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Title:

Issues Management Policy

Publication date:

2/15/2013

Effective date:

1/2/2012

BRIEF

Policy Summary

Berkeley Lab administers an Issues Management Program and process for issues identification, tracking, resolution, and verification; and validation of corrective action effectiveness. The Laboratory also identifies, analyzes, and corrects adverse trends, and promotes continuous feedback and performance improvement.

Who Should Read This Policy

All Berkeley Lab employees

To Read the Full Policy, Go To:

The POLICY tab on this wiki page

Contact Information

Theresa Triplett
Issues Management Program Manager
Office of Contractor Assurance
TATriplett@lbl.gov

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Title:

Issues Management Policy

Publication date:

2/15/2013

Effective date:

1/2/2012

POLICY

A. Purpose

This policy is designed to implement and maintain an Issues Management system that promptly identifies issues and develops effective corrective actions to ensure successful resolution and prevention of recurring issues.

B. Persons Affected

This policy applies to all Lawrence Berkeley National Laboratory (Berkeley Lab) employees.

C. Exceptions

Personnel-sensitive issues such as, but not limited to, allegations of harassment, intimidation, retaliation, and discrimination, and employee/employer relationship issues are not managed through the Issues Management Program.

D. Policy Statement

Berkeley Lab must implement and maintain a system to promptly identify issues and effective corrective actions to prevent reoccurrence of the same or similar issues in accordance with requirements set forth in U.S. Department of Energy (DOE) Contract No. DE-ACO2-05CH11231 and Laboratory policy. Issues management is performed using a risk-based, graded approach to ensure that the appropriate levels of analysis, corrective action development, and documentation are commensurate with federal and Berkeley Lab requirements and with the management of risks that:

  • Affect Berkeley Lab's ability to meet contract and regulatory requirements
  • Adversely impact the reliability of the Berkeley Lab mission and operations
  • Adversely impact the environment, public, and employee safety and health

For specific details, refer to PUB-5519(1), Issues Management Program Manual; PUB-5519(2), Causal Analysis Program Manual; PUB-5519(3), Data Monitoring and Analysis Program Manual; and PUB-5519(4), Lessons Learned and Best Practices Program Manual.

E. Roles and Responsibilities

Role

Responsibility

Laboratory Management

Communicates and reinforces the importance of proactively reporting and managing issues

Division Management

Ensures that personnel are working to the requirements outlined in this policy and the Issues Management Program manuals

Office of Contractor Assurance

Provides oversight and administration for the Issues Management Program, which includes maintaining and revising program manuals, maintaining the Corrective Action Tracking System (CATS) and Lessons Learned databases, and providing technical guidance to Berkeley Lab staff with regard to the Issues Management Program

Employees

Adhere to the requirements outlined in this policy and the Issues Management Program manuals

F. Definitions/Acronyms

Term

Definition

Apparent Cause

The most probable / reasonable cause(s) of an incident that management has the control to fix through effective corrective actions. There may be more than one apparent cause for a given incident.

Corrective Action

An action that eliminates a deficiency and/or the cause of an issue, and prevents or significantly reduces the likelihood of the same problem occurring again

Graded Approach

The process by which the levels of analysis, documentation, verification, and other controls necessary to comply with program requirements are developed commensurate with specified factors

Issue

A generic term that refers to programmatic or performance deficiencies, regulatory or procedural noncompliances, assessment findings, and other actions that require formal corrective action

Issues Management

The process by which issues are managed and tracked through resolution to prevent recurrence

Lessons Learned

A lesson that is derived from an event, incident or implementation and evaluation of a system, process or program that is used to identify strengths and weaknesses. A lesson learned may be derived from an internal or external source and is used to improve systems, processes or programs.

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: LBNL Site Access

Procedure

A series of specific steps to be followed to accomplish work or to carry out a policy or requirement. Procedures are controls meant to mitigate risk, improve efficiency, or assure compliance.
Examples: Obtaining a Berkeley Lab badge, maintaining the Laboratory's 12 kV electrical system, completing a travel expense form

Program

A course of action, typically comprising multiple coordinated projects, established to accomplish an organization's strategic objectives or to improve its performance. A program's duration may be perpetual or undetermined, and success is measured in terms of benefits derived. A program has a generally defined scope or mission, with specific objectives, and a prescribed governing structure with defined roles and responsibilities.

Requirement

A specific obligation to perform an action mandated by Berkeley Lab senior management or the federal, state, or local government; or to comply with the Laboratory's contract with DOE; or to comply with agreements made between the Laboratory and its corporate manager, the University of California

Risk Level

The severity / significance rating assigned to an issue to ensure that appropriate levels of analysis oversight and resolution are commensurate with Berkeley Lab requirements. Risk levels are stated as high, medium, or low.

