# Presentation: 495390

## Institutional Roles & Accountabilitiesfor New Managers and Supervisors Supervisor Development SeriesKaren Ramorino, Ed.D.Manager, Berkeley Lab Institute

**Notes:**
Refresher for all managers at Lab

Specifically designed to help new managers and supervisors get up to spped more quickly on their overall responsibilities

There is not other place at lab where a superivor can get comprehensive list of what he/she is responsible for

This is not a complete detailed list, but the top 4 and 5 things in critical areas of responsibilities

As we go through, please let me know if you think something is missing, or another topic should be added.

This is a course that we all create to help those new managers and supervisors – to make it easier for them when they come in 

Fill out evaluation forms as go along for feedback

## Course Objectives

- Review 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.  **Course is posted at www.lbl.gov/BLI**

**Notes:**
Other Comments
Information is dynamic, policies and information are always changing
Course developed by Laboratory subject matter experts

## Course Development

**17 Laboratory subject matter experts have contributed to the development of this course...**

**Notes:**
As well as comments from numerous managers and supervisors in Divisions we’re I’ve delivered the course.  

This is something that we are creating ourselves to help new supervisors get up to speed quicker.

## What Do You Know?

**Let’s take a quiz **to see how much you know
- about your responsibilities as a manager**...**

**Notes:**
As well as comments from numerous managers and supervisors in Divisions we’re I’ve delivered the course.  

This is something that we are creating ourselves to help new supervisors get up to speed quicker.

## Summary of Contents

- DOE / UC Contract 31
- Manager as Agent of the Laboratory
- UC Ethical Values
- Laboratory Mission
- Laboratory Policy
- Affirmative Action
- Laboratory Principles for a Diverse Community

**Institutional areas of responsibility...**

## Summary of Contents

- Managing Employees
- Postdoc Development
- Finance / Budget Management
-  Environment, Health & Safety
- Asset Management
- Technology Transfer
- Cyber Security
- Publications
- Archives and Records Management
- Conflicts of Interest
- Laboratory / UC Issues
- International Scholars & Researchers Office (IRSO) and
-      Foreign Visits and Assignments Office (FVA)

**Specific areas of responsibility...**

## UC / DOE Contract

**UC and Laboratory leadership agreed to a stronger level of accountability in managing and operating the Laboratory.**

## UC / DOE Contract

**UC / DOE Contract 31 contains term extension criteria...**

-   If Lab scores **“Outstanding”** for each of the first three years,
-     a three year extension is granted
-   Eligible to add one additional year for each subsequent
-     “Outstanding” performance year
-   Up to 20 years total

## UC / DOE Contract

**UC / DOE Contract 31 contains term extension criteria...**

-   If any S&T goal score is < B+ OR any M&O goal score < B -,
-     then UC/Lab is not eligible for extension for that year
-   If Lab fails to earn first extension or any three subsequent
-    extensions, then UC/Lab is ineligible for further extensions
-   **Scores are critical since $4.5 million management fee is not  **
**    ****guaranteed.**

**Notes:**
May be financial penalties up to rebid the contract

$5 million to do bid

## UC / DOE Contract

**Contract 31 has a multiplier used for calculating management fee...**

-   **S&T** score sets maximum earnable fee   	A+ = 100%
-   **M& O** score is a multiplier to determine earned fee
- 						A+ through B+ = 100%
-   S&T score X  M&O score = **Earned % of performance based fee**

## UC / DOE Contract

- Mission and accomplishment
- Construction/operation of research facilities
- S&T project/program management
- Contract leadership
- Environmental, health and safety
- Business systems (finance, HR, property, IT)
- Facilities maintenance and infrastructure
- Security and emergency management

**Areas of performance measurement...**

**Notes:**
We’ve already run into some issues around EH&S, so there’s careful scrutiny and a peer review being conducted in this area. 

## UC / DOE Contract

**For science and technology measures...**

-   Science has meaningful impact for scientific community
-  Effective design, construction, and operations of research facilities
-  Effective and proactive research planning

**Notes:**
We’ve already run into some issues around EH&S, so there’s careful scrutiny and a peer review being conducted in this area. 

