(3) Regulating or aduiting private or other non-Federal enterprise; or

(4) Other activities where the decision or action has an economic impact on the interest of a particular non-Federal enterprise.

(b) Foundation requirement. In order to fulfill the Foundation's obligations under the general Government requirement described in paragraph (a) of this section, it has been determined that a Statement of Employment and Financial Interests must be completed and submitted in accordance with the procedures set forth in this section by all Foundation employees occupying positions of grade 14 or above, with the exception of the GS-14 and GS-15 positions in the following offices: Office of Program Development and Analysis; Budget Office; Finance Office; Management Analysis Office; Personnel Office; as well as by all employees occupying the positions specified below:

(1) All employees occupying grade 12 and above positions in:

(1) Contracts Office;

(ii) Indirect Cost (Rate) Determination Office;

(ill) Internal Audit Office;

(iv) Grants Office;

(v) Office Services.

(2) All attorneys in the Office of the General Counsel;

(3) All nonclerical employees in the Mohole Project Office;

(4) All nonclerical employees whose functions include purchasing and/or procurement of any sort.

(c) Inclusion and exclusion of positions. Whenever appropriate, the Director may amend paragraph (b) of this section to include additional positions that entail submission of such statements or may exclude any positions listed in that paragraph (b) the inclusion of which is not required by the general requirement in paragraph (a) of this section. Each superviser in the Foundation is responsible for bringing to the attention of the Director (through appropriate channels) any position which the supervisor believes should be covered or excluded by this requirement.

(d) Submission of original and supplementary statements. Each employee covered by this requirement shall complete the statement and submit it to the Executive Secretary of the Conflicts-ofInterest Review Panel within 90 days after the effective date of this part. Each new employee shall complete and submit the statement within 30 days after his entrance on duty or within 90 days after the effective date of this part, whichever date is later. All changes in, or additions to, the information contained in each employee's original statement must be reported in a supplementary statement submitted by the employee at the end of the quarter in which the changes occur. (Quarters end March 31, June 30, September 30, and December 31.) If there are no changes or additions in a quarter, a negative report is not required, except that a supplementary statement, negative or otherwise, is required from each employee as of each June 30. The Executive Secretary is responsible for obtaining the initial statements from all affected employees and the supplementary statements at the end of each fiscal year. The Personnel Office is responsible for informing each new, affected employee of the requirement for him to submit the statement to the Executive Secretary within 30 days after his entrance on duty. The Executive Secretary is responsible for maintaining a confidential file of all statements that are submitted and for reviewing all statements for possible conflicts-of-interest situations in accordance with the provisions of this subpart.

(e) Interests of employees' relatives. For purposes of the statement, the interests of a spouse, minor child, or any

other member of an employee's immediate houeshold who is a blood relation of the employee, are considered to be interests of the employee.

(f) Information not known by employees. If information required to be included on the statement of employment and financial interests (supplementary or otherwise, including holdings placed in trust) is not known by the employee but is known to another person, the employee shall request such other person to submit the information on his behalf.

(g) Information not required. Employees are not required to submit information relating to their financial interests in any professional society not conducted as a business enterprise as described in the next sentence, charitable, religious, social, fraternal, recreational, public service, civic, political, or similar organization not conducted as a business enterprise. Professional societies, educational institutions and other nonprofit organizations engaged in research, development, or related activities involving grants of money from, or contracts with, the Government are deemed "business enterprises" and are required to be included in employees' statements of employment and financial interests.

(h) Effect of employees' statements on other requirements. The statements of employment and financial interests and supplementary statements required of employees are in addition to, and are not in substitution for, or in derogation of, any similar requirement imposed by law, regulation, or Executive order. The submission of the statement or supplementary statement by an employee does not permit him or any other person to participate in any matter in which his or the other person's participation is prohibited by law, regulation, or Executive order.

(i) Confidentiality of employees' statements. Each statement of employment and financial interest and each supplementary statement will be held in strictest confidence. Information will not be disclosed from the statement by the Foundation except as the Civil Service Commission or the Director may authorize for good cause shown.

§ 600.735-9 Employee conduct.

(a) General: The Foundation assumes that each employee will conduct himself in a manner that will not discredit or embarrass himself or the Foundation.

However, it is pointed out that the violation of the regulations in this part or any criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct on the part of an employee (whether in official duty status or not) is cause for immediate disciplinary action, up to and including removal.

(b) Indebtedness: Employees are expected to meet their financial obligations and not to take advantage of the fact that their wages are not subject to garnishment for private debts. Failure to meet just financial obligations in a proper and timely manner may result in disciplinary action, up to and including removal. For the purpose of this section, a "just financial obligation" means one acknowleged by the employee or reduced to judgment by a court, and "in a proper and timely manner" means in a manner which the agency determines does not, under the circumstances, reflect adversely on the Government as his employer. In the event of dispute between an employee and an alleged creditor, this section does not require NSF to determine the validity or amount of the disputed debt.

