[Title 41 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2018 Edition]
[From the U.S. Government Publishing Office]
[[Page i]]
Title 41
Public Contracts and Property Management
________________________
Chapters 102 to 200
Revised as of July 1, 2018
Containing a codification of documents of general
applicability and future effect
As of July 1, 2018
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
[[Page ii]]
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Table of Contents
Page
Explanation................................................. vi
Title 41:
SUBTITLE C--Federal Property Management Regulations System
(Continued)
Chapter 102--Federal Management Regulation 5
Chapters 103-104 [Reserved]
Chapter 105--General Services Administration 421
Chapter 109--Department of Energy Property
Management Regulations 639
Chapter 114--Department of the Interior 697
Chapter 115--Environmental Protection Agency 701
Chapter 128--Department of Justice 705
Chapters 129-200 [Reserved]
SUBTITLE D--Other Provisions Relating to Property
Management [Reserved]
Finding Aids:
Table of CFR Titles and Chapters........................ 725
Alphabetical List of Agencies Appearing in the CFR...... 745
[[Page iv]]
List of CFR Sections Affected........................... 755
[[Page v]]
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Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 41 CFR 102-2.5
refers to title 41, part
102-2, section 5.
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[[Page vi]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie
evidence of the text of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual
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To determine whether a Code volume has been amended since its
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EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
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inserted following the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
Federal agencies to display an OMB control number with their information
collection request.
[[Page vii]]
Many agencies have begun publishing numerous OMB control numbers as
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PAST PROVISIONS OF THE CODE
Provisions of the Code that are no longer in force and effect as of
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Code users may find the text of provisions in effect on any given date
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for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.
``[RESERVED]'' TERMINOLOGY
The term ``[Reserved]'' is used as a place holder within the Code of
Federal Regulations. An agency may add regulatory information at a
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used
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not accidentally dropped due to a printing or computer error.
INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was
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if it were published in full in the Federal Register (5 U.S.C. 552(a)).
This material, like any other properly issued regulation, has the force
of law.
What is a proper incorporation by reference? The Director of the
Federal Register will approve an incorporation by reference only when
the requirements of 1 CFR part 51 are met. Some of the elements on which
approval is based are:
(a) The incorporation will substantially reduce the volume of
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(b) The matter incorporated is in fact available to the extent
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(c) The incorporating document is drafted and submitted for
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CFR INDEXES AND TABULAR GUIDES
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and Finding Aids. This volume contains the Parallel Table of Authorities
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alphabetical list of agencies publishing in the CFR are also included in
this volume.
[[Page viii]]
An index to the text of ``Title 3--The President'' is carried within
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The Federal Register Index is issued monthly in cumulative form.
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REPUBLICATION OF MATERIAL
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INQUIRIES
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available at www.ecfr.gov.
Oliver A. Potts,
Director,
Office of the Federal Register.
July 1, 2018.
[[Page ix]]
THIS TITLE
Title 41--Public Contracts and Property Management consists of
Subtitle A--Federal Procurement Regulations System [Note]; Subtitle B--
Other Provisions Relating to Public Contracts; Subtitle C--Federal
Property Management Regulations System; Subtitle D is reserved for other
provisions relating to property management, Subtitle E--Federal
Information Resources Management Regulations System and Subtitle F--
Federal Travel Regulation System.
As of July 1, 1985, the text of subtitle A is no longer published in
the Code of Federal Regulations. For an explanation of the status of
subtitle A, see 41 CFR chapters 1-100 (page 3).
Other government-wide procurement regulations relating to public
contracts appear in chapters 50 through 100, subtitle B.
The Federal property management regulations in chapter 101 of
subtitle C are government-wide property management regulations issued by
the General Services Administration. In the remaining chapters of
subtitle C are the implementing and supplementing property management
regulations issued by individual Government agencies. Those regulations
which implement chapter 101 are numerically keyed to it.
The Federal Travel Regulation System in chapters 300-304 of subtitle
F is issued by the General Services Administration.
Title 41 is composed of four volumes. The chapters in these volumes
are arranged as follows: Chapters 1-100, chapter 101, chapters 102-200,
and chapter 201 to end. These volumes represent all current regulations
codified under this title of the CFR as of July 1, 2018.
For this volume, Ann Worley was Chief Editor. The Code of Federal
Regulations publication program is under the direction of John Hyrum
Martinez, assisted by Stephen J. Frattini.
[[Page 1]]
TITLE 41--PUBLIC CONTRACTS AND PROPERTY MANAGEMENT
(This book contains chapters 102 to 200)
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SUBTITLE C--Federal Property Management Regulations System (Continued)
Part
chapter 102--Federal Management Regulation.................. 102-2
chapters 103-104 [Reserved]
chapter 105--General Services Administration................ 105-1
chapter 109--Department of Energy Property Management
Regulations............................................... 109-1
chapter 114--Department of the Interior..................... 114-51
chapter 115--Environmental Protection Agency................ 115-1
chapter 128--Department of Justice.......................... 128-1
chapters 129-200 [Reserved]
SUBTITLE D--Other Provisions Relating to Property Management [Reserved]
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Subtitle C--Federal Property Management Regulations System (Continued)
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CHAPTER 102--FEDERAL MANAGEMENT REGULATION
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SUBCHAPTER A--GENERAL
Part Page
102-1 General [Reserved]
102-2 Federal management regulation system........ 7
102-3 Federal Advisory Committee Management....... 11
102-4
Nondiscrimination in Federal financial assistance programs [Reserved]
102-5 Home-to-work transportation................. 36
102-6--102-30 [Reserved]
SUBCHAPTER B--PERSONAL PROPERTY
102-31 General [Reserved]
102-32
Management of personal property [Reserved]
102-33 Management of government aircraft........... 41
102-34 Motor vehicle management.................... 71
102-35 Disposition of personal property............ 84
102-36 Disposition of excess personal property..... 87
102-37 Donation of surplus personal property....... 110
102-38 Sale of personal property................... 143
102-39 Replacement of personal property pursuant to
the exchange/sale authority............. 157
102-40 Utilization and disposition of personal
property with special handling
requirements............................ 162
102-41 Disposition of seized, forfeited,
voluntarily abandoned, and unclaimed
personal property....................... 186
102-42 Utilization, donation, and disposal of
foreign gifts and decorations........... 195
102-43--102-70 [Reserved]
SUBCHAPTER C--REAL PROPERTY
102-71 General..................................... 204
102-72 Delegation of authority..................... 209
102-73 Real estate acquisition..................... 214
102-74 Facility management......................... 227
102-75 Real property disposal...................... 250
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102-76 Design and construction..................... 311
102-77 Art-in-architecture......................... 316
102-78 Historic preservation....................... 317
102-79 Assignment and utilization of space......... 320
102-80 Safety and environmental management......... 325
102-81 Security.................................... 332
102-82 Utility services............................ 333
102-83 Location of space........................... 334
102-84 Annual real property inventories............ 340
102-85 Pricing policy for occupancy in GSA space... 343
102-86--102-115 [Reserved]
SUBCHAPTER D--TRANSPORTATION
102-116
General [Reserved]
102-117 Transportation management................... 358
102-118 Transportation payment and audit............ 376
102-119--102-140[Reserved]
SUBCHAPTER E--TRAVEL MANAGEMENT [RESERVED]
102-141 General [Reserved]
102-142--102-17 [Reserved]
SUBCHAPTER F--TELECOMMUNICATIONS
102-171 General [Reserved]
102-172
Telecommunications management policy [Reserved]
102-173 Internet GOV Domain......................... 405
102-174--102-190[Reserved]
SUBCHAPTER G--ADMINISTRATIVE PROGRAMS
102-191
General [Reserved]
102-192 Mail management............................. 409
102-193 Creation, maintenance, and use of records... 415
102-194 Standard and optional forms management
program................................. 417
102-196
Federal facility ridesharing [Reserved]
102-197--102-199[Reserved]
SUBCHAPTERS H-Z [RESERVED]
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SUBCHAPTER A_GENERAL
PART 102_GENERAL [RESERVED]
PART 102-2-FEDERAL MANAGEMENT REGULATION SYSTEM--Table of Contents
Subpart A_Regulation System
General
Sec.
102-2.5 What is the Federal Management Regulation (FMR)?
102-2.10 What is the FMR's purpose?
102-2.15 What is the authority for the FMR system?
102-2.20 Which agencies are subject to the FMR?
102-2.25 When are other agencies involved in developing the FMR?
102-2.30 Where and in what formats is the FMR published?
102-2.35 How is the FMR distributed?
102-2.40 May an agency issue implementing and supplementing regulations
for the FMR?
Numbering
102-2.45 How is the FMR numbered?
102-2.50 How do I number my agency's implementing regulations?
102-2.55 How do I number my agency's supplementing regulations?
Deviations
102-2.60 What is a deviation from the FMR?
102-2.65 When may agencies deviate from the FMR?
102-2.70 What are individual and class deviations?
102-2.75 What timeframes apply to deviations?
102-2.80 What steps must an agency take to deviate from the FMR?
102-2.85 What are the reasons for writing to GSA about FMR deviations?
102-2.90 Where should my agency send its correspondence on an FMR
deviation?
102-2.95 What information must agencies include in their deviation
letters to GSA?
102-2.100 Must agencies provide GSA with a follow-up analysis of their
experience in deviating from the FMR?
102-2.105 What information must agencies include in their follow-up
analysis?
102-2.110 When must agencies provide their follow-up analysis?
Non-Regulatory Material
102-2.115 What kinds of non-regulatory material does GSA publish outside
of the FMR?
102-2.120 How do I know whom to contact to discuss the regulatory
requirements of programs addressed in the FMR?
102-2.125 What source of information can my agency use to identify
materials that describe how to do business with GSA?
Subpart B_Forms
102-2.130 Where are FMR forms prescribed?
102-2.135 How do agencies obtain forms prescribed by the FMR?
Subpart C_Plain Language Regulatory Style
102-2.140 What elements of plain language appear in the FMR?
102-2.145 To what do pronouns refer when used in the FMR?
Authority: 40 U.S.C. 486(c).
Source: 64 FR 39085, July 21, 1999, unless otherwise noted.
Subpart A_Regulation System
General
Sec. 102-2.5 What is the Federal Management Regulation (FMR)?
The Federal Management Regulation (FMR) is the successor regulation
to the Federal Property Management Regulations (FPMR). It contains
updated regulatory policies originally found in the FPMR. However, it
does not contain FPMR material that described how to do business with
the General Services Administration (GSA). ``How to'' materials on this
and other subjects are available in customer service guides, handbooks,
brochures and Internet websites provided by GSA. (See Sec. 102-2.125.)
Sec. 102-2.10 What is the FMR's purpose?
The FMR prescribes policies concerning property management and
related administrative activities. GSA issues the FMR to carry out the
Administrator of General Services' functional responsibilities, as
established by statutes, Executive orders, Presidential memoranda,
Circulars and bulletins issued by the Office of Management and Budget
(OMB), and other policy directives.
[[Page 8]]
Sec. 102-2.15 What is the authority for the FMR system?
The Administrator of General Services prescribes and issues the FMR
under the authority of the Federal Property and Administrative Services
Act of 1949, as amended, 40 U.S.C. 486(c), as well as other applicable
Federal laws and authorities.
Sec. 102-2.20 Which agencies are subject to the FMR?
The FMR applies to executive agencies unless otherwise extended to
Federal agencies in various parts of this chapter. The difference
between the two terms is that Federal agencies include executive
agencies plus establishments in the legislative or judicial branch of
the Government. See paragraphs (a) and (b) of this section for the
definitions of each term.
(a) What is an executive agency? An executive agency is any
executive department or independent establishment in the executive
branch of the Government, including any wholly-owned Government
corporation. (See 40 U.S.C. 472(a).)
(b) What is a Federal agency? A Federal agency is any executive
agency or any establishment in the legislative or judicial branch of the
Government (except the Senate, the House of Representatives, and the
Architect of the Capitol and any activities under that person's
direction). (See 40 U.S.C. 472(b).)
Sec. 102-2.25 When are other agencies involved in developing the FMR?
Normally, GSA will ask agencies to collaborate in developing parts
of the FMR.
Sec. 102-2.30 Where and in what formats is the FMR published?
Proposed rules are published in the Federal Register. FMR bulletins
are published in looseleaf format. FMR interim and final rules are
published in the following formats--
(a) Federal Register under the ``Rules and Regulations'' section.
(b) Loose-leaf. (See Sec. 102-2.35.)
(c) Code of Federal Regulations (CFR), which is an annual
codification of the general and permanent rules published in the Federal
Register. The CFR is available on line and in a bound-volume format.
(d) Electronically on the Internet.
Sec. 102-2.35 How is the FMR distributed?
(a) A liaison appointed by each agency provides GSA with their
agency's distribution requirements of the looseleaf version of the FMR.
Agencies must submit GSA Form 2053, Agency Consolidated Requirements for
GSA Regulations and Other External Issuances, to--General Services
Administration, Office of Communications (X), 1800 F Street, NW.,
Washington, DC 20405.
(b) Order Federal Register and Code of Federal Regulations copies of
FMR material through your agency's authorizing officer.
Sec. 102-2.40 May an agency issue implementing and supplementing
regulations for the FMR?
Yes, an agency may issue implementing regulations (see Sec. 102-
2.50) to expand upon related FMR material and supplementing regulations
(see Sec. 102-2.55) to address subject material not covered in the FMR.
The Office of the Federal Register assigns chapters in Title 41 of the
Code of Federal Regulations for agency publication of implementing and
supplementing regulations.
Numbering
Sec. 102-2.45 How is the FMR numbered?
(a) All FMR sections are designated by three numbers. The following
example illustrates the chapter (it's always 102), part, and section
designations:
[[Page 9]]
[GRAPHIC] [TIFF OMITTED] TR21JY99.001
(b) In the looseleaf version, the month, year, and number of FMR
amendments appear at the bottom of each page.
Sec. 102-2.50 How do I number my agency's implementing regulations?
The first three-digit number represents the chapter number assigned
to your agency in Title 41 of the CFR. The part and section numbers
correspond to FMR material. For example, if your agency is assigned
Chapter 130 in Title 41 of the CFR and you are implementing Sec. 102-
2.60 of the FMR, your implementing section would be numbered Sec. 130-
2.60.
Sec. 102-2.55 How do I number my agency's supplementing regulations?
Since there is no corresponding FMR material, number the
supplementing material ``601'' or higher. For example, your agency's
supplementing regulations governing special services to states might
start with Sec. 130-601.5.
Deviations
Sec. 102-2.60 What is a deviation from the FMR?
A deviation from the FMR is an agency action or policy that is
inconsistent with the regulation. (The deviation policy for the FPMR is
in 41 CFR part 101-1.)
Sec. 102-2.65 When may agencies deviate from the FMR?
Because, it consists primarily of set policies and mandatory
requirements, deviation from the FMR should occur infrequently. However,
to address unique circumstances or to test the effectiveness of
potential policy changes, agencies may be able to deviate from the FMR
after following the steps described in Sec. 102-2.80.
Sec. 102-2.70 What are individual and class deviations?
An individual deviation is intended to affect only one action. A
class deviation is intended to affect more than one action (e.g.,
multiple actions, the actions of more than one agency, or individual
agency actions that are expected to recur).
Sec. 102-2.75 What timeframes apply to deviations?
Timeframes vary based on the nature of the deviation. However,
deviations cannot be open-ended. When consulting with GSA about using an
individual or class deviation, you must set a timeframe for the
deviation's duration.
Sec. 102-2.80 What steps must an agency take to deviate from the FMR?
(a) Consult informally with appropriate GSA program personnel to
learn more about how your agency can work within the FMR's requirements
instead of deviating from them. The consultation process may also
highlight reasons why an agency would not be permitted to deviate from
the FMR; e.g., statutory constraints.
(b) Formally request a deviation, if consultations indicate that
your agency needs one. The head of your agency or a designated official
should write to GSA's Regulatory Secretariat to the attention of a GSA
official in the program office that is likely to consider the deviation.
(See the FMR bulletin that lists contacts in GSA's program offices and
Sec. 102-2.90.) The written request must fully explain the reasons for
the deviation, including the benefits that the agency expects to
achieve.
Sec. 102-2.85 What are the reasons for writing to GSA about FMR
deviations?
The reasons for writing are to:
[[Page 10]]
(a) Explain your agency's rationale for the deviation. Before it can
adequately comment on a potential deviation from the FMR, GSA must know
why it is needed. GSA will compare your need against the applicable
policies and regulations.
(b) Obtain clarification from GSA as to whether statutes, Executive
orders, or other controlling policies, which may not be evident in the
regulation, preclude deviating from the FMR for the reasons stated.
(c) Establish a timeframe for using a deviation.
(d) Identify potential changes to the FMR.
(e) Identify the benefits and other results that the agency expects
to achieve.
Sec. 102-2.90 Where should my agency send its correspondence on
an FMR deviation?
Send correspondence to: General Services Administration, Regulatory
Secretariat (MVRS), Office of Governmentwide Policy, 1800 F Street, NW,
Washington, DC 20405.
Sec. 102-2.95 What information must agencies include in their
deviation letters to GSA?
Agencies must include:
(a) The title and citation of the FMR provision from which the
agency wishes to deviate;
(b) The name and telephone number of an agency contact who can
discuss the reason for the deviation;
(c) The reason for the deviation;
(d) A statement about the expected benefits of using the deviation
(to the extent possible, expected benefits should be stated in
measurable terms);
(e) A statement about possible use of the deviation in other
agencies or Governmentwide; and
(f) The duration of the deviation.
Sec. 102-2.100 Must agencies provide GSA with a follow-up analysis
of their experience in deviating from the FMR?
Yes, agencies that deviate from the FMR must also write to the
relevant GSA program office at the Regulatory Secretariat's address (see
Sec. 102-2.90) to describe their experiences in using a deviation.
Sec. 102-2.105 What information must agencies include in their
follow-up analysis?
In your follow-up analysis, provide information that may include,
but should not be limited to, specific actions taken or not taken as a
result of the deviation, outcomes, impacts, anticipated versus actual
results, and the advantages and disadvantages of taking an alternative
course of action.
Sec. 102-2.110 When must agencies provide their follow-up letters?
(a) For an individual deviation, once the action is complete.
(b) For a class deviation, at the end of each twelve-month period
from the time you first took the deviation and at the end of the
deviation period.
Non-Regulatory Material
Sec. 102-2.115 What kinds of non-regulatory material does GSA publish
outside of the FMR?
As GSA converts the FPMR to the FMR, non-regulatory materials in the
FPMR, such as guidance, procedures, standards, and information, that
describe how to do business with GSA, will become available in separate
documents. These documents may include customer service guides,
handbooks, brochures, Internet websites, and FMR bulletins. GSA will
eliminate non-regulatory material that is no longer needed.
Sec. 102-2.120 How do I know whom to contact to discuss the
regulatory requirements of programs addressed in the FMR?
Periodically, GSA will issue for your reference an FMR bulletin that
lists program contacts with whom agencies can discuss regulatory
requirements. At a minimum, the list will contain organization names and
telephone numbers for each program addressed in the FMR.
Sec. 102-2.125 What source of information can my agency use to
identify materials that describe how to do business with GSA?
The FMR establishes policy; it does not specify procedures for the
acquisition of GSA services. However, as a service to users during the
transition
[[Page 11]]
from the FPMR to the FMR and as needed thereafter, GSA will issue FMR
bulletins to identify where to find information on how to do business
with GSA. References include customer service guides, handbooks,
brochures, Internet websites, etc.
Subpart B_Forms
Sec. 102-2.130 Where are FMR forms prescribed?
In any of its parts, the FMR may prescribe forms and the
requirements for using them.
Sec. 102-2.135 How do agencies obtain forms prescribed by the FMR?
For copies of the forms prescribed by in the FMR, do any of the
following:
(a) Write to us at: General Services Administration, National Forms
and Publications Center (7CPN), Warehouse 4, Dock No. 1, 501 West Felix
Street, Fort Worth, TX 76115.
(b) Send e-mail messages to: NFPC@gsa-7FDepot.
(c) Visit our web site at: www.gsa.gov/forms/forms.htm.
Subpart C_Plain Language Regulatory Style
Sec. 102-2.140 What elements of plain language appear in the FMR?
The FMR is written in a ``plain language'' regulatory style. This
style is easy to read and uses a question and answer format directed at
the reader, active voice, shorter sentences, and, where appropriate,
personal pronouns.
Sec. 102-2.145 To what do pronouns refer when used in the FMR?
Throughout its text, the FMR may contain pronouns such as, but not
limited to, we, you, and I. When pronouns are used, each subchapter of
the FMR will indicate whether they refer to the reader, an agency, GSA,
or some other entity. In general, pronouns refer to who or what must
perform a required action.
PART 102-3-FEDERAL ADVISORY COMMITTEE MANAGEMENT--Table of Contents
Subpart A_What Policies Apply to Advisory Committees Established Within
the Executive Branch?
Sec.
102-3.5 What does this subpart cover and how does it apply?
102-3.10 What is the purpose of the Federal Advisory Committee Act?
102-3.15 Who are the intended users of this part?
102-3.20 How does this part meet the needs of its audience?
102-3.25 What definitions apply to this part?
102-3.30 What policies govern the use of advisory committees?
102-3.35 What policies govern the use of subcommittees?
102-3.40 What types of committees or groups are not covered by the Act
and this part?
Appendix A to Subpart A of Part 102-3--Key Points and Principles
Subpart B_How Are Advisory Committees Established, Renewed,
Reestablished, and Terminated?
102-3.45 What does this subpart cover and how does it apply?
102-3.50 What are the authorities for establishing advisory committees?
102-3.55 What rules apply to the duration of an advisory committee?
102-3.60 What procedures are required to establish, renew, or
reestablish a discretionary advisory committee?
102-3.65 What are the public notification requirements for discretionary
advisory committees?
102-3.70 What are the charter filing requirements?
102-3.75 What information must be included in the charter of an advisory
committee?
102-3.80 How are minor charter amendments accomplished?
102-3.85 How are major charter amendments accomplished?
Appendix A to Subpart B of Part 102-3--Key Points and Principles
Subpart C_How Are Advisory Committees Managed?
102-3.90 What does this subpart cover and how does it apply?
102-3.95 What principles apply to the management of advisory committees?
102-3.100 What are the responsibilities and functions of GSA?
102-3.105 What are the responsibilities of an agency head?
[[Page 12]]
102-3.110 What are the responsibilities of a chairperson of an
independent Presidential advisory committee?
102-3.115 What are the responsibilities and functions of an agency
Committee Management Officer (CMO)?
102-3.120 What are the responsibilities and functions of a Designated
Federal Officer (DFO)?
102-3.125 How should agencies consider the roles of advisory committee
members and staff?
102-3.130 What policies apply to the appointment, and compensation or
reimbursement of advisory committee members, staff, and
experts and consultants?
Appendix A to Subpart C of Part 102-3--Key Points and Principles
Subpart D_Advisory Committee Meeting and Recordkeeping Procedures
102-3.135 What does this subpart cover and how does it apply?
102-3.140 What policies apply to advisory committee meetings?
102-3.145 What policies apply to subcommittee meetings?
102-3.150 How are advisory committee meetings announced to the public?
102-3.155 How are advisory committee meetings closed to the public?
102-3.160 What activities of an advisory committee are not subject to
the notice and open meeting requirements of the Act?
102-3.165 How are advisory committee meetings documented?
102-3.170 How does an interested party obtain access to advisory
committee records?
102-3.175 What are the reporting and recordkeeping requirements for an
advisory committee?
Appendix A to Subpart D of Part 102-3--Key Points and Principles
Subpart E_How Does This Subpart Apply to Advice or Recommendations
Provided to Agencies by the National Academy of Sciences or the National
Academy of Public Administration?
102-3.180 What does this subpart cover and how does it apply?
102-3.185 What does this subpart require agencies to do?
Appendix A to Subpart E of Part 102-3--Key Points and Principles
Authority: Sec. 205(c), 63 Stat. 390 (40 U.S.C. 486(c)); sec. 7, 5
U.S.C., App.; and E.O. 12024, 3 CFR, 1977 Comp., p. 158.
Source: At 66 FR 37733, July 19, 2001, unless otherwise noted.
Subpart A_What Policies Apply to Advisory Committees Established Within
the Executive Branch?
Sec. 102-3.5 What does this subpart cover and how does it apply?
This subpart provides the policy framework that must be used by
agency heads in applying the Federal Advisory Committee Act (FACA), as
amended (or ``the Act''), 5 U.S.C., App., to advisory committees they
establish and operate. In addition to listing key definitions underlying
the interpretation of the Act, this subpart establishes the scope and
applicability of the Act, and outlines specific exclusions from its
coverage.
Sec. 102-3.10 What is the purpose of the Federal Advisory Committee
Act?
FACA governs the establishment, operation, and termination of
advisory committees within the executive branch of the Federal
Government. The Act defines what constitutes a Federal advisory
committee and provides general procedures for the executive branch to
follow for the operation of these advisory committees. In addition, the
Act is designed to assure that the Congress and the public are kept
informed with respect to the number, purpose, membership, activities,
and cost of advisory committees.
Sec. 102-3.15 Who are the intended users of this part?
(a) The primary users of this Federal Advisory Committee Management
part are:
(1) Executive branch officials and others outside Government
currently involved with an established advisory committee;
(2) Executive branch officials who seek to establish or utilize an
advisory committee;
(3) Executive branch officials and others outside Government who
have decided to pursue, or who are already engaged in, a form of public
involvement or consultation and want to avoid inadvertently violating
the Act; and
(4) Field personnel of Federal agencies who are increasingly
involved with
[[Page 13]]
the public as part of their efforts to increase collaboration and
improve customer service.
(b) Other types of end-users of this part include individuals and
organizations outside of the executive branch who seek to understand and
interpret the Act, or are seeking additional guidance.
Sec. 102-3.20 How does this part meet the needs of its audience?
This Federal Advisory Committee Management part meets the general
and specific needs of its audience by addressing the following issues
and related topics:
(a) Scope and applicability. This part provides guidance on the
threshold issue of what constitutes an advisory committee and clarifies
the limits of coverage by the Act for the benefit of the intended users
of this part.
(b) Policies and guidelines. This part defines the policies,
establishes minimum requirements, and provides guidance to Federal
officers and agencies for the establishment, operation, administration,
and duration of advisory committees subject to the Act. This includes
reporting requirements that keep Congress and the public informed of the
number, purpose, membership, activities, benefits, and costs of these
advisory committees. These requirements form the basis for implementing
the Act at both the agency and Governmentwide levels.
(c) Examples and principles. This part provides summary-level key
points and principles at the end of each subpart that provide more
clarification on the role of Federal advisory committees in the larger
context of public involvement in Federal decisions and activities. This
includes a discussion of the applicability of the Act to different
decisionmaking scenarios.
Sec. 102-3.25 What definitions apply to this part?
The following definitions apply to this Federal Advisory Committee
Management part:
Act means the Federal Advisory Committee Act, as amended, 5 U.S.C.,
App.
Administrator means the Administrator of General Services.
Advisory committee subject to the Act, except as specifically
exempted by the Act or by other statutes, or as not covered by this
part, means any committee, board, commission, council, conference,
panel, task force, or other similar group, which is established by
statute, or established or utilized by the President or by an agency
official, for the purpose of obtaining advice or recommendations for the
President or on issues or policies within the scope of an agency
official's responsibilities.
Agency has the same meaning as in 5 U.S.C. 551(1).
Committee Management Officer (``CMO''), means the individual
designated by the agency head to implement the provisions of section
8(b) of the Act and any delegated responsibilities of the agency head
under the Act.
