1500
- TRAVEL POLICIES AND PROCEDURES
Issuing Office: OFM 301-496-4379
or 301-402-8831
Release Date: 1/5/04; Replaces: 8/20/99
1. Explanation of Material Transmitted: The material transmitted
contains amended language in order to reflect recent changes to the FTR,
HHS policies and procedures, NIH delegations of authority, and other
edits. Examples are the insertion of a Conference Lodging Allowance under
"Definitions"; a change in the definition of Non-Foreign Travel;
wording that addresses the new automated travel system, in general; a
change in the delegations of authority in that IC Executive Officers can
no longer authorize and approve travel of the IC Director/Deputy Director;
and changes in the Federal Travel Regulation including the new rule
pertaining to use of frequent flyer miles.
2. Filing Instructions: This revised version of Chapter 1 is to
replace the previously issued version of the chapter.
1500-01-00 - Introduction to Official Government Travel:
1500-01-01 - Ethical Issues Associated with Travel:
1500-01-02 - Authorization and Approval of Official Travel:
1500-01-00 - Introduction to Official Government Travel
A. Introduction
The following directive provides information and guidance regarding NIH policies and
procedures pertaining to official travel, its authorization and performance, and
submission of claims for reimbursement of expenses. It is intended to assist civilian
employees and others who are required to travel in the performance of their duties, as
well as personnel responsible for the administration of travel regulations.
NOTE: Rules and regulations in this directive will address
the majority of official Government Travel subjects including sponsored travel.
There are, however, other topics such as payment of expenses connected with the illness or
death of a traveler, invitational travel, and certain relocation allowances that affect
relatively few travel assignments. If these situations arise, contact your
Administrative Officer for guidance1.
Further, although Commissioned Officer (C.O.) travel is outlined in the Joint
Federal Travel Regulations (JFTR), certain areas of travel in this Issuance contain the
same policies and procedures referenced in the JFTR (Web site: http://www.dtic.mil/perdiem/jftr.html).
Therefore, some Chapters in this Manual will specifically address C.O. travel
requirements and entitlements.
Official Government Travel is either related to:
- Temporary duty away from the official duty station (TDY),
- A change of official duty station, a "relocation" which entails a Permanent
Change of Station (PCS), or first duty assignment, or
- Local travel in and around the official duty station.
It is essential that the employees travel is authorized with a written or
electronically generated form HHS-1 Travel Authorization (Order)
providing sufficient funds for the expenses that will be incurred. In all cases,
travelers are expected to exercise the same care in spending public funds that a prudent
person would exercise when traveling on personal business.
1 Policies and procedures regarding the authorization
and approval of temporary duty travel for non-FTE Persons, e.g., Visiting
Fellows, C.O.’s, and Invitational Travelers can be referenced in the
applicable chapter within this directive (NIH Manual 1500). Guidance on
relocation service allowances can be referenced in Chapter 09 for employees
and in Chapter 10 for non-FTE Persons. Provisions pertaining to payment by
the Government of expenses in connection with the death of certain employees
and/or their immediate family members are outlined in FTR Chapter 303 and
further detailed in NIH Manual Issuance 1130 - Delegations
of Authority,
Travel #8.
B. Authority
The following written authorities are cited as reference points for this
directive on policies and procedures: 31 U.S.C. 1353, 42 U.S.C. 3506; 5
U.S.C. 7342; 5 U.S.C. 4101-4118; 5 U.S.C. 5701 B
5709, 40 U.S.C. 486(c), and the Federal Travel Regulation (FTR) contained in
Title 41, Subtitle F, of the Code of Federal Regulations (CFR). In cases
where NIH directives are inconsistent with governing promulgations and in
cases where there are omissions from the directives, the governing
regulations will normally prevail. Such decisions will rest with the
Director, Office of Financial Management (OFM), NIH.
C. Delegations of Authority
Appropriate delegations of authority at the National Institutes of Health are those
that are published in NIH Manual Issuance 1130 under
"Travel". These delegations are also defined in NIH Manual Issuance 1500 Chapter
01-02 C(9) and C(10).
