Policy on Policies

Policy on Policies

CAS – KB0013452

1.  Purpose

This policy establishes the requirements and standard approach for proposing, developing, reviewing, approving, and communicating new and revised lab-wide policies and procedures, as well as incorporating the language identified in the Taxonomy and Nomenclature Matrix (T&N Matrix).

This policy is not a contract and is not intended to create any obligations on FermiForward. This policy may be terminated or changed by FermiForward at any time, with or without notice.

2.  Scope

The scope of this policy includes all lab-wide policies and lab-wide procedures, in any location, to manage and operate Fermi National Accelerator Laboratory under the prime contract with the Department of Energy (DOE). A lab-wide policy or lab-wide procedure is one that applies to employees, users, affiliates, visitors and/or subcontractors outside of the organization that owns the lab-wide policy or lab-wide procedure.

3. Applicability

This policy applies to Fermi Forward Discovery Group, LLC and all its employees, users, and affiliates. 

4.  Effective Date and Date Reviewed/Updated

This policy went into effect on October 10, 2016, and its most recent update was effective on November 20, 2024.

5.  Policy

a. Lab-wide policies are guiding principles that set out management’s expectations for governing the laboratory.

b. Lab-wide policies and lab-wide procedures ensure successful, safe, and secure execution of the mission in a manner which meets all legal, regulatory, and Prime Contract requirements.

c. All lab-wide policies must be reviewed and approved by the Policy Oversight Board (POB) before they are issued. The POB also establishes processes that govern lab-wide procedures. The POB processes include:

- A central location for all lab-wide policies and lab-wide procedures utilizing ServiceNow as a database and policies.fnal.gov to post all lab-wide policies and lab-wide procedures.

- A common format for lab-wide policies and lab-wide procedures – the Policy Template and Procedure Template are located on policies.fnal.gov.

- An established update, review, and approval process for lab-wide policies and lab-wide procedures, which includes all relevant stakeholders – the Intake Form and Policy Impact Analysis for POB review of lab-wide policies and lab-wide procedures is located on policies.fnal.gov.  

- A process for withdrawing and cancelling policies.

             - Ensuring that lab-wide policies and lab-wide procedures are current and accessible to employees, users, and affiliates as appropriate.

- Standards for communicating lab-wide policies and lab-wide procedures to employees, users, and affiliates.

d. All lab-wide policies and lab-wide procedures must be owned by a Requirement Owner or an ALD/Senior/Office/Project Director.

-Ownership of lab-wide policies may not be delegated; ownership of lab-wide procedures may be delegated only following approval of the POB.

-Lab-wide procedures flow down from a relevant lab-wide policy and must follow the

procedures for lab-wide policies and lab-wide procedures established by the POB, including being located in the ServiceNow policies database.

-Lab-wide manuals such as Fermilab Environmental, Safety and Health Manual (FESHM), Fermilab Radiological Control Manual (FRCM), the Contractor Assurance Manuals, Engineering Manual, Personal Property Manual, Procurement Operating Policy, Procurement Procedure Manual and Procurement Process Guides are exceptions and do not have to be located in the ServiceNow policy database.

e. Divisions, Offices, and Projects may establish Division/Office/Project-level policies and procedures also known as local policies, local procedures, and guidance. These documents must not apply to people working outside of the relevant Division/Office/Project; otherwise, they are considered to be lab-wide; they may apply to employees, users, and affiliates from across the laboratory who are working in that Division/Office/Project.

- Any Division/Office/Project-specific policy must be owned by the ALD/Senior/Office/Project Director; ownership of Division/Office/Project-specific procedures may be delegated down with the approval of the Division/Office/Project Director.

- Division/Office/Project procedures or guidance should flow from Division/Office/Project policies.

