Organizational Self-Assessment

Title:	Organizational Self-Assessment
Publication date:	8/25/2023
Effective date:	2/17/2012

BRIEF

Policy Summary

Berkeley Lab organizations must perform self-assessments in accordance with good business practices and contract requirements.

Who Should Read This Policy

All levels of management, including the Laboratory Director, the Deputy Director for Operations (DDO), the Office of Institutional Assurance and Integrity (OIAI), division directors, and department heads
Berkeley Lab employees who perform self-assessments

To Read the Full Policy, Go To:

The POLICY tab on this wiki page

Contact Information

Gabrielle Caparimo

Institutional Assessment Process Owner
Office of Institutional Assurance and Integrity
[email protected]

Title:	Organizational Self-Assessment
Publication date:	8/25/2023
Effective date:	2/17/2012

POLICY

A. Purpose

This policy establishes and implements a self-assessment process at Lawrence Berkeley National Laboratory (Berkeley Lab) to ensure consequential assessments are performed and to improve performance.

B. Persons Affected

Berkeley Lab employees who perform internal assessments and/ or manage issues and associated corrective actions through resolution.

C. Exceptions

None

D. Policy Statement

Berkeley Lab management must periodically assess its organizations and functions to determine how well they meet customer and performance expectations and mission objectives, identify strengths or improvement opportunities, and correct problems in accordance with good industry business practices and requirements as set forth in U.S. Department of Energy (DOE) Contract No. DE-AC02-05CH11231 and any Berkeley Lab-generated requirements and policies. For specific details, please refer to document number 04.03.009.001, Institutional Assessment Process Description.

E. Roles and Responsibilities

Management should establish and implement a process to obtain a self-assessment of the organization's programs, projects, contractors, and suppliers.
Managers are responsible for the conduct of self-assessments.
Berkeley Lab employees are individually responsible for compliance with these requirements and for the quality of their work.

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
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
Graded Approach	The process by which the level of analysis, documentation, verification, and other controls necessary to comply with program requirements are developed commensurate with specified factors
Issues Management	The process by which issues are managed and tracked through resolution to prevent recurrence
Nonconformance	A deficiency in a characteristic or record that renders the quality of an item or sample unacceptable or indeterminate
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 document that specifies or describes how an activity is to be performed, including instructions or drawings
Record	Books, papers, maps, photographs, machine-readable materials, or other documentary materials, regardless of physical form or characteristics, made or received and preserved or appropriate for preservation as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities or because of the informational value of the data they contain

G. Recordkeeping Requirements

Records used to demonstrate objective evidence of performance of quality-assurance requirements must be maintained in accordance with records-retention requirements outlined in the Requirements and Policies Manual and Berkeley Lab implementing documents.

H. Implementing Documents

Document Number	Title
04.03.009.001	Institutional Assessment Process Description
LBNL/PUB-5519	Issues Management Program Manual
10.06.001.001	Process Description: Managing Institutional Documents
10.06.001.000	Document Management Policy

I. Contact Information