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BRIEF

Policy Summary

This policy defines the guidelines and procedures for accepting and administering Contractor Supported Research (CSR) funds; requesting and establishing projects; and tracking allocations, project costs, and project closeouts. As of FY21, this replaces the policies for Contractor Supported Research (CSR) Program — Financial Management, Gifts for Research, and Acceptance of, and Gifts (Monetary) Financial Management of.

Who Should Read This Policy

All Lawrence Berkeley National Laboratory (Berkeley Lab) employees with financial responsibilities for accepting, administering, and tracking CSR funds; requesting and establishing projects; and tracking allocations, project costs, and project closeouts.

To Read the Full Policy, Go To:

The POLICY tab on this wiki page

Contact Information

• Coordinator for Gift Derived CSR
• Office of the Chief Development Officer
• Office of LDRD for UC CSR

POLICY

A. Purpose

This policy defines the guidelines and procedures for accepting and administering Contractor Supported Research (CSR) funds; requesting and establishing projects; and tracking allocations, project costs, and project closeouts. As of FY21, this replaces the policies for Contractor Supported Research (CSR) Program — Financial Management, Gifts for Research, and Acceptance of, and Gifts (Monetary) Financial Management of.

B. Persons Affected

All Lawrence Berkeley National Laboratory (Berkeley Lab) employees involved with acceptance and/or administering of CSR funds; requesting and establishing projects; and tracking CSR allocations, project costs, and project closeouts.

C. Exceptions

Not applicable.

D. Policy Statement

D.1 General

1. CSR is research and development work conducted at Berkeley Lab with funding sourced through the University of California (UC) intended to assist Berkeley Lab in performing its mission for the Department of Energy (DOE), or to create new capabilities at the Berkeley Lab, consistent with the overall needs of the DOE.
2. Under the terms of Contract 31, Berkeley Lab may conduct (receive) CSR at an annual amount of not more than 2 percent of the total annual DOE operating funds received, or such higher level as determined by mutual agreement between the Laboratory Director and the DOE Head of Field Element.
3. There are two types of CSR:
   1. Internal CSR
      1. Internal CSR refers primarily to funding that originates from the UC Fee that is selected exclusively at the discretion of the Laboratory Director or designee.
      2. Internal CSR may also include other research-related funds received directly from the UC Office of the President (UCOP) (not campuses).
   2. External CSR
      1. External CSR refers to monetary gifts that external parties make to the Regents of the UC to be used for CSR at Berkeley Lab. These gifts impose no contractual requirements and are given irrevocably. The proposed gift must support the scientific mission of Berkeley Lab.
      2. A gift is a contribution to the Regents of the UC that is donative in intent, bestowed voluntarily and without expectation of tangible compensation, for which, in general, contractual or other requirements are not imposed.
      3. External CSR must be consistent with the general purpose stated by the donor.
      4. A gift is not a Strategic Partnership Project (SPP), nor an extramural contract or grant, and therefore imposes no contractual requirements.
      5. In general External CSR, or Gifts, have the following characteristics:
         1. Support is motivated by charitable intent.
         2. The funder provides support to the Berkeley Lab without expectation of return benefit.
         3. Support is awarded irrevocably. While the broad area of research to be supported may be specified by the funder, the Berkeley Lab retains control of usage of the funds.
      6. Gifts are not a Strategic Partnership Project (SPP), nor an extramural contract or grant, and therefore imposes no contractual requirements.
         1. While terms for such gifts may specify broad focus areas, they should not include other sponsored award indicators, specify how the support will be internally administered, or require deliverables from the Berkeley Lab beyond acknowledgement and summary narrative.
      7. A gift from nongovernmental entities earmarked for a specific research area or for a principal investigator is are subject to the financial disclosure provisions of the Political Reform Act of 1974. Questions regarding these provisions should be referred to the Berkeley Lab Conflict of Interest Coordinator.
      8. A gift is anything of assignable value that is voluntarily and legally transferred to Berkeley Lab's ownership and possession.
      9. Gifts CSR funds cannot be used for non-allowable costs and are subject to Contract 31, Clause H.27.