## UC / DOE Contract

**For management and operations measures...**

-   **Contractor leadership / stewardship**
- Collaboration with DOE labs, academia, industry
- Follow the Lab integrated planning calendar
-  **ES&H**
- Complete required safety training
- Ensure effective ES&H communication with staff
- Line management involvement in ES&H

**Notes:**
We’ve already run into some issues around EH&S, so there’s careful scrutiny and a peer review being conducted in this area. 

## UC / DOE Contract

**For management and operations measures...**

-   **Business Systems**
- Complete new employee orientation
- Diligent time reporting and approval
- Purchases from :  small business, e-commerce, competition-based
**Facilities and Infrastructure**
- Energy conservation
- Effective planning and use of maintenance

**Notes:**
We’ve already run into some issues around EH&S, so there’s careful scrutiny and a peer review being conducted in this area. 

## UC / DOE Contract

**For management and operations measures...**

-   **Security and Emergency Management**
- Emergency drill participation
- Emergency management training and exercise
- Radiological material inventory and authorization compliance

**Notes:**
We’ve already run into some issues around EH&S, so there’s careful scrutiny and a peer review being conducted in this area. 

## Manager as Agent

**Managers are ****not ****expected to be experts,  **
**but are required to know when to seek the guidance **
**and assistance of technical experts at the Laboratory.**

**Notes:**
Emphasis on NOT expected to be experts.  

## Manager As Agent

**What does** **Agent of the Laboratory** **mean...**
- We are employees of the University of California
- We are a management representative of the Laboratory
- We have legal liability to protect the interests of Berkeley Lab, and its employees and clients
- We must manage and operate within the boundaries of the Laboratory mission and policies

## Manager As Agent

**As an agent of the Laboratory,**** ****managers must comply with...**
- DOE / UC Contract obligations
- Federal, State and Local Laws
- UC Policies and Procedures
- Collective Bargaining Agreements
- Laboratory Regulations and Procedures

**Notes:**
This is not that different from any other corporation.  Perhaps more layers of bureauracy given federal and UC requirements and union.

But any company with the components would have to abide by these laws and regulations

Creates a complex environment in addition to scientific requirements.

## UC Ethical Values

- All members of the UC community are committed to the **highest ethical standards** to further the UC mission of teaching, research and public service...

**Notes:**
Given we manage public funds AND conduct the kind of scientific research that we do, we are under particular scrutiny for ethics.  

Its not just a buzz word or set of ideals in words that no one ever reads.  

If there is a breech of ethics in how we conduct science or manage the business of science, we receive public attention from the media, auditors up to US congressional attention.  It can diminish the lab’s reputation and can impact our ability to receive funding.

## UC Ethical Values

**UC’s ****Statement of Ethical Values...**
**Integrity.  **We will conduct ourselves with integrity in our dealings with and on behalf of the University.
**Excellence.**    We will conscientiously strive to excellence in our work.
**Accountability.**  We will be accountable as individuals and as members of this community for our ethical conduct and for compliance with applicable laws and University policies and directives.
**Respect.**  We will respect the rights and dignity of others.

**Notes:**
Given we manage public funds AND conduct the kind of scientific research that we do, we are under particular scrutiny for ethics.  

Its not just a buzz word or set of ideals in words that no one ever reads.  

If there is a breech of ethics in how we conduct science or manage the business of science, we receive public attention from the media, auditors up to US congressional attention.  It can diminish the lab’s reputation and can impact our ability to receive funding.

## UC Ethical Values

**UC’s *****Standards of Ethical Conduct***** are a statement of **
**belief in ethical, legal and professional behavior in all**
**dealings of the University in following areas...**

- -Fair Dealing
- -**Individual Responsibility** & Accountability
- -**Respect** for Others
- -**Compliance** with Applicable Laws and Regulations
- -Compliance with Applicable University Policies and
-     other forms of guidance
- -**Conflicts of Interest** or Commitment

- -**Ethical Conduct of Research**
- -Records: **Confidentiality/Privacy and Access**
- -Internal Controls
- -Use of University Resources
- -**Financial Reporting**
- -**Reporting Violations** and Protection
-     from Retaliation.

