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REQUIREMENTS AND POLICIES MANUAL

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Institutional Programs and Manuals

    Title:

    Institutional Programs and Manuals

    Publication date:

    7/10/2014

    Effective date:

    5/20/2011

    BRIEF

    Summary

    This page describes core policy and program documents of Berkeley Lab. These are controlled documents and must be managed in accordance with Laboratory Document Management policy and processes.

    Who Should Read This Information

    All employees and interested non-employees

    To Read the Full Description, Go To:

    The INFORMATION tab of this wiki page

    Contact Information

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

    Title:

    Institutional Programs and Manuals

    Publication date:

    7/10/2014

    Effective date:

    5/20/2011

    INFORMATION

    A. Purpose

    This page describes core policy and program documents of Lawrence Berkeley National Laboratory (Berkeley Lab). More specifically, this page (a) describes the overall relationships of institutional documents in support of the Laboratory's requirements management policy and (b) provides summaries of core policy and program documents that may be of most interest to the Laboratory community.

    B. Description

    1. Overview: Berkeley Lab's institutional documents establish the framework of operations for the Laboratory and derive from the DOE/Berkeley Lab Contract (Contract DE-AC02-05CH11231), which is the performance-based management and operating contract between the Department of Energy (DOE) and the Regents of the University of California for the management of Berkeley Lab. Figure 1 illustrates the hierarchical relationships between the DOE/Berkeley Lab Contract and the Laboratory's institutional and divisional and functional documents. All institutional documents must be controlled and managed per the Laboratory's Document Management policy. Divisional and functional documents are internally controlled by the individual divisions or functions. Neither Laboratory driving requirements nor Laboratory policies replace the governing DOE directives, the DOE/Berkeley Lab Contract, or applicable law. The institutional documents are divided into several types:
      • Berkeley Lab driving requirements documents are institutional documents that (a) are mandated by the Contract; applicable federal, state or local regulations; or the University of California (UC), and must be approved by at least Berkeley Lab senior management; and (b) drive institutional policies or processes or other documents. These driving requirements do not include Laboratory policies, and are typically program or system descriptions.
      • Berkeley Lab policies are collected in the Requirements and Policies Manual (RPM), and derive their authority from Laboratory driving requirements, the DOE/Berkeley Lab Contract, applicable requirements from UC, and Laboratory management.
      • The remaining institutional documents are implementing documents, which are processes, procedures, programs, or systems that describe how to meet Berkeley Lab requirements and policies. The Laboratory's Environmental, Safety and Health (ES&H) Manual (PUB-3000) is a core institutional implementing document.

