[Title 41 CFR 304]
[Code of Federal Regulations (annual edition) - July 1, 2002 Edition]
[Title 41 - PUBLIC CONTRACTS AND PROPERTY MANAGEMENT]
[Subtitle F - Federal Travel Regulation System]
[Chapter 304 - PAYMENT FROM A NON-FEDERAL SOURCE FOR TRAVEL EXPENSES]
[From the U.S. Government Printing Office]
41PUBLIC CONTRACTS AND PROPERTY MANAGEMENT42002-07-012002-07-01falsePAYMENT FROM A NON-FEDERAL SOURCE FOR TRAVEL EXPENSES304CHAPTER 304PUBLIC CONTRACTS AND PROPERTY MANAGEMENTFederal Travel Regulation System
CHAPTER 304--PAYMENT FROM A NON-FEDERAL SOURCE FOR TRAVEL EXPENSES
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Part Page
304-1 Acceptance of payment from a non-Federal
source for travel expenses.............. 235
304-2 Reductions in meeting and training allowance
payments................................ 240
[[Page 235]]
PART 304-1--ACCEPTANCE OF PAYMENT FROM A NON-FEDERAL SOURCE FOR TRAVEL EXPENSES--Table of Contents
Sec.
304-1.1 Authority.
304-1.2 General.
304-1.3 Policy.
304-1.4 Conditions for acceptance.
304-1.5 Conflict-of-interest analysis.
304-1.6 Payment guidelines.
304-1.7 Reimbursement claims for official travel expenses.
304-1.8 Limitations and penalties.
304-1.9 Reports.
Authority: 5 U.S.C. 5701-5709; 31 U.S.C. 1353; E.O. 11609, 36 FR
13747, 3 CFR, 1971-1975 Comp., p. 586.
Source: 57 FR 53289, Nov. 9, 1992, unless otherwise noted.
Sec. 304-1.1 Authority.
This part is issued under the authority of 31 U.S.C. 1353 and 5
U.S.C. 5701-5709.
Sec. 304-1.2 General.
(a) Applicability. This part applies to agency acceptance of payment
from a non-Federal source for travel, subsistence, and related expenses
with respect to the attendance of an employee in a travel status (and/or
the accompanying spouse of such employee when applicable) at any meeting
or similar function relating to the official duties of the employee.
This part does not authorize acceptance of such payments by an employee
or the accompanying spouse of an employee in his/her personal capacity
(see, however, Sec. 304-1.8(a)).
(b) Solicitation prohibited. An employee shall not solicit payment
for travel, subsistence, and related expenses from a non-Federal source.
However, after receipt of an invitation from a non-Federal source to
attend a meeting or similar function or in the course of discussions of
an event to be sponsored jointly by the agency and the non-Federal
source, the agency or employee may inform the non-Federal source of this
authority.
(c) Definitions. As used in this part, the following definitions
apply:
(1) Agency. ``Agency'' means an executive agency as defined in 5
U.S.C. 105, and includes an independent agency as well as an agency
within the Executive Office of the President.
(2) Employee. ``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.
(3) Meeting or similar function. ``Meeting or similar function''
means a conference, seminar, speaking engagement, symposium, training
course, or similar event that takes place away from the employee's
official station, and is sponsored or cosponsored by a non-Federal
source. This term 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. The term also does not include promotional vendor training
or other meetings held for the primary purpose of marketing the non-
Federal source's products or services. A meeting or similar function
need not be widely attended for purposes of this definition, and
includes but is not limited to the following:
(i) An event at which the employee will participate as a speaker or
panel participant, including an event at which the employee will give an
oral presentation focusing on his/her official duties or on the
policies, programs, or operations of the agency;
(ii) A conference, convention, seminar, symposium or similar event
the primary purpose of which is to receive training other than
promotional vendor training, or to present or exchange substantive
information concerning a subject of mutual interest to a number of
parties;
(iii) An event at which 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 regulation.
