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of your immediate family, a business partner, or an organization of which you are or may become a part has a financial interest. You will not violate this restriction with respect to proposals and awards as long as you follow the instructions provided in paragraph (b) of this section.

(h) Use of inside information (§684.17). If your work for the Government gives you access to information not generally available to the public, you must not use that information for your private benefit or make it available for the private benefit of any other person or organization.

(1) Effect of simplified wording. The wording of the requirements as presented in these regulations has been simplified substantially from the wording of underlying statutes and other authorities, so that they will be easier to understand. Your initial interpretation should be conservative. If in doubt on the meaning of terms or otherwise troubled, consult an ethics counselor in the Office of the General Counsel.

(j) General standards of conduct. You are also responsible for being familiar with general standards of conduct described in §680.18 of this chapter and for observing them.

§ 684.12 Financial disclosure.

(a) Unless you are required under paragraph (b) of this section to file public Financial Disclosure Reports, you must file a confidential Statement of Employment and Financial Interests at the time of your appointment (and of any reappointment). The Personnel Office automatically supplies you with the necessary forms, and you file the Statement there.

(b) High-ranking "special employees" who work more than sixty days a year. If you are compensated as a "special employee" at a rate at or above the lowest rate for a GS-16 regular employee, you are a "senior employee". Regular senior employees are required to file public Financial Disclosure Reports. You are required to do so, however, only if you plan to work or actually do work more than sixty days in any calendar year. Specifically:

(1) If at the time of your appointment you are expected to serve more than sixty days in any calendar year, you

must file such a Report then and again within thirty days after your appointment ends.

(2) If you did not file at the time of your appointment, but do in fact serve more than sixty days in any calendar year, you must file such a Report within fifteen days of your sixty-first day of work and again within thirty days after your appointment ends.

(3) In either case, if you in fact serve more than sixty days in any calendar year, you must also file such a Report before May 15 of the next year.

A person who is under consideration for nomination to the National Science Board may be asked to file a Financial Disclosure Report with the White House or the Senate through the Office of Government Ethics as part of the clearance process even if not expected to serve more than sixty days a year. Such a Report will not be made public by the NSF.

(c) Filing of Financial Disclosure Reports. If you are required to file Financial Disclosure Reports, the necessary forms ordinarily will be sent to you automatically, with instructions. You should inquire, however, if you think you may go over the sixty-day limit, and you may ask for forms from the Office of the General Counsel whenever you need them. File your Reports with an ethics counselor in the Office of the General Counsel. The ethics counselors will help with problems or questions that arise in completing the forms. The law also requires them to review your Report after you file it. They may contact you about any errors you make in filling out the form and about any questions that are raised by what you report. The law requires them to make each Report you file available to the public within fifteen days after receiving it. A copy of any request for your Report will be sent to you.

§ 684.13 Political activity (Hatch Act).

The Hatch Act and other laws restrict the involvement of Federal civil service employees with partisan politics. The restrictions apply to you for all of any day during which you work for the Government. If you have any plan or intention of being involved in any election campaign or politicalparty activity on any such day, consult

an ethics counselor in the Office of the General Counsel before doing so. Members of the National Science Board, as Presidential appointees, are not subject to these rules. They are subject only to a restriction on using official authority or influence for political purposes. Part 683, subpart D, §§ 683.40 through 683.44, cover the Hatch Act restrictions in greater detail.

§684.14 Representing private interests before the NSF or other Federal agencies.

(a) "Personal involvement" permanent restriction. All NSF "special employees" are subject to the following basic restriction:

You must never represent anyone in dealings with any Federal official on any proposal, project, or other matter involving specific parties if you have been personally involved with that matter at or for the NSF.

(b) NSF restriction. If you have been employed with the NSF more than sixty days a year, you are subject to one other restriction:

During your NSF service and for one year thereafter you must not represent anyone in dealings with any NSF official on any proposal, project, or other matter involving specific parties.

Be careful: Violation of either of these restrictions may also be a Federal crime.

(c) Effect on involvement with proposals and projects. These representational restrictions do not preclude you from being involved as a researcher or educator with proposals submitted to the NSF or other Government agencies or with projects supported by the NSF or by other Government agencies. They may preclude you from being the one to write, call, visit, or otherwise communicate with a Federal official about a proposal or project.

(d) "Personally involved". You can be "personally involved" even though you actually make none of the critical decisions if you contribute to them by recommendations, advice, approval, or the like, but your involvement must have been substantial. If you are a member of the National Science Board, you have definitely been "personally involved" with a matter if you have participated in any Board or Board

committee action on the matter or have taken part in a Board or committee discussion immediately preceding such an action.

§ 684.15 Compensation.

