# Presentation: 190289

## Supervisor Training

- Mentoring –C. Tsang and S. Hubbard
- Safety – J. Geller
- Employee Relations – K. Green
- Hiring Practices – Y. Tsang

## Supervisor Mentoring Responsibilities for 

**Early-Career**
**Scientific New Hires**
**Early career new hires include postdocs and junior scientists with career or term positions **

## Mentor 

- Ideally, a mentor is a researcher who has reached sufficient career maturity, and who counsels and guides another for the purpose of helping him or her achieve success in their professional career.
- Mentoring will help new scientists develop to the best of their abilities, enhance the scientific standard of ESD and help ESD to retain good scientists

## Supervisor Responsibilities

- In ESD, supervisors are accountable for making sure that early career newhires receive proper mentorship for at least their first three years in the division.
- Mentorship need not come exclusively from supervisor; in some cases, others may serve as an alternative or supplementary mentor.
- Mentoring will be recognized on P2Rs for all newhire supervisors in 2005, and evaluation of those criteria will be based on feedback from the mentoree.

## Aware of ESD and LBNL policies and metrics;
Developing into capable and independent scientists; and
Receiving professional development and career guidance when appropriate.

- Developing into capable and independent scientists; and
- Receiving professional development and career guidance when appropriate.

- Mentorship Objectives
- The primary mentor goals are to ensure that new scientists are:

## 1. Introducing mentoree to LBNL and ESD

- Introduce new hire to ESD organizational structure and key staff and management following the *ESD New Employee Handbook*;
- Inform new hire of LBNL EH&S policies and emergency protocols following the *ESD New Employee Handbook*;
- Inform new hire about professional metrics;
- Introduce new hire to ESD senior scientists and more mature staff, who can advise new hire or act as supplementary mentors;
- Inform new hires about department meetings and seminars.

## Examples of New-hire Scientific-Level Metrics

- Publish a minimum of 2 peer-reviewed journal papers per year;
- Effective research for ESD projects; write or contribute to new research proposals;
- Cooperate with other staff and work with supervisor to develop career plans

## Mentor Resources: ESD Senior Staff

- John Apps
- Bo Bodvarsson
- Terry Hazen
- Iraj Javendel
- Greg Newman
- Karsten Pruess
- Tetsu Tokunaga
- Chin Fu Tsang
- Yvonne Tsang

## 2. Professional Development: Scientific Growth and Project Development

- Encourage independent research ideas and assist with research **project development**;
- Inform mentorees of **funding opportunities** and encourage and assist mentoree to develop proposals and participate with others in developing proposals;
- Encourage mentorees to **participate in conferences** and workshops and review presentation material prior to conference;
- Encourage and work with the mentoree in the preparation of scientific journal **manuscripts****;**
- Assist mentoree in **recognizing their strengths**, and in enhancing and expanding their current area of research;
- Assisting mentoree in **recognizing weaknesses** and suggest ways to address them.

## 2. Professional Development: Communication skills these skills are needed to effectively interact and cooperate with fellow scientists, program managers, and others.

- Help mentoree develop presentation skills;
- Help mentoree to seek advice from and collaborate with others;
- Introduce and promote mentoree to others in and out of ESD. For example, when attending meetings together, the mentor should strive to introduce the trainee to active scientists in the research field and to program managers;
- Help the mentoree learn to train and guide others, such as students.

## 3. Career guidance

- Assist mentoree in finding ‘place’ in organization;
- Counsel mentoree on professional opportunities within ESD or elsewhere, as appropriate.

## Some Supervisor Responsibilities

- Probationary period: 6 months for career employee.
- Develop personnel file – keep records of good work and areas that need improvement;
- Don’t inflate grades to be encouraging – give honest reflection of what individual has accomplished over full review cycle. Recognize that continuous improvement is possible over career, and give both positive feedback and suggestions for improvement.
- Consult with ESD management and HR when personnel problems arise;
- Develop PIP (performance improvement plans) when problems arise;
- Do not engage in inappropriate discussion about employees (or ex-employees). Strive to keep interactions about people at highest, professional level.

