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(NSF Circ. 54, 31 FR 4595, Mar. 18, 1966, as amended at 33 FR 746, Jan. 20, 1968; 33 FR 2388, Jan. 31, 1968)
(1) Ownership of noncorporate bonds;
(2) Ownership of shares in a mutual fund;
(3) 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 American stock exchanges. 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;
(4) Remainder interest in any trust over which the employee does not have any right of control and the investments of which do not exceed the limitations specified in paragraph (g)(3) of this section.
(h) Effect of employees' statements on other requirements. The statements of employment and financial interests and supplementary statements required of employees are in addition to, and are not in substitution for, or in derogation of, any similar requirement imposed by law, regulation, or Executive order. The submission of the statement or supplementary statement by an employee does not permit him or any other person to participate in any matter in which his or the other person's participation is prohibited by law, regulation, or Executive order. Employees are required to notify their supervisor of any conflicts-of-interest between their Foundation duties and an organization with which they are negotiating for employment, and subsequently to divest themselves of said duties.
(i) Confidentiality of employees' statements. Each statement of employment and financial interest and each supplementary statement will be held in strictest confidence. The Executive Secretary shall maintain the confidential file of statements in such a manner that access to, or the disclosure of information from, a statement shall not be allowed except to carry out the purpose of this part.
$ 600.735-9 Employee conduct.
(a) General: The Foundation assumes that each employee will conduct himself in a manner that will not discredit or embarrass himself or the Foundation. However, it is pointed out that the violation of the regulations in this part or any criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct on the part of an employee (whether in official duty status or not) is cause for immediate disciplinary action, up to and including removal.
(b) Indebtedness: Employees are expected to meet their financial obligations and not to take advantage of the fact that their wages are not subject to garnishment for private debts. Failure to meet just financial obligations in a proper and timely manner may result in disciplinary action, up to and including removal. For the purpose of this section, a "just financial obligation” means one acknowledged by the employee or reduced to judgment by a court, and “in a proper and timely manner" means in a manner which the agency determines does not, under the circumstances, reflect adversely on the Government as his employer. In the event of dispute between an employee and an alleged creditor, this section does not require NSF to determine the validity or amount of the disputed debt.
(c) Payment of taxes: Employees are expected to meet their obligation for payment of taxes to Federal, State, and local authorities. Delinquency in payment of Federal, State, and local taxes is cause for disciplinary action, up to and including removal. Federal agencies are required to furnish State taxing authorities (including the District of Columbia) with a copy of Form W-2 indicating annual earnings and Federal income tax withheld. Employees are authorized to pay delinquent Federal taxes by payroll deduction, provided that they make satisfactory arrangements with the Internal Revenue Service to liquidate their tax liabilities in this manner. When such arrangements are not made, District Di
rectors of Internal Revenue have the within 1 year after having left NSF, authority to levy upon the salaries of except with the written authorization Federal employees for the full amount of the Director. of delinquent Federal income tax.
(3) Former employees of the Foun(d) Financial interests: Any employ. dation may not be compensated direct. ee may hold financial interests and ly from an NSF grant or contract engage in financial transactions in the within 1 year of their leaving the same way as any private citizen not Foundation, except with the written employed by the Foundation: Pro- permission of the Director. vided, That such interests or activities (f) Gifts, entertainment, and favors: are not prohibited by law, Executive (1) Employees may not solicit or order, or the regulations in this part. accept directly or indirectly from any In particular, no employee may have person, institution, corporation, or any direct or indirect financial interest group, anything of economic value as that conflicts substantially or appears a gift, gratuity, favor, entertainment, to conflict substantially with his or loan, which might be reasonably induties and responsibilities as a Foun- terpreted by others as being of such a dation employee. No employee shall nature that it would affect his imparcarry out Foundation duties involving tiality. This is especially applicable in any organization in which he has a those instances where the employee direct or indirect financial interest, has reason to believe that the person, except an organization or financial in institution, corporation, or group: terest the reporting of which is waived (i) Has, is seeking, or is likely to seek under $ 600.735-8(g). No employee assistance, support, or funds from the shall engage directly or indirectly in Foundation; or any financial transaction resulting (ii) Conducts operations or activities from, or primarily relying on, informa- which are involved with, or are suption obtained through his employ ported by, the Foundation; or ment.
