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the determination required by the Statute. This authority may not be redelegated.
b. Field and component installations. (1) All other NASA employees (including civilian and military personnel of other Government agencies regularly detailed to NASA) who are stationed at a field or component installation will forward their requests for a waiver to the head of the installation, via the head of the major organizational component in which the employee is located. The waiver request will contain the same information as required in paragraph la of this appendix. The head of the major organizational component will transmit the request to the head of the installation with his comments and recommendations on the proposed waiver.
(2) The heads of NASA field and component installations, and the deputy or associate heads of such installations, are authorized to make the determination required by the statute. This authority may not be redelegated. An information copy of each such determination or of the disapproval of the employee's request will be forwarded to the Associate Administrator for Center Operations, NASA Headquarters. (32 FR 14648, Oct. 21, 1967, as amended at 41 FR 31526, July 29, 1976)
APPENDIX B-CATEGORIES OF FINANCIAL
INTERESTS EXEMPTED FROM THE PROHIBITION OF 18 U.S.C. 208(a) (see § 1207.735-403(b))
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 the American Stock Exchange. 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.
b. Ownership of bonds other than corporate bonds, regardless of the value of such interest. This exemption extends also to any financial interests that the organization whose bonds are so owned may have in other business entities.
c. Ownership of shares in a mutual fund or regulated investment company regardless of the value of such interest. This exemption extends also to any financial interests that the mutual fund or investment company may have in other business entities.
2. If a NASA employee, including a special Government employee, or his spouse or minor child has a present beneficial interest or a vested remainder interest under a trust, the ownership of stocks, bonds, or other corporate securities under the trust will be exempt to the same extent as provided in paragraph la above for the direct ownership of such securities. The ownership of bonds other than corporate bonds, or of shares in a mutual fund or regulated investment company, under the trust will be exempt to the same extent as provided under paragraph 1
and c above for the direct ownership of such bonds or shares.
3. If a NASA employee, including a special Government employee, is an officer, director, trustee, or employee of an educational institution, or if he is negotiating for, or has an arrangement concerning prospective employment with such an institution, a direct financial interest which the institution has in any matter will not itself be exempt, but any
inancial interests that the institution may have in the matter through its holdings of securities issued by business entities will be exempt, provided the NASA employee is not serving as a member of the investment committee of the institution or is not otherwise advising it on its investment portfolio.
4. If a NASA employee, including a special Government employee, has continued to participate in a bona fide pension, retirement, group life, health or accident insurance plan, or other employee welfare or benefit plan that is maintained by a business or nonprofit organization of which he is a former employee, his financial interest in that organization will be exempt, except to the extent that the welfare or benefit plan is a profit sharing or stock bonus plan. This exemption extends also to any financial interests that the organization may have in other business activities.
Pursuant to the authority contained in 18 U.S.C. 108(b)(2), it has been determined that the categories of financial interests hereinafter described are, to the extent indi. cated, exempted from the application of the prohibition of 18 U.S.C. 208(a), because they are too remote or too inconsequential to affect the integrity of a NASA employee's services in any matter in which he may act in his governmental capacity. Therefore, the provisions of 18 U.S.C. 208(a) do not preclude the participation by a NASA em. ployee, including a special Government employee, in matters of a type covered by the prohibition of section 208(a) where the financial interest involved has been exempted hereunder.
1. The following exemptions apply to financial interests which are held directly by a NASA employee, including a special Government employee, or by his spouse or minor child, whether jointly or individually, or by a NASA employee and his partner or partners as joint assets of the partnership:
a. 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
APPENDIX C-PROCEDURES FOR FILING
STATEMENTS OF EMPLOYMENT AND FINANCIAL INTERESTS (see $ 1207.735404)
Subpart E—Advisory Service and
8 1207.735-500 Scope of subpart.
This subpart (a) establishes an advisory service for employees for the purpose of furnishing interpretations and advising on questions arising under this part, and (b) prescribes the types of remedial and disciplinary actions which may be taken to enforce the requirements of Subparts A, B, C, D, and E of this part.
