Contractor Assurance System AC Overview October 13, 2009

1. Contractor AssuranceSystem AC Overview October 13, 2009

2. 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 226.1A Requirements DOE Oversight Model HQ Independent Oversight Site DOE “The Field” Fermilab “The Contractor”

3. Overview of the Contractor Assurance SystemBob 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

4. Overview of the Contractor Assurance SystemBob 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

5. Overview of the Contractor Assurance SystemBob 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

6. Overview of the Contractor Assurance SystemBob 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

7. Overview of the Contractor Assurance SystemBob 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

8. Overview of the Contractor Assurance SystemBob 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

9. Overview of the Contractor Assurance SystemBob Grant AC Oversees Management Systems Assurance Council OQBP Contractor Assurance Financial Assurance 226.1A Management Systems Cyber Security Safeguards & Security ES&H Emergency Management Quality Assurance October 13, 2009

10. Overview of the Contractor Assurance SystemBob Grant AC Oversees Management Systems Assurance Council OQBP Sets Policy Contractor Assurance Financial Assurance 226.1A Management Systems Cyber Security Safeguards & Security ES&H Emergency Management Quality Assurance October 13, 2009

11. Overview of the Contractor Assurance SystemBob Grant AC Oversees Management Systems Assurance Council Reporting OQBP Sets Policy Data Capture Contractor Assurance Financial Assurance 226.1A Management Systems Cyber Security Safeguards & Security ES&H Emergency Management Quality Assurance October 13, 2009

12. Overview of the Contractor Assurance SystemBob Grant AC Oversees Management Systems Assurance Council Reporting OQBP Sets Policy Data Capture Contractor Assurance Financial Assurance 226.1A Management Systems Use Assessments To Report Compliance to AC Cyber Security Safeguards & Security ES&H Emergency Management Quality Assurance October 13, 2009

13. Overview of the Contractor Assurance SystemBob 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 Green= Done October 13, 2009

14. Overview of the Contractor Assurance SystemBob Grant • 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 October 13, 2009

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

16. Overview of the Contractor Assurance SystemBob Grant Questions? October 13, 2009