(4) Non-Federal source. ``Non-Federal source'' means any person or
entity other than the Government of the United States. The term includes
any
[[Page 236]]
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 (including the
government of the District of Columbia).
(5) Payment. ``Payment'' means funds paid by a non-Federal source
for travel, subsistence, and related expenses by check or similar
instrument to an agency, or payment in kind.
(6) Payment in kind. ``Payment in kind'' means goods, services, or
other benefits provided by a non-Federal source for travel, subsistence,
and related expenses in lieu of funds paid to an agency by check or
similar instrument for the same purpose.
(7) Travel, subsistence, and related expenses. ``Travel, subsistence
and related expenses'' means the same types of expenses payable under
chapter 301 of this subtitle or analogous provisions of chapter 100 of
Volume 6 of the Foreign Affairs Manual (6 FAM 100) \1\ or Volume 1 of
the Joint Federal Travel Regulations (JFTR).\2\ Also encompassed in this
definition are such expenses as conference or training fees (in whole or
in part) as well as benefits which cannot be paid under the applicable
travel regulation and which are provided in kind and made available by
the sponsor(s) to all attendees incident to and for use at the meeting
or similar function.
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\1\ Chapter 100 of Volume 6 of the Foreign Affairs Manual (6 FAM
100) is available from the Department of State, Publishing Services,
Washington, DC 20520-0854.
\2\ Volume 1 of the Joint Federal Travel Regulations (JFTR) is
available from the Superintendent of Documents, Government Printing
Office, Washington, DC 20402.
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Sec. 304-1.3 Policy.
(a) Acceptance of payment for employee. As provided in this part, an
agency may accept payment from a non-Federal source (or authorize an
employee to receive such payment on its behalf) with respect to
attendance of the employee at a meeting or similar function which the
employee has been authorized to attend in an official capacity on behalf
of the employing agency.
(b) Acceptance of payment for an accompanying spouse. An agency may
accept payment under this part from a non-Federal source for an
accompanying spouse when the spouse's presence at the meeting or similar
function is in the interest of the agency. A spouse's presence at an
event may be determined to be in the interest of the agency if the
spouse will:
(1) Support the mission of the agency or substantially assist the
employee in carrying out his/her official duties;
(2) Attend a ceremony at which the employee will receive an award or
honorary degree described in Sec. 304-1.2(c)(3); or
(3) Participate in substantive programs related to the agency's
programs or operations.
(c) Administration and delegation of authority. Payment acceptance
must be in accordance with internal agency procedures. Agencies shall
ensure that officials delegated authority to determine the propriety of
accepting payments under this part are at as high an administrative
level as practical to ensure adequate consideration and review of the
circumstances surrounding the offer and acceptance of the payment.
(d) Payment in excess of regulatory limitations--(1) Subsistence
expenses. When a non-Federal source makes full payment for subsistence
expenses, acceptance of payment for, and when applicable, reimbursement
by an agency to, an employee (and/or the accompanying spouse of such
employee when applicable) under this part are not subject to the maximum
per diem or actual subsistence expense rates prescribed in chapter 301
of this subtitle or by the Secretary of Defense in Civilian Personnel
Per Diem Bulletins published periodically in the Federal Register.
(2) Transportation expenses. When a non-Federal source makes full
payment for common carrier transportation expenses, acceptance of
payment for, and when applicable, reimbursement by an agency to, an
employee (and/or the accompanying spouse of such employee when
applicable) under this part are not subject to the transportation class
of service limitations applicable to premium-class other than
[[Page 237]]
first-class accommodations, as prescribed in chapter 301 of this
subtitle or the JFTR. Acceptance of payment for first-class
transportation accommodations is allowed only when the use of first-
class transportation accommodations is authorized in accordance with
Sec. 301-3.3 of this subtitle.
