BRIEF

Policy Summary

The UC-DOE Prime Contract authorizes the University of California (UC) to perform Strategic Partnership Projects (SPPs) (formerly known as Work for Others (WFO) for non-Department of Energy (DOE) entities) in compliance with applicable laws, regulations, and DOE policy. Lawrence Berkeley National Laboratory's (Berkeley Lab's) Strategic Partnerships Office (SPO) 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 Berkeley Lab SPO Contracts Officers (COs). Berkeley Lab COs have been delegated authority by the Berkeley Lab Director to submit proposals and negotiate and accept awards in accordance with the UC-DOE Prime Contract and UC policy.
This policy describes the requirements and processes for all SPP funding, such as:

• Nonfederal funding
• Federal 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

Strategic Partnerships Office

[email protected]

POLICY

A. Purpose

This policy establishes the requirements and responsibilities for the oversight, management, and administration of Strategic Partnership Projects (SPP) (formerly known as Work for Others (WFO) non-Department of Energy (DOE) funded work) activities at Lawrence Berkeley National Laboratory (Berkeley Lab). SPP sponsors are categorized as (1) nonfederally funded or (2) federally funded. Per DOE Order 481.1E, SPP projects have some/all of the following objectives:

• Assist federal agencies and nonfederal entities in accomplishing goals that may be otherwise unattainable and to avoid duplication of effort at federal facilities.
• Provide access to Berkeley Lab highly specialized or unique facilities, services, or technical expertise to non-DOE entities when private sector facilities are inadequate.
• Increase research and development interactions between Berkeley Lab and industry to provide opportunities for transferring technology originating at Berkeley Lab facilities to industry for further development or commercialization.
• Assist in maintaining core competencies and enhancing the science and technology base at Berkeley Lab.

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

1. The UC-DOE Prime Contract authorizes the University of California (UC) to perform SPPs in compliance with applicable laws, regulations, and DOE policy. Berkeley Lab may perform SPPs for non-DOE sponsors pursuant to DEAR 970.5217-1 Strategic Partnership Projects program (Non-DOE Funded Work) (April 23, 2015) (SC Deviation) and is responsible for submitting all proposals to, and accepting all awards from, non-DOE sponsors.
2. The President of UC has delegated to the Berkeley Lab Director the authority to solicit, accept, and execute certain extramural grants and contracts that include SPPs. Strategic Partnerships Office (SPO) Contracts Officers (COs) have been delegated authority from the Laboratory Director to submit proposals and negotiate awards in accordance with the UC-DOE Prime Contract and UC policy. Accordingly, the SPO is the institutional organization responsible for submitting proposals and accepting awards from sponsors. Therefore, all proposals and awards for sponsored research must be processed through the SPO. The COs retain the authority to sign SPPs.

D.2 SPP Requirements

1. Requirements of DOE directives, applicable regulations, and the following requirements must be satisfied before work is performed. Berkeley Lab may respond to Broad Agency Announcements, financial assistance solicitations, Program Research and Development Announcements, and similar solicitations from other federal agencies or nonfederal entities when the following conditions have been met:
   1. Response to the solicitation does not result in head-to-head competition with other solicitation respondents as an offeror, team member, or subcontractor to an offeror.
   2. The cognizant field office has been notified of intent to respond.
   3. The solicitation is a general research announcement used for the acquisition of basic or applied research to further advance scientific knowledge or understanding rather than focused on a specific system or hardware solution.
   4. Evaluation and selection are performed through a merit or peer-review process using pre-established general selection criteria.
   5. The primary bases for selection include quality of the scientific / technical approach, importance to the agency, and funds availability.
2. The following determinations and a written certification of their completion must be made prior to the acceptance of an SPP agreement. The proposed work:
   1. Is consistent with or complementary to missions of DOE/NNSA and the facility to which the work is to be assigned.
   2. Will not adversely affect DOE/NNSA programs assigned to the facility.
   3. Will not place the facility in direct competition with the domestic private sector.
   4. Will not create a detrimental future burden on DOE/NNSA resources.

D.3 SPP Components

1. The Principal Investigator (PI) and administrative support group are responsible for preparing proposals including all required Berkeley Lab and Sponsor forms. Proposals must be approved by the PI and Division Director or authorized designee.
   1. Each SPP proposal should have a scope, schedule, and estimated cost to complete the project. The scope of work, budget, and timing of the project should be addressed in the draft agreement. The DOE's objective is to accommodate nonfederal party needs and expedite review and approval processing, while protecting the interests of the government and promoting consistency among sites performing work for nonfederal sponsors.
   2. 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 the DOE that Berkeley Lab is not directly competing with the private sector. The phrase "the proposed work cannot be obtained through commercial means" should be included in the Electronic System for Research Administration (eSRA) uniqueness statement.
2. Master Scope of Work (MSW) Approach (if applicable)
   1. Background and Authority: DOE guidance allows for an MSW for routine work with nonfederal participants. No classified work will be processed under an MSW. Upon approval of an MSW by the DOE Bay Area Site Office (BSO), Berkeley Lab may propose and enter into agreements with nonfederal participants for work that is specified under the initial approved MSW without obtaining further BSO approval. For any work with specific conditions that require approvals to move forward, these approvals must be obtained before the proposed work can enter or re-enter the MSW process. Examples of such conditions include:
      • Foreign participant engagements.
      • Agreements with nonstandard terms and conditions.
      • Collaborations involving animal or human subjects.
      • Transactions that raise conflict of interest concerns.
   2. Proposal Stage: Divisions should work with the SPO to develop MSWs specific to the work performed in their respective area and may choose to have multiple MSWs depending on the different types of work. The MSW must be at a sufficient level of detail with tasks specified to allow for review by BSO. SPO COs will review the MSW and after issuing their approval will submit it to BSO. Upon BSO's approval of the MSW, BSO will provide written certification for the approved use of the MSW.
   3. Approval: Once an MSW is approved, sponsors requesting services that fall within the scope of an approved MSW can be engaged and agreements entered into without DOE approval as long as an approved SPP/CRADA agreement is used and all other requirements (e.g., advance payment) are met. If a sponsor requests any changes to standard SPP/CRADA terms or other factors in (a) above apply that would require DOE approval, the action will be processed for approval as follows:
      • The CO will request applicable activity through eSRA for review and approval. The request will include an explanation of the circumstances, associated documents, and any required LBNL approvals (i.e., LBNL Lab Counsel) as required.
      • BSO approval will be documented in eSRA by using the standard approval activities.
      • The approved agreement can then be used for sponsors under the approved MSW.
3. DOE oversight: Changes to the MSW will require an amended MSW for review and approval by BSO. Additionally, MSW and/or specific projects under the MSW are subject to periodic review by BSO upon request.

