POLICY

A. Purpose

Achievement of the Lawrence Berkeley National Laboratory mission requires an ongoing evolution of its scientific environment, as well as the modernization of its supporting infrastructure and systems. This is accomplished by external and internal investments in projects, the outcomes of which are expected to create and deliver improvements to the scientific or operations environment.  Such improvements might be located at LBNL or within the broader Department of Energy (DOE), other national, or global research environment. A project is a temporary endeavor undertaken to create a unique product, service, or result.* Thus, a project can encompass a wide variety of activities at LBNL such as: basic research endeavors; the creation or improvement of scientific instruments or facilities; or the development or modernization of operational infrastructure, including facilities, business systems, software, and support services. The purpose of this policy is to ensure that Berkeley Lab Mission Critical Projects will accomplish their defined scope on schedule and within budget and that they will be conducted in a manner that ensures proper quality, personnel safety, site security, and environmental stewardship.

Mission Critical projects are those projects that meet at least one of the following criteria: 

• Falls under requirements of DOE Order 413.3B
• Total cost exceeds $50M
• Deemed of strategic importance to/by Laboratory Director, or  Deputy Directors to either the Laboratory, University of California, or Agency based on:
  • Multiple funding source complexity
  • Multiple collaborating institution complexity
  • Project portfolios critical to Laboratory mission support
  • Recommendation of an ALD or Division Director

DOE Order 413.3B is the DOE directive that outlines the policies and requirements for the acquisitions of capital assets with a Total Project Cost (TPC) greater than $50M.

* Project Management Institute, PMI Lexicon of Project Management Terms, Version 3.2, September 2017, Project Management Institute, Newton Square, PA USA.

B. Persons Affected

This policy applies to all LBNL personnel associated with the conduct, line management, or oversight of LBNL projects from initiation through completion, including project proposal, prioritization, project planning, project management (including execution, monitoring and control), project delivery (including transfer to operations) and oversight.

C. Exceptions

• Scientific research endeavors, either theoretical or experimental,  whose deliverables are limited to published papers, are excluded from this policy.  Such endeavors generally cover LBNL research and development efforts and programs that focus on fundamental or applied discovery with the goal of increasing scientific knowledge or its application.  
• Laboratory Director’s Research and Development initiatives are similarly excepted from the policy.
• Particular classes of exceptions or individual exceptions must be obtained from the cognizant Associate Laboratory Director in consultation with the Project Management Office (PMO).

D. Policy Statement

D.1  General

1. This policy establishes the project management environment, which is intended to ensure that Berkeley Lab manages all projects, whether they involve scientific research, instrumentation, facilities construction, or systems development, to the highest standards of performance.  
   1. The guiding principle is that LBNL Projects will accomplish their defined scope on schedule and within budget; projects will be conducted in a manner that ensures proper quality, personnel safety, site security, and environmental stewardship.
   2. The prime responsibility for such project performance belongs to line management, particularly those individuals and teams executing and managing the project, nominally the project director, project manager, and the cognizant line management.  Project teams must demonstrate a competency and dedication to standard project management processes as well as to the requirements of the DOE, the University of California, and the Lawrence Berkeley National Laboratory.
   3. LBNL projects, in general, may be funded by the DOE, other Federal or State Agencies, the University of California, private entities, or LBNL itself.  Independent of funding source, the entire lifecycle of a project is covered by this policy, including project initiation, proposal, prioritization, project planning, project management (including execution, monitoring and control, and closeout), project governance, project delivery including transfer to operations, closeout, and oversight.  
   4. Berkeley Lab, as part of its operating contract with the DOE, has accepted and will manage its DOE projects consistent with applicable DOE Orders and direction provided by the responsible DOE office (e.g., Office of Science).  
   5. The PMO, in close collaboration with Projects Infrastructure and Modernization Division (PIMD), is  tasked with ensuring the the existence of project management environment, framework, methodologies and training, that fosters an outcome where projects can be successfully completed as measured against their scope, budget, and schedule baselines while ensuring proper quality, personnel safety, site security, and environmental stewardship.
   6. The PMO will ensure adequate assurance and oversight mechanisms for all projects subject to this policy.
   7. The PMO  and PIMD, for projects under its purview,  have established a project management framework having appropriate flexibility (tailoring and grading) with due consideration to a broad set of criteria, including (see Policy Purpose above)
      1. criticality to mission 
      2. size of scope 
      3. level of funding 
      4. complexity 
      5. risk 
      6. safety 
      7. environmental 
      8. external requirements

Based on these criteria, the cognizant Line Management responsible for an individual project, will determine the appropriate level of grading and tailoring for a specific project; this should be done in consultation with the PMO and funding organization. Additionally, the PMO, and PIMD for construction projects, will provide tools and methodologies for Framework utilization; mechanisms to ensure adequate project management skills, clear roles and responsibilities for key staff associated with project management, oversight mechanisms, and techniques to continuously improve the LBNL project management environment and culture. PIMD staff contributing to facility and infrastructure projects governed by DOE Order 413.3B must follow the Capital Assets - Acquisition and Project Management policy.

E. Roles and Responsibilities

F. Definitions/Acronyms

G. Recordkeeping Requirements

None

H. Implementing Documents

I. Contact Information

Project Management Office
Operations
pmo@lbl.gov

J. Revision History

DOCUMENT INFORMATION

Source Requirements Documents

• DOE Order 413.3B, Program and Project Management for the Acquisition of Capital Assets
• NDIA-IPMD,  Earned Value Management Systems EIA-748-C Intent Guide
• Contract 31, Section J, Appendix B