[Federal Register: March 17, 2003 (Volume 68, Number 51)]
[Rules and Regulations]
[Page 12602-12610]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr17mr03-12]
=======================================================================
-----------------------------------------------------------------------
GENERAL SERVICES ADMINISTRATION
41 CFR Part 300-2 and Chapter 304
[FTR Amendment 2003-02]
RIN 3090-AE19
Federal Travel Regulation; Payment of Travel Expenses From a Non-
Federal Source
AGENCY: Office of Governmentwide Policy, Travel Management Policy
Division, GSA.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This final rule amends the Federal Travel Regulation (FTR),
Chapter 304 for payment of travel expenses from a non-Federal source.
This final rule permits after-the-fact agency acceptance of some
payments from a non-Federal source for travel expenses to a meeting.
DATES: This final rule is effective June 16, 2003, and applies to
payment of expenses from a non-Federal source on or after June 16,
2003.
FOR FURTHER INFORMATION CONTACT: Umeki Thorne, Program Analyst,
telephone (202) 208-7636 for clarification of content. For status or
publication schedules, contact the Regulatory and Federal Assistance
Publications Division, Room 4035 GS Building, Washington, DC 20405, at
(202) 208-7312.
SUPPLEMENTARY INFORMATION
A. Background
This final rule revises Interim Rule 3 published in the Federal
Register at 56 FR 9878, March 8, 1991, and Interim Rule 4 published at
57 FR 53283, November 9, 1992.
This final rule sets forth allowable expenses authorized under 31
U.S.C. 1353 and 5 U.S.C. 5701-5709 to allow agencies the acceptance of
payment from a non-Federal source for travel expenses and under the
authority of 5 U.S.C. 4111(b) to accept payment for the reduction in
meetings and training allowances. A proposed rule with request for
comment was published in the Federal Register at 66 FR 22491, May 4,
2001. During the 60-day comment period, GSA received comments from
eight Federal agencies. GSA carefully reviewed each comment. Changes
based on comments received have been grouped by sections of the
proposed rule and subject area and are discussed in the following
general analysis.
Section 304-2.1 What Definitions Apply to This Chapter?
Section 304-2.1 sets the definitions of terms for this chapter. One
Federal agency commented that the word ``definition'' should be
replaced with the word ``term''. GSA is not persuaded that this change
is needed. Therefore, the word ``definition'' remains unchanged. One
Federal agency commented that under the definition of ``meeting(s) or
similar functions'' there is no distinction between events essential to
an agency's mission and those merely in furtherance of that mission's
needs. GSA has considered this comment and has added a parenthetical
within this definition to adequately describe a distinction that
remains fundamental to the interpretation of 31 U.S.C. 1353. Under the
definition of ``meeting(s) or similar functions'', this term is not
intended to encompass long-term temporary duty or training travel.
[[Page 12603]]
Section 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?
Section 304-3.8 exempts air transportation paid by a non-Federal
source from the requirements of the Fly America Act (Act). One Federal
agency commented that this section implies that an employee will have a
working knowledge of the Act's requirements and that the explanation of
the Act is confusing. GSA appreciates this comment. Although Sec. 304-
3.8 exempts air transportation paid by a non-Federal source from the
requirements of the Fly America Act, additional language has been
inserted within the answer of this section to address where an employee
may find the regulations implementing the Fly America Act.
Section 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?
Section 304-3.11 generally limits payment of travel expenses by a
non-Federal source to the maximum subsistence allowances prescribed in
the Federal Travel Regulation, or other applicable governmentwide
travel entitlement for military and foreign service personnel. One
Federal agency recommended that this policy also include conference
lodging as a form of subsistence allowance. GSA agrees with this
comment and has modified Sec. 304-3.11 to include conference lodging
as a form of maximum subsistence allowance for travel expenses paid by
a non-Federal source.
Section 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?
Section 304-3.13 of the proposed rule permits after-the-fact agency
acceptance of payment from a non-Federal source for travel expenses to
a meeting under certain circumstances.
Four comments were received from Federal agencies regarding after-
the-fact authorization for acceptance of travel expenses. Comments from
two Federal agencies are in approval of and appreciate this policy
change. One Federal agency questions the reason for this policy change.
