> ![](media/image1.png){width="1.6875in" height="1.0208333333333333in"}
>
> SPO Contracts Officer Guidance
>
> Sponsored Projects Office
>
> One Cyclotron Road, MS46R0125 Berkeley, CA 94720 USA Revised: May 25,
> 2008

![](media/image2.png){width="3.975in" height="6.527777777777778e-2in"}

**II. OTHER DOE MANAGEMENT AND OPERATING (M&O)[\
]{.underline}     CONTRACTOR FUNDING -** ***[M&O
Procedures]{.underline}*\
\
C.  SPO Process for Proposals and Funding for DOE M&O Sponsors**

> The SPO Contracts Officers (CO) have the institutional review
> responsibility for submitting all proposals to non-DOE/HQ entities
> including Management and Operating (M&O) Contractors.  The SPO CO
> should review the various division supplied information elements
> contained in the [RAPID proposal panels and the resulting reports such
> as the SPPF.]{.underline}  Any item found to be in error or in need of
> additional work should be brought to the attention of the submitter
> for discussion and revision.  The SPO Contracts Assistant (CA) sets up
> a separate proposal file for each new proposal received from the
> Divisions.  The SPO CO or CA may include the [Proposal
> Checklist](http://fsdwprod.lbl.gov/fsdwprod-viewdocs/SPOPolicies/upload/M&O Doc 9 RAPID Proposal Cklist.pdf). 
> The Proposal Checklist can be printed out from RAPID.
>
>  
>
> For proposals being submitted to M&O Contractors, SPO Contracts
> Officers should give special attention to the following:
>
>  
>
> (a)          After ensuring that the other elements of the M&O
> proposal in RAPID have been completed properly and after having
> reviewed the proposed scope of work and budget, the SPO CO approves
> the proposal in RAPID and prints  the [Patent Clearance
> Form](http://fsdwprod.lbl.gov/fsdwprod-viewdocs/SPOPolicies/upload/M&O Doc 10 PatentClear.pdf)
> and [review form for classified information, export controlled
> information](http://fsdwprod.lbl.gov/fsdwprod-viewdocs/SPOPolicies/upload/M&O Doc 11 ExportControl.pdf),. 
> The M&O SPPF, budget and proposed statement of work are then attached
> to the completed forms and are faxed to the Patent Department for
> review and approval.  The Patent Department approval should be
> received prior to submittal of the proposal to the sponsor.
>
>  
>
> (b)         SPO CO and CA prepares the [M&O proposal transmittal
> letter](http://fsdwprod.lbl.gov/fsdwprod-viewdocs/SPOPolicies/upload/M&O Doc 12 M&O Transmtl ltr.pdf)
> and attaches the proposed scope of work and budget and other sponsor
> application forms, if required, and transmits it to the M&O sponsor
> contact identified by the scientific division.  
>
>  
>
> (c)          M&O award may come in as a Memorandum Purchase Order
> (MPO).  Sometimes they are called other names such as Integrated
> Contractor Order (ICO) or an Inter-Entity Work Order (IWO). 
>
>  
>
> (d)         The MPO is used by M&O Contractors if the project is
> expected to be under \$1M in funding.  The MPO should be reviewed by
> SPO to ensure that it provides the terms and conditions under which
> LBNL will perform its work will be DE-AC02-05CH11231.   Other terms
> including the budget and scope of work should also be reviewed for
> acceptability.  If the scope of work and/or budget differ from what
> LBNL proposed, the scientific division should be consulted to be sure
> it accepts the changes and the funding level.  If the MPO is
> acceptable, the SPO CO signs the MPO and returns a copy to the
> sponsor.
>
>  
>
> (e)          The
> [IWO](http://fsdwprod.lbl.gov/fsdwprod-viewdocs/SPOPolicies/upload/M&O Doc 13 IWO.pdf)
> is used by M&O Contractors if the project is expected to be \$1M or
> greater in funding.  Sometimes the sponsor also sends a contractual
> document (which could be an MPO) along with the IWO in order to
> provide for additional terms and conditions.   The IWO is initiated by
> the M&O sponsor, approved by their DOE Contracting Officer, and then
> sent to SPO.
>
>  
>
> [The IWO Form and Process is:]{.underline}
>
>  
>
> If the IWO is accompanied by a contractual document (i.e. MPO), the
> SPO CO reviews to ensure that the contractual document provides that
> the terms and conditions under which LBNL will perform its work will
> be DE-AC02-05CH11231.   Other terms including the budget and scope of
> work should also be reviewed for acceptability.  If the scope of work
> and/or budget differ from what LBNL proposed, the scientific division
> should be consulted to be sure it accepts the changes and the funding
> level. If the IWO along with its contractual document is acceptable,
> the SPO CO signs the contractual document (i.e. MPO) and forwards the
> IWO (only) to the DOE/BSO Contracting Officer for signature.  (No
> proposal is required by DOE for this type of award document.)  Upon
> receipt of the approved IWO from the DOE/BSO, the fully executed IWO
> and contractual document (if appropriate) is transmitted by SPO to the
> Sponsor.
>
>  
>
> (f)           Once the MPO or IWO has been fully accepted, the SPO CO
> verifies that the NEPA/CEQA approval and if required, the HARC
> approvals have been received. The SPO CO or CA updates the
> Certification to indicate approval and the Employee ID of the
> approver.  See the specific [Certification Approval Process in the
> RAPID Training and Reference Manual:  SPO Proposal Review and
> Approval.]{.underline}
>
>  
>
> (g)          Once all required LBNL and DOE approvals have been
> obtained for the award, the SPO CO reviews the proposal information in
> RAPID to assure that all actions have been noted; such as, all
> certifications have been approved and that the Division has reviewed
> and updated the Proposal Burden Panel.
>
>  
>
> (h)          After the Division has certified (via e-mail) that the
> burdens are correct, the SPO CO generates an award in the RAPID
> system.  The Award Generation Process is outlined in the [RAPID
> Training and Reference Manual:  SPO Award Generation and
> Management]{.underline}
>
>  
>
> (i)            After the award is generated and before a [Sponsored
> Project Account Authorization (SPAA)]{.underline} can be printed, the
> SPO CO must authorize the funding in the Award Modification Subpanel,
> determine the Billing and Property Attributes in the Award Attribute
> Panel, and record any additional guidance on the Award Notepad.  More
> information regarding this process can be accessed in the [RAPID
> Training and Reference Manual:  SPO Award Generation and
> Management]{.underline}.
>
>  
>
> (j)           After reviewing the SPAA for completeness and accuracy,
> the SPO CO signs the SPAA.  The SPAA is an information tool which is
> e-mailed by SPO along with a copy of the award document to the
> Principal Investigator, Division Contact, the Budget Office, and
> Accounts Receivable Office. 
>
>  
>
> (k)         Upon receipt of the SPAA, the Division Resource Analyst
> will go into the Project Status Panel in RAPID and access the
> Project(s) associated with the Award.  This includes one more review
> of the burdens.  The Division Resource Analyst will then place the
> Project(s) into requested Status. 
>
>  
>
> (l)            The Budget Office reviews the requested Projects and
> Opens it so it can receive costs.   Only the Budget Office has the
> authority to open high level projects.  Children projects can be
> opened by the Division Resource Analyst.  See the [RAPID Training and
> Reference Manual:  RAPID Project Setup]{.underline}
>
>  
>
> (m)        The Accounts Receivable Office sets up the Award for
> Billing.
>
>  
>
> (n)          SPO CA sets up the SPO Award File.