    2. Contract DE-AC02-05CH11231 (the DOE/Berkeley Lab Contract or Contract 31) is the performance-based management and operating contract between DOE and the UC Regents for the management of Berkeley Lab. The DOE/Berkeley Lab Contract is available online from the UC Office of the President's Laboratory Administration Office. It is controlled via a modification process defined in the Contract. It is the primary governing document that sets the mission of the Laboratory, provides the basis for Berkeley Lab's policies and procedures, and includes:
      • DOE directives (also known as orders) that pertain to the Laboratory
      • The contractual terms and conditions governing the Laboratory's operations in areas such as human resources; finance; procurement; environment, safety, and health; technology; facilities; and legal (e.g., intellectual property)
      • An explicit clause (H.76) that calls for the inclusion of applicable federal, state, and local regulations
      • The annual performance goals and objectives against which DOE evaluates the Laboratory
    3. Berkeley Lab driving-requirements documents and core policy and program documents are organized by key business topic and are briefly described below. Section D of this page provides a crosswalk between each listed Laboratory driving-requirements document and its respective Contract 31 requirement(s) and the resulting Laboratory policies contained within the Laboratory's RPM.
      1. The Requirements and Policies Manual (RPM) (PUB-201) contains all Laboratory-wide policies and serves as a reference for guidelines, rules, and general business practices for Laboratory personnel. It can be found via the Lab's Web A-to-Z directory. Questions concerning policy interpretation, regulation applicability, or allowability of activities should be directed to the contact responsible for the particular RPM policy, designated at end of each policy.
      2. Laboratory Assurance and Quality Management Programs
        1. The University of California Contractor Assurance System Description for Lawrence Berkeley National Laboratory (PUB-5520) describes the operating systems used to ensure that the Laboratory's organizations achieve reliable and safe performance in their work activities, and are in compliance with regulatory and contractual requirements. These systems apply to all Laboratory staff, participating affiliates, students, and subcontractors. This is a Laboratory driving requirement.
        2. The Quality Assurance Program Description (QAPD) (PUB-3111) specifies the quality assurance and conduct of Operations requirements for all Laboratory divisions. Copies of this plan are available from the Office of Institutional Assurance (OIA). Questions concerning the applicability of the Operating and Quality Management Program to particular activities may be answered by the Quality Assurance Program Manager. The QAPD is a Laboratory driving requirement.
      3. The Personal Property Policy Manual (PPPM) (PUB-3032) describes the Laboratory's system for ensuring responsible stewardship of property used for DOE mission-driven work at the Laboratory. The PPPM and associated training are key to successfully managing property throughout its life cycle. The manual serves as a resource for division property staff, and provides information for the Laboratory community.
      4. Emergency Plans:
        1. The Master Emergency Program Plan (MEPP) describes how the Laboratory's resources are organized to respond to disasters such as a significant earthquake. The MEPP is available online. The point of contact is the Laboratory Emergency Services Manager. The MEPP is a Laboratory driving requirement.
        2. The Business Continuity Plan describes how key services will operate after the initial response to a major disaster. The Plan is available from the Business Continuity Program Manager. For more information, see the Business Continuity Planning Web site, and the Business Continuity policy in the RPM.
      5. Security Program Plans
        1. The Integrated Safeguards and Security Management (ISSM) System describes the overarching approach to security at Berkeley Lab. This document is a Laboratory driving requirement.
        2. The Site Security Plan describes the Laboratory's approach to physical security. The point of contact is the Security Manager. The Site Security Plan is a Laboratory driving requirement.
        3. The Computer Security Program Plan describes the Laboratory's approach to cyber security. The point of contact is the Computer Protection Program Manager. A summary is available here.
      6. Safety
        1. The Integrated Environment, Safety, and Health Management Plan (PUB-3140) sets forth the foundations for managing the many environmental, safety, and health programs at Berkeley Lab. This Integrated Safety Management (ISM) Plan is a Laboratory driving requirement.
        2. Laboratory-wide safety policies are contained in the RPM and are mapped to the detailed implementing processes contained in the Laboratory's Environmental,Safety and Health (ES&H) Manual(PUB-3000). This manual provides the detailed work processes and references for general safety; chemical safety; electrical safety; the design, installation, and test of hazardous research equipment; and general safety recommendations for fire and accident prevention. Questions should be referred to the Environment, Health & Safety (EH&S) Division point of contact listed within each policy, program, or process.
        3. The Worker Safety and Health Program (PUB-3851) summarizes the overall elements for worker safety and health at Berkeley Lab. It is available via the EH&S Division Web site, and is a Laboratory driving requirement. The Program's implementation is supported by the ES&H Manual (PUB-3000) and its implementing procedures.
        4. The Environmental Management System Plan (PUB-3180) summarizes the overall elements for management of the Berkeley Lab's environment. It is available via the EH&S Division Web site.
        5. The Radiation Protection Program describes the Berkeley Lab management approach and implementation methodologies to assure continued comprehensive compliance with 10 CFR 835 and to protect individuals during Laboratory work activities involving radiological materials or the operation of radiation sources. It includes all the elements of Berkeley Lab's comprehensive radiation safety effort — i.e., As Low as Reasonably Achievable (ALARA) program management and radiation safety oversight functions; radiation dose limits; monitoring requirements; entry controls; posting and labeling criteria; record-keeping; communication reporting; safety-training requirements; design and control standards; radioactive material controls; and emergency response.

    C. Definitions/Acronyms

    Term

    Definition

    Berkeley Lab driving requirements document

    An institutional document that (1) is mandated by the DOE/Berkeley Lab Contract; applicable federal, state, or local regulations; or UC, and approved by at least Berkeley Lab senior management; and (2) drives institutional policies, processes, or other documents

    Controlled document

    A document whose changes are managed so as to provide users with current and reliable information. See Berkeley Lab process 10.06.001.001 for detailed information.

