ing nature under section 318(d) of the Clean Air Act. Whenever the title of a position is listed, it includes any person who occupies the position as "acting" and any person who occupies a successor position under a subsequent reorganization.

Coverage:

(1) Under the Office of the Administrator: the Administrator, Deputy Administrator, Regional Administrators, General Counsel, Deputy General Counsel, Associate General Counsel for Air, Noise and Radiation, Enforcement Counsel, Deputy Enforcement Counsel, Associate Deputy Enforcement Counsel for Air and Director of the Science Advisory Board.

(2)(i) In the Office of the Administrator: Administrator, Deputy Administrator, and the Director of the Science Advisory Board. (ii) Regional Administrators.

(iii) In the Office of General Counsel: General Counsel, Deputy General Counsel, Associate General Counsel for Air and Radiation.

(iv) In the Office of Enforcement and Compliance Monitoring: Assistant Administrator for Enforcement and Compliance Monitoring, Senior Enforcement Counsel, Associate Enforcement Counsel for Air Enforcement.

(v) In the Office of Policy, Planning and Evaluation: Assistant Administrator for Policy, Planning and Evaluation, Deputy Assistant Administrator for Policy, Planning and Evaluation, Director of the Office of Policy Analysis, Director of the Office of Standards and Regulations.

(vi) In the Office of Air and Radiation: Assistant Administrator for Air and Radiation, Deputy Assistant Administrator for Air and Radiation, Director of the Office of Policy Analysis and Review, Director of the Office of Program Development, Director of the Office of Air Quality Planning and Standards, Director of the Office of Mobile Sources, and Directors of the following Divisions: Control Programs Development, Emission Standards and Engineering, Monitoring and Data Analysis, Stationary Source Compliance, Strategies and Air Standards, Certification, Emission Control Technology, Engineering Operations, Field Operations and Support and Manufacturers Operations.

(3) Under the Office of Air, Noise and Radiation:

The Assistant Administrator for Air, Noise and Radiation, Director of the Office of Policy Analysis, Director of the Office of Transportation and Land Use Policy, Director of the Office of Air Quality Planning and Standards and Division Directors reporting to that official, and the Director of the Office of Mobile Source Air Pollution Control and Division Directors reporting to that official.

[49 FR 7530, Feb. 29, 1984, as amended at 50 FR 39624, Sept. 27, 1985]

Subpart D-Gifts, Gratuities, or Entertainment

§3.400 Policy.

(a) Except as provided in paragraph (d) and in § 3.104(e), no employee may directly or indirectly (for example, through spouses or children) accept any gift, gratuity, entertainment (including meals), favor, loan or any other thing of value from any person, corporation or group which:

(1) Has or is seeking to obtain contracts or assistance agreements with EPA;

(2) Has interests which may be substantially affected by the employee's performance or nonperformance of official duty;

(3) Is in any way attempting to affect the employee's official action;

or

(4) Conducts activities that EPA regulates.

(b) The following are exceptions to the general rule set forth in paragraph (a):

(1) Accepting modest entertainment, such as meals or refreshments, in connection with participation in widely attended gatherings sponsored by industrial, technical or professional organizations or in connection with attendance at public ceremonies or similar activities where the employee officially represents EPA. Acceptance of ordinary "business lunches" is not permitted.

(2) Accepting gifts, favors or entertainment where there is an obvious family or personal relationship between the employee or the employee's family and the donor, and where this relationship clearly motivated the gift.

(3) Purchasing at advantageous rates offered to Government employees as a class.

(4) Accepting loans from banks or other financial institutions on customary terms.

(5) Accepting unsolicited advertising or promotional material, such as pens, pencils, note pads, calendars or other items worth less than $10 (U.S. retail).

(6) Accepting incidental transportation (such as rides to and from airports) furnished in connection with official duties and customarily provided by private organizations. (For further guidance concerning acceptance of travel and related expenses, see § 3.505.)

(7) Accepting transportation, lodging and meals of modest value in connection with interviews for future employment, provided the employee is in an annual leave status at the time such interview occurs.

(8) Accepting gifts and honors from foreign governments as authorized by 5 U.S.C. 7342. (See 41 CFR Part 10149).

(9) Awards incident to training or meetings under 5 U.S.C. 4111 and 5 CFR Part 410, Subpart G. This requires the specific written approval of the Designated Agency Ethics Official or the Alternate Agency Ethics Official. See § 3.504(c)(1).

(c) Where circumstances require temporary acceptance of a prohibited gift or gratuity, the acceptance must be reported to the Designated Agency Ethics Official who shall return it to the donor with an explanation, where practical. Otherwise, the gift or gratuity will be donated to a public or charitable institution and, where practical, the donee will be informed of the disposition. (But see 41 CFR Part 101-49 regarding gifts from foreign governments.)

Subpart E-Outside Employment

§ 3.500 Definitions.

"Outside employment or other outside activity" is any work or service preformed by an employee other than the performance of official duties. It includes such activities as writing and editing, publishing, teaching, lecturing, counsulting, self-employment and other work or services. Employees must ensure that their outside activities may not reasonably be construed as implying official EPA endorsement of any statement, activity, product or service.

