Following is a listing of expenses which may be incurred for
persons
proceeding in forma pauperis, and the responsibility for such
expenses.
- Fact Witnesses.
Costs relating to subpoena
and fees of indigent defendants witnesses are the responsibility of
the
Department of Justice and payable at the rates prescribed for
witnesses
pursuant to 28 U.S.C. Sec. 1821.
Expert Witnesses. Expert witnesses called by the
defense and
necessary to the adequate defense of an indigent person are paid
from
funds appropriated for the implementation of the Criminal Justice
Act by
the Administrative Office of the U.S. Courts. These expenses are
authorized on Form CJA-21 after certification by counsel for the
indigent defendant and approval by the presiding court or
magistrate.
Experts called by the court are paid by the Administrative Officer
of
the U.S. Court. The Department of Justice will pay for expert
witness
fees and expenses for expert witnesses appearing on behalf of the
government. United States Attorneys have authority to employ an
expert
witness appearing on behalf of the government.
Mental Examinations for Indigent Persons. Expenses
for
examinations under 18 U.S.C. Sec. 4244 to determine a defendant's
mental
competency to stand trial are always the responsibility of the
Department of Justice. Expenses for examinations to determine a
defendant's mental responsibility at the time of the alleged
offense are
paid by the Administrative Office of the U.S. Courts except when
the
request is made by the United States, in which case the Department
of
Justice is responsible. See Department of Justice Order 2110.20A
(February 1999).
Depositions. Expenses for travel and subsistence of
a
defendant and defendant's counsel for attendance at a deposition
taken
pursuant to Rule 15(c) Fed.R.Crim.P. are payable by the prosecuting
agency. The purpose of such a deposition is to preserve evidence
for the
prosecution, and all costs should be assigned to the prosecuting
agency
regardless of the availability of funds appropriated for the
Criminal
Justice Act. (Decision of Administration Counsel, Department of
Justice,
November 26, 1975.) The United States Attorney may authorize such
expenses in a similar fashion as other litigation
expenses.
Fees and expenses for depositions of fact witnesses, including
the
cost of recording and transcribing the proceeding, for indigent
persons
shall be paid by the Department of Justice in the same manner as
expenses and fees for fact witnesses testifying in court. See
above.
Fees and expenses for depositions of expert witnesses of the
indigent
defendant are paid by the Administrative Office of the U.S. Courts.
39
COMP.GEN. 133.
Officers and employees of the Department of Justice who are
required
to serve as notaries public in connection with the performance of
public
business may be allowed their expenses under the following
conditions:
- Performance of notarial duties must have been
ordered as
part of the duties of the employee.
- If the individual first qualified as a notary for a personal
purpose, and subsequently was required to serve officially, such
percentage of his/her expenses shall be paid as the official use of
his/her authority bears to the use of the notarial powers, the
individual certification being acceptable as to percentage.
- The expense of obtaining commissions includes bond premiums,
official seal, etc.
- Payments subsequent to initial qualifications are limited to
actual expenses of maintaining notarial authority.
- Funds available for personal services or general
administrative
expenses for the fiscal year in which the expense was incurred
shall be
used.
- Receipts are only required for amounts in excess of
$15
Procedures for reimbursement of qualification expenses are
established in Department of Justice Order 2110.7A (July 15, 1975).
Payments are made by use of SF-1164, Claim for Reimbursement for
Expenditures on Official Business.
Litigative expenses are defined in OBD Order 2100.1A (April 6,
1976), as "those which result directly from actions of the courts
or
have a direct connection with the prosecution of a case." They
include
court reporting, filing, fees, interpreters, consultants,
advertising
legal notices, transportation of evidence, special masters, and
advisory
reports from experts who will not serve as witnesses (e.g.,
appraisals).
United States Attorneys may incur litigative expenses without
specific
authorization from the Executive Office for United States
Attorneys.
Administrative expenses which the United States Attorneys may
approve include the purchase of supplies (as approved under
established
procurement instruments), employee travel, overtime, and changes to
telephone service (except complete system overhaul).
