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REQUIREMENTS AND POLICIES MANUAL
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Document Management Policy
Title: |
Document Management Policy |
Publication date: |
7/18/2014 |
Effective date: |
8/1/2011 |
BRIEF
Policy Summary
Berkeley Lab's authoritative documents - whether electronic or paper - are subject to control in a manner reflecting the risks associated with improper management of the information to ensure they are accurate, current, appropriately available, and approved by authorized individuals.
Authoritative documents include, for example, institutional documents that specify Laboratory policies and their supporting and implementing processes and procedures. Authoritative documents further include those that establish or document design specifications, and generally those for which an error in document control could reasonably be expected to substantially diminish the ability of the institution to meet mission requirements, or to protect safety, health, environment, or property.
Who Should Read This Policy
- Persons who develop, review, approve, and maintain authoritative documents must follow this policy
- Users of authoritative documents should at least be familiar with this policy
To Read the Full Policy, Go To:
The POLICY tab on this wiki page.
Scientific and Technical Publications policy, document number 10.02.001.
Requirements Management Program Manager
Office of Contractor Assurance
Requirementsmgmt@lbl.gov
Title: |
Document Management Policy |
Publication date: |
7/18/2014 |
Effective date: |
8/1/2011 |
POLICY
A. Purpose
This policy and its supporting processes establish the controls required for managing Lawrence Berkeley National Laboratory's authoritative documents to ensure they are accurate, current, appropriately available, and approved by authorized individuals.
B. Persons Affected
Persons who develop, review, approve, and maintain authoritative documents must follow this policy. Users of authoritative documents should at least be familiar with this policy.
C. Exceptions
This policy does not cover scientific and technical publications. The reader is directed to 10.02.001.000, Scientific and Technical Publications policy.
D. Policy Statement
Berkeley Lab's authoritative documents – whether electronic or on paper – that specify policies, prescribe uniform 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.
The following controls are to be used in the management of the Laboratory's authoritative 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 and approval to certify new documents, ensure accuracy, and update the 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 Archives and Records Office.
- Persons responsible for making changes to authoritative documents have responsibility for ensuring that persons affected by such changes are notified and provided the updated information in a timely fashion.
A specific subset of authoritative documents is the set of institutional documents, which include Laboratory-wide or multidepartmental policy and requirements and their related supporting procedures, programs, systems, plans, and so forth. These institutional documents reflect the Laboratory's implementation of requirements set forth by its contract with the Department of Energy and its relationship with the University of California. Process 10.06.001.001, LBNL Document Management Process, specifies management of documents and flows from this policy.
Berkeley Lab uses a graded approach in managing and controlling 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). A procedure to assess risk and impact for institutional documents and to determine a grade for subsequent actions is provided in Analyzing Requirements and Determining Impact and Risks. Guidelines for review and approval by type of institutional document are listed in LBNL Document Management Process.
Each Laboratory division is responsible for identifying the subset of operations documents that require formal document control, making the list of these documents available to the Requirements Management Program, and, as necessary, implementing the appropriate controls prescribed by this policy and the follow-on LBNL Document Management Process. One possible means for capturing the list of divisional documents requiring formal document control is the division's Integrated Safety Management (ISM) Plan.
E. Roles and Responsibilities
Role |
Responsibility |
Line Managers |
Ensure compliance to this policy within their scope of responsibility by:
- Identifying those documents that fall under the definitions of authoritative and institutional
- Adopting and enforcing document-management processes that support the controls cited within this policy
|
Persons who develop, review, maintain, and approve authoritative documents |
- Within their scope of responsibility, ensure implementation of document-management processes that support the controls cited within this policy
- Proactively contribute to improving document-management processes for efficiency and simplicity
|
Persons who use authoritative documents |
Proactively contribute to the improvement of documents for accuracy and currency, and of document-management processes for efficiency and simplicity |
Requirements Management Program Manager |
- Provides expertise on document-management process, as required
- Leads team on periodic review of document-management processes. The team comprises, at least, authors, Creative Services Office (CSO) editors, and Archives and Records Office representatives
|
Creative Services Office |
- Provides editorial expertise, as requested
- Within its scope of responsibility, ensures implementation of document-management processes that support the controls cited within this policy
- Proactively contributes to improving document-management processes for efficiency and simplicity
|
Archives and Records Office |
- Provides records-management expertise, as applicable
- Within its scope of responsibility, ensures implementation of document-management processes that support the controls cited within this policy
- Proactively contributes to improving document-management processes for efficiency and simplicity
|
F. Definitions/Acronyms
Term |
Definition |
Authoritative Document |
A document 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 institution to meet mission requirements or to protect safety, health, environment, or property
Examples: Laboratory policies, Laboratory processes, design specifications, engineering drawings |
Document |
Written, visual, audio-, or video-recorded information stored in the form of hard copy, film, magnetic tape, electronic data, or in an online, Web-based format |
Document Information |
Also referred to as document "metadata," and includes (but is not limited to) titles, 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
Examples: Expense form, Corrective Action Tracking System (CATS) Database User Manual, Environment, Health & Safety (EH&S) Division Chemical Storage Guidelines |
Institutional Document |
A publication authorized by Laboratory management that delineates Laboratory-wide or multifunctional policy, procedures, regulations, or plans. A subset of authoritative documents. Scientific and technical publications and reports are not included in this definition.
Examples: Personal Property Policy Manual, Radiation Protection Program, Requirements and Policies Manual |
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. Example: Berkeley Lab Site Access |
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, maintaining the Laboratory's 12 kV electrical system, 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 Laboratory's 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. Requirements-management process elements include the means of governing, analyzing, implementing, and parsing 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
Each Laboratory division has responsibility for maintaining a master list of authoritative documents that it deems subject to control. 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.
The Requirements Management Program Manager, with inputs from Laboratory divisions, has responsibility for ensuring currency of the institutional document information in the Requirements Management System (RMS) database.
H. Implementing Documents
Document number |
Title |
10.06.001.001 |
Managing Institutional Documents Process |
10.06.001.101 |
Developing, Reviewing, Approving, Non-Policy Institutional Documents Procedure |
10.06.001.102 |
Developing, Reviewing, Approving, Institutional Policy Documents Procedure |
10.06.001.103 |
Storing, Retrieving, Archiving Institutional Documents Procedure (tbd) |
10.06.001.202 |
Policy Template & Information Form |
10.06.001.203 |
Policy Approvals Form |
10.06.001.201 |
Procedure, Program, System, Process Template (tbd) |
10.06.001.901 |
Style Guide for Institutional Documents (tbd) |
04.04.001.201 |
Analyzing Requirements and Analyzing Risks and impacts to Determine Significance Rating |
Questions on this policy should be directed to:
Requirements Management Program Manager
Office of Contractor Assurance
requirementsmgmt@lbl.gov.
J. Revision History
Date |
Revision |
By whom |
Revision Description |
Section(s) affected |
Change Type |
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 |
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