83.501 Policy.

(a) Subject to the approval requirements of 3.508, employees may

engage in outside employment or other outside activity consistent with the standards of this subpart.

(b) Employees may participate in community affairs as private citizens where consistent with these regulations. Such activities include:

(1) Speaking, writing, editing, and teaching;

(2) Participating in charitable, religious, professional, social, fraternal, nonprofit educational and recreational, public service or civic organizations; (3) Participating in the activities of national, State and local political parties to the extent permitted under the "Hatch Act" (5 U.S.C. 7324-7324) and 18 U.S.C. 602, 603, 607 and 608.

[49 FR 7530, Feb. 29, 1984, as amended at 50 FR 39624, Sept. 27, 1985]

§ 3.502 Guidelines and limitations.

Outside employment and other outside activity is prohibited if it would:

(a) Violate a federal or State statute, local ordinance, Executive Order or regulation;

(b) Involve acceptance of a fee, compensation, gift, payment of expense, or other thing of monetary value under circumstances which would result in, or create the appearane of, a conflict of interest;

(c) Bring discredit upon the Government or EPA, or lead to relationships which would impair public confidence in the integrity of the Government or EPA;

(d) Involve work with any EPA contractor or subcontractor on an EPA project or work with any holder of an EPA assistance agreement or subagreement on an EPA project (unless the Designated Agency Ethics Official approves work on such acquisition or assistance agreement in writing) or would involve work for any person or organization in a position to gain advantage through the employee's exercise of official duties;

(e) Involve use of the employee's time during official working hours;

(f) Involve use of official facilities (for example, office space, telephones, office machines or supplies) or the services of other employees during duty hours;

(g) Interfere with the efficient performance of Government duties or impair the imployee's mental or physical capacity to perform such duties;

(h) Involve use of information obtained as a result of Government employment which has not been made available to the general public.

[49 FR 7530, Feb. 29, 1984, as amended at 50 FR 39624, Sept. 27, 1985]

83.503 Distinction between official and outside activities.

Writing, speaking, or editing is normally "official" if it results from a request to EPA to furnish a speaker, author or editor. If an invitation is addressed to an employee, the invitation is "official" if it is tendered because of the employee's EPA position rather than the employee's individual knowledge or accomplishments. The fact that an activity is prepared for or performed outside normal duty hours is not controlling. Otherwise, such activities are “outside” activities for purposes of § 3.500.

$3.504 Compensation,

travel expenses.

honorariums,

(a) Employees may accept compensation for permissible outside employment or other outside activity. However, under 2 U.S.C. 441 no employee may accept any honorarium of more than $2,000 for any single appearance, speech or article. In addition, Presidential appointees are prohibited from receiving outside earned income in any year in excess of 15% of their Government salaries. See section 210 of Pub. L. 95-521, 5 U.S.C. App. 1.

(b) Except as provided below, travel expenses for official activities must be paid by the Government. Conversely, appropriated funds must not be used for nonofficial travel.

(c) The Comptroller General has ruled that acceptance of official travel expenses from outside sources is an impermissible augmentation of agency appropriations in the absence of specific statutory authority. Accordingly, employees may not accept official travel expenses except for:

(1) Attendance at meetings, if paid by organizations listed under section 501(c)(3) of the Internal Revenue Code (see 5 U.S.C. 4111), and the prior

written approval of the Designated Agency Ethics Official or the Alternate Agency Ethics Official is obtained;

(2) Travel entirely outside the United States paid by foreign governments or public international organizations (5 U.S.C. 7342(c)(1));

(3) Details to State and local governments and to domestic universities and "other organizations” under the Intergovernmental Personnel Act (5 U.S.C. 3374-3375);

(4) Details to public international organizations in which the United States participates as a government (5 U.S.C. 3343);

(5) Details to foreign governments (this requires State Department approval);

(6) Travel approved by the State Department under the Mutual Educational and Cultural Exchange Program of Title 22, U.S. Code, Chapter 33;

(7) Travel expenses of EPA witnesses for non-Government parties (5 U.S.C. 5751).

8 3.505 Special conditions which apply to teaching, lecturing and speechmaking.

In addition to the limitations of §§3.502 and 3.504(a), employees may engage in outside activities involving teaching, lecturing and speechmaking only if:

(a) Such activities are conducted on the employees' own time without the use of Government property or personnel;

(b) Government travel or per diem funds are not used;

(c) The activities are not for the purpose of special preparation for a civil service or foreign service examination and do not involve the use of information obtained as a result of Government employment that has not been made available to the general public;

(d) The activities do not involve instruction on dealing with specific matters pending before EPA.

§ 3.506 Special conditions applicable to outside writing and editing activities. (a) Subject to the limitations of §§ 3.502 and 3.504(a) and this section, employees may serve as editors and

editorial consultants, or on editorial boards, and may contribute articles to publications.

(b) Writing and editing, whether related or unrelated to an employee's official duties, must not express or imply official support in either the material itself or in advertising or promotional material, including book jackets and

covers.

