Instructions for completing the Travel Authorization

Travel at UTD: Policies, Procedures, and Documentation UTD Office of Procurement Management Last updated 04/25/2008 Table of Contents Table of Contents What’s this document for? (Introduction and Disclaimer) Contact Us Important Things to Know Travel – Step by Step Travel Forms and Instructions – Travel Authorization – Instructions – Request for President’s Approval for State Employees Traveling to Foreign Countries – Report of State Employees Traveling to Washington, D.C. – Voucher/Promissory Note – Instructions – Travel Voucher – Instructions – Hotel Direct Bill Request Form – Hotel Tax Exemption Form – Hotel Tax Exemption Proof p. 6 p. 7 p. 8 p. 9 p. 10 p. 11 p. 12 p. 14 p. 17 p. 19 p. 20 p. 2 p. 3 p. 4 p. 4 p. 5 Student Travel Forms and Instructions – Student/Team/Group Travel Authorization – Student Travel/Off-Campus Activity Checklist – Team/Group Travel Disbursement Register p. 22 p. 24 p. 25 Authorization for Professional Services Many of these forms can also be found online, either at http://www.utdallas.edu/ir/tcs/eforms/ or as part of the Administrative Policies and Procedures Manual, online at http://www.utdallas.edu/utdgeneral/business/admin_manual/ (look in the Forms Index). p. 27 2 What’s This Document For? (Introduction and Disclaimer) This Travel Guide is intended to highlight and explain some of the more commonly encountered situations when making travel arrangements or filing reimbursement requests for travel taken on the University’s behalf. It summarizes the UTD policies and procedures which pertain to travel, presents links to helpful resources on the World Wide Web, and includes copies of most of the forms you will use, along with instructions on how to properly complete them. This Guide does not, however, replace or supersede UTD’s “Administrative Policies and Procedures” manual. If you ever notice any discrepancies between the two, abide by the AP&P manual, and alert us so that we may make the appropriate changes to this Guide. Procurement Management phone 972-883-2300 fax 972-883-2348 mail AD34 3 Contact Us Trudy Muller is the Travel Coordinator at UTD. She can be reached by phone at x2606, by fax at x2348, or by sending an email to the Travel bulletin board: travel@utdallas.edu. The bulletin board is also monitored by Pete Bond. Important Things To Know  The Comptroller’s per-diem limits are not flat reimbursement rates. Reimbursement for meals and lodging is based on actual expenses, not to exceed the per-diem limit for that day’s destination. If the lodging limit for your destination is $80/night and you only spend $60/night, you will only be reimbursed $60/night.  State law prohibits the reimbursement of meal expenses if the travel does not involve an overnight stay.  As of 3/1/2008, the reimbursement rate for personal auto mileage is $0.505 per mile. Mileage reimbursements to points within Texas may be limited to the “official” mileage listed with the Comptroller’s Office (for an automatic mileage calculator, visit http://www.window.state.tx.us/comptrol/texastra.html ). Mileage to points outside Texas can be verified by going to http://www.mapquest.com/ and printing out driving directions to your destination; the mileage is printed near the top of the page.  As of 9/1/2007, the per diem for travel inside Texas is limited to actual expenses up to $85/night for lodging and $36/day for meals. Per diem rates for domestic travel outside the State of Texas can be found on the World Wide Web at: http://www.gsa.gov/Portal/gsa/ep/contentView.do?contentId=17943&contentType= GSA_BASIC  Lodging rates above the allowed per diem may only be reimbursed in full if you obtain the permission of your supervisor and the Assistant VP of Procurement Management (Pete Bond, AD34, pbond@utdallas.edu) prior to taking your trip. Such overages cannot be paid with state-appropriated funds under any circumstances. 4 Travel – Step by Step 1. As soon as you know where and when you’re going, begin filling out a Travel Authorization form. Be especially sure to include your destination and the business purpose of your trip, and the account number to which most of your expenses will be charged. (If you’re using several accounts, list the one that will be covering airfare.) Call UTD’s travel agent to book any airfare pertaining to this trip. As of September 1, 2007, this is Carlson Wagonlit Travel System. 2. Why do I have to go through Carlson Wagonlit? Why can’t I go find my own cheap airfare on the Internet?  Carlson Wagonlit, as our contracted travel agent, has the authority to provide the State of Texas contracted airfare between selected city pairs. Not only are the contract rates low, they’re also fully refundable at all times. Many of the cheap Internet specials aren’t.  Carlson Wagonlit is also authorized to bill airfare directly to the University, with nothing out of your pocket. If you go through an outside agency, you will need to obtain preapproval, then pay for the ticket and be reimbursed for it after your trip (see below).  