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(M3) Planning & Performance
Contractor Assurance

​​​​​​​​​​​Management System Owner: Head, Office of Integrated Planning and Performance Management (IPPM)

Revision and Date: Revision 1.2 - November 9, 2018

1.0              Purpose​​

The Planning and Performance Management System encompasses the organization, roles and responsibilities, key supporting processes, performance metrics and supporting information systems and documentation to assure laboratory management that laboratory multi-year resource and facility planning and performance supports the Laboratory mission, science and management and operations goals, objectives and expectations of the Department of Energy Office of Science (DOE-SC), the DOE Office of High Energy Physics (OHEP), and the HEP research community.

2.0              Roles and Responsibilities

Table of Roles and Responsibilities

Title Responsibilities
Laboratory Chief Operating Officer (COO)
  • Oversees development of the 5-year Fermilab Strategic Laboratory Plan and Lab Agenda
  • Ensures effective institutional planning and integration of scientific research goals and programs with facilities, staff and budgets
Laboratory Chief Financial Officer (CFO)
  • Provides budget targets in coordination with OHEP as part of annual budget planning
  • Coordinates Laboratory three-year budget plan development with IPPM and Associate Laboratory Directors (ALDs) that support and are integrated with Laboratory staffing and facilities/infrastructure plans to meet DOE objectives.
Head, Office of Integrated Planning and Performance Management (IPPM)
  • Serves as Management System Owner (MSO) of the Performance Planning Management System
  • Coordinates Laboratory integrated planning with the CFO and line managers
  • Leads institutional planning and development of the Lab Agenda, Annual Lab Plan and Lab Institutional Risk Profile
  • Establishes and facilitates lab management performance oversight of projects, programs and annual DOE Performance Evaluation Measurement Plan (PEMP)  Objectives and Notable Outcomes.
Laboratory Line Managers/Division Heads
  • Develop Program Execution Plans that integrate organizational program and project plans with Laboratory top-level institutional goals and plans

3.0              Primary Requirements

M&0 Contract (DOE Prime Contract No. DE-AC02-07CH11359 for the Management and Operation of the Fermi National Accelerator Laboratory (Fermilab)).

The Contractor:

  • (C.3.1.3) Is expected to be an active partner with DOE in assuring that the Laboratory is renewed and enhanced to meet future mission needs. Within the constraints of available resources and other Contract requirements, the Contractor, in partnership with DOE, shall:
    • Maintain an understanding of DOE's evolving Laboratory vision and long-term strategic plan. Address the co-evolution of Laboratory capabilities to meet anticipated DOE and national needs.
    •  Renew and enhance research facilities and equipment so that the Laboratory remains at the state-of-the-art over time and is well-positioned to meet future DOE needs
  • (C.3.2) Will deliver innovative, forefront science and technology aligned with DOE strategic goals in a safe, environmentally sound, and efficient manner, and will conceive, design, construct, and operate world-class user facilities.
  • (C.3.3) Shall develop a five-year Fermilab Strategic Plan for the overall direction of the Laboratory and for the accomplishment of the results-oriented performance objectives in the PEMP.

Other DOE orders and Instructions

  • DOE O 413.3, Capital Acquisition of Facilities within the DOE

FRA Contract Clause Mapping to Management Systems

4.0              Management System Description Overview

The Planning and Performance Management System is maintained by the Head, Office of Integrated Planning and Performance Management and overseen by the Chief Operating Officer. The Management System is based on a annual planning calendar/framework of integrated three-year plans and information that permits quick response to changing planning assumptions, such as in the federal budget and DOE program planning, and effective performance evaluation. The system consists of four key support processes that interrelate to support laboratory-level strategic goals and objectives with integrated information and data in annual budgets, staff and facilities/infrastructure plans and that can respond to changes as they might arise.

The four key support processes establish a structured approach to: identifying laboratory strategic mission goals and supporting objectives; supporting these with three-year integrated budget, staff and facilities resource plans; planning, monitoring, assessing and addressing changes in the Laboratory institutional risk profile; and conducting effective management oversight of construction projects, key research programs and DOE annual performance measurement Objectives and Notable Outcomes.

4.1 ​​​​​Strategic Planning and Goals Development.

This process captures and communicates through a Laboratory Agenda, the top-management goals and objectives that support the Laboratory mission and meet the expectations of the OHEP and the HEP scientific community. (CAS M-3 Process 4.1 Strategic Planning Goal Setting 2014-06-12)

4.2 Integrated Resource Planning.

This process annually aligns Laboratory three-year budget plans with supporting staff and facilities/infrastructure needs, identifies shortfalls/gaps for management prioritization and decisions. Where critical skills shortfalls are identified, this process provides the time-phased skill needs to the Human Resources Management System for optimization of skill acquisition (through hiring or contracting) or development of existing staff. (CAS M-3 Process 4.2 Integrated Resource Planning (Rev 2014-09-18)

4.3 Performance Oversight, Evaluation and Measurement.

This process provides methods for Laboratory management to develop, evaluate, control and monitor the performance of Laboratory managers directing construction projects, major research programs and annual DOE PEMP Objectives and Notable Outcomes. (CAS M-3 Process 4.3 Performance Oversight, Evaluation and Measurement 2014-06-12)

4.4 Laboratory Integrated Risk Management.

​This process provides methods and responsibilities involved with identifying, evaluating and mitigating significant institutional risks to: (1) meeting the Laboratory mission and major performance objectives (such as project Critical Decisions and PEMP Objectives/Notable Outcomes); and (2) the integrity and control of laboratory management systems (such as the Contractor Assurance System (CAS) systems). (CAS M-3 Process 4.4 Integrated Risk Management 2014-06-12)


The relationships among the key support processes with the Performance Planning Management System are shown in the System Model (Figure 4-1).


Figure 4.1 Performance Planning System Model

​​5.0              Reports, Audits/Assessments and Required Records

·       TBD​

6.0              Additional References

  • Annual (Rev FY) Laboratory Plan for Fermilab
  • DOE Performance Evaluation and Measurement Plan (PEMP) for FRA (Rev FY)

7.0              Acronyms and Definitions

Acronym Definition
CASContractor Assurance System
DOEDepartment of Energy
DOE-SCDOE- Office of Science
OHEPDOE Office of High Energy Physics
IPPMOffice of Integrated Planning and Performance Management
MSOManagement System Owner
PEMPPerformance Evaluation and Measurement Plan

8.0            Extension of Management System To South Dakota

The Planning & Performance Management System applies identically to FRA-sponsored work in South Dakota as it does in Batavia and the same points of contact should be used.

CAS M-3 Process 4.1 Strategic Planning Goal Setting 2014-06-12.docx
9/19/2014 1:10 PMMatt Crawford
CAS M-3 Process 4.2 Integrated Resource Planning (Rev 2014-09-18.docx
9/19/2014 1:10 PMMatt Crawford
CAS M-3 Process 4.3 Performance Oversight, Evaluation and Measurement 2014-06-12.docx
9/19/2014 1:10 PMMatt Crawford
CAS M-3 Process 4.4 Integrated Risk Management 2014-06-12.docx
9/19/2014 1:10 PMMatt Crawford