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(d) Gambling, betting, and lotteries. While on Government owned or leased property, or while on duty for the Government, NASA employees will not participate in any gambling activi. ty, including the operation of a gambling device; in conducting a lottery or pool; in participating in a game for money or property; or in selling or purchasing a numbers slip or ticket. However, participation in federally sponsored fund-raising activities conducted pursuant to Executive Order 10927, or in NASA-approved activities, and not otherwise prohibited by state criminal laws, is not precluded.

(e) Autographs. In response to autograph requests, although it is the prerogative of each employee to accept or refuse any and all requests, NASA employees should recognize their person

public-at-large fairly and courteously. Accordingly, the following guidelines are to be observed: No autograph should be treated as a commercial commodity; nothing of value should be requested or accepted in exchange for an autograph; generally no more than

an two autographs for the same individual or concern should be given; autographs should not be provided when it is apparent that they will be used commercially by the requesting individual or concern. For further guidance, see paragraph 7h in NASA Management Instruction (NMI) 1380.6, “Conduct of Philatelic Activities and Services at NASA Installations."

(f) General conduct prejudicial to the Government. NASA employees will not engage in criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct, or any other conduct prejudicial to the Government.

(g) Miscellaneous statutory provisions. Each employee will become acquainted with the statutory provisions that relate to his/her ethical and other conduct, among which the fol. lowing are particularly relevant:

(1) House Concurrent Resolution 175, 85th Congress, 2d Session, 72 Stat. B12, the “Code of Ethics for Government Service.”

(2) Chapter 11 of Title 18, United States Code, relating to bribery, graft, and conflicts of interest, as appropri

ate to the employees concerned (see Appendix C).

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

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

(5) The prohibition against the employment of a member of a Communist organization (50 U.S.C. 784).

(6) The prohibitions against:

(i) The disclosure of classified information (18 U.S.C. 798; 50 U.S.C. 783); and

(ii) The disclosure of private or proprietary information (18 U.S.C. 1905).

(7) The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 7352).

(8) The prohibition against the misuse of a Government motor vehicle or aircraft (31 U.S.C. 1349(b)).

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

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

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

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

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

(14) The prohibitions against:

(i) Embezzlement of Government money or property (18 U.S.C. 641);

(ii) Failing to account for public money (18 U.S.C. 643); and

(iii) Embezzlement of the money or property of another person in the possession of an employee by reason of his/her employment (18 U.S.C. 654).

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

(16) The prohibitions against proscribed political activities (“The Hatch Act” 5 U.S.C. 7324-7327; 18 U.S.C. 602, 603, and 607).

(17) The prohibition against an employee acting as the agent of a foreign principal registered under the Foreign

Agents Registration Act (18 U.S.C. (c) The following officials are desig219).

nated as NASA Deputy Ethics Offi(18) The prohibition against a public cials pursuant to 5 CFR 738.204(a): official appointing, employing, pro (1) Deputy General Counsel; moting, or advancing a relative of the (2) Associate General Counsel (Genofficial in an agency, or advocating

eral); also serves as Alternate Desigany such actions in an agency for such nated Agency Ethics Official: a relative (5 U.S.C. 3110).

(3) Chief Counsel at each NASA (19) The prohibition against discrim

field or component installation. ination for or against any employee or

(d) The Deputy Ethics Officials may applicant for employment on the basis

carry out their responsibilities of race, color, religion, sex, national origin, age, handicapping condition,

through designated subordinates; how

ever, they shall retain ultimate remarital status or political affiliation (5 U.S.C. 2302(b)).

sponsibility for the functions assigned (20) The prohibition against:

to them under this section. (i) The disclosure of crop informa

(e) The Installation Personnel Offition and speculation thereon (18

cers shall: U.S.C. 1902); and

(1) Maintain master lists of those (ii) The issuance of false crop re employees who file public disclosure ports (18 U.S.C. 2072).

and confidential financial statements; (21) The prohibition against the ac (2) Supply the appropriate employ. ceptance of excessive honorariums (2 ees with these forms; U.S.C. 441i) (see Appendix D). The (3) Receive the public disclosure and foregoing statutes are available for confidential financial statements and review in the Chief Counsel's office at ensure that they are completely filled each installation.


