Section II_Schedule C_PPPL Subcontractor Guidelines-Rev21 Aug2022.pdf

GENERAL GUIDELINES FOR SUBCONTRACTOR TRAVEL

PPL-PD-TRAV.20 (August 2022)

GENERAL GUIDELINES

FOR

SUBCONTRACTOR TRAVEL

August 1, 2022

Table of Contents

1.0 Background 4

2.0 Short Term Subcontractor Travel 4

2.1 Travel Approval & Documentation 4

2.1.1 Travel Arrangements 4

2.1.2 Travel Approval Form 5

Domestic 5

Foreign 5

2.1.3 Lead Time for Approval 5

2.2 Additional Information for Foreign Travel 5

2.3 Travel Reimbursements 6

2.4 Training Requirements 6

2.5 Travel Period 6

2.6 Lodging 6

2.7 Meals and Incidental Expenses (M&IE) 7

2.8 Transportation 8

2.9 Telephone 8

2.10 Miscellaneous 8

2.11 Subcontractor Invoices 9

2.12 Additional Requirement for Conference Attendance 9

2.12.1 Definition of a Conference 10

2.12.2 Conference Exemptions 10

2.12.3 Indicia of a Conference 10

2.13 Responsibility for International Travel Risk and Traveler Safety 11

3.0 Extended Term Subcontractor Travel 11

3.1 Travel and Temporary Living Expenses 11

3.1.1 Transportation 11

3.1.2 Lodging 12

3.1.3 Meals and Incidentals 12

3.2 Ground Transportation 12

3.2.1 Rental Cars 12

3.2.2 Privately Owned Vehicle (POV) 13

3.3 Alternative 13

4.0 Attachments 14

4.1. PPPL Travel Approval Form 14

4.2. Foreign Travel Management System (FTMS) Input Form 14

PPL-PD-TRAV.20 (August 2022)

4.3. International Travel FTMS Forms: Guidance for PPPL Travelers 14

4.4. PPPL Travel Voucher 14

4.5. PPPL Foreign Travel Procedure 14

5.0 References 14

Federal Travel Regulations 14

Domestic Travel Per Diem (General Services Administration (GSA)) 14

Foreign Travel Per Diem (Department of State (DoS)) 14

DOE AL 2018-08 – Contractor Domestic Personnel Assignments 14

1.0 Background

PPPL is a Federally Funded Research and Development Center (FFRDC) operated by

Princeton University under contract with the U.S. Department of Energy (DOE). As such, PPPL’s travel policy incorporates the Federal Travel Regulations (FTR) to the extent prescribed in our Contract with the DOE.

The authorization to travel must be explicitly funded in the subcontract. Consult the Subcontract document for information regarding any additional travel requirements or prohibitions that may apply.

It is the subcontractor’s responsibility to understand both the Subcontract Travel

Requirements and these guidelines. Questions should be referred to the PPPL

Procurement Specialist for this Subcontract.

The following procedures must be used for subcontractor travel. Subcontractor travel guidance is broken into two categories: Short Term (≤30 days) and Extended Term (>30 days).

2.0 Short Term Subcontractor Travel

Short term subcontractor travel is applicable to short term travel that does not exceed

30 consecutive calendar days. Refer to section 3.0 for Extended Term Subcontractor

Travel (greater than 30 consecutive days).

2.1 Travel Approval & Documentation

2.1.1 Travel Arrangements

Domestic Travel - Arrangements for domestic travel are not required to be arranged by

PPPL Travel Office. Domestic airfare, in excess of the lowest customary standard coach, will not be reimbursed unless pre-approved by the PPPL Travel Office.

International Travel - Unless specifically removed from the Subcontract, all international travel (as defined in the FTR) performed under this subcontract must be reviewed and approved by PPPL Travel Office prior to travel.

PPL-PD-TRAV.20 (August 2022)

2.1.2 Travel Requests

Domestic

All travel requests (may use PPPL Travel Approval Form, also referred to as a “TAF”) must be submitted to and approved by the Princeton Technical Representative (PTR) well in advance of the planned travel.

Foreign

For International travel, an additional form is required: a Foreign Travel Management

System Input Form (FTMS) must be completed and returned to the PTR, together with any additional documentation required to facilitate approval. Refer to Attachment 3 for instructions on how to properly fill out this travel request form.

Foreign travel requests must be entered in the FTMS by PPPL and approved by the

DOE and Department of State before official travel begins.

2.1.3 Lead Time for Approval

It is necessary for all travel to have the following lead times to allow for approval:

Domestic travel 30 days

(typical)

Foreign travel 40 days

(typical)

2.2 Additional Information for Foreign Travel

In addition to completing the PPPL TAF (optional) and FTMS input forms, the following information is required for all international travelers:

Social Security Number (only last four digits)

Passport Type

Passport Number

Passport Expiration Date

Country of Birth

Citizenship

This information will be collected the first time an individual travels to a foreign country under the Subcontract. This information must NOT be transmitted electronically. PPPL staff responsible for entering the data into the FTMS system will contact the individual traveler via telephone to collect the information. The information is stored in the FTMS system only and will not be stored or accessible by PPPL.

2.3 Travel Reimbursements

Unless otherwise stated in this Subcontract, travel arrangements should generally be made and paid for by the traveler/subcontractor. Reimbursement for travel will be made to the subcontractor by PPPL in accordance with Subcontract terms. Consult the

Subcontract document for information regarding any additional travel requirements or prohibitions that may apply.

Subcontracts with a University may be subject to the terms in OMB Circular A-21, as applicable.

2.4 Training Requirements

For foreign travel of longer than 30 consecutive days, travelers need to complete

“Serving Abroad for Families & Employees (S.A.F.E.) Training” offered by the U.S.

Government.

Additional requirements for foreign travel by country will be communicated to the traveler/subcontractor as applicable.

