Page images

duties (18 U.S.C. 209); and receiving excessive honorariums (2 U.S.C. 441i).

(b) As used in this part, the term outside employment or other outside activity refers to any work, service, or other activity performed by an employee with or without compensation, other than in the performance of his/ her official duties. It includes such activities as writing and editing, publishing, teaching, lecturing, consulting services, self-employment, and other work or services.

$ 1207.301 Policy.

(a) NASA employees may not engage in outside employment or other outside activity that is not compatible with the full and proper discharge of the duties and responsibilities of their Government employment. Guidelines for determining compatibility are set forth in | 1207.302.

(b) NASA employees are encouraged to participate as private citizens in the affairs of their communities provided that the limitations prescribed in this paragraph and by these regulations are observed. Among these activities may be the following:

(1) Speaking, writing, editing, and teaching.

(2) Participation in the affairs of charitable, religious, professional, social, fraternal, nonprofit educational and recreational, public service, or civic organizations, and the acceptance of an award for a meritorious public contribution or achievement from any such organization.

(3) Participation in the activities of national, state, and local political parties not proscribed by law. In this connection employees should be particularly aware of the restrictions imposed on their activities by the “Hatch Act” (5 U.S.C. 7321-7327).

(b) Give rise to a real or apparent conflict of interest situation even though no violation of a specific statutory provision was involved.

(c) Involve acceptance of a fee, compensation, benefit, gift, payment of expense, or any other thing of monetary value in circumstances in which acceptance might result in, or create the appearance of, a conflict of interest.

(d) Constitute or create the appearance of using public office for private gain.

(e) Bring discredit upon, or could reasonably cause unfavorable criticism of, the Federal Government or NASA, or lead to relationships which might impair public confidence in the integrity of the Federal Government or NASA.

(f) Involve work with any contractor, subcontractor, or grantee which is connected with any work being performed by that entity for NASA, or, would otherwise involve work for any person or organization which may be in a position to gain advantage in its dealings with the Government through the employee's exercise of official duties.

(g) Identify NASA or its employees officially with any organization manufacturing, distributing, or advertising a product relating to work conducted by NASA, or could create the false impression that it is an official action of NASA, or represents an official point of view. In any permissible outside employment, care must be taken to ensure that names and/or titles are not used to give the impression that the activity or product is officially endorsed or approved by NASA or is part of NASA activities.

(h) Involve use of the employee's time during official working hours, although this does not preclude the use of approved leave for outside activities.

(i) Involve use by the employee of official facilities, (e.g., office space, office machines, telephones, supplies) or the services of other employees during duty hours.

(j) Be of such extent or nature as to interfere with the efficient performance of the employee's Government duties, or impair the employee's mental or physical capacity to perform them in an acceptable manner.

8 1207.302 Guidelines and limitations.

Outside employment or other out side activity is incompatible with the full and proper discharge of an employee's duties and responsibilities, and hence is prohibited if it would:

(a) Involve the violation of a federal or state statute, a local ordinance, Executive order, or regulation to which the employee is subject.

whether it is official or nonofficial; however, official time and facilities shall not be used for nonofficial outside activities.

(k) Involve use of information obtained as a result of Government em ployment which is not freely available to the general public in that it either has not been made available to the general public or would not be made available on request. However, written authorization for the use of nonpublic information may be given when the Director of the Field or Component Installation or, at NASA Headquarters, the Associate Administrator for Management, determines that such use would be in the public interest.

