brookhaven science associates u.s. department of energy

Brookhaven Science AssociatesU.S. Department of Energy

Roy H. Lebel

Identifying & Managing Risks

September 20, 2005

Sharingfor

Performance Excellence

ASQEnergy & Environmental

Conference

Brookhaven Science AssociatesU.S. Department of Energy 2

Presentation OutlinePresentation Outline

A little about Brookhaven National Laboratory A new contract requirement

• The hammer that made it happen The assurance model

• BNL Level (the Laboratory)– Risk identification and barrier process mapping

• BSA Level (the Corporate Board)

Monitoring and Reporting What does it take? Discussion

• Successes/failures and future challenges


Where is Brookhaven National Lab?Where is Brookhaven National Lab?

Long Island –NYUSA


Where is Brookhaven National Lab? Where is Brookhaven National Lab? Long Island NY


Brookhaven National Laboratory- NY-USA

Corporate Park Structure


Brookhaven National Laboratory

Designing, building,and operating it safely and successfullyrequires arisk management approach that is reasonable and manageable.

“What keeps me up at night!!!”



Is a government owned, contractor operated facilitymanaged under contract to the U.S. Department of Energy since 1998 by Brookhaven Science Associates, LLC,a partnership between Stony Brook University and Battelle Memorial Institute.

DOE required BSA to demonstrate a “culture change”in Laboratory management, maintaining excellent sciencewhile improving environmental, safety, health and quality management throughout the Laboratory.

BSA has implemented approximately 34 management systems based on industry best practices.


A New 2005 Contract RequirementA New 2005 Contract Requirement

BSA ContractSection C.3.3 Performance Objectives & Measures“The Contractor shall develop and implement a Laboratoryassurance process, acceptable to the Contracting Officer, which providesreasonable assurance that the objectives of the Contractor’s managementsystems are being accomplished and that the systems and controls will beeffective and efficient. The Contractor’s assurance process shall reflect anunderstanding of the risks, maintain mechanisms for eliminating ormitigating the risks, and maintain a process to ensure that the managementsystems and their attendant assurance process(es) meet contract requirements.”

BSA ContractSection C.3.3 Performance Objectives & Measures“The Contractor shall develop and implement a Laboratoryassurance process, acceptable to the Contracting Officer, which providesreasonable assurance that the objectives of the Contractor’s managementsystems are being accomplished and that the systems and controls will beeffective and efficient. The Contractor’s assurance process shall reflect anunderstanding of the risks, maintain mechanisms for eliminating ormitigating the risks, and maintain a process to ensure that the managementsystems and their attendant assurance process(es) meet contract requirements.”

The Process


New Contract RequirementNew Contract Requirement

BSA ContractClause I-76 Management Controls - Section (c) “On an annual basis, the Contractor, through an officer at a levelabove the President of BSA, shall submit an assurance to the Contracting Officer that the system of management controls, including all systems revisedin accordance with the clause of this Contract entitled, “Application of DOEContractor Requirements Documents”, is adequate to assure that the objectivesof the management system are being accomplished and that the system andcontrols are effective and efficient.”

BSA ContractClause I-76 Management Controls - Section (c) “On an annual basis, the Contractor, through an officer at a levelabove the President of BSA, shall submit an assurance to the Contracting Officer that the system of management controls, including all systems revisedin accordance with the clause of this Contract entitled, “Application of DOEContractor Requirements Documents”, is adequate to assure that the objectivesof the management system are being accomplished and that the system andcontrols are effective and efficient.”

The Deliverable


BSA Assurance Model BSA Assurance Model

Line Managers and Staff

Management System Steward’s Forum

Policy Council

Operations

BSA Risk Committees

Institutional Strategy

Personnel and Compensation

Audit and Finance

Work planned and performed, Data collected: self assessments, audits, oversight, peer review

BSA BoardBSA Board

•Review Quarterly Performance Report•Assess key processes; verify Lab-provided data•Commission independent reviews•Provides “assurance” to the BSA Board Chairman

•Review Quarterly Performance Report•Assess key processes; verify Lab-provided data•Commission independent reviews•Provides “assurance” to the BSA Board Chairman

Provides Quarterly Performance Report to Policy Council•Management system assessments, line assessments•Measures, trends, issues, causes, recommendations•External reviews

•Initiates management actions based on Quarterly Performance Report •Consistent with strategy, risk limits•Provides report to BSA risk committees

