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CHAPTER VI–NATIONAL SCIENCE FOUNDATION
Standards of conduct of employees and consultants.
loyalty of applicants for and holders of National Science Foundation
Foundation-effectuation of Title VI of the Civil Rights Act of 1964.
PART 600-STANDARDS OF CON SOURCE: The provisions of this part 600 DUCT OF EMPLOYEES AND CON
contained in NSF Circular 64, 81 FR. 4596,
Mar. 18, 1966, unless otherwise noted. SULTANTS
Subpart A-Employee Conduct, OutSubpart A-Employee Conduct, Outside Activities, and Conflicts of Interest
side Activities, and Conflicts of InSec.
terest 600.735–1 Purpose. 600.735–2 Scope.
$ 600.735-1 Purpose. 600.735–3 Statutory provisions.
As required by Executive Order 11222 600.7354 Policy. 600.735-5 Conflicts-of-Interest Review
of May 8, 1965 and Part 735 of Chapter Panel.
I, Title 5 of the Code of Federal Regula600.735-6 Conflicts-of-Interest Counselor. tions, this subpart sets forth National 600.735–7 Resolution of possible conflicts Science Foundation policies and proceof-interest situations.
dures with respect to employee conduct, 600.7358 Statements of employment and certain permissible and prohibited outfinancial interests.
side activities, and possible conflicts-of600.735-9 Employee conduct. 600.735–10 Presenting grievances to Con
interest situations. gress.
$ 600.735-2 Scope. Subpart B-Standards of Conduct for Consultants
The policies and procedures con600.735–20 Purpose.
tained in this subpart apply to all NSF 600.735-21 Scope.
employees. 600.735–22 Consultant conduct. 600.735–23 Statements of employment and 8 600–735–3 Statutory provisions.
financial interests. 600.735-24 Resolution of possible conflicts
Each employee is responsible for acof-interest situations.
quainting himself not only with the proAppendix.
visions of this subpart, but also with apAUTHORITY: The provisions of this part 600 plicable portions of each Federal statute Issued under E.O. 11222 of May 8, 1965, 3 relating to his conduct as an employee of CFR, 1965 Supp.; 5 CFR 736.104.
the Foundation and of the U.S. Govern
ment. The Personnel Office will call this $ 600.735–7 Resolution of possible con. subpart to the attention of all employees flicts-of-interest situations. at least once a year and will provide a
(a) The General Counsel. The Gencopy of the part to each new full-time
eral Counsel is responsibile for reviewing employee who joins the Foundation.
conflicts-of-interest matters brought to (A list of pertinent statutes is provided his attention by the Executive Secretary in the Appendix to this part.)
of the Panel or the Conflicts-of-Interest $ 600.735–4 Policy.
Counselor, and for attempting to work Confident of the integrity and sense of
with the employees concerned in resolyresponsibility of its employees, it is the
ing such situations, and for offering emintent of the Foundation to impose on
ployees an opportunity to explain any employees' conduct, activities, and fi
conflict or appearance of conflict. He nancial interests those prohibitions, and
is responsible for bringing to the attenlimitations that are required by law or
tion of the Panel any conflicts-of-interFederal regulation.
est situation that has not in his opinion
been satisfactorily resolved through the $ 600.735–5 Conflicts - of - Interest Re above procedures. He will not, howview Panel.
ever, refer to the Panel, nor will the To assist the Director in making judg- Panel consider any conflicts-of-interest ments regarding conflicts-of-interest matter which the General Counsel besituations, there is hereby established a lieves to be a violation of law. He will Conflicts-of-Interest Review Panel, refer such matters to the Director for which is assigned duties and responsi decision and appropriate action. Remebilities as set forth in $ 600.735–7. The dial action, whether disciplinary or Panel consists of the General Counsel as otherwise, shall be effected in accordance Chairman, and the Deputy Director, with any applicable laws, Executive orPlanning Director, and Associate Direc ders, and regulations. tors for Education and Research as mem- , (b), Conflicts-of-Interest Review bers. The Director shall appoint an Ex Panel. The Panel will consider those ecutive Secretary of the Panel and may matters brought to its attention by the specify other or additional members as General Counsel, will direct the Execuneeded.
tive Secretary to obtain any additional (NSF Circ. 54, 81 F.R. 4595, Mar. 18, 1966, as information deemed necessary, and will amended at 33 F.R. 746, Jan. 20, 1968)
state in writing the conclusions it
reaches. The Chairman of the Panel $ 600.735–6 Conflicts-of-Interest Coun
may refer any conflicts-of-interest matselor.
