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(M15) Human Resources
Contractor Assurance

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Management System Owner:  Workforce Development and Resources Section (WDRS) Head

Revision Number:   2.2          Date:   August 27, 2019

1.0   Purpose

The Human Resource (HR) Management System supports the Laboratory by developing and implementing HR programs, processes, and policies that enable the Laboratory to attract, hire, develop, compensate, retain, and reward a highly qualified workforce within the guidelines of all applicable labor agreements, federal and state laws or guidelines.  The HR   Management System supports managers in managing their staff to meet the strategic goals of Fermi National Accelerator Laboratory (FNAL).

2.0   Roles and Responsi​bilities

Title Responsibilities
Laboratory Director
  • Approving the Laboratory's HR policies
  • Communicating Equal Employment Opportunity/Affirmative Action (EEO/AA) focus to all staff.
Chief Operating Officer (COO)
  • Approving the laboratory's Human Resource policies, programs, and initiatives
  • Directing changes and priorities of HR to support the lab's strategic objectives

Division/Section Heads and Project Managers
  • Establishing workforce plans for the Division/Section and staffing needs for projects
  • Managing their organizations within the guidelines of all HR policies, standards, and procedures
  • Administering Laboratory compensation and paid time off programs equitably to achieve organizational goals
  • Identifying and fostering efforts to achieve a diverse workforce.
Head and Deputy Head of Workforce Development and Resources Section
  • The Head and Deputy Head of WDRS are the stewards of the HR Management System and are responsible for designing, recommending, implementing, and communicating HR policies, procedures, and systems.
Immediate Manager
  • Managing their organizations within the guidelines of all HR policies, standards, and procedures
  • Developing staff capability to meet future needs by building new competencies, maintaining an appropriately motivated staff, and supporting their long-term professional development
  • Administering Laboratory compensation and paid time off equitably to achieve organizational goals
  • Administering Scientific Staff appointments consistent with FNAL policy
  • Ensuring that activities of employees are planned and executed in accord with union contracts
  • Identifying and fostering efforts to achieve a diverse workforce
  • Developing and maintaining a supportive work environment
Supervisor
  • Taking proactive steps to ensure that all employees in the work group are treated fairly and equitably without regard to race, creed, color, disability, age or sexual orientation
  • Providing meaningful and realistic performance expectations and feedback to staff
  • Recognizing and rewarding staff fairly within established guidelines
  • Creating and maintaining a work environment that is free from all forms of harassment
  • Developing staff capability to meet future needs by building new competencies, maintaining an appropriately trained and motivated staff, and supporting their long- term professional development
  • Developing and maintaining a supportive work environment
  • Administering Laboratory compensation and paid time off equitably to achieve organizational goals
  • Ensuring that activities of employees are planned and executed in accord with union contacts.

Staff

  • Complying with Laboratory policies, standards, procedures, and regulatory requirements
  • Acting as necessary to ensure safe and effective operations
  • Keeping capabilities and qualifications current, including completing required training for assigned tasks and work location
  • Seeking supervisory feedback on their performance
  • Using available Laboratory programs to address concerns and employment issues

Laboratory Committees

The following Laboratory-level committees are maintained by this Management System:

  • Employee Advisory Group (EAG) (together with the Office of Communications)
  • Committee of Champions
  • Retirement Investment Committee
  • Lab Resource Groups.

3.0 Primary Requirem​ents

3.1   M&O Contract

  • DOE Prime Contract No. DE-AC02-07CH11359 for the Management and Operation of the Fermi National Accelerator Laboratory (Fermilab)
    • Appendix A
    • Appendix H
  • Contract deliverables are tracked in a data base. A responsible party and due date is assigned for each deliverable. The Section office reminds the responsible party a month before the deliverable is due and ensures that items are turned in on time.

 3.2   Fermilab Performance Evaluation and Management Plan (PEMP)

  • Goal 6.0: Deliver Efficient, Effective, and Responsive Business Systems and Resources that Enable the Successful Achievement of the Laboratory Mission(s).
    • Objective 6.3: Provide Efficient, Effective and Responsive Human Resources Management System and Diversity Program
    • Human resources has a five year Strategic Plan and annual goals are tracked in the Balanced Scorecard. Both are shared with FSO. The Balanced Scorecard is available on FermiDash. Annual achievements are also tracked in the lab's PEMP database. HR meets monthly with FSO representatives and the ISC HR Contractor Specialist. HR provides feedback along with the lab to FSO at mid-year and year end.