NOTE: (This Manual Issuance can be accessed on the Web at: http://www1.od.nih.gov/oma/manualchapters/)
D. General Provisions
These procedures are for the processing of official travel of civilian employees of the
NIH, and others, including those intermittently employed as consultants or experts and paid on a daily
when-actually-employed basis, and individuals serving without pay or at $1 per
year, i.e., "Invitational Travelers". (See
definition of "employee" below.)
E. Definitions
Listed below are some of the more frequently used terms and their definitions for
official Government travel promulgation purposes.
- Actual Expense Allowance (AEA) - Payment of authorized actual expenses
incurred, limited by GSA to 300%, as appropriate. Entitlement to reimbursement is
contingent upon entitlement to per diem, and is subject to the same rules governing per
diem.
- Automated -Teller-Machine (ATM) services -
Bank/Financial Institution-provided ATM services that allow cash
withdrawals from participating ATMs to be charged to a government-issued
travel charge card.
- Calendar day - The 24-hour period from one midnight to the next. For
purposes of these directives, the calendar day technically begins one second after
midnight (expressed as 12:01 a.m.) and ends at 12:00 midnight.
- Common carrier - Private sector suppliers of air, rail,
bus, or steamship transportation.
- Conference Lodging Allowance (CLA) - A pre-determined maximum
allowance of up to 25 percent greater than the applicable locality
lodging portion of the per diem rate.
- Continental United States (CONUS) - The 48 contiguous States and the
District of Columbia.
- Contract carriers - U.S. certificated air carriers, which are under
contract with the government to furnish Federal employees and other persons authorized to
travel at Government expense with passenger transportation service. This also includes the
General Services Administrations (GSA) scheduled airline passenger service between
selected U.S. cities/airports and between selected U.S. and international cities/airports
at reduced fares.
- Employee - An individual employed by an agency including an individual
employed intermittently in the Government service as an expert or consultant and paid on a
daily when-actually-employed basis and an individual serving without pay or at $1 a year
(See FTR 301-1.2).
- Government-contracted rental car - An automobile obtained from a
commercial firm under the provisions of an appropriate GSA Federal Supply Schedule
contract.
- Government-issued individually billed charge card - A Government-issued
travel charge card used by authorized individuals to pay for official travel
and transportation related expenses for which the bank/financial
institution bills the employee.
- Government-furnished automobile - An automobile, or light truck/van, which
is:
- Owned by an agency,
- Assigned or dispatched to an agency from the GSA Interagency Fleet System, or
- Leased by the Government for a period of 60 days or longer from a commercial source.
- Government Travel Account (GTA) - A cardless, centralized billing process
that facilitates procurement of common carrier transportation services via a Travel
Management System (TMS), e.g, Travel Management Center (TMC).
- Interviewee - An individual who is being considered for employment by an
agency. The individual may currently be a Government employee.
- Locality rates - The maximum per diem rates prescribed for specific
localities within the CONUS.
- Lodgings-plus per diem system - A method for computing per diem allowances
while on official travel. Per diem allowances for each day of official travel are based on
the actual amount a traveler pays for their lodging, plus an allowance for meals and
incidental expenses (M&IE), the total of which may not exceed the applicable maximum
per diem rate for the location concerned.
- Meeting or similar function - A conference, seminar, speaking engagement,
training course, or similar event that takes place away from the employees official
station.
- Nonfederal source - Any entity other than the Federal
Government,
including any organization, association, corporation, individual, or any state or local
government unit, including the government of the District of Columbia.
- Non-foreign area - Outside Conus (OCONUS) B The States of Alaska and Hawaii,
Puerto Rico, Guam, American Samoa, the U.S. Virgin Islands and any other
territory under U.S. jurisdiction. NOTE: In the automated travel system,
trips of this nature will be approved as domestic travel.
- Official duty station - The location of the employees permanent work
assignment. The limits of the official station will be the corporate limits of the city or
town in which the employee is stationed. If the employee is not stationed in an
incorporated city or town, the official station is the reservation, station, or
established area, or in the case of large reservations, the established subdivision
thereof, having definite boundaries within which the designated post of duty is located.
