Indirect Burdens Applied to Training Fellowships and Sponsored Research Career Development Projects

Title:	Indirect Burdens Applied to Training Fellowships and Sponsored Research Career Development Projects
Publication date:	5/26/2023
Effective date:	5/26/2023

BRIEF

Policy Summary

This policy defines the indirect burden treatment of Training Fellowships and Sponsored Research Career Development Projects.

Who Should Read This Policy

This policy applies to employees who work on proposals and employees who participate in projects which use or are related to Training Fellowships and Sponsored Research Career Development Projects at Lawrence Berkeley National Laboratory (Berkeley Lab).

To Read the Full Policy, Go To:

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Contact Information

Indirect Budget Manager, Office of the Chief Financial Officer (OCFO)

Title:	Indirect Burdens Applied to Training Fellowships and Sponsored Research Career Development Projects
Publication date:	5/26/2023
Effective date:	5/26/2023

POLICY

A. Purpose

This policy defines the indirect burden treatment of Training Fellowships and Sponsored Research Career Development Projects.

B. Persons Affected

This policy applies to employees who participate in projects which use or are related to Training Fellowships and Sponsored Research Career Development Projects at Lawrence Berkeley National Laboratory (Berkeley Lab).

C. Exceptions

Not applicable

D. Policy Statement

In order to qualify as a Training Fellowship or a Sponsored Research Career Development Project, the project must meet the following conditions:
1. It is a formal fellowship or career development program that is directly funded and approved by either DOE or a non-DOE sponsor.
2. The fellowships/training selections are based on a formal application and review process. The selection of individuals, to be named a fellow, is based on pre-established criteria reviewed by a selection board.
3. The fellowship/training is for a named individual or for the benefit of a named individual. Substitution of the fellow/trainee is not permitted.
4. The intent is to provide support for training of the fellow in the early stages of the individual’s career track. Training for these purposes is defined as the acquisition of new scientific skills or techniques necessary to function independently in the area in which the training has occurred.
5. A mentor is assigned to the fellow to ensure the fellow works towards becoming an independent researcher.
6. The training provides a direct benefit to Berkeley Lab work or enhances the capability of Berkeley Lab to carry out its mission.
7. Receipt of any combination of fellowship and/or awards while at Berkeley Lab is limited to a total of five years for a specific level of training, i.e., predoctoral or postdoctoral.
8. The cost of the fellowship or training program may consist of stipends, labor, payroll burden, travel, training, and incidental materials, as well as the appropriate travel and procurement burdens. The project does not include the cost for the Lab to manage or operate the fellowship or training program.
Training Fellowships and Sponsored Research Career Development Projects meeting the criteria above are exempt from the following indirect rates:
1. Organization burdens
2. Associate Laboratory Directorate (ALD) burdens
3. Office of Homeland & National Security (OHNS) burden
4. General Services (G&A)
5. Site Support
6. Institutional General Plant Project (IGPP)
7. Total Cost Rate (TCR)
8. Laboratory Directed Research and Development (LDRD)

E. Roles and Responsibilities

Managers, supervisors, and employees must adhere to the provisions of this policy. They also have the responsibility to ensure that a proposal or project qualifies as a Training Fellowship or Sponsored Research Career Development Project before indirect rates are exempt.

Division Role	Responsibility
Requester for Training Fellowship and Sponsored Research Career Development proposal or project	Completes the Training Fellowship and Sponsored Research Career Development Indirect Exemption Approval Form. Develops a project budget by fiscal year showing the detailed exclusion amounts and the adjusted project budget. Submits both the completed Training Fellowships and Sponsored Research Career Development Projects Indirect Exemption Approval Form and the detailed project budget to the Budget Office, as part of the proposal in the electronic System for Research Administration (eSRA), for Budget Office review. If approved, creates unique project IDs to capture and properly burden the cost of the Training Fellowships and Sponsored Research Career Development Project.
Division Director (or Designee)	Reviews and signs the Training Fellowship and Sponsored Research Career Development Indirect Exemption Approval Form, and the proposed budget, to ensure the proposal is in line with the Division, Area and Lab’s mission.
Budget Office - Indirect Budget Group	Reviews and approves/declines the Training Fellowship and Sponsored Research Career Development Indirect Exemption Approval Form and the detailed budget with the list of indirect exemptions, as part of the proposal in the electronic System for Research Administration (eSRA).
Budget Office – Reimbursable and Direct Groups	Ensures the Indirect Budget Group has approved Training Fellowship and Sponsored Research Career Development Indirect Exemption Approval Form before opening these types of projects.
Strategic Partnerships Office (SPO) Contracts Officer	Ensures approval from the Budget Office is received prior to awarding Training Fellowships and Sponsored Research Career Development Projects. Ensures Budget Office approved form and the detailed budget with exemptions are included in the proposal in eSRA prior to submitting any non-DOE proposals.

F. Definitions/Acronyms

Term	Definition
Area Burden	Rate applied to recover the activities related to the management, supervision, and administration of the Associate Laboratory Directorate.
General and Administrative (G&A)	Rate applied to recover costs of the management and administration of Berkeley Lab as a whole.
Institutional General Plant Project (IGPP)	Rate applied to recover the costs of IGPP projects.
Laboratory Directed Research and Development (LDRD)	Rate applied to recover the costs of LDRD projects.
Office of Homeland & National Security (OHNS)	Rate applied to recover the costs of technical and programmatic oversight of Berkeley Lab's funded projects from the Department of Energy National Nuclear Security Administration (DOE NNSA), Department of Defense (DoD), Department of Homeland Security (DHS), and the intelligence agencies, as well as other national and homeland security related projects.
Organization Burden	Rate applied to recover the costs for the general management and administration of the scientific and operations divisions at Berkeley Lab.
Site Support	Rate applied to recover costs of the site-wide support functions and activities of Berkeley Lab as a whole.
Total Cost Rate (TCR)	Rate applied to recover costs for UC Home Office costs.

G. Recordkeeping Requirements

None

H. Implementing Documents

Document number	Title	Type
11.02.016.001	Training Fellowship and Sponsored Research Career Development Indirect Exemption Approval Form	Form
11.02.003.001	Cost Accounting Standards Board (CASB) Disclosure Statement, Lawrence Berkeley National Laboratory	Official Guidance

I. Contact Information