[Federal Register Volume 66, Number 87 (Friday, May 4, 2001)]
[Proposed Rules]
[Pages 22491-22498]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-11244]
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GENERAL SERVICES ADMINISTRATION
41 CFR Part 300-2 and Chapter 304
[FTR Amendment]
RIN 3090-AE19
Federal Travel Regulation; Payment of Travel Expenses From a Non-
Federal Source
AGENCY: Office of Governmentwide Policy, GSA.
ACTION: Proposed rule.
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SUMMARY: This proposed rule amends the Federal Travel Regulation (FTR)
for payment of travel expenses from a non-Federal source. This
amendment is written in plain language using a question and answer
format in continuation of the General Services Administration's (GSA's)
efforts to make the FTR easier to understand and to use.
DATES: Comments must be received on or before July 3, 2001.
ADDRESSES: Written comments should be sent to: Mr. Michael E. Hopkins,
Regulatory Secretariat (MVR), Office of Governmentwide Policy, General
Services Administration, 1800 F Street, NW., Washington, DC 20405-0001.
E-Mail: [email protected]
FOR FURTHER INFORMATON CONTACT: Jim Harte, Travel Team Leader, Travel
Management Policy Division (MTT), telephone (202) 501-0483.
SUPPLEMENTARY INFORMATION:
A. Background
This proposed rule revises the coverage published in the Federal
Register as Interim Rule 3 (56 FR 9878, March 8, 1991) and Interim Rule
4 (57 FR 53283, November 9, 1992). This proposed rule is written in the
``plain language'' style of regulation writing as a continuation of the
General Services Administration's (GSA) effort to make the FTR easier
to understand and use. Questions are in the first person, and answers
are in the second person. GSA uses a ``we'' and ``you'' question when
referring to an agency, and an ``I'', and ``you'' question when
referring to the employee. However, the rules stated in either section
apply to both the employee and agency. Another example of GSA's
implementation of plain language is the use of the term ``meeting''
throughout this part instead of the phrase ``meeting or similar
function.'' This change is indicated in the definition of ``meeting or
similar function'' and no substantive change is intended by this
change.
B. Proposed Changes
1. To permit after-the-fact agency acceptance of payment from a
non-Federal source for travel expenses to a meeting under the following
two circumstances prescribed in section 304-3.13:
(a) When your agency has not approved acceptance of any payments
from that non-Federal source prior to the trip; and
(b) When your agency has approved acceptance of payment for some
but not all travel expenses from a non-Federal source prior to the
trip. In this case, your agency's prior authorization of acceptance of
payment from the non-Federal source in question is deemed authorization
for you to accept, on behalf of your agency, payment for additional
travel, subsistence, and related expenses from the same non-Federal
source, as long as the two following conditions in section 304-3.13(a)
are met:
(i) That the expenses paid by the non-Federal source be comparable
in value to those offered or purchased by other similarly situated
attendees; and
(ii) That your agency has not specifically declined to accept
certain payments from a non-Federal source for your trip. If the
conditions are not met, you will be subject to the penalties specified
in section 304-3.17 (i.e., you may be required to pay the U.S. Treasury
the amount of the payment accepted without being eligible for
reimbursement from your agency).
2. The removal of the requirement that a meeting or similar
function be sponsored or co-sponsored by a Federal agency in order to
fall within the scope of this part.
C. Executive Order 12866
GSA has determined that this proposed rule is not a significant
regulatory action for the purposes of Executive Order 12866 of
September 30, 1993.
[[Page 22492]]
D. Regulatory Flexibility Act
This proposed rule is not required to be published in the Federal
Register for notice and comment. Therefore, the Regulatory Flexibility
Act does not apply.
E. Paperwork Reduction Act
The Paperwork Reduction Act does not apply because the final rule
does not impose recordkeeping or information collection requirements,
or the collection of information from offerors, contractors, or members
of the public which require the approval of the Office of Management
and Budget under 44 U.S.C. 501, et seq.
F. Small Business Regulatory Enforcement Fairness Act
This proposed rule is also exempt from congressional review
prescribed under 5 U.S.C. 801 since it relates solely to agency
management and personnel.
List of Subjects in 41 CFR Parts 300-2, 304-1, 304-2, 304-3, 304-4,
304-5, 304-6, 304-7, 304-8, and 304-9
Government employees, Travel and transportation expenses.
For the reasons set forth in the preamble, GSA proposes to amend 41
CFR chapters 300 and 304 as follows:
CHAPTER 300--[AMENDED]
PART 300-2--HOW TO USE THE FTR
1. The authority citation for 41 CFR part 300-2 continues to read
as follows:
Authority: 5 U.S.C. 5707; 5 U.S.C. 5738; 5 U.S.C. 5741-5742; 20
U.S.C. 905(a); 31 U.S.C. 1353; 40 U.S.C. 486(c); 49 U.S.C. 40118;
E.O. 11609, 3 CFR, 1971-1975 Comp., p. 586.
2. Section 300-2.22 is amended by revising the table to read as
follows:
Sec. 300-2.22 Who is subject to the FTR?
* * * * *
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The employee And the agency
For provisions are provisions are
contained in contained in
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Chapter 301................. Subchapters A, B, Subchapter D.
and C.