Visio

n, S

trateg

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itsV

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Perfo

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Perfo

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•Receives assurance from risk committees•Provides assurance letter to DOE•Adjusts vision, strategy, expectations, limits based on DOE feedback on assurance letter

BS

AB

NL


BSA Assurance Model:

The BNL Level BSA Assurance Model:

The BNL Level

Line Managers and Staff

Management System Stewards

Policy Council

•Work planned and performed, •Data collected: self assessments, audits, oversight, peer review

Provide Quarterly Performance Report to Policy Council•High risk event definition; barrier process development•Management system assessments, line assessments•Measures, trends, issues, causes, recommendations•External reviews

•Initiates management actions based on Quarterly Performance Report input•Consistent with strategy, Risk limits•Provides performance data to BSA


BNL Level:Management Systems-Based ApproachBNL Level:Management Systems-Based Approach

BNL’s primary functions and processes captured in 34 Management Systems (MS).

Each BNL MS has an assigned “Steward” - typically a Level 1 manager or above.

Each Steward has identified a number of high risk events. Each Steward has also identified functions and processes

within their MS that serve as “barriers” to these events. These “barrier processes” are given high priority in

performance measurement, self-assessment and external assessments.

The BSA assurance process will focus on these “barrier processes” within BNL’s management systems by focusing on MS performance.


BNL Level: Barrier Process MappingBNL Level: Barrier Process Mapping

BNL Management Systems

Barrier P

rocessesB

arrier Processes

RIS

K M

AN

AG

EM

EN

T

High Risk Events


Risk Barrier AnalysisRisk Barrier AnalysisCommittee:

High Risk Event (HRE):

Current Vulnerabilities:

Monitoring and Measurement Key Barriers (Functions) and mitigation strategies

Management System

Measures Targeted Assessment Owner


Committee: Operations

High Risk Event (HRE): Malevolent act against an employee, guest, contractor, or member of the public

Current Vulnerabilities:

Monitoring and Measurement Key Barriers (Functions) and mitigation strategies

Management System

Measures Targeted Assessment Owner

Physical rounds/surveillance Safeguards and

Security

Work Controls Work Planning and

Control

Self Inspections/Tier I Safety Inspections/Self-Assessments

Worker Safety and Health

Emergency Response

Emergency Response Services /

Safeguards and Security

Security Response Time A. McNerney

ISSM Safeguards and

Security

HR intervention Training, HR intervention Training, Employee Assistance Program (EAP), Brookhaven Advocacy Council (BAC), Violence in Workplace Committee, debarment

Training & Qualifications

Emergency Management Emergency

Preparedness

Training & Qualifications Training &

Qualifications % of HR Intervention Training

B. Schwaner


BNL Level:Example of High Risk Event and Barrier ProcessesBNL Level:Example of High Risk Event and Barrier Processes

Barrier Processes Management Systems

Performance Measure

Fire prevention Facility Safety % Fire Alarm Test/Maint. Events completed as

scheduled(Risk Level - Max 90%)

Fire suppression Emergency Response Fire Dept. response time (Risk Level - Max 5 min)

Experimental Safety Review

Work Planning & Control None – Self Assessment Activity

High Risk Event: Fire causes extended outage of user facility


BNL Level: Ongoing Focus on Management SystemsBNL Level: Ongoing Focus on Management Systems

BNL Management Systems

ASSURANCE

Barrier Process

Barrier Process

Barrier Process

Barrier Process

Barrier Process

Performance Measurement

Integrated Assessment


BNL Level:Management Systems-Based ApproachBNL Level:Management Systems-Based Approach

MS Stewards continually monitor the effectiveness of “barrier processes” within their MS

MS Stewards meet quarterly • Emerging and new requirements• Performance trends and issues• Develop quarterly report input

Quarterly Performance Report to BNL Policy Council• Integrates performance and assessment information • Quarterly Performance Reports are a key element in the

Assurance Process.