(e) Reduced per diem rate in partial payment situation. If the
designated agency official determines in advance of the travel that a
payment covers some but not all of the per diem costs to be incurred by
the employee (and/or the accompanying spouse when applicable), the
agency should authorize a reduced per diem rate, in accordance with
Sec. 301-7.12 of this subtitle or analogous provisions of 6 FAM 100 or
the JFTR, as applicable, that is commensurate with the known subsistence
expense levels.
[57 FR 53289, Nov. 9, 1992, as amended by FTR Amdt. 32, 58 FR 58244,
Oct. 29, 1993]
Sec. 304-1.4 Conditions for acceptance.
(a) An agency may accept payment for employee and/or spousal travel
from a non-Federal source when a general authorization to accept payment
(rather than an item-by-item authorization) is issued in advance of the
travel following a determination by the agency official designated in
accordance with Sec. 304-1.3(c) that the payment is:
(1) For travel relating to an employee's official duties (including
attendance because the employee's presence at the meeting is necessary
to permit participation in the meeting by another employee or because a
spouse's presence at the meeting or similar function is in the interest
of the agency) under an official travel authorization issued to the
employee, and to an accompanying spouse when applicable;
(2) For attendance at a meeting or similar function (as defined in
Sec. 304-1.2(c)(3) relating to the official duties of the employee; and
(3) From a non-Federal source that is not disqualified under
Sec. 304-1.5 on conflict-of-interest grounds.
(b) Payments may be accepted from multiple sources under paragraph
(a) of this section.
(c) If a meeting or similar function does not concern a subject of
mutual interest to the employee's agency and the non-Federal source,
acceptance of payment from the non-Federal source under paragraph (a) of
this section is limited to payment in kind and to the types of services
the non-Federal source generally provides; e.g., air passenger
transportation services provided by a commercial airline.
Sec. 304-1.5 Conflict-of-interest analysis.
(a) Payment from a non-Federal source shall not be accepted if the
authorized agency official determines that acceptance 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. In making this determination, an authorized
agency official shall be guided by all relevant considerations,
including, but not limited to:
(1) The identity of the non-Federal source;
(2) The purpose of the meeting or similar function;
(3) The identity of other expected participants;
(4) The nature and sensitivity of any matter pending at the agency
affecting the interests of the non-Federal source;
(5) The significance of the employee's role in any such matter; and
(6) The monetary value and character of the travel benefits offered
by the non-Federal source.
(b) The authorized 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. 304-1.6 Payment guidelines.
(a) Payment other than in kind. Payments from a non-Federal source
for an employee and/or accompanying spouse, other than payments in kind,
shall be by check or similar instrument made payable to the agency. Any
such payment received by the employee on behalf of the agency for his/
her travel and/or that of the accompanying spouse is accepted on behalf
of the agency and is to be submitted as soon
[[Page 238]]
as practicable for credit to the agency appropriation applicable to such
expenses. When the acceptance of payment has been approved in advance by
the designated agency official, the agency, or employee on behalf of the
agency for his/her travel (and/or that of the accompanying spouse, when
applicable), may, in accordance with the provisions of Sec. 304-1.3(d),
accept payment in excess of applicable limitations, provided that the
accommodation or other benefit furnished is comparable in value to that
offered to, or purchased by, other similarly situated individuals
attending the meeting or similar function. When the applicable
limitation will be exceeded, payment should be required in advance of
the travel.
(b) Payment in kind. When the acceptance of payment has been
approved in advance by the designated agency official, the employee, for
his/her travel (and/or that of the accompanying spouse, when
applicable), may, in accordance with the provisions of Sec. 304-1.3(d),
accept payment in kind in excess of applicable limitations, provided
that the accommodation or other benefit furnished is comparable in value
to that offered to, or purchased by, other similarly situated
individuals attending the meeting or similar function.
Sec. 304-1.7 Reimbursement claims for official travel expenses.
(a) The employee (and/or accompanying spouse when applicable) shall
submit to the employing agency on authorized reimbursement forms all
travel expense reimbursement claims, and shall itemize all expenses
incurred which exceed applicable limitations (see Sec. 304-1.3(d)).
