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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)



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." 8 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)

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

8 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

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 Of. ficial 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 83.600 Applicability.

The conflict of interest statutes and these regulations apply to special Government employees during their entire period of EPA service, from the date of the oath of office to the date of termination.

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 air. ports) furnished in connection with of. ficial 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.

8 3.601 Standards of conduct.

The following standards of conduct apply to special Government employees:

(a) Use of Government employment. Special Government employees may not use Government employment for a purpose that is, or gives the appearance of being, motivated by private gain for themselves or others.

(b) Use of inside information. Special Government employees may not use inside information obtained as a result of Government employment for private gain. “Inside information" means information obtained as result of Government employment which has not been made available to the general public.

(c) Avoiding coercion. Special Government employees may not use Government employment to coerce anyone to provide a financial benefit to themselves or others.

(d) Gifts, entertainment or favors. Except as provided below, special Government employees must not solicit or receive any gift, gratuity, entertainment (including meals), favor, loan or other thing of value, for themselves or others, from persons or organizations


$ 3.602 Statements of employment and fi

nancial 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

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. 8 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)

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 Govparticipated “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

employees. is unlikely to affect special Government 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, prof. making matters as well as to contracts, its, losses or expenditures of any grants and adjudications. However, it person, business entity or association.

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Sec. 4.1 Purpose. 4.2 Definitions. 4.3 No duplication of payments. 4.4 Assurances, monitoring and corrective

action. 4.5 Manner of notices. 4.6 Administration of jointly-funded

projects. 4.7 Federal agency waiver of regulations. 4.8 Compliance with other laws and regula

tions. 4.9 Recordkeeping and reports. 4.10 Appeals.

4.501 Applicability. 4.502 Moving and related expenses-mobile

homes. 4.503 Replacement housing payment for

180-day mobile homeowner-occupants. 4.504 Replacement housing payments for

90-day mobile home occupants. 4.505 Additional rules governing relocation

payment to mobile home occupants.

Subpart B-Real Property Acquisition 4.101 Applicability of acquisition require

ments. 4.102 Basic acquisition policies. 4.103 Criteria for appraisals. 4.104 Review of appraisals. 4.105 Acquisition of tenant-owned improve

ments. 4.106 Expenses incidental to transfer of

title to the agency. 4.107 Certain litigation expenses. 4.108 Donations.

Subpart G-Last Resort Housing 4.601 Applicablity. 4.602 Methods of providing replacement


AUTHORITY: Sec. 213, Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, Pub. L. 91-646, 84 Stat. 1894 (42 U.S.C. 4601).

SOURCE: 51 FR 7016, Feb. 27, 1986, unless otherwise noted.

EFFECTIVE DATE NOTE: At 52 FR 48023, Dec. 17, 1987, Part 4 was revised, effective April 2, 1989. For the convenience of the user, the revised text of this part, effective in 1989, follows the text of Part 4 currently in effect.

Subpart C-General Relocation Requirements 4.201 Purpose. 4.202 Applicability. 4.203 Relocation notices. 4.204 Availability of comparable replace

ment dwelling before displacement. 4.205 Relocation assistance advisory serv

ices. 4.206 Eviction for cause. 4.207 General requirements-claims for re

location payments. 4.208 Relocation payments not considered

as income.

Subpart A-General

Subpart D-Payment for Moving and Related

Expenses 4.301 Payment for actual reasonable

moving and related expenses-residen

tial moves. 4.302 Fixed payment for moving

expenses-residential moves.

8 4.1 Purpose.

The purpose of these regulations is to promulgate rules to implement the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (42 U.S.C. 4601 et seq.), in accordance with the following objectives:

(a) To ensure that owners of real property to be acquired for Federal and federally-assisted projects are treated fairly and consistently, to encourage and expedite acquisition by

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