It is the policy of EPA to make the fullest possible disclosure of information to any person who requests information, without unjustifiable expense or delay. Where information is exempt under 5 U.S.C. 552(b) from mandatory disclosure, the EPA Office of Public Affairs may, pursuant to §2.107, order disclosure in the public interest, unless such disclosure is prohibited by law.

§ 2.102_Procedures applicable to the public.

(a) Form of request. A request need not be in any particular form, but it (1) must be in writing, and (2) must describe the records sought with sufficient specificity to permit identification.

(b) Place of request. A request for records may be filed with the EPA Office of Public Affairs, 401 M Street SW., Washington, D.C. 20460, or with any

other EPA office. Requests for records located in the indicated States may be filed with the following EPA Regional Offices:

(1) Region I. (Massachusetts, Connecticut, Maine, New Hampshire, Rhode Island, Vermont), Room 2303, John F. Kennedy Federal Building, Boston, Mass. 02203. (2) Region II. (New Jersey, New York, Puerto Rico, Virgin Islands), Room 847, 26 Federal Plaza, New York, NY 10007. (3) Region III. (Delaware, Maryland, Pennsylvania, Virginia, West Virginia, District of Columbia), Post Office Box 12900, Philadelphia, PA 19108.

(4) Region IV. (Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina, Tennessee), Suite 300, 1421 Peachtree Street NE., Atlanta, GA 30309. (5) Region V. (Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin), 1 North Wacker Drive, Chicago, IL 60606. (6) Region VI. (Arkansas, Louisiana, New Mexico, Oklahoma, Texas), 1114 Commerce Street, Dallas, TX 75202.

(7) Region VII. (Iowa, Kansas, Missouri, Nebraska), Room 702, 911 Walnut Street, Kansas City, MO 64106.

(8) Region VIII. (Colorado, Montana, North Dakota, South Dakota, Utah, Wyoming), Room 9041, Federal Office Building, 19th and Stout Streets, Denver, CO 80202. (9) Region IX. (Arizona, California, Hawaii, Nevada, American Samoa, Guam, Trust Territories of Pacific Islands, Wake Island), 760 Market Street, San Francisco, CA 94102. (10) Region X. (Alaska, Idaho, Oregon, Washington), 1200 Sixth Avenue, Seattle, WA 98101.

§ 2.103 Agency procedures in response to request.

Within 10 working days after receipt of a request for records by an EPA office other than the Office of Public Affairs, such office will forward a copy of the request (with the date and place of receipt noted thereon) to the EPA Office of Public Affairs. In the event the office receiving the request is not the office responsible for maintaining the records requested, the request shall be forwarded immediately to the office having such responsibility.

§ 2.104 Duties of responsible EPA office.

Within 10 working days after receipt of a request for records, the EPA office responsible for maintaining the records requested will:

(a) Obtain, or ascertain the location of, the records requested, and, unless a

determination pursuant to § 2.106 is required, inform the requesting party of where the records may be inspected and, if ascertainable, of the charge for furnishing copies; or

(b) Inform the requesting party that the search for the requested records is continuing, and advise him of the anticipated date of completion of the search, and of any necessary subsequent extensions of such date, at which time (but in no event later than 30 days after receipt of a request for records) the provisions of the appropriate paragraph of this section will be promptly followed;

or

(c) Inform the requesting party that the records sought are in the possession of another Government agency; refer the request to the office in such other agency where the records may be found; and notify the requesting party of such referral; or

(d) Inform the requesting party that the records requested do not exist, to the best knowledge of the receiving office; or

(e) Inform the requesting party that the records requested have been published in the FEDERAL REGISTER, or in any other generally available publication, and furnish the citation to such publication and the place or places where it may be obtained; or

(f) Inform the requesting party that disclosure of all or part of the records requested is under review pursuant to § 2.106, and promptly forward the request in accordance therewith: Provided, That with respect to any part of the records requested which is not subject to review pursuant to § 2.106, action shall be taken promptly under the appropriate paragraph of this section; or

(g) Furnish such other information or take such other action as is appropriate; and

(h) Advise the EPA Office of Public Affairs of the action taken.

(4) Trade secrets and commercial or financial information obtained from a person and privileged or confidential;

(5) Interagency or intra-agency memorandums or letters which would not be available by law to a party other than an agency in litigation with the agency;

(6) Personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy;

(7) Investigatory files compiled for law enforcement purposes except to the extent available by law to a party other than an agency;

(8) Contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of an agency responsible for the regulation or supervision of financial institutions; or

(9) Geological and geophysical information and data, including maps, concerning wells.