In 38 COMP.GEN. 343, the Comptroller General ruled that when
Congress has specifically authorized a particular government agency
or
corporation to undertake litigation in the pursuance of its duties
and
responsibilities, i.e., the agency can "sue or be sued", the
out-of-pocket expenses incurred in prosecuting or defending such
actions
will be properly chargeable to the appropriations of that agency or
corporation, even though the Department of Justice may prosecute or
defend any litigation in which the agency or corporation becomes
involved.
Further, those government agencies that lack Congressional
authorization to institute suit or defend against legal actions
(e.g.,
Farmers Home Administration) are also prohibited by the Comptroller
General from using their appropriation to pay for litigative
services.
These agencies must rely upon the Department of Justice to act in
their
behalf and, as a result, all out-of-pocket expenses relating to the
litigation are properly chargeable to the United States Attorneys'
appropriation as litigative expenses.
Out-of-pocket expenses are generally defined as those expenses
incurred for Services provided by a private vendor (i.e., persons
or
firms outside the federal government) which are directly related to
conducting the litigation at hand.
In assisting in foreclosure proceedings, the U.S. Marshals
Service
incurs various out-of-pocket expenses associated with the
proceedings.
Out-of-pocket expenses are defined as those costs incurred for
advertising, property appraisals, abstract supplementation and any
other
services provided by private vendors which are directly related to
conducting the foreclosure proceedings. Intrinsic expenses such as
U.S.
Marshals' fees, commissions, mileage, per diem, salaries, etc., are
assumed by the U.S. Marshals Service to be constructive earnings
and are
not expenses that are chargeable to the United States Attorneys'
appropriation.
The U.S. Marshals Service will be reimbursed for the
out-of-pocket
expenses incurred in foreclosure proceedings in either one of two
ways.
First, when a third (i.e. non-government) party is the successful
bidder
for the mortgaged property at the foreclosure sale, the bid is paid
into
the court and a fund is created. The U.S. Marshals Service is
reimbursed
from this fund for all appropriate expenses incurred before the
fund is
then disbursed to the first lien creditor, then to other creditors
in
order of priority or to the court for distribution as the court may
direct. The United States Attorneys' appropriation may not be
billed by
the U.S. Marshals for out-of-pocket expenses incurred in a
third-party
sale. If the United States Attorney's office in the district in
which
the litigation occurred had inadvertently been billed and paid for
any
of the out-of-pocket expenses associated with the litigation, the
United
States Attorney should seek reimbursement for payments from the
U.S. Marshals
Service.
Secondly, in those cases where the government, through the
Farmers
Home Administration, is the successful bidder at the foreclosure
sale,
no fund is created. Instead, all out-of-pocket expenses incurred
will be
properly chargeable to the United States Attorneys' appropriation.
The
U.S. Marshals Service should submit an itemized voucher for
appropriate
out-of-pocket expenses incurred in a foreclosure proceeding to the
United States Attorney in the district responsible for handling the
litigation. The United States Attorney must sign the voucher and
certify
that the charges billed are appropriate for payment.
In accordance with 31 U.S.C. Sec. 3324, prohibiting advance
payments
of public monies, no disposition of funds should be made for
services
rendered, purchases made, etc., until the transaction has been
accomplished. An exception to this rule is permitted if advance
payment
is authorized by "other law." This provision has been interpreted
to
include state law. Therefore, if state law requires the advance
payment
of filing fees, for instance, such payments may be issued upon
appropriate showing of the requirement of law. A voucher prepared
for
issuance of an advance payment should specifically identify the
statute
requiring payment in advance.
The appropriation "Salaries and Expenses, United States
Attorneys,
Department of Justice," is chargeable with the expense of operating
the
United States Attorneys' offices.
The date on which fees are earned, services rendered, or
expenses
incurred, and not the date of certification of payment, determine
the
fiscal year from which payment shall be made, except that bills for
metered commodities or services such as electricity, telephone,
etc.,
shall be paid from the appropriation current at the end of the
billing
period.
