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    Title:

    Contractor Assurance Policy

    Publication date:

    11/10/2020

    Effective date:

    9/11/2019

    BRIEF

    Policy Summary

    Lawrence Berkeley National Laboratory (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, department heads, and Subject Matter Experts who manage programs; develop internal policies, procedures, or processes; and/ or manage issues and associated corrective actions
    • All laboratory employees
    • Stakeholders from the Department of Energy (DOE), the DOE Bay Area Site Office (BASO), and the 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:

    11/10/2020

    Effective date:

    9/11/2019

    POLICY

    A. Purpose

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

    B. Persons Affected

    • Berkeley Lab 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, and Subject Matter Experts who manage programs, develop internal policies, procedures, or processes, and/ or manage issues and associated corrective actions
    • All laboratory employees
    • Stakeholders from the Department of Energy (DOE), the DOE Bay Area Site Office (BASO), and the University of California Office of the President (UCOP) who monitor performance and provide feedback

    C. Exceptions

    Not applicable

    D. Policy Statement

    Berkeley Lab establishes and maintains a CAS to manage requirements and 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 (a) meet the contract requirements identified in Clause H.30 of the prime contract between the University of California (UC) and the DOE, (b) assure that the Laboratory's management systems and process controls are working as intended to manage the Laboratory's risks while accomplishing its mission, and (c) Laboratory policies and institutional procedures address all Contract 31 requirements.
    Assurance activities must identify and monitor risks, the effectiveness of management systems and process controls, and the consistency of performance to DOE contract requirements and missions. These activities must also promote improvement through corrective action development and implementation and communication of operating experiences. The output provides UC and Berkeley Lab leadership with regular data and information on performance trends and significant or emerging risks. The CAS is to be implemented commensurate with risk and aligned with Berkeley Lab functions and work processes to promote risk identification and management. Laboratory organizations must regularly evaluate and improve the performance of their units. Key assurance activities performed by Berkeley Lab organizations must include:

    • Managing contract requirements;
    • Identifying and managing inherent and emerging risks;
    • Monitoring performance through performance measures and assessments;
    • Identifying and effectively correcting deficiencies; and
    • Continuously improving processes, products, and services.


    Berkeley Lab assurance processes must ensure that:

    • Policies and institutional procedures address contract requirements;
    • Management systems and process controls are working as intended to manage the Lab's risks while accomplishing its mission; and
    • Communication to DOE, UC, and Berkeley Lab leadership is timely and appropriate, including electronic access to assurance-related information.

    The CAS, described in the University of California Contractor Assurance System Description for Lawrence Berkeley National Laboratory (PUB-5520), is a system of processes and tools designed to provide assurance that Berkeley Lab's mission objectives are achieved; its workers, the public, and the environment are protected; its operational, facility, and business systems are effectively managed; and the requirements of the UC-DOE contract are met. The CAS has been developed to identify and resolve problems and negative performance trends before they become significant issues, systematically integrate and align work based on risk and performance, and improve work by incorporating lessons learned and best practices. The assurance system is integrated with other management systems like the Integrated Safety Management System (ISMS) and utilizes metrics and other targets and drives efficient and cost-effective performance. A critical element of the assurance system is a strong partnership among the UC, Berkeley Lab, and the DOE. This partnership is evident in the frequent formal and informal communications at all levels, transparency of management systems and processes, timely flow of information, and joint resolution of issues.

    Tri-Parties Relationship

    E. Roles and Responsibilities

    Role

    Responsibility

    Contractor Assurance Council

    • Reviews Contractor Assurance System(s).
    • Provides input on effective UC governance of Berkeley Lab.
    • Evaluates risk identification and quality of assessments.
    • Assures adherence to contract requirements and UC policy.
    • Reviews Berkeley Lab policies, systems, procedures, and practices to protect DOE and UC assets.
    • Reviews performance measures, metrics, results, and identification and prioritization of risks.
    • Reviews significant Laboratory-wide issues that need UC institutional assurance attention and/or third-party assessments.

