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(3) No pledge will be made by EPA records requested has been made, records under subparagraph (2) of this para- will be masked for copying of nonexempt graph in connection with information portions of the documents. which EPA is entitled by law to demand

& 2.111 Payment. (such as emission data under section 114 of the Clean Air Act, 42 U.S.C. 1857c-9) (a) Charges. Fees will be charged for or which is submitted to EPA to fulfill a copies of records which are furnished to requirement imposed by statute or reg- a person under this part and for time ulation in connection with a regulatory spent in locating and reproducing them, scheme of general applicability (such as in accordance with a fee schedule maininformation contained in application for

tained and revised by the Office of Public registrations, permits, certifications, and Affairs. No fee will be charged for time the like). Nothing herein is intended to spent in processing of any request for affect the status of information which is information, nor will any fee be charged required by law to be treated as con- for periods of less than one-half hour fidential.

spent in connection with a search for (37 FR 9630, May 13, 1972)

records. For purposes of this section,

“processing" shall include all time spent § 2.108 Creation of records.

in generating correspondence related to a Documents will not be created by request and in making determinations compiling selected items from other under $$ 2.106, 2.107 and 2.107a. documents at the request of a member (b) Prepayment. In the event pendof the public, nor will records be created ing requests under this part from the to provide the requesting party with data same requesting party would require the such as ratios, proportions, percentages, payment of fees in excess of $10, such frequency distribution, trends, correla

records will not be made available, nor tions, or comparisons.

copies of such records furnished unless § 2.109 Denial of requests for records. the requesting party first submits pay(a) General: If it is determined pur

ment in the total amount due; or, if not suant to this part that requested records

ascertainable, in the approximate will not be provided, the EPA office re

amount that would become due upon sponsible for maintaining the requested compliance with the request, as deterrecords (or, in the event a determina- mined by the Office of Public Affairs or tion has been made under $ 2.107(b), by the office complying with the request. the Office of Public Affairs will notify In the event an advance payment herethe requesting party in writing that the

under shall differ from the amount of request has been denied. A written

the fees actually due, an appropriate addenial of a request for information will contain a brief explanation of the

justment will be effected at the time the statutory basis for nondisclosure, and

copies requested are delivered. will state that judicial review is avail- (c) Waiver. The Office of Public Affairs able in the U.S. District Court for the or the office complying with the request district in which the requesting party may waive the payment of fees, if such resides or has his principal place of waiver would be in the public interest. business, or in which the records sought (36 FR 23058, Dec. 13, 1971, as amended at are located.

37 FR 9631, May 13, 1972) (b) II EPA shall fail to grant or to deny in writing a request within 90 days PART 3-EMPLOYEE RESPONSIBILITIES following its receipt, the requesting party

AND CONDUCT may regard such failure as final EPA

Subpart A-General Provisions action denying the request, and will be Sec. entitled to pursue his remedy in the 3.100 Purpose. courts as provided by 5 U.S.C. 552(a) (3).

3.101 Coverage.

3.102 Definitions. $ 2.110 Copies of documents.

3.103 Ethical standards of conduct for If it is determined that records re

employees.

3.104 Other general standards of conduct. quested may be disclosed, the requesting

3.105 Statutes relating to employee conduct. party will be entitled to copies. However,

Appendix A-Conflict of interest statutes. records shall not be released for copying

(See $$ 3.105 and 3.606.) by non-EPA personnel. When a deter- Appendix B-Miscellaneous statutes. (See mination not to disclose a portion of

$$ 3.105 and 3.607.)

Subpart B-Advisory Service and Enforcement AUTHORITY.-Executive Order 11222, 30 FR Sec.

6460, 3 CFR, 1964–1965 Comp., p. 306; 5 CFR 3.200 Purpose.

735.101 et seq. 3.201 Use of advisory service.

SOURCE: 38 FR 9556, April. 17, 1973, unless 3.202 Designation of counselors and state

otherwise noted. ment of functions. 3.203 Review, enforcement, reporting, and Subpart A-General Provisions investigation.

$ 3.100 Purpose. Subpart C-Financial Interests and Investments

The regulations prescribed in this part 3.300 Purpose.

set forth the high ethical standards of 3.301 General. 3.302 Statutory prohibitions against acts af

conduct required of each Environmental fecting a personal financial interest.

