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REQUIREMENTS AND POLICIES MANUAL

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Updating the RPM

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    Title:

    Updating the RPM - Procedure

    Publication date:

    3/11/2021

    Effective date:

    3/11/2021

    PROCEDURE

    A. General

    Berkeley Lab's Requirements and Policy Manual (RPM) is an institutional document and therefore subject to version and configuration controls as described in the Document Management Policy and the Document Management Process.

    1. Persons finding errors (however large or small) are encouraged to inform the policy's listed Contact, and copy the Requirements Management Program Manager (RM PM) at [email protected].
    2. A Policy Author who wishes to make changes to a policy should do the following:
      • Obtain a Word version of the currently published Policy from his/her function's assurance point-of-contact (POC), or the Requirements Management (RM) Program Manager at [email protected].
      • With the help of their assurance POC, create a package that includes (a) a Word document that describes the exact changes to be made (including links that have been tested), preferably in track-changes format, (b) a completed Significance Rating sheet, (c) approvals (either pdf of email chain or pdf of actual signatures), (d) (if deemed needed by the Significance Rating analysis), implementation plan.
      • Complete a Smartsheet form found at this link. Be sure to attach all the above documents. Note that some of the questions in the Smartsheet form are mandatory. The assurance POC (or RM Program Manager) can assist.
    3. Policy Authors and/or division assurance POCs should use risk-based policy review criteria and choose the Next Review date based on these criteria. If Laboratory requirements and/or operational needs are not expected to change in the long term, the Next Review Date can be 5 years from the Publication date. Please see the table below describing criteria for determining an appropriate review cycle.

    Review cycle length

    Criteria

    1-year Applicable to high-risk policies that need to be reviewed and updated frequently to minimize the risk of improper communication of requirements that materialize into significant exposure to the UC and the Laboratory. High-risk policies may pertain to areas such as financial, human resources, security, safety, and research where our contract requirements and/or business/operational environments are prone to frequent changes.
    3-year Applicable to most policies. As a general rule, the Laboratory has embraced the practice of reviewing its policies at least every three years to ensure that policies are accurate, current, and aligned with contract requirements and best practices. Policies in this criteria may pertain to areas where routine changes are expected based on periodic modifications and/or business/operational needs.
    5-year Applicable to policies that are not expected to change routinely because the contractual and/or business/operational environments are stable, and not likely to be modified in the foreseeable future (i.e. Ethics and Conduct or Nonsmoking policies).

    Types of Changes to the RPM

    Type of Change

    Definition

    Review/Approval authority

    Major Change

    Includes the addition of a new policy, the retirement of an obsolete policy, or revision to an existing policy that significantly changes its meaning, requirements, responsibilities or method of implementation, or is an extensive rewrite of an existing policy. May have high impact on other institutional documents.

    (Graded per Significance Rating Determination.) Lab Director (A, B) COO (or designee) (B, C) Sr. Line Manager (C, D, E) Legal (A, B, C, D)

    Major Change/ 30 Day Notice (Specific to Lab HR policies)

    A Major Change to HR policy that affects employment terms and conditions. 30 day comment period starts with policy notice announced in Elements.

    • Deputy Director for Operations (or designee)
    • Chief HR Officer
    • Legal

    Minor Change

    A change that makes no substantial alteration in requirements or responsibilities, in the judgment of the Sr. Line Manager and/or RMC representative.

    Responsible RMC representative or Line manager

    Editorial change

    Includes, for example:

    • Typos, format, grammar,
    • Updating hyperlinks, doc number changes
    • Editing text to clarify or be consistent with existing requirements within the document and/or with other institutional documents

    Inform Responsible RMC representative, or Line Manager, or SME.

    B. Roles and Responsibilities

    Role

    Responsibilities

    Policy Author

    • Ensures accuracy of policy content including requirements interpretation and translation into Laboratory policy language.
    • Develops policies, ensures appropriate level of review of the content, and obtains the necessary approvals.
    • Applies the Document Management policy, process, and procedures.
    • Notifies his/her function's Requirements Management Committee (RMC) representative (see RMC contact list).

    RPM Editor

    • Ensures document meets Berkeley Lab standards for publication
    • Publishes the approved document in the RPM

    Division Assurance POC

    • Assists Policy Author to ensure adherence to the RM and Document Management processes, including determining policy change type, significance rating for approvals, completion (if necessary) analyses of requirements, risks, impacts and completion (if necessary) of implementation plans.
    • Applies the RM and Document Management policies, processes, and procedures.

    RM Program Manager

    • Has authority delegated for oversight of the RPM.
    • Chairs the RMC.
    • Provides monthly updates to RMC on progress.

    C. References

    Source Requirements Documents

    Document number

    Title

    Type

    04.04.001.000

    Requirements Management Policy

    Policy

    10.06.001.000

    Document Management Policy

    Policy

    10.06.001.001

    Document Management Process

    Process

    10.06.001.102

    Developing, Reviewing, Approving Institutional Policy Documents

    Procedure

    Implementing Documents

    Document number

    Title

    Type

    10.06.001.202

    Policy Template

    Template

    10.06.001.203

    Policy Approvals Form

    Form

    04.04.001.206

    Significance Rating Determination Form

    Form

    D. Contact Information

    Requirements Management Program Manager or another authorized staff member of the Office of Institutional Assurance and Integrity, [email protected].

    E. Revision History

    Date

    Revision

    By whom

    Revision Description

    Section(s) affected

    Change Type

    2/20/12

    0

    L. Young

    Initial

    all

    Minor

    4/29/14

    0.1

    L. Young

    Add submission steps via Smartsheet

    Section A.2

    Minor

    7/29/14 0.2 L. Young Add flowchart Section B Minor
    3/7/2017 0.3 M. Stoufer Update "Chief Operating Officer" position title to "Deputy Director for Operations" All Editorial
    3/11/2021 1 D. Sousting Remove flowchart, add risk-based approach to reviewing policies. Edit roles and responsibilities. All Minor




    DOCUMENT INFORMATION

    Title:

    Updating the RPM

    Document number

    10.06.001.104

    Revision number

    1

    Publication date:

    3/11/2021

    Effective date:

    3/11/2021

    Next review date:

    3/11/2024

    Policy Area:

    Document Management

    RPM Section (home)

    Home

    RPM Section (cross-reference)

    none

    Functional Division

    OIAI

    Prior reference information (optional)

    Procedure for Submitting Changes to Update the RPM and Definitions of Terms in the RPM

    Source Requirements Documents

    Document number

    Title

    Type

    04.04.001.000

    Requirements Management Policy

    Policy

    10.06.001.000

    Document Management Policy

    Policy

    10.06.001.001

    Document Management Process

    Process

    10.06.001.102

    Developing, Reviewing, Approving Institutional Policy Documents

    Procedure

    Implementing Documents

    Document number

    Title

    Type

    10.06.001.202

    Policy Template

    Template

    10.06.001.203

    Policy Approvals Form

    Form

    04.04.001.206

    Significance Rating Determination Form

    Form

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