## UC Ethical Values

**Currently in development...****  **
- UC Office of the President is developing an **online Ethics course** that is scheduled to be available in mid 2006.

## Laboratory Mission

**Managers have key roles that **
**contribute to the Laboratory mission...**
- Contribute to DOE and UC missions
- Perform **multi-disciplinary** research
- Ensure **safety and environmental protection**
- Educate and **train future generations**
**Transfer **knowledge and **technological innovations**
- Foster productive relationships among the research programs, universities and industry

## Laboratory Policy

**Managers have accountabilities for Laboratory’s **
** ****Regulations and Procedures (RPM)...**

-   Outlines some of the policies for day-to-day operations
-   Information has been condensed from Laboratory procedure manuals,
-    Department of Energy directives, and UC/DOE contact.
-   **NOTE:** some policies are posted on department websites and are not in RPM
-     yet. Good practice to check with responsible Laboratory department.

## Laboratory Policy

**Managers have accountabilities for Laboratory’s **
** ****Affirmative Action Program...**

-   Front line responsibility for implementing EEO / AA policies
-  Be actively involved with local Laboratory programs in support of minority
-   organizations, women’s organizations, community action groups and
-   community service programs
-  Participate in periodic audits of training programs, hiring and promotion
-   patterns to isolate impediments to the attainment of goals and objectives

**Notes:**
Part of Laboratory’s Equal Employment Opportunity/Affirmative action policy.  Shared management responsibility.  

##   Lab Principles ofDiverse Community

**Managers need to be aware of Lab’s**
**Principles of a Diverse Community...**
**(excerpts from Laboratory Director Chu’s statement of principles)**
- A **diverse workforce** is an invaluable asset to innovation and research excellence.
- We affirm the inherent dignity in all of us and strive to maintain an environment characterized by **respect, fairness and inclusion.**
- We **recognize and cherish** **the richness** contributed by our diversity.

## Lab Principles of Diverse Community

- We accept open expression of our **individuality and diversity** within the bounds of **courtesy, respect and sensitivity**.
- We take **pride in our collective achievements**.
- We **honor our differences**.
**We will not tolerate any manifestations of discrimination,** including those based on race, ethnicity, gender, age, disability, sexual orientation, religious or political beliefs and status within the Laboratory.

**Notes:**
Hand out list of resources

## Managing Employees

**Management / Employee Relations - RPM 2.05**** **
- Develop performance expectations            - Assign work/establish deadlines
- Determine training needs                           - Evaluate performance
- Review and recognize achievements         - Take corrective actions

**Managers are responsible for hiring **
**and developing employees...**

## Managing Employees 

**   ****Definition of Supervisor** – as defined by the Higher Education Employer-Employee Relations Act (HEERA)...**having authority in the interest of the employer to...**

-  - hire		- transfer	- suspend	- layoff
-  - recall	- promote	- discharge	- suspend
-  - assign	- reward	- discipline	- adjust grievances

**Notes:**
You will deal with HEER when you establish a position description.  You’ll work with your HR Center generalist to determine if it’s a HEERA designated position.

If so, there are additional requirements, for example, must comply with new state law to take 2 two hours of sexual harrassment prevention training

A team lead may not necessarily be a HEERA supervisor.  If he or she does not do the annual performance revview,or have the authority to hire, fire or discipline these employees, then lead is not a HEERA supervisor, merely overseeing project work.  

## Managing Employees

**Equal Employment Opportunity**** Policy**
-         The Lab **will not engage in discriminatory practices** against any person employed or seeking
-         employment.
**Harassment Policy**
-        New **state mandate** of **2 hours of training every 2 years** on sexual harassment for all HEERA supervisors and managers.  New managers must take training within first 6 months.
**Workplace Violence Statement in Policy**
-        Laboratory policy on management/employee relations includes a statement on **creating and maintaining a civil workplace** that is free of harassment and threatening behaviors.
**Whistleblower Policy**
- 	 **Report improper governmental activities** that violate any state or federal laws or regulations.