Protection Agency (hereinafter “EPA”) 3.303 Waiver of statutory prohibition.

employee, including both regular and 3.304 Confidential statements of employ- special Government employees as they ment and financial interests.

are covered by, these regulations, in Appendix A-Procedures for filing state

carrying out their duties and responments of employment and

sibilities. financial interests. Appendix B-Positions whose incumbents $ 3.101 Coverage. must file confidential state

(a) The provisions of subparts A, B, C, ments of employment and financial interests.

D, and E of this part apply to all regular Appendix C-Categories of financial inter- employees of EPA including Public

ests exempted from the pro- Health Service commissioned officers ashibition of 18 U.S.C. 208(a). signed to EPA, employees detailed to EPA (See $$ 3.303 (b) and 3.606

from other agencies, and other employees (d) (11).)

working for EPA through special arSubpart D-Acceptance of Gifts, Gratuities, or

rangements except for special GovernEntertainment

ment employees as defined in $ 3.102(c). 3.400 Purpose.

(b) The provisions of subpart F of this 3.401 Policy. 3.402 Statutory prohibitions.

part are applicable only to special

Government employees as defined in Subpart E-Outside Employment

§ 3.102(c). 3.500 Purpose. 3.501 Definition.

$ 3.102 Definitions. 3.502 Policy. 3.503 Guidelines and limitations.

(a) "Agency” means the Environ3.504 Distinction between official and non

mental Protection Agency. official activities.

(b) "Employee" means any officer or 3.505 Compensation, honorariums, travel ex- employee of the Environmental Protecpenses.

tion Agency other than a special Gov3.506 Special conditions applicable to teach

ernment employee. ing, lecturing and speechmaking. 3.507 Special conditions applicable to writ

(c) "Special Government employee" as ing and editing.

defined under section 202 of Title 18, 3.508 Special conditions applicable to pub

United States Code, means an officer or lishing.

employee of the Environmental Protec3.509 Administrative approval.

tion Agency who is retained, designated, 3.510 Related statutory provisions.

appointed, or employed to perform with Appendix A-Procedures for permission to

or without compensation, temporary engage in outside employor other outside activity.

duties either on a full-time or intermit(See subpart E.)

tent basis, for not to exceed 130 days Subpart F-Standards of Conduct for Special

during any period of 365 consecutive Government Employees

days. 3.600 Scope.

(d) “Former employee" means a for3.601 Applicability.

mer Environmental Protection Agency 3.602 Standards of ethical conduct.

employee or former special Government 3.603 Statement of employment and finan

employee as defined under paragraph (c) cial interests for special government

of this section. employees. 3.604 Advisory service.

$ 3.103 Ethical standards of conduct for 3.605 Review, enforcement, reporting, and employees.

investigation. 3.606 Application of conflict of interest stat

Each employee shall refrain from any utes.

use of his official position which is moti3.607 Other statutes.

vated by, or has the appearance of being

motivated by, the desire for private gain officially approved activities. An emfor himself or other persons. He shall ployee has a positive duty to protect and conduct himself in such a manner that conserve Government property, includthere is not the slightest suggestion of ing equipment, supplies, and other propthe extracting of private advantage from erty entrusted or issued to him. his Government employment. Pursuant (b) Indebtedness.—The indebtedness to this policy, each employee will observe of EPA employees is considered to be esthe following standards of conduct: sentially a matter of their own concern.

(a) He shall not as a result of, or on EPA shall not be placed in the position the basis of, any information derived of acting as a collection agency or of from his official position or from the determining the validity or amount of official position of other employees with contested debts. Employees are expected, them whom he associates, engage, di- however, to honor in a proper and timely rectly or indirectly, in any business manner all just financial obligations, estransaction or arrangement, including pecially those imposed by law such as the buying or selling of securities or rec- Federal, State, or local taxes. For purommending the purchase or sale of secu- poses of this section a "just financial rities to other persons.

obligation" means one acknowledged by (b) He shall exercise care in his per- the employee or reduced to judgment by sonal financial activities to avoid any a court, and “in a proper and timely appearance of acting on the basis of in- manner" means in a manner which the formation obtained in the course of agency determines does not, under the performing his Government duties. circumstances, reflect adversely on the

(c) If he acquires information in the Government as his employer. course of performing his Government (c) Gambling, betting, and lotteries.duties that is not generally available to While on Government-owned or leased those outside the Government, he shall property, or while on duty for the Govnot use this information to further a pri- ernment, employees shall not participate vate interest or for the special benefit in any gambling activity, including the of a business or other entity in which he operation of a gambling device, in conhas a financial or other interest.