- Payment-in-Kind (PIK) - Goods or services provided in lieu
of funds paid to an agency for travel, subsistence, and other travel related expenses.
- Per diem allowance - Per diem allowance is also referred to as
"subsistence allowance" and is a daily payment instead of reimbursement for
actual expenses for lodging, meals, and related incidental expenses. The per diem is
separate from transportation expenses and other miscellaneous expenses. The per diem
allowance covers all charges, including any service charge where applicable.
- Privately owned vehicle (POV) B
Any vehicle (such as an automobile, motorcycle, aircraft, or boat), operated by an
individual that is not owned or leased by a Government agency and is not commercially
leased or rented by an employee under a Government rental agreement, used in connection
with official Government business.
- Standard CONUS rate -The per diem rate assigned to any temporary duty
location within the CONUS that is not included in one of the defined higher rate
"locality areas". The standard rate is also assigned to ALL locations within
CONUS, including the specially defined localities, in cases of relocation travel.
- Temporary duty location (TDY) - A place, away from the employees
official duty station where the employee is authorized to travel and conduct Government
business.
- Travel advance - Partial prepayment of the estimated travel expenses paid
to an employee before departure.
- Travel authorization (Order) - Written permission to travel on official
business. It must include specific purposes, itinerary and estimated costs.
- Travel reimbursement claim (Voucher) - A written request, supported by
documentation and receipts where applicable, for reimbursement of expenses incurred in the
performance of official travel, including permanent change of station (PCS) travel.
- Travel Management System (TMS) - A system to arrange travel
services for Federal employees on official travel, including reservation of accommodations
and ticketing. A TMS includes a Travel Management Center, commercial ticket office,
electronic travel management system, or other commercial method of arranging travel.
- Transportation expenses - Expenses incurred for commercial bus, air, rail,
or ship fares that are reimbursable in addition to the per diem allowance. Transportation
expenses also include local transit system and taxi fares, cost of commercial rental and
other special conveyances, mileage and other allowances for use of privately owned
vehicles, including fees for parking, ferries, etc.
- Other miscellaneous travel expenses - Other reimbursable
travel expenses are those that are directly attributable and necessary to the travel and
temporary duty as authorized and performed (See FTR
301-12 for detailed list of all claimable expenses.)
1500-01-01 - Ethical Issues Associated with Travel
A. General
This part of the directive identifies some of the ethical issues
that NIH employees may be faced with, as they pertain to travel. It
also contains guidance that should be adhered to in a variety of
travel-related scenarios. Each employee must be in compliance with the
ethical standards required of Federal employees in general and of NIH
employees in particular.
B. Authority
Statutory and regulatory authorities related to this area are numerous and
promulgated by Congress, the Comptroller General, the General Services Administration, and
the Office of Government Ethics.
C. Guidance
The NIH has the statutory authority to accept gifts donated to the
Gift Trust Funds from donors who wish to support the mission of biomedical
research under the Public Health Service (PHS) Act, Sections 231, 301, 405,
and 497. The Gift Funds include the Unconditional Gift Fund, the Conditional
Gift Fund, and the Patient’s Benefit Fund.
As a general rule, NIH employees, may not accept gifts or donations in
conjunction with travel related situations. Reimbursements offered to
employees to defray either general or specific expenses associated with
travel or transportation are considered to be offers of gifts or donations,
and according to numerous Comptroller General (C.G.) decisions, are strictly
prohibited except as described in 5 U.S.C. 4111, 31 U.S.C. 1353, 42 U.S.C.
3506, and 5 U.S.C. 7342 (See NIH Manual Issuance 1500 Chapter 08
"Acceptance of Payment from Non-Federal Sources to Cover Travel
Expenses" ).
