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REQUIREMENTS AND POLICIES MANUAL

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Affiliates

    Title:

    Affiliates

    Publication date:

    10/21/2016

    Effective date:

    10/21/2016

    BRIEF

    Policy Summary

    Berkeley Lab allows non-Berkeley Lab employees to engage in Berkeley Lab activities on or off site. These individuals are not employees, but may engage in Berkeley Lab activities within the terms and conditions of this policy.

    Who Should Read This Policy

    • This policy applies to all individuals who are non-Berkeley Lab employees but are engaged in Berkeley Lab activities on or off site.
    • This policy does not apply to short-term (casual) visitors who:
      • Are visiting Berkeley Lab for a week (or up to two weeks if approved by the Protective Services Security Manager) and
      • Are not engaged in Berkeley Lab research or are not using Berkeley Lab facilities

    To Read the Full Policy, Go To:

    The POLICY tab on this wiki page

    Contact Information

    HR Shared Services Manager
    Human Resources
    hrsc@lbl.gov

    Title:

    Affiliates

    Publication date:

    10/21/2016

    Effective date:

    10/21/2016

    POLICY

    A. Purpose

    This policy describes requirements for affiliates at Lawrence Berkeley National Laboratory (Berkeley Lab).

    B. Persons Affected

    • This policy applies to all individuals who are non-Berkeley Lab employees but are engaged in Berkeley Lab activities on or off site.
    • This policy does not apply to short-term (casual) visitors who:
      • Are visiting Berkeley Lab for a week (or up to two weeks if approved by the Protective Services Security Manager) and
      • Are not engaged in Berkeley Lab research or are not using Berkeley Lab facilities

    C. Exceptions

    Requests for exceptions 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 minimum, Chief Human Resources and Diversity Officer (CHRO) approval.

