Title: |
WN Funding Requests |
Publication date: |
11/3/2023 |
Effective date: |
6/29/2020 |
BRIEF
Policy Summary
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. Berkeley Lab requests and receives a limited amount of WN funding each year for Sponsored Research 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 Sponsored Research projects that require use of WN funds
To Read the Full Policy, Go To:
The POLICY tab on this wiki page
Contact Information
Title: |
WN Funding Requests |
Publication date: |
11/3/2023 |
Effective date: |
6/29/2020 |
POLICY
A. Purpose
Lawrence Berkeley National Laboratory (Berkeley Lab) requests and receives a limited amount of WN funding each year for Sponsored Research sponsors that are precluded by law or statute from paying in advance.
This policy defines the process to request WN funds in support of Berkeley Lab's mission in a manner consistent with Department of Energy (DOE) guidelines.
B. Persons Affected
All Berkeley Lab employees with financial responsibilities for Sponsored Research projects that require use of WN funds when a sponsor is precluded by law or statue from paying in advance.
C. Exceptions
None
D. Policy Statement
- General
- In general, non-federal sponsors must provide advance payments for work performed by Berkeley Lab. However, some sponsors are precluded by law from making advance payments, and the DOE has made WN funds available to address this situation.
- Berkeley Lab may request WN funds from the DOE to cover the required advance payments when sponsors meet the criteria in Sections 2 and 3, below.
- Requests for WN funding are limited by an annual ceiling, which is based on a budget authority request submitted to the DOE in the prior fiscal year.
- Requests for WN funding should be made prior to execution of the award.
- Sponsor Criteria
- WN funds authority can be requested for the following non-DOE sponsors:
- 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.
- Non-federal entities other than a state or local government need to be reviewed and approved by the DOE Site Office.
- WN funds authority can be requested for the following non-DOE sponsors:
- Approval Process and Criteria
- Requests for WN funds must be made using the WN Request Form.
- Requests for the use of WN funds are managed by the Budget Office and are considered on a first-come, first-served basis. WN funding is limited and based on data received in the annual WN and Reimbursable Work data call, which is also included in the reimbursable budget authority request to DOE one fiscal year prior to funding needs.
- Requests for WN that are not included in the annual DOE WN Reimbursable Work data call will be approved based on fund availability and institutional needs. The Laboratory Deputy Director for Research 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 the current fiscal year. If the contract is not signed by the end of the fiscal year, the WN request must be resubmitted to the Budget Office for approval. Requests with signed contracts have priority.
The request must include the following signatures before WN funds are released.
Signor |
Authorization/Description |
Principal Investigator (PI) |
Requests WN funds as required by policy. |
Business Manager or designee |
Approves appropriateness/necessity of request. |
Strategic Partnerships Office (SPO) Contracts Officer (CO) |
|
DOE Site Office designee (if applicable) |
Certifies that the sponsor meets WN funding criteria. |
Budget Officer or designee |
|
Laboratory Deputy Director for Research (or designee) |
Certifies allocation of WN funds authority is appropriate as necessary. |
E. Roles and Responsibilities
Role |
Responsibility |
Resource Analyst |
|
SPO Contract Officer (CO) |
|
Budget Officer or designee |
|
F. Definitions/Acronyms
Term |
Definition |
B&R |
DOE Budget and Reporting classification code |
DOE WN Reimbursable Work Data Call |
Annual request for reimbursable budget authority needs required by DOE one fiscal year prior to funding needs |
WN Funds |
DOE funds made available to cover advance payments when nonfederal sponsors are precluded from paying based on law or statute |
G. Recordkeeping Requirements
None
H. Implementing Documents
Document Number |
Title |
Type |
11.02.007.001 |
Form |
|
11.02.010.000 |
Advance Payments for Sponsored Research Projects with Non-Federal Sponsors |
Policy |
I. Contact Information
J. Revision History
Date |
Revision |
By Whom |
Revision Description |
Section(s) Affected |
Change Type |
11/3/2023 |
1.4 |
S. Bennett |
Periodic review: minor policy clarifications |
D |
Minor |
6/29/2020 |
1.3 |
S. Bennett |
Periodic Review: minor editorial updates |
D, E; Pub & next review dates |
Minor |
4/10/18 |
1.2 |
M. Fix |
Clarifications to existing policy |
All |
Minor |
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 |
1.4 |
Publication date: |
11/3/2023 |
Effective date: |
6/29/2020 |
Next review date: |
11/30/2026 |
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 |