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enterprises.” Information relating to such institutions, where relevant, shall therefore be included in a special Government employee's statement of employment and financial interests.

(c) The purpose of the statement of employment and financial interests is to assist the employee, and those who review his statement, in avoiding situations where a conflicting financial interest might exist. The statement shall be treated by EPA as private information of the employee, and shall be held in confidence. It shall be reviewed only by EPA officials designated as Counselor and Deputy Counselors in $ 3.202. There shall be no discussion or disclosure of the details of the information furnished except as necessary to carry out the provisions of this subpart. Information contained in the statement shall not be disclosed outside EPA except as authorized by the Administrator or the Civil Service Commission for good cause shown.

(d) The submission of a statement of employment and financial interests is not intended to relieve the employee from complying with other applicable provisions of law, Executive order, or this subpart. In particular, the employee is not thereby permitted to participate in a matter where such participation is prohibited by section 208 of Title 18, United States Code (see $ 3.606(d)).

(e) Information concerning financial interests which have been exempted from the prohibition of section 208(a) of Title 18, United States Code, as set forth in appendix C to subpart B of this part may be omitted from the statement of employment and financial interests.

(f) The Administrator of EPA has determined that the following categories of special Government employees who are not consultants or experts as defined in chapter 304 of the Federal personnel manual shall not be required to file statements of employment and financial interests because their duties are of a nature and at such a level of responsibility that the submission of a statement by them is not necessary to protect the Integrity of the Government:

(1) Temporary and summer employees below the grade of GS-13 under section 532 of Title 5, United States Code.

(2) Employees participating in an Intern or other training program.

$ 3.604 Advisory service.

Special Government employees who desire assistance or advice on interpreting the provisions of this subpart, or on other matters relating to the subject matter covered herein, are invited to consult the appropriate Agency Deputy Counselor or the Counselor as set forth in subpart B, $ 3.202. $ 3.605 Review, enforcement, report

ing, and investigation. (a) Each statement of employment and financial interests submitted under this subpart shall be reviewed by the Agency Counselor or appropriate Deputy Counselor. If his review discloses a conflict of interests or apparent conflict of interests 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 it shall be reported to the Administrator, through the Deputy General Counsel, as Agency Counselor on conflict of interests matters. If the Agency Counselor decides that remedial action is necessary, he shall take such action immediately to end the conflict or apparent conflict of Interests.

(b) Special Government employees shall consult with the appropirate Agency Counselor or Deputy Counselor with regard to any questions concerning this subpart. Resolution of problems disclosed by such consultations shall be accomplished at the lowest possible supervisory level in the agency through counseling or administrative action to eliminate a real or apparent conflict of interests. The services of the Director, Security and Inspection Staff, shall be requested by the Deputy Counselor, when necessary, to conduct investigations to ascertain all relevant facts.

(c) A violation of the regulations contained in this part may be cause for appropriate 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. Appropriate disciplinary or remedial action includes, but is not limited to divestiture by the employee of his conflicting interest, disqualification for particular assignments, and reassignment.

(d) The special Government employee concerned shall have a reasonable opportunity during any investigation and at all levels of consideration of this problem to present in person and through documents his position on the matter. $ 3.606 Application of conflict-of

interest statutes. The "conflict-of-interest” statutes (18 U.S.C. 203, 205, 207, 208, and 209) are criminal statutes which provide for fines or imprisonment if they are violated. Their full text is set forth in appendix A to subpart A of this part. In summary, they apply to the special Government employee as follows;

(a) Sections 203 and 205 of Title 18, United States Code, apply to the special Government employee in his capacity as a private individual while serving also as a Government employee. They provide that the special Government employee may not, except in the discharge of his Government duties:

(1) Represent anyone else before a court or any Government agency in relation to a “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 has at any time participated “personally and substantially" either as a special or regular Government employee.

(2) Represent anyone else before a court or any Government agency in relation to a “particular matter” involving a specific party or parties which is pending within EPA, if he has served as an EPA employee for more than 60 days during the preceding 365 days. The special Government employee is bound by this restraint whether or not he has acted “personally and substantially" in relation to the “particular matter."

