CAS Structure and Status Update June 13, 2011

1. CAS Structure and Status UpdateJune 13, 2011 Bruce Chrisman

2. Fermi National Accelerator Laboratory Contractor Assurance System EXPERTS

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

4. Fermi National Accelerator Laboratory Contractor Assurance System DOE Oversight

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

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

7. Fermi National Accelerator Laboratory Contractor Assurance System

8. 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 CA Implementation Plan – Approach Overview .

10. Fermi National Accelerator Laboratory CA Implementation Plan – Old Rev, Part 1 .

11. Fermi National Accelerator Laboratory CA Implementation Plan – Old Rev, Part 2 .

12. Fermi National Accelerator Laboratory CA Implementation Plan – New Rev, Part 1 .

13. Fermi National Accelerator Laboratory CA Implementation Plan – New Rev, Part 2a .

14. Fermi National Accelerator Laboratory CA Implementation Plan – New Rev, Part 2b .

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 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 1st 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 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 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 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 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). Fermi National Accelerator Laboratory CA Implementation Plan .

21. Consolidated/comprehensive Assessment All documentation being harmonized with ES&H system Schedule being reviewed for categorizationand 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-wideAwareness 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 Fermi National Accelerator Laboratory CA Implementation Plan .

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

24. Contractor Assurance in Business OperationsJune 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 CA Implementation in Business Operations: Approach and Status Overview .

26. Fermi National Accelerator Laboratory Model; Levels 1, 2 & 3

27. Fermi National Accelerator Laboratory Definitions • 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.

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

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

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

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

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

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

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

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

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

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

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

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