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DI-2000 Guidance for USGS Employees, Volunteers, and Student Contractors

By Office of Science Quality and Integrity

This DI-2000 guidance contains the following subjects:

An introduction to the DI-2000:

Various legal authorities (i.e., statutes) enable USGS to accept gifts of official travel or expenses from non-Federal sources.  A general overview of the various legal authorities used to accept travel expenses from non-Federal sources can be found here.   

  • Solicitations of travel expenses from a non-Federal source is absolutely prohibited.  While you may not solicit payment for travel expenses, you may inform the non-Federal source that USGS has the authority to accept travel expenses (by reimbursement or provision “in-kind”).   

The most commonly used legal authority is 31 U.S. Code Section 1353.  Guidance from the General Services Administration (GSA) is that agencies should utilize 31 U.S. Code Section 1353 whenever possible and before considering other legal authorities. 

Title 31 U.S. Code Section 1353 is legal authority that permits:

  • USGS to accept
  • travel, subsistence, and related expenses
  • from a non-Federal source
  • for official travel, away from the traveler’s duty station and residence,
  • to attend a meeting which can be a conference, seminar, workshop, symposium, speaking engagement, training course or similar event.   

The regulations implementing 31 U.S. Code Section 1353 are at 41 C.F.R. Section 304.  Traveler responsibilities are explained at 41 C.F.R. Section 304-3.

Acceptance of travel expenses using this legal authority (31 U.S. Code Section 1353) is documented with a DI-2000 form. 

With an approved DI-2000, non-Federal entities can pay for travel expenses either by a reimbursement check made payable to USGS or non-Federal entities can provide travel expenses “in-kind” directly to the traveler. 

  • Only USGS may accept reimbursement for travel expenses.
    • Travelers may not accept a check payable to them or “sign over” a check to USGS. 
    • Travelers may never accept cash or like forms of cash (e.g., checks, Bitcoin, wire transfers, etc.) from non-Federal entities for travel expenses.  Accepting cash for travel expenses from a non-Federal source has a highly questionable appearance and must be avoided at all costs.
  • Travelers may accept “in-kind” travel expenses that are provided to them directly (such as an airline ticket, a hotel room, or meals).  “In-kind” means that the non-Federal entity provides the airfare, lodging, registration fee, or other travel expense and pays the vendor(s) directly. 

You MUST submit a DI-2000 regardless of whether the non-Federal entity pays for the travel expenses by check to USGS or “in-kind.” 

You MUST submit a DI-2000 if you are speaking at a conference (or similar event) and the registration fee has been waived for you AND:

  • you plan to attend any portion of the conference (or similar event) other than when you are speaking; OR
  • you plan to accept “in-kind” items that are included in the registration fee for all meeting attendees (e.g., meals, informational materials, etc.); OR
  • you plan to accept other travel expense(s) from the same non-Federal entity during the same trip. 

Travelers must be on a USGS Travel Authorization for the USGS to accept travel expenses under 31 U.S. Code Section 1353.    

If you are on official travel within the United States, submit a DI-2000 in SharePoint Webforms at least five business days before your trip to request Ethics Office approval to accept travel expenses from a non-Federal source.

If you are traveling internationally, on your DI-1175 in SharePoint Webforms you must select that you will be accepting funds from a non-Federal entity, which generates a drop down selection of legal authorities to choose from; when you select 31 U.S. Code Section 1353 as the legal authority to accept travel funds from the non-Federal source, a DI-2000 is automatically generated within the DI-1175. 

If you are traveling to Canada, you must file a Canada Travel Request form (in the Other Forms section of SharePoint Webforms) to obtain authorization to travel to Canada on official business and fill out a hardcopy DI-2000 (with the words “CANADA TRAVEL” printed on the hardcopy DI-2000).  After completing the form (and ensuring that your Supervisor has signed/dated the form), scan it to EthicsOffice@usgs.gov to request approval at least five business days before your trip.

DI-2000 FAQs may be found here. 