There are four exceptions to the application of one or both of the foregoing prohibitions, which are specified in the full text of section 205 of title 18, United States Code, at appendix A to subpart A.

(b) Section 207 of title 18, United States Code, applies to the special Government employee in his capacity as a private individual, after he has terminated his service as a Government employee. It provides that the former employee shall not:

(1) At any time after his Government employment has ended, represent anyone else before a court or any Government agency in relation to a “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" either as special or regular Government employee.

(2) Within 1 year after his Government employment has ended, appear personally before a court or any Government agency in relation to a “particular matter” involving a specific party or parties in which the United States is a party or has a direct and substantial interest, and which was under his “official responsibility" as a Government employee within a period of 1 year prior to the termination of such responsibility. This prohibition applies whether or not the special Government employee participated “personally and substantially” in the “particular matter" while he was employed.

(c) Section 207(c) of Title 18, United States Code, applies to the partner of a special Government employee. It provides that during the period of the special Government employee's appointment, his partner shall not act as agent or attorney for anyone else in relation to a “particular matter" in which the United States is a party or has a direct and substantial interest, and in which the employee is participating or has participated “personally and substantiallyas a special Government employee, or which is under the employee's "official responsibility.”

(d) (1) Section 208 of Title 18, United States Code, applies to the special Government employee, when he is acting in his capacity as a Government employee. It provides that the special Government employee shall not, in his governmental capacity, participate "personally and substantially" in any “particular matter” in relation to which matter, 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.

(2) The statute also provides two exemptions from the foregoing prohibition which permit a special Government employee to participate “personally and substantially" in a “particular matter," notwithstanding the existence of a conflicting financial interest which he holds directly or that is imputed to him. These exemptions are:

(b) Regulations of the Civil Service Commission require that certain other statutes pertaining to the ethical and other conduct of special Government employees be brought to the attention of all special Government employees. These are listed in appendix B to subpart A of this part.

(i) In connection with specific matters, if the special Government employee's financial interest is not so substantial as to be deemed likely to affect the integrity of the services which the Government may expect from him, an ad hoc exemption from the application of the statutory prohibition may be granted in writing in advance of his acting in relation to that matter, by the Administrator.

(ii) A general exemption, applicable to all employees including special Government employee, of certain financial interests which have been determined to be too remote or too inconsequential to affect the integrity of an employee's services in any matter in which he may be called upon to participate, may also be granted. The categories of financial interests which have been exempted by the Administrator under this general authority are set forth in appendix C to subpart C of this part.

(e) Section 209 of Title 18, United States Code, the fifth “conflict-ofinterest” statute, does not apply to special Government employees. $ 3.607 Other statutes.

(a) There are many other criminal statutes which are especially aimed at regulating the conduct of Government employees and which, therefore, apply to special Government employees. Two such statutes which are closely related to the conflict of interests statutes are:

(1) Bribery.—Section 201 of Title 18, United States Code, prohibits a Government employee from soliciting, receiving, or agreeing to receive, directly or indirectly, anything of value for himself or others in connection with the performance of his official duties, or in return for committing or aiding in the commission of a fraud on the United States.

(2) Disclosure of confidential information.-Section 1905 of Title 18, United States Code, prohibits a Government employee from disclosing, in any manner and to any extent not authorized by law, any information coming to him in the course of his employment or official duties which concerns or is related to the trade secrets, processes, operations, style or work, or apparatus, or to the identity, confidential statistical data, amount or source of any income, profits, losses, or expenditures of any person, business entity, or association.

PART 4 INTERIM REGULATIONS

AND PROCEDURES FOR IMPLE-
MENTING THE UNIFORM RELOCA-
TION ASSISTANCE AND REAL
PROPERTY ACQUISITION POLICIES
ACT OF 1970

Subpart A-General
Sec.
4.1 Purpose and policy.
4.3 Definitions.
4.5 Applicability.
4.7 Displaced person; qualifications.
4.11 Comparable replacement dwelling;

requirements. 4.13 Decent, safe, and sanitary dwelling;

requirements. 4.17 Decent, safe, and sanitary rental

sleeping rooms; requirements. 4.19 Records.

