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.

§ 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.

Subpart G-Last Resort Housing

4.601 Applicablity.

4.602 Methods of providing replacement housing.

APPENDIX A-ADDITIONAL INFORMATION
APPENDIX B-STATISTICAL REPORT FORM

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 A-General

§ 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

agreements with such owners, to minimize litigation and relieve congestion in the courts, and to promote public confidence in Federal and federally-assisted land acquisition programs; and

(b) To ensure that persons displaced as a result of Federal or federally-assisted projects are treated fairly, consistently, and equitably so that such persons will not suffer disproportionate injuries as a result of projects designed for the benefit of the public as a whole.

§ 4.2 Definitions.

(a) Agency. The term "Agency" means the Federal agency, State or State agency which acquires the real property or displaces a person (see § 4.2(f)).

(b) Business. The term "business" means any lawful activity, except a farm operation, that is conducted:

(1) Primarily for the purchase, sale, lease, and/or rental of personal and/ or real property, and/or for the manufacture, processing, and/or marketing of products, commodities, and/or any other personal property; or

(2) Primarily for the sale of services to the public; or

(3) Solely for the purpose of § 4.303 of these regulations, conducted primarily for outdoor advertising display purposes, when the display must be moved as a result of the project; or

(4) By a nonprofit organization that has established its nonprofit status under applicable Federal or State law.

(c) Comparable replacement dwelling. The term "comparable replacement dwelling" means a dwelling which is:

(1) Decent, safe, and sanitary as described in § 4.2(e).

(2) Functionally similar to the displacement dwelling with particular attention to the number of rooms and living space. (See Appendix A.)

(3) In an area that is not subject to unreasonable adverse environmental conditions, is not generally less desirable than the location of the displaced person's dwelling with respect to public utilities and commercial and public facilities, and is reasonably accessible to the person's place of employment.

(4) On a site that is typical in size for residential development with normal site improvements, including customary landscaping. The site need not include special improvements such as outbuildings, swimming pools, or greenhouses. (See also § 4.403(a) (2).)

(5) Currently available to the displaced person on the private market. However, a comparable replacement dwelling for a person receiving government housing assistance before displacement may reflect similar government housing assistance. (See Appendix A.)

(6) Within the financial means of the displaced person.

(i) A replacement dwelling purchased by a homeowner in occupancy for at least 180 days prior to initiation of negotiations (180-day homeowner) is considered to be within the homeowner's financial means if the homeowner is paid the full price differential as described at § 4.401(c), all increased mortgage interest costs as described at §4.401(d) (for last resort housing see Appendix A, § 4.602) and all incidental expenses as described at § 4.401(e).

(ii) A replacement dwelling rented by a displaced person is considered to be within his or her financial means if the monthly rent at the replacement dwelling does not exeed the monthly rent at the displacement dwelling, after taking into account any rental assistance which the person receives under these regulations. If the cost of any utility service is included in either rent, an appropriate adjustment must be made if necessary to ensure that like circumstances are compared. For a person who paid little or no rent before displacement, the market rent of the displacement, the market rent of the displacement dwelling may be used when computing costs (see Appendix A, § 4.402(b) (1)).

(iii) Whenever a $15,000 replacement housing payment under § 4.401 or a $4,000 replacement housing payment under § 4.402 would be insufficient to ensure that a comparable replacement dwelling is available on a timely basis to a person, the Agency shall provide additional or alternative assistance under the last resort housing provisions at Subpart G, which may include increasing the replacement housing

payment so that a replacement dwelling is within the displaced person's financial means.

(d) Contribute materially. The term "contribute materially" means that during the 2 taxable years prior to the taxable year in which displacement occurs, or during such other period as the Agency determines to be more equitable, a business or farm operation:

(1) Had average annual gross receipts of at least $5,000; or

(2) Had average annual net earnings of at least $1,000; or

(3) Contributed at least 33% percent of the owner's or operator's average annual gross income from all sources.

(4) If the application of the above criteria creates an inequity or hardship in any given case, the Agency may approve the use of other criteria as determined appropriate.

(e) Decent, safe, and sanitary dwelling. The term "decent, safe, and sanitary dwelling" means a dwelling which meets applicable housing and occupancy codes. However, any of the following standards which are not met by an applicable code shall apply, unless waived for good cause by the Federal agency funding the project. The dwelling shall:

(1) Be structurally sound, weathertight, and in good repair.

(2) Contain a safe electrical wiring system adequate for lighting and other electrical devices.

(3) Contain a heating system capable of sustaining a healthful temperature (of approximately 70 degrees) for a displaced person, except in those areas where local climatic conditions do not require such a system.

(4) Be adequate in size with respect to the number of rooms and area of living space needed to accommodate the displaced person. There shall be a separate, well-lighted and ventilated bathroom that provides privacy to the user and contains a sink, bathtub or shower stall, and a toilet, all in good working order and properly connected to appropriate sources of water and to a sewage drainage system. In the case of a housekeeping dwelling, there shall be a kitchen area that contains a fully usable sink, properly connected to potable hot and cold water and to a sewage drainage system, and adequate

space and utility service connections for a stove and refrigerator.

(5) Contains unobstructed egress to safe, open space at ground level. If the replacement dwelling unit is on the second story or above, with access directly from or through a common corridor, the common corridor must have at least two means of egress.

(6) For a displaced person who is handicapped, be free of any barriers which would preclude reasonable ingress, egress, or use of the dwelling by such displaced person.

(f) Displaced person.

(1) General. The term "displaced person" means any person (defined at § 4.2(m)) who moves from the real property or moves his or her personal property from the real property:

(i) As a direct result of the Agency's acquisition of such real property in whole or in part for a project. This includes any person who moved from the real property as a result of the initiation of negotiations as described at § 4.2(k); or

(ii) As a result of a written order from the acquiring Agency to vacate such real property for the project; or

(iii) As a result of the Agency's acquisition of, or written order to vacate, for a project, other real property on which the person conducts a business or farm operation. Eligibility as a displaced person under this subparagraph applies only for purposes of obtaining relocation assistance advisory services under § 4.205 and moving expenses under § 4.301, § 4.302, or § 4.303.

(2) Persons not displaced. The following is a nonexclusive listing of persons who do not qualify as a displaced person under these regulations.

(i) A person who moves before the initiation of negotiations (see also § 4.403(e)); or

(ii) A person who initially enters into occupancy of the property after the date of its acquisition for the project;

or

(iii) A person who is not required to relocate permanently as a direct result of a project. Such determination shall be made by the Agency in accordance with any guidelines established by the Federal agency funding the project (see also Appendix A); or