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

Number:

04.04.001.107

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

This document describes the procedure for initiating a requirement change in the Department of Energy (DOE) contract that defines the operational parameters for Lawrence Berkeley National Laboratory. 2. Applicability – who this is for

This process applies primarily to LBNL persons who have responsibility for review and implementation of DOE contract requirements.

2.1 Exceptions none

3. Pre-requisites

Users of this procedure should review the Requirements Management Process, 04.04.001.003, and the Managing Contract Deliverables Process, 04.04.001.104.

4. Definitions

Term Definition

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

institutional documents.  This is a RM and RMS term. 

Change  Refers to (a) introduction of a new item, (b) retirement of an existing item, or (c) modification 

of an existing item 

Contract 31  “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. 

Contract 31 

Modification 

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. 

Deliverable  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 not limited to reports, plans, inventories, inspections, 

assessments, documents, procedures, programs, data, etc.  A requirement specifies a 

Term Definition

Modification  Used interchangeably with “Change”. Record of 

Decision (ROD) 

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). 

Requirement 

A specific obligation to perform an action mandated by LBNL 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.   

RMS database  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. 

Tri‐party  Refers to a group with representatives from BSO, UC Office of the President, and Berkeley Lab

5. Roles and Responsibilities

These are adopted from LBNL Requirements Management Governance, Document 04.04.001.002, and emphasize 

responsibilities pertinent to this procedure. Refer to the Governance document for the most comprehensive, up‐to‐

date version. 

Role Responsibilities

Subject Matter 

Expert (SME) 

 A Laboratory employee or consultant with specialized knowledge 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 knowledge 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 LBNL 

requirements and document management policies and procedures.   Approves 

institutional documents upon completion of required reviews. 

 Ensures compliance with LBNL requirements and document management policies 

and procedures. 

 Works with the RM PM and RMC to resolve issues that may arise in the process of 

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 knowledge 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 

California Office of 

the President (UCOP) 

 Is the corporate entity responsible for the management of Berkeley Lab 

 Has authority to negotiate/agree with BSO on matters regarding Contract 31. 

DOE/Berkeley Site 

Office (BSO) 

 Reviews and approves those non‐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 31. 

6. Procedure

Figure 1 highlights (a) where this procedure fits in the overall RM process flow (see document number 04.04.001.003) and (b) the pertinent steps of this procedure.

FIGURE 1 

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 not concur Seek assistance of RMC Rep, RM PM, Line Manager

5 SME, RMC Rep, RM PM, Evaluate and consider whether to continue to pursue RMC, Sr. LM, review analysis (RM Process) SME/WG interprets, analyzes impact, recommends SME/WG delineate deliverables. Review with BSO

SME. Does this req

have associated Deliverables no yes Is there reason to question req? SME/WG prepare analyses (cost, risk, applicability) for BSO

SME review.

BSO SME concurrence?

Lab SME, BSO SME present to BSO Contracting Officer yes SME informs RMC rep or RM PM yes BSO CO concurrence? SME informs RMC rep or RM PM. yes no SME seeks assistance RMC rep, RM PM, Line Mgr SME revises package. Presents to BSO SME Continue pursuit? yes no no no RM PM submits formal request Continue RM Process Initiate Develop Review Approve Close Outside RM Scope KEY:

SME provides final package (approvals, analyses,ROD, plan) to

RMC rep or RM PM

RM PM or RMC rep logs ROD, uploads

analysis, plan. RM PM updates Deliverables. End RM Process no C31 change recommended? yes (Go to BSO-UCOP-Lab Contract Mod process)





















Step Role Action

BSO SME, go to step 4

Stop pursuit Continue along main RM process flow (see 04.04.001.00x)

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 not concur Seek assistance of RMC Rep, RM PM, Line Manager, go to Step 5

9 SME Informs RM PM and RMC Rep of result

10 RM PM If… Then…

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

04.04.001.000 Requirements Management Policy

10.06.001.000 Document Management Policy

04.04.001.003 Requirements Management Process Description

04.04.001.104 Contract Deliverables Management Process

7. 2 Related Implementing Documents (including procedures, forms, training)

Document Number Title

04.04.001.101 Procedure - Analyzing Requirements and Determining Significance Rating from Impact and Risk Analysis

04.04.001.201 Form - Analyzing Requirements

04.04.001.206 Form – Significance Rating

04.04.001.208 Form - Record of Decision

8. Contact

Email: [email protected]

Requirements Management Program Manager LBNL Office of Contractor Assurance

9. Revision History

Date Revision By whom Revision Description Sections affected

8/1/2014 0.2 L. Young Review to release. Add #s to diagram Diagram 3/22/13 0.1 L.Young Initial Amend dwg