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Work for Others (WFO) Overview

    Title:

    Work for Others (WFO) Overview

    Publication date:

    4/16/2013

    Effective date:

    3/25/2011

    BRIEF

    Policy Summary

    The UC-DOE Prime Contract, Clause I.134, authorizes the University of California (UC) to perform Work for Others (non-Department of Energy [DOE] entities) in compliance with applicable laws, regulations, and DOE policy. Berkeley Lab's Office of Sponsored Projects & Industry Partnerships (OSPIP) is responsible for submitting all proposals to and accepting all awards from non-DOE sponsors. All proposals and awards for sponsored research must be processed by the OSPIP Contracts Officers (COs).

    This policy describes the requirements and processes for all Work for Others funding, such as:

    • Non-federal funding
    • Federal funding, except National Institutes of Health (NIH)
    • NIH funding

    Who Should Read This Policy

    Any Berkeley Lab employee involved with submitting, reviewing, or approving proposals and accepting, performing, or administering awards from non-DOE sponsors

    To Read the Full Policy, Go To:

    The POLICY tab on this wiki page

    Contact Information

    Office of Sponsored Projects & Industry Partnerships (OSPIP) Manager

    Title:

    Work for Others (WFO) Overview

    Publication date:

    4/16/2013

    Effective date:

    3/25/2011

    D. Policy Statement
    D.1 General
    D.2 Non-federal WFO Sponsors
    D.3 Federal Sponsors (Non-NIH)
    D.4 National Institutes of Health (NIH)

    POLICY

    A. Purpose

    This policy describes the requirements and processes for all Work for Others funding, such as:

    • Non-federal funding
    • Federal funding, except National Institutes of Health (NIH)
    • NIH funding

    The UC-DOE Prime Contract, Clause I.134, authorizes the University of California (UC) to perform Work for Others (work for non-Department of Energy [DOE] entities) in compliance with applicable laws, regulations, and DOE policy. The Office of Sponsored Projects & Industry Partnerships (OSPIP) is the Lawrence Berkeley National Laboratory (Berkeley Lab) organization responsible for submitting all proposals to and accepting all awards from non-DOE sponsors.

    B. Persons Affected

    Any Berkeley Lab employee involved with submitting, reviewing, or approving proposals and accepting, performing, or administering awards from non-DOE sponsors

    C. Exceptions

    None

    D. Policy Statement

    D.1 General

    Work for Others (WFO) applies to all research projects fully funded by non-DOE entities. All proposals and awards for sponsored research must be processed by the OSPIP Contracts Officers (COs). (OSPIP COs have been delegated authority by the Berkeley Lab Director to submit proposals and negotiate and accept awards in accordance with UC policy.)

