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Facilities Information Management System (FIMS) Validation Training Course

Facilities Information Management System (FIMS) Validation Training Course. Version 1.11/ March 2014 U.S. Department of Energy Office of Acquisition and Project Management (MA-652). Table of Contents. Lesson i Before We Begin Opening and Introduction………………………………………………i-1

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Facilities Information Management System (FIMS) Validation Training Course

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  1. Facilities Information Management System (FIMS) Validation Training Course Version 1.11/ March 2014 U.S. Department of Energy Office of Acquisition and Project Management (MA-652)

  2. Table of Contents Lesson i Before We Begin Opening and Introduction………………………………………………i-1 Lesson 1 Overview – Why Do We Need a Validation Process?...............................................1-1 Lesson 2 The FIMS Validation Process……………………………………………………………..2-1 Lesson 3 Planning the Validation……………………………………………………………...….....3-1 Lesson 4 Inbrief…………………………………….………………………………………………….4-1 Lesson 5 Determine Sample Size…………………………………………………………………...5-1 Lesson 6 FIMS: Extracting the Data and Generating the Data Validation Reporting Forms….6-1 Lesson 7 A Detailed Look at the FIMS Data being Validated…………………….……….…...…7-1 Lesson 8 Source Documents……………………………………………………………………...…8-1 Lesson 9 Desktop Validation using the FIMS Data Validation Reporting Forms…….…….…..9-1 Lesson 10 The Walkthrough Process……………………………………………………..…….…10-1 Lesson 11 Scorecarding……………………………………………….……………………..……..11-1 Lesson 12 Follow Up Actions and Outbrief…………………………………………….………….12-1 Lesson 13 Validation Guidance and Exercise………………………………………………….....13-1 Lesson 14 Course Summary………………………………………………………………………..14-1 Reference Material Table of Contents

  3. Before We Begin Opening and Introduction Lesson i i-1

  4. Welcome • Introductions • Host • Thank you • Logistics • Instructors • Students i-2

  5. Course Schedule • This is a 2-day course • Lessons will include, lectures, group discussions, and exercises i-3

  6. Logistics • Set pagers, blackberries, and cell phones to “silent” • We will have plenty of breaks • A course test will be administered on the afternoon of the last day i-4

  7. Target Audience • DOE Real Property Management Community: • Headquarters staff • Program management staff • Site staff • The Validation Process applies throughout the DOE FIMS user community i-5

  8. Background • DOE has real property holdings of • Over 2.2 million acres of DOE owned and withdrawn from public domain land • 117 million square feet of DOE owned buildings and trailers • DOE’s Facilities Information Management System (FIMS) database • provides ready access to DOE data • contains information to generate an annual report of detailed asset level information to the General Services Administration (GSA)/Federal Real Property Council (FRPC) • Therefore, complete and accurate FIMS information is critical for asset planning, programming, budgeting and management i-6

  9. Course Purpose • Understand the standard and process required to validate key information in FIMS • Apply the knowledge of statistical principles and validation standards • Demonstrate an understanding of the step by step process required to perform a validation on data in FIMS • Understand the importance of FIMS data as a source of information for management decisions i-7

  10. Course Learning Objectives • Develop common understanding of the requirements driving the effort • Explain the FIMS Validation • Describe the steps of the FIMS Validation Process • Understand the meaning of the results of a FIMS Validation i-8

  11. Course Learning Objectives (continued) • Demonstrate the FIMS Standard Reports developed for the Validation process • Learn how to select sample sets of assets • Develop an understanding of source documents • Understand how to use the FIMS Data Validation Reporting Forms i-9

  12. Course Learning Objectives (continued) • Develop FIMS validation scorecards • Understand the organization and steps of a site visit i-10

  13. Definitions • Accuracy – Conformity to fact with precision and exactness • Infer – to conclude from evidence • Statistical – Employing statistics or the principles of statistics • Validate – To establish the soundness of, corroborating and testing the truth • Validation – The act of validating; testing the truth of something i-11

  14. Acronyms i-12

  15. Other Definitions • Other definitions can be found in the FIMS Data Dictionary at http://fimsinfo.doe.gov/documentation.htm i-13

