(d) Unless a waiver is granted under § 3.303, no employee or employee detailed to EPA shall participate personally and substantially in the course of his Government duties in any specific matter of a type listed in paragraph (c) of this section, or in any other matter if, to his knowledge, any of the persons or organizations identified in paragraph (a) of this section have a financial interest relating to that specific matter. § 3.303 Waiver of statutory prohibition. (a) The prohibition of section 208(a) of Title 18, United States Code, may be waived in connection with a specific matter of the type which comes under the statute if the employee makes a full disclosure in writing of the nature of the matter involved and of the financial interest relating thereto and receives, in advance of his participation in such matter, a written determination that such financial interest is not so substantial as to affect the integrity of his services and, therefore, that the employee may participate personally and substantially in that matter. A written request for waiver must be submitted to the Agency Counselor through the appropriate Deputy Counselor. (b) The prohibition of section 208(a) of Title 18, United States Code, also may be waived by general regulation applicable to all employees so as to permit an employee (including personnel of another Government agency detailed to EPA) to participate personally and substantially in a specific matter, notwithstanding the existence of a financial interest relating to that matter, where it has been determined that such a financial interest is too remote or too inconsequential to affect the integrity of the employee's service in any matter in which he may act in his governmental capacity. Such a determination has been made by the Administrator with respect to the categories of financial interests set forth in appendix C to this subpart. § 3.304 Confidential statements of employment and financial interests. (a) The criteria set forth in paragraph (d) of this section define the categories and types of employees who must submit confidential statements of employment and financial interests. Appendix A to this subpart provides procedures for the submission, review, and disposition of these statements. Appendix B to this subpart lists the positions whose in cumbents are required to file confidential statements of employment and financial interests. The designated Agency Counselor, and Deputy Counselors referred to throughout § 3.304 are identified in § 3.202. (b) Personnel, whether civil service employees or Public Health Service commissioned officiers, in positions listed in appendix B to this subpart C shall file confidential statements of employment and financial interests. These statements shall be filed by all officials, other than the Administrator, who are compensated at levels of the executive schedule. (c) Confidential statements of employment and financial interests may be required of certain employees other than those whose positions are listed in appendix B to this subpart. The Counselor and Deputy Counselors are responsible for identifying such other positions in accordance with criteria set forth in paragraph (d) of this section and for notifying the employee concerned. This notification shall be in writing and shall include the reason for the decision. (d) Financial interests of employee's relatives. For purpose of this reporting requirement, the financial interests of a spouse, minor child, or other member of an employee's immediate household are considered to be an interest of the employee and shall be reported. "Members of an employee's immediate household" means those blood relatives who are residents of the employee's household. (e) Information not known by employees. If any information required to be included on a statement of employment and financial interests or supplementary statement, including holdings placed in trust, is not known to the employee but is known to another person, the employee shall request that other person to submit the information in his behalf. The employee concerned should avoid gaining knowledge about those interests in order to prevent the possibility of violating section 208 of Title 18, United States Code. (f) The following criteria define the categories and types of employees who are required to file a confidential statement of employment and financial interests: (1) Employees classified at the GS-13 level and above, under section 5332 of Title 5, United States Code (or comparable levels under other pay systems), unless otherwise exempted pursuant to paragraph (g) of this section, whose du ties and responsibilities require the exercise of judgment in making a Government decision or in taking Government action in regard to: (i) Contracting or procurement, including: The evaluation or selection of contractors; the negotiation, approval, or award of contracts; the supervision of activities performed by contractors, including the administration, monitoring, audit, and inspection of contractors and contract activities; and the initiation or approval of requests to procure supplies, equipment, or services, other than those common items available from EPA or GSA inventories. (ii) Administering or monitoring grants or subsidies, including grants to educational institutions and other nonFederal organizations; or (iii) Regulating or auditing private or other non-Federal enterprise. (2) Employees classified at the GS-13 level and above (or comparable levels under other pay systems), who are identified by the Agency Counselor or Deputy Counselors as holding positions requiring the incumbent thereof to exercise judgment in making Government decisions or taking actions where such decisions or actions may have an economic impact on the interest of any nonFederal enterprise. (3) Employees classified below the GS-13 level (or at a comparable level under other pay systems), who are in positions which otherwise meet the criteria of paragraph (f) (1) or (2) of this section, providing the Civil Service Commission has approved the determination that the incumbents of such positions should be required to file statements of employment and financial interests in order to protect the integrity of the Government and to avoid the employee's involvement in a possible conflict of interest situation. (g) An employee described in paragraph (f) (1) of this section shall be exempted from the requirement for filing a confidential statement of employment and financial interests when the Counselor or a Deputy Counselor determines that the employee's duties are of such a nature, or are at such a level of responsibility and are subject to such a degree of supervision and review, that the possibility of his becoming involved in a conflict of interest is remote. Such a determination shall be written and recorded by the official (Counselor or a Deputy Counselor) concerned. (a) General.