(iii) Has interests which might be (e) Participation in NSF grants by substantially affected by the employformer NSF employees: In cases not ee's performance or nonperformance directly coming under the prohibitions of duties; or of 18 U.S.C. 207 (relating to activities (iv) May be attempting to affect the of former Government officials), the employee's official actions. following rules shall apply:
(2) As required by law (5 U.S.C. (1) Where an employee on leave of 7351), no employee shall solicit contriabsence from his university or other butions from another employee for a organization has suspended work on gift to an official superior. A superior an NSF grant or contract to become a shall not accept a gift obtained from Foundation employee, he may resume contributions from employees receivhis work under the grant or contracting less salary than himself. An emimmediately upon terminating his ployee shall not make a donation as a service with the Foundation. He may gift to an employee in a superior posialso apply at once to the Foundation tion. However, it is not intended that for support for his resumed activities. this paragraph prohibit a voluntary
(2) In addition to the statutory bars gift of nominal value or donation in a against ever dealing with the U.S. nominal amount made on a special ocGovernment in connection with a par casion such as marriage, illness, or reticular matter in which he participat tirement. ed personally and substantially while (3) Employees are not permitted to an employee, and against dealing with accept a gift, or decoration, or other the Government for 1 year after leav- objects from a foreign government ing in connection with a matter under unless authorized by Congress as prohis official responsibility while in the vided by the Constitution and in 5 Government, a former regular employ. U.S.C. 7342. ee of the Foundation may not negoti (4) Employees may accept promoate with NSF, with a view to obtaining tional material of nominal intrinsic support for himself or his organiza- value such as pens, pencils, note pads, tion, by grant, contract, or otherwise, calendars, etc. Employees may on in
frequent occasions accept items of or economic benefit for such participanominal value such as food in the ordi- tion. nary course of a luncheon or dinner (7) Employees shall avoid any action meeting, site visit, or professional con whether or not specifically prohibited ference when the employee is properly which might result in or create the apin attendance.
pearance of: (g) Outside employment: (1) Em- (i) Using public office for private ployees shall not engage in any out- gain; side employment or other outside ac- (ii) Giving preferential treatment to tivity not compatible with the full and any person; proper discharge of their Foundation (iii) Impeding Government efficienduties and responsibilities. Incompati. cy or economy; ble activities include, but are not limit. (iv) Losing complete independence ed to, acceptance of anything of mone- or impartiality; tary value which may result in or (v) Making a Government decision create the appearance of a conflict of outside official channels; or interest.
(vi) Affecting adversely the confi(2) Employees shall not engage in dence of the public in the integrity of outside employment which tends to the Government. impair their health or capacity to dis- (8) Employees may, however, particicharge acceptably their duties and re- pate in the affairs of, and accept an sponsibilities.
award for meritorious public contribu(3) Employees shall not receive any tion or achievement given by a charithing of monetary value from a pri- table, religious, fraternal, educational, vate source as compensation for their recreational, public service, or civic oractivities as Foundation employees. ganization.
(4) Employees shall not engage in (h) Advice or assistance to nonprofit teaching, lecturing, or writing which is or commercial organizations: The condependent on official information ob- ditions under which employees may tained as a result of Government em- offer assistance or advice to nonprofit ployment, except when the informa or commercial organizations are set tion has been, or is being made availa forth in this paragraph (h). ble to the general public, or will be (1) General rule. While not on offimade available to the public on re- cial duty, an employee may provide quest, or when the Director or Deputy advice or assistance and receive comDirector gives written authorization pensation therefor, to either nonprofit for the use of nonpublic information or commercial organizations, provided on the basis that the use is in the that such services are unrelated to his public interest. However, employees activities at the Foundation and do are encouraged to engage in teaching, not draw upon information deriving lecturing, and writing not prohibited from Government sources not publicly by the regulations in this part, by law, available. or by Executive order.
(2) Specific situations-(i) Visiting (5) Employees shall not receive any committees. Except with the specific thing of monetary value for any con- approval of the Director, employees sulting, lecturing, discussion, writing, should not participate in the deliberaor presentation, the subject of which tions of a college or university visiting is devoted to the responsibilities, pro- committee; however, an employee may grams, or operations of the Founda- meet with such groups as a Foundation, or which draws on official data or tion official where it would be approideas which have not become part of priate to attend a similar meeting with the body of public information.
any other comparable group request(6) Employees shall not serve as or- ing his assistance. ganizers or directors of scientific con- (ii) Participation in non-Federal references, colloquia or similar events search institutions. Except with the supported by grant or contract from specific approval of the Director, emthe Foundation, but may otherwise ployees may not participate in any participate in such events provided way in the policy making or administhey do not receive any compensation tration of a non-Federal research insti
tution which receives or is eligible to actual employment. The Federal Perreceive funds from a Federal agency. sonnel Manual contains information
(iii) Membership and office holding on such restrictions. Copies of the in professional societies. Except with Federal Personnel Manual may be the specific approval of the Director, consulted in the Personnel Office. If an employee may be a member of a an employee is in doubt about permisprofessional society, but may not serve sible activities, he should contract the as an officer except where the society Personnel Office for clarifications. has not received any support from the (1) Employees may not use their ofFoundation during the preceding ficial positions or influence for the three years and the employee has no purpose of interfering with an election reason to expect it to seek support and they may not take an active part during the tenure of his office. If the in political management or in political society later requests support from the campaigns, except as provided in paraFoundation, the employee should graphs (m) (4) and (5) of this section. resign his office in the society or re (2) No employee may discriminate quest permission to remain in such against another employee because of office.
his political opinions or affiliations. (i) Misuse of information: For the (3) An employee may not become a purpose of furthering a private inter- candidate for nomination or election est, employees shall not (except as to a Federal, State, county, or municiprovided in paragraph (g)(4) of this pal office on a partisan political ticket. section) directly or indirectly use, or Nor may an employee become a candiallow the use of, official information date as an independent when opposed obtained through, or in connection by a partisan political candidate, with, his Government employment except as provided in paragraph (m) which has not been made available to (4) of this section. the general public.
