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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).

17. The prohibition against an employes acting as the agent of a foreign principal registered under the Foreign Agents Registration Act (18 U.S.C. 219).

Subpart B-Advisory Service and
Enforcement

§ 3.200 Purpose.

This subpart establishes an advisory service for employees for the purpose of furnishing interpretations and advising on questions arising concerning standards of conduct and prescribes the types of remedial and disciplinary actions which may be taken to enforce the requirements of Subparts A, C, D, and E of this part. §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 achiev

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ing 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:

(1) Assistant Administrators.

(11) 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

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

(11) 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 filnancial 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 tak

ing 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, disqualification for particular assignments, reassignment, or other disciplinary action.

(e) The employee concerned shall have a reasonable opportunity during any investigation and at all levels of consideration of his problems to present in person and through documents his position on the matter.

Subpart C-Financial Interests and
Investments

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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 incumbents are required to file confidential statements of employment and financial interests. The designated Agency Counselor, and Deputy Counselors referred to throughout § 3.304 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 duties and responsibilities require the exercise of judgment in making a Government decision or in taking Government action in regard to:

(i) Contracting or procurement, including: The evaluation or selection of contractors; the negotiation, approval, or award of contracts; the supervision of activities performed by contractors, including the administration, monitoring, audit, and inspection of contractors and contract activities; and the initiation or approval of requests to procure supplies, equipment, or services, other than those common items available from EPA or GSA inventories.

(ii) Administering

or monitoring grants or subsidies, including grants to educational institutions and other nonFederal organizations; or

(iii) Regulating or auditing private or other non-Federal enterprise.

(2) Employees classified at the GS-13 level and above (or comparable levels under other pay systems), who are identified by the Agency Counselor or Deputy Counselors as holding positions requiring the incumbent thereof to exercise judgment in making Government decisions or taking actions where such decisions or actions may have an economic impact on the interest of any nonFederal enterprise.

(3) Employees classified below the GS-13 level (or at a comparable level

under other pay systems), who are in positions which otherwise meet the criteria of paragraph (f) (1) or (2) of this section, providing the Civil Service Commission has approved the determination that the incumbents of such positions should be required to file statements of employment and financial interests in order to protect the integrity of the Government and to avoid the employee's involvement in a possible conflict of interest situation.

(g) An employee described in paragraph (f)(1) of this section shall be exempted from the requirement for filing a confidential statement of employment and financial interests when the Counselor or a Deputy Counselor determines that the employee's duties are of such a nature, or are at such a level of responsibility and are subject to such a degree of supervision and review, that the possibility of his becoming involved in a conflict of interest is remote. Such a determination shall be written and recorded by the official (Counselor or a Deputy Counselor) concerned. APPENDIX A-PROCEDURES FOR FILING STATEMENTS от EMPLOYMENT AND FINANCIAL INTERESTS

(a) General. (1) Submission of confidential statements of employment and financial interests. Each employee who is required to submit a confidential statement of employment and financial interests for whom there is no current statement on file shall promptly complete and forward this statement, but in any event no employee shall submit his financial statement later than 30 days after the effective date of issuance of these regulations. For employees appointed after the effective date of these regulations, statements shall be submitted within 30 days after entrance on duty. The employee's statement shall be submitted on EPA Form No. 3115.1, Confidential Statement of Employment and Financial Interests. The completed form No. 3115.1 shall be forwarded for review to the Deputy Counselor for the organization of the employee concerned, except that statements from employees in the immediate office of the Administrator and those of the Deputy Counselors shall be submitted for the review of the Counselor.

(2) Review of statements. EPA Form 3115.1, when received by the Counselor or by a Deputy Counselor in accordance with paragraph (a) above, shall be reviewed by that official to determine whether or not there is or appears to be a conflict between the interests of the employee and the performance of his services for the Government. (3) Decisions on conflict of interest. When the review as provided in paragraph (b) above indicates a conflict between the interest of an employee and the perform

ance of his services for the Government the reviewing official shall have the indicated conflict brought to the attention of the employee, grant the employee an opportunity to explain the conflict, and attempt to resolve it as expeditiously as possible. If the reviewing official cannot resolve a conflict on the basis of facts available to him he may refer the matter to the Security and Inspection Staff for an investigation into the facts surrounding the indicated conflict. The Security and Inspection Staff's written report shall be forwarded to the reviewing official who, if still unable to resolve the conflict, shall forward it to the Agency Counselor for a determination. If the Agency Counselor is unable to resolve the conflict the matter shall be referred to the Administrator. The Administrator shall determine what remedial or disciplinary action is appropriate in light of all available information. A record of the final disposition shall be made a part of the statement of employment and financial interests.

