Because the statutory authorities that pertain to employees do not extend to non-FTE persons, i.e., Visiting Fellows, IRTA's, Special Volunteers, etc., the NIH can NOT accept travel and related expenses from a nonfederal source via the HHS-348 process on behalf of these individuals. Consequently, this office is developing policy inclusive of a supplemental process (Acceptance Letter Process) that will govern such acceptance by non-FTE persons. Keep in mind, this acceptance is consistent with the individual's official duties as they relate to the training, fellowship, or voluntary assignment. The following question and answer guidance is provided in order to assist you in achieving this objective:
Q1) Where can I reference the NIH policy that permits a non-FTE person to accept travel and related expenses from a nonfederal source?
A1) The policy is contained in NIH Manual 1500, Chapter 10 "Temporary Duty (TDY) Travel and Relocation of Non-FTE Persons" http://www1.od.nih.gov/oma/manualchapters/ .
The policy stems from the non-FTE agreement to abide by the policies governing employee conduct at the NIH that includes the Standards of Ethical Conduct Agreement, outlined in the Government-wide ethics regulations contained in 5 CFR Part 2635 at http://www.access.gpo.gov/nara/cfr/cfr-table-search.html#page1.
Q2) What are the specific rules governing acceptance of travel and related expenses?
A2) Pursuant to NIH policy, a non-FTE person may accept such expenses only under the following conditions:
These forms can be accessed at the following web site: http://ethics.od.nih.gov/forms.htm
A gift may be for travel expenses inclusive of transportation, lodging, and meals and may also include training. Under this rule, any form of cash or investment interest from the sponsor must be given directly to the individual and not to the IC.
NOTE: Under (b) and (c) above, free attendance may include the waiving of a part or all of a registration fee or the provision of meals, light refreshments, or training that is furnished to all attendees as an integral part of the event. Free attendance does not include travel or lodging expenses. In addition, it does not include meals taken other than in a group setting with all of the other attendees.
Q3) When a non-FTE person is offered travel expenses by a nonfederal source in line with simply attending an event, that is with no formal role, i.e., scientific interchange, staffing an exhibit, etc. can he/she be authorized such acceptance?
A3) No. A non-FTE person may accept a gift of travel expenses only if he/she is actively participating in the event, e.g., making a speech, delivering a paper, etc. or has received a gift of training.
Q4) What steps should the IC take once the non-FTE person receives a formal Invitation Letter or faxed or electronic invite from the sponsor?
A4) The IC must confirm all services to be covered by the sponsor and complete the Acceptance Letter for "Sponsored Travel of Non-FTE Persons" (See NIH Manual 1500, Appendix 10).
NOTE: The IC does not have to complete an Acceptance Letter if the travel services are accepted in line with A(2)(d)(2) above.
Q5) Can a non-FTE person travel without a completed and properly signed Acceptance Letter?
A5) No. The IC must have a completed and properly signed Acceptance Letter before the individual can engage in travel.
Q6) How is the sponsoring organization to pay for the travel and related expenses?
A6) All of the travel and related expenses that the sponsor agrees to pay must be paid for in advance of the trip on an "In Kind" basis, or should be covered by the sponsor during the course of the events.
Exception: When the travel services accepted are in line with A(2)(d)(2) above.
Q7) What type of review of the completed Acceptance Letter must the IC conduct?
A7) The IC must review the following items:
Q8) Once the IC has completed its review of the Acceptance Letter and has obtained all of the appropriate signatures, what procedures should be followed?
A8)
Q9) Upon completion of the trip, must the non-FTE person file a Travel Voucher even if there is no expense to the NIH?
A9) Yes. This is to clear the Travel Order from the ADB system. If there are appropriated funds to be applied to the travel, all applicable receipts must be attached to the Travel Voucher.
Q10) Upon completion of the trip, if the sponsor reimburses the individual or NIH, i.e., check, cash, etc. for travel and related expenses, can such reimbursement be accepted?
A10) No. Neither NIH nor the individual is to accept any form of reimbursement for travel and related expenses from the sponsor. Any uncovered expenses will be paid for from the IC's appropriated funds.
Q11) Can the Non-FTE person directly accept a gift of travel expenses from the nonfederal source on behalf of his/her spouse?
A11) Yes. In line with A2(d) above, the individual receiving an award or degree for meritorious public service or achievement may accept a gift of travel expenses on behalf of his/her spouse. The spouse of a non-FTE person can NOT be authorized to accept travel and related expenses from a nonfederal source via the HHS-348 mechanism.
Q12) Can a non-FTE person accept cash directly from the sponsor for any of the travel and related services?
A12) No. The non-FTE person should obtain a cash advance via the ADB for any expenses that the sponsor does not agree to cover.
Q13) Can a non-FTE person accept travel and related expenses from the sponsor and process the Travel Order via the ADB as No Expense to The Government (NETG), and bypass ethics review and clearance?
A13) No. A non-FTE person must NOT accept such expenses in this manner. Any trip funded in whole or in part by a nonfederal source must receive proper ethics review and clearance (See A8(b) above). Any gift or award of travel expenses from a nonfederal source must be effected via the Acceptance Letter Process (See NIH Manual 1500, Appendix 10).
Q14) Does this process eliminate the requirements contained in the Technical Advisory 19 for foreign non-FTE persons engaging in lectures or short term consultations?
A14) No. All FIC, International Services Branch, "Office of Administrative Management and International Services," Technical Advisory 19 requirements must be met. (See http://www.fic.nih.gov/services.html )