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Reduction in Force

    Title:

    Reduction in Force

    Publication date:

    1/10/2014

    Effective date:

    9/21/2012

    Exception to Reduction in Force Policy

    Consistent with UC policy, UC has approved an exception to the LBNL Reduction in Force policy to replace seniority as the primary factor in determining the order of layoff with additional consideration of criteria such as relevant skills, knowledge, and abilities; documented performance; and length of service. The exception is required to meet financial and budgeting constraints, and will remain in effect from January 6, 2014 through June 30, 2014.  Questions about this exception can be directed to your divisional HR Center.

    The notice of exception to policy was announced in the Lab's Today at Berkeley Lab (TABL), on January 10, 2014. 

    BRIEF

    Policy Summary

    Berkeley Lab operates principally with funds provided by the U.S. Department of Energy (DOE). The total level of funding for the Laboratory, specific Laboratory divisions, and division-specific programs are determined each year, with the final determination made in Washington, D.C., by action of the U.S. Congress, the Office of Management and Budget, and DOE.

    Because the Laboratory has no final control over its funding, it is unable to guarantee long-term employment, and its rules on termination must acknowledge that the overall Laboratory budget and/or the level of support for individual programs may be reduced in any budget year. To ensure the Laboratory can carry out the advanced research and technology goals determined by its annual budget review, any reduction in force must result in a suitable composition of Laboratory staff.

    Laboratory policy and procedures on termination of employment because of lack of funds and/or work (including lack of work due to a reorganization) are described in this policy.

    Who Should Read This Policy

    • This policy applies to Career appointment employees.
    • 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 more information, contact your division's Human Resources (HR) Center.
    Feedback on HR policies or procedures is welcomed. Send comments to HRpolicies@lbl.gov.

    Title:

    Reduction in Force

    Publication date:

    1/10/2014

    Effective date:

    9/21/2012

    Exception to Reduction in Force Policy

    Consistent with UC policy, UC has approved an exception to the LBNL Reduction in Force policy to replace seniority as the primary factor in determining the order of layoff with additional consideration of criteria such as relevant skills, knowledge, and abilities; documented performance; and length of service. The exception is required to meet financial and budgeting constraints, and will remain in effect from January 6, 2014 through June 30, 2014.  Questions about this exception can be directed to your divisional HR Center.  

    The notice of exception to policy was announced in the Lab's Today at Berkeley Lab (TABL), on January 10, 2014. 

    POLICY

    A. Purpose

    Berkeley Lab operates principally with funds provided by the U.S. Department of Energy (DOE). The total level of funding for the Laboratory, specific Laboratory divisions, and division-specific programs are determined each year, with the final determination made in Washington, D.C., by action of the U.S. Congress, the Office of Management and Budget, and DOE.

    Because the Laboratory has no final control over its funding, it is unable to guarantee long-term employment, and its rules on termination must acknowledge that the overall Laboratory budget and/or the level of support for individual programs may be reduced in any budget year. To ensure the Laboratory can carry out the advanced research and technology goals determined by its annual budget review, any reduction in force must result in a suitable composition of Laboratory staff.

    Laboratory policy and procedures on termination of employment because of lack of funds and/or work (including lack of work due to a reorganization) are described in this policy.

    B. Persons Affected

    • This policy applies to Career appointment employees.
    • 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, the Chief Human Resources and Diversity Officer (CHRO) approval.

    D. Policy Statement

    1. Policy

      1. The policy of Berkeley Lab is to minimize, by anticipating and planning for reduced staff needs, the effects of layoffs and reductions in time of Career employees when such layoffs or reductions in time are necessitated by lack of funds or lack of work.
      2. To avoid a layoff, Berkeley Lab may provide preferential opportunities for reassignment or transfer to an eligible nonprobationary Career employee targeted for layoff to a position for which the employee is qualified.

        The new position must be at the same or greater percentage of time and at the same or higher salary as determined by the salary range maximum. Such action will nullify the layoff.

