$ 3.507 Special conditions applicable to writing and editing.

(a) Subject to the limitations of § 3.503 and of this section, employees may serve as editors, editorial consultants, or on editorial boards, and may contribute articles to publications.

(b) Writing and editing activities which involve approval or disapproval of advertising are prohibited.

(c) Writing and editing, whether related or unrelated to the employee's official duties, shall not express or imply official support in the material itself or in advertising or promotional material, including book jackets and covers, relating to the employee and his contribution to the publication.

(d) Writing or editing activities unrelated to the employee's official duties or other responsibilities and programs of the Federal Government shall omit mention of the employee's official title or affiliation with the Agency, or alternatively, use his official title and affiliation with the Agency in a way that shall not suggest or convey official endorsement of the work.

(e) Writing or editing activities related to the employee's official duties or other responsibilities and programs of the Federal Government shall omit mention of his official title or affiliation with the Agency or shall include a disclaimer. Disclaimers shall read as follows (unless a different wording is approved by the Office of Public Affairs): "This (article, book, etc.) was (written, edited) by (employee's name) in his 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."

§ 3.508 Special conditions applicable to publishing.

Employees may engage in publishing activities when the following conditions are met:

(a) No financial profit is derived from publishing materials which are made available to the general public by this Agency or which are available to the employee because of his official duties, but are not available to the general public.

(b) No financial profit is sought or derived from publishing proceedings or similar compilations of conferences, symposia, or similar gatherings:

(1) Which are sponsored by the Government, or

(2) Which involve the performance of official duties, or are directly related to official duties, or

(3) Where participation or attendance has been authorized on Government time.

(c) The official title of the individual engaged in such publishing business is not used. If the individual is the author as well as the publisher, the provisions referred to under § 3.507 apply.

§ 3.509 Administrative approval.

The provisions of this subpart shall be observed with respect to all outside employment or other outside activity. Each employee shall be alerted to identify and to avoid any situation that would involve prohibited activity. Aside from avoiding prohibited outside employment, shall each employee obtain administrative approval in accordance with Appendix A to this part before engaging in outside employment of the following types:

(a) Regular self-employment. (b) Consulting services.

(c) Holding State or local public office.

(d) Outside employment or other outside activity involving an EPA contractor or subcontractor.

(e) Any other outside work concerning the propriety of which an employee is uncertain.

Prior administrative approval may be required for additional types of outside employment where, because of special considerations, such a requirement is considered desirable for the protection of employees or EPA.

§ 3.510 Related statutory provisions.

Several criminal statutory provisions restrict certain types of outside activities on the part of employees as follows:

(a) Section 203 of Title 18, United States Code, imposes criminal penalties upon an employee who, other than in the proper discharge of offi

cial duties, directly or indirectly receives or agrees to receive, or asks, demands, solicits, or seeks, any compensation for any service rendered or to be rendered either by himself or another 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 the United States is a party or has a direct and substantial interest before any department, agency, court-martial, officer, or any civil, military, or naval commission.

(b) Section 205 of Title 18, United States Code, imposes criminal penalties upon any employee who, other than in the proper discharge of his official duties, acts as agent or attorney for prosecuting any claim against the United States or receives any gratuity, or any share of or interest in any such claim in consideration of assistance in the prosecution of such claim, through his decision, approval, disapproval, recommendation, rendering of advice, investigation, or otherwise, in a matter which is the subject of his official responsibility.

(c) (1) Under section 209 of Title 18, United States Code, an employee is prohibited from receiving any salary, or any contribution to or supplementation of salary, as compensation for his services as an officer or employee of the Government, from any source other than the Government of the United States except as may be contributed out of the treasury of any State, county, or municipality, except as may be paid under the terms of Chapter 41 or Title 5, United States Code.

or

(2) Exceptions to the prohibitions of section 209 of Title 18, United States Code, are made for those employees continuing to participate in a bona fide pension, retirement, group life, health or accident insurance, profitsharing, stock bonus, or other employee welfare or benefit plan maintained by a former employer. However, such financial interests may still violate section 208 of Title 18, United States Code, unless waived (see Subpart C, Appendix C, paragraph 4 of this part).

APPENDIX A-PROCEDURES FOR PERMISSION TO ENGAGE IN OUTSIDE EMPLOYMENT OR OTHER OUTSIDE ACTIVITY (SEE SUBPART E)

1. Form and content of request. A request (in duplicate) for administrative approval of the categories of outside employment or other outside activity listed in § 3.509 of Subpart E shall be in writing and addressed to the appropriate Counselor or Deputy Counselor. The request shall show:

a. Employee's name, occupational title. and Federal salary.

b. Nature of outside activity: Full description of specific duties or services to be performed and amount of compensation to be received. If without compensation so state.

c. Name and business of person or organization for which the work will be done. (In case of self-employment in a professional capacity serving a large number of individuals, instead of listing each client, the type of services to be rendered and estimate of the total number of clients anticipated during the next 6 months shall be indicated.)

d. Estimated total time that shall be devoted to the activity. (If on a continuing basis, the estimated time per year; if not, the anticipated ending date.)

e. Whether service can be performed entirely outside of usual duty hours; if not, estimated number of hours of absence from work that shall be required.

f. The grants or contracts involved, if contemplated outside employment includes consultative or professional services to institutions or Government units which have negotiated or may seek a Federal grant or contract. Full details must be provided on any aspect of the professional and consultative services which involves, directly or indirectly, the preparation of grant application, contract proposals, program reports, and other materials which are designed to become the subject of dealings between the institutions and Government units and the Federal Government. Indicate method or basis of compensation (e.g., whether fee basis, per diem, per annum, or other).