8 1207.303 Distinction between official and

nonofficial activities. (a) In applying the provisions of this subpart, particularly with regard to writing, speaking, or editing activities, NASA employees must distinguish between official and nonofficial activities. Official activities are conducted as part of an employee's NASA duties, whereas nonofficial activities constitute outside employment that must be in compliance with this subpart. In connection with writing, speaking, or editing, an activity will normally be considered official if:

(1) It is the result of a request addressed to NASA to furnish a speaker, author, or editor or of an invitation addressed to an employee of NASA to perform activities which are, in fact, within the employee's official duties, rather than as a private individual;

(2) The activity is performed in conjunction with attendance at a meeting approved under the authority of 5 U.S.C. 4110 (formerly the Government Employees Training Act); or

(3) It involves a single article, speech, or lecture, or participation in a single seminar, symposium, forum, or similar activity, the content of which is devoted substantially to the individual's official duties or personal involvement in NASA's plans or programs, or United States aeronautical or space activities. Conversely, a series of lectures as part of a regularly scheduled course or lecturer program at an educational institution, regard less of the subject matter, is regarded as nonofficial and therefore is an outside activity. The fact that an activity is prepared for or is performed outside of duty hours is not determinative of

$ 1207.304 Compensation, honoraria,

travel expenses. (a) An employee may accept compensation or an honorarium for permissible outside employment or other outside activity which is nonofficial in character unless otherwise prohibited by this part. Under no circumstances may an honorarium be accepted for official activities. If an honorarium is offered for official activities of the employee, the employee should advise the donor that he/she cannnot legally accept it. If the donor insists, it should be explained that the honorarium will be accepted on behalf of NASA as an unconditional and voluntary gift in accordance with NMI 1210.1.

(b)(1) Except as provided in § 1207.202(d)(11), and in paragraph (b)(2) of this section, travel expenses will generally be borne by the Government when official activities of NASA employees are involved, including attendance at meetings of nongovernmental organizations although appropriate reimbursable agreements are permitted. Conversely, when nonofficial outside employment activities are involved, appropriated funds will not be utilized for travel or subsistence.

(2) In the course of official activities, contributions and awards incident to training in nongovernment facilities, and travel, subsistence, and other expenses incident to attendance at meetings may be accepted by NASA employees, provided that such contributions, awards, and payments are made by nonprofit organizations in connection with training under 5 U.S.C. 4111 (formerly the Government Employees Training Act) and that the employee has obtained specific written authori. Zation from the Associate Administrator for Management or the Director of the Field or Component Installation to accept the contribution or award.

(3) No employee shall accept any honorarium of more than $2,000 (excluding amounts accepted for actual travel and subsistence expenses for such person and spouse or aide, and

excluding amounts paid or incurred (8) Engaging in outside activity for agents' fees or commissions) for which involves the practice of a any appearance, speech, or article. NASA-owned invention, provided that The provisions of this paragraph necessary licenses are obtained from apply whether the appearance, the Government, and provided that speech, or article is outside employ. the employee is not responsible in his/ ment approved under this subpart, or her official capacity for further develpertains to the private interests of the opment, test, or study of that invenemployee.

tion or similar NASA-owned inven

tions or any promotion of that inven8 1207.305 Special conditions applicable to tion or similar NASA-owned invenwriting and editing.

tions on behalf of the Government. (a) Subject to the limitations set (9) Any other outside work concernforth in § 1207.302, NASA employees ing the property of which an employee may serve as editors, as editorial con is uncertain. sultants, or on editorial boards, and

Prior adminstrative approval may be may contribute articles to publications

required, on a case-by-case basis, by issued by nonprofit organizations or

the supervisor or the Designated by profit organizations involved in

Agency Ethics Official for additional trade or news press publishing. Editing

types of outside employment where, activities for profit organizations

because of special considerations, such should be carefully appraised. Under

a requirement is considered desirable no circumstances should the activity

for the protection of employees or involve approval or disapproval of ad NASA. vertising.

(b) Procedures for permission to (b) Writing and editing, with or

engage in outside employment or without pay, which pertain to the pri

other outside activity. vate interests of employees regarding

(1) Form and content of request. A hobbies, sports, or cultural activities

request for administrative approval of are permitted unless there are actual

outside employment or other outside or apparent conflicts with their offi

activity shall be in writing and show: cially assigned duties.