(4) Maintain the confidential finan. 8 1207.104 Advisory service.

cial statements and forward the public (a) When questions or problems disclosure financial statements to the arise concerning matters covered by Chief Counsel at the installations and this Part 1207, NASA employees may to the Associate General Counsel seek the advice and consultative serv (General) in the case of Headquarters, ices of the Designated Agency Ethics

(5) Compile the necessary informaOfficial or a Deputy Ethics Official as

tion for the Installation Directors and designated in paragraph (c) of this sec

the Director, Headquarters Administion, or they may request a formal ad

tration Division, as required by paravisory opinion from the Office of Gov

graph 6 in NMI 1900.3, “Confidential ernment Ethics in accordance with 5

Supplementary Statements of EmCFR Part 738, Subpart C. Violation of any provision contained in this part

ployment and Financial Interests;"

and 1207 may be cause for appropriate disciplinary or remedial action. The

(6) Refer employees who request latter includes, but is not limited to,

ethics counseling to the Chief Counsel divestiture by the employee of his/her

at the installations or to the Associate conflicting interest, disqualification

General Counsel (General) at Headfor particular assignments, or reas

quarters. signment.

(f) Any employee who has been so(b) The General Counsel of NASA is licited to commit, or who observes or the Designated Agency Ethics Official receives an allegation of a possible vioand as such has the responsibilities, lation of the provisions of Part 1207, authorities, and duties as set forth in 5 shall, unless an allegation is based CFR Part 738, Subpart B. The Gener upon more gossip or rumor known to al Counsel shall act as the principal be false, promptly report such solicitapoint of contact with the Office of tion, observation or allegation to the Government Ethics and shall provide Office of the Inspector General in acgeneral oversight within NASA for the cordance with the procedures of NMI purpose of achieving uniform interpre- 9950.1, “The NASA Investigations Protation of this part.


Subpart B-Acceptance of Gifts corporation, or group is forbidden if

the person, corporation, or group: 8 1207.200 Scope of subpart.

(1) Has, or is seeking to obtain, conThis subpart establishes NASA

tractual or other business or financial Policy with respect to the acceptance relationships with NASA; or of gifts by NASA employees and their

(2) Has interests which may be subspouses and minor children. Violation stantially affected by such employee's of these regulations or any of the performance or nonperformance of ofcriminal statutes referred to in this ficial duty; or subpart will subject the employee to (3) Is in any way attempting to administrative disciplinary action and/ affect the employee's official action. or criminal prosecution. The prohibi. For purposes of this subpart, the term tions of this subpart are in addition to corporation or group includes employstatutory prohibitions relating to the ees of such corporations or groups. corrupt solicitation or receipt of, or (c) There are certain exceptions to agreement to receive, anything of the foregoing general rule which are value in connection with an employ set forth in paragraph (d) of this secee's performance of official duty (18 tion. Those exceptions are to be strictU.S.C. 201), and the unlawful solicita ly construed. A reciprocal gift to a protion or receipt of, or agreement to re hibited donor (such as alternating who ceive, compensation for services ren- pays for lunch) does not remove the dered by an employee in connection prohibition on receiving the original with matters affecting the Govern- gift. Reciprocity is not an exception to ment (18 U.S.C. 203). Gifts from for the gift rule. In determining whether eign governments and foreign govern- one or more of the exceptions apply in mental organizations are covered by any particular circumstance, each NMI 1030.1, “Acceptance by Employ- NASA employee shall avoid any situaees of Gifts or Decorations from For tion which might bring discredit to or eign Governments.”

embarrass the Government or NASA,

or which might reflect a real or appar8 1207.201 Definition.