3.3   Other Required DOE Orders and Instructions

  • DOE O 350-1

3.4   FRA Contract Mapping to Management Systems

4.0   Management System Description

The Human Resources Management System consists of policies, processes and programs that are developed by Human Resources and implemented by managers and supervisors across the Laboratory. The Human Resources staff advise line managers about the application of the system and are delegated approval authority by the Laboratory Director for selected actions to ensure the consistent application of the system.

The Human Resource Management System has the following components:

  1. Talent Acquisition
  2. Benefits
  3. Labor Relations
  4. Compensation
  5. Human Resources Information Systems
  6. Diversity & Inclusion
  7. Professional Development and Learning
  8. Global Services
  9. HR Partners/Employee Relations

The Human Resources Management System supports the Laboratory's management by:

  • Providing expert delivery of HR services to the Laboratory
  • Ensuring that appropriate workforce planning, hiring and staff development meet the technology and capability needs of organizations.

4.1   Talent Acquisition

Talent Acquisition provides expert design, development, and delivery of programs to attract and retain highly qualified staff and to ensure an equitable selection process without regard to race, color, religion, age, gender, national origin, sexual orientation, disability, or veteran status. Talent Acquisition provides the following services to hiring managers:

  • Assists in identifying resource needs through a process that includes determining the minimum qualifications and competencies necessary to perform the requirements of a position
  • Assists in identifying and attracting candidates to meet needs through sourcing programs
  • Recruits qualified candidates by notifying internal staff and external candidates, organizations, and government agencies of current job opportunities. Screens applicants against the minimum qualifications required for the position. Forwards the qualified slate of candidates to the hiring manager.
  • Assists with the interview process by documenting the interview selection process, notifying successful and unsuccessful candidates, and coordinating background investigations
  • Assists in selecting qualified candidates by extending job offers, providing relocation assistance, coordinating the hiring of foreign nationals, and facilitating the staff hire-on process, which includes preparing all new-hire documents and new- hire orientation
  • Provides support services for the directorate, departments, and divisions in recruiting and selecting certain scientific and non-scientific staff
  • Develops, implements, and interprets policies, practices, and procedures for recruitment, selection, and termination
  • Administers the summer hire programs.

4.2   Benefits

Benefits plans, develops, implements and administers the FNAL benefit program. Benefits develops and implements a competitive benefit program that attracts and retains a high-quality staff while controlling costs. It ensures compliance with applicable laws, regulations, and DOE requirements for the following programs: medical insurance, dental insurance, life insurance, AD&D insurance, long-term disability, travel accident, reimbursement accounts, 401(a) retirement program, 401(b) retirement program, FMLA, and COBRA.

Benefits provides the following services:

  • Creates, plans, develops the comprehensive benefits package
  • Negotiates the benefits package with service providers and DOE
  • Administers the benefits package for staff and managers, which includes making changes in status, conducting the annual open enrollment, and providing counsel to staff and retirees. It also includes processing the appropriate forms for claims or changes associated with the flexible reimbursement spending account, long-term disability, and retirement/pension programs.
  • Communicates the Laboratory's benefit program to employees
  • Performs statutory tests of benefit plans, monitors costs, and submits required reports
  • Develops wellness programs that target development of healthy lifestyles
  • Manages the employee assistance program.

4.3    Labor Relations

Labor Relations provides the following services:

  • Develops bargaining objectives and negotiates the labor contracts
  • Interprets contracts and provides guidance to line managers
  • Responds to grievances and prepares materials for arbitration hearings
  • Prepares and approves all disciplinary actions for bargaining unit personnel
  • Administers the Laboratory Alcohol and Substance Abuse Policy
  • Provides training to managers and supervisors of represented staff
  • Ensures compliance with the National Labor Relations Act, decisions of the National Labor Relations Board, and DOE policies that regulate matters
  • Serves as point-of-contact for the Laboratory with union officers.