(i) Employee's name and occupation§ 1207.306 Administrative approval.

al title. (a) Aside from avoiding prohibited

(ii) Nature of the activity: Full deoutside employment or other outside

scription of specific duties or services activity, each employee must also

to be performed and time period in. obtain administrative approval in ac

volved. cordance with paragraph (b) of this

(iii) Name and address of person section before engaging in outside em

and/or organization for which work ployment or other outside activity,

will be done. In the case of self-emwith or without compensation, of the

ployment in a professional capacity following types:

serving a large number of individuals, (1) Writing or editing except those

instead of listing each client, the emactivities set out in | 1207.305(b).

ployee will indicate the type of serv(2) Teaching and lecturing except as

ices to be rendered and an estimate of it relates to the private interests of

the total number of clients anticipated employees regarding hobbies, sports, during the next 6 months. Specific noor cultural activities.

tification of the identity of any client (3) Regular self-employment.

known to have business with NASA (4) Consulting services.

should be given prior to the perform(5) Holding state or local public ance of the service. office.

(iv) Estimated total time that will be (6) Outside employment or other devoted to the activity. If on a conoutside activity involving a NASA con- tinuing basis, the estimated time per tractor, subcontractor, or grantee. year; if not, the anticipated ending

(7) Membership on a committee, date. board, or other such body of a profit (v) Whether service can be permaking organization.

formed entirely outside of usual duty hours; and if not, the estimated

Subpart D—Financial Interests and number of hours of absence from work

Investments that will be required.

(vi) The amount of remuneration 8 1207.400 Scope of subpart. and/or expenses, if any, to be received.

This subpart prescribes policies and (vii) A statement that the employee

procedures for the avoidance of conhas no official involvement with the

flicting financial interests in connecoutside employer and will disqualify

tion with an employee's Government himself/herself in any matters that

position or in discharge of his or her could directly affect the outside em

official responsibilities and sets out ployer in performance of the employ

the requirements for reporting finanee's NASA duties.

cial interests and outside employment. (2) Routing. The request for approv

It implements the requirement of al will be submitted in duplicate

Title II of the Ethics in Government through the supervisor to the appro

Act of 1978 that certain employees file priate Official-in-Charge of a Head

public financial disclosure reports, as quarters Office or to the Director of

well as implementing regulations of the Field or Component Installation

the Office of Government Ethics (5 or to the person designated to act for

CFR Parts 734 and 735) and sets forth them, as appropriate. While the exact

the requirement for confidential fiapproval procedure to be used is left

nancial and employment reports purto the discretion of the installation,

suant to Executive Orders 11222 and prior to action on a request for ap

12565. proval, the request shall be reviewed by a Deputy Ethics Counselor. In the $ 1207.401 General. case of key officials as defined in

(a) Employees are subject to two $ 1207.102(a), requests for approval

types of controls in connection with shall be submitted to the appropriate

apparent or actual conflicting finanOfficial-in-Charge of the Headquar

cial interests. One is a criminal statters Office or the Director of the Field

ute, 18 U.S.C. 208, which by its terms or Component Installation, who will

prohibits an employee's participation add a recommendation and will for

in certain official activities where the ward the request through the General

employee has a conflicting personal fiCounsel to the Associate Administra

nancial interest. The Office of Govtor for Management for a determina

ernment Ethics regulation (5 CFR tion. Employees will be notified in

735.204) prohibits the holding by an writing of the actions taken on their

employee of a direct or indirect finanrequests. All approved requests will be

cial interest that conflicts substantialmaintained in the local Personnel

ly, or appears to conflict substantially, Office.

with official duties. This regulation (3) Keeping record up to date. If

also prohibits direct or indirect particithere is a significant change in the

pation by an employee in a financial nature or scope of the duties or serv transaction as a result of, or primarily ices performed either in the employ

relying on information obtained ee's NASA position or the outside posi through Government employment. tion, or in the nature of the outside The other type of control is a financial employer's business, the employee will disclosure requirement. The Ethics in submit a revised request for approval Government Act of 1978 requires cerpromptly. If the outside work is dis

tain officers and employees to file continued sooner than anticipated public financial disclosure reports (the (not merely suspended temporarily), Executive Personnel Report). This rethe employee will so notify the officer quirement is explained in detail in who approved the request.