Chapter 302................. Subchapters A, B, C, Subchapters A, B, C,
D, E, and F. D, E, and F.
Chapter 303................. N/A................. Part 303-70.
Chapter 304................. Subchapter A........ Subchapters B and C.
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3. Chapter 304 is revised to read as follows:
CHAPTER 304--PAYMENT OF TRAVEL EXPENSES FROM A NON-FEDERAL SOURCE
Subchapter A--Employee's Acceptance of Payment From A Non-Federal
Source for Travel Expenses
Part
304-1 Authority
304-2 Definitions
304-3 Employee responsibility
Subchapter B--Agency Requirements
304-4 Authority
304-5 Agency responsibilities
304-6 Payment guidelines
Subchapter C--Acceptance of Payment for Training
304-7 Authority/applicability
304-8 Definitions
304-9 Contributions and awards
SUBCHAPTER A--EMPLOYEE'S ACCEPTANCE OF PAYMENT FROM A NON-FEDERAL
SOURCE FOR TRAVEL EXPENSES
PART 304-1--AUTHORITY
Sec.
304-1.1 To whom do the pronouns ``I'', ``you'', and their variants
refer throughout this part?
304-1.2 Under what authority may I accept payment of travel
expenses from a non-Federal source?
Authority: 5 U.S.C. 5707; 31 U.S.C. 1353.
Sec. 304-1.1 To whom do the pronouns ``I'', ``you'', and their
variants refer throughout this part?
Use of pronouns ``I'', ``you'', and their variants throughout this
part refers to the employee.
Sec. 304-1.2 Under what authority may I accept payment of travel
expenses from a non-Federal source?
Under the authority of this part and 31 U.S.C. 1353, you may accept
payment of travel expenses from a non-Federal source on behalf of your
agency but not on behalf of yourself when specifically authorized to do
so by your agency and only for official travel to a meeting. Except as
provided in Sec. 304-3.12 of this subchapter, your agency must approve
acceptance of such payments in advance of your travel.
PART 304-2--DEFINITIONS
Authority: 5 U.S.C. 5707; 31 U.S.C. 1353.
Sec. 304-2.1 What definitions apply to this chapter?
The following definitions apply to this chapter:
Employee means an appointed officer or employee of an agency,
including a special Government employee as defined in 18 U.S.C. 202, or
an expert or consultant appointed under the authority of 5 U.S.C. 3109.
Meeting or similar function (meeting) means a conference, seminar,
speaking engagement, symposium, training course, or similar event that
takes place away from the employee's official station. Meeting as
defined in this chapter does not include a meeting or other event
required to carry out an agency's statutory or regulatory functions
such as investigations, inspections, audits, site visits, negotiations,
or litigation. Meeting also does not include promotional vendor
training or other meetings held for the primary purpose of marketing
the non-Federal sources products or services, or long term TDY or
training travel. A meeting or similar function need not be widely
attended for purposes of this definition and includes but is not
limited to the following:
(1) An event where the employee will participate as a speaker or
panel participant focusing on his/her official duties or on the
policies, programs, or operations of the agency.
(2) A conference, convention, seminar, symposium or similar event
where the primary purpose is to receive training other than promotional
vendor training, or to present or exchange substantive information of
mutual interest to a number of parties.
(3) An event where the employee will receive an award or honorary
degree, which is in recognition of meritorious public service that is
related to the employee's official duties, and which may be accepted by
the employee consistent with the applicable standards of conduct
regulations.
Non-Federal source means any person or entity other than the
Government of the United States. The term includes any individual,
private or commercial entity, nonprofit organization or association or
international or multinational organization (irrespective of whether an
agency holds membership in the organization or association), or
foreign, State, or local government
[[Page 22493]]
(including the government of the District of Columbia).
Payment means a monetary payment from a non-Federal source to a
Federal agency for travel, subsistence, and related expenses by check
or other monetary instrument payable to the Federal agency (i.e.,
electronic fund transfer (EFT), money order, charge card, etc.) or
payment in kind.
Payment in kind means transportation, food, lodging, or other
travel-related services provided by a non-Federal source instead of
monetary payments to the Federal agency for these services. Payment in
kind also includes waiver of any fees that a non-Federal source
normally collects from meeting attendees (e.g., registration fees).
Travel, subsistence, and related expenses (travel expenses) means
the same types of expenses payable under chapter 301 of this title, the
Foreign Affairs Manual (FAM), and the Joint Travel Regulations (JTR)
for transportation, food, lodging, or other travel-related services for
official travel (e.g., baggage expenses, services of guides, drivers,
interpreters, communication services, hire of conference rooms, lodging
taxes, laundry/dry cleaning, taxi fares). These expenses also include
conference or training fees (in whole or in part), as well as benefits
that cannot be paid under the applicable travel regulations, but which
are incident to the meeting, provided in kind, and made available by
the meeting sponsor(s) to all attendees. For example, this definition
as applied to this chapter would allow an employee or spouse to attend
sporting event hosted by the sponsor(s) in connection with the meeting
that is available to all participants. However, it would not allow the
employee to accept tickets to a professional sporting event, concert or
similar event, for use at a later date even if such tickets were given
to all other participants. The Foreign Affairs Manual is obtainable
from: Bureau of Administration, A/IM/CST/MMS/DIR, Room 264, U.S.
