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July 31 of each year. In addition, if changes occur in the employee's finan. cial 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 employ. ees under 5 U.S.C. 5332 below the grade of GS-13;

(2) Employees participating in intern or other training programs. 8 3.603 Review, enforcementreporting

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)

8 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 applies only during the period of a which the United States is a party or special Government employee's servhas a direct and substantial interest, ice. and in which the employee has ever (d) Under 18 U.S.C. 208 special Gov. participated “personally and substan- ernment employees are forbidden to tially" as a Government employee; or participate “personally and substan

(2) Act as "agent or attorney”, that tially" in any "particular matter" in is, communicate with intent to influ- which, to their knowledge, they, their ence on behalf of another, in connec- spouses, minor children, partners, ortion with a “particular matter involv. ganizations in which they are serving ing a specific party or parties" pending

as officers, directors, trustees, partners in EPA, if he or she has served as an

or employees or any persons or organiEPA employee for more than 60 days Zations with whom they are negotiatduring the preceding 365 days. This re

ing or have any arrangement concernstriction applies regardless of whether ing prospective employment, have a fithe special Government employee has nancial interest. However, the Desigparticipated in the matter.

nated Agency Ethics Official may (b) Under 18 U.S.C. 207, former spe- waive this restriction if “the interest is cial Government employees may not not so substantial as to be deemed act as "agent or attorney," that is likely to affect the integrity of the communicate with intent to influence,

services." Requests for waiver must be on behalf of anyone other than the addressed to the Designated Agency United States before any Federal Ethics Official and must specifically agency or court in connection with a set forth the nature and amount of "particular matter involving a specific the financial or employment interest party or parties" in which the United

and explain why a waiver should be States is a party or has a direct and

granted. substantial interest and in which they participated "personally and substan.

The general exemptions of Appendix

A to 3.301(b) of this part apply to tially" as Government employees. The two-year restriction of 18 U.S.C. 207(b)

both regular and special Government is unlikely to affect special Govern

employees. ment employees because they are not

(e) Section 209 of Title 18, United likely to have exercised “direct super

States Code, does not apply to special visory or operating responsibility."

Government employees. Likewise, the one-year “quarantine" of

8 3.605 Other statutes. 18 U.S.C. 207(c) probably will not apply because special Government em- (a) Bribery. Section 201 of Title 18, ployees are unlikely to be designated United States Code, prohibits solicitas "senior employees.” See 5 CFR ing, receiving or agreeing to receive, 737.33.

directly or indirectly, anything of (c) Under 18 U.S.C. 207(g), during value in connection with the performthe entire period of the special Gov- ance of official duties or in return for ernment employee's appointment, committing or aiding in the commispartners of special Government em- sion of a fraud on the United States. ployees are forbidden to act as agent (b) Disclosure of confidential inforor attorney in connection with “par- mation Section 1905 of Title 18, ticular matters" in which the United United States Code, prohibits disclosStates is a party or has a direct and ing, in any manner and to any extent substantial interest and in which the not authorized by law, any informaspecial Government employee is par- tion acquired in the course of Governticipating or has participated “person- ment employment or official duties ally and substantially" as a special which concerns or is related to the Government employee or which are trade secrets, processes, operations, under the special Government employ- style or work or apparatus or to the ee's “official responsibility.” This re- identity, confidential statistical data, striction applies to policy and rule- amount or source of any income, profmaking matters as well as to contracts, its, losses or expenditures of any grants and adjudications. However, it person, business entity or association.

(c) Other statutes which apply to both regular and special Government employees are listed in Appendix B to Subpart A of this part.



8 5.2 Definitions.

"Direct Training” means all techni. cal 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.)

AUTHORITY: Section 213, Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended by the Surface Transportation and Uniform Relocation Assistance Act of 1987, Title IV of Public Law 100-17, 101 Stat. 246-256 (42 U.S.C. 4601 note).

8 4.1 Uniform relocation assistance and

real property acquisition. Effective April 2, 1989, regulations and procedures for complying with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Public Law 91-646, 84 Stat. 1894, 42 U.S.C. 4601), as amended by the Surface Transportation and Uniform Relocation Assistance Act of 1987 (Public Law 100-17, 101 Stat. 246255, 42 U.S.C. 4601 note) are set forth in 49 CFR Part 24. (52 FR 48023, Dec. 17, 1987)

8 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 predomi. nantly a laboratory, lecture, or survey course, or a course with other similar variables. Each cognitive program and regional office will announce the tui. tion fee at the time the date for offer. ing 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.



5.1 Establishment of fees.
5.2 Definitions.
5.3 Schedule of fees.
5.4 Registration offices.
5.5 Procedure for payment.
5.6 Refunds.
5.7 Waiver of fee.
5.8 Appeal of waiver denial.

AUTHORITY: Title V, 65 Stat. 290 (31 U.S.C. 483a).

SOURCE: 38 FR 32806, Nov. 28, 1973, unless otherwise noted.

8 5.4 Registration offices.

Direct training programs are offered by both EPA national program offices and regional EPA offices. Listed in this Section are the EPA national program offices and regional offices to which applications are to be sent. The proper registration office may be determined from the specific course announcement.


8 5.1 Establishment of fees.

The Environmental Protection Agency shall charge the revised schedule of tuition fees for all persons attending EPA direct training courses which commence on or after January 1, 1974.


Direct Training Registration Office, Office of Air Programs, Research Triangle Park, North Carolina 27717.


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


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

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

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. En. vironmental 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.


U.S. Environmental Protection Agency, Office of Radiation Programs, Washington, DC 20480.


U.S. Environmental Protection Agency, Office of Pesticides Programs, Washington, DC 20480.

8 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.

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, Ilinois 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.

8 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. 8 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

8 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

clude copies of original application and justification for waiver, EPA registration office denial correspondence, and other pertinent information supporting the request for walver.



Sec. 6.501 Definitions. 6.502 Applicability and limitations. 6.503 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 the environmental

review process. 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 A-Goneral

Sec. 6.100 Purpose and policy. 6.101 Definitions. 6.102 Applicability. 6.103 Responsibilities. 6.104 Early involvement of private parties. 6.105 Synopsis of environmental review

procedures. 6.106 Deviations. 6.107 Categorical exclusions. 6.108 Criteria for initiating an EIS.

Subpart F-Environmental Review Procedures

for tho Now Source NPDES Program

[blocks in formation]

6.600 Purpose. 6.601 Definitions. 6.602 Applicability. 6.603 Limitations on actions during envi.

ronmental 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

Subpart C-Coordination With Other Environ

montal Reviow and Consultation Requiremonts

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.

6.300 General. 6.301 Landmarks, historical, and archeo

logical sites. 6.302 Wetlands, floodplains, important

farmlands, coastal zones, wild and scenic rivers, fish and wildlife, and endangered

species. 6.303 Air quality.

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 D-Public and Other Federal Agency

Involvomont 6.400 Public involvement. 6.401 Official filing requirements. 6.402 Availability of documents. 6.403 The commenting process. 6.404 Supplements.

Subpart Environmental Review Procedures

for EPA Facility Support Activities

Subpart Environmental Review Procedures

for Wastowater Treatment Construction Grants Program

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.

6.500 Purpose.

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