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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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