1 Closeout Slides The Administrative Peer Review Committee August 31, 2007 FY2007 Administrative Peer Review

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Closeout SlidesThe Administrative Peer Review Committee

August 31, 2007

FY2007 Administrative Peer Review

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Committee Members Anne Street – Chair Judd Haverfield Ernest Pierz Diane Schultz Jerry Swanks Robin Wendt

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Our report includes the following for each program area Noteworthy Practice: Where the Committee

believed FNAL has attained a best practice in its operations or administrative programs.

Observation: Where the Committee believed there is an opportunity for FNAL to improve its operations and administrative practices.

Recommendation: Based on findings, observations or other issues, the Committee will make recommendations for improvement. A better or best practice from another institution may be offered.

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Global Questions How has the laboratory reorganization affected your

ability to deliver services?

How has the change from URA to FRA affected your ability to deliver services?

What new initiatives to improve services have you developed with ANL as a result of the establishment of FRA?

What change management practices, principles, and procedures have you used and how successful were they?

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ES&H SectionFermilab

August 31, 2007


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Environment Safety & Health Noteworthy Practices

• Attainment of ISO 14001 certification for the Environmental Management System

• Commitment to/pursuit of the OHSAS 18001 certification for Health and Safety Program

• Benchmarking compensation through three different salary surveys to ensure ES&H professionals are paid to market

• Staff competence, especially in the radiation safety program

• ES&H Contractor Assurance System has been developed.

• Audits of divisions/sections to assess hazard analysis

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ES&H Observations

• Recent reorganization, new management structure of FRA, and ES&H commitments made under the new DOE-FRA contract have been accommodated with little impact to ES&H services and counsel

– That ES&H participates in the weekly director’s meeting has been a plus.

• Effective exchanges with ANL. Best example is the RPP triennial review. Such exchanges will continue

• ES&H has managed change well• Customer satisfaction is high

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ES&H Observations (cont’d)

• Accident rates have increased above those in recent years. ES&H continues an excellent program to address accidents and the increase is not yet a reason to create a new approach. Like other SC labs, FNAL is struggling with very aggressive goals.

• The fire department now reports to the Head of the Business Services Section but the ES&H Section retains responsibility for the Emergency Management Program. This has proven to be manageable.

• The Lab has experienced substantial losses in the leadership of its Electrical Safety Program

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ES&H Recommendations

• Closely monitor accident rates and continue root cause analysis of each accident

• Seek formal FSO approval of the the ES&H CAS (responsibility shared with the Assurance Council)

• Continue with plans to audit AD work practices to assess how well the hazard analysis policy (FESHM 2060) is implemented

• Review the NEPA chapter (FESHM 8060) with NOvA management to determine if revision is necessary

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ES&H Recommendations (cont.)

• Review integration of accident investigation, workers’ comp. case management, and return to work management.

• Ensure a seamless succession to the next team of electrical safety professionals that will provide historic levels of support and electrical safety training

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Business Services SectionFermilab

August 31, 2007


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Business Services Section Noteworthy Practices

• Procurement– Balanced Scorecard results

– Improvements in file documentation

– Service Subcontract administration

– ILC & NOvA acquisition Planning• Property Management• Travel

– Domestic conference management system

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Business Services Section Observations

• Procurement– Anticipated ramp-up in ILC acquisition

– Focus on industrial involvement• QA Program Development with engineering

records emphasis• Existing relationships with Argonne, Univ. of

Chicago, other DOE labs• Improved efficiency of Travel Office

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Business Services Section Observations (cont.)

• Transition of Security subcontract to new DOE contractor

• Recertification of Property & Procurement Systems

• Continuing level of irritation with Foreign Travel System

• Telecommunications needs integrated approach

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Business Services Section Recommendations

• Establish and communicate process for interacting with new security contractor

• Get early start on Records Management issues related to OQBP & QA program implementation

• Improve travel website including travel policy• Develop a streamlined procurement process for

emergency repair work • Utilize existing DOE lab best practices for CRADA

development

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FESS SectionFermilab

August 31, 2007


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FESS Section Noteworthy Practices

• Strong communication with divisions/sections as well as within the FESS line organization

• Knowledgeable and competent staff resources• Consistent and appropriate use of trained and

qualified task managers to oversee work activities• Good use of external funds to reduce deferred

maintenance, e.g. Pi Power poles• Customer focused and responsive with high

satisfaction ratings

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FESS Section Observations

• DP-18, while clearly beneficial to the Lab, is cumbersome and not well accepted by researchers

• Metasys capabilities and alarm procedures not fully understood by building managers and researchers

• There is an opportunity to share best practices and lessons learned with Argonne lab counterparts

• Urgent repairs can be delayed/hampered due to existing procurement strategies

• Significant amount of infrastructure is nearing the end of its useful life

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FESS Section Recommendations

• Develop a management of change process to “market” DP-18 as well as identify opportunities/methods to streamline the process

• Document a clear protocol for adding new Metasys alarm points as well as emergency call out procedures, evaluate the need to drill call out procedures.

