Course Objectives

1. Institutional Roles & Accountabilitiesfor Managers and Supervisors Manager Information ForumKaren RamorinoManager, Berkeley Lab InstituteFor the Finance NetworkDecember 14, 2005

2. 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 Objectives

3. 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 CourseDevelopment The following Laboratory employees contributed to the development of this course …and the many scientists, and technical and operations professionals who provided feedback

4. 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 and AccountabilitiesSummary

5. 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 Roles & AccountabilitiesFinancial Management Managers are accountable for Laboratory’s financial resources

6. Each employee mustinput 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 AllHR 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 Roles & AccountabilitiesFinancial Management Managers are accountable for time…

7. 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 & AccountabilitiesFinancial Management

8. 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# Roles & AccountabilitiesResources