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CHAPTER VI-NATIONAL SCIENCE

FOUNDATION

Part 600

601

602 610

611

Standards of conduct of employees and consult-
ants .......

Classification and declassification of national se-
curity information

Exemption of certain financial interests

Procedures and criteria for resolving questions in-
volving moral character or loyalty of applicants
for and holders of National Science Foundation
Fellowships.................
Nondiscrimination in Federally-assisted programs
of the National Science Foundation-effectu-
ation of Title VI of the Civil Rights Act of 1964..
Availability of records and information.....
Privacy Act regulations............

Government in the Sunshine Act Regulations of
the National Science Board....

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612

75

613

82

614

85

630

Fellowship Review Panel

88

.......

635

640

Keeping of records and furnishing of reports in
connection with weather modification activities.
Environmental impact statement policy and pro-
cedures.....

90

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Project notification and review system; notifica-
tion to states of award information
Conservation of Antarctic animals and plants.

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§ 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.)

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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]

§ 600.735-6 Conflicts-of-Interest Counsel

or.

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

of-Interest Counselor whenever it appears that he may be, or may become, involved in a possible conflict-of-interest situation. Any supervisor in the Foundation may refer to the Conflictsof-Interest Counselor any possible conflict-of-interest situation involving a subordinate of his whenever he deems such action appropriate. In such cases the subordinate concerned shall be informed that the matter has been referred for consideration and shall be afforded the opportunity to state his

case.

§ 600.735-7 Resolution of possible conflicts-of-interest situations.

(a) The General Counsel. The General Counsel is responsible for reviewing conflicts-of-interest matters brought to his attention by the Executive Secretary of the Panel or the Conflicts-ofInterest Counselor, and for attempting to work with the employees concerned in resolving such situations, and for offering employees an opportunity to explain any conflict or appearance of conflict. He is responsible for bringing to the attention of the Panel any conflicts-of-interest situation that has not in his opinion been satisfactorily resolved through the above procedures. He will not, however, refer to the Panel, nor will the Panel consider any conficts-of-interest matter which the General Counsel believes to be a violation of law. He will refer such matters to the Director for decision and appropriate action. Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable laws, Executive orders, and regulations. (b) Conflicts-of-Interest Panel. The Panel will consider those matters brought to its attention by the General Counsel, will direct the Executive Secretary to obtain any additional information deemed necessary, and will state in writing the conclusions it reaches. The Chairman of the Panel may refer any conflicts-ofinterest matter to the attention of the Director whenever this appears desirable, as, for example, in a case where the Panel is unable to reach a unanimous judgment upon a matter which has been referred to it. Similarly, if an employee disagrees with the outcome

Review

of the Panel's deliberations, he may bring the matter to the attention of the Director for his consideration and such action as the Director may deem appropriate.

(c) Disciplinary and other remedial actions. When there is a final decision that a conflict-of-interest situation requires disciplinary or other remedial action, such action shall be taken promptly to end the conflict or appearance of conflict of interest and to carry out any appropriate disciplinary measure. Any action taken, whether disciplinary or otherwise, shall be effected in accordance with applicable laws. Executive orders, Civil Service Commission regulations and the regulations in this part. The action taken may involve, among other things:

(1) Changes in existing duties;

(2) Divestment by the employee of his conflicting interest;

(3) Appropriate disciplinary action, up to and including removal;

(4) Disqualification for a particular assignment.

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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;

(iv) Grants Office;

(v) Administrative Services Office; (vi) Office of the General Counsel. (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):

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