# Presentation: 401156

## Institutional Level Planning and Performance Management Cycle

- October

- January

- July

- April

- Senior Mgmt Performance Review Retreat

- Publish updated
- ALP/Business Plan
- and PEMP

- Staff performance reviews and update of R2A2s and personal Goals

- Analyze the FY+1 Presidential Budget

- Strategic Intent Retreat

- Director’s Planning Retreat

- Set Institutional G&A Investment Targets and Rates

- Distribute Business Planning Guidance

- Directorate Business Plan Review sessions

- Update Strategic Plan

- 1Q Review

- Partner’s Retreat

*Effective September 29, 2006*

- 3Q Review

- 2Q Review

- Sponsor Spending Guidance and Authorization

- Monitor House and Senate Budget Mark-ups

- Begin Development of FY+1 PEMP

- 4Q Review

- Begin Development of the FY+1 ALP

***For further information “click” on a box***

- Develop End-of -Year Report

## Strategic Plan, Annual Lab Plan, and PEMP

- 	Each fiscal year begins with an updated Strategic Plan.  Additionally, an Annual Lab Plan (ALP), which translates strategic objectives into near-term tactical targets, is approved. The Performance Evaluation and Measurement Plan (PEMP) is also approved and incorporated into the Laboratory’s Prime Contract.  These plans are the output of several planning activities that occur throughout the year which involve scientific departments, directorates, and BSA corporate and Board entities (SBU, Battelle, Core Universities).   The overall lab-goals are ultimately concurred with by the DOE/Brookhaven Area Office.
- 	For FY07, a Strategic Focus Area (SFA) framework was adopted for both the Strategic Plan and the ALP.  The SFAs are:
- Advancing the Frontiers of Science
- Attracting and Sustaining Top Talent
- Modernizing the Laboratory Infrastructure
- Improving the Quality and Reducing the Costs of Doing Business
- Achieving Excellence in ESS&H
- Fostering Stakeholder Relationships
- 	They serve to focus us on our core elements of strategy, while enabling a comprehensive view of the most significant factors that can affect the viability of the Laboratory’s scientific mission.
- 	Beginning in FY08, each organizational unit will have a business plan which will assure flow-down of institutional objectives and targets into the organizational plans.

## Senior Management Performance Review Retreat

- 	In the fall, the Laboratory Director conducts a Senior Management Performance Review Retreat. The purpose is to conduct a thorough self-evaluation of institutional performance.  It would include:
- 	1)  Comprehensive evaluation against objectives and targets defined in the previous fiscal year’s Annual Lab Plan (ALP) and progress on the Laboratory’s strategic agenda, Goals and Objectives of the PEMP, and performance of key functional areas (management systems),
- 	2) Review significant events and issues that occurred in the previous fiscal year and to verify the adequacy of management response to those events and issues, and;
- 	3) Assure that that the objectives and targets established in the current ALP adequately reflect institutional priorities.

## Staff Performance Reviews and Update of R2A2s and Personal Goals

- 	In the fall, each employee’s performance is evaluated against the goals established in his/her performance plan for the previous FY.  Objectives and targets in the current ALP are translated into individual performance goals and/or R2A2s as appropriate for the current fiscal year.

## Sponsor Spending Guidance & Authorization

- 	With completion of the Congressional Appropriations Bill for the Department of Energy, final fiscal year budget authorization is received from the Department.  Once received, a review is conducted by Senior Laboratory Management (e.g. Director, DDO, DDS&T, ALDs, Budget Office) to determine the impact of the approved budget on the current Laboratory plans. As other relevant Congressional Appropriations Bills are passed, they too are evaluated for potential impact on the Laboratory. The Annual Lab Plan and organizational unit business plans are revised as necessary.

## Analyze the FY+1 Presidential Budget

- 	Following the submission of the FY+1 President’s Annual Budget Request to Congress, an analysis is conducted by the Budget Office, ALDs, Department Chairs, the Policy and Strategic Planning Directorate, to consider the potential impacts associated with the budget (e.g. changing national priorities).  Based on this analysis, we begin development of the FY+1 ALP and initial G&A institutional targets and rates are established for the subsequent fiscal year.

- Presidents Budget Request (OMB)

- Budget Analysis and Status of the Appropriations (AAAS)

- Additional information can be found on the following web-sites:

## Director’s Planning Retreat

- 	In the spring, the Laboratory Director holds a Senior Management Planning Retreat. The purpose is to:
- 	1) review the progress and adequacy of the current ALP and update it as necessary,
- 	2) identify targeted activities for the FY+1 ALP and PEMP in the context of the FY+1 Presidential Request to Congress and current previous year’s performance evaluations.