    Institutional document

    A publication authorized by Laboratory management that delineates Laboratory-wide or multifunctional policies, procedures, regulations, or plans. A subset of authoritative documents. Scientific and technical publications and reports are not included in this definition. Examples: policy on nonsmoking, Lessons Learned and Best Practices Program Manual, Requirements and Policies Manual

     

     

    Acronyms

    OCA

    Office of Contractor Assurance

    EH&S

    Environment, Health and Safety Division

    EH&S-RPG

    EH&S – Radiation Protection Group

    D. Crosswalk of Laboratory Driving Requirements to Contract 31 and Berkeley Lab Policy

    Laboratory Driving Requirement

    Contract 31 or Applicable Regulation

    Implementing Laboratory Policy

    Functional Owner

    UC Contractor Assurance System Description for LBNL (PUB-5520)

    Contract 31, Clause H.30

    Contractor Performance
    Contractor Assurance

    OCA

    Quality Assurance Program Description (PUB-3111)

    Contract 31, Clause H.30
    DOE O 414.1D
    10 CFR 830, Subpart A

    Quality Assurance
    Document Management
    Contractor Assurance

    OCA

    Personal Property Policy Manual (PUB-3032)

     

    Use of Laboratory Property and Supplies Policy
    Personal Property Management Policy

     

    Site Security Plan

    DOE O 470.4B

    Site Access Policy

    Protective Services

    Master Emergency Program Plan

    DOE Order 151.1C
    California Government Code 8607(a), SEMS

    Emergency Policy (list)

    Protective Services

    Integrated Environment, Safety & Health Management Plan (PUB-3140)

    Contract 31, Clause I.86

    EHS Core Policy

    EHS

    Worker Safety and Health Program (PUB-3851)

    10 CFR 851

    EHS Core Policy

    EHS

    Environmental Management System Plan (PUB-3180)

    DOE Order 436.1

    EHS Core Policy

    EHS-Environmental

    Radiation Protection Program

    10 CFR 835

    Radiation Protection Policy

    EHS-RPG

    E. Implementing Documents

    Document number

    Title

    Type

    10.06.001.000

    Document Management Policy

    Policy

    10.06.001.001

    Document Management Process

    Process

    F. Contact Information

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

    G. Revision History

    Date

    Revision

    By whom

    Revision Description

    Section(s) affected

    Change Type

    1/2/2012

    1

    L. Young

    Re-organize for wiki

    All

    Minor

    7/10/2014

    1.1

    L. Young

    Triennial review, update links, next review date

    All

    Minor

    DOCUMENT INFORMATION

    Title:

    Institutional Programs and Manuals

    Document number

    01.02.002.000

    Revision number

    1.1

    Publication date:

    7/10/2014

    Effective date:

    5/20/2011

    Next review date:

    7/10/2017

    Policy Area:

    Laboratory General Information

    RPM Section (home)

    Laboratory General Policy and Information

    RPM Section (cross-reference)

    Section 1.01

    Functional Division

    Directorate

    Prior reference information (optional)

    RPM Section 1.01

    Crosswalk of Laboratory Driving Requirements to Contract 31 and Berkeley Lab Policy

    Laboratory Driving Requirement

    Contract 31 or Applicable Regulation

    Implementing Laboratory Policy

    Functional Owner

    UC Contractor Assurance System Description for LBNL (PUB-5520)

    Contract 31, Clause H.30

    Contractor Performance
    Contractor Assurance

    OCA

    Quality Assurance Program Description (PUB-3111)

    Contract 31, Clause H.30
    DOE O 414.1D
    10 CFR 830, Subpart A

    Quality Assurance
    Document Management
    Contractor Assurance

    OCA

    Personal Property Policy Manual (PUB-3032)

     

    Use of Laboratory Property and Supplies Policy
    Personal Property Management Policy

     

    Site Security Plan

    DOE O 470.4B

    Site Access Policy

    Protective Services

    Master Emergency Program Plan

    DOE Order 151.1C
    California Government Code 8607(a), SEMS

    Emergency Policy (list)

    Protective Services

    Integrated Environment, Safety & Health Management Plan (PUB-3140)

    Contract 31, Clause I.86

    EHS Core Policy

    EHS

    Worker Safety and Health Program (PUB-3851)

    10 CFR 851

    EHS Core Policy

    EHS

    Environmental Management System Plan (PUB-3180)

    DOE Order 436.1

    EHS Core Policy

    EHS-Environmental

    Radiation Protection Program

    10 CFR 835

    Radiation Protection Policy

    EHS-RPG

    Implementing Documents

    Document number

    Title

    Type

    10.06.001.000

    Document Management Policy

    Policy

    10.06.001.001

    Document Management Process

    Process

     

     

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