Department of State, Washington, DC 20520; (202) 647-3602. The Joint
Travel Regulations are obtainable from: Superintendent of Documents,
U.S. Government Printing Office, Washington, DC 20342-0001, or
available for downloading from the internet at http://www.dtic.mil/perdiem.
PART 304-3--EMPLOYEE RESPONSIBILITY
Subpart A--General
Sec.
304-3.1 To whom do the pronouns ``we'', ``you'', and their
variants refer throughout this part?
304-3.2 What is the purpose of this part?
304-3.3 May my agency or I accept payment for travel expenses to a
meeting from a non-Federal source?
304-3.4 What payments may my agency or I accept from a non-Federal
source?
304-3.5 May I solicit payment of my travel expenses from a non-
Federal source to attend a meeting?
304-3.6 May I inform a non-Federal source of my agency's authority
to accept payment for travel expenses to attend a meeting?
304-3.7 What must I do if I am contracted directly by a non-
Federal source offering to pay my travel expenses to attend a
meeting?
304-3.8 Must I adhere to the provisions of the Fly America Act
when I receive air transportation to a meeting furnished or paid by
a non-Federal source?
304-3.9 May I use premium-class other than first-class common
carrier accommodations when a non-Federal source pays in full for my
transportation expenses to attend a meeting?
304-3.10 May I use first-class common carrier accommodations when
a non-Federal source pays in full for my transportation expenses to
attend a meeting?
304-3.11 Am I limited to the maximum subsistence allowances (per
diem or actual expense) prescribed in applicable travel regulations
for travel expenses paid by a non-Federal source?
304.3.12 Must I receive advance approval from my agency before I
perform travel paid by a non-Federal source to attend a meeting?
304-3.13 After I begin travel to a meeting, what should I do if a
non-Federal source offers to pay for one or more of my travel
expenses without my or my agency's prior knowledge?
304-3.14 May a non-Federal source pay for my spouse to accompany
me to a meeting?
304-3.15 Am I required to submit a report of payment received from
a non-Federal source by my agency?
Subpart B--Reimbursement Claims
304-3.16 What must I submit to my agency for reimbursement when a
non-Federal source pays all or part of my travel expenses to attend
a meeting?
Subpart C--Penalties
304-3.17 What happens if I accept a payment from a non-Federal
source that is in violation of this part?
Subpart D--Relation to Other Authorities
304-3.18 Are there other situations when I may accept payment from
a non-Federal source for my travel expenses?
Authority: 5 U.S.C. 5707; 31 U.S.C. 1353.
Subpart A--General
Sec. 304-3.1 To whom do the pronouns ``we'', ``you'', and their
variants refer throughout this part?
Use of pronouns ``we'', ``you'', and their variants throughout this
part refers to the agency.
Sec. 304-3.2 What is the purpose of this part?
The purpose of this part is to establish Governmentwide policy and
guidance for acceptance by a Federal agency of payment for travel
expenses from a non-Federal source for employees to attend meetings. It
describes how such payments must be accepted by the agency for travel
of agency employee(s) and/or his/her spouse for official Government
travel. Except as provided in Sec. 304-3.13, advance agency approval is
required to receive such payments.
Sec. 304-3.3 May my agency or I accept payment for travel expenses to
a meeting from a non-Federal source?
Yes, you or your agency may accept such a payment from a non-
Federal source, but you may only accept when specifically authorized to
do so by your agency in connection with official travel under this
part. Except as provided in Sec. 304-3.13, your agency must approve
acceptance of such payment in advance of your travel.
Sec. 304.3.4 What payments may my agency or I accept from a non-
Federal source?
You or your agency may accept payments from a non-Federal source
for all of your official travel expenses to attend a meeting, or any
portion of those travel expenses mutually agreed upon between your
agency and the non-Federal source. You may not accept payments for
travel that is not to attend a meeting under this part. However, you
may accept payments under other authorities (see Sec. 304-3.18).
Sec. 304-3.5 May I solicit payment of my travel expenses from a non-
Federal source to attend a meeting?
No, you may not solicit payment for travel expenses from a non-
Federal source to attend a meeting.
Sec. 304-3.6 May I inform a non-Federal source of my agency's
authority to accept payment for travel expenses to attend a meeting?
Yes, you or your agency may inform the non-Federal source of your
agency's authority to accept payment for travel expenses to attend a
meeting.
Sec. 304-3.7 What must I do if I am contacted directly by a non-
Federal source offering to pay my travel expenses to attend a meeting?
If you are contacted directly by a non-Federal source offering to
pay any part
[[Page 22494]]
of your travel expenses to attend a meeting, you must inform your
agency, so that the authorized agency official can determine whether to
accept the payment.
Sec. 304-3.8 Must I adhere to the provisions of the Fly America Act
when I receive air transportation to a meeting furnished or paid by a
non-Federal source?
No, if the payment or ticket was paid in full directly by the non-
Federal source or reimbursed to your agency by the non-Federal source,
the provisions of the Fly America Act do not apply. (See Secs. 301-
10.131 through 301-10.143 of this title.)
Sec. 304-3.9 May I use premium-class other than first-class common
carrier accommodations when a non-Federal source pays in full for my
transportation expenses to attend a meeting?
