Code of Federal Regulations: Containing a Codification of Documents of ...

of the department or agency concerned with the matter shall make a certification in writing, published in the FEDERAL REGISTER, that the national interest would be served by such action or appearance by the former officer or employee.

(c) Whoever, being a partner of 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, acts as agent or attorney for anyone other than the United States, in connection with any judicial 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 and in which such an officer or employee of the Government or special Government employee participates or has participated personally and substantially as Government employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation or otherwise, or which is the subject of his official responsibility—

Shall be fined not more than $5,000, or imprisoned not more than 1 year, or both.

A partner of a present or former 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, or of a present or former special Government employee shall as such be subject to the provisions of sections 203, 205, and 207 of this title only as expressly provided in subsection (c) of this section.

18 U.S.C. 208

Acts affecting a personal financial interest. (a) Except as permitted by subsection (b) hereof, whoever, being an officer or employee of the executive branch of the U.S. Government, or any independent agency of the United States, or of the District of Columbia, including a special Government employee, participates personally and substantially as a Government officer or employee, through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, in a judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter in which, to his knowledge, he, his spouse, minor child, partner, organization in which he is serving as officer, director, trustee, partner, or employee, or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, has a financial interest

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

(b) Subsection (a) hereof shall not apply, (1), if the officer or employee first advises the Government official responsible for appointment to his position of the nature and circumstances of the judicial or other pro

ceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter and makes full disclosure of the financial interest and receives in advance a written determination made by such official that the interest is not so substantial as to be deemed likely to affect the integrity of the services which the Government may expect from such officer or employee, or (2), if, by general rule or regulation published in the FEDERAL REGISTER, the financial interest has been exempted from the requirements of clause (1) hereof as being too remote or too inconsequential to affect the integrity of Government officers' or employees' services. APPENDIX B.-MISCELLANEOUS STATUTES (SEE §§ 3.105 AND 3.607)

1. House Concurrent Resolution 175, 85th Congress, 2d Session, 72 Stat. B12, the "Code of Ethics for Government Service."

2. Chapter 11 of Title 18, United States Code, relating to bribery, graft, and conflicts of interests, as appropriate to the employees concerned.

3. The prohibition against lobbying with appropriated funds (18 U.S.C. 1913).

4. The prohibitions against disloyalty and striking (5 U.S.C. 7311; 18 U.S.C. 1918).

5. The prohibition against the employment of a member of a Communist organization (50 U.S.C. 784).

6. The prohibitions against (1) the disclosure of classified information (18 U.S.C. 798, 50 U.S.C. 783); and (2) the disclosure of confidential information (18 U.S.C. 1905).

7. The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 7352). 8. The prohibition against the misuse of a Government motor vehicle or aircraft (31 U.S.C. 638a(c)).

9. The prohibition against the misuse of the franking privilege (18 U.S.C. 1719).

10. The prohibition against the use of deceit in an examination or personnel action in connection with Government employment (18 U.S.C. 1917).

11. The prohibition against fraud or false statements in a Government matter (18 U.S.C. 1001).

12. The prohibition against mutilating or destroying a public record (18 U.S.C. 2071). 13. The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508).

14. The prohibitions against (1) embezzlement of Government money or property (18 U.S.C. 641); (2) failing to account for public money (18 U.S.C. 643); and (3) embezzlement of the money or property of another person in the possession of an employee by reason of his employment (18 U.S.C. 654).

15. The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. 285).

16. The prohibition against proscribed political activities (The Hatch Act-5 U.S.C. 7324-7327; 18 U.S.C. 602, 603, 607, and 608).

§ 3.201

Use of advisory service.

When questions or problems arise concerning matters covered by this part, EPA employees shall seek the advice and consultative services of the counselors designated in § 3.202 below.

§ 3.202 Designation of counselors and statement of functions.

(a) The Deputy General Counsel is designated as the Agency Counselor. His functions consist of the following:

(1) Acts as the principal point of contact with the Civil Service Commission on matters covered in these regulations.

(2) Provides general guidance to Deputy Counselors for the purpose of achieving uniform interpretation of these regulations.

(3) Coordinates EPA's services for counseling personnel on questions of conflict of interest.

(b) Deputy Counselors:

(1) The following officials are designated as Deputy Counselors under this part:

(i) Assistant Administrators.

(ii) Deputy Assistant Administrators. (iii) Heads of Staff Offices reporting directly to the Administrator or Deputy Administrator.

(iv) Regional Administrators. (v) Directors of National Environmental Research Centers.

(2) Functions of the Deputy Counselors:

Deputy Counselors shall be responsible for

(i) Counseling employees on all problems and questions arising under the regulations set forth in this subpart.

(ii) Reviewing and maintaining custody of statements of employment and financial interests, filed pursuant to the provisions of subpart C of this part.

(iii) Making determinations on requests from employees for approval for outside employment or other outside activity pursuant to the provisions of subpart E of this part.

(iv) Consulting, as necessary, with the Agency Counselor on questions and problems arising under regulations.

§ 3.203 Review, enforcement, reporting, and investigating.

(a) Each statement, and supplementary statement, of employment and financial interests submitted under subpart C of this part shall be reviewed by the appropriate Deputy Counselor or by the Agency Counselor. If that review discloses a conflict of interest or apparent conflict of interest, 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 by the Deputy Counselor, it shall be referred to the Agency Counselor, and if it cannot be resolved by the Agency Counselor, it shall be reported to the Administrator.

(b) Employees shall consult with their Deputy Counselors with regard to any questions concerning these regulations. Resolution of problems disclosed by such consultations shall be accomplished at the lowest possible supervisory level in the agency through counseling or by taking administrative action to eliminate real or apparent conflicts of interest. The Director, Security and Inspection Staff, shall be requested by the Deputy Counselor, when necessary, to conduct investigations to ascertain all relevant facts.

