(M3) Performance Planning
| Performance Planning Management System Description | |
|---|---|
| Management System Owner: | Head of Office of Program and Project Support (Carl Strawbridge) |
| Revision and Date: | 4: August 10, 2011 |
1.0 Purpose
The Performance Planning Management System is intended to assure that FRA and Fermilab have a well developed strategic plan, which has been vetted through extensive internal and external DOE reviews, which has been promulgated down to the appropriate organizations for execution, along with providing systems to facilitate that execution, and a system of metrics to measure progress against those goals and DOE requirements.
This Management System consists of three distinct processes which are described individually below:
- Strategic Planning and Goals Development
- Project Management Oversight
- Performance Evaluation and Measurement Plan (PEMP)
This process includes the development of Fermilab’s multi-year strategic plan which is intimately related to the formulation of agreed-upon scientific goals and the approval and funding by the DOE.
A. Strategic Planning And Goals Development
A.1.0 Purpose
This process includes the development of Fermilab’s multi-year strategic plan which is intimately relating to the formulation of agreed-upon scientific goals and the approval and funding by DOE.
A.2.0 Roles and Responsibilities
| Roles | Responsibilities |
|---|---|
| Fermilab Deputy Director (who is also the Chief Research Officer – CRO) | Develops the Fermilab Strategic Plan and develops the Fermilab Annual (Business) Plan. |
| Fermilab Chief Financial Officer - CFO | Develops Fermilab Annual Budget – both short-term (current plus upcoming year) and 3 year budgets |
| Head of Office of Program and Project Support (OPPS) | Owns Performance Planning Management System and supports the Director, Deputy Director, and CFO in preparing and promulgating Fermilab Annual Plan and Budget |
| Head of Office of Project Management Oversight (OPMO) | Supports Organizational Human Assets Plan (OHAP) for the Deputy Director and Head of OPPS |
| Fermilab Associate Directors (Sector Heads) | Provide budget and planning input and assure that the Divisions/Sections/Centers and Projects under them are aware of and execute the Fermilab plans |
A.3.0 Management System Operation
The strategic plan is developed from many inputs and over many reviews: the Fermilab senior scientific staff acting as a Steering Committee, the Fermilab user community, the Fermilab Physics Advisory Committee (PAC), the Fermilab Accelerator Advisory Committee (AAC), the FRA Science Planning and Physics Committees, the DOE Annual Institutional Review, the DOE Office of Science Office of High Energy Physics (OHEP), and the Joint DOE/NSF HEPAP (High Energy Physics Advisory Panel) and its sub-panel P5 (Particle Physics Project Priority Panel). Throughout the year, there is constant (weekly) discussion with DOE OHEP on programs and funding, culminating in the Annual Fermilab Budget Briefing for the upcoming Fiscal Year (plus two future FYs) to the DOE OHEP.
Annually, the up-coming year goals are formulated and transmitted to the Fermilab Division/Section/Center and Project leadership as part of the guidance for preparing their next year budgets. The OHAP 10-Year Plan Matrix is annually updated and transmitted to D/S/C and Project leaders along with a request for projected manpower needs.
This management system is integrated throughout Fermilab by D/S/C line management via these plans.
A.4.0 References
FRA Contract Requirements:
- FRA Contract – Part – 1 - C.2 – Implementation of DOE’s Mission for FNAL
- FRA Contract – Part – 1 - C.3.1.3 – Laboratory Stewardship
- FRA Contract – Part – 1 - C.3.2(a)(2) – Mission Accomplishment (Quality and Productivity of R&D)
- FRA Contract – Part – 1 - C.3.2(b) – Contractor Leadership/Stewardship
- FRA Contract – Part – 1 - C.4(b)(1)a.i. – Laboratory Goals
- FRA Contract – Part – 1 - C.4(b)(1)c. – Mission
- FRA Contract – Part – 1 - C.4(c)(1) – Strategic Planning
- FRA Contract – Part – 1 - C.5 – Plans and Reports
- FRA Contract – Part I – Clause H.2 – Long-Range Planning, Program Development, and Budgetary Administration
Other References:
- Fermilab’s Strategic Plan (2007 – updated every 5 years)
https://www.fnal.gov/pub/directorate/steering/index.shtml - DOE Office of Science Annual Laboratory Planning – Fermilab – FY2011 (the annual plan)
https://indico.fnal.gov/getFile.py/access?resId=1&materialId=11&confId=4326 - Organizational Human Assets Plan (OHAP) Charter:
http://www.fnal.gov/directorate/FRA_Initiatives/OHAP.html - OHAP -10 Year Plan 2008-2019
http://www.fnal.gov/directorate/OPMO/Projectsns/WBS/documents/OHAP-10YearPlan-2009-09-09.pdf - Budget Guidance for FY2012 (not posted, but available for review)
- FY 12 GUIDANCE – CONSOLIDATED PACKAGE 6-23-11.pdf
- PROJECT LABOR REQUESTS FY12 BY D-S-C.xlsx
- FY 12 GUIDANCE – PROGRAM GUIDANCE BY B&R REVISED 06-30-11.pdf
A.5.0 Processes Supporting System
Strategic Plan (every 5 years) and Fermilab Steering Group, Annual (Business) Plan, annual budget planning (current/upcoming and 3 year plans), Annual Budget Reviews by Divisions/Sections/Centers and Projects, Senior Management Meetings (every 2 weeks), CFO Meetings with Associate Directors (monthly), annual FRA Visiting Committee, annual DOE Institutional Review, FRA Board of Directors’ Science Planning and Physics Committees (every 4 months), Summer Meeting of the Fermilab Physics Advisory Committee (PAC). See also the related Science Management System.