Yes, you may use premium other than first-class common carrier
accommodations if your agency authorizes you to do so as prescribed in
Sec. 304-5.6 of this chapter.
Sec. 304-3.10 May I use first-class common carrier accommodations when
a non-Federal source pays in full for my transportation expenses to
attend a meeting?
Generally, you may not use first-class common carrier
accommodations when a non-Federal source pays in full for your
transportation expenses to attend a meeting. However, when you meet one
of the criteria for first class travel contained in Secs. 301-1.123,
301-10.162 and 301-10.183 of this title and when authorized to do so by
your agency in accordance with Sec. 304-5.7 of this chapter, you may
use first-class accommodations.
Sec. 304-3.11 Am I limited to the maximum subsistence allowances (per
diem or actual expense) prescribed in applicable travel regulations for
travel expenses paid by a non-Federal source?
Generally, you are limited to the maximum subsistence allowances
(per diem or actual expense) prescribed in applicable travel
regulations for travel expenses paid by a non-Federal source.
(a) Subsistence allowances are usually limited to the maximum
subsistence allowances (per diem or actual expense) prescribed in
chapter 301 of this title for travel in CONUS, by the Secretary of
Defense for travel in non-foreign areas and by the Secretary of State
for travel in foreign areas. However, the maximum subsistence
allowances established by this title and by the Secretary of Defense
may be exceeded as long as:
(1) The non-Federal source pays the full amount of the subsistence
expense, as authorized by your agency; and
(2) The subsistence expense paid by the non-Federal source is
comparable in value to that offered to or purchased by other meeting
attendees.
(b) The maximum subsistence allowances established by the Secretary
of State for travel to foreign areas may not be exceeded.
Sec. 304-3.12 Must I receive advance approval from my agency before I
perform travel paid by a non-Federal source to attend a meeting?
Yes, you must receive advance approval from your agency before
performing travel paid by a non-Federal source to attend a meeting
except as provided in Sec. 304-3.13
Sec. 304.3.13 After I begin travel to a meeting, what should I do if a
non-Federal source offers to pay for one or more of my travel expenses
without my or my agency's prior knowledge?
(a) If your agency has already authorized acceptance of payment for
some of your travel expenses for that meeting from a non-Federal
source, then you may accept on behalf of your agency, payment for any
of your additional travel expenses from the same non-Federal source as
long as:
(1) The expenses paid or provided in kind are comparable in value
to those offered to or purchased by other similarly situated meeting
attendees; and
(2) Your agency did not decline to accept payment for those
particular expenses in advance of your travel.
(b) If your agency did not authorize acceptance of any payment from
the non-Federal-source prior to your travel, then:
(1) You may accept, on behalf of your agency, payment from the non-
Federal source for:
(i) Only the types of travel expenses that are authorized by your
travel authorization (i.e., meals, lodging, transportation, but not
recreation or other personal expenses); and
(ii) Only travel expenses that are within the maximum allowances
stated on your travel authorization (i.e., if your travel authorization
states that you are authorized to incur lodging expenses up to $100 per
night, you may not accept payment from the non-Federal source for a
$200 per night hotel room); and
(2) You must request your agency's authorization for acceptance
from the non-Federal source within 7 working days after your trip ends;
and
(3) If your agency does not authorize acceptance from the non-
Federal source, your agency must either:
(i) Reimburse the non-Federal source for the reasonable
approximation of the market value of the benefit provided, not to
exceed the maximum allowances stated on your travel authorization; or
(ii) Require you to reimburse the non-Federal source that amount
and allow you to claim that amount on your travel claim for the trip;
and
(4) If you accept payment for a travel expense that exceeds the
maximum allowances stated in your travel authorization, you may be
subject to the penalties specified in Sec. 304-3.17.
Sec. 304-3.14 May a non-Federal source pay for my spouse to accompany
me to a meeting?
Yes, a non-Federal source may pay for your spouse to accompany you
when it is in the interest of and authorized in advance by your agency.
All limitations and requirements of this part apply to the acceptance
of payment from a non-Federal source for travel expenses and/or agency
reimbursement of travel expenses for your accompanying spouse. Your
agency may determine that your spouse's presence at an event is in the
interest of the agency if your spouse will:
(a) Support the mission of your agency or substantially assist you
in carrying out your official duties; or
(b) Attend a ceremony at which you will receive an award or
honorary degree.
Sec. 304-3.15 Am I required to submit a report of payment received
from a non-Federal source by my agency?
Yes, you must provide your agency the information it needs to
complete Standard Form 326 (SF 326), Semiannual Report of Payments
Accepted From a Non-Federal Source (see 304-6.5 of this chapter). As
long as payment from the non-Federal source is made to or on behalf of
your agency, you are not required to report it as a gift on any
confidential or public disclosure report you are personally required to
file pursuant to law or Office of Government Ethics (OGE) regulations
(5 CFR part 2635). However, you may be required to report any payment
that you or your accompanying spouse receive on your own behalf, rather
than the agency's behalf, pursuant to other reporting requirements such
as those imposed by the Ethics in Government Act of 1978 (Public Law
95-521, 92 Stat. 1824) as amended, including reporting the payment on
your financial disclosure report. You may confirm your reporting
requirements with your agency ethics counselor.
