Link to site visit report - Network for Earthquake Engineering ...

Summary of Findings1. Environmental, Health and Safety (EH&S)Risks• Lack of documentation of safety practices.• Corrective action - Site to develop checklist for monthly walk-throughs and keep on file. A copyof the developed checklist should be provided to NEEScomm by July 1, 2012.• The site has no formal procedure for signing liability waivers for outside users.• Corrective action - Develop and implement a procedure for signing of liability waivers (includingREU students).Recommendations• Have University of Illinois EH&S conduct annual Safety Evaluation with a formal report andreply.• Revise safety plan regarding fall protection height.• Evaluate student access to lab area during normal hours of operation.Best Practices• Lab access controlled by keycard after hours.• Load cell used for crane lifts.• Local fire department comes through every 6 months for a walk through.2. Facility Management, Equipment and Research Project SupportRisks5• Project progress and completion rate is unsatisfactory and project scheduling is not transparent.Schedule reporting is inaccurate.o Corrective action – Provide an updated schedule to NEEScomm by May 15, 2012(Completed). Develop a detailed plan to meet the schedule by June 1, 2012. Providebi-weekly schedule updates to NEEScomm every other Friday, starting June 1, 2012.• User survey results in the areas of project scheduling, staffing, and readiness are very low.• Corrective action - Develop a plan to address user survey results (including scheduling, staffing,and readiness issues) and provide the plan to NEEScomm by June 15, 2012.Recommendations• Develop formal succession plan for key personnel (identify primary responsibilities and how theywill be covered).• Review and update equipment and sensor information on NEEShub.• Develop a plan to complete hydraulic line upgrades.• Review and update NEES@UIUC website.Follow up Items• Provide updated utilization spreadsheet that matches actual schedule.• Provide a list of outstanding Krypton issues.• Provide a copy of Shore-Western maintenance contract (Complete).

• Provide a copy of sensor calibration certificate (Complete).Best Practices• Wireless headsets used during testing are tied into Webex.• VGA broadcasts of control screens available to researchers during testing.• Small scale lab used to fine-tune experiments prior to large scale testing.• Bringing in students on projects in advance of the project on which they will work.3. Budget, Finances and ContractsRisks• Lack of documentation for physical assets (tags, etc.)o Corrective action - University of Illinois to conduct a formal inventory of theNEES@UIUC equipment site by August 1, 2012. Results of the inventory are to beprovided to NEEScomm upon completion.Recommendations• To facilitate invoicing, NEEScomm feels it is acceptable to use the system-generated invoicefrom Banner.Follow up Items• Provide a copy of one of the future monthly expenditure reports certified by the PI.• Provide a copy of a future Semi-Annual Expenditure Confirmation certified by the PI.• Provide explanation for inability to articulate why selected items were not physically available forinventory check. Explanation shall include date of previous inventory check.• Confirmation of moving of participant support charges for employees. Provide cost transferdocumentation.Best Practices• RIM committee• Semi-annual expenditure confirmation• Ethics training4. Information Technology (IT)Risks• Lack of backup resource for Site IT Manager• Corrective action - Develop a back-up plan for the Site IT Manager by August 1, 2012. This maybe included in the formal succession plan recommended under Section 2.Recommendations• The site needs to improve collaboration in multiple areas• The Site IT Manager should regularly participate in the monthly IT manager meeting.• The Site IT Manager should establish relationships with other Site IT Managers, especially atsites with similar equipment, to share both issues and successes.6

• Collect diversity data for all outreach activities where possible.• Document activities and assessments reporting all to NEEScomm quarterly.• Contribute current development lessons and activities to NEESacademy.• Continue outreach to Rantoul for under-representative populations.• Continue outreach to Campus Middle School for Girls (private girl’s school).Follow up Items• Site is to provide NEEScomm information on 5.2 Workshops that they have either conducted orparticipated in over the last few years per NEEScomm site visit protocol.Best Practices• Video production on Best Practices of Video Production contributed to NEESacademy.• Small scale structural buildings for classroom activities (need to provide to NEEScomm).• REU participation (usually 2-4 students), hosting Young Researcher Sysmposium (2010).• Designated EOT coordinator8