## Partner’s Retreat

- 	This purpose of this retreat is to develop a common understanding of the customer’s expectations for Laboratory Performance in FY+1 within the context of the BNL Strategic and Annual Laboratory Plans for the development of the Measures and Targets for the FY+1 PEMP.
- 	The meeting includes BNL Senior Management, Corporate Entities from Brookhaven Science Associates (BSA) and the Department of Energy-Brookhaven Site Office (BHSO) and potentially other DOE-SC entities.

## Organizational Business Plan Reviews

- 	During the summer, organizational business plan reviews are conducted by the Director, the Deputy Director for Science and Technology, the Deputy Director for Operations, the Assistant Laboratory Director (ALD) for Policy and Strategic Planning, the ALD for Finance, the Budget Manager, and other ALDs and Senior Managers, as needed.  The purpose of these meetings is to review organizational performance for the current fiscal year, to demonstrate alignment of organizational unit objectives with institutional priorities and performance expectations, and to determine appropriate resource allocation and trade-off decisions for FY+1 that may be necessary to execute the ALP.

## Strategic Intent Retreat

- 	The purpose of the “Strategic Intent” Retreat is to
- 	1) review the goals and objectives of the SFAs,
- 	2) consider potential new initiatives or goals, develop plans for follow-on planning and analysis (as needed)
- 	Participants include BNL Senior Management (and other management as appropriate) and BSA entities.

## Quarterly Performance Reviews

- 	At the end-of-year and on a quarterly basis a review of institutional performance is conducted and reports are developed as necessary to meet the needs of Laboratory Leadership, BSA Corporate entities, and DOE/BHSO.  Performance in four areas is reviewed.
- Annual Lab Plan
- Performance Evaluation and Measurement Plan (PEMP)
- Cross-Cutting Functional Performance (i.e. Management System)
- Corporate Assurance Risk

*Note*:  There is often overlap of performance information in theses areas

## Monitor House and Senate Budget Mark-Ups

- 	After the President submits the annual budget request to Congress several key budget actions need to be followed. Budget hearings set the overall appropriations mark, 302b Allocations set the levels for individual appropriations committees, and appropriations sub-committees begin the task of develop budget bills (both within the House of Representatives and in the Senate). The house and senate sub-committee marks are ultimately brought to the full House or Senate for a vote, and if successful, signature by the President. In many years, the Appropriations Bill for Energy and Water is not completed by October 1 and a continuing resolution is passed as a temporary spending measure. At each step in the process, the potential impact on the Laboratory is analyzed by CEGPA, the Director, DDS&T, DDO, Laboratory scientific managers, budget office staff, and the Policy and Strategic Planning Directorate.
**	**

- Legislation and hill activities (Thomas-Library of Congress)

- Budget Analysis and Status of the Appropriations (AAAS)

- Additional information can be found on the following web-sites:

## Distribute Business Planning Guidance

- 	Based on the analysis of the Presidents Budget Request and institutional priorities, initial G&A investment targets and rates are set and guidance for development of organizational budgets is distributed.
- 	Beginning in FY08 organizational business plans will be developed.  These business plans will provide a review organizational performance and resources, assure alignment of organizational unit objectives with institutional priorities and performance expectations.  They will be used to determine appropriate resource allocation and trade-off decisions that may be necessary to execute the Annual Lab Plan.

## Develop End-of-Year Report

- 	At the completion of the FY the Laboratory conducts a performance review and develops a comprehensive report.  Performance in four areas is reviewed.
- Annual Lab Plan
- Performance Evaluation and Measurement Plan (PEMP)
- Cross-Cutting Functional Performance (i.e. Management System)
- Corporate Assurance/Risk
- The report is provided to the Department of Energy (DOE) to be used as a basis for their annual evaluation of Laboratory performance and to BSA risk committees to assist them in providing the contractually required assurance letter to the DOE.

## Begin Development of the FY+1 PEMP

- 	Based on the results of the Director’s Planning Retreat and initial business planning guidance, laboratory managers begin discussions with their BHSO counterparts to determine potential FY+1 PEMP measures and targets.  These discussions enable the Partners Retreat to meet the objectives of BSA, BNL, and BHSO.