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REQUIREMENTS AND POLICIES MANUAL

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Request for Issuance of Check (RFIC)

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    Title:

    Request for Issuance of Check (RFIC)

    Publication date:

    2/17/2017

    Effective date:

    2/17/2017

    BRIEF

    Policy Summary

    This policy provides guidelines for reimbursements to Berkeley Lab employees and/or payments to vendors/other payees using the Request for Issuance of Check (RFIC) process.

    Who Should Read This Policy

    Any Berkeley Lab employee seeking payment through the RFIC process

    To Read the Full Policy, Go To:

    The POLICY tab on this wiki page

    Contact Information

    Accounts Payable and Travel Manager

    Title:

    Request for Issuance of Check (RFIC)

    Publication date:

    2/17/2017

    Effective date:

    2/17/2017

    POLICY

    A. Purpose

    This policy provides guidelines for reimbursements to Berkeley Lab employees and/or payments to vendors or other payees using the Request for Issuance of Check (RFIC) process.

    B. Persons Affected

    Any Berkeley Lab employee seeking payment through the RFIC process

    C. Exceptions

    A request for an exception to this policy requires, at minimum, approval by the Controller's Office, Manager of Disbursement Services.

    D. Policy Statement

    1. General
      1. The starting point for any purchase of a good or service is always the Berkeley Lab Procurement website. The Procurement Department website outlines the channels for procuring goods and services through eBuy, PCard, and ePro requisition.
      2. The RFIC process should only be used when it is determined that an established procurement channel is not appropriate or feasible.
      3. Payments made through the RFIC process must adhere to the Laboratory's Cost Allowability policy.
      4. In addition, purchases made and submitted for reimbursement through the RFIC process must comply with Procurement restrictions regarding:
        1. Employee-Vendor Conflict of Interest
        2. Restricted Items List
      5. In submitting and approving an RFIC request, Laboratory personnel are taking responsibility for ensuring the above requirements and restrictions have been met.
      6. The following list includes examples of payments or reimbursements for which the use of the RFIC process is generally appropriate; however, it is not intended to be a comprehensive list.

        Division/Department

        Description

        All Laboratory divisions/departments

        • Books and journals, when payment is required at point of sale (e.g., at a conference location)1
        • Copyright fees3
        • Event costs2
        • Event registration fees2
        • Fellowships2
        • Food service, including working meals and event meals2
        • Honoraria2
        • Professional memberships, when requester must log in to an online account to make the payment1
        • Publishing fees
        • Training

        Office of the Chief Financial Officer (OCFO)

        • Employee garnishments and withholdings
        • Local lodging/direct bill
        • Payments to a UC entity that is not for reimbursement of goods or services, e.g., UCOP cost allocation

        Human Resources (HR)

        UC benefits

        Innovation & Partnerships Office (IPO)

        • Attorney fees
        • Royalty distribution

        International Researchers and Scholars Office (IRSO)

        Passport and Visa fees

        Office of Laboratory Counsel

        Attorney fees and settlements

        1Primary payment mechanism should be division or Procurement Service Center PCard or an ePro requisition.

        2Payments must comply with applicable policies found in the RPM:

        3 DOE approval may be required prior to payment.

         
    2. Process
      1. RFIC Preparation
        1. The eRFIC tool will be used for submission of RFIC requests. Certain RFIC transactions can be processed through other mechanisms, with the approval of the Accounts Payable/Travel Manager.
        2. Do not include Personally Identifiable Information (PII) on the request. PII includes:
          1. Social Security numbers
          2. Financial account numbers
          3. Driver's license numbers
        3. Sufficient documentation must be submitted to support the request. Documentation is considered sufficient when it includes:
          1. Vendor/payee name and remittance address
          2. Bill to name of Lawrence Berkeley National Laboratory when payment is to a vendor
          3. Item description, quantity, and price
          4. Sales tax (if applicable)
          5. Payment method; proof of payment in the case of a reimbursement request
        4. There are additional documentation requirements for certain transactions. For additional information, see:
          1. Non-Employee Payments (Affiliates and/or Visitors)
          2. Events and Meals Policy
        5. Incomplete RFICs or the use of a manual form may result in the RFIC being returned to the requester.
      2. RFIC Approvals
        1. The RFIC approver must be included in the Laboratory's Signature Authorization System (SAS).
        2. The RFIC approver cannot be the same individual as the payee.
        3. Payments related to joint arrangements/multiparticipant projects that exceed $25,000 also require the Chief Procurement Officer and the Controller's approval.
      3. Required Tax Forms
        1. Prior to issuing RFIC payments, the Accounts Payable Department must have up-to-date tax reporting information on file for the payee. The following forms are required and payment will be delayed until they are received:
          1. LBNL W-8 Substitute Foreign Vendor Registration or LBNL W-9 Substitute Domestic Vendor Registration
          2. California State Withholding Exemption Certificate Form 590 (California resident) or Form 587 (California nonresident)
        2. Contact Accounts Payables to determine if the required completed Internal Revenue Service (IRS) and state forms are already on file for a specific vendor.
      4. Delays or Denial of Reimbursement
        1. If a Berkeley Lab employee without delegated procurement authority made a commitment to acquire goods or services from a vendor and requests the Laboratory to make a direct payment to the vendor, such requests may need to be processed as an unauthorized commitment that must be ratified by the Laboratory's Procurement & Property Manager and possibly the CFO with submission of an ePro requisition and completion of the unauthorized commitment forms. The employee may be subject to disciplinary action for such commitments.
        2. If a Laboratory employee uses personal funds or credit cards to pay for a purchase, reimbursement may be denied if the purchase is deemed an inappropriate purchase in accordance with Laboratory policy or the Laboratory's DOE contract.
      5. Information about the Laboratory's eRFIC tool, including user guides and training materials, can be found at the OCFO Accounts Payable web page.