Committee Management Secretariat (``Secretariat''), means the
organization established pursuant to section 7(a) of the Act, which is
responsible for all matters relating to advisory committees, and carries
out the responsibilities of the Administrator under the Act and
Executive Order 12024 (3 CFR, 1977 Comp., p. 158).
Committee meeting means any gathering of advisory committee members
(whether in person or through electronic means) held with the approval
of an agency for the purpose of deliberating on the substantive matters
upon which the advisory committee provides advice or recommendations.
Committee member means an individual who serves by appointment or
invitation on an advisory committee or subcommittee.
Committee staff means any Federal employee, private individual, or
other party (whether under contract or not) who is not a committee
member, and who serves in a support capacity to an advisory committee or
subcommittee.
Designated Federal Officer (``DFO''), means an individual designated
by the agency head, for each advisory committee for which the agency
head is responsible, to implement the provisions of sections 10(e) and
(f) of the Act and any advisory committee procedures of the agency under
the control and supervision of the CMO.
Discretionary advisory committee means any advisory committee that
is
[[Page 14]]
established under the authority of an agency head or authorized by
statute. An advisory committee referenced in general (non-specific)
authorizing language or Congressional committee report language is
discretionary, and its establishment or termination is within the legal
discretion of an agency head.
Independent Presidential advisory committee means any Presidential
advisory committee not assigned by the Congress in law, or by President
or the President's delegate, to an agency for administrative and other
support.
Non-discretionary advisory committee means any advisory committee
either required by statute or by Presidential directive. A non-
discretionary advisory committee required by statute generally is
identified specifically in a statute by name, purpose, or functions, and
its establishment or termination is beyond the legal discretion of an
agency head.
Presidential advisory committee means any advisory committee
authorized by the Congress or directed by the President to advise the
President.
Subcommittee means a group, generally not subject to the Act, that
reports to an advisory committee and not directly to a Federal officer
or agency, whether or not its members are drawn in whole or in part from
the parent advisory committee.
Utilized for the purposes of the Act, does not have its ordinary
meaning. A committee that is not established by the Federal Government
is utilized within the meaning of the Act when the President or a
Federal office or agency exercises actual management or control over its
operation.
Sec. 102-3.30 What policies govern the use of advisory committees?
The policies to be followed by Federal departments and agencies in
establishing and operating advisory committees consistent with the Act
are as follows:
(a) Determination of need in the public interest. A discretionary
advisory committee may be established only when it is essential to the
conduct of agency business and when the information to be obtained is
not already available through another advisory committee or source
within the Federal Government. Reasons for deciding that an advisory
committee is needed may include whether:
(1) Advisory committee deliberations will result in the creation or
elimination of (or change in) regulations, policies, or guidelines
affecting agency business;
(2) The advisory committee will make recommendations resulting in
significant improvements in service or reductions in cost; or
(3) The advisory committee's recommendations will provide an
important additional perspective or viewpoint affecting agency
operations.
(b) Termination. An advisory committee must be terminated when:
(1) The stated objectives of the committee have been accomplished;
(2) The subject matter or work of the committee has become obsolete
by the passing of time or the assumption of the committee's functions by
another entity;
(3) The agency determines that the cost of operation is excessive in
relation to the benefits accruing to the Federal Government;
(4) In the case of a discretionary advisory committee, upon the
expiration of a period not to exceed two years, unless renewed;
(5) In the case of a non-discretionary advisory committee required
by Presidential directive, upon the expiration of a period not to exceed
two years, unless renewed by authority of the President; or
(6) In the case of a non-discretionary advisory committee required
by statute, upon the expiration of the time explicitly specified in the
statute, or implied by operation of the statute.
(c) Balanced membership. An advisory committee must be fairly
balanced in its membership in terms of the points of view represented
and the functions to be performed.
(d) Open meetings. Advisory committee meetings must be open to the
public except where a closed or partially-closed meeting has been
determined proper and consistent with the exemption(s) of the Government
in the Sunshine Act, 5 U.S.C. 552b(c), as the basis for closure.
(e) Advisory functions only. The function of advisory committees is
advisory
[[Page 15]]
only, unless specifically provided by statute or Presidential directive.
Sec. 102-3.35 What policies govern the use of subcommittees?
(a) In general, the requirements of the Act and the policies of this
Federal Advisory Committee Management part do not apply to subcommittees
of advisory committees that report to a parent advisory committee and
not directly to a Federal officer or agency. However, this section does
not preclude an agency from applying any provision of the Act and this
part to any subcommittee of an advisory committee in any particular
instance.
(b) The creation and operation of subcommittees must be approved by
the agency establishing the parent advisory committee.
Sec. 102-3.40 What types of committees or groups are not covered by
the Act and this part?
The following are examples of committees or groups that are not
covered by the Act or this Federal Advisory Committee Management part:
(a) Committees created by the National Academy of Sciences (NAS) or
the National Academy of Public Administration (NAPA). Any committee
created by NAS or NAPA in accordance with section 15 of the Act, except
as otherwise covered by subpart E of this part;
(b) Advisory committees of the Central Intelligence Agency and the
Federal Reserve System. Any advisory committee established or utilized
by the Central Intelligence Agency or the Federal Reserve System;
(c) Committees exempted by statute. Any committee specifically
exempted from the Act by law;
(d) Committees not actually managed or controlled by the executive
branch. Any committee or group created by non-Federal entities (such as
a contractor or private organization), provided that these committees or
groups are not actually managed or controlled by the executive branch;
(e) Groups assembled to provide individual advice. Any group that
meets with a Federal official(s), including a public meeting, where
advice is sought from the attendees on an individual basis and not from
the group as a whole;
(f) Groups assembled to exchange facts or information. Any group
that meets with a Federal official(s) for the purpose of exchanging
facts or information;
(g) Intergovernmental committees. Any committee composed wholly of
full-time or permanent part-time officers or employees of the Federal
Government and elected officers of State, local and tribal governments
(or their designated employees with authority to act on their behalf),
acting in their official capacities. However, the purpose of such a
committee must be solely to exchange views, information, or advice
relating to the management or implementation of Federal programs
established pursuant to statute, that explicitly or inherently share
intergovernmental responsibilities or administration (see guidelines
issued by the Office of Management and Budget (OMB) on section 204(b) of
the Unfunded Mandates Reform Act of 1995, 2 U.S.C. 1534(b), OMB
Memorandum M-95-20, dated September 21, 1995, available from the
Committee Management Secretariat (MC), General Services Administration,
1800 F Street, NW., Washington, DC 20405-0002);
(h) Intragovernmental committees. Any committee composed wholly of
full-time or permanent part-time officers or employees of the Federal
Government;
(i) Local civic groups. Any local civic group whose primary function
is that of rendering a public service with respect to a Federal program;
(j) Groups established to advise State or local officials. Any State
or local committee, council, board, commission, or similar group
established to advise or make recommendations to State or local
officials or agencies; and
(k) Operational committees. Any committee established to perform
primarily operational as opposed to advisory functions. Operational
functions are those specifically authorized by statute or Presidential
directive, such as making or implementing Government decisions or
policy. A committee designated operational may be covered
[[Page 16]]
by the Act if it becomes primarily advisory in nature. It is the
responsibility of the administering agency to determine whether a
committee is primarily operational. If so, it does not fall under the
requirements of the Act and this part.
Sec. Appendix A to Subpart A of Part 102-3--Key Points and
Principles
This appendix provides additional guidance in the form of answers to
frequently asked questions and identifies key points and principles that
may be applied to situations not covered elsewhere in this subpart. The
guidance follows:
----------------------------------------------------------------------------------------------------------------
Key points and principles Section(s) Question(s) Guidance
----------------------------------------------------------------------------------------------------------------
I. FACA applies to advisory 102-3.25, 102- 1. A local citizens group wants to A. The answer to
committees that are either 3.40(d), 102- meet with a Federal official(s) questions 1, 2, and 3
``established'' or ``utilized'' 3.40(f) to help improve the condition of is yes, if the agency
by an agency. a forest's trails and quality of does not either
concessions. May the Government ``establish'' or
meet with the group without ``utilize'' (exercise
chartering the group under the ``actual management or
Act? control'' over) the
2. May an agency official attend group. (i) Although
meetings of external groups where there is no precise
advice may be offered to the legal definition of
Government during the course of ``actual management or
discussions? control,'' the
3. May an agency official following factors may
participate in meetings of groups be used by an agency
or organizations as a member to determine whether
without chartering the group or not a group is
under the Act? ``utilized'' within
4. Is the Act applicable to the meaning of the
meetings between agency officials Act: (a) Does the
and their contractors, licensees, agency manage or
or other ``private sector program control the group's
partners?'' membership or
otherwise determine
its composition? (b)
Does the agency manage
or control the group's
agenda? (c) Does the
agency fund the
group's activities?
(ii) Answering ``yes''
to any or all of
questions 1, 2, or 3
does not automatically
mean the group is
``utilized'' within
the meaning of the
Act. However, an
agency may need to
reconsider the status
of the group under the
Act if the
relationship in
question essentially
is indistinguishable
from an advisory
committee established
by the agency.
B. The answer to
question 4 is no.
Agencies often meet
with contractors and
licensees,
individually and as a
group, to discuss
specific matters
involving a contract's
solicitation,
issuance, and
implementation, or an
agency's efforts to
ensure compliance with
its regulations. Such
interactions are not
subject to the Act
because these groups
are not
``established'' or
``utilized'' for the
purpose of obtaining
advice or
recommendations.
----------------------------------------------------------------------------------------------------------------
II. The development of consensus 102-3.25, 102- 1. If, during a public meeting of A. No, the public
among all or some of the 3.40(d), 102- the ``town hall'' type called by meeting need not be
attendees at a public meeting 3.40(f) an agency, it appears that the stopped. (i) A group
or similar forum does not audience is achieving consensus, must either be
automatically invoke FACA. or a common point of view, is ``established'' or
this an indication that the ``utilized'' by the
meeting is subject to the Act and executive branch in
must be stopped? order for the Act to
apply. (ii) Public
meetings represent a
chance for individuals
to voice their
opinions and/or share
information. In that
sense, agencies do not
either ``establish''
the assemblage of
individuals as an
advisory committee or
``utilize'' the
attendees as an
advisory committee
because there are no
elements of either
``management'' or
``control'' present or
intended.
[[Page 17]]
III. Meetings between a Federal 102-3.40(e) 1. May an agency official meet A. The answer to
official(s) and a collection of with a number of persons questions 1 and 2 is
individuals where advice is collectively to obtain their yes. The Act applies
sought from the attendees on an individual views without only where a group is
individual basis are not violating the Act? established or
subject to the Act. 2. Does the concept of an utilized to provide
``individual'' apply only to advice or
``natural persons?'' recommendations ``as a
group.'' (i) A mere
assemblage or
collection of
individuals where the
attendees are
providing individual
advice is not acting
``as a group'' under
the Act. (ii) In this
respect,
``individual'' is not
limited to ``natural
persons.'' Where the
group consists of
representatives of
various existing
organizations, each
representative
individually may
provide advice on
behalf of that
person's organization
without violating the
Act, if those
organizations
themselves are not
``managed or
controlled'' by the
agency.
----------------------------------------------------------------------------------------------------------------
IV. Meetings between Federal, 102-3.40(g) 1. Is the exclusion from the Act A. Yes. The scope of
State, local, and tribal covering elected officials of activities covered by
elected officials are not State, local, and tribal the exclusion from the
subject to the Act. governments acting in their Act for
official capacities also intergovernmental
applicable to associations of activities should be
State officials? construed broadly to
facilitate Federal/
State/local/tribal
discussions on shared
intergovernmental
program
responsibilities or
administration.
Pursuant to a
Presidential
delegation, the Office
of Management and
Budget (OMB) issued
guidelines for this
exemption, authorized
by section 204(b) of
the Unfunded Mandates
Reform Act of 1995, 2
U.S.C. 1534(b). (See
OMB Memorandum M-95-
20, dated September
21, 1995, published at
60 FR 50651 (September
29, 1995), and which
is available from the
Committee Management
Secretariat (MC),
General Services
Administration, 1800 F
Street, NW,
Washington, DC 20405-
0002).
----------------------------------------------------------------------------------------------------------------
V. Advisory committees 102-3.30(e), 102- 1. Are ``operational committees'' A. No, so long as the
established under the Act may 3.40(k) subject to the Act, even if they operational functions
perform advisory functions may engage in some advisory performed by the
only, unless authorized to activities? committee constitute
perform ``operational'' duties the ``primary''
by the Congress or by mission of the
Presidential directive. committee. Only
committees established
or utilized by the
executive branch in
the interest of
obtaining advice or
recommendations are
subject to the Act.
However, without
specific authorization
by the Congress or
direction by the
President, Federal
functions
(decisionmaking or
operations) cannot be
delegated to, or
assumed by, non-
Federal individuals or
entities.
----------------------------------------------------------------------------------------------------------------
[[Page 18]]
VI. Committees authorized by the 102-3.40(k) 1. What characteristics are common A. In answer to
Congress in law or by to ``operational committees?'' question 1, non-
Presidential directive to 2. A committee created by the advisory, or
perform primarily Congress by statute is ``operational''
``operational'' functions are responsible, for example, for committees generally
not subject to the Act. developing plans and events to have the following
commemorate the contributions of characteristics: (i)
wildlife to the enjoyment of the Specific functions and/
Nation's parks. Part of the or authorities
committee's role includes provided by the
providing advice to certain Congress in law or by
Federal agencies as may be Presidential
necessary to coordinate these directive; (ii) The
events. Is this committee subject ability to make and
to FACA? implement
traditionally
Governmental
decisions; and (iii)
The authority to
perform specific tasks
to implement a Federal
program.
B. Agencies are
responsible for
determining whether or
not a committee
primarily provides
advice or
recommendations and
is, therefore, subject
to the Act, or is
primarily
``operational'' and
not covered by FACA.
C. The answer to
question 2 is no. The
committee is not
subject to the Act
because: (i) Its
functions are to plan
and implement specific
tasks; (ii) The
committee has been
granted the express
authority by the
Congress to perform
its statutorily
required functions;
and (iii) Its
incidental role of
providing advice to
other Federal agencies
is secondary to its
primarily operational
role of planning and
implementing specific
tasks and performing
statutory functions.
----------------------------------------------------------------------------------------------------------------
Subpart B_How Are Advisory Committees Established, Renewed,
Reestablished, and Terminated?
Sec. 102-3.45 What does this subpart cover and how does it apply?
Requirements for establishing and terminating advisory committees
vary depending on the establishing entity and the source of authority
for the advisory committee. This subpart covers the procedures
associated with the establishment, renewal, reestablishment, and
termination of advisory committees. These procedures include consulting
with the Secretariat, preparing and filing an advisory committee
charter, publishing notice in the Federal Register, and amending an
advisory committee charter.
Sec. 102-3.50 What are the authorities for establishing advisory
committees?
FACA identifies four sources of authority for establishing an
advisory committee:
(a) Required by statute. By law where the Congress establishes an
advisory committee, or specifically directs the President or an agency
to establish it (non-discretionary);
(b) Presidential authority. By Executive order of the President or
other Presidential directive (non-discretionary);
(c) Authorized by statute. By law where the Congress authorizes, but
does not direct the President or an agency to establish it
(discretionary); or
(d) Agency authority. By an agency under general authority in title
5 of the United States Code or under other general agency-authorizing
statutes (discretionary).
Sec. 102-3.55 What rules apply to the duration of an advisory
committee?
(a) An advisory committee automatically terminates two years after
its date of establishment unless:
(1) The statutory authority used to establish the advisory committee
provides a different duration;
(2) The President or agency head determines that the advisory
committee has fulfilled the purpose for which it was established and
terminates the advisory committee earlier;
(3) The President or agency head determines that the advisory
committee is no longer carrying out the purpose
[[Page 19]]
for which it was established and terminates the advisory committee
earlier; or
(4) The President or agency head renews the committee not later than
two years after its date of establishment in accordance with Sec. 102-
3.60. If an advisory committee needed by the President or an agency
terminates because it was not renewed in a timely manner, or if the
advisory committee has been terminated under the provisions of Sec.
102-3.30(b), it can be reestablished in accordance with Sec. 102-3.60.
(b) When an advisory committee terminates, the agency shall notify
the Secretariat of the effective date of the termination.
Sec. 102-3.60 What procedures are required to establish, renew,
or reestablish a discretionary advisory committee?
(a) Consult with the Secretariat. Before establishing, renewing, or
reestablishing a discretionary advisory committee and filing the charter
as addressed later in Sec. 102-3.70, the agency head must consult with
the Secretariat. As part of this consultation, agency heads are
encouraged to engage in constructive dialogue with the Secretariat. With
a full understanding of the background and purpose behind the proposed
advisory committee, the Secretariat may share its knowledge and
experience with the agency on how best to make use of the proposed
advisory committee, suggest alternate methods of attaining its purpose
that the agency may wish to consider, or inform the agency of a pre-
existing advisory committee performing similar functions.
(b) Include required information in the consultation. Consultations
covering the establishment, renewal, and reestablishment of advisory
committees must, as a minimum, contain the following information:
(1) Explanation of need. An explanation stating why the advisory
committee is essential to the conduct of agency business and in the
public interest;
(2) Lack of duplication of resources. An explanation stating why the
advisory committee's functions cannot be performed by the agency,
another existing committee, or other means such as a public hearing; and
(3) Fairly balanced membership. A description of the agency's plan
to attain fairly balanced membership. The plan will ensure that, in the
selection of members for the advisory committee, the agency will
consider a cross-section of those directly affected, interested, and
qualified, as appropriate to the nature and functions of the advisory
committee. Advisory committees requiring technical expertise should
include persons with demonstrated professional or personal
qualifications and experience relevant to the functions and tasks to be
performed.
Sec. 102-3.65 What are the public notification requirements for
discretionary advisory committees?
A notice to the public in the Federal Register is required when a
discretionary advisory committee is established, renewed, or
reestablished.
(a) Procedure. Upon receiving notice from the Secretariat that its
review is complete in accordance with Sec. 102-3.60(a), the agency must
publish a notice in the Federal Register announcing that the advisory
committee is being established, renewed, or reestablished. For the
establishment of a new advisory committee, the notice also must describe
the nature and purpose of the advisory committee and affirm that the
advisory committee is necessary and in the public interest.
(b) Time required for notices. Notices of establishment and
reestablishment of advisory committees must appear at least 15 calendar
days before the charter is filed, except that the Secretariat may
approve less than 15 calendar days when requested by the agency for good
cause. This requirement for advance notice does not apply to advisory
committee renewals, notices of which may be published concurrently with
the filing of the charter.
Sec. 102-3.70 What are the charter filing requirements?
No advisory committee may meet or take any action until a charter
has been filed by the Committee Management Officer (CMO) designated in
accordance with section 8(b) of the Act,
[[Page 20]]
or by another agency official designated by the agency head.
(a) Requirement for discretionary advisory committees. To establish,
renew, or reestablish a discretionary advisory committee, a charter must
be filed with:
(1) The agency head;
(2) The standing committees of the Senate and the House of
Representatives having legislative jurisdiction of the agency, the date
of filing with which constitutes the official date of establishment for
the advisory committee;
(3) The Library of Congress, Anglo-American Acquisitions Division,
Government Documents Section, Federal Advisory Committee Desk, 101
Independence Avenue, SE., Washington, DC 20540-4172; and
(4) The Secretariat, indicating the date the charter was filed in
accordance with paragraph (a)(2) of this section.
(b) Requirement for non-discretionary advisory committees. Charter
filing requirements for non-discretionary advisory committees are the
same as those in paragraph (a) of this section, except the date of
establishment for a Presidential advisory committee is the date the
charter is filed with the Secretariat.
(c) Requirement for subcommittees that report directly to the
Government. Subcommittees that report directly to a Federal officer or
agency must comply with this subpart and include in a charter the
information required by Sec. 102-3.75.
Sec. 102-3.75 What information must be included in the charter of
an advisory committee?
(a) Purpose and contents of an advisory committee charter. An
advisory committee charter is intended to provide a description of an
advisory committee's mission, goals, and objectives. It also provides a
basis for evaluating an advisory committee's progress and effectiveness.
The charter must contain the following information:
(1) The advisory committee's official designation;
(2) The objectives and the scope of the advisory committee's
activity;
(3) The period of time necessary to carry out the advisory
committee's purpose(s);
(4) The agency or Federal officer to whom the advisory committee
reports;
(5) The agency responsible for providing the necessary support to
the advisory committee;
(6) A description of the duties for which the advisory committee is
responsible and specification of the authority for any non-advisory
functions;
(7) The estimated annual costs to operate the advisory committee in
dollars and person years;
(8) The estimated number and frequency of the advisory committee's
meetings;
(9) The planned termination date, if less than two years from the
date of establishment of the advisory committee;
(10) The name of the President's delegate, agency, or organization
responsible for fulfilling the reporting requirements of section 6(b) of
the Act, if appropriate; and
(11) The date the charter is filed in accordance with Sec. 102-
3.70.
(b) The provisions of paragraphs (a)(1) through (11) of this section
apply to all subcommittees that report directly to a Federal officer or
agency.
Sec. 102-3.80 How are minor charter amendments accomplished?
(a) Responsibility and limitation. The agency head is responsible
for amending the charter of an advisory committee. Amendments may be
either minor or major. The procedures for making changes and filing
amended charters will depend upon the authority basis for the advisory
committee. Amending any existing advisory committee charter does not
constitute renewal of the advisory committee under Sec. 102-3.60.
(b) Procedures for minor amendments. To make a minor amendment to an
advisory committee charter, such as changing the name of the advisory
committee or modifying the estimated number or frequency of meetings,
the following procedures must be followed:
(1) Non-discretionary advisory committees. The agency head must
ensure that any minor technical changes made to current charters are
consistent with
[[Page 21]]
the relevant authority. When the Congress by law, or the President by
Executive order, changes the authorizing language that has been the
basis for establishing an advisory committee, the agency head or the
chairperson of an independent Presidential advisory committee must amend
those sections of the current charter affected by the new statute or
Executive order, and file the amended charter as specified in Sec. 102-
3.70.
(2) Discretionary advisory committees. The charter of a
discretionary advisory committee may be amended when an agency head
determines that technical provisions of a filed charter are inaccurate,
or specific provisions have changed or become obsolete with the passing
of time, and that these amendments will not alter the advisory
committee's objectives and scope substantially. The agency must amend
the charter language as necessary and file the amended charter as
specified in Sec. 102-3.70.
Sec. 102-3.85 How are major charter amendments accomplished?
Procedures for making major amendments to advisory committee
charters, such as substantial changes in objectives and scope, duties,
and estimated costs, are the same as in Sec. 102-3.80, except that for
discretionary advisory committees an agency must:
(a) Consult with the Secretariat on the amended language, and
explain the purpose of the changes and why they are necessary; and
(b) File the amended charter as specified in Sec. 102-3.70.
Sec. Appendix A to Subpart B of Part 102-3--Key Points and Principles
This appendix provides additional guidance in the form of answers to
frequently asked questions and identifies key points and principles that
may be applied to situations not covered elsewhere in this subpart. The
guidance follows:
----------------------------------------------------------------------------------------------------------------
Key points and principles Section(s) Question(s) Guidance
----------------------------------------------------------------------------------------------------------------
I. Agency heads must 102-3.60, 102-3.115 1. Can an agency head delegate to A. Yes. Many
consult with the the Committee Management Officer administrative functions
Secretariat prior to (CMO) responsibility for consulting performed to implement
establishing a with the Secretariat regarding the the Act may be
discretionary advisory establishment, renewal, or delegated. However,
committee. reestablishment of discretionary those functions related
advisory committees? to approving the final
establishment, renewal,
or reestablishment of
discretionary advisory
committees are reserved
for the agency head.
Each agency CMO should
assure that their
internal processes for
managing advisory
committees include
appropriate
certifications by the
agency head.
----------------------------------------------------------------------------------------------------------------
II. Agency heads are 102-3.60(a), 102- 1. Who retains final authority for A. Although agency heads
responsible for complying 3.105 establishing or renewing a retain final authority
with the Act, including discretionary advisory committee? for establishing or
determining which renewing discretionary
discretionary advisory advisory committees,
committees should be these decisions should
established and renewed. be consistent with Sec.
102-3.105(e) and
reflect consultation
with the Secretariat
under Sec. 102-
3.60(a).
----------------------------------------------------------------------------------------------------------------
[[Page 22]]
III. An advisory committee 102-3.30(c), 102- 1. What factors should be considered A. The composition of an
must be fairly balanced 3.60(b)(3) in achieving a ``balanced'' advisory committee's
in its membership in advisory committee membership? membership will depend
terms of the points of upon several factors,
view represented and the including: (i) The
functions to be advisory committee's
performed. mission; (ii) The
geographic, ethnic,
social, economic, or
scientific impact of the
advisory committee's
recommendations; (iii)
The types of specific
perspectives required,
for example, such as
those of consumers,
technical experts, the
public at-large,
academia, business, or
other sectors; (iv) The
need to obtain divergent
points of view on the
issues before the
advisory committee; and
(v) The relevance of
State, local, or tribal
governments to the
development of the
advisory committee's
recommendations.
----------------------------------------------------------------------------------------------------------------
IV. Charters for advisory 102-3.70(b) 1. If an advisory committee's A. Yes. Section 14(b)(2)
committees required by duration exceeds two years, must a of the Act provides
statute must be filed charter be filed with the Congress that: Any advisory
every two years and GSA every two years? committee established by
regardless of the an Act of Congress shall
duration provided in the file a charter upon the
statute. expiration of each
successive two-year
period following the
date of enactment of the
Act establishing such
advisory committee.
----------------------------------------------------------------------------------------------------------------
Subpart C_How Are Advisory Committees Managed?
Sec. 102-3.90 What does this subpart cover and how does it apply?
This subpart outlines specific responsibilities and functions to be
carried out by the General Services Administration (GSA), the agency
head, the Committee Management Officer (CMO), and the Designated Federal
Officer (DFO) under the Act.
Sec. 102-3.95 What principles apply to the management of advisory
committees?
Agencies are encouraged to apply the following principles to the
management of their advisory committees:
(a) Provide adequate support. Before establishing an advisory
committee, agencies should identify requirements and assure that
adequate resources are available to support anticipated activities.
Considerations related to support include office space, necessary
supplies and equipment, Federal staff support, and access to key
decisionmakers.
(b) Focus on mission. Advisory committee members and staff should be
fully aware of the advisory committee's mission, limitations, if any, on
its duties, and the agency's goals and objectives. In general, the more
specific an advisory committee's tasks and the more focused its
activities are, the higher the likelihood will be that the advisory
committee will fulfill its mission.
(c) Follow plans and procedures. Advisory committee members and
their agency sponsors should work together to assure that a plan and
necessary procedures covering implementation are in place to support an
advisory committee's mission. In particular, agencies should be clear
regarding what functions an advisory committee can perform legally and
those that it cannot perform.
(d) Practice openness. In addition to achieving the minimum
standards of public access established by the Act and this part,
agencies should seek to be as inclusive as possible. For example,
agencies may wish to explore the use of the Internet to post advisory
committee information and seek broader input from the public.
(e) Seek feedback. Agencies continually should seek feedback from
advisory committee members and the public regarding the effectiveness of
the advisory committee's activities. At regular intervals, agencies
should communicate to the members how their advice has affected agency
programs and decisionmaking.
[[Page 23]]
Sec. 102-3.100 What are the responsibilities and functions of GSA?
(a) Under section 7 of the Act, the General Services Administration
(GSA) prepares regulations on Federal advisory committees to be
prescribed by the Administrator of General Services, issues other
administrative guidelines and management controls for advisory
committees, and assists other agencies in implementing and interpreting
the Act. Responsibility for these activities has been delegated by the
Administrator to the GSA Committee Management Secretariat.