ter to the attention of the Director whenThe attorney in the Ofice of the Gen
ever this appears desirable, as, for exeral Counsel who has responsibilities for
ample, in a case where the Panel is unconflicts-of-interest matters is desig
able to reach a unanimous judgment nated the Conflicts-of-Interest Coun
upon a matter which has been referred selor, with responsibilities for providing, to it. Similarly, if an employee disagrees on request from any Foundation em
with the outcome of the Panel's deliberaployee, counsel regarding conflicts-of
tions, he may bring the matter to the atInterest regulations and requirements, as
tention of the Director for his considerawell as their applicability in particular tion and such action as the Director may situations. Each Foundation employee
deem appropriate. Is responsible for seeking the advice
(c) Disciplinary and other remedial of the Conflicts-of-Interest Counselor
actions. When there is a final decision whenever it appears that he may be, or
that a conflict-of-interest situation remay become, involved in a possible con
quires disciplinary or other remedial acflict-of-interest situation. Any super
tion, such action shall be taken promptly visor in the Foundation may refer to the
to end the conflict or appearance of Conflicts-of-Interest Counselor any possible conflict-of-interest situation in
conflict of interest and to carry out any volving a subordinate of his whenever
appropriate disciplinary measure. Any he deems such action appropriate. In
action taken, whether disciplinary or such cases the subordinate concerned
otherwise, shall be effected in accordance shall be informed that the matter has with applicable laws. Executive orders, been referred for consideration and shall Civil Service Commission regulations and be afforded the opportunity to state his the regulations in this part. The action case.
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. 8 600.735-8 Statements of employment
and financial interests. (a) General requirement. Statements of employment and financial interests are required of all Federal employees occupying positions at or above grade 13, or equivalent, which require the exercise of judgment in making a Government decision or in taking a Government action in regard to:
(1) Contracting or procurement;
(2) Administering or monitoring grants or subsidies;
(3) Regulating or aduiting private or other non-Federal enterprise; or
(4) Other activities where the decision or action has an economic impact on the interest of a particular non-Federal enterprise.
(b) Foundation requirement. In order to fulfill the Foundation's obligations under the general Government requirement described in paragraph (a) of this section, it has been determined that a Statement of Employment and Financial Interests must be completed and submitted in accordance with the procedures set forth in this section by all Foundation employees occupying positions of grade 14 or equivalent or above, with the exception of the GS-14 and GS-15 positions in the following ofices: 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 superviser 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-of-Interest 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 required. 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 houeshold who is a blood relation of the employee, are considered to be in. terests of the employee.
(f) Information not known by em. ployees. 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 em
ployee shall request such other person to hibited by law, regulation, or Executive submit the information on his behalf. order. Employees are required to notify
(g) Information not required. Em their supervisor of any conflicts-of-interployees are not required to submit infor. est between their Foundation duties and mation relating to their financial in- an organization with which they are neterests in any professional society not gotiating for employment, and subseconducted as a business enterprise as quently to divest themselves of said described in the next sentence, chari. duties. table, religious, social, fraternal, recre (1) Confidentiality of employees' stateational, public service, civic, political, or ments. Each statement of employment similar organization not conducted as a and financial interest and each supplebusiness enterprise. Professional soci- mentary statement will be held in stricteties, educational institutions and other est confidence. The Executive Secretary nonprofit organizations engaged in re shall maintain the confidential file of search, development, or related activi. statements in such a manner that access ties involving grants of money from, or to, or the disclosure of information from, contracts with the Government are a statement shall not be allowed except deemed "business enterprises" and are to carry out the purpose of this part. required to be included in employees' (NSF Circ. 54, 31 F.R. 4595, Mar. 18, 1966, as statements of employment and financial amended at 33 F.R. 746, Jan. 20, 1968; 33 FR. interests. The following financial in 2388, Jan. 31, 1968) terests are also exempted from the $ 600.735–9 Employee conduct. requirements of this section and from clause (1) of section 208(b), Public Law
(a) General: The Foundation assumes 87-849 (18 U.S.C. 208):
that each employee will conduct himself (1) Ownership of noncorporate bonds; in a manner that will not discredit or
(2) Ownership of shares in a mutual embarrass himself or the Foundation. fund;
However, it is pointed out that the vio(3) Ownership of shares of common or lation of the regulations in this part or preferred stocks, including warrants to any criminal, infamous, dishonest, impurchase such shares, and of corporate moral, or notoriously disgraceful conduct bonds or other corporate securities, if the on the part of an employee (whether in current aggregate market value of the oficial duty status or not) is cause for stocks and other securities so owned in immediate disciplinary action, up to and any single corporation does not exceed
including removal. $5,000, and provided such stocks and (b) Indebtedness: Employees are exsecurities are listed for trading on the pected to meet their financial obligations New York or American stock exchanges. and not to take advantage of the fact that This exemption extends also to any their wages are not subject to garnishfinancial interests that the corporation ment for private debts. Failure to meet whose stocks or other securities are so
just financial obligations in a proper and owned may have in other business timely manner may result in disciplinary entities;
action, up to and including removal. For (4) Remainder interest in any trust
the purpose of this section, a "just finanover which the employee does not have
cial obligation" means one acknowleged any right of control and the investments
by the employee or reduced to judgment of which do not exceed the limitations
by a court, and “in a proper and timely specified in subparagraph (3) of this
manner" means in a manner which the paragraph.