    E. Roles and Responsibilities

    Role

    Responsibility

    Requester/Approver

    • Reviews the RFIC policy to determine if the transaction qualifies for payment using the RFIC process
    • Ensures the cost complies with the Laboratory Cost Allowability policy and Procurement restrictions for employee-vendor conflict of interest and restricted items
    • Completes the RFIC submission process, including the appropriate approvals

    Accounts Payable

    • Reviews the RFIC data and supporting documentation to ensure compliance with this policy
    • Obtains vendor payee tax information, if warranted
    • Obtains OCFO approvals, as appropriate
    • Prepares payment

    F. Definitions/Acronyms

    Term

    Definition

    eBuy

    Berkeley Lab's online ordering system for purchasing common office, lab, and computer supplies. eBuy allows Berkeley Lab personnel to purchase items directly from a supplier's catalog.

    Conflict of Interest

    Contract 31, Clause I.66, Organizational Conflicts of Interest, ensures that Berkeley Lab (including Laboratory employees) is not biased because of financial, contractual, organizational, or other interests that relate to the work under the Laboratory's DOE Prime Contract, and that there is no unfair competitive advantage over other parties due to the performance under the Contract.

    Division PCard

    A Berkeley Lab-issued credit card that allows authorized employees to make business-related purchases for low-value, standard off-the-shelf items and services that are not available from eBuy and that do not require a purchase order or special approval.

    ePro (eProcurement)

    ePro is the institutional online ordering/procurement system used to purchase goods and services that are not available on eBuy or cannot be purchased with a PCard.

    Restricted Item

    An item that either is prohibited or needs special approvals or handling.

    G. Recordkeeping Requirements

    Documentation is subject to audit and must be retained per Berkeley Lab archiving policies, the National Archives and Records Administration, and Contract 31.

    H. Implementing Documents

    Document Number

    Title

    Type

     

    Cost Allowability

    Guidance List

    11.01.019.001

    Employee-Vendor Conflict of Interest List

    Guidance List

    11.01.019.003

    Restricted Items List

    Guidance List

    11.01.019.006

    Procurement Standard Practices 1.3, Ratification of Unauthorized Commitments

    Procedure

    11.05.005.000

    Non-Employee Payments (Affiliates and/or Visitors)

    Policy

    11.03.002.000

    Events and Meals Policy

    Policy

     

    eRFIC Training

    Training

     

    eRFIC User Guides

    Guidelines

     

    Signature Authority Guidelines

    Guidelines

    I. Contact Information

    Accounts Payable and Travel Manager

    J. Revision History

    Date

    Revision

    By whom

    Revision Description

    Section(s) affected

    Change Type

    2/17/2017

    1.2

    Jeppson

    Updated to link to current Laboratory procurement purchasing guidelines and related policies

    All

    Minor

    4/16/2013

    1.1

    Bothe

    Review completed 3/1/13, no changes

    Pub & Next Review dates

    Minor

    1/2/2012

    1

    Jeppson

    Reformat for wiki

    All

    Minor

    DOCUMENT INFORMATION

    Title:

    Request for Issuance of Check (RFIC)

    Document number

    11.01.019.000

    Revision number

    1.2

    Publication date:

    2/17/2017

    Effective date:

    2/17/2017

    Next review date:

    3/1/2020

    Policy Area:

    Accounting

    RPM Section (home)

    Financial Management

    RPM Section (cross-reference)

    11.50

    Functional Division

    OCFO

    Prior reference information (optional)

    RPM, Chapter 11, Section 11.50

    Source Requirements Documents

    Other Driving Requirements

    Document Number

    Title

    Type

    11.07.004.000

    Cost Allowability Policy

    Policy

    11.03.002.000

    Event Policy

    Policy

    Implementing Documents

    Document Number

    Title

    Type

     

    Cost Allowability

    Guidance List

    11.01.019.001

    Employee-Vendor Conflict of Interest List

    Guidance List

    11.01.019.003

    Restricted Items List

    Guidance List

    11.01.019.006

    Procurement Standard Practices 1.3, Ratification of Unauthorized Commitments

    Procedure

    11.05.005.000

    Non-Employee Payments (Affiliates and/or Visitors)

    Policy

    11.03.002.000

    Events and Meals Policy

    Policy

     

    eRFIC Training

    Training

     

    eRFIC User Guides

    Guidelines

     

    Signature Authority Guidelines

    Guidelines

    Other References

    Document Number

    Title

    Type

    05.07.000.000

    Conflict of Interest — General

    Policy

     

     

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