      3. If a layoff is necessary, Berkeley Lab will provide severance pay to nonprobationary Career employees (see Severance policy). This is in accordance with University of California Layoff and Reduction in Time from Professional and Support Staff Career Positions policy (PPSM 60).
      4. Positions identified for a reduction in force (RIF) may not be actively recruited for 12 months. This applies to positions that were involuntarily laid off and to positions where a Career employee volunteered to be laid off in lieu of another employee.
    2. Layoff Units

      1. Layoff units are administrative entities within Berkeley Lab that allow the Laboratory to administer the reduction-in-force policies in the Requirements and Policies Manual (RPM) and collective bargaining agreements (CBAs). They provide the structure to identify individuals who may be affected by a reduction in force.
      2. Laboratory management has the sole authority to determine layoff units, and the determination is not subject to the complaint-resolution policy. Employees will be provided appropriate notice before the implementation of any changes in layoff units that affect them.
    3. Decision to Implement Reduction
      1. Note: For the purposes of administering this policy, "layoff unit manager" is defined as the manager with the ultimate organizational responsibility for each of the layoff units (e.g., division director, department head, etc.).
      2. Laboratory Management has the sole discretion to determine the need for layoffs and the classification of employees to be laid off in the layoff unit, consistent with this policy.
      3. When a reduction in force is required, each layoff-unit manager will review the programs, departments, or areas for which he or she is responsible and determine the number of employees, classifications, and programs to be involved in the reduction. The layoff unit manager, working with the Human Resources Center and Employee and Labor Relations (ELR), will take into account the objectives of the Affirmative Action Compliance Program through consultation and discussion with the Chief Human Resources and Diversity Officer (CHRO) before initiating further action.
      4. Employees in non-Career positions are normally the first reviewed when lack of funds or lack of work necessitates a decrease in staffing levels. The layoff-unit manager may determine which non-Career employees are to be terminated or reduced in time and the effective date of the action.
      5. A layoff-unit manager or designee will inform employees in the specific program, department, or areas of the division where lack of funding or work has been identified that such a reduction in force is necessary. He or she may also request volunteers for layoff.
    4. Order of Layoff
      1. The layoff-unit manager is responsible for the selection of individual employees to be released. The selection and the terms or conditions of the release are subject to prior review by the CHRO, or his/her designee. The order of layoff for Career employees in the same job title/code and layoff unit will be in inverse order of seniority. A layoff-unit manager may retain any employee irrespective of seniority if the employee possesses special skills, knowledge, or abilities not possessed by more senior employees in the same class and that are necessary to perform the ongoing functions of the layoff unit. All such exceptions will be documented and require CHRO approval.
      2. A layoff-unit manager may, when feasible, accept volunteers for layoff in lieu of other employees. The acceptance of individual voluntary layoffs will be based on the operational needs of the division. When an employee volunteers for layoff in lieu of another employee and is subsequently selected for layoff, the employee is entitled to the full protection of the layoff policy. He or she should be informed that eligibility for unemployment insurance benefits depends on the evaluation of the termination by the state of California Employment Development Department (EDD).
    5. Determination of Seniority. For the purpose of layoff, seniority will be determined on the basis of one point for each month of full-time-equivalent paid University service in any job class or title. Employment before break-in-service will not be counted. A break-in-service is the separation of at least one scheduled working day of Laboratory/University employment. Authorized leave without pay and time on preferential rehire status do not constitute a break-in-service. When employees have the same number of full-time equivalent months, the employee with the most recent hire date will be laid off first.
    6. Notification to Employees

      Other Policy of Interest:
      1. The layoff-unit manager is responsible for ensuring that employees are notified of their layoff in accordance with the plan agreed on with the Human Resources Department. The scheduling of notification interviews should be handled to minimize the anxiety and disturbance of other employees. Notification will be accomplished orally and will include instructions for obtaining assistance and guidance from the Human Resources Department.
      2. Written notice will be at least 30 calendar days before the effective date or, if less than 30 calendar days' written notice is given, a Career employee will receive pay in lieu of notice for each other additional day he or she would have been on pay status had the employee been given 30 calendar days' notice.
    7. Assistance to Employees
      1. It is the layoff-unit manager's responsibility to ensure that Career employees who have received a layoff notice are given primary consideration for vacancies in the layoff unit for which they are reasonably qualified.
      2. The designated Layoff Coordinator in the Human Resources Department is responsible for assisting employees who have received a reduction-in-force notice or who have been terminated as a result of a reduction-in-force. This assistance includes, but is not limited to:
        1. Reviewing with the employee the terms of the planned release
        2. Referring the employee to the Benefits Office, Employee Assistance Program (EAP), and other Laboratory services and outside agencies as appropriate or requested.
        3. Referring the employee to the agency providing outplacement services.
        4. Providing assistance in preparing a resume and other job-hunting skills.
    8. Continuation of Benefits during Layoff.

