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CHAPTER VI— NATIONAL SCIENCE
Standards of conduct of employees and consult
curity information .......
volving moral character or loyalty of applicants
of the National Science Foundation-effectu
ation of Title VI of the Civil Rights Act of 1964..
the National Science Board....
connection with weather modification activities .
tion to states of award information .....
PART 600—STANDARDS OF CON
DUCT OF EMPLOYEES AND
Subpart A-Employee Conduct, Outside
Activities, and Conflicts of Interest
Sec. 600.735-1 Purpose. 600.735-2 Scope. 600.735-3 Statutory provisions. 600.735-4 Policy. 600.735-5 Conflicts-of-Interest Review
Panel. 600.735-6 Conflicts-of-Interest Counselor. 600.735-7 Resolution of possible conflicts
of-interest situations. 600.735-8 Statements of employment and
financial interests. 600.735-9 Employee conduct. 600.735-10 Presenting grievances to Con
$ 600.735–3 Statutory provisions.
Each employee is responsible for acquainting himself not only with the provisions of this subpart, but also with applicable portions of each Federal statute relating to his conduct as an employee of the Foundation and of the U.S. Government. The Personnel Office will call this subpart to the attention of all employees at least once a year and will provide a copy of the part to each new full-time employee who joins the Foundation. (A list of pertinent statutes is provided in the Appendix to this part.)
$ 600.735-4 Policy.
Confident of the integrity and sense of responsibility of its employees, it is the intent of the Foundation to impose on employees' conduct, activities, and financial interests those prohibitions, and limitations that are required by law or Federal regulation.
Subpart B-Standards of Conduct for
Consultants 600.735-20 Purpose. 600.735-21 Scope. 600.735-22 Consultant conduct. 600.735-23 Statements of employment and
financial interests. 600.735-24 Resolution of possible conflicts
of-interest situations. APPENDIX
AUTHORITY: E.O. 11222 of May 8, 1965, 3 CFR, 1965 Supp.; 5 CFR 735.104.
SOURCE: NSF Circular 54, 31 FR 4595, Mar. 18, 1966, unless otherwise noted.
$ 600.735-5 Conflicts-of-Interest Review
Panel. To assist the Director in making judgments regarding conflicts-of-interest situations, there is hereby established a Conflicts-of-Interest Review Panel, which is assigned duties and responsibilities as set forth in $ 600.7357. The Panel consists of the General Counsel as Chairman, and the Deputy Director, Planning Director, and Associate Directors for Education and Research as members. The Director shall appoint an Executive Secretary of the Panel and may specify other or additional members as needed. (NSF Circ. 54, 31 FR 4595, Mar. 18, 1966, as amended at 33 FR 746, Jan. 20, 1968)
Subpart A-Employee Conduct, Out
side Activities, and Conflicts of Interest
$ 600.735-1 Purpose.
As required by Executive Order 11222 of May 8. 1965 and Part 735 of Chapter I, Title 5 of the Code of Federal Regulations, this subpart sets forth National Science Foundation policies and procedures with respect to employee conduct, certain permissible and prohibited outside activities, and possible conflicts-of-interest situations.
The attorney in the Office of the General Counsel who has responsibilities for conflicts-of-interest matters is designated the Conflicts-of-Interest Counselor, with responsibilities for providing, on request from any Foundation employee, counsel regarding conflicts-of-interest regulations and requirements, as well as their applicability in particular situations. Each Foundation employee is responsible for seeking the advice of the Conflicts
$ 600.735-2 Scope.
The policies and procedures contained in this subpart apply to all NSF employees.
of-Interest Counselor whenever it ap- of the Panel's deliberations, he may pears that he may be, or may become, bring the matter to the attention of involved in a possible conflict-of-inter the Director for his consideration and est situation. Any supervisor in the such action as the Director may deem Foundation may refer to the Conflicts appropriate. of-Interest Counselor any possible con (c) Disciplinary and other remedial flict-of-interest situation involving a actions. When there is a final decision subordinate of his whenever he deems that a conflict-of-interest situation resuch action appropriate. In such cases quires disciplinary or other remedial the subordinate concerned shall be in action, such action shall be taken formed that the matter has been re promptly to end the conflict or apferred for consideration and shall be pearance of conflict of interest and to afforded the opportunity to state his carry out any appropriate disciplinary case.
measure. Any action taken, whether
disciplinary or otherwise, shall be ef8 600.735-7 Resolution of possible con
fected in accordance with applicable flicts-of-interest situations.
laws. Executive orders, Civil Service (a) The General Counsel. The Gener Commission regulations and the regual Counsel is responsible for reviewing lations in this part. The action taken conflicts-of-interest matters brought may involve, among other things: to his attention by the Executive Sec (1) Changes in existing duties; retary of the Panel or the Conflicts-of (2) Divestment by the employee of Interest Counselor, and for attempting his conflicting interest; to work with the employees concerned
(3) Appropriate disciplinary action, in resolving such situations, and for
up to and including removal; offering employees an opportunity to
(4) Disqualification for a particular explain any conflict or appearance of
assignment. conflict. He is responsible for bringing to the attention of the Panel any con- 8 600.735-8 Statements of employment flicts-of-interest situation that has not
and financial interests. in his opinion been satisfactorily resolved through the above procedures.
