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Contractor Assurance Policy

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    Title:

    Contractor Assurance Policy

    Publication date:

    3/10/2020

    Effective date:

    1/2/2012

    BRIEF

    Policy Summary

    Berkeley Lab must establish and maintain a Contractor Assurance System (CAS) to monitor effectiveness and efficiency of programs, improve performance, and communicate vital performance information to Laboratory management and key stakeholders.

    Who Should Read This Policy

    • Laboratory management, including the Laboratory Director, the Laboratory Deputy Directors for Research and Operations, the Office of Institutional Assurance and Integrity, division directors, and department heads
    • Laboratory employees who manage programs; develop internal policies, procedures, or processes; and/ or manage issues and associated corrective actions
    • Stakeholders from the Department of Energy (DOE), the DOE Bay Area Site Office (BASO), and University of California Office of the President (UCOP) who monitor performance and provide feedback

    To Read the Full Policy, Go To:

    The POLICY tab on this wiki page

    To Read the CAS Program Details, Go To:

    The University of California Contractor Assurance System Description for Lawrence Berkeley National Laboratory (PUB-5520)

    Contact Information

    Theresa Triplett

    Office of Institutional Assurance and Integrity

    tatriplett@lbl.gov

    Title:

    Contractor Assurance Policy

    Publication date:

    3/10/2020

    Effective date:

    1/2/2012

    POLICY

    A. Purpose

    This policy calls for the establishment and maintenance of a Contractor Assurance System (CAS) to manage requirements, monitor effectiveness and efficiency of programs, improve performance, and communicate vital performance information to Lawrence Berkeley National Laboratory (Berkeley Lab) management and key stakeholders.

    B. Persons Affected

    • Laboratory management, including the Laboratory Director, the Laboratory Deputy Directors for Research and Operations, the Office of Institutional Assurance and Integrity, division directors, and department heads
    • Laboratory employees who manage programs; develop internal policies, procedures, or processes; and/ or manage issues and associated corrective actions
    • Stakeholders from the Department of Energy (DOE), the DOE Bay Area Site Office (BASO), and University of California Office of the President (UCOP) who monitor performance and provide feedback

    C. Exceptions

    Not applicable

    D. Policy Statement

    Berkeley Lab must establish and maintain a Contractor Assurance System (CAS) to manage requirements, monitor effectiveness and efficiency of programs, improve performance, and communicate vital performance information to Laboratory management and key stakeholders. The overall purpose of the CAS is to assure that (a) the Laboratory's management systems and process controls are working as intended to manage the Laboratory's risks while accomplishing its mission and (b) Laboratory policies and institutional procedures address Contract 31 requirements.

    Berkeley Lab's CAS must include at least:

    1. Processes that:
      1. Manage contract requirements
      2. Identify and manage inherent and emerging risks
      3. Monitor performance through performance measures and assessments
      4. Identify and effectively correct deficiencies
      5. Continuously improve processes, products, and services
    2. A governance system to ensure the execution of processes, and formal and timely communication of results to Laboratory management and stakeholders

    The CAS, described in the University of California Contractor Assurance System Description for Lawrence Berkeley National Laboratory (PUB-5520), is aligned with work processes to promote risk identification and management.



    The figure above illustrates the key aspects of a CAS with several supporting elements. Berkeley Lab's CAS includes the institutional Requirements Management, Issues Management, and Operating Experience programs. The Laboratory's CAS incorporates several formal processes, including: Performance Evaluation and Measurement Plan (PEMP) development and performance monitoring, assessments and performance measures, and several management reporting mechanisms.

    E. Roles and Responsibilities

    Role

    Responsibility

    UCOP, Laboratory Management Office

    • Guides development of and approves CAS description
    • Establishes prime contract goals and objectives for the Laboratory
    • Monitors performance and provide feedback
    • Identifies and assesses risks
    • Manages the UC-DOE Prime Contract so as to maintain updated contract terms and conditions, including formal modifications or additions to contractual requirements
    • Issues annual Assurance Letter

    Laboratory Senior Management

    • Guides development of and approves CAS description
    • Establishes institutional goals and objectives
    • Identifies and ensures effective management of contract requirements
    • Identifies institutional risks and ensures appropriate mitigations and/or corrective actions
    • Monitors performance and provides feedback
    • Provides input to UCOP for annual Assurance Letter

    Operations Division Directors

    • Establishes goals and objectives
    • Develops and implements functional area assurance mechanisms
    • Directs and monitors performance
    • Implements improvement actions/initiatives

    Office of Institutional Assurance and Integrity

    • Develops and maintains CAS description and related institutional processes
    • Supports senior management and staff in implementing CAS
    • Develops and maintains risk registry
    • Develops assurance reports

    Laboratory staff

    • Identifies risks and ensures appropriate mitigations and/ or corrective actions
    • Monitors performance and provides feedback
    • Implements improvement actions/initiatives


    F. Definitions/Acronyms

    Term

    Definition

    Contractor Assurance System

    Berkeley Lab management system designed to monitor controls and inform cognizant management and stakeholders of performance

    Assessment

    The act of reviewing, inspecting, testing, checking, conducting surveillances, auditing, or otherwise determining and documenting whether items, processes, or services meet specified requirements

    Operating Experience

    System for capturing, documenting, and disseminating best practices and lessons learned from our and others' experiences.

    Requirements Management

    A business-management process that provides a systematic approach to ensuring that all contractually based requirements are assigned an owner, analyzed for impact, and flow down to the workforce.  Requirements-management process elements include the means of governing, analyzing, implementing, and parsing of requirements.

    Issues Management

    The process by which issues are managed and tracked through resolution to prevent recurrence

    G. Recordkeeping Requirements

    As defined in CAS Description PUB-5520.

    H. Implementing Documents

    I. Contact Information

    Theresa Triplett

    Office of Institutional Assurance and Integrity

    tatriplett@lbl.gov

    J. Revision History

    Date

    Revision

    By whom

    Revision Description

    Section(s) affected

    Change Type

    1/2/2012

    0

    J. Chernowski

    New

    All

    Major

    12/20/2012

    1

    J. Chernowski

    Full policy

    All

    Major

    8/13/2014 1.1 I. Nishibayashi Reviewed, update to align with practice D (diagram), E Minor
    3/8/2017 1.2 M. Stoufer Updated "Associate Laboratory Director for Operations" position title to "Laboratory Deputy Director for Operations" All Editorial
    3/10/2020 1.3 D. Soustin Clarified and updated terminology (Lab management, BASO, OIAI), updated PUB-5520 and implementing & source requirements documents lists All Minor

    DOCUMENT INFORMATION

    Title:

    Contractor Assurance Policy

    Document number

    04.02.001.000

    Revision number

    1.3

    Publication date:

    3/10/2020

    Effective date:

    1/2/2012

    Next review date:

    3/10/2023

    Policy area:

    Contractor Assurance

    RPM Section (home)

    Contractor Performance Management

    RPM Section (cross-reference)

    None

    Functional Division

    Office of Institutional Assurance and Integrity

    Prior reference information (optional)

    n/a

    Source Requirements Documents

    Other References

    Multiple Laboratory requirements documents call for specific assurance systems and therefore support this overall Contractor Assurance policy. The following is a representative list.

    Implementing Documents



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