Title: |
Document Management |
Publication date: |
11/1/2022 |
Effective date: |
11/1/2022 |
BRIEF
Policy Summary
Berkeley Lab's institutional documents - whether electronic or paper - are subject to control to ensure they are accurate, current, appropriately available, and approved by authorized individuals.
Institutional documents are: 1) Laboratory policies and their supporting and implementing processes and procedures, such as those in the Requirements and Policies Manual (RPM); 2) Institutional documents that establish or document design specifications, and 3) other documents that specify implementation requirements to meet mission requirements, or to protect safety, health, environment, or property, such as the ES&H Manual (PUB-3000).
Who Should Read This Policy
- Persons who develop, review, approve, and maintain institutional documents must follow this policy
- Users of institutional documents should be familiar with this policy
To Read the Full Policy, Go To:
The POLICY tab on this wiki page.
Contact Information
Requirements Management Program Manager
Office of Institutional Assurance and Integrity
Title: |
Document Management |
Publication date: |
11/1/2022 |
Effective date: |
11/1/2022 |
POLICY
A. Purpose
This policy and its supporting processes establish the controls required for managing Lawrence Berkeley National Laboratory's institutional (Laboratory-wide) documents to ensure they are accurate, current, appropriately available, and approved by authorized individuals. These institutional documents reflect implementation of requirements set forth by Department of Energy and University of California Prime Contract for the management and operations of Lawrence Berkeley National Laboratory.
B. Persons Affected
Persons who develop, review, approve, and maintain institutional documents must follow this policy. Users of institutional documents should be familiar with this policy.
C. Exceptions
This policy does not cover specific internal division-level documents, such as internal policies/statements of expectations, Standard Operating Procedures (SOPs), process workflows, checklists, instructions, forms, templates or trainings.
D. Policy Statement
Berkeley Lab's institutional documents – whether electronic or on paper – that specify institutional policies, prescribe uniform institutional processes, or establish or document design specifications must be controlled to ensure they are accurate, current, appropriately available, and approved by authorized individuals in a manner reflecting the risks associated with improper management of the information.
A graded (risk-based) approach is used to manage and control institutional documents. The level and formality of document controls is directly related to the level of risk associated with improper document management. The Institutional Risk Severity Matrix can be found in the Laboratory Quality Assurance Program Description (QAPD) (PUB-3111). Guidelines for review and approval by type of institutional document are listed in LBNL Document Management Process.
The following controls are to be used in the management of the Laboratory's institutional documents.
- Documents must be uniquely identified by at least a document number, revision number, publication date, and title.
- Documents are subject to change control, which includes appropriate review, update and approval to certify new and existing documents, and to retire obsolete documents to ensure accurate and and current documents as necessary.
- Documents are subject to version control, which encompasses distribution and availability of the most up-to-date approved version of a document to users, and appropriate disposition of obsolete and superseded documents to avoid their inadvertent use.
- Documents are subject to periodic review to enable updating for currency, accuracy, and alignment with requirements and best practices.
- Documents deemed Laboratory records that must be archived are subject to the archival process set forth by the Laboratory's Records Management Office.
- Document changes are to be communicated by the persons responsible for making changes to the persons affected by such changes in a timely fashion.