[[Page 22495]]
Subpart B--Reimbursement Claims
Sec. 304-3.16 What must I submit to my agency for reimbursement when a
non-Federal source pays all or part of my travel expenses to attend a
meeting?
You must submit a travel claim listing all allowable travel
expenses that you incurred which were not paid by a non-Federal source.
Do not claim travel expenses that were furnished in kind by a non-
Federal source. Your reimbursement is limited to the types of expenses
authorized in chapter 301 of this title or analogous provisions of the
Joint Travel Regulations or Foreign Affairs Manual. Reimbursement from
your agency for expenses will not in any case exceed the amount of the
expenses you incur. Such reimbursement will also adhere to established
regulatory limitations except where your agency accepts payments or
benefits under Secs. 304-5.5 or 304-5.6 of this chapter.
Subpart C--Penalties
Sec. 304-3.17 What happens if I accept a payment from a non-Federal
source that is in violation of this part?
If you accept payment from a non-Federal source in violation of
this part:
(a) You may be required, in addition to any other penalty provided
by law and applicable regulations, to pay the general fund of the
Treasury, an amount equal to any payment you accepted; and
(b) In the case of reimbursement under paragraph (a) of this
section, you will not be entitled to any reimbursement from the
Government for your travel expenses that the payment was intended to
cover.
Subpart D--Relation to Other Authorities
Sec. 304-3.18 Are there other situations when I may accept payment
from a non-Federal source for my travel expenses?
Yes, you may also accept payment of travel expenses from a non-
Federal source under the following authorities, in addition to this
part:
(a) Under 5 U.S.C. 4111 for acceptance of contributions, awards,
and other payments from tax-exempt entities for non-Government
sponsored training or meetings (see regulations issued by the Office of
Personnel Management at 5 CFR part 410);
(b) Under 5 U.S.C. 7342 for receipt and disposition of foreign
gifts (See regulations issued by the General Services Administration at
41 CFR part 102-42);
(c) Under 5 U.S.C. 7324(b) when payment is for travel to be
performed for a partisan rather than an official purpose by an employee
who is exempt from the Hatch Act (5 U.S.C. 7321-7326); or
(d) Pursuant to the applicable standards of ethical conduct
regulations concerning personal acceptance of gifts (for example, under
5 CFR 2635.204(a) which authorizes executive branch employees to accept
an unsolicited gift with a market value of $20 or less per source per
occasion).
SUBCHAPTER B--AGENCY REQUIREMENTS
PART 304-4--AUTHORITY
Sec.
304-4.1 To whom do the pronouns ``we'', ``you'', and their variants
refer throughout this part?
304-4.2 What is the purpose of this part?
304-4.3 Under what other authority may we accept payment for travel
expenses from a non-Federal source?
Authority: 5 U.S.C. 5707; 31 U.S.C. 1353.
Sec. 304-4.1 To whom do the pronouns ``we'', ``you'', and their
variants refer throughout this part?
Use of pronouns ``we'', ``you'', and their variants throughout this
part refers to the agency.
Sec. 304-4.2 What is the purpose of this part?
The purpose of this part is to establish Governmentwide policy and
guidance for acceptance by a Federal agency of payment for travel
expenses from a non-Federal source for employees to attend meetings
under 31 U.S.C. 1353. It describes how such payments may be accepted.
Note to Sec. 304-4.2: This is the only authority under which you
may accept (or authorize your employees to accept on your behalf)
payment from a non-Federal source for travel expenses to attend a
meeting.
Sec. 304-4.3 Under what other authority may we accept payment for
travel expenses from a non-Federal source?
You may accept payment for travel expenses other than to a meeting
from a non-Federal source under the following authorities, in addition
to this part:
(a) Under 5 U.S.C. 7342 for receipt and disposition of foreign
gifts (see 41 CFR part 102-42 for applicable regulations);
(b) Under 5 U.S.C. 7324(b) when payment is for travel to be
performed for a partisan rather than an official purpose in the case of
an employee who is exempt from the Hatch Act (5 U.S.C. 7321-7326); or
(c) Pursuant to an agency gift statute or similar statutory
authority where payment is for attendance at or participation in an
event (other than a meeting) relating to the official duties of the
employee.
PART 304-5--AGENCY RESPONSIBILITIES
Sec.
304-5.1 May we limit the amount of payment and/or benefit that we
accept from a non-Federal source?
304-5.2 Who must approve acceptance of payment from a non-Federal
source for travel expenses to a meeting?
304-5.3 What does our approving official need to consider before
authorizing acceptance of payment from a non-Federal source for
travel expenses for a meeting?
304-5.4 When may we accept payment from a non-Federal source for
travel to a meeting or authorize an employee to accept payment on
our behalf?
304-5.5 May we authorize an employee to exceed the maximum
subsistence allowances (per diem or actual expense) prescribed in
applicable travel regulations where we have authorized acceptance of
payment from a non-Federal source for such allowances?
304-5.6 May we authorize an employee to travel by premium other
than first-class common carrier accommodations if we accept payment
in full from a non-Federal source for such transportation expenses?
304-5.7 May we authorize an employee to travel by first-class
common carrier accommodations if we accept payment in full from a
non-Federal source for such transportation expenses?
304-5.8 May we authorize acceptance of payment from more than one
non-Federal source for a single trip?