Generally, the employee, and/or accompanying spouse when applicable,
shall be reimbursed an amount not to exceed applicable limitations.
However, when the non-Federal source, in accordance with the provisions
of Sec. 304-1.3(d), makes full payment in excess of applicable
limitations for reimbursable subsistence expenses or common carrier
transportation expenses incurred, reimbursement shall be the amount of
the payment from the non-Federal source. Reimbursement for expenses in
excess of regulatory limitations shall not in any case exceed the amount
of the expenses incurred.
(b) The agency may reimburse the employee (and/or accompanying
spouse of such employee when applicable) for only the types of expenses
defined in Secs. 301-7.1 (b)(6) and (c) of this subtitle or in analogous
provisions of 6 FAM 100 or the JFTR, as applicable, for per diem
allowances, transportation expenses, or other miscellaneous travel
expenses.
(c) If an accepted payment covers only a portion of one or more
types of the expenses incurred (e.g., $50.00 per night for lodging in a
locality with an $85.00 per night maximum lodging allowance), the agency
shall reimburse the employee (and/or accompanying spouse when
applicable) only the amount to which he/she otherwise would be entitled
under applicable regulation (chapter 301 of this subtitle, 6 FAM 100, or
the JFTR). (See Sec. 304-1.3(e) regarding reduced per diem rate
situations.)
(d) If an accepted payment covers in full one or more types of
expenses described in paragraph (b) of this section (e.g., payment for
lodging accommodations) but does not cover all of the travel expenses
incurred, the agency shall reimburse the employee (and/or accompanying
spouse of such employee when applicable) for those expenses that are not
covered by the payment, not to exceed applicable limitations established
in chapter 301 of this subtitle or in analogous provisions of 6 FAM 100
or the JFTR.
Sec. 304-1.8 Limitations and penalties.
(a) This part is the only authority under which an agency may accept
payment from a non-Federal source, or authorize an employee to accept
such payment on behalf of the agency, in connection with the attendance
of its employee (and/or the accompanying spouse of such employee when
applicable) at a meeting or similar function. An agency may not accept,
under an agency gift statute or other similar authority, payment for
travel, subsistence, and related expenses incurred by an employee and/or
accompanying spouse to attend a meeting or similar function. However,
nothing in this part prohibits an agency or employee from accepting
payment as follows:
[[Page 239]]
(1) When authorized under 5 U.S.C. 4111 or 5 U.S.C. 7342;
(2) 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 under 5 U.S.C. 7324(d);
(3) When authorized pursuant to an agency gift statute or similar
statutory authority and payment is for attendance at or participation in
an event (other than a meeting or similar function) relating to the
official duties of the employee; or
(4) When consistent with the applicable standards of ethical conduct
regulation concerning personal acceptance of gifts.
(b) An employee who accepts any payment in violation of this part is
subject to the following:
(1) The employee may be required, in addition to any penalty
provided by law and applicable regulations, to repay for deposit to the
general fund of the Treasury, an amount equal to the amount of the
payment so accepted; and
(2) When repayment is required under paragraph (b)(1) of this
section, the employee shall not be entitled to any reimbursement from
the Government for such expenses.
Sec. 304-1.9 Reports.
(a) Agency reports. Each agency shall submit semiannual reports of
payments (see definition of payment in Sec. 304-1.2(c)) which total more
than $250 per event, and which have been accepted under this part with
respect to the attendance at, or participation in, a meeting or similar
function by an agency employee, and/or accompanying spouse of such
employee when applicable. Negative reports are required.
(1) Submission. The head of each agency (or his/her designee) shall
submit the semiannual report to the Director of the Office of Government
Ethics (OGE), 1201 New York Avenue, N.W., Suite 500, Washington, DC
20005-3917. The report shall be based on when payment is received rather
than when travel is performed, and shall be submitted as follows:
(i) Not later than May 31 of each year with respect to payments
received in the preceding period beginning on October 1 and ending on
March 31; and
(ii) Not later than November 30 of each year with respect to
payments received in the preceding period beginning on April 1 and
ending on September 30.