    D.2 Non-federal WFO Sponsors

    1. Proposals – Non-federal Sponsors: Proposals are prepared by the division's principal investigator (PI) and administrative support group. All proposals submitted to OSPIP must include the required Berkeley Lab and sponsor forms, scope of work, and budget, and must be approved by the PI and division director or an authorized designee. The OSPIP COs are responsible for officially submitting all proposals to non-DOE entities or non-federal sponsors. For proposals submitted to non-federal sponsors, OSPIP COs should give special attention to the following:
      1. Sponsor Solicitation, if Any
        1. The OSPIP CO must review the solicitation to ensure that Berkeley Lab is not responding to a federal Request for Proposal (RFP) but is instead responding to Broad Agency Announcement (BAA) solicitation as allowed by DOE (including requests for applications, program announcements, etc.). Once a determination has been made, the OSPIP CO must ensure that Berkeley Lab meets sponsor eligibility requirements and that the solicitation does not contain sponsor requirements that would prevent Berkeley Lab from responding.
        2. The OSPIP CO ensures that a Web site for the solicitation is included in the RAPID DOE Review Factor for Broad Agency Announcements so it can be transmitted to the DOE/Berkeley Site Office (BSO).
        3. If Berkeley Lab's immediate sponsor is responding to a federal solicitation, the OSPIP CO must review the federal solicitation to ensure that Berkeley Lab and its immediate sponsor are not responding to an RFP but are instead responding to a BAA as allowed by DOE (including requests for applications, program announcements, etc.). (See OSPIP Questions and Answers on Responding to Solicitations.)
        4. Once that determination is made, the OSPIP CO ensures that Berkeley Lab meets the federal agency's eligibility requirements and that the solicitation does not contain requirements that would prevent Berkeley Lab from participating.
      2. Description of Berkeley Lab's Unique Capabilities. The division's description of Berkeley Lab's special expertise, unique capability, or unique facilities for the performance of work is a key element in the proposal, assuring DOE that Berkeley Lab is not directly competing with the private sector.
      3. OSPIP Intellectual Property Review. The OSPIP CO determines whether the class waiver is applicable.
      4. Advance Payment. All non-federal entities must pay an advance prior to start of work. The only exceptions are state and local governments precluded by law from making advance payments.
      5. Sponsor Is a Foreign Entity. If the sponsor is a foreign entity, the OSPIP CO needs to send the proposal to the Berkeley Lab Counsel's Office for an export-control review.
      6. Human and Animal Use Approvals. If the proposal indicates that use of human or animal research subjects are involved, the OSPIP CO must check that all necessary Human and Animal Regulatory Committees Office (HARC)-coordinated approvals are obtained. (See Human and Animal Subjects Research.)
      7. Conflict of Interest Review. Berkeley Lab's Research and Institutional Integrity Office (RIIO) is the office of record for the original conflict-of-interest forms for both positive and negative disclosures. OSPIP receives copies of both positive and negative disclosures. (See Conflict of Interest policies.) If there is a positive response to a disclosure, the OSPIP CO should follow up with the division to remind it to work with the Berkeley Lab Conflict of Interest Coordinator to resolve the issue. Awards cannot be authorized until a positive conflict of interest has been resolved.
      8. National Environmental Policy Act (NEPA)/California Environmental Quality Act (CEQA). OSPIP must verify that the Berkeley Lab NEPA/CEQA Program has approved the proposal. (See NEPA/CEQA.)
      9. OSPIP Proposal Approval and WFO Agreement
        1. The OSPIP CO should determine which non-federal WFO agreement is most appropriate for the proposal.
