Integrated Planning and
Performance Management
A Framework for Fermilab
Carl Strawbridge
August 22, 2012
Overview
•
Challenges to Integrated Planning
•
Integrated Planning and CAS
•
Integrated Planning Issues
•
What are we trying to integrate?
•
Families of plans
•
Lab Integrated Planning/Work Cycle
•
FRA/FNAL Agenda and Business Plans
•
Annual Lab Business Plan Preparation
•
Steps to an Integrated Planning Process
Challenges to Integrated Planning
•
Simultaneous complex events impacting Fermilab (among others):
–
Constrained overall funding climate & single-program Lab
• Affects total size & needed broadened flexibility of staff, emphasizes cost of operations
• Annual forces on HEP Program do not always mesh with sustained efficient, long-term management of a large facility like a national lab ( eg.- budget/staff cuts, gates-open costs)
–
Lab mission transition (growing Intensity Frontier focus, reducing Energy
Frontier efforts for now, maintaining Cosmic Frontier engagement)
• Affects needed staff skill mix and drives facilities planning
–
Changing work mix: capital project investments in future years are supported
by research program reductions
• Affects skill mix, skill base (how to sustain) and facilities planning
•
FRA management processes (CAS) are still maturing
• CAS planning support process not defined
• Historical, expert-based management approach struggling with lack of suitably defined management system processes and leadership responsibilities
Integrated Planning & CAS
•
CAS M-3 (Performance Management) supported by 3 key processes
:
–
Strategic Planning and Goal Setting
–
Project Management Oversight
–
Performance Evaluation and Measurement Process (PEMP)
•
Only PEMP has any defined process
–
Current planning is de-centralized, short-term and budget-driven instead of
strategy-driven
–
Project oversight relies on meetings and committee reviews
• Meetings on individual projects are difficult to trend and lack consistent, visual data presentations
• Reviews can be untimely
• Effective oversight for all projects is reduced to a single senior manager
•
Of the 11 CAS Management Systems, 8 include risk-based evaluations
–
ERM is needed (and is coming!)
Integrated Planning Issues-Overview
•
Mechanisms (plans) to ensure continuity of strategy/goals/initiatives from
top-bottom have some holes
– FRA FNAL Plan, Mission/Mission Support Organization Business Plans
– Ad hoc Sector plans starting to fill in gaps…
•
Lab integrated planning process is not defined
– Roles of contributing organizations (OPPS, CFO, Sectors, etc.) have been unclear
– Current process is budget vs. strategy-driven
– Interfaces/links with other management systems need clarification
– Consolidated planning annual timetable needed for efficiency
•
Organizational roles/responsibilities need alignment to defined planning
process
– OPPS functions to be focused around Integrated Planning & Performance Management,
– OPMO organization to be modified: Project oversight model to be changed to involve broader management team and regular, trendable metrics (Project Support Services to be re-focused as separate support office)
Integrated Planning
•
What are we trying to integrate?
–
Science (research) and Operations (management)
–
Strategic vision and business planning/results
–
Institutional planning: workforce, facilities/site master
planning
–
Performance (and risk) management
–
Wide planning horizons: from 10+ years to monthly
–
Stakeholder interests: Sponsor (DOE—SC, HEP & FSO), HEP
community, FRA (M&O), FNAL leadership & staff
–
Expanding capital projects and constrained
science/technology research programs (for now)
–
Other interfaces?
Family of Plans
• DOE/SC Scientific Facilities Strategic Plan (20 years, major capital projects)
• DOE Strategic Plan (7-10 years)
• DOE (HEP)/Fermilab Strategic Plan (10 years)
• FRA/FNAL Plan for Managing & Operating Fermilab during the duration of contract (5-7 years)*
– Nominally the proposal as reflected in the contract
– Need to bridge these goals into a living framework to manage major initiatives at the D/S/C level
• DOE/Fermilab Annual Lab (Budget)Plan (1-3 years)
– Includes Fermilab Facilities Plan (5+ year horizon)
– Supported by Fermilab Workforce Development Strategic Plan (3 year horizon)
– Updates 10-year plan
• DOE/M&O Performance Evaluation and Management Plan (PEMP, annual)
Lab
Integrated Planning
/Work Cycle (Generic)
•
Plan--strategic planning aligns the business to deliver on the Strategy
–
Business plans
–
Performance plan development
–
Annual Lab Plan
–
Other plans (Site/Facilities, WFD, etc)
•
Execute--perform technical & business functions
–
Management systems (CAS)
•
Check--measure/analyze & evaluate performance
–
PEMP
–
Assessment Plan
•
Feedback--Identify Improvement opportunities and inform business
decisions
–
Upcoming Annual Lab Plan
–
CI/Best practices
Lab Agenda Lab M&O Plan/Agenda
Strategy and Planning Align the business to deliver on strategy
• Business Plan
• Performance Plan
• Other Plans
Work Execution Perform the work and business functions
• Execute Work
• Management Systems
Performance Monitoring and Analysis
Monitor, measure, and evaluate performance • Performance Indicators • Assessment • Performance Analysis Communication, Feedback, and Improvement Identify improvement opportunities and inform business decisions • Communicating Results • Feedback • Improvement Opportunities National R&D Priorities Customer Requirements
Strategic planning framework
Lab Plan
FRA/FNAL Plan (Agenda)
•
Communications framework that would:
–
align Lab strategic objectives, critical outcomes
and major initiatives in major mission areas of
science & operations, …other?)
–
Provide top-level basis for Business Plans that
flesh out annual actions and performance plans to
make progress toward the strategic vision
–
keep the FRA proposal a living document (sustain
good ideas, kill those not panning out)
Draft FRA/FNAL Lab Agenda
Strategic Objectives
Excellence in Particle Physics, Accelerator Science and Large
Scale User Facilities Operations and Excellence in ES&H Intensity Frontier Energy Frontier Cosmic Frontier
Critical Outcomes
Intense particle beams reveal new physics through
experiments with neutrinos, muons and other new particles
High energy particle colliders discover new particles and probe the architecture of
fundamental forces of nature
Underground experiments and
ground based telescope uncover the nature of dark energy matter and dark energy World-class technical support staff complement a modern suite of facilities /infrastructure and well-integrated, efficient business and management systems Major Initiatives • Accelerator Improvement Plan o NOvA o Proton Improvement Plan
• Neutrino Facilities and Experiments o NOvA o Mini/MicroBooNE o Minos/MINERvA o LBNE • Muon Campus o g-2 Experiment o Mu2e Experiment • LHC Physics and Upgrades • SRF Accelerator Technology Initiative • Liquid Ar Detector • Dark Matter Experiments
• Dark Energy Systems and Experiments • SLI Initiative • IARC • Facility Mission Readiness • Site Sustainability Plan • OHAP/Workforce Development
• Reduce cost of doing business
• CAS Development and Implementation
Business Plans
•
For Mission and Mission Support Organizations, annual Business
Plans align Sector/Div/Sec/Center actions and resources
withLab-level strategy and initiatives
•
Business plans contents (typical):
–
Strategy:
•
Top level/overview
•
Core capabilities
•
Goals and outcomes
•
Risk perspective
•
Resource requirements (staff, facilities, infrastructure)
–
Work Action Plan:
•
Near term outcomes and milestones
•
Risk mitigating actions
–
Performance Monitoring plan:
•
Performance indicators
•
Performance Monitoring & Assessment Plan
Mission outcomes, risks, and measurement are expressed in
business plans
Support organization business plans focus on enabling
mission accomplishment
Annual Lab Business Plan Preparation
•
Culminates in ~May submission of updated FNAL Lab Plan to DOE-SC/HEP
•
Outlines the 10-year strategy that aligns/prioritizes FNAL Mission
outcomes with DOE and national-level objectives
•
FNAL Mission and Mission Support organizations engage in a
strategic
planning process
to define long-term goals, desired outcomes and