Expenses chargeable to the appropriation "Fees and Expenses of
Witness" are as follows:
- Fees for attendance, per diem and traveling expenses
for
attendance of witnesses, both expert and fact, for witnesses
testifying
for United States in proceedings in U.S. Courts or U.S.
Magistrates'
hearings. See USAM 3-19.100, and
the
EOUSA Resource Manual at 135 and
147.
- Traveling expenses of government employees attending court
when
properly payable. See USAM
3-19.400.
- Physical examinations of plaintiffs, witnesses, or defendants
in
contemplation of testimony in court.
- Expenses of examining prisoners to determine sanity as
provided
in 18 U.S.C. Sec. 4244-8, including competency to stand trial
exams, and
employment of psychiatrists, hospital expenses incident thereto,
and
testimony.
- Expenses of Interpreters for Government Witnesses (trial
expenses).
Expenses chargeable to the Legal Divisions include:
- Litigation expenses in cases for which a division
has
assumed direct responsibility; and
- Foreign counsel in extradition cases.
- Lands Commissioners;
- Interpreters, except for government witnesses; and
- Expenses authorized on behalf of indigent
defendants.
Costs to translate and transcribe recordings obtained under
authority of
Title III.
Vouchers involving expenses of the United States Attorneys'
Offices
must be certified by an authorized certifying officer of that
office
before submission for payment. 31 U.S.C. Sec. 82b.
Certifying officers are held responsible for the existence and
correctness of the facts stated on vouchers and their supporting
papers,
the legality of the proposed payment, and the correctness of
computations. 31 U.S.C. Sec. 82c, f.
There should be a minimum of two certifying officers in each
United
States Attorney's office. Revocation of an existing or nomination
of a
new certifying officer requires approval of the Deputy Director,
Financial Management Staff, EOUSA. The Deputy Director, Financial
Management Staff should be notified of any changes to certifying
officers and completed forms should be on record. SF-210 should be
executed by each United States Attorney and by any person nominated
to
be a certifying officer. This form should be sent to the Executive
Office for approval. Upon receipt of authority from the Executive
Office, the nominee may begin to certify.
All United States Attorneys' districts are issued either
resource
allowance categories (9 categories in district/OCDE) or financial
operating plans. These allowances/operating plans are issued to the
United States Attorney in the district and it is his/her
responsibility
to manage the district operation within the approved resource
levels.
Each fiscal year, Financial Operation Guidelines will be issued
that
detail the requirements and policy pertaining to the Financial
Allowances and Operating Plans of the Offices of the United States
Attorneys including any limitations on funds transfer or use.
A Report of Obligations Incurred is due to the Executive Office
on
the seventh day of January, April, July and October of each year.
The
report provides information on resource consumption by allowance
category or object class code and requires the United States
Attorney to
present a narrative justification for unusual spending trends.
Travel is governed by standardized government travel
regulations as
supplemented by the Department of Justice Order 2200.11(d) (January
31,
1994).
Travel Authorization
United States Attorneys may authorize their own travel (except
foreign and first class) as well as that of their subordinates
anywhere
within the United States by common carrier; personal vehicle (auto
or
airplane); or car rental, either commercial or through General
Services
Administration. In accordance with DOJ Order 2200.4(g), this
authority
is extended only to field component heads who report directly to
senior
component officials in Washington, D.C.
The United States Attorneys may redelegate their authority to
approvel
travel to a position that is a higher level than the traveler. In
addition, the United States Attorney may authorize non-federal
travel to
be reimbursed by a non-federal entity only after the Executive
Office
for United States Attorneys, Legal Counsel considers ethics issues
and/or travel reimbursement and approves the reimbursement from the
non-federal entity.
