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Gifts for Research, Solicitation and Acceptance of

Title:

Gifts for Research, Solicitation and Acceptance of

Publication date:

8/13/2013

Effective date:

4/6/2011

BRIEF

Policy Summary

The President of the Regents of the University of California has delegated authority to the Director of Berkeley Lab to solicit and accept gifts, including gifts of equipment, having an individual value not exceeding $100,000. Solicitation or acceptance of individual gifts exceeding $100,000 requires authorization from the University of California Office of the President (UCOP).

Who Should Read This Policy

Anyone involved with soliciting and/or accepting gifts for research at the Laboratory

To Read the Full Policy, Go To:

The POLICY tab on this wiki page

Contact Information

Office of Sponsored Projects and Industry Partnerships (OSPIP) Manager

Title:

Gifts for Research, Solicitation and Acceptance of

Publication date:

8/13/2013

Effective date:

4/6/2011

POLICY

A. Purpose

The President of the Regents of the University of California has delegated authority to the Director of Lawrence Berkeley National Laboratory (Berkeley Lab) to solicit and accept gifts, including gifts of equipment, having an individual value not exceeding $100,000. Solicitation or acceptance of individual gifts exceeding $100,000 requires authorization from the University of California Office of the President (UCOP). In addition, authorization by the Regents of the University of California is required for solicitation or acceptance of any gift that exceeds $1 million or involves exceptions to University/Berkeley Lab programs and policies, long-term commitments, construction of facilities, or an interest in real property.
This delegation is subject to the following conditions:

  • Gifts are accepted in the name of, and title rests with, the Regents of the University of California.
  • Gifts must be solicited, accepted, administered, documented, and reported in accordance with applicable University and Laboratory policies and procedures.
  • Gift funds expended at Berkeley Lab are subject to the conditions set forth in Clause H.27 of Contract 31 and the LBNL Contractor-Funded Institutional Supporting Research and Development Program, which is the DOE-approved implementation plan for contractor-funded research and development.

B. Persons Affected

Anyone involved with soliciting and/or accepting gifts for research at the Laboratory

C. Exceptions

Not applicable

D. Policy Statement

A gift imposes no contractual requirements and is given irrevocably. The proposed gift must support the scientific mission of the Laboratory. A gift from nongovernmental entities, earmarked for a specific project or for a principal investigator, is subject to the financial disclosure provisions of the Political Reform Act of 1974. Questions regarding these provisions should be referred to the Laboratory Conflict of Interest Coordinator.

In some cases, particularly where funding is provided from a nonprofit entity, it may be difficult to distinguish between a gift and a sponsored project. The following are characteristics that should be considered to make such a distinction:

Gifts

Sponsored Projects

Contractual requirements are not imposed and the funds are not program-specific. However, objectives may be stated and use of the funds may be specified for a particular purpose such as research in a defined area (e.g., Alzheimer's disease).

The award carries such terms on the use of funds as specified budgetary restrictions, the objectives to be achieved by the use of the funds, the program in which the work will be carried out, the individuals responsible for the completion of the work, the period of performance, indirect costs, invention rights (intellectual property), a schedule of payments.

Award is irrevocable.

Unused funds must be returned to the sponsor.

A period of performance is not specified.

Formal period of performance is stated in an award document.

Formal financial accounting over a specified project period is not required, and there is no requirement to return unexpended funds. Good stewardship does allow general communication as a courtesy to the donor, e.g., reports of expended funds and a description of research status.

Formal financial accounting during the life of the project, at its termination, or both is required. Reports related to the substance of the work during the life of the project, and at project termination, are required by the sponsor. Copies of published and other materials may also be requested. Final deliverables are required.

Generally, funds received from individuals, closely held corporations, and private family foundations will be classified as gifts. Funds received from corporations, corporate foundations, and major foundations also may be classified as gifts, depending on the circumstances.

Generally, research-related awards from corporations, corporate foundations, and major private foundations subject to specific restrictions will be classified as sponsored research.