 

Important definitions:

Meeting or similar function.  A conference, seminar, workshop, symposium, speaking engagement, training course, or similar event that takes place away from the traveler’s duty station.  This term does not include (1) events to carry out USGS’s statutory and regulatory functions (such as investigations, inspections, and audits) and (2) promotional vendor training or other meetings held for the primary purpose of marketing the non-Federal source’s products or services. 

Non-Federal source.  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, state, local, or foreign government, or international or multinational organization.

Payment in-kind.  Goods or services provided directly to the traveler in lieu of funds paid to USGS by check.

Travel, subsistence, and related expenses.  Transportation, meals, lodging, and other items related either to travel tickets or paid bills for such travel and related expenses.  The term also includes expenses such as conference or workshop registration fees and includes other benefits which cannot be paid under the applicable standard travel regulations, which are provided in-kind and made available by the sponsor to all attendees incident to and for use at the meeting or similar function.

 

When you should NOT submit a DI-2000:

  1. When the purpose of the trip is NOT to attend a meeting, seminar, symposium, workshop or similar event.  For example, if the purpose of the trip is fieldwork then you would not submit a DI-2000.  Information about the various legal authorities used to accept travel expenses from non-Federal sources can be found here.   
  2. If you do not have an approved USGS Travel Authorization.  To be eligible for a USGS travel authorization, an event or activity must be more than 50 miles away from both your duty station and residence.
  3. If you want approval to accept free attendance at a local Widely Attended Gathering (WAG), you must submit a DI-1958.  More information about WAGs can be found on the Office of Government Ethics (OGE) website here and in the Standards of Ethical Conduct for Employees of the Executive Branch, 5 C.F.R. Section 2635.204(g).
  4. If you are not in travel status and wish to accept free or reduced registration fees, mileage, parking, or tolls paid for by a non-Federal entity.  In this situation, you need to fill out a Contribution Information and Approval Form 9-3089.  More information about contributions to the USGS and the 9-3089 can be found on our website here.
  5. If you will be speaking at an event and will only be accepting a waiver or a reduction of the registration fee from the sponsor of the event to attend the portion of the event at which you will speak or present information and you will not attend any other sessions, accept any other meals, informational materials, or other tangible items of monetary value from the non-Federal entity.  5 C.F.R. 2635.203(b)(8)(ii).  
  6. If another Federal agency or DOI bureau is reimbursing USGS for all or a portion of your travel expenses, you will need a Inter/Intra Agency Travel Agreement (ITA).  The USGS Financial Operating Procedures (FOP) Handbook contains the policies and procedures for ITAs.
  7. If travel expense funding is specifically provided in a Cooperative Research and Development Agreement (CRADA), Technical Assistance Agreement (TAA) or Collaborative Agreement.  Information regarding these types of agreements is on the USGS Office of Policy and Analysis (OPA) website.
  8. For lodging if you are staying with a friend or family (i.e., when no lodging cost incurred) while on official travel. 
  9. Vendor promotional training.
  10. If you would be traveling to carry out DOI/USGS’s statutory and regulatory functions, including but not limited to investigations, inspections, and audits.

 

Where to fill out the DI-2000:

If you are on official travel within the United States, submit a DI-2000 in SharePoint Webforms at least five business days before your trip to obtain approval to accept travel expenses from a non-Federal source.  In Webforms the DI-2000 will be routed to your supervisor and then to the USGS Ethics Office for approval (once your supervisor has signed it). 

By contrast, if you are traveling internationally, on your DI-1175 in SharePoint Webforms you must select that you will be accepting funds from a non-Federal entity, which generates a drop down selection of legal authorities to choose from; when you select 31 U.S. Code Section 1353 as the legal authority to accept travel funds from the non-Federal source, a DI-2000 is automatically generated within the DI-1175.

