Title: |
Overview for Performing DOE Inter-entity Work |
Publication date: |
6/15/2020 |
Effective date: |
1/30/2019 |
BRIEF
Policy Summary
Lawrence Berkeley National Laboratory (Berkeley Lab) sometimes receives requests to perform work for another Department of Energy (DOE) laboratory or a segment of DOE. This work, formerly known as "Management and Operating (M&O) Contractor Funding," is known as inter-entity work (IEW). This document defines guidelines for processing funding from another DOE M&O contractor to Berkeley Lab.
The Strategic Partnerships Office (SPO) is responsible for reviewing all IEW proposals. Further, the SPO has authority to accept awards for IEW if the funding is under $1 million. This policy and its associated procedures describe the requirements for the management of IEW funds.
Who Should Read This Policy
Any Berkeley Lab employee involved with submitting, reviewing, or approving proposals and accepting, performing, or administering awards from DOE Integrated Contractor sponsors
To Read the Full Policy, Go To:
The POLICY tab on this wiki page
Contact Information
Strategic Partnerships Office (SPO)
Managing Contracting Officer
Title: |
Overview for Performing DOE Inter-entity Work |
Publication date: |
6/15/2020 |
Effective date: |
1/30/2019 |
POLICY
A. Purpose
Lawrence Berkeley National Laboratory (Berkeley Lab) sometimes receives requests to perform work for another Department of Energy (DOE) laboratory or a segment of DOE. This work, formerly known as "Management and Operating (M&O) Contractor Funding," is known as inter-entity work (IEW). This document defines guidelines for processing funding from another DOE M&O contractor to Berkeley Lab.
The Strategic Partnerships Office (SPO) is responsible for reviewing all IEW proposals. Further, the SPO has authority to accept awards for IEW if the funding is under $1 million. This policy and its associated procedures describe the requirements for the management of IEW funds.
B. Persons Affected
Any Berkeley Lab employee involved with submitting, reviewing, or approving proposals and accepting, performing, or administering awards from DOE M&O sponsors
C. Exceptions
None
D. Policy Statement
- General
- "Inter-entity" is defined as work performed by one DOE office or DOE site/facility management contractor for another. DOE site/facilities management contractors are frequently referred to as Management and Operating (M&O) contractors and/or DOE integrated contractors.
- Berkeley Lab will follow the requirements of Contract 31 and Chapter 12 of the DOE Financial Management Handbook when processing inter-entity work (IEW).
- The SPO Contracts Officers (COs) have delegated authority from DOE to accept DOE contractor orders under $1 million without DOE approval. Therefore, the SPO is the institutional organization responsible for submitting proposals and accepting awards for IEW from DOE integrated / M&O contractors.
- Proposals to other DOE entities
- DOE approval. DOE approval is not required for inter-entity proposals.
- Standard process. The SPO will apply the same process it uses for Sponsored Research, including Conflict of Interest (COI); Environment, Safety & Health (ES&H); and Animal and Human Subjects Research approvals.
- Submission to sponsor. The SPO CO prepares the inter-entity proposal transmittal letter within eSRA; attaches the proposed scope of work, budget, and other sponsor application forms, if required; and transmits the paperwork to the inter-entity sponsor contact identified by the scientific division.
- Awards to Berkeley Lab from other DOE entities
- An inter-entity award may be issued to Berkeley Lab as a Memorandum Purchase Order (MPO) or similar contracting mechanism (i.e., subcontract, standard purchase order, etc.), or as an Inter-entity Work Order (IEW Order).
- MPO (Less than $1 million)
- The MPO is used by M&O / integrated contractors if the project is expected to be under $1 million in funding. The MPO must be reviewed by the SPO to ensure that it provides the terms and conditions under which work performed by Berkeley Lab is compliant with Contract 31.
- Other terms including the budget and scope of work must also be reviewed for acceptability. If the scope of work or budget differs from what Berkeley Lab proposed, the scientific division must be consulted to ensure it accepts the changes and the funding level.
- If the MPO is acceptable, the SPO CO signs the MPO and returns a copy to the sponsor.
- In the event that a modification of the MPO increases the total value of the MPO to over $1 million, an IEW Order must be issued as described below.
