An instance of change or focused discussion of one or more institutional requirements and/or

Transcription

1 Number: Revision 0.2 Publication: 8/1/2014 Effective Date: 3/26/2013 Next Review Date: 8/1/2017 Procedure: Initiating a Change to a Contract 31 Requirement 1. Purpose This document describes the procedure for initiating a requirement change in the Department of Energy (DOE) contract that defines the operational parameters for. 2. Applicability who this is for This process applies primarily to persons who have responsibility for review and implementation of DOE contract requirements. 2.1 Exceptions ne 3. Pre-requisites Users of this procedure should review the Requirements Management Process, , and the Managing Contract Deliverables Process, Definitions Term Case Change Contract 31 Contract 31 Modification Deliverable Definition An instance of change or focused discussion of one or more institutional requirements and/or institutional documents. This is a RM and RMS term. Refers to (a) introduction of a new item, (b) retirement of an existing item, or (c) modification of an existing item Contract 31 refers to Contract No. DE AC02 05CH11231, the contract between the U.S. Department of Energy and the University of California (UC) describing the terms for UC to manage 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. Refers to a formal agreement of change to Contract 31. Signed by DOE site office (BSO) and formally accepted by UCOP. Contract Mods are numbered and dated. The Mod address impact on any associated Contract deliverables. A Mod may contain any number of changes to the Contract. Any measurable, tangible, verifiable outcome, product, result, or item that must be produced to satisfy a requirement under the terms of an agreement, contract, or implementing mechanism. These include but are t limited to reports, plans, inventories, inspections, assessments, documents, procedures, programs, data, etc. A requirement specifies a deliverable, and therefore a deliverable is subject to requirements management practices Page 1 of 5 Printed or electronically transmitted copies are t official. Users are responsible for working with the latest approved revision.

2 Term Modification Record of Decision (ROD) Requirement RMS database Tri party Definition Used interchangeably with Change. A summary statement that describes a specific decision about an institutional requirement and/or document and/or implementation. The decision is based on analysis as described by the RM Analysis procedure (see Section 7.2 this document). A specific obligation to perform an action mandated by senior management or the federal, state, or local government; or to comply with the Laboratory s contract with the Department of Energy; or to comply with agreements made between the Laboratory and its corporate manager, the University of California. Requirements Management System the database tool for managing requirements and related information, including tracking requirements, their associated owners, records of implementing mechanisms, and their flow down to implementing documents. The RM Program Manager is responsible for managing the RMS. Refers to a group with representatives from BSO, UC Office of the President, and Berkeley Lab 5. Roles and Responsibilities These are adopted from Requirements Management Governance, Document , and emphasize responsibilities pertinent to this procedure. Refer to the Governance document for the most comprehensive, up todate version. Role Responsibilities Subject Matter Expert (SME) A Laboratory employee or consultant with specialized kwledge about a certain topic or field of interest. Provides technical expertise to the RMC and/or Working Group as it relates to the interpretation and implementation of requirements, including the development and review of policies and implementing documents. May be a Working Group member, may be an author or reviewer Working Group (WG) Comprised of members from affected and/or responsible divisions, having related special kwledge on the particular requirement or case in question. Members are recommended by SME, RMC in collaboration with Laboratory standing committee(s). Recommendations for WG member and SME participation are approved by respective Senior Line Managers. Perform detailed analyses, and determine detailed and practical implementation plans, with consideration of cost, simplicity, impact, and overall risk. Make recommendations in a timely fashion to the RMC, RM PM, Sr. Line Manager, and if applicable, the WG s sponsoring standing committee. Sr. Line Manager Has full responsibility and authority to make and enforce policies related to his/her respective area of expertise and responsibility. Has ownership and accountability for the technical content, accuracy and completeness of respective Function s documents. Ensures compliance with requirements and document management policies and procedures. Approves institutional documents upon completion of required reviews. Ensures compliance with requirements and document management policies and procedures. Works with the RM PM and RMC to resolve issues that may arise in the process of review and translation of requirements, policy into implementation. Appoints RMC Representative, WG members, SMEs, Document Authors. Has option to delegate approval authority to RMC member Page 2 of 5 Printed or electronically transmitted copies are t official. Users are responsible for working with the latest approved revision.