(b) The Secretariat carries out its responsibilities by:
(1) Conducting an annual comprehensive review of Governmentwide
advisory committee accomplishments, costs, benefits, and other
indicators to measure performance;
(2) Developing and distributing Governmentwide training regarding
the Act and related statutes and principles;
(3) Supporting the Interagency Committee on Federal Advisory
Committee Management in its efforts to improve compliance with the Act;
(4) Designing and maintaining a Governmentwide shared Internet-based
system to facilitate collection and use of information required by the
Act;
(5) Identifying performance measures that may be used to evaluate
advisory committee accomplishments; and
(6) Providing recommendations for transmittal by the Administrator
to the Congress and the President regarding proposals to improve
accomplishment of the objectives of the Act.
Sec. 102-3.105 What are the responsibilities of an agency head?
The head of each agency that establishes or utilizes one or more
advisory committees must:
(a) Comply with the Act and this Federal Advisory Committee
Management part;
(b) Issue administrative guidelines and management controls that
apply to all of the agency's advisory committees subject to the Act;
(c) Designate a Committee Management Officer (CMO);
(d) Provide a written determination stating the reasons for closing
any advisory committee meeting to the public, in whole or in part, in
accordance with the exemption(s) of the Government in the Sunshine Act,
5 U.S.C. 552b(c), as the basis for closure;
(e) Review, at least annually, the need to continue each existing
advisory committee, consistent with the public interest and the purpose
or functions of each advisory committee;
(f) Determine that rates of compensation for members (if they are
paid for their services) and staff of, and experts and consultants to
advisory committees are justified and that levels of agency support are
adequate;
(g) Develop procedures to assure that the advice or recommendations
of advisory committees will not be inappropriately influenced by the
appointing authority or by any special interest, but will instead be the
result of the advisory committee's independent judgment;
(h) Assure that the interests and affiliations of advisory committee
members are reviewed for conformance with applicable conflict of
interest statutes, regulations issued by the U.S. Office of Government
Ethics (OGE) including any supplemental agency requirements, and other
Federal ethics rules;
(i) Designate a Designated Federal Officer (DFO) for each advisory
committee and its subcommittees; and
(j) Provide the opportunity for reasonable participation by the
public in advisory committee activities, subject to Sec. 102-3.140 and
the agency's guidelines.
Sec. 102-3.110 What are the responsibilities of a chairperson of an
independent Presidential advisory committee?
The chairperson of an independent Presidential advisory committee
must:
(a) Comply with the Act and this Federal Advisory Committee
Management part;
(b) Consult with the Secretariat concerning the designation of a
Committee Management Officer (CMO) and Designated Federal Officer (DFO);
and
(c) Consult with the Secretariat in advance regarding any proposal
to close any meeting in whole or in part.
[[Page 24]]
Sec. 102-3.115 What are the responsibilities and functions of an
agency Committee Management Officer (CMO)?
In addition to implementing the provisions of section 8(b) of the
Act, the CMO will carry out all responsibilities delegated by the agency
head. The CMO also should ensure that sections 10(b), 12(a), and 13 of
the Act are implemented by the agency to provide for appropriate
recordkeeping. Records to be kept by the CMO include, but are not
limited to:
(a) Charter and membership documentation. A set of filed charters
for each advisory committee and membership lists for each advisory
committee and subcommittee;
(b) Annual comprehensive review. Copies of the information provided
as the agency's portion of the annual comprehensive review of Federal
advisory committees, prepared according to Sec. 102-3.175(b);
(c) Agency guidelines. Agency guidelines maintained and updated on
committee management operations and procedures; and
(d) Closed meeting determinations. Agency determinations to close or
partially close advisory committee meetings required by Sec. 102-3.105.
Sec. 102-3.120 What are the responsibilities and functions of
a Designated Federal Officer (DFO)?
The agency head or, in the case of an independent Presidential
advisory committee, the Secretariat, must designate a Federal officer or
employee who must be either full-time or permanent part-time, to be the
DFO for each advisory committee and its subcommittees, who must:
(a) Approve or call the meeting of the advisory committee or
subcommittee;
(b) Approve the agenda, except that this requirement does not apply
to a Presidential advisory committee;
(c) Attend the meetings;
(d) Adjourn any meeting when he or she determines it to be in the
public interest; and
(e) Chair the meeting when so directed by the agency head.
Sec. 102-3.125 How should agencies consider the roles of advisory
committee members and staff?
FACA does not assign any specific responsibilities to members of
advisory committees and staff, although both perform critical roles in
achieving the goals and objectives assigned to advisory committees.
Agency heads, Committee Management Officers (CMOs), and Designated
Federal Officers (DFOs) should consider the distinctions between these
roles and how they relate to each other in the development of agency
guidelines implementing the Act and this Federal Advisory Committee
Management part. In general, these guidelines should reflect:
(a) Clear operating procedures. Clear operating procedures should
provide for the conduct of advisory committee meetings and other
activities, and specify the relationship among the advisory committee
members, the DFO, and advisory committee or agency staff;
(b) Agency operating policies. In addition to compliance with the
Act, advisory committee members and staff may be required to adhere to
additional agency operating policies; and
(c) Other applicable statutes. Other agency-specific statutes and
regulations may affect the agency's advisory committees directly or
indirectly. Agencies should ensure that advisory committee members and
staff understand these requirements.
Sec. 102-3.130 What policies apply to the appointment, and
compensation or reimbursement of advisory committee members, staff,
and experts and consultants?
In developing guidelines to implement the Act and this Federal
Advisory Committee Management part at the agency level, agency heads
must address the following issues concerning advisory committee member
and staff appointments, and considerations with respect to uniform fair
rates of compensation for comparable services, or expense reimbursement
of members, staff, and experts and consultants:
(a) Appointment and terms of advisory committee members. Unless
otherwise provided by statute, Presidential directive, or other
establishment authority,
[[Page 25]]
advisory committee members serve at the pleasure of the appointing or
inviting authority. Membership terms are at the sole discretion of the
appointing or inviting authority.
(b) Compensation guidelines. Each agency head must establish uniform
compensation guidelines for members and staff of, and experts and
consultants to an advisory committee.
(c) Compensation of advisory committee members not required. Nothing
in this subpart requires an agency head to provide compensation to any
member of an advisory committee, unless otherwise required by a specific
statute.
(d) Compensation of advisory committee members. When an agency has
authority to set pay administratively for advisory committee members, it
may establish appropriate rates of pay (including any applicable
locality pay authorized by the President's Pay Agent under 5 U.S.C.
5304(h)), not to exceed the rate for level IV of the Executive Schedule
under 5 U.S.C. 5315, unless a higher rate expressly is allowed by
another statute. However, the agency head personally must authorize a
rate of basic pay in excess of the maximum rate of basic pay established
for the General Schedule under 5 U.S.C. 5332, or alternative similar
agency compensation system. This maximum rate includes any applicable
locality payment under 5 U.S.C. 5304. The agency may pay advisory
committee members on either an hourly or a daily rate basis. The agency
may not provide additional compensation in any form, such as bonuses or
premium pay.
(e) Compensation of staff. When an agency has authority to set pay
administratively for advisory committee staff, it may establish
appropriate rates of pay (including any applicable locality pay
authorized by the President's Pay Agent under 5 U.S.C. 5304(h)), not to
exceed the rate for level IV of the Executive Schedule under 5 U.S.C.
5315, unless a higher rate expressly is allowed by another statute.
However, the agency head personally must authorize a rate of basic pay
in excess of the maximum rate of basic pay established for the General
Schedule under 5 U.S.C. 5332, or alternative similar agency compensation
system. This maximum rate includes any applicable locality payment under
5 U.S.C. 5304. The agency must pay advisory committee staff on an hourly
rate basis. The agency may provide additional compensation, such as
bonuses or premium pay, so long as aggregate compensation paid in a
calendar year does not exceed the rate for level IV of the Executive
Schedule, with appropriate proration for a partial calendar year.
(f) Other compensation considerations. In establishing rates of pay
for advisory committee members and staff, the agency must comply with
any applicable statutes, Executive orders, regulations, or
administrative guidelines. In determining an appropriate rate of basic
pay for advisory committee members and staff, an agency must give
consideration to the significance, scope, and technical complexity of
the matters with which the advisory committee is concerned, and the
qualifications required for the work involved. The agency also should
take into account the rates of pay applicable to Federal employees who
have duties that are similar in terms of difficulty and responsibility.
An agency may establish rates of pay for advisory committee staff based
on the pay these persons would receive if they were covered by the
General Schedule in 5 U.S.C. Chapter 51 and Chapter 53, subchapter III,
or by an alternative similar agency compensation system.
(g) Compensation of experts and consultants. Whether or not an
agency has other authority to appoint and compensate advisory committee
members or staff, it also may employ experts and consultants under 5
U.S.C. 3109 to perform work for an advisory committee. Compensation of
experts and consultants may not exceed the maximum rate of basic pay
established for the General Schedule under 5 U.S.C. 5332 (that is, the
GS-15, step 10 rate, excluding locality pay or any other supplement),
unless a higher rate expressly is allowed by another statute. The
appointment and compensation of experts and consultants by an agency
must be in conformance with applicable regulations issued by the U. S.
Office of Personnel Management (OPM) (See 5 CFR part 304.).
[[Page 26]]
(h) Federal employees assigned to an advisory committee. Any
advisory committee member or staff person who is a Federal employee when
assigned duties to an advisory committee remains covered during the
assignment by the compensation system that currently applies to that
employee, unless that person's current Federal appointment is
terminated. Any staff person who is a Federal employee must serve with
the knowledge of the Designated Federal Officer (DFO) for the advisory
committee to which that person is assigned duties, and the approval of
the employee's direct supervisor.
(i) Other appointment considerations. An individual who is appointed
as an advisory committee member or staff person immediately following
termination of another Federal appointment with a full-time work
schedule may receive compensation at the rate applicable to the former
appointment, if otherwise allowed by applicable law (without regard to
the limitations on pay established in paragraphs (d) and (e) of this
section). Any advisory committee staff person who is not a current
Federal employee serving under an assignment must be appointed in
accordance with applicable agency procedures, and in consultation with
the DFO and the members of the advisory committee involved.
(j) Gratuitous services. In the absence of any special limitations
applicable to a specific agency, nothing in this subpart prevents an
agency from accepting the gratuitous services of an advisory committee
member or staff person who is not a Federal employee, or expert or
consultant, who agrees in advance and in writing to serve without
compensation.
(k) Travel expenses. Advisory committee members and staff, while
engaged in the performance of their duties away from their homes or
regular places of business, may be allowed reimbursement for travel
expenses, including per diem in lieu of subsistence, as authorized by 5
U.S.C. 5703, for persons employed intermittently in the Government
service.
(l) Services for advisory committee members with disabilities. While
performing advisory committee duties, an advisory committee member with
disabilities may be provided services by a personal assistant for
employees with disabilities, if the member qualifies as an individual
with disabilities as provided in section 501 of the Rehabilitation Act
of 1973, as amended, 29 U.S.C. 791, and does not otherwise qualify for
assistance under 5 U.S.C. 3102 by reason of being a Federal employee.
Sec. Appendix A to Subpart C of Part 102-3--Key Points and
Principles
This appendix provides additional guidance in the form of answers to
frequently asked questions and identifies key points and principles that
may be applied to situations not covered elsewhere in this subpart. The
guidance follows:
----------------------------------------------------------------------------------------------------------------
Key points and principles Section Question(s) Guidance
----------------------------------------------------------------------------------------------------------------
I. FACA does not specify 102-3.105, 102- 1. Does the appointment of an A. No. Each agency head
the manner in which 3.130(a) advisory committee member may specify those
advisory committee necessarily result in a lengthy policies and procedures,
members and staff must be process? consistent with the Act
appointed and this part, or other
specific authorizing
statute, governing the
appointment of advisory
committee members and
staff.
B. Some factors that
affect how long the
appointment process
takes include: (i)
Solicitation of
nominations; (ii)
Conflict of interest
clearances; (iii)
Security or background
evaluations; (iv)
Availability of
candidates; and (v)
Other statutory or
administrative
requirements.
C. In addition, the
extent to which agency
heads have delegated
responsibility for
selecting members varies
from agency to agency
and may become an
important factor in the
time it takes to
finalize the advisory
committee's membership.
----------------------------------------------------------------------------------------------------------------
[[Page 27]]
II. Agency heads retain 102-3.130(a) 1. Can an agency head select for A. The answer to question
the final authority for membership on an advisory committee 1 is yes. Organizations
selecting advisory from among nominations submitted by may propose for
committee members, unless an organization? membership individuals
otherwise provided for by to represent them on an
a specific statute or advisory committee.
Presidential directive However, the agency head
establishing the
advisory committee, or
other appointing
authority, retains the
final authority for
selecting all members.
2. If so, can different persons B. The answer to question
represent the organization at 2 also is yes.
different meetings? Alternates may represent
an appointed member with
the approval of the
establishing agency,
where the agency head is
the appointing
authority.
----------------------------------------------------------------------------------------------------------------
III. An agency may 102-3.130(d), 102- 1. May members and staff be A. The answer to question
compensate advisory 3.130(e), 102- compensated for their service or 1 is yes. (i) However,
committee members and 3.130(g) duties on an advisory committee? FACA limits compensation
staff, and also employ 2. Are the guidelines the same for for advisory committee
experts and consultants compensating both members and members and staff to the
staff? rate for level IV of the
3. May experts and consultants be Executive Schedule,
employed to perform other advisory unless higher rates
committee work? expressly are allowed by
other statutes. (ii)
Although FACA provides
for compensation
guidelines, the Act does
not require an agency to
compensate its advisory
committee members.
B. The answer to question
2 is no. The guidelines
for compensating members
and staff are similar,
but not identical. For
example, the differences
are that: (i) An agency
``may'' pay members on
either an hourly or a
daily rate basis, and
``may not'' provide
additional compensation
in any form, such as
bonuses or premium pay;
while (ii) An agency
``must'' pay staff on an
hourly rate basis only,
and ``may'' provide
additional compensation,
so long as aggregate
compensation paid in a
calendar year does not
exceed the rate for
level IV of the
Executive Schedule, with
appropriate proration
for a partial calendar
year.
C. The answer to question
3 is yes. Other work not
part of the duties of
advisory committee
members or staff may be
performed by experts and
consultants. For
additional guidance on
the employment of
experts and consultants,
agencies should consult
the applicable
regulations issued by
the U. S. Office of
Personnel Management
(OPM). (See 5 CFR part
304.)
----------------------------------------------------------------------------------------------------------------
IV. Agency heads are 102-3.105(h) 1. Are all advisory committee A. The answer to question
responsible for ensuring members subject to conflict of 1 is no. Whether an
that the interests and interest statutes and other Federal advisory committee
affiliations of advisory ethics rules? member is subject to
committee members are 2. Who should be consulted for Federal ethics rules is
reviewed for conformance guidance on the proper application dependent on the
with applicable conflict of Federal ethics rules to advisory member's status. The
of interest statutes and committee members? determination of a
other Federal ethics member's status on an
rules. advisory committee is
largely a personnel
classification matter
for the appointing
agency. Most advisory
committee members will
serve either as a
``representative'' or a
``special Government
employee'' (SGE), based
on the role the member
will play. In general,
SGEs are covered by
regulations issued by
the U. S. Office of
Government Ethics (OGE)
and certain conflict of
interest statutes, while
representatives are not
subject to these ethics
requirements.
[[Page 28]]
B. The answer to question
2 is the agency's
Designated Agency Ethics
Official (DAEO), who
should be consulted
prior to appointing
members to an advisory
committee in order to
apply Federal ethics
rules properly.
----------------------------------------------------------------------------------------------------------------
V. An agency head may 102-3.105(c), 102- 1. Must an agency's CMO and each A. The answer to question
delegate responsibility 3.105(i) advisory committee DFO be appointed 1 is no. The agency head
for appointing a by the agency head? may delegate
Committee Management responsibility for
Officer (CMO) or appointing the CMO and
Designated Federal DFOs. However, these
Officer (DFO); however, appointments, including
there may be only one CMO alternate selections,
for each agency. should be documented
consistent with the
agency's policies and
procedures.
2. May an agency have more than one B. The answer to question
CMO? 2 also is no. The
functions of the CMO are
specified in the Act and
include oversight
responsibility for all
advisory committees
within the agency.
Accordingly, only one
CMO may be appointed to
perform these functions.
The agency may, however,
create additional
positions, including
those in its
subcomponents, which are
subordinate to the CMO's
agencywide
responsibilities and
functions.
----------------------------------------------------------------------------------------------------------------
VI. FACA is the principal 102-3.125(c) 1. Do other statutes or regulations A. Yes. While the Act
statute pertaining to affect the way an agency carries provides a general
advisory committees. out its advisory committee framework for managing
However, other statutes management program? advisory committees
may impact their use and Governmentwide, other
operations. factors may affect how
advisory committees are
managed. These include:
(i) The statutory or
Presidential authority
used to establish an
advisory committee; (ii)
A statutory limitation
placed on an agency
regarding its annual
expenditures for
advisory committees;
(iii) Presidential or
agency management
directives; (iv) The
applicability of
conflict of interest
statutes and other
Federal ethics rules;
(v) Agency regulations
affecting advisory
committees; and (vi)
Other requirements
imposed by statute or
regulation on an agency
or its programs, such as
those governing the
employment of experts
and consultants or the
management of Federal
records.
----------------------------------------------------------------------------------------------------------------
Subpart D_Advisory Committee Meeting and Recordkeeping Procedures
Sec. 102-3.135 What does this subpart cover and how does it apply?
This subpart establishes policies and procedures relating to
meetings and other activities undertaken by advisory committees and
their subcommittees. This subpart also outlines what records must be
kept by Federal agencies and what other documentation, including
advisory committee minutes and reports, must be prepared and made
available to the public.
Sec. 102-3.140 What policies apply to advisory committee meetings?
The agency head, or the chairperson of an independent Presidential
advisory committee, must ensure that:
(a) Each advisory committee meeting is held at a reasonable time and
in a manner or place reasonably accessible to the public, to include
facilities that are readily accessible to and usable by persons with
disabilities, consistent with the goals of section 504 of the
Rehabilitation Act of 1973, as amended, 29 U.S.C. 794;
(b) The meeting room or other forum selected is sufficient to
accommodate
[[Page 29]]
advisory committee members, advisory committee or agency staff, and a
reasonable number of interested members of the public;
(c) Any member of the public is permitted to file a written
statement with the advisory committee;
(d) Any member of the public may speak to or otherwise address the
advisory committee if the agency's guidelines so permit; and
(e) Any advisory committee meeting conducted in whole or part by a
teleconference, videoconference, the Internet, or other electronic
medium meets the requirements of this subpart.
Sec. 102-3.145 What policies apply to subcommittee meetings?
If a subcommittee makes recommendations directly to a Federal
officer or agency, or if its recommendations will be adopted by the
parent advisory committee without further deliberations by the parent
advisory committee, then the subcommittee's meetings must be conducted
in accordance with all openness requirements of this subpart.
Sec. 102-3.150 How are advisory committee meetings announced to
the public?
(a) A notice in the Federal Register must be published at least 15
calendar days prior to an advisory committee meeting, which includes:
(1) The name of the advisory committee (or subcommittee, if
applicable);
(2) The time, date, place, and purpose of the meeting;
(3) A summary of the agenda, and/or topics to be discussed;
(4) A statement whether all or part of the meeting is open to the
public or closed; if the meeting is closed state the reasons why, citing
the specific exemption(s) of the Government in the Sunshine Act, 5
U.S.C. 552b(c), as the basis for closure; and
(5) The name and telephone number of the Designated Federal Officer
(DFO) or other responsible agency official who may be contacted for
additional information concerning the meeting.
(b) In exceptional circumstances, the agency or an independent
Presidential advisory committee may give less than 15 calendar days
notice, provided that the reasons for doing so are included in the
advisory committee meeting notice published in the Federal Register.
Sec. 102-3.155 How are advisory committee meetings closed to the
public?
To close all or part of an advisory committee meeting, the
Designated Federal Officer (DFO) must:
(a) Obtain prior approval. Submit a request to the agency head, or
in the case of an independent Presidential advisory committee, the
Secretariat, citing the specific exemption(s) of the Government in the
Sunshine Act, 5 U.S.C. 552b(c), that justify the closure. The request
must provide the agency head or the Secretariat sufficient time
(generally, 30 calendar days) to review the matter in order to make a
determination before publication of the meeting notice required by Sec.
102-3.150.
(b) Seek General Counsel review. The General Counsel of the agency
or, in the case of an independent Presidential advisory committee, the
General Counsel of GSA should review all requests to close meetings.
(c) Obtain agency determination. If the agency head, or in the case
of an independent Presidential advisory committee, the Secretariat,
finds that the request is consistent with the provisions in the
Government in the Sunshine Act and FACA, the appropriate agency official
must issue a determination that all or part of the meeting be closed.
(d) Assure public access to determination. The agency head or the
chairperson of an independent Presidential advisory committee must make
a copy of the determination available to the public upon request.
Sec. 102-3.160 What activities of an advisory committee are not
subject to the notice and open meeting requirements of the Act?
The following activities of an advisory committee are excluded from
the procedural requirements contained in this subpart:
(a) Preparatory work. Meetings of two or more advisory committee or
subcommittee members convened solely to gather information, conduct
research,
[[Page 30]]
or analyze relevant issues and facts in preparation for a meeting of the
advisory committee, or to draft position papers for deliberation by the
advisory committee; and
(b) Administrative work. Meetings of two or more advisory committee
or subcommittee members convened solely to discuss administrative
matters of the advisory committee or to receive administrative
information from a Federal officer or agency.
Sec. 102-3.165 How are advisory committee meetings documented?
(a) The agency head or, in the case of an independent Presidential
advisory committee, the chairperson must ensure that detailed minutes of
each advisory committee meeting, including one that is closed or
partially closed to the public, are kept. The chairperson of each
advisory committee must certify the accuracy of all minutes of advisory
committee meetings.
(b) The minutes must include:
(1) The time, date, and place of the advisory committee meeting;
(2) A list of the persons who were present at the meeting, including
advisory committee members and staff, agency employees, and members of
the public who presented oral or written statements;
(3) An accurate description of each matter discussed and the
resolution, if any, made by the advisory committee regarding such
matter; and
(4) Copies of each report or other document received, issued, or
approved by the advisory committee at the meeting.
(c) The Designated Federal Officer (DFO) must ensure that minutes
are certified within 90 calendar days of the meeting to which they
relate.
Sec. 102-3.170 How does an interested party obtain access to
advisory committee records?
Timely access to advisory committee records is an important element
of the public access requirements of the Act. Section 10(b) of the Act
provides for the contemporaneous availability of advisory committee
records that, when taken in conjunction with the ability to attend
committee meetings, provide a meaningful opportunity to comprehend fully
the work undertaken by the advisory committee. Although advisory
committee records may be withheld under the provisions of the Freedom of
Information Act (FOIA), as amended, if there is a reasonable expectation
that the records sought fall within the exemptions contained in section
552(b) of FOIA, agencies may not require members of the public or other
interested parties to file requests for non-exempt advisory committee
records under the request and review process established by section
552(a)(3) of FOIA.
Sec. 102-3.175 What are the reporting and recordkeeping requirements
for an advisory committee?
(a) Presidential advisory committee follow-up report. Within one
year after a Presidential advisory committee has submitted a public
report to the President, a follow-up report required by section 6(b) of
the Act must be prepared and transmitted to the Congress detailing the
disposition of the advisory committee's recommendations. The Secretariat
shall assure that these reports are prepared and transmitted to the
Congress as directed by the President, either by the President's
delegate, by the agency responsible for providing support to a
Presidential advisory committee, or by the responsible agency or
organization designated in the charter of the Presidential advisory
committee pursuant to Sec. 102-3.75(a)(10). In performing this
function, GSA may solicit the assistance of the President's delegate,
the Office of Management and Budget (OMB), or the responsible agency
Committee Management Officer (CMO), as appropriate. Reports shall be
consistent with specific guidance provided periodically by the
Secretariat.
(b) Annual comprehensive review of Federal advisory committees. To
conduct an annual comprehensive review of each advisory committee as
specified in section 7(b) of the Act, GSA requires Federal agencies to
report information on each advisory committee for which a charter has
been filed in accordance with Sec. 102-3.70, and which is in existence
during any part of a Federal fiscal year. Committee Management Officers
(CMOs), Designated Federal Officers
[[Page 31]]
(DFOs), and other responsible agency officials will provide this
information by data filed electronically with GSA on a fiscal year
basis, using a Governmentwide shared Internet-based system that GSA
maintains. This information shall be consistent with specific guidance
provided periodically by the Secretariat. The preparation of these
electronic submissions by agencies has been assigned interagency report
control number (IRCN) 0304-GSA-AN.
(c) Annual report of closed or partially-closed meetings. In
accordance with section 10(d) of the Act, advisory committees holding
closed or partially-closed meetings must issue reports at least
annually, setting forth a summary of activities and such related matters
as would be informative to the public consistent with the policy of 5
U.S.C. 552(b).
(d) Advisory committee reports. Subject to 5 U.S.C. 552, 8 copies of
each report made by an advisory committee, including any report of
closed or partially-closed meetings as specified in paragraph (c) of
this section and, where appropriate, background papers prepared by
experts or consultants, must be filed with the Library of Congress as
required by section 13 of the Act for public inspection and use at the
location specified Sec. 102-3.70(a)(3).
(e) Advisory committee records. Official records generated by or for
an advisory committee must be retained for the duration of the advisory
committee. Upon termination of the advisory committee, the records must
be processed in accordance with the Federal Records Act (FRA), 44 U.S.C.
Chapters 21, 29-33, and regulations issued by the National Archives and
Records Administration (NARA) (see 36 CFR parts 1220, 1222, 1228, and
1234), or in accordance with the Presidential Records Act (PRA), 44
U.S.C. Chapter 22.
Sec. Appendix A to Subpart D of Part 102-3--Key Points and Principles
This appendix provides additional guidance in the form of answers to
frequently asked questions and identifies key points and principles that
may be applied to situations not covered elsewhere in this subpart. The
guidance follows:
----------------------------------------------------------------------------------------------------------------
Key points and principles Section(s) Question(s) Guidance
----------------------------------------------------------------------------------------------------------------
I. With some exceptions, 102-3.140, 102- 1. Must all advisory committee and A. No. Advisory committee
advisory committee 3.145(a), 102- subcommittee meetings be open to meetings may be closed
meetings are open to the 3.155 the public? when appropriate, in
public accordance with the
exemption(s) for closure
contained in the
Government in the
Sunshine Act, 5 U.S.C.
552b(c). (i)
Subcommittees that
report to a parent
advisory committee, and
not directly to a
Federal officer or
agency, are not required
to open their meetings
to the public or comply
with the procedures in
the Act for announcing
meetings. (ii) However,
agencies are cautioned
to avoid excluding the
public from attending
any meeting where a
subcommittee develops
advice or
recommendations that are
not expected to be
reviewed and considered
by the parent advisory
committee before being
submitted to a Federal
officer or agency. These
exclusions may run
counter to the
provisions of the Act
requiring
contemporaneous access
to the advisory
committee deliberative
process.
----------------------------------------------------------------------------------------------------------------
[[Page 32]]
II. Notices must be 102-3.150 1. Can agencies publish a single A. Yes, agencies may
published in the Federal Federal Register notice announcing publish a single notice
Register announcing multiple advisory committee announcing multiple
advisory committee meetings? meetings so long as
meetings these notices contain
all of the information
required by Sec. 102-
3.150. (i) ``Blanket
notices'' should not
announce meetings so far
in advance as to prevent
the public from
adequately being
informed of an advisory
committee's schedule.