2.5 Travel Period

Official travel begins when travelers leave their home, office, or other authorized point of departure. Travel ends when travelers return to their home, office or other authorized arrival point.

● Costs billed for time while traveling to/from Princeton are not reimbursable.

● Commuting costs are not reimbursable.

2.6 Lodging

Lodging is reimbursed at actual cost with itemized receipts up to published Federal

Lodging Per Diem Rate.

https://obamawhitehouse.archives.gov/omb/circulars_a021_2004/

PPPL must approve (in writing) any lodging costs in excess of the applicable per diem.

Necessary approvals should be requested through the PPPL Travel Office in advance of planned travel.

● Lodging costs that exceed the Federal lodging allowance must be accompanied by a written justification of the amount requested and must be approved (signed) by the PPPL Travel Office. Lodging costs in excess of 150% of the Federal lodging allowance must be accompanied by a written justification of the amount requested and must be approved (signed) by the Head, Accounting and Financial

Controls.

● Lodging costs in excess of 300% of the Federal lodging allowance cannot be charged to the DOE and will not be reimbursed.

● It is the responsibility of the traveler/subcontractor to notify their hotel as quickly as possible of any cancellations and late arrivals to avoid no-show penalties.

Any penalties that are a result of negligence on the part of the traveler/subcontractor are considered an unallowable expense under the

Subcontract; therefore, are NOT reimbursable.

● Traveler/subcontractor should use commercial lodging. If traveler/subcontractor chooses to stay at the home of family members or friends, they will only be reimbursed for the M&IE at the rate for that location. Host gifts are not allowable under the terms of the PPPL contract with the DOE; therefore, are NOT reimbursable.

2.7 Meals and Incidental Expenses (M&IE)

M&IE shall be reimbursed according to the published Federal Per Diem rate for the city in which lodging is obtained.

● Regardless of departure or arrival times, M&IE costs are reimbursed at 75% of the lodging destination M&IE rate on the day of departure and day of return/arrival. Other days are reimbursed at 100% of the M&IE rate.

● M&IE will be reimbursed at 75% of the M&IE for trips greater than 12 hours but less than 24 hours in duration. For trip duration of 12 hours or less, no reimbursement for M&IE will be provided.

● Traveler/Subcontractor must exclude the cost of meals provided by others from the per diem rate, such as meals that are part of a registration, meals provided by the business site, or meals paid directly by PPPL. Complimentary meals provided by a hotel/motel do not impact the per diem.

PPL-PD-TRAV.20 (August 2022)

2.8 Transportation

● Automobile rentals should not exceed the rate of an intermediate/midsize sedan car. If a full size vehicle is required, an explanation must be provided justifying the additional expense. If the traveler/subcontractor does not provide a justification that PPPL deems adequate, PPPL reserves the right to reduce reimbursement of rental car expenses to the costs that would have been incurred for rental of an intermediate/midsize sedan car.

○ Global Positioning System (GPS) units provided by rental companies are an unallowable expense, unless approved in advance by PPPL, Head of

Accounting.

○ Traveler/subcontractor is expected to refuel the rental car prior to returning to the rental agency and to decline the pre-paid fuel options.

○ Optional add-ons are unallowable expenses (e.g., satellite radio).

○ When seeking reimbursement for a rental car, the rental agreement must be included with the travel voucher/invoice.

● Reimbursement for use of a personal vehicle will be allowable, provided this amount does not exceed the cost of using commercial transportation. Tolls must be itemized separately. The rate per mile for use of personal vehicles is available on the GSA Travel website.

● Air transportation must be provided by a U.S. flag carrier at the lowest available airfare in coach class. Airfare tickets not in compliance with the Fly America Act will not be reimbursed.

2.9 Telephone

● Telephone, Fax, and Computer Connections - Actual costs of necessary and reasonable business telephone calls, international coverage plans, faxes, and computer connections (i.e., Internet access from hotspot devices, on planes, trains, at hotels, etc.) are allowable.

2.10 Miscellaneous

Receipt

Reimbursement

Itemized receipts for all expenditures greater than or equal to $50.00 are required.

Examples of reimbursable expenses for which receipts are required regardless of amount:

● hotel, motel, or similar lodging costs

● airfare/train http://www.gsa.gov/portal/content/100715

PPL-PD-TRAV.20 (August 2022)

● registration fees

● vehicle rental

Examples of expenses that are unallowable and will not be reimbursed are:

● alcoholic beverages

● flight insurance

● pre-paid fuel option

● host/hostess gifts

2.11 Subcontractor Invoices

For travel that has been pre-approved by PPPL, the subcontractor invoice should show a travel category line with total expenses. When travel expenses are included on an invoice, they must be substantiated with additional supporting documentation.

The minimum level of documentation would include:

● Departure location

● Destination location(s)

● Itemized lodging receipt – Number of nights and daily rate(s)

● M&IE – Number of days and per diem rate(s)

● Transportation – Itemized air/train receipt(s), bus, etc.

● Itemized rental car receipt

● Conference registration receipt

● Other miscellaneous expenses

● Total expenses

● Purpose of the trip

The traveler/subcontractor may use the PPPL standard travel voucher form or the subcontractor can utilize their own form for this documentation. No travel reimbursement will be completed without the appropriate supporting documentation.

2.12 Additional Requirement for Conference Attendance

If subcontractor travel falls under the definition of a conference (see below), travel information and costs must be reported to the Department of Energy (DOE) via the DOE conference management system (CMT). The subcontractor is responsible for providing information to the PPPL Travel Office for all conferences which their Subcontract staff

PPL-PD-TRAV.20 (August 2022) will be attending more than 60 days prior to the conference start date. Not providing conference information to the PPPL Travel Office may result in non-reimbursement.

The guidelines below should be used to determine whether an event qualifies as a conference. If the event meets the criteria of an exemption, it needs to be further evaluated based on the “Indicia of a Conference” criteria also identified below.