2. Acting on employee requests. a. Requests shall be thoroughly reviewed by the appropriate Agency Counselor or Deputy Counselor to insure that the outside activity for which approval is sought is permissible under applicable statutes and regulations. The review shall appraise the request in terms of (1) conflicts or apparent conflicts of interest, and (2) potential problems arising from the employee's participation in the outside activity which could result in embarrassment to the agency or the employee. As needed, advice and guidance shall be obtained from the Agency Counselor (§ 3.202). b. Any conflict or apparent conflict of interest questions shall be resolved before ap

proval action is taken. The Agency Counselor or Deputy Counselors on employee conduct shall furnish advice and assistance as needed by the employee concerned.

c. The Agency Counselor or Deputy Counselor shall indicate his action in writing in response to the employee's written request. The record on each request shall be complete and contain the written request and written notification of action taken on the request. The record shall be maintained by the Agency Counselor or Deputy Counselor concerned.

3. Keeping record up-to-date. If there is a change in the nature or scope of the duties or services performed or the nature of his employer's business, the employee shall promptly submit a revised request for approval. If the outside work is discontinued sooner than anticipated (not merely suspended temporarily), he shall notify the Deputy Counselor who approved the request.

4. Enforcement. Failure to request administrative approval for outside employment or other outside activity for which approval is required is ground for disciplinary action. 5. Confidentiality of requests. All requests for approval shall be treated as confidential and made available only to the Counselor, Deputy Counselors, and other officials specifically authorized by the Administrator.

Subpart F-Standards of Conduct for Special Government Employees

§ 3.600 Purpose.

This subpart: (a) Provides guidance with respect to the application of the conflict of interest statutes to special Government employees (as defined in § 3.601); it is of particular application to consultants and experts.

(b) Sets forth the standards of ethical conduct which, under Executive Order No. 11222 of May 8, 1965, and regulations of the Civil Service Commission, special Government employees are expected to observe.

§ 3.601 Applicability.

(a) This subpart is applicable to all employees who are classified as special Government employees. A "special Government employee" defined in § 3.102(c). It is of particular applicabil. ity to EPA consultants and experts, who normally fall within the definition of the term "special Government employee."

(b) To the extent that the conflict of interest statutes apply to a special

Government employee, they apply to his activities on all days during the period of his EPA service, beginning with the date on which he takes an oath of office as a Government employee, whether he works on a fulltime or intermittent basis. Similarly, the ethical standards prescribed in this subpart apply to the special Government employee during the full period of his appointment as an employee, and not merely on the days on which he performs services as an employee.

(c) Employees, including consultants and experts, who are appointed to serve for more than 130 days during a period of 365 consecutive days are not subject to this subpart, even though they may in fact work 130 days or less, but are subject to Subparts A through E to this part, prescribing standards of conduct for regular Government employees.

§ 3.602 Standards of ethical conduct.

Under the Executive order and regulations of the Civil Service Commission, the following standards of ethical conduct are applicable to special Government employees:

(a) Use of Government employment. A special Government employee shall not use his Government employment for a purpose that is, or gives the appearance of being, motivated by the desire for private gain for himself or another person, particularly one with whom he has family, business, or financial ties.

(b) Use of inside information. A special Government employee shall not use inside information obtained as a result of his Government employment for private gain for himself or another person either by direct action on his part or by counsel, recommendation, or suggestion to another person, particularly one with whom he has family, business, or financial ties. In this context, "inside information" means information obtained as a result of his Government employment which has not been made available to the general public or would not be made available on request. However, nonpublic information may be used upon a written determination made by

the Agency Counselor that its use would be in the public interest.

(c) Avoidance of actions which may appear coercive. A special Government employee shall not use his Government employment to coerce, a person to provide financial benefit to himself or another person, particularly one with whom he has family, business, or financial ties.

(d) Acceptance of gifts, entertainment or favors. (1) Except as provided in paragraph (d)(2) of this section, a special Government employee shall not solicit or receive from a person, organization, or group having business with EPA, any gift, gratuity, entertainment (including meals), favors, loan, or other things of monetary value, for himself or for another person, particularly one with whom he has family, business, or financial ties. This rule does not apply if the special Government employee is unaware of this kind of business.