**Other human resources policies that **
**managers need to be aware of...**

## Managing Employees

**   ****Managing in a union vs. non-union environment has some important distinctions...**
**Union** – terms and conditions of employment and wages are negotiated with union.  **No direct dealing with employee**.  Union contract has precedence over Laboratory’s RPM.
**Non-union** – terms and conditions of employment are per Laboratory policy. Wages are at management discretion.  Managers are non-union employees.

## Managing Employees

**There is a general test for just cause in discipline...**
-   Test question for just cause -- were rules, orders and penalties applied evenhandedly and without discrimination to all employees?

## Managing Employees

**   ****If you have any questions or need assistance in managing employees, contact...**
- Your Division HR Center staff
- Or
- Your Division Labor and Employee Relations Consultant

## Managing Employees

**   ****There are other contacts who can assist with employee issues and needs...**
- Lab Ombuds – Harry Reed  x4130
- 	For assistance with disputes between two employees
- and
- Berkeley Lab Institute –  Karen Ramorino  x6316
-       Information on onsite and offsite training options and for course development

## Post Doc Development

**Postdoctoral fellow appointments are temporary positions** with
- fixed end dates intended to provide a full-time program
**to acquire further scientific professional growth and **
**development for independent research...**

-  Expectation that the postdoctoral fellow will be fully involved in
-   research pursuits
-   A person may be a postdoctoral fellow for up to 5 years
-    cumulative
-   **Mandatory:**  A supervisor of a post-doc/student must attend
-    EHS 24

## Post Doc Development

-  Communicate terms and conditions of appointments
-  Make clear the goals, objectives and expectations
-  Provide regularly and frequent communication
-  Provide regular and timely feedback on performance
-  Provide career advice and job placement assistance

- Supervisors are responsible for **guiding, monitoring, coaching and mentoring** the advanced training of postdoctoral fellows...

## Post Doc Development

**Their development is not just about science,  **
**its about all of the skills and knowledge needed to **
**succeed as an independent researcher...**

-   Grant writing
-   Presentation skills:  to peers, management, or general public
-   Research paper writing
-   Research publication articles
-   Business of science (e.g. finance, grant management, safety, asset
-     management, etc)
-   Resume writing and interviewing:  academia, or public or private
-     institutions

## Post Doc Development

- Contacts for **roles and obligations**:  Division Staff Committee head or Division Director
- Contact for **terms and conditions**:  HR Center staff
**Resources currently being developed in Human Resources**:
-   RPM section specifically on hiring and development of
-     postdoctoral fellows

## Financial Management

**Excerpts from the Office of the Chief Financial Officer’s (OCFO)**** **
***10 Commandments of Financial Management***
**Don’t spend $$ you don’t have** (Federal Anti Deficiency Law)
- Spend $$ on the specific purpose for which it was intended (Appropriation Law)
- There **must be sufficient funding to cover costs plus commitments**
- Must adhere to UC/DOE Prime Contract - Contract 31 guidelines for “unallowable costs”** **
-        **Examples of unallowable costs**:
-        - Alcoholic beverages                - Entertainment                             - Gifts
-      - Personal Items                          - Contributions and donations     - Souvenirs
-      - Food at Lab meetings w/o outside attendees

**Managers are accountable for financial resources...**

**Notes:**
The above could result in loss of funding for the Laboratory
Some could result in personal liability and/or even criminal charges 

## Financial Management

**Personnel actions**
**    ****-Overtime ****	****	****-Time****	****	****-Hires/Promotions**
**      ****-Leaves****	****	****-Visiting Researcher Visas**
**Purchase Requisitions**
**Travel authorization and expenses**

**Managers are accountable for**
**their signature...**

**Notes:**
When you sign something it makes a statement that you understand and believe to the best of your ability that this action is within laws and policies that govern it.

In an audit situation, if your signature is on a key document, you will be required to provide information on your understanding of the action.

## 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 approval and employee’s compliance, including ensuring completion and collection of all required employee manually signed and/or supervisor manually approved timesheets

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

**Notes:**
Labor is Lab’s biggest cost.

This is one area where Los Alamos got in a lot of trouble and why we got audited.