One Federal agency opposes this policy change and recommended that this
section be removed. GSA carefully reviewed these comments. The
inclusion of this policy change will allow Federal employees the
flexibility to accept payment from a non-Federal source only when the
limited conditions under Sec. 304-3.13 are met. Therefore, this policy
change remains as published in the proposed rule.
In addition, one Federal agency commented that Sec. Sec. 304-
3.13(b)(3) and (4) should be revised and combined to specifically
inform employees that they are subject to penalties specified in Sec.
304-3.18 if they are not in compliance with the requirements of
Sec. Sec. 304-3.13(a) and 304-3.13(b). GSA considered this comment,
and for better clarification has replaced Sec. 304-3.13(b)(4) under a
separate section as Sec. 304-3.13(c).
Section 304-3.14 May a Non-Federal Source Pay for My Spouse to
Accompany Me to a Meeting?
Section 304-3.14 establishes the conditions under which an agency
may pay for a spouse to accompany an employee to a meeting. One Federal
agency commented that this section omitted a current condition that
determined when a spouse's attendance at a meeting may be in the
interest of the agency. GSA inadvertently omitted this requirement and
has thereby revised Sec. 304-3.14 to include this requirement.
Section 304-3.19 Are There Other Situations When I May Accept Payment
From a Non-Federal Source for My Travel Expenses and Sec. 304-4.3
Under What Other Authority May We Accept Payment For Travel Expenses
From a Non-Federal Source?
This part 304 includes new language in Sec. Sec. sections 304-3.19
and 304-4.3 to clarify the distinction between the authority for an
agency to accept payment for travel and related expenses to a meeting
as defined in this part versus the authority for an employee to accept
free attendance at a widely attended gathering under 5 CFR
2635.204(g)(2). We made this change in consultation with the Office of
Government Ethics because of concerns that the widely attended
gathering authority might be used to avoid the reporting requirements
of this part 304. For travel to a meeting, part 304 is the only
authority agencies may use to accept payment from a non-Federal source.
There may be cases where the widely attended gathering authority could
be used while an employee is on official travel. For example, when an
agency accepts payment from a non-Federal source or pays for an
employee's travel to attend a meeting, any event for which the widely
attended gathering authority is used must be separate from the meeting.
This is true regardless of whether the agency uses part 304 authority
to accept travel expenses or the agency pays the travel expenses
itself.
In addition to the distinction as to whether the employee is
traveling to a meeting, or is attending a separate event, part 304 and
the widely attended gathering authorities also differ in that use of
the part 304 acceptance authority is appropriate when the employee is
on official travel and performing an official function. By contrast,
the rules governing widely attended gatherings state, ``For employees
subject to a leave system, attendance at the event shall be on the
employee's own time, or if authorized by the employee's agency, on
excused absence pursuant to applicable guidelines for granting such
absence, or otherwise without charge to the employee's leave account.''
(5 CFR 2635.204(g)(2)). Another distinction to note is that travel
expenses may not be accepted under the widely attended gatherings
exception. (5 CFR 2635.204(g)(4)).
Section 304-6.4 What Form Must We Use To Report Payments Received by
the Agency From Non-Federal Sources?
Section 304-6.4 requires an agency head or designee to submit
Standard Form (SF) 326, Semiannual Reports of Payments Accepted from a
Non-Federal source. One Federal agency commented that the current
policy does not mandate the requirement of this form and that the
Office of Government Ethics (OGE) currently accepts an internal agency
form that includes all of the information required by Sec. 304-6.4.
GSA appreciates this comment. It is not GSA's intent to make a
significant substantive policy change through the required use of SF
326. Section 304-6.4 has been modified to allow agencies the ability to
request an exemption from the use of SF 326 through OGE.
Section 304-6.6 How Do We Determine the Value of Payments in Kind That
Are To Be Reported on SF 326?
Section 304-6.6 tells agencies how to determine the value of
payments in kind for reporting on SF 326. One Federal agency commented
that Sec. 304-6.6(e) should include a statement that where a
commercial rate is not available all employees must report the maximum
lodging rate for the per diem locality where the meeting is held as
established by GSA for CONUS, Department of Defense for OCONUS, and
Department of State for foreign locations. GSA considered this comment
as appropriate and has amended Sec. 304-6.6(e) accordingly.