(2) The following are exceptions to the general rule set forth in paragraph (d)(1) of this section:

(i) Receipt of salary, bonuses, or other compensation or emoluments from his non-Government employer or employers.

(ii) Acceptance of food and refreshments of nominal value on infrequent occasions in the ordinary course of a luncheon, dinner, or other meeting.

(iii) Acceptance of modest entertainment, such as a meal or refreshments, 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 special Government employee's participation on behalf of EPA is the result of an invitation addressed to him in his official capacity and approved as a part of his official duties, and the entertainment accepted is related to, and in keeping with, his official participation.

(iv) Acceptance of gifts, favors, or entertainment, where there is an obvious family or personal relationship between the employee, or between his spouse, children, or parents, and the donor, and where the circumstances make it clear that it is that relation

ship rather than the business of the persons concerned which is the motivating factor for the gift, favor, or entertainment.

(v) Acceptance of loans from banks or other financial institutions on customary terms, to finance proper and usual activities of employees, such as home mortgage loans.

(vi) Acceptance of unsolicited advertising or promotional material, such as pens, pencils, note pads, calendars, or other items of nominal value.

(vii) Acceptance of incidental transportation in kind from a private organization, when it is furnished in connection with the performance of the special Government employee's official duties, and provided it is of a type 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, unless authorized by Congress as provided by the Constitution and in section 7342 of Title 5, United States Code.

§ 3.603 Statement of employment and financial interests for special Government employees.

(a) Under Executive Order No. 11222 of May 8, 1965, and regulations of the Civil Service Commission, each special Government employee is required to submit a Statement of Employment and Financial Interests, EPA Form 3115-2, at the time of his initial appointment except to the extent that such a requirement has been waived by the Administrator as specified in paragraph (f) of this section.

(b) The Statement of Employment and Financial Interests shall be submitted to the appropriate Counselor or Deputy Counselor as defined in § 3.202. A new statement shall be submitted each time he is reappointed as an EPA special Government employee. The statement shall be kept current throughout the period of the employee's service as a special Government employee by the submission of supplementary statements on EPA Form 3115-2 clearly indicating the supplementary nature of the information

furnished. The special Government employee is not required to submit any information relating to his connection with or interest in, a professional society, fraternal, recreational, public service, civic, or political organization, or a similar organization not conducted as a business enterprise. In this connection, however, educational and other institutions doing research and development or related work involving grants of money from or contracts with the Government are deemed to be "business enterprises." Information relating to such institutions, where relevant, shall therefore be included in a special Government employee's statement of employment and financial interests.

(c) The purpose of the statement of employment and financial interests is to assist the employee, and those who review his statement, in avoiding situations where a conflicting financial interest might exist. The statement shall be treated by EPA as private information of the employee, and shall be held in confidence. It shall be reviewed only by EPA officials designated as Counselor and Deputy Counselors in § 3.202. There shall be no discussion or disclosure of the details of the information furnished except as necessary to carry out the provisions of this subpart. Information contained in the statement shall not be disclosed outside EPA except as authorized by the Administrator or the Civil Service Commission for good cause shown.

(d) The submission of a statement of employment and financial interests is not intended to relieve the employee from complying with other applicable provisions of law, Executive order, or this subpart. In particular, the employee is not thereby permitted to participate in a matter where such participation is prohibited by section 208 of Title 18, United States Code (see § 3.606(d)).

(e) Information concerning financial interests which have been exempted from the prohibition of section 208(a) of Title 18, United States Code, as set forth in Appendix C to Subpart B of this part may be omitted from the statement of employment and financial interests.

(f) The Administrator of EPA has determined that the following categories of special Government employees who are not consultants or experts as defined in chapter 304 of the Federal personnel manual shall not be required to file statements of employment and financial interests because their duties are of a nature and at such a level of responsibility that the submission of a statement by them is not necessary to protect the integrity of the Government:

(1) Temporary and summer employees below the grade of GS-13 under section 532 of Title 5, United States Code.

(2) Employees participating in an intern or other training program.

§ 3.604 Advisory service.

Special Government employees who desire assistance or advice on interpreting the provisions of this subpart, or on other matters relating to the subject matter covered herein, are invited to consult the appropriate Agency Deputy Counselor or the Counselor as set forth in Subpart B, § 3.202.

§ 3.605 Review, enforcement, reporting, and investigation.

(a) Each statement of employment and financial interests submitted under this subpart shall be reviewed by the Agency Counselor or appropriate Deputy Counselor. If his review discloses a conflict of interests or apparent conflict of interests the employee shall be given an opportunity to explain the conflict or apparent conflict, and every effort shall be made to resolve the matter. If the matter cannot be resolved, it shall be

reported to the Administrator,

through the Deputy General Counsel, as Agency Counselor on conflict of interests matters. If the Agency Counselor decides that remedial action is necessary, he shall take such action immediately to end the conflict or apparent conflict of interests.

(b) Special Government employees shall consult with the appropriate Agency Counselor or Deputy Counselor with regard to any questions concerning this subpart. Resolution of