        2. The OSPIP CO should determine from the PI if materials, samples, equipment, or people will be received from the sponsor and sent to Berkeley Lab. If not, the general indemnity can be reserved if the sponsor will not accept the standard general indemnity clause.
        3. Once the OSPIP CO has decided which agreement is appropriate for the project, the OSPIP CO reviews the Research Administration Proposal/Project Information Database (RAPID)/Proposal Review/Intellectual Property panel to ensure it has been completed correctly. The OSPIP CO then prints the Allocation of Patent Rights under Non-Federal Work for Others. DOE will submit its approvals via RAPID.
      10. Submission to Sponsor
        1. The OSPIP CO prepares the proposal transmittal letter and the selected non-federal WFO contract. The transmittal letter; proposed non-federal WFO contract; and proposed scope of work, budget, and other sponsor application forms, if required, are transmitted to the non-federal sponsor contact identified by the scientific division. Sponsor contact information is entered by the division analyst in the RAPID/Proposal Submission panel and is printed on the WFO Sponsored Projects Proposal Form (SPPF).
        2. The RAPID/Proposal Submission panel is updated with the dates the proposal was received from the division and sent to the sponsor.
      11. DOE Review
        1. The OSPIP CO must ensure DOE approval for all proposals prior to authorization of an award.
        2. In accordance with the DOE/BSO memorandum of 6/11/2002, proposals in response to solicitations for which funding is uncertain are not submitted to DOE until the sponsor notifies Berkeley Lab that funding is pending. Examples of these types of proposals include those submitted to the NIH, the University of California Special Research Program, and the Department of Defense (DOD) Congressionally Directed Medical Research Program.
    2. Awards – Non-Federal Sponsors
      1. OSPIP Award Negotiations
        1. The OSPIP CO contacts the sponsor's contracts office to determine if the sponsor has any questions or issues on the proposed contract.
        2. If the proposed contract terms are acceptable, the OSPIP CO requests that the sponsor sign the contract and return it to the OSPIP CO. When the OSPIP CO receives the contract with the sponsor's signature, the OSPIP CO also signs the contract and prepares a transmittal letter. The OSPIP CO then sends the executed contract back to the sponsor and with a reminder to make the advance payment, if applicable. This can be done with electronic copies if acceptable to the sponsor.
        3. If negotiations on contract terms are necessary, the OSPIP CO should not agree to changes to terms and conditions unlikely to be approved by DOE. The OSPIP CO should only agree to changes that have a reasonable chance of obtaining DOE approval.
        4. In addition, if the sponsor's proposed changes to contract terms restrict Berkeley Lab's ability to publish and are in violation of the Publications Restrictions Policy, the OSPIP CO must prepare a Publication Restriction Memorandum asking for the Berkeley Lab Director's approval of the contract changes.
        5. Once contract negotiations are complete, the OSPIP CO prepares an e-mail explaining the basis for each change and submits the changes to the DOE/BSO Contracting Officer for approval.
        6. The OSPIP CO should follow up with the DOE/BSO Contracting Officer to determine if the negotiated contract terms are acceptable. If not, changes to the negotiated contract are renegotiated until the sponsor, DOE, and Berkeley Lab agree on the contract terms. Signatures on the negotiated contract and advance payment, if required, are then obtained from the sponsor.
      2. Advance Invoice. When it appears an agreement will be signed, an advance invoice is requested by Contract Accounting.
      3. Award Authorization. Once all the required Berkeley Lab and DOE approvals have been obtained for the award, the OSPIP CO follows the procedures to enter the needed information into RAPID system. A Sponsored Project Award Authorization (SPAA), with the award document attached, is sent to the division PI, division analyst, Contract Accounting, and Budget Office. Any special terms or restrictions are noted on the SPAA.

