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Organizational Self-Assessment Policy

    Title:

    Organizational Self-Assessment Policy

    Publication date:

    6/26/2014

    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:

    6/23/2014

    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

    6/26/2014

    0.1

    M. Gravois

    Reviewed 5/13/14. No changes except Pub & next review date

    Minor

    DOCUMENT INFORMATION

    Title:

    Organizational Self-Assessment Policy

    Document number

    04.02.002.000

    Revision number

    0.1

    Publication date:

    6/23/2014

    Effective date:

    2/17/2012

    Next review date:

    6/23/2017

    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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