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    Title:

    Affiliates

    Publication date:

    9/1/2021

    Effective date:

    9/1/2021

    BRIEF

    Policy Summary

    Lawrence Berkeley National Laboratory (Berkeley Lab) hosts individuals called affiliates who are not Berkeley Lab employees but engage in a wide range of Berkeley Lab activities. This policy describes the terms and conditions of the affiliate appointment.

    Who Should Read This Policy

    • This policy applies to individuals classified in affiliate appointments as well as Berkeley Lab employees who host affiliates.
    • This policy does not apply to visitors. For a definition of "visitor," please see the Site Security website.

    To Read the Full Policy, Go To:

    The POLICY tab on this wiki page

    Contact Information

    HR Shared Services, [email protected].
    Feedback on HR policies or procedures is welcomed. Send comments to [email protected].

    Title:

    Affiliates

    Publication date:

    9/1/2021

    Effective date:

    9/1/2021

    POLICY

    A. Purpose

    Lawrence Berkeley National Laboratory (Berkeley Lab) hosts individuals called affiliates who are not Berkeley Lab employees but engage in a wide range of Berkeley Lab activities. This policy describes the terms and conditions of the affiliate appointment.

    B. Persons Affected

    • This policy applies to individuals classified in affiliate appointments as well as Berkeley Lab employees who host affiliates.
    • This policy does not apply to visitors. For a definition of "visitor," please see the Site Security website.

    C. Exceptions

    Requests that exceed what is allowed under current policy or that are not expressly addressed by current policy are considered exceptions to policy. A request for an exception to policy requires, at a minimum, the approval of the Chief Human Resources Officer.