A.6.0 Reviews, Audits and Reports
- Fermilab Budget Briefing FY2013 for DOE – March 3, 2011 (not posted, but available for review)
- DOE Office of Science Planning Review – May 31, 2011
https://indico.fnal.gov/conferenceDisplay.py?confId=4326 - DOE Annual Institutional Review of Fermilab, June 6-9, 2011
https://indico.fnal.gov/conferenceDisplay.py?confId=4263 - FRA Board of Directors Meeting, June 2011
- FRA Visiting Committees (annually)
- Fermilab Physics Advisory Committee Meeting (PAC)
http://www.fnal.gov/directorate/program_planning/phys_adv_com/PACdates.html - Fermilab Accelerator Advisory Committee (AAC)
http://www.fnal.gov/directorate/Fermilab_AAC_mtgs.htm
B. Project Management Oversight
B.1.0 Purpose
This process assures that Fermilab Projects, specifically those under DOE Order 413, are executed in a manner which meets the required performance objectives, within budget, and within the schedule, leading to increased laboratory capabilities and scientific productivity. This process facilitates oversight and monitoring by DOE, both Office of High Energy Physics (OHEP) and Fermilab Site Office (FSO).
B.2.0 Roles and Responsibilities
| Roles | Responsibilities |
|---|---|
| Head of Office of Program and Project Support (OPPS) |
|
| Head of Office of Project Management Oversight (OPMO) |
|
| Project Managers |
|
B.3.0 Management System Operation
The Office of Project Management Oversight (OPMO) administers the Project Management process, arranging for the meetings and reviews described below, and provides project management tools, such as the Earned Value Management System (EVMS), a set of Project Management procedures specifically tailored for Fermilab and its EVMS program, training for the Cost Account Managers, and procurement of Project Controls contract personnel for the individual projects. Project Management Oversight is inherently an assessment function with regularly scheduled reviews at multiple levels, with findings and corrective action plans.
The Fermilab-specific project management procedures continue to be developed as needed.
This management system is integrated throughout the projects by the Project Managers and their teams and by D/S/C line management via these plans.
B.4.0 References
Contract Requirements:
- FRA Contract – Part – 1 - C.3.1.2 Program Development and Mission Accomplishment
- FRA Contract – Part – 1 - C.4(a) – Work Statement
- FRA Contract – Part – 1 - C.4(c)(5)(v) – Project Management
- FRA Contract – Part – 1 - C.5 – Plans and Reports
Other References:
- OPMO descriptions, processes and procedures:
http://www.fnal.gov/directorate/OPMO/OPMOhome.htm - List of activities, both past & future, including both internal Director’s & DOE Reviews for each project:
http://www.fnal.gov/directorate/OPMO/Calendar-Activities/Activities/OPMOActivities.pdf - DOE O 413 projects
http://www.fnal.gov/directorate/OPMO/Projects/base.htm - FNAL Management Projects
http://www.fnal.gov/directorate/OPMO/Projectsns/home.htm - OPMO Projects
http://www.fnal.gov/directorate/OPMO/OPMOProjects/base.htm - OPMO Policies & Procedures, including chapters of Fermilab-specific project management procedures
http://www.fnal.gov/directorate/OPMO/PolProc/home.htm - Fermilab Director’s Policy Manual # 12.000 – Project Management
http://www.fnal.gov/Directorate/Directors_Policy/Project_Management.shtml - DOE O 413.3B – Program and Project Management for the Acquisition of Capital Assets
https://www.directives.doe.gov/directives/current-directives/413.3-BOrder-b/view - DOE M 413.3-1 – (Manual for) Project Management for the Acquisition of Capital Assets
https://www.directives.doe.gov/directives/archive-directives/413.3-DManual-1/view - DOE O 413.2 – Laboratory Directed Research and Development
https://www.directives.doe.gov/directives/current-directives/413.2-BOrder-badmchg1/view?searchterm=None
B.5.0 Processes Supporting System
Weekly IPT meetings (every other week for pre-projects), monthly Project Management Group and Working Group Meetings including representatives of Project, Directorate, D/S/C supporting that project, and DOE/FSO; Project Management Group (PMG) acts as Change Control Board for each project; monthly formal reports including status, progress, issues, financial information, and EVMS metrics; regularly scheduled Director’s Reviews and DOE Reviews; OPMO website; individual project’s Document Data Base (doc-db).