- IEW Order (More than or Equal to $1 Million): The IEW Order is used by M&O/integrated contractors if the project is expected to be $1 million or greater in funding (See the IEW Order form for an example). Sometimes, the sponsor also sends a contractual document (which could be an MPO) along with the IEW Order to provide for additional terms and conditions. The IEW Order is initiated by the M&O/integrated contractor sponsor, approved by their DOE Contracting Officer, and then sent to the SPO.
- IEW Order Process
- If the IEW Order is accompanied by a contractual document (e.g., MPO), the SPO CO reviews it to ensure it provides the terms and conditions under which work performed by Berkeley Lab is compliant with Contract 31.
- Other terms, including the budget and scope of work, must also be reviewed for acceptability. If the scope of work or budget differs from what Berkeley Lab proposed, the SPO CO must consult with the scientific division to ensure it accepts the changes and the funding level.
- If the IEW Order, along with its contractual document, is acceptable, the SPO CO signs the contractual document (e.g., MPO and IEW). If the transaction value of the IEW Order is over $1 million, the SPO CO forwards only the IEW Order to the DOE Bay Area Site Office (BASO) Contracting Officer for signature. (No proposal is required by DOE for this type of award document.)
- Upon receipt of the approved IEW Order from the BSO, the fully executed IEW Order and contractual document (if appropriate) are transmitted by the SPO to the sponsor.
- Award Authorization: The SPO CO enters award data elements in the Electronics System for Research Administration (eSRA) and authorizes the award. Once activated, the award is routed to the principal investigator (PI), division post-award analyst, and appropriate Office of the Chief Financial Officer (OCFO) groups.
E. Roles and Responsibilities
Managers, supervisors, and employees have the responsibility to adhere to the provisions of this policy.
Role |
Responsibility |
Division |
|
Strategic Partnerships Office |
|
F. Definitions/Acronyms
Term |
Definition |
DOE Integrated Contractor |
An integrated contractor is a contractor that works for DOE; uses DOE funds to finance its operations under a cost-type contract; and maintains a separate set of accounts and records for the recording and reporting of all business transactions under the contract in accordance with DOE accounting practices and procedures, and whose accounts, maintained for operations under the contract, are integrated with those of DOE |
DOE Management and Operating (M&O) Contractors |
Private-sector companies, universities, and nonprofit organizations that manage DOE national laboratories and production installations through a DOE site/facility M&O contract |
ICO |
Integrated Contractor Order |
IEWO |
Inter-entity Work Order |
Management and Operating (M&O) Contract |
"An agreement under which the Government contracts for the operation, maintenance, or support, on its behalf, of a Government-owned or controlled research, development, special production, or testing establishment wholly or principally devoted to one or more major programs of the contracting Federal agency." (Source: Federal Acquisition Regulation [FAR] 17.601) |
MPO |
Memorandum Purchase Order is a contractual mechanism under which a DOE M&O Contractor performing under its M&O contract procures work from another DOE M&O Contractor |
G. Recordkeeping Requirements
None
H. Implementing Documents
None
I. Contact Information
Strategic Partnerships Office (SPO)
Managing Contracts Officer
J. Revision History
Date |
Revision |
By Whom |
Revision Description |
Section(s) Affected |
Change Type |
6/15/2020 | 2.1 | S. Iwatate | Minor language clarifications (D.3.4.3) and R&R clarification for SPO (E) | D, E | Minor |
10/3/2018 |
2 |
D. Garcia |
Update for changes to terminology consistent with DOE Financial Management Handbook; update for OSPIP/SPO change; WFO to SPP change |
All |
Major |
11/11/2012 |
1.1 |
R.Inada |
Periodic review completed 10/23/12; no changes |
Pub & rev dates |
Minor |
5/14/2012 |
1 |
M. Mock |
Re-format for wiki (policy) |
All |
Minor |
1/2/2012 |
0 |
M. Mock |
Re-format for wiki (brief) |
All |
Minor |
DOCUMENT INFORMATION
Title: |
Overview for Performing DOE Inter-entity Work |
Document number |
06.01.008.000 |
Revision number |
2.1 |
Publication date: |
6/15/2020 |
Effective date: |
1/30/2019 |
Next review date: |
6/15/2023 |
Policy Area: |
Non-DOE Funded Project Mechanisms |
RPM Section (home) |
Non-DOE Funded Project |
RPM Section (cross-reference) |
none |
Functional Division |
SPO |
Prior reference information (optional) |
Source Requirements Documents
Other References
- DOE Management & Operating Contractors, DOE's official list of DOE M&O contractors
Implementing Documents
None