    D. Policy Statement

    1. General
      1. Affiliates are individuals invited by an eligible Berkeley Lab host who will engage in Berkeley Lab activities involving research, the use of laboratory facilities, or the provision of a service to Berkeley Lab. The affiliate designation is typically needed when an individual requires a badge for on-site access or Berkeley Lab business systems access. Affiliate categories are defined in Section D.2 of this policy.
      2. Affiliates are not employees of Berkeley Lab and do not have the same rights as employees. As such, affiliates are generally not covered by Berkeley Lab insurance and do not receive Berkeley Lab employee benefits. Berkeley Lab-sponsored affiliates (e.g., retiree affiliates or interns) may be covered by Berkeley Lab's Workers' Compensation plan (for additional information, contact [email protected]). Rights and privileges provided to affiliates are described in Section D.11 of this policy. Furthermore, Section D.12 of this policy describes additional limitations on affiliate appointments.
      3. Affiliate appointments are at the discretion of Berkeley Lab and may be ended at any time by the hosting division.
      4. Affiliate appointments require an eligible host, a supporting sponsoring institution, and a Berkeley Lab business purpose. Exceptions to the sponsoring institution requirement apply only to retiree affiliates and interns.
      5. Affiliates authorized to access controlled substances are subject to a criminal background check in accordance with the U.S. Drug Enforcement Administration requirements.
    2. Affiliate Categories. In general, affiliates fall into one of the following categories:
      1. Users: A User is a researcher who proposes and conducts experiments at a Berkeley Lab scientific facility designated as a user facility by the U.S. Department of Energy (DOE). Users that do not require a badge for on-site access or Berkeley Lab business systems access do not necessitate an affiliate appointment.
      2. Scientific Collaborators: A Scientific Collaborator is an individual who may be engaged in Berkeley Lab-approved research, testing, or analysis either through hands-on activities or through collaborative discussion with Berkeley Lab employees. Included in this category are faculty, postdoctoral fellows, research fellows, and other research professionals from a variety of organizations, including universities or other DOE national laboratories, who are participating in DOE-funded work or joint collaboration.
      3. Students: A Student is an individual who is enrolled in an academic institution and engaged in Berkeley Lab scientific study or is a trainee in a Berkeley Lab internship program. Included in this category are graduate students, undergraduate students, and high school students. For information regarding minors, see Section D.6 of this policy.
      4. Non-Employee Fellows: Individuals receiving a payment to aid in the pursuit of their independent research or studies. See the Non-Employee Payments (Affiliates and-or Visitors) policy for more information.
      5. Consultants: A Consultant is an individual acting on their own behalf who provides expert advisory and/or assistance services of a technical or professional nature on a fee or per diem basis who has entered into a consultant agreement with Berkeley Lab subject to the Consultants to Berkeley Lab, Hiring policy.
      6. Vendors/Subcontractors: A Vendor/Subcontractor is an entity providing goods or services under a subcontract for Berkeley Lab. This category includes construction workers who need site access to execute on a subcontract agreement.
      7. Federal Employees: A Federal Employee is an individual employed by a federal agency who requires access to Berkeley Lab for the execution of their responsibilities. Typically, these would be affiliate appointments initiated and hosted by the DOE Bay Area Site Office (BASO). Federal Employees may provide support to BASO and Berkeley Lab and may require access to the Berkeley Lab site and systems.
      8. Retirees: A Retiree is a former Berkeley Lab or University of California scientist/engineer who has retired from employment. For more information, see Section D.5 of this policy.
      9. Administrative/Operations Collaborators: An Administrative/Operations Collaborator is an individual from a University of California (UC) location, another DOE laboratory, or other entity who requires access to Berkeley Lab facilities and/or systems for operational and administrative support (e.g., UC Berkeley employees supporting joint/shared Faculty and/or Principal Investigators (PIs), other UC Berkeley employees, graduate student advisors, and Lawrence Livermore National Laboratory employees).
    3. Host Eligibility Requirements
      1. Only Berkeley Lab employees and DOE BASO employees may host an affiliate.
      2. Hosts do not need to have "Supervisor" or "Manager" designation; however, hosts must be technically knowledgeable of the activities to be executed by the affiliate during the duration of the appointment to provide effective oversight of the affiliate.
      3. Hosts of foreign national affiliates are subject to the requirements of the Foreign Visits and Assignments policy.
    4. Affiliate Eligibility Requirements. To be eligible for an affiliate appointment at Berkeley Lab, individuals must meet all the following requirements:
      1. Individuals must have an eligible Berkeley Lab host for the duration of their appointment.
      2. Except for retirees and Berkeley Lab-sponsored interns, affiliates must have a sponsoring institution that provides funding support throughout the duration of their affiliate appointment for any compensable activities conducted on behalf of the sponsoring institution.
      3. Individuals employed by a sponsoring institution must be covered by their employer for workers' compensation insurance. All affiliates must have their own health insurance and other pertinent insurance coverage as required (e.g., automobile liability, professional liability) for the duration of their affiliate appointment. Affiliates that are under a Consultant Agreement per the Consultants to Berkeley Lab, Hiring policy (such as an independent consultant or sole proprietorship) where there is no employer serving as a sponsoring institution must adhere to the terms of the subcontract agreement with respect to required insurance coverage.