—(1) Submission of confidential statements of employment and financial interests. Each employee who is required to submit a confidential statement of employment and financial interests for whom there is no current statement on file shall promptly complete and forward this statement, but in any event no employee shall submit his financial statement later than 30 days after the effective date of issuance of these regulations. For employees appointed after the effective date of these regulations, statements shall be submitted within 30 days after entrance on duty. The employee's statement shall be submitted on EPA Form No. 3115.1, Confidential Statement of Employment and Financial Interests. The completed form No. 3115.1 shall be forwarded for review to the Deputy Counselor for the organization of the employee concerned, except that statements from employees in the immediate office of the Administrator and those of the Deputy Counselors shall be submitted for the review of the Counselor. (2) Review of statements.-EPA Form 3115.1, when received by the Counselor or by a Deputy Counselor in accordance with paragraph (a) above, shall be reviewed by that official to determine whether or not there is or appears to be a conflict between the interests of the employee and the performance of his services for the Government. (3) Decisions on conflict of interest.— When the review as provided in paragraph (b) above indicates a conflict between the interest of an employee and the performance of his services for the Government the reviewing official shall have the indicated conflict brought to the attention of the employee, grant the employee an opportunity to explain the conflict, and attempt to resolve it as expeditiously as possible. If the reviewing official cannot resolve a conflict on the basis of facts available to him he may refer the matter to the Security and Inspection Staff for an investigation into the facts surrounding the indicated conflict. The Security and Inspection Staff's written report shall be forwarded to the reviewing official who, if still unable to resolve the conflict, shall forward it to the Agency Counselor for a determination. If the Agency Counselor is unable to resolve the conflict the matter shall be referred to the Administrator. The Administrator shall determine what remedial or disciplinary action is appropriate in light of all available information. A record of the final disposition shall be made a part of the statement of employment and financial interests. (4) Submission of supplementary statements. Changes in, or additions to, information required by the submission of an EPA Form 3115.1 shall be reported quarterly on an additional EPA Form 3115.1 clearly indicating that the information is supplementary. The supplementary form 8115.1 shall be submitted at the end of the quarter in which the changes or additions occur. Quarters end September 30, December 31, March 31, and June 30. If there are no changes or additions within a quarter, a negative report is not required. For purposes of annual review however, an EPA Form 3115.1, clearly marked supplementary, must be submitted to the appropriate Counselor or Deputy Counselor by June 30 of each year. If no changes or additions have occurred during the year, a negative report is required. (5) Confidentiality.-Each completed form 3115.1 (whether the original or supplementary submission) shall be held in confidence. No disclosure of information from this form shall be made other than to EPA employees in the performance of official functions under this part or as the Chairman of the Civil Service Commission or the Administrator of EPA may determine for good cause shown. (6) Maintenance of statements.-EPA form 3115.1 and related records shall be maintained by the appropriate reviewing official in a locked, limited access, container. (b) Employee's right to review.-An employee who takes exception to the determination that he must submit an EPA form 3115.1 may request review and reconsideration in accordance with the procedures provided in the grievance procedure of the Agency. APPENDIX B-POSITIONS WHOSE INCUMBENTS MUST FILE CONFIDENTIAL STATEMENTS OF EMPLOYMENT AND FINANCIAL INTERESTS All positions occupied by officials paid at levels of the executive schedule except the Administrator. OFFICE OF THE ADMINISTRATOR Deputy Administrator. OFFICE OF LEGISLATION Director, Office of Legislation. OFFICE OF CIVIL RIGHTS URBAN AFFAIRS Director, Office of Civil Rights and Urban Affairs. Director, Compliance Division. OFFICE OF INTERNATIONAL ACTIVITIES Director, Office of Education and Manpower Planning. OFFICE OF AUDIT Director, Office of Audit. Deputy Director, Office of Audit. Chief, Installation and Management Audit Branch. Chief, Special Projects Branch. Manager, Construction Grant Audit Group. Managers, Area Audit Groups. OFFICE OF ADMINISTRATION Deputy Assistant Administrator for Administration. Director of Administration, Research Triangle Park (RTP), N.C. Chief, RTP Personnel Operations. Chief, RTP Administrative Services. Supervisor, RTP Contract Operations. Head, R. & D. Procurement Section, RTP. Chief, R. & D. Procurement Unit A, RTP. Chief, R. & D. Procurement Unit B, RTP. Head, Equipment, Services, and Construction Procurement Section, RTP. Director, Security and Inspection Staff. Director, Management and Organization Division. Director, Personnel Management Division. Director, Grants Administration Division. Grants Officers, GS-13 and above. Director, Contracts Management Division. Contracts Officers, GS-13 and above. Deputy Director, Contracts Management Division. Chief, Cost Review and Policy Branch. Chief, Headquarters Contract Operations Branch. Director, Facilities and Support Services Division. Deputy Director, Facilities and Support Services Division. Chief, Claims Staff. Chief, Facilities Planning Staff. Chief, Program Management and Operations Staff. Chief, Safety Systems Staff. Chief, Audiovisual Support Branch. Chief, Facilities Management Branch. Director, Management Information and Data Systems Division. OFFICE OF RESOURCES MANAGEMENT Deputy Assistant Administrator for Resources Management. Director, Budget Operations Division. Director, Financial Management Division. OFFICE OF PLANNING AND EVALUATION Deputy Assistant Administrator for Planning and Evaluation. Director, Economic Analysis Division. Director, Policy Planning Division. Director, Program Evaluation Division. 97-025-733 OFFICE OF RESEARCH Deputy Assistant Administrator for Research. Director, Process and Effects Division. sion. Director, Environmental Studies Division. OFFICE OF MONITORING Deputy Assistant Administrator for Monitoring. Director, Planning and Review 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 Program Coordination. Chief, Personnel Operations. Chief, Administrative Services. Laboratory Deputy Directors. NATIONAL ENVIRONMENTAL RESEARCH CENTER, 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. Deputy Director, NERC, Corvallis. Administrative Officer. Director of Program Coordination. Laboratory Directors. Laboratory Deputy Directors. Laboratory Management Officers. Director, Enforcement Division. 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) (11) ) 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 subparagraphs (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 subparagraphs (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 subparagraphs (a) through (e) of paragraph 1. |