$ 1207.404. In addition, under Execu(4) Enforcement. Failure to obtain tive Order 11222 and Office of Governwritten administrative approval for ment Ethics regulations, another outside employment or other outside group of employees occupying certain activity for which approval is required, Government positions must report all may be ground for disciplinary action personal financial interests and outside employment by filing a confiden- ing persons or organizations have a fitial statement of employment and fi. nancial interest: nancial interest. An employee will not (1) The employee, or the employee's be required to file both of these forms.

spouse, minor child, or partners; The confidential disclosure require

(2) A business or nonprofit organizament is explained in detail in

tion in which the employee is serving $ 1207.405. These requirements have as an officer, director, trustee, partner, the common objective of deterring the or employee; or occurrence of conflicting financial in

(3) A person or business or nonprofit terest situations, one by sanctions and

organization with whom or with which the other by disclosure. While the

the employee is negotiating, or has statute prohibits and prescribes pun

any arrangement with, concerning ishment, the statement of employ

prospective employment. An employee ment and financial interests is intend

is deemed to be negotiating when he/ ed to help the employee and those

she has taken any step beyond that of who review the employee's statement

sending a resume. The employee must to avoid conflicts through advice and

disqualify himself/herself from any counseling.

work involving the entity with which (b) The public disclosure report

he/she is negotiating. The employee (Standard Form 278) and the confi

shall immediately send a letter to his/ dential statement of employment and

her supervisor and to his/her Chief financial interests (NASA Form 1270)

Counsel (or to the Associate General required under this subpart are in ad

Counsel (General) at Headquarters) dition to, and not in substitution for,

stating the circumstances of the emor in derogation of, any similar re

ployee's disqualification. quirement imposed by law, order, or

(b) The prohibitions in paragraph regulation. The submission of a state

(a) of this section may be waived ment by an employee does not permit

under certain circumstances which are the employee or any other person to

set out in | 1207.403. participate in a matter in which the

(c) Illustrative of the type of matters employee's or the other person's par

in which NASA employees commonly ticipation is prohibited by law, order,

participate and which may fall within or regulation, unless the employee ob

the prohibitions described in paratains a waiver under procedures set

graph (a) of this section are the fol. out in this subpart. (c) Notwithstanding the requirement

lowing: under this subpart for filing a state

(1) The negotiation, administration, ment of employment and financial in

or auditing of contracts or agreements; terests, an employee shall avoid ac

(2) The selection or approval of conquiring a financial interest that could

terest that could tractors or known subcontractors result, or taking an action that would

under a NASA prime contract; result, in a violation of 18 U.S.C.

(3) The technical monitoring or di208(a) or of this part. See discussion in rection of work under a contract; subpart (a) of 5 CFR 735.204.

(4) Participation on boards or com

mittees of the type listed in 8 1207.402 Statutory prohibitions against $ 1207.405(a)(2); or

acts affecting a personal financial in (5) Project monitoring. terest.

(d) Unless a waiver is granted pursu(a) The provisions of 18 U.S.C. ant to $ 1207.403, no employee will 208(a) prohibit any employee from participate personally and substantialparticipating personally and substan ly in the course of the employee's tially in the course of the employee's Government duties in any particular Government duties in any judicial or matter of a type listed in paragraph other proceeding, application, request (c) of this section, or in any other for a ruling, or other determination, matter of a type referred to in paracontract, claim, controversy, charge, graph (a) of this section if, to the emaccusation, arrest, or other particular ployee's knowledge, any of the persons matter in relation to which matter, to or organizations identified in parathe employee's knowledge, the follow- graph (a) of this section have a finan

« PreviousContinue »