  16. Overview ─ Why Do We Need a Validation Process? Lesson 1 1-1

  17. Lesson 1 Objectives • Describe how FIMS data is used by DOE • Describe the issues associated with data accuracy • Learn about the basic concepts of data validation specially related to desktop validation 1-2

  18. Facilities Management in DOE • DOE Strategic Plan • Asset Management Plan (AMP) • Three Year Rolling Timeline (TYRT) • 430.1B ─ Real Property Asset Management Order • Facilities Information Management System (FIMS) • Federal Real Property Profile (FRPP) Database • Other drivers • Energy Policy Act of 2005 • Executive Order 13327 (Federal Real Property Asset Management) • Executive Order 13423 (Strengthening Federal Environmental, Energy, and Transportation Management) (Sustainability) • Executive Order 13514 (Federal Leadership in Environmental, Energy, and Economic Performance) • Annual Congressional Energy Report • Deferred Maintenance Reporting • Disposition Reporting • Freeze the Footprint 1-3

  19. Timeline TBD Mar 2013 RPAM update Oct 2009 Freeze the Footprint Jan 2007 EO 13514 Aug 2005 EO 13423 (Sustainability) Jan 2005 DOE Asset Management Plan/TYRT Feb 2004 GAO Update Sep 2003 EO 13327 (Federal Real Prop Asset Mgmt) Jan 2003 430.1B Real Property Asset Management Order 1999 High Risk Series – Real Property GAO Performance & Accountability Series 1-4

  20. Real Property Asset Management (RPAM) DOE 430.1B • Issued September 24, 2003, updated February 8, 2008 and April 25, 2011, to improve DOE’s management of the Department’s real property assets • Integrates various management elements and practices into a holistic, performance-based approach to the life-cycle management of DOE’s real property assets 1-5

  21. GAO Report – High Risk Series(GAO-03-122) • High Risk Series – Federal Real Property • Long standing problems • Excess and underutilized real property • Deteriorating facilities • Costly space challenges • Rely too heavily on leases 1-6

  22. Long-Standing Real Property Challenges (GAO) • Many buildings are functionally obsolete • Most structures do not offer healthy “green” sustainable workspaces • Many facilities experiencing physical deterioration • GAO reports a growing backlog of federal agencies repair/alteration backlog • Buildings do not support today’s technology, associates’ ways of working, and the attraction/retention of staff • Landholding agencies need appropriate and up-to-date management practices 1-7

  23. Executive Order 13327“Federal Real Property Asset Management” Promotes the efficient and economical use of Federal real property resources in accordance with their value as national assets Signed -February 4, 2004 1-8

  24. Reasons for Issuing EO 13327 “Federal Real Property Asset Management” • Replace previous EO 12512 (signed April 29, 1985) to further improve on the efficiency and effectiveness of property management • Respond to GAO’s challenge to get real property off the list of “High-Risk” federal programs • Highlight the importance of effective asset management planning • Make federal real property management more consistent with the private sector 1-9

  25. What is in the Real Property Management EO? • Establishes and outlines responsibilities of Senior Real Property Officer(s) (SRPO) in agencies • Establishes a Federal Real Property Council chaired by OMB Deputy Director of Management • Establishes and requires the use of performance measures to assess real property performance • Establishes and requires the maintenance of the government’s inventory of real property (Federal Real Property Profile) • Highlights the need for broader real property reform • Repeals EO 12512 (1985 EO signed by President Reagan) 1-10

  26. Role of SRPO? • DOE SRPO Carmelo Melendez, Director Office of Property Management, Office of Acquisition and Project Management (OAPM) • Develop and implement agency Asset Management Plan. AMP will:- Identify and categorize real property owned, leased and managed by agency- Prioritize actions to improve operation and financial management of real property- Prepare life-cycle estimates for prioritized actions- Identify existing legislative authorities that address prioritized actions- Identify and pursue goals with appropriate deadlines that support asset management plan- Incorporate requirements of historic property (EO 13287) and environmental management (EO 13148) in planning decisions- Identify other actions to facilitate development and implementation of asset management plan • Monitor agency management of real property assets in a manner that is:- Consistent and supportive of overall strategic plan- Consistent with asset management principles • Report to OMB and GSA on:- Information on real property under agency jurisdiction, custody and control • Implementation of Freeze the Footprint 1-11