(ii) An agency's Office
of General Counsel
should be consulted
where these notices
include meetings that
are either closed or
partially closed to the
public.
----------------------------------------------------------------------------------------------------------------
[[Page 33]]
III. Although certain 102-3.170 1. May an agency require the use of A. No. Section 10(b) of
advisory committee its internal FOIA procedures for FACA provides that:
records may be withheld access to advisory committee Subject to section 552
under the Freedom of records that are not exempt from of title 5, United
Information Act (FOIA), release under FOIA? States Code, the
as amended, 5 U.S.C. 552, records, reports,
agencies may not require transcripts, minutes,
the use of FOIA appendixes, working
procedures for records papers, drafts, studies,
available under section agenda, or other
10(b) of FACA documents which were
made available to or
prepared for or by each
advisory committee shall
be available for public
inspection and copying
at a single location in
the offices of the
advisory committee or
the agency to which the
advisory committee
reports until the
advisory committee
ceases to exist. (i) The
purpose of section 10(b)
of the Act is to provide
for the contemporaneous
availability of advisory
committee records that,
when taken in
conjunction with the
ability to attend
advisory committee
meetings, provide a
meaningful opportunity
to comprehend fully the
work undertaken by the
advisory committee. (ii)
Although advisory
committee records may be
withheld under the
provisions of FOIA if
there is a reasonable
expectation that the
records sought fall
within the exemptions
contained in section
552(b) of FOIA, agencies
may not require members
of the public or other
interested parties to
file requests for non-
exempt advisory
committee records under
the request and review
process established by
section 552(a)(3) of
FOIA. (iii) Records
covered by the
exemptions set forth in
section 552(b) of FOIA
may be withheld. An
opinion of the Office of
Legal Counsel (OLC),
U.S. Department of
Justice concludes that:
FACA requires disclosure
of written advisory
committee documents,
including predecisional
materials such as
drafts, working papers,
and studies. The
disclosure exemption
available to agencies
under exemption 5 of
FOIA for predecisional
documents and other
privileged materials is
narrowly limited in the
context of FACA to
privileged ``inter-
agency or intra-agency''
documents prepared by an
agency and transmitted
to an advisory
committee. The language
of the FACA statute and
its legislative history
support this restrictive
application of exemption
5 to requests for public
access to advisory
committee documents.
Moreover, since an
advisory committee is
not itself an agency,
this construction is
supported by the express
language of exemption 5
which applies only to
inter-agency or intra-
agency materials. (iv)
Agencies first should
determine, however,
whether or not records
being sought by the
public fall within the
scope of FACA in
general, and section
10(b) of the Act in
particular, prior to
applying the available
exemptions under FOIA.
(See OLC Opinion 12 Op.
O.L.C. 73, dated April
29, 1988, which is
available from the
Committee Management
Secretariat (MC),
General Services
Administration, 1800 F
Street, NW., Washington,
DC 20405-0002.)
----------------------------------------------------------------------------------------------------------------
[[Page 34]]
IV. Advisory committee 102-175(e) 1. How must advisory committee A. In order to ensure
records must be managed records be treated and preserved? proper records
in accordance with the management, the
Federal Records Act Committee Management
(FRA), 44 U.S.C. Chapters Officer (CMO),
21, 29-33, and Designated Federal
regulations issued by the Officer (DFO), or other
National Archives and representative of the
Records Administration advisory committee, in
(NARA) (see 36 CFR parts coordination with the
1220, 1222, 1228, and agency's Records
1234), or the Management Officer,
Presidential Records Act should clarify upon the
(PRA), 44 U.S.C. Chapter establishment of the
22 advisory committee
whether its records will
be managed in accordance
with the FRA or the PRA.
B. Official records
generated by or for an
advisory committee must
be retained for the
duration of the advisory
committee. Responsible
agency officials are
encouraged to contact
their agency's Records
Management Officer or
NARA as soon as possible
after the establishment
of the advisory
committee to receive
guidance on how to
establish effective
records management
practices. Upon
termination of the
advisory committee, the
records must be
processed in accordance
with the FRA and
regulations issued by
NARA, or in accordance
with the PRA.
C. The CMO, DFO, or other
representative of an
advisory committee
governed by the FRA, in
coordination with the
agency's Records
Management Officer, must
contact NARA in
sufficient time to
review the process for
submitting any necessary
disposition schedules of
the advisory committee's
records upon
termination. In order to
ensure the proper
disposition of the
advisory committee's
records, disposition
schedules need to be
submitted to NARA no
later than 6 months
before the termination
of the advisory
committee.
D. For Presidential
advisory committees
governed by the PRA, the
CMO, DFO, or other
representative of the
advisory committee
should consult with the
White House Counsel on
the preservation of any
records subject to the
PRA, and may also confer
with NARA officials.
----------------------------------------------------------------------------------------------------------------
Subpart E_How Does This Subpart Apply to Advice or Recommendations
Provided to Agencies by the National Academy of Sciences or the National
Academy of Public Administration?
Sec. 102-3.180 What does this subpart cover and how does it apply?
This subpart provides guidance to agencies on compliance with
section 15 of the Act. Section 15 establishes requirements that apply
only in connection with a funding or other written agreement involving
an agency's use of advice or recommendations provided to the agency by
the National Academy of Sciences (NAS) or the National Academy of Public
Administration (NAPA), if such advice or recommendations were developed
by use of a committee created by either academy. For purposes of this
subpart, NAS also includes the National Academy of Engineering, the
Institute of Medicine, and the National Research Council. Except with
respect to NAS committees that were the subject of judicial actions
filed before December 17, 1997, no part of the Act other than section 15
applies to any committee created by NAS or NAPA.
[[Page 35]]
Sec. 102-3.185 What does this subpart require agencies to do?
(a) Section 15 requirements. An agency may not use any advice or
recommendation provided to an agency by the National Academy of Sciences
(NAS) or the National Academy of Public Administration (NAPA) under an
agreement between the agency and an academy, if such advice or
recommendation was developed by use of a committee created by either
academy, unless:
(1) The committee was not subject to any actual management or
control by an agency or officer of the Federal Government; and
(2) In the case of NAS, the academy certifies that it has complied
substantially with the requirements of section 15(b) of the Act; or
(3) In the case of NAPA, the academy certifies that it has complied
substantially with the requirements of sections 15(b) (1), (2), and (5)
of the Act.
(b) No agency management or control. Agencies must not manage or
control the specific procedures adopted by each academy to comply with
the requirements of section 15 of the Act that are applicable to that
academy. In addition, however, any committee created and used by an
academy in the development of any advice or recommendation to be
provided by the academy to an agency must be subject to both actual
management and control by that academy and not by the agency.
(c) Funding agreements. Agencies may enter into contracts, grants,
and cooperative agreements with NAS or NAPA that are consistent with the
requirements of this subpart to obtain advice or recommendations from
such academy. These funding agreements require, and agencies may rely
upon, a written certification by an authorized representative of the
academy provided to the agency upon delivery to the agency of each
report containing advice or recommendations required under the agreement
that:
(1) The academy has adopted policies and procedures that comply with
the applicable requirements of section 15 of the Act; and
(2) To the best of the authorized representative's knowledge and
belief, these policies and procedures substantially have been complied
with in performing the work required under the agreement.
Sec. Appendix A to Subpart E of Part 102-3--Key Points and Principles
This appendix provides additional guidance in the form of answers to
frequently asked questions and identifies key points and principles that
may be applied to situations not covered elsewhere in this subpart. The
guidance follows:
----------------------------------------------------------------------------------------------------------------
Key points and principles Section(s) Question(s) Guidance
----------------------------------------------------------------------------------------------------------------
I. Section 15 of the Act 102-3.185(a) 1. May agencies rely upon an academy A. Yes. NAS and NAPA are
allows the National certification regarding compliance completely separate
Academy of Sciences (NAS) with section 15 of the Act if organizations. Each is
and the National Academy different policies and procedures independently chartered
of Public Administration are adopted by NAS and NAPA? by the Congress for
(NAPA) to adopt separate different purposes, and
procedures for complying Congress has recognized
with FACA that the two
organizations are
structured and operate
differently. Agencies
should defer to the
discretion of each
academy to adopt
policies and procedures
that will enable it to
comply substantially
with the provisions of
section 15 of the Act
that apply to that
academy.
II. Section 15 of the Act 102-3.185(c) 1. Can an agency enter into a A. Yes, if the members of
allows agencies to enter funding agreement with an academy the committee are
into funding agreements which provides for the preparation selected by the academy
with NAS and NAPA without of one or more academy reports and if the committee's
the academies' committees containing advice or meetings, deliberations,
being ``managed'' or recommendations to the agency, to and the preparation of
``controlled'' be developed by the academy by use reports are all
of a committee created by the controlled by the
academy, without subjecting an academy. Under these
academy to ``actual management or circumstances, neither
control'' by the agency? the existence of the
funding agreement nor
the fact that it
contemplates use by the
academy of an academy
committee would
constitute actual
management or control of
the committee by the
agency.
----------------------------------------------------------------------------------------------------------------
[[Page 36]]
PART 102 4_NONDISCRIMINATION IN FEDERAL FINANCIAL ASSISTANCE PROGRAMS
[RESERVED]
PART 102-5-HOME-TO-WORK TRANSPORTATION--Table of Contents
Subpart A_General
Sec.
102-5.5 Preamble.
102-5.10 What does this part cover?
102-5.15 Who is covered by this part?
102-5.20 Who is not covered by this part?
102-5.25 What additional guidance concerning home-to-work transportation
should Federal agencies issue?
102-5.30 What definitions apply to this part?
Subpart B_Authorizing Home-to-Work Transportation
102-5.35 Who is authorized home-to-work transportation?
102-5.40 May the agency head delegate the authority to make home-to-work
determinations?
102-5.45 Should determinations be completed before an employee is
provided with home-to-work transportation?
102-5.50 May determinations be made in advance for employees who respond
to unusual circumstances when they arise?
102-5.55 How do we prepare determinations?
102-5.60 How long are initial determinations effective?
102-5.65 What procedures apply when the need for home-to-work
transportation exceeds the initial period?
102-5.70 What considerations apply in making a determination to
authorize home-to-work transportation for field work?
102-5.75 What circumstances do not establish a basis for authorizing
home-to-work transportation for field work?
102-5.80 What are some examples of positions that may involve field
work?
102-5.85 What information should our determination for field work
include if positions are identified rather than named
individuals?
102-5.90 Should an agency consider whether to base a Government
passenger carrier at a Government facility near the employee's
home or work rather than authorize the employee home-to-work
transportation?
102-5.95 Is the comfort and/or convenience of an employee considered
sufficient justification to authorize home-to-work
transportation?
102-5.100 May we use home-to-work transportation for other than official
purposes?
102-5.105 May others accompany an employee using home-to-work
transportation?
Subpart C_Documenting and Reporting Determinations
102-5.110 Must we report our determinations outside of our agency?
102-5.115 When must we report our determinations?
102-5.120 What are our responsibilities for documenting use of home-to-
work transportation?
Authority: 40 U.S.C. 121(c); 31 U.S.C. 1344(e)(1).
Source: 65 FR 54966, Sept. 12, 2000, unless otherwise noted.
Subpart A_General
Sec. 102-5.5 Preamble.
(a) The questions and associated answers in this part are regulatory
in effect. Thus compliance with the written text of this part is
required by all to whom it applies.
(b) The terms ``we,'' ``I,'' ``our,'' ``you,'' and ``your,'' when
used in this part, mean you as a Federal agency, an agency head, or an
employee, as appropriate.
Sec. 102-5.10 What does this part cover?
This part covers the use of Government passenger carriers to
transport employees between their homes and places of work.
Sec. 102-5.15 Who is covered by this part?
This part covers Federal agency employees in the executive,
judicial, and legislative branches of the Government, with the exception
of employees of the Senate, House of Representatives, Architect of the
Capitol, and government of the District of Columbia.
Sec. 102-5.20 Who is not covered by this part?
This part does not cover:
(a) Employees who use a passenger carrier in conjunction with
official travel, including temporary duty (TDY) or relocation;
(b) Employees who are essential for the safe and efficient
performance of
[[Page 37]]
intelligence, counterintelligence, protective services, or criminal law
enforcement duties when designated in writing as such by their agency
head; or
(c) Employees who use a passenger carrier for transportation between
places of employment and mass transit facilities (see, e.g., 41 CFR 102-
34.210).
[65 FR 54966, Sept. 12, 2000, as amended at 75 FR 41995, July 20, 2010]
Sec. 102-5.25 What additional guidance concerning home-to-work
transportation should Federal agencies issue?
Each Federal agency using Government passenger carriers to provide
home-to-work transportation for employees who are essential for the safe
and efficient performance of intelligence, counterintelligence,
protective services, or criminal law enforcement duties should issue
guidance concerning such use.
Sec. 102-5.30 What definitions apply to this part?
The following definitions apply to this part:
Agency head means the highest official of a Federal agency.
Clear and present danger means highly unusual circumstances that
present a threat to the physical safety of the employee or their
property when the danger is:
(1) Real; and
(2) Immediate or imminent, not merely potential; and
(3) The use of a Government passenger carrier would provide
protection not otherwise available.
Compelling operational considerations means those circumstances
where home-to-work transportation is essential to the conduct of
official business or would substantially increase a Federal agency's
efficiency and economy.
Emergency means circumstances that exist whenever there is an
immediate, unforeseeable, temporary need to provide home-to-work
transportation for those employees necessary to the uninterrupted
performance of the agency's mission. (An emergency may occur where there
is a major disruption of available means of transportation to or from a
work site, an essential Government service must be provided, and there
is no other way to transport those employees.)
Employee means a Federal officer or employee of a Federal agency,
including an officer or enlisted member of the Armed Forces.
Federal agency means:
(1) A department (as defined in section 18 of the Act of August 2,
1946 (41 U.S.C. 5a));
(2) An executive department (as defined in 5 U.S.C. 101);
(3) A military department (as defined in 5 U.S.C. 102);
(4) A Government corporation (as defined in 5 U.S.C. 103(1));
(5) A Government controlled corporation (as defined in 5 U.S.C.
103(2));
(6) A mixed-ownership Government corporation (as defined in 31
U.S.C. 9101(2));
(7) Any establishment in the executive branch of the Government
(including the Executive Office of the President);
(8) Any independent regulatory agency (including an independent
regulatory agency specified in 44 U.S.C. 3502(10));
(9) The Smithsonian Institution;
(10) Any nonappropriated fund instrumentality of the United States;
and
(11) The United States Postal Service.
Field work means official work requiring the employee's presence at
various locations other than his/her regular place of work. (Multiple
stops (itinerant-type travel) within the accepted local commuting area,
limited use beyond the local commuting area, or transportation to remote
locations that are only accessible by Government-provided transportation
are examples of field work.)
Home means the primary place where an employee resides and from
which the employee commutes to his/her place of work.
Home-to-work transportation means the use of a Government passenger
carrier to transport an employee between his/her home and place of work.
Passenger carrier means a motor vehicle, aircraft, boat, ship, or
other similar means of transportation that is owned (including those
that have come into the possession of the Government
[[Page 38]]
by forfeiture or donation), leased, or rented (non-TDY) by the United
States Government.
Work means any place within the accepted commuting area, as
determined by the Federal agency for the locality involved, where an
employee performs his/her official duties.
Subpart B_Authorizing Home-to-Work Transportation
Sec. 102-5.35 Who is authorized home-to-work transportation?
By statute, certain Federal officials are authorized home-to-work
transportation, as are employees who meet certain statutory criteria as
determined by their agency head. The Federal officials authorized by
statute are the President, the Vice-President, and other principal
Federal officials and their designees, as provided in 31 U.S.C.
1344(b)(1) through (b)(7). Those employees engaged in field work, or
faced with a clear and present danger, an emergency, or a compelling
operational consideration may be authorized home-to-work transportation
as determined by their agency head. No other employees are authorized
home-to-work transportation.
Sec. 102-5.40 May the agency head delegate the authority to make
home-to-work determinations?
No, the agency head may not delegate the authority to make home-to-
work determinations.
Sec. 102-5.45 Should determinations be completed before an employee
is provided with home-to-work transportation?
Yes, determinations should be completed before an employee is
provided with home-to-work transportation unless it is impracticable to
do so.
Sec. 102-5.50 May determinations be made in advance for employees
who respond to unusual circumstances when they arise?
Yes, determinations may be made in advance when the Federal agency
wants to have employees ready to respond to:
(a) A clear and present danger;
(b) An emergency; or
(c) A compelling operational consideration.
Note to Sec. 102-5.50: Implementation of these determinations is
contingent upon one of the three circumstances occurring. Thus, these
may be referred to as ``contingency determinations.''
Sec. 102-5.55 How do we prepare determinations?
Determinations must be in writing and include the:
(a) Name and title of the employee (or other identification, if
confidential);
(b) Reason for authorizing home-to-work transportation; and
(c) Anticipated duration of the authorization.
Sec. 102-5.60 How long are initial determinations effective?
Initial determinations are effective for no longer than:
(a) Two years for field work, updated as necessary; and
(b) Fifteen days for other circumstances.
Sec. 102-5.65 What procedures apply when the need for home-to-work
transportation exceeds the initial period?
The agency head may approve unlimited subsequent determinations,
when the need for home-to-work transportation exceeds the initial
period, for no longer than:
(a) Two years each for field work, updated as necessary; and
(b) Ninety calendar days each for other circumstances.
Sec. 102-5.70 What considerations apply in making a determination
to authorize home-to-work transportation for field work?
Agencies should consider the following when making a determination
to authorize home-to-work transportation for field work:
(a) The location of the employee's home in proximity to his/her work
and to the locations where non-TDY travel is required; and
(b) The use of home-to-work transportation for field work should be
authorized only to the extent that such
[[Page 39]]
transportation will substantially increase the efficiency and economy of
the Government.
Sec. 102-5.75 What circumstances do not establish a basis for
authorizing home-to-work transportation for field work?
The following circumstances do not establish a basis for authorizing
home-to-work transportation for field work:
(a) When an employee assigned to field work is not actually
performing field work.
(b) When the employee's workday begins at his/her work; or
(c) When the employee normally commutes to a fixed location, however
far removed from his/her official duty station (for example, auditors or
investigators assigned to a defense contractor plant).
Note to Sec. 102-5.75: For instances where an employee is
authorized home-to-work transportation under the field work provision,
but performs field work only on an intermittent basis, the agency shall
establish procedures to ensure that a Government passenger carrier is
used only when field work is actually being performed. Although some
employees' daily work station is not located in a Government office,
these employees are not performing field work. Like all Government
employees, employees working in a ``field office'' are responsible for
their own commuting costs.
Sec. 102-5.80 What are some examples of positions that may involve
field work?
Examples of positions that may involve field work include, but are
not limited to:
(a) Quality assurance inspectors;
(b) Construction inspectors;
(c) Dairy inspectors;
(d) Mine inspectors;
(e) Meat inspectors; and
(f) Medical officers on outpatient service.
Note to Sec. 102-5.80: The assignment of an employee to such a
position does not, of itself, entitle an employee to receive daily home-
to-work transportation.
Sec. 102-5.85 What information should our determination for field
work include if positions are identified rather than named
individuals?
If positions are identified rather than named individuals, your
determination for field work should include sufficient information to
satisfy an audit, if necessary. This information should include the job
title, number, and operational level where the work is to be performed
(e.g., five recruiter personnel or, positions at the Detroit Army
Recruiting Battalion).
Note to Sec. 102-5.85: An agency head may elect to designate
positions rather than individual names, especially in positions where
rapid turnover occurs.
Sec. 102-5.90 Should an agency consider whether to base a Government
passenger carrier at a Government facility near the employee's home
or work rather than authorize the employee home-to-work transportation?
Yes, situations may arise where, for cost or other reasons, it is in
the Government's interest to base a Government passenger carrier at a
Government facility located near the employee's home or work rather than
authorize the employee home-to-work transportation.
Sec. 102-5.95 Is the comfort and/or convenience of an employee
considered sufficient justification to authorize home-to-work
transportation?
No, the comfort and/or convenience of an employee is not considered
sufficient justification to authorize home-to-work transportation.
Sec. 102-5.100 May we use home-to-work transportation for other
than official purposes?
No, you may not use home-to-work transportation for other than
official purposes. However, if your agency has prescribed rules for the
incidental use of Government vehicles (as provided in 31 U.S.C. note),
you may use the vehicle in accordance with those rules in connection
with an existing home-to-work authorization.
Sec. 102-5.105 May others accompany an employee using home-to-work
transportation?
Yes, an employee authorized home-to-work transportation may share
space in a Government passenger carrier with other individuals, provided
that the passenger carrier does not travel additional distances as a
result
[[Page 40]]
and such sharing is consistent with his/her Federal agency's policy.
When a Federal agency establishes its space sharing policy, the Federal
agency should consider its potential liability for and to those
individuals. Home-to-work transportation does not extend to the
employee's spouse, other relatives, or friends unless they travel with
the employee from the same point of departure to the same destination,
and this use is consistent with the Federal agency's policy.
Subpart C_Documenting and Reporting Determinations
Sec. 102-5.110 Must we report our determinations outside of our
agency?
Yes, you must submit your determinations to the following
Congressional Committees:
(a) Chairman, Committee on Governmental Affairs, United States
Senate, Suite SD-340, Dirksen Senate Office Building, Washington, DC
20510-6250; and
(b) Chairman, Committee on Governmental Reform, United States House
of Representatives, Suite 2157, Rayburn House Office Building,
Washington, DC 20515-6143.
Sec. 102-5.115 When must we report our determinations?
You must report your determinations to Congress no later than 60
calendar days after approval. You may consolidate any subsequent
determinations into a single report and submit them quarterly.
Sec. 102-5.120 What are our responsibilities for documenting use
of home-to-work transportation?
Your responsibilities for documenting use of home-to-work
transportation are that you must maintain logs or other records
necessary to verify that any home-to-work transportation was for
official purposes. Each agency may decide the organizational level at
which the logs should be maintained and kept. The logs or other records
should be easily accessible for audit and should contain:
(a) Name and title of employee (or other identification, if
confidential) using the passenger carrier;
(b) Name and title of person authorizing use;
(c) Passenger carrier identification;
(d) Date(s) home-to-work transportation is authorized;
(e) Location of residence;
(f) Duration; and
(g) Circumstances requiring home-to-work transportation.
PARTS 102 6_102 30 [RESERVED]
[[Page 41]]
SUBCHAPTER B_PERSONAL PROPERTY
PART 102 31_GENERAL [RESERVED]
PART 102-32-MANAGEMENT OF PERSONAL PROPERTY [RESERVED]
PART 102-33-MANAGEMENT OF GOVERNMENT AIRCRAFT--Table of Contents
Subpart A_How These Rules Apply
General
Sec.
102-33.5 To whom do these rules apply?
102-33.6 How are the terms ``we,'' ``you,'' ``your,'' and ``our'' used
in this part?
102-33.10 May we request approval to deviate from these rules?
102-33.15 How does this part relate to Title 14 of the Code of Federal
Regulations?
102-33.20 What definitions apply to this part?
Responsibilities
102-33.25 What are our responsibilities under this part?
102-33.30 What are the duties of an agency's Senior Aviation Management
Official (SAMO)?
102-33.35 How can we get help in carrying out our responsibilities?
102-33.40 What are some of GSA's responsibilities for Federal aviation
management?
Subpart B_Acquiring Government Aircraft and Aircraft Parts
Overview
102-33.50 Under what circumstances may we acquire Government aircraft?
102-33.55 Are there restrictions on acquiring Government aircraft?
102-33.60 What methods may we use to acquire Government aircraft?
102-33.65 What is the process for acquiring Government aircraft?
Planning to Acquire Government Aircraft
102-33.70 What directives must we follow when planning to acquire
Government aircraft?
102-33.75 What other guidance is available to us in planning to acquire
Government aircraft?
OMB Circular A-76
102-33.80 Must we comply with OMB Circular A-76 before we acquire
Government aircraft?
The Process for Budgeting To Acquire Government Aircraft
102-33.90 What is the process for budgeting to acquire a Federal
aircraft (including a Federal aircraft transferred from
another executive agency)?
102-33.95 What is the process for budgeting to acquire Commercial
Aviation Services (CAS)?
Contracting to Acquire Government Aircraft
102-33.100 What are our responsibilities when contracting to purchase or
capital lease a Federal aircraft or to award a CAS contract?
102-33.105 What minimum requirements must we put into our CAS contracts?
Acquiring Aircraft Parts
102-33.110 What are our responsibilities when acquiring aircraft parts?
102-33.115 Are there requirements for acquiring military Flight Safety
Critical Aircraft Parts (FSCAP)?
102-33.120 Are there requirements for acquiring life-limited parts?
Subpart C_Managing Government Aircraft and Aircraft Parts
Overview
102-33.125 If we use Federal aircraft, what are our management
responsibilities?
102-33.130 If we hire CAS, what are our management responsibilities?
102-33.135 Do we have to follow the direction in OMB Circular A-123,
``Management's Accountability and Control,'' for establishing
management controls for our aviation program?
Establishing Flight Program Standards
102-33.140 What are Flight Program Standards?
102-33.145 Why must we establish Flight Program Standards?
102-33.150 What Federally-funded aviation activities of executive
agencies are exempt from establishing Flight Program Standards
under this part?
102-33.155 How must we establish Flight Program Standards?
[[Page 42]]
Management/Administration
102-33.160 What standards must we establish or require (contractually,
where applicable) for management/administration of our flight
program?
Operations
102-33.165 What standards must we establish or require (contractually,
where applicable) for operation of our flight program?
Maintenance
102-33.170 What standards must we establish or require (contractually,
where applicable) for maintenance of our Government aircraft?
Training
102-33.175 What standards must we establish or require (contractually,
where applicable) to train our flight program personnel?
Safety
102-33.180 What standards should we establish or require (contractually,
where applicable) for aviation safety management?
102-33.185 What standards should we establish or require (contractually,
where applicable) for responding to aircraft accidents and
incidents?
Accounting for the Costs of Government Aircraft
102-33.190 What are the aircraft operations and ownership costs for
which we must account?
102-33.195 Do we need an automated system to account for aircraft costs?
102-33.200 Must we periodically justify owning and operating Federal
aircraft?
102-33.205 When we use our aircraft to support other executive agencies,
must we recover the operating costs?
Accounting for the Use of Government Aircraft
102-33.210 How do we account for the use of our Government aircraft?
102-33.215 May we use Government aircraft to carry passengers?
102-33.220 What are the responsibilities of our aviation program in
justifying the use of a Government aircraft to transport
passengers?
Managing Aircraft Parts
102-33.225 How must we manage aircraft parts?
102-33.230 May we use military FSCAP on non-military FAA-type
certificated Government aircraft?
102-33.235 What documentation must we maintain for life-limited parts
and FSCAP?
Subpart D_Disposing or Replacing of Government Aircraft and Aircraft
Parts
Overview
102-33.240 What must we consider before disposing or replacing aircraft
and aircraft parts?
102-33.245 May we report as excess, or replace (i.e., by exchange/sale),
both operational and non-operational aircraft?
102-33.250 May we declassify aircraft?
102-33.255 Must we document FSCAP or life-limited parts installed on
aircraft that we will report as excess or replace?
102-33.260 When we report as excess, or replace, an aircraft (including
a declassified aircraft), must we report the change in
inventory to the Federal Aviation Interactive Reporting System
(FAIRS)?
Reporting Excess Federal Aircraft
102-33.265 What must we do with aircraft that are excess to our needs?
102-33.270 What is the process for reporting an excess aircraft?
Replacing Aircraft Through Exchange/Sale
102-33.275 What should we consider before replacing our aircraft through
an exchange/sale?