304-5.9 Must payments received for travel expenses be reported on
employee's confidential or public disclosure reports?
Authority: 5 U.S.C. 5707; 31 U.S.C. 1353.
Sec. 304-5.1 May we limit the amount of payment and/or benefit that we
accept from a non-Federal source?
Yes, you may limit the amount of payment or benefit that you accept
from a non-Federal source. For example, you may authorize an employee
to attend only a portion of a meeting and limit acceptance of payment
accordingly. You may also limit acceptance of payment of any type of
benefit offered by a non-Federal source.
Sec. 304-5.2 Who must approve acceptance of payment from a non-Federal
source for travel expenses to a meeting?
An official at the highest practical administrative level who can
evaluate the requirements in Sec. 304-5.3, must approve acceptance of
such payments.
Sec. 304-5.3 What does our approving official need to consider before
authorizing acceptance of payment from a non-Federal source for travel
expenses for a meeting?
(a) Before authorizing acceptance of payment, the approving
official must
[[Page 22496]]
determine that acceptance of the payment under the circumstances would
not cause a reasonable person with knowledge of all the facts relevant
to a particular case to question the integrity of agency programs or
operations. The approving official must be guided by all relevant
considerations, including but not limited to the:
(1) Identity of the non-Federal source;
(2) Purpose of the meeting;
(3) Identity of other expected participants;
(4) Nature and sensitivity of any matter pending at the agency
which may affect the interest of the non-Federal source;
(5) Significance of the employee's role in any such matter; and
(6) Monetary value and character of the travel benefits offered by
the non-Federal source.
(b) The agency official may find that, while acceptance from the
non-Federal source is permissible, it is in the interest of the agency
to qualify acceptance of the offered payment by, for example,
authorizing attendance at only a portion of the event or limiting the
type or character of benefits that may be accepted.
Sec. 304-5.4 When may we accept payment from a non-Federal source for
travel to a meeting or authorize an employee to accept payment on our
behalf?
You may accept payment from a non-Federal source or authorize an
employee and/or the employee's spouse to accept payment on your behalf
only when:
(a) You have issued the employee (and/or the employee's spouse,
when applicable) a travel authorization before the travel begins;
(b) You have determined that the travel is in the interest of the
Government;
(c) The travel relates to the employee's official duties; and
(d) The non-Federal source is not disqualified due to a conflict of
interest under Sec. 304-5.3.
Sec. 304-5.5 May we authorize an employee to exceed the maximum
subsistence allowances (per diem or actual expense) prescribed in
applicable travel regulations where we have authorized acceptance of
payment from a non-Federal source for such allowances?
(a) Generally, yes. Subsistence allowances are usually limited to
the maximum subsistence allowances (per diem or actual expense)
prescribed in chapter 301 of this title for travel in CONUS, by the
Secretary of Defense for travel in non-foreign areas, and by the
Secretary of State for travel in foreign areas. However, the maximum
subsistence allowances established by this title and by the Secretary
of Defense may be exceeded as long as:
(1) The non-Federal source pays the full amount of the subsistence
expenses, at issue; and
(2) The subsistence expense paid by the non-Federal source is
comparable in value to that offered to or purchased by meeting
attendees.
(b) The maximum subsistence allowances prescribed by the Secretary
of State for travel to foreign areas may not be exceeded.
Sec. 304-5.6 May we authorize an employee to travel by premium other
than first-class common carrier accommodations if we accept payment in
full from a non-Federal source for such transportation expenses?
Yes, you may authorize an employee to travel by premium other than
first-class common carrier accommodations as long as the:
(a) Non-Federal source makes full payment for such transportation
services in advance of travel; and
(b) Transportation accommodations furnished are comparable in value
to those offered to, or purchased by, other similarly situated meeting
attendees.
Sec. 304-5.7 May we authorize an employee to travel by first-class
common carrier accommodations if we accept payment in full from a non-
Federal source for such transportation expenses?
Generally, no; however, you may authorize an employee to travel by
first-class common carrier accommodations if the:
(a) Travel meets at least one of the conditions in Secs. 301-
10.123, 301-10.162 and 301-10.183 of this title;
(b) Non-Federal source makes full payment for such transportation
services in advance of travel; and
(c) Transportation accommodations furnished are comparable in value
to those offered to, or purchased by, other similarly situated meeting
attendees.
Sec. 304-5.8 May we authorize acceptance of payment from more than one
non-Federal source for a single trip?
Yes, you may accept payment from more than one non-Federal source
for a single trip, as long as the total of such payments do not exceed
the total cost of the trip.
Sec. 304-5.9 Must payments received for travel expenses be reported on
employee's confidential or public disclosure reports?
Generally, no; payments received by an employee (and/or the
accompanying spouse, when applicable) for travel expenses to a meeting
on behalf of the agency under this part are not required to be reported
on confidential or public disclosure reports that an employee is
otherwise required to file (See 5 U.S.C. 2634). Acceptance of payments
by an employee and/or accompanying spouse on behalf of himself/herself,
rather than the agency, may be subject to other reporting requirements
such as those required by the Ethics in Government Act of 1978 (see 5
U.S.C. app 101-111 and 5 CFR part 2634), including reporting the
payment on the employee's financial disclosure report.