Individual events may qualify as conferences without meeting all of the conference criteria, but will generally meet some of the criteria. What constitutes a conference is a fact-based determination based on an evaluation of the established criteria.

2.12.1 Definition of a Conference

For the purposes of this document, a conference is defined as a meeting, retreat, seminar, symposium or event that involves attendee travel. Conferences include all meetings involving travel, including local travel, which do not meet the conference exemption criteria below, except for formal classroom training which is not subject to the conference management approval and reporting process.

2.12.2 Conference Exemptions

● Meetings necessary to carry out statutory oversight functions related to PPPL operations and/or programs. Examples: investigations, inspections, audits, site visits, non-conference planning visits.

● Meetings to consider internal agency business matters held in federal or contractor facilities. This exemption would include activities such as meetings that take place as part of an organization’s regular course of business, do not exhibit indicia of a formal conference as outlined above, and take place in a

Federal facility.

● Bi-lateral and Multi-lateral international cooperation engagements that do not exhibit indicia of a formal conference as outlined above that are focused on diplomatic relations.

● Formal classroom training which does not exhibit indicia of a formal conference as outlined above.

● Advisory Committee and Federal Advisory Committee meetings, Solicitation/Funding Opportunity Announcements Review Board meetings, peer review/objective review panel meetings, and program kick-off and review meetings (including those for grants and contracts).

2.12.3 Indicia of a Conference

● Individual events may qualify as a conference without meeting all of the indicia listed below, but will generally meet some of them

PPL-PD-TRAV.20 (August 2022)

● Conferences typically involve topical matters of interest to, and the participation of, multiple Formal conferences often include, but are not limited to:

○ Registration

○ Registration Fees

○ A published substantive agenda

○ Scheduled speakers or discussion panels

○ Meeting conducted in a commercial facility such as a hotel or conference center

○ A published website

Final determination on whether an event qualifies as a conference will be made by the

PPPL Travel Office.

2.13 Responsibility for International Travel Risk and Traveler Safety

It is the responsibility of the subcontractor to consider risks to their employees' health and safety prior to assigning staff to foreign travel, and to ensure that its employees who are assigned to travel abroad are properly insured and briefed on any safety and health issues that may arise in the countries they will visit. This includes responsibility for advising the employee of all travel risks and health related issues associated with the countries being visited and confirming that the employee has received all necessary vaccines, and has adequate health insurance, including short-term medical evacuation coverage, good in all countries on their itinerary.

3.0 Extended Term Subcontractor Travel

The following guidelines apply to temporary assignments that exceed 30 consecutive calendar days when the assignment is to a PPPL location that is different than, and more than 50 miles from the subcontractor personnel’s normal work/home location.

3.1 Travel and Temporary Living Expenses

The reimbursement for travel and temporary living costs is limited to the following, and cannot exceed 3 years*:

3.1.1 Transportation

Transportation from the subcontractor personnel’s normal work/home location to/from a

PPPL work location.

● The most direct route to and from PPPL will be used for travel.

PPL-PD-TRAV.20 (August 2022)

● The limit is one trip each way.

○ If flying, the lowest available coach class airfare will be used.

■ Airfare tickets not in compliance with the Fly America Act will not be reimbursed.

● Detailed itemized receipts are required.

3.1.2 Lodging

Lodging at actual costs up to GSA Lodging Per Diem rate for the first 60 days*, and then at actual costs up to 55% of GSA Lodging Per Diem rate for the remainder of the assignment.

● Detailed itemized receipts required.

3.1.3 Meals and Incidentals

Meals and Incidentals at GSA M&IE Per Diem rate for the first 30 days* (first day is at

75%) and then reduced to 55% of GSA M&IE Per Diem rate for the remainder of the assignment.

● No receipts required.

* The reimbursement is limited to a three (3) year assignment. If an assignment has breaks within a three year period, the calculation of the total length of the assignment will be as follows: If the break between assignments is less than 12 months, PPPL will consider the assignment continuous for purposes of the three year clock. any break in assignment of less than 12 months will not restart the clock for reimbursement purposes.

PPPL will not reimburse any costs associated with Per Diem (except for en-route travel) unless the subcontractor personnel maintains a residence at their work/home location.

It is expected that the subcontractor provides assurance of this requirement throughout the subcontract.

3.2 Ground Transportation

3.2.1 Rental Cars

There will be no reimbursement for expenses incurred for operating rental vehicles at the location of the temporary assignment.

PPL-PD-TRAV.20 (August 2022)

3.2.2 Privately Owned Vehicle (POV)

POV mileage reimbursement - there will be no mileage reimbursement for commuting within 50 miles of PPPL.

3.3 Alternative

In lieu of travel and temporary living expenses, PPPL may reimburse for actual mileage traveled, specifically restricted only to distance traveled beyond 50 miles to/from PPPL and the primary residence. A cost analysis validating that this as a more cost effective option over the travel and temporary living expenses option is required.

PPL-PD-TRAV.20 (August 2022)

4.0 Attachments

4.1. PPPL Travel Approval Form

4.2. Foreign Travel Management System (FTMS) Input Form

4.3. International Travel FTMS Forms: Guidance for PPPL

Travelers

4.4. PPPL Travel Voucher

4.5. PPPL Foreign Travel Procedure

4.6. PPPL Travel Manual

5.0 References

● Federal Travel Regulations

● Domestic Travel Per Diem (General Services Administration

(GSA))

● Foreign Travel Per Diem (Department of State (DoS))

● DOE AL 2018-08 – Contractor Domestic Personnel

Assignments http://www.gsa.gov/federaltravelregulation http://www.gsa.gov/federaltravelregulation http://www.gsa.gov/federaltravelregulation http://www.gsa.gov/perdiem http://www.gsa.gov/perdiem http://www.gsa.gov/perdiem http://www.state.gov/ http://www.state.gov/ http://www.state.gov/ https://www.energy.gov/management/acquisition-letters https://www.energy.gov/management/acquisition-letters