    UCOP, University California National Laboratories (UCNL)

    • Guide development of and approve the CAS description.
    • Establish prime contract goals and objectives for the Laboratory.
    • Monitor performance, provide feedback, and identify and assess risks.
    • Conduct assurance meetings to integrate tri-parties transactional oversight information as well as regular meetings with DOE to acquire feedback on UC and Berkeley Lab performance.
    • Manage the UC-DOE Prime Contract so as to maintain updated contract terms and conditions, including formal modifications or additions to contractual requirements.
    • Earmark and manage an earned performance management fee to support Berkeley Lab in reversing negative performance trends, financing UC buildings for Berkeley Lab use, and funding other scientific research and programs to further the interest of Berkeley Lab.
    • Publish an annual operating plan.
    • Submit the annual Federal Managers Financial Integrity Act (FMFIA) Assurance Memorandum.
    • Utilize performance metrics, assessment reports, and other information for reviewing and understanding operational conditions at Berkeley Lab.

    Laboratory Senior Management

    • Guides development of and approves the CAS description.
    • Sets strategic direction and institutional goals.
    • Deploys resources and develops management systems.
    • Identifies and ensures effective management of contract requirements.
    • Implements process controls to address and mitigate risks.
    • Provides input to the UCOP for the annual Assurance Letter.

    Division Directors, Department Heads, Line Management and Subject Matter Experts

    • Monitor operational performance.
    • Establish and monitor performance goals and assess risks.
    • Conduct assessments to assure that performance is effective and meets regulatory and contractual requirements.
    • Identify, assess, and manage issues and corrective actions.
    • Facilitate and sponsor reviews, such as casual analysis for operational upsets.

    Office of Institutional Assurance and Integrity

    • Supports development and maintains the CAS description and related institutional processes.
    • Provides oversight of CAS, quality assurance management systems, and operating processes.
    • Supports senior management and staff in implementing CAS.
    • Identifies and tracks operational risks and mitigations.
    • Develops and tracks CAS performance metrics.
    • Coordinates internal and external assessments and investigations.
    • Conducts performance analysis to identify risks, issues, and other adverse performance trends.

    Laboratory staff

    • Conducts daily work, processes, and activities to achieve the objectives set by Laboratory leadership.
    • Identifies and reports risks.
    • Monitors performance and provides feedback.
    • Implements corrective actions and improvement initiatives.
    • Provides assistance, support, and expertise in UCNL and DOE prime contract and requirements management.


    F. Definitions/Acronyms

    Term

    Definition

    Assessment

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

    Associate Laboratory Directors

    Associate Laboratory Directors for Computing Sciences, Earth & Environmental Sciences, Biosciences, Energy Sciences, Energy Technologies, and Physical Sciences

    Contractor Assurance System

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

    Division Directors

    Directors of Berkeley Lab scientific and operations divisions

    Issues Management

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

    Laboratory Senior Management

    Laboratory management above the level of Associate Laboratory Directors, including Laboratory Director, the Deputy Director for Research, and the Deputy Director for Operations. Appointees and incumbents in these positions have responsibility for defining overall Laboratory policy and direction and are appointed by and serve at the discretion of the Regents, the President of the University of California, or the Laboratory Director, as appropriate. 

    Laboratory Staff

    Represented or non-represented employees of Berkeley Lab employed in a specific type of appointment including Career, Term, Limited, Faculty, Visiting Researcher, or Rehired Retiree

    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.

    Subject Matter Experts (SMEs)

    The functional title for a person who has technical expertise and knowledge in a specific program, operations, process, or professional area, or a Point-of-Contact for a particular functional area

    G. Recordkeeping Requirements

    As defined in CAS Description PUB-5520.rev. 3

    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

    T. Triplett

    Clarified and updated terminology (Lab management, BASO, OIAI), updated PUB-5520 and implementing & source requirements documents lists

    All

    Minor

    11/10/2020

    2

    T. Triplett

    Updated policy text to align with PUB-5520 Revision 3 (Sept. 2019); updated roles and responsibilities

    All

    Major

    DOCUMENT INFORMATION

    Title:

    Contractor Assurance Policy

    Document number

    04.02.001.000

    Revision number

    2

    Publication date:

    11/10/2020

    Effective date:

    9/11/2019

    Next review date:

    11/10/2023

    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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