State Travel Policy

How can I report misuse of the Statewide Travel Program or travel & expense fraud?

Honest stewards keep us efficient, effective and fraud-free. Anyone may report abuse of the Statewide Travel Program to STPAudits@dgs.ca.gov.  All reports will be treated with discretion and the names of reporting parties will be kept confidential.  Reporting parties may lodge their report through a disposable (fake) email account.  Alternatively, you may report fraud directly to the law enforcement agency that has jurisdiction over the department where misuse is occurring.  You may also report your concerns to the California State Auditor.

How can my department prevent fraud and misuse from occurring in the Statewide Travel Program?

Just as there never can be an all-encompassing list of potential fraud schemes or ways to abuse state business travel, there is also no such thing as a foolproof system for preventing fraud. However, in nearly every instance of abuse we have come across, a lack of good internal control was to blame for the misuse.  Implementing internal controls and applying some basic best practices will help your department significantly reduce its risk exposure. When you have effective internal controls in place, you essentially help remove the opportunity for abuse to occur, and you minimize your agency’s susceptibility to fraud.

Does your agency have these in place?

• Proper “Tone at the Top”
• Code of Conduct/Code of Ethics
• Department Travel Policy
• Anti-Fraud Policy
• Internal Audits
• Mandatory pre-travel management review and approval of travel
• Mandatory post-travel management review and approval of all travel and travel & expense claims
• Management certification of financial statements
• Travel & Expense Fraud Awareness Training
• Employee tip line for reporting fraud and abuse
• Ongoing audits of travel spend
• Ongoing review and update of department’s travel policy
• A knowledgeable Travel Coordinator who is accessible to employees and managers
• A training program for business travelers   

If you do not have these internal controls in place, we urge you to begin working with your Administration to establish them. This will likely require an “all-hands-on-deck” approach from your department’s upper management, human resources, counsel, accounting, head of internal audits, etc.

What are the travel policies of State Administrative Manual (SAM) section 4117? (Executive branch agencies only)

The Statewide Travel Program administers all travel contracts for airfare, commercial car rentals, travel management services (travel agency), and travel payment services. Access to these contracts is only available through the Statewide Travel Program.

State Administrative Manual section 4117 (formerly "Management Memo #14-03") applies to all state of California Executive Branch departments/agencies, requiring the use of Concur and/or the state's contracted travel agency, CI Azumano, for all air, rail, car rental and hotel reservations. 

For out-of-state travel (OST), do I have to enter the OST authorization number?

No, however, prior approval is still required. 

Where can I find STD 255C, OFAM 100, and other forms?

Go to www.dgs.ca.gov/OFAM/Travel/Forms.

Where can I find the state’s airline policy?

SAM section 4117.1 - Airlines is located here.

What are the travel policies of State Administrative Manual (SAM) section 4117.1? (Applies to executive branch agencies only)

SAM section 4117.1 (formerly "Management Memo #21-07") outlines airfare reservation requirements for executive branch agencies/travelers. Executive branch agencies and travelers must follow airfare purchasing and use requirements, which ensure that state employees traveling by air on official business are using the most economical fares possible.

SAM section 4117.1 directs state employees to reserve, where available, airfares that are nonrefundable, and shall, where operationally feasible, reserve their domestic airfare(s) at least seven (7) days prior to their anticipated travel date(s) and reserve international airfare(S) at least 30 days prior to their anticipated travel date(s).

Additionally, when traveling internationally, state employees shall choose the most economical airfare that meets their business needs.

State agencies will be responsible for tracking and ensuring compliance with the airfare purchasing requirements, as well as tracking and managing any unused ticket credits. State agencies that fail to substantially adhere to the airfare purchasing policies over a six-month period, may be required to submit a corrective action plan to the Department of General Services.

Are there any exceptions to SAM section 4117.1?

There are a limited number of approved exceptions. Navigate to the State Travel Policy page and access the “SAM 4117.1 Violation Reason Codes Legend” for a list of exceptions.

I must book a flight that violates one or more of the SAM section 4117.1 policies. Can I proceed with booking that flight?

Yes, however the reason(s) must be an approved exception. Navigate to the State Travel Policy page and access the “SAM 4117.1 Violation Reason Codes Legend” for a list of exceptions.

At the time of booking, the traveler or Travel Arranger must select a reason code(s) to identify why the flight selected if it violates one or more of the SAM section 4117.1 policies.

The traveler or Travel Arranger must retain supporting documents as substantiation to support why a flight that requires a policy violation reason code justification was selected.

Upon request, the traveler or Travel Arranger must provide the retained supporting documentation to the agency travel unit. Occasionally, the Statewide Travel Program may ask to see this documentation. The travel unit will use the supporting documentation to support selecting the reason code justification for booking a flight that violates SAM section 4117.1 policies.

What are examples of supporting documentation that a traveler and/or agency travel unit should retain when selecting a flight that violates a SAM section 4117.1 policy?

1. Booking a flight with a non-contracted carrier: The contracted carrier(s) don’t have a seat/flight available for the required date and time of departure. It is a best practice for the traveler to retain proof, such as a time stamped screenshot of the Concur results page, showing that no contracted carriers had available flights or seats at the time of booking.
2. Selecting a refundable fare: Only refundable flights are available at the time of booking. It is a best practice for the traveler to retain time stamped screenshots of the Concur results page illustrating no non-refundable flights were available to choose from at time of booking.
3. Booking a flight less than seven (7) days in advance: The traveler must retain a copy of the assignment/email/memo from leadership that required them to book less than seven (7) days in advance.

