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$ 1206.608 Time extensions in unusual cir.

under procedures prescribed by the cumstances.

General Counsel in each case. (a) In "unusual circumstances" as

Subpart 7-Search and Duplication that term is defined in $ 1206.101(f), the time limits for an initial determi

Fees nation (see $$ 1206.603 and 1206.604) and for a final determination (see

$ 1206.700 Schedule of fees. § 1206.607) may be extended, but not The fees specified in this section to exceed a total of ten working days shall be charged for searching for or in the aggregate in the processing of duplicating an agency record made any specific request for an agency available in response to a request record.

under this part. (b) If an extension of time under (a) Copies. For copies of documents, this section would be required, the re- such as letters, memoranda, statequester shall be promptly notified of ments, reports, contracts, etc., $0.10 the reasons therefor and the date per copy of each page. For copies of when a determination will be sent.

oversize documents, such as maps, (c) If a record described in a request

charts, blueprints, etc., $0.15 for each cannot be located within the ten-work

reproduced copy per square foot. ing-day time limit for an initial deter

These charges for copies include the mination, after consultation with a

time spent in duplicating the docuprofessional NASA employee who is

ments. familiar with the subject area of the

(b) Clerical searches. For each one request, that fact normally will justify

quarter hour spent by clerical personinitial determination that the

nel in searching for an agency record record requested cannot be identified

in response to a request under this or located, rather than a decision that

part, $1.00. an extension of time under this sec

(c) Nonroutine, nonclerical searches. tion would be appropriate.

Where a search cannot be performed (d) In exceptional circumstances, if

by clerical personnel, for example,

where the task of determining which it would be impossible to complete a search for or review of agency records

records fall within a request and colwithin the ten-working-day period for

lecting them requires the time of proan initial determination, an official au

fessional or managerial personnel, and

where the amount of time that must thorized to make an initial determination or his designee may seek an ex

be expended in the search and collec

tion of the requested records by such tension of time from the requester. If

higher level personnel is substantial, such an extension of time can be

charges for the search may be made at agreed upon, that fact should be clear

a rate in excess of the clerical rate, ly documented and the initial determi

namely for each one quarter hour nation made within the extended time

spent by such higher level personnel period; if not, an initial determination

in searching for a requested record, that the record cannot be identified or

$2.50. located, or reviewed, within the ten

(d) Computerized records. Because working-day time limit shall be made

of the diversity in the types and conunder 1206.603.

figurations of computers which may $ 1206.609 Litigation.

be required in responding to requests

for agency records maintained in In any instance in which NASA is whole or in part in computerized form, sued in connection with a request for it is not feasible to establish a uniform an agency record under this part, the schedule of fees for search and printmatter shall promptly be referred to out of such records. In most instances, the General Counsel together with a records maintained in computer data report on the details and status of the banks are available also in printed request. In such a case, if a final deter- form and the standard fees specified mination with respect to the request in paragraph (a) of this section shall has not been made, such a determina apply. If the request for an agency tion shall be made as soon as possible, record required to be made available

under this part requires a computerized search or printout, the charge for the time of personnel involved shall be at the rates specified in paragraphs (b) and (c) of this section. The charge for the computer time involved and for any special supplies or materials used, such as magnetic tape or Hollerith cards, shall not exceed the direct cost to NASA. Before any computer search or printout is undertaken in response to a request for an agency record, the requester shall be notified of the applicable unit costs involved and the total estimated cost of the search or printout.

(e) Other search and duplication costs. Reasonable standard fees, other than as specified in paragraphs (a) through (d) of this section, may be charged for additional direct costs incurred in searching for or duplicating an agency record in response to a request under this part. Charges which may be made under this paragraph include, but are not limited to, the transportation of NASA personnel to places of record storage for search purposes or freight charges for transporting records to the personnel searching for or duplicating a requested record.

