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(3) No pledge will be made by EPA under subparagraph (2) of this paragraph in connection with information which EPA is entitled by law to demand (such as emission data under section 114 of the Clean Air Act, 42 U.S.C. 1857c-9) or which is submitted to EPA to fulfill a requirement imposed by statute or regulation in connection with a regulatory scheme of general applicability (such as information contained in application for registrations, permits, certifications, and the like). Nothing herein is intended to affect the status of information which is required by law to be treated as confidential.

[37 FR 9630, May 13, 1972]

§ 2.108 Creation of records.

Documents will not be created by compiling selected items from other documents at the request of a member of the public, nor will records be created to provide the requesting party with data such as ratios, proportions, percentages, frequency distribution, trends, correlations, or comparisons.

§ 2.109 Denial of requests for records.

(a) General: If it is determined pursuant to this part that requested records will not be provided, the EPA office responsible for maintaining the requested records (or, in the event a determination has been made under §2.107(b), the Office of Public Affairs will notify the requesting party in writing that the request has been denied. A written denial of a request for information will contain a brief explanation of the statutory basis for nondisclosure, and will state that judicial review is available in the U.S. District Court for the district in which the requesting party resides or has his principal place of business, or in which the records sought are located.

(b) If EPA shall fail to grant or to deny in writing a request within 90 days following its receipt, the requesting party may regard such failure as final EPA action denying the request, and will be entitled to pursue his remedy in the courts as provided by 5 U.S.C. 552(a) (3). § 2.110 Copies of documents.

If it is determined that records requested may be disclosed, the requesting party will be entitled to copies. However, records shall not be released for copying by non-EPA personnel. When a determination not to disclose a portion of

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(a) Charges. Fees will be charged for copies of records which are furnished to a person under this part and for time spent in locating and reproducing them, in accordance with a fee schedule maintained and revised by the Office of Public Affairs. No fee will be charged for time spent in processing of any request for information, nor will any fee be charged for periods of less than one-half hour spent in connection with a search for records. For purposes of this section, "processing" shall include all time spent in generating correspondence related to a request and in making determinations under §§ 2.106, 2.107 and 2.107a.

(b) Prepayment. In the event pending requests under this part from the same requesting party would require the payment of fees in excess of $10, such records will not be made available, nor copies of such records furnished unless the requesting party first submits payment in the total amount due; or, if not ascertainable, in the approximate amount that would become due upon compliance with the request, as determined by the Office of Public Affairs or by the office complying with the request. In the event an advance payment hereunder shall differ from the amount of the fees actually due, an appropriate adjustment will be effected at the time the copies requested are delivered.

(c) Waiver. The Office of Public Affairs or the office complying with the request may waive the payment of fees, if such waiver would be in the public interest. [36 FR 23058, Dec. 13, 1971, as amended at 37 FR 9631, May 13, 1972]

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3.302 Statutory prohibitions against acts affecting a personal financial interest.

3.303 Waiver of statutory prohibition. 3.304 Confidential statements of employment and financial interests. Appendix A-Procedures for filing statements of employment and financial interests.

Appendix B-Positions whose incumbents must file confidential statements of employment and financial interests.

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) (ii).)

Subpart D-Acceptance of Gifts, Gratuities, or Entertainment

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AUTHORITY.—Executive Order 11222, 30 FR 6460, 3 CFR, 1964-1965 Comp., p. 306; 5 CFR 735.101 et seq.

SOURCE: 38 FR 9556, April. 17, 1973, unless otherwise noted.

Subpart A-General Provisions § 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.

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(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).

§ 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 officer 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 full-time 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.

§ 3.103 Ethical standards of conduct for employees.

Each employee shall refrain from any use of his official position which is motivated by, or has the appearance of being

motivated by, the desire for private gain for himself or other persons. He shall conduct himself in such a manner that there is not the slightest suggestion of the extracting of private advantage from his Government employment. Pursuant to this policy, each employee will observe the following standards of conduct:

(a) He shall not as a result of, or on the basis of, any information derived from his official position or from the official position of other employees with them whom he associates, engage, directly or indirectly, in any business transaction or arrangement, including the buying or selling of securities or recommending the purchase or sale of securities to other persons.

(b) He shall exercise care in his personal financial activities to avoid any appearance of acting on the basis of information obtained in the course of performing his Government duties.

(c) If he acquires information in the course of performing his Government duties that is not generally available to those outside the Government, he shall not use this information to further a private interest or for the special benefit of a business or other entity in which he has a financial or other interest.

(d) He shall not use his Government position in anyway to coerce, or give the appearance of coercing, another person to provide any financial benefit to him or to other persons.

(e) He shall avoid any action, whether or not specifically prohibited by law or regulation (including the provisions of this part), which might result in, or create the appearance of:

(1) Using his public office for private gain;

(2) Giving preferential treatment to any organization or person;

(3) Impeding Government efficiency or economy;

(4) Losing his independence or impartiality of action;

(5) Making a Government decision outside official channels; or

(6) Affecting adversely the confidence of the public in the integrity of the Government.

§ 3.104 Other general standards of conduct.

(a) Use of Government property.—An employee shall not directly or indirectly use, or allow the use of, Government property of any kind, including property leased to the Government, for other than

officially approved activities. An employee has a positive duty to protect and conserve Government property, including equipment, supplies, and other property entrusted or issued to him.

(b) Indebtedness.-The indebtedness of EPA employees is considered to be essentially a matter of their own concern. EPA shall not be placed in the position of acting as a collection agency or of determining the validity or amount of contested debts. Employees are expected, however, to honor in a proper and timely manner all just financial obligations, especially those imposed by law such as Federal, State, or local taxes. For purposes of this section a "just financial obligation" means one acknowledged by the employee or reduced to judgment by a court, and "in a proper and timely manner" means in a manner which the agency determines does not, under the circumstances, reflect adversely on the Government as his employer.

(c) Gambling, betting, and lotteries.— While on Government-owned or leased property, or while on duty for the Government, employees shall not participate in any gambling activity, including the operation of a gambling device, in conducting a lottery or pool, in participating in a game for money or property, or in selling or purchasing a numbers slip or ticket. Participation in federally sponsored fund-raising activities conducted under section 3 of Executive Order No. 10927 of March 18, 1961, or in similar EPA-approved activities, is not precluded.

(d) General conduct prejudicial to the Government.-Employees shall not engage in criminal, infamous, dishonest, immoral, or disgraceful conduct, or any other conduct prejudicial to the Government.

(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 paragraph (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, illness 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 entertainment.

(f) Disqualification of former employees in matters connected with former duties or official responsibilities 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 personally 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 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.

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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 STATUTES (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 the United States is a party of has a direct and substantial interest, before any department, agency, court-martial, officer, or any civil, military, or naval commission, or

(b) Whoever, knowingly, otherwise than as provided by law for the proper discharge of official duties, directly or indirectly gives, promises, or offers any compensation for any such services rendered or to be rendered at a time when the person to whom the compensation is given, promised, or offered, is or was such a Member, Commissioner, officer, or employee

Shall be fined not more than $10,000, or imprisoned for not more than 2 years, or both; and shall be incapable of holding any office of honor, trust, or profit under the United States.

(c) A special Government employee shall be subject to subsection (a) only in relation to a particular matter involving a specific party or parties (1) in which he has at any time participated personally and substantially as a Government employee or as 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.

18 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 employee, 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 acting, with or without compensation, as agent or attorney 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 or 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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