Area Reviews1. Environmental, Health and Safety (EH&S)GOAL: Comply with all university, government, and/or awardee required environmental, safety, andhealth standards, regulations, and monitoring requirements, including maintaining safety equipment andweb-posted safety plans that equipment site staff and users must follow. Users of the NEES mobile fieldequipment are responsible for obtaining permits required by the field site and for ensuring that theirproject complies with all environmental regulations at the test location.1.1 Safety PolicyThe NEES@UIUC Safety Policy includes notification, PPE requirements, and a corrective actionrequirement. It does not address regular inspections. It has been updated in the previous 12 months. It isposted on the website.1.2 Safety IncidentsNo incidents were recorded in the last 12 months. It is a concern that the lab is used as athoroughfare for students during the day. Though there have been no incidents. NEES@UIUC tries tomitigate safety risks during major operations such as the movement of specimens and LBCBs. Doors areblocked and access to the work area is controlled during these activities.1.3 Safety OfficerThe NEES@UIUC lab safety officer is Michael Johnson. The last official safety inspection wasconducted in 2008. The site responded to the 2008 report and corrective actions were implemented.However, no formal safety inspection has been conducted in the past 4 years. The site mentioned thatthey conduct monthly walk-throughs, but there is no documentation to support this claim.1.4 User Safety Training and PoliciesNEES@UIUC uses a training sign-off for all users and students. Records of this training arekept. There are no official training materials. All training is hands-on. Thus, the content of the trainingcould not be assessed. Additionally, while the site provided a university liability waiver, there is noformal process for users to sign these liability waivers.1.5 Environmental RegulationsThe site has an SPCC plan. All oils are secondarily contained. All MSDS’s are on file andavailable. The site has not had any environmental incidents in the last 12 months.1.6 Emergency PreparednessThe site follows university policies for emergency preparedness. Policies for emergencypreparedness are in the appendix of the NEES@UIUC safety manual.1.7 Physical SecurityAfter hours, access to the building is controlled by keycard access. It is a concern that the lab isused as a thoroughfare for students during the day. Though there have been no incidents.9

2. Facility Management, Equipment and Research Project Support2.1 Collaborative PartnershipsGOAL: Develop a productive working partnership with the NEES operations awardee and its partnerorganizations for all aspects of operations.The previous Site Manager, Greg Pluta, was the chair of the Site Manager Forum. The SiteManager, Michael Johnson, is a member of the Site Scheduling Subcommittee for Structural Sites.The Co-PI, Dan Kuchma, represents the site on the Equipment Site Forum. The site has worked withand provided advice to other sites and NEEScomm regarding the Krypton system. Tim Prunkard hasshared technical knowledge of rigging and set-up with NEES@Minnesota and Purdue.2.2 Accessibility as a Shared-Use FacilityGOAL: Operate as a shared-use facility that is available to researchers from other organizations forexperimentation on-site, in the field or through telepresence. This includes providing equipment,instrumentation, and sensors; data acquisition; local data storage; technician support; informationtechnology; space for specimen construction and demolition; and office space for visiting faculty andstudents.Excellent telepresence capabilities are available at the facility. For example, wireless headsets areused with Webex to provide flexibility to the site to move around the facility during testing whilecommunicating with remote researchers. Also, the site uses VGA broadcasting of test monitors duringtesting to provide remote researchers with real-time viewing of the test control and data. Web cameraswith remote control are also available.A list of sensors available to researchers was provided. However, the list available on NEEShub needsto be updated.The site funds a fulltime site manager and a fulltime IT manager. There is also funding for graduateand post-doc, graduate, and undergraduate calibration technicians. Finally, there are two FTE’sfunded from the central machine shop that are used for lifting and rigging. The user survey revealedresearcher concerns that there is not enough personnel available at the site to adequately meet projectneeds. Thus, there is a perception that there are not enough personnel available to adequately supportprojects. The number of person-months funded by the site increased from FY11 (64.4) to FY12(106.25).Space in the NEES studio is available for researchers when on-site. All testing equipment, dataacquisition, IT resources, are available. However, readiness of the equipment is a concern in thatdelays to projects have occurred as a result of control system programming issues.2.3 Equipment Site Annual GoalsGOAL: Work with the NEES operations awardee to develop annual equipment site goals, work plan,priorities, and budget in accordance with a work breakdown structure (WBS) and dictionary. Also tomaintain an Annualized Equipment Maintenance (AEM) budget for upgrade or replacement of minorequipment, instrumentation, computers, and sensors.10