(a) General requirement. Statements He will not, however, refer to the
of employment and financial interests Panel, nor will the Panel consider any
are required of all Federal employees conficts-of-interest matter which the
occupying positions at or above grade General Counsel believes to be a viola
13, or equivalent, which require the tion of law. He will refer such matters
exercise of judgment in making a Govto the Director for decision and appro
ernment decision or in taking a Govpriate action. Remedial action, wheth
ernment action in regard to: er disciplinary or otherwise, shall be
(1) Contracting or procurement; effected in accordance with any appli
(2) Administering or monitoring cable laws, Executive orders, and regu- grants or subsidies, lations.
(3) Regulating or auditing private or (b) Conflicts-of-Interest Review other non-Federal enterprise; or Panel. The Panel will consider those (4) Other activities where the decimatters brought to its attention by sion or action has an economic impact the General Counsel, will direct the on the interest of a particular nonExecutive Secretary to obtain any ad- Federal enterprise. ditional information deemed neces- (b) Foundation requirement. In sary, and will state in writing the con order to fulfill the Foundation's obliclusions it reaches. The Chairman of gations under the general Government the Panel may refer any conflicts-of- requirement described in paragraph interest matter to the attention of the (a) of this section, it has been deterDirector whenever this appears desir- mined that a Statement of Employable, as, for example, in a case where ment and Financial Interests must be the Panel is unable to reach a unani completed and submitted in accordmous judgment upon a matter which ance with the procedures set forth in has been referred to it. Similarly, if an this section by all Foundation employemployee disagrees with the outcome ees occupying positions of grade 14 or
equivalent or above, with the exception of the GS-14 and GS-15 positions in the following offices: Budget Office; Finance Office; Management Analysis Office; Personnel Office; as well as by all employees occupying the positions specified below:
(1) All employees occupying grades 13, or equivalent and above positions in:
(i) Contracts Office;
(ii) Indirect Cost (Rate) Determination Office;
(iii) Internal Audit Office;
(c) Inclusion and exclusion of positions. Whenever appropriate, the Director may amend paragraph (b) of this section to include additional positions that entail submission of such statements or may exclude any positions listed in that paragraph (b) the inclusion of which is not required by the general requirement in paragraph (a) of this section. Each supervisor in the Foundation is responsible for bringing to the attention of the Director (through appropriate channels) any position which the supervisor believes should be covered or excluded by this requirement. If an employee feels that he has been improperly included under the regulations in this part, he may appeal his inclusion in accordance with the provisions of NSF Circular No. 29, Grievances and Appeals.
(d) Submission of original and supplementary statements. Each employee covered by this requirement shall complete the statement if one has not been completed previously, or a supplementary statement, whichever is appropriate, and submit it to the Executive Secretary of the Conflicts-ofInterest Review Panel by September 30, 1967. Each new affected employee shall complete and submit the statement within 30 days after his entrance on duty or by September 30, 1967, whichever date is later. All changes in, or additions to, the information contained in each employee's original statement must be reported in a supplementary statement submitted as of June 30 each year. If no changes or additions occur, a negative report is re
quired. The Executive Secretary is responsible for obtaining the initial statements from all affected employees and the supplementary statements at the end of each fiscal year. The Executive Secretary will review all statements for possible conflicts-of-interest situations in accordance with the provisions of this subpart. Notwithstanding the filing of the annual report required by this section, each employee shall at all times avoid acquiring a financial interest that could result, or taking an action that would result, in a violation of the conflicts-of-interest provisions of section 208 of Title 18, United States Code.
(e) Interests of employees' relatives. For purposes of the statement, the interests of a spouse, minor child, or any other member of an employee's immediate household who is a blood relation of the employee, are considered to be interests of the employee.
(f) Information not known by employees. If information required to be included on the statement of employment and financial interests (supplementary or otherwise, including holdings placed in trust) is not known by the employee but is known to another person, the employee shall request such other person to submit the information on his behalf.
(g) Information not required. Employees are not required to submit information relating to their financial interests in any professional society not conducted as a business enterprise as described in the next sentence, charitable, religious, social, fraternal, recreational, public service, civic, political, or similar organization not conducted as a business enterprise. Professional societies, educational institutions and other nonprofit organizations engaged in research, development, or related activities involving grants of money from, or contracts with, the Government are deemed "business enterprises” and are required to be included in employees' statements of employment and financial interests. The following financial interests are also exempted from the requirements of this section and from clause (1) of section 208(b), Pub. L. 87849 (18 U.S.C. 208):