Is booking a domestic flight on day 7 a violation?

No, booking 7 days in advance for a domestic flight is not a violation. Booking a domestic flight on days 6 to 0 (same day) is a violation and a reason code justification is required.

Is booking an international flight on day 30 a violation?

No, booking 30 days in advance for an international flight is not a violation. Booking an international flight on days 29 to 0 (same day) is a violation and a reason code justification is required.

Will state agencies be responsible for tracking and ensuring compliance with purchasing requirements?

Yes. On a monthly basis, agency travel unit staff receive the “Policy Violation report - Invoice dates from MM/DD/YYYY to MM/DD/YYYY” that agency travel unit staff must process to identify violations.

How will the Department of General Services be monitoring policy violations?

The Department of General Services (DGS) has access to exception report data. DGS, along with each state agency, will be responsible for monitoring travel booked to ensure state travelers are adhering to the SAM section 4117.0-4117.6 policies. (Applies to executive branch agencies only)

How are policy exceptions collected?

Within Concur: The online booking tool, Concur, will prompt and require a reason code justification(s) be provided before booking travel that violates any of the SAM section 4117.0-4117.6 policies.

Within the Travel Management Services company: When making a reservation with a live travel agent, the travel agent will require the traveler/travel arranger to provide a reason code justification(s) before they may proceed with booking travel that violates any of the SAM section 4117.0-4117.6 policies.

Does the agency travel unit need to retain proof to support the Reason Code justification that a traveler selected when they book travel that violates a SAM section 4117.0-4117.6 policy?

The Statewide Travel Program recommends the traveler or agency travel unit staff retain supporting documentation (as dictated by internal agency retention policies) as substantiation to support the reason code justification(s) selected during the booking process.  

Is there a report we can pull to ensure our employees are following all travel policies?

Yes. Within iBank, using the “Policy Violation” report, sort the “Reason for Refundable Fare” column. Blank cells mean the flight booked was non-refundable. Populated cells mean the flight booked was refundable.

Where can I download the “Policy Violation” report?

Agency travelers can find the “Policy Violation” report in the “Saved Filters” section of the iBank dashboard.  

There is an error in the “Policy Violation” report this month. To whom do I escalate the error?

To inquire about a possible reporting error, please send an email to CaReports@ciazumano.com and MM21-07Reporting@dgs.ca.gov. Provide as much information about the issue, include screenshots and a copy of the report, and staff will investigate the issue further.

What does the data provided in the "Sort" columns of the "Policy Violations" report represent?

Each report has three “Sort” columns: “Sort 1,” “Sort 2,” and “Sort 3.” Data may be populated in all, some, or none of the “Sort” cells. The data collected depends on the account and what the agency selected to populate in the cells. For example, an agency may choose to collect the agency “Reporting Structure,” which will be populated into the “Sort 1” cell for each reservation. Other data that may be collected and populated into any of the sort cells are traveler name and phone number, agency index, Program Cost Account (PCA), reporting structure, object, agency/department number, etc.

• Travel Policy Development Template 
  • This template is designed to communicate a department's general travel expectations and procedures to the traveler. The template can be customized to add specific departmental internal policy for official business travel.
• Uber for Business (U4B) Policy Template
  • This template is designed to communicate departmental expectations and procedures when utilizing the U4B direct bill option. The template can be customized to match the agency's internal policy for U4B.  

Travel Policy Development Template - Optional Users

• This template is designed to communicate an agency's general travel expectations and procedures to the traveler. The template can be customized to add agency specific internal policy for official business travel.

• Uber for Business Dashboard & Audit Guide
  • This guide explains the Uber for Business (U4B) dashboard and accompanying data for departmental U4B trips. It also outlines U4B general use instructions and tips for managing the U4B dashboard.
• Enterprise Statement Review Guide
  • This document serves as a guide to analyze and compare rental data from the monthly Enterprise statement. It also provides information on specific data fields that require extra review, resources for rental vehicles, and fuel rates.
• State Activity Detail Report Audit Guide
  
  • This guide will show how to interpret travel reservation data (transaction & service fees) from the monthly State Activity Detail report. It also provides additional resources when analyzing a traveler’s itinerary.

• Pre-Trip Approval Guide

• Title 2. Administration, Division 1. Administrative personnel, Chapter 3. Department of Human Resources, Subchapter 1. General Civil Service Rules, Article 2. Traveling Expenses

• Section 4117 (Statewide Travel Program)
  • SAM 4117 requires Executive Branch agencies to make all travel arrangements through STP (online booking tool and/or contracted travel agency).
  • Potential exceptions include, but are not limited to, use of a hotel room block (conference room rate), use of a short-term lodging establishment such as Airbnb, and use of a hotel that does not participate in the online booking tool system. Internal pre-approval required for exceptions. 
  • When booking hotels/lodging, the policy requires booking through the online booking tool and/or contracted travel agency, even if a lower rate is identified elsewhere. Email the Statewide Travel Program (STP) at StatewideTravelProgram@dgs.ca.gov to report hotels that do not have a state government rate loaded in the online booking tool, but available on the hotel's website.  
• Section 4117.1 (Airlines)
  • SAM 4117.1 Violation Reason Codes Legend
  • SAM 4117.1 FAQs
  • For questions about SAM 4117.1, please email MM21-07reporting@dgs.ca.gov
• Section 700 (General Policy)

• Document: Travel Policies, Laws, and Resources
• CALHR Travel Reimbursements
• CALHR Online Manual