The site tracks progress on goals through various spreadsheets and web-based GL system. Annualgoals – Utilization, Safety, PMCR, User Survey, Project completion are the goals. Metrics forUtilization, Safety, and PMCR are tracking well. Metrics for User Satisfaction and Project Completionare not meeting goals.Annual Work plan ReviewUIUC2011 User Survey Average: 3.26/5.00Research Support# ofEquivalentProjectsCompletedFiscalYear20112012Q1 Q2 Q3 Q4Year-­‐endPlan0.46 0.84 1.11 1.63 2.916% 29% 38% 56%0.2 0.455 0 0 1.1717% 39%Readiness120%100%80%60%40%20%0%25% 30% 70%0% 0%75%FY2011100%100%0% 10% 80%100%8%38%100%83%Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4Preventative Calibrations % Repairs % Average PMCR Maintenance %%Network Initiatives FY2011Capacity Building120%100% 100% 100%100%75% 75% 75%80%50%60% 50%50%40% 25% 25% 25%20%0% 0% 0% 0%0%Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4Facility IT Community Network EOT Enhancement %Activities % %Network Resource Sharing %120%100%80%60%40%20%0%120%100%80%60%40%20%0%25%50%25%FY201250%FY201225%50%25%50%Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4Preventative Maintenance25%50%25%Calibrations Repairs Average PMCR50%25%50%25%50%Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4Facility EnhancementIT Community ActivitiesNetwork EOTNetwork Resource Sharing2.4 Annual Work Plan DevelopmentThe FY 2012 UIUC AWP was reviewed by Site Operations Subcommittee (SOS). Several changes wererecommended. These changes were addressed by the site. Review of the AWP was not part of the sitevisit review for this Site.2.5 PersonnelGOAL: Hire and supervise the university’s Equipment Site personnel. Staffing at each equipment sitetypically includes a site Principal Investigator, a full-time site operations manager, a full-timeinformation technology administrator, technician(s), and other technical staff.The site is currently fully staffed. The site recently replaced the Site Manager position and recentlyhired a Visiting Project Coordinator who was previously funded through hourly funds. Universitypolicies for hiring and performance appraisals were provided. Concerns were expressed in the usersurvey regarding the level of personnel support provided to research projects.11

