1. Human Resources Department BERKELEY LAB INSTITUTE 1 Institutional Roles & Accountabilities for Managers and Supervisors Manager Information Forum Karen Ramorino Manager, Berkeley Lab Institute For the Finance Network December 14, 2005

2. Human Resources Department BERKELEY LAB INSTITUTE 2 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

3. Human Resources Department BERKELEY LAB INSTITUTE 3 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

4. Human Resources Department BERKELEY LAB INSTITUTE 4 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

5. Human Resources Department BERKELEY LAB INSTITUTE 5 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

6. Human Resources Department BERKELEY LAB INSTITUTE 6 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…

7. Human Resources Department BERKELEY LAB INSTITUTE 7 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

8. Human Resources Department BERKELEY LAB INSTITUTE 8 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#