      4. Individuals must execute all required forms and agreements of Berkeley Lab, the University of California, and the DOE, and these forms must be on file with Berkeley Lab.
    5. Retiree Affiliates. Berkeley Lab may host retired eligible scientific staff who wish to voluntarily donate time and valuable expertise for limited and occasional intellectual engagement in their field of research. Retiree affiliates cannot be used to supplant regular staff employees and may not be used in full-time, long-term assignments. Retiree affiliate appointments may begin immediately after retirement.
      1. Eligibility and Approval
        1. In addition to the eligibility requirements in Section D.4 of this policy, retiree affiliates must be retired Berkeley Lab Scientists and Engineers (as defined by the Appointments, Scientist & Engineer policy) or retired University of California science and engineering faculty.
        2. Retiree affiliates must sign a Retiree Affiliate Acknowledgment.
        3. Retiree affiliate appointments must be approved by the hosting division director.
    6. Minor Affiliates. Berkeley Lab may host students who are under the age of 18 for academic or educational purposes, such as internships. To qualify, per the California Department of Education, the minor must be participating as a trainee in Berkeley Lab activities that are consistent with curriculum provided by their educational institution. The training must benefit the student trainee rather than meet the labor needs of Berkeley Lab and must not displace a regular Berkeley Lab employee.
      1. Eligibility. In addition to the eligibility requirements in Section D.4 of this policy, to be eligible for an affiliate appointment, minors must provide valid documentation showing that they have parental consent and:
        1. Are at least 14 years of age at the start of the appointment;
        2. Are enrolled at an accredited educational institution; and
        3. Are enrolled in a school in California
      2. Approval. Minor affiliate appointments must be approved by the host's division director and the Chief Human Resources Officer.
      3. Reporting Child Abuse and Neglect. Minor affiliate appointments are subject to the requirements defined in the University of California Policy Reporting Child Abuse and Neglect. The affiliate's host and any other individual identified by the host as having regular direct contact with or having responsibility for overseeing the activities of the minor affiliate are designated as mandated reporters and must execute the Statement Acknowledging Requirement to Report Child Abuse form in accordance with the California Child Abuse and Neglect and Reporting Act (CANRA).
        1. Background Checks. Any individuals (including employees, affiliates, and contract workers) who are identified as mandated reporters are subject to criminal background checks at the expense of the hosting division.
      4. Minors in Laboratories and Shops
        1. Minor affiliate appointments assigned to a laboratory setting are subject to the University of California Policy Minors in Laboratories and Shops.
        2. Minor affiliate appointments assigned to areas where ionizing radiation is utilized require clearance from the Environment, Health, & Safety Division's Radiation Protection Group. Berkeley Lab does not permit minors access to any area where an annual radiation dose may exceed 100 mrem.
    7. Foreign Nationals
      1. Foreign national affiliates require processing in accordance with Berkeley Lab's Foreign Visits and Assignments policy.
      2. Determination of valid identification and work authorization to support the affiliate eligibility status of a foreign national will be made by Berkeley Lab's International Researchers and Scholars Office for affiliates who will be physically located in the United States during their appointment.
    8. Duration. Although there is no maximum affiliate appointment duration, initial appointments are established for up to 12 months and may be renewed in 12-month periods contingent upon continued eligibility as defined in sections D.3, D.4., D.5.a., and D.6.a of this policy.
    9. Host Responsibilities
      1. Hosts are responsible for complying with all conditions set forth in this policy.
      2. Hosts must follow all Berkeley Lab access verification processes and ensure proper approvals are granted prior to requesting or granting access to anyone.
      3. Hosts must inform affiliates of Berkeley Lab's expectations regarding training, safety, security, operations, policies, and procedures.
      4. In addition to promoting a positive safety culture, hosts must ensure that the affiliate's safety training is appropriate to the anticipated exposure to hazards and that it has been completed or will be completed before any anticipated potential for exposure at Berkeley Lab, as determined by the hosting division in accordance with the applicable work authorization process.
      5. Hosts must have general technical knowledge of the activities to be executed by the affiliate during the duration of the appointment, and must ensure that these activities are consistent with the mission of Berkeley Lab and its performance of the DOE prime contract.
      6. Hosting Minors
        1. Hosts sponsoring minor affiliates must execute the Statement Acknowledging Requirement to Report Child Abuse form in accordance with the CANRA California law per section D.6.c of this policy.
        2. Hosts sponsoring minor affiliates are responsible for identifying employees and individuals who regularly encounter minors in the course and scope of their employment.
      7. Hosts must create a research environment that is conducive to learning and collaboration.
      8. Hosts are responsible for reviewing and ensuring the proper access and use of Berkeley Lab facilities, information, resources, and assets by their sponsored affiliates for Berkeley Lab-related activities. In order to ensure adherence to financial stewardship principles, hosts are responsible for preventing improper private benefit or private use of Berkeley Lab resources by their affiliates.
