Director, Process and Effects Division. sion. Director, Environmental Studies Division. OFFICE OF MONITORING Deputy Assistant Administrator for Monitoring. Director, Planning and Review Division. Director, Quality Assurance Division. Director, Advanced Techniques Division. OFFICE OF PROGRAM OPERATIONS Deputy Assistant Administrator for Program Operations. Director, Program Management Division. Director, Laboratory Operations Division. Director, Research Information Division. NATIONAL ENVIRONMENTAL RESEARCH CENTER, CINCINNATI, OHIO Director, NERC, Cincinnati. Deputy Director, NERC, Cincinnati. Director of Administration. Director of Program Coordination. Safety Officer. Chief, Personnel Operations. Chief, Facilities Staff. Chief, Administrative Services. Chief, Computer Operations. Supervisor, Contract Operations. Laboratory Directors. Laboratory Deputy Directors. Laboratory Management Officers. NATIONAL ENVIRONMENTAL RESEARCH CENTER, RESEARCH TRIANGLE PARK, N.C. Director, NERC, RTP. Deputy Director, NERC, RTP. Director, Program Coordination. Laboratory Directors. Laboratory Deputy Directors. Laboratory Management Officers. NATIONAL ENVIRONMENTAL RESEARCH CENTER, LAS VEGAS, NEV. Director, NERC, Las Vegas. Deputy Director, NERC, Las Vegas. Director of Program Coordination. Chief, Radiological Research Program. NATIONAL ENVIRONMENTAL RESEARCH CENTER, CORVALLIS, OREG. Director, NERC, Corvallis. Director of Program Coordination. Laboratory Directors. Laboratory Deputy Directors. APPENDIX C-CATEGORIES OF FINANCIAL INTERESTS EXEMPTED FROM THE PROHIBITION OF 18 U.S.C. 208(a) (SEE §§ 3.303(b) AND 3.606(d)(2)(ii)) 1. Under the authority of section 208(b) (2) of Title 18, United States Code, it has been determined that the financial interests set forth in paragraphs (a) through (e) of this paragraph are too remote or inconsequential to affect the integrity of the services of an employee or special Government employee in any matter in which he may act in his governmental capacity. This exemption applies whether such financial interests are held outright or in trust for the benefit of the employee, including a special Government employee, his spouse or minor child. Accordingly, interests listed in paragraphs (a) through (e) of this paragraph need not be included in statements of outside employment and financial interests filed pursuant to § 3.301(b). (a) Bonds other than corporate bonds. (b) Mutual fund shares. (c) Insurance policies. (d) Cash, savings accounts, certificates of deposits, and shares in Federal credit unions. (e) Ownership of real property used as the personal residence of a reporting employee. 2. When an employee, including a special Government employee, his spouse, or minor child is the beneficiary of a trust, the terms of which direct the trustee to manage the trust corpus in his sole discretion and not to disclose to the beneficiary the dealings and holdings of such trust, the Agency Counselor or a Deputy Counselor may determine that such trust provisions are adequate protection against real or apparent conflicts of interest and may grant an exemption from the prohibitions of section 208(a) of Title 18. United States Code. An exemption granted under this paragraph will not obviate the necessity of filing a statement of financial interests with respect to the assets held in such trust, unless such assets are not required to be reported by virtue of paragraphs (a) through (e) of paragraph 1. 3. If an employee, including a special Government employee, has continued to participate in a bona fide pension, retirement, group life, health, or accident insurance plan, or other employee welfare or benefit plan that is maintained by a business or nonprofit organization of which he is a former employee, his financial interest in that organization will be exempt, except to the extent that the welfare or benefit plan is a profit-sharing or stock-bonus plan. This exemption extends also to any financial interests that the organization may have in other business activities. (1) All special government employees. (2) Under the Office of the Administrator: All employees except the Administrator, Deputy Administrator, General Counsel, Deputy General Counsel, Associate General Counsel for Air, Noise and Radiation and Director of the Science Advisory Board. (3) Under the Office of Planning and Management: All employees except the Assistant Administrator for Planning and Management, Associate Assistant Administrator for Planning and Management, Deputy Assistant Administrator for Planning and Evaluation and the Director of the Standards and Regulations Evaluation Division. (4) Under the Office of Enforcement: All employees except the Assistant Administrator for Enforcement, Deputy Assistant Administrator for General Enforcement, Director of the Stationary Source Enforcement Division and Director of the Mobile Source Enforcement Division. (5) Under the Office of Air, Noise and Radiation: All employees except the Assistant Administrator for Air, Noise and Radiation, Director of the Office of Policy Analysis, Di rector of the Office of Transportation and Land Use Policy, Deputy Assistant Administrator for Air Quality Planning and Standards and Division Directors reporting to this official, and the Deputy Assistant Administrator for Mobile Source Air Pollution Control and Division Directors reporting to this official. (6) All other employees. (5 U.S.C. 301) [46 FR 5965, Jan. 21, 1981] Subpart D-Acceptance of Gifts, Gratuities, or Entertainment § 3.400 Purpose. This subpart establishes EPA policy with respect to the acceptance of gifts, gratuities, entertainment (including meals), favors, loans, or any other thing of monetary value by EPA employees. § 3.401 Policy. (a) It is EPA policy not to interfere in the private lives of employees and their families. However, certain conduct involving acceptance of gifts, gratuities, entertainment (including meals), favors, loans, or any other thing of monetary value which does not fall within any specific statutory prohibition must be regulated in view of the nature of the official duties of the employee and the special responsibilities that are assumed by a person who accepts Federal employment. (b) Except as provided in paragraph (d) of this section, and in § 3.104(e) the direct or indirect solicitation or acceptance by an employee, his spouse, or minor child of any gift, gratuity, entertainment (including meals), favors, loan, or any other thing of monetary value from any person, corporation, or group is forbidden if the employee has reason to believe that the person, corporation, or group: (1) Has or is seeking to obtain contractual or other business or financial relationships with EPA; or (2) Has interests which may be substantially affected by such employee's performance or nonperformance of his official duty; or (3) Is in any way attempting to affect the employee's official action; or (4) Conducts operations or activities that are regulated by EPA. (c) There are certain exceptions to the foregoing general rule which are set forth in paragraph (d) of this section. The application of these exceptions requires the exercise of good judgment and commonsense by employees. In determining whether one or more of the exceptions apply, employees shall be guided by the principle that situations have an appearance which might, whether justifiably or not, bring discredit to the Government or to EPA shall be avoided. If an employee finds that his acceptance of a meal, or of refreshments or entertainment pursuant to one of the exceptions under paragraph (d) of this section occurs other than infrequently, he should carefully reexamine the provisions of this subpart and consult with the appropriate Agency Counselor or Deputy Counselor in accordance with Subpart B of this part. Each employee shall govern his conduct in light of this subpart, so that he shall have no difficulty, in justifying his actions if required to do so. (d) The following are exceptions to the general rule set forth in paragraph (b) of this section: (1) Acceptance of food and refreshments of nominal value on infrequent occasions in the ordinary course of a luncheon or dinner meeting or other meeting or on an inspection tour where the arrangements are consistent with the transaction of official business. (2) Acceptance of modest entertainment, such as a meal or refreshment, in connection with attendance at widely attended gatherings sponsored by industrial, technical, or professional organizations; or in connection with attendance at public ceremonies or similar activities financed by nongovernmental sources where the employee's participation on behalf of EPA is the result of an invitation addressed to him in his official capacity and is approved as a part of his official duties, and the entertainment accepted is related to, and in keeping with, his official participation. (3) Acceptance of gifts, favors, or entertainment, where there is an obvious family or personal relationship be tween the employee, or between his spouse, children or parents, and the donor, and where the circumstances make it clear that it is that relationship, rather than the business of the persons concerned, which is the motivating factor for the gift, favor, or entertainment. (4) Purchase of articles at advantageous rates where such rates are offered to Government employees as a class. (5) Acceptance of loans from banks or other financial institutions of customary terms to finance proper and usual activities of employees, such as home mortgage loans. (6) Acceptance of unsolicited advertising or promotional material, such as pens, pencils, note pads, calendars, or other items of nominal value. (7) Acceptance of incidental transportation in kind from a private organization, provided it is furnished in connection with the performance of the employee's official duties and is of a type customarily provided by the (For private organization. further guidance concerning the acceptance of travel and related expenses, see § 3.505.) (e) A gift or gratuity the receipt of which is prohibited under this subpart shall be returned to the donor. If return is not possible, the gift or gratuity shall be turned over to a public or charitable institution and a report of such action, and the reasons why return was not feasible shall be made to the employee's supervisor. When possible, the donor also shall be informed of this action. § 3.402 Statutory prohibitions. The prohibitions set forth in this subpart are to be construed as being in addition to and not in limitation of: (a) The prohibitions of section 201 of Title 18, United States Code, as amended, relating to the corrupt solicitation or receipt of, or arrangement to receive, anything of value in connection with an employee's performance of his official duty; and (b) The prohibitions of section 203 of Title 18, United States Code, as amended, relating to the unlawful solicitation or recipt of, or agreement to or (a) Employees are permitted to engage in outside employment other outside activity that is compatible with the ful: and proper discharge of the duties and responsibilities of their Government employment. Guidelines for determining compatibility are set forth in § 3.503. (b) Employees are encouraged to participate as private citizens in the affairs of their communities: Provided, That the limitations prescribed below, and otherwise by these regulations, are observed. Among these activities may be the following: (1) Speaking, writing, editing, and teaching. (2) Participation in the affairs of charitable, religious, professional, social, fraternal, nonprofit educational and recreational, public service, or civic organizations, and the acceptance of an award for a meritorious public contribution or achievement