102-33.280 What are our options if we need a replacement aircraft?
102-33.285 Do we need to include any special disclaimers in our
exchange/sale agreements for non-certificated aircraft or
aircraft that we have operated as public aircraft (i.e., not
in compliance with 14 CFR)?
102-33.295 May we exchange/sell an aircraft through reimbursable
transfer to another executive agency or conduct a negotiated
sale at fixed price to a State Agency for Surplus Property
(SASP)?
Disposing of Aircraft Parts
102-33.300 What must we consider before disposing of aircraft parts?
102-33.305 May we report as excess, or replace, FSCAP and life-limited
parts?
102-33.310 May we report as excess, or replace, unsalvageable aircraft
parts?
102-33.315 What are the procedures for mutilating unsalvageable aircraft
parts?
102-33.320 What must we do if we are unable to perform required
mutilation of aircraft parts?
102-33.325 What documentation must we furnish with excess, surplus, or
replaced parts when they are transferred, donated, exchanged,
or sold?
[[Page 43]]
Reporting Excess Aircraft Parts
102-33.330 What must we do with aircraft parts that are excess to our
needs?
102-33.335 What are the receiving agency's responsibilities in the
transfer of aircraft parts?
102-33.340 What are GSA's responsibilities in disposing of excess and
surplus aircraft parts?
102-33.345 What are the responsibilities of a State Agency for Surplus
Property (SASP) in the donation of Federal Government aircraft
parts?
Replacing Aircraft Parts Through Exchange/Sale
102-33.350 What do we need to consider for an exchange/sale of our
aircraft parts?
102-33.355 May we exchange/sell aircraft parts through a reimbursable
transfer to another executive agency or conduct a negotiated
sale at fixed price to a State Agency for Surplus Property
(SASP)?
102-33.360 What is the process for exchanging/selling aircraft parts for
replacement?
102-33.365 Must we report exchange/sale of parts to FAIRS?
Special Requirements for Disposing of Flight Safety Critical Aircraft
Parts (FSCAP) and Life-Limited Parts
102-33.370 What must we do to dispose of military FSCAP and/or life-
limited parts?
102-33.375 What is a FSCAP Criticality Code?
Subpart E_Reporting Information on Government Aircraft
Overview
102-33.380 Who must report information to GSA on Government aircraft?
102-33.385 What Federally-funded aviation activities of executive
agencies are exempt from the requirement to report information
to GSA on Government aircraft?
102-33.390 What information must we report on Government aircraft?
Federal Aviation Interactive Reporting System (FAIRS)
102-33.395 What is FAIRS?
102-33.400 How must we report to FAIRS?
102-33.405 When must we report to FAIRS?
Federal Inventory Data
102-33.410 What are Federal inventory data?
102-33.415 When may we declassify an aircraft and remove it from our
Federal aircraft inventory?
102-33.420 How must we declassify an aircraft?
Federal Aircraft Cost and Utilization Data
102-33.425 What Federal aircraft cost and utilization data must we
report?
102-33.430 Who must report Federal aircraft cost and utilization data?
Commercial Aviation Services (CAS) Cost and Utilization Data
102-33.435 What CAS cost and utilization data must we report?
102-33.440 Who must report CAS cost and utilization data?
Accident and Incident Data
102-33.445 What accident and incident data must we report?
102-33.450 How must we report accident and incident data?
Common Aviation Management Information Standard (C-AMIS)
102-33.455 What is C-AMIS?
102-33.460 What is our responsibility in relation to C-AMIS?
Performance Indicators
102-33.465 What is a performance indicator?
102-33.470 Must we develop performance indicators?
102-33.475 What are some examples of performance indicators that we can
use?
Appendix A to Part 102-33--Disclosure Statement for Crewmembers and
Qualified Non-Crewmembers Flying on Board Government Aircraft
Operated as Public Aircraft
Authority: 40 U.S.C. 121(c); 31 U.S.C. 101 et seq.; Reorganization
Plan No. 2 of 1970, 35 FR 7959, 3 CFR, 1066-1970 Comp., p. 1070;
Executive Order 11541, 35 FR 10737, 3 CFR, 1966-1970 Comp., p. 939; and
OMB Circular No. A-126 (Revised May 22, 1992), 57 FR 22150.
Source: 79 FR 77336, Dec. 23, 2014, unless otherwise noted.
Subpart A_How These Rules Apply
General
Sec. 102-33.5 To whom do these rules apply?
(a) The rules in this part apply to all Federally-funded aviation
activities of executive branch agencies of the U.S. Government who use
Government aircraft to accomplish their official business, except for
the exemptions listed in paragraph (b) of this section.
(b) The rules in this part do not apply to the following:
[[Page 44]]
(1) The Armed Forces, except for:
(i) Section 102-33.25(e) and (g), which concern responsibilities
related to the Interagency Committee for Aviation Policy (ICAP); and
(ii) Subpart D of this part, ``Disposing of Government Aircraft and
Aircraft Parts.''
(2) The President or Vice President and their offices;
(3) Aircraft when an executive agency provides Government-furnished
avionics for commercially owned or privately owned aircraft for the
purposes of technology demonstration or testing; and
(4) Privately owned aircraft that agency personnel use for official
travel (even though such use is Federally-funded).
Sec. 102-33.6 How are the terms ``we,'' ``you,'' ``your,'' and ``our''
used in this part?
In this part, ``we'', ``you'', ``your'', and ``our'' refer to agency
aviation managers or an executive agency.
Sec. 102-33.10 May we request approval to deviate from these rules?
(a) You may request approval to deviate from the rules in this part.
See Sec. Sec. 102-2.60 through 102-2.110 of this chapter for guidance
on requesting a deviation. In most cases, GSA will respond to your
written request within 30 days;
(b) GSA may not grant deviations from the requirements of OMB
Circular A-126, ``Improving the Management of Government Aircraft;'' and
(c) You should consult with GSA's Aviation Policy Division before
you request a deviation.
Sec. 102-33.15 How does this part relate to Title 14 of the
Code of Federal Regulations?
This part does not supersede any of the regulations in 14 CFR
Chapter I, ``Federal Aviation Administration, Department of
Transportation.''
Sec. 102-33.20 What definitions apply to this part?
The following definitions apply to this part:
Acquire means to procure or otherwise obtain personal property,
including by lease or rent.
Acquisition date means the date that the acquiring executive agency
took responsibility for the aircraft, e.g., received title (through
purchase, exchange, or gift), signed a bailment agreement with the
Department of Defense (DOD), took physical custody, received a court
order, put into operational status an aircraft that is newly
manufactured by the agency, or otherwise accepted physical transfer
(e.g., in the case of a borrowed aircraft).
Aircraft part means an individual component or an assembly of
components that is used on aircraft.
Armed Forces mean the Army, Navy, Air Force, Marine Corps, and Coast
Guard, including their regular and Reserve components and members
serving without component status. For purposes of this part, the
National Guard is also included in the Armed Forces.
Aviation life support equipment (ALSE) means equipment that protects
flight crewmembers and others aboard an aircraft, assisting their safe
escape, survival, and recovery during an accident or other emergency.
Aviation Policy Division is a division in the Office of Asset and
Transportation Management, Office of Government-wide Policy, GSA.
Contact the staff via the Aircraft Management Overview page at http://
www.gsa.gov/aviationpolicy.
Crewmember means a person assigned to operate or assist in operating
an aircraft during flight time. Crewmembers perform duties directly
related to the operation of the aircraft (e.g., as pilots, co-pilots,
flight engineers, navigators) or duties assisting in operation of the
aircraft (e.g., as flight directors, crew chiefs, electronics
technicians, mechanics). See also the terms and definitions for
``Qualified non-crewmember'' and ``Passenger'' in this section.
Criticality code means a single digit code that DOD assigns to
military Flight Safety Critical Aircraft Parts (FSCAP) (see Sec. Sec.
102-33.115 and 102-33.370).
Data plate means a fireproof plate that is inscribed with certain
information required by 14 CFR part 45 (or for military surplus
aircraft, as required by Military Specifications), and secured to an
aircraft, aircraft engine, or propeller. The information must be
[[Page 45]]
marked by etching, stamping, engraving, or other approved method of
fireproof marking. The plate must be attached in such a manner that it
is not likely to be defaced or removed during normal service or lost or
destroyed in an accident. Data plates are required only on certificated
aircraft. However, non-certificated aircraft may also have data plates.
Declassify means to remove a lost, destroyed, or non-operational
aircraft from the Federal aircraft inventory. Agencies may declassify
only non-operational aircraft that they will retain for ground use only.
Agencies must declassify an aircraft following the rules in Sec. Sec.
102-33.415 and 102-33.420.
Disposal date means the date that the disposing executive agency
relinquishes responsibility for an aircraft, for example, when the
agency transfers title in the case of an exchange/sale; returns the
aircraft to the lessor or bailer; declassifies it (for FAIRS,
declassification is considered a ``disposal'' action, even though the
agency retains the property); or relinquishes custody to another agency
(i.e., in the case of excess (transferred) or surplus (donated or sold)
aircraft).
Donated aircraft means an aircraft disposed of as surplus by GSA
through donation to a non-Federal government, a tax-exempt nonprofit
entity, or other eligible recipient, following the rules in part Sec.
102-37 (some agencies, for example DOD, may have independent donation
authority.)
Exchange means to replace personal property by trade or trade-in
with the supplier of the replacement property.
Exchange/sale means to exchange or sell non-excess, non-surplus
personal property and apply the exchange allowance or proceeds of sale
in whole or in part payment for the acquisition of similar property. See
40 U.S.C. 503.
Exclusive use means a condition under which an aircraft is operated
for the sole benefit of the U.S. Government.
Executive agency means any executive department or independent
establishment in the executive branch of the United States Government,
including any wholly owned Government corporation. See 5 U.S.C. 105.
Federal Acquisition Service (FAS) means a component of GSA. FAS is
organized by geographical regions. The FAS Property Management Division
in GSA's Pacific Rim Region, 450 Golden Gate Ave., San Francisco, CA
94102-3434, has responsibility for disposing of excess and surplus
aircraft.
Federal aircraft means manned or unmanned aircraft that an executive
agency owns (i.e., holds title to) or borrows for any length of time.
Federal aircraft include--
(1) Bailed aircraft: Federal aircraft that is owned by one executive
agency, but is in the custody of and operated by another executive
agency under an agreement that may or may not include cost-
reimbursement. Bailments are executive agency to executive agency
agreements and involve only aircraft, not services;
(2) Borrowed aircraft: Aircraft owned by a non-executive agency and
provided to an executive agency for use without compensation. The
executive agency operates and maintains the aircraft;
(3) Forfeited aircraft: Aircraft acquired by the Government either
by summary process or by order of a court of competent jurisdiction
pursuant to any law of the United States;
(4) Loaned aircraft: Federal aircraft owned by an executive agency,
but in the custody of a non-executive agency under an agreement that
does not include compensation; and
(5) Owned aircraft: An aircraft for which title or rights of title
are vested in an executive agency.
Note to definition of Federal aircraft: When an executive agency
loans or bails an aircraft that meets the criteria for Federal aircraft,
the loaned or bailed aircraft is still considered a Federal aircraft in
the owning agency's inventory, except when DOD is the owning agency of a
bailed aircraft. In that case, the aircraft is recorded in the inventory
of the bailee.
Federal Aviation Interactive Reporting System (FAIRS) is a
management information system operated by GSA to collect, maintain,
analyze, and report information on Federal aircraft inventories and cost
and usage of Federal aircraft and CAS aircraft (and related services)
(see Sec. Sec. 102-33.395 through 102-33.440).
[[Page 46]]
Flight Safety Critical Aircraft Part (FSCAP) means any aircraft
part, assembly, or installation containing a critical characteristic
whose failure, malfunction, or absence could cause a catastrophic
failure resulting in loss or serious damage to the aircraft or an
uncommanded engine shutdown resulting in an unsafe condition.
Full service contract means a contractual agreement through which an
executive agency acquires an aircraft and related aviation services
(e.g., pilot, crew, maintenance, catering) for exclusive use. Aircraft
hired under full service contracts are commercial aviation services
(CAS), not Federal aircraft, regardless of the length of the contract.
Government aircraft means manned or unmanned aircraft operated for
the exclusive use of an executive agency. Government aircraft include--
(1) Federal aircraft (see definition for ``Federal aircraft'' in
this section); and
(2) Aircraft hired as commercial aviation services (CAS). CAS
include--
(i) Leased aircraft for exclusive use for an agreed upon period of
time (The acquiring executive agency operates and maintains the
aircraft);
(ii) Capital lease aircraft for which the leasing agency holds an
option to take title;
(iii) Charter aircraft for hire under a contractual agreement for
one-time exclusive use that specifies performance (The commercial source
operates and maintains a charter aircraft);
(iv) Rental aircraft obtained commercially under an agreement in
which the executive agency has exclusive use for an agreed upon period
of time (The executive agency operates, but does not maintain, a rental
aircraft);
(v) Contracting for full services (i.e., aircraft and related
aviation services for exclusive use); or
(vi) Obtaining related aviation services (i.e., services but not
aircraft) by commercial contract, except those services acquired to
support a Federal aircraft.
Governmental function means a Federally-funded activity that an
executive agency performs in compliance with its statutory authorities.
Intelligence community means those agencies identified in the
National Security Act, 50 U.S.C. 401a(4).
Inter-service support agreement (ISSA) means any agreement between
two or more executive agencies (including the Department of Defense) in
which one agency consents to perform aviation support services (e.g.,
providing an aircraft and other aviation services or providing only
services) for another agency with or without cost-reimbursement. An
executive agency-to-executive agency agreement that involves only the
use of an aircraft, not services, is a bailment, not an ISSA.
Life-limited part means any aircraft part that has an established
replacement time, inspection interval, or other time-related procedure
associated with it. For non-military parts, the FAA specifies life-
limited part airworthiness limitations in 14 CFR 21.50, 23.1529,
25.1529, 27.1529, 29.1529, 31.82, 33.4, and 35.5, and on product Type
Certificate Data Sheets (TCDS). Letters authorizing Technical Standards
Orders (TSO) must also note or reference mandatory replacement or
inspection of parts.
Military aircraft part means an aircraft part used on an aircraft
that was developed by the Armed Forces (whether or not it carries an FAA
airworthiness certificate).
Non-operational aircraft means a Federal aircraft that is not safe
for flight and, in the owning executive agency's determination, cannot
economically be made safe for flight. This definition refers to the
aircraft's flight capability, not its mission-support equipment
capability. An aircraft that is temporarily out of service for
maintenance or repair and can economically be made safe for flight is
considered an operational aircraft.
Official Government business in relation to Government aircraft--
(1) Includes, but is not limited to--
(i) Carrying crewmembers, qualified non-crewmembers, and cargo
directly required for or associated with performing Governmental
functions (including travel-related Governmental functions);
(ii) Carrying passengers authorized to travel on Government aircraft
(see OMB Circular A-126); and
(iii) Training pilots and other aviation personnel.
(2) Does not include--
[[Page 47]]
(i) Using Government aircraft for personal or political purposes,
except for required use travel and space available travel as defined in
OMB Circular A-126; or
(ii) Carrying passengers who are not officially authorized to travel
on Government aircraft.
Operational aircraft means a Federal aircraft that is safe for
flight or, in the owning executive agency's determination, can
economically be made safe for flight. This definition refers to the
aircraft's flight capability, not its mission-support capability. An
aircraft temporarily out of service for maintenance or repair is
considered an operational aircraft.
Original equipment manufacturer (OEM) means the person or company
who originally designed, engineered, and manufactured, or who currently
holds the data rights to manufacture, a specific aircraft or aircraft
part. Parts produced under a Parts Manufacturer Approval (PMA) are not
considered OEM parts, even though they can be acceptable replacement
parts for OEM parts.
Passenger means a person flying onboard a Government aircraft who is
officially authorized to travel and who is not a crewmember or qualified
non-crewmember.
Performance indicator means a quantitative or qualitative term or
value for reporting organizational activities and results, generally
with respect to achieving specific goals related to outcomes, outputs,
efficiency, and inputs. When applied to aircraft, performance indicators
typically measure the effectiveness and efficiency of the processes
involved with safely delivering aircraft services.
Production approval holder (PAH) means the person or company who
holds a Production Certificate (PC), Approved Production Inspection
System (APIS), Parts Manufacturer Approval (PMA), or Technical Standards
Orders Authorization (TSOA), issued under provisions of 14 CFR part 21,
Certification Procedures for Products and Parts, and who controls the
design, manufacture, and quality of a specific aircraft part.
Qualified non-crewmember means an individual, other than a member of
the crew, aboard an aircraft--
(1) Operated by an United States Government agency in the
intelligence community; or
(2) Whose presence is required to perform or is associated with
performing the Governmental function for which the aircraft is being
operated (Qualified non-crewmembers are not passengers).
Registration mark means the unique identification mark that is
assigned by the FAA and displayed on U.S.-registered Government aircraft
(except Armed Forces aircraft). Foreign-registered aircraft hired as CAS
will carry their national registration markings. Registration markings
are commonly referred to as tail numbers.
Related aviation services contract means a commercial contractual
agreement through which an executive agency hires aviation services only
(not aircraft), e.g., pilot, crew, maintenance, cleaning, dispatching,
or catering.
Required use travel means use of a Government aircraft for the
travel of an executive agency officer or employee where the use of the
Government aircraft is required because of bona fide communications or
security need of the agency or exceptional scheduling requirements.
Required use travel must be approved as described in OMB Circular A-126.
Risk analysis and management means a systematic process for--
(1) Identifying risks and hazards associated with alternative
courses of action involved in an aviation operation;
(2) Choosing from among these alternatives the course(s) of action
that will promote optimum aviation safety;
(3) Assessing the likelihood and predicted severity of an injurious
mishap within the various courses of action;
(4) Controlling and mitigating identified risks and hazards within
the chosen course(s) of action; and
(5) Periodically reviewing the chosen course(s) of action to
identify possible emerging risks and hazards.
Safe for flight means approved for flight and refers to an aircraft,
aircraft engine, propeller, appliance, or part that has been inspected
and certified to meet the requirements of applicable
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regulations, specifications, or standards. When applied to an aircraft
that an executive agency operates under FAA regulations, safe for flight
means ``airworthy,'' i.e., the aircraft or related parts meet their
design specifications and are in a condition, relative to wear and
deterioration, for safe operation. When applied to an aircraft that an
executive agency uses, but does not operate under the FAA regulations,
safe for flight means a state of compliance with military specifications
or the executive agency's own Flight Program Standards, and as approved,
inspected, and certified by the agency.
Safety Management System (SMS) means a formal, top-down business-
like approach to managing safety risk. It includes systematic
procedures, practices, and policies for the management of safety, safety
risk management, safety policy, safety assurance, and safety promotion.
For more information on SMS, refer to FAA Advisory Circular 120-92,
``Safety Management Systems for Aviation Service Providers.''
Senior Aviation Management Official (SAMO) means the person in an
executive agency who is the agency's primary member of the Interagency
Committee for Aviation Policy (ICAP). This person must be of appropriate
grade and position to represent the agency and promote flight safety and
adherence to standards.
Serviceable aircraft part means a part that is safe for flight, can
fulfill its operational requirements, and is sufficiently documented to
indicate that the part conforms to applicable standards/specifications.
Suspected unapproved part means an aircraft part, component, or
material that any person suspects of not meeting the requirements of an
``approved part.'' Approved parts are those that are produced in
compliance with 14 CFR part 21, are maintained in compliance with 14 CFR
parts 43 and 91, and meet applicable design standards. A part,
component, or material may be suspect because of its questionable
finish, size, or color; improper (or lack of) identification; incomplete
or altered paperwork; or any other questionable indication. See detailed
guidance in FAA Advisory Circular 21-29, ``Detecting and Reporting
Suspected Unapproved Parts,'' available from the FAA at http://
www.faa.gov.
Traceable part means an aircraft part whose manufacturer or
production approval holder can be identified by documentation, markings/
characteristics on the part, or packaging of the part. Non-military
parts are traceable if you can establish that the parts were
manufactured in accordance with or were previously determined to be
airworthy under rules in 14 CFR parts 21 and 43. Possible sources for
making a traceability determination could be shipping tickets, bar
codes, invoices, parts marking (e.g., PMA, TSO), data plates, serial/
part numbers, manufacturing production numbers, maintenance records,
work orders, etc.
Training means instruction for all flight program personnel (to
include administrative, maintenance and dispatch personnel), which
enables them to qualify initially for their positions and to maintain
qualification for their positions over time.
Note: This instruction can apply to either public or civil missions
as defined in the latest version of the FAA's Advisory Circular for
Government aircraft operations.
Unmanned Aircraft Systems (UAS) means an unmanned aircraft and its
associated elements related to safe operations, which may include but
not be limited to control stations, data communications links, support
equipment, payloads, flight termination systems, and launch/recovery
equipment. The unmanned aircraft (UA) is the flying component of the
system, flown by a pilot via a ground control system, or autonomously
through the use of an on-board computer, communication links, and any
additional equipment necessary for the unmanned aircraft to operate
safely. The Federal Aviation Administration issues either an
Airworthiness Directive (AD) or a Certificate of Authorization (COA) for
the entire system, not just the flying component of the system.
Reporting of UAS costs and flight hours is only required if the
accumulated costs for acquisition and operations meets the agency's
threshold for capitalization, and the UAS has a useful life of two years
or more.
Unsalvageable aircraft part means an aircraft part that cannot be
restored to
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a condition that is safe for flight because of its age, its physical
condition, a non-repairable defect, insufficient documentation, or its
non-conformance with applicable standards/specifications.
U.S. Government Aircraft Cost Accounting Guide (CAG) means guidance
for the accounting of Government aircraft costs published by GSA and is
based on the cost guidance within OMB Circular A-126, OMB Circular A-76,
FAIRS, and the U.S. Government Standard General Ledger.
Responsibilities
Sec. 102-33.25 What are our responsibilities under this part?
Under this part, your responsibilities are to--
(a) Acquire, manage, and dispose of Federal aircraft (see the
definition of ``Federal aircraft'' in Sec. 102-33.20) and acquire and
manage Commercial Aviation Services (CAS) (see the definition for
``CAS'' in paragraph (2) of the definition of ``Government aircraft'' in
Sec. 102-33.20) as safely, efficiently, and effectively as possible
consistent with the nature of your agency's aviation missions;
(b) Document and report the--
(1) Types and numbers of your Federal aircraft;
(2) Costs of acquiring and operating Government aircraft;
(3) Amount of time that your agency uses Government aircraft; and
(4) Accidents and incidents involving Government aircraft;
(c) Ensure that your Government aircraft are used only to accomplish
your agency's official Government business;
(d) Ensure that all passengers traveling on your agency's Government
aircraft are authorized to travel on such aircraft (see OMB Circular A-
126);
(e) Appoint (by letter to the Deputy Associate Administrator, Office
of Asset and Transportation Management, Office of Government-wide
Policy, GSA) a Senior Aviation Management Official (SAMO), who will be
your agency's primary member of the ICAP (this paragraph (e) applies to
all executive agencies that use aircraft, including the Department of
Defense (DOD), the Federal Aviation Administration (FAA), and the
National Transportation Safety Board (NTSB), but excludes executive
agencies that only hire aircraft occasionally for a specific flight). It
is suggested that an agency's SAMO have:
(1) Experience as a pilot or crew member; or
(2) Management experience within an aviation operations management/
flight program.
(f) Designate an official (by letter to the Deputy Associate
Administrator, Office of Asset and Transportation Management, Office of
Government-wide Policy, GSA) to certify the accuracy and completeness of
information reported by your agency through FAIRS. (Armed Forces
agencies, which include the DOD and the U.S. Coast Guard, are not
required to report information to FAIRS.);
(g) Appoint representatives of the agency as members of ICAP
subcommittees and working groups;
(h) Ensure that your agency's internal policies and procedures are
consistent with the requirements of OMB Circulars A-126, A-76 and A-11,
Federal Aviation Administration Advisory Circular 120-92, and this part;
and
(i) Ensure that safety and other critical aviation program
requirements are satisfied. Executive agencies that only hire aircraft
occasionally for specific flights, must either:
(1) Establish an aviation program that complies with the
requirements of OMB Circular A-126; or
(2) Hire those aircraft through an agency with a policy-compliant
aviation program.
Sec. 102-33.30 What are the duties of an agency's Senior Aviation
Management Official (SAMO)?
The duties of an agency's Senior Aviation Management Official (SAMO)
are to--
(a) Represent the agency's views to the ICAP and vote on behalf of
the agency as needed;
(b) Contribute technical and operational policy expertise to ICAP
deliberations and activities;
(c) Serve as the designated approving official for FAIRS when the
agency elects to have one person serve as both the SAMO and the
designated official
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for FAIRS (DOD will not have a designated official for FAIRS); and
(d) Appoint representatives of the agency as members of ICAP
subcommittees and working groups.
Sec. 102-33.35 How can we get help in carrying out our
responsibilities?
To get help in carrying out your responsibilities under this part,
you may--
(a) Call or write to GSA's Aviation Policy Division (see definition
in Sec. 102-33.20); or
(b) Find additional aviation program management information on the
Internet at http://www.gsa.gov/aviationpolicy.
Sec. 102-33.40 What are some of GSA's responsibilities for Federal
aviation management?
Under OMB Circular A-126, ``Improving the Management and Use of
Government Aircraft,'' (http://www.whitehouse.gov/omb) GSA's chief
responsibilities for Federal aviation management are to maintain--
(a) A single office to carry out Governmentwide responsibilities for
Government aircraft management, and publishing that policy;
(b) An interagency committee (i.e., the ICAP), whose members
represent the executive agencies that use Government aircraft to conduct
their official business (including FAA and NTSB specifically) and advise
and consult with GSA on developing policy for managing Government
aircraft;
(c) A management information system to collect, analyze, and report
information on the inventory, cost, usage, and safety of Government
aircraft; and
(d) A set of performance indicators, policy recommendations, and
guidance for the procurement, operation, and safety and disposal of
Government aircraft.
Note to Sec. 102-33.40: See OMB Circular A-126 (http://
www.whitehouse.gov/omb) for a complete listing of GSA's responsibilities
related to Federal aviation.
Subpart B_Acquiring Government Aircraft and Aircraft Parts
Overview
Sec. 102-33.50 Under what circumstances may we acquire Government
aircraft?
(a) When you meet the requirements for operating an in-house
aviation program contained in OMB Circular A-76, ``Performance of
Commercial Activities'' and OMB Circular A-11, ``Preparation,
Submission, and Execution of the Budget,'' Part 2, ``Preparation and
Submission of Budget Estimates,'' Section 25.5, ``Summary of
Requirements,'' Table 1, which refers to the Business Case for
Acquisition and Maintenance of Aircraft, and Section 51.18, ``Budgeting
for the acquisition of capital assets,'' subparagraph (d) (Both
circulars are available at http://www.whitehouse.gov/omb), you may--
(1) Acquire Federal aircraft when--
(i) Aircraft are the optimum means of supporting your agency's
official business;
(ii) You do not have aircraft that can support your agency's
official business safely (e.g., in compliance with applicable safety
standards and regulations) and cost-effectively;
(iii) No commercial or other Governmental source is available to
provide aviation services safely (i.e., in compliance with applicable
safety standards and regulations) and cost-effectively; and
(iv) Congress has specifically authorized your agency to purchase,
lease, or transfer aircraft and to maintain and operate those aircraft
(see 31 U.S.C. 1343);
(2) Acquire Commercial Aviation Services (CAS) when--
(i) Aircraft are the optimum means of supporting your agency's
official business; and
(ii) Using commercial aircraft and services is safe (i.e., conforms
to applicable laws, safety standards, and regulations) and is more cost
effective than using Federal aircraft, aircraft from any other
Governmental source, or scheduled air carriers.