## Mentoring Stages

- Mentoring often consists of different stages that correspond to the mentoree’s learning and growth needs: Initial, Developing, and Collaborative Stages.
- The time that is necessary to interact with the mentoree depends on the stage of the mentorship.
_**Initial Stage**_**.** During this first stage, an early-career new hire may require a reasonable amount of support and instruction, so that they can effectively participate in ESD’s projects and ‘learn the ropes’ within ESD.
**During this time period, mentors should meet with the mentorees ****at *****least once a week.***

## Development Stage

- During this stage, mentorees have gained experience and familiarity with ESD, but may require direction in certain areas. Mentors should encourage the development and visibility of the mentoree during this stage.
- Mentors should meet with the mentoree at least *once a month*. The mentor should be readily available to the mentoree to answer questions and to discuss future research direction.

## Collaborative Stage

- By this stage in the process, the mentoree often has mastered many skills, attained a good degree of professional maturity, and has the ability to work together with the mentor to jointly solve problems and participate in projects on a collegial level.
- Mentors should step back and allow more scientific independence, and treat mentoree as equal.
- This may also be an appropriate stage to advise with professional development and career plans, as well as to promote mentoree to gain professional recognition.

## Discussion

- Questions?
- Checklists
- Suggestions/Comments?

## Supervisor’s ES&H Responsibilities 

- Supervisors are part of “line management” and are responsible and accountable for supervisee’s health and safety
- If employee is injured
- Report incident to Health Services
- Prepare “Supervisor’s Accident Analysis Report” (SAAR)
- Ensure your supervisee
- Understands ESD’s and LBNL’s Integrated Safety Management (ISM) Plan.
- Takes the Job Hazard Questionnaire within 30 days of hire, retakes *before *beginning new work, and annually.
- Completes required training before working without supervision.
- Has an ergo evaluation of workstation when newly hired, moves to new location, and at earliest sign of discomfort.
- Implements ergo recommendations - Supervisor “closes-out” evaluation in ergo database.

## Supervisor’s ES&H Responsibilities 

- ESD employees often work on projects for PIs that are not their supervisors - Supervisor is still responsible to ensure supervisee understands the hazards of their work environment and implements controls.  You should:
- Communicate with the other PIs and supervisee to understand supervisee’s hazard exposure, visit their work locations.
- Ensure your supervisee knows about required work authorizations and ESD policies.  Specific ESD policies include
**Labspace Lead PI and Lab User Responsibilities** - all new work in an ESD lab must be cleared by the Labspace Lead
**Offsite Safety & Environmental Protection Plan** must be prepared by PI, read and signed by all participating staff BEFORE going to field

## ES&H Resources

- Bookmark ESD’s ES&H website, link from ESD home page
*	**Links to ESD’s ES&H policies & procedures, ISM plan, other resources*
- LBNL’s EH&S Divison website *(www.lbl.gov, a-z index, “e”)*
- Division Safety Coordinator - Jil Geller
- EH&S Division Liason to ESD - Rob Connelly
- ESD’s “EH&S at a Glance”
- LBNL’s **EMERGENCY RESPONSE GUIDE **(*red flip chart posted in all work areas)*
- EH&S 020 - ES&H training for Supervisors
*“**Line Management is accountable for the protection of the public, the workers and the environment and are responsible for integrating ES&H into the work and for ensuring active, rigorous communication up and down the management line with the work force.”  Chapter 1, Pub 3000.*

## Labor/Employee Relationsat LBNL

## Supervisor Role vs. Matrix/Lead Role

- Supervisor
- Acts as agent of the Laboratory
- Has authority to hire and fire
- Evaluates employee performance
- Issues disciplinary action
- Matrix Supervisor or Lead
- Does not have authority to hire or fire
- Provides day-to-day oversight of work and guidance to workers
- Provides input on employee’s performance and conduct to supervisor

**Notes:**
Many areas at the Lab are matrix environments, and this adds a level of complexity to addressing employee issues.