Subpart B-Requirements for Federal Projects 4.31 Scope. 4.33 Determinations; displacement of

persons. 4.35 Determinations; acquisition of real

property. 4.37 Appeals. 4.39 State agency providing real property

for a Federal project. Subpart C- Requirements for Federally Assisted

Projects 4.51 Scope. 4.53 State agency required to submit re

location plan and statement of re

location procedure. 4.55 Prerequisites to EPA approval of Fed

eral financial assistance to project

or project phase; displacement. 4.57 Assurances required; acquisition of

real property. 4.59 Use of Federal financial assistance. 4.61 Federal share of costs. 4.63 Appeals. 4.65 Retroactive effect. 4.67 Required amendment of existing

grants, etc. Subpart D- Relocation Assistance Advisory

Programs 4.71 Scope. 4.73 Extension of services to adjacent occu

pants. 4.75 Relocation programs; general require

ments. 4.77 Organizational requirements. 4.79 Coordination with other agencies.

Sec.

Sec. 4.81 Public Information; general.

4.195 Increased interest costs. 4.83 Public Information; hearings.

4.197 Incidental expenses. 4.85 Public information; brochure.

4.199 Computation of rental payments; 4.87 Public information; announcements.

tenants. 4.89 Public information; notices.

4.201 Computation of rental payments; 4.91 Waiver of public information require

homeowners. ments.

4.203 Determining reasonable monthly rent. 4.93 Information for displaced persons.

4.205 Rental payments; method of

payment. Subpart —Moving and Related Expenses 4.207 Computation of down payments. 4.111 Scope.

4.209 Down payments. 4.113 Eligibility not dependent on length 4.211 Provisional payment pending conof occupancy.

demnation. 4.115 Payment limited to one move; ex- 4.213 Combined payments. ception.

4.215 Partial use of home for business or 4.117 Family treated as person.

farm operation. 4.119 Noneligibility notice to rental occu- 4.217 Multiple occupants of & single pants required.

dwelling. 4.121 Moving expenses; application and

4.219 Multifamily dwelling. payment.

4.221 Certificate of eligibility pending pur4.123 Exclusions.

chase of replacement dwelling. 4.125 Moving expenses; occupants of

Subpart H-Relocation Assistance Functions dwellings.

Carried Out Through Other Agencies 4.127 Moving expenses; businesses and farm operations.

4.231 Authority to carry out relocation as4.129 Moving expenses; advertising busi

sistance through other agencies. nesses.

4.233 Interagency agreement required. 4.131 Low value, high bulk property; busi- 4.235 Amendment of existing agreements nesses and farm operations.

required. 4.133 Actual direct losses; businesses and farm operations.

Subpart - Acquisition of Real Property 4.135 Expenses in searching for replace- 4.251 Scope. ment business or farm operations. 4.253 Real property acquisition practices.

4.255 Statement of just compensation to Subpart Fixed Allowance in Lieu of Moving

owner. and Related Expenses

4.257 Equal interest in improvements to be 4.161 Scope.

acquired. 4.153 Schedule of moving expense allow- 4.259 Payments to tenants for improveances; occupants of dwellings.

ments. 4.155 Dislocation and moving expense al- 4.261 Expenses incidental to transfer of lowances; occupants of dwellings.

title. 4.156 Family treated as person.

4.263 Litigation expenses. 4.157 Application and payment.

Appendix A--Records. 4.159 Fixed allowance; businesses. 4.161 Fixed allowance; farm operation.

AUTHORITY: The provisions of this Part 4 4.163 Computing average annual net in- Issued under sec. 213, 84 Stat. 1900.

come; businesses and farm opera- SOURCE: The provisions of this part 4 aptions.

pear at 36 F.R. 22370, Nov. 25, 1971, unless

otherwise noted. Subpart G-Replacement Housing Payments 4.171 Scope.

Subpart A-General 4.173 Purchase of a decent, safe, and sani

$ 4.1 Purpose and policy. tary dwelling. 4.175 Occupancy.