(b) Procedures. The office responsible for maintaining the records requested will make a preliminary evaluation to determine whether they are exempt from mandatory disclosure pursuant to 5 U.S.C. 552(b). Whenever it is determined that the records requested are or may be exempt, such office will promptly forward a copy or a description of the records requested, together with a brief statement of its position with reference to the applicability of an exemption, and a request for a determination, to the Office of the General Counsel at EPA headquarters, or to the Regional Counsel for the region in which the records are located, and, if the information contained in the records requested was obtained from a person other than EPA, will give notice of the request to such other person.

§ 2.106

Determinations by the Office of the General Counsel or a Regional Counsel.

(a) General. Not later than 10 working days after receipt of a request for a determination, the Office of the General Counsel or Regional Counsel:

(1) Will advise the office requesting the determination to release the records requested, if no exemption pursuant to 5 U.S.C. 552(b) is found applicable; or

(2) Will advise the office requesting the determination not to release the records requested, if disclosure is prohibited by law; or

(3) Will, if it is found that an exemption pursuant to 5 U.S.C. 552(b) is applicable, but that disclosure is not prohibited by law, forward to the EPA Office of Public Affairs the entire file, with an opinion as to the applicability of a statutory exemption; and,

(4) Will, if the information contained in the requested records was obtained from a person other than EPA, advise such other person of the action taken pursuant to this section.

(b) Consultation. A determination by a Regional Counsel under paragraph (a) of this section will be made only after consultation with the Office of the General Counsel.

§ 2.107

Determinations by the Office of Public Affairs.

Not later than 10 working days after receipt of an opinion from the Office of the General Counsel or a Regional Counsel pursuant to § 2.106(a) (3) as to the applicability of an exemption under 5 U.S.C. 552(b), the Office of Public Affairs will determine whether the records requested should be made available in the public interest, notwithstanding the applicability of an exemption, and will

(a) Order the disclosure of the records requested, or

(b) Notify the requesting party in accordance with § 2.109 that the records requested will not be disclosed.

§ 2.108 Creation of records.

Documents will not be created by compiling selected items from other documents at the request of a member of the public, nor will records be created to provide the requesting party with data such as ratios, proportions, percentages, frequency distribution, trends, correlations, or comparisons.

§ 2.109

Denial of requests for records.

(a) General: If it is determined pursuant to this part that requested records will not be provided, the EPA office responsible for maintaining the requested records (or, in the event a determination has been made under § 2.107(b), the Office of Public Affairs will notify the requesting party in writing that the request has been denied. A written denial of a request for information will contain a brief explanation of the statutory basis for nondisclosure, and I will state that judicial review is available in the U.S. District Court for the

district in which the requesting p resides or has his principal place business, or in which the records so are located.

(b) If EPA shall fail to grant o deny in writing a request within 90 following its receipt, the requesting p may regard such failure as final action denying the request, and wil entitled to pursue his remedy in courts as provided by 5 U.S.C. 552(a) § 2.110 Copies of documents.

If it is determined that records quested may be disclosed, the reques party will be entitled to copies. Howe records shall not be released for cop by non-EPA personnel. When a de mination not to disclose a portion records requested has been made, rec will be masked for copying of nonexe portions of the documents.

(a) Charges. Fees will be charged copies of records which are furnishe a person under this part and for spent in locating and reproducing th in accordance with a fee schedule m tained and revised by the Office of Pu Affairs. No fee will be charged for spent in processing of any request information, nor will any fee be cha for periods of less than one-half spent in connection with a search records. For the purposes of this sect "processing" shall include all time s in generating correspondence relate a request and in making determinat under §§ 2.106 and 2.107.

(b) Prepayment. In the event p ing requests under this part from same requesting party would require payment of fees in excess of $10, s records will not be made available, copies of such records furnished un the requesting party first submits ment in the total amount due; or, if ascertainable, in the approxim amount that would become due u compliance with the request, as de mined by the Office of Public Affair by the office complying with the requ In the event an advance payment h under shall differ from the amoun the fees actually due, an appropriate justment will be effected at the time copies requested are delivered.

(c) Waiver. The Office of Public Af or the office complying with the req may waive the payment of fees, if s waiver would be in the public intere

PART 3-EMPLOYEE RESPONSIBILITIES AND CONDUCT

Sec.

3.735-101 Adoption of regulations. 3.735-102 Counselor and deputy counselors. 3.735-103 Statements of employment and financial interests.

3.735-104 Disciplinary and other remedial

action.

3.735-105 Gifts, entertainment, and favors. 3.735-106 Outside employment. 3.735-107 Specific provisions of agency regulations governing special Government employees.