D.4 Other Important Considerations

1. Advance Funds. If the sponsor is providing funds, an advance must be obtained prior to starting the project (see the Advance Payment for Sponsored Research Projects with Nonfederal Sponsors Policy).
2. Institutional Approvals: The SPO CO confirms conformance to applicable policies and ensures appropriate approvals as necessary:
   1. Use of human subjects approved by the Human and Animal Regulatory Committee (HARC) (see the "Human and Animal Subjects Research" policy area).
   2. Use of animal subjects approved by HARC and submitted to BSO for Office of Science approval (see the "Human and Animal Subjects Research" policy area).
   3. Foreign participant approval by export control and DOE HQ approval through BSO.
   4. Nonstandard terms approval by BSO (see DOE Order O.483.1E).
   5. Nonstandard financial terms approval by the Office of the Chief Financial Officer (see the Berkeley Lab RPM policy Sponsored Research — Nonstandard Financial Terms and Conditions (NSFT) policy.
   6. National Environmental Policy Act / California Environmental Quality Act (NEPA/CEQA) Review.
   7. DOE approval from BSO in the following areas, including science, Federal Administrative Charge (FAC) Waiver, Intellectual Property (IP), proposal, and DOE eligibility letter.
   8. Homeland Security Review.
   9. Exception to Full Cost Recovery.
   10. Conflict of Interest (COI) approval by the Research Compliance Office.

E. Roles and Responsibilities

F. Definitions/Acronyms

G. Recordkeeping Requirements

• Approved SPP agreements disposition
  • Cut off at termination of agreement
  • Destroy 10 years after cutoff
• Rejected/Withdrawn SPP agreements
  • Cutoff after termination or denial
  • Destroy 5 years after cutoff

H. Implementing Documents

I. Contact Information

Strategic Partnerships Office

[email protected]

J. Revision History

DOCUMENT INFORMATION

Source Requirements Documents

• U.S. DOE Contract No. DE-AC02-05CH11231, Clause I.128, DEAR 970.5217-1 STRATEGIC PARTNERSHIP PROJECTS PROGRAM (NONDOE FUNDED WORK) (April 23, 2015) (SC Deviation) (PREV. I.134)
• DOE Order DOE O 481.1E Chg 1 (LtdChg), Strategic Partnership Projects [Formerly known as Work for Others (Non-Department of Energy Funded Work)]
• DOE O 484.1, Reimbursable Work for the Department of Homeland Security, Attachment 2 (CRD) and Attachment 3
• DOE Financial Management Accounting Handbook, Chapter 13, Reimbursable Work, Revenues, and Other Collections
• DOE Blanket Pricing Exception Memo of 5/8/2002. Blanket pricing exception for work performed in support of counterterrorism and homeland security
• NIH/DOE Memorandum of Understanding of 6/18/1998. MOU defines conduct of NIH grant-supported research projects at DOE national laboratories
• UC Guidance Memo of 4/19/2004, "Provision of Information on Citizenship, Visa Status, Nationality or Country of Origin: Federal and State Law and Regulation"
• University of California Policy, UC-RI-22-0599, Principles Regarding Future Research Results
• DOE Statement of Considerations dated 5/3/2012 ,"Class Waiver of the Government's Domestic and Foreign Patent Rights and Allocation of Data Rights Arising from the Use of DOE Facilities and Facility Contractors by or for Third-Party Sponsors: DOE Waiver W(C)-2011-009"
• DOE Order DOE P 485.1A, Foreign Engagements with DOE National Laboratories
• DOE Order DOE O 522.1A, Pricing of Departmental Materials and Services.

Other References

• Advance Payment for Sponsored Research Projects with Nonfederal Sponsors Policy, 11.02.010.000
• Human and Animal Subjects Research Policies, 03.02.001.000, 03.02.002.000, and 03.02.003.000
• Sponsored Research — Nonstandard Financial Terms and Conditions Policy,11.01.001.000
• DOE Order O 413.2C, Laboratory Directed Research and Development
• DOE Memorandum, SPO-BSO Working Agreements, 6/11/2002
• DOE Guidance Memo dated 9/22/2017, Non-Department of Energy Fellowships and Conferences at Lawrence Berkeley National Laboratory (LBNL)
• UCOP Delegation of Contract and Grant Authority to Berkeley Lab Director and Berkeley Lab Contracts Officers, dated 3/19/1995
• UC Guidance Memo of 2/13/1990, Funds Restricted to U.S. Citizens
• Non-Department of Energy Fellowship Process at LBNL
• Non-DOE Fellowship Procedure 9/15/2021