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Contractor Assurance System Description

4.0 Performance Management

Performance management includes the planning, assessing, measuring, and improving laboratory programs and operations.

4.1 Planning

Strategic and tactical planning for Fermilab is conducted by the Director, with advice from off-site advisors including the Director’s Physics Advisory Committee, Office of High Energy Physics, and the High Energy Physics Advisory Panel and internal bodies, such as the Fermilab Assurance Council, Directorate, and OPPS

4.2 Assessments

Fermilab uses a combination of Management Assessment and Independent Assessment to ensure the requirements and controls applicable to the laboratory are satisfied:

  • Management Assessments: Management Assessments at Fermilab are conducted by, or under the direction of, Fermilab managers at all levels, to identify and correct problems that hinder their organizations from achieving their objectives or to identify opportunities for improvement. These include assessments sponsored by Fermilab management such as third party certification assessments.
  • Independent Assessments: Independent Assessments at Fermilab are audits, surveillances, verification and validation reviews, or inspections sponsored by the Office of Quality & Best Practices and led by OQBP staff. Independent assessment teams may include others who are independent are independent from the work or process being evaluated.
  • Surveillances: Surveillances are a subset of Independent Assessments that include more routine and more frequent assessments that do not warrant the same level of rigor and formality as an audit. Typically they are led by OQBP staff, but may be led by others as directed by Fermilab management.

4.2.1 Corporate Assessments

Corporate oversight is accomplished by FRA principally through its Board of Directors and its BOD Committees as described in Sections 2.3. An additional level of corporate level assessment is executed by the Laboratory Internal Audit department. The Internal Auditor manages a comprehensive program of reviews designed to ensure adequate, cost-effective financial and operating controls. Also, the FRA CFO functions as the liaison to the BOD Audit Committee, and in conjunction with the Laboratory Internal Audit department, routinely reports the results of audits and other issues to that BOD Committee.

4.2.2 External Assessments

External certification audits to the OHSAS-18001 and ISO14001 standards are completed by an International Organization for Standardization (ISO) registrar. The registrar conducts external audits of the Laboratory Management System twice a year and recertification audits every three years. Other assessments are performed by organizations such as the IG, DOE, and GAO,

4.3 Performance Measurement

Performance measures are used to demonstrate sustained and improved performance relative to defined outcome measures and targets. Leading indicators are used, where possible, to monitor performance. Performance measures are aligned with strategic goals Periodic reporting of status against metrics is provided to FSO and key stakeholders. The elements of Performance Measurement are outlined in Figure 5.

Figure 5: Elements of Performance Measurement

4.4 Issues and Corrective Actions Management

Issues management is utilized to ensure that significant items requiring the Directorate’s involvement and/or commitment on resources, problems, trends, and issues are identified, documented, analyzed, and prioritized to promote effective resolution in a timely manner.

Issues management applies to issues identified through contractual obligations, corrective actions, assessments, lessons learned, and worker feedback, as well as injury, incident, and event (mishap) reporting which tend to be of major consequence, need lab-wide attention, and/or need senior management involvement. Fermilab’s Issues Management System (IMS) utilizes a centralized spreadsheet system to track, manage, and report the status of identified issues

4.5 Feedback and Improvement

Feedback and improvement systems are used to drive continuous improvement across the operation. Trends in performance are analyzed to identify opportunities for improvement in both performance and risk reduction. Periodic reporting of status against metrics is provided to FSO and assurance program data is also available outside of formal reporting making the process transparent to all stakeholders.

4.5.1 Worker Feedback

Fermilab promptly addresses employee concerns about environment, safety, health, security, fraud, waste, abuse, or mismanagement of DOE and Fermilab managed activities. Resolution of employee concerns/complaints about environment, safety and health issues is expected to occur at the lowest management level possible.

4.6 Lessons Learned

The Fermilab lessons learned program is described in Lessons Learned Program (LLP) , which establishes the processes that do the following:

  • Ensure identification, documentation, validation, and dissemination of a lesson learned.
  • Ensure utilization and incorporation of processes that includes identification of applicable lessons learned, identification of actions that will be taken as a result of the lesson learned, and follow-up to ensure that the identified actions were taken.
  • Ensure measurement of operational performance improvement and program effectiveness.

The OQBP serves as the Fermilab LL Coordinator and has the responsibility for the program. The program coordinator performs an initial review and, if the lesson has the potential for use at Fermilab, contacts the appropriate person for the review.

4.7 Performance Reporting

Management assesses performance via indicator data routinely and uses the outputs of the Management Review as a basis for process improvement. The performance indicator data is considered in allocating resources, establishing goals, identifying performance trends, identifying potential problems, and applying lessons learned and good practices. Problems with performance are identified and corrected at the earliest possible stage. Areas where performance excels are examined for potential application elsewhere.

4.7.1 Benchmarking

Fermilab will perform benchmarking where requested by reviewers or line management to assess best practices and gain insights into practice by others. Fermilab performance data is used during the benchmarking process and it is compared against other sites within the DOE complex or commercial practices as deemed appropriate.

Last modified: 05/15/2012 |