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CHAPTER VI-NATIONAL SCIENCE FOUNDATION

Part

600

610

611

630

Standards of conduct of employees and consultants.

Procedures and criteria for resolving questions involving moral character or
loyalty of applicants for and holders of National Science Foundation
Fellowships.

Nondiscrimination in Federally-assisted programs of the National Science
Foundation-effectuation of Title VI of the Civil Rights Act of 1964.
Fellowship review panel.

635 Keeping of records and furnishing of reports in connection with weather modification activities,

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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-ofinterest situations.

§ 600.735-2 Scope.

The policies and procedures contained in this subpart apply to all NSF employees.

§ 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. Govern

ment. 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.

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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 § 600.735-7. 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 F.R. 4595, Mar. 18, 1966, as amended at 33 F.R. 746, Jan. 20, 1968] § 600.735-6

selor.

Conflicts-of-Interest Coun

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-ofinterest 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 Conflicts-of-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 con. flicts-of-interest situations.

(a) The General Counsel. The General Counsel is responsibile for reviewing conflicts-of-interest matters brought to his attention by the Executive Secretary of the Panel or the Conflicts-of-Interest 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 conflicts-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.

Review

(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-of-interest 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 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.

§ 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:

monitoring

(1) Contracting or procurement; (2) Administering or 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 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 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 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 em

ployee 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, ог 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), Public Law 87-849 (18 U.S.C. 208):

(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 subparagraph (3) of this paragraph.

(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 pro

hibited 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.

(1) Confidentiality of employees' state-o ments. Each statement of employment and financial interest and each supple- ! mentary 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.

[NSF Circ. 54, 31 F.R. 4595, Mar. 18, 1966, as amended at 33 F.R. 746, Jan. 20, 1968; 33 F.R. 2388, Jan. 31, 1968]

§ 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 acknowleged 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 au:thorities (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 Iwith the Internal Revenue Service to liquidate their tax liabilities in this man: ner. When such arrangements are not made, District Directors of Internal Revenue have the authority to levy upon the salaries of Federal employees for the full amount of delinquent Federal income : tax.

(d) Financial interests: Any employee may hold financial interests and engage in financial transactions in the same way as any private citizen not employed by the Foundation: Provided, That such interests or activities are not prohibited by law, Executive order, or the regulations in this part. In particular, no employee may have any direct or indirect financial interest that conflicts substantially or appears to conflict substantially with his duties and responsibilties as a Foundation employee. No employee shall carry out Foundation duties involving any organization in which he has a direct or indirect financial interest, except an organization or financial interest the reporting of which is waived under $600.735-8 (g). No employee shall engage directly or indirectly in any financial transaction resulting from, or primarily relying on, information obtained through his employment.

(e) Participation in NSF grants by former NSF employees: In cases not directly coming under the prohibitions of 18 U.S.C. 207 (relating to activities of former Government officials), the following rules shall apply:

(1) Where an employee on leave of absence from his university or other organization has suspended work on an NSF grant or contract to become a Foundation employee, he may resume his work under the grant or contract immediately upon terminating his service with the Foundation. He may also apply at once to the Foundation for support for his resumed activities.

(2) In addition to the statutory bars against ever dealing with the U.S. Government in connection with a particular matter in which he participated personally and substantially while an employee, and against dealing with the Government for 1 year after leaving in connection

with a matter under his official respon→ sibility while in the Government, a former regular employee of the Foundation may not negotiate with NSF, with a view to obtaining support for himself or his organization, by grant, contract, or otherwise, within 1 year after having left NSF, except with the written authorization of the Director.

(3) Former employees of the Foundation may not be compensated directly from an NSF grant or contract within 1 year of their leaving the Foundation, except with the written permission of the Director.

(f) Gifts, entertainment, and favors: (1) Employees may not solicit or accept directly or indirectly from any person, institution, corporation, or group, anything of economic value as a gift, gratuity, favor, entertainment, or loan, which might be reasonably interpreted by others as being of such a nature that It would affect his impartiality. This is especially applicable in those instances where the employee has reason to believe that the person, institution, corporation, or group:

(i) Has, is seeking, or is likely to seek assistance, support, or funds from the Foundation; or

(ii) Conducts operations or activities which are involved with, or are supported by, the Foundation; or

(iii) Has interests which might be substantially affected by the employee's performance or nonperformance of duties; or

(iv) May be attempting to affect the employee's official actions.

(2) As required by law (5 U.S.C. 7351), no employee shall solicit contributions from another employee for a gift to an official superior. A superior shall not accept a gift obtained from contributions from employees receiving less salary than himself. An employee shall not make a donation as a gift to an employee in a superior position. However, it is not intended that this paragraph prohibit a voluntary gift of nominal value or donation in a nominal amount made on a special occasion such as marriage, illness, or retirement.

(3) Employees are not permitted to accept a gift, or decoration, or other objects from a foreign government unless authorized by Congress as provided by the Constitution and in 5 U.S.C. 7342.

(4) Employees may accept promotional material of nominal intrinsic value such as pens, pencils, note pads, calen

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