- Private (Nonfederal) Source Contributions. Private
source contributions for travel are supplements to the salary or
expenses of Federal employees, and are improper for two reasons. First,
they are prohibited by Title18 U.S.C. 209. Under this statute, both the
giving and the receiving are criminal offenses. Secondly, they are
improper as unauthorized augmentations. To the extent the contribution
supplements the Government salary or other expenditure, including travel
associated costs, it is an augmentation in an indirect sense, the theory
being that when Congress appropriates money
for an activity, all expenses of that activity must be borne by that
appropriation unless Congress specifically provides otherwise.
- Exceptions to Private (Nonfederal) Source Contributions. Under
5 U.S.C. 4111, enacted as part of the Government Employee Training Act,
an employee may accept, 1) contributions and awards incident to training
in non-Government facilities, and 2) payment of travel, subsistence, and
other expenses incident to attendance at meetings, but only if the
donor is a tax-exempt, nonprofit organization. Under legislative
authorities 31 U.S.C. 1353, 42 U.S.C. 3506, and 5 U.S.C. 7342, with
limited conditions, an employee may accept payment of travel,
subsistence, and other related expenses respectively, incident to:
attendance at meetings and similar functions; in the performance of
advisory services; or in conducting official duties on behalf of the
United States when funding is provided by a foreign government
(including international or multinational organizations).
Under 31
U.S.C. 1353, employees and their spouses are prohibited
from accepting cash or checks made payable to the employee and/or
the spouse from a non-Federal source for travel or attendance at
meetings or similar functions. Cash may still be received and retained
by the employee under the authority to provide advisory services (42
U.S.C. 3506) or to accept sponsorship under the Foreign Gifts and
Decorations Act (5 U.S.C. 7342); however, in these scenarios, the
employee is advised to submit the payment to his/her administrative
official for deposit to the appropriation in the most expeditious
manner. NIH personnel who process vouchers for sponsored trips should
consult NIH Manual Issuance 1500 Chapter 08 for the directions and
proper handling of checks made payable to the individual traveler. If an
employee receives payment either in cash or in kind under this section,
his/her transportation and related travel allowances must be reduced
accordingly.
The above policies apply to reimbursements for travel performed by
NIH employees in line with their official duties only. Travel performed
incident to "outside work or activities" is contained in NIH
Manual Issuance Chapter 2300-735-4, and must be submitted on a HHS-520
Form "Request for Approval of Outside Activities".
- Donations. When made to an employee under the provisions of 5 U.S.C. 4111
with the express condition that they be used for an unauthorized purpose they should be
returned to the donor (47 C.G. 319, 1967).
- Retention of "Discount Coupons" and "Frequent
Flyer" Miles. An employee or other individual who receives
a promotional item (including frequent flyer miles, upgrades or access
to carrier clubs or facilities), as a result of using travel or
transportation services obtained at Federal Government expense or
accepted under the statutory authorities referenced in 1500-01-01(C)(2)
above, may retain the promotional item for personal use or business use,
if the promotional item is obtained under the same terms as those
offered to the general public and at no additional cost to the Federal
Government. An employee may keep a prize won in a contest or lottery
sponsored by an air carrier if the contest was open to the general
public and not limited to ticket-holding passengers. (B-199656, supra).
- Denied Boarding (involuntary bumping) compensation is
payable to the Government, not to the individual employee. Since
this is not a gift but is more in the nature of damages, it is deposited
into miscellaneous receipts (See FTR 301-10.116). However, where the employee
voluntarily vacates his/her seat and takes a later flight, he/she
may retain overbooking compensation received from the airlines, subject
to offset for any additional travel expenses caused by the voluntary
action. (59 C.G. 203, 1980). (For additional guidance, see FTR
301-10.117).
- Conditions of Non-acceptance of Travel Expenses. Unless authorized
pursuant to an exception, an employee may not accept travel expenses from a prohibited
source.
A prohibited source means any person who:
- Is seeking official action by the employees agency;
- Does business or seeks to do business with the employees agency;
- Conducts activities regulated by the employees agency;
- Has interests that may be substantially affected by the performance or non-performance
of the employees official duties; or
- Is an organization, a majority of whose members are described in a-d above (5 C.F.R.
