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July 31 of each year. In addition, if changes occur in the employee's financial interests or investments, a supplemental report is also due by the end of the four month period in which the transaction occurs; that is, by November 30 and March 31.

(b) The Statement of Employment and Financial Interests must be submitted to the cognizant Deputy Ethics Official or to the Designated Agency Ethics Official, as appropriate. (See §3.201.) Public Financial Disclosure Reports must be submitted to the Designated Agency Ethics Official. (See § 3.302.)

Special government employees often have income from other employers, and all such sources of income must be reported. For example, researchers and analysts must disclose the sources of their research contracts, and, where employees of universities or other public bodies or business organizations are working on projects supported by outside parties, the contributors must be identified.

(c) The purpose of the Statement of Employment and Financial Interests is to assist the employee and the Agency in avoiding conflicts of interest. The statement is confidential and will not be disclosed except to the Designated Agency Ethics Official and the Alternate Agency Ethics Official and designated staff members who assist them under this part and to Deputy Ethics Officials and members of their staffs who assist them under this part. The statements will not otherwise be disclosed except to the Office of Inspector General, to committees or subcommittees of Congress on written request, or as authorized by the Administrator or the Director of the Office of Government Ethics for good cause.

(d) Submitting a Statement of Employment and Financial Interests does not relieve employees of the duty to comply with the law. Employees must continue to refrain from participation where prohibited by 18 U.S.C. 208(a). (See § 3.606(d).)

(e) Information concerning financial interests which have been exempted from the prohibition of 18 U.S.C. 208(a) may be omitted. (See § 3.301(b) of this part.)

(f) The following special Government employees are not required to file a Statement of Employment and Financial Interest:

(1) Temporary and summer employees under 5 U.S.C. 5332 below the grade of GS-13;

(2) Employees participating in intern or other training programs.

§ 3.603 Review, enforcement, reporting and investigation.

(a) Statements of Employment and Financial Interests are reviewed by the cognizant Deputy Ethics Official or, in the immediate Office of the Administrator, by the Designated Agency Ethics Official. If the review discloses an actual or apparent conflict of interest, the matter will be discussed with the employee. If necessary, the Deputy Ethics Official or the Designated Agency Ethics Official may: (1) Direct the employee not to paticipate in certain matters; (2) arrange a reassignment with the employee's supervisor; or (3) the Designated Agency Ethics official may grant a waiver under 18 U.S.C. 208(b) or direct the employee to divest.

(b) Special Government employees are encouraged to consult with the Designated Agency Ethics Official or the cognizant Deputy Ethics Official if they have questions concerning this subpart.

(c) Violation of these regulations may be cause for disciplinary action, and the Inspector General may be asked to investigate alleged or apparent violations.

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

§ 3.604 Application of conflict-of-interest statutes.

The "conflict-of-interest" statutes (18 U.S.C. 203, 205, 207, 208 and 209) are set forth in Appendix A to Subpart A of this part. They apply to special Government employees as follows:

(a) Sections 203 and 205 of Title 18, United States Code, provide generally that a special Government employee may not:

(1) Represent anyone else before a court or any Government agency in connection with a "particular matter

involving a specific party or parties" in which the United States is a party or has a direct and substantial interest, and in which the employee has ever participated "personally and substantially" as a Government employee; or

(2) Act as “agent or attorney”, that is, communicate with intent to influence on behalf of another, in connection with a "particular matter involving a specific party or parties" pending in EPA, if he or she has served as an EPA employee for more than 60 days during the preceding 365 days. This restriction applies regardless of whether the special Government employee has participated in the matter.

(b) Under 18 U.S.C. 207, former special Government employees may not act as "agent or attorney," that is, communicate with intent to influence, on behalf of anyone other than the United States before any Federal agency or court in connection with a "particular matter involving a specific party or parties" in which the United States is a party or has a direct and substantial interest and in which they participated "personally and substantially" as Government employees. The two-year restriction of 18 U.S.C. 207(b) is unlikely to affect special Government employees because they are not likely to have exercised "direct supervisory or operating responsibility." Likewise, the one-year “quarantine” of 18 U.S.C. 207(c) probably will not apply because special Government employees are unlikely to be designated as "senior employees." See 5 CFR 737.33.