  • Within the DI-1175, the DI-2000 begins here: 
Reference image: Within the DI-1175, the DI-2000 begins here
Sources/Usage: Public Domain. View Media Details

If you are traveling to Canada, you must file a Canada Travel Request form (in the Other Forms section of SharePoint Webforms) to obtain authorization to travel to Canada on official business and fill out a hardcopy DI-2000 (with the words “CANADA TRAVEL” printed on the hardcopy DI-2000).  After completing the form (and ensuring that your Supervisor has signed the form), scan it to EthicsOffice@usgs.gov for approval at least five business days before your trip.

More information about forms in general can be found on our forms webpage. 

 

Tips for filling out the DI-2000:

Before filling out the DI-2000, the traveler or Administrative Officer (AO) needs to:

(1)  Determine the trip costs including:

  • Transportation fares
  • Lodging expenses
  • Meals for the travel days
  • Meals for the meeting/ conference/ event days
  • Incidental expenses for the travel days (incidental expenses cannot be provided in-kind and must be either reimbursed to USGS by check from a non-Federal source or paid to the traveler by USGS) 
  • Incidental expenses for the meeting/ conference/ event days (incidental expenses cannot be provided in-kind and must be either reimbursed to USGS by check from a non-Federal source or paid to the traveler by USGS) 
  • Meeting and conference attendance/registration fees and what these fees include for all attendees (e.g., lunches, informational materials, technical events, etc.) as well as what these fees do not include (e.g., optional conference dinners, optional workshops, optional short courses etc.)
  • Any other trip expenses

(2)  Determine whether the non-Federal entity or the USGS is paying for each travel expense cost. 

Travelers should add the name of their AO (or other person) as a reader on the DI-2000.  This will enable that person to view and print the DI-2000.

DI-2000 must be submitted at least five business days before the trip.

The DI-2000 must approved PRIOR to travel, so travel expense amounts must be estimated.  

  • If the estimated total amount of expenses is more than the actual total amount of travel expenses received from the non-Federal entity, the DI-2000 does not need to be corrected.
  • If estimated total amount of travel expenses is less than the actual total amount of travel expenses received from a non-Federal entity, the DI-2000 must be corrected to reflect the actual amount of expenses received from the non-Federal entity. 
    • If you need to correct the travel expense amounts on your DI-2000, you need to print the DI-2000, make the corrections in writing with pen, initial the corrections, then scan the corrected DI-2000 to EthicsOffice@usgs.gov for approval immediately upon returning from your trip.  
    • The USGS Office of Accounting and Financial Management (OAFM) will not process a voucher if it contains a DI-2000 for less than the amount of travel expenses received from the non-Federal entity. 

In other words, overestimate within reason.  

Travel expenses MUST be itemized on the DI-2000. Do not write “travel expenses” or “financial support” with a total amount.  A breakdown of the travel expenses being reimbursed or provided, and the value of each expense must be shown on the DI-2000.