(4) Submission of supplementary statements. Changes in, or additions to, information required by the submission of an EPA Form 3115.1 shall be reported quarterly on an additional EPA Form 3115.1 clearly indicating that the information is supplementary. The supplementary form 3115.1 shall be submitted at the end of the quarter in which the changes or additions occur. Quarters end September 30, December 31, March 31, and June 30. If there are no changes or additions within a quarter, a negative report is not required. For purposes of annual review however, an EPA Form 3115.1, clearly marked supplementary, must be submitted to the appropriate Counselor or Deputy Counselor by June 30 of each year. If no changes or additions have occurred during the year, a negative report is required.

(5) Confidentiality. Each completed form 8115.1 (whether the original or supplementary submission) shall be held in confidence. No disclosure of information from this form shall be made other than to EPA employees in the performance of official functions under this part or as the Chairman of the Civil Service Commission or the Administrator of EPA may determine for good cause shown.

(6) Maintenance of statements. EPA form 3115.1 and related records shall be maintained by the appropriate reviewing official in a locked, limited access, container.

(b) Employee's right to review. An employee who takes exception to the determination that he must submit an EPA form 3115.1 may request review and reconsideration in accordance with the procedures provided in the grievance procedure of the Agency. APPENDIX B-POSITIONS WHOSE INCUMBENTS MUST FILE CONFIDENTIAL STATEMENTS OF EMPLOYMENT AND FINANCIAL INTERESTS All positions occupied by officials paid at levels of the executive schedule except the Administrator.

OFFICE OF THE ADMINISTRATOR

Deputy Administrator.

OFFICE OF LEGISLATION

Director, Office of Legislation.

OFFICE OF CIVIL RIGHTS URBAN AFFAIRS

Director, Office of Civil Rights and Urban Affairs.

Director, Compliance Division.

Director, Equal Opportunity Division.

OFFICE OF INTERNATIONAL ACTIVITIES Associate Administrator, Office of International Activities.

Director, Bilateral Programs Division. Director, International Technology Division.

Director, Multilateral Organizations Divi

sion.

OFFICE OF FEDERAL ACTIVITIES Director, Office of Federal Activities. OFFICE OF PUBLIC AFFAIRS

Director, Office of Public Affairs.

ASSISTANT ADMINISTRATOR FOR PLANNING AND

MANAGEMENT

Assistant Administrator for Planning and Management.

Director, Office of Education and Manpower Planning.

OFFICE OF AUDIT

Director, Office of Audit.

Deputy Director, Office of Audit.
Chief, Program Audit Branch.

Chief, Installation and Management Audit Branch.

Chief, Special Projects Branch.

Manager, Construction Grant Audit Group.
Managers, Area Audit Groups.

OFFICE OF ADMINISTRATION

Deputy Assistant Administrator for Administration.

Director of Administration, Research, Triangle Park (RTP), N.C.

Chief, RTP Personnel Operations.
Chief, RTP Facilities Staff.
Chief, RTP Computer Operations.
Safety Officer RTP.

Chief, RTP Administrative Services. Supervisor, RTP Contract Operations. Head, R. & D. Procurement Section, RTP. Chief, R. & D. Procurement Unit A, RTP. Chief, R. & D. Procurement Unit B, RTP. Head, Equipment, Services, and Construction Procurement Section, RTP.

Director, Security and Inspection Staff. Director, Management and Organization Division.

Director, Personnel Management Division. Director, Grants Administration Division. Grants Officers, GS-13 and above.

Director, Contracts Management Division. Contracts Officers, GS-13 and above.

Deputy Director, Contracts Management Division.

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