Lastly, part of our agreement with Carlson Wagonlit is that we will use them as much as possible for our air travel. If you find a significantly lower fare online, and feel the savings justify going through a third party, you will need to get a quote from Carlson Wagonlit to document your claim, then obtain permission from the Assistant VP of Procurement Management. An email to pbond@utdallas.edu or written memo to Pete Bond at AD34 is required. He will inform you of his approval or denial, either by return email or by signing the memo you sent to him. Include his approval with your Travel Voucher. 3. 4. Once you know your itinerary, fill out the rest of the Travel Authorization and send it to AD34. If you are not eligible for the UTD Travel Credit Card, and your department determines that you’ll need a travel advance, complete a Voucher/Promissory Note, get the proper signatures, and send it to the Assistant VP of Procurement Management (Pete Bond), at AD34. Take your trip, and make sure to hang on to all your lodging and transportation receipts! When you return, complete a Travel Voucher. Attach your original receipts (make photocopies for yourself if you need them). Sign the Voucher, have your supervisor sign it, and send it to us at AD34 for payment processing.  NOTE: If you have an outstanding travel advance for this or any other travel, we may apply your reimbursement toward that advance. If we do this, you will receive a check for any remaining balance. 5. 6. 5 THE UNIVERSITY OF TEXAS AT DALLAS TRAVEL AUTHORIZATION NAME DATE 1 TITLE DEPARTMENT 2 3 DATE OF TRAVEL FROM 4 DISPOSITION OF DUTES WHILE ABSENT 5 TO 6 7 STATEMENT OF PURPOSE OF TRAVEL (INCLUDE DESTINATION) 8 ACCOUNT TO BE CHARGED TRAVEL CASH ADVANCE REQUESTED ON UTD PAYROLL DURING TRAVEL YES 9 ESTIMATED COSTS TRANSPORTATION: PER DIEM: 10 11 NO 12 FOR: DAYS. OTHER: TOTAL: ITINERARY DATE FROM TO DEPART TRAVEL RESERVATIONS ARRIV E CARRIER & FLIGHT NUMBER 13 CONTACT PERSON EXTENSION MAIL STATION 14 EMPLOY EE SIGNATURE 15 16 DATE 17 DEPARTMENT HEAD OR ADMINISTRATIV E SUPERVISOR SIGNATURE DATE 18 19 20 (Rev: 9/98) ORIGINAL - PROCUREMENT MANAGEMENT - AD34 ONE COPY - DEPARTMENT 6 Instructions for completing the Travel Authorization The Travel Authorization must be submitted and approved prior to the time travel is actually to occur. A good rule of thumb is to prepare the Authorization immediately after booking the travel with the University’s travel agency. The Travel Authorization must be submitted for all travelers representing the University, whether or not such travel is to be reimbursed. After filling out the Travel Authorization, submit the original only to Travel at AD34. Make one copy to enclose with the travel voucher, and additional copies as needed for your records. Filling out the Travel Authorization Numbered items correspond with the numbered blocks on the sample Authorization. 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. The traveler's name and Social Security number. The date you prepared this form. The traveler's title. The traveler's department. Date of departure. If plans change by more than one day, please submit a revised travel authorization. Date of return. Again, if plans change by more than one day, please submit a revised travel authorization. You can simply fax it to Travel at x2348. Note here who will be handling the traveler's duties during this time. Briefly explain the business purpose of travel. Examples include presenting a paper at a conference or collaborating on research. Also note the traveler's destination in this field. The account number against which to charge airfare and other expenses. If UTD will be paying for neither airfare nor other expenses, you may put "NO COST TO UTD" in this field. If this number needs to be changed, please submit a revised authorization. If a travel cash advance is requested, please note the amount here. In addition, you will need to prepare and submit a Voucher/Promissory Note form. Indicate if the employee will be on the UTD payroll during the time of travel. Use this line to provide an estimate of transportation, meals & lodging, and other travel-related costs. Registration fees should be listed in the "other" blank. If a registration fee needs to be paid by UTD ahead of time, you must also prepare and submit a State of Texas Purchase Voucher. If you know the details of the traveler's itinerary, please note them here. You do not need to submit a copy of your itinerary if you booked through the University’s travel agency - UTD will get one from them in the mail. This is usually the name of the person who filled out the form. This is the person Travel will call if there are any questions. The extension of the person listed in block 14. The mail station of the person listed in block 14. Traveler's signature. Date of traveler's signature. Signature of the traveler's supervisor (or the supervisor's designee if applicable). Date of supervisor's signature. 