(f) Unsuccessful or unproductive searches. Search charges, as set forth in paragraph (b) and (c) of this section, may be made even when an agency record which has been requested cannot be identified or located after a diligent search and consultation with a professional NASA. employee familiar with the subject area of the request, or if located, cannot be made available under Subpart 3 of this part. Ordinarily, however, fees will not be charged in such instances unless they are substantial and the requester has consented to the search after having been advised that it cannot be determined in advance whether any records exist which can be made available (see $ 1206.701) and that search fees will be charged even if no record can be located and made available.

(g) Examination and related tasks in screening records. No charge shall be made for the time spent in resolving legal or policy issues in connection with a request for an agency record under this part, in examining records to determine whether they will be

made available to the requester, or in monitoring the inspection of requested records by a member of the public. $ 1206.701 Advance estimate or deposit

before incurring costs. (a) In the circumstance specified in paragraphs (a) (1) through (4) of this section, before NASA undertakes to search for an agency record and thereby subjects the requester to a fee under this subpart, NASA will promptly notify the requester of the estimated fees chargeable for searching for and duplicating the requested record. Such an advance estimate shall be provided in the following circumstances:

(1) If the requester specifically requests an estimate;

(2) If the search involves computerized records (see § 1206.700(d));

(3) If the search and duplication would involve transportation costs (see $ 1206.700(e)); or

(4) If the estimated cost of the search for an agency record exceeds $25.00 and it cannot be determined in advance if the record requested can be identified or located and made available to the requester.

(b) In appropriate cases, an advance deposit may be required before NASA will undertake to search for and duplicate an agency record.

(c) A notice of estimated fees or request for advance deposit shall also extend an offer to the requester to confer with knowledgeable NASA personnel in an attempt to reformulate the request in a manner which will reduce the fees and meet the needs of the requester.

(d) If an estimate is provided under this section, the request for the record shall not be deemed to have been received until the requester agrees to bear the estimated cost or, if an advance deposit is requested, provides such a deposit.

$ 1206.702 Waiver of fees.

(a) The NASA official making an initial or final determination on a request for an agency record or the Official-in-Charge of each Information Center (see $ 1206.401) may waive all or part of a fee which would be chargeable under this subpart if the official determines that such action is

in the public interest because making place of business, or in which the agency the record available can be considered

records are situated, or in the District of Coas primarily benefiting the general

lumbia, has jurisdiction to enjoin the public.

agency from withholding agency records (b) Ordinarily, fees will not be

and to order the production of any agency charged where they would amount in

records improperly withheld from the com

plainant. In such a case the court shall de. the aggregate, for a request or series

termine the matter de novo, and may examof related requests, to less than $3.00.

ine the contents of such agency records in [40 FR 7244, Feb. 19, 1975, as amended at 40 camera to determine whether such records FR 54240, Nov. 21, 1975)

or any part thereof shall be withheld under

any of the exemptions set forth in subsec$ 1206.703 Certification.

tion (b) of this section, and the burden is on In accordance with the provisions of

the agency to sustain its action. 31 U.S.C. 483a, a charge of $1.00 shall

(C) Notwithstanding any other provision

of law, the defendant shall serve an answer be made for each certification of true

or otherwise plead to any complaint made copies of agency records.

under this subsection within thirty days $ 1206.704 Form of payment.

after service upon the defendant of the

pleading in which such complaint is made, Payment by mail shall be made by unless the court otherwise directs for good check or money order payable to the cause shown. "Treasury of the United States” and (D) Except as to cases the court considers sent to the NASA Information Center of greater importance, proceedings before which processed the request.

the district court, as authorized by this subsection, and appeals therefrom, take prece

dence on the docket over all cases and shall Subpart 8-Failure to Release

be assigned for hearing and trial or for arRecords to the Public

gument at the earliest practicable date and

expedited in every way. $ 1206.800 Failure to release records to

(E) The court may assess against the the public.

United States reasonable attorney fees and (a) Except to the extent that a

other litigation costs reasonably incurred in person has actual and timely notice of

any case under this section in which the the terms thereof, a person may not in

complainant has substantially prevailed.