So far there has not been any discovery of major problems, but sloppy administrative procedures.  Which is  a red flag to auditors and certainly puts us at higher risk for a bigger problem to occur.

## Financial Management

- 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...**

**Notes:**
Lack of timeliness sends message to auditors of potential problems, sloppy administration
Also very costly to the institution to go back and fix

## 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 policies and management for managers
- Financial policies located on OCFO website

## EH&S

**   ****Managers are responsible for ensuring a safe and healthful work environment for Laboratory staff...**
**Comply with EH&S and DOE policies, Labor Contracts, and State and Federal Requirements - **Requirements listed in Pub 3000
**Understand & apply the Integrated Safety Management (ISM) plan in your Division**
- Know the 5 Core Functions & 7 Principles of your Division’s ISM Plan
**Be aware of safety issues and circumstances with Lab employees working on campus projects**

**Notes:**
Everyone knows that a safety incident can shut down the entire lab and have significant impact on research.

A area where there has been issues is post docs, who have not been trained property (an administrative ommission on their compliance needs) or lack of oversight to account for the fact that the younger generations tend to see themselves as invinsible.

## EH&S

**Managers are responsible for ensuring a safe and healthful work environment for staff...**

**  ****Know the hazards and ensure staff complete all required training**
**    **
-   Ensure employees complete a Job Hazard Questionnaire (JHQ) every year
-   For non-scientific managers and supervisors - EHS 20 (sup & mgr) and
-     EHS 60 ergo
**  ****Mandatory for scientific managers and supervisors** - EHS 26 for
-     managers + EHS 24 for supervisors of students

**Notes:**
Everyone knows that a safety incident can shut down the entire lab and have significant impact on research.

A area where there has been issues is post docs, who have not been trained property (an administrative ommission on their compliance needs) or lack of oversight to account for the fact that the younger generations tend to see themselves as invinsible.

## EH&S

**Ensure ergonomic evaluations are performed when employees move locations or experience discomfort (over 50 % of injuries are ergo related) **
-       - Material handling                    - Computer work station         - Repetitive tasks
**Inspect work areas of your staff.  Correct hazards as identified**
-      - Check for proper usage of safety equipment
**Communicate safety information with your staff: **
-       - Hold safety meetings                                                      - Through division safety committee
-         - Safety tips & reminders in Division communications   - Solicit safety feedback from staff
**Be informed of current DOE safety issues**
-       - Laser                    - Electrical              - Radiation
**Know stop work and emergency reporting procedures**
**      **

**Notes:**
Here’s some things you can do to keep safety in the forefront of people’s minds.

## EH&S

**If you have any questions or EH&S needs contact...**
- Your **Division Safety Coordinator**
- Or
**Division EH&S Liaison**
**EH&S training calendar** can be found at the EH&S website
**   **

## Asset Management

**Managers are accountable for their own and **
**their employees’ Laboratory assets...**
**Inform employees **of their responsibilities with respect to property
**Determine the need** for an employee to have property assigned to him or her
- Determine and approve **the need for removing property** from the Laboratory
**Correct violations** of policy
- Understand and support the concept of **“individual accountability” for assets**

## Asset Management

**General information can be found at property management website or call John Morgan, Lab’s Property Manager. **
**Resources currently being developed **by Asset Management Department:
- New policies and procedures
- Redefining roles and responsibilities
- Transition to a more decentralized program
- Core curriculum on property management responsibilities and administration

## Cyber Security

- Supervisors must ensure that adequate protections are in place **to protect the confidentiality, integrity and availability of information systems**...

