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REQUIREMENTS AND POLICIES MANUAL

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Organizational Self-Assessment Policy

Title:

Organizational Self-Assessment Policy

Publication date:

1/2/2012

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 Associate Laboratory Director for Operations (ALDO), the Office of Institutional Assurance (OIA), 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

Assurance and Quality Program Manager
Office of Contractor Assurance
MCGravois@lbl.gov

Title:

Organizational Self-Assessment Policy

Publication date:

1/2/2012

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 objectivities, 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 04.02.003.001, Self-Assessment Guide.

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

04.02.002.001

Self-Assessment Guide

PUB-5519(1)

Issues Management Program Manual

10.06.001.001

Document Management Process

10.06.001.000

Document Management Policy

I. Contact Information

Assurance and Quality Program Manager
Office of Contractor Assurance
MCGravois@lbl.gov

J. Revision History

Date

Revision

By whom

Revision Description

Section(s) affected

Change Type

12/2/2012

0

M. Gravois

Initial

All

Major

 

 

 

 

 

 

DOCUMENT INFORMATION

Title:

Organizational Self-Assessment Policy

Document number

04.02.002.000

Revision number

0

Publication date:

1/2/2012

Effective date:

2/17/2012

Next review date:

2/17/2014

Policy area:

Contractor Assurance

Functional area

Contractor Performance Management

Prior reference information (optional)

n/a

Source Requirements Documents

Implementing Documents

Document Number

Title

Type

PUB-5519(1)

Issues Management Program Manual

System

10.06.001.001

Document Management Process

Process

10.06.001.000

Document Management Policy

Policy

04.02.002.001

Self-Assessment Guide

Procedure

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