ducting a lottery or pool, in participating (d) He shall not use his Government in a game for money or property, or in position in anyway to coerce, or give the selling or purchasing a numbers slip or appearance of coercing, another person ticket. Participation in federally sponto provide any financial benefit to him or sored fund-raising activities conducted to other persons.

under section 3 of Executive Order No. (e) He shall avoid any action, whether 10927 of March 18, 1961, or in similar or not specifically prohibited by law or EPA-approved activities, is not preregulation (including the provisions of cluded. this part), which might result in, or (d) General conduct prejudicial to create the appearance of:

the Government.—Employees shall not (1) Using his public office for private engage in criminal, infamous, dishonest, gain;

immoral, or disgraceful conduct, or any (2) Giving preferential treatment to other conduct prejudicial to the Govany organization or person;

ernment. (3) Impeding Government efficiency (e) Statutory prohibitions relating to or economy;

gifts and decorations:-(1) An employee (4) Losing his independence or impar

shall not solicit a contribution from antiality of action;

other employee for a gift to an official (5) Making a Government decision superior, make a donation as a gift to an outside official channels; or

official superior, or accept a gift pre(6) Affecting adversely the confidence

sented as a contribution from an emof the public in the integrity of the

ployee receiving less salary than himself Government.

(5 U.S.C. 7351). This includes service,

merchandise, loan, or other thing of $ 3.104 Other general standards of con

value. However, this paragraph (e) does duct.

not prohibit a voluntary gift of nominal (a) Use of Government property.-An value or a donation in a nominal amount employee shall not directly or indirectly made on a special occasion such as maruse, or allow the use of, Government riage, illness or death, or retirement. property of any kind, including property (2) An employee shall not accept a leased to the Government, for other than gift, present, decoration, or other thing from a foreign government unless au- this subpart provides the full text of the thorized by Congress as provided by the "conflict of interest" statutes. Appendix Constitution and section 7342 of Title 5, B to this subpart cites other statutory United States Code.

provisions which are particularly rele(3) Subpart D of this part contains vant to employee conduct. These statutes further information regarding accept- are available for review in the EPA Office ance of gifts, gratuities, or entertain- of General Counsel. ment.

APPENDIX A-CONFLICT OF INTEREST STATUTES (f) Disqualification of former employ

(SEE $$ 3.105 AND 3.606) ees in matters connected with former du

18 U.S.C. 203 ties or official responsibilities and disqualification of partners.-(1) No indi

Compensation to Members of Congress, ofvidual who has been an employee shall,

ficers, and others in matters affecting the

Government. after his employment has ceased, know

(a) Whoever, otherwise than as provided ingly act as agent or attorney for any

by law for the proper discharge of official duone other than the United States, in con- ties, directly or indirectly receives or agrees nection with any judicial or other pro- to receive, or asks, demands, solicits, or seeks, ceeding, application, request for a ruling any compensation for services rendered or to or other determination, contract, claim,

be rendered either by himself or anothercontroversy charge, accusation, or other

(1) At a time when he is a Member of Conparticular matter involving a specific

gress, Member of Congress-elect, Resident

Commissioner, or Resident Commissionerparty, or parties in which the United

elect; or States is a party or has a direct or sub- (2) At a time when he is an officer or emstantial interest and in which he partici- ployee of the United States in the executive, pated personally and substantially as an legislative, or judicial branch of the Govemployee, through decision, approval, ernment, or in any agency of the United disapproval, recommendation, the ren

States including the District of Columbia-in dering of advice, investigation, or other

relation to any proceeding, application, rewise, while so employed.

quest for a ruling or other determination,

contract, claim, controversy, charge, accusa(2) No individual who has been an em

tion, arrest, or other particular matter in ployee shall, within year after his em

which the United States is a party of has a ployment has ceased, appear personally direct and substantial interest, before any before any court or department or agency

department, agency, court-martial, officer, or of the Government as agent, or attorney

any civil, military, or naval commission, or for anyone other than the United States

(b) Whoever, knowingly, otherwise than as in connection with any matter enumer

provided by law for the proper discharge of

official duties, directly or indirectly gives, ated and described in paragraph (f) (1)

promises, or offers any compensation for any of this section which was under his offi- such services rendered or to be rendered at cial responsibility as an employee of the a time when the person to whom the comGovernment at any time within a period pensation is given, promised, or offered, is of 1 year prior to the termination of such

or was such a Member, Commissioner, officer, responsibility.