(b) When acquiring aircraft, aircraft selection must be based on
need, a strong business case, and life-cycle cost
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analysis, which conform to OMB Circular A-11, ``Preparation, Submission,
and Execution of the Budget,'' Part 2, ``Preparation and Submission of
Budget Estimates,'' Section 25.5, ``Summary of Requirements,'' Table 1,
which refers to the Business Case for Acquisition and Maintenance of
Aircraft (available at http://www.whitehouse.gov/omb).
Sec. 102-33.55 Are there restrictions on acquiring Government
aircraft?
Yes, you may not acquire--
(a) More aircraft than you need to carry out your official business;
(b) Aircraft of greater size or capacity than you need to perform
your Governmental functions cost-effectively; or
(c) Federal aircraft that Congress has not authorized your agency to
acquire or Federal aircraft or commercial aircraft and services for
which you have not followed the requirements in OMB Circulars A-76 and
A-11 (available at http://www.whitehouse.gov/omb).
Sec. 102-33.60 What methods may we use to acquire Government
aircraft?
Following the requirements of Sec. Sec. 102-33.50 and 102-33.55,
you (or an internal bureau or sub-agency within your agency) may acquire
Government aircraft by means including, but not limited to--
(a) Purchase;
(b) Borrowing from a non-Federal source;
(c) Bailment from another executive agency;
(d) Exchange/sale;
(e) Reimbursable transfer from another executive agency (see
Sec. Sec. 102-36.75 and 102-36.80);
(f) Transfer from another executive agency as approved by GSA;
(g) Reassignment from one internal bureau or subagency to another
within your agency;
(h) Transfer of previously forfeited aircraft;
(i) Insurance replacement (i.e., receiving a replacement aircraft);
(j) Capital lease;
(k) Rent or charter;
(l) Contract for full services (i.e., aircraft plus crew and related
aviation services) from a commercial source; or
(m) Inter-service support agreements with other executive agencies
for aircraft and services.
Sec. 102-33.65 What is the process for acquiring Government aircraft?
Acquiring Government aircraft, as described in Sec. Sec. 102-33.70
through 102-33.105, generally follows a three-step process:
(a) Planning;
(b) Budgeting; and
(c) Contracting.
Planning To Acquire Government Aircraft
Sec. 102-33.70 What directives must we follow when planning to
acquire Government aircraft?
When planning to acquire Government aircraft, you must follow the
requirements in--
(a) 31 U.S.C. 1343, ``Buying and Leasing Passenger Motor Vehicles
and Aircraft'';
(b) OMB Circular A-126, ``Improving the Management and Use of
Government Aircraft'' (http://www.whitehouse.gov/omb);
(c) OMB Circular A-11, Part 2, Section 25.5, Table 1, Business Case
for Acquisition and Maintenance of Aircraft (http://www.whitehouse.gov/
omb);
(d) OMB Circular A-76, ``Performance of Commercial Activities''
(http://www.whitehouse.gov/omb); and
(e) OMB Circular A-94, ``Guidelines and Discount Rates for Benefit-
Cost Analysis of Federal Programs'' (http://www.whitehouse.gov/omb).
Sec. 102-33.75 What other guidance is available to us in planning
to acquire Government aircraft?
You can find guidance for acquisition planning in:
(a) The ``Aviation Planning Desk Guide'' (available at http://
www.gsa.gov/aviationpolicy) and
(b) OMB's ``Capital Programming Guide,'' which is a supplement to
OMB Circular A-11 (http://www.whitehouse.gov/omb).
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OMB Circular A-76
Sec. 102-33.80 Must we comply with OMB Circular A-76 before we
acquire Government aircraft?
Yes, before you acquire Government aircraft, you must comply with
OMB Circular A-76 (http://www.whitehouse.gov/omb). If you are acquiring
Federal aircraft, you must ensure that the private sector cannot provide
Government aircraft or related aviation services more cost-effectively
than you can provide Federal aircraft and related services.
The Process for Budgeting To Acquire Government Aircraft
Sec. 102-33.90 What is the process for budgeting to acquire a Federal
aircraft (including a Federal aircraft transferred from another
executive agency)?
(a) The process for budgeting to acquire a Federal aircraft or to
accept a Federal aircraft transferred from another executive agency
requires that you have specific authority from Congress in your
appropriation, as called for in 31 U.S.C. 1343, to--
(1) Purchase, capital lease, or lease a Federal aircraft and to
operate and maintain it; or
(2) Accept a Federal aircraft transferred from another executive
agency and to operate and maintain it.
(b) For complete information on budgeting to own Federal aircraft
(i.e., large purchase of a capital asset), see OMB Circular A-11, Part
2, Sections 25.1 and 51.18. Also see Sec. Sec. 102-33.70 and 102-33.75.
Sec. 102-33.95 What is the process for budgeting to acquire
Commercial Aviation Services (CAS)?
Except for leases and capital leases, for which you must have
specific Congressional authorization as required by 31 U.S.C. 1343, you
may budget to fund your CAS out of your agency's operating budget. Also
see Sec. Sec. 102-33.70 and 102-33.75.
Contracting To Acquire Government Aircraft
Sec. 102-33.100 What are our responsibilities when contracting to
purchase or capital lease a Federal aircraft or to award a CAS
contract?
In contracting to purchase or capital lease a Federal aircraft or to
award a CAS contract, you must follow the Federal Acquisition Regulation
(FAR) (48 CFR Chapter 1) unless your agency is exempt from following the
FAR.
Sec. 102-33.105 What minimum requirements must we put into our
CAS contracts?
At a minimum, your CAS contracts and agreements must require that
any provider of CAS comply with--
(a) Civil standards in 14 CFR that are applicable to the type of
operation(s) you are asking the contractor to conduct;
(b) Applicable military standards; or
(c) Your agency's Flight Program Standards (see Sec. Sec. 102-
33.140 through 102-33.185 for the requirements for Flight Program
Standards).
Acquiring Aircraft Parts
Sec. 102-33.110 What are our responsibilities when acquiring
aircraft parts?
When acquiring aircraft parts, you must:
(a) Acquire the parts cost-effectively and acquire only what you
need;
(b) Inspect and verify that all incoming parts are documented as
safe for flight prior to installation;
(c) Obtain all logbooks (if applicable) and maintenance records (for
guidance on maintaining records for non-military parts, see Federal
Aviation Administration (FAA) Advisory Circular 43-9C, ``Maintenance
Records,'' which is available from the FAA at http://www.faa.gov);
(d) Plan for adequate storage and protection; and
(e) Refer to FAA Advisory Circular 21-29C, Change (2), ``Detecting
and Reporting Suspected Unapproved Parts'' (http://www.faa.gov).
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Sec. 102-33.115 Are there requirements for acquiring military Flight
Safety Critical Aircraft Parts (FSCAP)?
Yes, when you acquire military Flight Safety Critical Aircraft Parts
(FSCAP), you must--
(a) Accept FSCAP only when it is documented or traceable to its
original equipment manufacturer. A part's DOD FSCAP Criticality Code
should be marked or tagged on the part or appear on its invoice/transfer
document (see Sec. 102-33.375 for further explanation of the FSCAP
Criticality Codes); and
(b) Not install undocumented, but traceable FSCAP until you have the
parts inspected and recertified by the original equipment manufacturer
or other FAA-approved facility (see Sec. 102-33.370 on FSCAP and AC 20-
142).
Sec. 102-33.120 Are there requirements for acquiring life-limited
parts?
Yes, when you acquire new or used life-limited parts, you must--
(a) Identify and inspect the parts, ensuring that they have civil or
military-certified documentation; and
(b) Mutilate and dispose of any expired life-limited parts (see
Sec. 102-33.370 on handling life-limited parts).
Subpart C_Managing Government Aircraft and Aircraft Parts
Overview
Sec. 102-33.125 If we use Federal aircraft, what are our management
responsibilities?
If you use Federal aircraft, you are responsible for--
(a) Establishing agency-specific Flight Program Standards, as
defined in Sec. Sec. 102-33.140 through 102-33.185;
(b) Accounting for the cost of acquiring, operating, and supporting
your aircraft;
(c) Accounting for the use of your aircraft;
(d) Maintaining and accounting for aircraft parts;
(e) Reporting inventory, cost, and utilization data (for reporting
requirements, see subpart E of this part); and
(f) Properly disposing of aircraft and parts following Sec. Sec.
102-33.240 through 102-33.375.
Sec. 102-33.130 If we hire CAS, what are our management
responsibilities?
If you hire CAS, you are responsible for--
(a) Establishing agency-specific Flight Program Standards, as
defined in Sec. Sec. 102-33.140 through 102-33.185, as applicable, and
requiring compliance with these standards in your contracts and
agreements;
(b) Accounting for the cost of your aircraft and services hired as
CAS;
(c) Accounting for the use of your aircraft hired as CAS; and
(d) Reporting the cost and usage data for your CAS hires (for
reporting requirements, see subpart E of this part).
Sec. 102-33.135 Do we have to follow OMB Circular A-123, ``Management
Accountability and Control,'' for establishing management
controls for our aviation program?
Yes, you must follow OMB Circular A-123, ``Management's
Responsibility for Accountability and Control'' (http://
www.whitehouse.gov/omb), when establishing management controls for your
aviation program. The circular requires that you establish
organizations, policies, and procedures to ensure that, among other
things, your aviation program achieves its intended results and you use
your resources consistently with your agency's missions.
Establishing Flight Program Standards
Sec. 102-33.140 What are Flight Program Standards?
Flight Program Standards are the minimum requirements that must be
incorporated into your flight programs to ensure that your aircraft are
operated safely, effectively, and efficiently. These requirements must:
(a) Be specific to your agency's aviation operations, including your
CAS;
(b) Meet the requirements identified in Sec. Sec. 102-33.155
through 102-33.185.
(c) Meet or exceed applicable civil or military rules (in particular
49 U.S.C. 40102(a)(37) and 40125), and applicable FAA regulations); and
(d) Incorporate risk management techniques when civil or military
rules do not apply.
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Sec. 102-33.145 Why must we establish Flight Program Standards?
You must establish Flight Program Standards because Title 14 of the
Code of Federal Regulations (14 CFR) may not cover or address all
aspects of your agency's flight program, such as non-certificated
aircraft, high-risk operations, special personnel requirements, etc.
Sec. 102-33.150 What Federally-funded aviation activities of
executive agencies are exempt from establishing Flight Program
Standards under this part?
The following Federally-funded activities are exempt from
establishing Flight Program Standards under this part:
(a) The Armed Forces (which includes the U.S. Coast Guard);
(b) Agencies in the Intelligence Community; and
(c) Entities outside the executive branch of the Federal Government
when using aircraft loaned to them by an executive agency (that is,
owned by an executive agency, but operated by and on behalf of the
loanee) unless the loanee--
(1) Uses the aircraft to conduct official Government business; or
(2) Is required to follow Sec. Sec. 102-33.140 through 102-33.185
under a Memorandum of Agreement governing the loan.
Sec. 102-33.155 How must we establish Flight Program Standards?
To establish Flight Program Standards, you must write, publish (as
appropriate), implement, and comply with standards (specific to your
agency), which establish or require (contractually, where applicable)
policies and procedures for--
(a) Management/administration of your flight program (in this part,
``flight program'' includes CAS contracts);
(b) Operation of your flight program;
(c) Maintenance of your Government aircraft;
(d) Training for your flight program personnel;
(e) Safety of your flight program;
(f) Accident reporting and investigation as appropriate; and
(g) Reporting to FAIRS as required by this part.
Management/Administration
Sec. 102-33.160 What standards must we establish or require
(contractually, where applicable) for management/administration
of our flight program?
For management/administration of your flight program, you must
establish or require (contractually, where applicable)--
(a) A management structure responsible for the administration,
operation, safety, training, maintenance, and financial needs of your
aviation operation (including establishing minimum requirements for
these items for any commercial contracts); and
(b) Guidance describing the roles, responsibilities, and authorities
of your flight program personnel, e.g., managers, pilots and other
crewmembers, flight safety personnel, maintenance personnel,
administrative personnel and dispatchers.
Operations
Sec. 102-33.165 What standards must we establish or require
(contractually, where applicable) for operation of our flight
program?
For operation of your flight program, you must establish or require
(contractually, where applicable)--
(a) Basic qualifications and currency requirements for your pilots
and other crewmembers, maintenance personnel, administrative personnel
and other mission-related personnel;
(b) Limitations on duty time and flight time for pilots and other
crewmembers;
(c) Procedures to record and track flight time, duty time, training
of crewmembers, and applicable medical requirements;
(d) Compliance with owning-agency or military safety of flight
notices and operational bulletins;
(e) Flight-following procedures to notify management and initiate
search and rescue operations for lost or downed aircraft;
(f) Dissemination, as your agency determines appropriate, of a
disclosure statement to all crewmembers and
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qualified non-crewmembers who fly aboard your agency's Government
aircraft (see Appendix A to this part);
(g) Creation of a manifest, at the origin of each flight, that
contains the full names of all persons on board for each leg of flight,
a point of contact for each person, and phone numbers for the points of
contact;
(h) Documentation of any changes in the manifest by leg, and
retention of manifests for two years from the time of flight;
(i) Procedures for reconciling flight manifests with persons
actually on board and a method to test those procedures periodically;
(j) At the origin of each flight, preparation of a complete weight
and balance computation and a cargo-loading manifest, and retention of
this computation and manifest for 30 days from the date of flight;
(k) Appropriate emergency procedures and equipment for specific
missions;
(l) Procedures to ensure that required Aviation Life Support
Equipment (ALSE) is inspected and serviceable; and
(m) Procedures to implement a ``risk assessment'' before each flight
and/or as frequently as necessary that include such items as weather,
crew rest, type of flight (low level, Instrument Flight Rules (IFR),
night, etc.) crew makeup, etc. This process should be accomplished in
accordance with your agency's operations, flight dispatch, or flight
following procedures/program.
Maintenance
Sec. 102-33.170 What standards must we establish or require
(contractually, where applicable) for maintenance of our Government
aircraft?
For maintenance of your Government aircraft, you must establish or
require (contractually, where applicable)--
(a) Procedures to record and track duty time and training of
maintenance personnel;
(b) Aircraft maintenance and inspection programs that comply with
whichever is most applicable among--
(1) Programs for ex-military aircraft;
(2) Manufacturers' programs;
(3) FAA-approved programs (i.e., following the applicable parts of
14 CFR);
(4) FAA-accepted programs (i.e., those following ICAP guides or
similar programs that have been accepted by the FAA); or
(5) Your agency's self-prescribed programs;
(c) Compliance with owning-agency or military safety of flight
notices, FAA airworthiness directives, advisory circulars and orders, or
mandatory manufacturers' bulletins applicable to the types of aircraft,
engines, propellers, and appliances you operate;
(d) Procedures for operating aircraft with inoperable instruments
and equipment (i.e., Minimum Equipment Lists and Configuration Deviation
Lists);
(e) Technical support, including appropriate engineering
documentation and testing, for aircraft, powerplant, propeller, or
appliance repairs, modifications, or equipment installations;
(f) A quality control system for acquiring replacements, ensuring
that the parts you acquire are suitable replacement parts and have the
documentation needed to determine that they are safe for flight and are
inspected and tested, as applicable;
(g) Procedures for recording and tracking maintenance actions;
inspections; and the flight hours, cycles, and calendar times of life-
limited parts and FSCAP; and
(h) The use of alternative aviation fuels in fleet aircraft to the
maximum extent possible consistent with the availability of approved
alternative fuels and aircraft operating procedures or manuals for those
aircraft.
Training
Sec. 102-33.175 What standards must we establish or require
(contractually, where applicable) to train our flight program
personnel?
You must establish or require (contractually, where applicable) the
following standards to train your flight program personnel--
(a) An instructional program to train your flight program personnel,
initially and on a recurrent basis, in their roles, responsibilities,
authorities, and in the operational skills relevant to
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the types of operations that you conduct. Flight program personnel may
include, e.g., managers, pilots and other crewmembers, flight safety
personnel, maintenance personnel, administrative personnel and
dispatchers; and
(b) An instructional program that meets the specific requirements
for safety manager training identified in Sec. 102-33.180(a).
Safety
Sec. 102-33.180 What standards should we establish or require
(contractually, where applicable) for aviation safety management?
You should establish or require (contractually, where applicable)
the following aviation safety management standards:
(a) By June 30, 2015, a Safety Management System (SMS) that complies
with the FAA's current Advisory Circular that addresses Safety
Management Systems (SMS) or an equivalent internationally recognized SMS
standard. The SMS should include:
(1) Policies that define clear roles and responsibilities for
implementing an SMS. This includes ensuring that senior level management
has the ultimate responsibility for your SMS. It also includes
appointing members of management as qualified aviation safety managers
and safety officers (i.e., individuals who are responsible for an
agency's aviation safety program, regardless of title), who should be--
(i) Experienced as pilots, crewmembers, maintenance personnel, or
have experience in aviation management or aviation maintenance program
management; and
(ii) Graduated or certificated from an aviation safety officer
course provided by a recognized training provider and authority in
aviation safety before appointment or within one year after appointment;
and
(2) A program for preventing accidents, which includes--
(i) Measurable accident prevention procedures (e.g., safety reviews,
clear roles and responsibilities, operations and maintenance procedures,
pilot and mechanic proficiency evaluations, fire drills, hazard
analyses);
(ii) A procedure or system for disseminating accident-prevention
information;
(iii) Safety training;
(iv) An aviation safety awards program that includes applying for
the annual Federal Aviation Awards as appropriate;
(v) An annual review to ensure compliance with the GSA Gold Standard
Program; and
(vi) A safety council or committee (applies to Federal aircraft-
owning agencies);
(b) Procedures and processes for risk analysis and risk management
that identify and mitigate hazards through formal administrative and
engineering controls and provide recommendations to senior level
managers for managing risk to an optimum level;
(c) Policies that require the use of independent, unbiased
inspectors to verify compliance with the standards called for in this;
(d) Procedures for reporting unsafe operations to agency aviation
safety officers and senior aviation safety managers without reprisal;
(e) A system to collect and report information on aircraft accidents
and incidents (as required by 49 CFR part 830 and 41 CFR 102-33.445 and
102-33.450);
(f) Policies that identify clear standards for acceptable behavior;
and
(g) A security program that includes--
(1) A designated security manager;
(2) A threat assessment process;
(3) Procedures for preventing and deterring unlawful acts;
(4) Procedures for responding to threats and unlawful acts;
(5) Security training for personnel; and
(6) Policies and procedures for a mail security plan that meet the
mail security requirements contained in FMR 102-192, ``Mail
Management,'' Subpart C, ``Security Requirements for All Agencies,''
Sec. Sec. 102-192.70 through 102-192.80. Specifically, section 102-
192.80 identifies topics that must be addressed in an agency's mail
security plan, to include a plan to protect staff
[[Page 57]]
and all other occupants of agency facilities from hazards that might be
delivered in the mail, which would include an agency's use of aircraft
for mail delivery.
Sec. 102-33.185 What standards must we establish or require
(contractually, where applicable) for responding to aircraft
accidents and incidents?
You must establish or require (contractually, where applicable) the
following standards for responding to aircraft accidents and incidents:
(a) An aircraft accident/incident reporting policy to ensure that
you will comply with the National Transportation Safety Board's (NTSB)
regulations (located in 49 CFR parts 830 and 831), including notifying
NTSB immediately when you have an aircraft accident or an incident as
defined in 49 CFR 830.5. In addition, this policy must contain a method
of notifying the U.S. General Services Administration of an accident or
incident that was reported to the NTSB. Refer to Sec. Sec. 102-33.445
and 102-33.450 for further information;
(b) An agency, bureau, or field level accident/incident response
plan, modeled on the NTSB's ``Federal Plan for Aviation Accidents
Involving Aircraft Operated by or Chartered by Federal Agencies,'' and
periodic disaster response exercises to test your plan. A copy of the
NTSB's plan is available at http://www.ntsb.gov. The plan should also
refer to or incorporate procedures (as outlined in FAA Advisory Circular
120-92) to identify the potential for accidents or incidents;
(c) Procedures (see 49 CFR 831.11) for participation as a party to
NTSB accident or incident investigations involving aircraft that your
agency either owns or hires, and for conducting parallel investigations,
as appropriate;
(d) Training in investigating accidents/incidents for your agency's
personnel who may be asked to participate in NTSB investigations or to
conduct a parallel investigation; and
(e) Procedures for disseminating, in the event of an aviation
disaster that involves one of your Government aircraft, information
about eligibility for benefits contained in the disclosure statement in
appendix A of this part to anyone injured, to the injured or deceased
persons' points of contact (listed on the manifest), and to the families
of injured or deceased crewmembers and qualified non-crewmembers.
Note to Sec. 102-33.185: This part does not supersede any of the
regulations in 49 CFR parts 830 and 831. For definitions of terms and
complete regulatory guidance on notifying the NTSB and reporting
aircraft accidents and incidents, see 49 CFR parts 830 and 831.
Accounting for the Costs of Government Aircraft
Sec. 102-33.190 What are the aircraft operations and ownership costs
for which we must account?
You must account for the operations and ownership costs of your
Government aircraft, including your Unmanned Aircraft Systems (UAS), as
described in the ``U.S. Government Aircraft Cost Accounting Guide''
(CAG), available at (http://www.gsa.gov/aviationpolicy), which follows
OMB Circular A-126 (http://www.whitehouse.gov/omb). To account for
aircraft costs, you must do at least the following:
(a) Justify acquisitions to support the agency's aviation program;
(b) Justify the use of Government aircraft in lieu of commercially
available aircraft, and the use of one Government aircraft in lieu of
another;
(c) Develop a variable cost rate for each aircraft or aircraft type
(i.e., make and model) in your inventory;
(d) Recover the costs of operating Government aircraft;
(e) Determine the cost effectiveness of various aspects of agency
aircraft programs; and
(f) Accumulate aircraft program costs following the procedures
defined in the CAG, available at (http://www.gsa.gov/aviationpolicy).
Sec. 102-33.195 Do we need an automated system to account for
aircraft costs?
(a) Yes, if you own Federal aircraft or operate bailed aircraft, you
must maintain an automated system to account for aircraft costs by
collecting the cost data elements required by FAIRS. The functional
specifications and data definitions for a FAIRS-compliant system are
described in the ``Common Aviation Management Information Standard'' (C-
AMIS), which is
[[Page 58]]
available from the Aviation Policy Division. See Sec. Sec. 102-33.395,
102-33.405, and 102-33.410 for more information on FAIRS, and Sec. Sec.
102-33.455 and 102-33.460 for more information on C-AMIS.
(b) Agencies that use only CAS aircraft and do not have Federal
aircraft must keep records adequate for reporting information through
FAIRS, but are not required to have an automated system. See Sec. Sec.
102-33.435 and 102-33.440 for the information on CAS that you must
report through FAIRS.
Sec. 102-33.200 Must we periodically justify owning and operating
Federal aircraft?
Yes, after you have held a Federal aircraft for five years, you
must:
(a) Justify owning and operating the aircraft by reviewing your
operations and establishing that you have a continuing need for the
aircraft, using the procedures required in OMB Circular A-76 and OMB
Circular A-11, Part 7, Appendix B, Budgetary treatment of lease-
purchases and leases of capital assets; and
(b) Review the continuing need for each of your aircraft and the
cost-effectiveness of your aircraft operations as directed by OMB
Circulars A-11 and A-76, every five years.
Sec. 102-33.205 When we use our aircraft to support other executive
agencies, must we recover the operating costs?
Yes, you must recover the following:
(a) Under 31 U.S.C. 1535 and other statutes, you may be required to
recover the costs of operating aircraft in support of other agencies.
Depending on the statutory authorities under which you acquired and
operate your aircraft, you will use either of the following two methods
for establishing the rates charged for using your aircraft:
(1) The variable cost recovery rate; or
(2) The full cost recovery rate.
(b) See the U.S. Government Aircraft Cost Accounting Guide (CAG)
(http://www.gsa.gov/aviationpolicy), for the definitions of ``variable
cost recovery rate'' and ``full cost recovery rate.''
Accounting for the Use of Government Aircraft
Sec. 102-33.210 How do we account for the use of our Government
aircraft?
To account for the use of Government aircraft, including your
Unmanned Aircraft Systems (UAS), you must document all flights and keep
this documentation for two years after the date of the flight. For each
flight, record the--
(a) Aircraft's registration mark;
(b) Owner and operator (the owner may not be the operator, as is the
case when a CAS aircraft, owned commercially, is operated by U.S.
Government personnel);
(c) Purpose of the flight (the Governmental function that the
aircraft was dispatched to perform);
(d) Departure and destination points;
(e) Flight date(s) and times;
(f) Manifest (see Sec. 102-33.165(g) and (h)); and
(g) Name(s) of the pilot(s) and crewmembers.
Sec. 102-33.215 May we use Government aircraft to carry passengers?
Yes, you may use Government aircraft to carry passengers with the
following restrictions:
(a) You may carry passengers only on aircraft that you operate or
require contractually to be operated in accordance with the rules and
requirements in 14 CFR; and
(b) For certain kinds of travel, your agency must justify
passengers' presence on Government aircraft. See OMB Circular A-126 and
the Federal Travel Regulation (FTR) Sec. Sec. 301-10.260 through 301-
10.266, and 301-70.800 through 301-70.808, and 301-70.910 (41 CFR 301-
10.260 through 301-10.266, 301-70.800 through 301-70.808, and 301-
70.910) for complete information on authorizing travel and analyzing
costs before authorizing travel on Government aircraft.
Sec. 102-33.220 What are the responsibilities of our aviation program
in justifying the use of a Government aircraft to transport passengers?
After receiving a request from your agency, your aviation program's
responsibilities in justifying the use of a
[[Page 59]]
Government aircraft to transport passengers are to your travel approving
authority:
(a) Cost estimates to assist in determining whether or not use of a
Government aircraft to carry passengers is justified. See OMB Circular
A-126 (http://www.whitehouse.gov/omb) for more information on justifying
travel on Government aircraft. See also FTR Sec. Sec. 301-10.260
through 301-10.266, and 301-70.800 through 301-70.808, and 301-70.910
(41 CFR 301-10.260 through 301-10.266, 301-70.800 through 301-70.808,
and 301-70.910) for guidance on estimating the cost of using a
Government aircraft. The cost of using a Government aircraft is--
(1) The variable cost of using a Federal aircraft;
(2) The amount your agency will be charged by a CAS provider; or
(3) The variable cost of using an aircraft owned by another agency
as reported by the owning agency; and
(b) Information to assist in the analysis of alternatives to travel
on Government aircraft. The information must include the following:
(1) If no follow-on trip is scheduled, all time required to position
the aircraft to begin the trip and to return the aircraft to its normal
base of operations;
(2) If a follow-on trip requires repositioning, the cost for the
repositioning should be charged to the associated follow-on trip;
(3) If an aircraft supports a multi-leg trip (a series of flights
scheduled sequentially), the use of the aircraft for the total trip may
be justified by comparing the total variable cost of the entire trip to
the commercial aircraft cost (including charter) for all legs of the
trip; and
(4) The use of foreign aircraft as CAS is authorized when the agency
has determined that an equivalent level of safety exists as compared to
U.S. operations of a like kind. The safety of passengers shall be the
overriding consideration for the selection of travel mode when comparing
foreign sources of scheduled commercial airlines and CAS.
Managing Aircraft Parts
Sec. 102-33.225 How must we manage aircraft parts?
You must manage your aircraft parts by maintaining proper storage,
protection, maintenance procedures, and records for the parts throughout
their life cycles.
