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]

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

       1. General

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 at lease include 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.)

      2. Tracking Contract Deliverables 

Tracking of deliverables submitted by Lawrence Berkeley National Laboratory (LBNL) is a key process in order to provide assurance that LBNL meets the terms of the Prime Contract (Contract 31) between UC and the Department of Energy (DOE). Contract deliverables are tangible, measurable products or results delivered to the BSO, DOE or another outside party that acts on behalf of DOE. These include, but are not limited to:

• reports,
• plans,
• inventories,
• assessments,
• inspections,
• documents,
• procedures,
• data.

In general, contract deliverables are  specific, tangible contract requirements and subject to the Laboratory's requirements management processes. The frequency of deliverable submission can vary and in most cases is triennial, annual, quarterly, or monthly. Deliverables can also be triggered by specific events or be required on demand without any specific due date, and are listed as “No Due Date” deliverables. It is the responsibility of the deliverable owners, assurance managers or points-of-contact and their functional organizations to submit deliverables timely as prescribed in Contract 31 according to due dates established by the Prime Contract or guidance from the DOE Site Office (BSO). All deliverable submissions are tracked in the Contract Deliverables Tracker (CDT), which is maintained by the Office of Institutional Assurance and Integrity. Deliverable submissions are considered DOE records and subject to requirements set forth in DOE O 243.1C “Records Management Program.” All questions and inquiries regarding contract deliverables tracking process should be directed to OIAI Requirements Management Program Manager or [email protected].

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.

F. Definitions/Acronyms

G. Recordkeeping Requirements

Deliverable submissions are considered DOE records and subject to requirements set forth in DOE O 243.1C “Records Management Program.” 

H. Implementing Documents

I. Contact Information

Requirements Management Program Manager

Office of Institutional Assurance and Integrity

[email protected]

J. Revision History

DOCUMENT INFORMATION

Source Requirements Documents

• Contract 31, Clause I.120, DEAR 970.5203-1, Management Controls (JUN 2007) (Deviation) (prev. I.076)
• DOE O 243.1C, Records Management Program
• DOE O 414.1D, Quality Assurance, Attachment 2, Quality Assurance Criteria 1, 4, 5
• PUB-3111, Quality Assurance Program Description (QAPD)