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idmyId
Card
labelBrief

Title:

Document Management

Publication date:

11/1/2022

Effective date:

11/1/2022

BRIEF

Policy Summary

Berkeley Lab's institutional documents - whether electronic or paper - are subject to control to ensure they are accurate, current, appropriately available, and approved by authorized individuals.

Institutional documents are: 1) Laboratory policies and their supporting and implementing processes and procedures, such as those in the Requirements and Policies Manual (RPM); 2) Institutional documents that establish or document design specifications, and 3) other documents that specify implementation requirements to meet mission requirements, or to protect safety, health, environment, or property, such as the ES&H Manual (PUB-3000).

Who Should Read This Policy

  • Persons who develop, review, approve, and maintain institutional documents must follow this policy
  • Users of institutional documents should be familiar with this policy

To Read the Full Policy, Go To:

The POLICY tab on this wiki page.

Contact Information

Requirements Management Program Manager
Office of Institutional Assurance and Integrity

Card
labelPolicy

Title:

Document Management

Publication date:

11/1/2022

Effective date:

11/1/2022

POLICY

A. Purpose

This policy and its supporting processes establish the controls required for managing Lawrence Berkeley National Laboratory's institutional (Laboratory-wide) documents to ensure they are accurate, current, appropriately available, and approved by authorized individuals. These institutional documents reflect implementation of requirements set forth by Department of Energy and University of California Prime Contract for the management and operations of Lawrence Berkeley National Laboratory.

B. Persons Affected

Persons who develop, review, approve, and maintain institutional documents must follow this policy. Users of institutional documents should be familiar with this policy.

C. Exceptions

This policy does not cover specific internal division-level documents, such as internal policies/statements of expectations, Standard Operating Procedures (SOPs), process workflows, checklists, instructions, forms, templates or trainings.

D. Policy Statement

Berkeley Lab's institutional documents – whether electronic or on paper – that specify institutional policies, prescribe uniform institutional processes, or establish or document design specifications must be controlled to ensure they are accurate, current, appropriately available, and approved by authorized individuals in a manner reflecting the risks associated with improper management of the information.

A graded (risk-based) approach is used to manage and control institutional documents.  The level and formality of document controls is directly related to the level of risk associated with improper document management. The Institutional Risk Severity Matrix can be found in the Laboratory Quality Assurance Program Description (QAPD) (PUB-3111). Guidelines for review and approval by type of institutional document are listed in LBNL Document Management Process.

The following controls are to be used in the management of the Laboratory's institutional documents.

  1. Documents must be uniquely identified by at least a document number, revision number, publication date, and title.
  2. Documents are subject to change control, which includes appropriate review, update and approval to certify new and existing documents, and to retire obsolete documents to ensure accurate and and current documents as necessary.
  3. Documents are subject to version control, which encompasses distribution and availability of the most up-to-date approved version of a document to users, and appropriate disposition of obsolete and superseded documents to avoid their inadvertent use.
  4. Documents are subject to periodic review to enable updating for currency, accuracy, and alignment with requirements and best practices.
  5. Documents deemed Laboratory records that must be archived are subject to the archival process set forth by the Laboratory's Archives and Records Management Office.
  6. Document changes are to be communicated by the persons responsible for making changes to the persons affected by such changes in a timely fashion.

E. Roles and Responsibilities

Role

Responsibility

Policy Owner/Author

  • Ensures clarity, accuracy and usability of policy document(s).
  • Provides technical expertise to support the interpretation and implementation of requirements.
  • Gathers information from other functional and/or policy areas that have knowledge or expertise relevant to policy document(s).
  • Prepares policy document(s) for review and approval by others.
  • Prepares policy document(s) for publication.
  • Has responsibility for all technical content and the integrity of any links.

Line Managers

  • Have responsibility and accountability for managing Laboratory requirements that pertain to their area of responsibility, including identification of what the requirements are and implementing them through policies, programs, procedures, etc.
  • Have full responsibility and authority to make and enforce policies related to their respective area of expertise and responsibility.
  • Ensure compliance with LBNL requirements and document management policies and procedures.
  • Have ownership and accountability for the technical content, accuracy and completeness of respective Function’s documents.

Requirements Management Program Manager

  • Provides expertise on document-management process, as required.
  • Leads team on periodic review of document-management processes.
  • Ensures that the RPM is maintained following this policy.

F. Definitions/Acronyms

Term

Definition

Document

Written, visual, audio-, or video-recorded information stored in the form of hard copy, film, magnetic tape, electronic data, or in an online format.

Document Information

Also referred to as document "metadata," and includes (but is not limited to) titles, owners, document numbers, revision dates, and, for traceability, the related source requirements and implementing documents' information.