      9. Hosts are responsible for ensuring that affiliates do not make unauthorized financial commitments on behalf of Berkeley Lab.
      10. Hosting Foreign Nationals
        1. Hosts of foreign nationals are required to comply with their responsibilities as outlined in the Foreign Visits and Assignments policy.
        2. Hosts of affiliates with J-1 (Exchange Visitor Program) visas are responsible for complying with conditions set forth by the U.S. Department of State.
      11. Hosts must report changes to an affiliate's sponsoring institution and/or funding support to Human Resources for assistance with evaluating the continued eligibility of the affiliate appointment. To extend an affiliate appointment, hosts must validate the affiliate's ongoing relationship with the sponsoring institution and the Berkeley Lab business purpose.
      12. Upon the conclusion or termination of an affiliate appointment, the host must ensure that any Berkeley Lab information, data, assets and property (including Berkeley Lab issued ID badge and parking permit as applicable, keys, biological materials, laptops, or data storage) are collected from the affiliate and returned to Berkeley Lab.
    10. Affiliate Responsibilities
      1. Affiliates must comply with all applicable policies, procedures, instructions, and requirements, and execute all required forms and agreements of Berkeley Lab, the UC, and the DOE, as well as any requirements of their sponsoring institution. Failure of affiliates to carry out or adhere to their responsibilities, including those in this policy, may result in loss of affiliate status and/or eligibility to return in the future.
      2. Affiliates must ensure that they maintain a valid sponsoring institution (except for retiree affiliates and Berkeley Lab-sponsored interns), adequate funding support, workers' compensation coverage where applicable, and medical and other mandated insurance. If there are any changes to the sponsoring institution or funding support, affiliates must notify their host accordingly.
      3. Affiliates must complete all appropriate safety training in accordance with applicable work authorization protocols and shall inform their host if they are assigned to perform work for which they are not properly trained or qualified.
      4. Affiliates must conduct themselves in a manner appropriate for a business environment, including treating all others with respect and professionalism.
      5. Affiliates must exercise effective stewardship of Berkeley Lab assets, property, information, and data in their control, and shall take reasonable actions to safeguard against theft, loss, misuse, and disruption.
      6. Affiliates must assure that only authorized individuals have access to Berkeley Lab facilities, information, resources, and assets.
    11. Affiliate Rights and Privileges
      1. As contributors within the Berkeley Lab community, affiliates are protected by Berkeley Lab, UC, and DOE policies that promote a safe workplace.
      2. Site Access. Access to Berkeley Lab facilities and systems are permitted in accordance with the Site Access policy.
      3. Badging. Affiliates who are on-site must be issued a Berkeley Lab identification badge and must adhere to the Site Access policy.
      4. Parking. Affiliates may be eligible for on-site parking in limited circumstances in accordance with the Parking at Berkeley Lab policy.
      5. System Accounts. All affiliates, except facility users, will be issued an email account.
      6. Travel: Affiliates may travel and/or attend conferences at Berkeley Lab's request and for Berkeley Lab business in accordance with the Travel Policy and Reference Guide.
      7. Space. Affiliates may be provided with an office or Berkeley Lab space and/or the use of other Berkeley Lab resources and services for Berkeley Lab-related activities as determined appropriate by the hosting division.
    12. Affiliate Limitations. Limitations of the affiliate appointment include but are not limited to the following:
      1. Affiliate Identification
        1. Affiliates may represent themselves only as Berkeley Lab "affiliates" to internal or external parties in all communications and documents.
        2. Affiliates may not represent themselves as employees of Berkeley Lab to internal or external parties.
        3. Affiliates may not represent themselves as agents or representatives of Berkeley Lab to internal or external parties nor make financial commitments on behalf of Berkeley Lab unless authorized by contract.
      2. Affiliates may not have Principal Investigator (PI) or Project Manager status on any Berkeley Lab projects. In addition, budgetary management authority and accountability may only be held by Berkeley Lab employees as described in the Financial Management Core Principles policy.
      3. In recognition that Berkeley Lab is a public entity and a steward of public trust, affiliates may not use Berkeley Lab assets, resources, or facilities for more than incidental private use or to improperly benefit a private entity or private party. Affiliates must observe the requirement for full cost recovery (that is, all projects will bear their fair share of applicable indirect burdens) for funded research projects and use of Berkeley Lab facilities.
      4. Affiliates may not be the custodian of record of any Berkeley Lab assets such as computers. Hosts may designate the affiliate as a user of an asset, but must assign a Berkeley Lab employee as the custodian of record. The host must ensure that all property is returned to Berkeley Lab upon termination of the affiliate appointment.
      5. Affiliates may not supervise Berkeley Lab employees or contract workers.
      6. With the exception of employees of the DOE Bay Area Site Office (BASO), affiliates may not host other affiliates and are not authorized to invite or host visitors. Any visitor request must be initiated by the affiliate's host.
      7. Affiliates are prohibited from participating in a Foreign Government-Sponsored Talent Recruitment Program of a Country of Risk as determined by DOE Order 486.1A, Foreign Government Sponsored or Affiliated Activities.