      Contact the Benefits Office:

      Building 90, Trailer P
      Benefits phone: (510) 486-6403 (internally x6403)
      Benefits fax: (510) 486-6009
      Benefits email: Benefits@lbl.gov

      Mailing address:
      HR Benefits Group
      One Cyclotron Road, MS90P
      Berkeley, CA 94720

      An employee on layoff status may continue in certain group insurance programs, if previously enrolled, for the length of time provided by the University's contract with the insurance carrier, subject to the payment of full premiums. Retirement system regulations determine the effect of the layoff on retirement benefits. The employee should contact the Laboratory's Benefits Office regarding eligibility for continuation of benefits.

    E. Roles and Responsibilities

    Role

    Responsibility

    Chief Human Resources and Diversity Officer (CHRO)

    Has the functional responsibility for this policy and process.

    Employees

    Have the responsibility to adhere to the provisions of this policy

    HR Department

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

    Layoff Coordinator

    Is responsible for assisting employees who have received a reduction-in-force notice or who have been terminated as a result of a reduction in force

    Managers and Supervisors

    Have the responsibility to adhere to the provisions of this policy

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

    F. Definitions/Acronyms

    Term

    Definition

    Break in Service

    A break in service is a separation of at least one scheduled working day of Laboratory/University employment. Authorized leave without pay and time on preferential rehire status do not constitute a break in service.

    CBA

    Collective bargaining agreement

    CHRO

    Chief Human Resources and Diversity Officer

    DOE

    Department of Energy

    EAP

    Employee Assistance Program

    ELR

    Employee and Labor Relations

    EDD

    Employment Development Department

    HR

    Human Resources

    HRCM

    Human Resources Center Manager

    Layoff Unit Manager

    The manager with the ultimate organizational responsibility for each of the layoff units (e.g., division director, department head, etc.)

    RIF

    Reduction in force

    UC

    University of California

    G. Recordkeeping Requirements

    Role

    Responsibility

    Human Resources Department

    Is responsible for maintaining all employee records

    H. Implementing Documents

    Audience

    Document Number

    Document Title

    All Laboratory staff

    02.12.001.001

    Termination Checkout Sheet

    All Laboratory staff

    02.12.001.002

    Termination Confirmation to Employee and Supervisor from HR

    All Laboratory staff

    02.12.001.003

    Termination Process Guide

    All Laboratory staff

    n/a

    Retirement Plaques

    All Laboratory staff

    02.12.004.011

    Layoff Unit List for Non-Represented Employees

    All Laboratory staff

    02.12.004.017

    Layoff Unit List for Represented Employees

    Managers and supervisors

    02.86.001.001

    Supervisor Responsibilities Training (BLI0117) (mandatory for new supervisors)

    Managers and supervisors

    02.86.001.002

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

     

     

     

    For HR staff

    02.12.004.001

    Layoff in Reduction in Time Options

    For HR staff

    02.12.004.002

    Anticipating and Preparing for Reduction in Force

    For HR staff

    02.12.004.003

    HR Center RIF Process Checklist

    For HR staff

    02.12.004.004

    Layoff Unit Manager RIF Process Checklist

    For HR staff

    02.12.004.006

    Voluntary Layoff Request Form

    For HR staff

    02.12.004.007

    Announcement of RIF Letter to Lab Management Template

     

     

     