2635.203 (d)).
D. NIH Procedures for Acceptance of Nonfederal Source Funds
- Nonfederal source approval. All offers of payment of official travel
expenses from non-Federal sources must be approved in advance and
in writing,
by the appropriate official (See NIH Manual Issuance 1130 - Delegations of Authority,
Travel
# 7), prior to acceptance. This will help to provide consistency of interpretation of
applicable statutes and regulations. Administrators are responsible for ensuring all
agency personnel are made aware that such offers must be so approved. This is especially
important for those responsible for approving travel.
- Acceptance of expenses from nonfederal sources. Travel orders should note
specifically what expenses are being accepted by the traveling employee and under what
authority. The traveling employee will never approve the acceptance of his/her own travel
expenses.
- Record of nonfederal expenses. A record of all travel
expenses accepted from non-Federal funding will be kept by the OD/Office
of Financial Management (OFM) in a central file. In addition, the OFM
will submit a Semi-Annual Report to the OS/Assistant Secretary for
Budget, Technology, and Finance, accordingly.
For additional information on acceptance of payment for travel and
related expenses from a nonfederal source, you can reference NIH Manual
1500 Chapter 08.
1500-01-02 Authorization and Approval of Official Travel
A. General
- Authorizing Officials - Following is a list of NIH officials with specific
delegation to authorize and/or approve travel documents (See Items C(9) and C(10)).
While some travel-related documents are prepared manually, for the majority of domestic,
foreign, and local travel, the NIH requires the use of the electronic travel orders and
vouchers available on the automated travel system.
-
Automated Travel System - To initiate and approve travel
documents on the automated travel system, users are required to be
properly trained in travel procedures. The
IC Organization Administrator (OA) has to certify that the user has
completed the requisite training and security requirements. Once those
requirements are met, the IC OA submits a request on behalf of the
individual for user authorization. Comprehensive travel courses are
available through the NIH’s Division of Workforce Development (DWD)
(Training Center) and additional information may be accessed at the
following web site address: http://my.nih.gov.
B. Authority
The FTR requires that the head of an agency authorize or approve all travel.
The Secretary of the Department of Health and Human Services allows for the
re-delegation of this authority. The approval process of all vouchers for
payment is authorized by Title 31 U.S.C. 3528 ( See Federal Travel
Regulations CFR 301-71.203).
C. Delegations of Authority
The Deputy Director for Management, NIH, is delegated the responsibility
of maintaining the NIHs authorization and approval system and is particularly
responsible for ensuring compliance with all aspects of the system by NIH
delegated officials.
(See NIH Manual Issuance 1130 - Delegations of Authority, Travel).
- Authorizations (Travel Orders) and related funding documentation.
The NIH administrative officials listed below (Item C(9)) and C(10))
have been delegated specific responsibilities for the authorization and/or approval of
travel related documents. These officials review and assess the appropriateness of the
trip, the method of transportation used, the cost estimates set forth for per diem and
travel expenses, and the availability of funds for payment to the traveler.
- Funds available. Most Federal appropriations that are used to
fund travel are approved on a fiscal year (FY) schedule (October
1 of the current calendar year to September 30 of the coming calendar year). When
the United States Congress and the President pass the Federal Budget on or before
October 1 of the current year, monies authorized and obligated for travel purposes on
or after the October 1 date are made available.
- Funding from multiple CANs. Because the NIH workforce is made
up of Federal Civil Service employees, Commissioned Officers of the USPHS, appointees,
fellows, and trainees, their travel funding may be obligated from more than a single
appropriation or CAN. The account used depends upon the employment category of the
employee doing the travel. Although, most of these funds are renewed on a fiscal year
basis, some funds are approved for multiple years and are not affected by the September 30
FY deadline. (Item (7) below.)
- Suspension of Federal funding. When the United States Congress and the
President do not sign the new fiscal year budget nor approve a "continuing
resolution" (CR) by October 1 of the current year, the Federal Agencies are deemed
"out of funds" and must be shut down. All Federal employees, including
travelers, are "furloughed."