BNL Level:Quarterly Performance Monitoring (Internal)BNL Level:Quarterly Performance Monitoring (Internal)

Presentation to BNL Policy Council Organized by Management System Contents include:

• Contract Critical Outcome Performance status• Management System Performance

– Steward’s dashboard assessment of MS performance• Major events and occurrences• DOE feedback • Significant assessments/reviews/audits and summary results• Brief narrative description of issues and management response• Institutional Performance

Brookhaven Science AssociatesU.S. Department of Energy

Brookhaven Science Associates

Third Quarter Performance Summary


Fiscal Year 2005

Presentation to Policy Council July 25, 2005

BHSO August 2, 2005


Institutional Performance

Management System Performance

Contractual Performance Measures

Event Data Analysis •ORPS•PAAA•Assessment/Corrective Action Tracking•Tier 1 Inspection Results

•Current Condition •Plans & Status •Current Condition •Plans & Status

•Measure Owners•Summary of Performance Measure •Status of Metric•Influencing Factors•Plans•Partnership Items

Agenda

1-

2-

3-

BHSO Mgmt. System Stewards and Point of

Contacts Program

4-

•Assigns POCs for each management system •Roles and responsibilities for stewards and POCs•Mechanisms of providing feedback

•Assigns POCs for each management system •Roles and responsibilities for stewards and POCs•Mechanisms of providing feedback


FY 2005 Quarter 3 - 3.0 Laboratory Management and Operations Structure

LAOBORATORY MGMT.AND OPERATIONS

3.0

CORPORATELEADERSHIP

3.1

STRATEGIC PARTNERSHIPS

3.1.1

LABORATORY LEADERSHIIP

3.1.2

DIVERSITY

3.1.3

BUSINESSPROCESSES

3.2

PHASE IV OFBENCHMARKING STUDY

3.2.1

CYBER SECURITY

3.2.2

PROCUREMENT OPERATIONS

3.2.3

MANAGEMENT SYSTEMPLANNING, ASSESSMENT

AND IMPROVEMENT3.3

MANAGEMENT SYSTEMMATURITY DETERMINATIONS

3.3.1

THIRD PARTY ASSESSMENTOF PROGRAM

3.3.2

IMPROVED ESH&Q -

OPERATIONS SERVICES

3.4

OSHA REPORTABLE INJURYMANAGEMENT

3.4.1

DAYS AWAY, RESTRICTED,OR TRANSFERRED RATE

3.4.1.1

TOTAL REPORTABLECASE RATE

3.4.1.2

SITE INFRASTRUCTURE,FACILITIES , OPERATIONS

AND SECURITY3.5

ALTERNATIVEFINANCING (AF)

3.5.1

BNL HOUSINGRECONST. PROJECT (HRP)

3.5.1.1

PROJECTMANAGEMENT

3.5.2

MAINTENANCEINVESTMENT INDEX (MII)

3.5.3

ENERGYCONTRACT

3.5.4

INFRASTRUCTURERELIABILITY

3.5.5

COMMUNICATIONS

AND TRUST

3.6

COMMUNITY EDUCATION, GOVERNMENT& PUBLIC AFFAIRS MGMT.

3.6.1

PROMOTING SCIENTIFICINITIATIVES, ACCOMP.

& OPS. PRIORITIES3.6.1.1

EXPANDINGPARTNERSHIP

OPPORTUNITIES3.6.1.2

INTERNAL COMMUNICATIONSAND INVOLVEMENT

3.6.1.3

Marginal / Unsatisfactory

Outstanding / ExcellentGood


MEASURE 3.1.3 Diversity

Summary of Performance MeasureBSA will strive for Best Practices in managing diversity programs linked to

recruitment and diversity educational awareness activities.Specific Status of Metric• Suggested changes to draft Diversity (DV) Engagement Practices

checklist were completed. Checklist will be reviewed by Level I Managers at Policy Council this quarter. (Measure #1)

• Timeline has been established for completion of recommendations outlined in 2001 Hewitt Diversity Emphasis Study. Specifically, define and communicate role for DV and its involvement in HR processes by September 2005 and develop tool to address diversity management accountability of Lab Managers and link to performance appraisal process by July 2005. (Measure # 2)

• Phase II of Diversity Educational Awareness Training pilot program for BES employees is under way. Training for Religious Awareness occurred on May 25, 2005. Three remaining diversity education awareness topics will be presented on July 20, September 21 and October 19, 2005. (Measure #5) Performance Metric

Outstanding 5 of 5 performance elements being implemented

Excellent # 1 and 3 of remaining performance elements being implemented

Good #1 and 2 of remaining performance elements being implemented

Marginal 2 of 5 performance elements being implemented

Unsatisfactory 1 or less performance elements being implemented

BHSO Partnership Items• The schedule of the BSA’s HR management

system steward, Bill Hempfling, and BHSO’s HR contact, Bob Gordon, would not permit solicitation of feedback in time for submission of this summary. Diversity Manager, Shirley Kendall, confirmed the Outstanding projection for the contract performance measure on Diversity with BHSO’s performance measure owner, Pat Palladino.