- A Division/Office/Project may develop procedures, manuals, or guidance that specifically describe how to implement a lab-wide policy or lab-wide procedure in their organization, but a Division/Office/Project may not develop a procedure, manual, or guidance that conflicts with any lab-wide policy or lab-wide procedure without prior approval of the POB.

f. Any exceptions to this policy must be approved by the POB.

g. Certain lab-wide policies or lab-wide procedures may identify specific consequences for non-compliance, including where provided by law. Unless specific consequences for non-compliance are stated in the lab-wide policy or lab-wide procedure, an employee’s manager may impose consequences for non-compliance, in consultation with their ALD/Senior/Office/Project Director and HR partner, up to and including termination. See also the Human Resources and the Statement of Community Standards.

h. All lab-wide policies and lab-wide procedures being submitted to the POB for review require a completed Intake Form/Policy Impact Analysis (PIA). The Requirements Owner must review the PIA before submittal.

i. Any lab-wide policies and lab-wide procedures that pertain to human resources, procurement, and/or may cost the laboratory $250,000 or more to implement require Fermi Site Office approval. This approval is required after the policy is reviewed by the POB, but before it is published. It is the Requirement Owners responsibility to acquire approval on these lab-wide policies and lab-wide procedures.

j. All Requirements Owners, ALD/Senior/Office/Project Director or their delegated Policy Points of Contact (POCs) must ensure alignment to the T&N Matrix when writing or updating policies. This will ensure the laboratory is consistent in identifying the types of roles personnel fill and the characteristics and authorities associated with those roles.

k. Policies are not contracts and are not intended to create any obligation on the part of Fermi Forward Discovery Group, LLC. Policies may be terminated or changed at any time, with or without notice.

6. Definitions

Lab-wide policy is a set of guiding principles that set out the expectations to govern the laboratory. Policies change infrequently, are expressed in broad terms, and convey management’s expectations. Lab-wide policies apply to all employees, users, affiliates, visitors and/or subcontractors at the laboratory.

Lab-wide procedure is a document that prescribes a process (a sequence of actions) to be performed to achieve a desired outcome. Lab-wide procedures apply to all employees and/or users and affiliates at the laboratory.

Local policy is a set of guiding principles that set out the expectations to govern specific Divisions, Offices, and Projects. Local policies do not apply lab-wide but rather at a particular location or to a particular group.

Local procedure is a document that prescribes a process (a sequence of actions) to be performed to achieve a desired outcome within a specific Division, Office, or Project. Local procedures do not apply lab-wide but rather at a particular location or to a particular group.

Manual is a document or compilation that may contain implementing requirements for Requirements Assurance System programs.

The Taxonomy and Nomenclature Matrix defines the characteristics of each role type authorized to access Fermilab sites or systems. The definitions of the T&N Matrix must be adhered to in all lab-wide policies and laboratory programs.

Fermilab is the physical site and property that is the Fermi National Accelerator Laboratory.

Fermi Forward Discovery Group, LLC is the operator and manager of the Fermi National Accelerator Laboratory under Department of Energy Prime Contract No. 89243024CSC000002 and is the principal employer of personnel working at Fermilab.

7. Responsibilities

Laboratory Director is responsible for approving all lab-wide policies. The Laboratory Director delegates this responsibility to the Policy Oversight Board. The Laboratory Director also delegates the responsibility for overseeing policy management to the Policy Oversight Board.

Policy Oversight Board (POB) was established by the Laboratory Director and is responsible for keeping the Director informed, reviewing and approving lab-wide policies, lab-wide procedures, and developing processes and procedures in terms of the management, review, approval, communication, and withdrawal of lab-wide policies and lab-wide procedures. The Policy Oversight Board also resolves questions regarding the appropriate ownership of a lab-wide policy and lab-wide procedure. The Policy Oversight Board will include a designee from the Office of Performance Assurance, the General Counsel, and other members as designated by the Laboratory Director. The POB is responsible for updating the T&N Matrix with the approval of the OMA Director.

Requirement Owners are responsible for developing and maintaining lab-wide policies and lab-wide procedures that pertain to the scope of responsibilities of their office or requirements, in compliance with all legal, regulatory, and Prime Contract requirements. They are responsible for complying with this policy and the processes of the Policy Oversight Board in the development, approval, update, communication, and withdrawal of all lab-wide policies and lab-wide procedures.

8. Authorities

Prime Contract No. 89243024CSC000002

9. Owner

The Director of the Office of Performance Assurance is the owner of this policy.

10. Review Cycle

This policy shall be reviewed every three years.

11.  Communication Plan

The requirements of this policy shall be communicated to all employees, affiliates, and users and periodic training shall be provided to Requirement Owners and ALD/Senior/Office/Project Directors. This policy shall be available on the Fermilab Policies website. The Director of the Office of Performance Assurance is responsible for the communication of this policy.

Revision History