Per Diem and Actual Subsistence
The United States Attorneys may also authorize per diem and
actual
subsistence
to designated and non-designated high-rate areas, and other
official
miscellaneous expenses such as official telephone calls charged by
commercial communication services or hotel. The United States
Attorneys
are delegated authority to authorize, in cases of emergency, local
travel expenses and the use of cash in excess of $100 for
commercial
transportation, i.e. bus, subway, and taxi fares.
Effective May 1, 1997, the General Services Administration, the
Department of State, and the Per Diem, Travel and Transporation
Allowances Committee of the Department of Defense, have amended the
travel regulations to permit agencies to authorize actual
subsistence
reimbursement up to 300 percent of per diem, for travel within or
outside the Continental U.S. and in foreign countries. This
authority
may be exercised for travel circumstances in which actual
subsistence up
to 150 percent of per diem was formerly authorized. (See pp.
24,431-24,437 of the May 5, 1997, Federal Register and pp. 30,
280-30,297 of the June 3, 1997, Federal Register).
In accordance with the Federal Travel Regulations. Part
301-8.1(b),
the United States Attorneys may redelegate their authority to
approve
actual subsistence two levels below their position, subject to the
following requirements:
- Requests for Actual Subsistence must be justified in writing
and sent
to the District Administrative Office. The justification must
explain
why meals or lodging could not be obtained within the GSA per diet
rate
schedule. Requests should be received and approved prior to the
departure travel date. On occasion, a hotel may charge a traveler
a
higher rate without notice, but this is the exception rather than
the
rule. If approved, actual subsistence must be noted on the travel
authorization form along with the justification.
- The conditions warranting authorization of actual subsistence
are:
- Travel assignments involving special or unusual circumstances,
meetings, conferences or training session, where lodging and meals
are
procured at a pre-arranged place.
- Travel to an area where the applicable maximum per diem
allowance is
generally adequate, but subsistence costs have escalated for short
periods of time because of special functions or events.
- Affordable lodging accommodations are not available or cannot
be
obtained within an reasonalbe commuting distance of the employee's
temporary duty station and, transportation costs to commute to and
from
the less expensive lodging facility consume most or all of the
savings.
- The employee, because of special duties of the assignment,
necessarily incurs unusually high expenses in the conduct of
official
business.
- All redelegations must be in writing, submitted to the
Assistant
Director, ResourceManagement and Planning, and granted to a
position
title rather than an individual.
Reimbursement for employees are paid by the district through
the
Accounts Payable Travel Module System (A/P TRAV). All travel
expenses
must be authorized by the United States Attorney or delegated
official
and approved by an official designated by the United States
Attorney.
The designated official is responsible for certifying to the
correctness
of the voucher and the propriety of payments.
Advance of travel funds may be obtained from the districts
administrative office through the issuance of a "draft" from the
A/P
TRAV System. Government non-card holders should complete the
Standard
Form 1038, application for Advance of Funds Application and Account
when
making a request. Government contract-issued charge card holders
may be
authorized a minimal travel advance through the use of ATMs that
accept
the government charge card.
Advances should not be given to non-Department of Justice
personnel.
Exceptions may be made for state and local officials in cases where
there is no money in the state or local budgets to pay or the
travel.
The Executive Office requires at least two weeks advance
notification of proposed foreign travel. Definite dates of travel
do not
need to be provided for purposes of this notification; however, the
approximate period of time in travel status must be indicated so
that an
estimate of per diem expenses can be computed. Two weeks advance
notification is required so that necessary coordination can be
accomplished with the Department and with the Department of State.
In order to insure that the international ramifications of
proposed
foreign travel are fully considered, each travel proposal must
receive
the consent of the Criminal Division. The Executive Office also
requires
the consent of that section of the organization having general
supervisory responsibility over the type of case to which the
travel
pertains. If preliminary contact has been made with either
organization,
this request should indicate the name(s) of individuals who are
familiar
with the proposed travel.
All official foreign travel by employees occupying Executive
Schedule and Senior Executive Service positions must be authorized
by
the Deputy Attorney General. See DOJ Order 2200.11(d), Section
301-1.4(c).