  27. Freeze the Footprint (FTF) • Memo issued March 14, 2013 to All Executive Agencies from Danny Werfel, Controller on Implementation of OMB Memorandum M-12-12 Section 3: Freeze the Footprint • Available on the FIMS website at http://fimsinfo.doe.gov/hq_guidance.htm • FTF requires that DOE not exceed its FY2012 Federal Real Property Profile (FRPP) baseline square footage for offices and warehouses • Baseline SF 35,733,813 • FY 2013 SF 35,501,146 • The FIMS Anticipated Asset Information Module (AAIM) tracks all real property assets entering DOE’s inventory 1-12

  28. Uses of FIMS Data ─ Why Validate? • Annual Submission to the FRPP • Required by 41 CFR § 102-84.55 • 41 CFR § 102-84.30 requires agencies to verify the accuracy of each FRPP submission • Active Facilities Environmental Liability Report • Data used in management decision making and supplemental financial reporting • Must be able to demonstrate appropriate internal controls per OMB A-123 • Deferred Maintenance Reporting • Excess elimination report • Executive Order 13423 / Sustainability tracking • Update Three Year Rolling Timeline • Cool Roof tracking as directed by the Secretary of Energy • Utilization tracking • Freeze the Footprint • Many other data calls/external inquires FIMS is DOE’s single corporate repository of Real Property data 1-13

  29. Overview of Desktop Validation • Desktop Validation • Validation where a majority of the effort is spent comparing documents/data • Common tools and approaches • Random selection of FIMS data using the FIMS standard reports • FIMS Data Validation Reporting Forms • Source documents for each data element 1-14

  30. Ownership Usage Code Property Type Status Size Gross Sqft (buildings and trailers) Primary Qty/ Secondary Qty (OSF) Utilization(buildings and trailers) Replacement Plant Value Deferred Maintenance Operating Cost (site level)and Annual Actual Maintenance (asset level) Mission Dependency Historic Designation Using Organization Main Location Location City/State/County/Zip Code Location Congressional District Excess Indicator Estimated Disposition Year Total No of Federal Employees (buildings and trailers) Total No of Contractor Employees (buildings and trailers) Total No of Other Personnel (buildings and trailers) Total No of Occupants (buildings and trailers) Outgrant Indicator Cool Roofs (buildings and trailers) Sustainability (buildings and trailers) Meters FIMS Validation Data Elements and Performance Measures for DOE Owned Assets GREEN– Performance Measures 1-15

  31. Ownership Usage Code Property Type Status Size Gross Sqft (buildings and trailers) Primary Qty/ Secondary Qty (OSF) Utilization(buildings and trailers) Replacement Plant Value Annual Actual Maintenance Mission Dependency Using Organization Main Location Location City/State/County/Zip Code Location Congressional District Estimated Disposition Year Total No of Federal Employees (buildings and trailers) Total No of Contractor Employees (buildings and trailers) Total No of Other Personnel (buildings and trailers) Total No of Occupants (buildings and trailers) Outgrant Indicator Cool Roofs (buildings and trailers) Sustainability (buildings and trailers) Meters Expiration Date Annual Rent Lease Authority FIMS Validation Data Elements and Performance Measures for DOE Leased Assets GREEN– Performance Measures 1-16

  32. Ownership Usage Code Property Type Status Size Acreage Mission Dependency Historic Designation (owned only) Using Organization Main Location Location City/State/County/Zip Code Location Congressional District Excess Indicator Estimated Disposition Year Outgrant Indicator Expiration Date (leases only) Annual Rent (leases only) Lease Authority (leases only) Acquisition Method Year Acquired FIMS Validation Data Elements and Performance Measures for Land Assets GREEN– Performance Measures 1-17

  33. Data Element vs. Performance Measure • Data element is defined as a basic unit of identifiable and definable information; an item used to contain data values. It has an identifying name and value or values for expressing a specific fact. • For example, property type, usage code, or using organization. • Performance Measures, as identified by DOE, are weighted more heavily by the validation process because they are to be used to evaluate the effectiveness of real property management. • May be constructed from multiple data elements • Performance Measures are harder to validate because they change more often than data elements 1-18