7 10 Instructions for filling out the Promissory Note Most of the blanks on this form are fairly straightforward – name, date, account number, dollar amount, and signature. As the example indicates, your mail station is quite sufficient for “Mail Address”. You have to be part of the UTD community to be eligible for advances, so there should only rarely be reason to use your home address instead. “Witness” is always your supervisor, or his/her supervisor if s/he’s out of the office at the time and you just can’t wait. Once you and your supervisor have signed the form, it needs to be approved by the Vice President for Business Affairs (Dr. Calvin Jamison, AD24). Once he has approved it, he will send the completed form to our office for processing. PLEASE NOTE: When you receive a Travel Advance from the University of Texas at Dallas, you are required to submit your Travel Voucher and all relevant receipts with 30 days of your return. If your reimbursable expenses are less than the amount of your advance, you must also include a check fo r the difference. The University of Texas at Dallas reserves the right to withhold other reimbursements due you and apply them to travel advance repayment if you are delinquent in filing your Travel Voucher. 11 STATE OF TEXAS TRAV EL VOUCHER 1. Archi ve Referenc e Number 2. Agenc y Number 3. Agenc y Name Page ___ of ___ 4. Current Document Number 738 5. Effecti ve Date 6. Doc D ate THE UNIVERSITY OF TEX AS AT DALLAS 7. Doc Agenc y 8. PDT 9. Doc Amount 738 10. Pay T o: (Name, Address, City, State, Zip C ode) 1 11. Title 3 2 13. Payee Identification N umber 14. AGENCY USE (UTD Fund-Org) 12. D esignated Headquarters 4 5 15. SFX REF DOC SFX TC 6 INDEX PCA AY COBJ AOBJ AMOUNT 001 R APPN FUND NACUBO SUB-FUND AGENCY USE 15. SFX REF DOC SFX TC INDEX PCA AY COBJ AOBJ AMOUNT 002 R APPN FUND NACUBO SUB-FUND AGENCY USE 15. SFX REF DOC SFX TC INDEX PCA AY COBJ AOBJ AMOUNT 003 R APPN FUND NACUBO SUB-FUND AGENCY USE 15. SFX REF DOC SFX TC INDEX PCA AY COBJ AOBJ AMOUNT 004 R APPN FUND NACUBO SUB-FUND AGENCY USE 15. SFX REF DOC SFX TC INDEX PCA AY COBJ AOBJ AMOUNT 005 R APPN FUND NACUBO SUB-FUND AGENCY USE 16. Ser vice Dates From 17. D escription 7 To 8 9 18. DISTRIBUTION Expense item ization for in-state travel Fares, public transportation (attach receipts), Taxi 10a Air fare Personal car mileage 14a Miles @ (Rate set by Legislature) 0.405 Meals and / or lodging Parking Other travel expenses (itemi ze) 18a Expense item ization for out-of-state travel Fares, public transportation (attach receipts), Taxi 10b Air fare Personal car mileage 14b Miles @ (Rate set by Legislature) 0.405 Meals and / or lodging Parking Other travel expenses (itemi ze) 18b Local fund travel advance dated 20 in the sum of $ 21 AMOUNT 11a Rental Car 12a 13a 15a 16a 17a 19a 11b Rental Car 12b 13b 15b 16b 17b 19b was receiv ed. TO TAL 22 Date 19. I certify that the expense account shown abov e is true, correct and unpaid. Claimant Date Supervis or Sign Here 20. C ontact name 23 27 24 Sign Here Phone (ar ea c ode and number) 25 21. Entered by 26 29 Date Date 28 Title Title 22. Approved by Accounting 22. Approved by Accounting Sign Here Sign Here Original -- Procurement Manag ement - AD34 (6/98) Copy – Department 12 Form 74-110 (Bac k)(Rev. 2/04) IN-STATE a. Leav e Headquarters Date Hour Min. m. Date b. Arriv e Headquarters Hour Min. m. d. Cost of meals not to exceed $36 e. Cost of lodging not to exceed $85 f. TOTAL not to exceed $121 1a 2a 3a 4a 5a 6a 7a $ $ $ $ 12 a 8a 9a 10a 11a $ $ $ $ $ $ TO TAL MEALS & LODGING $ OUT-OF-STATE m. Leav e Headquarters Date Hour Min. m. Date n. Arriv e Headquarters Hour Min. m. p. Cost of meals not to exceed Federal Rate q. Cost of lodging not to exceed Federal Rate r. TOTA L not to exceed Federal Per Diem 1b 2b 3b 4b 5b 6b 7b $ $ $ $ 12 b 8b 9b 10b 11b $ $ $ $ $ TO TAL MEALS & LODGING $ DATE y. RECORD OF TRANSPORTA TION AND DUTIES PERFORMED MILEAG E POINT TO POINT * Business purpose statement: 13 14 15 * Show point-to-point breakdo wn, including intra-city mileage claims Use an additional f orm or a "CONTINUATION SHEET," if additional space is needed. 13 Preparation of a State of Texas Travel Voucher The State of Texas travel Voucher must be completed upon return from any travel that is to be reimbursed. If a travel advance was taken out for this trip, the voucher must be prepared, approved, and submitted to Travel within 30 days of return. Forms may be purchased through Central Stores, or a Microsoft Excel document may be downloaded from the UTD web page. The Travel Voucher has both a front and a back. Please fill out and submit both. Excel document has two worksheets labeled "FRONT" and "BACK". Submit the original voucher to Travel at AD34, along with all related receipts. Receipts are mandatory for rental car, lodging, and airfare expenses. The boarding pass is sufficient for airfare expenses, and must be enclosed even if the travel was booked through the University’s travel agency. If the above expenses are claimed and no receipts are available, the traveler must furnish another form of proof of payment (credit card statement, cancelled check, etc.) and a reason why the receipts were not available. You must submit the original receipts whenever available; the department is encouraged to make copies for their own records. Do not hesitate to contact the Travel Coordinator if you have questions. You may send email to travel@utdallas.edu, or call x2606. Filling out the Travel Voucher - Front Page The numbered items correspond to the boldly numbered cells on the sample travel voucher. If you are using the Excel document, some of these cells will fill themselves in. 1. The total amount of the travel voucher. 