court-martial, 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 imprisioned 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 a 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, 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.

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 sustantially 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; disqualification 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 he participated personally and substantially as an officer or employee, through decision, approval, disapproval, recommendation, the rendering 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 imprisioned 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 scientific 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 sach 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 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 and in which such 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 U.S. 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 subject to the provisions of section 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, of 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 employee 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 officers or employee, or (2) if, by general rule or regula

tion 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-CATEGORIES OF FINANCIAL INTERESTS EXEMPTED FROM THE PROHIBITION OF 18 U.S.C. 208(a) (see § 1207.735603(d)(2)(ii))

Pursuant to the authority contained in 18 U.S.C. 208(b)(2), it has been determined that the categories of financial interests hereinafter described are, to the extent indicated, exempted from the application of the prohibition of U.S.C. 208(a), because they are too remote or too inconsequential to affect the integrity of a NASA employee's services in any matter in which he may act in his governmental capacity. Therefore, the provisions of 18 U.S.C. 208(a) do not preclude the participation by a NASA employee, including a special Government employee, in matters of a type covered by the prohibition of section 208(a) where the financial interest involved has been exempted hereunder.

1. The following exemptions apply to financial interests which are held directly by a NASA employee, including a special Government employee, or by his spouse or minor child, whether jointly or individually, or by a NASA employee and his partner or partners as joint assets of the partnership:

a. Ownership of shares of common or preferred stocks, including warrants to purchase such shares, and of corporate bonds or other corporate securities, if the current aggregate market value of the stocks and other securities so owned in any single corporation does not exceed $5,000, and provided such stocks and securities are listed for trading on the New York or the American Stock Exchange. This exemption extends also to any financial interests that the corporation whose stocks or other securities are so owned may have in other business entities.

b. Ownership of bonds other than corporate bonds, regardless of the value of such interest. This exemption extends also to any financial interests that the organization whose bonds are so owned may have in other business entities.

c. Ownership of shares of a mutual fund or regulated investment company regardless of the value of such interest. This exemption extends also to any financial interests that the mutual fund or investment company may have in other business entities.

2. If a NASA employee, including a special Government employee, or his spouse or minor child has a present beneficial interest or a vested remainder interest under a trust,

the ownership of stocks, bonds, or other corporate securities under the trust will be exempt to the same extent as provided in paragraph la above or the direct ownership of such securities. The ownership of bonds other than corporate bonds, or of shares in a mutual fund or regulated investment company, under the trust. will be exempt to the same extent as provided under paragraph 1b and c above for the direct ownership of such bonds or shares.

3. If a NASA employee, including a special Government employee, is an officer, director, trustee, or employee of an educational institution, or if he is negotiating for, or has an arrangement concerning prospective employment with such an institution, a direct financial interest which the institution has in any matter will not itself be exempt, but any financial interests that the institution may have in the matter through its holdings of securities issued by business entities will be exempt, provided the NASA employee is not serving as a member of the investment committee of the institution or is not otherwise advising it on its investment portfolio.

4. If a NASA employee, including a special Government employee, has continued to participate in a bona fide pension, retirement, group life, health or accident insurance plan, or other employee welfare or benefit plan that is maintained by a business or nonprofit organization of which he is a former employee, his financial interest in that organization will be exempt, except to the extent that the welfare or benefit plan is a profit sharing or stock bonus plan. The exemption extends also to any financial interests that the organization may have in other business entities.

APPENDIX C-MISCELLANEOUS STATUTORY PROVISIONS (see § 1207 735-604)

1. House Concurrent Resolution 175, 85th Congress, 2d session, 72 Stat. B12, the "Code of Ethics for Government Service".

2. Chapter 11 of title 18, United States Code, relating to bribery, graft, and conflict of interests, as appropriate to the employee concerned.

3. The prohibition against lobbying with appropriated funds (18 U.S.C. 1913).

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 private or proprietary information (18 U.S.C. 1905).

7. The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 7352).

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 prohibitions 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 employee acting as the agent of a foreign principal registered under the Foreign Agents Registration Act (18 U.S.C. 219).

served as a consultant or otherwise to, an aerospace contractor, who are required to submit employment reports in compliance with section 6 of Pub. L. 91-119, as amended by section 7 of Pub. L. 91-303 (84 Stat. 372; 42 U.S.C. 2462, 1970 Supp.) and by Pub. L. 94273.

(b) Failure to file such reports is punishable by a maximum of 6 months imprisonment, or a fine of not more than $1,000, or both.

§ 1208.101 Applicability.

The provisions of this part apply to NASA Headquarters and NASA field installations and to certain present and former NASA employees.

§ 1208.102 Definitions.

For the purposes of this part, the following definitions apply:

(a) The term "former employee" means any former officer or employee of NASA, including consultants or part-time employees, whose salary rate at any time during the 3-year period immediately preceding the termination of his last employment with NASA was equal to or greater than the minimum salary rate at such time for positions in grade GS-13. Included are (1) former wage board employees; (2) former employees in the lower General Schedule grades; (3) former consultants, experts, part-time or temporary employees; and (4) former employees who held Excepted Positions, or were appointed under 5 U.S.C. 3104 ("Pub. L. 313 Scientists", or were paid under an Executive Schedule Pay Level, whose rates of pay, if computed on an annual basis, would have equaled or exceeded the rate of pay for GS-13, Step 1.

