§ 3.105 Title 40-Protection of Environrient ticket. Participation in federally sponsored fund-raising activities conducted under section 3 of Executive Order No. 10927 of March 18, 1961, or in similar EPA-approved activities, is not precluded. (d) General conduct prejudicial to the Government. Employees shall not engage in criminal, infamous, dishonest, immoral, or disgraceful conduct, or any other conduct prejudicial to the Government. (e) Statutory prohibitions relating to gifts and decorations. (1) An employee shall not solicit a contribution from another employee for a gift to an official superior, make a donation as a gift to an official superior, or accept a gift presented as a contribution from an employee receiving less salary than himself (5 U.S.C. 7351). This includes service, merchandise, loan, or other thing of value. However, this paragraph (e) does not prohibit a voluntary gift of nominal value or a donation in a nominal amount made on a special occasion such as marriage, illness or death, or retirement. (2) An employee shall not accept a gift, present, decoration, or other thing from a foreign government unless authorized by Congress as provided by the Constitution and section 7342 of Title 5, United States Code. (3) Subpart D of this part contains further information regarding acceptance of gifts, gratuities, or entertainment. (f) Disqualification of former employees in matters connected with former duties or official responsibilities and disqualification of partners. (1) No individual who has been an employee shall, after his employment has ceased, knowingly act as agent or attorney for anyone other than the United States, in connection with any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy charge, accusation, or other particular matter involving a specific party, or parties in which the United States is a party or has a direct or substantial interest and in which he participated personally and substantially as an emplovee through decision, approval, disapproval. recommendation, the rendering of advice, investigation, or otherwise, while so employed. (2) No individual who has been an employee shall, within 1 year after his employment has ceased, appear personally before any court or department or agency of the Government as agent, or attorney for anyone other than the United States in connection with any matter enumerated and described in paragraph (f) (1) of this section which was under his offcial responsibility as an employee of the Government at any time within a period of 1 year prior to the termination of such responsibility. (3) No partner of an employee shall act as agent or attorney for anyone other than the United States in connection with any matter enumerated and described in paragraph (1)(1) of this section in which such Government employee is participating 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. § 3.105 Statutes relating to employee conduct. Each employee should be aware of the statutory provisions that relate to his ethical and other conduct. Appendix A of this subpart provides the full text of the "conflict of interest" statutes. Appendix B to this subpart cites other statutory provisions which are particularly relevant to employee conduct. These statutes are available for review in the EPA Office of General Counsel. APPENDIX A-CONFLICT OF INTEREST STATUTES (SEE § 3.105 AND 3.606) 18 U.S.O. 203 Compensation to Members of Congress, ofAcers, and others in matters affecting the Government. (a) Whoever, otherwise than as provided by law for the proper discharge of official dutles, directly or indirectly receives or agrees to receive, or asks, demands, solicits, or seeks. any compensation for services rendered or to be rendered either by himself or another (1) At a time when he is a Member of Congress, Member of Congress-elect. Resident Commissioner, or Resident Commissionerelect; or (2) At a time when he is an officer or employee of the United States in the executive, legislative, or judicial branch of the Government, cr in any agency of the United States including the District of Columbia--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 of has a direct and substantial interest, before any department, agency, court-martial, officer, or any civil, military, or naval commission, or Chapter I-Environmental Protection Agency (b) Whoever, knowingly, otherwise than as provided by law for the proper discharge of official duties, directly or indirectly gives, promises, or offers any compensation for any such services rendered or to be rendered at a time when the person to whom the compensation is given, promised, or offered, is or was such a Member, Commissioner, officer, or employee Shall be fined not more than $10,000, or imprisoned for not more than 2 years, or both; and shall be incapable of holding any office of honor, trust, or profit under the United States. (c) A special Government employee shall be subject to subsection (a) only in relation to a particular matter involving a specific party or parties (1) in which he has at any time participated personally and substantially as a Government employee or as special Government employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, or (2) which is pending in the department or agency of the Government in which he is serving: Provided, That clause (2) shall not apply in the case of a special Government employee who has served in such department or agency no more than 60 days during the immediately preceding period of 365 consecutive days. 18 U.S.C. 205 Activities of officers and employees in claims against and other matters affecting the Government. Whoever, being an officer or employee of the United States in the executive, legislative, or judicial branch of the Government or in any agency of the United States, including the District of Columbia, otherwise than in the proper discharge of his official duties (1) 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, or (2) Acts as agent or attorney for anyone before any department, agency, court, courtmartial, of officer, or any civil, military, or naval commission in connection with 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 Shall be