(c) Payment of taxes: Employees are expected to meet their obligation for payment of taxes to Federal, State, and local authorities. Delinquency in payment of Federal, State, and local taxes is cause for disciplinary action, up to and including removal. Federal agencies are required to furnish State taxing authorities (including the District of Columbia) with a copy of Form W-2 indicating annual earnings and Federal income tax withheld. Employees are authorized to pay delinquent Federal taxes by payroll deduction, provided that they make satisfactory arrangements with the Internal Revenue Service to liquidate their tax liabilities in this manner. When such arrangements are not made, District Directors of Internal Revenue have the authority to levy upon the salaries of Federal employees for the full amount of delinquent Federal income tax.

(d) Financial interests: Any employee may hold financial interests and engage in financial transactions in the same way as any private citizen not employed by the Foundation: Provided, That such interests or activities are not prohibited by law, Executive order, or the regulations in this part. In particular, no employee may have any direct or indirect financial interest that conflicts substantially or appears to conflict substantially

with his duties and responsibilties as a Foundation employee. No employee shall carry out Foundation duties involving any organization in which he has a direct or indirect financial interest. No employee shall engage directly or indirectly in any financial transaction resulting from, or primarily relying on, information obtained through his employment.

(e) Participation in NSF grants by former NSF employees: In cases not directly coming under the prohibitions of 18 U.S.C. 207 (relating to activities of former Government officials), the following rules shall apply:

(1) Where an employee on leave of absence from his university or other organization has suspended work on an NSF grant to become a Foundation employee, he may resume his work under the grant immediately upon terminating his service with the Foundation. He may also apply at once to the Foundation for support for his resumed activities.

(2) In addition to the statutory bars against ever dealing with the U.S. Government in connection with a particular matter in which he participated personally and substantially while an employee, and against dealing with the Government for 1 year after leaving in connection with a matter under his official responsibility while in the Government, a former regular employee of the Foundation may not negotiate with NSF, with a view to obtaining support for himself or his organization within 1 year after having left NSF, except with the written authorization of the Director.

(3) Former regular employees of the Foundation may not be compensated from an NSF grant directly or indirectly within 1 year of their leaving the Foundation, except with the written permission of the Director.

(f) Gifts, entertainment, and favors: (1) Employees may not solicit or accept directly or indirectly from any person, institution, corporation, or group, anything of economic value as a gift, gratuity, favor, entertainment, or loan, which might be reasonably interpreted by others as being of such a nature that it would affect his impartiality. This is especially applicable in those instances where the employee has reason to believe that the person, institution, corporation, or group:

(i) Has, is seeking, or is likely to seek assistance, support, or funds from the Foundation; or

(ii) Conducts operations or activities which are involved with, or are supported by, the Foundation; or

(iii) Has interests which might be substantially affected by the employee's performance or nonperformance of duties; or

(iv) May be attempting to affect the employee's official actions.

(2) As required by law (5 U.S.C. 113), no employee shall solicit contributions from another employee for a gift to an employee who is a superior. A superior shall not accept a gift obtained from contributions from employees receiving less salary than himself. An employee shall not make a donation as a gift to an employee in a superior position.

(3) Employees are not permitted to accept a gift, or decoration, or other objects from a foreign government unless authorized by Congress as provided by the Constitution and in 5 U.S.C. 114-115A.

(4) Employees may accept promotional material of nominal intrinsic value such as pens, pencils, note pads, calendars, etc. Employees may on infrequent occasions accept items of nominal value such as food in the ordinary course of a luncheon or dinner meeting, site visit, or professional conference when the employee is properly in attendance.

(g) Outside employment: (1) Employees shall not engage in any outside employment or other outside activity not compatible with the full and proper discharge of their Foundation duties and responsibilities. Incompatible activities include, but are not limited to, acceptance of anything of monetary value which may result in or create the appearance of a conflict of interest.

(2) Employees shall not engage in outside employment which tends to impair their health or capacity to discharge acceptably their duties and responsibilities.

(3) Employees shall not receive anything of monetary value from a private source as compensation for their activities as Foundation employees.

(4) Employees shall not engage in teaching, lecturing, or writing which is dependent on official information obtained as a result of Government employment, except when the information has been, or is being made available to the general public, or will be made available to the public on request, or when

the Director or Deputy Director gives written authorization for the use of nonpublic information on the basis that the use is in the public interest. However, employees are encouraged to engage in teaching, lecturing, and writing not prohibited by the regulations in this part, by law, or by Executive order.

(5) Employees shall not receive anything of monetary value for any consulting, lecturing, discussion, writing, or presentation, the subject of which is devoted to the responsibilities, programs, or operations of the Foundation, or which draws on official data or ideas which have not become part of the body of public information.

(6) Employees shall not serve as organizers or directors of scientific conferences, colloquia or similar events supported by grant or contract from the Foundation, but may otherwise participate in such events provided they do not receive any compensation or economic benefit for such participation.

(7) Employees shall avoid any action whether or not specifically prohibited which might result in or create the appearance of:

(i) Using public office for private gain; (ii) Giving preferential treatment to any person;

(iii) Impeding Government efficiency or economy;

(iv) Losing complete independence or impartiality;

(v) Making a Government decision outside official channels; or

(vi) Affecting adversely the confidence of the public in the integrity of the Government.

(8) Employees may, however, participate in the affairs of, and accept an award for meritorious public contribution or achievement given by a charitable, religious, fraternal, educational, recreational, public service, or civic organization.

(h) Advice or assistance to nonprofit or commercial organizations: The conditions under which employees may offer assistance or advice to nonprofit or commercial organizations are set forth in this paragraph (h). Although these conditions are stated as general rules, illustrative applications to specific situations are set forth as an aid to interpretation.

(1) General rules. While not on official duty, an employee may provide advice or assistance and receive compensation therefor, to either nonprofit or com

mercial organizations, provided that such services are unrelated to his activities at the Foundation and do not draw upon information deriving from Government sources not publicly available.

(2) Specific examples-(i) Visiting committees. Employees should not participate in the deliberations of a college or university visiting committee; however, an employee may meet with such groups as a Foundation official where it would be appropriate to attend a similar meeting with any other comparable group requesting his assistance.

(ii) Participation in non-Federal research institutions. Employees may not participate in any way in the policy making or administration of a non-Federal research institution which receives or is eligible to receive funds from a Federal agency.

(iii) Membership and office holding in professional societies. An employee may be a member of a professional society, but may not serve as an officer except where the society has not received any support from the Foundation during the preceding three years and the employee has no reason to expect it to seek support during the tenure of his office. If the society later requests support from the Foundation, the employee should resign his office in the society or request permission to remain in such office.

(i) Misuse of information: For the purpose of furthering a private interest, employees shall not (except as provided in paragraph (g) (4) of this section) directly or indirectly use, or allow the use of, official information obtained through, or in connection with, his Government employment which has not been made available to the general public.

(j) Compensation from NSF-awarded funds: No employee may receive any compensation either directly or indirectly from NSF funds awarded to contractors or grantees.

(k) Use of Federal property: No employee may use Federal property or facilities of any kind for other than officially approved activities. Every employee has the responsibility to protect and conserve all Federal property which has been entrusted to him.

(1) Exercise of notary powers: Employees who are notaries public may not charge or receive any compensation for performing any notarial act during working hours, including the luncheon period.

(m) Political activity: Restrictions in this section are applicable to employees

on leave, leave without pay, or furlough, as well as to other regular employees of the Foundation. Individuals whose employment is on an intermittent basis (not occupying a substantial portion of their time) are subject to the political-activities restrictions only while they are in an active-duty status. The period of active-duty status for a particular employee includes the entire 24-hour period of any day of actual employment. The Federal Personnel Manual contains information on such restrictions. Copies of the Federal Personnel Manual may be consulted in the Personnel Office. If an employee is in doubt about permissible activities, he should contact the Personnel Office for clarifications.

(1) Employees may not use their official positions or influence for the purpose of interfering with an election and they may not take an active part in political management or in political campaigns, except as provided in subparagraphs (4) and (5) of this paragraph.

(2) No employee may discriminate against another employee because of his political opinions or affiliations.

(3) An employee may not become a candidate for nomination or election to a Federal, State, county, or municipal office on a partisan political ticket. Nor may an employee become a candidate as an independent when opposed by a partisan political candidate, except as provided in subparagraph (4) of this paragraph.

(4) Certain political subdivisions in the vicinity of Washington, D.C., as well as other municipalities, designated by the CSC, have been granted a limited exception to the rules prohibiting political management or candidacy for local office. In such municipalities, employees may become candidates as independents, even when opposed by partisan political candidates.

(5) In general, the Foundation encourages employees to be candidates for, and to hold, State, county, or municipal offices of a nonpartisan nature when permitted by law. Employees desiring to be candidates for or to hold a State or local office or to undertake the political management of a candidacy for such office, must first secure the approval of the head of their Division or Office, and then forward their request to the Personnel Officer for approval.

(6) Full-time employees, with the prior consent of the Director, may hold

(a) In order to meet the requirements of the Civil Service Commission pertaining to conflicts of interest and ethical conduct, this subpart prescribes NSF policy and procedures governing all NSF consultants and shall serve as formal notification of the conditions for serving as consultants. Acceptance of the appointment as consultant signifies that the consultant is subject to and will abide by the conditions set forth in this subpart.

(b) To promote the highest possible standards of honesty, integrity, and impartiality in the conduct of its business, the National Science Foundation conveys to all consultants the regulations in this subpart as an aid in the avoidance of actual or apparent conflicts of interest and misconduct.