(c) Any employee receiving an allegation of a possible violation of the provisions of this subpart by any other employee (including personnel or other Government agencies detailed to EPA) shall promptly report it directly to the appropriate Counselor or Deputy Counselor. If the Counselor or Deputy Counselor deems that an investigation is necessary, he shall request the Director, Security and Inspection Staff, to conduct the investigation.

(d) A violation of the regulations in this subpart may be cause for disciplinary action. All disciplinary or remedial action taken hereunder shall be in conformance with applicable laws, Executive orders, Civil Service Commission regulations, and EPA regulations. Disciplinary or remedial action includes, but is not limited to, divestiture by the employee of his conflicting interest, disqualifica

(a) Employees are subject to two types of controls in connection with apparent or actual conflicting financial interests. One is a criminal statute, 18 U.S.C. 208, which by its terms prohibits an employee's participation in certain official activities where he has a conflicting personal financial interest. The other is a requirement under Executive Order No. 11222 of May 8, 1965, and Civil Service Commission regulations that employees occupying certain Government positions shall report all personal financial interests and outside employment by filing a statement of employment and financial interests. The statute and the statement of employment and financial interests have the common objective of deterring the occurrence of conflicting financial interest situations. The statute prohibits and punishes while the statement of employment and financial interests is intended to aid the employee and those who review his statement in identifying and avoiding situations that present conflicts of interest.

(b) The statement of employment and financial interests for regular Government employees, referred to in paragraph (a) of this section shall be filed in accordance with the procedures set forth in appendix A to this subpart, and shall include all personal financial interests of the reporting employee, except those exempted from the reporting requirements of this subpart by virtue of the first paragraph of appendix C of this subpart. The submission of a statement or supplementary statement by an employee does not permit him or any other

person to act in a manner prohibited by law, order, or regulation. Procedures for obtaining waivers of the prohibitions of section 208(a) of Title 18, United States Code, are set forth in § 3.303.

(c) All employees whether or not they are required to file a statement of employment and financial interests, and an annual supplement thereto, shall avoid acquiring a financial interest that could result, or taking an action that would result, in a violation of section 208(a) of Title 18, United States Code, or of this subpart.

§ 3.302 Statutory prohibitions against acts affecting a personal financial interest.

(a) The provisions of section 208(a) of Title 18, United States Code, prohibit any employee from participating personally and substantially in the course of his Government duties in any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter in relation to which matter, to his knowledge, the following persons or organizations have a financial interest:

(1) The employee, his spouse, minor child, or partners;

(2) A business or nonprofit organization in which the employee is serving as an officer, director, trustee, partner, or employee; or

(3) A person or business or nonprofit organization with whom or with which the employee is negotiating, or has any arrangement with, concerning prospective employment.

(b) The prohibitions in paragraph (a) of this section may be waived under certain circumstances which are set out in § 3.303.

(c) Illustrative of the types of matters in which employees commonly participate and which may fall within the prohibitions described in paragraph (a) of this section are the following:

(1) The negotiation, administration, or auditing of contracts or agreements;

(2) The selection or approval of contractors or known subcontractors under an EPA prime contract;

(3) The technical monitoring or direction of work under a contract;

(4) Enforcement activities; (5) Issuance of permits to discharge industrial waste;

(6) Registration of pesticides products.

(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 83.304 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

(c) Whoever, being a partner of 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, acts as agent or attorney for anyone other than the United States, in connection with any judicial 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 and in which such an officer or employee of the Government or special Government employee participates 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—

Shall be fined not more than $5,000, or imprisoned not more than 1 year, or both.

18 U.S.C. 208

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

ceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter and makes full disclosure of the financial interest and receives in advance a written determination made by such official that the interest is not so substantial as to be deemed likely to affect the integrity of the services which the Government may expect from such officer or employee, or (2), . if, by general rule or regulation published in the FEDERAL REGISTER, the financial interest has been exempted from the requirements of clause (1) hereof as being too remote or too inconsequential to affect the integrity of Government officers' or employees' services. APPENDIX B.-MISCELLANEOUS STATUTES (SEE §§ 3.105 AND 3.607)

1. House Concurrent Resolution 175, 85th Congress, 2d Session, 72 Stat. B12, the "Code of Ethics for Government Service."

2. Chapter 11 of Title 18, United States Code, relating to bribery, graft, and conflicts of interests, as appropriate to the employees concerned.

3. The prohibition against lobbying with i appropriated funds (18 U.S.C. 1913).

4. The prohibitions against disloyalty and striking (5 U.S.C. 7311; 18 U.S.C. 1918).

5. The prohibition against the employment of a member of a Communist organization (50 U.S.C. 784).

6. The prohibitions against (1) the disclosure of classified information (18 U.S.C. 798, 50 U.S.C. 783); and (2) the disclosure of confidential information (18 U.S.C. 1905).

7. The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 7352). 8. The prohibition against the misuse of a Government motor vehicle or aircraft (31 U.S.C. 638a (c)).

9. The prohibition against the misuse of the franking privilege (18 U.S.C. 1719).

10. The prohibition against the use of deceit in an examination or personnel action in connection with Government employment (18 U.S.C. 1917).

11. The prohibition against fraud or false statements in a Government matter (18 U.S.C. 1001).

12. The prohibition against mutilating or destroying a public record (18 U.S.C. 2071). 13. The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508).

15. The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. 285).

16. The prohibition against proscribed political activities (The Hatch Act-5 U.S.C. 7324-7327; 18 U.S.C. 602, 603, 607, and 608).

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