8 1207.735-501 Use of advisory service.
When questions or problems arise concerning matters covered by this part NASA employees will seek the advice and consultative services of the counselors designated in $ 1207.735502.
1. Time and place. a. Each employee required to file a statement under Subpart D will obtain NASA Form 1270 from the local personnel office and after completing the form will submit it to the local personnel officer as follows:
(a) Thirty days after entrance on duty;
(b) Ten days after his position is specifically identified as one requiring the incumbent thereof' to file a financial statement under $ 1207.735-404(a)(4), or after the Civil Service Commission has approved the determination that he should file, under $ 1207.735-404(a)(5).
(c) After selection and at least 5 days before service on the boards or committees listed in g 1207.735-404(a)(3).
2. Changes in, or additions to, the information contained in an employee's statement of employment and financial interests shall be reported in a supplementary statement of interest held as of June 30 each year. If no changes or additions have occurred since the previous statement, a negative report to that effect is required. All supplementary statements, including negative reports, will be filed on NASA Form 1270.
3. Financial interests of employee's relatives. For purposes of this reporting requirement, the financial interests of a spouse, minor child, or other member of an employee's immediate household is considered to be an interest of the employee and must be reported. “Members of an employee's immediate household" means those blood relations who are residents of the employee's household.
4. Information not known by employees. If any information required to be included on a statement of employment and financial interests or supplementary statement, includ. ing holdings placed in trust, is not known to the employee but is known to another person, the employee shall request that other person to submit the information in his behalf. The employee concerned should avoid gaining knowledge about such interests in order to prevent the possibility of invoking 18 U.S.C. 208. (32 FR 14648, Oct. 21, 1967, as amended at 41 FR 31526, July 29, 1976)
§ 1207.735-502 Designation of counselors
and statement of functions. (a) The General Counsel is designated as the Agency Counselor. His functions consist of the following:
(1) Act as the principal point of contact with the Civil Service Commission on matters covered by this part; and
(2) Provide general guidance to Deputy Counselors for the purpose of achieving uniform interpretation of this part.
(b) Deputy Counselors. (1) The following officials are designated Deputy Counselors under this subpart:
(1) NASA Headquarters
(a) Assistant Administrator for Personnel Programs;
(6) Director of Personnel, NASA; (c) Deputy General Counsel;
(d) An Assistant General Counsel, as designated by the Agency Counselor; and
(e) Director, Headquarters Office of Personnel.
(ii) NASA field and component installations,
(a) The Chief Counsel; and (6) The Personnel Office.
(2) Functions of the Deputy Counselors;
(i) The Assistant Administrator for Personnel Program, NASA, will oversee the activities of the Deputy Counselors (Personnel) under the general guidance of the Agency Counselor.
(ii) Deputy Counselors (Legal) will be responsible for
(a) Reviewing statements of employment and financial interests, filed pursuant to the provisions of Subpart D; and
(6) Advising the Deputy Counselors (Personnel) on questions regarding the interpretation and application of statutes, Executive Orders, Court Decisions, the decisions of the Comptroller General, and other legal matters arising under this part.
(iii) Deputy Counselors (Personnel) will be responsible for
(a) Counseling employees on all other problems and questions arising under this part which are not specifically within the responsibility of the Deputy Counselors (Legal); and
(6) Consulting, as necessary, with the Deputy Counselors (Legal) on questions and problems arising under this part.
(iv) Deputy Counselors may carry out their responsibilities through designated subordinates. The Deputy Counselors, however, shall retain ultimate responsibility for the functions assigned to them under this § 1207.735-502. (32 FR 14648, Oct. 21, 1967, as amended at 41 FR 31527, July 29, 1976)
complished at the lowest possible supervisory level in the agency through counseling or by taking administrative action to eliminate real or apparent conflicts of interest. The services of the NASA Inspection Division will be requested by the Deputy Counselor, when necessary, to conduct investigations to ascertain all relevant facts.