near-term actions to execute the FNAL vision
–
Strategic planning process provides the framework for discussion and
communication within/across all Sectors and the Lab Directorate
–
Addresses future risks/opportunities, challenges, resource needs and methods
to monitor performance
–
Planning process is vital in translating strategies into actions
–
Mission/Mission Support organization Business Plans are key framework to
address specific mission readiness capability and development, integration
with FRA/FNAL top level initiatives, Sector initiatives and management system
deployment
FY 20__ Key Institutional Planning and Performance Management Activities
Date
Action scheduled (FY__ Planning)
May “Laboratory Plan for FNAL” submitted to DOE
June Internal Business Planning guidance issued
July Laboratory Plan for FNAL presented by FNAL Director to Dr. SC-1 (et. al,)
July Budget input for service centers/service organization burdens
August Budget input for overhead, research organization burden, program offices, user facilities, scheduled rates, BA/FTE estimates
August Lab Agenda initiative Plans due
August Mission/Mission Support Organization Business Plans due
Aug
Sector meetings with Director’s Office
Sept Leadership Team review of FY Planning overhead investment
The critical element of this process occurs during August
–
Each Sector has the opportunity to discuss their strategy, risks and
budget needs with the Lab Director’s Office before plans are
finalized
Steps to an Integrated Planning Process (1)
•
Re-align Integrated Planning, Performance
Management and Project oversight/support
functions and responsible organization units
–
OPPS functions & organization simplified and re-aligned:
•
Office of Integrated Planning and Performance Management
(OIPPM)
•
Office of Project Support Services (OPSS)
–
Both report to the Directorate through the COO
Office of Integrated Planning
and Performance Management
•
Develops and coordinates an integrated planning process to integrate and
implement the Lab scientific and operations vision through results-oriented
business plans
•
Provides guidance for the Laboratory-level investment portfolio
•
Develops lab-wide policy, procedures and instructions related to integrated
planning and performance management
•
Coordinates monitoring, assessment and analysis of laboratory performance
(PEMP, projects, major programs) through FNAL Performance Oversight Group
(POG) and CAS M-3
– POG = senior manager oversight group that meets regularly to review and trend performance metrics and issues with project and program managers
– Initiate Director’s project reviews when needed, lab-level liaison with DOE-SC/OPA external reviews
•
Provides communication of results, feedback to future plans and
risks/opportunities and coordinates continuous improvement/best practice
initiatives (QA, CAS M-8)
–
Assessment program targeted to risk-based priorities, PEMP coordination,
process improvements/best practices)
Office of Project Support Services
•
Lead efficient start-up services and resources to new
projects (~CD-0) and training of top
management-assigned leadership teams, hand-off to IPT not later than
3 months before CD-1
•
Provide project controls services/staff as needed and
funded by projects
•
Maintain FNAL EVMS certification, expertise in risk
management & cost estimate development
•
Produce consolidated performance metrics for major
projects in planning and execution for POG reviews
•
Support Sector Heads and Directorate in planning and
identification of future candidates for project teams
Steps to an Integrated Planning Process (II)
•
Develop/document the process for Strategic
(Integrated) Planning and Goal Setting and establish the
IPPM organization
–
Revise CAS M-3 (SP & GS)
–
Develop FRA/FNAL Lab Agenda
–
Develop Sector Business Plans
–
Organize/schedule management planning retreats
–
Define R2A2 and staff plans for IPPM and PSS Offices
–
Define ERM process and planning interfaces
•
Establish modified Performance Management Process
–
Revise CAS M-3 (PMO and PEMP )
–
Charter Performance Oversight Group (POG)
–
Schedule POG meeting cycle and get agreement on performance
review areas (projects, major programs, infrastructure, PEMP…)
–
Develop performance metrics
–
Brief/train POG participants
–
Initiate monthly POG internal (project) performance reviews (Q1FY13)
–
Automate/integrate performance metrics (Fermidash?)
–
Align Assessment program to performance priorities
–
Identify CI/BP candidates with savings/efficiency goals
–
Initiate PEMP for 2014
Steps to an Integrated Planning Process (III)
Conclusions