(a) This part implements the Uniform 4.177 Inspection of replacement dwelling Relocation Assistance and Real Property required.

Acquisition Policies Act of 1970 which 4.179 Application and payment.

provides for the uniform and equitable 4.181 Eligibility.

treatment of persons displaced from their 4.183 Replacement housing payment; pur- homes, businesses, or farms by Federal chase price.

and federally assisted projects and estab4.185 Replacement housing payments; rent

lishes uniform and equitable land acquiand down payments.

sition policies

for Federal and 4.187 Rules for considering land values.

federally-assisted programs. 4.189 Limitations; payment for purchase price.

(b) In implementing the act, it is the 4.191 Reasonable cost of comparable re

policy of the Environmental Protection placement dwelling.

Agency to deal consistently and fairly 4.193 Owner retention.

with all persons whose property is taken

а

for public projects and all persons who
are displaced from their homes, busi-
nesses or farms.
$ 4.3

Definitions.
As used in this part

(a) “Administrator" means the Administrator of the Environmental Protection Agency or his designee.

(b) "Business” means a lawful activity, other than a farm operation, conducted primarily

(1) For the purchase, sale, lease, or rental of personal and real property, or the manufacture, processing, or marketing of products, commodities, or other personal property;

(2) For the sale of services to the public; or

(3) By a nonprofit organization.

(c) “Displacing Agency" means EPA or the Federal or State agency responsible for carrying out the project for which real property is to be acquired.

(d) “Dwelling” includes singlefamily house, a single-family unit in a multifamily building, a unit of a condominium or cooperative housing project, a mobile home, or any other residential unit.

(e) "Economic rent" means the amount of rent a tenant or homeowner would have to pay for a dwelling similar to the acquired dwelling in a comparable area on the private market.

(f) "Farm operation" means a lawful activity conducted solely or primarily for the production of one or more agricultural products or commodities, including timber, for sale or home use and customarily producing those products or commodities in suficient quantity to be capable of providing at least one-third of the operator's income, however, in instances where such operation is obviously a farm operation it need not contribute one-third to the operation's income for him to be eligible for relocation payments.

(g) "Federal agency" means a department, agency, or instrumentality in the Executive Branch of Government (except the National Capital Housing Authority), any wholly-owned Government corporation (except the District of Columbia Redevelopment Land Agency), and the Architect of the Capitol, the Federal Reserve Banks and branches thereof.

(h) "Federal financial assistance" means a contract, grant, loan, or contri

bution by the United States to a State or State agency, other than a Federal guarantee or insurance or an annual payment or capital loan to the District of Columbia.

(i) “Federally assisted” means, with respect to States or State agencies, assisted by a contract, grant, loan, or contribution by the United States, other than a Federal guarantee or insurance or an annual payment or capital loan to the District of Columbia.

(j) “Homeowner" means an individual or family who owns a dwelling.

(k) "Initiation of negotiations” means the date the displacing agency makes its first personal contact with the owner of real property, or his representative, to discuss price of the property to be acquired.

(1) "Mortgage" means a lien commonly given to secure an advance on, or the unpaid purchase price of, real property under the laws of the State in which real property is located, together with any credit instruments secured thereby.

(m) "Own" means holding any of the following interests in a dwelling or a contract to purchase one of those interests:

(1) A fee title.
(2) A life estate.
(3) A 99-year lease.

(4) A lease with at least 50 years to run from the date of acquisition of the property.

(5) An interest in a coopera-ive housing project which includes the right to occupy a dwelling.

(n) "Person" includes a partnership, company, corporation, or association as well as individual.

(0) "State" means any of the several States of the United States, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, the trust territories of the Pacific Islands, or a political subdivision of any of those jurisdictions.

(p) “State agency" means a department, public body, agency or instrumentality of a State or of a political subdivision of a State, or any department, agency or instrumentality of two or more States or of two or more political subdivisions of a State or States, the National Capital Housing Authority and the District of Columbia Redevelopment Land Agency.

(q) "Tenant” means an individual or family who rents, or is temporarily in

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