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flicting 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-ofinterest 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 a 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 substantially" as 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 con

flicting financial interest which he holds directly or that is imputed to him. These exemptions are:

(1) 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

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APPENDIX A-Records.

APPENDIX B-Directory: regional and area offices, Department of Housing and Urban Development.

AUTHORITY: Sec. 213 of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, Pub. L. 91-646 (84 Stat. 1894).

SOURCE: 39 FR 10362, Mar. 19, 1974, unless otherwise noted.

Subpart A-General

§ 4.100 Purpose and policy.

(a) This part implements the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 which provides for the uniform and equitable treatment of persons displaced from their homes, businesses, or farms by Federal and federally-assisted projects and establishes uniform and equitable land acquisition policies for Federal and federally-assisted programs.

(b) In implementing the act, it is the policy of the Environmental Protection Agency to deal consistently and fairly with all persons whose property is taken for public projects and all persons who are displaced from their homes, businesses or farms.

§ 4.101 Applicability.

This part applies to EPA projects and to EPA assisted projects which after January 1, 1971, cause the displacement of persons or the acquisition of real property.

§ 4.102 Definitions.

As used in this part§ 4.102-1 The Act.

The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, Pub. L. 91-646 (84 Stat. 1894) approved January 2, 1971. § 4.102-2 Administrator.

The Administrator of the Environmental Protection Agency or his designee. § 4.102-3 Business.

A lawful activity, other than a farm operation, conducted primarily,

(a) 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;

(b) For the sale of services to the public; (c) By a nonprofit organization; or

(d) Solely for the purposes of section 202(a) of the act, for assisting in the purchase, sale, resale, manufacture, processing, or marketing of products, commodities, personal property, or services by the erection and maintenance of an outdoor advertising display or displays, whether or not such display or displays are located on the premises on which any of the above activities are conducted. Section 202(a) provides entitlement to payment for actual reasonable moving and related expenses. § 4.102-4 Displacing agency.

The Environmental Protection Agency in the case of an EPA project or a State agency (§4.102-14) in the case of a project receiving financial assistance from EPA.

§ 4.102-5 Dwelling,

The place of permanent or customary and usual abode of a person. It includes a single family building, a one-family unit in a multifamily building, a unit of a condominium or co-operative housing project, and any other residential unit, including a mobile home, which is either considered to be real property under State law or which cannot be moved without substantial damage or unreasonable cost.

§ 4.102-6 Economic rent.

The amount of rent a displaced homeowner or tenant would have to pay for a comparable dwelling in an area similar to the neighborhood in which the displacement dwelling is located.

§ 4.102-7 Family.

Two or more individuals who are related by blood, adoption, marriage, or legal guardianship who live together as a family unit. Others who live together as a family unit may be treated as if they were a family, upon determination by the Administrator.

§4.102-8 Farm operation.

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 sufficient quantity to be capable of providing at least one-third of the operator's income. Where such operation is obviously a farm operation, however, it need not contribute one-third to the operator's income

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A person who holds fee title, a life estate, a 99-year lease, or an interest in a cooperative housing project which includes the right of occupancy of a dwelling unit, or is the contract purchaser of any such estate or interest, or who is possessed of such other proprietary interest in the property acquired as, in the judgment of the Administrator, warrants consideration as ownership. In the case of one who has succeeded to any of the foregoing interests by devise, bequest, inheritance or operation of law, the tenure of ownership, not occupancy, of the succeeding owner shall include the tenure of the preceding owner.

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Any individual, partnership, corporation or association.

§ 4.102-14 State agency.

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.

§ 4.102-15 Tenant.

An individual or family who rents, or is temporarily in lawful possession of a dwelling, including a sleeping room.

§ 4.103 Displaced person; qualifications.

(a) Subject to the exceptions of paragraphs (d) and (e) of this section, a person qualifies as a displaced person if, after January 1, 1971, he moves from real property, or moves his personal property from real property, as a result of the acquisition of that real property, in whole or in part, or as the result of the written order of the acquiring agency to vacate real property, for a program or project undertaken by EPA or with EPA financial assistance.

(b) A person who moves from real property, or moves his personal property from real property, as a result of the acquisition of, or the written order of the acquiring agency to vacate, other real property on which such person conducts a business or farm operation (and the acquisition of that other real property is for an EPA or EPA-assisted project) is a displaced person solely for the purposes of sections 202(a), 202(b) and 205 of the act. Those sections provide for entitlement to payment for moving and related expenses and to relocation assistance advisory services.

(c) A person may qualify as a displaced person regardless of:

(1) Whether the property is acquired by EPA or by a State agency receiving assistance from EPA;

(2) The name or status of the person who acquires or holds fee title to the property; or

(3) Whether EPA funds contribute to the payment for the property, if the property must be acquired for an EPA or EPA-assisted program or project.

(d) A person, other than the former owner or tenant, who enters into rental occupancy of real property after its ownership passes to the displacing agency, does not qualify as a displaced person for purposes of this part.

(e) A person who enters into occupancy of real property after the initiation of negotiations for that property or after the issuance of a notice of intent to acquire that property by a given date, does not qualify as a displaced person for purposes of this part. § 4.104 Appeals.

(a) EPA administered projects. Any person aggrieved by a determination made by EPA, in connection with an EPA project or program, concerning the eligibility for, or amount of, any payment to such person under the regulations in this

part, may appeal to have his application reviewed by the Administrator. Appeals shall be submitted in writing and addressed to the Administrator, Environmental Protection Agency, Washington, D.C. 20460. No appeal will be considered unless it is received by the Administrator within 90 days of the date of receipt by the person aggrieved of written denial, in whole or in part, of his application for payment. The appeal should include written substantiation. An appeal may be presented by the attorney of the person aggrieved or by the person himself. The Administrator shall promptly issue a decision on the appeal, which decision may either uphold the original determination or allow prompt payment of any amounts which are determined to be due the claimant. The decision will be in writing, and state the facts and law upon which it is based. A copy of the decision will be furnished to the person aggrieved. The decision will constitute the final EPA decision on the application for payment.

(b) EPA-assisted projects. An applicant for a payment under an EPA assisted project who is aggrieved by a displacing agency's determination as to the applicant's eligibility for payment or the amount of the payment may appeal that determination in accordance with the procedures established by the displacing agency. Each displacing agency shall establish procedures for reviewing appeals by aggrieved applicants for payments. The procedures shall insure that:

(1) Each applicant has the opportunity for oral and written presentation and the right to have counsel participate in such presentation;

(2) Each appeal will be decided promptly;

(3) Each appeal decision will include a written statement of the reasons upon which it is based and a copy of such decision will be furnished the appellant;

(4) Prompt payment is made of any amounts which are determined to be due the claimant.

(5) The agency retains all documents associated with each appeal; and

(6) Each appellant applicant has a final appeal to the head of the displacing agency.

§ 4.105 Records.

Each displacing agency shall maintain relocation records in accordance with the requirements of Appendix A to this part and make them available during regular

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