[[Page 12604]]
Section 304-9.4 What If the Employee Is Compensated by a Donor and by
Us for the Same Expenses?
One Federal agency commented that in the answer to this question
employees should be informed of The Federal Claims Collection Standards
which provides detailed guidance regarding Governmentwide debt
collection policies and procedures. GSA has considered this comment and
has modified Sec. 304-9.4 accordingly.
This final 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(s) or similar functions.'' This change
is indicated in the definition of ``meeting(s) or similar functions''
and no substantive change is intended by this change.
B. Significant Changes
The final rule permits after-the-fact agency acceptance of some
payments from a non-Federal source for travel expenses to a meeting
under the provisions prescribed in Sec. 304-3.13.
C. Executive Order 12866
GSA has determined that this final rule is not a significant
regulatory action for the purposes of Executive Order 12866 of
September 30, 1993.
D. Regulatory Flexibility Act
This final 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 final 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 Part 300-2 and Chapter 304
Government employees, Travel and transportation expenses.
Dated: December 16, 2002.
Stephen A. Perry,
Administrator of General Services.
For the reasons set forth in the preamble, GSA amends 41 CFR part
300-2 and chapter 304 as follows:
CHAPTER 300--GENERAL
PART 300-2--HOW TO USE THE FTR
1. The authority citation for 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. 121(c); 49 U.S.C. 40118;
E.O. 11609, 1971-1975 Comp. p.586.
2. Amend Sec. 300-2.22 by revising the table to read as follows:
Sec. 300-2.22 Who is subject to the FTR?
* * * * *
----------------------------------------------------------------------------------------------------------------
The employee
For provisions contained And the agency provisions are contained in
in
----------------------------------------------------------------------------------------------------------------
Chapter 301........................ Subchapters A, B, and Subchapter D.
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.
----------------------------------------------------------------------------------------------------------------
3. Revise Chapter 304 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: 31 U.S.C. 1353 and 5 U.S.C. 5707.
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. 304-3.13 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 executive
agency as defined in 5 U.S.C. 105, including a
[[Page 12605]]
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(s) or similar functions (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 (i.e., a function that is essential to an agency's mission)
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 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,
international or multinational organization (irrespective of whether an
agency holds membership in the organization or association), or
foreign, State or local government (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, 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, etc). 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 a 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.
www.dtic.mil/perdiem.
PART 304-3--EMPLOYEE RESPONSIBILITY
Subpart A--General
Sec.
304-3.1 To whom do the pronouns ``I'', ``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 contacted 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, actual expense or conference lodging) 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 Must I provide my agency with information about any payment
I receive on its behalf?
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--Reports
304-3.17 If I am required to file a confidential or public financial
disclosure report, must I report travel payments I receive from a
non-Federal source on that report?
Subpart D--Penalties
304-3.18 What happens if I accept a payment from a non-Federal
source that is in violation of this part?
Subpart E--Relation to Other Authorities
304-3.19 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 ``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. 304-3.2 What is the purpose of this part?
The purpose of this part is to establish Governmentwide policy and
guidance
[[Page 12606]]
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 of this part, 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 your agency specifically
authorizes such acceptance under the requirements of this part. Except
as provided in Sec. 304-3.13 of this part, 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 other than cash from a non-
Federal source for all of your official travel expenses to attend a
meeting of mutual interest, 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 be able to accept payments under
other authorities (see Sec. 304-3.19).
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 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 Sec. Sec.
301-10.131 through 301-10.143 of this title for the regulations
implementing the Fly America Act.)
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 in accordance
with Sec. 304-5.5 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 no. You may not use first-class common carrier
accommodations unless you meet one of the criteria for first class
travel contained in Sec. Sec. 301-10.123, 301-10.162 and 301-10.183 of
this title and are authorized to do so by your agency in accordance
with Sec. 304-5.6 of this chapter.
Sec. 304-3.11 Am I limited to the maximum subsistence allowances (per
diem, actual expense, or conference lodging) prescribed in applicable
travel regulations for travel expenses paid by a non-Federal source?
