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(M3) Planning & Performance
Contractor Assurance

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

Revision Number:  1.3                 Date: July 1, 2019

1.0   Purpose​​

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

2.0  Roles and Responsibilities

Title Responsibilities
Deputy Director for Administration (DDFA)
  • Oversees development of the Fermilab Strategic Plan.
  • Ensures effective institutional planning and integration of scientific research goals and programs with budget, facilities, and workforce planning.
  • Oversees enterprise risk management.
Chief Financial Officer (CFO)
  • Provides budget targets in coordination with DOE/OHEP as part of annual budget planning.
  • Coordinates laboratory budget plan development with IPPM and senior leadership who support and are integrated with laboratory workforce and facilities/infrastructure plans to meet laboratory goals and objectives.
Head, Office of Integrated Planning and Performance Management (IPPM)
  • Serves as Management System Owner (MSO) of the Planning and Performance Management System.
  • Coordinates integrated planning for the laboratory with the DDFA, CFO and senior leadership.
  • Leads institutional planning and development of the Annual Lab Plan (ALP) and the laboratory's institutional risk profile.
  • Establishes and facilitates lab management performance oversight of projects, programs and annual DOE Performance Evaluation and Measurement Plan (PEMP) objectives and notable outcomes.

3.0   Primary Requirements

3.1    M&O Contract

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

3.2   Fermilab Performance Evaluation and Measurement Plan (PEMP)

At the beginning of each fiscal year, PEMP notable outcomes are assigned to owners who are responsible for developing action plans and tracking progress throughout the year. Monthly status updates demonstrate progress towards completion of notable outcomes and are presented at monthly meetings of the Assurance Council.

3.3    Other Required DOE Orders and Instructions

  • DOE Order 413.3B Program and Project Management for the Acquisition of Capital Assets

3.4   FRA Contract Mapping to Management Systems

 

4.0   Management System Description

The Planning and Performance Management System is maintained by the Head of the Office of Integrated Planning and Performance Management and overseen by the Deputy Directory for Administration. The Management System is based on an annual planning calendar and framework for integrated lab-wide planning and information that permits quick response to changing planning assumptions, such as the federal budget and DOE program planning, and effective performance evaluation. The system consists of four key support processes that support laboratory-level planning to manage strategic goals and objectives, resource planning, and risk management.

The four key support processes establish a structured approach to: identifying strategic laboratory goals and supporting objectives; supporting these with integrated budget, workforce 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 strategic plan, the top-management goals and objectives that support the laboratory mission and meet the expectations of the DOE/OHEP and the HEP scientific community. (CAS M-3 Process 4.1 Strategic Planning 2014-06-12).

4.2   Integrated Resource Planning

This process annually aligns laboratory budget plans with supporting workforce 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 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, assessing 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).

5.0   Policies

6.0   Key Processes, Procedures, and Manuals

7.0   Approach to Collaboration and Communication

The Planning and Performance Management System achieves collaboration and communication by establishing support groups that perform the functions of the management system. Collaboration and communication are achieved by establishing periodic meetings and workshops that disseminate information and provide methods for receiving feedback for improvement. The following support groups have been established for the management system:

  • Strategic planning groups that support CAS M-3 Process 4.1.
  • Capability managers that support CAS M-3 Process 4.2.
  • Performance Oversight Group to support CAS M-3 Process 4.3.
  • Risk Management Board to support CAS M-3 Process 4.4.

8.0   Contractor Assurance Requirements

8.1   Metrics and Key Performance Indicators (KPIs)

The Planning and Performance Management System encompasses KPIs for three of four support processes. The following KPIs demonstrate the performance of the Planning and Performance Management System:

  • Timely submission of the Annual Lab Plan to DOE/SC (KPI for CAS M-3 Process 4.1).
  • Monthly Performance Oversight Group (POG) meetings and concurrent update of the project performance dashboard (KPI for CAS M-3 Process 4.3).
  • Monthly status updates that demonstrate progress on achieving DOE PEMP objectives and notable outcomes (KPI for CAS M-3 Process 4.3).
  • Timely submission of the institutional risk profile in compliance with OMB Circular A-123 (KPI for CAS M-3 Process 4.4).

8.2   Assessments

The assurance process that evaluates the effectiveness of the Planning and Performance Management System is DOE's annual laboratory planning process in which laboratory management engages in a discussion with DOE about the laboratory's future directions, strengths and weaknesses, immediate and long-range challenges, and resource needs. The feedback that is received from DOE as part of this process includes statements that provide an assessment of the effectiveness of the management system. The management system receives feedback from the FRA Board of Directors when information associated with the management system (i.e. risk, strategy, workforce planning) is presented to the Board.

8.3   Approach to Issues Management

Planning and Performance Management System issues that are identified are captured in the laboratory's issue tracking system. Issues are resolved by the management system owner.

8.4   Lessons Learned

Lessons that are learned in the context of the Planning and Performance Management System issues are captured in the laboratory's lessons learned database.

8.5   Risk Management

Risks associated with the Planning and Performance Management System are identified as part of the laboratory's enterprise risk management process. Risks are captured in the laboratory's enterprise risk register and are assessed by the Risk Management Board. Risks are mitigated by the management system owner.

9.0   Required Reports and Records

9.1    Required Records

There are no required records for the Planning and Performance Management System.

9.2   Required Reports

The Annual Lab Plan is a required ten-year plan for the laboratory that is submitted to DOE each year.

10.0   Extension of Management System to SDSTA (SURF)

The Planning and Performance management system applies identically to FRA sponsored work at SURF in South Dakota as it does to the main site in Batavia, Illinois and the same points of contact should be used.

11.0   Additional References

Portions of the Annual Lab Plan are made public by the and are available at:

Information about the DOE Office of Science laboratory appraisal process is available at:

12.0   Acronyms and Terms

AcronymDefinition
CASContractor Assurance System
DOEDepartment of Energy
DOE/SCDOE - Office of Science
DOE/OHEPDOE – Office of High Energy Physics
IPPMIntegrated Planning and Performance Management
MSOManagement System Owner
PEMPPerformance Evaluation and Measurement Plan

      

   
  
  
  
  
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