Objectives for Next Quarter• Draft Section II of Diversity Engagement

Practices profile and seek review by Diversity Management Steering Committee. (Measure #1)

• Meet with Affinity Group leaders to seek feedback on Diversity Services. (Measure #5)

• Brief at least two departments on the status of Diversity at monthly staff meeting. (Measure #2)

Issues• None


Management System Performance

RED = MS is incomplete:• Definition and/or implementation of processes and procedures are inadequate and will likely result in

damage the laboratory’s reputation, fines or significant loss in fee, or other recognized risk• Major milestones/planned improvements have been/or will be missed and can not be completed with current

resources• Impending requirements or conditions will result in significant institutional vulnerabilities• Performance measure and/or assessments results indicate systematic weaknesses and requires immediate

management attention

YELLOW = MS is somewhere between Red and Green:• Definition and/or implementation of processes and procedures is

less than adequate which may result in damage the laboratory’s reputation, fines or significant loss in fee, or other recognized risk

• Major milestones/planned improvements have been/or will be missed however can be completed with current resources

• Impending requirements or conditions may result in significant institutional vulnerabilities

• Performance measure and/or assessments results indicate a need for specific improvements

GREEN = MS is complete:• Processes and procedures are adequately defined and implemented

to protect the institution from significant risk• Major milestones/planned improvements are achievable with current

resources• No impending requirements or conditions will represent significant

institutional vulnerabilities• Performance measure and/or assessments results indicate a well

functioning, compliant system, with only minor improvements needed

Dashboard Conditions


FY05 Management System Performance

Acquisition Management

Property Management

Work Planning and Control

Administrative Management

Emergency Preparedness

Emergency Response Services

Facility Operations

Real Property Asset Mgmt.

Safeguards and Security

M. BebonDeputy Director for Operations

Management System Steward

Management Systems Dashboard Condition

Rational

• Staffing levels insufficient

• Assessment results indicate need for improvement

• DOE order 1.5.1 not fully satisfied• Improvement/Milestones planned

A. McNerneyALD for Facilities

& Operations


Institutional Performance•ORPS•PAAA

•Assessment/Corrective Action Tracking•Tier 1 Inspection Results

Institutional Performance•ORPS•PAAA

•Assessment/Corrective Action Tracking•Tier 1 Inspection Results

QuarterlyORPS

Office of Science DOE-EHBHSO

Requirement

Quarterly PAAA

BHSO

ATS

QUARTERLYExecutive View

BHSO

Tier 1 ESH Coord


BNL Level:Quarterly Performance Monitoring (External)BNL Level:Quarterly Performance Monitoring (External)

Report to the BSA Risk committees Organized by High Risk Events Contents include:

• Risk Metrics • Management System Performance

– Steward’s dashboard assessment of MS performance• Major events and occurrences• DOE feedback • Significant assessments/reviews/audits and summary results• Brief narrative description of issues and management response• Institutional Performance


Brookhaven Science AssociatesThird Quarter

Operations Risk CommitteeRisk Package



BSA Structure for Assurance:New Proposed Risk CommitteeBSA Structure for Assurance:New Proposed Risk Committee

1.0 Executive Overview The Brookhaven Science Associates (BSA) Operations Risk Committee has identified a series of potential high-

risk operational events that could occur at the Laboratory. These high- risk events were then analyzed to determine key Brookhaven National Laboratory (BNL) processes that are in place to prevent them from occurring or to mitigate the associated impacts. The level of effectiveness of these key “barrier processes” is a direct measure of the degree of operational risk being accepted by the BSA Board, Laboratory management, and the Department of Energy (DOE). This report provides the status of a series of metrics that have been selected by the Operations Risk Committee of the BSA Board as the optimum indicators of the effectiveness of BNL’s “barrier processes” or as related indicators of overall performance in a given area.