(2) Information required. Except as provided in paragraph (a)(6) of
this section, the report shall specify the following information in the
order presented:
(i) The name of the agency submitting the report;
(ii) Each event (meeting or similar function) for which an agency
accepts payment under this part of more than $250 for an employee and
spouse together, or for either the employee or the spouse separately,
including:
(A) The sponsor(s) of the event;
(B) The location of the event;
(C) The date(s) of the event; and
(D) The nature of the event;
(iii) The name of each employee for whom such payment was accepted
in connection with the event, including:
(A) The employee's Government position; and
(B) The employee's travel date(s) in connection with attendance at
the event;
(iv) The name of the accompanying spouse, if applicable, for whom
payment was accepted in connection with the event, including:
(A) The name of the employee accompanied by the spouse;
(B) The employee's Government position; and
(C) The spouse's travel date(s) in connection with attendance at the
event;
(v) The identity of any non-Federal source from which payment was
accepted in connection with the event;
(vi) An itemization of the benefits accepted by the agency in
connection with attendance at the event, including for each benefit:
(A) A description of the benefit, provided that benefits accepted as
a part of a conference or training fee need not be reported separately;
(B) The method of payment (payment in kind or by check or similar
instrument);
(C) The individual for whom payment was accepted (employee or
spouse);
[[Page 240]]
(D) The non-Federal source that provided the benefit; and
(E) The amount of the payment; and
(vii) The total value of the payments accepted for the employee and/
or spouse in connection with the event identified as follows:
(A) The total amount of payments provided by check or similar
instrument; and
(B) The total value of payments provided in kind.
(3) Valuation of payments in kind. In the case of conference,
training, or similar fees waived or paid by the non-Federal source,
report the amount charged other participants. In the case of
transportation or lodging, report the cost to the non-Federal source, or
indicate the rate that would have been charged a similar non-Federal
source for a similar benefit at the time the benefit was provided. In
the case of meals or other benefits that are not provided incident to
transportation, lodging, or a conference, training, or similar fee,
report the cost to the non-Federal source or provide a reasonable
approximation of the market value of the benefit.
(4) Valuation of noncommercial benefits furnished by a non-Federal
source--(i) Transportation. In the case of transportation on a
chartered, corporate or other private aircraft, report the first-class
rate that would have been charged by an air common carrier at the time
the transportation was provided or, if common carrier transportation was
unavailable between the two locations, report the cost of chartering a
similar aircraft using a commercially available service.
(ii) Lodging. In the case of lodging for which no commercial rate is
available, report the maximum lodging rate prescribed in chapter 301 of
this subtitle; section 925, a per diem supplement to the Standardized
Regulations (Government Civilians, Foreign Areas); or Civilian Personnel
Per Diem Bulletins issued by the Secretary of Defense, as applicable.
(5) Public availability of reports. Except as provided in paragraph
(a)(6) of this section, the Director of OGE shall make any report filed
pursuant to this section available for public inspection and copying
within 30 days after the applicable due date or within 30 days after the
date OGE actually receives the report, whichever is later.
(6) Exemption. To the extent that information is protected from
disclosure by statute, an agency is not required to furnish information
otherwise required to be reported. Information that may be disclosed
shall be submitted to OGE and made available to the public in accordance
with paragraph (a)(5) of this section. Information that is not disclosed
because it is protected from disclosure by statute shall be made
available by the reporting agency for review by properly cleared OGE
personnel.
(b) Employee reports. Payments properly accepted under this part are
accepted by the agency. Receipt of a benefit by an employee and/or the
accompanying spouse, when applicable, on behalf of the agency under the
authority of this part is not required to be reported as a gift on any
confidential or public financial disclosure report that the employee is
required to file pursuant to law or OGE regulation. Acceptance of
payment by an employee for himself/herself and/or the accompanying
spouse, when applicable, under authorities other than this part may be
subject to other reporting requirements such as those required by the
Ethics in Government Act of 1978, as amended, including reporting the
payment on the employee's financial disclosure report.
