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of, the Government or EPA or lead to relationships which might impair public confidence in the integrity of the Government or EPA.
(e) It would involve work with any contractor or subcontractor which is connected with any work being performed by that entity for EPA or would otherwise involve work for any person or organization which may be in a position to gain advantage in its dealings with the Government through the employee's exercise of his official duties.
(f) It would identify EPA or the employee officially with any organization manufacturing, distributing, or advertising a product relating to work conducted by EPA, or would create the false impression that it is an official action of EPA, or represents an official point of view. In any permissible outside employment, care shall be taken to ensure that names and titles of employees are not used to give the impression that the activity or product is officially endorsed or approved by EPA or is part of EPA activities.
(g) It would involve use of the employee's time during his official working hours.
(h) It would involve use by the employee of official facilities, e.g., office space, office machines or supplies, or the services of other employees during duty hours.
(i) It would be of such extent or nature as to interfere with the efficient performance of the employee's Government duties, or impair his mental or physical capacity to perform them in an acceptable manner.
(j) It would involve use of information obtained as a result of Government employment which is not freely available to the general public in that it either has not been made available to the general public or would not be made availahle on request. However, written authorization for the use of any such information may be given when the Administrator determines that such use would be in the public interest. $ 3.504 Distinction between official and
nonofficial activities. In applying the provisions of this subpart, particularly with regard to writing, speaking, or editing activities, employees shall distinguish between official and nonofficial activities. In connection with
writing, speaking, or editing, an activity shall normally be considered official if:
(a) It is the result of a request ad. dressed to EPA to furnish a speaker, author, or editor or of an invitation ad. dressed to an employee of EPA to perform these activities in his official capacity, rather than as a private individual; or
(b) The activity is performed in conjunction with attendance at a meeting approved under the authority of section 4111 of Title 5, United States Code. The fact that an activity was prepared for outside of duty hours or was performed after normal duty hours is not determinative of whether it is official or nonofficial. $ 3.505 Compensation, honorariums,
travel expenses. (a) An employee may accept compensation or an honorarium for permissible outside employment or other outside activity which is nonofficial in character unless otherwise prohibited by this subpart.
(b) (1) Except as provided in paragraph (b) (2) of this section, travel expenses shall be borne by the Government when official employment activities of employees are involved, including attendance at meetings of nongovernmental organizations. Conversely, when nonofficial outside employment activities are involved, appropriated funds shall not be utilized for travel or subsistence.
(2) Contributions and awards incident to training in non-Government facilities and travel, subsistence, and other expenses incident to attendance at meetings may be accepted by employees, provided these contributions, awards, and payments are made by nonprofit organizations under section 4111 of Title 5, United States Code, and that the employee has obtained specific written authorization to accept the contribution or award. $ 3.506 Special conditions applicable to
teaching, lecturing and speechmak.
ing. (a) Subject to the limitations set forth in $ 3.503, employees are encouraged to engage in teaching, lecturing, and speechmaking activities which are no part of their official duties provided that:
(1) Such activity is conducted on the employees' own time without the use of Government supplies and without specific information otherwise unavailable to the public.
(2) Government travel or per diem funds are not used for these purposes.
(3) Teaching and lecturing is not for the purpose of special preparation for a civil service examination that depends on information obtained as a result of Government employment except when that information is available to the general public.
(4) Such activities do not involve knowingly instructing persons on dealing with specific matters pending before Government organizations with which the employee is associated in an official capacity. $ 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 oficial 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 perticipation 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, each employee shall obtain administrative approval in accordance with appendix A to this part before engaging in outside employment of the following types:
(a) Regular self-employment.
(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 official 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, or except as may be paid under the terms of Chapter 41 or Title 5, United States Code.
(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, profit-sharing, stock bonus, or other employee welfare or bene
fit 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 OTHEZ 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 organi. zation 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.
1. The grants or contracts involved, if contemplated outside employment includes consultative or professional services to insti. tutions 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 approval 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 respense 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 ope 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 avallable only to the Counselor, Deputy Counselors, and other officials specifcally 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 g 3.102(c). It is of particular applicability 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
Government employee, whether he works on a full-time 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 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 Goverment 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:
(1) 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 relationship 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 Govern.
ment 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