(c) Writing or editing, whether related to an employee's official duties or not, must either omit mention of the employee's official title or affiliation with the Agency, or include a disclaimer substantially as follows:

"This (article, book, etc.) was (written, edited) by (employee's name) in his/ her private capacity. No official support or endorsement by the Environmental Protection Agency or any other agency of the Federal Government is intended or should be inferred."

§ 3.507 Special conditions applicable to publishing.

Employees may engage in publishing activities when:

(a) No income is derived from publishing materials which EPA makes available to the general public or which are available to the employee because of his or her official duties but are not available to the general public; and

(b) No income is derived from publishing proceedings or compilations of conferences, symposia or similar gatherings or publishing speeches which are sponsored by the Government or which involve the performance of official duties.

[49 FR 7530, Feb. 29, 1984, as amended at 50 FR 39624, Sept. 27, 1985]

§3.508 Administrative approval.

In addition to avoiding prohibited outside employment, each employee must obtain administrative approval in accordance with Appendix A to this subpart before engaging in the following types of outside employment:

(a) Regular self-employment; (b) Consulting services;

(c) Holding State or local public office;

(d) Outside employment or other outside activity involving an EPA con

tractor or subcontractor or holder of an EPA assistance agreement or subagreement; and

(e) Employment by a firm which is regulated by the EPA program Office or Regional Office in which the employee serves.

Employees are encouraged to seek the advice of Deputy Ethics Officials or the Designated Agency Ethics Official regarding other types of outside employment.

[49 FR 7530, Feb. 29, 1984, as amended at 50 FR 39624, Sept. 27, 1985]

APPENDIX A TO SUBPART E-PROCEDURES FOR PERMISSION TO ENGAGE IN OUTSIDE EMPLOYMENT OR OTHER OUTSIDE ACTIVITY

1. Form and content of request-A written request for administrative approval of outside employment must be addressed to the appropriate Deputy Ethics Official, or, in the immediate Office of the Administrator or Deputy Administrator, to the Designated Agency Ethics Official. The request must be sent through the employee's supervisors and must indicate:

a. Employee's name, title and grade;

b. Nature of the outside activity, including a full description of the services to be performed and the amount of compensation expected;

c. The name and business of the person or organization for which the work will be done (in cases of self-employment, indicate the type of services to be rendered and estimate the number of clients or customers anticipated during the next 6 months);

d. The estimated time to be devoted to the activity;

e. Whether the service will be performed entirely outside of normal duty hours (if not, estimate the number of hours of absence from work required);

f. The assistance agreements or contracts involved, if the outside employment will include consulting or professional services to institutions which have or may seek federal assistance agreements or contracts. Full details must be provided for any service which involves preparing grant applications, contract proposals or program reports. Indicate the basis for compensation (e.g., fee, per diem, per annum, etc.).

2. Acting on employee requests-Requests are reviewed for consistency with § 3.502. Reviewers are encouraged to obtain advice from the Designated Agency Ethics Official. The reviewer's decision must be in writing.

3. Keeping the record up-to-date-If there is a change in the nature or scope of the duties or services performed or the nature

of the employee's business, the employee must submit a revised request for approval.

4. Enforcement-Failure to obtain administrative approval for outside employment or other outside activity where required is grounds for disciplinary action.

5. Confidentiality of requests-Requests for approval are confidential and, unless the employee consents, may not be disclosed except to the Designated Agency Ethics Official or the Alternate Agency Ethics Official and designated staff who assist them under this part and to Deputy Ethics Officials and designated staff members who assist them under this part.

[49 FR 7530, Feb. 29, 1984, as amended at 50 FR 39624, Sept. 27, 1985]

Subpart F-Standards of Conduct for Special Government Employees

§3.600 Applicability.

having contracts or assistance agreements with EPA or which conduct activities regulated by EPA. The following exceptions apply:

(1) Receiving salary, bonuses or other compensation or benefits from non-Government employers;

(2) Accepting modest entertainment, such as meals or refreshments, in connection with attendance at widely attended gatherings sponsored by industrial, technical or professional organizations, or in connection with attending public ceremonies or similar activities where the special Government employee officially participates on behalf of EPA (this does not include ordinary "business lunches");

(3) Accepting gifts, favors or entertainment where there is an obvious family or personal relationship between the employees or their families and the donor, and where that relationship clearly motivates the gift;

(4) Accepting loans from banks or other financial institutions on customary terms;

(5) Accepting unsolicited advertising or promotional material, such as pens, pencils, note pads, calendars or other items worth less than $10 (U.S. retail);

(6) Accepting incidental transportation in kind from a private organization (such as rides to and from airports) furnished in connection with official duties and customarily provided by the private organization.

(e) Gifts and honors from foreign governments. A special Government employee is not authorized to accept a gift, decoration, or other thing from a foreign government, except as authorized by 5 U.S.C. 7342. (See also 41 CFR Part 101-49.)

(f) Official travel expenses as authorized by § 3.505.

§ 3.602 Statements of employment and financial interest.

(a) Each special Government employee must submit a Statement of Employment and Financial Interests, EPA Form 3120-1, at the time of initial appointment except where the special Government employee is required to file a public Financial Disclosure Report (SF 278). Annual supplemental statements are also due by