Sec. 102-33.230 May we use military FSCAP on non-military FAA-type
certificated Government aircraft?
You may use dual-use military FSCAP on non-military aircraft
operated under restricted or standard airworthiness certificates if the
parts are inspected and approved for such installation by the FAA. See
detailed guidance in FAA Advisory Circular 20-142, Change (1),
``Eligibility and Evaluation of U.S. Military Surplus Flight Safety
Critical Aircraft Parts, Engines, and Propellers'' (http://www.faa.gov).
Sec. 102-33.235 What documentation must we maintain for life-limited
parts and FSCAP?
For life-limited parts and FSCAP, you must hold and update the
documentation that accompanies these parts for as long as you use or
store them. When you dispose of life-limited parts or FSCAP, the up-to-
date documentation must accompany the parts. (See Sec. 102-33.370.)
Subpart D_Disposing or Replacing of Government Aircraft and Aircraft
Parts
Overview
Sec. 102-33.240 What must we consider before disposing or replacing
aircraft and aircraft parts?
Before disposing of aircraft and aircraft parts, you must first
determine if the aircraft or parts are excess to your agency's mission
or, if your aircraft or parts are not excess, if you will need
replacements, as follows:
[[Page 60]]
------------------------------------------------------------------------
(a) If your aircraft/parts are .
. . And . . . Then . . .
------------------------------------------------------------------------
No longer needed to perform You do not need to You must report
their mission(s) for your replace them, them to GSA as
agency, i.e., they are excess excess property
to your needs, (see 41 CFR 102-
36.45(e)).
------------------------------------------------------------------------
(b) If your aircraft/parts are . And . . . Then . . .
. .
------------------------------------------------------------------------
No longer suitable, or capable You do need to You may consider
of performing their mission(s) replace them, using the
for your agency, exchange/sale
authority (see 41
CFR part 102-39).
------------------------------------------------------------------------
Sec. 102-33.245 May we report as excess, or replace (i.e., by
exchange/sale), both operational and non-operational aircraft?
Yes, you may report as excess, or replace both operational and non-
operational aircraft by following the rules governing excess personal
property and exchange/sale (see 41 CFR parts 102-36 and 102-39,
respectively).
Sec. 102-33.250 May we declassify aircraft?
Yes, you may declassify aircraft (See Sec. Sec. 102-33.415 and 102-
33.420).
(a) A declassified aircraft is no longer considered an aircraft, but
may be considered as a group of aircraft parts or other property for
ground use only.
(b) You must retain documentation and traceability on all parts that
are intended for use as replacement parts on other aircraft. You must
carry such ``aircraft parts or other property'' on your property records
under the appropriate Federal Supply Classification group(s) (e.g.,
miscellaneous property).
(c) For disposal of the property remaining after declassification of
an aircraft, you must follow the property disposal regulations in 41 CFR
parts 102-36, 102-37, 102-38 and 102-39.
Sec. 102-33.255 Must we document FSCAP or life-limited parts
installed on aircraft that we will report as excess or replace?
Yes, you must comply with the documentation procedures described in
Sec. 102-33.370 if your aircraft and/or engines contain FSCAP or life-
limited parts that you will report as excess or replace.
Sec. 102-33.260 When we report as excess, or replace, an aircraft
(including a declassified aircraft), must we report the change in
inventory to the Federal Aviation Interactive Reporting System
(FAIRS)?
(a) Yes. When you report as excess or replace an aircraft you must
report the change in inventory to FAIRS. For more information see Sec.
102-33.405.
(b) Within 14 calendar days of the date you dispose of the aircraft,
you must report--
(1) The disposal method (e.g., reassignment, inter-agency transfer,
donation, sale as surplus or scrap, declassification, or exchange/sale);
(2) The disposal date; and
(3) The identity and type of recipient (e.g., State, educational
institution, executive agency, commercial vendor).
Reporting Excess Federal Aircraft
Sec. 102-33.265 What must we do with aircraft that are excess
to our needs?
If aircraft are excess to your needs, you must:
(a) Reassign the aircraft within your agency if any of your sub-
agencies can use the aircraft; or
(b) Report the aircraft as excess property to GSA (see 41 CFR part
102-36) if none of your sub-agencies can use the aircraft.
Sec. 102-33.270 What is the process for reporting an excess aircraft?
To report an excess aircraft, you must:
(a) Report electronically to GSA's Federal Disposal System
GSAXcess[supreg] (http://gsaxcess.gov). For information on reporting
excess property electronically, contact the Federal Acquisition Service
(FAS), Pacific Rim Region (Region 9) at (415) 522-2777; and
(b) Submit a Standard Form (SF) 120, Report of Excess Personal
Property
[[Page 61]]
(see Sec. 102-2.135), to: General Services Administration, Federal
Acquisition Service, Pacific Rim Region, 450 Golden Gate Avenue, 4th
Floor West, San Francisco, CA, 94102-3434.
Replacing Aircraft Through Exchange/Sale
Sec. 102-33.275 What should we consider before replacing our
aircraft through exchange/sale?
Before an exchange/sale of your aircraft, you should consider
whether:
(a) You have a continuing need for similar property and that the
property being exchanged or sold is not excess or surplus; and
(b) The exchange/sale meets all other requirements in 41 CFR part
102-39.
Sec. 102-33.280 What are our options if we need a replacement
aircraft?
If you need to replace an aircraft, your options are--
(a) Negotiating and conducting an exchange transaction directly with
an aircraft provider and obtaining credit toward the purchase of a
replacement aircraft, following the procurement rules applicable to your
agency; or
(b) Selling the aircraft and using the proceeds to offset the cost
of purchasing a replacement aircraft, following 41 CFR part 102-39.
Sales Centers (SC) that are currently authorized to conduct sales, as
well as contact information for the GovSales Program Manager, are
available on the GovSales Web site at http://www.gsa.gov/portal/content/
105020.
Sec. 102-33.285 Do we need to include any special disclaimers in our
exchange/sale agreements for non-certificated aircraft or aircraft
that we have operated as public aircraft (i.e., not in compliance
with 14 CFR)?
Yes, when you exchange/sell non-certificated aircraft or aircraft
maintained as public aircraft, you must ensure that the exchange/sale
offerings contain the following statement:
``Warning to purchasers/recipients. The aircraft you are purchasing
or receiving in an exchange may not be in compliance with applicable
Federal Aviation Administration (FAA) requirements. You are solely
responsible for bringing the aircraft into compliance with 14 CFR
Chapter I, or other applicable standards, by obtaining all necessary FAA
inspections or modifications.
The purchaser/recipient agrees that the Government shall not be held
liable for personal injuries to, disabilities of, or death of the
purchaser/recipient, the purchaser's/recipient's employees, or to any
other persons arising from or incident to the purchase of this aircraft,
its use, or disposition. You will hold the Government harmless from any
or all debts, liabilities, judgments, costs, demands, suits, actions, or
claims of any nature arising from or incident to the purchase, use, or
resale of this item. This aircraft may have been operated outside the
limitations of 14 CFR Chapter I, and some type of inspection may be
needed to determine its airworthiness prior to being flown. You should
be aware of the items below prior to operating this aircraft.
All civil and public aircraft must have a valid
registration issued by the FAA as required by 14 CFR Chapter I.
Civil aircraft must have a valid airworthiness
certificate in order to operate in the U.S. airspace.
In order for the aircraft to be eligible for a
standard airworthiness certificate, the aircraft must conform to its FAA
Type Certificate.
Aircraft not having a valid airworthiness
certificate may be eligible for a special FAA one-time flight permit to
enable relocating the aircraft. Relocation can be for a number of
reasons, including storage, repair, inspection, or public display. Any
one-time flight approval is predicated on the aircraft being safe for
flight.
Individuals who purchase a surplus military
(foreign or domestic) or foreign aircraft not having any type of FAA
Type Certificate may be unable to obtain any type of airworthiness
certificate or special flight permit.
An aircraft with good maintenance and inspection
records makes an airworthiness determination easier to ascertain. It is
in your best interest to contact the nearest FAA Flight Standards
District Office and discuss your responsibilities with respect to
gaining an airworthiness determination. The location of your nearest FAA
office
[[Page 62]]
may be obtained from the FAA's Web site (http://www.faa.gov/).
When the aircraft is purchased for spare parts
and the airframe is scrapped, you should declassify the aircraft (see
Sec. 102-33.420 for more information), complete the back of the
aircraft's registration form and send it to: The FAA Aircraft
Registration Branch, P.O. Box 25504, Oklahoma City, OK 73125-0504.''
Sec. 102-33.295 May we exchange/sell an aircraft through reimbursable
transfer to another executive agency or conduct a negotiated sale at
fixed price to a State Agency for Surplus Property (SASP)?
Yes, you may exchange/sell an aircraft through reimbursable transfer
to another executive agency or conduct a negotiated sale at fixed price
to a State Agency for Surplus Property (SASP) (see Sec. 102-39.55 for
more information).
Note to Sec. 102-33.295: Some agencies may also have special
congressional authorization to recover costs.
Disposing of Aircraft Parts
Sec. 102-33.300 What must we consider before disposing of aircraft
parts?
Before disposing of aircraft parts, you must first determine if they
are excess to your agency's mission requirements or, if the aircraft
parts are not excess, if you will need replacements. The table in Sec.
102-33.240 shows the differences between excess and replacement parts.
Sec. 102-33.305 May we report as excess, or replace, FSCAP and life
-limited parts?
Yes, you may report as excess, or replace, FSCAP and life-limited
parts, but they require special handling. See the tables in Sec. 102-
33.370.
Sec. 102-33.310 May we report as excess, or replace, unsalvageable
aircraft parts?
No, you may not report unsalvageable aircraft parts as excess or
exchange/sale them for replacements. You must mutilate unsalvageable
parts. You may sell the mutilated parts only as scrap or report that
scrap to GSA for sale.
Sec. 102-33.315 What are the procedures for mutilating unsalvageable
aircraft parts?
When mutilating unsalvageable aircraft parts, you must--
(a) Destroy the data plates, remove the serial/lot/part numbers, and
cut, crush, grind, melt, burn, or use other means to prevent the parts
from being misidentified or used as serviceable aircraft parts. Call
your regional FAA Flight Standards District Office for additional
guidance;
(b) Ensure that an authorized official of your agency witnesses and
documents the mutilation; and
(c) Retain a signed certification and statement of mutilation.
Sec. 102-33.320 What must we do if we are unable to perform required
mutilation of aircraft parts?
If you are unable to perform the required mutilation of aircraft
parts, you must turn the parts in to a Federal or Federally-approved
facility for mutilation and proper disposition. Ensure that any
contractor follows the provisions of Sec. 102-33.315 for mutilating and
disposing of the parts.
Sec. 102-33.325 What documentation must we furnish with excess,
surplus or replaced parts when they are transferred, donated,
or exchanged/sold?
When you transfer, donate, or exchange/sell excess, surplus or
replaced parts, you must--
(a) Furnish all applicable labels, tags, and historical and
modification records for serviceable aircraft parts;
(b) Mark mutilated parts as unsalvageable (mutilated parts may be
sold only for scrap; see Sec. 102-33.315); and
(c) Ensure that all available tags, labels, applicable historical
data, life-histories, and maintenance records accompany FSCAP and life-
limited parts and that FSCAP criticality codes (see Sec. 102-33.375)
are perpetuated on documentation (see Sec. 102-33.330 for additional
requirements).
Reporting Excess Aircraft Parts
Sec. 102-33.330 What must we do with aircraft parts that are excess
to our needs?
If aircraft parts are excess to your needs, you must:
[[Page 63]]
(a) Reassign the aircraft parts within your agency if any of your
sub-agencies can use the parts; or
(b) Report the excess parts to GSA, using Standard Form (SF) 120,
``Report of Excess Personal Property'' (see Sec. 102-2.135 for
information to obtain this form). When reporting excess FSCAP, you must
include the manufacturer's name, date of manufacture, part number,
serial number, and the appropriate Criticality Code on the SF 120. For
information on reporting excess property, refer to http://gsaxcess.gov.
(See 41 CFR part 102-36 regarding disposal of excess property.)
Sec. 102-33.335 What are the receiving agency's responsibilities
in the transfer of aircraft parts?
An agency that receives transferred aircraft parts must:
(a) Verify that all applicable labels and tags and historical and
modification records accompany all serviceable aircraft parts (i.e.,
parts that are intended for flight use) that you receive. This
requirement does not apply to parts for ground use only. See the tables
in Sec. 102-33.370.
(b) Mutilate all transferred parts that you discover to be
unsalvageable, and dispose of them properly, following the procedures in
Sec. 102-33.315.
Sec. 102-33.340 What are GSA's responsibilities in disposing of
excess and surplus aircraft parts?
In disposing of excess aircraft parts, the GSA FAS office in your
region:
(a) Reviews your SF 120, Report of Excess Personal Property (see
Sec. 102-2.135 for information to obtain this form) for completeness
and accuracy (of status, condition, and FSCAP and demilitarization codes
if applicable); and
(b) Ensures that the following certification is included on disposal
documents (e.g., transfer orders or purchasers' receipts):
Because of the critical nature of the failure of aircraft parts and
the resulting potential safety threat, recipients of aircraft parts must
ensure that any parts installed on an aircraft meet applicable Federal
Aviation Administration (FAA) requirements and must obtain required
certifications. GSA makes no representation as to a part's conformance
with the FAA requirements.
Sec. 102-33.345 What are the responsibilities of a State Agency for
Surplus Property (SASP) in the donation of Federal Government aircraft
parts?
When a SASP accepts surplus Federal Government aircraft parts for
donation, the SASP must:
(a) Review donation and transfer documents for completeness and
accuracy, and ensure that the certification in Sec. 102-33.340 is
included;
(b) Ensure that when the donee determines the part to be
unsalvageable, the donee mutilates the part following the procedures in
Sec. 102-33.315; and
(c) Ensure that the donee retains, maintains, and perpetuates all
documentation for serviceable parts (parts intended for flight use).
Replacing Aircraft Parts Through Exchange/Sale
Sec. 102-33.350 What do we need to consider for an exchange/sale
of our aircraft parts?
(a) When replacing aircraft parts through exchange/sale you--
(1) Do not need approval from GSA; and
(2) Must follow the provisions of this subpart and part 102-39 of
this chapter.
(b) Replacement parts do not have to be for the same type or design
of aircraft, but you must use the exchange allowance or sales proceeds
to purchase aircraft parts to support your aviation program which meet
the ``similarity'' requirement in 41 CFR part 102-39.
Sec. 102-33.355 May we exchange/sell aircraft parts through
a reimbursable transfer to another executive agency or conduct
a negotiated sale at fixed price to a State Agency for Surplus
Property (SASP)?
Yes, you may exchange/sell aircraft parts through a reimbursable
transfer to another executive agency, or conduct a negotiated sale at
fixed price to a SASP (see Sec. 102-39.55 for more information).
[[Page 64]]
Sec. 102-33.360 What is the process for exchanging/selling aircraft
parts for replacement?
(a) You or your agent (i.e., another Federal agency or an authorized
Sales Center) may transact an exchange/sale directly with a non-Federal
source, or do a reimbursable transfer with another executive agency as
long as you or your agent--
(1) Follow the provisions in this part and in 41 CFR part 102-39;
(2) Ensure that the applicable labels and tags, historical data and
modification records accompany the parts at the time of sale, and that
sales offerings on aircraft parts contain the following statement:
``Warning to purchasers/recipients. The aircraft parts you are
purchasing or receiving in an exchange may not be in compliance with
applicable Federal Aviation Administration (FAA) requirements. You are
solely responsible for bringing the aircraft into compliance with 14 CFR
Chapter I, or other applicable standards, by obtaining all necessary FAA
inspections or modifications.''
(3) Ensure that the following certification is signed by the
purchaser/recipient and received by the Government before releasing
parts to the purchaser/recipient:
``The purchaser/recipient agrees that the Government shall not be
held liable for personal injuries to, disabilities of, or death of the
purchaser/recipient, the purchaser's/recipient's employees, or to any
other persons arising from or incident to the purchase of these aircraft
parts, their use, or disposition. The purchaser/recipient shall hold the
Government harmless from any or all debts, liabilities, judgments,
costs, demands, suits, actions, or claims of any nature arising from or
incident to the purchase, use, or resale of these aircraft parts.
These parts may have been used on aircraft that were operated
outside the limitations of 14 CFR Chapter I, and some type of inspection
may be needed to determine their airworthiness prior to being used on a
recipient aircraft.
You should be aware of the following requirements prior to operating
an aircraft with parts received from an exchange.
All civil and public aircraft must have a valid
registration issued by the FAA as required by 14 CFR Chapter I.
Civil aircraft must have a valid airworthiness
certificate in order to operate in U.S. airspace.
In order for the aircraft to be eligible for a
standard airworthiness certificate, the aircraft must conform to its FAA
Type Certificate.
Aircraft not having a valid airworthiness
certificate may be eligible for a special FAA one-time flight permit to
enable relocating the aircraft. Relocation can be for a number of
reasons, perhaps including storage, repair, inspection, or public
display. Any one-time flight approval is predicated on the aircraft
being safe for flight.
Individuals who purchase a surplus military
(foreign or domestic) or foreign aircraft not having any type of FAA
Type Certificate may be unable to obtain any type of airworthiness
certificate or special flight permit.
An aircraft with good maintenance and inspection
records makes an airworthiness determination easier to ascertain. It is
in your best interest to contact the nearest FAA Flight Standards
District Office and discuss your responsibilities with respect to
gaining an airworthiness determination. The location of your nearest FAA
office may be obtained from the FAA's Web site (http://www.faa.gov/).''
(b) Authorized SCs can conduct sales of aircraft parts for you. SCs
that are currently authorized to conduct sales, as well as contact
information for the GovSales Program Manager, are available on the
GovSales Web site at http://www.gsa.gov/portal/content/105020.
Sec. 102-33.365 Must we report exchange/sale of parts to FAIRS?
No, you don't have to report exchange/sale of parts to FAIRS.
However, you must report the transactions to GSA as part of your
agency's annual report (see 41 CFR part 102-39 Subpart C--Exchange/Sale
Methods and Reports).
[[Page 65]]
Special Requirements for Disposing of Flight Safety Critical Aircraft
Parts (FSCAP) and Life-Limited Parts
Sec. 102-33.370 What must we do to dispose of military FSCAP and/
or life-limited parts?
To dispose of military FSCAP and/or life-limited parts, you must use
the following tables:
(a) Table 1 for disposing of uninstalled FSCAP and/or life-limited
parts follows:
Table 1 for Disposing of Uninstalled FSCAP and/or Life-Limited Parts
----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
(1) If an Uninstalled FSCAP (i.e., not
installed in an aircraft or engine)--
(i) Is documented-- Then....................... (A) You may exchange/sale it or transfer
it to another executive agency under 41
CFR parts 102-36 and 102-39;
(B) GSA may donate it for flight use
under 41 CFR part 102-37 of this
subchapter; or
(C) GSA may donate it for ground use
only, after you mutilate and mark it,
``FSCAP--NOT AIRWORTHY'' (the State
Agency for Surplus Property must certify
that the part has been mutilated and
marked before donation).
(ii) Is undocumented, but traceable Then....................... (A) You may exchange/sell it only to the
to its original equipment OEM or PAH under 41 CFR part 102-39;
manufacturer (OEM) or production (B) GSA may transfer or donate it for
approval holder (PAH)-- flight use, but only by making it a
condition of the transfer or donation
agreement that the recipient will have
the part inspected, repaired, and
certified by the OEM or PAH before
putting it into service (Note: You must
mark parts individually to ensure that
the recipient is aware of the part's
service status); or
(C) GSA may donate it for ground use
only, after you mutilate and mark it,
``FSCAP--NOT AIRWORTHY'' (the State
Agency for Surplus Property must certify
that the part has been mutilated and
marked before donation).
(iii) Is undocumented and Then....................... (A) GSA may transfer or donate it for
untraceable, you must mutilate it, ground use only, after you mark it,
and-- ``FSCAP--NOT AIRWORTHY'' (the State
Agency for Surplus Property must certify
that the part has been mutilated and
marked before donation); or
(B) You may sell it only for scrap under
Sec. Sec. 102-33.310 and 102-33.315.
(2) If an uninstalled life-limited part
(i.e., not installed in an aircraft or
engine)--
(i) Is documented with service life Then....................... (A) You may exchange/sale it or transfer
remaining-- it to another executive agency under 41
CFR parts 102-36 and 102-39;
(B) GSA may donate it for flight use
under 41 CFR part 102-37; or
(C) GSA may donate it for ground use
only, after you mutilate and mark it,
``EXPIRED LIFE-LIMITED--NOT AIRWORTHY''
(the State Agency for Surplus Property
must certify that the part has been
mutilated and marked before donation).
(ii) Is documented with no service But........................ (A) GSA may transfer or donate it for
life remaining, or undocumented, ground use only, after you mutilate and
GSA may not transfer it to another mark it, ``EXPIRED LIFE-LIMITED--NOT
executive agency for flight use-- AIRWORTHY'' (the State Agency for
Surplus Property must certify that the
part has been mutilated and marked
before donation); or
(B) You must mutilate it and may sell it
only for scrap.
----------------------------------------------------------------------------------------------------------------
(b) Table 2 for disposing of installed FSCAP and/or life-limited
parts follows:
[[Page 66]]
Table 2 for Disposing of Installed FSCAP and/or Life-Limited Parts
----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
(1) If a FSCAP and/or life-limited part
is installed in an aircraft or an
engine, and it--
(i) Is documented with service life Then....................... (A) You may exchange/sale the aircraft or
remaining-- engine, or GSA may transfer the aircraft
or engine to another executive agency
under 41 CFR parts 102-36 and 102-39;
(B) GSA may donate the aircraft or engine
for flight use or ground use.
(ii) Is documented with no service Then....................... (A) You must remove and mutilate the part
life remaining-- before you exchange/sale the aircraft or
engine (see rules for disposing of
uninstalled life-limited parts in Table
1 of this section). (Note: If an
aircraft or engine is exchanged/sold to
its OEM or PAH, you do not have to
remove the expired life-limited part);
(B) You must remove and mutilate the part
before GSA may transfer or donate the
aircraft or engine for flight use (see
the rules for disposing of uninstalled
FSCAP in Table 1 of this section).
(Note: An internal engine part may be
left installed, if you identify the part
individually to ensure that the
receiving agency is aware of the part's
service status and, as a condition of
the transfer or donation agreement, the
receiving agency agrees to remove and
mutilate the part before the engine is
put into service. You must certify
mutilation for transfers, and the State
Agency for Surplus Property must certify
that the part has been mutilated for
donations); or
(C) GSA may donate the aircraft or engine
for ground use only, after you remove
the part, mutilate and mark it ``EXPIRED
LIFE-LIMITED--NOT AIRWORTHY.'' (Note: An
internal engine part may be left
installed, if, as a condition of the
donation agreement, the receiving agency
agrees to remove and mutilate the part
and mark it, and the State Agency for
Surplus Property must certify that the
part has been mutilated and marked).
----------------------------------------------------------------------------------------------------------------
Sec. 102-33.375 What is a FSCAP Criticality Code?
(a) A FSCAP Criticality Code is a code assigned by DOD to indicate
the type of FSCAP: Code ``F'' indicates a standard FSCAP; Code ``E''
indicates a nuclear-hardened FSCAP.
(b) You must perpetuate a FSCAP Criticality Code on all property
records and reports of excess. If the code is not annotated on the
transfer document that you received when you acquired the part, you may
contact the appropriate military service or query DOD's Federal
Logistics Information System (FLIS) using the National Stock Number
(NSN) or the part number (see http://www.dlis.dla.mil/webflis). For
assistance in subscribing to the FLIS service, contact the WebFLIS
Consumer Support Office, 1-877-352-2255.
Subpart E_Reporting Information on Government Aircraft
Overview
Sec. 102-33.380 Who must report information to GSA on Government
aircraft?
You must report information to GSA on Government aircraft if your
agency--
(a) Is an executive agency of the United States Government; and
(b) Owns, bails, borrows, loans, leases, rents, charters, or
contracts for (or obtains by ISSA) Government aircraft.
Sec. 102-33.385 What Federally-funded aviation activities of executive
agencies are exempt from the requirement to report information to GSA
on Government aircraft?
The following Federally-funded activities are exempt from the
requirement to report information to GSA on Government aircraft:
(a) The Armed Forces (which includes the U.S. Coast Guard); and
(b) Agencies in the Intelligence Community.
Sec. 102-33.390 What information must we report on Government
aircraft?
You must report the following information to GSA (for information
regarding how to report this information, see: https://gsa.inl.gov/
fairs/):
(a) Inventory data on Federal aircraft, including your Unmanned
Aircraft Systems (UAS), through FAIRS;
(b) Cost and utilization data on Federal aircraft, including your
Unmanned Aircraft Systems (UAS), through FAIRS;
[[Page 67]]
(c) Cost and utilization data on CAS aircraft and related aviation
services (see definition of ``Government aircraft'' for more on CAS),
through FAIRS;
(d) Accident and incident data (see Sec. 102-33.445); and
(e) The results of standard competition studies in compliance with
OMB Circular A-76 to justify purchasing, leasing, modernizing,
replacing, or otherwise acquiring aircraft and related aviation
services.
Federal Aviation Interactive Reporting System (FAIRS)
Sec. 102-33.395 What is FAIRS?
FAIRS is a management information system operated by GSA to collect,
maintain, analyze, and report information on Federal aircraft
inventories and cost and usage of Federal aircraft and CAS aircraft (and
related aviation services). Users access FAIRS through a highly-secure
Web site. The U.S. Government Aircraft Cost Accounting Guide (CAG) (see
http://www.gsa.gov/aviationpolicy) contains the business rules for using
the system.
Sec. 102-33.400 How must we report to FAIRS?
You must report to FAIRS electronically through a secure Web
interface to the FAIRS application on the Internet. For additional
information see https://gsa.inl.gov/fairs/.
Sec. 102-33.405 When must we report to FAIRS?
(a) You must report any changes in your Federal aircraft inventory
within 14 calendar days of those changes.
(b) You must report cost and utilization data to FAIRS at the end of
every quarter of the fiscal year (December 31, March 31, June 30, and
September 30). However, you may submit your information to FAIRS on a
daily, weekly, or monthly basis. To provide enough time to calculate
your cost and utilization data, you may report any one quarter's cost
and utilization in the following quarter, as follows:
------------------------------------------------------------------------
Quarter Submit
------------------------------------------------------------------------
QTR 1--October 1-December 31............ Federal inventory for QTR 1.
Federal cost and utilization
for previous QTR 4.
CAS cost and utilization for
previous QTR 4.
QTR 2--January 1-March 31............... Federal inventory for QTR 2.
Federal cost and utilization
for QTR 1.
CAS cost and utilization for
QTR 1.
QTR 3--April 1-June 30.................. Federal inventory for QTR 3.
Federal cost and utilization
for QTR 2.
CAS cost and utilization for
QTR 2.
QTR 4--July 1-September 30.............. Federal inventory for QTR 4.
Federal cost and utilization
for QTR 3.
CAS cost and utilization for
QTR 3.
------------------------------------------------------------------------
Federal Inventory Data
Sec. 102-33.410 What are Federal inventory data?
Federal inventory data includes:
(a) Information on each of the operational and non-operational
Federal aircraft that you own, bail, borrow, or loan; and
(b) UAS as described in Sec. 102-33.20.
Sec. 102-33.415 When may we declassify a Federal aircraft and remove
it from our Federal aircraft inventory?
When an aircraft is lost or destroyed, or is otherwise non-
operational and you want to retain it, you may declassify it and remove
it from your Federal aircraft inventory. For further details, see
Sec. Sec. 102-33.250 and 102-33.420. See Sec. Sec. 102-33.265 and 102-
33.270 for reporting excess Federal aircraft.