PART 304-2--REDUCTIONS IN MEETING AND TRAINING ALLOWANCE PAYMENTS--Table of Contents
Sec.
304-2.1 Authority.
304-2.2 Applicability.
304-2.3 Conditions for approval of contributions or payments.
304-2.4 Agency responsibilities.
Authority: 5 U.S.C. 4111(b); E.O. 11609, 36 FR 13747, 3 CFR, 1971-
1975 Comp., p. 586.
Source: 56 FR 9881, Mar. 8, 1991, unless otherwise noted.
Sec. 304-2.1 Authority.
This part is issued under the authority of 5 U.S.C. 4111(b).
[[Page 241]]
Sec. 304-2.2 Applicability.
Subject to the exceptions in 5 U.S.C. 4102, this part applies to
civilian officers and employees of executive agencies, including the
Department of Defense; independent establishments, as defined in 5
U.S.C. 104; Government corporations, subject to 31 U.S.C. 9101 et seq.;
the Library of Congress; the Government Printing Office; the Government
of the District of Columbia; and commissioned officers of the National
Oceanic and Atmospheric Administration. All such officers and employees
and all such agencies, independent establishments, and departments are
referred to in this part as ``employees'' or ``agencies,'' as
appropriate.
[56 FR 9881, Mar. 8, 1991, as amended by FTR Amdt. 26, 57 FR 28637, June
26, 1992]
Sec. 304-2.3 Conditions for approval of contributions or payments.
Section 303(j) of Executive Order 11348 of April 20, 1967, and the
regulations issued by the Office of Personnel Management under section
401(b) of that Order, prescribe the conditions under which agency heads
may approve the acceptance by employees of contributions and awards
incident to training and payments incident to attendance at meetings,
under 5 U.S.C. 4111(a), from the organizations described therein. These
organizations are referred to in this part as ``donors.''
[56 FR 9881, Mar. 8, 1991, as amended by FTR Amdt. 26, 57 FR 28637, June
26, 1992]
Sec. 304-2.4 Agency responsibilities.
Agency heads shall provide adequate safeguards to ensure that the
following provisions of this section are carried out:
(a) Where an approved payment by a donor fully covers expenses
incident to training in a non-Government facility, or travel,
subsistence, or other expenses incident to attendance at a meeting, the
agency shall not pay for such expenses or shall recover payments
previously made in the manner described in paragraph (c) of this
section.
(b) If an approved payment by a donor does not fully cover expenses
described in paragraph (a) of this section, the agency may pay an amount
considered sufficient to cover the balance of the expenses to the extent
authorized by law and regulation, including 5 U.S.C. 4109 and 4110. If
an amount in excess of such balance has been previously paid by the
agency, such amount shall be recovered from the employee in the manner
described in paragraph (c) of this section.
(c) Recoveries of payments, as provided in paragraph (b) of this
section, shall be made in the manner prescribed by regulations of the
agency concerned and shall be issued according to 5 U.S.C. 5514.
(d) No reduction in payment by an agency is required where an
approved contribution or award to an employee covers types of expenses
which the agency is not authorized to pay. For example, where an agency
authorizes travel expenses of an employee, including per diem and
transportation expenses of his/her immediate family and household goods
and personal effects to a training location, no reduction in payment by
the agency is required if an approved contribution or award covers
subsistence expenses of the family en route and expenses incurred by the
employee in establishing himself/herself and the family at the training
location.
(e) Expense data shall be obtained from employees or donors in such
detail as the agency head deems necessary to carry out the provisions of
this part.
[56 FR 9881, Mar. 8, 1991, as amended by FTR Amdt. 26, 57 FR 28637, June
26, 1992]