Management System Gaps and Plans

J. W. Anderson

August 19, 2013

For each management system, the Management System Owner defines the desired outcomes of the management system and analyzes the gaps between the present and desired future states. The Management System Owners then create plans to address the gaps. MSOs consult with Line managers who assign needed resources using a risk based approach. MSO assign accountability for actions and a timetable for completion. Those issues worthy of enterprise consideration are promoted by either sector heads or MSO for consideration at the Assurance Council (AC)

Current gap analyses and action plans are summarized below organized by management system.

M.1 Corporate Governance

[No significant gaps and action plans outside of routine analyses for continual improvement.]

M.2 Stakeholder Relations

[No significant gaps and action plans outside of routine analyses for continual improvement.]

M.3 Performance Planning

Gap Analysis Update, August 2013

Note: In FY2013, the key supporting processes for Performance Planning CAS M3 were revised and expanded from 3 to 6, and now include: Strategic Planning and Goals Development, Performance Oversight, Project Management, Performance Evaluation and Measurement Plan (PEMP), Enterprise Risk Management, and Critical Skills Planning (formerly OHAP.) The gap analysis update below aligns to this new support process structure.

M.3.A. Strategic Planning and Goals Development

FY2011 Gap Analysis (Aug 2011):
As annually required, the OHAP 10-Year Plan needs updating through 2021
(Complete, the Lab Strategic Plan as reflected by the Lab Strategic Agenda and the FY2013 Annual Lab Plan was revised in June 2013.)
The Management System Owner has assessed that Fermilab’s multi-year goals as expressed DOE/Office of Science Fermilab Planning Document have not adequately been promulgated down to the Fermilab staff.
(Complete, the Lab Strategic Plan and Agenda has been jointly developed by FNAL management, reviewed with OHEP and deployed to all FNAL management.)
The process for approving and promulgating the Strategic Plan needs to be formalized.
(Complete, formal revisions to the CAS document to reflect the updated process as implemented by the Office of Integrated Planning and Performance Management through the Annual Integrated Planning, Budget and Performance Calendar are in progress, estimated to complete by November, 2013.)
FY2013 Gap Analysis (Aug 2013):
The process for Strategic Planning and Goals Development is operational, but needs to be documented in a revision to the CAS document.
(Revision In progress with other process documentation within M3, formal revision estimated to complete by November 2013 for DOE approval by end of year.)

M.3.B. Project Management and Performance Oversight

FY2011 Gap Analysis (Aug 2011):
The OPMO Policies and Procedures, which are tailored to meet DOE requirements and to provide uniformity across all projects, need completing, specifically a section on Risk Management, along with the more detailed “Desktop Instructions” for many of the existing sections. (Please note that Risk in this context is limited to its use in meeting the specific Project Management requirements of DOE Order 413.3 and does NOT refer to Corporate Risk nor Enterprise Risk as treated elsewhere in the FRA Contractor Assurance System.)
(Partially complete; these actions are on-going under the direction of the new Office of Project Support Services as part of a 2013 major lab initiative to improve Project Management.)

M.3.C. Project Management

FY2013 Gap Analysis (Aug 2013):
This has been recently identified as a new key support process to be included within CAS M3, documentation of the process and system is required. The process is operational but not centrally documented.
(Documentation to be performed in conjunction with priorities and actions established for the on-going Project Management Improvement initiative, estimated completion Q3FY2014.)

M.3.D. Performance Evaluation and Measurement Plan (PEMP)

FY2011 Gap Analysis (Aug 2011).

[No significant gaps and action plans outside of routine analyses for continual improvement.]

FY2013 Gap Analysis Update (Aug 2013):
The process is operational with responsibility transferred from OQBP to IPPM, but the parent CAS documentation needs to be revised.
(In process, estimated completion November 2013.)

M.3.E. Enterprise Risk Management (ERM)

FY2013 Gap Analysis (Aug 2013):
This is a new key support process within this management system and needs to be developed and documented. The process is nascent/not operational.
(In progress by IPPM, estimated completion November 2013.)

M.3.F. Critical Skills Planning (formerly OHAP)

FY2013 Gap Analysis (Aug 2013):
This is a new key support process within this management system; an existing methodology (OHAP) to categorize skills throughout the laboratory is being simplified and adapted to support longer term planning to acquire/recruit/develop adequate numbers of these skills and to ensure appropriate support to needed projects/programs.
(In progress, complete process definition and documentations estimated November 2013.)

M.4 Science

[No significant gaps and action plans outside of routine analyses for continual improvement.]

M.5 Finance

Gap Analysis:
  • The Director’s policy on Financial Management needs to be updated to reflect current roles, responsibilities, authorities and accountabilities.
  • A Financial Management Manual needs to be developed to consolidate and complete the documentation of CFO policies and procedures, to support the transition of the Finance Management System from an expert-based system to a formal, documented system.
Plan to Fill Gaps:
  • CFO will draft a revised Financial Management Director’s Policy for vetting with the Senior Management Team and approval by Director. Draft will be put forth by March 31, 2012.
  • The development of the Table of Contents for the Financial Management Manual has begun. The Table of Contents and the assignment of priority to content items will be completed by December 31, 2011. High-priority content will be completed by June 30, 2012. Medium-priority content will be completed by September 30, 2012.