Date of Request: Trip Number:

Select One: Visitor Other: C-MOD-10 ITER

LLNL PAC

Traveler: Extension: W7AS KSTAR-10

LBNL W7AX-10

Job Title: DIII-D-10 MAST

ASME FESAC

Destination: LHD-10

JT60-10

Purpose: JET-10

Leave:

(Date) (Time)

Return:

(Date) (Time)

Air Train Bus $0.00

Lodging: Hotel 2 # Nights Hotel 1 $0.00 x Rate Hotel 2 $0.00

No. of Days x Rate $0.00

No. of Days x Rate $0.00

A. $0.00

B. $0.00

$0.00

Cost Distribution ($):

Cost Center: Work Package:

Date

Cost Distribution ($):

Cost Center: Work Package:

DateAuthorized Cost Center Signature

Special Circumstances Actual lodging expense in excess of 150% of the maximum allowable per diem for a given locality must be approved by the Head, Business Operations prior to the onset of the trip.

PPPL Travel Services

Travel Approval Form

Amount to be prepaid by the Traveler (receipts must accompany Travel Voucher)

Total Estimate:

Job Number:

Authorized Cost Center Signature

COST ESTIMATE

Registration/Seminar Fees:

Auto Rental:

Auto

Hotel 1 # Nights x Rate

Limo:

If personal/vacation is being used in conjunction with business travel, specify these dates:

Employee

Annual ExclusionsTraveler's Status

Meals & Incidental Expenses:

Meals & Incidental Expenses:

Amount to be prepaid by PPPL (attach completed registration forms)

Job Number:

Misc. Expenses: Gas, Parking, Taxi / Local Transportation

Advance Requested:

PLEASE MAKE A COPY OF THIS FORM FOR YOUR FILES

Attachment 1

Traveler's Name:

Work Phone: Home Phone:

Air Requirements - List One Preferred and One Alternate

Date From To

Car Requirements

Hotel Requirements - List One Preferred and One Alternate

Conference Exclusions:

Exclusion Number:

Justification for Exclusion:

Travel Approval

Form - Page 2

Special RequestsDepart Arrive

ArriveCity Depart

Departure

Pick-Up Location Drop-Off Location Pick-Up Time

Limo Requirements - List Dates/Preferred Pick-Up Times/Preferred Pick Up/Drop-Off Locations

Special Requests

City Hotel/Room Type/ Special RequestArrival

6. Meetings such as Advisory Committee and Federal Advisory Committee meetings, Funding Opportunity Announcements

Review Board meetings, peer review meetings, program kick-off and review meetings.

3. Meetings under Bi-Lateral and Multi-lateral international cooperation engagements that do not exhibit indicia of a formal conference.

4. Formal classroom training held in government facilities which do not exhibit indicia of a formal conference. Includes regular courses of training at the National Training Center, etc.

1. Meetings necessary to carry out statutory oversight functions related to PPPL operations and/or programs.

2. Meetings to consider DOE internal agency business matters held in federal or contractor facilities, that are related to the

Laboratory’s or the agency’s regular business.

5. Classroom training available through Federal and commercial sources required as part of a certification program and for the performance of an employee’s position which does not exhibit indicia of a formal conference.

P & C Officer:

Travel Manager:

Head, Business Operations: *Required if costs for excluded travel exceeds $10K

Additional Requirements:

PLEASE MAKE A COPY OF THIS FORM FOR YOUR FILES

Foreign Travel Per Diem Rates

Fly America Act

PPPL Foreign Travel Policy

Country Clearance (eCC)

Visa / Travel Documentation Information

DOE Order 550.1 Chg 1.

Smart Traveler Enrollment Program (STEP) Travel.State.Gov

Any modification to the following will require resubmitting the Trip Request for approval:

***Failure to provide the requested information could result in denial of country clearance and jeopardize future travel***

Today's Date Departure Date Return Date

Late Submission Justification

International Enabled Cell Phone

Email Address (accessible 24/7 while traveling)

Emergency Contact Info in the U.S. to confirm well-being, if needed (e.g. spouse/family)

Last Name First Name Contact Phone

Trip Supervisor Contact Info in the U.S. to confirm or contact for emergency

Last Name

Mobile Phone

First Name Office Phone

Email Address

Specific travel trainings and/or briefings are required for foreign travel, please confirm your enrollment and/or completion date:

Date:

Additional requirements may be required for country specific foreign travel

By my signature below, I confirm the information I provided on and in connection with this form is complete and accurate to the best of my knowledge.

I also understand that any missing / inaccurate information could result in denial of country clearance and jeopardize future travel.

Request for Foreign Travel Form This form is provided as a convenience for the collection of Foreign Travel Request data. The form is intended for use as an offline resource to collect data necessary to support the Foreign Travel Management System (FTMS). Completion of the form is not considered sufficient in itself for satisfying DOE Order 550.1 Chg 1., the data must still be entered into the FTMS for Department of Energy (DOE) tracking and monitoring. This form must be submitted in addition to a PPPL Travel Request.

Additional Information for Reference

• Addition of any duration of the trip

• A new country

• A new DOE funding source (a different cost center than what was on the original approved Trip Request)

• Addition of Non-DOE funding source

• Addition of new Foreign funding source

• Changes from non-sensitive to sensitive country

Below information is required for EACH trip:

DOE Travel Order: All official foreign travel requests shall be entered in the FTMS. This documentation should be added at least 30 calendar days before the proposed departure date, unless exigent circumstances exist.