2.6 Cost AppropriationsGOAL: Assign appropriate proportion of the costs for preventative maintenance; calibration; repairs;and equipment, instrumentation, and sensor replacement and upgrades to the NSF-supported NEESoperations subaward and to the university.All calibrations are done internally by UIUC and costs for the work are included in the AWP.Example calibrations were provided. The site has a maintenance contract with Shore-Western that isalso funded through the AWP.2.7 Network Technology UpgradesThe site did receive funding for a network technology upgrade to purchase a second Krypton system thatwould be available to researchers at the site as well as a network resource. The system has beenpurchased and is being utilized in current research projects.2.8 Equipment MaintenanceGOAL: Maintain all equipment, instrumentation, sensors, software, data acquisition, computers, anddocumentation developed or acquired during the Major Research Equipment and FacilityConstruction (MREFC) phase or under the current NEES operations award, including routinecalibrationsThe UIUC LBCB’s are the critical components. With three LBCBs there is a back-up, however, muchof the schedule in the foreseeable future requires the use of the three LBCBs in parallel. No downtimehas resulted from lack of maintenance. The site has a maintenance contact with Shore-Western tomaintain the LBCBs.2.9 Equipment InventoryGOAL: Maintain an inventory of equipment, instrumentation, sensors, personnel, documentation,contact information, and other information for users in a network-wide equipment site database.The site has information for equipment, sensors, instrumentation, and personnel on the NEEShub.However, some information is out of date..2.10 SchedulingGOAL: Coordinate the scheduling of shared-use research and education projects with NEEScomm.The NEES@UIUC schedule is a major concern. Utilizing data provided by UIUC in FY12 Q2,currently there are six scheduled projects with two projects (Sanders and Zhao) in progress. One project(Rix) has completed. A project-by-project summary of delays for FY12 is provided below. These delayshave already occurred within just two quarters of FY12 passing. Most projects that are scheduled to testthis calendar year are on average 3 months behind. It is difficult to see how these delays will not impactprojects scheduled for testing in the next calendar year. It should also be noted that the Sanders project isbeyond the 6-year limit and NSF has already accommodated this situation once. Additionally, the site hasagreed to accept a new NEESR project.The site has repeatedly noted that delays are due to the fact that they are doing work that has never beendone before. It is acknowledged that the capabilities offered by the site are innovative and the LBCBsprovide testing options available at few laboratories in the U.S. However, all NEES sites are unique insome way but few have experienced the degree of delays as UIUC. Many of these project delays appearto be traceable to LBCB control issues. Given the control system was developed primarily in-house, thesite is required to develop unique control algorithms for each test. Such development is time-consuming12

and often requires multiple iterations before the required loading protocol can be achieved. Additionally,the site began operations in 2005. It is now 2012 and issues that should have been addressed in MREFCphase are still causing delaysThere also appears to be a disconnect between the site and the researchers regarding scheduling. The usersurvey indicated low ratings in the area of scheduling and readiness. 100% of the respondents stronglydisagreed that their project followed the agreed upon schedule. Additionally, 67% strongly disagreed andthe remaining 33% disagreed that the equipment at the site was ready when needed. The former resultindicates that researchers are not satisfied with the way the site has handled project schedules. The latterresult appears to be a reflection of the aforementioned control issues.AWP//Planned/Completion/(Month)Q2/Planned/Completion/(Month)Delay/(Month)ProjectSpecimenWalls c"shaped)1 Jan)'12 Mar)'12 2(Lowes) c"shaped)2 May)'12 Aug)'12 3421577 c"shaped)3 Jul)'12 Oct)'12 3Ports wharf"slab)retrofit)test Nov)'11 Nov)'11 0(Rix)3FPiers 3"pier)simulation)test Feb)'12 Jun)'12 4(Sanders)/530737Anchors multi"anchor)test)1 Apr)'12 Jul)'12 3(Zhao)/724097Hybrid/Walls Masonry)Infill)wall)single)LBCB)Test)1 Jun)'12 Sep)'12 3(Abrams) Hybrid)wall)single)LBCB)Test)2 Jul)'12 Oct)'12 3936464 Hybrid)wall)single)LBCB)Test)3 Aug)'12 Nov)'12 3Hybrid)wall)single)LBCB)Test)4 Sep)'12)? Dec)'12 3Hybrid)wall)single)LBCB)Test)5 Sep)'12 Jan)'13 4Hybrid)wall)dual)LBCB)Test)#1 Mar)'13 Mar)'13 0Hybrid)wall)dual)LBCB)Test)#2 May)'13 May)'13 0Hybrid)wall)dual)LBCB)Test)#3 Jul)'13 Jul)'13 0Steel/Walls Steel)plate)share)wall)")dual)LBCB)Test)1 Nov)'12 Nov)'12 0(Berman)/830294 Steel)plate)share)wall)")dual)LBCB)Test)2 Dec)'12 Dec)'12 0RC/Frames 3)frame)hybrid)simulation)#1 Sep)'13 Sep)'13 0(Sasani) 3)frame)hybrid)simulation)#2 Nov)'13 Oct)'13 01135005 3)frame)hybrid)simulation)#3 Jan)'14 Dec)'13 03)frame)hybrid)simulation)#4 Mar)'14 Jan)'14 013