    D.3 Federal Sponsors (Non-NIH)

    1. Proposals – Federal Sponsors (Non-NIH): Proposals are prepared by the division's PI and administrative support group. All proposals submitted to OSPIP for submittal need to include the required Berkeley Lab and sponsor forms, scope of work, and budget, and must be approved by the PI and division director or an authorized designee. The OSPIP CO has the institutional review responsibility for officially submitting all proposals to non-DOE entities. For proposals submitted to federal government sponsors, OSPIP COs should give special attention to the following:
      1. Sponsor Solicitation
        1. If the proposal is in response to a published sponsor solicitation, the OSPIP CO must review the solicitation in accordance with OSPIP's guidance on responding to federal solicitations to ensure that Berkeley Lab is not responding to a federal RFP but is instead responding to a BAA solicitation as allowed by DOE (including request for applications, program announcements, and program research and development announcements).
        2. Once that determination has been made, the OSPIP CO must ensure that Berkeley Lab meets sponsor eligibility requirements and that the solicitation contains no sponsor requirements that would prevent Berkeley Lab from responding. The OSPIP CO ensures that the title and Web address for the solicitation is provided so it may print out on the RAPID DOE Review Factor for Broad Agency Announcements.
      2. Description of Berkeley Lab's Unique Capabilities. The division's description of Berkeley Lab's special expertise, unique capability, or unique facilities for the performance of work is a key element that provides DOE the basis to make its determination that Berkeley Lab is not directly competing with the private sector. Include the phrase "The work should not be available from commercial sources" in the RAPID DOE Review Factor for the Uniqueness Statement.
      3. Exception to Full Cost Recovery. A list of exempt federal sponsors is provided in the DOE Guidance Memo of 10/29/1998. Additional memos were issued to include blanket pricing exceptions for work performed in support of counterterrorism and homeland security (see DOE Guidance Memo of 5/8/2002).
      4. Subcontracting. If there is subcontracting in excess of $100,000 and/or exceeding 40% of total project costs, it could dilute Berkeley Lab's assertion that it is uniquely qualified to perform the proposed work, since a high level of outside assistance is required. Berkeley Lab, not the federal agency sponsor, must be responsible for subcontractor selection. This prevents the sponsoring agency from circumventing the Competition in Contracting Act. The explanation of the subcontract activity should be included in the RAPID DOE Review Factor for Subcontracting.
      5. Animal/Human Subjects. If the proposal indicates that use of human or animal research subjects are involved, the OSPIP CO must check that all necessary Human and Animal Regulatory Committees Office (HARC) coordinated approvals are obtained. (See Human and Animal Subjects Research.)
      6. National Environmental Policy Act (NEPA)/California Environmental Quality Act (CEQA). OSPIP must verify that the Berkeley Lab NEPA/CEQA Program has approved the proposal. (See NEPA/CEQA.)
      7. Conflict of Interest
        1. Berkeley Lab's Research and Institutional Integrity Office (RIIO) is the office of record for the original conflict of interest forms for both positive and negative disclosures. OSPIP receives copies of both positive and negative disclosures. (See Conflict of Interest policies.)
        2. If there is a positive response to a disclosure, the OSPIP CO should remind the division to work with the Berkeley Lab Conflict of Interest Coordinator to resolve the issue.
        3. Awards cannot be authorized until a positive conflict of interest has been resolved.
      8. Non-nuclear Proliferation. If the proposal involves work related to non-nuclear proliferation, counterterrorism, or intelligence-related activities, the Berkeley Lab Office of Homeland Security approval is required before submittal to OSPIP.
      9. Restriction on Publications. If the sponsor requests to restrict Berkeley Lab's ability to publish to an extent that it violates the Publications Restrictions Policy, the Berkeley Lab Director's approval must be obtained prior to agreeing to the requested change. The OSPIP CO prepares the Publication Restriction Memorandum and obtains approval from the Berkeley Lab Director.
      10. Proposal Submission to Sponsor. The OSPIP CO sends the WFO federal-proposal transmittal letter, proposed scope of work, budget, and other sponsor application forms, if required, to the federal-sponsor contact identified by the scientific division. Electronic proposal submission through grants.gov will be prepared and submitted using the eSRA system. The OSPIP CO ensures that LDRD is identified in the budget and the sponsor is informed of LDRD costs per the DOE Guidance Memo of 4/30/2002. There is a separate proposal transmittal letter for funding directly from the Department of Homeland Security. The OSPIP CO updates the fields in RAPID regarding OSPIP review and approval of proposals.
      11. DOE Review
        1. The OSPIP CO must ensure DOE approval for all proposals prior to authorization of an award. The DOE guidance letter of 10/8/1996 states that proposals for fellowships or conference support do not require DOE approval. 
        2. In accordance with the DOE/BSO Memorandum of 6/11/2002, proposals in response to solicitations for which funding is uncertain are not submitted to DOE until the sponsor notifies Berkeley Lab that funding is pending. Examples of these types of proposals include those submitted to the NIH, the University of California Special Research Program, the DOD Congressionally Mandated and Directed Research Program.
    2. Awards – Federal Sponsors (Non-NIH)
      1. Federal Sponsor Award Document. The OSPIP CO receives the federal-sponsor award document, reviews it for appropriate Berkeley Lab and DOE approval requirements, and coordinates with the scientific division to gain concurrence if the proposed scope of work and budget have been altered in the award document. The OSPIP CO also negotiates, if necessary, with the federal sponsor if the terms of the award are unacceptable.
      2. Funding Order Reconciliation Sheet. The OSPIP CO prepares the Funding Order Reconciliation Sheet, scans the Funding Order Reconciliation and the federal-sponsor award document, and e-mails the package to the DOE/BSO. Within five working days of submittal of the federal-sponsor award document to DOE, the OSPIP CO follows up to ensure approval.
      3. DOD Congressionally Mandated Research Program (CMRP). The DOD CMRP (such as the DOD Breast Cancer Research Program) and NIH grant award document is not sent to DOE/BSO for acceptance. Instead, the OSPIP CO sends a DOD CMRP Award transmittal letter and a copy of the award to DOE/BSO for its records.
      4. Award Authorization. DOE signs the award and mails it to the sponsor along with the required cover letter stating LDRD costs. A copy is provided to OSPIP. Once all required Berkeley Lab and DOE approvals have been obtained for the award, the OSPIP CO follows the procedures to enter the needed information into RAPID. The SPAA and award document are sent to the PI, the division, Contract Accounting, and the Budget Office. Any special terms are noted on the SPAA.

