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REQUIREMENTS AND POLICIES MANUAL

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WN Funding Requests

Title:

WN Funding Requests

Publication date:

3/25/2013

Effective date:

12/31/2010

BRIEF

Policy Summary

This policy defines the process to request WN funds in support of the Berkeley Lab mission in a manner consistent with Department of Energy (DOE) guidelines. Berkeley Lab receives a limited amount of WN funding each year for Work for Others sponsors that are precluded by law or statute from paying in advance.

Who Should Read This Policy

All Berkeley Lab employees with financial responsibilities for WN funds

To Read the Full Policy, Go To:

The POLICY tab on this wiki page

Contact Information

Direct Budget Manager

Title:

WN Funding Requests

Publication date:

3/25/2013

Effective date:

12/31/2010

POLICY

A. Purpose

This policy defines the process to request WN funds in support of the Lawrence Berkeley National Laboratory (Berkeley Lab) mission in a manner consistent with Department of Energy (DOE) guidelines.

B. Persons Affected

All Berkeley Lab employees with financial responsibilities for WN funds

C. Exceptions

None

D. Policy Statement

  1. Sponsor Criteria
    1. Budget and Reporting (B&R) WN funds authority can be requested for the following Work for Others sponsors:
      1. Non-federal entities for which the sponsor is precluded by law or statute from providing advance payment, which are typically state and local governments. All requests will be reviewed and approved by the Budget Office on a case-by-case basis.
      2. Non-federal entities other than a state or local government will need to be reviewed and approved by the DOE Berkeley Site Office (BSO).
  2. Approval Process and Criteria
    1. Requests for WN funds included in the DOE Field Budget submission process, which is submitted two years prior to being funded by the current year's funding authority level, will be considered on a first-come, first-served basis and managed by the Budget Office. If a request is received after the current year's ceiling has been expended, it may be funded with WN carryover funding. Provided that there are carryover funds available, the request will be approved based on fund availability and institutional needs.
    2. Requests for WN that are not included in the DOE Field Budget submission process will be approved based on fund availability and institutional needs. The Deputy Director has authorized the Budget Office to approve individual requests based on the availability of funds. Requests for WN can be approved prior to having a signed contract in place but the approval is only valid for six months. If it takes longer than six months to get the contract signed, the WN request must be resubmitted to the Budget Office for approval. Requests with signed contracts have priority.
    3. The request must include the following signatures before WN Funds are released:

Signor

Authorization/Description

Principal Investigator

Formal requestor

Business Manager

Signifies division approval

OSPIP Contracts Officer

  • Certifies that sponsor meets the WN funding criteria and a contract has been signed or is currently under negotiation
  • For non-federal sponsors other than state and local governments, certifies that use of WN requires DOE approval

Berkeley Site Office (BSO) Finance Manager (if applicable)

Certifies that sponsor meets WN funding criteria

Budget Officer

Certifies that WN Funds Authority is available. Depending on the amount of funds available, the Deputy Director may be required to review and approve.

Deputy Director of Operations (or designate)*

Allocation of WN Funds Authority is appropriate

* The Budget Office will review each request and forward it to the Deputy Director for approval as necessary.

E. Roles and Responsibilities

Role

Responsibility

Resource Analyst

  • Prepares and completes the WN Funding Request form. Works with the Budget Office questions arise on whether the sponsor meets the criteria.
  • Coordinates and obtains the required signatures; the form must be signed by the principal investigator and business manager
  • Upon project completion, notifies the Budget Office of any unexpended funds

Office of Sponsored Projects and Industry Partnerships (OSPIP)

  • Reviews and signs the request form
  • Forwards the request form to the Budget Office for review and approval, with a copy of the state statute, which says the sponsor is prohibited from paying in advance

Budget Office

Reviews the request form
Coordinates approvals (if applicable) from BSO* and the Deputy Director

  • Informs the Resource Analyst and the OSPIP Contracts Officer on whether the request has been approved by the Budget Office or sent to BSO* or the Deputy Director for approval. The OSPIP Contracts Officer will be informed by e-mail upon final approval.
  • Any unexpended funds are to be released to the Budget Office and will be used based on institutional needs.

    * BSO only approves appropriateness of sponsor, not the allocation of WN Funding Authority.

F. Definitions/Acronyms

Term

Definition

B&R

DOE Budget and Reporting classification code

BARC

Budget and Reporting Classification

Field Budget Submission

DOE Annual Budget Call each spring for inclusion in the President's budget presented to Congress. Field budget formulation takes place two years prior to the execution year.

WN Carryover Funding

WN Budget Authority obligated in prior fiscal years that is not associated with a specific contract, and unexpended balances from complete projects. DOE has authorized use of carryover funds for projects that meet the WN criteria.

G. Recordkeeping Requirements

None

H. Implementing Documents

Document Number

Title

Type

11.02.007.001

WN Request Form

Form

11.02.007.002

DOE BARC Report

Report

11.02.010.000

Advance Payments for Nonfederal Work for Others (WFO) Sponsors

Policy

I. Contact Information

Direct Budget Manager

J. Revision History

Date

Revision

By whom

Revision Description

Section(s) affected

Change Type

3/25/2013

1.1

Lundell

Review completed 12/31/2012, no changes

Pub & next review dates

Minor

1/2/2012

1

M. Mock

Reformat for wiki

All

Minor

DOCUMENT INFORMATION

Title:

WN Funding Requests

Document number

11.02.007.000

Revision number

1.1

Publication date:

3/25/2013

Effective date:

12/31/2010

Next review date:

12/31/2014

Policy Area:

Budget

RPM Section (home)

Financial Management

RPM Section (cross-reference)

Section 11.47

Functional Division

OCFO

Prior reference information (optional)

RPM, Chapter 11, Section 11.47

Source Requirements Documents

DOE Accounting Handbook, Chapter 13, paragraph 2 (g)

Implementing Documents

Document Number

Title

Type

11.02.007.001

WN Request Form

Form

11.02.007.002

DOE BARC Report

Report

11.02.010.000

Advance Payments for Nonfederal Work for Others (WFO) Sponsors

Policy

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