2.11 User SupportGOAL: Support users during all phases of experimentation, which may include planning,instrumentation set-up, testing protocols, testing, local data archiving, and centrally archivingexperimental data (users are responsible for curation and permanent data archival in the NEES datarepository).Testing protocols have to be developed specially for every project. This has been identified as a sourceof project delays.2.12 User FeesGOAL: Assign appropriate user fee structures for academic, industry, government, international, andother researchers for costs not covered by the subaward.This site currently conducts only NEES projects. Thus, a review of user fees was not conducted.2.13 NSF ReportingGOAL: Provide individual equipment site information and/or participation needed for the NEESoperations awardee to meet the NSF reporting and review requirements listed in the solicitation.All reports in recent history have been on time. However, the reporting of project progress andproject schedules has not proven to be accurate or reliable. Lack of accurate reporting of these datamisrepresents site productivity and misleads researchers, NEEScomm, and NSF regarding the actualstatus of projects. Failure to address the scheduling situation has lead to an untenable situationregarding scheduling at the site. .3. Budget, Finances and Contracts3.1 General Management and OversightGOAL: A management structure should be in place to carry out the general management responsibilitiesfor the facility that allows the Subrecipient to ensure compliance with the subaward terms and conditionsand is complemented by policies and procedures that ensure ethical standards and regulatory complianceis maintained. Since there were several findings in the 2010 A-133 audit report, verification of theprocedures to resolve identified issues should also be in place.Four organizational charts were provided. The first chart shows the flow from the President down to theMUST-SIM Facility structure. Other charts included Sponsored Program Administration (Post-AwardAdministration), Comptroller, and University Administration. Examples of the interaction between theareas include regular monthly meetings.The collaborative relationship between the areas was found to beample.In response to the A-133 findings, the University has formed an audit resolution team and partnered withseveral Federal agencies including DOE, NSF, ONR, DHHS, DHS, USDA and DE. Members of thisgroup have phone meetings at least monthly and the University has implemented many of thecollaborative changes. Process improvements include addressing the timeliness of closings by addingmore staff and creating new procedures for verifying suspension and debarment of vendors. TheUniversity along with their cognizant audit agency will give a presentation at an upcoming FederalDemonstration Partnership (FDP) meeting.Policies and Procedures are in place to address ethical standards and regulatory compliance:University Ethics Office: http://www.ethics.uillinois.edu/14

Business & Financial Policies and Procedures – Section 9 – Auditing, Internal Control, andEmployee Ethics: http://www.obfs.uillinois.edu/bfpp/section-9-auditing-internal-control-ethicsOVCR Policies (Academic Integrity, Animals, Conflict of Interest, Export Controls, HumanSubjects, Software Piracy): http://research.illinois.edu/LinksPolicies.aspCost Transfer: http://apps.obfs.uillinois.edu/news/dsp_News.cfm?FY=2007&A=bf3d179f-2a7d-4996-b74d-e0f729cfc07cBusiness and Financial Policies and Procedures: http://www.obfs.uillinois.edu/bfpp3.2 Award Management and ComplianceGOAL: The Subrecipient should have a system in place to ensure compliance with the terms andconditions of the subaward.We discussed the roles and responsibilities of the Business Office, Sponsored Programs and SiteAdministration as it relates to compliance with the terms and conditions of the subaward. There is a jointresponsibility, starting with the review of the subaward. Unique terms and conditions are highlighted byPost-Award for the Business Office (BO). The BO interacts with the PI and Site Administrators. Thesefactors were found to ensure compliance with the terms and conditions of the subaward.Business and Financial Policies and Procedures:http://www.obfs.uillinois.edu/cms/one.aspx?portalId=909965&pageId=913918Records Retention – University Business and Financial Recordshttp://www.obfs.uillinois.edu/bfpp/section-1-business-financial-administration/section-1-4/recordsretention/The University Policy on Patent/Invention Rightshttp://otm.illinois.edu/uiuc_invDisclosureThe University Policy on Reporting Inventionshttp://otm.illinois.edu/uiuc_copyrights3.3 Budget and PlanningGOAL: The Subrecipient should have an established process to ensure that budgets are adjusted inresponse to changes affecting the facility.15