from any such organization. (3) Participation in the activities of national, State, and local political parties not prescribed by law. In this connection employees should be particularly aware of the restrictions imposed on their activities by the "Hatch Act" (5 U.S.C. 7324-7327) and should consult whenever necessary with the appropriate Counselor or Deputy Counselor, as described in Subpart B of this part, regarding the particularities of that act. §3.503 Guidelines and limitations. Outside employment or other outside activity is incompatible with the full and proper discharge of an employee's duties and responsibilities, and hence is prohibited, if: (a) It would involve the violation of a Federal or State statute, a local ordinance, Executive order, or regulation to which the employee is subject. (b) It would give rise to a real or apparent conflict of interest situation even though no violation of a specific statutory provision was involved. (c) It would involve acceptance of a fee, compensation, gift, payment of expense, or any other thing of monetary value in circumstances in which acceptance might result in, or create the appearance of, a conflict of interest. (d) It might bring discredit upon, or reasonably cause unfavorable criticism of, the Government or EPA or lead to relationships which might impair public confidence in the integrity of the Government or EPA. (e) It would involve work with any contractor or subcontractor which is connected with any work being performed by that entity for EPA or would otherwise involve work for any person or organization which may be in a position to gain advantage in its dealings with the Government through the employee's exercise of his official duties. (f) It would identify EPA or the employee officially with any organization manufacturing, distributing, or advertising a product relating to work conducted by EPA, or would create the false impression that it is an official action of EPA, or represents an official point of view. In any permissible outside employment, care shall be taken to ensure that names and titles of employees are not used to give the impression that the activity or product is officially endorsed or approved by EPA or is part of EPA activities. (g) It would involve use of the employee's time during his official working hours. (h) It would involve use by the employee of official facilities, e.g., office space, office machines or supplies, or the services of other employees during duty hours. (i) It would be of such extent or nature as to interfere with the efficient performance of the employee's Government duties, or impair his mental or physical capacity to perform them in an acceptable manner. (j) It would involve use of information obtained as a result of Government employment which is not freely available to the general public in that it either has not been made available to the general public or would not be made available on request. However, written authorization for the use of any such information may be given when the Administrator determines that such use would be in the public interest. § 3.504 Distinction between official and nonofficial activities. In applying the provisions of this subpart, particularly with regard to writing, speaking, or editing activities, employees shall distinguish between official and nonofficial activities. In connection with writing, speaking, or editing, an activity shall normally be considered official if: (a) It is the result of a request addressed to EPA to furnish a speaker, author, or editor or of an invitation addressed to an employee of EPA to perform these activities in his official capacity, rather than as a private individual; or (b) The activity is performed in conjunction with attendance at a meeting approved under the authority of section 4111 of Title 5, United States Code. The fact that an activity was prepared for outside of duty hours or was performed after normal duty hours is not determinative of whether it is official or nonofficial. outside activity which is nonofficial in character unless otherwise prohibited by this subpart. (b) (1) Except as provided in paragraph (b)(2) of this section, travel expenses shall be borne by the Government when official employment activities of employees are involved, including attendance at meetings of nongovernmental organizations. Conversely, when nonofficial outside employment activities are involved, appropriated funds shall not be utilized for travel or subsistence. (2) Contributions and awards incident to training in non-Government facilities and travel, subsistence, and other expenses incident to attendance at meetings may be accepted by employees, provided these contributions, awards, and payments are made by nonprofit organizations under section 4111 of Title 5, United States Code, and that the employee has obtained specific written authorization accept the contribution or award. to § 3.506 Special conditions applicable to teaching, lecturing and speechmaking. (a) Subject to the limitations set forth in § 3.503, employees are encouraged to engage in teaching, lecturing, and speechmaking activities which are no part of their official duties provided that: (1) Such activity is conducted on the employees' own time without the use of Government supplies and without specific information otherwise unavailable to the public. (2) Government travel or per diem funds are not used for these purposes. (3) Teaching and lecturing is not for the purpose of special preparation for a civil service examination that depends on information obtained as a result of Government employment except when that information is available to the general public. (4) Such activities do not involve knowingly instructing persons on dealing with specific matters pending before Government organizations with which the employee is associated in an official capacity. |