- Travel not funded. When travelers submit authorizations (Travel Orders)
for periods of travel that span both fiscal years (e.g. September 23 B October 5), approving officials
must ensure that the authorization contains the qualifying statement,
"Subject to the Availability of Funding". This commits
only monies from the current FY travel budget, not monies from the new
FY budget that may not be approved. Travelers should be advised that
if the Federal Budget is not signed and a continuing resolution is not
authorized to temporarily fund the Government, they are expected to
return to their permanent duty station by midnight September 30.
All expenses incurred after this deadline cannot be claimed by the
traveler or reimbursed by the Government.
- Continuing resolution (CR). When the United States
Congress and the President do not sign a new fiscal year budget, the
President has the option of signing a "continuing resolution".
This piece of legislation allows "emergency funding"
for Government agencies to continue running for a limited number of days
beyond the September 30 midnight deadline. Travel activities may take
place during the continuing resolution period, and expenses are
reimbursable.
- Appropriations not affected by the FY date. Employees
who conduct official travel authorized from funds that are not dependent
upon the fiscal year renewal date (referenced in item (3) above) may
continue in travel status, and travel expenses are fully reimbursable.
- New FY budget approved. When the United States Congress and the President
sign the new fiscal year Federal Budget on or before October 1, all travel expenses are
covered. If the employee is in travel status during a period of time that spans both
fiscal years, he/she will be reimbursed for all travel expenses that were incurred before
midnight September 30 from the current FY budget, and reimbursed for all travel expenses
that were incurred after 12:01 a.m. October 1 from the new FY budget.
Travel Orders and Vouchers will be prepared accordingly reimbursing
from both appropriations.
- Authorizing Officials - Travel Orders and pre-travel
documents.
- NIH Director may authorize travel for all personnel at
the NIH.
- The delegation of authority for foreign travel for all
employees of their respective institutes or centers can be referenced
in NIH Manual Issuance 1130 Delegations of Authority,
Travel #9.
- Delegated Administrative Officials designated as "funding
officials" authorize domestic travel and approve funding
for domestic and foreign travel for employees in their IC over-site
areas.
- The "recommending official" signs travel documents
for all employees directly under their supervision
and, in cases where re-delegation has been authorized, may also
approve domestic travel orders for employees
under their supervision.
- Budget Officers who oversee "management funding"
in the NIH Clinical Center, authorize both domestic and foreign
travel orders with approvals at the Administrative and Directors
Offices respectively.
- For signature approval for Actual Expense Allowance (AEA)
justifications, reference NIH Manual Issuance 1130 Delegations
of Authority,
Travel
#1.
- The delegation of authority for accepting payment from a
nonfederal source to cover travel-related expenses in cash
or in kind can be referenced in NIH Manual Issuance 1130 Delegations
of Authority,
Travel
#7.
- For signature approval for Non-contract air carriers
and Foreign air carrier usage, reference NIH Manual Issuance
1130 Delegations of Authority,
Travel
#14.
- For signature approval for Premium Class travel accommodations,
for travelers with a disability, special needs, or individual
justification, reference NIH Manual Issuance 1130 Delegations
of Authority,
Travel
#15.
- Approval of travel reimbursement claims (Travel
Vouchers). Following are the officials with delegated authority
to approve Travel vouchers, including those items requiring specific
approval before reimbursement can be made:
- NIH Delegated Administrative Officials who have signature certification for
funding, approve all Travel Vouchers for their respective Institute or Center areas.
- Budget Officers in the NIH Clinical Center approve voucher payments with an
additional Administrative Officer authorizing signature.
- The one exception to the above rules is the approval of "cash"
(use of personal credit cards, personal checks, money orders, etc.) to purchase emergency
or non-emergency transportation tickets costing over $100 from travelers
personal funds. The appropriate official must make the final decision for authorizing
reimbursement of all, part or none of the ticketed amount before funding approval
can be finalized and payment issued (See NIH Manual Issuance 1130 - Delegations of
Authority,
Travel #12).
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