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Contractor Supporting Research (CSR) Program - Financial Management

    Title:

    Contractor Supporting Research (CSR) Program — Financial Management

    Publication date:

    2/28/2014

    Effective date:

    9/1/2011

    BRIEF

    Policy Summary

    This policy defines the guidelines and procedures for administering Contractor Supporting Research (CSR) funds; requesting and establishing projects; and tracking allocations, project costs, and project closeouts.

    Who Should Read This Policy

    All Berkeley Lab employees with financial responsibilities for administering and tracking CSR funds

    To Read the Full Policy, Go To:

    The POLICY tab on this wiki page:

    Contact Information:

    General Accounting Manager
    Office of Sponsored Projects and Industry Partnerships (OSPIP) Manager

     

    Title:

    Contractor Supporting Research (CSR) Program — Financial Management

    Publication date:

    2/28/2014

    Effective date:

    9/1/2011

    POLICY

    A. Purpose

    This policy defines the guidelines and procedures for administering Contractor Supporting Research (CSR) funds; requesting and establishing projects; and tracking allocations, project costs, and project closeouts.

    B. Persons Affected

    All Lawrence Berkeley National Laboratory employees with financial responsibilities for administering and tracking CSR funds

    C. Exceptions

    Not applicable

    D. Policy Statement

    In addition to and separate from the parties' rights and obligations under Department of Energy (DOE) Contract 31, Clause I.134, Work for Others Program (Non-DOE Funded Work), the Contractor may, with the consent of the Contracting Officer, conduct Contractor-Funded Institutional Supporting Research and Development (Contractor Supporting Research or CSR ) at the Laboratory under DOE Contract 31, Clause H.27. The DOE Berkeley Site Office's Contracting Officer approved this program on September 22, 2005, and issued updated implementing guidance on August 17, 2011.

    CSR funds are provided to Berkeley Lab by the University of California (UC). Selection of Research projects to be funded with CSR funds is made at the discretion of the Laboratory Director or designee. Consent may be given to such research provided that:

    • Research is conducted on a non-interference basis with any DOE directed and funded work of the Laboratory. Per the August 17, 2011, guidance provided by the DOE Berkeley Site Office (see above), CSR funds may not be used to augment federally funded projects.
    • Research is intended to enhance the capabilities of Berkeley Lab to continue to perform its mission or to create new capabilities at the Laboratory consistent with the overall needs of DOE. Per the DOE Berkeley Site Office guidance, Berkeley Lab will not knowingly use its access to Laboratory facilities under this program to compete with the private sector.
    • Funds are expended under the same terms and conditions that apply to government funds provided under DOE Contract 31.
      • The use of CSR funds to pay for unallowable costs is prohibited. For cost accounting standards (CAS) purposes, such approved research shall be treated as institutional Research and Development of the Laboratory. CSR funds are exempt from general and administrative costs.

    Certain uses of these funds are particularly encouraged by the University, such as collaborative research performed by UC campus professors, postdoctoral scholars, and graduate students, and any other research that could lead to the long-term growth and health of Berkeley Lab and the University.

    E. Roles and Responsibilities

    Role

    Responsibility

    DOE Berkeley Site Office

    Approves CSR Program according to DOE Contract 31, Clause H.27, Contractor-Funded Institutional Supporting Research and Development Program at the Laboratory

    Office of Sponsored Projects and Industry Partnerships (OSPIP)

    Notifies and coordinates with the DOE Berkeley Site Office concerning any transactional review and consent as required by DOE Berkeley Site Office approved implementation plan for Contractor-Funded Institutional Supporting Research and Development at the Laboratory under DOE Contract 31, Clause H.27

    Division

    • Prepares written request using the CSR Request Form for approval to use (or increase) CSR funds. Written request includes:
      • Strong statement of justification
      • Total amount of funding requested (including applicable burdens and overheads)
    • Forwards request to Laboratory Deputy Director or designee to obtain authorization signature
    • After receiving request approval, creates project in Financial Management System under division's Project Tree based on project identification number assigned by Program Manager
    • Ensures use of funds is consistent within the stated purpose
    • Ensures funds are spent in accordance with the same terms and conditions as federally expended funds
    • Establishes controls to ensure costs and obligations do not exceed the approved funding
      • Monitors costs incurred against the approved funding
      • Corrects errors and resolves issues as they occur to ensure approved funding balances are in good standing
    • Notifies Laboratory Deputy Director's Office when to close the project
    • Works with Laboratory Deputy Director’s Office to resolve any over-costed CSR funds by the following month end

    Laboratory Deputy Director's Office

    • Reviews request and funding availability, and authorizes request
    • Laboratory Deputy Director's Office notifies General Accounting of approved request to add funding or close out projects
    • Notifies Division Budget Analyst request has been granted
    • Notifies Division Budget Analyst of assigned CSR project identification number
    • Notifies Property Management of equipment expenditures
    • Notifies Sponsored Projects Office of award amount
    • Submits to the Berkeley Site Office periodical reports of projects undertaken

    Property Management (if applicable)

    After equipment arrives, corrects equipment title from DOE to UC Regents based on notification from Laboratory Deputy Director's Office

    General Accounting

    • Opens Project IDs and establishes and maintains CSR system chart fields (i.e., account numbers, Budget and Reporting (B&R) codes, resource categories, project and resource types, DOE reporting codes)
    • Manages allocation of cash between various depository accounts based on previous month’s actual costs plus current month’s estimated costs
    • Coordinates with UC to transfer funds to cover projected expenditures
    • At month-end allocation process, credits project to offset costs based on actual expense
    • Reconciles the CSR Liability account and the Short Term Investment Pool (STIP) CSR account

    F. Definitions/Acronyms

    Term

    Definition

    Contractor Supporting Research (CSR)

    Funds provided to the Laboratory by the University of California. For research at the Laboratory, selection of the projects funded with CSR funds is made at the discretion of the Laboratory Director or designee.

    Work for Others

    The performance of work for non-DOE entities by DOE/contractor personnel and/or the utilization of DOE facilities that are not directly funded by DOE appropriations

    G. Recordkeeping Requirements

    None

    H. Implementing Documents

    none

    I. Contact Information

    General Accounting Manager
    Office of Sponsored Projects and Industry Partnerships (OSPIP) Manager

    J. Revision History

    Date

    Revision

    By whom

    Revision Description

    Section(s) affected

    Change Type

    2/28/2014

    1.2

    M. Beedle

    Updates to reflect dates of current guidance and clarification of roles

    Sections D, E, F, and Source Requirements

    Minor

    12/10/2013

    1.1

    T. Carlson

    Reviewed 11/15/2013, no changes

    Update Publication, Next Review dates

    Minor

    1/2/2012

    1

    M. Mock

    Reformat for wiki

    All

    Minor

    DOCUMENT INFORMATION

    Title:

    Contractor Supporting Research (CSR) Program — Financial Management

    Document number

    11.01.010.000

    Revision number

    1.2

    Publication date:

    2/28/2014

    Effective date:

    9/1/2011

    Next review date:

    2/1/2016

    Policy Area:

    Accounting

    RPM Section (home)

    Financial Management

    RPM Section (cross-reference)

    none

    Functional Division

    OCFO

    Prior reference information (optional)

    RPM Section 11.25

    Source Requirements Documents

    Implementing Documents

    none

    Other References

    Document number

    Title

    Type

    11.01.011.000

    Gifts (Monetary), Financial Management

    Policy

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