(b) The term "aerospace contractor" means any individual, firm, corporation, partnership, association, or other legal entity, which provides services and materials to or for NASA in connection with any aerospace system under a contract directly with NASA. Subcontractors, as such, are excluded from the definition of "aerospace contractor." A subsidiary of a corporation which is a separate legal entity and contracts directly with NASA in its own name will be considered an "aerospace contractor" for purposes of this

definition, rather than the parent corporation. Thus only the dollar amount of contracts awarded by NASA to a subsidiary contracting with NASA in its own name during a fiscal year will be considered in determining whether a person employed or formerly employed by the subsidiary is required to report.

(c) The term "services and materials" means either services or materials or services and materials which are provided as a part of, or in connection with, any aerospace system and includes construction performed under contracts awarded by NASA in connection with any aerospace system.

(d) The term "aerospace system" includes, but is not limited to, any rocket, launch vehicle, rocket engine, propellant, spacecraft, command module, service module, landing module, tracking device, communications device, or any part or component thereof, which is used in either manned or unmanned spaceflight operations.

(e) The term "contracts awarded" means contracts awarded by negotiation and includes the net amount of modifications to, and the exercise of options under, such contracts. All transactions under $10,000 each are excluded. Contracts awarded by formal advertising are also excluded. (f) The term "fiscal year" means a and year beginning on October 1 ending on September 30 of the next succeeding year and is designated by the year in which it ends.

[41 FR 53652, Dec. 8, 1976, as amended at 43 FR 52215, Nov. 9, 1978]

§ 1208.103 Who must file.

Except as provided in paragraph (e) of this section, the following categories of former and present NASA employees are required to file the report prescribed under this Part 1208:

(a) Any former employee (including former employees referred to in paragraph (b) of this section) who, during any fiscal year:

(1) Was employed by or served as a consultant or otherwise to an aerospace contractor for any period of time; or

(2) Represented any aerospace contractor at any hearing, trial, appeal, or

other action in which the United States was a party and which involved services and materials provided or to be provided to NASA by such contractor; or

(3) Represented any such contractor in any transaction with NASA involving services or materials provided or to be provided by such contractor to NASA.

(b) Any former employee whose employment with, or services for, an aerospace contractor terminated during any fiscal year is required to file a report for such fiscal year if he would otherwise be required to file a report under paragraph (a) of this section.

(c) Any present employee of NASA, including (1) present employees referred to in paragraph (d) of this section; (2) wage board employees; (3) employees in lower General Schedule grades; (4) consultants, experts, parttime or temporary employees; and (5) employees who hold Excepted Positions, or were appointed under 5 U.S.C. 3104 ("Pub. L. 313 Scientists"), or were paid under an Executive Schedule Pay Level, who:

(i) Was previously employed by or served as a consultant or otherwise to an aerospace contractor in any fiscal year; and

(ii) Whose salary rate in NASA is, or if computed on an annual basis would be, equal to or greater than the minimum salary rate for positions in grade GS-13.

(d) Any person whose employment with or service for NASA terminated during any fiscal year is required to file a report for such fiscal year if he would otherwise be required to file a report under paragraph (c) of this section.

(e) The following categories of former and present NASA employees are exempt from the reporting requirements:

(1) No former or present employee is required to file a report for any year prior to fiscal year 1971.

(2) No former employee shall be required to file a report under this part for any fiscal year in which he was employed by or served as a consultant or otherwise to an aerospace contractor if the total amount of contracts

awarded by NASA to such contractor was during such year less than $10,000,000; and no present employee shall be required to file a report under this part for any fiscal year in which he was employed by or served as a consultant or otherwise to an aerospace contractor if the total amount of contracts awarded to such contractor by NASA during such year was less than $10 million.

(3) No former employee shall be required to file a report under this part for any fiscal year on account of employment with NASA if such employment was terminated 3 years or more prior to the beginning of such fiscal year; and no present employee shall be required to file a report under this part for any fiscal year on account of employment with or services performed for an aerospace contractor if such employment was terminated or such services were performed 3 years or more prior to the beginning of such fiscal year.

(4) No former employee shall be required to file a report under this part for any fiscal year during which he was employed by or served as a consultant or otherwise to an aerospace contractor at a salary rate of less than $15,000 per year; and no present employee shall be required to file a report under this part for any fiscal year during which he was employed by or served as a consultant or otherwise to an aerospace contractor at a salary rate of less than $15,000 per year.

§ 1208.104 Time and procedure for filing reports.

(a) Former and present employees required to file reports will file them by February 15 following the close of each fiscal year. (See § 1208.102 and § 1208.103.)

(b) Reports will be prepared on NASA Form 1480 (Rev. August 1976).

(c) Former employees may obtain NASA Form 1480 from the Personnel Office of the NASA installation where they were employed or from the aerospace contractor by whom employed.

(d) The originals of the completed reports will be submitted to the Director, Personnel Programs Division, NASA, Washington, D.C. 20546.