    D.4 National Institutes of Health (NIH)

    1. Proposals – NIH: Proposals are prepared by the division's PI and administrative support group. All proposals submitted to OSPIP for submittal need to include the required Berkeley Lab and sponsor forms, scope of work, and budget, and must be approved by the PI and division director or an authorized designee. The OSPIP CO has the institutional review responsibility for officially submitting all proposals to non-DOE entities. OSPIP COs should give special attention to the following:
      1. Sponsor (NIH) Solicitation
        1. The OSPIP CO must review the solicitation to ensure that Berkeley Lab is not responding to a request that is similar to a federal Request for Proposal (RFP) but is instead responding to a solicitation similar to a Broad Agency Announcement (BAA) as allowed by DOE (including requests for applications, program announcements, etc.). Once a determination has been made, the OSPIP CO must ensure that Berkeley Lab meets sponsor eligibility requirements and that the solicitation contains no sponsor requirements that would prevent Berkeley Lab from responding.
        2. All electronic submissions will be in response to a program announcement, or the PI will use the appropriate "parent announcement" (see Definitions/Acronyms, below). The program announcement must be selected before beginning the electronic proposal because the application package is specific to the program announcement or parent announcement. Grants.gov submissions will be prepared and submitted using the Berkeley Lab eSRA system. If the proposal is still using the NIH paper process and is in response to a program announcement or other NIH solicitation, "Item No. 2" on the NIH face page will be flagged "YES" and the solicitation identified.
        3. Once that determination has been made, the OSPIP CO must ensure that Berkeley Lab meets sponsor eligibility requirements, and that the solicitation contains no sponsor requirements that would prevent Berkeley Lab from responding. The OSPIP CO ensures that the title and Web address for the solicitation is provided so it may print out on the RAPID DOE Review Factor for Broad Agency Announcements for transmittal to DOE.
      2. Description of Berkeley Lab's Unique Capabilities. The division's description of Berkeley Lab's special expertise, unique capability, or unique facilities for the performance of work is a key element that provides DOE the basis to make its determination that Berkeley Lab is not directly competing with the private sector. Include the phrase "The work should not be available from commercial sources" in the RAPID DOE Review Factor for the Uniqueness Statement.
      3. Exception to Full Cost Recovery. A list of exempt federal sponsors including NIH is provided in the DOE Guidance Memo of 10/29/1998. Additional memos were issued to include blanket pricing exceptions for work performed in support of counterterrorism and homeland security (see DOE Guidance Memo of 5/8/2002).
      4. Subcontracting. If there is subcontracting in excess of $100,000 and/or exceeding 40% of total project costs, it could dilute Berkeley Lab's assertion that it is uniquely qualified to perform the proposed work, since a high level of outside assistance is required. Berkeley Lab, not the federal agency sponsor, must be responsible for subcontractor selection. This prevents the sponsoring agency from circumventing the Competition in Contracting Act. The explanation of the subcontract activity should be included in the RAPID DOE Review Factor for Subcontracting.
      5. Animal/Human Subjects. If the proposal indicates that use of human or animal research subjects are involved, the OSPIP CO must check that all necessary Human and Animal Regulatory Committees Office (HARC)-coordinated approvals are obtained. (See Human and Animal Subjects Research.)
      6. National Environmental Policy Act (NEPA)/California Environmental Quality Act (CEQA). OSPIP must verify that the Berkeley Lab NEPA/CEQA Program has approved the proposal. (See NEPA/CEQA.)
      7. Conflict of Interest
        1. Berkeley Lab's Research and Institutional Integrity Office (RIIO) is the office of record that receives the original conflict of interest forms for both positive and negative disclosures. OSPIP receives copies of both positive and negative disclosures. (See Conflict of Interest policies.)
        2. If there is a positive response to a disclosure, the OSPIP CO should follow up with the division to remind it to work with the Berkeley Lab Conflict of Interest Coordinator to resolve the issue.
