Office of Contractor Assurance

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About the Office of Contractor Assurance                       

The Office of Contractor Assurance (OCA) provides oversight of LBNL’s management systems and operating processes to ensure that compliance, operational support for science, best management practices, and continuous improvement are achieved at LBNL. The OCA is an internal independent assurance organization, and is authorized to have unrestricted access (as appropriate) to personnel, records, and other information sources necessary to carry out its duties. 

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At the direction of the Director of Institutional Assurance and Integrity, the Office of Contractor Assurance manages processes that assure UC and LBNL management that operations are effective and efficient, financial reporting is reliable, and both are in compliance with applicable laws, regulations, and contractual requirements. These assurance systems are designed to identify deficiencies and improvement opportunities to responsible managers, and foster continuous improvement by supporting corrective action development and implementation and sharing of lessons learned.

This office:

  1. Provides a structure for oversight and assurance activities in partnership with line management, implements and maintains institutional performance assurance programs consistent with good management practices and contractual requirements.  These programs are composed of the following elements: 
    1. Performance Monitoring.  Establish and maintain systems to monitor contract performance evaluation measures, Laboratory and Division-specific performance of vital operations and significant operational risks.
    2. Assessments and Reviews.  Develop appropriate assessment programs for Laboratory operations; including self-assessments, LBNL peer reviews, and external reviews.
    3. Issues Management.  Develop and maintain an issues management program for Laboratory operations that uses a risk-based approach to managing issues from discovery or self-identification through causal analysis and resolution to prevent recurrence. 
    4. Continuous improvement, lessons learned and best practices.  Develop and maintain a Laboratory-wide lessons learned and best practices program to provide a systematic approach towards continuous improvement including sharing of lessons learned with appropriate elements of the Laboratory and the DOE complex.
    5. Requirements Management (RM).  Develop and maintain the Laboratory Requirements Management System to coordinate the review, policy development and implementation of contractual and regulatory requirements.
    6. Serves as the Point of Contact for managing and overseeing the institutional Quality Assurance Program.
  2. Regularly reports to Laboratory management, UC Office of the National Labs (UC Office of the President) , and DOE on risks and performance trends identified from oversight and assurance activities.
  3. Coordinates and participates in investigating incidents of significant concern to Laboratory management.  Analyzes causes and extent of condition of these incidents and reports results to Laboratory and Division managements.
  4. Serves as the Independent Point of Contact for evaluating 10CFR parts 830 and 835 Price-Anderson Amendments Act issues and deficiencies.
  5. Provides project management support for institutional assurance related initiatives and responses. 
  6. Provides staff support for the UC Contract Assurance Council.