(c) Under 18 U.S.C. 207(g), during the entire period of the special Government employee's appointment, partners of special Government employees are forbidden to act as agent or attorney in connection with "particular matters" in which the United States is a party or has a direct and substantial interest and in which the special Government employee is participating or has participated "personally and substantially" as a special Government employee or which are under the special Government employee's "official responsibility." This restriction applies to policy and rulemaking matters as well as to contracts, grants and adjudications. However, it

applies only during the period of a special Government employee's service.

(d) Under 18 U.S.C. 208 special Government employees are forbidden to participate "personally and substantially" in any "particular matter" in which, to their knowledge, they, their spouses, minor children, partners, organizations in which they are serving as officers, directors, trustees, partners or employees or any persons or organizations with whom they are negotiating or have any arrangement concerning prospective employment, have a financial interest. However, the Designated Agency Ethics Official may waive this restriction if "the interest is not so substantial as to be deemed likely to affect the integrity of the services." Requests for waiver must be addressed to the Designated Agency Ethics Official and must specifically set forth the nature and amount of the financial or employment interest and explain why a waiver should be granted.

The general exemptions of Appendix A to 3.301(b) of this part apply to both regular and special Government employees.

(e) Section 209 of Title 18, United States Code, does not apply to special Government employees.

8 3.605 Other statutes.

(a) Bribery. Section 201 of Title 18, United States Code, prohibits soliciting, receiving or agreeing to receive, directly or indirectly, anything of value in connection with the performance of official duties or in return for committing or aiding in the commission of a fraud on the United States.

(b) Disclosure of confidential information. Section 1905 of Title 18, United States Code, prohibits disclosing, in any manner and to any extent not authorized by law, any information acquired in the course of Government employment or official duties which concerns or is related to the trade secrets, processes, operations, style or work or apparatus or to the identity, confidential statistical data, amount or source of any income, profits, losses or expenditures of any person, business entity or association.

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§ 5.2 Definitions.

"Direct Training" means all technical and managerial training conducted directly by EPA for personnel of State and local governmental agencies, other Federal agencies, private industries, universities, and other non-EPA agencies and organizations.

"Registration office" means any of the several offices in EPA which have been designated to receive applications for attendance at direct training courses. (See § 5.4 for a listing of such courses.)

§ 5.3 Schedule of fees.

Tuition fees for direct training will be established within the range of $15 to $70 per training day depending upon whether the course is predominantly a laboratory, lecture, or survey course, or a course with other similar variables. Each cognitive program and regional office will announce the tuition fee at the time the date for offering the course is announced. As a transition easement, tuition fees for all State and local government employees are established at a maximum of $25 per training day regardless of type of course until July 1, 1974. After that date they are to pay the full fee. Charges for field courses taught by EPA instructors are for actual expenses on a per course basis. Complete tuition fee schedules may be obtained from the registration offices listed in § 5.4. Tuition fees will be subject to change either upward or downward, based on actual experience under the system.

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WASTE WATER TREATMENT PROGRAM Direct Training Registration Office, National Training Center, Robert A. Taft Sanitary Engineering Center, Environmental Protection Agency, 4676 Columbia Parkway, Cincinnati, Ohio 45226.

WATER SUPPLY TREATMENT PROGRAM

Direct Training Registration Office, Environmental Protection Agency, 4676 Columbia Parkway, Cincinnati, Ohio 45226.

SOLID WASTES MANAGEMENT PROGRAM U.S. Environmental Protection Agency, Office of Solid Waste Management Programs, Washington, DC 20460.

RADIATION PROGRAM

U.S. Environmental Protection Agency, Office of Radiation Programs, Washington, DC 20460.

PESTICIDES PROGRAM

U.S. Environmental Protection Agency, Office of Pesticides Programs, Washington, DC 20460.

REGIONAL EPA OFFICES

EPA, Regional Manpower Office, Region I, JFK Federal Building-Room 2303, Boston, Massachusetts 02203.

EPA, Regional Manpower Office, Region II, 26 Federal Plaza, Room 845D, New York, New York 10007.