Smart Traveler Enrollment Program (STEP) *Required for all trips to FRANCE

SAFE Emergency Notification System *Required for 10+ days trips to FRANCE

France Security Briefing by Counterintelligence *Required for 10+ business days to France

China Security Briefing by Counterintelligence *Required for all trips to China

S.A.F.E. Training *Required for trips 30+ days to any foreign country https://www.directives.doe.gov/directives-documents/500-series/0550.1-BOrder-chg1-ltdchg/@@images/file https://step.state.gov/ https://www.gsa.gov/policy-regulations/policy/travel-management-policy/fly-america-act https://aoprals.state.gov/web920/per_diem.asp https://visacentral.com/ https://travel.pppl.gov/travel-resources/foreign-travel/country-clearance-ecc https://pppltravel.princeton.edu/sites/pppltravel/files/act-003r1-tcr-001.pdf https://travel.state.gov/content/travel.html

Funding Type Funding Organization Name

Org. Code

SC

Laptop Cell Phone Other (Please Sepcify) None

Will the traveler be taking DOE or Laboratory owned equipment on this travel? (select all that applies)

Additional comments regarding this foreign trip request

Estimated OtherEstimated Airfare

Section II - General Trip Request InformationS

Travel Costs Funding Type

Name & Org. of Headquarters personnel with whom trip has been coordinated

Name(s) and Organization of other personnel accompanying the traveler as part of a team

Shahida Afzal

Contact Name

Type of Assignment

OrganizationName

Benefit of this trip to Government (include benefit to present position and the Department)

No

Yes No

Is this portion of the trip associated with a conference? Yes

Will anyone from a DOE-designated sensitive country be in attendance at this conference?

Conference Name Conference URL (if known)

Professional conference or workshop Site Visit

Seminar / Symposium Procurement-related matters

Working group or colloquia (scientific meeting) Official Stop Over

Meeting(s) on scientific, technical, project, or programmatic matters Personal Leave

R and D activities under an informal lab-to-lab or government-to-government agreement Travel for IAEA

Other(s) - please specify:

Host's Phone Number Host's Affiliated Institution

Hotel Phone

Host's Full Name

Official meeting / venue name and address

Hotel Name

Hotel Address

Do you require the post to arrange lodging accommodations for you?

Do you require the post to arrange airport assistance or transportation for you?

Will you be traveling with an accompanying pouch?

Do you require an appointment with someone?

Do you require any other assistance?

Additional Comments / Remarks:

Itinerary location (city, country) Arrival Date (mm/dd/yyyy)

Embassy Assistance:

Account for the entire time between arrival and departure. Complete a separate itinerary for each city/country to be visited, and for each personal or leave period. Use additional itinerary pages if necessary:

Departure Date (mm/dd/yyyy)

Justify Trip Purpose (i.e. topics to be discussed, formal presentation, or paper):

Lab-to-Lab agreement?

University-to-Lab agreement?

International agreement? If yes, enter agreement name:

Will classified information be discussed?

Will you be interacting with anyone from a DOE-designated sensitive country?

Does this itinerary involve training?

Will any part of the trip discuss sensitive subjects as defined by DOE's Sensitive Subject List?

Will any part of the trip involve information tht is subject to U.S. Export Control restrictions?

Meetings with senior government official(s)? If yes, provide official's name, poisition, and contact information. Describe meeting goals.

Section III - TR Itinerary

Select one or more primary purpose(s) for this itinerary:

This part of the trip involves:

SupervisorContactPhone:

SupervisorEmail:

SupervisorOffice:

STEP Program:

SAFE:

FranceBriefing:

ChinaBriefing:

SAFEtraining:

STEP: Off

SAFENotify: Off

France Briefing: Off

China Briefing: Off

S:

A:

F:

E: Off

Certify Date:

NameRow1:

OrganizationRow1:

NameRow2:

OrganizationRow2:

NameRow3:

OrganizationRow3:

NameRow4:

OrganizationRow4:

NameRow5:

OrganizationRow5:

Benefit of this trip to Government include benefit to present position and the Department:

Additional comments regarding this foreign trip request:

Funding Org Name 1:

Funding Org Name 2:

Funding Org Name 3:

Funding Org Name 4:

Funding Org Name 5:

Funding Org Name 6:

Airfare1:

Airfare2:

Airfare3:

Airfare4:

Airfare 5:

Airfare6:

Other1:

Other2:

Other3:

Other4:

Other5:

Other6:

FundingType1: [ ]

FundingType2: [ ]

FundingType3: [ ]

FundingType4: [ ]

FundingType5: [ ]

FundingType6: [ ]

TypeofAssignment: [Temporary Duty]

Laptop: Off

Cell Phone: Off

Other: Off

None: Off

Export:

Itinerary location city country:

Arrival Date mmddyyyy:

Departure Date mmddyyyy:

Conference Name:

Conference URL if known:

Justify Trip Purpose ie topics to be discussed formal presentation or paperRow1:

Do you require any other assistance:

Meeting Goals:

HostName:

HostPhone:

Affiliated:

Meeting Venue:

Hotel Name:

Hotel Phone:

Hotel Address:

Lab-to-Lab agreement: Off

University-Lab: Off

International agreement: Off

Classified: Off

Anyone from Sensitive country: Off

Training: Off

Sensitive subjects: Off export control restrictions: Off

Senoir gov't officials: Off

Lodging accommodations: Off airport assistance: Off accompanying pouch: Off appointment: Off assistance: Off

Add Itinerary:

Associated with conference: Off

Sensitive conference: Off

TodayDate:

DeptDate:

ReturnDate:

Late Submission Justification:

IntlCell:

Email:

EmergencyContactLastName:

EmergencyFirstName:

ContactPhone:

TripSupervisorLast:

TripSupervisorFirst:

Conference1: Off

Conference2: Off

Conference3: Off

Conference4: Off

Conference5: Off

Conference6: Off

Conference7: Off

Conference8: Off

Conference9: Off

Conference10: Off

Conference11: Off

TodayDate1:

DeptDate2:

ReturnDate3:

International Travel FTMS Forms:

Guidance for PPPL Travelers

Submission of a completed FTMS form is required for all PPPL travelers planning an international trip in order to obtain DOE approval regardless of the source of funds. The only exception is for travel taken completely during vacation or unpaid leave and with no PPPL expenditures. The completed FTMS form must be submitted at least 40 days before the proposed departure date for travel to DOE sensitive countries and 30 days before the start of travel to non-sensitive countries.