The University uses the Banner system. The subaward is routed to Sponsored Programs (Pre-award), andthe budget is established in the financial system. Funds are obligated in the system by appointingemployees, as well as, for equipment and other expenses committed.The Business Office manages the budget in conjunction with the PI and Site Operations Manager.Business Office meets with the PI at least monthly to go over the system generated reports. The SiteOperations Manager has only been in his position for a few months and needs to be integrated into thebudget and planning process.3.4 Financial ManagementGOAL: The Subrecipient should have an adequate accounting system that is compliant with theapplicable accepted cost principles (2 CFR 220, 2 CFR 230, FAR Part 31), administrative requirements(2 CRF 215), and internal policies and procedures.The University Business and Financial Policies and Procedures for Grants and Research Contracts can befound at:http://www.obfs.uillinois.edu/cms/One.aspx?portalId=909965&pageId=930380A discussion concerning charging of costs, signature delegation and adequate supporting documentationoccurred, and their processes were found to be ample. One of the best practices noted was the Semi-Annual Expenditure Confirmation initiated by the Grants & Sponsored Projects Office. Units areprovided a list of projects, with associated expenditures and contributed effort commitments for each PI,for the six month period ending the preceding December and June. The PI is to verify the expendituresthen sign the confirmation.The Illinois policy on effort certification can be found at:http://www.obfs.uillinois.edu/cms/one.aspx?portalId=909965&pageId=913916We reviewed the payroll labor distribution report associated with the two invoices requested for reviewand found it to be ample.Participant support costs are budgeted and expensed, and the University has the capability to track thesecosts separately. We reviewed back-up documentation for two invoices submitted in the last twelvemonths.During that review it was discovered that meals for University employees were charged to theproject as participant support costs. The University will review all expenses for employee meals chargedto the project and remove the charges as appropriate.3.5 Financial ReportingGOAL: The Subrecipient should have a system in place to ensure compliance with the terms andconditions of the subaward for financial reporting that includes have adequate controls for preparingaccurate and timely cash requests and financial reports.Procedures for Billing and Financial Reporting can be found at:http://www.obfs.uillinois.edu/cms/one.aspx?portalId=909965&pageId=913918#0616

In the past, a shadow system was used for invoicing. After discussing the process, it was agreed that theBanner generated invoice is sufficient for submission to NEEScomm. The new process will eliminate theresources needed to reconcile the shadow system with the Banner system, prior to submission of theinvoice. Previously, invoices were not always submitted monthly, due to staffing issues. With thisprocess improvement, invoices may be submitted monthly in the future.Documentation of approved indirect cost rates can be found at:http://www.obfs.uillinois.edu/grants/indirect-cost-rates/urbana-champaign/For this project, invoices through 09/30/2011 for FY ’11 -- total expenses $1,887,399.90, subject to F&A$1,467,101.88 (less equip - $5,000; less T&F $39,693.42; less Part Support - $4,866.03) F&A @ 25.3%$371,176.78 (actual is less $370,738.57).3.6 Property and EquipmentGOAL: The Subrecipient should have policies and procedures that comply with federal regulations foracquisition of property and equipment. In addition, the inventory and recordkeeping practices should bein compliance with federal requirements and should be maintained accurately.The file titled “List of Property” contains a list of all equipment purchased using funds from CA 0402490and the current Subaward.Four items were selected from the list of equipment for review. One of the four requested items waslocated in the facility, but the inventory tag was difficult to view. The University has forwarded picturesof the inventory tag onthe aforementioned item, as well as two additional items. One item not locatedwas identified as being traded in on another model that was in the lab. We have requested additionaldocumentation to better understand the timing of the inventory list provided in relation to the date theitem was used as a trade-in. Another item will be identified by NEEScomm and we will request theUniversity provide documentation of the item.A desk review of the University property management system (PMS) was performed by the LawrenceLivermore National Laboratory (LLNL)/Property Management Division on January 13, 2010 andapproval was granted from December 30, 2009 to December 30, 2012.4. Information Technology4.1 Cyber CollaborationGOAL: Develop a productive working partnership with the NEES operations awardee and its partnerorganizations for all aspects of operations17• In the past, Site IT personnel at UIUC have participated in RDV and Data Turbine testing. Morerecently, Site IT personnel provided input to the upcoming changes for Hybrid Simulation. TheSite IT Manager does need to increase collaboration both with NEEScomm IT, specifically byattending the Monthly IT Manager meetings.• Given the amount of code development performed by the Site, the Site should determine if thereare tools or utilities that can be contributed to NEEShub to benefit the NEES community.

