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Early Problem Resolution

    Title:

    Early Problem Resolution

    Publication date:

    5/8/2012

    Effective date:

    9/30/2002

    BRIEF

    Policy Summary

    The interests of both employees and Berkeley Lab are best served when any problems relating to the workplace are resolved as part of regular communication between employees and supervisors. To ensure prompt and constructive solutions, problems in the workplace should be resolved through the appropriate management chain and, whenever needed, with the assistance of the Human Resources Department. Although employees should seek to resolve problems at the lowest possible level, sometimes the supervisor is not available or is not the desired contact. Employees may access successively higher levels of the management chain or the Human Resources Department at any time.

    Who Should Read This Policy

    • This policy applies to all employee classifications: Career, Term, Postdoctoral Fellow, Limited, Visiting Researcher, Faculty, Rehired Retiree, Graduate Student Research Assistant (GSRA), and Student Assistant
    • This policy applies to nonrepresented employees. Represented employees should consult their collective bargaining agreement (CBA).

    To Read the Full Policy, Go To:

    The POLICY tab on this wiki page

    Contact Information

    For information regarding this policy contact your Division's HR Center.
    Feedback on HR policies or procedures is welcomed. Send comments to hrpolicies@lbl.gov.

    Title:

    Early Problem Resolution

    Publication date:

    5/8/2012

    Effective date:

    9/30/2002

    POLICY

    A. Purpose

    The interests of both employees and Lawrence Berkeley National Laboratory (Berkeley Lab) are best served when any problems relating to the workplace are resolved as part of regular communication between employees and supervisors. To ensure prompt and constructive solutions, problems in the workplace should be resolved through the appropriate management chain and, whenever needed, with the assistance of the Human Resources Department. Although employees should seek to resolve problems at the lowest possible level, sometimes the supervisor is not available or is not the desired contact. Employees may access successively higher levels of the management chain or the Human Resources Department at any time.

    B. Persons Affected

    • This policy applies to all employee classifications: Career, Term, Postdoctoral Fellow, Limited, Visiting Researcher, Faculty, Rehired Retiree, Graduate Student Research Assistant (GSRA), and Student Assistant.
    • This policy applies to nonrepresented employees. Represented employees should consult their collective bargaining agreement (CBA).

    C. Exceptions

    Request 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, approval by the Chief Human Resources Officer (CHRO).

    D. Policy Statement

    1. Areas of Responsibility: Managers and supervisors are responsible for determining and effecting appropriate Laboratory goals and objectives. Managers, supervisors, and employees are expected to work together to achieve those goals and objectives.
      1. Responsibilities of Managers and Supervisors
        1. Developing performance expectations
        2. Assigning work and establishing deadlines
        3. Determining training needs
        4. Evaluating performance
        5. Rewarding achievement
        6. Taking corrective action
      2. Responsibilities of Employees
        1. Meeting expectations
        2. Performing assigned tasks capably and on time
        3. Staying current in the skills required for their classification
        4. Keeping their supervisors informed about job-related activities
        5. Complying with the rules of the workplace and conducting themselves appropriately
    2. Employees and Supervisors: When an employee is concerned about working conditions, job safety, rate of pay, job classification, or other matters pertaining to his or her employment at the Laboratory, that employee should contact his or her supervisor. When an employee seeks such counsel, the supervisor should try to help resolve the problem in a reasonable manner. Supervisors should try to prevent the escalation of employee issues by advising and counseling the employees in the early stages of potential problem situations.
    3. Employee Labor Relations: When a supervisor or employee has difficulty resolving a work-related problem, the division's Human Resources (HR) Center can provide assistance. The staff of the HR Center, with the support of the Employee Labor Relations (EL R) unit of the HR Department, is qualified to provide assistance resolving these problems. They may:
      1. Provide guidance to employees and/or supervisors on all possible methods to solve work-related problems. The objective of this guidance is to achieve a solution that is workable and consistent with the satisfactory performance of the duties to which the employee has been or may be assigned.
        Additional Information