M.6 Business Operations

Gap Analysis:
  • There is no written up-to-date Strategic Plan for the Operations Sector that supports the Strategic Plan for Science.
  • Although many individual written system processes exist, an integrated document for these systems, describing how they work together, needs to be written.
Plan to Fill Gaps:
  • The draft Sector Strategic Plan will be completed and vetted with customers of the Sector by mid-FY12.
  • Once the Sector strategic plan is complete attention will focus on a broader, integrated management system description. This should be complete by the end of FY12.
  • While items 1 & 2 are being completed those major processes without a written description will develop outlines of a description. As the strategic plan is under development those major processes with descriptions will plan on bringing them into congruence with the strategy.

M.7 ES&H

[No significant gaps and action plans outside of routine analyses for continual improvement.]

ES&H has been under CAS through O 226.1 since 2005. ES&H has addressed all open findings from previous CAS reviews. ES&H meets the requirements of the H-clause. ES&H was registered for ISO 14001 first in August of 2007 and then for OHSAS 18001 in April of 2008. ES&H continues to be ISO/OHSAS registered/certified.

M.8 Quality

[No significant gaps and action plans outside of routine analyses for continual improvement.]

M.9 Engineering

Gap Analysis, August 2013:
  • Use of the Engineering Process, including the definition of design, as promulgated in the Engineering Manual varies across organizations within the laboratory.
  • The Engineering Policy Committee needs to be consulted and formally tasked with ownership of the Engineering Process, and membership reviewed accordingly to ensure representation by all engineering organizations.
  • Use of lab-supplied integrated Engineering Tools varies across organizations within the laboratory.
  • Metrics to assess usage of and adherence to the Engineering Process need to be developed.
Plan to Fill Gaps:

Reconfigure the Engineering Policy Committee and its Charter to establish roles, responsibilities, and accountabilities within the Fermilab Engineering community for the Engineering Process, its maintenance and updating, assessment of usage, and usage of integrated engineering tools.

The Management System Owner, working with the Engineering Policy Committee will:

  • update the Engineering Manual in response to feedback from initial usage,
  • lead and assess rollout of integrated engineering tool usage,
  • develop metrics to assess usage of the Engineering Process.

M.10 Information Technology

M.10.1. IT Governance and Enterprise Architecture

Gap Analysis:
  • The IT Infrastructure Portfolio management team has not been set up
Plan to Fill Gaps:
  • The IT Infrastructure Portfolio management team will become operational by the end of FY13

M.10.2. Information Technology Infrastructure

Gap Analysis:
  • Service management processes are required to undergo continuous improvement as part of the ISO20000 certification that was obtained in December 2012 for 10 core IT services and all 13 ITIL processes.
  • Availability and Service Continuity Plans, based on risk, still need to be revised based on an updated lab Business Continuity plan that is being worked on.
  • Financial Management processes do not yet yield reliable service costs that could be used to benchmark against other labs and organizations but are becoming more mature and will be expected to show improvement by the time of annual recertification for ISO20000.
  • Additional IT services need to be brought into full service management practices.
Plan to Fill Gaps:
  • Once an updated Business Continuity plan and impact analysis is finished work must be done on finishing the assessment of costs and the 3 year plan for service continuity.
  • Continuous service improvement will take place as required by ISO20000 certification.
  • Each year additional IT services will be brought into full service management practices and one or more added to the lab's ISO20000 certification.

M.10.3. Information Systems

Gap Analysis:
  • Service Level Agreements (SLA) and Operational Level Agreements (OLA) are in place, but immature and need to be refined based on collection of better metrics on Incident, Availability and Continuity of services — through IT service management operations.
Plan to Fill Gaps:
  • Once an updated Business Continuity plan and impact analysis is finished work must be done on finishing the assessment of costs and the 3 year plan for service continuity.
  • Service Level Management process will work on continuous improvement of SLAs and OLAs
  • Each year additional Information Systems services will be brought into fully service management practices.

M.10.4. Scientific Computing

Gap Analysis:
  • Service Level Agreements (SLA) and Operational Level Agreements (OLA) are only partially in place, and the MOU process with experiments and Scientific Programs is not used uniformly and with reference to SLAs.
Plan to Fill Gaps:
  • Several scientific computing services are in process of adopting service management practices and several will have done so before the end of FY13.

M.10.5. Cyber Security

[No significant gaps and action plans outside of routine analyses for continual improvement.]

M.11 Communications

Gap Analysis:
  • Additional documentation needs to be developed, including:
    • A combined Director’s Policy for Community Outreach and Public Affairs that adequately defines the laboratory-wide policy toward external communication and public relations activities.
    • Documented procedures for laboratory staff regarding communication to external audiences via traditional and social media.
  • Metrics need to be made available in a central location to key lab staff for regular use in evaluating and developing communications programs.
  • A group of metrics needs to be identified that adequately tracks the performance of internal communication.
Plan to Fill Gaps:
  • Draft updated and combined Director’s Policy for Community Outreach and Public Affairs. (by September 30, 2013)
  • Establish central location for communications-related metrics. (by December 30, 2013)
  • Identify group of internal communication-related metrics, track in central location. (by April 30, 2014)
  • Draft, approve and disseminate procedures for laboratory staff. (by June 30, 2014)
Last modified: 08/28/2013 |