        3. Awards cannot be authorized until a positive conflict of interest has been resolved.
      8. Non-Nuclear Proliferation. If the proposal involves work related to non-nuclear proliferation, counterterrorism, or intelligence-related activities, Berkeley Lab Office of Homeland Security approval is required before submittal to OSPIP. 
      9. Proposal Submission to NIH. After proposal review, the OSPIP CO prepares the NIH proposal transmittal letter for non-Grants.gov proposals. The transmittal letter and proposed NIH grant application are submitted to the NIH Center for Scientific Review or electronically through Grants.gov.
      10. NIH Integrated Review Group (IRG) Notices
        1. The OSPIP CO receives a notice by e-mail and then accesses the grant assignment number in eRA Commons.
        2. If the proposal is in RAPID, the OSPIP CO updates the sponsor in the Maintain Proposal header in RAPID to reflect the institute to which the proposal is assigned. The NIH Application ID is entered into the RAPID Submission Panel Sponsor Proposal ID field.
        3. If the proposal is in eSRA, the OSPIP CO updates the sponsor and the NIH Application ID by clicking on the Update Sponsor and Application Number button.
      11. Peer Review
        1. After the proposal has been assigned to an NIH Integrated Review Group (IRG), NIH sends the proposal for peer review.
        2. Based on the rankings by the reviewers, the bottom 50% of proposals will not be reviewed by the NIH IRG. A letter may be sent to the PI indicating there will be no further review. The status in Commons is changed to "Unscored" or "Not Discussed."
          1. The OSPIP CO accesses the proposal file, updates the RAPID proposal status to "Not Funded," or selects "Submission Rejected" in eSRA.
        3. After the formal IRG review, proposals are ranked and sent to the NIH Awarding Institute's advisory group, which makes the final funding decision.
        4. For those proposals that fall below the fundable range for the NIH Awarding Institute to which the proposal is assigned, the PI and OSPIP receive a letter indicating that funding is unlikely.
          1. The OSPIP CO pulls the proposal file, updates the RAPID Proposal Status to "Not Funded," or uses the "Submission Rejected" activity in eSRA.
      12. Just-in-Time (JIT). For those proposals above the fundable range, the PI and/or OSPIP will receive an e-mail with a Just-in-Time notice requesting updates for approvals, current "other support" (see Definitions/Acronyms, below) and other requests (e.g., revised budget). Just-in-Time requests sent to the division are tracked in eSRA with the activities "Request NIH Other Support" and "Request NIH Updated F&A."
        1. At any JIT request, or when OSPIP is notified NIH funding is probable, OSPIP contacts the NIH Grants Management Officer to update the Facilities and Administrative (F&A) document, even if a revised budget is not submitted.
        2. The OSPIP CO will work with the division analyst and PI to obtain the information. The division analyst must gather the human and/or animal research approvals, other support, and budget revisions. This process is initiated in eSRA with the activities "Request IACUC CRF" and/or "Request IRB CRF."
        3. The OSPIP CO will review the information and formally submit the information to the NIH Grants Management Specialist on behalf of the institution, as required by NIH.
        4. JIT submissions are tracked in eSRA with the activities "Upload NIH OS When Requested" and "Upload NIH Updated F&A."
        5. In parallel with receiving the NIH JIT notification, the OSPIP CO reviews the proposal, updates the approvals, and prepares the proposal for submittal to DOE/BSO for approval.
      13. Fellowships. Fellowships do not require DOE review (see DOE guidance letter of 10/8/1996) but do require approval for a Federal Administrative Charge (FAC) waiver.
      14. Once all the requests are submitted and accepted, NIH will issue an award via e-mail to LBNLAwards@lbl.gov.
    2. Awards – NIH
      1. Award Notification
        1. The OSPIP CO receives the NIH grant award via NIH e-mail to Berkeley Lab (LBNLAwards@lbl.gov) and reviews it for the appropriate Berkeley Lab and DOE requirements.
        2. The OSPIP CO negotiates, if necessary, with the NIH Grants Management Specialist if the terms of the award are unacceptable. The OSPIP COs must ensure the award references the terms of the DOE/NIH Memorandum of Understanding (MOU).
      2. Notice of Award to DOE. The OSPIP CO prepares a transmittal letter for forwarding a copy of NIH Notice of Grant Award to DOE/BSO for its records.