(a) Compensation where you have been involved for the Government. All "special Government employees" are subject to the following restriction:

While you are an NSF "special employee" you must not seek or accept (except from the Government) any compensation for services by you or anyone else in relation to any matter involving specific parties if you have been personally involved with that matter for the Government.

(b) Compensation in relation to NSF matters. If you have been employed with the NSF for more than sixty days in the last 365 and still are, you are subject to one other restriction:

You must not seek or accept any compensation for services by you or anyone else in relation to any matter involving specific parties that is pending in the NSF.

Be careful: Violation of either of these rules may also be a Federal crime.

(c) NSF awards. You may, however, perform work under an NSF award and may receive compensation charged to the award for the work.

(d) "Personally involved". The term personally involved has exactly the same meaning here as in connection with the representational restrictions described in § 684.14. See § 684.14(d).

§ 684.16 Acts affecting your financial interests.

(a) No acting as a Federal employee where you have a financial interest. You must not be personally involved as a Federal employee in the handling of any proposal, award, or other matter in which you, a member of your immediate family, or an organization of which you are or may become a part has a financial interest. BE CAREFUL: violation of this rule may also be a Federal crime.

(b) Proposals and awards. You will not violate this restriction with respect to proposals and awards as long as you follow the instructions provided in § 684.11(b).

(c) "Personally involved". The term personally involved has exactly the

same meaning here as in connection with the representational restrictions described in §684.14. See § 684.14(d).

(d) "Matter". The word matter has a somewhat broader meaning here than the phrase "matter involving specific parties" used in §684.14. Broad policy determinations that might affect your home institution, but only in the same manner as all similar institutions, are not covered. If in doubt, consult an ethics counselor in the Office of the General Counsel. National Science Board members should consult the Chairman of the Board.

(e) Immediate family. Only your spouse and minor children are considered members of your "immediate family" under this rule.

(f) "Organization of which you are or may become a part". You are a part of an organization if you are an officer, director, trustee, partner, or employee. You "may become" a part of an organization if you are negotiating with it or have an arrangement with it concerning such a position.

(g) Waiver. This provision may be waived where the financial interest involved is so insubstantial that it is unlikely to affect the integrity of your services to the Government. If you think such a waiver is called for, consult an ethics counselor in the Office of the General Counsel. The ethics counselor will advise you and will make a recommendation to the official who would have to approve such a waiver. National Science Board members should consult with the Chairman of the Board.

§ 684.17 Inside information.

(a) If your Government job gives you access to information not generally available to the public, you must not use that information for your private benefit or make it available for the private benefit of any other person or organization.

(b) You must not receive anything of monetary value for consulting, lecturing, writing, or public discussion that primarily concerns the responsibilities, programs, or operations of the Foundation or that draws significantly on official information or ideas not generally available to the public.

(c) The Director, the Deputy Director, an assistant director, or (in the case of Board members) the Chairman of the National Science Board may waive application of these rules and authorize use of non-public information in the public interest. Any such authorization must be obtained in writing. Consult an ethics counselor in the Office of the General Counsel. National Science Board members should consult with the Chairman.

§ 684.18 General standards of conduct for "special employees”.

(a) Use of Government employment for private gain. You must not use your Government employment for a purpose that is (or gives the appearance of being) motivated by desire for private gain for yourself or anyone else, particularly anyone with whom you have family, business, or financial ties.

(b) Use of Government employment for extortion. You must not use your Government employment to coerce (or appear to coerce) anyone to provide financial benefit to yourself of anyone else, particularly anyone with whom you have family, business, or financial ties.

(c) Gifts and favors. On days when you are working at or for the NSF or in connection with NSF employment you must not seek or accept from anyone who has business with the NSF any gift, tip, loan, entertainment, or favor for yourself or anyone else, particularly anyone with whom you have family, business, or financial ties. This does not include promotional items of trivial value or a modest meal offered as a courtesy when there is no apparent connection with NSF business.

(d) Misuse of Government property. You must not use Government property or services for your private benefit or for the private benefit of others, except as your public duties benefit particular members of the public in intended ways.

(e) Familiarity with statutory provisions. You are legally responsible for acquainting yourself with each statute that relates to your ethical and other conduct as an NSF and Federal employee. Principal among these are the criminal statutes relating to bribery, graft, and conflicts of interests con

tained in 18 U.S.C. 201 through 209. The aspects of those statutory provisions that apply to you as an NSF "special employee" are covered by these regulations. These regulations also cover the provisions of Executive Order 11222, which prescribes standards of ethical conduct for Government officers and employees, and regulations of the Office of Personnel and Management that implement both the statutory provisions and the Executive Order. If you follow the regulations, you should have no trouble with any of those provisions. The regulations do not cover a number of other statutes that you must obey as a Federal employee:

(1) The prohibition against lobbying with appropriated funds (18 U.S.C. 1913).

(2) The prohibitions against disloyalty and striking (5 U.S.C. 7311, 18 U.S.C. 1918).