  34. Additional FIMS Data to be Verified • Bridge Safety Inspection information will be verified during the FIMS data validation • Reference the OECM memo dated September 14, 2009, Requirements for Bridge Inspections • Available on the FIMS website http://fimsinfo.doe.gov/hq_guidance.htm 1-19

  35. Lesson 1 Summary • The importance of validating FIMS data • FIMS IS the repository of real property data • Used on a daily basis as part of the department’s decision making process as it pertains to real property assets • FIMS data is used to populate the Federal Real Property Profile (FRPP) Resource Advocacy 1-20

  36. The FIMS Validation Process Lesson 2 2-1

  37. Lesson 2 Objectives • Describe the Validation Goal • Learn what assets are being validated in FY2014 2-2

  38. Overview of the Validation Process • Statistical standard for validating the accuracy of key FIMS data elements and performance measures against source data • Identifies performance measures and data elements for validation • Establishes confidence level • Validating the processes applied by a site to populate FIMS 2-3

  39. Overview of the Validation Process (continued) • Validation Goal • To infer a level of accuracy within the whole database. Therefore, we can also infer the ability of the data to support accurate management decisions. 2-4

  40. HQ PROGRAMS SITES Overview of the Validation Process (continued) • Ensures the accuracy of FIMS data at multiple levels • Sites • Programs • HQ • A key goal of the validation process is to standardize procedures throughout the Department regardless of who applies it 2-5

  41. FY2014 FIMS Validation • For FY2014, 3 validations will be performed • One validation will include a random sample of DOE owned buildings, trailers, and Other Structures and Facilities (OSF) • The second validation will include all DOE leased buildings, trailers and Other Structures and Facilities (OSF) • The third validation will include DOE owned, DOE ingrant – DOE leased and withdrawn from public domain land • Contractor leased assets will not be validated • Bridge Safety Inspections will be verified 2-6

  42. FIMS Validation Process 2-7

  43. Lesson 2 Summary • Goal of the Validation is to infer a level of accuracy within the whole database. Therefore, we can also infer the ability of the data to support accurate management decisions. • FIMS validation process will allow DOE to improve the accuracy of its data and support key real property decisions • FY2014, DOE owned assets, DOE leased assets and Land assets will be validated on 3 separate validation forms 2-8

  44. Planning the Validation Lesson 3 3-1

  45. Lesson 3 Objectives • Frequency and Timing • Assembling a Validation Team • Setting the Validation Schedule 3-2

  46. FIMS Validation Process 3-3

  47. Frequency and Timing • Validations are to be conducted annually for all sites • If a Site’s scorecard Status is red however, the Site is expected to conduct revalidations in 60 days or before August 1st • Revalidation will be required for those data elements that scored either Redor Yellow • The FIMS Validation guidance recommends that validations should be completed between January 15th and June 30th of each fiscal year • Provide HQ Program Office with planned Validation date by 11/30 of each fiscal year 3-4

  48. Assembling the Validation Team • Ideal team consists of: • Designated team leader who has successfully completed the FIMS data validation training • Two individuals, one of which should be the FIMS Administrator, who are familiar with the assets to be validated and the source documentation • Others may be rotated in and out of the team as source data or facility experts 3-5

  49. Setting a Timeline for aSite Validation Visit • Establish Schedule • Schedule times for review and facility visits that are as convenient and efficient as reasonable • About 2 days for a site to validate buildings, trailers, OSF and land • Use the Source Documentation Worksheetto coordinate the FIMS updates with the Subject Matter Experts (SMEs) • Inbrief, introductions, procedures (Morning, day one) • Generate random sample set for DOE owned buildings, trailers and OSF. Extract sample set for DOE leased buildings, trailers and OSF. Extract sample set for DOE owned, DOE ingrant – DOE leased and withdrawn from public domain land. (Morning, day one) 3-6

  50. Setting a Timeline for a Site Validation Visit (continued) • Establish Schedule (continued) • Desktop validation • DOE owned buildings, trailers and OSF (morning into afternoon, day one) • If applicable, review bridge safety inspection records (afternoon, day one) • If applicable, DOE leased buildings, trailers and OSF (afternoon, day one into morning of day two if needed) • If applicable, DOE owned, DOE ingrant – DOE leased and withdrawn from public domain land (afternoon day one into morning of day two if needed) 3-7

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