ent conflict of interest. NASA employThe term gift as used in this subpart ees will so govern their conduct in shall refer to the receipt of any gift, light of this subpart as to have no difgratuity, entertainment (including ficulty in justifying their actions if refood, refreshments, tickets, or invita quired to do so. tions to performances and other (d) The following are exceptions to events), favor, loan, transportation, ac- the general rule set forth in paragraph commodations, or any other thing of (b) of this section: monetary value for which fair market (1) Acceptance of food and nonalcovalue has not been paid. For purposes holic beverages of nominal value at a of this definition, participation in a contractor's plant or place of business carpool shall not be considered receipt on an infrequent basis when the conof a gift.

duct of official business within the

plant or place of business will be facili8 1207.202 Policy.

tated and when no provisions exist for (a) It is NASA policy not to interfere individual payment. Acceptance of in the private lives of NASA employ- doughnuts and coffee or their equivaees and their families. However, cer- lent is permitted when official busitain conduct involving acceptance of ness will be facilitated. An employee gifts must be regulated in view of the shall avoid all other situations (e.g., nature of the official duties of the em- dining in private clubs or acceptance ployee and the special responsibilities of food and beverages in excess of that are assumed by a person who ac nominal value) where there is no opcepts Federal employment.

portunity for individual payment for (b) Except as provided in this sub- the employee's food or refreshments part, the direct or indirect solicitation at the time. or acceptance by a NASA employee or (2) Instances in which the interests the spouse or minor child of a NASA of the Government are served by paremployee of any gift from any person, ticipation of a NASA employee in

widely attended luncheons, dinners, other items of nominal value (i.e., and similar gatherings sponsored by items estimated to cost less than industrial, educational, technical, or $10.00). professional associations for the dis- (8) Acceptance of contractor-providcussion of matters of mutual interest. ed transportation and lodging exParticipation in such events is permit penses for the purpose of a job interted only when the host is an associa- view at the prospective employer's site tion and not a private company and and/or a house hunting trip in the only when approved by the employee's locale of the new employment, providsupervisor. The Director of a Field or ed that the offer to pay such expenses Component Installation and Officials and the stated purpose of the trip are in-Charge of Headquarters Offices and reduced to writing in advance by the those above may approve their own at prospective employer, and the employtendance at such functions when they ee obtains in advance the written conare part of or related to official duties. sent of the Designated Agency Ethics Acceptance of gratuities, food, or re- Official or the Official's Deputy. The freshments from a private company in employee is required to disqualify connection with such association's ac himself/herself from any matters pertivities (e.g., hospitality suites) is for taining to the prospective employer bidden.

during the time he/she is actively con(3) Acceptance of gifts where there sidering the future employment opis a family or obvious personal rela- portunity. There is a criminal conflict tionship, including dating relationship, of interest statute (18 U.S.C. 208) between the donor and the recipient which prohibits an employee from (whether an employee, spouse, or de participating personally and substanpendent) where it is clear that it is the tially in a particular matter in which relationship instead of the business of he or she, or any person or organizathe persons concerned that is the mo- tion with which the employee is negotivating factor for the gift and where tiating or has any arrangement conit is reasonably clear from the circum- cerning prospective employment, has a stances that the gift is paid for by the financial interest. donor and not either directly or by re- (9) Special situations in which the imbursement by a corporation, group, Associate Administrator for Manageor any other person described in para ment, after consultation with the Gengraph (b) of this section.

eral Counsel, determines in advance in (4) Purchase of articles at advanta writing that the interest of the Govgeous rates where such rates are of ernment will be served by an employfered to Government employees as a ee's participation in the employee's of. class or to NASA employees where, ficial capacity and as a designated but for geographical separation from NASA representative, in a public cereother federal facilities, they would mony or other event at the expense of have been offered to all Government a private entity, or public educational employees.

institution, not covered in any other (5) Acceptance by a spouse or de exception. pendent, for their use, of gifts where (10) Acceptance of contractor-prothere is a business relationship be- vided local or intrastate transportation tween the recipient and the donor, while on official business when alterwhere the circumstances make it clear native arrangements are impracticable that it is that business relationship or where such acceptance will faciliwhich is the motivating factor for the tate the conduct of official business. gift.