First class transportation may only be authorized by the Deputy
Director, Financial Management Staff, EOUSA, in accordance with the
criteria established in Federal Travel Regulations, Section
301-3.3. All
requests for first class transportation must be submitted in
advance to
the Executive Office. United States Attorneys should complete a
First
Class Authorization Request for review and approval. First class
travel
should only be requested for the reasons allowed under Federal
Travel
Regulations, Section 301-3.3, or when it can be shown that first
class
accommodations will result in overall savings to the government
based on
economic considerations such as additional subsistence costs that
would
be incurred while awaiting availability of less-than-first-class
accommodations. In most instances, United States Attorneys should
only
request first class travel after all other efforts have been made
to
obtain regular coach fare for the intended trip.
The Federal Travel Regulations allow the Department of
Justice to authorize payment of relocation services and related
expense reimbursements for employees who are being transferred in
the best interest of the government. The authority to approve
relocation expenses is vested in the Assistant Director, Resource
Management and Planning (RMP), Executive Office for United States
Attorneys, and is not redelegable. Previously, articulated
policy has limited this standard to the following
circumstances:
1. A managerially directed relocation, or
2. A relocation effected for the health and/or safety of an
employee, or
3. A relocation necessitated by the inability to staff a
position with a qualified applicant from within the local
commuting area.
Payments of relocation costs will not be considered when the
employee has requested the transfer for his/her own benefit.
Payments of relocation costs also will not be considered
unless the United States Attorney shows evidence that every
effort was made to find applicants from the local area.
The cost of relocation expenses which are approved by the
Assistant Director, RMP, will be assessed against individual
districts, through a combination of reduced financial allowances
and workforce levels.
The General Services Administration (GSA) Employee Relocation
Services Contract is available to Department employees through
the GSA Federal Supply Schedule, Contract Number GS-23F-752H
under your delegated procurement authority. The contractors are:
Prudential Relocation, Cendant Mobility (previously known as PHH
Home Equity), and Associates Relocation Management Company, Inc.
This service cannot be obtained without prior approval of an
employee's relocation from RMP. For more details, please refer
to the Financial Management Handbook, Section 6.5.
Expenses of LECC operations should be applied to the
appropriate
allowance category (i.e., travel, supplies, equipment, etc.).
When a district is planning to hold an LECC training program on
asset forfeiture and equitable sharing, the expenses may be
reimbursable
from the Asset Forfeiture Fund. Requests to hold asset forfeiture
training funded from the Asset Forfeiture Fund requires approval of
the
LECC/VW Staff, EOUSA. In order to have district funds replenished,
it is
necessary to report the costs to EOUSA on the quarterly report on
asset
forfeiture. When multi-district LECC and/or Victim Witness
Coordinator
meetings are held, the costs of the meeting can be shared by all of
the
participating districts.
District office conferences shall be conducted and reasonably
funded
in a consistent fashion nationwide. Agenda subjects shall directly
relate to the mission of United States Attorneys' offices, and
attendance limited to district employees and individuals of
specific
expertise to the agenda subjects. A copy of the agenda should be
forwarded to the Director, EOUSA at least 30 days prior to
conference
commencement. Office conferences should not be scheduled for the
first
quarter of a fiscal year and, to the maximum extent possible,
should be
held in the second half of the fiscal year. Conferences should be
limited to one and a half days in length with lodging, if required,
provided for the evening of the first day.
Attendance at conferences should be closely scrutinized. When
considering invitations to individuals from outside the district,
care
should be taken to include only those who have a specific expertise
and
are to participate directly in the agenda.
A conference site should be selected which minimizes common
carrier
transportation expense, and results in lowest overall cost to the
government if such expenses are being reimbursed to employees. For
districts with branch offices, this would generally require holding
the
conference in close proximity to the largest office.
Office conferences should be funded through savings from other
allowance/financial areas. Authorization for working meals requires
approval by the Deputy Director, Financial Management Staff,
EOUSA.
| March 2001
| USAM Chapter 3-8
|