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BRIEF

Policy Summary

This policy provides guidelines for reimbursements to Lawrence Berkeley National Laboratory (Berkeley Lab) employees and/or payments to vendors/other payees using the Payment Request process.

Who Should Read This Policy

Any Berkeley Lab employee seeking payment through the Payment Request process.

To Read the Full Policy, Go To:

The POLICY tab on this wiki page

Contact Information

Accounts Payable and Travel Manager

POLICY

A. Purpose

This policy provides guidelines for reimbursements to Lawrence Berkeley National Laboratory (Berkeley Lab) employees and/or payments to vendors or other payees using the Payment Request process.

B. Persons Affected

Any Berkeley Lab employee seeking payment through the Payment Request 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 Payment Request process should be used only when it is determined that an established procurement channel is not appropriate or feasible.
   3. Payments made through the Payment Request process must adhere to the Laboratory's Cost Allowability policy.
   4. In addition, purchases made and submitted for reimbursement through the Payment Request process must comply with Procurement restrictions regarding:
      1. Employee-Vendor/Personal Conflict of Interest
      2. Restricted Items List
   5. In submitting and approving a Payment 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 Payment Request 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 the 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 the requester must log into an online account to make the payment1 Publishing fees Training
      Office of the Chief Financial Officer (OCFO) Employee garnishments and withholdings	Local lodging/direct bill2 Payments to a University of California (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

      ¹The primary payment mechanism should be the division or Procurement Service Center PCard or an ePro requisition.

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

      • Non-Employee Payments (Affiliates and/or Visitors)
      • Events and Meals Policy
      • Travel Policy
      • Cost Allowability Policy

      ³ DOE approval may be required prior to payment.

2. Payment Request Requirements
   1. The Financial Management System (FMS) will be used for submission of Payment Requests. Certain Payment Request transactions can be processed through other mechanisms.
   2. Payment Requests must not include Personally Identifiable Information (PII) on the request. PII includes:
      1.  Social Security numbers
      2.  Financial account numbers (e.g., checking account)
      3. Driver's license number
   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 Other costs such as shipping or 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:
      
      • Non-Employee Payments (Affiliates and/or Visitors)
      • Events and Meals Policy
   5. Incomplete Payment Requests or the use of a manual form may result in the Payment Request being returned to the requester.
3. Payment Request Approvals
   1. The Payment Request approver must have taken the required OCFO online Approving Financial Transactions course and be included in the Laboratory's Signature Authorization System (SAS).
   2. The Payment Request 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.
4. Required Tax Forms
   1. Prior to issuing Payment Request payments, the Accounts Payable Department must have tax reporting information on file for the a non-employee reimbursement 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).
      Contact Accounts Payable ([email protected]) to determine if the required completed Internal Revenue Service (IRS) and state forms are already on file for a specific vendor
      1. For Domestic individuals/suppliers, IRS W9 and Direct Deposit/ACH form for U.S. banks.
      2. For Foreign individuals/suppliers, Berkeley Lab W-8BEN (individual), IRS W-8BEN-E (foreign company) and Wire Transfer form (non-U.S. banks).
5. 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. If that occurs, the commitment 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 any unauthorized commitments. More information about unauthorized commitments can be found in Section D.1.7 of the Acquisition of Goods and Services policy.
   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.
   3. Information about the Laboratory's FMS Payment Request, including user guides and training materials, can be found at on the OCFO Accounts Payable web page. website, Payment Request Center. 

E. Roles and Responsibilities

F. Definitions/Acronyms

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

I. Contact Information

Accounts Payable and Travel Manager

J. Revision History

DOCUMENT INFORMATION

Source Requirements Documents

• FAR 31.2012, Determining Allowability, Subpart 31.2, Contracts with Commercial Organizations
• DOE Acquisition Regulation (DEAR) Subpart 970.31 , - Contract Cost Principles and Procedures | Acquisition.GOV 

Other Driving Requirements

Implementing Documents

Other References