§1.18
Solicitation and Acceptance of Gifts

Links updated 01/12

  1. General Policy
  2. Definition
  3. Responsibility
  4. Procedures

A.  GENERAL POLICY

The President of the Regents of the University of California (the Regents) has delegated to the Laboratory Director the authority to solicit and accept gifts, including gifts of equipment, having an individual value not exceeding $100,000. Solicitation or acceptance of individual gifts exceeding $100,000 requires authorization from the University of California, Office of the President (UCOP). In addition, the Regents' authorization is required for solicitation or acceptance of any gift that exceeds $1 million or involves exceptions to University/Lawrence Berkeley National Laboratory programs and policies, long-term commitments, construction of facilities, or an interest in real property.

This delegation is subject to the following conditions:

B.  DEFINITION

A gift imposes no contractual requirements and is given irrevocably. The proposed gift must support the scientific mission of the Laboratory. A gift from nongovernmental entities, earmarked for a specific project or for a principal investigator, is subject to the financial disclosure provisions of the Political Reform Act of 1974. Questions regarding these provisions should be referred to the Laboratory Conflict of Interest Coordinator.

In some cases, particularly where funding is provided from a nonprofit entity, it may be difficult to distinguish between a gift and a sponsored project. The following are characteristics that should be considered to make such a distinction:

Gifts vs. Sponsored Projects

Gifts

Sponsored Projects

Contractual requirements are not imposed and the funds are not program-specific. However, objectives may be stated and use of the funds may be specified for a particular purpose such as research in a defined area (e.g., Alzheimer’s disease).

The award carries such terms on the use of funds as specified budgetary restrictions; the objectives to be achieved by the use of the funds; the program in which the work will be carried out; the individuals responsible for the completion of the work; the period of performance; indirect costs; and invention rights (intellectual property), a schedule of payments.

Award is irrevocable.

Unused funds must be returned to the sponsor.

A period of performance is not specified.

Formal period of performance is stated in an award document.

Formal financial accounting over a specified project period is not required and there is no requirement to return unexpended funds.  Good stewardship does allow general communication as a courtesy to the donor. E.g., reports of expended funds and a description of research status.

Formal financial accounting, during the life of the project, at its termination, or both, is required. Reports related to the substance of the work during the life of the project, at its termination, are required by the sponsor.  Copies of published and other materials may also be requested. Final deliverables are required.

Generally, funds received from individuals, closely held corporations, and private family foundations will be classified as gifts; and funds received from corporations, corporate foundations, and major foundations may be classified as gifts, depending on the circumstances.

Generally, research-related awards from corporations, corporate foundations, and major private foundations subject to specific restrictions will be classified as sponsored research.

 

C.  RESPONSIBILITY

The Office of Sponsored Projects and Industry Partnerships (OSPIP) is responsible for reviewing, processing, and monitoring gift proposals and awards to ensure compliance with University and Laboratory policies. OSPIP is responsible for ensuring that the gift is not better classified as a Sponsored Project. The Principal Investigator and Division Director are responsible for making the initial determination of the appropriateness of the gift.

D.  PROCEDURES

Approval for acceptance of gifts will not be granted unless all the procedural requirements listed below are satisfied:

  1. A principal investigator must consult with his or her division director before initiating any action. Once the division director has approved the gift, the division office will assist the principal investigator in preparing the gift acceptance package. The division director must review the gift against the criteria for sponsored projects to ensure whether it should not be a sponsored project. Questions should be directed to OSPIP.

  2. The division submits the documentation to OSPIP to review for completeness, accuracy, and adherence to policy.

  3. OSPIP submits the Director's gift acceptance package including the LBNL Gift Acceptance Report form (UDEV-100) to the Laboratory Director.

  4. After review and acceptance, the Laboratory Director signs the formal letter of acknowledgment, which will be sent to the donor by OSPIP.

  5. If the gift is Laboratory property, OSPIP will notify Property Management to establish a formal inventory record.

  6. If the gift requires UCOP acceptance, OSPIP will forward the necessary forms to the University.

  7. OSPIP will notify the division when the gift processing is complete.

  8. After notification, the division will request that a project be opened by the Budget Office.

  9. No charges may be incurred until OSPIP notifies the division that all processing is complete. See also RPM §11.40(H) (Property Acquired as a Gift).

Printed . The official or current version is located in the online LBNL Requirements and Policies Manual.
Printed or electronically transmitted copies are not official. Users are responsible for working with the latest approved revision.

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