While most of the Lab’s research funding comes from federal resources, philanthropy has long played a role in funding priority projects at the Lab.
Two entities at the Lab help facilitate this process, the Office of the Chief Development Officer (OCDO) and the Berkeley Lab Foundation (BLF). The OCDO works collaboratively with Berkeley Lab staff to develop outreach strategies and ensure that philanthropic funds are brought into the Lab and managed in accordance with all relevant guidelines and rules. Berkeley Lab Foundation is a separate 501(c)3 organization established under the University of California to cultivate philanthropic relationships and manage types of funding that the Lab is unable to accept directly.
“Philanthropic funding can be very useful for seeding new ideas, supporting DOE goals that are underfunded, or supporting collaboration – internally and with external parties,” said Jake DeMoe, president of the Berkeley Lab Foundation and the Lab’s chief development officer. “But because we have a complex structure and many legal, financial, and policy requirements that we must meet, it’s important to be aware of the Lab’s process for philanthropic funding.” To that end, the OCDO has developed “Philanthropic Funding Guidance,” now available on the OCDO website.
A few key facts to know about philanthropic funding at the Lab:
Soliciting gifts is not an allowable activity for PIs or Lab staff.
Because of the Lab’s labor charging policy, PIs must work with OCDO to connect to and partner with philanthropic funders. That said, PIs may already have relationships with foundations which can be strengthened by partnering with OCDO on planning.
“We can do the heavy lifting, working with the researcher who often has the relationships with the funder,” said Alicia Chang, the Lab’s deputy chief development officer and vice president of BLF.
Philanthropic funding at the Lab is limited by the DOE-UC Prime (management and operations) Contract
The DOE-UC Prime Contract for the management and operation of Berkeley Lab stipulates that the Lab is allowed to bring in Contractor Supported Research (CSR) funding (which includes philanthropic funding) at an annual amount of no more than 2% of the total DOE funds received by the Lab. For this reason, all philanthropic funding has to be approved by Lab senior management.
Sponsored awards (also known as grants) are not the same as gifts
It is important to distinguish between “gifts” and “sponsored awards” (alternatively known as “grants”). Gifts have no restrictions or requirements from the donor, while sponsored awards have specific requirements from the funder that need to be met by the research team.
Philanthropic funding doesn’t always cover the full cost of the project
As a DOE national lab, Berkeley Lab is required to secure funding for the full cost of a project, including indirect (overhead) costs. Many philanthropic funders limit the amount of indirect expenses that they will support.
In some specific circumstances, the Lab is allowed to use its limited royalty funds and CSR funds to cover indirect costs when the Deputy Lab Director for Research determines that the research is of particular strategic value in advancing the evolution or application of LBNL’s capabilities. However, there is very little of this funding available. For this reason, researchers should not submit proposals or agree to indirect rate caps without first contacting OCDO for support in requesting and getting approval for Berkeley Lab cost-share via their Division, Area, and the Lab’s Deputy Director for Research. Failure to receive all approvals will result in the need to withdraw a proposal or require the Lab to decline the award if selected.
Philanthropic funding must comply with DOE, UC, LBNL, and Berkeley Lab Foundation rules and bylaws
The legal and fiduciary requirements for philanthropic funding at the Lab are complex, so a process has been established to ensure compliance. This process is described in the handbook “Philanthropic Funding Guidance” available on the OCDO website.
OCDO is your partner in successfully securing philanthropic support
Submit a request using the Philanthropy Intake Form and OCDO staff will contact you or contact OCDO directly.
For more information:
“Philanthropic Funding Guidance” available on the OCDO website
Three Questions for Jake DeMoe