Acceptance of intrastate transporta(6) Acceptance of loans from banks tion is permitted only when specificalor other financial institutions on cus- ly authorized in the employee's travel tomary terms to finance proper and authorization, or otherwise authorized usual activities of employees, such as in writing by the employee's supervi. home mortgage loans.

sor as being in the interest of the Gov(7) Acceptance of unsolicited adver- ernment. tising or promotional material, such as (11) Acceptance of transportation, pens, pencils, note pads, calendars, or accommodations, subsistence, or serv

ices furnished under a reimbursable (14) Attendance at promotional arrangement with NASA, from an in- vendor training or demonstration sesdustrial, educational, technical, or pro sions. Acceptance of transportation, fessional association, or from a state accommodations, subsistence, or other or local government agency, when au services provided by the vendor in conthorized in the employee's travel au- nection with such training is subject thorization as being in the interest of to the requirements and limitations of the Government. When transporta. this subpart. tion, accommodations, subsistence, or (e) A gift which is prohibited under services are furnished in-kind by such paragraph (b) of this section may be an association or agency, appropriate accepted on behalf of the agency only deductions shall be made in the travel, if (1) it is unconditional and voluntary; per diem, and other allowances other. and (2) if refusal is not possible or wise payable to the employee. When practical. Such gifts shall be processed transportation, accommodations, sub- in accordance with NMI 1210.1, “Acsistence, or services are provided under ceptance of Gifts by NASA.” In para cash reimbursable arrangement, the ticular, models and books on NASA reimbursement must be paid directly programs may be accepted on behalf to NASA by check payable to the Na- of NASA. tional Aeronautics and Space Administration; the employee will be reim- & 1207.203 Gifts to superiors. bursed for necessary expenses by

An employee will not solicit a contriNASA in accordance with applicable bution from another employee for a laws and regulations. In no case shall a

gift to an official superior, make a doNASA employee accept benefits which

nation as a gift to an official superior, are, under prudent standards, extrava

or accept a gift presented as a contrigant or excessive in nature. Advance

bution from another employee receivapproval, in accordance with para

ing less salary than the employee (5 graph 2b(2) in NMI 9710.8, “Delega

U.S.C. 7351). The law requires that an tion of Authority-To Execute Reim

employee who violates this provision bursable Arrangements Solely for

shall be removed from Federal service. Travel and Related Matters," must be

However, this paragraph does not proobtained in writing from the Associate

hibit the giving or acceptance of a volAdministrator for Management, with

untary gift of nominal value or a donathe concurrence of the General Coun

tion in a nominal amount made on a sel, prior to the acceptance of a reim

special occasion such as marriage, illbursable arrangement with individual

ness, death, or retirement. private companies, universities, and colleges which fall within the scope of paragraph (b) of this section.

Subpart C-Outside Employment and (12) Acceptance of transportation or

Other Activity other services provided by a private company in special situations in which

8 1207.300 Scope of subpart. the Associate Administrator for Man- (a) This subpart prescribes NASA agement, with the concurrence of the policy and procedures regarding outGeneral Counsel, determines in ad- side employment or other outside acvance, in writing, that acceptance of tivity of NASA employees. The prohisuch transportation or other services bitions of this subpart are in addition will facilitate the conduct of official to statutory prohibitions relating to business and be in the best interest of receiving, agreeing to receive, or the Government. The model regula, asking, demanding, soliciting, or seektion (5 CFR 735.202(f)) prohibits an ing compensation for services in conemployee's acceptance of excessive nection with matters affecting the and lavish in-kind reimbursements. Government (18 U.S.C. 203); unlawful

(13) Trophies, entertainment, prizes, ly acting as agent or attorney or sharor awards given for public service or ing in the interest in prosecuting any achievement or given in games or con- claim against the United States (18 tests which are clearly open to the U.S.C. 205); receiving outside compenpublic generally.

sation for performance of official

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