Most entries on the FTMS form are self-explanatory. There are four that merit special attention:

Section I): Benefit to the Government (include benefit to present position with the Department)

Key elements include trip benefits to the US fusion program (or other US program activity) and the PPPL activities in that program.

Section III): Primary Purpose (select the appropriate category in box a or complete box b if “Other” is selected in box a)

This should identify the primary activity for each part of the trip (each itinerary stop).

Section III): Justify Trip Purpose Key elements include: (1) A description of the purpose for each itinerary of the trip, including specific topics to be discussed or presented; (2) A description of how this part of the trip is related to the PPPL programs and projects; and (3) A description of the specific benefits realized from this part of the trip, or description of opportunities lost by not making trip.

Section III: Agreements (Select “Yes” or “No” for the appropriate type of Trip)

This should identify international agreements that the trip is organized under or that the trip supports. Examples include the ITER Agreement; the IEA Implementing Agreements for Fusion Research on Tokamaks, Spherical Torii, and Stellarators; bilateral agreements for fusion research with the EU, China, Japan, Korea, and other countries; bilateral agreements for scientific research with the EU, Germany, and other countries; the IAEA statute; lab-to-lab MOUs.

The responses on these lines inform DOE and the government about the significance of the trip and are key to securing DOE approval. The answers should be as specific as possible.

In the sections below, examples are given for four common types of international trips:

1. Present an invited lecture / seminar / colloquium

2. Conferences

3. Meetings

4. Working trip or collaboration

These should not be copied literally, but rather indicate appropriate types of answers.

Example 1: Present an invited lecture at the International ITER School

Benefit to Government: This trip supports the US participation in ITER through teaching young scientists fundamental wave physics, an element of the DOE-FES program. In the invited lecture, new methodologies and developments are explained, highlighting US and PPPL program activities. Participation will give exposure to developments in the other ITER-partner programs, and will lead to international connections with young attendees who are likely to become leading researchers in the ITER team.

Primary Purpose: Seminar/Symposium

Justify Trip Purpose: Give an invited lecture titled "Lagrangian and Geometrical methods in the fundamental physics of waves and their application to plasma dynamics" to young researchers from the international ITER-partner programs.

This will ensure they are aware of the US program and results in this area, and build connections between the US and future ITER team members.

Agreement: The ITER Agreement.

Example 2: Attend the European Physical Society Conference

Benefit to Government: Represent the US fusion program and interests at the European Physical Society Conference on Plasma Physics and Fusion. Present results of US research and ensure that US results receive appropriate visibility at the conference. Identify key new results from the European program Plan ongoing and future collaboration opportunities with European researchers.

Primary Purpose: Professional conference or workshop.

Justify Trip Purpose: The purpose is to present a poster on edge and plasma-wall interactions in NSTX at the annual EPS Conference on Plasma Physics and Fusion. Attending the conference provides an opportunity to discuss our new results with researchers in the EU edge program, discuss and understand their new results on tungsten walls, and develop new collaborations.

Agreement: US-EU Bilateral Agreement on Fusion Research

Example 3: Attend ITPA Topical Group Meeting on Transport and Confinement

Benefit to Government: Represent the US and PPPL in working group activities coordinating international research on plasma transport in tokamaks, preparing for experiments on ITER, and developing a predictive understanding of plasmas confinement (a key goal of the US and world fusion program). US and PPPL participation is critical for disseminating US research results, understanding international results and ideas, planning collaborations and future coordinated research, and ensuring that the US is aware of ITER research needs.

Primary Purpose: Working group or colloquium (scientific meeting)

Justify Trip purpose: The purpose of this trip is to attend a meeting of the ITPA Transport and Confinement Group, to present the results of joint experiments conducted between NSTX and other international tokamaks. Results from this year’s planned activities in all programs will be discussed. ITER high priority requests and initial ideas for next year’s joint research will be identified, and will inform planning for new experiments on NSTX and other US facilities.

Agreement: IEA Implementing Agreement on Tokamak Research and ITER Agreement.

Example 4: Collaborate on experiments on KSTAR

Benefit to Government: This trip continues US collaboration on KSTAR experiments, providing results and experience to the US fusion program from a superconducting tokamak.

Primary Purpose: R&D Activities under an agreement

Justify Trip purpose: The purpose of this trip is to participate in KSTAR experiments related to ELM stability with Resonant Magnetic Perturbations (RMP) and analyze data with other KSTAR team members. A seminar will be given on results from NSTX.

Agreement: IEA Implementing Agreement on Tokamak Research and US-Korean Bilateral Agreement on Fusion Research

Princeton Plasma

Physics Laboratory Travel Voucher Trip #________________

Accounting Approval__________________

Vendor #_____________

Name Phone #

Home Address Badge # FTMS #

Dates of Travel

Destination(s) Purpose:

Will this trip be paid for by an outside entity? YES NO

If yes, please provide company name, address, and contact information

Leave: Returned: Leave: Returned: Leave: Returned:

Dates:

From: To: From: To: From: To:

Location:

Departure/Arrival Times Rate/

Amount No. of Days

Amount No. of Days

Amount No. of Days Total

Hotel: 0.00 0.00 0.00 0.00

Hotel: 0.00 0.00 0.00 0.00

Meals & Incidental Exp.: 0.00 0.00 0.00 0.00

# Miles Rate: # Miles Rate: # Miles Rate:

Private Auto Mileage: 0.545 0.00 0.545 0.00 0.545 0.00 0.00

Auto From/To:

Telephone Charges:

Business: 0.00

Personal: 0.00

Airfare: 0.00

Baggage Fee(s) 0.00

Registration: 0.00

Buses: 0.00

Train: 0.00

Taxi: 0.00

Shuttle/Limo Services: 0.00

Auto Rental: 0.00

Gas: 0.00

Tolls: 0.00

Parking Fee: 0.00

Currency Exchange Fee: 0.00

Meal Deduction (subtract) 0.00

Misc. Explain in Comments: 0.00

Total Charges: 0.00 0.00 0.00 0.00

Account to Charge: 0.00

Cost Ctr Work Pkg Job Amount Airfare 0.00

Cash

Cost Ctr Work Pkg Job Amount Hotel

Other

Traveler's Signature: 0.00

0.00

Authorized CC Signature

Authorized CC Signature

Certification: I certify that this voucher is true and correct to the best of my knowledge, and that I have incurred these expenses while on official Laboratory business.

I further certify that payment or credit has not been received by me from other sources. Rev 07/14

Meals Provided: YES NO

As per the PPPL travel policy, please use the field below to advise accounting of any meals that were provided to you during your trip.

Comments:

Foreign Currency Converter

Prepared By:

Domestic Per Diem:

Foreign Per Diem:

Meal Allowance Deduction Foreign

ALL ENTRIES MUST BE IN US $

Domestic Meal Allowance

Foreign Meal Allowance

Foreign Currency Converter:

Total Advances

Meal Allowance Deduction Domestic:

Helpful Links:

Foreign Per Diem

Reimbursement Due to Employee

Total Expenses

Domestic Per Diem Rates

Personal/Non Business Days:

Currency Conversion(s) used:

Attachment 4 http://www.oanda.com/currency/converter/ http://www.gsa.gov/portal/content/101518 https://aoprals.state.gov/content.asp?content_id=114&menu_id=75 https://aoprals.state.gov/web920/per_diem.asp http://www.gsa.gov/portal/category/21287

PPPL

PRINCETON PLASMA

PHYSICS

LABORATORY

PROCEDURE No. ACT-003 Rev 3

Subject:

Foreign Travel

Approval Date:

September 17, 2020

Initiated by:

Head, Accounting and Financial

Controls

Effective Date:

September 30, 2020

Reviewed by:

Head, Performance Assurance and

Contract Management

Supersedes:

Revision 2, 8/30/2019

Approved:

Head, Business Operations/Chief

Financial Officer

Management System (Primary): 07.00 Business Operations

Management System Owner: Head, Business Operations

Management Process: 07.01 Accounting & Financial Reporting

Process Owner: Head, Business Operations

Sub-Process: 07.01.07 Travel and Conference Management

Sub-Process Owner: Head, Business Operations

Subject Matter Experts (SMEs): Head, Finance and Accounting; Travel & Conference

Compliance Officer

Applicability

This procedure applies to all individuals who travel on behalf of Princeton Plasma Physics

Laboratory (PPPL), regardless of the funding source, including that of guests (e.g. invited guests, guest researchers, visitors, interviewees, students, Princeton University professors on a Research

Ordering Agreement, subcontractors traveling at PPPL’s request and for PPPL business, Strategic

Partnership Project (SPP) Agreements).

Definitions and Acronyms

Official Foreign

Travel

Official foreign travel is approved travel (whether wholly or partly on official business) from the United States (including Alaska, Hawaii, and the Commonwealths of Puerto Rico and the Northern Mariana

Islands, and the territories and possessions of the United States) to a foreign country (including Mexico and Canada) and return, travel between foreign countries by persons, including foreign nationals, whose salaries or travel expenses or both will ultimately be funded in whole or in part by DOE or NNSA from its appropriations. Official foreign travel also includes travel funded by non-DOE or non-NNSA sources for which the traveler represents the DOE or NNSA or conducts business on behalf of the U. S. Government.

PHYSICS LABORATORY PROCEDURE No. ACT-003 Rev 3

FTMS Foreign Travel Management System (FTMS) is a Federal system for tracking, monitoring, reporting, and securing approvals of all foreign travel conducted by Federal and contractor employees. In order for

Federal and contractor employees to conduct international travel, the trip request must be entered and approved in FTMS.

FTMS Approval DOE approval in the FTMS and receipt of Electronic Country

Clearance.

Country Clearance A country clearance request is a mandatory memorandum for federally funded travelers requesting approval to enter a country in order to conduct official business. The country clearance makes the traveler’s presence and whereabouts known in the event a consular office needs to contact the official travelers. Department of State policy requires a country clearance for all official travel to a foreign country.

Introduction

The purpose of this procedure is to define how PPPL implements controls as established in DOE

Order 550.1, Official Travel, approved by the Secretary of Energy and incorporated into the prime contract. The Science and Technology (S&T) Risk Matrix, maintained by the DOE Federal

Oversight and Advisory Body (FOAB), is reviewed by Export Control for any official foreign travel to a Country of Risk to determine if the travel involves areas identified in the S&T Risk Matrix as restricted.

PPPL must ensure that it has considered potential benefits, the travel risks, and employee safety regarding travel to all countries. This includes consideration of risks associated with airline carriers, other forms of transportation, and short-term medical and evacuation coverage to all countries.

Every traveler has the responsibility to verify if the country to be visited is sensitive or non-sensitive and if the subject of the travel is sensitive or non-sensitive. Questions regarding countries of risk or DOE sensitive subjects should be addressed to the Site Protection Division.

An official foreign travel request must be entered in FTMS at least 30 calendar days before the proposed departure date, unless exigent circumstances exist. Prior to final approval within FTMS, country clearance must be obtained from the respective countries to be visited. Under no circumstances may actual official foreign travel commence before FTMS approval is received.

PPPL is required by 49 U.S.C. 40118, commonly referred to as the “Fly America Act”, to use U.S.

flag air carrier for all air travel funded by U.S. Federal Government, with a few exceptions.