• The Site IT Manager appears to have no active relationships with other Site IT Managers. TheSite IT Manager is strongly encouraged to develop relationships with other Site IT Managers, asboth parties would benefit.• The Site should consider additional part-time or full-time IT resources to all the Site IT Managertime to focus on his primary job duties and to allow time for collaboration.4.2 ConnectivityGOAL: Maintain a functioning high performance Internet2 connection (or higher).• The University has a high performance Internet connection.• The Site does not have access to any uptime metrics.• A process to address connectivity problems is available.• Before the upcoming NSF Site Visit, NEEScomm IT will work with the Site IT Manager toensure the network is properly tuned.4.3 User SupportGOAL: Support users during all phases of experimentation, which may include planning, instrumentationset-up, testing protocols, testing, local data archiving, off-site data archiving and centrally archivingexperimental data (users are responsible for curation and permanent data archival in the NEES datarepository).• Based on discussion, it is clear that UIUC has a sound local back up procedure that is regularlyfollowed.• The Site may want to consider a true offsite backup that is geographically distant from thecampus.• The Site IT Manager is requested to update the local and remote backup documentation asdiscussed during the pre-site visit.• The Site IT Manager has had to occasionally restore files from backup. This process isfunctioning as expected.• The Site IT Manager is requested to update information explaining hardware and softwareredundancy strategies18

• At this time, there is one Project with data that the Site is responsible for uploading to the ProjectWarehouse. The Site has been in close contact with the NEEScomm Data Curator and has a planfor uploading this data in a timely manner.• The Site does not officially provide assistance to researchers for uploading data to the NEEShubProject Warehouse. As a service to research teams, the Site should consider providing minimaldata curation and data uploading assistance.• The Site has a unique and well-functioning approach to telepresence.• The Site may want to consider formally documenting certain processes (e.g. DAQ/sensortraining) to ensure standardized information is documented/communicated and to decrease loadon key personnel.•• The Site should consider developing and regularly updating a plan for hardware warranty renewaland hardware replacement•• The Site should plan and be prepared for the IT work needed to update critical software (i.e.,DLLs) as Windows XP is phased out and Windows 8 is released4.4 Local WebsiteGOAL: Maintain local website and NEEShub website that that contain current information for users.• The Site’s local website appears to be up to date as does the Site’s information on NEEShub.4.5 Cyber Security ComplianceGOAL: Comply with university and NEES operations awardee cybersecurity requirements.• The Equipment Site completed the yearly cybersecurity questionnaire and a scan was conductedfor the Site in the last year. No major findings surfaced and all other findings have beenaddressed.• It is suggested that the Site develop a stronger relationship with the University Cybersecuritydepartment through quarterly or semi-annual meetings in order to stay abreast of currentcybersecurity events and activities.• The Site has no known cybersecurity incidents.•5. Education, Outreach and Training19