(3) The prohibitions against disclosure of classified information (18 U.S.C. 798, 50 U.S.C. 783) and disclosure of confidential information (18 U.S.C. 1905).

(4) The provision on habitual use of intoxicants to excess (5 U.S.C. 7352). (5) The prohibition against misuse of Government vehicle (31 U.S.C.

a

638a(c)).

(6) The prohibition against misuse of the franking privilege (18 U.S.C. 1719).

(7) The prohibition against use of deceit in an examination or personnel action in connection with Government employment (18 U.S.C. 1917).

(8) The prohibition against fraud or false statements in a Government matter (18 U.S.C. 1001).

(9) The prohibition against mutilating or destroying a public record (18 U.S.C. 2071).

(10) The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508).

(11) The prohibitions against embezzlement of Government money or property (18 U.S.C. 641), failing to account for public money (18 U.S.C. 643), and embezzlement of the money or property of an employee by reason of his employment (18 U.S.C. 654).

(12) The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. 285).

(13) The prohibition against an employee acting as the agent of a foreign principal registered under the Foreign Agents Registration Act (18 U.S.C. 219).

Subpart B-Special Rules of the National Science Board for Board Members

§ 684.20 Summary.

As a member of the National Science Board you are covered by rules for "special employees" described in subpart A of this part 684. In addition, Board deliberations raise a number of conflicts issues in a unique context. Moreover, Board members are highly visible Presidential appointees who retain private employment and other affiliations. Specifically, many of them are active scientists whose work has been supported by the NSF or other Federal agencies. For these reasons the Board has adopted the following specific conflict-of-interests rules for the governance of its members. You should also advise the Chairman of the Board of any interest or affiliation you have or propose to have that could create a significant appearance of conflict of interests in the work of the Board.

§ 684.21 Participation in Board deliberations.

(a) Abstention. You must excuse yourself from deliberations and votes of the Board or any of its committees on any action that would to your knowledge affect:

(1) The interests of an institution with which you, your spouse, a minor child, a blood relative who lives with you, or anyone who is legally your partner has any of the affiliations listed in paragraph (b) of this section, or

(2) The interests of an individual with whom you, your spouse, a minor child, a blood relative who lives with you, or anyone who is legally your partner has any of the relationships listed in paragraph (c) of this action.

(b) Affiliations with affected institutions. (1) Ownership of the institution's stocks, bonds, notes, or other evidences of debt (other than through mutual funds).

NOTE: Minor or indirect holdings may be exempted; check with the Chairman.

(2) Current employment.

(3) Any formal or informal arrangement for future employment.

(4) Current appointment as professor, adjunct professor, visiting professor, or the like.

(5) Governing board membership.

(6) Chairmanship of any committee of the institution that has an interest in the Board's action.

(7) Any other office (not including ordinary membership in a professional society or association).

(8) Current membership on a visiting committee or similar body.

NOTE: Individual waivers of this provision may be issued in appropriate circumstances; contact the Chairman.

(9) Current enrollment as a student in a department or school that has an interest in the Board's action.

(10) Any other affiliation with the institution that you think would destroy your objectivity or be seen as doing so by a reasonable person familiar with the affiliation.

(c) Relationships with affected individuals. (1) Blood or marriage relationship with a principal investigator.

(2) Any other relationship, such as close personal friendship, that you think might tend to destroy your objectivity or be seen as doing so by a reasonable person familiar with the relationship.

§ 684.22 Negotiations with NSF staff.

During your term on the National Science Board you must not represent yourself or any other private party in negotiations or other dealings with an NSF official on any proposal, project, or other matter.

[48 FR 52732, Nov. 22, 1983]

§ 684.23 Participation in proposals and projects.

(a) General; substitute negotiator. You may prepare a proposal for submission to the NSF and may be principal investigator on the proposal and on any subsequent award. The proposal should also name a substitute negotiator to represent the project and the institution in dealings with NSF officials from which you would be restricted as a member of the Board. If you were principal investigator under an exist

ing award before your appointment to the Board, your institution will be asked to name a substitute negotiator for the same purpose before the appointment becomes official.

(b) Scientific and technical information. You may respond to requests from a program officer or another NSF official for scientific and technical information relating to an award or proposal, such as might be needed to respond to reviewer comments. You must not, however, couple the information you supply with any attempt to influence action on the proposal other than what inheres in the provision of the information itself. (If possible, have someone else respond.)

(c) Compensation; reimbursement of expenses. No NSF award made while you are a member of the Board may be charged for any compensation paid to you. An award may be charged, however, for actual expenses you incur in doing work supported by the award. If you are already an investigator or consultant under an NSF award when you became a Board member, the award may be charged for compensation to you to the extent established before your nomination.

[48 FR 52732, Nov. 22, 1983]

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