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    Title:

    Requirements Management Policy

    Publication date:

    11/9/2020

    Effective date:

    11/9/2020

    BRIEF

    Policy Summary

    Lawrence Berkeley National Laboratory (Berkeley Lab) must establish and maintain a system for managing the UC-DOE Prime Contract for the management and operation of Lawrence Berkeley National Laboratory requirements and their flow-down into Laboratory policies, programs, processes, and procedures.

    Who Should Read This Policy

    • The Laboratory Director and the Deputy Director for Operations and their direct reports
    • Berkeley Lab employees assigned to monitor, interpret, and/or determine detailed implementation of the portions of Contract 31 applicable to the respective Senior Line Manager's responsibilities

    To Read the Full Policy, Go To:

    The POLICY tab on this wiki page.

    Related Policy:

    Document Management Policy

    Contact Information

    Requirements Management Program Manager

    Office of Institutional Assurance and Integrity

    [email protected]

    Title:

    Requirements Management Policy

    Publication date:

    11/9/2020

    Effective date:

    11/9/2020

    POLICY

    A. Purpose

    This policy calls for the establishment and maintenance of a system for managing Contract 31 requirements and their flow-down into Laboratory policies and procedures.

    B. Persons Affected

    The results of this policy directly affect all members of the Lawrence Berkeley National Laboratory (Berkeley Lab) community. However, a far smaller set of persons drive implementation of this policy, including the Laboratory Director, the Deputy Director for Operations, and their direct reports; and designated Berkeley Lab employees who are Subject Matter Experts assigned to monitor, interpret, and support implementation of contract requirements across the Laboratory and/or within their respective divisions.

    C. Exceptions

    Not applicable

    D. Policy Statement

    Berkeley Lab must establish and maintain a system for managing the requirements set forth in U.S. Department of Energy (DOE) and University of California (UC) Contract No. DE-AC02-05CH11231 (Contract 31) as specified by the DOE and UC contracting officers. The system for managing requirements must include at least controls for:

    1. Defining information that flows from requirements through the Laboratory policies and supporting documents;
    2. Identifying, tracking, and communicating contract requirements information;
    3. Ensuring that information is accurate, current, and accessible; and
    4. Ensuring that information is easy to read, comprehend, and apply in the course of performing work.

    An Institutional Requirements Management Committee (RMC) is established to provide centralized coordination and communications on all matter related to Contract 31 requirements management and related Laboratory policy administration. (See documents 04.04.001.002, LBNL Requirements Management Governance; and 04.04.001.003, LBNL Requirements Management Process, for more information.)

    E. Roles and Responsibilities

    The Laboratory Director and the Deputy Director for Operations and their direct reports are expected to provide financial and resource support for the establishment and maintenance of a Requirements Management (RM) System.
    The RMC provides centralized coordination and communication on Contract 31 requirements and related Laboratory policy matters and monitors, interprets, and if necessary, determines detailed implementation of Contract 31 following the Institutional RM Program process and procedures.

    F. Definitions/Acronyms

    Term

    Definition

    Contract 31

    "Contract 31" is short for Contract No. DE-AC02-05CH11231 between the U.S. Department of Energy and the University of California describing the terms for management of Berkeley Lab. The contract includes a statement of work (SOW) for the science missions and details the requirements for managing the operations and business of Berkeley Lab.

    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

    Implementing Document

    A document required to carry out a policy, process, procedure, system, or work instruction Examples: Expense form, Corrective Action Tracking System (CATS) Database User Manual, Environment, Health & Safety (EH&S) Division Chemical Storage Guidelines

    Institutional Document

    A publication authorized by Laboratory management that delineates Laboratory-wide or multifunctional policy, procedures, regulations, or plans. A subset of authoritative documents. Scientific and technical publications and reports are not included in this definition. Examples: Procurement policy, Radiation Protection Program

    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

    Requirement

    A specific obligation to perform an action mandated by Berkeley Lab senior management or the University of California or the federal, state, or local government, or an obligation to comply with the Laboratory's contract with the U.S. Department of Energy

    G. Recordkeeping Requirements


    Not applicable

    H. Implementing Documents

    Document Number

    Title

    Type

    04.04.001.002

    LBNL Requirements Management Governance

    System

    04.04.001.003

    LBNL Requirements Management Process

    Process

    04.04.001.004

    Requirements Management Database Requirements Specification

    Specification

    04.04.001.101

    Analyzing Requirements, Risk and Impact Procedure

    Procedure

    04.04.001.102

    Developing, Reviewing, Approving an Implementation Plan

    Procedure

    04.04.001.201

    Analyzing Requirements, Risk and Impact Form

    Form

    04.04.001.202

    Implementation Plan Form

    Form

    04.04.001.203

    Parsing Requirements Form (tbd)

    Form

    04.04.001.206

    Determining Significance Rating

    Form

    04.04.001.208

    Record of Decision (ROD) Form

    Form

    10.06.001.000

    Document Management Policy

    Policy

    I. Contact Information

    Requirements Management Program Manager

    Office of Institutional Assurance and Integrity

    [email protected]

    J. Revision History

    Date

    Revision

    By Whom

    Revision Description

    Section(s) Affected

    Change Type

    12/17/2020
    D. Soustin Updated Contract 31 I clause numbers as per mod 1105 Source Requirement Documents Editorial

    11/9/2020

    1

    M. Baumbach

    Periodic review. Clarified policy text and role of the RMC. Updated contact information and A&I office name.

    All

    Minor

    3/6/2017

    0.2

    M. Stoufer

    "Chief Operating Officer" position title updated to "Deputy Director for Operations"

    All

    Editorial

    7/18/2014

    0.1

    L.Young

    Reviewed 7/18. Minor clarifications. Add link to RMC Charter.

    Section D, H

    Minor

    1/2/2012

    0

    L.Young

    Release for publication in wiki

    all

    Major

    DOCUMENT INFORMATION

    Title:

    Requirements Management Policy

    Document number

    04.04.001.000

    Revision number

    1

    Publication date:

    11/9/2020

    Effective date:

    11/9/2020

    Next review date:

    11/9/2023

    Policy Area:

    Requirements Management

    RPM Section (home)

    Contractor Performance Management

    RPM Section (cross-reference)

    none

    Functional Division

    OIAI

    Prior reference information (optional)

    none

    Source Requirements Documents

    DOE Order 414.1D, Quality Assurance, Attachment 2, Quality Assurance Criteria 1, 4, 5
    Contract 31, Clause I.120, DEAR 970.5203-1, Management Controls (JUN 2007) (Deviation) (prev. I.076)
    PUB-3111, Quality Assurance Program Description (QAPD)

    Implementing Documents

    Document Number

    Title

    Type

    04.04.001.002

    LBNL Requirements Management Governance

    System

    04.04.001.003

    LBNL Requirements Management Process

    Process

    04.04.001.004

    Requirements Management Database Requirements Specification

    Specification

    04.04.001.101

    Analyzing Requirements, Risk and Impact Procedure

    Procedure

    04.04.001.102

    Developing, Reviewing, Approving an Implementation Plan

    Procedure

    04.04.001.201

    Analyzing Requirements, Risk and Impact Form

    Form

    04.04.001.202

    Implementation Plan Form

    Form

    04.04.001.203

    Parsing Requirements Form (tbd)

    Form

    04.04.001.206

    Determining Significance Rating

    Form

    04.04.001.208

    Record of Decision(ROD) form

    Form

    10.06.001.000

    Document Management Policy

    Policy

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