(F) Whenever the court orders the proany manner be required to resort to, or be adversely affected by, a matter

duction of any agency records improperly

withheld from the complainant and assesses required to be published in the FEDER

against the United States reasonable attorAL REGISTER under $ 1206.200(a) and

ney fees and other litigation costs, and the not so published.

court additionally issues a written finding (b) A final order, opinion, statement that the circumstances surrounding the of policy, interpretation, or staff withholding raise questions whether agency manual or instruction that affects a personnel acted arbitrarily or capriciously member of the public may be relied with respect to the withholding, the Civil upon, used, or cited as precedent by

Service Commission shall promptly initiate NASA against any member of the

a preceeding to determine whether discipublic only if it has been indexed and

plinary action is warranted against the offieither made available or published as

cer or employee who was primarily responsi

ble for the withholding. The Commission, provided by $ 1206.200(b) or if the

after investigation and consideration of the member of the public has actual and

evidence submitted, shall submit its findings timely notice of the terms thereof. and recommendations to the administrative

(c) Failure to make available an authority of the agency concerned and shall agency record required to be made send copies of the findings and recommenavailable under this part could provide dations to the officer or employee or his the jurisdictional basis for

a suit representative. The administrative authoriagainst NASA under 5 U.S.C. 552(a)(4)

ty shall take the corrective action that the (B) through (G), which provides as

Commission recommends. follows:

(G) In the event of noncompliance with

the order of the court, the district court (B) On complaint, the district court of the may punish for contempt the responsible United States in the district in which the employee, and in the case of a uniformed complainant resides, or has his principal service, the responsible member.

Subpart 9-Annual Report

Subpart A-General Provisions Sec. 1207.735-100 Ethical standards of conduct. 1207.735-101 Other general standards of


Subpart B-Acceptance of Gifts, Gratuities, or


1207.735-200 Scope of subpart. 1207.735-201 Policy. 1207.735-202 Statutory prohibitions.

$ 1206.900 Requirements for annual

report. On or before March 1 of each calendar year, NASA shall submit a report covering the preceding calendar year to the Speaker of the House of Representatives and President of the Senate for referral to the appropriate committees of the Congress. The report shall include the following information:

(a) The number of determinations made by NASA not to comply with requests for records made to the Agency under Subpart 6 of this part and the reasons for each such determination;

(b) The number of appeals made by persons under Subpart 6 of this part, the result of such appeals, and the reason for the action upon each appeal that results in a denial of information;

(c) The names and titles or positions of each person responsible for the denial of records requested under this part, and the number of instances of participation for each;

(d) The results of each proceeding conducted

pursuant 5 U.S.C. 552(a)(4) (B) through (G) (see $ 1206.800(c)), including a report of the disciplinary action taken against the officer or employee who was primarily responsible for improperly withhold. ing records or an explanation of why disciplinary action was not taken;

(e) A copy of the current version of this Part 1206 and any other rules or regulations made by NASA regarding 5 U.S.C. 552;

(f) A copy of the current fee schedule and the total amount of fees col. lected by NASA for making records available under this Part 1206; and

(g) Such other information as indicates efforts by NASA to administer fully this part.

Subpart C- Outside Employment and Other

Activity 1207.735-300 Scope of subpart. 1207.735-301 Definition. 1207.735-302 Policy. 1207.735-303 Guidelines and limitations. 1207.735-304 Distinction between official

and nonofficial activities. 1207.735-305 Compensation, honorariums,

travel expenses. 1207.735-306 (Reserved) 1207.735-307 Special conditions applicable

to writing and editing. 1207.735-308 Administrative approval. 1207.735-309 Related statutory provisions. Appendix A-Procedures for Permission To

Engage in Outside Employment or Other Outside Activity.