EPA, Regional Manpower Office, Region III, Sixth and Walnut Streets, Philadelphia, Pennsylvania 19106

EPA, Regional Manpower Office, Region IV, 1421 Peachtree Street, NE., 4th floor, Atlanta, Georgia 30309.

EPA, Regional Manpower Office, Region V, 1 North Wacker Drive, Chicago, Illinois 60606.

EPA, Regional Manpower Office, Region VI, 1600 Patterson, Suite 1100, Dallas, Texas 75201.

EPA, Regional Manpower Office, Region VII, Room 249, 1735 Baltimore Avenue, Kansas City, Missouri 64108.

EPA, Regional Manpower Office, Region VIII, Suite 900, 1860 Lincoln Street, Denver, Colorado 80203.

EPA, Regional Manpower Office, Region IX, 100 California Street, San Francisco, California 94111.

EPA, Regional Manpower Office, Region X, 1200 Sixth Avenue, Seattle, Washington 98101.

§ 5.5 Procedure for payment.

Applications for direct training courses shall be completed and submitted in accordance with the instructions issued by the respective national

program and/or regional offices. Fee payment in the amount indicated by the course announcement shall accompany completed applications (except in the case of waiver requests as described in § 5.75). All applications for field courses will be submitted in a timely manner by the sponsoring agency. Expenses will be noted and charges assessed the sponsoring agency after the course is conducted. The charge will be payable upon submission. All applicants shall make payment by check, payable to the U.S. Environmental Protection Agency, except applicants from Federal, State, and local agencies may send a purchase order of other acceptable financial commitment. Such financial commitment statements shall include information as to the agency and account number to be charged and other necessary information for billing purposes.

§ 5.6 Refunds.

An applicant may withdraw his application and receive full reimbursement of his fee provided that he notifies the appropriate registration office in writing no later than 10 days before commencement of the course for which he has registered.

§ 5.7 Waiver of fee.

Waivers of the full tuition fee may be granted on a limited basis. Each waiver request must be justified and considered by cognitive EPA units on: (a) Severity of the pollution problem in the area in which the applicant employee is working; (b) bona-fide administrative or legal constraints of the applicant agency to pay the reduced fee; (c) service, resulting from the training that will be provided as a benefit to the Federal Government. No waivers will be granted for field courses. Waivers are provided as a transitional easement for exceptional cases and will not be granted after July 1, 1975.

§ 5.8 Appeal of waiver denial.

Waiver denials may be appealed to the Office of Education and Manpower Planning, Washington, DC 20460, to adjudicate and expedite agency review. Appeal submissions should in

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Overview of the environmental review process.

6.504 Consultation during the facilities planning process.

6.505 Categorical exclusions.

6.506 Environmental review process.

6.507 Partitioning

review process.

the environmental

6.508 Findings of No Significant Impact (FNSI) determination.

6.509 Criteria for initiating Environmental Impact Statements (EIS).

6.510 Environmental Impact Statement (EIS) preparation.

6.511 Record of Decision (ROD) for EISS and identification of mitigation meas

ures.

6.512 Monitoring for compliance.

6.513 Public participation.

6.514 Delegation to States.

Subpart F-Environmental Review Procedures for the New Source NPDES Program

6.600 Purpose.

6.601

Definitions.

6.602 Applicability.

6.603 Limitations on actions during environmental review process.

6.604 Environmental review process.
6.605 Criteria for preparing EISS.
6.606 Record of decision.
6.607 Monitoring.

Subpart G-Environmental Review Procedures for Research and Development Programs

6.700 Purpose. 6.701 Definition.

6.702 Applicability.

6.703 Criteria for preparing EISS. 6.704 Environmental review process. 6.705 Record of decision.

Subpart H-Environmental Review Procedures for Solid Waste Demonstration Projects 6.800 Purpose.

6.801 Applicability.

6.802 Criteria for preparing EISS.

6.803 Environmental review process.

6.804 Record of decision.

Subpart -Environmental Review Procedures

for EPA Facility Support Activities

6.900 Purpose.

6.901 Definitions.

6.902 Applicability.

6.903 Criteria for preparing EISS. 6.904 Environmental review process. 6.905 Record of decision.

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