Procedural Requirements
Approval for acceptance of gifts will not be granted unless all the procedural requirements listed below are satisfied:

  1. A principal investigator must consult with his or her division director before initiating any action. Once the division director has approved the gift, the division office will assist the principal investigator in preparing the gift-acceptance package. For gifts of equipment, the division must ensure an equipment safety evaluation is completed and documented. The Environment/Health/Safety (EHS) Division will provide qualified subject matter experts (SMEs) to conduct the safety evaluations. The division director must review the gift against the criteria for sponsored projects to evaluate whether it should instead be a sponsored project. Questions should be directed to the Office of Sponsored Projects and Industry Partnerships (OSPIP).
  2. The division submits the documentation to OSPIP to review for completeness, accuracy, and adherence to policy. For gifts of equipment, OSPIP will ensure that the division has provided evidence that the safety evaluation and clearance have been completed for the proposed equipment.
  3. OSPIP submits the documentation to the DOE Contracting Officer for approval in accordance with the H-27 Implementation Plan.
  4. Once DOE approval has been obtained, OSPIP submits the director's gift-acceptance package, including the LBNL Gift Acceptance form (UDEV-100), to the Laboratory Director.
  5. After review and acceptance, the Laboratory Director signs the formal letter of acknowledgment, which OSPIP will send to the donor.
  6. If the gift is Laboratory property, OSPIP will notify Property Management to establish a formal inventory record.
  7. If the gift requires UCOP acceptance, OSPIP will forward the necessary forms to the University.
  8. OSPIP will notify the division when the gift processing is complete.
  9. After notification, the division will request that a project be opened by the Budget Office.
  10. No charges may be incurred until OSPIP notifies the division that all processing is complete. For equipment gifts, the actual equipment cannot arrive at Berkeley Lab until after the gift is accepted by the Lab Director (or by UCOP if the value is over $100,000). Items must be delivered directly to the Shipping and Receiving Department and proceed through the same receipt and property procedures as other equipment received by Berkeley Lab. See also Section D.13, Property Acquired as a Gift, of the Personal Property Management Policy.

E. Roles and Responsibilities

OSPIP is responsible for reviewing, processing, and monitoring gift proposals and awards to ensure compliance with University and Laboratory policies. OSPIP is responsible for ensuring that the gift is not better classified as a Sponsored Project. The principal investigator and division director are responsible for making the initial determination of the appropriateness of the gift.

F. Definitions/Acronyms

none

G. Recordkeeping Requirements

None

H. Implementing Documents

Document Number

Title

Type

03.04.001.001

LBNL Gift Acceptance form (UDEV-100)

Form

03.04.001.002

LBNL Contractor-Funded Institutional Supporting Research and Development Program (Revised 7/21/2011)

Plan

 

 

 

I. Contact Information

Office of Sponsored Projects and Industry Partnerships (OSPIP) Manager

J. Revision History

Date

Revision

By whom

Revision Description

Section(s) affected

Change Type

1/2/2012

1

M. Mock

Reformat for wiki

All

Minor

8/13/2013

1.1

L. Young, R. Inada

Specify requirements for gifts that are equipment

Procedural Reqs – 1,2,10

Minor

DOCUMENT INFORMATION

Title:

Gifts for Research, Solicitation and Acceptance of

Document number

03.04.001.000

Revision number

1.1

Publication date:

8/13/2013

Effective date:

4/6/2011

Next review date:

8/13/2015

Policy Area:

Solicitation & Acceptance of Gifts

RPM Section (home)

Conduct of Research and Development

RPM Section (cross-reference)

none

Functional Division

OCFO

Prior reference information (optional)

 

Source Requirements Documents

  • Contract 31, Clause H.27, Contractor-Funded Institutional Supporting Research and Development

Implementing Documents

Document Number

Title

Type

03.04.001.001

LBNL Gift Acceptance form (UDEV-100)

Form

03.04.001.002

LBNL Contractor-Funded Institutional Supporting Research and Development Program (Revised 7/21/2011)

Plan

 

 

 

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