2. The name and address of the traveler. This information is required even when the check is to be picked up. UTD employees should list their mail station instead of a physical address. 3. The traveler's title. 4. The traveler's designated headquarters (Richardson, or Dallas if part of the Callier Center) 5. The traveler's UTD-ID number (or Social Security Number if not an employee). 6. The account number from which reimbursement will be paid. This should be the same number as was submitted on the Travel Authorization form. 7. Date of departure (month/day/year). 8. Date of return (month/day/year). 9. Description of travel (conference, recruiting, etc.). Include the destination here as well. 14 If the destination was within the state of Texas, fill in the cells labeled with an "a" (10a, 11a, etc). If the destination was outside the state of Texas, fill in the cells labeled with a "b". 10. Taxi, train, and/or bus fares. If receipts are not available, itemize the dates and amounts of the charges on the back page of the voucher, in cells 18 and 19. 11. Airfare charges. If the travel was booked through the University’s travel agency, list the fare here, but do not figure it into the total in cell 13. Include the boarding pass with the voucher. Airfare may not be booked to an outside agency without the permission of the Senior Vice President for Business Affairs. 12. Rental car charges. Only list the charges on the rental car receipt; incidental expenses like parking and gasoline will be listed later. Remember to include the receipt with the voucher. 13. The total of cells 10, 11 (when applicable), and 12. 14. Amount of personal car mileage. Official round-trip mileage to Love Field is 34 miles, and round-trip to DFW Airport is 53 miles. Contact us for official mileage to other destinations in or near Texas. 15. The amount in cell 14, multiplied by $0.505. 16. Total meals and lodging claim. This value is figured on the back page of the voucher. 17. Parking fees. 18. Any other expenses that do not fall into the above categories should be itemized here. Examples include gas for rental cars, taxes on hotel rooms, and highway tolls. If you need more space, list the total dollar amount here, and itemize the expenses on the back page of the voucher. Use a continuation sheet if necessary. 19. The total amount of the charges itemized in cell 18. Here ends the in-state/out-of-state division for the front page. 20. If a travel advance was taken out for this trip, enter the date on the check. If you don't have a copy of the check as reference, use the date the check came to you. 21. The amount of the travel advance, if applicable. 22. The total of cells 13, 15, 16, 17, and 19. 23. Traveler's signature. 24. Date of traveler's signature 25. Supervisor's signature (or that of supervisor's designee, if applicable). 26. Date of supervisor's signature. 27. The name of the person Travel should contact with questions. 28. The phone number of the person listed in cell 27. 29. The name of the person who filled out the voucher. Filling out the Travel Voucher - Back Page 15 The numbered items correspond to the boldly numbered cells on the sample travel voucher. If you are using the Excel document, some of these cells will fill themse lves in. For in-state travel, use the cells labeled with an "a". For out-of-state travel, use the cells labeled with a "b". 1. The date of departure. 2. Hour of departure. 3. Minute of departure, rounded to the nearest quarter-hour (:15, :30, :45, :00). 4. Part of day (am/pm). For the purposes of the above, travel begins as soon as the person departs his/her home or office. 5. Daily meals allowance, if applicable. In Texas, this is $36. Outside Texas, visit the Comptroller’s web page or contact Travel to find out the allowance for your destination point. 6. Nightly lodging allowance. In Texas, this is $85 not including city or county tax. Outside Texas, visit the Comptroller’s web page or contact Travel to find out the allowance for your destination point. You must include your lodging receipts with the travel voucher. 7. The total lodging and meals claim for that day. In Texas, this is not to exceed $121. Fill out the above four cells, as applicable, for each day of travel. 8. Date of return. 9. Hour of return. 