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Document Management Policy

Title:

Document Management Policy

Publication date:

8/1/2011

Effective date:

8/1/2011

BRIEF

Policy Summary

Berkeley Lab's authoritative documents, whether electronic or paper, shall be 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.

Related Policy:

Scientific and Technical Publications policy, document number 10.02.001.

Contact Information

Requirements Management Program Manager
Office of Contractor Assurance
Requirementsmgmt@lbl.gov

Title:

Document Management Policy

Publication date:

8/1/2011

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.

  1. Documents shall be uniquely identified by at least a document number, revision number, publication date, and title.
  2. Documents shall be subject to change control, which includes appropriate review and approval to certify new documents, ensure accuracy, and update the documents as necessary.
  3. Documents shall be 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.
  4. Documents shall be subject to periodic review to enable updating for currency, accuracy, and alignment with requirements and best practices.
  5. Documents deemed Laboratory records that must be archived shall be subject to the archival process set forth by the Laboratory's Archives and Records Office.
  6. Persons responsible for making changes to authoritative documents will 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 full graded approach is listed in the Laboratory Quality Assurance Plan Description (QAPD) (PUB-3111). A procedure to assess risk and impact for institutional documents 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 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 principlesExample: 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 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)

I. Contact Information

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

8/1/2011

1

L. Young

Prepare for wiki, revise per Reqs Mgmt Program

all

Minor

DOCUMENT INFORMATION

Title:

Document Management Policy

Document number

10.06.001.000

Revision number

1

Publication date:

8/1/2011

Effective date:

8/1/2011

Next review date:

8/1/2014

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

Implementing Documents

Document number

Title

Type

10.06.001.001

Managing Institutional Documents Process

Process

10.06.001.101

Developing, Reviewing, Approving, Non-Policy Institutional Documents Procedure

Procedure

10.06.001.102

Developing, Reviewing, Approving, Institutional Policy Documents Procedure

Procedure

10.06.001.103

Storing, Retrieving, Archiving Institutional Documents Procedure (tbd)

Procedure

10.06.001.202

Policy Template & Information Form

Form

10.06.001.203

Policy Approvals Form

Form

10.06.001.201

Procedure, Program, System, Process Template (tbd)

Form

10.06.001.901

Style Guide for Institutional Documents (tbd)

Manual

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