Exception to use a foreign flag air carrier may be granted with proper documentation and reviewed by the Travel Compliance Group.

Personal time (e.g., vacation, non-PPPL business) in conjunction with official foreign travel may be granted on a two business days to one non-business day (2:1) ratio, travel days to and from the business location will be counted as business days. There is no distinction for the weekend; the weekend is part of the 2:1 ratio. Round down when there is an odd number of business days (e.g., 9 business days would allow only 4 personal days). Personal time in conjunction with official foreign travel that exceeds the 2:1 ratio may be granted when approved by the respective Deputy Director

(Operations or Research).

In the event the approved personal time precedes official foreign travel, and the traveler does not fulfill the purpose of the official foreign travel, the traveler must reimburse PPPL for any charges incurred on behalf of the approved travel.

References DOE Order 550.1, Official Travel https://www.directives.doe.gov/directives-documents/500-series/0550.1-border-chg1-ltdchg/@@images/file

For information regarding international travel and health & safety warnings in foreign countries:

US Department of State http://www.state.gov/travel/

Center for Disease Control http://www.cdc.gov/

World Health Organization http://www.who.int/ith/en/

This procedure is organized into the following sections:

A. Approvals and Preparations for Official Foreign Travel

B. Approval of Exceptions or Late Applications

C. Approval of Trip Revisions and Changes

D. Travel by Former (Retired) Employees

E. Closeout

Procedure

A. Approvals and Preparations for Official Foreign Travel

Responsibility Action

Traveler 1. Completes a Request for Approval of Foreign Travel Form, available from the Travel website.

NOTE: PPPL or DOE Owned Equipment Required for Travel -

Travelers must indicate on the Request for Approval of Foreign

Travel form if they are taking Laboratory-owned equipment on the trip and describe the type of equipment.

2. Completes a PPPL Travel Request in Concur, and attaches the completed Request for Approval of Foreign Travel Form to the

Travel Request.

3. Submits the Travel Request in Concur for approval.

https://www.directives.doe.gov/directives-documents/500-series/0550.1-border-chg1-ltdchg/@@images/file https://www.directives.doe.gov/directives-documents/500-series/0550.1-border-chg1-ltdchg/@@images/file https://www.directives.doe.gov/directives-documents/500-series/0550.1-border-chg1-ltdchg/@@images/file http://www.state.gov/travel/ http://www.cdc.gov/ http://www.who.int/ith/en/ http://travel.pppl.gov/

Individual with Cost

Center Signature

Authority

4. Reviews and approves the Travel Request in Concur, authorizing cost center funds to be allocated for the travel, and forwards the request to a Department Head for Foreign Travel approval.

Department Head 5. Reviews the Request for Approval of Foreign Travel Form and approves the Travel Request in Concur.

Travel Compliance

Group

Export Control

Traveler

Department

Administrator

6. Reviews the Travel Request and Request for Approval of Foreign

Travel Form for compliance with O 550.1. Route the Travel Request to Export Control Office if travel is requested to a Country of Risk.

7. If proposed travel is to a DOE Country of Risk, reviews purpose of travel for screening against technology areas of “emerging or potential risk” identified within the DOE’s Science and Technology

Risk Matrix.

8. Approve or reject the Travel Request in Concur based on decision made. Reports decision to Travel Compliance Group for approval or denial in Concur.

9. If trip is approved, proceeds to book travel arrangements through

Concur Travel or through PPPL contracted Travel Agency.

10. Ensures the airlines booked comply with the Fly America Act, and are on DOE’s accepted airline carrier list. All requests to travel on an airline that is not on DOE’s approved list will require the approval of the Deputy Director for Operations to determine the necessity to travel and the method of travel.

11. Provides confirmed travel reservations and Request for Approval of

Foreign Travel form to Department Administrator.

12. Enters the Request for Approval of Foreign Travel completely in the

FTMS online system and ensures all agendas and presentations, where applicable, are uploaded into FTMS.

13. Submits the completed Trip Request in FTMS to the Travel

Compliance Group.

Travel Compliance

14. Reviews entries and approves the Trip Request in the FTMS online system on behalf of the Director’s Office.

15. Routes approval requests to DOE, and requests Country Clearance approval from the US embassy in the country to be visited.

16. Informs the traveler when DOE approval and Country Clearance are received.

Traveler

17. Obtains a passport or a visa when required. Using a tourist visa for official business misrepresents the true purpose for which the traveler has entered the country. It is recommended that all visas and passports purchased for Laboratory travel be processed through the

PPPL preferred travel documents vendor. Contact the Travel

Compliance Group travel@pppl.gov for assistance if needed.

18. Contacts PPPL Shipping and Export Control export@pppl.gov at least two weeks before shipping or hand carrying a PPPL or DOE

Owned Equipment Required for Travel to an international location.

Certification of “Tools of the Trade” such as laptop computers, tablets, cellular phones, smartphones, and required peripherals as temporary exports (TMP) is required by U.S. Customs. TMP documentation is required for all International Property Passes.

Travelers can complete both the International Property Pass and

TMP documentation using PPPL Online Property Pass System.

When completed, the customs form must be printed and kept with the traveler at all times.

Export Control Office 19. Contacts the Traveler and provides export control training, if required.

Occupational

Medicine Office

(OMO)

20. Reviews the list of the individuals that will be traveling to foreign destinations; notifies the Traveler of safety and health issues of the country to be visited. Provides the appropriate guidance as determined by the OMO physician.

21. Provides an email to the Travel Compliance Group each month that lists the individuals that have been contacted by OMO, their destinations, dates of travel and other relevant comments.

DOE

Counterintelligence

Office

22. Reviews planned foreign travel. For travel to any country where foreign entity monetary support is provided for the travel, assures that there are no ethical conflicts or security issues as a result of accepting the funds. [In this regard, international institutions (i.e.