(c) Any NASA employee receiving an allegation of a possible violation of the provisions of this part by any other NASA employee (including civilian and military personnel of other Gov. ernment agencies, regularly detailed to NASA) shall, unless it is based on mere gossip or rumor, promptly report it directly to the Director of Inspections or his local representative, as provided for in NASA Management Instruction 1960.1.
(d) A violation of the regulations contained in this part may be cause for appropriate disciplinary action. All disciplinary or remedial action taken hereunder will be in conformance with applicable laws, Executive Orders, Civil Service Commission regulations and NASA regulations. Appropriate disciplinary or remedial action includes, but is not limited to, divestiture by the employee of his conflicting interest, disqualification for particular assignments, reassignment, or disci. plinary action.
(e) The employee concerned will have a reasonable opportunity during any investigation and at all levels of consideration of his problem to present in person and through documents his position on the matter.
Subpart F-Standards of Conduct for
Special Government Employees
& 1207.735-503 Review, enforcement,
porting, and investigating. (a) Each statement, and supplementary statement, of employment and financial interests submitted under Subpart D shall be reviewed by the appropriate Deputy Counselor (Legal). If that review discloses a conflict of interest or apparent conflict of interest the employee shall be given an opportunity to explain the conflict or apparent conflict, and every effort shall be made to resolve the matter. If the matter cannot be resolved at a lower level, it shall be reported to the Agency Counselor. If the Agency Counselor decides that remedial action is necessary, he shall take such action immediately to end the conflict or apparent conflict of interest.
(b) NASA employees should consult with their Deputy Counselors with regard to any questions concerning this part. Resolution of problems disclosed by such consultations will be ac
8 1207.735-600 Scope of subpart.
(a) Provides guidance with respect to the application of the conflict of interests statutes to special Government employees (as defined in $ 1207.735601); It is of particular applicability to consultants and experts.
(b) Sets forth the standards of ethical conduct which, under Presidential order and regulations of the Civil Service Commission, special Government employees are expected to observe.
takes an oath of office as a Government employee, whether he works on a full-time or intermittent basis. Similarly, the ethical standards prescribed in this subpart apply to the special Government employee during the full period of his appointment as a NASA employee, and not merely on the days on which he performs services as an employee.
(c) NASA employees, including consultants and experts, who are appointed to serve for more than 130 days during a period of 365 consecutive days are not subject to this subpart, even though they may in fact work 130 days or less, but are subject to Subparts A through E, prescribing standards of conduct for regular Government employees.
$ 1207.735-601 Definitions.
(a) Special Government employee. A special Government employee is defined, under 18 U.S.C. and for the purposes of this subpart, as an officer or employee who is retained, designated, appointed, or employed to perform, with or without compensation, temporary duties, either on a full-time or intermittent basis, for not to exceed 130 days during any period of 365 consecutive days (see $ 1207.735-602).
(b) Particular matter. The term “particular matter" is not defined in the statutes, but is used in context as follows:
any proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest or other particular matter."
(c) Personally and substantially. The term “personally and substantially” is not defined in the statutes, but is used in context as follows: "* personally and substantially, *** through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise * . *".
(d) Official responsibility. The term “official responsibility” is defined by statute to mean the “direct administrative or operating authority, whether intermediate or final, and either exercisable alone or with others, and either personally or through subordinates, to approve, disapprove, or otherwise direct Government action." NASA consultants or experts will not normally exercise official responsibility in connection with any matters. 8 1207.735-602 Applicability.
(a) This subject is applicable to all NASA employees who are classified as special Government employees. It is of particular applicability to NASA consultants and experts, who normally fall within the definition of the term "special Government employee."