10. Minute of return, rounded to the nearest quarter-hour. 11. Part of day of return (am/pm). 12. Total meals and lodging claim. Copy this number to the front page, cell 16. Here ends the in-state/out-of-state division for the back page. 13-15. State the business purpose of the trip at the top of cell 14. In addition, any personal mileage and other expenses need to be itemized as appropriate in these fields. If you need additional space, you may attach a second voucher or a Continuation sheet. A Continuation sheet is included in the Excel document. 16 UNIVERSITY OF TEXAS AT DALLAS Direct Bill Request - Hotel Room TO: Hotel Name: Fax Number: The University of Texas at Dallas Department Name: Department Account #: Authorized Signature: Telephone/Fax Number: FROM: UTD requests that you reserve a room and direct bill UTD (via invoice) for the following guest: Guest Name: Dates of Stay: Number of Room Nights: Relationship to UTD (circle one): Must be U.S. Citizen or Permanent Resident Alien to use this form, otherwise use alien information collection form: Employee Prospective Employee Student Independent Contractor UTD will be responsible for (check one): Room & City Tax Only Room, City Tax & Meals Other (Please Specify) Direct Bill All Charges Room, City Tax & Phone Calls Hotel Confirmation #: Room Rate: Per Hotel Employee: Phone Number: NOTE TO HOTEL & DEPARTMENT: After confirming, fax this completed form to the UTD requestor and to Procurement Management Travel at 972-883-2348. Any questions about UTD Travel Policies should be directed to Pete Bond at 972-883-2300. 17 Filling Out the Hotel Direct Bill Request and Hotel Occupancy Tax Exemption Forms The Hotel Direct Bill Request Form TO: Fill in the hotel name and fax number. This is so the hotel knows this request is really for them, and didn’t get faxed to the wrong number. FROM: Please take care to fill out all four blanks. The hotels with whom we have direct-bill agreements will occasionally call to audit the validity of a random request; there are far too many people brought in on UTD’s behalf for us to keep all those names straight, so we confirm validity based on the account number and signature. (If your authorized signatory has a particularly illegible signature, we recommend typing the person’s name next to the signature for the hotel’s benefit.) RELATIONSHIP TO UTD: We can *only* use our direct bill agreement if the guest is one of these four possibilities. Current staff/faculty members cannot use it. If you need to arrange a direct-bill agreement for a staff/faculty member, send an email to the Travel Coordinator (travel@utdallas.edu) explaining your situation, and Procurement Management will handle it on a case-by-case basis. UTD WILL BE RESPONSIBLE FOR: In most cases, UTD is only responsible for the room rate and city tax. If you will be absorbing any other charges, make sure to alert the Travel Coordinator (travel@utdallas.edu) well in advance; not only will this help prevent us from wrongly disputing the charges, but we’ll let you know if you need to furnish any other documentation or approvals to “back up” your request. HOTEL CONFIRMATION NUMBER: If you’re making the arrangements over the phone first and *then* faxing them the Direct Bill Agreement, you’ll fill this out with the information they provide. If you are faxing it over first, they should fill it out and fax it back to you as per the instructions on the bottom. NOTE TO HOTEL AND DEPARTMENT: Please send us a copy after you’ve faxed it to the hotel, because the folks at the hotel don’t always notice that we ask *them* to send us a copy too. We need to get a copy from *somewhere* to match up with the bill if the hotel wants to get paid (and if UTD wants to keep making direct-bill agreements). The Hotel Occupancy Tax Exemption Form The person staying at the hotel in question signs the form. That’s it! 18 STUDENT/TEAM/GROUP/ TRAVEL AUTHORIZATION GROUP NAME: SPONSOR: DATES OF TRAVEL: PURPOSE OF TRAVEL: MODE OF TRANSPORTATION: DRIVERS: HOTEL NAME/LOCATION: HOTEL PHONE NO. APPROXIMATE GROUP COST FOR: TRANSPORTATION__________LODGING_________MEALS_________OTHER__________ TEAM MEMBERS [INCLUDING SPONSOR(S)]: (attach separate sheet if necessary) N 1 2 3 4 5 6 7 O . . . . . . NAME TITLE/AFFILIATION CELL PHONE NO. EXHIBIT B14 . “By signing below, I affirm that, if UTD students are among the group traveling, the Student Travel/OffCampus Activity Checklist has been completed and all applicable University procedures related to student travel will be followed.” SIGNATURE OF AUTHORIZED SPONSOR (RUO): ACCOUNT #: EMPLOYEE W/SIGNATURE AUTHORITY NOTE: Attach completed checklist (Exhibit B14-A). Questions related to travel policies at UTD should be directed to Pete Bond or Trudy Muller at 972 883-2300. IF TRAVEL IS TO A FOREIGN COUNTRY , THIS FORM MUST BE APPROVED BY THE PRESIDENT. President Date Rev. 11/02 19 Filling Out the Student/Team/Group Travel Authorization This form needs to be filled out any time students are traveling. Most