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ssert a claim when initially submiting a petition shall not constitute a vaiver of any claim the petitioner may iave.
(e) Initial action by EPA office. Secion 2.204 applies to information to vhich this section applies, except hat(1) Unless the EPA office has on file
written waiver of a petitioner's laim, a petitioner shall be regarded as in affected business, a petition shall re treated as if it were covered by a >usiness confidentiality claim, and an CPA office acting under $ 2.204(d) hall determine that the information n the petition is or may be entitled to onfidential treatment and shall take Lction in accordance with $ 2.204(d)(1);
(2) In addition to other required prorisions of any notice furnished to a peitioner under $ 2.204(e), such notice shall state that,
(i) Section 408(f) of the Act, 21 U.S.C. 346a(f), affords absolute confi. dentiality to information to which this section applies, but after publication by EPA of a regulation establishing a tolerance (or exempting the pesticide chemical from the necessity of a toler. ance) neither the Act nor this section affords any protection to the information;
(ii) Information submitted in support of a petition which is also incorporated into a submission in order to satisfy a requirement or condition of the Federal Insecticide, Fungicide and Rodenticide Act, as amended, 7 U.S.C. 136 et seq., is regarded by EPA as being governed, with respect to business confidentiality, by $ 2.307 rather than by this section;
(iii) Although it appears that this section may apply to the information at this time, EPA is presently engaged in determining whether for any reason the information is entitled to confidential treatment or will be entitled to such treatment if and when this section no longer applies to the information; and
(iv) Information determined by EPA to be covered by this section will not be disclosed for as long as this section continues to apply, but will be made available to the public thereafter (subject to $ 2.210) unless the business fur
nishes timely comments in response to the notice.
(f) Final confidentiality determination by EPA legal office. Section 2.205 applies to information to which this section applies, except that
(1) Notwithstanding $ 2.205(i), the General counsel or his designee, rather than the Regional counsel, shall in all cases make the determinations and take the actions required by $ 2.205;
(2) In addition to the circumstances mentioned in $ 2.205(f)(1), notice in the form prescribed by $ 2.205(f)(2) shall be furnished to each affected business whenever information is found to be entitled to confidential treatment under section 408(f) of the Act but not otherwise entitled to confidential treatment. With respect to such cases, the following sentences shall be substituted for the third sentence of $ 2.205(f)(2): “With respect to EPA's implementation of the determination, the notice shall state that (subject to $ 2.210) EPA will make the information available to the public on the thirty-first (31st) calendar day after the business's receipt of the written notice (or on such later date as is established in lieu thereof under paragraph (f)(3) of this section), unless the EPA legal office has first been notified of the business's commencement of an action in a Federal court to obtain judicial review of the determination and to obtain preliminary injunctive relief against disclosure; provided, that the information will not be made available to the public for so long as it is entitled to confidential treatment under section 408(f) of the Federal Food, Drug and Cosmetic Act, 21 U.S.C. 346a(f)."; and
(3) Notwithstanding $ 2.205(g), the 31 calendar day period prescribed by § 2.205(f)(2), as modified by paragraph (f)(2) of this section, shall not be shortened without the consent of the business.
(h) Substantive criteria for use in confidentiality determinations. Section 2.208 does not apply to information to which this section applies. Such information shall be determined to be entitled to confidential treat(c) Basic rules which apply without change. Sections 2.201 through 2.207 and S$ 2.209 through 2.215 apply without change to information to which this section applies.
(d) Substantive criteria for use in confidentiality determinations. Section 2.208 does not apply to information to which this section applies. Pur. suant to section 104(f) of the Act, 33 U.S.C. 1414(f), no information to which this section applies is eligible for confidential treatment. (41 FR 36902, Sept. 1, 1976, as amended at 43 FR 40005, Sept. 8, 1978)
PART 3-EMPLOYEE RESPONSIBILITIES AND CONDUCT
ment for so long as this section contin ues to apply to it.