B.6.0 Reviews, Audits and Reports
Each project holds a weekly (or twice per month for pre-projects) meeting of its Integrated Project Team (IPT) consisting of the Fermilab Project Manager, the FSO Federal Project Director, and the OHEP Federal Program Manager to discuss progress and issues.
Each project provides a monthly report (including EVMS cost (CPI) and schedule (SPI) metrics and discussion of variances), participates in monthly Working Group or PMG meetings, which include participation by the Federal Project Director (from FSO) who acts as the chairman for high-level change control, representatives of the Directorate, and leaders from the D/S/Cs supplying support for that project, DOE (Lehman) reviews at specific Critical Decision (CD-) points, and annual (or twice-annual) progress reviews during the project construction phase. Examples can be found for each project from the OPMO link above.
After gaining ANSI Certification for the FRA EVMS system in 2010, an annual EVMS Surveillance for compliance was performed by project management peers from other DOE Laboratories in 2011 resulting in a set of observations, findings, and recommendations which requires a corrective action plan to be formulated and completed before the EVMS Re-Certification Review in 2012.
C. Performance Evaluation and Measurement Plan (PEMP)
C.1.0 Purpose
This process assures that annual goals and metrics for evaluating FRA/Fermilab’s performance against these goals are consistent with respect to expectations between FRA/Fermilab and the DOE/FSO.
C.2.0 Roles and Responsibilities
| Roles | Responsibilities |
|---|---|
| Head of Office of Program and Project Support (OPPS) |
|
| Fermilab Director, Deputy Director, Chief Operating Officer (COO), and Management System Owner |
|
C.3.0 Management System Operation
This process relates to the annual evaluation of Fermilab’s performance according to the contract with DOE by the Fermilab Site Office (FSO). In addition to many standard goals, there are specific goals for the upcoming year, called “notable outcomes”. These goals are negotiated for the upcoming year between FRA Management System Owner and the FSO. The extension of the FRA contract to manage and operate Fermilab depends on satisfactorily meeting these PEMP goals. This is inherently a high-risk assessment and evaluation process involving Fermilab, FRA, and FSO.
C.4.0 References
Contract Requirements:
- FRA Contract – Part – 1 - C.1 - Introduction
- FRA Contract – Part – 1 - C.5 – Plans and Reports
- FRA Contract – Part – 1 - C.4(d)(2) – Contractor Responsibilities
- FRA Contract – Part I – Clause H.14 – Standards of Contractor Performance Evaluation
- FRA Contract – Part I – Clause H.29 – Performance-Based Management and Oversight
- FRA Contract – Part II – Clause I.93 – Total Available Fee: Base Fee Amount & Performance Fee Amount
- FRA Contract – Part III – Clause J.2 – Appendix B – Performance Evaluation Measurement Plan
- Contractor Performance Evaluation and Measurement Plan of the Fermi Research Alliance, LLC for the Management and Operations of Fermi National Accelerator Laboratory – FY2011
Other References:
- PEMP documents, reviews, audits, and reports:
http://www.fnal.gov/directorate/OQBP/doe_related_performance_related.html# - Fermilab Director’s Policy Manual # 39.000 – Assurance Program
http://www.fnal.gov/directorate/Directors_Policy/assurance_program.shtml
C.5.0 Processes Supporting System
- Iterative process with DOE/FSO to produce the annual PEMP document
- Development process for the annual (and mid-year) report and presentation to DOE/FSO
C.6.0 Reviews, Audits and Reports
- FY2010 PEMP Yearend Review (presentation)
- FY2011 PEMP Midyear Review (presentation)
- DOE FY2011 FNAL Performance Evaluation Presentation (FSO Response)