Generally yes. Subsistence expenses are usually limited to the
maximum subsistence allowances (per diem, actual expenses or conference
lodging) 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, acceptance of
payment for, and when applicable, reimbursement by an agency to an
employee and the accompanying spouse of such employee are not subject
to the maximum per diem or actual subsistence expense rates when
traveling in CONUS or in non-foreign areas under the following
conditions:
(a) The non-Federal source pays the full amount of the subsistence
expense, as authorized by your agency; and
(b) The subsistence expense paid by the non-Federal source is
comparable in value to that offered to or purchased by other meeting
attendees; and
(c) Your agency has approved acceptance of payment from the non-
Federal source prior to your travel; if your agency has not approved
any acceptance from the non-Federal source, you may not exceed the
maximum allowances. See Sec. 304-3.13.
Note: 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
a non-Federal source prior to your travel, then--
(1) You may accept, on behalf of your agency, payment from a non-
Federal source as authorized in this section--
(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 (e.g., 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);
(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,
[[Page 12607]]
not to exceed the maximum allowance 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.
(c) If you accept payment from a non-Federal source for travel
expenses in violation of paragraph (a) or paragraph (b) of this
section, you may be subject to the penalties specified in Sec. 304-
3.18.
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;
(b) Attend a ceremony at which you will receive an award or
honorary degree; or
(c) Participate in substantive programs related to the agency's
programs or operations.
Sec. 304-3.15 Must I provide my agency with information about any
payment I receive on its behalf?
Yes. Your agency must submit to the U.S. Office of Government
Ethics (OGE) a semiannual report (SF 326) of all payments it accepts
under this part. You must be prepared to give your agency the
information it needs in order to submit its report.
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 in kind 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 under Sec. Sec. 304-5.4, 304-5.5 or 304-5.6 of this
chapter.
Subpart C--Reports
Sec. 304-3.17 If I am required to file a confidential or public
financial disclosure report, must I report travel payments I receive
from a non-Federal source on that report?
Generally, no. As long as payments you receive from a non-Federal
source are made to or on behalf of your agency, you are not required to
report them as gifts 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 2634). However, you may
be required to report any such payments that you and/or your
accompanying spouse receive on your own behalf, rather than on the
agency's behalf, pursuant to other reporting requirements (e.g., those
required by the Ethics in Government Act of 1978).
Note: The confidential financial disclosure report is OGE Form
450 and the public financial disclosure report is SF 278.
Subpart D--Penalties
Sec. 304-3.18 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 E--Relation to Other Authorities
Sec. 304-3.19 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 travel taking place entirely outside
the United States which is paid by a foreign government, where
acceptance is permitted by your agency and any regulations which may be
prescribed by your agency.
(c) Under 5 U.S.C. 7324(b) when payment is for travel to be
performed for a partisan rather than an official purpose in accordance
with 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(e), which authorizes executive branch employees to
accept gifts based on outside business employment relationships. (Note:
You may also be able to accept attendance at (but not other travel
expenses to) a widely attended gathering under 5 CFR 2635.204(g)(2)
when the gathering is not a meeting, as defined in this part, and you
are not attending in your official capacity.)
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 prescribes how such payments may be accepted.
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 to events other than
meetings from a non-Federal source pursuant to an agency gift statute
or similar statutory authority. However, this part 304 is the only
authority you may use to accept (or authorize your employee to accept
on your behalf) payment for travel expenses from a non-Federal source
to attend a meeting. For example, you could not pay the travel expenses
[[Page 12608]]
for an employee to attend a meeting and then authorize the employee to
use the widely attended gathering exception in 5 CFR 2635.204(g)(2) to
accept free attendance at that same meeting. You would only be able to
accept payment for the employee's attendance at that meeting under this
part 304.
Note: Employees may also be able to accept payment for travel
expenses from non-Federal sources in their individual capacities
under the authorities referenced in Sec. 304-3.19.
PART 304-5--AGENCY RESPONSIBILITIES
Sec.
304-5.1 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?
304-5.2 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 May we authorize an employee to exceed the maximum
subsistence allowances (per diem, actual expense, or conference
lodging) prescribed in applicable travel regulations where we have
authorized acceptance of payment from a non-Federal source for such
allowances?
304-5.5 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?
304-5.6 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?
304-5.7 May we authorize acceptance of payment from more than one
non-Federal source for a single trip?
Authority: 5 U.S.C. 5707; 31 U.S.C. 1353.