GOAL: Develop a productive working partnership with the NEES operations awardee and its partnerorganizations for all aspects of operations and participate in education and outreach activitiescoordinated by NEES operations awardee.5.1 EOT CollaborationThe site’s designated EOT coordinator is Wes W. The site collaborates with NEEScomm via theirAWP,attendance at the NEEScomm monthly meeting, at the NEES annual meeting,Local EOT activities at UIUC include the Engineering open house and Lab tours. These activities occurusually around one per quarter.The site includes underrepresented groups in it’s EOT activities. Examples include:i. Outreach to Rantoul,ii. Campus middle school,iii. SWIE partnership with outreach in public schools,iv. SBE partnership with outreach in under representative populations, andv. Multicultural Engineering Recruitment for Graduate Education.Partnerships with local schools include the local community college, University School, Girls onlyhighschool.The site participates in Network EOT activities. Examples include:i. Video best practices,ii. Small scale structural buildings for classroom,iii. SIMCORE workshop IL,iv. KRYPTON workshop MN,v. REU students, andvi. YRS for REU.The site evaluates effectiveness and quality of the EOT activities from feedback from classes. The sitedoes not have assessment data, but they are working on it. The site currently does not have diversity datafrom EOT activities, but they are working on it. Metrics for EOT activities include:i. Number of students attending open house,ii. Number of students that do MYOE, andiii. Hits on YouTube Channel (NEESATUIUC)EOT items uploaded by the site to NEESacademy include:i. Video of best practices,ii. Lego structure (to be submitted), andiii. Physical Model for classroom demonstrations (to be submitted).The site has included the following items in their FY12 AWP.20

Illinois NEES@Illinois EOT Work Plan NEES@Illinois EOT Work Plan NEES@Illinois EOT Work Plan NEES@Illinois EOT Work Plan NEES@Illinois EOT Work Plan Prospective researcher webinar Site tours Participation in Science Night at local schools Participation in engineering open house Development of videos documenting NEES@Illinois tests and experiments GOAL: Provide periodic equipment site training workshops.5.2 Workshops (NEES@Illinois to submit answers to these questions)a. Has the site conducted workshops?b. When was the last training workshop held?c. To whom was your workshop directed (i.e. stakeholder)?d. Do you have diversity data from attendees available from your workshop?e. How did you assess the effectiveness and quality of your workshop?Conclusion:The UIUC equipment site has several best practices that can be shared across the NEES network, but theyalso face significant challenges, especially in the areas of scheduling and user satisfaction. If thescheduling delays continue, there is a significant risk of not finishing the required testing by September,2014. If users remain dissatisfied, they are also at risk of not having other projects to continue operationspast 2014.22

2.7 Network Technology UpdateKrypton awardAnnual ReportKrypton invoices2.8 Equipment MaintenanceCrane bay two box shunt calibrationLBCB calibrationsLBCB tuningNEES calibration certificates2.9 Equipment Inventory2.10 SchedulingMonthly schedule2.11 User SupportFull loading protocol2.12 User Fees2.13 NSF Reporting3. BFC3.1 General Management3.1a Org Charts3.1c Link to key policies3.2 Award Management and Compliance3.2a Link to Business and Financial Policies and Procedures for Sponsored ProjectsAdministration3.2c Link to University Record Retention Policy3.2d Link to University Intellectual Property Policy3.2e Lin to University Policy on Reporting Inventions3.3 Budget and Planning Review Module3.3a Detailed Operating Ledger Statement from Banner system3.4 Financial Management3.4a Link to University Policy on Requirements of Cost Principles for EducationalInstitutions3.4b Link to Policy for Effort Reporting24

3.5 Financial Reporting3.5a Link to Billing and Financial Reporting Processes3.5b Backup documentation for invoice #11 (dated 2/22/11) and #16 (dated 8/29/11)3.5c Link to approved Indirect Cost rates3.6 Property and Equipment3.6a List of property purchased3.6b Memo from Lawrence Livermore National Laboratory4. CS IT4.1 Cyber Collaboration4.2 Connectivity4.3 User SupportData back-up4.4 Website Information4.5 Cyber Security ComplianceCyber security planComputer systems inventoryDisaster recovery plan5. EOT5.1 EOT Collaborations5.2 Workshops25