E. Roles and Responsibilities
Role |
Responsibility |
Policy Owner/Author |
|
Line Managers |
|
Requirements Management Program Manager |
|
F. Definitions/Acronyms
Term |
Definition |
Document |
Written, visual, audio-, or video-recorded information stored in the form of hard copy, film, magnetic tape, electronic data, or in an online format. |
Document Information |
Also referred to as document "metadata," and includes (but is not limited to) titles, owners, document numbers, revision dates, and, for traceability, the related source requirements and implementing documents' information. |
Document Management |
A business-management process that ensures organizational access to current, reliable, and concise information. The document-management process includes document control, change control, configuration control, periodic review, and communication/distribution. |
Graded Approach |
The process by which the levels of analysis, documentation, verification, and other controls necessary to comply with program requirements are developed commensurate with specified factors. |
Implementing Document |
A document required to carry out a policy, process, procedure, system, or work instruction to ensure compliance with contract and Laboratory requirements. (Examples include: Issues Management Program Manual, Electrical Safety Manual). |
Institutional Document |
A document authorized by Laboratory management that delineates Laboratory-wide or multifunctional policy, procedures, regulations, or processes, such as the Requirements and Policies Manual, that is controlled to ensure that it is accurate, current, appropriately distributed, and approved by authorized individuals because it contains information that if improperly managed could reasonably be expected to substantially diminish the ability of the Laboratory to meet mission requirements or to protect safety, health, environment, or property. (Examples include: Laboratory policies, Laboratory processes, design specifications, institutional infrastructure and engineering drawings). |
Policy |
Statements or directives from the federal, state, or local government; the University of California; or Berkeley Lab senior management that set a course of action, define acceptable conduct, or implement governing principles. (Examples include: Research Data, Export Control Compliance). |
Procedure |
A series of specific steps to be followed to accomplish work or to carry out a policy or requirement. Procedures are controls meant to mitigate risk, improve efficiency, or assure compliance. (Examples: Obtaining a Berkeley Lab badge, completing a travel expense form). |
Record |
All books, papers, maps, photographs, machine-readable materials, or other documentary materials — regardless of physical form or characteristics — made or received that are preserved or appropriate for preservation that serves as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities. |
Requirement |
A specific obligation to perform an action mandated by Berkeley Lab senior management or the University of California or the federal, state, or local government; or an obligation to comply with the University of California contract with the U.S. Department of Energy. |
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 for implementation. Requirements-management process elements include the means of governing, analyzing, implementing, and tracking of requirements. |
Revision |
The act of altering or modifying a document. |
Version |
An altered or modified document, which is the result of revising. |
G. Recordkeeping Requirements
The Requirements Management Program Manager, with inputs from Laboratory divisions, has responsibility for ensuring accuracy, availability and currency of the institutional document information as reflected in the RPM.
Laboratory division that owned institutional documents housed outside of the RPM have the responsibility for maintaining a master list of institutional documents that are accessible to applicable users. The listed information includes, but is not limited to, the unique document identifiers, current and past publication dates and revision levels, and whether or not the document is considered a Laboratory record that requires archiving.
H. Implementing Documents
Document number |
Title |
10.06.001.001 |
|
10.06.001.104 | Updating the RPM |
10.06.001.202 |
|
10.06.001.203 |
I. Contact Information
Requirements Management Program Manager
Office of Institutional Assurance and Integrity
J. Revision History
Date |
Revision |
By whom |
Revision Description |
Section(s) affected |
Change Type |
11/1/2022 | 2 | D. Soustin | Periodic review: policy revised to align with the Requirement and Policy Manual document management practices | All | Major |
12/17/2020 | D. Soustin | Updated Contract 31 I clause numbers as per mod 1105 | Source Requirement Documents | Editorial | |
7/18/2014 |
1.1 |
L. Young |
Reviewed, minor clarifications, add Implementing Doc |
Brief, Sections D, H |
Minor |
8/1/2011 |
1 |
L. Young |
Prepare for wiki, revise per Reqs Mgmt Program |
all |
Minor |
DOCUMENT INFORMATION
Title: |
Document Management |
Document number |
10.06.001.000 |
Revision number |
2 |
Publication date: |
11/1/2022 |
Effective date: |
11/1/2022 |
Next review date: |
11/1/2025 |
Policy area: |
Document Management |
RPM Section (home) |
Information Management |
RPM Section (Cross reference) |
Contractor Performance Management |
Functional area |
Office of Contractor Assurance |
Prior reference information (optional) |
RPM Section 5.08 |
Source Requirements Documents
- DOE Order 414.1D, Quality Assurance, Attachment 2, CRD, Criteria 1, 4, 5
- Contract 31, Clause I.120, DEAR 970.5203-1, Management Controls (JUN 2007) (Deviation) (prev. I.076)
- PUB-3111, Quality Assurance Program Description (QAPD)
- 04.04.001.000, Requirements Management Policy
- 04.03.001.000, Quality Assurance Policy