(i) Disclosure in special circumstances. (1) Section 2.209 applies to information to which this section applies. In addition, under Section 408(f) of the Act, 21 U.S.C. 346a(f), EPA is authorized to disclose the information to other persons. Such authority under section 408(f) of the Act may be exercised only in accordance with paragraph (i)(2) or (i)(3) of this section.
(2) Information to which this section applies may be disclosed (notwithstanding the fact that it otherwise might be entitled to confidential treatment under this subpart) to a person under contract to EPA to perform work for EPA in connection with the Act, with the Federal Insecticide, Fungicide, and Rodenticide Act, as amended, or regulations which implement either such Act, if the EPA program office managing the contract first determines in writing that such disclosure is necessary in order that the contractor may carry out the work required by the contract. Any such disclosure to a contractor shall be made only in accordance with the procedures and requirements of $ 2.301(h)(2) (ii) through (iv).
(3) Information to which this section applies may be disclosed by EPA to an advisory committee in accordance with section 408(d) of the Act, 21 U.S.C. 346a(d). (41 FR 36902, Sept. 1, 1976, as amended at 43 FR 40005, Sept. 8, 1978)
Subpart A-General Provisions
Sec. 3.100 Purpose. 3.101 Coverage. 3.102 Definitions. 3.103 Ethical standards of conduct for em
ployees. 3.104 Other general standards of conduct. 3.105 Statutes relating to employee con
duct. APPENDIX A-CONFLICT OF INTEREST STAT
UTES (SEE $$ 3.105 AND 3.606) APPENDIX B-MISCELLANEOUS STATUTES (SEE
$$ 3.105 AND 3.607) APPENDIX C-PROCEDURES FOR ADMINISTRA
TIVE ENFORCEMENT OF POST-EMPLOYMENT
Subpart B-Advisory Service and Enforcement 3.200 Purpose. 3.201 Use of advisory service. 3.202 Designation of counselors and state
ment of functions. 3.203 Review, enforcement, reporting, and
Subpart C-Financial Interests and Investments
8 2.309 Special rules governing certain in
formation obtained under the Marine Protection, Research and Sanctuaries
Act of 1972. (a) Definitions. For the purposes of this section:
(1) "Act" means the Marine Protection, Research and Sanctuaries Act of 1972, 33 U.S.C. 1401 et seq.
(2) “Permit” means any permit applied for or granted under the Act.
(3) “Application" means an application for a permit.
(b) Applicability. This section applies to all information provided to or obtained by EPA as a part of any application or in connection with any permit.
3.300 Purpose. 3.301 General. 3.302 Statutory prohibitions against acts
affecting a personal financial interest. 3.303 Waiver of statutory prohibition. 3.304 Confidential statements of employ.
ment and financial interests. 3.305 Special requirements under the
Clean Air Act.
MENTS OF EMPLOYMENT AND FINANCIAL IN-
Subpart A-General Provisions
APPENDIX B-POSITIONS WHOSE INCUMBENTS
MUST FILE CONFIDENTIAL STATEMENTS OF
EMPLOYMENT AND FINANCIAL INTERESTS APPENDIX C-CATEGORIES OF FINANCIAL IN
TERESTS EXEMPTED FROM THE PROHIBI-
AND 3.606 (d)(2)(ii))
CIAL REQUIREMENTS UNDER THE CLEAN
$ 3.100 Purpose.
The regulations prescribed in this part set forth the high ethical standards of conduct required of each Environmental Protection Agency (hereinafter "EPA”) employee, including both regular and special Government employees as they are covered by these regulations, in carrying out their duties and responsibilities.
Subpart D-Acceptance of Gifts, Gratuities, or
Sec. 3.400 Purpose. 3.401 Policy. 3.402 Statutory prohibitions.
Subpart E-Outside Employment
3.500 Purpose. 3.501 Definition. 3.502 Policy. 3.503 Guidelines and limitations. 3.504 Distinction between official and non
official activities. 3.505 Compensation, honorariums, travel
expenses. 3.506 Special conditions applicable to
teaching, lecturing and speechmaking. 3.507 Special conditions applicable to writ
ing and editing. 3.508 Special conditions applicable to pub
lishing. 3.509 Administrative approval. 3.510 Related statutory provisions. APPENDIX A-PROCEDURES FOR PERMISSION TO
ENGAGE IN OUTSIDE EMPLOYMENT OR OTHER
$ 3.101 Coverage.
