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Comment: Minor changes as per policy change request on 11/1/23

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Deck of Cards
idWN Funding Requests
Card
labelBrief

Title:

WN Funding Requests

Publication date:

611/293/20202023

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

Reimbursable Budget Manager

Card
labelPolicy

Title:

WN Funding Requests

Publication date:

611/293/20202023

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

  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 non-DOE 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 Site Office.
  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 signedthe 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.

    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.

Strategic Partnerships Office (SPO) 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 Site Office approval.
  • Upon final WN approval, finalizes and executes the contract.

DOE Site Office 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 DOE Site Office 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 as necessary.

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 by marking award as Cost are Final in the Electronic System for Research Administration (eSRA).

SPO 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 DOE Site Office 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 DOE Site Office or Laboratory Deputy Director for Research approval. Final approval will be communicated by e-mail. (NOTE: The DOE Site Office approves only the appropriateness of sponsor, not the allocation of WN Funding Authority.)
  • Ensures any unexpended funds are deobligated de-obligated and returned to the DOE Office of Science Consolidated Service Center.

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

WN Request Form

Form

11.02.010.000

Advance Payments for Sponsored Research Projects with Non-Federal Sponsors

Policy

I. Contact Information

Reimbursable Budget Manager

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 : 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

Card
labelDocument Information

DOCUMENT INFORMATION

Title:

WN Funding Requests

Document number

11.02.007.000

Revision number

1.34

Publication date:

611/293/20202023

Effective date:

6/29/2020

Next review date:

1011/130/20232026 

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

Show If
grouprpm2-admins
Card
labelAdditional Information

ADDITIONAL INFORMATION

Title:

WN Funding Requests

Document number

11.02.007.000

Revision number

1.3

Publication date:

611/293/20202023

Effective date:

6/29/2020

Next review date:

1011/130/20232026 

Policy Area:

Budget

RPM Section (home)

Financial Management

RPM Section (cross-reference)

Section 11.47

Functional Division

OCFO

Author name/contact info

Reimbursable Budget Manager



Revision 0 publication date

12/31/2010

Retirement date

n/a

Prior reference information (optional)

RPM, Chapter 11, Section 11.47



Inputs from more than one Functional Area?

No

List additional Functional Areas & contacts




Inputs from more than one Policy Area?

No

List additional Policy Areas & contacts




30-day notification needed?

No

30-day start date

n/a

30-day end date

n/a



LDAP protected?

No



Need TABL reminders?

No

Frequency

n/a

Brief reminder text:

n/a



Approval Sheet for this revision received (date) [Note: author is responsible]



Key labels/tags:

  • WN funding, WN funding request

New terms that need to be added to Glossary/Acronym list:

  • (list items not found and context (Policy Area name) – full definition would be included in Policy)

Implementing Documents restricted to department/functional use

(optional – these will be used for tracing between requirements and associated documents)

Document Number

Title





Side bars:
Side bar 1 location (cite by Policy Section # - for example: Section D.2.a)
Sidebar 1 text:

Sidebar 2 location

Sidebar 2 text:

Sidebar 3 location

Sidebar 3 text: