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Part 600 610


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

Nondiscrimination in Federally-assisted programs of the National Science

Foundation-effectuation of Title VI of the Civil Rights Act of 1964.
Fellowship review panel.
Keeping of records and furnishing reports in connection with weather modi-

fication activities.

630 635


contained in NSF Circular 54, 31 F.R. 4595,

Mar. 18, 1966, unless otherwise noted. SULTANTS

Subpart A-Employee Conduct, OutSubpart A-Employee Conduct, Outside Activities, and Conflicts of Interest

side Activities, and Conflicts of InSec.

terest 600.735-1 Purpose. 600.735-2 Scope.

$ 600.735–1 Purpose. 600.735-3 Statutory provisions. 600.735-4 Policy.

As required by Executive Order 11222 600.735-5 Conflicts-of-Interest Review of May 8, 1965 and Part 735 of Chapter Panel.

I, Title 5 of the Code of Federal Regula600.735-6 Conflicts-of-Interest Counselor.

tions, this subpart sets forth National 600.735–7 Resolution of possible conflicts

Science Foundation policies and proceof-interest situations. 600.7358 Statements of employment and

dures with respect to employee conduct, financial interests.

certain permissible and prohibited out600.735-9 Employee conduct.

side activities, and possible conflicts-of600.735–10 Presenting grievances to Con interest situations. gress.

$ 600.735–2 Scope. Subpart B- Standards of Conduct for Consultants 600.735-20 Purpose.

The policies and procedures con600.735-21 Scope.

tained in this subpart apply to all NSF 600.735-22 Consultant conduct.

employees. 600.735-23 Statements of employment and financial interests.

$ 600–735–3 Statutory provisions. 600.735–24 Resolution of possible conflictsof-interest situations.

Each employee is responsible for acAppendix.

quainting himself not only with the proAUTHORITY: The provisions of this Part 600

visions of this subpart, but also with apissued under E.O. 11222 of May 8, 1965, 30 plicable portions of each Federal statute F.R. 6469, 3 CFR, 1965 Supp.; 5 CFR 735.104. relating to his conduct as an employee of

the regulations in this part. The action (4) All nonclerical employees whose taken may involve, among other things: functions include purchasing and/or (1) Changes in existing duties;

procurement of any sort. (2) Divestment by the employee of his (c) Inclusion and exclusion of posiconflicting interest;

tions. Whenever appropriate, the Direc(3) Appropriate disciplinary action, tor may amend paragraph (b) of this up to and including removal;

section to include additional positions (4) Disqualification for a particular that entail submission of such stateassignment.

ments or may exclude any positions $ 600.735-8 Statements of employment

listed in that paragraph (b) the incluand financial interests.

sion of which is not required by the

general requirement in paragraph (a) (a) General requirement. Statements of this section. Each superviser in the of employment and financial interests

Foundation is responsible for bringing to are required of all Federal employees the attention of the Director (through occupying positions at or above grade 16

appropriate channels) any position or the equivalent, as well as all em which the supervisor believes should be ployees occupying positions which re covered or excluded by this requirement. quire the exercise of judgment mak

(d) Submission of original and suping or recommending a Government

plementary statements. Each employee decision or in taking or recommending

covered by this requirement shall comGovernment action in regard to:

plete the statement and submit it to the (1) Contracting or procurement;

Executive Secretary of the Conflicts-of(2) Administering or monitoring Interest Review Panel within 90 days grants or subsidies;

after the effective date of this part. (3) Regulating or aduiting private or Each new employee shall complete and other non-Federal enterprise; or

submit the statement within 30 days (4) Other activities where the deci

after his entrance on duty or within 90 sion or action has an economic impact on days after the effective date of this part, the interest of a particular non-Federal whichever date is later. All changes in, enterprise.

or additions to, the information con(b) Foundation requirement. In or

tained in each employee's original stateder to fulfill the Foundation's obligations ment must be reported in a supplemenunder the general Government require tary statement submitted by the emment described in paragraph (a) of this ployee at the end of the quarter in which section, it has been determined that a the changes occur. (Quarters end Statement of Employment and Financial March 31, June 30, September 30, and Interests must be completed and sub

December 31.) If there are no changes mitted in accordance with the procedures or additions in a quarter, a negative reset forth in this section by all Foundation port is not required, except that a supemployees occupying positions of grade plementary statement, negative or oth14 or above, with the exception of the erwise, is required from each employee GS-14 and GS-15 positions in the fol as of each June 30. The Executive lowing offices: Office of Program Devel Secretary is responsible for obtaining the opment and Analysis; Budget Office; initial statements from all affected emFinance Office; Management Analysis ployees and the supplementary stateOffice; Personnel Office; as well as by all ments at the end of each fiscal year. employees occupying the positions speci The Personnel Office is responsible for fied below:

Informing each new, affected employee of (1) All employees occupying grade 12

the requirement for him to submit the and above positions in:

statement to the Executive Secretary

within 30 days after his entrance on (1) Contracts Office;

duty. The Executive Secretary is re(ii) Indirect Cost (Rate) Determination Office;

sponsible for maintaining a confidential

file of all statements that are submitted (ill) Internal Audit Office;

and for reviewing all statements for pos(iv) Grants Office;

sible conflicts-of-interest situations in (v) Office Services.

accordance with the provisions of this (2) All attorneys in the Office of the subpart. General Counsel;

(e) Interests of employees' relatives. (3) All nonclerical employees in the For purposes of the statement, the inMohole Project Office;

terests of a spouse, minor child, or any

other member of an employee's immedi However, it is pointed out that the vioate houeshold who is a blood relation of lation of the regulations in this part or the employee, are considered to be in any criminal, infamous, dishonest, imterests of the employee.

moral, or notoriously disgraceful conduct (f) Information not known by em on the part of an employee (whether in ployees. If information required to be official duty status or not) is cause for included on the statement of employment immediate disciplinary action, up to and and financial interests (supplementary including removal. or otherwise, including holdings placed (b) Indebtedness: Employees are exin trust) is not known by the employee pected to meet their financial obligations but is known to another person, the em and not to take advantage of the fact that ployee shall request such other person to their wages are not subject to garnishsubmit the information on his behalf. ment for private debts. Failure to meet

(g) Information not required. Em just financial obligations in a proper and ployees are not required to submit infor timely manner may result in disciplinary mation relating to their financial in action, up to and including removal. For terests in any professional society not the purpose of this section, a “just financonducted as a business enterprise as cial obligation" means one acknowleged described in the next sentence, chari by the employee or reduced to judgment table, religious, social, fraternal, recre by a court, and “in a proper and timely ational, public service, civic, political, or manner” means in a manner which the similar organization not conducted as a agency determines does not, under the business enterprise. Professional soci circumstances, reflect adversely on the eties, educational institutions and other Government as his employer. In the nonprofit organizations engaged in re event of dispute between an employee search, development, or related activi and an alleged creditor, this section does ties involving grants of money from, or not require NSF to determine the validity contracts with, the Government are or amount of the disputed debt. deemed "business enterprises” and are (c) Payment of taxes: Employees are required to be included in employees' expected to meet their obligation for statements of employment and financial payment of taxes to Federal, State, and interests.

local authorities. Delinquency in pay(h) Effect of employees' statements on ment of Federal, State, and local taxes other requirements. The statements of is cause for disciplinary action, up to employment and financial interests and and including removal. Federal agencies supplementary statements required of are required to furnish State taxing auemployees are in addition to, and are thorities (including the District of Conot in substitution for, or in derogation lumbia) with a copy of Form W-2 indiof, any similar requirement imposed by cating annual earnings and Federal law, regulation, or Executive order. The income tax withheld. Employees are submission of the statement or supple authorized to pay delinquent Federal mentary statement by an employee does taxes by payroll deduction, provided that not permit him or any other person to they make satisfactory arrangements participate in any matter in which his or with the Internal Revenue Service to the other person's participation is pro liquidate their tax liabilities in this manhibited by law, regulation, or Executive ner. When such arrangements are not order.

made, District Directors of Internal Rev(i) Confidentiality of employees' state enue have the authority to levy upon the ments. Each statement of employment salaries of Federal employees for the full and financial interest and each supple amount of delinquent Federal income mentary statement will be held in strict tax. est confidence. Information will not be (d) Financial interests: Any employee disclosed from the statement by the may hold financial interests and engage Foundation except as the Civil Service in financial transactions in the same way Commission or the Director may author as any private citizen not employed by ize for good cause shown.

the Foundation: Provided, That such in

terests or activities are not prohibited $ 600.735-9 Employee conduct.

by law, Executive order, or the regula(a) General: The Foundation assumes tions in this part. In particular, no that each employee will conduct himself employee may have any direct or indirect in a manner that will not discredit or financial interest that conflicts substanembarrass himself or the Foundation. tially or appears to conflict substantially


with his duties and responsibilties as (i) Has, is seeking, or is likely to seek a Foundation employee. No employee assistance, support, or funds from the shall carry out Foundation duties in Foundation; or volving any organization in which he has (ii) Conducts operations or activities a direct or indirect financial interest. which are involved with, or are supNo employee shall engage directly or in ported by, the Foundation; or directly in any financial transaction re (iii) Has interests which might be sulting from, or primarily relying on, substantially affected by the employee's information obtained through his em performance nonperformance of ployment.

duties; or (e) Participation in NSF grants by (iv) May be attempting to affect the former NSF employees: In cases not di employee's official actions. rectly coming under the prohibitions of (2) As required by law (5 U.S.C. 113), 18 U.S.C. 207 (relating to activities of no employee shall solicit contributions former Government officials), the fol from another employee for a gift to an lowing rules shall apply:

employee who is a superior. A superior (1) Where an employee on leave of shall not accept a gift obtained from absence from his university or other

contributions from employees receiving organization has suspended work on an

less salary than himself. An employee NSF grant to become a Foundation em shall not make a donation as a gift to an ployee, he may resume his work under employee in a superior position. the grant immediately upon terminating (3) Employees are not permitted to achis service with the Foundation. He cept a gift, or decoration, or other objects may also apply at once to the Founda from a foreign government unless aution for support for his resumed activi thorized by Congress as provided by the ties.

Constitution and in 5 U.S.C. 114-115A. (2) In addition to the statutory bars

(4) Employees may accept promo

tional material of nominal intrinsic value against ever dealing with the U.S. Government in connection with a particular

such as pens, pencils, note pads, calenmatter in which he participated person

dars, etc. Employees may on infrequent ally and substantially while an employee,

occasions accept items of nominal value and against dealing with the Government

such as food in the ordinary course of a for 1 year after leaving in connection

luncheon or dinner meeting, site visit, or with a matter under his official respon

professional conference when the emsibility while in the Government, a for ployee is properly in attendance. mer regular employee of the Foundation

(g) Outside employment: (1) Em

ployees shall not engage in any outside may not negotiate with NSF, with a view

employment or other outside activity not to obtaining support for himself or his

compatible with the full and proper disorganization within 1 year after having

charge of their Foundation duties and left NSF, except with the written au

responsibilities. Incompatible activities thorization of the Director.

include, but are not limited to, accep(3) Former regular employees of the

tance of anything of monetary value Foundation may not be compensated which may result in or create the apfrom an NSF grant directly or indirectly pearance of a conflict of interest. within 1 year of their leaving the Foun (2) Employees shall not engage in outdation, except with the written permis side employment which tends to impair sion of the Director.

their health or capacity to discharge (f) Gifts, entertainment, and favors: acceptably their duties and responsia (1) Employees may not solicit or accept

bilities. directly or indirectly from any person,

(3) Employees shall not receive any

thing of monetary value from a private institution, corporation, or group, any

source as compensation for their activithing of economic value as a gift, gra

ties as Foundation employees. tuity, favor, entertainment, or loan,

(4) Employees shall not engage in which might be reasonably interpreted

teaching, lecturing, or writing which is by others as being of such a nature that dependent on official information obit would affect his impartiality. This is tained as a result of Government employespecially applicable in those instances ment, except when the information has where the employee has reason to be been, or is being made available to the lieve that the person, institution, cor general public, or will be made available poration, or group:

to the public on request, or when


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