or employee

Shall be fined not more than $10,000, or (3) No partner of an employee shall act

imprisoned for not more than 2 years, or as agent or attorney for anyone other both; and shall be incapable of holding any than the United States in connection office of honor, trust, or profit under the with any matter enumerated and de- United States. scribed in paragraph (f) (1) of this sec- (c) A special Government employee shall tion in which such Government employee

be subject to subsection (a) only in rela

tion to a particular matter involving a speis participating or has participated per

cific party or parties (1) in which he has at sonally and substantially as a Govern- any time participated personally and subment employee through decision, ap- stantially as a Government employee or as proval, disapproval, recommendation, the

special Government employee through deci

sion, approval, disapproval, recommendation, rendering of advice, investigation or

the rendering of advice, investigation, or otherwise, or which is the subject of his

otherwise, or (2) which is pending in the official responsibility.

department or agency of the Government in $ 3.105 Statutes relating to employee

which he is serving: Provided, That clause conduct.

(2) shall not apply in the case of a special

Government employee who has served in Each employee should be aware of the such department or agency no more than 60 statutory provisions that relate to his days during the immediately preceding period ethical and other conduct. Appendix A of of 365 consecutive days.

12 U.S.O. 205

Activities of officers and employees in claims against and other matters affecting the Government. Whoever, being 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, otherwise than in the proper discharge of his official duties

(1) 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, or

(2) Acts as agent or attorney for anyone before any department, agency, court, courtmartial, of officer, or any civil, military, or naval commission in connection with 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

Shall be fined not more than $10,000, or imprisoned for not more than 2 years, or both.

A special Government employee shall be subject to the preceding paragraphs only in relation to a particular matter involving specific party or parties (1) in which he has at any time participated personally and substantially as a Government employee or as a special Government employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation or otherwise, or (2) which is pending in the department or agency of the Government in which he is serving: Provided. That clause (2) shall not apply in the case of a special Government employee who has served in such department or agency no more than 60 days during the immediately preceding period of 365 consecutive days.

Nothing herein prevents an officer or em ployee, if not inconsistent with the faithful performance of his duties, from acting without compensation as agent or attorney for any person who is the subject of disciplinary, loyalty, or other personnel administration proceedings in connection with those proceedings.

Nothing herein or in section 203 prevents an officer or employee, including a special Government employee, from actingwith or without compensation, as agent or attornev for his parents, spouse, child, or any person for whom, or for any estate for which, he is serving as guardian, executor, administrator, trustee, or other personal fiduciary except in those matters in which he has participated personally and substantially as a Government employee, through decision, approval, disapproval, recommendation, the rendering of advice, Investigation, or otherwise, or which are the subject of his official responsibility: Provided, That the

Government official responsible for appointment to his position approves.

Nothing herein or in section 203 prevents a special Government employee from acting as agent or attorney for another person in the performance of work under a grant by, or a contract with or for the benefit of, the United States: Provided, That the head of the department or agency concerned with the grant or contract shall certify in writing that the national interest so requires.

Such certification shall be published in the FEDERAL REGISTER.

Nothing herein prevents an officer or employee from giving testimony under oath or from making statements required to be made under penalty for perjury or contempt. 18 U.S.C. 207

Disqualification of former officers and employees in matters connected with former duties or official responsibilities; disqualification of partners.

(a) Whoever, having been an officer or employee of the executive branch of the U.S. Government, of any independent agency of the United States, or of the District of Columbia, including a special Government employee, after his employment has ceased, knowingly acts 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, arrest, or other 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 he participated personally and substantially as an officer or employee, through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, while so employed, or

(b) Whoever, having been so employed, within 1 year after his employment has ceased, appears personally before any court or department cr agency of the Government as agent or attorney for anyone other than the United States in connection with any proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter involving a specific party or parties in which the United States is a party or directly and substantially interested, and which was under his official responsibility as an officer or employee of the Government at any time within a period of 1 year prior to the termination of such responsibility

Shall be fined not more than $10,000, or imprisoned for not more than 2 years, or both: Provided, That nothing in subsection (a) or (b) prevents a former officer or employee, including a former special Government employee, with outstanding scientific or technological qualifications from acting as attorney or agent or appearing personally in connection with a particular matter in a scientific or technological field if the head

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