Currently 20 metrics are being monitored in the area of operations. These metrics fall under five principal categories and include a mix of leading and lagging indicators. The categories and their associated metrics are as follows:

Worker Safety and Health (High Risk Event: Serious injury, occupational illness, or fatality of a worker, guest, or member of the public)

TRC and DART Rates Training Accomplishment Environment, Safety, Health and Quality Tier I Inspection Program Effectiveness Construction Site Safety non-conformances per inspection Unplanned worker radiation exposures PAAA trend analysis Environmental Stewardship (High Risk Event: Major environmental release, or significant regulatory action) Number of environmental permit limit exceedances Number of unplanned releases Number of environmental enforcement actions Failure to sustain ISO 14001 certification Protection of National Security and Government Property (High Risk Event: Loss, theft or compromise of nuclear or

classified materials; loss of theft of government property) Security alarm system performance Security forces response time Number of security incident reports involving nuclear, classified or property loss and number of nuclear material balance

reports indicating discrepancies


2.1.2Training Accomplishment Commentary Required training accomplishment continues to meet

expectations at greater than 95% for employees. Continued effort is needed to improve the results for transient guests and contractors.

Reviews/Audits Energized Electrical Work assessment found training program

functional and compliant with NFPA and recommended minor, specific revisions to electrical courses.

Contractor Vendor Orientation was audited by Liberty Mutual in anticipation of the increased construction activities and found it effective, complete, and compliant.

Cyber Security Review and EMS/OHSAS Registration audit found no training issues.

Data Point on the Graph Represents The percent of required training completed, by quarter, is shown

on the graph for employees and contractors. Limit Discussion The required training goal is 95%. There is an expectation of

100% compliance for training and qualifications to perform work.

This Graph Produced From Input from the Human Resources & Occupational Medicine

Why Monitor the Risk? The purpose of the Training and Qualifications program is to

ensure that BNL employees, guests, users, and contractors are trained and qualified to perform their assigned tasks and job functions. Training requirements are established in accordance with regulatory requirements for work to be performed, hazards that may be encountered, areas that will be accessed, potential for risk, and general site requirements. BNL has defined minimum training requirements for work to be performed, and monitors the completion of these requirements. In addition to ensuring that personnel receive appropriate training, the BNL is committed to ensuring that its workers are qualified to perform their jobs.

This metric is a leading indicator for management to review and to take action on, however, it should not be construed that personnel are working without required training. There is an expectation of 100% compliance for training and qualifications to perform work.

Data Point on the Graph RepresentsThe percent of required training completed, by quarter, is shown on the graph for employees and contractors.

Limit DiscussionThe required training goal is 95%. There is an expectation of 100% compliance for training and qualifications to perform work.

This Graph Produced FromInput from the Human Resources & Occupational Medicine Division.

Contact Point for More Information B. Schwaner (631) 344-3244

FY 2005 Required Training

828486889092949698

Month

Per

cent

age

(%)

Employee

Guest/Contractor


Operations Risk CommitteeOperations Risk Committee

Management System AssessmentSteward Assessment: • Cyber Security Corrective Action Plans - Yellow• HSPD-12/PIV - Yellow• Asset Management - Yellow

Contract MeasuresMeasure 3.2.2 Cyber Security:

Risk Measures Performance measures are being developed as corrective

actions to to address the findings of the DOE-OA Unclassified Cyber Security Program Assessment (11/04) findings.

Assessment Status/Results• Weekly project plan meetings show that the FY05

corrective action (milestones and end dates) outlined in the corrective action plan are on schedule.

• An oversight committee was established to monitor the status of the implementation of the corrective actions.

Accomplishments• As of June 30, 2005, the unclassified cyber security

program has completed 4 of the 19 action items for FY05. The classified program has completed 12 of 13 action items for FY05.

• A request was submitted to BHSO to conduct an independent verification and validation of actions completed by June 23, 2005.

Information Resource Management System

Marginal

Yellow

BHSO Partnership Items• BHSO agrees that the Management System Assessment

remain rated as Yellow.• At the request of BHSO the Chicago Service Center

Safeguards and Security Cyber Expert performed an assessment of the entire BNL Corrective Action Plan status (including actions for BNL, BHSO and SC). This assessment found that as of June 10, 2005 there were 17 action items closed, three findings that were closed (BNL-CS-011, BNL CS-012 and CH-CS-002) and one item that is overdue and has been assigned a revised completion date. There were four items that could be closed, except for the formal approval of revised policies and procedures. All other items are on schedule for completion.

Objectives for Next Quarter• Complete the remaining 15 corrective actions for the

unclassified cyber security program, and the single remaining corrective action for the classified cyber security program.