Sec. 102-33.420 How must we declassify a Federal aircraft?
To declassify a Federal aircraft, you must--
(a) Send a letter to the Deputy Associate Administrator, Office of
Asset and Transportation Management, Office of Government-wide Policy,
General Services Administration, 1800 F
[[Page 68]]
St. NW., Washington, DC 20405, that requests approval to declassify the
aircraft and states that the aircraft is non-operational (which includes
lost or destroyed). In this letter you must--
(1) Identify the Federal Supply Classification (FSC) group(s) that
the declassified aircraft/parts will fall under, if applicable;
(2) Describe the condition of the aircraft (crash-damaged,
unrecoverable, parts unavailable, etc.); and
(3) Include photographs as appropriate.
(b) Within 14 calendar days of receiving GSA's approval to
declassify the aircraft, following 14 CFR 45.13, request approval from
your local FAA Flight Standards District Office (FSDO) to remove the
manufacturer's data plate;
(c) Within 14 calendar days of receiving approval from FAA to remove
the data plate, inform GSA of FAA's approval, send the data plate by
courier or registered mail to the FAA, as directed by your FSDO, and
remove the certificate of airworthiness and the aircraft's registration
form from the aircraft, complete the reverse side of the registration
form, and send both documents to The FAA Aircraft Registration Branch,
P.O. Box 25504, Oklahoma City, OK 73125-0504; and
(d) Update the FAIRS inventory record to reflect disposal status and
update your personal property records, deleting the declassified
aircraft from the aircraft category and adding it to another Federal
Supply Classification group or groups, as appropriate.
Federal Aircraft Cost and Utilization Data
Sec. 102-33.425 What Federal aircraft cost and utilization data
must we report?
You must report certain costs for each of your Federal aircraft
(including your UAS) and the number of hours that you flew each
aircraft. In reporting the costs of your Federal aircraft, you must
report both the amounts you paid as Federal costs, which are for
services the Government provides, and the amounts you paid for
commercial aviation services (CAS) in support of your Federal aviation
program. For a list and definitions of the Federal aircraft cost and
utilization data elements, see the U.S. Government Aircraft Cost
Accounting Guide (CAG), which is available at http://www.gsa.gov/
aviationpolicy.
Sec. 102-33.430 Who must report Federal aircraft cost and utilization
data?
(a) Executive agencies, except the Armed Forces and agencies in the
Intelligence Community, must report Federal cost and utilization data on
all Federal aircraft; and
(b) Agencies should report Federal cost and utilization data for
loaned aircraft only if Federal money was expended on the aircraft.
Commercial Aviation Services (CAS) Cost and Utilization Data
Sec. 102-33.435 What CAS cost and utilization data must we report?
You must report:
(a) The costs and flying hours for each CAS aircraft you hire;
(b) The costs and contractual periods for related aviation services
that you hire (by contract or through an Inter-service support agreement
(ISSA)).
Note to Sec. 102-33.435: You should not report related aviation
services that you hire commercially in support of Federal aircraft.
``Federal'' aircraft are by definition owned aircraft. The agency that
owns the aircraft is responsible for capturing all cost and utilization
data and is required to report this data in GSA's FAIRS. See the U.S.
Government Aircraft Cost Accounting Guide (CAG), which is available from
GSA at http://www.gsa.gov/aviationpolicy.
Sec. 102-33.440 Who must report CAS cost and utilization data?
Executive agencies, except the Armed Forces and agencies in the
Intelligence Community, must report CAS cost and utilization data. You
must report CAS cost and utilization data if your agency makes payments
to--
(a) Charter or rent aircraft;
(b) Lease or lease-purchase aircraft;
(c) Hire aircraft and related services through an ISSA or a full
service contract; or
(d) Obtain related aviation services through an ISSA or by contract
except when you use the services in support of Federal aircraft (see the
Note at Sec. 102-33.435).
[[Page 69]]
Accident and Incident Data
Sec. 102-33.445 What accident and incident data must we report?
You must report within 14 calendar days to GSA, Aviation Policy
Division, 1800 F St. NW., Washington, DC 20405, all aviation accidents
and incidents that your agency is required to report to the NTSB. You
may also report other incident information. GSA and the ICAP will use
the collected accident/incident information in conjunction with FAIRS'
data, such as flying hours and missions, to calculate aviation safety
statistics for the Federal aviation community and to share safety
lessons-learned.
Sec. 102-33.450 How must we report accident and incident data?
You must report accident and incident data to GSA at http://
www.gsa.gov/aviationpolicy or call GSA's Aviation Policy Division and
report the accident or incident telephonically.
Common Aviation Management Information Standard (C-AMIS)
Sec. 102-33.455 What is C-AMIS?
The Common Aviation Management Information Standard (C-AMIS) is a
guide to assist agencies in developing or modernizing their internal
aviation management information systems. C-AMIS includes standard
specifications and data definitions related to Federal aviation
operations. C-AMIS is jointly written by the ICAP and GSA and available
from GSA's Aviation Policy Division.
Sec. 102-33.460 What is our responsibility in relation to C-AMIS?
If you use a management information system to provide data to FAIRS
by batch upload, you are responsible for ensuring that your system is C-
AMIS-compliant (see Sec. 102-33.195). For more information on
compliance with C-AMIS, contact GSA's Aviation Policy Division at (202)
208-0519 or (202) 997-7274.
Performance Indicators
Sec. 102-33.465 What is a performance indicator?
In addition to the definition in Sec. 102-33.20, a performance
indicator provides information (either qualitative or quantitative) on
the extent to which the actual outcome of a policy, program, or
initiative achieves the planned outcome.
Sec. 102-33.470 Must we develop performance indicators?
Yes, your agency must develop performance indicators in order to
measure the degree to which key aviation program objectives are
achieved. It is suggested that your performance indicators:
(a) Measure the contribution of the aviation program toward the
accomplishment of the agency's mission;
(b) Support and justify aviation program budget requests; and
(c) Demonstrate the effectiveness and efficiency of the aviation
program's performance.
Sec. 102-33.475 What are some examples of performance indicators
that an agency can use?
Examples of performance indicators include, but are not limited to,
a percentage increase or decrease:
(a) Of operations scheduling effectiveness;
(b) Of repeat system discrepancies over a specific period of time;
(c) In logistical response time for returned parts processing over a
specified period of time;
(d) In lost man-hours due to personnel injuries;
(e) In aircraft turn-around time;
(f) In fuel expenditures for a given mission, location, or type/
model/series of aircraft;
(g) In aircraft availability or non-availability rates;
(h) In full-mission-capable aircraft over a specific time period;
(i) In non-airworthy maintenance;
(j) In maintenance costs per flying hour; or
(k) In variable cost per passenger mile.
[[Page 70]]
Sec. Appendix A to Part 102-33--Disclosure Statement for Crewmembers and
Qualified Non-Crewmembers Flying on Board Government Aircraft Operated
as Public Aircraft
Generally, an aircraft used exclusively for the U.S. Government may
be considered a ``public aircraft'' as defined by Public Law 106-181 and
14 CFR Chapter I, provided it is not a Government-owned aircraft
transporting passengers or operating for commercial purposes. A public
aircraft is not subject to many Federal Aviation Regulations, including
requirements relating to aircraft certification, maintenance, and pilot
certification. If the aircraft does not qualify as a ``public
aircraft'', then it is a civil aircraft and must comply with all Federal
Aviation Regulations applicable to civil aircraft. If you have any
questions concerning whether a particular flight will be a public
aircraft operation or a civil aircraft operation, you should contact the
agency sponsor of that flight.
Rights and Benefits
You have certain rights and benefits in the unlikely event you are
injured or killed while working aboard a Government-owned or operated
aircraft. Federal employees and some private citizens are eligible for
workers' compensation benefits under the Federal Employees' Compensation
Act (FECA). When FECA applies, it is the sole remedy. For more
information about FECA and its coverage, consult with your agency's
benefits office or contact the Branch of Technical Assistance at the
Department of Labor's Office of Workers' Compensation Programs.
State or Foreign Laws
State or foreign laws may provide for product liability or ``third
party'' causes of actions for personal injury or wrongful death. If you
have questions about a particular case or believe you have a claim, you
should consult with an attorney.
Insurance Policies
Some insurance policies may exclude coverage for injuries or death
sustained while working or traveling aboard a Government or military
aircraft or while within a combat area. You may wish to check your
policy or consult with your insurance provider before your flight. The
insurance available to Federal employees through the Federal Employees
Group Life Insurance Program does not contain an exclusion of this type.
Victim Rights
If you are the victim of an air disaster resulting from criminal
activity, Victim and Witness Specialists from the Federal Bureau of
Investigation (FBI) and/or the local U.S. Attorney's Office will keep
you or your family informed about the status of the criminal
investigation(s) and provide you or your family with information about
rights and services, such as crisis intervention, counseling and
emotional support. State crime victim compensation may be able to cover
crime-related expenses, such as medical costs, mental health counseling,
funeral and burial costs, and lost wages or loss of support. The Office
for Victims of Crime (an agency of the Department of Justice) and the
U.S. Attorneys Office are authorized by the Antiterrorism Act of 1996 to
provide emergency financial assistance to State programs for the benefit
of victims of terrorist acts or mass violence.
Federal Employee
If you are injured or killed on the job during the performance of
duty, including while traveling or working aboard a Government aircraft
or other Government-owned or operated conveyance for official Government
business purposes, you and your family are eligible to collect workers'
compensation benefits under FECA. You and your family may not file a
personal injury or wrongful death suit against the United States or its
employees. However, you may have cause of action against potentially
liable third parties.
Family Member
You or your qualifying family member must normally also choose
between FECA disability or death benefits, and those payable under your
retirement system (either the Civil Service Retirement System or the
Federal Employees Retirement System). You may choose the benefit that is
more favorable to you.
Private Citizen
Even if the Federal Government does not regularly employ you, if you
are rendering personal service to the Federal Government on a voluntary
basis or for nominal pay, you may be defined as a Federal employee for
purposes of FECA. If that is the case, you and your family are eligible
to receive workers' compensation benefits under FECA, but may not
collect in a personal injury or wrongful death lawsuit against the
United States or its employees. You and your family may file suit
against potentially liable third parties. Before you board a Government
aircraft, you may wish to consult with the department or agency
sponsoring the flight to clarify whether you are considered a Federal
employee.
If the agency determines that you are not a ``Federal employee,''
you and your family
[[Page 71]]
will not be eligible to receive workers' compensation benefits under
FECA. If you are onboard the aircraft for purposes of official
Government business, you may be eligible for workers' compensation
benefits under state law. If an accident occurs within the United
States, or its territories, its airspace, or over the high seas, you and
your family may claim against the United States under the Federal Tort
Claims Act or Suits in Admiralty Act. If you are killed aboard a
military aircraft, your family may be eligible to receive compensation
under the Military Claims Act, or if you are an inhabitant of a foreign
country, under the Foreign Claims Act.
Note to appendix A to part 102-33: This disclosure statement is not
all-inclusive. You should contact your agency's personnel office, or if
you are a private citizen, your agency sponsor or point-of-contact for
further assistance.
PART 102-34-MOTOR VEHICLE MANAGEMENT--Table of Contents
Subpart A_General Provisions
Sec.
102-34.5 What does this part cover?
102-34.10 What are the governing authorities for this part?
102-34.15 Who must comply with these provisions?
102-34.20 What motor vehicles are not covered by this part?
102-34.25 To whom do ``we'', ``you'', and their variants refer?
102-34.30 How do we request a deviation from the provisions of this
part?
Definitions
102-34.35 What definitions apply to this part?
Subpart B_Obtaining Fuel Efficient Motor Vehicles
102-34.40 Who must comply with motor vehicle fuel efficiency
requirements?
102-34.45 How are passenger automobiles classified?
102-34.50 What size motor vehicles may we obtain?
102-34.55 Are there fleet average fuel economy standards we must meet?
102-34.60 How do we calculate the average fuel economy for Government
motor vehicles?
102-34.65 How may we request an exemption from the fuel economy
standards?
102-34.70 What do we do with completed calculations of our fleet vehicle
acquisitions?
102-34.75 Who is responsible for monitoring our compliance with fuel
economy standards for motor vehicles we obtain?
102-34.80 Where may we obtain help with our motor vehicle acquisition
plans?
Subpart C_Identifying and Registering Motor Vehicles
Motor Vehicle Identification
102-34.85 What motor vehicles require motor vehicle identification?
102-34.90 What motor vehicle identification must we display on
Government motor vehicles?
102-34.95 What motor vehicle identification must the Department of
Defense (DOD) display on motor vehicles it owns, or leases
commercially?
102-34.100 Where is motor vehicle identification displayed?
102-34.105 Before we sell a motor vehicle, what motor vehicle
identification must we remove?
License Plates
102-34.110 Must Government motor vehicles use Government license plates?
102-34.115 Can official U.S. Government license plates be used on motor
vehicles not owned or leased by the Government?
102-34.120 Do we need to register Government motor vehicles?
102-34.125 Where may we obtain U.S. Government license plates?
102-34.130 How do we display U.S. Government license plates on
Government motor vehicles?
102-34.135 What do we do about a lost or stolen license plate?
102-34.140 What records do we need to keep on U.S. Government license
plates?
102-34.145 How are U.S. Government license plates coded?
102-34.150 How can we get a new license plate code designation?
Identification Exemptions
102-34.155 What are the types of motor vehicle identification
exemptions?
102-34.160 May we have a limited exemption from displaying U.S.
Government license plates and other motor vehicle
identification?
102-34.165 What information must the limited exemption certification
contain?
102-34.170 For how long is a limited exemption valid?
102-34.175 What motor vehicles have an unlimited exemption from
displaying U.S. Government license plates and motor vehicle
identification?
102-34.180 What agencies have a special exemption from displaying U.S.
Government license plates and motor vehicle identification on
some of their vehicles?
[[Page 72]]
102-34.185 What license plates do we use on motor vehicles that are
exempt from motor vehicle identification requirements?
102-34.190 What special requirements apply to exempted motor vehicles
using District of Columbia or State license plates?
102-34.195 Must we submit a report concerning motor vehicles exempted
under this subpart?
Subpart D_Official Use of Government Motor Vehicles
102-34.200 What is official use of Government motor vehicles?
102-34.205 May I use a Government motor vehicle for transportation
between my residence and place of employment?
102-34.210 May I use a Government motor vehicle for transportation
between places of employment and mass transit facilities?
102-34.215 May Government contractors use Government motor vehicles?
102-34.220 What does GSA do if it learns of unofficial use of a
Government motor vehicle?
102-34.225 How are Federal employees disciplined for misuse of
Government motor vehicles?
102-34.230 How am I responsible for protecting Government motor
vehicles?
102-34.235 Am I bound by State and local traffic laws?
102-34.240 Who pays for parking fees?
102-34.245 Who pays for parking fines?
102-34.250 Do Federal employees in Government motor vehicles have to use
all safety devices and follow all safety guidelines?
Subpart E_Replacement of Motor Vehicles
102-34.255 What are motor vehicle replacement standards?
102-34.260 May we replace a Government-owned motor vehicle sooner?
102-34.265 May we keep a Government-owned motor vehicle even though the
standard permits replacement?
102-34.270 How long must we keep a Government-owned motor vehicle?
Subpart F_Scheduled Maintenance of Motor Vehicles
102-34.275 What kind of maintenance programs must we have?
102-34.280 What State inspections must we have for Government motor
vehicles?
102-34.285 Where can we obtain help in setting up a maintenance program?
Subpart G_Motor Vehicle Crash Reporting
102-34.290 What forms do I use to report a crash involving a domestic
fleet motor vehicle?
102-34.295 To whom do we send crash reports?
Subpart H_Disposal of Motor Vehicles
102-34.300 How do we dispose of a domestic fleet motor vehicle?
102-34.305 What forms do we use to transfer ownership when selling a
motor vehicle?
102-34.310 How do we distribute the completed Standard Form 97?
Subpart I_Motor Vehicle Fueling
102-34.315 How do we obtain fuel for Government motor vehicles?
102-34.320 What Government-issued charge cards may I use to purchase
fuel and motor vehicle related services?
102-34.325 What type of fuel do I use in Government motor vehicles?
Subpart J_Federal Fleet Report
102-34.330 What is the Federal Fleet Report?
102-34.335 How do I submit information to the General Services
Administration (GSA) for the Federal Fleet Report (FFR)?
102-34.340 Do we need a fleet management information system?
102-34.345 What records do we need to keep?
Subpart K_Forms
102-34.350 How do we obtain the forms prescribed in this part?
Authority: 40 U.S.C. 121(c); 40 U.S.C. 17503; 31 U.S.C. 1344; 49
U.S.C. 32917; E.O. 12375.
Source: 74 FR 11871, Mar. 20, 2009, unless otherwise noted.
Subpart A_General Provisions
Sec. 102-34.5 What does this part cover?
This part governs the economical and efficient management and
control of motor vehicles that the Government owns, leases commercially
or leases through GSA Fleet. Agencies will incorporate appropriate
provisions of this part into contracts offering Government-furnished
equipment in order to ensure adequate control over the use of motor
vehicles.
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Sec. 102-34.10 What are the governing authorities for this part?
The authorities for the regulations in this part are 40 U.S.C.
121(c), 40 U.S.C. 17503, 31 U.S.C. 1344, 49 U.S.C. 32917, and E.O.
12375.
Sec. 102-34.15 Who must comply with these provisions?
All executive agencies must comply with the provisions of this part.
The legislative and judicial branches are encouraged to follow these
provisions.
Sec. 102-34.20 What motor vehicles are not covered by this part?
Motor vehicles not covered by this part are:
(a) Military design motor vehicles;
(b) Motor vehicles used for military field training, combat, or
tactical purposes;
(c) Motor vehicles used principally within the confines of a
regularly established military post, camp, or depot; and
(d) Motor vehicles regularly used by an agency to perform
investigative, law enforcement, or intelligence duties, if the head of
the agency determines that exclusive control of the vehicle is essential
for effective performance of duties, although such vehicles are subject
to subpart D and subpart J of this part.
Sec. 102-34.25 To whom do ``we'', ``you'', and their variants refer?
Unless otherwise indicated, use of pronouns ``we'', ``you'', and
their variants throughout this part refer to you as an executive agency,
as your agency's fleet manager, or as a motor vehicle user or operator,
as appropriate.
Sec. 102-34.30 How do we request a deviation from the provisions of
this part?
Refer to Sec. Sec. 102-2.60 through 102-2.110 of this chapter for
information on how to obtain a deviation from this part.
Definitions
Sec. 102-34.35 What definitions apply to this part?
The following definitions apply to this part:
Commercial design motor vehicle means a motor vehicle procurable
from regular production lines and designed for use by the general
public.
Commercial lease or lease commercially means obtaining a motor
vehicle by contract or other arrangement from a commercial source for
120 continuous days or more. (Procedures for purchasing and leasing
motor vehicles through GSA can be found in 41 CFR subpart 101-26.5).
Domestic fleet means all reportable motor vehicles operated in any
State, Commonwealth, territory or possession of the United States, and
the District of Columbia.
Foreign fleet means all reportable motor vehicles operated in areas
outside any State, Commonwealth, territory or possession of the United
States, and the District of Columbia.
Government motor vehicle means any motor vehicle that the Government
owns or leases. This includes motor vehicles obtained through purchase,
excess, forfeiture, commercial lease, or GSA Fleet lease.
Government-owned motor vehicle means any motor vehicle that the
Government has obtained through purchase, excess, forfeiture, or
otherwise and for which the Government holds title.
GSA Fleet lease means obtaining a motor vehicle from the General
Services Administration Fleet (GSA Fleet).
Law enforcement motor vehicle means a light duty motor vehicle that
is specifically approved in an agency's appropriation act for use in
apprehension, surveillance, police or other law enforcement work or
specifically designed for use in law enforcement. If not identified in
an agency's appropriation language, a motor vehicle qualifies as a law
enforcement motor vehicle only in the following cases:
(1) A passenger automobile having heavy duty components for
electrical, cooling and suspension systems and at least the next higher
cubic inch displacement or more powerful engine than is standard for the
automobile concerned;
(2) A light truck having emergency warning lights and identified
with markings such as ``police;''
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(3) An unmarked motor vehicle certified by the agency head as
essential for the safe and efficient performance of intelligence,
counterintelligence, protective, or other law enforcement duties; or
(4) A forfeited motor vehicle seized by a Federal agency that is
subsequently used for the purpose of performing law enforcement
activities.
Light duty motor vehicle means any motor vehicle with a gross motor
vehicle weight rating (GVWR) of 8,500 pounds or less.
Light truck means a motor vehicle on a truck chassis with a gross
motor vehicle weight rating (GVWR) of 8,500 pounds or less.
Military design motor vehicle means a motor vehicle (excluding
commercial design motor vehicles) designed according to military
specifications to directly support combat or tactical operations or
training for such operations.
Motor vehicle means any vehicle, self propelled or drawn by
mechanical power, designed and operated principally for highway
transportation of property or passengers, but does not include a
military design motor vehicle or vehicles not covered by this part (see
Sec. 102-34.20).
Motor vehicle identification (also referred to as ``motor vehicle
markings'') means the legends ``For Official Use Only'' and ``U.S.
Government'' placed on a motor vehicle plus other legends readily
identifying the department, agency, establishment, corporation, or
service by which the motor vehicle is used.
Motor vehicle markings (see definition of ``Motor vehicle
identification'' in this section).
Motor vehicle purchase means buying a motor vehicle from a
commercial source, usually a motor vehicle manufacturer or a motor
vehicle manufacturer's dealership. (Procedures for purchasing and
leasing motor vehicles through GSA can be found in 41 CFR subpart 101-
26.5.)
Motor vehicle rental means obtaining a motor vehicle by contract or
other arrangement from a commercial source for less than 120 continuous
days.
Motor vehicles transferred from excess means obtaining a motor
vehicle reported as excess and transferred with or without cost.
Owning agency means the executive agency that holds the vehicle
title, manufacturer's Certificate of Origin, or is the lessee of a
commercial lease. This term does not apply to agencies that lease motor
vehicles from the GSA Fleet.
Passenger automobile means a sedan or station wagon designed
primarily to transport people.
Reportable motor vehicles are any Government motor vehicles used by
an executive agency or activity, including those used by contractors.
Also included are motor vehicles designed or acquired for a specific or
unique purpose, including motor vehicles that serve as a platform or
conveyance for special equipment, such as a trailer. Excluded are
material handling equipment and construction equipment not designed and
used primarily for highway operation (e.g., if it must be trailered or
towed to be transported).
Using agency means an executive agency that obtains motor vehicles
from the GSA Fleet, commercial firms or another executive agency and
does not hold the vehicle title or manufacturer's Certificate of Origin.
However, this does not include an executive agency that obtains a motor
vehicle by motor vehicle rental.
[74 FR 11871, Mar. 20, 2009, as amended at 76 FR 76623, Dec. 8, 2011]
Subpart B_Obtaining Fuel Efficient Motor Vehicles
Sec. 102-34.40 Who must comply with motor vehicle fuel efficiency
requirements?
(a) Executive agencies operating domestic fleets must comply with
motor vehicle fuel efficiency requirements for such fleets.
(b) This subpart does not apply to motor vehicles exempted by law or
other regulations, such as law enforcement or emergency rescue work and
foreign fleets. Other Federal agencies are encouraged to comply so that
maximum energy conservation benefits may be realized in obtaining,
operating, and managing Government motor vehicles.
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Sec. 102-34.45 How are passenger automobiles classified?
Passenger automobiles are classified in the following table:
------------------------------------------------------------------------
Station wagon
Sedan class class Descriptive name
------------------------------------------------------------------------
I............................... I................. Subcompact.
II.............................. II................ Compact.
III............................. III............... Midsize.
IV.............................. IV................ Large.
V............................... Limousine.........
------------------------------------------------------------------------
Sec. 102-34.50 What size motor vehicles may we obtain?
(a) You may only obtain the minimum size of motor vehicle necessary
to fulfill your agency's mission in accordance with the following
considerations:
(1) You must obtain motor vehicles that achieve maximum fuel
efficiency.
(2) Limit motor vehicle body size, engine size and optional
equipment to what is essential to meet your agency's mission.
(3) With the exception of motor vehicles used by the President and
Vice President and motor vehicles for security and highly essential
needs, you must obtain midsize (class III) or smaller sedans.
(4) Obtain large (class IV) sedans only when such motor vehicles are
essential to your agency's mission.
(b) Agencies must establish and document a structured vehicle
allocation methodology to determine the appropriate size and number of
motor vehicles (see FMR Bulletin B-9, located at http://www.gsa.gov/
bulletin, for guidance).
Sec. 102-34.55 Are there fleet average fuel economy standards we
must meet?
(a) Yes. 49 U.S.C. 32917 and Executive Order 12375 require that each
executive agency meet the fleet average fuel economy standards in place
as of January 1 of each fiscal year. The standards for passenger
automobiles are prescribed in 49 U.S.C. 32902(b). The Department of
Transportation publishes the standards for light trucks and amendments
to the standards for passenger automobiles at http://www.dot.gov.
(b) These standards do not apply to military design motor vehicles,
law enforcement motor vehicles, or motor vehicles intended for emergency
rescue.
Sec. 102-34.60 How do we calculate the average fuel economy for
Government motor vehicles?
You must calculate the average fuel economy for Government motor
vehicles as follows:
(a) Because there are so many motor vehicle configurations, you must
take an average of all light duty motor vehicles by category that your
agency obtained and operated during the fiscal year.
(b) This calculation is the sum of such light duty motor vehicles
divided by the sum of the fractions representing the number of motor
vehicles of each category by model divided by the unadjusted city/
highway mile-per-gallon ratings for that model. The unadjusted city/
highway mile-per-gallon ratings for each make and model are published by
the Environmental Protection Agency (EPA) for each model year and
published at http://www.fueleconomy.gov.
(c) An example follows:
Light trucks:
(i) 600 light trucks acquired in a specific year. These are broken
down into:
(A) 200 Six cylinder automatic transmission pick-up trucks, EPA
rating: 24.3 mpg, plus
(B) 150 Six cylinder automatic transmission mini-vans, EPA rating:
24.8 mpg, plus
(C) 150 Eight cylinder automatic transmission pick-up trucks, EPA
rating: 20.4 mpg, plus
(D) 100 Eight cylinder automatic transmission cargo vans, EPA
rating: 22.2 mpg.
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[GRAPHIC] [TIFF OMITTED] TR20MR09.000
(ii) Fleet average fuel economy for light trucks in this case is
23.0 mpg.
Sec. 102-34.65 How may we request an exemption from the fuel economy
standards?
You must submit a written request for an exemption from the fuel
economy standards to: Administrator, General Services Administration,
ATTN: Deputy Associate Administrator, Office of Travel, Transportation
and Asset Management (MT), Washington, DC 20405.
(a) Your request for an exemption must include all relevant
information necessary to permit review of the request that the vehicles
be exempted based on energy conservation, economy, efficiency, or
service. Exemptions may be sought for individual vehicles or categories
of vehicles.
(b) GSA will review the request and advise you of the determination
within 30 days of receipt. Light duty motor vehicles exempted under the
provisions of this section must not be included in calculating your
fleet average fuel economy.
Sec. 102-34.70 What do we do with completed calculations of our fleet
vehicle acquisitions?
You must maintain the average fuel economy data for each year's
vehicle acquisitions on file at your agency headquarters in accordance
with the National Archives and Records Administration, General Records
Schedule 10, Motor Vehicle and Aircraft Maintenance and Operations
Records, Item 4, Motor Vehicle Report Files. Exemption requests and
their disposition must also be maintained with the average fuel economy
files.