PART 304-6--PAYMENT GUIDELINES
Subpart A--General
Sec.
302-6.1 May we accept a monetary payment in the form of cash from a
non-Federal source?
304-6.2 What should we do if a non-Federal source does not pay the
full cost for expenses that an employee will incur during travel?
304-6.3 What happens if an employee accepts payment from a non-
Federal source that is in violation of this part?
Subpart B--Reports
304-6.4 What form must we use to report payments received by the
agency from non-Federal sources?
304-6.5 What guidelines must we follow when using the SF 326?
Subpart C--Valuation
304-6.6 How do we determine the value of payments in kind that are
to be reported on SF 326?
304-6.7 Must we report to the Office of Government Ethics (OGE) any
information that is protected from disclosure by statute?
304-6.8 Will the reports be made available for public inspection?
Authority: 5 U.S.C. 5707; 31 U.S.C. 1353.
Subpart A--General
Sec. 302-6.1 May we accept a monetary payment in the form of cash from
a non-Federal source?
No, you may not accept a monetary payment in the form of cash from
a non-Federal source. Monetary payment(s) received from a non-Federal
source must be in the form of a check or similar instrument made
payable to the agency.
Sec. 304-6.2 What should we do if a non-Federal source does not pay
the full cost for expenses that an employee will incur during travel?
If you determine in advance of the employee's travel that payment
from a non-Federal source will cover some but not all of the employee's
allowable travel and subsistence expenses you should state on the
employee's travel authorization that the employee will be reimbursed
the difference between the full allowances and the payment from the
non-Federal source. See chapter 301 of this title, 6 Foreign Affairs
Manual, Part 100, or the Joint Travel Regulations
[[Page 22497]]
(JTR), Chapter 4, Parts L and Q, as applicable to determine the
applicable maximum allowances.
Sec. 304-6.3 What happens if an employee accepts payment from a non-
Federal source that is in violation of this part?
If an employee accepts payment from a non-Federal source in
violation of this part, the employee:
(a) May be required in addition to any penalty provided by law and
applicable regulations, to pay the general fund of the Treasury, an
amount equal to the payment so accepted; and
(b) Shall not be entitled to any reimbursement from the Government
for such expenses.
Subpart B--Reports
Sec. 304-6.4 What form must we use to report payments received by the
agency from non-Federal sources?
Your agency head or designee must submit Standard Form 326 (SF
326), Semiannual Report of Payments Accepted From a Non-Federal Source,
to report payments received from non-Federal sources. This applies to
all payments that are more than $250 per event for an employee and
accompanying spouse. For purposes of the $250 threshold, payments for
an employee and accompanying spouse shall be aggregated.
Sec. 304-6.5 What guidelines must we follow when using the SF 326?
When completing the SF 326:
(a) You must complete each block on SF 326 with no exception, which
includes, but is not limited to:
(1) The name and title of each Federal employee;
(2) The name and other required information for any accompanying
spouse, indicating which employee the spouse accompanies;
(3) The benefit received for each event. Benefits accepted as part
of a conference or training fee need not be reported separately.
(b) You must also:
(1) Submit the SF 326 no later than May 31 for payments received
from the preceding October 1 through March 31;
(2) Submit a SF 326 no later than November 30 for payments received
from the preceding April 1 through September 30; and
(c) Submit the SF 326 including negative reports, to:
Director of the Office of Government Ethics (OGE), 1201 New York
Avenue, NW., Suite 500, Washington, DC 20005-3917
Subpart C--Valuation
Sec. 304-6.6 How do we determine the value of payments in kind that
are to be reported on SF 326?
The following should be used in the determination of the value of
payments in kind for reporting on SF 326:
(a) For conference, training, or similar fees waived or paid by a
non-Federal source, you must report the amount charged other
participants.
(b) For transportation or lodging, you must report the cost that
the non-Federal source paid or usually would have been charged for such
event.
(c) For meals or other benefits that are not provided as part of
the transportation, lodging, or a conference, training or similar fee,
you must report the cost to the non-Federal source or provide a
reasonable approximation of the market value of the benefit.
(d) For chartered, corporate or other private aircraft:
(1) When common carrier is available, you must report the first-
class rate that would have been charged by a commercial air carrier at
the time the event took place.
(2) When a common carrier is not available, you must report the
cost of chartering a similar aircraft using a commercially available
service.
(e) Lodging where no commercial rate is available: You must report
the maximum lodging rate established by GSA for CONUS, Secretary of
Defense for non-foreign areas and the Secretary of State for foreign
areas. These rates are available on the internet at the GSA website
http://policyworks.gov/perdiem, with links to the non-foreign and
foreign area rates.
Sec. 304-6.7 Must we report to the Office of Government Ethics (OGE)
any information that is protected from disclosure by statute?
No, however, you must make available upon the request of a properly
cleared OGE official any information that is protected from disclosure
by statute.
Sec. 304-6.8 Will the reports be made available for public inspection?
Yes, OGE must make any report filed by an agency under this part
(that is not protected from disclosure by statute) available for public
inspection and copying on the later of the following two dates:
(a) Within 30 days after the applicable due date; or
(b) Within 30 days after the date OGE actually receives the report.
SUBCHAPTER C--ACCEPTANCE OF PAYMENTS FOR TRAINING
PART 304-7--AUTHORITY/APPLICABILITY
Sec.