Issues• Even though implementation of minimum baseline security

configurations on BNL computers is a FY06 corrective action milestone, it might impact the FY05 C&A corrective action.

• By not implementing these configurations there is a risk that a control process may not be identified and BNL will be unable to inform DAA of this risk.

• BNL and BHSO still have not reached agreement regarding which findings constitute “Significant Weakness”.


BSA Assurance Model:

The BSA LevelBSA Assurance Model:

The BSA Level

BNL Policy Council

BSA Committees

BSA BoardBSA Board

•Review BNL Quarterly Performance Report•Assess key processes; verify Lab-provided data•Commission independent reviews•Provide “assurance” to the BSA Board Chairman

•Review BNL Quarterly Performance Report•Assess key processes; verify Lab-provided data•Commission independent reviews•Provide “assurance” to the BSA Board Chairman

Visio

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Perfo

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•Receives assurance from risk committees•Provides assurance letter to DOE•Adjusts vision, expectations, limits based on DOE feedback on assurance letter


BSA Structure for Assurance:

Proposed Risk CommitteesBSA Structure for Assurance:

Proposed Risk Committees

BSA Board

Operations

Audit & Finance (combined)

Personnel & Compensation

Institutional Strategy (new)

Business Development Committee assurance responsibilities to be distributed


BSA Level:

Risk Committee Functional ResponsibilitiesBSA Level:

Risk Committee Functional Responsibilities

Operations Committee - has responsibility to assure that management and operations are conducted in a manner that will ensure the safety and security of the staff, the public, and the environment and adequately protect DOE assets from theft and/or damage.

Audit and Finance Committee - has responsibility to ensure that the allocation and utilization of funds meet the expectations of sponsors, staff, and stakeholders and is in accordance with all applicable contractual and regulatory requirements.


BSA Level:

Risk Committee Functional ResponsibilitiesBSA Level:

Risk Committee Functional Responsibilities

Personnel and Compensation Committee - has responsibility to ensure the effectiveness of the Laboratory’s processes to attract and retain the highest caliber workers and to ensure a workforce that reflects and values diversity.

Institutional Strategy Committee - has responsibility to assure that the Lab’s strategy for the growth and vitality of its scientific mission is supportive of DOE’s missions and other stakeholder needs and expectations, and is being communicated and executed in a manner that will achieve the desired objectives.


BSA Level:Risk Committee ResponsibilitiesBSA Level:Risk Committee Responsibilities

Maintain awareness of Lab performance and issues throughout the FY

Typically focus at Management System level Interact primarily with Stewards Conduct independent assessments and

verifications as deemed appropriate Report findings to the BSA Board Recommend “Assurance” to the BSA Board


BSA Level:Risk Committee Data ResourcesBSA Level:Risk Committee Data Resources Laboratory-provided

• Quarterly performance and assessment data• Quarterly risk packages• Performance on key performance measures including

DOE Critical Outcomes• Summary of integrated assessment program results• Narrative discussion of issues and plans• Presentations and reports to the Board

Independence is KEYKEY• BSA Corporate Oversight reviews• External assessments of BNL• Other existing forums (e.g. Battelle Operations Council)• Committee staff on-site assessment/verification reviews


BSA Level:High Risk Event/Risk Committee AlignmentBSA Level:High Risk Event/Risk Committee Alignment

Operations Fatality or serious injury to employee, guest, contractor or member of the public Loss or theft of classified matter or nuclear material Successful terrorist attack Catastrophic loss/damage to facilities (fire, flood, explosion, collapse) Major chemical, biological, or radiological release to the environment Major cyber-security penetration with significant loss of data Major operational disruption to utility infrastructure Malevolent act against an employee, guest, contractor, or member of the public Significant exposure of any of the above to hazardous/toxic chemicals, biological

agents, or radiation Loss of DOE – ISM, ISO 14001, or OHSAS 18001 registration/certification Significant regulatory violation/enforcement action Major PAAA incident/fine Major Loss or theft of property


Audit & Finance Major breakdown in internal controls Significant undetected fraud/waste/abuse event Sizeable unallowable cost Major budget variance at institutional level Loss of a major litigation with sizeable damages due Failure to successfully implement high return on

investment improvements



Personnel & Compensation Loss of a key scientist or support manager Loss of DOE certification for HR Compensation

System Failure to attract a strategic scientific hire Successful claim of discrimination Inability to fill key leadership position on a timely

basis



Institutional Strategy Publication of fraudulent scientific result Major loss of programmatic funding Extended outage of a major user facility Failure to achieve programmatic commitments Loss of elected official/community support Significant adverse media coverage Failure to achieve a key strategic partnership

BSA Level:Risk Event/Risk Committee AlignmentBSA Level:Risk Event/Risk Committee Alignment


What Does it ALL Take !!!!


