RPM | REQUIREMENTS AND POLICIES MANUAL

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    Title:

    Contractor Supported Research (CSR)

    Publication date:

    9/26/2024

    Effective date:

    4/1/2021

    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

    Title:

    Contractor Supported Research (CSR)

    Publication date:

    9/26/2024

    Effective date:

    4/1/2021

    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. 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.
        5. 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.
        6. A gift from nongovernmental entities earmarked for a specific research area or for a principal investigator 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.
        7. A gift is anything of assignable value that is voluntarily and legally transferred to Berkeley Lab's ownership and possession.
        8. 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  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.
    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.

    Role

    Responsibility

    DOE Bay Area Site Office

    • Approves the CSR Program according to DOE Contract 31, Clause H.27, Contractor-Funded Institutional Supported Research and Development Program at the Laboratory.
    • Reviews and approves all CSR projects according to the criteria in Section D.2.

    Laboratory Deputy Director for Research's Office

    Internal CSR

    • Receives designation from the Laboratory Director to exclusively:
      • Select research projects to be funded with CSR funds from the UC management Fee.
      • Approve other research-related funding received directly from the UCOP.
    • Reviews request and funding availability, and authorizes a request based on meeting the criteria in section D.2.
    • Notifies the Budget Office of the approved request to add funding or close out projects
    • Notifies the Division Budget Analyst/PI/Division/Area a request has been granted.
    • Notifies the SPO of the award amount.
    • Requests an annual report for all internal CSR projects from the Division PIs.

    Laboratory Director's Office

    External CSR

    • Has delegated authority to accept monetary gifts-derived funds on behalf of the Regents for use as CSR funds.
    • Reviews and formally accepts funds for the Regents under $100,000.
    • Reviews and recommends acceptance to the UCOP for funds over $100,000.
    • Provides SPO gift acceptance notification.
    • Receives from the SPO the acknowledgement letter to the donor.

    Strategic Partnerships Office (SPO)

    External CSR

    • Determines whether the CSR project is appropriate based on meeting the criteria in section D.2. or it is a sponsored research project.
    • Ensures all external CSR proposal requirements, acceptance, and system approvals are met with the Lab Director, General Accounting, PI, division, and donor.
    • Notifies and coordinates with the DOE Bay Area Site Office concerning any transactional review and consent as required by the DOE Bay Area Site Office approved implementation plan for External CSR Under DOE Contract 31, Clause H.27.
    • Authorizes CSR in the eSRA system to open the project ID in the financial management system (FMS)

    Internal and External CSR Monitoring and Reporting

    • Monitors Berkeley Lab's receipt of CSR funds at an annual amount of not more than 2 percent of the total DOE operating funds received.
    • Submits an annual report on the breakdown of sources of funding provided for CSR activities to the DOE Site Office. The report is due to the DOE Contracting Officer 60 days after completion of the fiscal year.

    Office of the Chief Development Officer (OCDO)

    External CSR

    • Supports and coordinates with researchers in the development of external CSR proposals
    • Monitors progress and stewards external CSR projects

    Area or Division Management/Principal Investigator

    Internal CSR

    • Initiates a written request using the required request form(s) obtained from the Lab Directorate for approval to use (or increase) CSR funds.
    • Ensures projects comply with the criteria in Section D.2 and receive required approvals.
    • Establishes controls to ensure costs and obligations do not exceed the approved funding:
      • Monitors costs incurred against the approved funding.
      • Corrects errors and resolves issues as they occur to ensure approved funding balances are in good standing.
    • Notifies Property Management of equipment expenditures.
    • Notifies the Laboratory Deputy Director for Research's office when to close the project.
    • Works with the Laboratory Deputy Director for Research's office to resolve any over-costed CSR funds by the following month end

    External CSR

    Execution, Oversight, and Funds Control at the Project Level for CSR Funds

    • Complies with the criteria in Section D.2.
    • Reviews, completes, and approves the division section of the Gift Approval Form.
    • Manages the CSR award within its funding limits.
    • Completes an annual status report for each CSR project.
    • Establishes controls to ensure costs and obligations do not exceed the available funds:
      • Monitors costs incurred against the available funds.
      • Corrects errors and resolves issues as they occur to ensure that available fund balances are in good standing.
    • Notifies Property Management of equipment expenditures.

    Determination of When Costs Are Final / Pre-Closeout

    • With assistance from the division Resource Analyst (RA), ensures the CSR project will be closed in a timely manner.
    • With assistance from the division RA, works with General Accounting to resolve any over-costed award and determine a source of additional funds before the project is closed out.

    Counter Intelligence

    • DOE Counter Intelligence reviews foreign CSR awards and provides approval to accept the award.

    Resource Analyst (RA)

    • Assists the PI in support of monthly Internal CSR financial management as well as incidental efforts to support External CSR.

    • Works with the PI to ensure theCSR project will be closed in a timely manner.
    • Assists the PI in working with General Accounting to resolve any over-costed CSR balances and determining a source of additional funds before the project is closed out.

    Budget Office

    Internal CSR

    • Supports the Lab Directorate by creating projects, assigning funds, and assisting with project close out.

    General Accounting

    Institutional Oversight

    • Manages cash accounts used for CSR.
    • Manages the calculation and process of closeouts.
    • Communicates to divisions when there is a quarterly interest allocation made.
    • Works with divisions to resolve any overcost balances on projects.
    • Reconciles CSR related general ledger accounts.

    F. Definitions/Acronyms

    Term

    Definition

    Berkeley Lab Foundation (BLF)

    The Berkeley Lab Foundation was established by the University of California to promote corporate and philanthropic engagement in support of Berkeley Lab's mission

    CSR

    Contractor Supported Research

    eSRA

    Electronic system to support efficient preparation and administration of Berkeley Lab proposal and gift processing

    External CSR Funds

    External CSR refers to monetary gifts external parties make to the Regents of the UC and/or BLF to be used for CSR at Berkeley Lab. These gifts impose no contractual requirements and are given irrevocably

    Internal CSR Funds

    UC Fee funds or research-related funds from the UCOP

    Monetary Gift

    Any sum of money issued to the Berkeley Lab Gift Account via check or wire transfer (per Berkeley Lab Donor Instructions) in which no goods or services can be or will be expected or requested in return for the donation

    SPP

    Strategic Partnership Project

    UCOP

    University of California Office of the President

    G. Recordkeeping Requirements

    None

    H. Implementing Documents

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

    I. Contact Information

    J. Revision History

    Date

    Revision

    By Whom

    Revision Description

    Section(s) Affected

    Change Type

    5/20/2021

    0

    D. Ho, C. LeDree; M. Beedle

    New Policy

    All

    New

    9/26/2024

    1

    T. Pray

    Periodic review: minor policy clarifications and updates

    D.3, E, H, I

    Minor

    DOCUMENT INFORMATION

    Title:

    Contractor Supported Research (CSR)

    Document number

    06.01.009.000

    Revision number

    1

    Publication date:

    9/26/2024

    Effective date:

    4/1/2021

    Next review date:

    9/25/2027

    Policy Area:

    Lab Directorate

    RPM Section (home)

    Non-DOE Research Mechanisms

    RPM Section (cross-reference)

    None

    Functional Division

    Lab Directorate

    Prior reference information (optional)

    RPM Chapter 2.10

    Source Requirements Documents



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