    D. Policy Statement

    1. General
      1. Visits to Berkeley Lab by employees or representatives of other organizations or companies are an important element of scientific collaboration, knowledge exchange, and technology transfer. These visits are also an opportunity for Berkeley Lab to meet its educational and public service objectives. To facilitate these objectives, certain individuals may be given affiliate status.
      2. Affiliates are non-Berkeley Lab employees who are engaged in Berkeley Lab activities on or off site and who fall into one or more of the following categories:
        1. Users: Individuals visiting Berkeley Lab to use Berkeley Lab facilities.
        2. National Energy Research Scientific Computer Center (NERSC) Users: Individuals visiting Berkeley Lab to use NERSC.
        3. Scientific Collaborators: Individuals visiting Berkeley Lab who are 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 and graduate students from other University of California (UC) facilities and other educational institutions, students, postdoctoral fellows, research fellows, and other professionals having adequate training and experience and meeting high professional standards in their fields.
        4. Student Affiliates: Individuals who are students enrolled in an academic program under the direct supervision of a host within the division to which the student is assigned.
        5. Nonscientific Employees: Individuals who are employees of temporary employment services/agencies or subcontractors and have been assigned to Berkeley Lab as their place of work.
        6. Consultants: Individuals who have entered into a consultant agreement with the Laboratory under the Hiring Consultants of Berkeley Lab policy.
      3. Affiliate status does not confer UC/Berkeley Lab employee status or any benefits that would come from that status.
    2. Obtaining Affiliate Status
      1. The host must determine the type of affiliate and required agreements if applicable.
        1. Users: A formal user agreement must be executed between the Laboratory and the user's employer, which includes the user.
        2. NERSC Users: A formal user agreement must be executed between NERSC and the user or the principal investigator responsible for the user. Such an agreement must comply with applicable policies established by NERSC and approved by the U.S. Department of Energy (DOE) Office of Energy Research. Information on obtaining allocations of NERSC resources may be found at the NERSC Accounts & Allocations page.
      2. Affiliates participating in on-site activities are issued an ID badge by Berkeley Lab's Badging Office. For Advanced Light Source (ALS) users, badging is through the ALS User Services Office.
      3. If the affiliate status is terminated prior to the appointment end-date and the individual is from a sensitive or terrorist-sponsoring country, the host or hosting division must notify Protective Services in a timely manner to comply with DOE reporting requirements.
      4. All affiliates must execute the Affiliate Intellectual Property Acknowledgment agreement form. Employees of the UC Regents who are working at another campus or Berkeley Lab location and users of Berkeley Lab user facilities covered by a formal agreement, described in Section D.4.f of this policy, are not required to execute a patent agreement.
    3. Division Responsibilities
      1. Initiating Appointments: The Berkeley Lab host and hosting division are responsible for initiating an affiliate appointment with Human Resources or the Advanced Light Source (ALS) User Services Office for ALS users and for ensuring that their affiliates are aware of and comply with applicable Berkeley Lab policies.
      2. Authorizing Appointments
        1. Application for approval of affiliate status is made via the appropriate process and authorized by the Berkeley Lab host or designee in the hosting division. The request is submitted to Human Resources before the affiliate's arrival to ensure appropriate processing and clearance as applicable. The Human Resources Department or designated appropriate administrative office establishes communications with the prospective affiliates and works with the Berkeley Lab host or designee in the hosting division to facilitate administrative procedures needed before the affiliate's arrival at Berkeley Lab, including coordination with Protective Services for security clearances as required.
        2. Human Resources will notify the host when the end date of the affiliate's appointment is approaching. It is the responsibility of the host to communicate to Human Resources in a timely manner if the appointment is to be extended or ended as scheduled. If extended, it is the responsibility of the host to ensure that the nature of the affiliate's activities still warrants continued affiliate status.
      3. Affiliate Approval: Approval of affiliate status is based on the following criteria:
        1. The affiliate meets Berkeley Lab activity criteria for affiliates as listed in Section D.1.a and Section D.1.b of this policy.
        2. The affiliate is covered by a formal agreement with the Laboratory satisfying intellectual property requirements.
        3. The affiliate qualifies for workers' compensation insurance through a source other than Berkeley Lab.
        4. Safety training appropriate to the anticipated exposure to hazards 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 Work Planning & Control (WPC) protocols.
        5. The requirements of Section D.6, International (Non-U.S. Citizen) Affiliates, of this policy are satisfied if the affiliate is a foreign national.
        6. The affiliate may not be the custodian of record for any Berkeley Lab assets. Divisions may designate the affiliate as a user of an asset, but must assign a Berkeley Lab employee to be the custodian of record. The host must ensure that all property is returned to Berkeley Lab upon termination of the affiliate assignment.
      4. Contractual Agreements: Human Resources will present agreements for affiliates to complete, including an Affiliate Intellectual Property Acknolwedgment form and Affiliate Agreement. Human Resources will coordinate with the Innovations and Partnerships Office (IPO) as needed in circumstances requiring negotiation with an affiliate on modifications to the Affiliate Intellectual Property Acknowledgment form. User facilities may also require their affiliate users to complete a user agreement as applicable.
      5. Identification: An ID badge is issued for affiliates requiring site access.
      6. Safety Information: Human Resources will have affiliates complete the Environment/ Health/Safety (EHS) Agreement, outlining the affiliate's responsibilities for complying with safety policies and the requirement to complete all applicable safety training. The hosting division is responsible for ensuring that applicable WPC procedures are applied and safety training is assigned based on the affiliate's activities.
      7. Parking: Refer to the Parking at Berkeley Lab policy.
    4. Affiliate Responsibilities
      1. Access to the Laboratory is subject to the willingness and ability of non-employees to comply with all relevant policies, procedures, instructions, and requirements of Berkeley Lab, UC, and DOE, all of which extend from the Berkeley Lab host and hosting division to the affiliate.
      2. Affiliates must at all times meet the affiliate approval criteria referenced in Section D.3.c to Section D.3.g of this policy, and remain in continual contact with host or designee on all aspects of policies, procedures, instructions, and requirements that are applicable to the affiliate's Berkeley Lab activities.
      3. Affiliates must take all responsible precautions in the performance of work at Berkeley Lab to protect their own and others' health and safety and to protect the environment.
      4. Affiliates must adhere to the Workplace Substance Abuse policy, Berkeley Lab's policy on substance abuse in the workplace. This policy states, in part:

        The Laboratory strives to maintain a work site free from the illegal use, possession, or distribution of alcohol; or of controlled substance as defined in Schedule I-V of the Controlled Substances Act (21 USC 812) and 21 Code of Federal Regulations 1308. Unlawful manufacture, distribution, dispensing, possession, use, or sale of alcohol or of controlled substances by employees and affiliates in the workplace, on Laboratory premises, at official Laboratory functions or on Laboratory business is prohibited. Unauthorized possession, use, or consumption or being under the influence of alcohol on Laboratory premises is prohibited. In addition, employees and affiliates may not use illegal substances or abuse legal substances, including alcohol, in a manner that impairs work performance, scholarly activities, or student life.

      5. If eligible for parking based on criteria outlined in the Parking at Berkeley Lab policy, the affiliate must display a temporary parking permit issued by Protective Services and is subject to the parking regulations established by Berkeley Lab policy.
      6. Intellectual property information brought to Berkeley Lab is protected in accordance with the policy stated in the Nondisclosure Agreements policy.
      7. Affiliates must complete the Affiliate Intellectual Property Acknowledgment Form as required in Berkeley Lab's Intellectual Property Acknowledgment Policy.
      8. 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 work, as arranged by the Berkeley Lab host and/or host division. Affiliates may not be the custodian-of-record of any Berkeley Lab assets.
      9. Affiliates must return all property to the host or division designee upon termination of the affiliate assignment.
      10. Failure of affiliates to carry out or adhere to their responsibilities, including those in this policy, may result in loss of access privileges.
    5. Affiliate Departure
      1. Expiration of Appointment: Upon expiration of an approved appointment and any subsequent extensions, the affiliate must surrender to the host or host designee any parking permit, dosimeter, ID badge, keys, or other administrative material as part of the departure procedure. Items may be returned to: the Protective Services Department, the affiliate's host/supervisor, the host division office, Human Resources, or any ID badge return box. Failure to surrender the material may result in the loss of future access privileges.
      2. Termination of Affiliate Status: The affiliate status of an individual terminates automatically on the appointment end date documented in the Human Resources Information System (HRIS) record. If the affiliate status is terminated prior to the scheduled and approved appointment end-date, the host or designee must notify Human Resources in a timely manner so that the affiliate appointment termination is processed accordingly. It is the responsibility of the host to ensure the return of the affiliate's ID badge, parking permit, and any other Berkeley Lab property provided to the affiliate. If the affiliate is from a sensitive or terrorist-sponsoring country, the host or hosting division must notify
        Protective Services in a timely manner to comply with DOE reporting requirements.
    6. International (Non-U.S. Citizen) Affiliates
      1. In accordance with DOE O 142.3A, Unclassified Foreign Visits and Assignments Program, international affiliates must provide sufficient documentation of immigrant or non-immigrant status to verify the foreign national's identity, eligibility to be in the United States, and authority to work, when applicable, for the activities involved.
      2. All documents presented must be valid and unexpired before issuing a badge to an international affiliate. Affiliate appointment end-dates should not exceed the expiration dates that appear on the affiliate's immigrant or non-immigrant status documentation, with the exception of a remote affiliate located outside of the United States.
      3. Sensitive Countries: Individuals who are citizens of, were born in, or are affiliated with (i.e., employed or sponsored by) sensitive countries are subject to the requirements of DOE O 142.3A if they require access for 30 days or more. Protective Services is provided with a prospective affiliate's citizenship and country information and will initiate any required clearance process, which may include obtaining additional information from the host, hosting division, and/or prospective affiliate. Sensitive-country foreign nationals are approved locally by Berkeley Lab executive approval and may be issued a badge after such approval. For a current list of sensitive countries, contact Protective Services or visit the Laboratory's Sensitive Countries list.
      4. Terrorist-Sponsoring Countries (T-3): Individuals who are citizens of, were born in, or are affiliated with (employed or sponsored by) terrorist-sponsoring countries are subject to the requirements of DOE O 142.3A and must be processed in accordance with applicable clearance requirements. Protective Services is provided with a prospective affiliate's citizenship and country information and will initiate any required clearance process, which may include obtaining additional information from the host, hosting division, and/or prospective affiliate. For a current list of terrorist-sponsoring countries, contact Protective Services or visit the Laboratory's Terrorist-Sponsoring Countries page.
      5. Affiliates from sensitive or terrorist-sponsoring countries who have become naturalized U.S. citizens are not subject to DOE foreign national requirements. They must, however, adhere to all other Berkeley Lab access and training requirements.

    E. Roles and Responsibilities

    Managers, supervisors, and employees have the responsibility to adhere to the provisions of this policy.

    Role

    Responsibility

    Human Resources

    Ensures that affiliate is assigned into the appropriate category

    Division

    • Ensures that affiliate status is properly approved
    • Ensures that affiliate understands responsibilities
    • Ensures that affiliate completes any necessary training

    Affiliate

    • Provides necessary documentation to secure affiliate status
    • Completes any required training
    • Adheres to DOE and UC requirements, and to Berkeley Lab policies and procedures

    F. Definitions/Acronyms

    Term

    Definition

    Affiliates

    Affiliates are non-Laboratory employees engaged in on or off-site Laboratory activities and fall into one more of these categories: users, National Energy Research Scientific Computer Center users, scientific collaborators, nonscientists, and consultants. Affiliates do not confer University/Laboratory employee status or any benefits that would come from that status. Affiliates have a Laboratory host and are required to comply with all relevant policies, procedures, instructions, and requirements of Berkeley Lab, UC, and DOE, including training in safety and other subjects. Affiliates are issued a Berkeley Lab identification badge, and at the host's discretion, may receive system accounts, research access to facilities, and a per diem allowance for housing and living expenses. Affiliate status does not apply to short-term (casual) visitors who are visiting the Laboratory for a short period of time.

    T-3

    Terrorist-sponsoring countries

    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 Manager
    Human Resources
    hrsc@lbl.gov

    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

    DOCUMENT INFORMATION

    Title:

    Affiliates

    Document number

    02.03.014.000

    Revision number

    0

    Publication date:

    10/21/2016

    Effective date:

    10/21/2016

    Next review date:

    10/21/2019

    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

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

     

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