-  **Responsible for ensuring the acceptable use of resources **
**   ****under their purview.  Unacceptable uses include**:
- Gambling, political action, personal financial gain
- View or distribute sexually explicit or offensive material
- Violation of law, including copyright infringement such as
-     illegal use of software licenses

**Notes:**
Like EH&S, cyber security is a line management responsibility

## Cyber Security

**Each Division has a designated point of contact for Cyber Security**

- Or contact the Computer Protection Program at cppm@lbl.gov

- Website address:    www.lbl.gov/IT/Security/

**Notes:**
Like EH&S, cyber security is a line management responsibility

## Publications

**Publication charges and reprints must be requested through Laboratory Library before publication ... **

-  DOE order 241.1 also states must send scientific and technical papers to Library before publication

- For more information call Jane Tierney at x4400 or go to
- http://www-library.lbl.gov

**Notes:**
RPM policy

## Archives

**Records management is mandated by four Federal laws.  Supervisors are responsible for... **

-  Contacting Lab archivist for review and collection of
-   programmatic and institutional records
-  When...
- Office moves
- Terminations
- Retirement
- Periodically to ensure current and appropriate archiving

## Archives

**For more information... **

-  Contacting John Stoner at x6399
-  Go to http://www.lbl.gov/Workplace/RPM/R1.16.html

## Technology Transfer

**Managers must help ensure that all inventions are reported to the Laboratory  **
**---**
**Reporting inventions is a condition of **
**   ****employment at Berkeley Lab**
**   **

**Notes:**
Technology transfer can also be a revenue source for the Division and the PI.

## Technology Transfer

**What is considered an invention...**
- Can be a **new material, device, process, biological material**, etc
**To be patentable**, it needs to be:
-       - Novel (someone hasn’t already invented it)
-       - Non-obvious, and
-       - Useful
**Software **can be patented and/or copyrighted.
-       - Some software is disclosed under “open source” license that
-          provides the source code but does not charge for the software.** **

## Technology Transfer

**The Technology Transfer Department promotes the use of technology to benefit society through...**
**Marketing** Lab inventions and capabilities to private sector
**Evaluating** inventions and software for appropriate intellectual property protection (patents and copyright)
**Licensing** technologies to established companies and to start-ups
- Managing **lab-industry research partnerships**

## Technology Transfer

**   ****More detailed information is available...**
**    ****Technology Transfer Department website**
-     or
**    **
**    ****Call Cheryl Fragiadakis, **Manager of Technology Transfer Department

## Foreign Visitor Issues

**Be aware of issues regarding  hiring of **
**foreign employees and guests...**

-   **J-1 Hire Process**:   For foreign researchers and students coming to Laboratory to work
-    up to 5 years.  Not for career position.
-    -  Laboratory has its own J-1 program, so processing is almost immediate
-   **H-1 Hire Process**:  For foreign professionals coming to Laboratory to work in
-    professional positions. Can be used for career positions.
-    - Must have at least a bachelors degree
-    - Filing fee to immigration office paid for by Division
-    - H-1 does not necessarily mean professional will receive green card
-   **Extension Process**:  Foreign professional is already here, but needs extension.
-     - Personnel Action Form (PAF) triggers extension process

## Foreign Visitor Issues

-  **  **
-   Federal law mandates that Laboratory must provide orientation to
-    foreign guests
-  If foreign guest (not employee) will be at Laboratory less than 90
-   days, **no visa is required if citizen of a visa waiver country**.

**Lab’s International Researchers & Scholars Office (IRSO) must get involved if foreign professional or student will be an employee of Laboratory...**

## Foreign Visitor Issues

-  **  **
-   Delays can occur for the following reasons:
-  **Security check** may be required if coming from a sensitive or terrorist
-     sponsoring country.  Requires a separate approval process and security check
- May be a delay in **U.S. Embassy in their country**
**Background check** may be required.  His/her birth place may be a
-    different/sensitive country.  Can take up to 2 months

**For visa processing, plan 6 months in advance****...**

**IRSO can not speed up the above processes**

## Foreign Visitor Issues

- For questions and assistance, contact Ben Ortega at x6326 at IRSO
- Further information is available at _[www.lbl.gov/Workplace/Human](http://www.lbl.gov/Workplace/Human)_Resources/IRSS

**Common delays** on Laboratory’s end...
-     Budget constraints
-      Evaluating performance

## Unclassified ForeignVisits and Assignments

**DOE order 142.3 regulates foreign national access to Lab...**** **

-  **Sensitive Countries** – The Counterintelligence Office must be notified 30 days in advance if a guest or prospective employee from a sensitive country will be affiliated with the Lab for more than 30 days.
**Terrorist-sponsoring countries** – The Counterintelligence Office must be notified 4-6 months in advance if a guest or prospective employee from a terrorist-sponsoring (T-6) country will be invited to visit or work at the Lab for any length of time.