  • Describe each expense in the section (a) “Nature of the Benefit” with enough detail.  For example, each of the following would be a separate line item: 
    • 3 days of lodging (city, state/country)
    • 4 breakfasts (city, state/country)
    • 2 dinners (city, state/country)
    • 3 days of incidental expenses (city, state/country)
      • Per diem is the allowance for lodging (excluding taxes), meals and incidental expenses.  You can determine per diem rates here: https://www.gsa.gov/travel/plan-book/per-diem-rates/per-diem-rates-lookup
      • If you prefer to describe your lodging, meals, and incidental expenses as “per diem” you must list which city the per diem is for and how many days of per diem are being provided.  
      • If the non-Federal source is providing per diem on a travel day that MUST be specifically indicated.  On travel days, travelers are only eligible for 75 percent of the total M&IE rate for their temporary duty travel location (not the official duty station location).
      • If the non-Federal entity is providing per diem in-kind, then incidental expenses must be subtracted from the daily allowance and listed separately because incidental expenses cannot be provided in-kind and must be reimbursed by the non-Federal entity to USGS by check or paid to the traveler by USGS.
    • Airfare from (city, state/country) to (city, state/country). 
    • The amount of the meeting’s registration fee that is waived or reduced.  You MUST also note what the registration fee includes for all meeting attendees including but not limited to: meals (including the number of meals provided and whether the meals are breakfast, lunch, or dinner), technical events associated with the meeting, afterhours entertainment that is consecutive with the meeting, informational materials, and event excursion(s).
  • For each expense, insert the value in the appropriate column, either Check ($) or Kind ($).
    • If you have no entry in a column, insert $0.00 in the column.
  • In section (c), select Employee.   
    • If a travelers’ spouse is accompanying them on the trip, the traveler MUST send an email to the USGS Ethics Office at ethicsoffice@usgs.gov confirming that the traveler will be personally paying for all travel expenses incurred by the spouse and that no reimbursement for the spouse’s travel expenses will be provided by the USGS or the non-Federal entity.
    • A spouse’s travel expenses may only be accepted from a non-Federal source if the spouse’s presence at a meeting or similar function is determined to be in the interest of the USGS.  A spouse’s presence at the event can only be in the interest of the USGS if the spouse will:
      • support the mission of the USGS or will substantially assist the traveler in carrying out their official duties;
      • attend a ceremony at which traveler will receive an award or honorary degree; or
      • participate in substantive programs related to USGS programs/ operations.
  • In section (d) select either A, B, C, or D as applicable from the non-Federal Source of Payment section.
  • To add additional lines to the Nature of Payments section of the DI-2000, click the “insert item” button.

 

What the USGS Ethics Office looks for when reviewing a DI-2000:

When reviewing a DI-2000 the USGS Ethics Office will consider whether the acceptance of the non-Federal payment under the circumstances would cause a reasonable person with knowledge of all the facts to question the integrity of USGS programs or operations.  Consistent with 41 C.F.R. Section 304-5.3, the USGS Ethics Office will consider the following factors:

    1.  Identity of the non-Federal source;

    2.  Purpose of the meeting;

    3.  Identity of the other expected participants;

    4.  Nature and sensitivity of any matter pending at USGS which may affect the interest of the non-Federal source;

    5.  Significance of the traveler’s role in any such matter; and

    6.  Monetary value and character of the travel benefits offered by the non-Federal source.

In addition to reviewing your DI-2000 for any conflict of interest considerations, the USGS Ethics Office must report the information within the DI-2000.  USGS/DOI is required to submit to the Director of OGE semiannual reports of payments for travel, subsistence, and related expenses received from non-Federal sources in connection with the attendance of travelers at certain meetings or similar functions.

 

Ethical guidelines for speaking/presenting information in your official capacity:

If you will be speaking at an event for which you have an approved DI-2000, note the following ethical guidelines for speaking/presenting information in your official capacity:

  • Official Title – Use of official title is permitted because you will be attending and presenting in your official capacity.  5 C.F.R. Section 2635.702.  Note: Presentations of USGS work or research may not be made while in a non-duty status.
  • Endorsement – You must not use your Government position or title, or any authority associated with your public office, to endorse the non-Federal entity or any other product, service, or enterprise, including non-profit and charitable organizations that may have some affiliation with USGS.  5 C.F.R. Section 2635.702(c).
  • Nonpublic Information – You must not discuss any nonpublic information you have gained by reason of your Federal position.  5 C.F.R. Section 2635.703.
  • No Partisan Political Activity – While you may discuss USGS’s policy priorities and ideological approach to laws and regulations, you must strictly avoid partisan political activity to remain in compliance with the Hatch Act.  Partisan political activity is any activity directed towards the success or failure of a political party, candidate for a partisan political office, or partisan political group and can include verbal remarks and speech.

 

Reimbursement by check to USGS:

It is not permissible for a traveler to personally accept reimbursement of travel expenses (e.g., cash, checks or bank wires) from a non-Federal source.  All checks must be made out to USGS.  Travelers may not accept checks made out to them and may not “sign over” or endorse a check for deposit into a USGS account.  By contrast, traveler may accept “in-kind” items such as airline tickets, meals, or hotel accommodations that are purchased or paid for directly or provided “in-kind” by the non-Federal entity.

With an approved DI-2000, when the reimbursement is by check (rather than in-kind):

  • Reimbursements must be made payable to USGS.
  • A Bill for Collection (DI-1040 in SharePoint Webforms) must be requested through the Receivables Management Section (RMS) of the Office of Accounting and Financial Management for reimbursements to occur. 
  • Wire transfers are possible – contact the Office of Accounting and Finance for information.
  • If you receive a check to USGS, fill out a 9-3110 in SharePoint Webforms and submit a copy of the form and the check to USGS-OAFM-RMS, 12201 Sunrise Valley Dr., MS 271, Reston, VA 20192.

 

Edits to the value of travel expenses accepted:

The DI-2000 must approved prior to travel, so travel expense amounts must be estimated on the DI-2000.  If a traveler has an approved DI-2000 but the value of the travel expense(s) was more or less than originally estimated on the DI-2000, post-travel action is needed:

  • If the estimated total amount of expenses is more than the actual total amount of travel expenses received from the non-Federal entity, the DI-2000 does not need to be corrected.
  • If estimated total amount of travel expenses is less than the actual total amount of travel expenses received from a non-Federal entity, the DI-2000 must be corrected to reflect the actual amount of expenses received from the non-Federal entity. 
    • If you need to correct the travel expense amount(s) on your DI-2000, you need to print the DI-2000, make the corrections in writing with pen, initial the corrections, then scan the corrected DI-2000 to EthicsOffice@usgs.gov for approval immediately upon returning from your trip (but no later than 7 working days after returning). 
    • The USGS Office of Accounting and Financial Management (OAFM) will not process a voucher if it contains a DI-2000 for less than the amount of travel expenses received from the non-Federal entity. 

 

Unexpected gifts of travel expenses:

If you have an approved DI-2000 and the USGS Ethics Office has approved other travel expenses from the same non-Federal source, then you may accept additional travel expenses from the same non-Federal source during your trip if:

  • the expenses paid or provided in-kind are comparable in value to those offered to or purchased by other similarly situated meeting attendees; and
  • the USGS Ethics Office did not decline to accept payment for those expenses in advance of your travel.

In such situations, travelers should email ethicsoffice@usgs.gov as soon as possible (but no later than 7 working days after returning from their trip) if they need to make edits to their DI-2000 regarding the types of travel expenses accepted from a non-Federal source. 

If the USGS Ethics Office did NOT approve a DI-2000 prior to your travel or a new non-Federal source offers to provide travel expenses, then you may only accept the following:

  • 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
  • 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).

In such situations, travelers should submit a new DI-2000 for approval as soon as possible but no later than 7 working days after returning from their trip. 

If the USGS declines to accept the payment from the non-Federal source, the USGS must either reimburse the non-Federal source the value of the benefit provided or require the traveler to reimburse the non-Federal source.  41 C.F.R. Section 304-3.13.

If a traveler accepts payment or travel benefits in violation of the regulations, the USGS Ethics Office may require the traveler to pay the General Fund of the Treasury an amount equal to any payment or benefit accepted.  31 U.S. Code Section 1353.  Where the USGS requires reimbursement to the Treasury, the USGS must deny the traveler any reimbursement for the travel expenses the payment was intended to cover.

 

31 U.S. Code Section 1353/ DI-2000 summary:

31 U.S. Code Section 1353 summary from OGE
Sources/Usage: Public Domain. View Media Details
Source: OGE, Gifts of Travel and Other Benefits A Quick Reference Guide, May 15, 2017.

FAQs: To review common questions and answers related to the DI-2000, please click here.

 

After reading the information above and the DI-2000 FAQs, I still have a question about the DI-2000; what should I do?

Please email the USGS Ethics Office at ethicsoffice@usgs.gov  Put DI-2000 in the subject line and if the matter is urgent put URGENT in the subject line.  In the email, please include the traveler’s name, dates of travel, location of travel and reason for travel.  More information is always helpful.