Subpart D-Financial Interests and Investments 1207.735-400 Scope of subpart. 1207.735-401 General. 1207.735-402 Statutory prohibitions

against acts affecting a personal finan

cial interest. 1207.735-403 Waiver of statutory prohibi

tion. 1207.735-404 Statement of employment

and financial interests. Appendix A-Waiver Procedures. Appendix B-Categories of Financial Inter

ests Exempted From the Prohibition of 18

U.S.C. 208(a). Appendix C-Procedures for Filing State

ments of Employment and Financial Interests.

Subpart E-Advisory Service and Enforcement 1207.735-500 Scope of subpart. 1207.735-501 Use of advisory service. 1207.735-502 Designation of counselors and

statement of functions. 1207.735-503 Review, enforcement, report

ing, and investigating.



Sec. 1207.735-1 Scope of part. 1207.735-2 Applicability.

Subpart -Standards of Conduct for Special

Government Employees. 1207.735-600 Scope of subpart. 1207.735-601 Definitions.

Subpart A-General Provisions

Sec. 1207.735-602 Applicability. 1207.735-603 Application of conflict of in

terest statutes. 1207.735-604 Other statutes. 1207.735-605 Standards of ethical conduct. 1207.735-606 Statement of employment

and financial interests. 1207.735-607 Advisory service. 1207.735-608 Review, enforcement, report

ing, and investigation. Appendix A-Conflict of Interests Statutes. Appendix B-Categories of Financial Inter

ests Exempted From the Prohibition of 18

U.S.C. 208(a). Appendix C-Miscellaneous Statutory Pro


AUTHORITY: E.O. 11222, of May 11, 1965, 30 FR 6469, 3 CFR 1965 Supp.; 5 CFR 735.104.

SOURCE: 32 FR 14648, Oct. 21, 1967, unless otherwise noted. $ 1207.735-1 Scope of part.

The provisions of this part prescribe regulations for the maintenance of the high ethical standards of conduct required of NASA employees, including special Government employees as they are covered by this part in carrying out their duties and responsibilities. $ 1207.735-2 Applicability.

(a) The provisions of Subparts A, B, C and D of this part are applicable to:

(1) All regular officers and employees of NASA (referred to hereinafter as “employees”), but not special Government employees as defined in $ 1207.735-601(a), and

(2) All civilian and military personnel of other Government agencies regularly detailed to NASA. (Also referred to hereinafter as “employees”.)

(b) The provisions of Subpart E are applicable to:

(1) NASA employees except special Government employees as defined in $ 1207.735-601(a), and

(2) Civilian and military personnel of other Government agencies regularly detailed to NASA; however, disciplinary action may be effected against such civilian or military personnel only by the parent employing agency or military service.

(c) The provisions of Subpart F are applicable only to special Government employees as defined in $ 1207.735601(a).

8 1207.735-100 Ethical standards of con

duct. Each NASA employee will refrain from any use of his official position which is motivated by, or has the appearance of being motivated by, the desire for private gain for himself or other persons. He must conduct himself in such a manner that there is not the slightest suggestion of the extracting of private advantage from his Government employment. Pursuant to this policy, each NASA employee will observe the following standards of conduct:

(a) He will not as a result of, or on the basis of any information derived from his official position or from the official position of other NASA employees with whom he associates, engage, directly or indirectly, in any business transaction or arrangement, including the buying or selling of securities or recommending the purchase or sale of securities to other persons.

(b) He will exercise care in his personal financial activities to avoid any appearance of acting on the basis of information obtained in the course of performing his Government duties.

(c) If he acquires information in the course of performing his Government duties that is not generally available to those outside the Government, he will not use this information to further a private interest or for the special benefit of a business or other entity in which he has a financial or other interest.

(d) He will not use his Government position in any way to coerce, or give the appearance of coercing, another person to provide any financial benefit to him or to other persons.

(e) He will avoid any action, whether or not specifically prohibited by law or regulation (including the provisions of this part), which might result in, or create the appearance of:

(1) Using his public office for private gain;

(2) Giving preferential treatment to any organization or person;

(3) Impeding Government efficiency or economy;

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