4.4   Compensation

Compensation establishes processes that will attract, retain, motivate, and develop qualified staff members to meet the needs of the Laboratory through performance management and direct/indirect compensation packages. The following services are provided to staff and managers:

  • A compensation system to promote employee performance and pay for performance
  • A compensation system that ensures salaries are administered equitably through the design and analysis of salary structures in relationship to the relevant markets
  • Recommends new salary structures and the Compensation Increase Plan (CIP) to DOE on an annual basis. Reviews and approves salary increase adjustments
  • Develops and maintains job descriptions and job families
  • Develops and administers the recognition and reward system
  • Prepares required DOE reports; tracks and controls salary increase expenditures
  • Prepares and distributes managerial and employee communications on the compensation system
  • Performs job evaluations as required and determines the appropriate salary and job level for new hires and newly created positions.

4.5   Human Resources Information Systems

The Human Capital Management Office is responsible for the business (HR) function of the Laboratory's Human Capital Management (HCM) system (FermiWorks) and the data flow to related downline systems. The Human Resources Information Systems (HRIS) team provides the following services:

  • Safeguards the integrity of all current and historical employee data electronically in FermiWorks and in paper files
  • Creates and schedules automatic reports based on internal customer requests and required DOE, National Science Foundation (NSF) and other external agencies
  • Maintains and enhances online HR business processes via FermiWorks
  • Facilitates and audits Lab-wide usage of FermiWorks with a focus of manager and self-service for most HR related business processes such as changes in compensation, job, contact and personal information, performance and talent management and benefit life events
  • Works closely with Payroll in managing weekly/monthly payroll processes
  • Minimal paper filing still exists for required documentation not yet captured in FermiWorks.

4.6   Diversity & Inclusion

The HR Management system establishes processes that encourage the recruitment and retention of a highly skilled and diverse staff and implements programs that encourage respect for individual differences and an environment that fosters employee development and creativity. Diversity & Inclusion ensures that the Laboratory is in compliance with Federal and Illinois State Equal Employment Opportunity (EEO) laws and regulations by the following services:

  • Prepares the Laboratory Affirmative Action Plan and Strategic Diversity Plan
  • Develops relationships with outside sources of diverse job candidates
  • Identifies problem areas where staff underutilization has been identified
  • Audits and monitors personnel actions to ensure compliance with EEO requirements
  • Manages summer TARGET (high school), SIST (undergraduate) and GEM (graduate) programs
  • Manages laboratory resource groups that represent diverse identities to bridge scientific research, research collaborations, user experience and workforce teams
  • Develops strategies to moderate organizational climate.

4.7   Professional Development and Learning

The HR Management System provides opportunities to enhance the development and performance of employees, managers, and organizations. Professional Development and Learning provides the following services to staff and managers:

  • Assists line managers in assessing the training needs of staff and assists in developing plans to meet those needs
  •  Provides management and supervisory training programs based on the needs of the Laboratory
  • Provides professional computer and technical development programs based on employee needs
  • Administers the Tuition Assistance Program, University of Chicago Tuition Remission and Fermi Research Alliance (FRA) Scholarship Programs.

4.8   Global Services

  • Administers the Foreign Visitors and Assignments Program
  • Certifies and administers the J-1 Program
  • Assists employees with non-resident visas and permanent residence cases
  • Enters data into FACTS and SERVIS systems
  • Assists users with acculturation and daily living services
  • Coordinates the Users Executive Committee meetings.

4.9   HR Partners/Employee Relations

  • Local HR Partners and principal contacts for managers and employees on human resources matters
  • Act as liaisons between divisions and sections and core HR areas
  • First point of contact on HR questions, issues and concerns related to benefits, compensation, employee relations, FMLA and leave of absence, diversity, training and development
  • Provide on-the-ground administration for performance review and spot award programs
  • Enables problem resolution for staff who raise issues on discrimination or harassment
  • Manages the work modification, ADA accommodation program.
  • Assists employees with work-related issues and concerns
  • Consults with line managers to resolve work-related issues and concerns
  • Interprets HR policies and procedures and recommends modifications when appropriate
  • Provides line managers with direction on the delivery of disciplinary actions to ensure they are consistent with Laboratory policy, prior instances and circumstances involved

5.0   Policies

https://hr.fnal.gov/resources/policies/

 

6.0   Key Processes, Procedures, and Manuals

Key processes are found in the Human Resources Operational Excellence Plan.