3 Role Responsibilities Requirements Management Program Manager (RM PM) Manages the Laboratory s requirements management and institutional document management processes. Is the main driver and champion of these processes. Has author/review/recommendation responsibilities for quality and completeness of RM process and institutional document management process documentation. Serves as the Laboratory s contact point on requirements and institutional document management related matters. Oversees management of Laboratory s policy manual. Maintains the Requirements Management (RM) database for tracking requirements, their associated policy areas (PA), owners, records of implementing mechanisms, and their flow down to implementing documents. Maintains accuracy and currency of the RM tracking system. Has review/approval responsibility for quality and completeness of requirement, policy, and document metadata. Requirements Management Committee (RMC) Reviews and oversees disposition of Requirements Review Cases related to requirements, Laboratory policies, and on a case by case basis Laboratory implementing documents. Applies cross functional kwledge on requirements matters. Assesses the Laboratory wide impacts of new or changed requirements, and adopts a holistic response. Reviews and recommends best qualified team members to address requirements analyses, implementation mechanisms and plans, policy and procedure documents. Such team members include Working Group (WG) members, and subject matter experts (SME), and stakeholders. Ensures teams are cross functionally represented. Recommends collaboration with other Laboratory standing committees whenever possible. Advises responsible Sr. Line Manager on WG/ SME work products. Reports to ALDO/COO. Champions RM and institutional document management processes. RMC Representative Represents a specific division or function on the RMC Fulfills the responsibilities described for RMC. University of Is the corporate entity responsible for the management of Berkeley Lab California Office of Has authority to negotiate/agree with BSO on matters regarding Contract 31. the President (UCOP) DOE/Berkeley Site Office (BSO) Reviews and approves those n policy institutional documents that are explicitly delineated by Contract 31 requirements as needing DOE review. BSO SME Has oversight responsibilities for specific Lab function or division BSO Contracting Officer (CO) Has approval authority regarding contents of Contract Procedure Figure 1 highlights (a) where this procedure fits in the overall RM process flow (see document number ) and (b) the pertinent steps of this procedure Page 3 of 5 Printed or electronically transmitted copies are t official. Users are responsible for working with the latest approved revision.

4 FIGURE 1 (RM Process) SME/WG interprets, analyzes impact, recommends Continue RM Process Does this req have associated Deliverables RMC, Sr. LM, review analysis SME/WG delineate deliverables. Review with BSO SME. Is there reason to question req? Continue pursuit? SME informs RMC rep or RM PM SME seeks assistance RMC rep, RM PM, Line Mgr SME revises package. Presents to BSO SME SME/WG prepare analyses (cost, risk, applicability) for BSO SME review. BSO SME concurrence? Lab SME, BSO SME present to BSO Contracting Officer SME provides final package (approvals, analyses,rod, plan) to RMC rep or RM PM 11 BSO CO concurrence? SME informs RMC rep or RM PM. KEY: Initiate Develop Review Approve Close Outside RM Scope RM PM or RMC rep logs ROD, uploads analysis, plan. RM PM updates Deliverables. End RM Process C31 change recommended? RM PM submits formal request (Go to BSO-UCOP-Lab Contract Mod process) Step Role Action 1 SME, Sr. LM Determine during Requirement Analysis process that there is reason to question the requirement and/or deliverable. 2 SME Informs RMC Rep and RM PM 3 SME/WG Prepares analysis package for BSO SME review 4 SME If Then BSO SME concurs Proceed with Step 7 BSO SME does t concur Seek assistance of RMC Rep, RM PM, Line Manager 5 SME, RMC Rep, RM PM, Evaluate and consider whether to continue to pursue Line Manager 6 SME If Then Continue pursuit of change Revise analysis package and present to Page 4 of 5 Printed or electronically transmitted copies are t official. Users are responsible for working with the latest approved revision.

5 Step Role Action BSO SME, go to step 4 Stop pursuit Continue along main RM process flow (see x) 7 Lab SME, BSO SME Present analysis to BSO Contracting Officer 8 SME If Then BSO CO concurs Proceed with Step 9 BSO CO does t concur 9 SME Informs RM PM and RMC Rep of result 10 RM PM If Then Seek assistance of RMC Rep, RM PM, Line Manager, go to Step 5 No C31 changes Proceed with Step 11 C31 change recommended Submit formal request to BSO-UCOP- Lab Contract Mod process 11 SME Completes final RM Case package per RM Process, including Record of Decision. Gives to RMC Rep or RM PM 12 RM PM or RMC Rep Complete upload of information into RMS database 7. References 7. 1 Source Requirements Documents Requirement ID Title Requirements Management Policy Document Management Policy Requirements Management Process Description Contract Deliverables Management Process 7. 2 Related Implementing Documents (including procedures, forms, training) Document Number Title Procedure - Analyzing Requirements and Determining Significance Rating from Impact and Risk Analysis Form - Analyzing Requirements Form Significance Rating Form - Record of Decision 8. Contact requirementsmgmt@lbl.gov Requirements Management Program Manager Office of Contractor Assurance 9. Revision History Date Revision By whom Revision Description Sections affected 8/1/ L. Young Review to release. Add #s to diagram Diagram 3/22/ L.Young Initial Amend dwg Page 5 of 5 Printed or electronically transmitted copies are t official. Users are responsible for working with the latest approved revision.