(a) The provisions of Subparts A, B, C, D, and E of this part apply to all regular employees of EPA including Public Health Service commissioned officers assigned to EPA, employees detailed to EPA from other agencies, and other employees working for EPA through special arrangements except for special Government employees as defined in $ 3.102(c).
(b) The provisions of Subpart F of this part are applicable only to special Government employees as defined in $ 3.102(c).
Subpart F-Standards of Conduct for Special
Government Employees 3.600 Purpose. 3.601 Applicability. 3.602 Standards of ethical conduct. 3.603 Statement of employment and finan
cial interests for special Government
employees. 3.604 Advisory service. 3.605 Review, enforcement, reporting, and
investigation. 3.606 Application of conflict-of-interest
statutes. 3.607 Other statutes.
AUTHORITY: Executive Order 11222, 30 FR 6460, 3 CFR, 1964-1965 Comp., p. 306: 5 CFR 735.101 et seq., unless otherwise noted.
SOURCE: 38 FR 9556, April 17, 1973, unless otherwise noted.
8 3.102 Definitions.
(a) “Agency” means the Environmental Protection Agency.
(b) "Employee" means any officer or employee of the Environmental Protection Agency other than a special Government employee.
(c) "Special Government employee" as defined under section 202 of Title 18, United States Code, means an offi. cer or employee of the Environmental Protection Agency who is retained, designated, appointed, or employed to perform with or without compensation, temporary duties either on a fulltime or intermittent basis, for not to exceed 130 days during any period of 365 consecutive days.
(d) “Former employee" means a former Environmental Protection Agency employee or former special Government employee as defined under paragraph (c) of this section.
(e) “He" or "his" means persons of either sex, as appropriate. (38 FR 9556, Apr. 17, 1973, as amended at 42 FR 6809, Feb. 4, 1977)
8 3.103 Ethical standards of conduct for (6) Affecting adversely the confiemployees.
dence of the public in the integrity of
the Government. Each employee shall refrain from any use of his official position which is
83.104 Other general standards of conmotivated by, or has the appearance
duct. of being motivated by, the desire for private gain for himself or other per (a) Use of Government property. An sons. He shall conduct himself in such employee shall not directly or indirecta manner that there is not the slight- ly use, or allow the use of, Governest suggestion of the extracting of pri- ment property of any kind, including vate advantage from his Government property leased to the Government, employment. Pursuant to this policy, for other than officially approved aceach employee will observe the follow tivities. An employee has a positive ing standards of conduct:
duty to protect and conserve Govern(a) He shall not as a result of, or on ment property, including equipment, the basis of, any information derived supplies, and other property entrusted from his official position or from the or issued to him. official position of other employees (b) Indebtedness. The indebtedness with them whom he associates, of EPA employees is considered to be engage, directly or indirectly, in any essentially a matter of their own conbusiness transaction or arrangement, cern. EPA shall not be placed in the including the buying or selling of secu- position of acting as a collection rities or recommending the purchase agency or of determining the validity or sale of securities to other persons. or amount of contested debts. Employ.
(b) He shall exercise care in his per- ees are expected, however, to honor in sonal financial activities to avoid any a proper and timely manner all just fiappearance of acting on the basis of nancial obligations, especially those information obtained in the course of imposed by law such as Federal, State, performing his Government duties. or local taxes. For purposes of this sec
(c) If he acquires information in the tion a "just financial obligation" course of performing his Government means one acknowledged by the emduties that is not generally available ployee or reduced to judgment by a to those outside the Government, he court, and “in a proper and timely shall not use this information to fur manner" means in a manner which ther a private interest or for the spe- the agency determines does not, under cial benefit of a business or other the circumstances, reflect adversely on entity in which he has a financial or the Government as his employer. other interest.