(b) To the extent that the conflict of interests statutes apply to a special Government employee, they apply to his activities on all days during the period of his NASA appointment, beginning with the date on which he
8 1207.735-603 Application of conflict of
interest statutes. The so-called “conflict-of-interests" statutes (18 U.S.C. 203, 205, 207, 208, and 209) are criminal statutes which provide for fines or imprisonment if they are violated. Their full text is set forth in Appendix A to this subpart. In summary, they apply to the special Government employee as follows:
(a) 18 U.S.C. 203 and 205 apply to the special Government employee in his capacity as a private individual while serving also as a Government employee. They provide that the special Government employee may not, except in the discharge of his Government duties:
(1) Represent anyone else before a court or any Government agency in relation
"particular matter" (8 1207.735-601(b)) involving a specific party or parties, in which the United States is a party or has a direct and substantial interest, and in which he has at any time participated “personally and substantially” ($ 1207.601(c)) either as a special or regular Government employee.
(2) Represent anyone else before a court or any Government agency in relation to "particular matter" ($ 1207.735-601(b)) involving a specific party or parties which is pending within NASA, if he has served as a NASA employee for more than 60 days during the preceding 365 days. The
special Government employee is bound by this restraint whether or not he has acted “personally and substantially” ($ 1207.735-601(c)) in relation to the “particular matter." There are four exceptions from the application of one or both of the foregoing prohibitions, which are specified in the full text of section 205 (Appendix A of this subpart).
(b) 18 U.S.C. 207 applies to the special Government employee in his capacity as a private individual, after he has terminated his service as a Government employee. It provides that the former employee may not:
(1) At any time after his Government employment has ended, represent anyone else before a court or any Government agency in relation to a "particular matter" ($ 1207.735-601(b)) involving a specific party or parties in which the United States is a party or has a direct and substantial interest and in which he participated “personally and substantially" ($ 1207.735601(c)), either as a special or regular Government employee.
(2) Within 1 year after his Government employment has ended, appear personally before a court or any Government agency in relation to a "particular matter" ($ 1207.735-601(b)) involving a specific party or parties, in which the United States is a party or has a direct and substantial interest, and which was under his “official responsibility” (§ 1207.735-601(d)) as a Government employee within a period of 1 year prior to the termination of such responsibility. The prohibition applies whether or not the special Government employee participated “personally and substantially" ($ 1207.735-601(c)) in the “particular matter” ($ 1207.735-601(b)) while he was employed.
(c) 18 U.S.C. 207(c) applies to the partner of a special Government employee. It provides that during the period of the special Government employee's appointment, his partner may not act as agent or attorney for anyone else in relation to a “particular matter" (f 1207.735-601(b)) in which the United States is a party or has a direct and substantial interest and in which the employee is participating or or has participated "personally and
substantially” ($ 1207.735-601(c)) as a special Government employee,
or which is under the employee's “offi. cial responsibility” ($ 1207.735-601(d)).
(d)(1) 18 U.S.C. 208 applies to the special Government employee when he is acting in his capacity as a Gov. ernment employee. It provides that the special Government employee may not, in his governmental capacity, participate “personally and substantially" (8 1207.735-601(c)) in any “particular matter” ($ 1207.735-601(b)) in relation to which matter, to his knowledge, he, his spouse, minor child, partner, organization in which he is serving as offi. cer, director, trustee, partner or employee, or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, has a financial interest.
(2) The statute also provides for two types of exemptions to be granted from the foregoing prohibition, so as to permit a special Government employee to participate “personally and substantially” (§ 1207.735-601(c)) in a "particular matter" ($ 1207.735601(b)), notwithstanding the existence of conflicting financial interest which he holds directly or that is imputed to him. These exemptions are:
(i) In connection with specific matters, if the special Government employee's financial interest is not so substantial as to be deemed likely to affect the integrity of the services which the Government may expect from him, an ad hoc exemption from the application of the statutory prohi. bition may be granted, in advance of his acting in relation to that matter, by the NASA official responsible for his appointment as a special Government employee.
(ii) A general exemption, applicable to all NASA employees including special Government employees, of certain financial interest which have been determined to be too remote or too inconsequential to affect the integrity of an employee's services in any matter in which he may be called upon to par. ticipate, may also be granted. The categories of financial interests which have been exempted by the Administrator under this general authority are