**Notes:**
Sensitive Country – background check required.  Local lab approval, immediate access

T6 – background check required.  DOE secretarial approval. Access contingent upon DOE approval. 

## Unclassified Foreign Visits & Assignments

**Terrorist-sponsoring (T-5)**

**Sensitive**

## Unclassified ForeignVisits and Assignments

**Most common delays for FV&A process...**** **

-  **Submission of information** – host must justify purpose of visit, need immigration documents, CV and publications, etc. by hosts and foreign nationals
**Identification of hosts** – willing to sponsor foreign nationals from sensitive or terrorists-sponsoring countries.

## Unclassified ForeignVisits and Assignments

**The difference between FV&A and IRSO...**** **

-  **FV&A** – Handles processing sensitive and terrorist-sponsoring visits and/or assignments to **comply with DOE mandated requirements for access to Lab**.  Background checks are required.
**IRSO** – Provides orientation to foreign national guests and handles visa processing for **access into the United States**.  Security checks may be required for individuals from sensitive or terrorist-sponsoring countries.

**Notes:**
Sensitive Country – background check required.  Local lab approval, immediate access

T6 – background check required.  DOE secretarial approval. Access contingent upon DOE approval. 

## Unclassified ForeignVisits and Assignments

**For assistance through the process...**

-  **Contact Maki Tabata at x7572**
**For detailed information on frequently asked questions**
- www.lbl.gov/ehs/security/index.shtml

## Conflicts of Interest

**Managers need to be aware of two general **
**areas where conflicts of interest can occur...**
***Related to Personnel***

| Outside Employment & Business Activities | RPM 10.02 |
| --- | --- |
| Conflicts of Interest for Designated Officials
 | RPM 10.03 |
| Use of Laboratory Property and Supplies
 | RPM 6.02 |
| Procurement Conflict of Interests
 | RPM 6.01 |
| Employment of Near Relatives and Domestic Partners
 | RPM 10.04 |
| Consultants
 | RPM 2.24 |

## Conflicts of Interest

***Related to Research***

| Federal Financial Disclosure | RPM 10.06 |
| --- | --- |
| State of California Disclosure (Form 700U)  | RPM 10.07 |
| CRADA | RPM 10.08 |
| Human Subjects Conflicts of Interest | RPM 10.09 |
| Disclosure of Laboratory Proprietary Information | RPM 10.10 |
| Disclosure of Laboratory Financial Interests Relating to Licensing | RPM 10.11 |
| Independent Substantive Review Committee | RPM 1.24 |

## Lab / UC Issues

**There are areas of management between Laboratory **
**and UC campuses that managers need to be aware of**** ****...**
**Intra University Transfers (IUT’s) **– An IUT must be in place for the exchange of funds between Laboratory and campus
**Cost Benefits Between Lab and Campus **– There can be cost differences when transferring scientists and post-docs between the Lab and UC campuses.
-      - May be scenario where Division doesn’t capture full costs of employee administration
**If you have questions or need to implement one of these actions, **
**contact your Division Resource Analyst**

## Lab / UC Issues

**There are areas of management between Laboratory **
**and UC campuses that managers need to be aware of**** ****...**
**Safety **– If your employee has a safety incident on campus, the recordable still goes on Laboratory stats
-       - Make sure you are aware of the safety conditions on campus
-       - And that your employee complies with campus safety rules
**If you have questions or need assistance in determining any safety issues, **
**contact your Division Safety Coordintor**

## How Did You Do On The Quiz?  

**Any questions?**

**Course is posted at **_[www.lbl.gov/BLI](http://www.lbl.gov/BLI)_**  in BLI Resources section,**
**BLI courses on powerpoint**
- Also posted is a companion **Roles and Accountabilities Course Resources list** with all referenced contact information and websites.