(c) Gambling, betting, and lotteries. (d) He shall not use his Government While on Government-owned or leased position in anyway to coerce, or give property, or while on duty for the the appearance of coercing, another Government, employees shall not parperson to provide any financial benefit ticipate in any gambling activity, into him or to other persons.
cluding the operation of a gambling (e) He shall avoid any action, wheth- device, in conducting a lottery or pool, er or not specifically prohibited by law in participating in a game for money or regulation (including the provisions or property, or in selling or purchasing of this part), which might result in, or a numbers slip or ticket. Participation create the appearance of:
in federally sponsored fund-raising ac(1) Using his public office for private tivities conducted under section 3 of gain;
Executive Order No. 10927 of March (2) Giving preferential treatment to 18, 1961, or in similar EPA-approved any organization or person;
activities, is not precluded. (3) Impeding Government efficiency (d) General conduct prejudicial to or economy;
the Government. Employees shall not (4) Losing his independence or im engage in criminal, infamous, dishonpartiality of action;
est, immoral, or disgraceful conduct, (5) Making a Government decision or any other conduct prejudicial to outside official channels; or
Government at any time within a period of 1 year prior to the termination of such responsibility.
(3) No partner of an employee shall act as agent or attorney for anyone other than the United States in connection with any matter enumerated and described in paragraph (f)(1) of this section in which such Government employee is participating or has participated personally and substantially as a Government employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation or otherwise, or which is the subject of his official responsibility.
(e) Statutory prohibitions relating to gifts and decorations. (1) An employee shall not solicit a contribution from another employee for a gift to an official superior, make a donation as a gift to an official superior, or accept a gift presented as a contribution from an employee receiving less salary than himself (5 U.S.C. 7351). This includes service, merchandise, loan, or other thing of value. However, this para graph (e) does not prohibit a voluntary gift of nominal value or a donation in a nominal amount made on a special occasion such as marriage, ill. ness or death, or retirement.
(2) An employee shall not accept a gift, present, decoration, or other thing from a foreign government unless authorized by Congress as provided by the Constitution and section 7342 of Title 5, United States Code.
(3) Subpart D of this part contains further information regarding acceptance of gifts, gratuities, or entertain ment.
(f) Disqualification of former employees in matters connected with former duties or official responsibil. ities and disqualification of partners. (1) No individual who has been an employee shall, after his employment has ceased, knowingly act as agent or attorney for anyone other than the United States, in connection with any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy charge, accusation, or other particular matter involving a specific party, or parties in which the United States is a party or has a direct or substantial interest and in which he participated personally and substantially as an employee, through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, while so employed.
(2) No individual who has been an employee shall, within 1 year after his employment has ceased, appear per sonally before any court or department or agency of the Government as agent, or attorney for anyone other than the United States in connection with any matter enumerated and described in paragraph (f)(1) of this section which was under his official responsibility as an employee of the
83.105 Statutes relating to employee con
duct. Each employee should be aware of the statutory provisions that relate to his ethical and other conduct. Appendix A of this subpart provides the full text of the "conflict of interest" statutes. Appendix B to this subpart cites other statutory provisions which are particularly relevant to employee conduct. These statutes are available for review in the EPA Office of General Counsel.
APPENDIX A-CONFLICT OF INTEREST
(SEE $$ 3.105 AND 3.606) 18 U.S.C. 203
Compensation to Members of Congress, officers, and others in matters affecting the Government.
(a) Whoever, otherwise than as provided by law for the proper discharge of official duties, directly or indirectly receives or agrees to receive, or asks, demands, solicits, or seeks, any compensation for services rendered or to be rendered either by himself or another
(1) At a time when he is a Member of Congress, Member of Congress-elect, Resident Commissioner, or Resident Commissionerelect; or
(2) At a time when he is an officer or employee of the United States in the executive, legislative, or judicial branch of the Government, or in any agency of the United States including the District of Columbia-in relation to any proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter in which