of the time, students travel as part of teams or groups (athletics, chess/debate teams, field trips), and this form saves time over filling out a separate Travel Authorization for each one. GROUP NAME: Should be self-explanatory. SPONSOR/CELL PHONE #: UTD students should not be traveling without an attendant member of UTD’s faculty or staff. List the “chaperone” here, as well as their contact info. DATES/PURPOSE OF TRAVEL: Remember that you should have this form completed, signed, and submitted to Procurement Management before you travel! MODE OF TRANSPORTATION: Indicate here whether you are renting a vehicle, borrowing a University vehicle, flying, whatever. DRIVERS: If you’re renting a vehicle or using a University vehicle, list the names of everyone who will be driving. Please be aware of any requirements the University or rental car agency might have regarding who is considered an eligible driver; that information should be furnished to you when you make those arrangements. HOTEL NAME/LOCATION/PHONE NUMBER: Self-explanatory. Do make sure you bring a copy of our Hotel Occupancy Tax Exemption form if you’re traveling within the state of Texas. (We’re not exempt from any taxes in other states.) APPROXIMATE GROUP COST FOR: Since you’ll need to book your transportation and hotel in advance, it should be easy to give estimates for those values. For meals, simply multiply the number of travelers by the number of days, then multiply that number by the meal per-diem allowance for your destination (in Texas, it’s $36/day; outside Texas, contact travel@utdallas.edu). TEAM MEMBERS: Remember to list everybody who’s going on the trip, not just the students! SIGNATURE OF AUTHORIZED SPONSOR (RUO): “RUO” is short for “Responsible University Official”. This is the person in charge of the trip, and thus responsible for making sure the trip is in compliance with all of UTD’s policy regarding travel and student travel. Usually this is the coach or professor. ACCOUNT #: The six-digit UTD account number to which this trip will be charged. EMPLOYEE W/SIGNATURE AUTHORITY: If the RUO does not have signature authority over the account being charged, or doesn’t have enough signature authority to cover the trip, someone else who does will need to countersign the Authorization. If travel is within the United States, or to Canada or Mexico, this form is complete. Collect a nd route supporting documentation as required by the checklist on the next page, then attach the checklist to the Authorization and send both forms directly to Procurement Management, AD34. If travel is to a destination outside the three aforementioned countries, the Authorization and checklist must first be routed to the President’s Office, AD22, for approval. The President’s staff will then forward the Authorization and checklist to the Travel Coordinator. 20 STUDENT TRAVEL/OFF-CAMPUS ACTIVITY CHECKLIST 1. RESPONSIBLE UNIVERSITY OFFICIAL/SPONSOR (RUO) : 2. 3. RUO’S SUPERVISOR: REQUIRED PAPERWORK: Assessment/Health and Safety (Review Administrative Policies and Procedures, B2-170.0 at http://www.utdallas.edu/utdgeneral/business/admin_manual/travel.htm) Release and Indemnity Agreement/Custodian: Medical Information and Release Form/Custodian: Student/Team/Group Travel Authorization Form (Exhibit B14 or E-form) IF TRAVEL TO FOREIGN COUNTRY, Foreign Travel Indemnification Form (minor participants or adult participants, Exhibits B4-D/B4-E) must be completed and Student/Group/Team Travel Authorization Form (Exhibit 14) must be signed by the President. Copy of this Checklist and Travel Authorization forwarded to Procurement Management (retain the Release and Indemnity Forms in Unit) Copies of Travel Authorization to Chief of Police (copy Assistant Vice President and Dean of Students if Student Affairs Activity) Medical Insurance for Overnight Travel (UICI – 972-233-8200) Drivers Certified by UTD Safety Office Proof of Insurance in Motor Vehicle and Inspection Certification Affixed (will be verified prior to departure) Cellular Phone Access to Medical/Emergency Personnel □ □ □ □ □ □ □ □ □ □ □ □ □ Credit Cards or Cash Advance/Custodian: SIGNATURE OF AUTHORIZED SPONSOR (RUO): This checklist must be completed and attached to the STUDENT/TEAM/GROUP TRAVEL AUTHORIZATION prior to travel and forwarded to Procurement Management. Rev. 11/02 21 22 Filling Out the Team/Group/Student Travel Disbursement Register This form must be used whenever student travelers receive a cash meal allowance instead of the sponsor being present to purchase meals on their behalf. GROUP NAME/SPONSOR NAME/DATES OF TRAVEL: Should be self-explanatory. TRAVEL ADVANCE AMOUNT: Sponsors often take out travel advances and cash the check to use as the meal allowance “pool”. If this is the case, indicate the amount here. The rest of the form is used to indicate precisely who received how much money when. You may use one of these forms for each day of the trip, doling money out every morning, or opt instead to give every student their entire trip’s allowance at the beginning of the trip. There are advantages and disadvantages to both approaches. Include this form with your Travel Voucher, especially if you took out a travel advance. 