agency determines does not, under the (h) Effect of employees' statements on
circumstances, reflect adversely on the other requirements. The statements of
Government as his employer. In the employment and financial interests and
event of dispute between an employee supplementary statements required of
and an alleged creditor, this section does employees are in addition to, and are
not require NSF to determine the validity not in substitution for, or in derogation
or amount of the disputed debt. of, any similar requirement imposed by
(c) Payment of taxes: Employees are law, regulation, or Executive order. The
expected to meet their obligation for submission of the statement or supple
payment of taxes to Federal, State, and mentary statement by an employee does
local authorities. Delinquency in paynot permit him or any other person to
ment of Federal, State, and local taxes participate in any matter in which his or is cause for disciplinary action, up to the other person's participation is pro- and including removal. Federal agencies
are required to furnish State taxing au- with a matter under his official responthorities (including the District of Co sibility while in the Government, & forlumbia) with a copy of Form W-2 indi mer regular employee of the Foundation cating annual earnings and Federal may not negotiate with NSF, with a view income tax withheld. Employees are to obtaining support for himself or his authorized to pay delinquent Federal organization, by grant, contract, or taxes by payroll deduction, provided that otherwise, within 1 year after having left they make satisfactory arrangements NSF, except with the written authorizawith the Internal Revenue Service to tion of the Director. liquidate their tax liabilities in this man (3) Former employees of the Foundaner. When such arrangements are not tion may not be compensated directly made, District Directors of Internal Rev from an NSF grant or contract within 1 enue have the authority to levy upon the year of their leaving the Foundation, exsalaries of Federal employees for the full cept with the written permission of the amount of delinquent Federal income Director. tax.
(f) Gifts, entertainment, and favors: (d) Financial interests: Any employee (1) Employees may not solicit or accept may hold financial interests and engage directly or indirectly from any person, in financial transactions in the same way institution, corporation, or group, anyas any private citizen not employed by thing of economic value as a gift, grathe Foundation: Provided, That such in tuity, favor, entertainment, or loan, terests or activities are not prohibited which might be reasonably interpreted by law, Executive order, or the regula by others as being of such a nature that tions in this part. In particular, no It would affect his impartiality. This is employee may have any direct or indirect especially applicable in those instances financial interest that conflicts substan where the employee has reason to betially or appears to conflict substantially lieve that the person, institution, corwith his duties and responsibilties as poration, or group: & Foundation employee. No employee (i) Has, is seeking, or is likely to seek shall carry out Foundation duties in- assistance, support, or funds from the volving any organization in which he has Foundation; or a direct or indirect financial interest, (ii) Conducts operations or activities except an organization or financial inter- which are involved with, or are supest the reporting of which is waived un ported by, the Foundation; or der $ 600.735–8(g). No employee shall (iii) Has interests which might be engage directly or indirectly in any fi substantially affected by the employee's nancial transaction resulting from, or performance or nonperformance of primarily relying on, information ob duties; or tained through his employment.
(iv) May be attempting to affect the ) Participation in NSF grants by employee's official actions. former NSF employees: In cases not di (2) As required by law (5 U.S.C. 7351), rectly coming under the prohibitions of no employee shall solicit contributions 18 U.S.C. 207 (relating to activities of
from another employee for a gift to an former Government officials), the fol official superior. A superior shall not aclowing rules shall apply:
cept a gift obtained from contributions (1) Where an employee on leave of from employees receiving less salary than absence from his university or other himself. An employee shall not make a organization has suspended work on an donation as a gift to an employee in a NSF grant or contract to become a Foun superior position. However, it is not indation employee, he may resume his work
tended that this paragraph prohibit a under the grant or contract immediately voluntary gift of nominal value or donaupon terminating his service with the tion in a nominal amount made on a speFoundation. He may also apply at once cial occasion such as marriage, illness, or to the Foundation for support for his retirement. resumed activities.
(3) Employees are not permitted to ac(2) In addition to the statutory bars
cept a gift, or decoration, or other objects against ever dealing with the U.S. Gov from a foreign government unless auernment in connection with a particular thorized by Congress as provided by the matter in which he participated person- Constitution and in 5 U.S.C. 7342. ally and substantially while an employee, (4) Employees may accept promoand against dealing with the Government tional material of nominal intrinsic value for 1 year after leaving in connection such as pens, pencils, note pads, calen