D.2 Criteria

1. All proposed CSR projects will be reviewed and approved by the DOE Contracting Officer based on the following criteria:
2. All funds received comply with applicable safeguards and procedural requirements issued by the DOE Contracting Officer.
3. Such research is conducted on a non-interference basis with any DOE directed and funded work of the Laboratory.
4. Such research is intended to enhance the capabilities of Berkeley Lab to continue to perform its mission or to create new capabilities at the Laboratory consistent with the overall needs of the DOE.
5. Funds are expended under the same terms and conditions that apply to government funds provided under DOE Contract 31.
6. Berkeley Lab will not knowingly use its access to Laboratory facilities under this program to compete with the private sector.
7. Berkeley Lab will not use CSR funds to augment federally funded projects (research).
8. Berkeley Lab will not pursue any projects that include facilities or equipment that would create more than a nominal future burden on DOE resources to maintain and/or operate.
9. Berkeley Lab will ensure that the projects are not SPPs subject to DOE Contract 31, Clause I. 128 (DEAR 970.5217-1 Strategic Partnership Projects Program (Non-DOE Funded Work) (April 23, 2015) (SC Deviation)).

10. Other Considerations:

    1. For cost accounting standards purposes, such approved research shall be
    treated as
    1. treated     as  institutional research and development of the Laboratory.
    2. The use of CSR funds to pay for unallowable costs is prohibited.
    3. External CSR must be consistent with the general purpose stated by the donor.
    4. Berkeley Lab cannot accept gifts of equipment.

D.3 Acceptance and/or Request of CSR

1. Internal CSR
   1. All Fee to CSR conversion and transfer requests must have:
      1. An official, annual UCOP notification and approval of Fee to CSR conversion and transfer request by the Deputy Lab Director for Research.
   2. All CSR project requests must have:
      1. Appropriate divisional approvals.
      2. Berkeley Lab Deputy Director for Research approval.
      3. DOE Site Office approval.
   External CSR
   1. All use of CSR at Berkeley Lab derived from monetary gifts of $100,000 or less to the Regents requires approval in the following order with final notification to the UCOP:
      1. Appropriate divisional approvals.
      2. Berkeley Lab 's Strategic Partnerships Office (SPO) Contracts Officer (Gift Coordinator) Deputy Director for Research approval.
      3. DOE Site Office approval.
      4. Berkeley Lab Director approval.
      5. Notification to the UCOP (not required for Berkeley Lab Foundation (BLF) funds).
2. External CSR
   1. All use of CSR at Berkeley Lab derived from monetary gifts above $100,000 to the Regents requires approval in the following order and final approval by the UCOP:
      1. Appropriate divisional approvals.
      2. Berkeley Lab's SPO Contracts Officer (Gift Coordinator) approval.
      3. DOE Site Office approval.
      4. Berkeley Lab Director approval.
      5. UCOP approval (not required for BLF funds).
   2. No charges may be incurred on monetary gifts until final approval is provided and the Gift Coordinator notes the final approval in the gift processing system in eSRA.

D.4 Funding Considerations and Financial Close Out

1. Funds Control
   1. Each CSR project will be accounted for and managed under a unique project ID.
   2. The Principal Investigator (PI) shall manage his/her funded projects and stop work when funds have been exhausted. Total costing shall stay within the funds control limit.
   3. The PI shall be responsible for ensuring only allowable costs on the project.
   4. In the event that the costs incurred on a project exceed available funding:
      1. The division must coordinate with General Accounting to identify an appropriate source of funds to resolve the over-costed balance.
      2. Over-costed balances over $100 require the division to submit to the Controller and General Accounting an executive summary outlining the following:
      3. Identification and cause of the issue.
      4. Proposed corrective actions to address the over-costed balance.
      5. Action plan within the division to minimize/eliminate future occurrences.
2. Interest Allocation
   1. Interest may be earned and distributed depending on residual available after netting of bank fees and depending on whether interest earned and uncosted fund balances meet certain thresholds.
3. Financial Close Out
   1. Divisions shall promptly place their project's status as "costs are final" upon completion of the related work.
   2. General Accounting shall return any residual, uncosted balance to a reserve based on the following criteria:
      1. Projects with balances of $1,000 or less shall be transferred to the reserve.
      2. Projects with balances greater than $1,000 shall need coordination between the division and the SPO and/or the Office of Laboratory Counsel for appropriate disposition

E. Roles and Responsibilities

Managers, supervisors, and employees have the responsibility to adhere to the provisions of this policy.

F. Definitions/Acronyms

G. Recordkeeping Requirements

noneNone

H. Implementing Documents

• Distribution of Income Gift Approval Form
• Gift Approval Form
• Cost Allowability Policy
• Funds Control Policy

I. Contact Information

• Coordinator for Gift Derived CSR
• Office of the Chief Development Officer
• Office of LDRD for UC CSR

J. Revision History

DOCUMENT INFORMATION

Source Requirements Documents

• DOE Contract 31, Clause H.27

• University of California - Policy on Classification of Gifts and Sponsored Awards

• Political Reform Act of 1974
• UC, BFB A-60, Short-Term Investment Pool (STIP) Policy — Distribution of Income