    For Lab staff

    02.12.001.004

    Emeritus Status Guidelines

    For Lab staff

    02.12.001.007

    Conferral of Emeritus Status Template

    For HR staff

    02.12.001.010

    Medical Termination Questionnaire

    For HR staff

    02.12.001.011

    Division Director to Lab Director Transmittal of Senior Scientist Employee Plan Template

    For HR staff

    02.12.004.012

    Involuntary Reduction in Time (RIT) Notice

    I. Contact Information

    For more information, contact your division's Human Resources (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

    1/2/2012

    1

    M. Bello

    Rewrite for wiki

    All

    Minor

    4/16/2012

    2

    M. Bello

    Under Notification to Employee, removed requirement that the CHRO notifies employee.
    Updated Benefits Department Contact Information.

    (D)(6)


    (D)(8)

    Minor

    9/21/2012

    3

    M. Bello

    Recall and Preferential Rehire policy was archived.

    All

    Major + 30 days

    6/10/20133.1M. Bello

    Revised Implementing Documents list

    • Policy/Section H
    • Document Information/Implementing Documents
    • Additional Information/ Implementing Documents restricted to department/functional use
    Minor
    1/10/20143.2M. BelloAdd exception noticeBrief, PolicyMinor

    DOCUMENT INFORMATION

    Title:

    Reduction in Force

    Document number

    02.12.004.000

    Revision number

    3.2

    Publication date:

    1/10/2014

    Effective date:

    9/21/2012

    Next review date:

    9/21/2015

    Policy Area:

    Separation

    RPM Section (home)

    Human Resources

    RPM Section (cross-reference)

    Section 2.21(B)

    Functional Division

    Human Resources

    Prior reference information (optional)

    RPM Chapter 2. 21(B)

     

     

    Source Requirements Documents

    Source

    Document Number & Effective Date

    Document Title

    California

    Assembly Bill 2957

    Baby WARN, California's Advance Notice Law (Cal WARN)

    California

     

    Unemployment Insurance: Change of Status Notice

    DOE

    DOE Contract DE-AC02-05CH11231, Mod No. M046, Sec. J, App. A

    Advance Understandings on Human Resources

    Federal

     

    Older Worker's Benefits Protection Act (OWBPA)

    Federal

     

    Worker Adjustment and Retraining Notification (WARN) Act

    UC

    Personnel Policies for Staff Members (PPSM) 60

    Layoff and Reduction in Time from Professional and Support Staff Career Positions

    Implementing Documents

    Audience

    Document Number

    Document Title

    All Laboratory staff

    02.12.001.001

    Termination Checkout Sheet

    All Laboratory staff

    02.12.001.002

    Termination Confirmation to Employee and Supervisor from HR

    All Laboratory staff

    02.12.001.003

    Termination Process Guide

    All Laboratory staff

    n/a

    Retirement Plaques

    All Laboratory staff

    02.12.004.011

    Layoff Unit List for Non-Represented Employees

    All Laboratory staff

    02.12.004.017

    Layoff Unit List for Represented Employees

    Managers and supervisors

    02.86.001.001

    Supervisor Responsibilities Training (BLI0117) (mandatory for new supervisors)

    Managers and supervisors

    02.86.001.002

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

    For HR staff

    02.12.004.001

    Layoff in Reduction in Time Options

    For HR staff

    02.12.004.002

    Anticipating and Preparing for Reduction in Force

    For HR staff

    02.12.004.003

    HR Center RIF Process Checklist

    For HR staff

    02.12.004.004

    Layoff Unit Manager RIF Process Checklist

    For HR staff

    02.12.004.006

    Voluntary Layoff Request Form

    For HR staff

    02.12.004.007

    Announcement of RIF Letter to Lab Management Template

     

     

     

    For Lab staff

    02.12.001.004

    Emeritus Status Guidelines

    For Lab staff

    02.12.001.007

    Conferral of Emeritus Status Template

    For HR staff

    02.12.001.010

    Medical Termination Questionnaire

    For HR staff

    02.12.001.011

    Division Director to Lab Director Transmittal of Senior Scientist Employee Plan Template

    For HR staff

    02.12.004.012

    Involuntary Reduction in Time (RIT) Notice

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