# Presentation: 829182

## Institutional Roles & Accountabilitiesfor Managers and Supervisors Manager Information ForumKaren RamorinoManager, Berkeley Lab InstituteFor the Finance NetworkDecember 14, 2005

## Course Objectives

**Objectives**
- Review some of the critical compliance, regulatory, ethical and employee development accountabilities of managers and supervisors
- Better understand what it means to be an agent of the Laboratory
- Create a resource for new managers and supervisors
**Other Comments**
- Information is dynamic, policies and information are always changing
- Course developed by Laboratory subject matter experts

## CourseDevelopment

- DOE / UC Contract – **Carla Garbis** and **Karl Olson**
- Labor and Employee Relations – **Bill Elkins**
- Postdoctoral Development – **Nancy Talcott, Mary Bishop, Adele Sylar**
- Finance / Budget Management – **Michele Mock**
- EH&S – **Eugene Lau**
- Asset Management – **John Morgan**
- Technology Transfer – **Cheryl Fragiadakis**
- Conflict of Interest – **Jeff Weiner**
- Laboratory / UC Issues – **Ellen Ford**
- Foreign Visitor Issues – **Ben Ortega**

**The following Laboratory employees contributed **
**to the development of this course**

**...****and the many scientists, and technical and operations professionals who provided feedback**

## Roles and AccountabilitiesSummary

**DOE / UC Contract**.............................................................................. 5-8
**Manager as Agent of the Laboratory**.............. .............................. 9-10
**UC Ethical Values**.............................................................................. 11-13
**Laboratory Mission**...........................................................................................14
**Laboratory Policy**..............................................................................................15
**Areas of Accountability**
-  Labor and Employee Relations........................................................................ 16-20
-  Postdoc Development............................................................................ ...   21-24
-  Finance / Budget Management........................................................................... ...25-27
-  Environment, Health & Safety............................................. .................... ..... 28-30
-  Asset Management......................................................................................... ...31-32
-  Technology Transfer..........................................................................................  33-36
**Other Areas of Accountability**
**               **Conflicts of Interest.................................................................................   37-38
-                 Laboratory / UC Issues.............................................................................. 39
-                 Foreign Visitor Issues............................................................................... 40-42
**Laboratory Principles for a Diverse Community**............... 43-44**  **** **

## Roles & AccountabilitiesFinancial Management

**Excerpts from the Office of the Chief Financial Officer’s (OCFO)**** **
***10 Commandments of Financial Management***
**Don’t spend $$ you don’t have** (Federal Anti Deficiency Law)
- Spend funding only on the purpose for which it was intended (Appropriation Law)
**Don’t mix funding sources** for projects without documented rationale
- Must adhere to UC/DOE Prime Contract - Contract 31 guidelines for “cost allowability”** **
-        **Examples of unallowable costs**:
-        - Alcoholic beverages                - Entertainment                             - Gifts
-      - Personal Items                          - Contributions and donations     - Souvenirs
**	****See “cost allowability” policy on CFO website**

**Managers are accountable for Laboratory’s financial resources**

## Roles & AccountabilitiesFinancial Management

**Each employee must** **input and certify** (by releasing) his or her time and effort, and supervisors must approve it
-       - Must ensure **accurate and timely reporting of time** worked (by job or project)
-          and time off (by category of leave)
**Division management is responsible** for employee’s compliance, including ensuring completion and collection of all required employee manually signed and/or supervisor manually approved timesheets
- All **HR actions** that have monetary implications **must be reported on Personnel Action Form’s** (PAF’s) in a timely manner within the pay period of the particular action

**Managers are accountable for time...**

## Roles & AccountabilitiesFinancial Management

**For more detailed information contact...**
- Your Division Resource Analyst
- or
- OCFO website
**Resources currently being developed by OCFO:**
- Certificate program for Resource Analysts
- More in-depth training on financial management, policies and practices
- Signature Authority Policy online course

## Roles & AccountabilitiesResources

**Labor and Employee Relations****   **
**Personnel Policies:****     ***www.lbl.gov/Workplace/RPM/R2.00_TOC.html*
**Equal Employment Opportunity Policy:     ***www.lbl.gov/Workplace/RPM/R2.01.html*
**Harassment  Policy:     ***www.lbl.gov/Workplace/RPM/R2.05.html*
**Workplace Violence Statement in Policy:     ***www.lbl.gov/Workplace/RPM./R.205.html*
**Whistleblower Policy:     ***www.lbl.gov/Workplace/RPM/R2.05.html#RTFToC47*
-          and **UC website on whistleblower policy:**     *http://ucwhistleblower.ucop.edu/*
**LER website:**    *www.lbl.gov/Workplace/HumanResources/hr_contactus/hr_core_services.html*
**Collective Bargaining Agreements:**
**          ****-****UC System-wide:** *atyourservice.ucop/edu/employees/policies/labor_relations/index.html*
**        ****-CUE Side Agreement:**
-            *www.lbl.gov/Workplace/HumanResources/hr_ler/LBNL_Cue_Side_Agreements.pdf*
**Division HR Center Managers:**   *www.lbl.gov/Workplace/HumanResources/hr_contactus/hr_center_services.html*
**  ****Financial / Budget Management****   **
**10 Commandments of Financial Management:  ***www.lbl.gov/Workplace/CFO/10_commandments.html*
**Contract 31: ***http://labs.ucop.edu/internet/comix/ *
**Cost Allowability: Federal Acquisition Regulation (FAR): FAR, Subpart 31.201-2, Determining Allowability (FAR 31.201-2)**
**Pay & Reporting-Timekeeping Policy:   ***www.lbl.gov/Workplace/RPM/R3.00_TOC.html*
**Travel Policy:**   *www.lbl.gov/Workplace/RPM/R4.00_TOC.html*
**OCFO website:  ***www.lbl.gov/Workplace/CFO*
**OCFO staff list:****  **http**://***fsdwprod.lbl.gov/CFO/CFOAtoZ.asp#*** **
**  **