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WN Funding Requests

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    Title:

    WN Funding Request

    Publication date:

    10/11/2018

    Effective date:

    10/11/2018

    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

    Reimbursable Budget Manager


    Title:

    WN Funding Requests

    Publication date:

    10/11/2018

    Effective date:

    10/11/2018

    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

    1. General
      1. 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.
      2. 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.
      3. 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.
      4. Requests for WN funding should be made prior to execution of the award.
    2. Sponsor Criteria
      1. Budget and Reporting (B&R) WN funds authority can be requested for the following Sponsored Research 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 need to be reviewed and approved by the DOE Berkeley Site Office (BSO).
    3. Approval Process and Criteria
      1. Requests for WN funds must be made using the WN Request Form.
      2. 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.
      3. 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 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.
      4. 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

        Contracts Officer (CO)

        • Certifies that the sponsor meets the WN funding criteria and a contract is currently under negotiation.
        • For non-federal sponsors other than state and local governments, coordinates with the Budget Office when the use of WN requires DOE (BSO) approval.
        • Upon final WN approval, finalizes and executes the contract.

        Berkeley Site Office (BSO) designee (if applicable)

        Certifies that the sponsor meets WN funding criteria.

        Budget Officer or designee

        • Certifies that WN funds authority is available and coordinates with the BSO as necessary.
        • Depending on the amount of funds available, the Laboratory Deputy Director for Research may be required to review and approve.
        • Reviews each request and forwards it to the Laboratory Deputy Director for Research for approval as necessary.

        Laboratory Deputy Director for Research (or designee)

        Certifies allocation of WN funds authority is appropriate.

    E. Roles and Responsibilities

    Role

    Responsibility

    Resource Analyst

    • Prepares and completes the WN Funding Request form. Works with the Budget Office as questions arise on whether the sponsor meets the criteria.
    • Obtains the required signatures from the PI and/or Business Manager.
    • Submits the form for review and approval by the CO.
    • Upon project completion, notifies the Budget Office of any unexpended funds and marks Cost are Final in the Electronic System for Research Administration (eSRA).

    Contract Officer (CO)

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

    Budget Officer or designee

    • Reviews the request form and coordinates approvals (if applicable) from the BSO and the Laboratory Deputy Director for Research.
    • Informs the Resource Analyst and CO of request status and/or approval. Notifies all parties if the request requires BSO or Laboratory Deputy Director for Research approval. Final approval will be communicated by e-mail. (NOTE: The BSO approves only the appropriateness of sponsor, not the allocation of WN Funding Authority.)
    • Ensures any unexpended funds are deobligated and returned to DOE Integrated Service Center — Chicago.

    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 Funds

    DOE funds made available to cover advance payments when nonfederal sponsors are precluded from paying based on law or statute

    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. The 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

    11.02.010.000

    Advance Payments for Sponsored Research Projects with Non-Federal Sponsors

    Policy

    I. Contact Information

    Reimbursable Group Budget Manager

    J. Revision History

    Date

    Revision

    By whom

    Revision Description

    Section(s) affected

    Change Type

    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

    1.2

    Publication date:

    10/11/2018

    Effective date:

    10/11/2018

    Next review date:

    10/1/2021

    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

    11.02.010.000

    Advance Payments for Sponsored Research Projects with Non-Federal Sponsors

    Policy

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