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Invoice Cancellation

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    Title:

    Invoice Cancellation

    Publication date:

    6/18/2018

    Effective date:

    10/1/2010

    BRIEF

    Policy Summary

    This policy provides guidelines for the cancellation of an invoice associated with a Sponsored Research award. These guidelines also apply to the cancellation of any other non-Sponsored Research miscellaneous invoice. Monthly system generated invoices cannot be canceled.

    Who Should Read This Policy

    Employees involved with processing invoices for Sponsored Research awards.

    To Read the Full Policy, Go To:

    The POLICY tab on this wiki page:

    Contact Information

    Reimbursable Group Manager


    Title:

    Invoice Cancellation

    Publication date:

    6/18/2018

    Effective date:

    10/1/2010

    POLICY

    A. Purpose

    This policy provides guidelines for cancelling advance and scheduled invoices associated with a Sponsored Research award. These guidelines also apply to the cancellation of any other non-Sponsored Research miscellaneous invoice. Monthly system-generated invoices cannot be canceled.

    B. Persons Affected

    Employees involved with Sponsored Research awards.

    C. Exceptions

    None

    D. Policy Statement

    1. Sponsored Research Invoices

    The Reimbursable Group (RG) prepares two types of cancellable invoices related to Sponsored Research work based on the contract terms:

    a. Advance invoices bill the sponsor for the amount of funds that the sponsor must provide in advance of performance of work, and

    b. Scheduled invoices bill costs based on a schedule shown in the sponsor agreement.

    2. Cancellation of Sponsored Research Invoices

      1. Cancellation of invoices may be necessary to reflect contractual changes, including advance balances changes. Invoice cancellation may be requested by the division Resource Analyst (RA), Sponsored Research sponsor, the RG, and Contract Officers (COs) in the Sponsored Projects Office (SPO). The RG coordinates with the division to conduct a financial review of the Sponsored Research award to evaluate the appropriateness of the cancellation. All parties must concur with the cancellation via e-mail.
      2. When an invoice must be canceled, the RG will generate a credit invoice mirroring the original invoice. The original invoice and the new credit invoice will be offset against each other.

    3. Miscellaneous Invoices

    For other miscellaneous invoices, the RG processes credit memos in lieu of invoice cancellations. The division should submit a Request for Preparation of Miscellaneous Invoice Form for the amount of the credit. Based on the request form, the RG will process a credit invoice.

    E. Roles and Responsibilities

    Managers, supervisors, and employees have the responsibility to adhere to the provisions of this policy.

    Role

    Responsibility

    SPO CO and/or RA

    For Sponsored Research invoices, submits an invoice cancellation request via e-mail (ARhelp@lbl.gov). Includes the following:

    • "Invoice Cancellation Request" and the award number in the subject line.
    • Sponsor contact information (name, mailing address, telephone number, and email address).
    • For other miscellaneous invoices, uses the Request for Preparation of Miscellaneous Invoice Form and submits the amount of the credit invoice to be generated to ARhelp@lbl.gov.

    RG Staff

    • Reviews requests for appropriateness.
    • For Sponsored Research invoice cancellations (deemed necessary by the RG), obtains the sponsor's concurrence via e-mail.
    • Upon receipt of the Sponsored Research sponsor's concurrence, notifies the division RA, Sponsored Research sponsor, and the CO.
    • Processes a credit invoice during the monthly billing cycle.
    • Sends the credit invoice to the sponsor/customer, if applicable.

    F. Definitions/Acronyms

    Term

    Definition

    Accounts receivable

    Money owed to Berkeley Lab by an employee or other entity for reimbursement of costs, or by a Sponsored Research sponsor for research, goods, and services provided by Berkeley Lab on a specified award.

    Advance

    Funds paid by a Sponsored Research sponsor, usually as a condition of Berkeley Lab beginning work on an award. The advance is held in a deferred revenue account until such time as it is drawn down (usually the last 90–120 days of the award).

    Advance balance

    The amount of the advance payment remaining on the award.

    Sponsored Research

    The performance of work for non-Department of Energy (DOE) entities by DOE/contractor personnel and/or the utilization of DOE facilities that are not directly funded by DOE appropriations.

    G. Recordkeeping Requirements

    None

    H. Implementing Documents

    Document Number

    Title

    Type

    11.01.012.001

    Request for Preparation of Miscellaneous Invoice Form

    Form




    I. Contact Information

    Reimbursable Group Manager

    J. Revision History

    Date

    Revision

    By whom

    Revision Description

    Section(s) affected

    Change Type

    1/31/18

    1.1

    M. Fix

    Update for OSPIP/IPO change; WFO to SPP change; clarify R&R

    All

    Minor

    1/2/2012

    1

    S. Frainier

    Reformat for wiki

    All

    Minor

    DOCUMENT INFORMATION

    Title:

    Invoice Cancellation

    Document number

    11.01.012.000

    Revision number

    1.1

    Publication date:

    6/18/2018

    Effective date:

    10/1/2010

    Next review date:

    10/01/2021

    Policy Area:

    Accounting

    RPM Section (home)

    Financial Management

    RPM Section (cross-reference)

    None

    Functional Division

    OCFO

    Prior reference information (optional)

    RPM, Chapter 11, Section 11.30

    Source Requirements Documents

    DOE Accounting Handbook, Chapter 8, Receivables


    Document Number

    Title

    Type

    11.01.012.001

    Request for Preparation of Miscellaneous Invoice Form

    Form





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