Root Cause

The underlying or basic cause of an adverse condition that can reasonably be identified and that management has the control to fix, and when fixed, will preclude recurrence or significantly reduce the likelihood of recurrence of the same or similar adverse conditions. The root cause is typically one level further in analysis beyond an apparent cause, the fundamental reason for the apparent cause.

G. Recordkeeping Requirements

Records that are generated as a result of implementing policy requirements must be maintained in accordance with the records-retention requirements outlined in the Requirements and Policies Manual (RPM) and Berkeley Lab implementing documents.

H. Implementing Documents

Document number

Title

Type

PUB-3032

Personal Property Manual

System

07.03.001.000

Occurrence Reporting

Policy

PUB-3000, Ch. 15

Occurrence Reporting

Policy

PUB-5519(1)

Issues Management Program Manual

System

PUB-5519(2)

Causal Analysis Program Manual

System

PUB-5519(3)

Data Monitoring and Analysis Program Manual

System

PUB-5519(4)

Lessons Learned and Best Practices Program Manual

System

PUB-201

Requirements and Policies Manual (RPM)

Policy

11.07.003.000

Audit Resolution and Follow-Up Policy

Policy

04.02.004.000

PAAA Policy

Policy

(tbd)

Laboratory Procurement Standard Practices Manual, Section 46.1, Subcontract Quality Assurance

Process

04.02.004.001

Price-Anderson Amendments Act (PAAA) Compliance Program Manual

Manual

RPP

LBNL Radiation Protection Program

Program

(tbd)

Policy on Corrective Actions and Plans of Action and Milestones (POAMs) (IT internal)

Policy

OIA-OCA-0001

Corrective Action Tracking System (CATS) Database User Manual

Manual

OIA-OCA-0002

Lessons Learned and Best Practices Database User Manual

Manual

I. Contact Information

Theresa Triplett
Issues Management Program Manager
Office of Contractor Assurance
TATriplett@lbl.gov

J. Revision History

Date

Revision

By whom

Revision Description

Section(s) affected

Change Type

2/15/2013

0.1

L. Young

Update SRD and Implementing Documents info

Document Info

Editorial

1/2/2012

0

T. Triplett

Initial

all

Major

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DOCUMENT INFORMATION

Title:

Issues Management Policy

Document number

04.02.003.000

Revision number

0.1

Publication date:

2/15/2013

Effective date:

1/2/2012

Next review date:

1/2/2015

Policy Area:

Contractor Assurance

RPM Section (home)

Contractor Performance Management

RPM Section (cross-reference)

none

Functional Division

Office of Contractor Assurance

Prior reference information (optional)

none

Source Requirements Documents

  • Contract 31, Section H.30, Contractor Assurance
  • PUB-3111, Operating and Quality Management Plan
  • PUB-5520, UC Contractor Assurance System Description
  • DOE Order 232.2, Occurrence Reporting and Processing of Operations Information
  • DOE Order 210.1A, DOE Corporate Operating Experience Program, Attachment 1, Contractor Requirements Document
  • DOE Order 225.1B, Accident Investigations, Attachment 1, Contractor Requirements Document

Other Driving Requirements

Implementing Documents

Document number

Title

Type

PUB-3032

Personal Property Manual

System

07.03.001.000

Occurrence Reporting

Policy

PUB-3000, Ch. 15

Occurrence Reporting

Program

PUB-5519(1)

Issues Management Program Manual

System

PUB-5519(2)

Causal Analysis Program Manual

System

PUB-5519(3)

Data Monitoring and Analysis Program Manual

System

PUB-5519(4)

Lessons Learned and Best Practices Program Manual

System

PUB-201

Requirements and Policies Manual (RPM)

Policy

11.07.003.000

Audit Resolution and Follow-Up Policy

Policy

04.02.004.000

PAAA Policy

Policy

(tbd)

Laboratory Procurement Standard Practices Manual, Section 46.1, Subcontract Quality Assurance

Process

04.02.004.001

Price-Anderson Amendments Act (PAAA) Compliance Program Manual

Manual

RPP

LBNL Radiation Protection Program

Program

(tbd)

Policy on Corrective Actions and Plans of Action and Milestones (POAMs) (IT internal)

Policy

OIA-OCA-0001

Corrective Action Tracking System (CATS) Database User Manual

Manual

OIA-OCA-0002

Lessons Learned and Best Practices Database User Manual

Manual
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Printed or exported copies of this LBNL policy are not official.
Users are responsible for working with the latest approved revision located in the online LBNL Requirements and Policies Manual.