INSTITUTIONAL PERFORMANCE METRICS

FY06 Risk Metrics1ST Qtr. Self Assessment Results by Management System Stewards1st Qtr FY06 Performance ReviewInstitutional Performance Metrics

FY05 EMPLOYEE PERFORMANCE APPRAISALFY06 EMPLOYEE GOAL SETTING

R2A2 REVIEW / UPDATE

LAB QTRLY. PERFORMANCE REPORT

ASSURANCE PROCESS

Director’s RetreatFY05 S.A. ResultsFY06 S.A. Plans

FY06 Inst. MeasuresFinalize Lab Agenda

Final Risk PackagesTo Risk Committee Chairs

Draft 4th Qtr RiskPackages to BSA Board

Draft Assurance LetterTo BSA Board Chair

Assurance LetterTo DOE

IndependentVerification Activities

DATA CALLS

Briefing to Policy Council

Briefing to BHSOBriefing to

Mgmt. Council

Develop Set of InstitutionalPerformance Measures (Director’s Retreat)

FY06 PEMP

Final Set from BHSO

FY05 YEAR-END SELF-EVAL. S&T / OPNS

C.O. Metrics & AccomplishmentsRelevant Facts & Areas for ImprovementDraft for Internal Review

C.O. Mgmt. Systems Institutional Perf.(Qtr. & Year-End Roll-Up)

1 5 10 15 20 25 31 1 5 10 15 20 25 30 1 5 10 15 20 25 31

October November December

FY06 LAB S.A. PLAN

ExternalMgmt. System Targeted S.A. Req’d Line

FY06 Lab S.A. Plan

SBMS COMPLETION PROJECT

Complete Documents / Publish on SBMS System

First Quarter FY05


FY05 EMPLOYEE PERFORMANCE APPRAISAL FY06 EMPLOYEE GOAL SETTING

R2A2 REVIEW / UPDATE


ASSURANCE PROCESSDraft 4th Qtr Risk

Packages to BSA Board

Briefing to Policy Council

Briefing toBHSO

FY06 PEMP

Final Set from BHSO

FY05 YEAR-END SELF-EVAL. S&T / OPNSC.O. Metrics & AccomplishmentsRelevant Facts & Areas for Improvement

Draft for Internal Review

C.O. Mgmt. Systems Institutional Performance (Qtr. & Year-End Roll-Up)

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31

October


October 2005




ASSURANCE PROCESS

Final Risk PackagesRisk Committee Chairs

Briefing to Management Council

C.O. Mgmt. Systems Institutional Perf.(Qtr. & Year-End Roll-Up)

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30

November


FY06 LAB S.A. PLAN

FY06 Lab S.A. Plan

INSTITUTIONAL PERFORMANCE METRICS

Develop Set of InstitutionalPerformance Measures

(Director’s Retreat)

Draft Assurance Letterto BSA Board Chair

Director’s RetreatFY05 S.A. ResultsFY06 S.A. Plans

FY06 Inst. MeasuresFinalize Lab Agenda

IndependentVerificationActivities


November 2005

FY05 EMPLOYEE PERFORMANCE APPRAISAL / FY06 EMPLOYEE GOAL SETTINGR2A2 REVIEW / UPDATE


ASSURANCE PROCESS

FY05 YEAR-END SELF-EVAL. S&T / OPNS

C.O. Metrics & AccomplishmentsRelevant Facts & Areas for Improvement

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31

December


December 2005

FY06 Risk Metrics1ST Qtr. Self Assessment Results by Management System Stewards1st Qtr FY06 Performance ReviewInstitutional Performance Metrics

Assurance LetterTo DOE

FY05 EMPLOYEE PERFORMANCE APPRAISAL

FY06 EMPLOYEE GOAL SETTINGR2A2 REVIEW / UPDATE


DATA CALLS


SummarySummary

Successes & Failures

Discussion

Future Challenges