Sec. 304-5.1 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. 304-5.2 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) The approving official must not authorize acceptance of the
payment if he/she determines that acceptance of the payment under the
circumstances would 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 May we authorize an employee to exceed the maximum
subsistence allowances (per diem, actual expense, or conference
lodging) 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, actual expense, or
conference lodging) 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. 304-5.5 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. 304-5.6 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 Sec. Sec. 301-10.123, 301-10.162 and
301-10.183 of this title; 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 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.
PART 304-6--PAYMENT GUIDELINES
Subpart A--General
Sec.
304-6.1 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?
[[Page 12609]]
304-6.5 What guidelines must we follow when using the Standard Form
(SF) 326?
Subpart C--Valuation
304-6.6 How do we determine the value of payments in kind that are
to be reported on Standard Form (SF) 326?
304-6.7 Must we report on the Standard Form (SF) 326 any information
that is protected from disclosure by statute?
304-6.8 Will the reports be made available for public inspection?
304-6.9 Does acceptance by OGE of the Standard Form (SF) 326
constitute a determination by OGE that the data submitted is
adequate or a concurrence by OGE in the agency's conflict of
interest analysis?
Authority: 5 U.S.C. 5707; 31 U.S.C. 1353.
Subpart A--General
Sec. 304-6.1 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, Chapter 100, or the Joint Travel Regulations (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--
(a) You may require the employee, 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) The employee 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 (SF) 326,
Semiannual Report of Payments Accepted From a Non-Federal Source (fully
completed) 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.
If you wish to use a form other than SF 326 to report such payments,
you may seek permission to do so by contacting the Office of Government
Ethics at United States Office of Government Ethics, 1201 New York
Avenue, NW., Suite 500, Washington, DC 20005-3917.
Sec. 304-6.5 What guidelines must we follow when using the Standard
Form (SF) 326?
When completing the SF 326--
(a) You must fully complete each block on SF 326 without exception
(including payments accepted for an accompanying spouse).
(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 Standard Form (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, Department of
Defense for non-foreign areas and the Secretary of State for foreign
areas. These rates are available on the Internet at the GSA Web site
http://www.gsa.gov/perdiem, with links to the non-foreign and foreign
http://www.gsa.gov/perdiem, with links to the non-foreign and foreign
area rates.
Sec. 304-6.7 Must we report on the Standard Form (SF) 326 any
information that is protected from disclosure by statute?
No. Information that is protected by statute from disclosure to the
public should not be reported on the SF 326. However, if you omit
otherwise reportable information from the SF 326 because the
information may not be disclosed, you must notify OGE unless otherwise
prohibited by law and, if requested by the Director of OGE, make the
information available for inspection by an OGE employee with the
requisite clearance.
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.
(b) Within 30 days after the date OGE actually receives the report.
Sec. 304-6.9 Does acceptance by OGE of the Standard Form (SF) 326
constitute a determination by OGE that the data submitted is adequate
or a concurrence by OGE in the agency's conflict of interest analysis?
No. OGE is responsible for making the information provided by the
agencies available to the public. It is each agency's responsibility to
file the accurate and complete reports and to make the appropriate
conflict of interest analysis.
[[Page 12610]]
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.
(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.
Sec. 304-8.1 For the purpose of this subchapter, who is a donor?
A donor, for the purpose of this subchapter, is a 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 To whom do the pronouns ``I'', ``you'', and their variants
refer throughout this part?
304-9.2 May we allow an employee to accept contributions and awards
pertaining to training and payments incident to attendance at
meetings under this subchapter?
304-9.3 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?
304-9.4 May we reimburse an employee for training expenses that are
not fully paid by a donor?
304-9.5 What if the employee is compensated by a donor and by us for
the same expenses?
304-9.6 Must we reduce an employee's reimbursement when a donor pays
for items for which we are not authorized to reimburse the employee?
304-9.7 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 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 agency.
Sec. 304-9.2 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 410.501
through 410.503.
Sec. 304-9.3 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. 304-9.4 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. 304-9.5 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 and the Federal Claims Collection Standards (31 CFR parts
900-904) to recover any excess amount paid to the employee.
Sec. 304-9.6 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 reimbursement to the employee is required.
Sec. 304-9.7 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.
[FR Doc. 03-6126 Filed 3-14-03; 8:45 am]
BILLING CODE 6820-24-P