Document Management

A business-management process that ensures organizational access to current, reliable, and concise information. The document-management process includes document control, change control, configuration control, periodic review, and communication/distribution.

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.

Implementing Document

A document required to carry out a policy, process, procedure, system, or work instruction to ensure compliance with contract and Laboratory requirements. (Examples include: Issues Management Program Manual, Electrical Safety Manual).

Institutional Document

A document authorized by Laboratory management that delineates Laboratory-wide or multifunctional policy, procedures, regulations, or processes, such as the Requirements and Policies Manual, that is controlled to ensure that it is accurate, current, appropriately distributed, and approved by authorized individuals because it contains information that if improperly managed could reasonably be expected to substantially diminish the ability of the Laboratory to meet mission requirements or to protect safety, health, environment, or property. (Examples include: Laboratory policies, Laboratory processes, design specifications, institutional infrastructure and engineering drawings).

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. (Examples include: Research Data, Export Control Compliance).

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, completing a travel expense form).

Record

All books, papers, maps, photographs, machine-readable materials, or other documentary materials — regardless of physical form or characteristics — made or received that are preserved or appropriate for preservation that serves as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities.

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 University of California contract with the U.S. Department of Energy.

Requirements Management

A business-management process that provides a systematic approach to ensuring that all contractually based requirements are assigned an owner, analyzed for impact, and flow down to the workforce for implementation. Requirements-management process elements include the means of governing, analyzing, implementing, and tracking of requirements.

Revision

The act of altering or modifying a document.

Version

An altered or modified document, which is the result of revising.

G. Recordkeeping Requirements

The Requirements Management Program Manager, with inputs from Laboratory divisions, has responsibility for ensuring accuracy, availability and currency of the institutional document information as reflected in the RPM.

Laboratory division that owned institutional documents housed outside of the RPM have the responsibility for maintaining a master list of institutional documents that are accessible to applicable users.  The listed information includes, but is not limited to, the unique document identifiers, current and past publication dates and revision levels, and whether or not the document is considered a Laboratory record that requires archiving.

H. Implementing Documents

I. Contact Information

Requirements Management Program Manager
Office of Institutional Assurance and Integrity

J. Revision History

Date

Revision

By whom

Revision Description

Section(s) affected

Change Type

11/1/20222D. SoustinPeriodic review: policy revised to align with the Requirement and Policy Manual document management practicesAllMajor
12/17/2020
D. SoustinUpdated Contract 31 I clause numbers as per mod 1105Source Requirement DocumentsEditorial

7/18/2014

1.1

L. Young

Reviewed, minor clarifications, add Implementing Doc

Brief, Sections D, H

Minor

8/1/2011

1

L. Young

Prepare for wiki, revise per Reqs Mgmt Program

all

Minor

Card
labelDocument Information

DOCUMENT INFORMATION

Title:

Document Management

Document number

10.06.001.000

Revision number

2

Publication date:

11/1/2022

Effective date:

11/1/2022

Next review date:

11/1/2025

Policy area:

Document Management

RPM Section (home)

Information Management

RPM Section (Cross reference)

Contractor Performance Management

Functional area

Office of Contractor Assurance

Prior reference information (optional)

RPM Section 5.08

Source Requirements Documents

Show If
grouprpm2-admins
Card
labelAdditional Information

ADDITIONAL INFORMATION

Title:

Document Management

Document number

10.06.001.000

Revision number

2

Publication date:

11/1/2022

Effective date:

11/1/2022

Next review date:

11/1/2025

Policy area:

Document Management

RPM Section (home)

Information Management

RPM Section (Cross reference)

Contractor Assurance Management

Functional area

Office of Contractor Assurance

Author name/contact info

L. Young



Revision 0 publication date

10/6/2008

Retirement date

n/a

Prior reference information (optional)

RPM Section 5.08



Inputs from more than one Functional Area?

No

List additional Functional Areas & contacts




Inputs from more than one Policy Area?

Yes

List additional Policy Areas & contacts

Requirements Management – L. Young
Quality Assurance – M. Gravois
Archives and Records Management – J. Stoner



30-day notification needed?

No

30-day start date

n/a

30-day end date

n/a



LDAP protected?

No



Need TABL reminders?

No

Frequency

n/a

Brief reminder text:

n/a



Approval Sheet for this revision received (date)
[Note: author is responsible}




Labels, Tags:

(tbd)

New terms that need to be added to Glossary/Acronym list:

none

Implementing Documents restricted to department/functional use

(optional – these would primarily be used for tracing between requirements and associated documents)

Document number

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