23 24 THE UNIVERSITY OF TEXAS AT DALLAS EMPLOYEE/ INDEPENDENT CONTRACTOR CLASSIFICATION CHECKLIST Provider Name Mailing Address Completed by Ext. Mail Stop Social Security Number The information provided below will assist the University in determining whether the individual performing the services will be classified as an employee of the University or as an independent contractor. These questions are intended as a guide in making this classification. Further evaluation may be requested based on specific individual circumstances. I. Relationship with the University A. Does this individual currently work for the University as an employee? B. Is it currently e xpected that the University will hire this individual as an employee immediately following the termination of these services? C. During the 12 months prior, did the individual work as a University employee? If the answer is “No” to all questions, proceed to the questions in section II. If the answer is “Yes” to any of the questions, the individual should be classified as an employee. YES NO II. Classification Guidelines (Complete only A, B, or C depending on the services performed.) A. Teacher / Lecturer / Instructor 1. Is the individual a “guest” lecturer (e.g. an individual who lectures at only a few class sessions)? 2. Has the individual been at the institution in this capacity fewer than 4 times in the last 12 months? If the answers to questions 1 and 2 are “Yes”, treat the individual as an independent contractor. If the answer to either question is “No”, proceed to question 3. 3. Is the individual teaching a course for which students will receive credit toward a University degree? If the answer to question 3 is “Yes”, treat the individual as an employee. If the answer to question 3 is “No”, proceed to question 4. 4. Has the individual provided the same or similar services to other unrelated entities in the last 12 months? 5. Does the University have an y control over course materials that are used by the individual? If the answer to question 4 is “Yes” AND the answer to question 5 is “No”, treat the i ndividual as an independent contractor. Otherwise, treat the individual as an employee. B. Researcher 1. Will the individual perform research under the supervision of a University professor or employee? 2. Will the individual serve in an advisory or consulting capacity with a University professor or employee? If the answer to question 1 is “Yes”, treat the individual as an employee. If the answer to question 2 is “Yes”, treat the individual as an independent contractor. C. Individuals not covered under Sections A or B 1. Has the individual provided the same or similar services to other entities or to the general public as part of a trade or business during the last 12 months? 2. Will the department provide the individual with specific instructions regarding performance of the requred work rather than rely on the individual’s expertise? 3. Can the University set the number of hours and/or days of the week that the individual is required to work, as opposed to allowing the individual to set his/her own work schedule? If the answer to question 1 is “Yes” and the answer to question 3 is “No”, treat the individual as an independent contractor. If the answer to questions 2 or 3 is “Yes”, treat the individual as an employee. Check here: Employee (Additional forms required: See HRMS Manual Chapter 4.02 – New Hire) Independent Contractor (Additional forms required: Authorization for Professional Services, State of Texas Purchase Voucher, if applicable) REVIEWED BY TAX COMPLIANCE OFFICER: 25 Filling out the Authorization for Professional Services (AFPS) 1. First, determine whether an AFPS is necessary by completing the Employee/Independent Contractor Classification Checklist (p. 20). Depending on what you expect from your service provider, UTD may consider him/her an employee instead, in which case you’ll need to complete paperwork for Human Resources to hire him/her. 2. The first box is personal information on the service provider. When possible or applicable, “title” and “organization” refer to the service provider’s normal work away from UTD. 3. If the person you wish to bring in is a U.S. citizen or Resident Alien, all you need to do is check the “Yes” box. If the answer is “No”, there are some other forms you’ll need to fill out to ensure that any due income tax is properly withheld and reported. Contact the Tax Compliance officer (currently David Maldonado, x6148) for the requisite forms and instructions. 