fined not more than $10,000, or Imprisoned for not more than 2 years, or both. A special Government employee shall be subject to the preceding paragraphs only in relation to a particular matter involving specific party or parties (1) in which he has at any time participated personally and substantially as a Government employee or as A special Government employee through decision, approval, sapproval, recommendation, the rendering of advice, investigation § 3.105 or otherwise, or (2) which is pending in the department or agency of the Government in which he is serving: Provided, That clause (2) shall not apply in the case of a special Government employee who has served in such department or agency no more than 60 days during the immediately preceding period of 365 consecutive days. Nothing herein prevents an officer or employee, if not inconsistent with the faithful performance of his duties, from acting without compensation as agent or attorney for any person who is the subject of disciplinary, loyalty, or other personnel administration proceedings in connection with those proceedings. Nothing herein or in section 203 prevents an officer or employee, including a special Government employee, from acting, with or without compensation, as agent or attorney for his parents, spouse, child, or any person for whom, or for any estate for which, he is serving as guardian, executor, administrator, trustee, or other personal fiduciary except in those matters in which he has participated personally and substantially as a Government employee, through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, or which are the subject of his official responsibility: Provided, That the Government official responsible for appointment to his position approves. Nothing herein or in section 203 prevents a special Government employee from acting as agent or attorney for another person in the performance of work under a grant by, or a contract with or for the benefit of, the United States: Provided, That the head of the department or agency concerned with the grant or contract shall certify in writing that the national interest so requires. Such certification shall be published in the FEDERAL REGISTER. Nothing herein prevents an officer or employee from giving testimony under oath or from making statements required to be made under penalty for perjury or contempt. 18 U.S.C. 207 Disqualification of former officers and employees in matters connected with former duties or official responsibilities; disqualifcation of partners. (a) Whoever, having been 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, after his employment has ceased, knowingly acts as agent or attorney for anyone other than the United States in connection with any judicial or other proceeding, application, request for a ruling or other determination, contract, claim controversy, charge, accusation, arrest, or other 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 § 3.105 Title 40-Protection of Environment he participated personally and substantially as an officer or employee, through decision, approval, disapproval, recommendation, the reudering of advice, investigation, or otherwise, while so employed, or (b) Whoever, having been so employed, within 1 year after his employment has ceased, appears personally before any court or department or agency of the Government as agent or attorney for anyone other than the United States in connection with any proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter involving a specific party or parties in which the United States is a party or directly and substantially interested, and which was under his official responsibility as an officer or employee of the Government at any time within a period of 1 year prior to the termination of such responsibility- Shall be fined not more than $10,000, or imprisoned for not more than 2 years, or both: Provided, That nothing in subsection (a) or (b) prevents a former officer or employee, including a former special Government employee, with outstanding scientiflo or technological qualifications from acting as attorney or agent or appearing personally in connection with a particular matter in a scientific or technological field if the head 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 s 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. A partner of a present or former officer or employee of the executive branch of the UB. 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 employce first advises the Government official responsible for appointment to his position of the nature and circumstances of the judicial or other proceeding, 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), 1f, 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 8.607) 1. House Concurrent Resolution 175, 85th Congress, 2d Bession, 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. 1918). 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.8.0. 1905). 7. The provision relating to the habitual use of intoxicants to excess (5 U.B.C. 7352). Chapter I-Environmental Protection Agency 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) falling 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.8.C. 7324-7327; 18 U.S.C. 602, 603, 607, and 608). 17. The prohibition against an employee 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 8 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. 8 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 $ 3.203 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. (1) Deputy Assistant Administrators. (H) 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. (1) Reviewing and maintaining custody of statements of employment and financial interests, filed pursuant to the provisions of subpart C of this part. (1) 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 flnancial 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 § 3.300 Title 40-Protection of Environment 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 shall report all personal financial interests and outside employment by filling 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 employinent 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 69-982 O 76 3 |