(4) Certain political subdivisions in (j) Compensation from NSF-awarded the vicinity of Washington, D.C., as funds: No employee may receive any well as other municipalities, designatcompensation either directly or indi. ed by the CSC, have been granted a rectly from NSF funds awarded to limited exception to the rules prohibitcontractors or grantees.
ing political management or candidacy (k) Use of Federal property: No em- for local office. In such municipalities, ployee may use Federal property or employees may become candidates as facilities of any kind for other than of independents, even when opposed by ficially approved activities. Every em partisan political candidates. ployee has the responsibility to pro (5) In general, the Foundation entect and conserve all Federal property courages employees to be candidates which has been entrusted to him.
for, and to hold, State, county, or mu(1) Exercise of notary powers: Em nicipal offices of a nonpartisan nature ployees who are notaries public may when permitted by law. Employees denot charge or receive any compensa- siring to be candidates for or to hold a tion for performing any notarial act State or local office or to undertake during working hours, including the the political management of a candiluncheon period.
dacy for such office, must first secure (m) Political activity: Restrictions in the approval of the head of their Divithis section are applicable to employ sion or Office, and then forward their ees on leave, leave without pay, or fur request to the Personnel Officer for lough, as well as to other regular em- approval. ployees of the Foundation. Individuals (6) Full-time employees, with the whose employment is on an intermit prior consent of the Director, may tent basis (not occupying a substantial hold positions under a State or local portion of their time) are subject to government on a part-time basis only. the political-activities restrictions only Intermittent employees may hold fullwhile they are in an active-duty status. time or part-time State or local govThe period of active-duty status for a ernment positions. In both cases, the particular employee includes the above restrictions on political activity entire 24-hour period of any day of must be observed.
time or intermittent basis, for not to exceed 130 days during any period of 365 consecutive days.
(n) An employee shall not participate, while on Government-owned or leased property or while on duty for the Government, in any gambling activity, such as a lottery or the sale or purchase of numbers, etc. (NSF Circ. 54, 31 FR 4595, Mar. 18, 1966, as amended at 33 FR 747, Jan. 20, 1968; 33 FR 11904, Aug. 22, 1968; 35 FR 13133, Aug. 18, 1970]
8 600.735–10 Presenting grievances to
Congress. Nothing in this subpart shall be construed as abridging in any way the right of employees, either individually or collectively, to petition Congress, or any member thereof or to furnish information when appropriate to either House of Congress, or to any committee or member thereof.
Subpart B-Standards of Conduct for
8 600.735–20 Purpose.
(a) In order to meet the requirements of the Civil Service Commission pertaining to conflicts of interest and ethical conduct, this subpart prescribes NSF policy and procedures governing all NSF consultants and shall serve as formal notification of the conditions for serving as consultants. Acceptance of the appointment as con sultant signifies that the consultant is subject to and will abide by the conditions set forth in this subpart.
(b) To promote the highest possible standards of honesty, integrity, and impartiality in the conduct of its business, the National Science Foundation conveys to all consultants the regulations in this subpart as an aid in the avoidance of actual or apparent conflicts of interest and misconduct. 8 600.735-21 Scope.
This subpart applies to every consultant appointed by the National Science Foundation and is based upon the standards of ethical conduct described in Executive Order 11222. For the purpose of this subpart, “consultant” means a person retained, designated, appointed or emploved by NSF with or without compensation, to perform temporary duties either in a full
8 600.735-22 Consultant conduct.
(a) A consultant shall not use his position for the actual or apparent purpose of private gain for himself or another person, particularly one with whom he has family business or financial ties, nor shall he convey inside information (that which has not become part of the body of public information and that would not be available upon request) directly or indirectly to any person for the purpose of private gain for himself or another person, particularly one with whom he has family business or financial ties.
(b) A consultant shall not, either for or without compensation, engage in teaching, lecturing, or writing that is dependent on information obtained as a result of his Government employment, except when that information has been made available to the general public or will be made available on request, or when the Director gives written authorization for the use of nonpublic information on the basis that the use is in the public interest.
(c) A consultant shall not use his position with the Foundation to coerce or give the appearance of coercing a person to provide private gain for himself or another person.
(d) A consultant shall not, in connection with his NSF duties, receive or solicit from anyone having business with the Foundation anything of value such as a gift, gratuity, loan, or entertainment for himself or another person. (This does not prohibit the infrequent acceptance of unsolicited advertising or promotional materials of nominal value such as pens, note pads, or calendars, or the acceptance of food or refreshments of nominal value characteristic of luncheon or dinner meetings.)
(e) A consultant shall adhere to the same standards of conduct made applicable to employees of the National Science Foundation by $ 600.735-9 (a) through (d), (f), and (k) through (n).