        Employee Assistance Program

        UC CARE Services

        University Health Services, Tang Center

        2222 Bancroft Way, Suite 3100

        Berkeley, CA 94720

        510-643-7754

        Appointments are available M - F

      2. Provide guidance to supervisors on options that may be taken when an employee's performance or conduct does not improve, consistent with Laboratory and University policy and good employee relations
      3. Advise employees of their rights when an employee believes that he or she has been treated inappropriately
      4. Refer employees and supervisors to University or Laboratory employee assistant services.

    E. Roles and Responsibilities

    Role

    Responsibility

    Chief Human Resources Officer (CHRO)

    Has the functional responsibility for this policy

    Employees

    Have the responsibility to adhere to the provisions of this policy

    Employee and Labor Relations (ELR)

    Provides advice to HR Centers and supervisors on employee-relation matters

    HR Department

    Has the responsibility to advise management and employees on how to comply with this policy

    Managers and Supervisors

    Have the responsibility to adhere to the provisions of this policy

    Roles, responsibilities, authority, and accountability are documented in applicable procedures listed in Section H below.

    F. Definitions/Acronyms

    Term

    Definition

    CHRO

    Chief Human Resources Officer

    ELR

    Employee and Labor Relations

    HR

    Human Resources

    HRC

    Human Resources Center

    G. Recordkeeping Requirements

    There are no recordkeeping requirements; however, it is recommended that supervisors and the HR Center keep appropriate records of incidents.

    H. Implementing Documents

    Audience

    Document Number

    Document Title

    Managers and Supervisors

    02.11.001.001

    Managers and Supervisors Responsibilities under the Early Problem Resolution Policy

    Managers and Supervisors

    02.86.001.001

    Supervisor Responsibilities at Berkeley Lab (BLI0117) (mandatory for new supervisors)

    Managers and Supervisors

    02.86.001.002

    Supervisor Scenario Workshop – HR Issues (BLI0122) (mandatory for new supervisors)

    I. Contact Information

    For information regarding this policy contact your Division's HR Center.
    Feedback on HR policies or procedures is welcomed. Send comments to hrpolicies@lbl.gov.

    J. Revision History

    Date

    Revision

    By whom

    Revision Description

    Section(s) affected

    Change Type

    5/8/2012

    2

    M. Bello

    Added RPM 2.05(A) Areas of Responsibility to this policy. Should have been added during the original rewrite for wiki

    (D) Policy Statement

    Minor

    1/2/2012

    1

    M. Bello

    Rewrite for wiki

    all

    Minor

    DOCUMENT INFORMATION

    Title:

    Early Problem Resolution

    Document number

    02.11.001.000

    Revision number

    2

    Publication date:

    5/8/2012

    Effective date:

    9/30/2002

    Next review date:

    1/2/2015

    Policy Area:

    Problem Resolution

    RPM Section (home)

    Human Resources

    RPM Section (cross-reference)

    none

    Functional Division

    Human Resources

    Prior reference information (optional)

    RPM Section 2.05(A) and (B)

    Source Requirements Documents

    • DOE Contract DE-AC02-05CH11231, Mod No. M046, Sec. J, App. A, Advance Understandings on Human Resources
    • University of California Personnel Policies for Staff Members (PPSM) 70, Complaint Resolution

    Implementing Documents

    Audience

    Document Number

    Document Title

    Type

    Managers and Supervisors

    02.11.001.001

    Managers and Supervisors Responsibilities under the Early Problem Resolution Policy

    Form

    Managers and Supervisors

    02.86.001.001

    Supervisor Responsibilities at Berkeley Lab (BLI0117) (mandatory for new supervisors)

    Training

    Managers and Supervisors

    02.86.001.002

    Supervisor Scenario Workshop – HR Issues (BLI0122) (mandatory for new supervisors)

    Training

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