304-7.1 What is the purpose of this subchapter?
304-7.2 To whom does this subchapter apply?
304-7.3 Who is exempt from this subchapter?
Authority: 5 U.S.C. 4111(b); E.O. 11609, 36 FR 13747, 3 CFR,
1971-1975 Comp., p. 586.
Sec. 304-7.1 What is the purpose of this subchapter?
The purpose of this subchapter is to provide for reductions in per
diem and other travel reimbursement when employees receive
contributions, awards and other payments from non-Federal sources for
training in non-Government facilities and attendance at meetings under
5 U.S.C. 4111.
Sec. 304-7.2 To whom does this subchapter apply?
This subchapter applies to:
(a) Civilian officers and employees of:
(1) Executive departments as defined in 5 U.S.C. 101;
(2) Independent establishments as defined in 5 U.S.C. 104;
(3) Government corporations subject to chapter 91 of title 31
U.S.C.;
(4) The Library of Congress;
(5) The Government Printing Office (GPO);
(6) The government of the District of Columbia; and
(b) Commissioned officers of the National Oceanic and Atmospheric
Administration.
Sec. 304-7.3 Who is exempt from this subchapter?
The following, under 5 U.S.C. 4102 and the implementing regulation
at 5 CFR 410.101(b), are exempt from this subchapter:
(a) A corporation supervised by the Farm Credit Administration if
private interests elect or appoint a member of the board of directors;
(b) The Tennessee Valley Authority;
(c) An individual (except a commissioned officer of the National
Oceanic and Atmospheric Administration) who is a member of a uniformed
service during a period in which he is entitled to pay under 37 U.S.C.
204; and
(d) The U.S. Postal Service, Postal Rate Commission and their
employees.
PART 304-8--DEFINITIONS
Authority: 5 U.S.C. 4111(b); E.O. 11609, 36 FR 13747, 3 CFR,
1971-1975 Comp., p. 586.
[[Page 22498]]
Sec. 304-8.1 For the purpose of this subchapter, who is a donor?
A donor, for the purpose of this subchapter, is an non-profit
charitable organization described by 26 U.S.C. 501(c)(3), that is
exempt from taxation under 26 U.S.C. 501(a).
PART 304-9--CONTRIBUTIONS AND AWARDS
Sec.
304-9.1 May we allow an employee to accept contributions and awards
pertaining to training and payments incident to attendance at
meetings under this subchapter?
304-9.2 May we pay an employee for expenses that are fully
reimbursed by a donor for training in a non-Government facility, or
travel expenses incident to attendance at a meeting?
304-9.3 May we reimburse an employee for training expenses that are
not fully paid by a donor?
304-9.4 What if the employee is compensated by a donor and by us
for the same expenses?
304-9.5 Must we reduce an employee's reimbursement when a donor
pays for items for which we are not authorized to reimburse the
employee?
304-9.6 Must we obtain data from employees or donors for all
expenses received?
Authority: 5 U.S.C. 4111(b); E.O. 11609, 36 FR 13747, 3 CFR,
1971-1975 Comp., p. 586.
Sec. 304-9.1 May we allow an employee to accept contributions and
awards pertaining to training and payments incident to attendance at
meetings under this subchapter?
Yes, you may allow an employee to accept contributions and awards
pertaining to training and payments incident to attendance at meetings
when you specifically authorize them to do so in accordance with OPM
guidelines issued under section 401(b) of Executive Order 11348 (see 5
CFR part 410) and section 303(j) of Executive Order 11348 (3 CFR, 1966-
1970 Comp., p. 639). The OPM guidelines may be found at 5 CFR part 410.
Sec. 304-9.2 May we pay an employee for expenses that are fully
reimbursed by a donor for training in a non-Government facility, or
travel expenses incident to attendance at a meeting?
No, you may not reimburse an employee for expenses that are fully
reimbursed by a donor for training in a non-Government facility, or
travel expenses incident to attendance at a meeting.
Sec. 304-9.3 May we reimburse an employee for training expenses that
are not fully paid by a donor?
Yes, you may reimburse an employee for training expenses that are
not fully paid by a donor an amount considered sufficient to cover the
balance of expenses to the extent authorized by law and regulation,
including 5 U.S.C. 4109 and 5 U.S.C. 4110.
Sec. 304-9.4 What if the employee is compensated by a donor and by us
for the same expenses?
If you reimburse an employee for expenses that are also paid by a
donor, you must establish and carry out policy in accordance with 5
U.S.C. 5514 to recover any excess amount paid to the employee.
Sec. 304-9.5 Must we reduce an employee's reimbursement when a donor
pays for items for which we are not authorized to reimburse the
employee?
No, when a donor pays for travel expenses that the Government is
not authorized to pay (such as travel expenses for an employee's
family) no reduction in payment is required.
Sec. 304-9.6 Must we obtain data from employees or donors for all
expenses received?
Yes, you must set agency policy to ensure collection of expense
data in such detail as you deem necessary to carry out this part.
Dated: February 26, 2001.
G. Martin Wagner,
Associate Administrator for Governmentwide Policy.
[FR Doc. 01-11244 Filed 5-3-01; 8:45 am]
BILLING CODE 6820-34-U