Improve efficiency of requisition creation by • Simplifying and reducing data input • Providing guidance (definition & examples) for selection of Item Category Code • Implementing appropriate controls (req approval & Invoice review) Timeline – General Reqmnts Completed Begin Design 12/09 IT Development – 3-4 Months User Testing – 1 Month Target Implementation 6/10

10. Procure to Pay – Invoice Review and Payment Approval Description of Initiative Invoice Review and Payment Approval (IRPA) process is to re-design the LBNL invoice certification process and to identify a process for disputed invoices. There were several audit findings of unrecorded liabilities caused by the LBNL process for invoice certification • Timeline – General • Manual accrual to eliminate unrecorded liability – July ’08 • Draft certification process – December ’08 • Draft policy reviewed with IAS – July ’09 • Recommendations from Usability – Aug ’08 • Final functional requirements completed – Oct ’09 • Evaluation of technology options – Jan ‘10 • Decision on System option – Jan ‘10 • Primary Objectives • Improve the current invoice certification system by: • Providing clear roles and responsibilities • Providing a system that facilitates the timely recognition of cost, liabilities and accurately posting costs to projects • Facilitate timely vendor payment • Provide the correct end user with the opportunity to review and correct invoices for accounting distribution and payment • Organizational Resources Needed • OCFO managers, functional staff from Accounts Payable, Operations, Procurement, and BSA analysts • Division Business Managers and staff • IT staff

11. OCFO System Strategy Description of Initiative : OCFO, partnering with IT, has identified the need to re-examine the structural footing on which the LBNL financial system is built to optimize delivery of financial information. Capitalize on Oracle Insight Review recommendations. This initiative is to establish a multi year plan for modernizing CFO systems. • Organizational Resources • OCFO functional managers, SME’s and BSA staff • Division stakeholders • IT managers and developers • External system and functional consultants • Primary Objectives • Assure that OCFO systems, processes, and data are rooted in sound internal controls as a basis for dependable financial information, effectively delivered to LBNL decision makers. • Identify structural system modifications required to meet current and future business and reporting needs • Develop integrated roadmap for CFO financial systems • Timeline – General • Completed Oracle Insight Review 10/18 • Strategy kickoff with Mark Dedlow 12/2 • Next several months: • Develop project roadmap with dependencies, resource requirements, communication plan, and timelines

12. Recovery Act Reporting (ARRA) Description of Initiative Develop a centralized ARRA data base and corresponding support processes to ensure that reported LBNL data is consistent, has integrity, can be audited, and that existing systems are utilized where possible and that the data is structured to provide maximum reporting flexibility. Have ~$220M in ARRA funding for 54 projects in 12 divisions. May receive another $90M. • Organizational Resources Needed • ARRA project mgrs/PIs • Divisional RAs and Business Mgrs • IT business systems • HR/EH&S • OCFO departments (Procurement, OSPIP, AP, AR, Field Ops, & Budget Office) • Primary Objectives • Ensure ARRA data can be segregated • Single data source from ~120 data elements • Eliminate duplicate effort • Meet dynamic, evolving, multi-purposed reporting & varied timelines • Robust internal control • Timeline – General • 03/09 - 06/09 SC weekly Reporting • 07/09 – 10/10/09 1st Quarterly Reporting • 10/09 - 01/10: Grants Reporting, Inst. ARRA “Program” Oversight, Audit Support, & Revised 2nd Qtr Reporting • 01/10 - 02/10 OIG audit support • TBD - Completion is dependent on receipt of final guidance from DOE (OMB)

13. eSRA (electronic Sponsored Research Administration) Description of InitiativeImplementation of the LBNL eSRA System, utilizing the Click Commerce modules purchased in FY2009. eSRA will be an electronic integrated system for pre- and post- award research administration, including Proposals, IRB, IACUC and COI requirements. Will replace a number of manual , non integrated systems. First systems project to bring together functional research administration offices • Primary Objectives • Reduce time spent by PIs and staff on proposal development • Electronic routing of proposals for approvals • Electronic system to system submission to Grants.gov • Provide needed data for management. • Provide status, notification of pending and post award actions • Integrate regulatory processes (IRB, IACUC and COI) into a comprehensive system • Organizational Resources Needed • Multi-functional team to include OCFO Div, OSPIP, HARC, IT , RIIO offices, Divs and PIs • Workflow will bring in other offices such as Facilities ( NEPA/CEQA), TTIPM, and DOE BSO • Timeline – General • Launch Module 1 (IRB) – Mid November • Launch Module 2 (IACUC) – FY10 – Q3 –some concurrence with IRB • Launch Module 3 (Grants) – FY11 – Q1 – Preliminary Work Flow/data modeling FY10 • Launch Module 4 FY11 (COI) – some concurrence with IRB, IACUC and Grants

14. Work-For-OthersProposal to Close-out(WFO P2C) • This is a re-engineering project of the Laboratory’s work-for-others process • Will use the Six Sigma re-engineering approach to: • Analyze current processes • Identify inefficiencies, gaps and their root causes • Develop an optimal unified replacement process and positive working relationships

15. P2C - Why? • We are not fully responsive to Sponsors’ needs and DOE requirements • We are not delivering a seamless and efficient service to the PIs who are trying to conduct research funded by non-DOE sponsors. • Staff continue to voice frustration about the broken process • Guidance from OCFO management team has not been consistent

16. P2C - Who? • OCFO Management team is united on the goal of delivering a seamless and efficient WFO process • Dedicating a process re-engineering specialist as project manager (George Noble) • Steering Committee championing meaningful change (Bill Johansen, Deb Connell, Minh Huebner, Jeanne Kissel, Jeff Weiner, Doug Goodman, Anil More) • Core project team members are decision-making members of the affected departments and divisions (Angela Ford, Rick Inada, Anastasia Schiller, Sallie Frainier, Carla Garbis, Ron Stainbrook, Peter Lau, Bridget Kramer, Karen Omoto, Chris Georgiou, Kristine Gee) • Auxiliary team members from the stakeholder community will be tapped for both input and feedback

17. P2C - When • Kick-Off meeting in December • Schedule to be developed by core team • Goal - Complete by end of calendar year 2010

18. OCFO Service Recognition Awards

19. 10 Years of Service Sonia Cavizo Dominguez

20. 15 Years of Service Melanesia Lewis

21. 20 Years of Service Rosa Rodriguez-Flores Anthony Marquez

22. 25 Years of Service Janice Mann

23. 30 Years of Service Joy Lafdahl

24. Q & A

25. Laboratory Property Review (LPR) • LPR is a web based self verification of assigned property • Selected divisions are to pilot the LPR prior to the Wall-to-Wall inventory • Wall-to-Wall results will be used to validate results of the pilot • If pilot is successful, then LPR could replace Stat Sample inventories • Find the LPR on the Property web site or A-Z at Lab Property Review • Help OCFO to lead this effort by taking the LPR on the Property web site before the Wall-to-Wall