    E. Roles and Responsibilities

    Role

    Responsibility

    OSPIP Contracts Officer

    Authorized to submit proposals, and negotiate and accept sponsored research awards as an institutional official for Berkeley Lab

    Sponsor

    Receives Berkeley Lab proposals, and approves appropriate award documents

    DOE Berkeley Site Office
    (BSO)

    Reviews and approves Work for Others proposals, and approves federal interagency agreements

    Research and Institutional Integrity Office (RIIO)

    Office of record for Statements of Economic Interest forms. Coordinates reviews of potential conflicts of interests related to sponsored research.

    Principle Investigator

    Responsible for the conduct of sponsored research awards consistent with the award from the sponsor and the terms of the UC-DOE Prime Contract (DOE Contract No. DE-AC02-05CH11231)

    EH&S Division

    Reviews and approves WFO proposals for safety and protection of human and/or animal subjects

    All Berkeley Lab Division Directors

    Review and approve sponsored research proposals to ensure the project is appropriate for Berkeley Lab; that there is sufficient space, equipment, and support; and that the project is in compliance with Berkeley Lab, DOE, and University of California policies

    Facilities Division

    Provides NEPA/CEQA review and approval

    Berkeley Lab Director

    Reviews and approves the acceptability of publication restrictions in sponsored research agreements

    F. Definitions/Acronyms

    Term

    Definition

    BAA

    Broad Agency Announcement

    BSO

    Berkeley Site Office (of the U.S. Department of Energy)

    CEQA

    California Environmental Quality Act

    CO

    Office of Sponsored Research & Industry Partnerships (OSPIP) Contracts Officer

    COI

    Conflict of Interest

    DOD

    U.S. Department of Defense

    DOD CMRP

    Department of Defense Congressionally Mandated Research Program

    eRA Commons

    An online system managed by the Electronic Research Administration of the National Institutes of Health, Office of Extramural research. Allows signing officials, principal investigators, trainees, and postdocs at institutions/organizations to access and share administrative information relating to research grants.

    eSRA

    The Berkeley Lab electronic Sponsored Research Administration system for electronic submittal and tracking of proposals as well as nonfinancial award management

    FAC

    Federal Administrative Charge

    LDRD

    Laboratory Directed Research and Development

    NEPA

    National Environmental Protection Act

    OSPIP

    Office of Sponsored Research and Industry Partnerships

    Other Support

    "Includes all financial resources, whether Federal, non-Federal, commercial or organizational, available in direct support of an individual's research endeavors, including, but not limited to, research grants, cooperative agreements, contracts, or organizational awards. Other support does not include training awards, prizes, or gifts." (Glossary of NIH Terms)

    Parent Announcement

    "NIH-wide funding opportunity announcement enabling applicants to submit an electronic investigator-initiated grant application for a specific activity code, e.g., Research Project Grant (Parent R01)." (Glossary of NIH Terms)

    RAPID

    Research Administration Proposal/Project Information Database

    SPAA

    Sponsored Project Award Authorization

    G. Recordkeeping Requirements

    None

    H. Implementing Documents

    I. Contact Information

    Office of Sponsored Projects and Industry Partnerships (OSPIP) Manager

    J. Revision History

    Date

    Revision

    By whom

    Revision Description

    Section(s) affected

    Change Type

    4/16/2013

    1.2

    R. Inada

    Review completed 3/25/13, no changes

    Pub & Next Review dates

    Minor

    7/3/2012

    1.1

    R. Inada

    Organized Source Requirements Documents, added Implementing Documents, fixed links

    All

    Minor

    5/14/2012

    1

    R. Inada

    Re-format for wiki (policy)

    All

    Minor

    1/2/2012

    0

    R. Inada

    Re-format for wiki (brief)

    All

    Minor

    DOCUMENT INFORMATION

    Title:

    Work for Others (WFO) Overview

    Document number

    06.01.001.000

    Revision number

    1.2

    Publication date:

    4/16/2013

    Effective date:

    3/25/2011

    Next review date:

    3/25/2014

    Policy Area:

    Non-DOE Funded Research Mechanisms

    RPM Section (home)

    Non-DOE Funded Research

    RPM Section (cross-reference)

    none

    Functional Division

    OCFO

    Prior reference information (optional)

     

    Source Requirements Documents

    Implementing Documents

    Other References

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