The Strategic Partnerships Office (SPO)’s Contract Officers (COs) are the Lab’s only representatives authorized to submit proposals and negotiate awards with non-DOE sponsors. They work closely with Lab scientists, engineers, resource analysts (RAs), and others to submit these proposals. To avoid hiccups in bringing in funding, SPO offers the following tips for proposal submission, award acceptance, and project execution.
As a Federally-Funded R&D Center (FFRDC), LBNL is subject to an explicit set of requirements through DOE orders and our prime contract. Some of the issues that SPO has helped Lab staff navigate include, for example, questions from the DOE about the rationale for work with other federal agencies. Another scenario involved withdrawing an unreviewed pre-proposal submitted by a PI to a large software company that would have committed the Lab to unacceptable, non-negotiable legal terms and conditions. The Lab also periodically receives requests from research sponsors to verify time and effort reporting by PIs and teams. As a reminder, sponsored projects require that all costs, including labor, supplies, equipment, and indirect (overhead) rates, are subject to full cost recovery.
Here are some best practices SPO recommends in proposal development:
- DO let your Division’s Resource Analyst (RA) know ASAP, ideally within one business day, if you become aware of a funding proposal that you would like to pursue, either as its lead or as a sub-award to another institution or company. This will help avoid rush requests in violation of the Lab’s five business day Contract Officer review policy.
- DO be sure to focus on the science and unique capabilities LBNL is proposing to use, as well as the benefit to the Lab and DOE, of working with non-DOE Federal agencies and non-Federal sponsors. This will help avoid questions about mission alignment and financial implications of large teaming and subcontract structures.
- DO work with the Office of the Chief Development Officer (OCDO) before requesting philanthropic funding. This will help avoid compliance issues and conflict of interest concerns.
On the other hand, please:
- DO NOT submit pre-proposals, concept papers, white papers, or other documents to any sponsor that would obligate the Lab to perform work, receive funding, or agree to legal terms and conditions before review by an SPO CO. This will avoid the need to withdraw them and disallow funding awards, as they are actually considered full “proposals” which need to be reviewed.
- DO NOT forget to report time, effort, and other expenses on non-DOE project IDs once they are awarded and you perform work, especially if you are accustomed to support from large DOE programs and not used to charging to multiple PIDs. This will avoid potential issues related to documenting project performance and cost allowability.
- DO NOT submit proposals or agree to indirect (overhead) rate caps without first requesting, and getting approval for, support for LBNL cost-share via your Division, Area or the Lab’s Deputy Director for Research. This will help avoid institutional funding constraints which could lead to proposal and award withdrawal.
More information about the points above, and many other questions you may have, can be found at SPO’s LBNL-only intranet site. You may also be interested in viewing the Lab’s non-DOE funding SPO dashboard, as well as the PI Proposal Playbook. If you have any questions, contact spo@lbl.gov.