7.0   Approach to Collaboration and Communication

The HR policies referenced above serve as the basic communication for MS expectations. Other communications and procedures are specific eg. instructions are sent to managers regarding annual completion of performance reviews and merit increases. Forms that must be completed come with instructions eg. joint appointments, telecommuting, outside employment, conflict of interest. Before a new procedure is implemented feedback is obtained from stakeholders. Major policy changes require Chief and Director approval.

8.0   Contractor Assurance Requirements

8.1  Metrics and Key Performance Indicators (KPIs)

  • Annual PEMP scores
  • WDRS Balanced Scorecard
  • WDRS Customer Service survey results
  • Fulfillment of DOE deliverables
  • On time submission of legally required reports to the Department of Labor, Internal revenoe Service, Office of Federal Contract Compliance
  • Annual employment practices related suits or complaints filed with EEOC or DOL
  • Measures that compare lab competitiveness to the market
  • Diversity candidates and hires
  • User satisfaction

8.2   Assessments

The assessment plan is in a separate document.

8.3    Approach to Issues Management

Issues are identified in multiple ways. The first is direct communication from managers or employees. Secondly WDRS managers and employees may identify issues. We have several other feedback mechanisms: a general customer service survey, training evaluations, and department surveys that measure specific work eg. hiring manager satisfaction. There is also a general WDRS suggestion box. Some issues are resolved at the level of the WDRS employee or manager. Other issues are escalated to the Section office. Issues that involve several departments require coordination with WDRS managers. The new Operational Excellence methodology will be helpful for these. Some issues involve divisions or departments outside of WDRS. In those cases, the WDRS employee, manager, Section office works with the Division personnel to resolve the issue.

8.4   Lessons Learned

Lessons learned are shared within a department. If the issue is broader, lessons are shared at a staff meeting with all department managers. Some lessons learned may be shared in the Section weekly email.

8.5   Risk Management

Risks are identified in the normal course of business and through assessments and process examination. Larger risks are recorded in the lab risk register.

Risks/assessments monitored by:

  • Self-Assessment Program

  • iTrack Procedures and Risk Assignment

  • Corrective Action Plans – in iTrack

  • Effectiveness Reviews – in iTrack

9.0   Required Reports and Records

9.1  Required Records

Hard copy personnel records and electronic records in FermiWorks.

9.2   Required Reports

  • Annual Affirmative Action Plan
  • EEO 1 reports
  • Annual veteran report
  • 5500s
  • ACA 1094

10.0   Extension of Management System to SDSTA (SURF)

All management system (HR) policies, procedures, contract requirements, training, compensation and benefits apply to employees at South Dakota. Policies that specifically address South Dakota state law are found on the WDRS website. While there are some state holidays in South Dakota that are different employees will follow the regular Fermilab holiday schedule.

Two WDRS employees have been assigned to South Dakota – an HR partner and a technical recruiter. They periodically visit the site and are available to management and employees by telephone or email. The HR South Dakota working group in Illinois is responsible for identifying and resolving South Dakota HR issues. The HR partner and technical recruiter are charged with bringing issues to the attention of this group or to the appropriate core HR representative for discussion and resolution. Training courses are specifically coded for South Dakota employees for identification and zoom training sessions are offered. Lab internship programs will be extended to South Dakota.

11.0   Additional References

DOE Annual (FY) Laboratory Plan for Fermilab

  • DOE Annual (FY) Laboratory Plan for Fermilab

12.0   ​Definitions of Acron​​yms and Terms

Acronym Definition
​BO​Business Operations
ESHEnvironmental, Safety, and Health
FIFinance
MSOManagement System Owner
PEMPPerformance Evaluation and Measurement Plan
QAQuality
Assessment Method
IAIndependent Assessment
IADInternal Audit Department
MAManagement Assessment
​MO​Monitoring
SASpecial Assessment
TPThird Party Assessment
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