4. EMPLOYMENT STATUS: Most people will probably be “non-state”. If your service provider is a Federal employee, we need to make note of it but don’t need to do anything else. If your department is bringing in another UTD employee, list their usual department and obtain the signature of his/her immediate supervisor. If you need someone who works elsewhere in the UT system or for another state agency, you’ll need to list their employer *and* get the approval of the President or other agency head. 5. NATURE OF SERVICES TO BE PROVIDED: Put an “X” in the blank which best describes the nature of service you’re seeking, then give more details in the “Description of Services” blank. Don’t forget about the “Qualifications” blank – this is where you justify paying for a professional instead of simply increasing the workload of one of your curre nt employees. 6. NEPOTISM STATEMENT: You’re required by law to indicate if your professional is related to *anyone* at UTD or on the Board of Regents. Fear not; such blood-ties are rarely a problem, especially if the person’s qualifications are clearly documented. 7. PROPOSED PAYMENT: The left column is all information on which account we’ll be charging when we write the check, and whom we should contact if something on the form is unclear. The right column is where you delineate the nature of your provider’s fee. They may choose not to itemize their travel expenses and simply roll their estimated travel costs into one flat fee. That’s fine; in that case, all you’ll complete is the “Fee Only” line. If they ask you to make their flight or hotel arrangements for them, write down the amount quoted you by Carlson Wagonlit or the hotel. 8. GROSS-UP THIS PAYMENT? Very rarely is this ever “Yes”. What “grossing- up” means is that your department wants this person to receive the totaled dollar amount as their net pay, after taxes have been taken out. This means the actual dollar amount charged to your department would be higher. Since the United States doesn’t require that taxes be taken out (instead, it’s the payee’s responsibility to report everything and pay what’s due), this option is most frequently used when bringing in professionals from other countries. 9. Ignore the two dark grey boxes. 10. TO BE COMPLETED BY PROVIDER: The provider signs his/her agreement to do what you’re wanting him/her to do. Also, if s/he charges travel expenses but provides sufficient documentation of his/her expenses, we don’t need to report that part of his payment on a 1099. 11. Route the document for signatures, as detailed in the following policy memorandum. 26 WORKING CHECKLIST FOR PROCESSING PAYMENT OF PROFESSIONAL SERVICES (Policy Memorandum 96-I.3-74, IV, V, VI & VII) 1. If the professional service provider (formerly called consultant) is an employee of another State of Texas agency or institution of higher learning, but will be reimbursed only for the allowable travel expenses, an Authorization for Professional Services form is not required. Only the University’s travel voucher should be used in these cases. 2. If the professional service provider is not an employee of the State of Texas, the following steps must be followed: A. Department fills out Authorization for Professional Services form and acquires the Department/Unit Head’s signature. B. Department completes the Employee/Independent Contractor Classification Checklist form. C. If the professional service provider is not a U.S. Citizen, a Texas Application for Payee Identification Number (PIN) form needs to be filled out in order to obtain a vendor ID number. The department can complete this form; the professional service provider’s signature is not required. D. If the professional service provider is a non-resident alien, then submit a copy of the Visa card and I-94 with the Payee Information Form. E. Department sends the form to the Tax Compliance Officer (currently David Maldonado, AD10), who will review it for determination of special tax situations and/or employee vs. independent contractor status. F. The Tax Compliance Officer then approves it and sends it to the Vice President for Procurement Management (currently Pete Bond, AD34) for approval. G. Upon receipt of all approvals, Department prepares the State of Texas Purchase Voucher for payment, and obtains the professional service provider’s signature on the Authorization for Professional Services form after the services have been performed. H. Department forwards the entire package to Procurement Management for processing of payment. The check will be mailed to the professional services provider in approximately 30 days. 3. If the professional service provider is an employee of a State of Texas agency or institution of higher learning, and will be paid a consultant’s fee, the following steps must be completed immediately after receiving the VP for Procurement’s approval (between steps F and G of the above list): A. The VP for Procurement forwards the Authorization for Professional Services form to the President of the institution or agency with which the professional services provider is affiliated, with a cover letter asking for approval. B. Upon receipt of that approval, the affiliated agency or institution forwards the entire package back to the originating department. 27