AUTHORITY: The provisions of this Part 3 issued under E.O. 11222, 30 F.R. 6469, 3 CFR, 1964-1965 Comp., p. 306; 5 CFR § 735.101 et seq.

SOURCE: The provisions of this Part 3 appear at 36 F.R. 22369, Nov. 25, 1971, unless otherwise noted.

§ 3.735-101 Adoption of regulations.

Pursuant to 5 CFR § 735.104 (f), the Environmental Protection Agency (referred to hereinafter as the Agency) hereby adopts the following sections of Part 735 of Title 5, Code of Federal Regulations: Sections 735.101-735.102, 735.201a, 735.202 (a), (d)-(f), 735.203-735.210, 735-302, 735.303 (a), 735.304, 735.305(a), 75.403 (a)-(c), 735.403a, 735.404-735.411. These adopted sections are modified and supplemented as set forth in this part. § 3.735-102 Counselor and Deputy Counselors.

(a) The Deputy General Counsel shall serve as the Counselor required to be appointed pursuant to 5 CFR § 735.105. The Counselor shall perform the functions described in 5 CFR § 735.105 and those described in § 3.735-103, relating to statements of employment and financial interests.

(b) The Deputy Counselors required to be appointed pursuant to 5 CFR § 735.105 shall be the Assistant Administrators, Deputy Assistant Administrators, Regional Administrators, and other office heads reporting directly to the Administrator or the Deputy Administrator. The Deputy Counselors shall perform the functions described in 5 CFR § 735.105 and those set forth in § 3.735-103, relating to statements of employment and financial interests.

§ 3.735-103 Statements of employment and financial interests.

(a) Employees required to submit statements of employment and financial interests under 5 CFR § 735.403 (a)-(c) shall be advised in writing of that requirement.

(b) Any employee aggrieved by the requirement that he submit a statement of employment and financial interests pursuant to paragraph (a) of this section shall have the opportunity to demand review of such requirement, in accordance with such grievance procedures as may from time to time be established by the Administrator.

(c) Each statement of employment and financial interest required under this part shall be submitted for the review of the Deputy Counselor to whose office the reporting employee is permanently assigned, except that statements of employment and financial interest of employees in the immediate office of the Administrator and those of the Deputy Counselors shall be submitted for the review of the Counselor.

(d) When the review described in paragraph (c) of this section indicates a conflict between the interests of an employee or special Government employee of the Agency and the performance of his services for the Government, the reviewing official shall have the indicated conflict brought to the attention of the employee or special Government employee, grant the employee or special Government employee an opportunity to explain the indicated conflict, and attempt to resolve the indicated conflict. If the indicated conflict cannot be resolved, the reviewing official shall forward a written report on the indicated conflict to the Administrator through the Counselor.

§ 3.735-104 Disciplinary and other remedial action.

An employee or special Government employee of the Agency who violates any of the regulations in this part or adopted under § 3.735-101 may be disciplined. The disciplinary action may be in addition to any penalty prescribed by law for the violation. In addition to or in lieu of disciplinary action, remedial action to end conflicts or appearance of conflicts of interest may include but is not limited to:

(1) Changes in assigned duties; (2) Divestment by the employee or special Government employee of his interest; or

(3) Disqualification for a particular assignment.

§ 3.735-105 Gifts, entertainment, and favors.

The Agency authorizes the exceptions to 5 CFR §735.202(a) set forth in 5 CFR § 735.202(b) (1)-(4).

§ 3.735-106 Outside employment.

An employee of the Agency may engage in outside employment or other outside activity not incompatible with the full and proper discharge of the duties and responsibilities of his Government employment. An employee who engages in outside employment shall report that fact in writing through channels to the appropriate deputy counselor designated by § 3.735-102.

§ 3.735-107 Specific

provisions of agency regulations governing special Government employees.

(a) Special Government employees, as defined in 5 CFR § 735.102(e), of the Agency shall adhere to the standards of conduct applicable to employees as set forth in this part and adopted under § 3.735-101, except for that set forth in 5 CFR § 735.203(b).

(b) Special Government employees of the Agency may teach, lecture, or write in a manner not inconsistent with 5 CFR § 735.203 (c).

(c) Pursuant to 5 CFR § 735.305(b), the Agency authorizes the same exceptions concerning gifts, entertainment, and favors for special Government employees as are authorized for employees by § 3.735-105.

(d) Each special Government employee shall, not later than the time of his employment, submit a statement of employment and financial interests as provided in § 3.735-103, such statement to include:

(1) All other employment; and

(2) The financial interests of the special Government employee which the Counselor shall determine are relevant in the light of the duties to be performed by such special Government employee.