    E. Roles and Responsibilities

    See above.

    F. Definitions/Acronyms

    Term/Acronym

    Definition

    Affiliates

    Individuals who are not Berkeley Lab employees but are engaged in a wide range of Berkeley Lab activities involving laboratory research, the use of Laboratory facilities, or the provision of a service to Berkeley Lab. Affiliates are subject to training in safety and other subjects. They are also issued a Berkeley Lab identification badge. Affiliates may receive system accounts, research access to facilities, and/or a per diem allowance for housing and living expenses.
    Examples: Facility users, scientific collaborators, students

    Controlled Substances

    Controlled substances as defined in Schedules I-V of the Controlled Substances Act (21 United States Code [USC] §812) and 21 Code of Federal Regulations (CFR) 1308

    Foreign National

    An alien. For the purposes of DOE O 142.3A or its associated Contractor Requirements Document (CRD), a foreign national is a person who was born outside the jurisdiction of the United States, is a citizen of a foreign government, and has not been naturalized under U.S. law.

    Host for Purposes of Affiliate Appointments

    For purposes of affiliate appointments, hosts are Berkeley Lab employees and DOE Bay Area Site Office employees authorizing and coordinating affiliate appointments. Hosts are responsible for the activities and conduct associated with the successful accomplishment of an affiliate appointment visit. Hosts must provide oversight and ensure compliance with all requirements for site access approval.

    Sponsoring Institution

    For purposes of affiliate appointments, sponsoring institutions may be the home institution, employer, or other agency providing financial support to ensure appropriate payment and liability coverage for workers' compensation and health insurance. For students, the university/academic institution they attend may serve as the sponsoring institution provided the academic program includes a stipulation that the activity while in the affiliate program is for academic or educational training purposes.

    User Facility

    A User Facility is a federally sponsored research facility available for external use to advance scientific or technical knowledge.

    G. Recordkeeping Requirements

    None

    H. Implementing Documents

    See the HR Shared Services website for affiliate-related documents and information.

    I. Contact Information

    HR Shared Services, [email protected].
    Feedback on HR policies or procedures is welcomed. Send comments to [email protected].

    J. Revision History


    Date

    Revision

    By Whom

    Revision Description

    Section(s) Affected

    Change Type

    10/21/2016

    0

    K. Ramorino

    New policy – Split out from Site Access policy

    All

    Major

    9/1/2021

    1

    W. Crosson

    Rewrite to address gaps in the previous version of the policy, provide clarification on compliance, and mitigate institutional risk. Key revisions cover and expand on a variety of provisions such as types of affiliate engagements, affiliate and host eligibility and responsibilities, and affiliate rights and limitations.  

    All

    Major

    DOCUMENT INFORMATION

    Title:

    Affiliates

    Document number

    02.03.014.000

    Revision number

    1

    Publication date:

    9/1/2021

    Effective date:

    9/1/2021

    Next review date:

    9/1/2026

    Policy Area:

    Types of Appointments

    RPM Section (home)

    Human Resources

    RPM Section (cross-reference)

    none

    Functional Division

    Human Resources

    Prior reference information (optional)

    RPM Site Access policy. Replaces current Foreign Visitors and Assignments – B / RPM 1.06 (B)(4).

    Source Requirements Documents

    None

    Implementing Documents

    None



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