The supervisor of record and the matrix supervisor or lead should work closely together on any issues that arise.

It is particularly important that they avoid giving different messages to the employee regarding performance or conduct issues.

## Managing Performance and Conduct

- Supervisors are expected to:
- Set clear, achievable performance expectations
- Evaluate performance objectively and honestly
- Know what rules apply (RPM or union contract)
- Apply the rules fairly and consistently
- Take action when employees do not follow the rules or do not perform to a satisfactory level
- Document all actions taken
- If it’s not written down, it didn’t happen!

**Notes:**
You have to apply rules to your worst employee the same as you would for your best employee. For example, if you are tracking tardiness for an employee who never gets his work done on time, you can’t look the other way when your star performer comes in late.

## Probationary vs. Career Status

- Probationary Period
- Generally six months but may be extended under certain circumstances
- Employee may be released for any reason so long as it’s not an illegal reason (discrimination, retaliation)
- No right to file grievance or formal complaint
- Career Status
- In the UC system, career employees have property interests in their positions (by state law)
- Property interest can only be overcome with proof that the Lab’s interest in meeting its mission and managing its workforce effectively is being impaired.

## Release of Other Non-career Employees

- Limited employees, students and rehired retirees
- Can be done without notice at any time at the discretion of the Lab
- If the reason is misconduct, issue should still be investigated
- Term Appointees
- Performance or conduct problems: follow same procedures as for career employees
- Shortage of funding or work: notice is required
- Check offer letter for contingency language

## Contract Labor

- Contract Labor workers are employed by an agency, not by the Lab
- We don’t interview them—we tell the agency what we need and they decide which person fits those needs
- We don’t hire them—we request services under the contract
- We don’t fire them—we end their contracts by calling their agency
- We don’t supervise them—we oversee the work
- We don’t counsel or discipline them—we call their agency for a replacement if our needs are not being met

## Conduct vs. Performance

- Conduct = behavior
- A matter of choice, presumably under employee’s control
- Correction requires the proper incentive (discipline)
- Performance = competence
- Not a matter of choice (we all want to do well)
- Addressed through a Performance Improvement Plan

## Addressing Conduct Issues

- Investigation
- Don’t take action until you know the facts
- LER/HR Center conduct investigation and provide report
- Progressive Discipline
- Purpose is to correct behavior, not to punish
- Multiple steps of increasing severity; begin with lowest level necessary to motivate employee to change
- Move to next level if behavior repeated
- Dismissal is last resort if all else fails
- Very serious infractions may not require progressive discipline

**Notes:**
Investigatory leave may be used in some situations. Generally it is only used in cases where the employee would likely be dismissed if the allegations were true, or in cases where the employee’s continued presence would hamper the investigation.

Infractions such as stealing, violence, embezzlement, etc. are likely to result in dismissal without prior discipline.

## Questions?

## ESD Scientific Staff Hiring Process

- Hiring of postdoctoral fellows, scientists, staff scientists, all needs signed off by Department Head and Division Director

- Hiring forms for

- Department Head
-   Opens and Posts Position
-   Submits Candidate Package to PSC

- Division Director
-   Receives Recommendation from PSC
-   Final Action Directive to HR

- Professional Staff Committee (PSC)
- Evaluate Candidate Package from Department Head
- Make Recommendation to Division Director

- Supervisor/Program Lead

## Candidate Package for PSC Evaluation

- Common to hiring of all scientific staff
- Posted position description
- Selected candidate CV
- Recommendation letters (3)
- Department Head’s assessment and justification for selection of the candidate for hire (memo to Division Director)
- Specific to career (non-term) scientific staff
- Department Head appoints search committee
- Memo from chair of search committee of the competitive process resulting in the recommendation of the selected candidate to the Department Head

## Promotion/Reclassification of Staff

- Supervisor should act in the best interest of the supervisee’s career development
- Supervisor to keep tab that the position description of the supervisee closely reflects what he/she actually does
- Supervisor and Department Head pay attention to the fact that the responsibilities of the supervisee (job description) match the job category the supervisee is in