• Continue to evaluate staffing levels against the strategic plan and current needs

• Continue to evaluate funding mechanisms and priorities for infrastructure and deferred maintenance projects

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FinanceFermilab

August 31, 2007

Committee

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Finance Noteworthy Practices

• Successful implementation of contract transition activities

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Finance Observations

• Budget submissions and transfers executed on time

• Met performance requirement for timely payment of vendors

• Good communication with field financial analysts • Implementation of Oracle financials proceeding

on schedule• Phased implementation of Time and Labor system• Increased and complex requirements challenge

organizational resources• FY2008 budget may be inadequate to support

current laboratory commitments

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Finance Recommendations

• Sustain implementation of current Financial System upgrade plan

– Ensure adequate resources and funding for the upgrade plan

• Implement an automated travel expense system• Aggressively monitor laboratory commitments in

light of the FY2008 budget

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Office of Quality and

Best PracticesFermilab

August 31, 2007


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OQBP Noteworthy Actions

• Creation of the OQBP to spearhead quality assurance and contractor assurance activities driven by two key DOE directives in the DOE-FRA contract

– DOE Order 414.1C, Quality Assurance– DOE Order 226.1, Implementation of DOE Oversight Policy

and Contractor Assurance Systems• Oversight of the root cause analysis of the triplet

failure• Commitments and Initiatives tracking and reporting

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OQBP Observations

• DOE Order 226.1A has been promulgated but not incorporated into the DOE-FRA contract. If incorporated in the DOE-FRA contract, it will require a CAS for

– physical security, emergency management, cyber security• DOE is expecting OQBP to bring a 414.1c based

Quality Program to the Laboratory• DOE desires a large quality impact across the Lab per

the proposal description of the purpose of the OQBP• Both DOE & the Committee have serious doubts

about the ability of OQBP to deliver on promises with one professional and a $1M budget

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OQBP Recommendations

• Establishment of Laboratory Quality Program should be top priority

• The Quality program must include an independent oversight function

• Benchmark other SC laboratories• Establish the Quality Council and assure its early

involvement in the development of the Quality Program

• Funding level for this activity needs higher prioritization

• Develop prioritization process for dealing with requests for assistance from within the laboratory

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WD&R SectionFermilab

August 31, 2007


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WD&R Section Observations

• Discussion of FLSA changes and FY08 comp. planning dominated many division interviews

• References to positives experiences with other (non-comp) HR related services (e.g. employee relations)

• FLSA changes implemented (well after deadline) in accordance with law and standard practices by employment law and HR professions

– Disagreement still expressed by dept heads, especially over degree/non-degree issue

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WD&R Section Observations (cont.)

• FY08 Salary Review process– DOE anticipates likely certification of new comp. plan

system on schedule

– 2nd cycle of new plan recently completed

– Project plan, including communication planning and incorporating change management principles, was developed and used

– Some dept heads continue to challenge comp. strategy which Directorate chose early 2006

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• Some critique of delays in hiring process– Review of hiring process indicated documented process

(with flexibility) and performance metrics

– Scientific hiring still being driven by divisions• OHAP being driven by Directorate

– Lagging in schedule, purpose/scope not fully developed yet?

– No evidence of near-term succession/replacement planning

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• Some suggestion of increased attrition due to lowered morale driven by compensation issues

– Review of actual attrition rates shows low percentage consistent with past years and typical retirement ages

• During significant cultural change, the Committee observed and found evidence of inappropriate and disruptive leadership behaviors among the senior leadership with no evidence of associated negative consequences for this behavior

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WD&R Section Recommendations

• Within WD&RS, continue development of project management model, including communication planning and incorporating change mgt principles

– In particular, project plan for scientific hiring process changes, evaluation of retiree medical

• Fully leverage development opportunities of Strategic Laboratory Leadership Program

– Link key messages to core competency leadership skills training

• Continue to utilize change management principles and communications planning in all major Lab initiatives

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WD&R Section Recommendations (cont.)

• Continue to learn from and leverage expertise of Public Affairs in planning internal communications and messaging

• Consider ongoing metrics reporting for hiring processes

• Education Office – provide permanent space for these truly “showcase” programs

• Address expected leadership behaviors in cultural change efforts. Enforce expectations with consequences.

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Summary

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Global Questions How has the laboratory reorganization affected your

ability to deliver services?

How has the change from URA to FRA affected your ability to deliver services?

What new initiatives to improve services have you developed with ANL as a result of the establishment of FRA?

What change management practices, principles, and procedures have you used and how successful were they?

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Highest priority recommendations Aggressively monitor laboratory commitments in light

of the FY2008 budget Establish a Laboratory Quality Program Closely monitor accident rates and continue root

cause analysis of each accident Continue to evaluate funding mechanisms and

priorities for infrastructure and deferred maintenance projects

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Crosscutting Issues The uncertainty of the laboratory’s future drives fear

and morale issues Regardless of the nature of the change, a common

and integrated approach to change management (including communications) is necessary

Cohesive leadership is required in the face of substantial change

Documents

1 Closeout Slides The Administrative Peer Review Committee August 31, 2007 FY2007 Administrative Peer Review